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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

1. PURPOSE

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.

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

Information Security Program:
The set of managerial, operational and technical controls instituted to protect the integrity, availability and, if needed, confidentiality of information and resources used to enter, store, process, and communicate electronic information.

Information technology resources:
Specific items such as telecommunications devices, computer systems, media, and other equipment, goods, services and personnel related to the collection, storage or transport of electronic information.

Critical data:
Data supporting critical functions (i.e., business processes identified by the vice presidents division heads that significantly affect service levels to students, affect public safety, impact the budget, and/or are the result of governmental regulations). This data is so important to the university that its loss or unavailability is unacceptable.

Sensitive data:
Non-public data subject to legal requirements (e.g., Federal or State privacy laws) or other privacy or compliance considerations, which define and regulate its responsible use. The university's Data Stewardship Policy (JMU 1205) defines two types of sensitive data: protected and highly confidential.

4. APPLICABILITY

This policy applies to all information collected and/or processed using the university's information technology resources.

5. POLICY

University data and information technology resources must be recognized as valuable and worthy of protection. Depending on the scope and nature of the information, integrity constraints and special procedures for access and handling may be required.

One of the fundamental requirements and goals of university information processing, whether manual or automated, is to manage the information resource. This goal drives all others as the university works to protect and deny or disseminate access. The individual data elements and their interface to the larger process must be protected and managed at the local office, throughout the department or administrative office or network, and through centralized computer systems processing, storage and management.

It is the policy of the university to maintain security of its information technology resources. The university will take appropriate steps to secure information technology resources and sensitive information through the development of an institution-wide information technology security program. All systems must include security safeguards that reflect the importance and sensitivity of the information processed on the system.

All users of university information technology resources are required to adhere to detailed requirements included in JMU Computing Standards as well as other university policies related to information technology.

6. PROCEDURES

In keeping with the responsibilities outlined above, departments and offices shall develop, manage and review local operating policies and procedures to create the proper security posture for sensitive or critical data created and stored locally and on centrally managed computer systems. Integrity constraints, procedures that ensure correct processing of correct data, shall be written as local procedure. Such procedures shall be reviewed as required.

7. RESPONSIBILITIES

7.1Vice presidents,, deans and academic/administrative unit heads shall be responsible for identifying critical functions as specified in Policy 1206 (Contingency Management for Information-based Systems). In addition, they and their staffs are responsible for the security, confidentiality, availability, and integrity of data and software stored on individual workstations or local fileservers and on centrally managed computer systems to the extent that they have access and or access control. This responsibility includes ensuring the backup of key software systems and data on workstations and local file servers. It may also include account management and/or data stewardship responsibilities that have been specifically assigned.

7.2 Deans and academic/administrative unit heads are further required to designate a system administrator for any shared file server or application system under their control and not administered by IT. This designation must be communicated to the University Information Security Officer in writing within three days of assignment of responsibilities and shall be updated as necessary.

7.3 This policy also places responsibility on deans and academic/administrative unit heads to: 1) require appropriate computer use as specified in Policy 1207 (Appropriate Use of Information Technology Resources), 2) ensure compliance with information technology policies and standards by people and services under their control, and 3) implement and monitor additional procedures as necessary to provide appropriate security of information and technology resources within their area of responsibility.

7.4 IT is responsible for establishing and maintaining the physical security of the central computing facilities (including shared file servers managed by IT), the university's communications network and data for which IT is the custodian. As part of the university's Information Security Program, IT will maintain JMU Computing Standards for access to centrally managed computing systems as specified in Policy 1205 (University Data Stewardship), the campus network and fileservers managed by IT.

7.5 Additionally, the president will appoint a university Information Security Officer who shall be responsible for the administration of the university's Information Security Program and providing technical support to university departments and offices in the development of local security procedures. This program shall extend to all information technology resources of the university. Its emphasis will be on a risk-based approach to protection of the university's information technology resources with particular focus on sensitive information and critical data and applications.

8. SANCTIONS

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

9. EXCLUSIONS

None.

10. INTERPRETATION

Authority to interpret this policy rests with the resident and is generally delegated to the Assistant Vice President for Information Technology.

Previous version: September, 2010
Approved by the President: April, 2002

Index Terms

Information Security
Information confidentiality policy
Data security

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 CDL Holders

1. PURPOSE

In order to promote highway safety and in accordance with the Omnibus Transportation Employee Testing Act of 1991 and U.S. Department of Transportation (DOT) Rule 49 CFR Part 40 and The Federal Motor Carrier Safety Administration's (FMCSA) rule, 49 CFR 382, James Madison University will conduct mandatory drug and alcohol testing of all university employees who are required to possess a commercial driver's license (CDL).

2. AUTHORITY

This policy is written in keeping with the Virginia Department of Human Resources Policy 1.05 - Alcohol and Other Drugs.

3. DEFINITIONS

Alcohol:
Any product as defined in "The Alcoholic Beverage Control Act," section 4.1-100 of the Code of Virginia, as amended.

Adulterated Specimen:
A specimen that contains a substance that is not expected to be present in human urine or contains a substance expected to be present but is at a concentration so high that it is not consistent with human urine.

Commercial Driver's License:
Any of three types of commercial driver's licenses:

Class A: Any combination of vehicles with a gross vehicle weight rating (GVWR) of 26,001 or more pounds provided the GVWR of the vehicle(s) being towed is in excess of 10,000 pounds.

Class B: Any single vehicle with a GVWR of 26,001 or more pounds, or any such vehicle towing a vehicle not in excess of 10,000 pounds GVWR.

Class C: Any single vehicle or combination of vehicles that does not meet the definition of Class A or Class B, but is either designed to transport 16 or more passengers, including the driver, or is placarded for hazardous materials.

Contract Testing Facility (Contractor):
A medical facility including its laboratory, certified for alcohol and drug testing by the U.S. Department of Health and Human Services.

Covered Employees
Employees who are required to possess a commercial driver's license and the mandatory testing for alcohol and illegal drug use is a condition of their employment.

Illegal Drug:
Any controlled substance included in Schedules I through V of the "Drug Control Act," Title 54.l, Chapter 34 of the Code of Virginia, as amended, updated or republished, except a controlled substance included in Schedules II through V and used by the employee whose conduct is in question pursuant to a valid prescription for medical purposes filled in the United States.

Medical Review Officer (MRO):
A person who is a licensed physician and who is responsible for receiving and reviewing laboratory results generated by an employer's drug testing program and evaluating medical explanations for certain drug test results.

Substance Abuse Professional (SAP):
A person who evaluates employees who have violated a DOT drug and alcohol regulation and makes recommendations concerning education, treatment, follow-up testing, and aftercare.

4. APPLICABILITY
This policy is applicable to all employees of the university, whether classified or non-classified, full-time or part-time, salaried or hourly who are required to possess a valid commercial driver's license for performance of their jobs.

5.POLICY

5.1 General
All university employees have a responsibility to ensure that their duties are not impaired by the use of drugs or alcohol. Further, employees who operate state-owned vehicles and equipment, and are required to hold a CDL, are subject to a higher degree of regulation than other drivers. They will keep their supervisors informed as to any prescription medications they are using which may affect their work. To ensure compliance, JMU will conduct a program to identify covered employees who test positive for alcohol and illegal drugs. Employees testing positive will be immediately removed from driving duties and charged with a Group III violation of the State's Standards of Conduct, which alone may warrant termination. This procedure is applicable to all current and future JMU employees. The Mandatory Drug and Alcohol Testing for CDL Holders Memorandum will be sent to all persons employed in, and being considered for, assignment to covered positions.

5.2 Testing Conditions
Covered employees will be designated for alcohol and drug testing under the following conditions. A refusal to take the tests, the discovery of an adulterated specimen or the tampering of the sample will be considered a Group III violation of the Standards of Conduct and may result in the termination of employment:

  • Pre-Employment: As a condition of employment, individuals applying for covered positions will be tested. Applicants will be advised of the requirement and the procedure at the time an offer for employment is made (verbally and in writing as part of the offer letter consistent for anyone on campus required to possess a valid CDL for their jobs). A positive test result from an applicant will result in JMU rescinding the offer of employment.
  • Reasonable Suspicion: Covered employees will be tested whenever the individual's behavior or appearance causes the supervisor to question the employee's ability to perform his/her CDL duties safely. The elements of the constructive confrontation by a supervisor are to identify and confront the individual, to confirm the behavior/appearance/odor/speech, and to document the incident by completing the Behavior/Incident Documentation. If possible, the confrontation should be made in person by the supervisor, with a witness to the event.
  • Random: Covered employees will be tested whenever the random selection process designates the employee for testing. Employees being randomly-tested will not routinely be relieved of CDL duties while the results are being analyzed (See 6.2 below for details).
  • Post Accident: Covered employees will be tested any time they are involved in an on-the-job commercial vehicle accident resulting in a citation for moving violations arising from an accident that requires: (1) a vehicle to be towed, (2) an injury requiring immediate medical attention away from the scene, or (3) resulting in a fatality. The alcohol breathalyzer test must be administered within two hours and the controlled substances test must be conducted within 32 hours of the accident. Covered employees are prohibited from using alcohol or controlled substances following an accident until after they have been tested. Further, the failure to report a vehicle accident is a violation of the Standards of Conduct. If the accident results in the death of the employee, blood/urine samples will be tested for the presence of drugs/alcohol.
  • Other Testing: Covered employees will be tested when any of the following events have occurred: (1) after completing a drug and alcohol rehabilitation program, (2) before being allowed to return to work and perform CDL duties following a positive test, or (3) after having refused to be tested. After returning to work, these covered employees will be tested randomly at least six times during the next 12 months. A refusal to be re-tested may result in termination of employment. Further, employees in this re-testing group will also continue to be part of the random testing pool.

5.3 Supervisor Responsibilities
Supervisors are responsible for evaluating the fitness of their covered employees to perform their duties. In the event covered employees do not appear able to perform their CDL functions safely, supervisors must relieve these employees of their duties, document the circumstances, and notify HR or the departmental designee so that those individuals may be tested. In the event HR or the departmental designee is not available to arrange the tests, supervisors are authorized to work directly with the contract medical facility.

Supervisors are also required to participate in the drug and alcohol program overview and substance abuse training provided by the university.

5.4 Contractors and Vendors
All vendors and contractors providing goods and service for the university shall be able to show compliance to the aforementioned regulations upon request. Faculty and staff who initiate or solicit the services of vendors and contractors should ensure that proof of vendor/contractor compliance is received before entering in to any contractual arrangement including the issuing and authorization of an official purchase order.

6. PROCEDURES

6.1 Contract Testing Facility
A contract medical facility will conduct the tests, analyze the results, and counsel covered employees regarding the outcome of the test(s). Only personnel trained in the use of equipment and taking specimens will be involved in the testing process. Further, JMU will rely on the Contractor and its Medical Review Officer (MRO) to provide appropriate documented data and testimony in the event the test results in an adverse employment action or a grievance.

6.2 Testing Process

  • Random Selection. The contractor will conduct a random selection each month. Some employees may be selected more than once. After selection, HR or the departmental designee will notify the employee that he/she needs to go to the contract medical facility as soon as feasible. If an employee is not readily available, he/she will be notified and tested upon return to the work site.
  • Selective Testing. Selective testing occurs: (1) pre-employment, (2) for reasonable suspicion, or (3) post accident. In cases where covered employees are designated for selective testing, the supervisor will request HR or the departmental designee to make the appointment. The supervisor or designee will then transport the individual to the Contractor as soon as feasible. Applicants completing pre-employment testing will transport themselves. Employees who are being tested for these reasons will not be restored to duty or the applicant pool until after the MRO determines that the test results are negative.
  • Alcohol Test. The Contractor will test the breath for the presence of alcohol. In the event alcohol level does not exceed .02, the results will be recorded as negative and the employee will return to his/her normal duties. If the test results indicate the alcohol level to be between .02 and .04, covered personnel will be placed on leave without pay (LWOP) for the remainder of the day and will be re-tested the next day or prior to performing CDL duties. If the alcohol level exceeds .04, covered personnel will be suspended from work indefinitely (not less than 30 days) and applicants will not be further considered for the position unless the MRO so recommends (See 6.3). HR or the departmental designee and the Department Head will be notified of the results of the test.
  • Drug Test. A split urine sample will be taken from covered employees and analyzed for the presence of marijuana, cocaine, opiates, phencyclidine, and amphetamines. Any trace of an illegal substance will be considered a positive result. The MRO will determine whether or not the results indicate further testing or counseling. When a covered employee has been referred to the Contractor for reasonable suspicion, the MRO will also consider the supervisor's observations. The Contractor is responsible for safeguarding the split sample for a possible second analysis.

6.3 MRO Procedures for Positive Test Results
The MRO will have a confidential discussion (in person or by telephone) with covered personnel as soon as feasible whenever there are positive results to the tests. In the case of alcohol, a positive result is anything above the .02 level. The MRO will determine if there is a legitimate explanation for any deviation from the normal. Covered employees will have 72 hours to decide if s/he would like the split urine specimen sent to another laboratory (It also must be certified for alcohol and drug testing by the U.S. Department of Health and Human Services), to have the split examined in the same laboratory, or take no action in the matter. The employing department will pay for the second analysis only if it results in a negative presence of alcohol or illegal substance. At the conclusion of the counseling, the MRO will telephone HR or the departmental designee and send a confidential report to the HR Director or the HR Director's designee.

6.4 Training
Supervisors will be given a minimum of 60 minutes of training on controlled substance abuse and 60 minutes on alcohol misuse. This training will include information on how alcohol and drugs affect work performance, the alcohol and drug testing process, employee assistance programs, and possible corrective action in the event of a positive test. Supervisors will also be given training on how to recognize, confront, and document incidents possibly caused by substance abuse.

Employees will be given a minimum of 60 minutes of training on controlled substance abuse and alcohol misuse, how alcohol and drugs affect work performance, the alcohol and drug testing process, employee assistance programs, and possible corrective action in the event of a positive test.

6.5 Discipline and Corrective Action

6.5.1 Corrective Action
Covered employees testing positive for drugs or above the .04 alcohol level will be immediately removed from driving duties and will be charged with a Group III violation of the State's Standards of Conduct, which alone may warrant termination. (As a minimum corrective action, the aforementioned employee will be suspended without pay for 30 days and referred to a substance abuse professional (SAP)). The employee will be expected to satisfactorily complete the prescribed treatment as a condition of his/her return to work. Payment for the treatment is the responsibility of the employee.

6.5.2 Other Disciplinary Action

  • Employees who commit a first offense under this policy, and who already have any other active written notice, will normally be terminated.
  • After being returned to work from rehabilitation treatment, any subsequent written notice will also normally result in termination.
  • The above guidelines notwithstanding, university management reserves the right to apply the full range of disciplinary actions under the Standards of Conduct, taking into account mitigating circumstances.
  • Repeat offenses with or without an active disciplinary notice for violations under this policy will result in further disciplinary action up to and including termination.

6.6 Return-to-Duty Re-Evaluation
Prior to being reassigned to a CDL position, covered employees must undergo substance abuse testing and counseling by the same SAP. If returned to duty, the employee will be subject to a minimum of six unannounced follow-up tests over the next twelve months of active service with the possibility of unannounced testing for up to 60 months (as prescribed by the SAP).

6.7 Recordkeeping
All records and correspondence for covered employees must be maintained and available during the length of employment plus five years. The material will consist of the notification memorandum, training periods, and tests conducted for any reason. In addition, HR or the departmental designee will maintain a confidential file concerning any positive alcohol and drug tests, moving vehicle accidents as they pertain to this policy, communications with the MRO, related corrective actions, and reports of drug/alcohol tests for reasonable suspicion. (All recordkeeping that is required by law and listed in U.S. DOT Rule 49 Part 40 may be kept by the Contractor as long as it can provide the information within two business days of an official request by DOT officials. The information will be released on a need-to-know basis only.)

7. RESPONSIBILITY

The Director of Human Resources is responsible for the consistent application of this policy. The Director of Human Resources, as well as vice presidents, directors, and supervisors are to ensure that covered employees are informed of this policy and any subsequent changes. Questions related to the application of this policy should be directed to Human Resources
In addition, directors are responsible for their department's prompt, effective adherence to this policy.

Supervisors are responsible for evaluating the fitness of their covered employees to perform their duties and taking corrective action when appropriate.

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 university employees who are not required to possess a commercial driver's license (CDL).

10. INTERPRETATION

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

Previous version: August, 2009
Approved by the President: January, 2008

Index Terms

Alcohol
Commercial Driver's License
Contract Testing Facility (Contractor)
Covered Employees
Illegal Drug
Medical Review Officer (MRO)
Substance Abuse Professional (SAP)

Appendices
(Forms)
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/finaid/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

1. PURPOSE

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.

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.

FEDERAL AND STATE REGULATIONS

Title VII of the Civil Rights Act of 1964, as amended; Title IX of the 1972 Education Amendments Act; Section 503 and 504 of the Rehabilitation Act of 1973; the Age Discrimination in Employment Act of 1967; the Americans with Disabilities Act Amendments Act of 2008; Section 402 of the Vietnam Era Veteran's Readjustment Assistance Act of 1974; and relevant Executive Orders of the Commonwealth of Virginia.

3. DEFINITIONS

Administrative and Professional Faculty (A&P)
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.

Instructional Faculty
A faculty member whose primary responsibility includes teaching, research and service. Instructional faculty also have specific guidelines for employment set forth in the University Faculty Handbook.

Appointment
The establishment of a contractual employment relationship, even if on an at-will basis or for a limited time, between a faculty member and the university.

Documentation
The required appropriate forms, official transcripts, certificates and other relevant and supporting documents for acceptance of an offer, either mentioned explicitly in this policy or otherwise required by the Human Resources Office (HR) or the Office of Equal Opportunity (OEO).

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.

Offer
The official communication to the faculty candidate from the appropriate university official notifying the candidate that the position is presented for acceptance.

Official Transcript
An official transcript is one that has been received directly from the issuing institution or is an original provided by the employee. It must bear the institutional validation (such as a seal, logo or letterhead), date and appropriate signature. Transcripts other than those described above in “Electronic Transcript” that are received and do not meet these requirements are not considered official.

4. APPLICABILITY

This policy relates to the selection and hiring of all faculty members, including instructional faculty as well as administrative and professional (A&P) faculty. This policy applies to all faculty appointments, including full-time and part-time appointments; adjunct and visiting appointments; tenured, tenure-track, renewable term and non-tenured appointments; and academic year, calendar year, fixed term appointments and interim appointments. (However, the procedures detailed in this policy for a full search are not required for part-time appointments, interim appointments or full-time appointments of less than one year, such as visiting faculty, faculty on short-term contracts or temporary replacements for faculty on leave.)

5. POLICY

The process of selecting and hiring faculty members at the university, from search through selection and hiring, is guided by a specific set of guidelines and procedures that must be followed to ensure fairness, accountability and the continuing presence of an outstanding teaching faculty. Faculty appointments are subject to approval by the Board of Visitors.

5.1 Searches:

  • The Office of Equal Opportunity Faculty Recruitment Handbook shall guide all faculty searches conducted at the university. In general, the procedures call for the establishment of a representative search committee once approval to recruit for the position has been granted; development of a tailored, aggressive search strategy, which usually includes national advertising in appropriate publications in the discipline; personal contacts with colleagues; follow-up with colleagues and doctoral students listed in relevant directories; and other targeted efforts to identify a strong pool of candidates. Additional guidance on the conduct of the search and interview process is provided in the Faculty Recruitment Handbook.
  • Additional policies on searches and appointments are found in JMU Policies 1301, 1302, 1321, 1326, and 1335.
  • The hiring department may also choose to require certain documentation - such as official transcripts and letters of recommendations - as part of the application process.

6. PROCEDURES

6.1 Offers:

Once a candidate has been identified as the person who will receive an offer of employment, an authorized university official will contact the candidate to make the offer of employment. The offer is subject to approval by the next level of supervision before the offer is extended.

Official Transcripts & Other Hiring Documentation

1. 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 including an official transcript identification and proof of eligibility to work for the university. Until all information is received by the university through Human Resources at the time of Onboarding, the offer may be withdrawn by the university.

2. For all instructional faculty and for A&P faculty who will be teaching a for-credit course or for whom it is likely that teaching will be part of future job responsibilities, documentation will include but is not limited to:

  • 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 from the HR website. This justification will describe the employee’s qualifications for the particular teaching assignment in the absence of a terminal degree in a related subject.
  • JMU is a participating member of the eScrip-Safe® Global Electronic Delivery Network. Candidates who wish to submit their transcripts electronically may do so by having them sent to proctoan@jmu.edu, Onboard Specialist, in Human Resources.
  • Candidates who possess degrees from foreign institutions must provide a written, detailed credential evaluation or equivalency report prepared by a university-approved provider to meet documentation requirements.
  • The hiring authority must submit the Onboard Form to Human Resources. The selected candidate will be required to complete the Onboard process prior to the beginning employment date or the offer may be withdrawn by the university.

3. In addition to the documentation provided by the candidate, the hiring department will be responsible supplying to the OEO any additional documentation required by the OEO and the accurate completion of a Personnel Action Request (PAR) form.

4. For all A&P faculty who will not be teaching a class, documentation will include but is not limited to:

  • The hiring authority must submit the Onboard Form to Human Resources. The selected candidate will be required to complete the Onboard process prior to the beginning employment date or the offer may be withdrawn by the university.
  • In addition to the documentation provided by the candidate, the hiring department will be responsible for supplying to the OEO any additional documentation required by the OEO.
  • Certain leadership positions at the university may require that the candidate submit an official transcript. The candidate will be notified of this requirement prior to or at the Onboard session.

5. Failure by the candidate to provide the appropriate documentation by the established deadline may result in the withdrawal of the offer, even if the candidate has attempted to formally accept the offer.

6. The Provost and Senior Vice President for Academic Affairs may grant an emergency exception to the requirement of a timely presentation of an official transcript in the following situations:

a) When a candidate does not fulfill the official transcript documentation requirements for a position that is accepted less than 60 days prior to the start of the employee’s first teaching semester, the provost may choose to honor the offer for no more than 60 days past the beginning employment date, with continuation of employment past that date contingent on the candidate’s successful completion of all official transcript documentation requirements.

b) When the official transcript is from a foreign institution, the following time frames apply:

If a candidate whose degree is awarded from a foreign institution does not fulfill the official transcript documentation requirements for a position that is accepted less than 180 days prior to the start of the employee’s first teaching semester, the provost may choose to honor the offer for no more than 180 days past the beginning employment date, with continuation of employment past that date contingent upon the candidate’s successful completion of all official transcript documentation requirements. In situations where an individual is employed on a non-immigrant VISA and must be terminated, all federal guidelines will be followed in accordance with Immigration and Customs Enforcement (ICE).

c) To hire a faculty member without appropriate official transcript documentation (for whatever reason), hiring officials must complete the Emergency Hire Form, available from the HR website. If the university does not receive the appropriate official transcript(s) within the appropriate deadline, the faculty member will be terminated. A faculty member terminated under such conditions will not be eligible for continued employment.

d) The Emergency Hire Form option is not available for employees who accept a position more than 60 days (180 days for a candidate with a degree from a foreign institution) prior to the start of their first teaching semester.

e) Hiring officials may not waive the timely presentation of the immigration documentation or the official transcript.

f) No faculty member will be hired unless and until all documentation is received or an Emergency Hire Form is approved.

7. In the event that the candidate is hired in anticipation of, but prior to having fulfilled all requirements for a particular degree, such as a Ph.D., the candidate must provide the official transcript of the highest degree attained to date, must obtain the pending degree by the deadline specified in the offer letter, and has a duty to provide the official transcript of the pending degree within 15 working days after it is awarded. Failure to provide the official transcript may result in immediate termination or non-renewal. Failure to obtain the pending degree by the deadline specified in the offer letter will result in the termination of the faculty member.

8. All newly hired or rehired full-time and part-time faculty will undergo a criminal records check. Departments may make an offer of employment to the selected candidate; however, the offer is contingent on the results of the criminal background check.

6.2 Appointments and Contracts:

Faculty appointments are official when a signed contract is issued by the president, accepted by the appointee and returned to the university with the faculty member’s signature. However, the university may withdraw an offer, even after the appointment is official (i.e., after receiving an acceptance), up until the date that all required documentation and processes are completed by the appointee. For an at-will faculty member, the appointment begins when the faculty member commences employment in the position. For details see the Faculty Handbook.

The contract procedure shall be as follows:

a) When the hiring department initiates the hiring of a faculty member, it will generate a PAR Form and send it to HR.

b) Generating contracts:

  • Hiring departments will create contracts using university-approved contract templates. The university has a series of contract templates for the varying categories and types of faculty contracts on the HR Forms website under the heading Faculty Contracts. Hiring supervisors must use one of these templates exactly as it is configured. If a hiring supervisor desires to alter one of the templates in any way for any particular candidate, it must have the appropriate vice president’s prior approval to do so. Any deviations to a contract template require approval from University Counsel.
  • When preparing contracts, it is essential that the data on both the contract and PAR form are correct, authorized and identical.

a) After the dean or AVP and the appropriate senior vice president (or a designee) signs the contract, the contract preparer will send the contract to the president’s office.

b) After the president signs the contract it will be sent to the hiring department, which will then send the contract to the candidate for signature.

c) Once the hiring department receives the signed contract, it will keep a copy for its records and send the original to HR within three working days.

7. RESPONSIBILITIES

Deans, academic unit heads, search committee chairs and hiring supervisors are responsible for understanding and following this policy carefully throughout the search, selection and hiring process. They are also responsible for ensuring that accurate documentation accompanies the hiring of every faculty member. When the official transcript of a candidate is not submitted to HR, the hiring authority is responsible for completing an Emergency Hire Form and submitting it to HR.

Where the official transcript of the highest degree attained does not match the faculty member’s teaching assignment, the hiring academic unit or department is responsible for submitting a Hiring Justification Form to HR for inclusion in the employee’s file. When a candidate is hired in anticipation of, but prior to having fulfilled all degree requirements, such as a Ph.D., the hiring authoring is responsible for obtaining from the candidate the official transcript of the highest degree attained at the time of the offer. The candidate is responsible for obtaining the pending degree by the deadline specified in the offer letter and for delivering the official transcript of the degree to HR within 15 days after the candidate is awarded the degree. The hiring department is responsible for the management of the contract process, including sending the signed original contract to HR. HR is responsible for creating contracts that vary from the form contracts where appropriate and for maintaining contracts in the appropriate employee’s personnel file. HR is responsible for collecting and maintaining official transcripts and other credential information. HR is responsible for verifying identification and eligibility to work through the Onboard process.

8. SANCTIONS

Persons who do not comply with this policy are subject to discipline, up to and including termination.

9. EXCLUSIONS

For the specific hiring procedures to fill the positions of academic unit head, associate and assistant dean, dean, A&P faculty members in the office of the provost, and the position of the provost, see the Faculty Handbook, Section III.C.

In some disciplines, professional licenses or certificates may substitute for official transcripts. By way of an example, a CPA designation or a state license to practice medicine may suffice in lieu of an official transcript because these represent required knowledge and/or degree attainment. Final determination on licenses or certificates will be made by the appropriate vice president.

10. INTERPRETATION

While the authority to interpret this policy is granted to the President, it is generally delegated to the provost.

Previous version: November 2003
Approved by the President: August 2014
1105 Prohibition of Weapons

1. PURPOSE

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.

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

Controlled Space:
Defined as any indoor or outdoor area owned or controlled by the university with limitations on use or access (i.e., residence hall, classroom, office, practice field, stadium, arboretum, farm, etc.). Areas open to the public (i.e., streets, lawns, sidewalks, parking lots, bookstore, library, Festival, etc.) with no limitations on access are not controlled spaces.

Weapons:

Defined as, but not limited, to:

  1. any gun, bow, crossbow or other weapon designed or intended to propel a missile or projectile of any kind, including any pistol, revolver, rifle, musket, long gun or other weapon designed or intended to propel a missile of any kind by action of an explosion of any combustible material;
  2. any stun weapon, including any device that emits a momentary or pulsed output, which is electrical, audible, optical or electromagnetic in nature and which is designed to temporarily incapacitate a person;
  3. any knife, including any dirk, bowie knife, switchblade knife, ballistic knife, machete or razor, except a pocket knife having a folding metal blade of less than three inches;
  4. any slingshot, spring stick, metal knucks or blackjack;
  5. any flailing instrument consisting of two or more rigid parts connected in such a manner as to allow them to swing freely, which may be known as a nun chahka, nun chuck, nunchaku, shuriken or fighting chain;
  6. any disc, of whatever configuration, having at least two points or pointed blades which is designed to be thrown or propelled and which may be known as a throwing star or oriental dart;
  7. any frame, receiver, muffler, silencer, missile, projectile or ammunition designed for use with a dangerous weapon, including any cartridge, pellet, ball, missile or projectile adapted for use in a firearm;
  8. any explosive substance or explosive device, if such substance or device is intended to be used as a weapon;
  9. any tear gas, mustard gas, phosgene gas or other noxious or nauseating gases or mixtures of chemicals designed to, and capable of, producing vile, injurious or nauseating odors or gases, if such gas or chemical is intended to be used as a weapon; and
  10. any weapon of like kind as those enumerated.

4. APPLICABILITY

This policy applies to all university faculty, staff, students, affiliates and contracted service representatives, as well as all visitors attending events (whether or not requiring a ticket) or entering buildings or controlled spaces on campus and to all property owned, leased, operated or controlled by the university.

5. POLICY

No faculty or staff member, student, affiliate or contracted service representative shall carry, maintain, or store a weapon, concealed or otherwise, on any property owned, leased or controlled by the university, except as provided herein. No visitor shall carry, maintain or store a weapon, concealed or otherwise, in any controlled space owned, leased, or controlled by the university or at any university event. Items that are used as weapons on property owned or operated by the university, whether or not they fit the definition above, will also subject the user to discipline or removal.

6. PROCEDURES

6.1 Prop Weapons and Facsimiles
Any item that appears to be a weapon and that is utilized for any purpose on university property must be reported to and approved by university police or safety officials prior to being used in any activity. Examples include, but are not limited to, props used in plays, props or weapons used in class presentations, and Military Science (ROTC) combat military exercises on campus.

6.2 Storage and Related Procedures
Rifles, shotguns and bows that are to be used by a student, faculty or staff member for hunting may be registered and stored no more than one week before and during the appropriate hunting season at the university police station. Weapons used for hunting must be checked and removed from campus at the end of the appropriate hunting season. Similarly, weapons (unloaded, disabled, and facsimile) used for demonstration and educational purposes are to be stored at the campus police station until time of class or demonstration, then removed from campus as soon as possible. All such weapons are to be carried or transported in hard or soft case enclosures.

6.3 Reporting Violations
All members of the university community are encouraged to report violations of this policy to the police or the Office of Public Safety on campus. Employees are required to report violations to the police or the Office of Public Safety if they become aware of violations.

7. RESPONSIBILITIES

It is the responsibility of vice presidents , academic deans, academic unit heads, directors, managers and supervisors to ensure that the provisions of this policy are reviewed with employees and students in their areas.

It is the responsibility of each student, employee, contracted service representative, affiliate and visitor attending events or entering buildings or controlled spaces on campus to comply with this policy.

It is the responsibility of each vice president , academic dean, academic unit head, director, manager and supervisor to enforce the provisions of this policy in their area of accountability and to report infractions to the Campus Police.

It is the responsibility of the Chief of Police to ensure that the Public Safety Office investigates matters of noncompliance, takes appropriate action and reports resultant findings to the appropriate vice president. It is the responsibility of the Chief of Police to provide and maintain a safe and secure weapons locker and related record keeping for the purposes of legitimate weapons storage.

It is the responsibility of the Chief of Police and/or designated officials to properly inspect and certify stage prop, facsimile, disabled and/or academic demonstration weapons as unable to discharge a projectile or otherwise disarm and unload such weapons upon petition by employees, students, and invited lecturers and guests of the university.

8. SANCTIONS

A student who violates this policy will be subject to disciplinary sanctions under the student judicial code, up to and including expulsion. An employee who violates this policy will be subject to disciplinary sanctions under misconduct policies of the university, up to and including dismissal. An affiliate who violates this policy will be subject to revocation of affiliate status. A visitor who violates this policy will be subject to removal from campus and being barred from campus.

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

9. EXCLUSIONS

This policy does not apply to law enforcement officials duly authorized to carry such weapons. Also excepted are military drills, honor guards and color guards utilizing facsimile or functionally disabled weapons and archery classes, team practice and competition utilizing target bows and arrows.

10. INTERPRETATION

The authority to interpret this policy rests with the president and is generally delegated to the Chief of Police.

Previous version: July, 2009
Approved by the President: July, 2009

Index Terms
Weapons
Firearms
Guns
Knives
Concealed weapons
Hunting
Handguns

1302 Equal Opportunity

1. PURPOSE

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.

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

Accommodation:
A waiver of a requirement, a provision of an aide or another method for providing assistance to an individual necessary to allow that person, regardless of disability or religion, to have equal access to the workplace, facilities and services provided by the university.

Discrimination:
The unequal treatment of persons who are similarly situated. Discrimination occurs when an individual, group or office treats one or more people less favorably than others because of their age, color, disability, gender identity, genetic information, national origin, parental status, political affiliation, race, religion, sex, sexual orientation or veteran status, or in retaliation for a complaint made against the employer about any such treatment or for participating in an investigation or opposing discriminatory practices. It includes decisions based on stereotypes or assumptions about the abilities, traits or performance of individuals of a certain protected class, and denying opportunities to a person because of inclusion in a protected class. Discrimination includes harassment on the basis of any protected class, including instances of sexual violence.  It also includes unreasonable failure to grant an accommodation for a disability.

Employment matters and personnel actions:
Includes hiring, termination, compensation, assignment, classification, transfer, promotion, layoff, recall, advertisement, recruitment, testing, use of facilities, training, fringe benefits, pay, retirement plans, leave, or 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 a personnel action or a recommendation for a personnel action or an action or a recommendation for an action affecting a student, or an evaluation.
  2. When the conduct has the purpose or effect of unreasonably interfering with the performance of an employee or a student.
  3. When 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.

Protected Class:
The term describes characteristics or factors which must not be targeted for discrimination or harassment. The characteristics considered "Protected Classes" at JMU are those listed in Section 5 of this policy.

Student matters:
Includes admission, retention, evaluation, grading, progression, registration, transfer, testing, use of facilities, access to official and extracurricular activities, discipline, or other terms and conditions of matriculation.

4. APPLICATION

This policy applies to all applicants, employees, students, affiliates and visitors to the university. It applies to all discriminatory practices as defined herein, and to all employment and student matters as defined herein. 

5. POLICY

James Madison University does not discriminate and will not tolerate discrimination 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. Conduct by a member of the university community that constitutes discrimination or harassment on the basis of any protected class is a violation of university policy and is sanctionable.

6. PROCEDURES

Any applicant, employee, student, affiliate or visitor who feels that he or she has been the victim of discrimination or harassment by an employee, affiliate or visitor to the university may file a complaint about such discrimination or harassment with the Office of Equal Opportunity. See Policy 1324.

Any member of the university community who feels that he or she has been the victim of discrimination or harassment by a student may file a complaint about such discrimination or harassment with the Office of Judicial Affairs.

Inquiries or requests for reasonable accommodations for disabilities may be directed to the activity coordinator, the Office of Disability Services, Human Resources or the Office of Equal Opportunity. See Policy 1331.

7. RESPONSIBILITIES

University administrators, management, faculty, staff and students are responsible for supporting and following this policy.

The Office of Equal Opportunity is responsible for monitoring the university’s efforts regarding nondiscrimination and diversity.

8. SANCTIONS

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

9. EXCLUSIONS

This policy does not apply to legitimate decisions based on bona fide occupational qualifications in hiring or on an employee’s, student’s or applicant's performance or ability to perform the essential functions of a job or to fulfill the essential components of an educational program.

10. INTERPRETATION

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

 

Approved by the President: January 2008
Previous version: July 2012

 

Index Terms:

Accommodation
Age
Color
Disability
Discrimination
Gender identity
Genetic information
Harassment
National origin
Parental status
Political affiliation
Race
Religion
Sex
Sexual harassment
Sexual orientation
Veteran status

1406 Reporting Suspected Child Abuse or Neglect

1. PURPOSE

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.

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

Code of Virginia §63.2-1509 provides that all employees of a public or private institution of higher education are required to report instances of child abuse or neglect.

3. DEFINITIONS

Abused or Neglected Child
Code of Virginia §63.2-100 defines an abused or neglected child as any child under 18 years of age whose parent or any person responsible for his or her care:

  • Causes or threatens to cause a non-accidental physical or mental injury, or allows such an injury;
  • Allows a child to be present during the manufacture of a controlled substance or during the unlawful sale of such substance where such activity would constitute a felony violation;
  • Neglects or refuses to provide adequate food, clothing, shelter, emotional nurturing or health care;
  • Abandons the child;
  • Neglects or refuses to provide adequate supervision in relation to a child's age and level of development;
  • Knowingly leaves a child alone in the same dwelling with a person, not related by blood or marriage, who has been convicted of an offense against a minor for which registration is required as a violent sexual offender; or
  • Commits or allows to be committed any illegal sexual act upon a child, including incest, rape, indecent exposure, prostitution or allows a child to be used in any sexually explicit visual material.

Mandated Reporter
Certain individuals required by law to report suspected instances of child abuse or neglect.

Social Services
The Virginia Department of Social Services.

University Employee
All employees of the university, whether classified or non-classified, full-time or part-time, salaried or hourly, this also includes all instructional and administrative and professional faculty members.

4. APPLICABILITY

This policy applies to all university employees unless otherwise noted.

5. POLICY

Any university employee, who in their official or professional capacity, has reason to suspect that a child is an abused or neglected child, is required to report the matter as soon as possible, but not longer than 24 hours after having reason to suspect a reportable offense of child abuse or neglect.

6. PROCEDURES

6.1 Communication of policy

The provisions of this policy will be communicated to employees using the following methods:

  • During Onboard at JMU sessions
  • During New Employee Orientation sessions

In addition, members of the HR Service Center will be available to discuss the provisions and procedures of the policy with employees.

6.2 Reporting incidences

Reports of suspected child abuse and/or neglect must be submitted by the employee to the Department of Social Services in the locality in which the child resides or where the abuse or neglect is believed to have occurred, or to the Department of Social Services (DSS) toll-free child abuse and neglect hotline (1-800-552-7096). If neither the locality in which the child resides nor where the abuse or neglect is believed to have occurred is known, then such report shall be made to the local department of the county or city where the abuse or neglect was discovered or to the Department's toll-free child abuse and neglect hotline.

Additionally, James Madison University employees may also report suspected child abuse or neglect to their supervisors or other university officials, including Public Safety (540-568-6912), Human Resources (540-568-6165), or a member of their department's administration. Such an internal report will relieve the employee of the responsibility of reporting the matter to Social Services if the employee received the information in the course of his or her professional services to the university. In that case, the internal report made by the employee to the supervisor, public safety officer, or department head shall be forwarded immediately by the university official receiving the internal report to HR. HR shall forward the report to Social Services. HR will disclose the name of the employee(s) reporting the incident of suspected child abuse/neglect to DSS officials.

Human Resources will then notify the reporting employee the date the report is forwarded to Social Services, and shall forward any communication resulting from the report, including any information about any actions taken regarding the report, to the employee who made the initial report.

6.3 Investigations

The employee who suspects child abuse or neglect shall disclose all information that is the basis for his or her suspicion to Social Services, and upon request, shall make available any information, records, or reports that document the basis for the report. All employees who maintain a record of a child who is the subject of such a report shall cooperate with the investigating agency and shall make related information, records and reports available to the investigating agency unless such disclosure violates the federal Family Educational Rights and Privacy Act (20 U.S.C. § 1232g).

7. RESPONSIBILITIES

All employees are responsible for reporting suspected child abuse and/or neglect under the terms of this policy and state law.

Human Resources is responsible for the management of this policy, including overseeing the reporting of suspected incidences to Social Services on behalf of the institution, and notifying the reporting employee of the process and the results for such reports.

8. SANCTIONS

According to Code of Virginia §63.2-1509(D), an employee who fails to file a report as soon as possible, but not longer than 24 hours after having reason to suspect a reportable offense of child abuse or neglect, shall be fined not more than $500 for the first failure and for any subsequent failures, not less than $1,000. In cases evidencing acts of certain crimes of sexual assault, a person who knowingly and intentionally fails to file a report shall be guilty of a Class 1 misdemeanor. An employee who makes or causes to be made a report of child abuse or neglect that he knows to be false shall be guilty of a Class 1 misdemeanor.

Regarding university discipline, sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment.

9. EXCLUSIONS

An attorney who is employed by a public institution of higher education is not required to report information obtained in the course of providing legal representation to a client under this policy.

A regular minister, priest, rabbi, imam, or duly accredited practitioner of any religious organization or denomination, usually referred to as a church, is not required to report information required by the doctrine of the religious organization or denomination that is to be kept in a confidential manner.

No employee is required to make a report if he or she has actual knowledge that the same matter has already been reported to the local department or the Department's toll-free child abuse and neglect hotline.

10. INTERPRETATION

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

Previous version: None
Approved by the President: December, 2012

INDEX TERMS
Abused Child
Code of Virginia
Neglected Child
Social Services

ADDITIONAL RESOURCES

Commonwealth of Virginia Department of Social Services, Child Protective Services (CPS)
Child Abuse & Neglect Hotline Information
A Guide For Mandated Reporters in Recognizing and Reporting Child Abuse and Neglect

4202 Abandoned and Unclaimed Personal Property

1. PURPOSE

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.

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 AND FEDERAL REGULATIONS

Section 23–4.2 of the Code of Virginia authorizes the university to provide by regulation for the care, restitution, sale, destruction or disposal of unclaimed personal property, whether lost or abandoned, in its possession.

Abandoned or unclaimed intangible personal property shall be administered as provided in Section 55–210.12 et seq. of the Code of Virginia.

Abandoned motor vehicles shall be disposed of as provided in the City of Harrisonburg’s ordinance subject to Section 46.2-1200 et seq. of the Code of Virginia.

3. DEFINITIONS

Personal Property:
All property except land, that which grows on the land and structures on the land.

Tangible Personal Property:
All personal property that has physical form and substance (i.e., may be felt or touched) except for intangible personal property.

Intangible Personal Property:
Personal property that includes, by way of illustration, moneys, orders, drafts, interest, dividend income, credit balances, overpayments, gift certificates, security deposits, refunds, credits, unpaid wages, unused airline tickets and unidentified remittances, stocks, and other intangible ownership interests in business associations; moneys deposited to redeem stocks bonds, coupons, and other securities that make distributions; or similar types of property as defined in Section 55-210.2 of the Code of Virginia.

Finder:
Anyone who receives, discovers or locates any lost, abandoned or unclaimed personal property on the JMU campus or at other locations owned, operated or leased by the university.

Receiver:
The offices at JMU designated as “Lost and Found areas” appropriate for the receipt by the university of any lost, abandoned or unclaimed personal property.

4. APPLICABILITY

This policy applies to all persons who find or wish to claim any lost personal property on the JMU campus or other locations owned, operated or leased by the university.

5. POLICY

Receivers are authorized by the university to receive and have charge of lost, abandoned or unclaimed tangible personal property. Fixed Assets and Surplus Property is authorized to receive and have charge of lost, abandoned or unclaimed intangible personal property.

Intangible personal property believed to be abandoned or unclaimed shall be turned over to JMU Fixed Assets and Surplus Property by the finder. The property shall be administered by Fixed Assets and Surplus Property as provided in Section 55-210.12 et seq. of the Code of Virginia.

Tangible personal property that is lost, abandoned or unclaimed shall be turned over immediately by the finder to a receiver charged with receipting and retaining these items (Reference Policy 3106, Lost & Found Property).

Receivers shall only allow a claim of property upon satisfactory identification by the owner, proof of ownership and payment of the university’s reasonable charges for storage or other services necessary to preserve the property.

6. PROCEDURES

6.1 Lost & Found sites are listed on Appendix A.

6.2 All JAC cards turned into a receiver will be sent directly to the Campus Card Center and any cash or coin turned in will be sent directly to Fixed Assets and Surplus Property. Other items of value such as keys, checkbooks, drivers' licenses, jewelry, wallets, passports, computer equipment and bicycles will be sent directly to Public Safety for retention.

6.3 Persons claiming items from a receiver must have a picture ID (unless the lost item is the picture ID) or other satisfactory proof of ownership, must sign for the items, and must pay the university’s reasonable charges for storage or other services necessary to preserve the property. Inquiries pertaining to lost items can be made at any Lost & Found site on campus. Lost & Found notifications are publicized in The Breeze, the university student newspaper, once each semester by the University Center (Reference Policy 3106, Lost & Found Property).

6.4 Following 60 days of retention by the receiver, unclaimed tangible personal property will be itemized on a listing, securely packaged or boxed, and delivered to the JMU Surplus Property Office. Items will be held in The Surplus Property Office for an additional 60 days. After a total of 120 days of retention by the university, the Surplus Property Office, which is empowered to exercise fiduciary responsibility, may dispose of any surplus property in accordance with state surplus property regulations. Prior to receipt of unclaimed tangible personal property, the Surplus Property Office may provide written prior approval for destruction of property by a Receiver.

6.5 If the Surplus Property Office determines that the probable cost of sale including storage will exceed the sale proceeds, the property is inherently dangerous or the property may not lawfully be sold or used, the Surplus Property Office may provide for any such property, as appropriate under the circumstances, to be destroyed or discarded at an appropriate location or retained for use by the university.

7. RESPONSIBILITIES

The finder of any lost, abandoned or unclaimed tangible personal property is responsible for delivering the property immediately to a receiver.

The receiver will turn over checkbooks and checks, driver's licenses, jewelry, wallets, passports, electronic and computer equipment, bicycles, and similar items to Public Safety. JAC cards will be turned over to the Campus Card Center. Money (cash and coin) will be immediately transferred by the receiver to Fixed Assets and Surplus Property (reference Policy 3106).

For all other lost, abandoned or unclaimed tangible personal property, the receiver shall exercise fiduciary responsibilities for proper receipt, storage, retention and restitution of items for a period of at least 60 days and to effect reasonable efforts to notify potential owners that the property has been found. A complete list of lost tangible personal property shall be furnished by the receiver to the Surplus Property Office when the property is turned over for disposition.

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.

9. EXCLUSIONS

None

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: July 2002

Index Terms

Lost Items
Found Items
Lost and Found
Personal property

Appendix A

Bookstore Mark Glenn glennsm@jmu.edu 568-3627
Carrier Library Kate Worley worleycc@jmu.edu 568-6818
CISAT Jim Seifried seifrija@jmu.edu 568-3107
Convo Karen Moyers moyerskl@jmu.edu 568-3930
East Campus Library Heather Roberts roberthd@jmu.edu 568-4283
Gibbons Hall Debbie Vigar vigardk@jmu.edu 568-6252
Godwin Hall Neil Lam lamnw@jmu.edu 568-6457
Harrison Hall Joe Fitzgerald fitzgejg@jmu.edu 568-6263
Lost and Found Adm William Brown lostandfound@jmu.edu 568-3583
Madison Union Ritter Clevenger clevennr@jmu.edu 568-5555
Memorial Hall Joyce Conley conleyjr@jmu.edu 568-6572
Moody Hall Linda Barbosa barboslj@jmu.edu 568-5143
OCL/Festival Alex Adjei adjeiaa@jmu.edu 568-6071
Police Sheila Foglesong foglessd@jmu.edu 568-6913
Residence Life Sam Butler butlersg@jmu.edu 568-3104
Surplus Mark Colopy colopyma@jmu.edu 568-6931
Taylor Down Under Ritter Clevenger clevennr@jmu.edu 568-5555
UREC Lorie Miller millerla@jmu.edu 568-8718
Wilson Hall Judy Marshall marshajh@jmu.edu 568-3776
Zane Showker Colleen Jetton jettonce@jmu.edu 568-3254
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

1. PURPOSE

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

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

University property:
Any property, equipment, etc. purchased with university funds or owned by the university.

4. APPLICABILITY

This policy applies to all university employees.

5. POLICY

James Madison University prohibits using, borrowing, or removing university property for personal or private purposes.

6. PROCEDURES

This policy is not intended to prevent the use of university property, equipment, furnishings, materials, or supplies for approved academic, professional or university business activities. If it is necessary to remove such property from the campus, it may be done only with the written permission and approval of a director, department head, academic dean, associate/assistant vice president or division head.

In addition, JMU Policy 1603 requires university employees and students to report unauthorized use of university property to Audit and Management Services.  

7. RESPONSIBILITIES

The Assistant Vice President for Finance is responsible for all fixed assets of the university.

The appropriate vice president, dean or department head, associate/assistant vice president is responsible for providing written permission for removal of university property for approved academic, professional or university business activities.

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

Authority to interpret this policy rests with the president, and is generally delegated to the assistant vice president for finance.

Previous Version: March 2011
Approved by the President: May 2002

Index Terms
University property
Property
Use of university property

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

1. PURPOSE

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.

2. AUTHORITY

The Board of Visitors has been authorized by the Commonwealth to govern the university, including the authority to establish rules for its safe operations. See Code of Virginia section 23-9.2:3. This power is delegated to the President in areas in which the Board has not established policy.

3. DEFINITIONS

Smoking: The carrying or holding of any lighted pipe, cigar, or cigarette of any kind, or any other lighted smoking equipment, or device; or the lighting, inhaling, or exhaling of smoke from a pipe, cigar, cigarette, or any other smoking equipment or device of any kind.

4. APPLICABILITY

This policy applies to all employees, students, contractors, visitors, and all other individuals while they are on university owned or operated property, or in university vehicles.

5. POLICY

Smoking is not permitted within buildings, facilities, structures, or vehicles owned, leased or rented by the university, including parking garages, covered walkways, temporary enclosed structures, trailers, and tents as well as structures placed on state-owned property by contractors or vendors. This includes individual offices. Smoking is permitted outdoors on university grounds, plazas, sidewalks, malls and similar open pedestrian-ways, unless such areas are designated as non-smoking areas, provided smokers are 25 feet or more in distance away from an entrance, exit, outdoor air intake, or operable window of any facility, including parking garages. Smokers are required to use ash urns to dispose of their smoking material waste and are prohibited from littering state-owned property with smoking material waste.

6. PROCEDURES

6.1 Petition to Designate Outdoor Smoking Areas
Persons wishing to have a specific outdoor area designated as an outdoor smoking area may petition the building coordinator of the nearest building or other employee in charge of the outdoor space for the area to be designated as a smoking area. The building coordinator or employee in charge of the area will forward the petition through the appropriate individuals to the AVP or dean responsible for management of the outdoor area. The AVP or dean may either grant or deny the petition. If the petition is granted, the AVP or dean's office will contact the Director of Facilities Management to arrange for the installation of appropriate signage designating the area as a designated outdoor smoking area, and arranging for ash urns to be installed at outside locations 25 feet or more from entries, exits, outdoor air intakes, and operable windows to aid smokers in disposing of smoking materials.If the AVP or dean denies the petition, the denial may be appealed to the appropriate senior vice president, whose decision will be final.

6.2 Conflicts
Common courtesy and consideration toward others should be exercised. The university may choose to designate an outdoor area as a non-smoking area, or to remove the designation of an outdoor area as a smoking area, upon the request of any member of the university community. Such requests should be made to the appropriate AVP or dean. Members of the university community who disagree with the AVP or dean's decision to remove the designation of a smoking area or to deny a request to remove the designation of a smoking area may appeal that decision to the appropriate senior vice president, whose decision will be final.

6.3 Accommodations
The university, on the recommendation of the Department of Human Resources, the Office of Equal Opportunity, or the Office of Disability Services, may agree to provide a reasonable accommodation for the documented disability of a student, employee, or visitor by deciding that any outdoor area on campus should be a non-smoking area. This decision may be for a limited amount of time or as a permanent designation. The decision will be made by the AVP or dean, and it may be appealed to the appropriate senior vice president, whose decision in this regard is final.

7. RESPONSIBILITIES

It is the responsibility of each supervisor, manager, department head, director, dean and AVP to enforce the provisions of this policy in their area of accountability.

It is the responsibility of all AVP's and deans to decide on petitions to designate smoking areas, requests to remove the designation of an area as a smoking area and requests for accommodations of documented disabilities regarding smoking areas.

It is the responsibility of the senior vice presidents to resolve all appeals from the decision of an AVP or dean concerning the designation of an area as a smoking area or non-smoking area.

It is the responsibility of all students, faculty, staff and visitors to observe the smoking policy.

8. SANCTIONS

Regarding employees, sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment.

Regarding students, sanctions will be commensurate with the severity and/or frequency of the offense and may include suspension or expulsion of the student.

Violations of this policy may result in a charge of misconduct under the terms of the Faculty Handbook, Staff Handbook, or Student Standards of Conduct. Additionally, violations shall be considered in an employee's performance evaluation.

9. EXCLUSIONS

This policy does not apply to the use of smoking materials in laboratory research or dramatic productions. Special permission for such research or productions must be obtained from the appropriate AVP/dean prior to the commencement of the research or production.

10. INTERPRETATION

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

Previous update: July, 2010
Approved by the president: October, 2005

Index of Terms

Smoking
No Smoking Areas
Designated Outdoor Smoking Areas
4501 University Business Activity

1. PURPOSE

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

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

Legally mandated conformity to federal income tax legislation requires the Assistant Vice President for Finance to enforce this policy.

3. DEFINITIONS

University Business Activity:
A commercial enterprise - profit or nonprofit -- involving the sale of goods or services.

Unrelated Business Activity:
A trade or business regularly carried on by an exempt organization that is not substantially related to its exempt mission.

Business Activity Synopsis:
A written description of the university business activity that includes the following:

  • Information that clearly describes how the business activity meets the three criteria outlined below in “5. Policy.”
  • The type or types of goods and services that will be provided and whether the activity will include the sale of merchandise that substantially all of which was received as gifts or contributions.
  • Information describing how the activity will be conducted, including whether the activity will be supported by uncompensated volunteer workers or involve students as part of a training or learning experience.
  • A statement covering planned pricing policies, describing the clientele that will be served and the methods of customer solicitation to be used.
  • A break-even cost analysis of the business activity.
  • A list of primary alternative internal and external sources capable of providing comparable goods and services
  • A statement indicating whether the activity will be conducted primarily for the convenience of JMU students and/or faculty and/or staff members, and will provide technically advanced equipment, facilities or services that are unique or not readily available in the geographical area routinely served by the university.
  • Any other factors pertinent to the activity, including whether the activity will be repeated on a regular basis or on a sporadic/infrequent basis.

4. APPLICABILITY

This policy applies to all JMU departments engaged in business activities that result in generating revenue for the university.

5. POLICY

James Madison University is exempt from federal income and state sales and income taxes for all activities conducted in relation to the university's mission. However, activities that cannot be associated with the university’s mission are subject to federal income tax.

In the process of disseminating knowledge, it is often desirable for the university to charge fees for providing goods and services that will enhance, promote or support its instructional, research and public service, as well as all other educational and support functions that will meet the needs of JMU students and faculty and staff members, and members of the general public who participate in university events. Therefore, it is the policy of the university to engage primarily in those business activities that meet all of the following criteria:

  • The activity is important in the fulfillment of the university's instructional, research, public service and campus support functions, and other educational and support activities, without regard to profit (e.g. the JMU Bookstore, student housing and vending services)
  • The activity is needed to provide an important good or service at a reasonable price, on reasonable terms, and at a convenient location and time.
  • The activity is conducted for the primary benefit of the campus community but with sensitivity to the total surrounding community.

6. PROCEDURES

University departments and activities shall prepare and submit a Business Activity Synopsis to the assistant vice president for finance for each university business activity upon each of the following occurrences:

  • Upon receipt of this policy if a Business Activity Synopsis is not already on file in the office of the assistant vice president for finance
  • When proposing a new business activity
  • When there has been a significant change to a previously approved activity

University departments and activities shall provide the following information for each business activity that the assistant vice president for finance has determined is an unrelated business activity: 

  • An updated break-even cost analysis to include expenses for direct tax liability and the costs to accumulate information for the income tax return.
  • Revenue and direct and indirect expense information for each fiscal year and each unrelated business activity.

7. RESPONSIBILITIES

The Assistant Vice President for Finance shall review and evaluate the Business Activity Synopsis for all university business activities in accordance with this policy, recommend to the senior vice president for administration and finance whether the enterprise should be authorized or continued as a university business activity and determine if the business activity is an unrelated business activity and is required to be included in the Exempt Organization Business Income Tax Return 990-T. The Assistant Vice President for Finance shall also prepare the Exempt Organization Business Income Tax Return 990-T.

The Senior Vice President for Administration and Finance shall review recommendations from the Assistant Vice President for Finance. The decision whether or not to authorize new activities or continue existing activities shall be communicated to the originating department or activity.

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.

The business activity will be terminated by the Senior Vice President for Administration and Finance if the department does not comply with the requirements of this policy.

9. EXCLUSIONS

None.

10. INTERPRETATION

Authority to interpret this policy rests with the president and is generally delegated to the assistant vice president for finance.

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

Index Terms
Business activity

4100 Signature Authority on Contracts

1. PURPOSE

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

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

Contract/Contractual Agreement:
A legal obligation, typically in written form, between the university or any unit within the university and any other entity. These include purchase agreements, employment contracts, memoranda of understanding/agreement, collaboration agreements, real estate contracts, contracts to acquire goods or services, and affiliation agreements.

Sign/Signature:
Agreeing to a contract, either through signing a hard copy of the document or legal affirmation of a contract through electronic means.

Signature Authority:
Authority granted to specific individuals allowing specified individuals to legally bind the university.

4. APPLICABILITY

This policy applies to contractual agreements entered into by JMU or its departments or units and, therefore, applies to all employees.

5. POLICY

Unless specifically authorized by this policy, no employee may enter into contractual agreements.

Any and all contracts, including memorandums of understanding/agreement, collaboration agreements, and affiliation agreements, must be reviewed by the Special Assistant Attorney General/University Counsel before being signed.

Any and all contracts, including memorandums of understanding/agreement, collaboration agreements and affiliation agreements, must be signed by an authorized legal representative of the university who has been delegated that responsibility.

6. PROCEDURES

Signature authority is delegated by the president as follows. However, the president reserves the right to review each on a case by case basis.

General Contracts

Senior Vice President for Administration & Finance or Assistant Vice President for Finance.

Contracts for purchase of goods and/or services

Senior Vice President for Administration & Finance, Associate Vice President for Business Services, Director of Procurement or the Director's written designee.

Employment Contracts

While normally signed by the President, authority may be delegated to the Senior Vice President for Administration & Finance, Provost & Senior Vice President for Academic Affairs, Senior Vice President for Student Affairs & University Planning, or Senior Vice President for University Advancement.

Employment Contracts, Intercollegiate Athletics

Senior Vice President for Administration & Finance or Director of Intercollegiate Athletics

University Level Collaboration Agreements

Senior Vice President for Administration & Finance or Assistant Vice President for Finance.

Leases, service and/or operating agreements with government and private entities, capital outlay contracts, and deeds and real estate easements

Senior Vice President for Administration & Finance, Associate Vice President for Business Services, Director of Procurement or the Director's written designee.

Debt issuance and investments

Senior Vice President for Administration & Finance or Assistant Vice President for Finance

Real estate lease agreements

Senior Vice President for Administration & Finance or Associate Vice President for Business Services.

Contracts related to the payment of tuition and fees

Senior Vice President for Administration & Finance or Assistant Vice President for Finance.

Software licenses

Senior Vice President for Administration & Finance, Associate Vice President for Business Services or Director of Procurement.

Financial Aid contracts and scholarship agreements

Director of Financial Aid

Admissions contracts with students

Director of Admissions

Articulation agreements and other affiliation agreements with institutions of higher education as well as sponsored projects, grants and contracts.

Senior Vice President for Academic Affairs & University Provost, Assistant Vice President for Academic Resources, Director of Sponsored Programs, Vice Provost for Research and Public Service

Contracts for private donations

Senior Vice President for University Advancement

7. RESPONSIBILITIES

It is the responsibility of the department generating the contract to forward every contract to the Special Assistant Attorney General/University Counsel for review of legal sufficiency before it may be signed and to ensure that the contract is signed by the proper university official with delegated signature authority. Departments generating contracts are also responsible for allowing sufficient time for review and negotiation of contractual terms.

It is the responsibility of the Special Assistant Attorney General/University Counsel to review all university contracts for legal content and sufficiency in accordance with Virginia law. The Special Assistant Attorney General/University Counsel is the final authority on interpretation of the law.

It is the responsibility of the Procurement Department to serve as the primary repository for contracts, agreements, riders, and related legal documents as a result of a competitive solicitation or sole source process when goods and services are obtained in accordance with established university procurement policies and procedures.

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 those contracts entered into by student clubs and organizations. For information about those contracts, see Policy 4101.

10.INTERPRETATION

The authority to interpret this policy rests with the president and is generally delegated to the Assistant Vice President for Finance or the Special Assistant Attorney General/University Counsel.

Previous version: September, 2010
Approved by the President: March, 2009

Index Terms

Contractual Agreements
Contracts

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

1. PURPOSE

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.

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

None

4. APPLICABILITY

This policy applies to the management of all university computing assets.

5. POLICY

The university's information technology security program will be based upon best practices recommended in the "Code of Practice for Information Security Management" published by the International Organization for Standardization and the International Electrotechnical Commission (ISO/IEC 27002:2005),appropriately tailored to the specific circumstances of the university. The program will also incorporate security requirements of applicable regulations, such as the Family Educational Rights and Privacy Act, Gramm-Leach-Bliley Act, and the Health Insurance Portability and Accountability Act. Professional organizations, such as the national EDUCAUSE association and the Virginia Alliance for Secure Computing and Networking, will serve as resources for additional effective security practices.

6. PROCEDURES

6.1 The ISO/IEC 27002:2005 Code of Practice and other sources noted in the policy statement will be used to guide development and ongoing enhancement of additional information technology security policies as needed. All policies governing information technology security can be found at the web site http://www.jmu.edu/computing/policy

6.2 For more information related to this policy, refer to the following:

"Code of Practice for Information Security Management" (ISO/IEC 27002:2005). This international standard defines guidelines and general principles for the effective management of information security within an organization. It is a risk-based framework widely used to guide establishment of security standards and management practices.

EDUCAUSE is a nonprofit association dedicated to the advancement of higher education through the effective use of information technology. Members include representatives from institutions of higher education, higher education technology companies and other related organizations.

International Organization for Standards (ISO). The world's largest developer of standards, the organization is made up of representatives from governmental and private sector standard bodies, e.g. the American National Standards Institute.

International Electrotechnical Commission (IEC). The IEC is a global organization that develops and publishes standards addressing electrical, electronic and related technologies. Membership comes from government, the private sector, consumer groups, professional associations and others.

Virginia Alliance for Secure Computing and Networking (VA SCAN). VA SCAN was formed to help strengthen information technology security programs within Virginia. The alliance was organized and is operated by security practitioners and researchers from several Virginia higher education institutions, including JMU.

7. RESPONSIBILITIES

Information Technology is responsible for the security of computing assets.

8. SANCTIONS

None

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.

Previous version: May, 2011

Approved by the President: September, 2008

Index Terms

IT Security

1212 Information Technology Infrastructure, Architecture and Ongoing Operations

1. PURPOSE

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.

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 applies to all campus systems and operations related to the conceptualization, design, acquisition and maintenance of information technology.

5. POLICY

The university will maintain a list of specific standards and guidelines that should influence decisions affecting key components of its IT infrastructure, architecture and operations. These standards and guidelines will align with industry best practices as described by EDUCAUSE, Internet2 and others within higher education, as well as those from selected technology industries. It is not the intent of this guidance to in any way inhibit research or other institutional endeavors that by their nature may require the use of cutting-edge technology not yet appropriate for normal use. The guidance is descriptive rather than prescriptive to achieve flexibility where needed. The ultimate goal is to create logical relationships between information technology resources and the mission of the university and its units.

This policy applies to all university information technology, whether owned and operated by the university or used for university business through contractual arrangements.

6. PROCEDURES

6.1 An overview of the framework for infrastructure, architecture and ongoing operations, along with the standards and guidelines shall be posted at the website http://www.jmu.edu/computing/[policy/.

6.2 For more information regarding the management of technology infrastructure, please refer to the following sources:

The Campus Cyberinfrastructure Working Group of Net@EDU helps educational institutions develop institutional strategies and plan their resource deployment in this emerging and evolving technological landscape and helps their users harness and optimize the power and capabilities of new integrated IT tools and systems for educational and research applications in higher education.

EDUCAUSE is a nonprofit association whose mission is to advance higher education by promoting the intelligent use of information technology.

Internet2 develops and deploys advanced network applications and technologies for research and higher education, accelerating the creation of tomorrow's Internet.

The National LambdaRail develops and deploys a fiber optic network infrastructure for the purpose of advancing research, clinical and educational goals.

The Postsecondary Electronic Standards Council is a non-profit association of colleges and universities; professional and commercial organizations; data, software and service providers; and state and federal government agencies.

7. RESPONSIBILITIES

Information technology is responsible for the oversight and effective management of this policy.

8. SANCTIONS

None

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: August, 2009
Approved by the President: September, 2008.

Index Terms

Infrastructure
Technology architecture
IT 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.

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

1. PURPOSE

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.

2. AUTHORITY

The Board of Visitors has the authority to determine policy concerning the employment of individuals at the university. Where the board has not enacted rules, the authority is delegated to the President. In addition, this policy is written in conjunction with JMU Policy 1313 Recruiting, Selecting & Hiring Classified and Wage (non-student/part-time) Positions and under the authority of the Virginia Department of Human Resource Management Policy 2.10 on hiring.

3. DEFINITIONS

Hiring Manager
Any person or group of persons (such as a search committee) involved in the hiring of any JMU employee.

Reference Check
The process by which individuals are contacted who are knowledgeable about an applicant's work history in order to verify the facts on his/her resume and/or application and any job-related information, including that provided during the interviewing process.

4. APPLICABILITY

This policy applies to all persons at JMU as they provide reference information, including information on former and current faculty and staff. It also applies to all those employees, including hiring managers and members of search committees, who are gathering reference information on potential job candidates, including those candidates who are currently JMU faculty or staff.

5. POLICY

The process of gathering complete, job-related reference information is a required part of the recruiting and hiring process at JMU because it supports the university's commitment to maintaining an effective workforce. In addition, the university will recruit and hire employees in accordance with federal and state law and university policies. To comply with these policies, to ensure that employment practices are effective, and to provide equal employment opportunity, the following procedures must be observed when involved in obtaining or providing reference information.

6. PROCEDURES

6.1 Obtaining Reference Information

At least three job-related references must be completed before any employment offer is made. All rehired employees with a break in service of more than one year are required to have one reference completed prior to being rehired. This reference may be provided by a former JMU supervisor who is familiar with the employee's work performance. Re-hired employees with a break in service of less than one year will also be required to have one reference completed if no references are on file.

References may be obtained in any one of a variety of formats including face-to-face, telephone, e-mail, etc. Personal references may be contacted if the applicant has limited work experience. However, it is important to note that personal references are often not helpful in determining a candidate's ability to perform job-related tasks or functions.

Reference checks should attempt to obtain information including, but not limited to:

  • Employment dates
  • Position title
  • Position duties
  • Beginning and ending salaries
  • Training completed
  • Job performance, including performance strengths and weaknesses
  • Attendance including reporting to work at the scheduled time
  • Whether the employer would rehire the applicant
  • Verification of any required license, degree or certification
  • Reason(s) for the candidates' leaving his/her current employment

The staff application and faculty profile found in JMU JobLink contain a release statement by which applicants consent to verification of the information provided in the application.

The application also contains a release statement by which applicants grant the university permission to contact their current and former employers. If permission is not given, the current employer may not be contacted. However, when the hiring manager is conducting final references, he/she may inform the candidate that the inability to contact the current supervisor could affect the selection decision or result in a contingent offer of employment.

Please note that the above provisions do not limit the hiring manager to only contacting the references listed on the application itself.

When conducting reference checks, questions should be phrased in a manner that will solicit objective and job-related information only. Any information supplied that is not directly job-related shall be disregarded and not considered in making a selection decision. The objective of the reference check is to gather information that is open, truthful (or documented) and job-related. A sample reference check form can be found on the Human Resources website.

6.2 Providing Reference Information

Although there may be risks involved in disclosing full employment reference information, there are also risks in withholding truthful and/or documented job-related information including, but not limited to, performance, attendance and re-hire eligibility. Moreover, the information obtained by prospective employers of former university employees is as crucial to their effective hiring as it is for the university. The university believes that providing reference information represents good faith in being part of a community. For these reasons, managers at JMU may answer all job-related questions when contacted by other businesses and agencies.

When a JMU employee is contacted for reference information but does not believe he or she has sufficient information regarding the former employee in question, he or she may refer the caller to Human Resources.

During the conversation with the potential employer, only job-related questions may be answered. For instance, one cannot tell a prospective employer what a former employee's 'attitude' was, but observable job-related information may be provided. Examples of job-related information that may be shared include, but are not limited to information, positive or negative, regarding attendance, awards/recognitions, achievements, errors, team/interpersonal behaviors, etc.

6.3 Access to References

Information obtained during the reference check process is confidential. According to the Virginia Freedom of Information Act (Code of Virginia, 2.2 - 3800), agencies are not required to share this information with the applicant. All materials will be maintained for the appropriate amount of time. Refer to JMU Policy 1109 Records Management.

7. RESPONSIBILITIES

Hiring managers at JMU are required to use all of the information sources available to make effective selection/hiring decisions. These sources include, but are not limited to:

  • Maintaining clear, specific position descriptions in PositionLink for each position
  • Well-targeted and effective recruiting advertising
  • Designing specific, job-related candidate screening criteria
  • Conducting legal, fair, effective job interviews
  • Conducting open, complete and job-related reference research

Additionally, positive relationships with other agencies and organizations are crucial to the selection process. Mutual cooperation among employers is critical so that the university may also obtain the information needed to make effective selection decisions.

8. SANCTIONS

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

In addition, certain legal penalties will apply for violation of law, such as the Virginia Freedom of Information Act.

9. EXCLUSIONS

None

10. INTERPRETATION

While the authority to interpret this policy is granted to the President, it is generally delegated to the Director of Human Resources.

Previous Version: March 2009
Approved by the President: February 2004

Index of Terms

Reference checks
Providing references

1108 Internal Controls

1. PURPOSE

This policy provides guidelines for implementation of internal control programs.

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 State Comptroller mandates the implementation and annual assessment of agency internal control systems in order to provide reasonable assurance of the integrity of fiscal processes related to the submission of transactions to the Commonwealth's general ledger, submission of financial statement directive materials, compliance with laws and regulations, and stewardship over the Commonwealth's assets. The comptroller further requires that the documentation and assessment of internal controls be conducted in accordance with the state's Agency Risk Management and Internal Control Standards (ARMICS).

3. DEFINITION

Internal controls:
Procedures included in a process for management and other personnel designed with the specific purpose of providing reasonable, but not absolute, assurance that objectives are being achieved in the following areas:

  • effectiveness and efficiency of operations;
  • reliable financial reporting;
  • compliance with applicable laws and regulations, in addition to federal, state, university, and departmental policies, plans and procedures;
  • safeguarding of assets; and
  • accomplishment of goals and objectives in an efficient manner.

Types of internal control activities include:

  • proper authorization and approval;
  • documented review of information for accuracy, completeness and validity;
  • proper supervision;
  • physical security of assets;
  • written policies and procedures;
  • process documentation;
  • proper segregation of duties;
  • proper assignment and authorization to information systems, electronic applications and data; and
  • procedures to secure data.

4. APPLICABILITY

This policy applies to critical processes at the university and to all employees of the university.

5. POLICY

The university will maintain adequate internal controls.

6. PROCEDURES

6.1 Department heads implement and maintain adequate documentation regarding internal controls for their areas.

6.2 The Finance Office establishes internal control and conducts internal control reviews in accordance with ARMICS to determine whether adequate internal control measures exist to address potential risks in a cost-effective manner.

6.3 The Assistant Vice President for Finance can advise department heads on how to incorporate internal controls into new and revised processes and systems.

7. RESPONSIBILITIES

Vice presidents are responsible for ensuring that adequate internal controls are maintained in their respective divisions.

Academic unit heads and administrative department heads are primarily for maintaining adequate internal controls in their areas.

The Assistant Vice President for Finance establishes internal control policy, develops and publishes procedures, evaluates internal controls annually to determine operating effectiveness and issues a statement concerning internal controls to accompany the university's submission of its financial statements to the Department of Accounts. The Assistant Vice President for Finance also documents the agency's assessment of internal controls in compliance with ARMICS and the related comptroller's directive.

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 Assistant Vice President for Finance

Previous version: February 2011
Approved by the President: November, 2002

Index Terms

ARMICS
Controls

1505 Use of University Owned Telephones & Services by University Employees

1. PURPOSE

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.

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 applies to all employees of James Madison University using university telephones and making data transmissions.

5. POLICY

The university telephone system, credit card charges to it, and university-funded cell phones are provided to support and enhance the business operations of the university.

6. PROCEDURES

6.1. Land Line Phones: Personal local calls during business hours are to be kept to a minimum. Personal long-distance calls are discouraged but can be made under extenuating circumstances, in which case the caller is required to reimburse the university for the cost of the call. Employees making personal, non-emergency phone calls are to use a, personal credit card or bill the call to their home telephone.

6.2. Cell Phones: The university will only provide cell phones for shared departmental use. Personal calls from or to a university cell phone are highly discouraged and should only occur for emergency situations. The employee responsible for such personal calls must reimburse the university as mandated by IRS regulations.

When the university mission requires an individual employee to be the exclusive user of a cell phone, that employee will be required to obtain the phone and service personally. The employee may be given a stipend to assist with the expense. Specific cell phone procedures are located on the Telecommunications web site.

6.3. When an employee is required by the university to have internet access from home for work related duties, the employee will be responsible for obtaining the data service personally. The employee will be given a stipend to assist with the expense.

6.4. All university provided cell phones and telecommunications stipends must be approved by the appropriate vice president prior to phone purchase and service contract implementation.

7. RESPONSIBILITIES

Departmental managers are responsible for the monthly review of long distance charges, including credit card charges and cell phone usage to assure 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

None.

10. INTERPRETATION

Authority to interpret this policy rests with the President, and is generally delegated to the Associate Vice President forInformation Technology..

Previous Version: January, 2009
Approved by the President: December, 2008

Index Terms

Personal phone usage
University telephones
Telephone use
University cell phones

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/finaid/

Financial
Accounts
Student Financial
Services
Director of Financial Services

http://www.jmu.edu/finaid/

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://www.lva.lib.va.us/whatwedo/records/sched_state/index.html.

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.lib.va.us/whatwedo/records/sched_state/index.html.

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:

  • When submitting to or rejecting the conduct is made the basis for a personnel action or a recommendation for a personnel action (such as hiring, promoting or salary adjustment); an action or a recommendation for an action affecting a student (such as admission or retention); or an evaluation (such as promotion, tenure, compensation or work condition adjustment of an employee or grading of a student).
  • When 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 or a visitor.

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

1. PURPOSE

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.

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

PMI:
Project Management Institute

Project:
A temporary endeavor undertaken to create a unique product, service or result [Project Management Body of Knowledge (PMBOK), 2000 edition]

Project Management:
The application of knowledge, skills, tools and techniques to mitigate risk, control budget and manage scope of tasks.

4. APPLICABILITY

This policy applies to projects undertaken by Information Technology.

5. POLICY

Information technology projects will be managed in accordance with best practices promoted by the nationally recognized Project Management Institute (PMI), appropriately tailored to the specific circumstances of the university. Projects that engage leading IT consulting or software development firms to assist with project management may apply additional best practices provided by these firms.

Methods used for project auditing, such as Independent Verification and Validation (IV&V), will be aligned with industry best practices, consultant expert guidelines and known industry accepted standards, such as Institute of Electrical and Electronics Engineers (IEEE) Standard 1012-2004 for Software Verification and Validation, International Standards Organization (ISO) 9000-2000 series and Software Engineering Institute Capability Maturity Model (SEI-CMM). These methods will be tailored to the higher education environment by internal departments and in coordination with consultants as warranted.

Project managers will possess professional credentials and/or an appropriate level of project management training or experience.

This policy is established to support the university community in the management of information technology projects by application of standardized project management principles, tools and methods. A uniform project management framework promotes consistency and better control of IT projects, thereby reducing risks and increasing project successes.

6. PROCEDURES

6.1 An overview of the university's IT Project Management Framework, along with procedures, templates and tools, is posted on the web site http://www.jmu.edu/computing/policy/.

6.2 For more information related to the management of IT projects, refer to the following:

Institute of Electrical and Electronics Engineers (IEEE) Standard 1012-2004 for Software Verification and Validation - Software Verification and Validation (V&V) processes determine whether the development products of a given activity conform to the requirements of that activity and whether the software satisfies its intended use and user needs. Software V&V processes includes analysis, evaluation, review, inspection, assessment and testing of software products.

International Organization for Standardization (ISO) - Quality Management Principals (ISO 9000:2000) - ISO 9001:2000 specifies requirements for a quality management system for any organization that needs to demonstrate its ability to consistently provide product that meets customer and applicable regulatory requirements and aims to enhance customer satisfaction.

Project Management Institute - The world's leading not-for-profit professional association in the area of project management.

Project Management Institute. October 2004. A Guide to the Project Management Body of Knowledge (PMBOK Guide) - Third Edition.

Software Engineering Institute - Capability Maturity Model Integration (SEI-CMMI) - The CMM outlines the methods to obtain software process maturity. Several levels of maturity can be reached as an organization's software project management evolves from that of chaotic non-repeatable performances to repeatable mature disciplined software processes. The model focuses on key attributes of each improved maturity level and provides guidance on the best practices used to achieve each level. The goal is to reach an efficient and disciplined approach to software management.

7. RESPONSIBILITY

Information technology is responsible for the effective application of this policy as it applies to their projects.

8. SANCTIONS

None

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.

Previous version: August, 2009
Approved by the President: September, 2008

Index Terms

Project Management
IT Projects

4401 University Supported Travel

1. PURPOSE

This policy outlines requirements for all official travel for 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

None.

4. APPLICABILITY

The policy applies to university-supported travel by faculty and staff members, administrators, students, and visitors regardless of the source of the funds.

5. POLICY

Travelers should exercise prudent judgment when arranging travel and making payments. Travel expense accounts are open to the public and must sustain the test of public review.
The university will reimburse individuals traveling on official university business for reasonable and necessary travel expenses. Actual amounts spent are not justification for reimbursement. Expenses must meet the test for reasonableness and comply with state and university policies and procedures. Persons using a car during any part of the trip with identical travel plans will carpool. Exceptions to this requirement must be approved by the appropriate AVP or dean.

6. PROCEDURES

6.1 Travel Procedures:
The JMU Financial Procedures Manual (Section Name: Travel, Section Number: 4215) provides detailed travel procedures including the following:

  • Responsibilities
  • Travel planning and regulations
  • Meal and lodging guidelines
  • Form preparation instructions

Current meal and lodging guidelines and mileage rates are available online. Travelers should address questions concerning travel to the JMU Office of Accounts Payable.

6.2 Travel - Personal Expense:
Individuals traveling for the university at personal expense must request approval of the department administrator before the travel. The university does not provide vehicles for "personal expense" travel. The JMU Office of Finance does not require a Travel Authorization form for travel at personal expense.

6.3 Contracted Travel Agencies:
The university engages the services of one or more travel management agencies to aid in the efficient and cost effective procurement of travel services. University travelers may either arrange for airline tickets through these agencies or purchase tickets online using their JMU MasterCard small purchase charge card or their JMU MasterCard travel charge card. When travel agencies are utilized, the university requires the traveler to give the agency a credit card number to secure tickets. (i.e., direct billing by travel agencies for the purchase of airline tickets is not allowed.) These travel agencies are also available - in conjunction with air or rail travel - to arrange vehicle rentals upon request.

6.4 Lodging:
Individual travelers may make hotel reservations using the JMU MasterCard travel charge card. The traveler must request government rates unless a special conference rate or other rate is lower. Upon request, JMU contracted travel agencies will arrange lodging accommodations in conjunction with air or rail travel.

6.5 Prospective Employees, Employee Recruitment, and Campus Visitors:
James Madison University may reimburse the travel expenses of visitors and prospective employees. Travel expenses for the spouses and dependent children of candidates are limited to those expenses associated with recruiting deans, assistant vice presidents, directors and positions above that level. Travel for recruitment purposes may not exceed three days. Actual expenses of university employees as part of employee recruitment are allowable provided they do not exceed amounts approved by the department head or director, or state travel regulations. Visitors and prospective employees may arrange travel through a JMU-contracted travel agency.

7. RESPONSIBILITIES

7.1 Administration of Travel Program:
The Assistant Vice President for Finance controls university-supported travel in the following ways:

  • Recommending policy
  • Developing, publishing and enforcing appropriate procedures
  • Comparing requests for reimbursement to reasonable allowances and disallowing excessive charges
  • Reviewing reimbursement vouchers for legality, legibility and completeness
  • Returning to the originator those requests for reimbursement not in conformity with travel regulations and procedures

The traveler is responsible for the legality, legibility and completeness of Travel Expense Reimbursement Vouchers. Any falsification of payments is fraud, and the university must treat it as such.

7.2 Approving Authority:
The department approving authority must sign the Travel Authorization form and the travel expense reimbursement document. Individuals may not approve their own travel.

In advance of all travel, the appropriate vice president, assistant/associate vice president, dean, associate/assistant dean or the director of intercollegiate athletics must approve the following:

  • Attendance at conventions/conferences involving overnight stays for more than three employees (including both presenters and attendees) from JMU to a single destination.
  • Cost benefit analysis to justify attendance by five or more employees at off-site seminars, training programs or workshops.
  • Reimbursement requests that exceed the meal and lodging limits, in certain justifiable circumstances, limited to 50 percent in excess of applicable guidelines.

7.3 Reimbursement Limits:
The approving authority may limit the amount approved for reimbursement to an amount less than authorized by state travel regulations. The approving authority must advise the traveler and show the amount approved for reimbursement on the travel authorization form.

8. SANCTIONS

Employees who fail to adhere to this policy are subject to disciplinary action up to and including termination.

9. EXCLUSIONS

None.

10. INTERPRETATION

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

Previous Version:  June 2011
Approved by the President: October 2009

Index Terms

Travel
Travel reimbursement
University-sponsored travel

1308 Family and Medical Leave

1. PURPOSE

1. PURPOSE 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; or
  • 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.

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 authority to manage the university to the president.

STATE OR FEDERAL STATUTE AND/OR REGULATIONS

The Family and Medical Leave Act, 29 USC 2601, et seq., mandates that employers with more than 50 employees allow up to 12 or 26 weeks of leave for employees who qualify under certain circumstances.

3. DEFINITIONS

Active Duty
Duty under a call or order to active duty for members of uniformed services under a provision of law referred to in section 101(a)(13)(B) of title 10, United States Code.

Eligible Employee

  • A part-time or full-time employee who has been employed by the university for at least 12 months and worked at least 1,250 hours during the 12 months prior to the start of the leave. 
    • NOTE: The required 1,250 hours do not have to be worked during consecutive months. However, the 1,250 hours of work requirement applies to the 12 months immediately preceding the start of the leave date.

Employment Benefits
All benefits provided by the university to eligible employees, including but not limited to accrued annual and sick leave, educational benefits, group life insurance, health insurance, and retirement contributions, etc.

Family and Medical Leave
A leave without pay (or use of a classified employee's accrued leave) for up to 12 work weeks (26 work weeks if the provisions of section 6.6.1(a) apply) during a calendar year for the reasons specified in this policy in conformance with the federal Family and Medical Leave Act (FMLA).

HealthCare Benefits
The health insurance program covering eligible employees.

HealthCare Providers

  • Doctors of medicine or osteopathy who are authorized to practice medicine or surgery (as appropriate) by the state in which the doctors practice;
  • Any other person determined by the U.S. Secretary of Labor to be capable of providing health-care services; and 
  • Others capable of providing health-care services to include only chiropractors, clinical psychologists, clinical social workers, dentists, podiatrists, optometrists, nurse-midwives and nurse practitioners authorized to practice in the state and who are performing within the scope of their practice as defined under state law as well as any other health-care provider accepted by the group health plan. This also includes Christian Scientist practitioners listed with the First Church of Christ, Scientist in Boston, although an employee or family member may be required to submit to a medical examination for a second or third opinion (not treatment) from a non-Christian Science practitioner.

Key Employee
A salaried FMLA-eligible employee who is among the highest paid 10 percent of all the employees employed by the employer within 75 miles of the employee's agency or facility.

Leave Year
The Department of Human Resource Management (DHRM) has established January 10 – January 9 of the following year as the leave year.

Military Caregiver Leave
Military caregiver leave allows an eligible employee who is the spouse, son, daughter, parent, or “next of kin” of a covered veteran with a serious injury or illness to take up to a total of 26 workweeks of unpaid leave during a “single 12-month period” to provide care for the veteran.

Parent
Biological parent or individual who stood in place of the parent of the employee and was charged with the duties and responsibilities of the parent.

Son or Daughter
A biological, adopted or foster child, stepchild or legal ward, or a child of a person standing in place of the parent. The child must either be under age 18 or be age 18 or older and incapable of self-care because of a mental or a physical disability. (Age does not apply for a child who is a Military service member, National Guard, or active reservist.)

Spouse
Husband or wife as recognized under the laws of the Commonwealth of Virginia for the purpose of marriage.

Serious Health Condition/Illness
An illness, injury, impairment, or physical or mental condition.

The most common serious health conditions that qualify for FMLA leave are:

  • conditions requiring an overnight stay in a hospital or other medical care facility;
  • conditions that incapacitate an employee or family member (for example, unable to work or attend school) for more than three consecutive days and have ongoing medical treatment (either multiple appointments with a health care provider, or a single appointment and follow-up care such as prescription medication);
  • chronic conditions that cause occasional periods when the employee or family member is incapacitated and require treatment by a health care provider at least twice a year; and
  • pregnancy (including prenatal medical appointments, incapacity due to morning sickness, and medically required bed rest).

4. APPLICABILITY

This policy applies to all university employees.

5. POLICY

The university complies with the Family and Medical Leave Act by providing leave to qualified employees under the circumstances described in the law.

6. PROCEDURES

6.1 When requesting family and medical leave for a qualifying condition, the university requires employees to:

  • provide as much notice to the employer as is reasonable and practicable. A 30-day advance notice is reasonable when the need for leave is foreseeable.  
  • complete the Request for Family and Medical Leave form
  • provide a health-care provider's certification of the medical condition of the person affected, to include the date when the serious condition/qualifying event began, the probable duration and recommended leave type (intermittent/reduced schedule or continuous).

6.2 Second and Third Opinions 

  • The university may require, at its own expense, a second opinion from its designated or approved health-care providers. (This health-care provider cannot be one who is employed by the university on a regular basis.)
  • When the second opinion differs from the first, the university may, at its own expense, require a third opinion from a health-care provider designated or approved jointly by the employee and the university.
  • The opinion of the third health-care provider shall be considered final and binding upon the employer and the employee.

6.3 Recertification of Current Leave 

  • The university may require an employee to report periodically during the leave period on his or her leave status and intention to return to work, and to provide subsequent recertification on a reasonable basis.
  • The university typically reviews each on-going FMLA case quarterly; however, requests for recertification every four to six weeks are considered reasonable according to the Family and Medical Leave Act.
  • Long-term or chronic illnesses will require a new medical certification at the first absence of each new leave year.

6.3.1 JMU reserves the right to review each current FMLA case on an individual basis to determine if recertification is necessary when:

  • The employee requests an extension to the currently approved leave period.
  • The circumstances for which the previous certification was issued have changed significantly.
  • Credible information provided casts doubt on the employee’s stated reason for the absences.

6.4 Restoration to Position

At the end of family and medical leave, employees normally are to be reinstated as follows: 

  • Original position: The university normally must restore employees to the positions they held (or to an equivalent position) when the leave of absence began unless they are key employees (as defined) in a position that needed to be filled during their absences.
  • Equivalent position: If the previous position has been filled, employees are entitled to restoration to equivalent positions. The standard of equivalence requires comparability and correspondence to duties, terms, conditions and privileges of the employees' previous position.
  • Conditions upon restoration of position: The university can require employees to report periodically on their status and intent to return to work, and can require certification from health-care providers that employees are able to return to work.

6.4.1 If an employee is determined to be a key employee, he or she may be denied restoration when one of the following factors exists: 

  • The university shows that denying restoration "is necessary to prevent substantial and grievous economic injury" to the university's operations.
  • The university notifies the employee that restoration will be denied at the time the university determines that grievous economic injury would occur.
  • The employee already has begun the leave and elects not to return to employment within a reasonable time after receiving the university's notice.

6.5 Status of Benefits during Family and Medical Leave

The university will continue to contribute the employer portion of the health insurance premiums of salaried employees who are on leave under the Family and Medical Leave Act as itemized below:

  • When employees are using paid annual or sick leave as appropriate under the provisions of FMLA, the payroll deductions of the employee’s portion of the premiums continue.
  • When employees are on leave without pay under the provisions of FMLA, their premium contributions will be handled as if they were on leave without pay.

6.5.1 Employees who are on leave under FMLA will pay the same portion of their health insurance premiums as they would if they were not on leave. 

  • Premiums are due to agencies by the first day of each month of coverage.
  • If employees fail to make premium payments, the university will follow the same procedures to terminate coverage as they would if employees failed to pay premiums while on leave without pay.
  • If employees fail to return to work at the end of leave under FMLA, the university may recover from them the commonwealth's share of premiums paid during the period of leave. However, there will be no recovery of premiums if employees fail to return to work as a result of the following: 
    • The onset, recurrence or continuation of serious health conditions that entitle them to leave to care for themselves or for a family member; or
    • Other circumstances beyond the employee's control.

EXAMPLES: If an employee fails to return to work secondary to a disabling condition, the university will not seek reimbursement for the commonwealth's contributions for health insurance coverage during the period of leave.

If an employee fails to return to work at the end of FMLA leave because of his or her acceptance of other employment, the university has the authority to seek recovery of the university’s contributions for health insurance coverage during the period of leave.

6.5.2 Performance Increases

Classified employee eligibility for performance increases will be determined in accordance with performance pay policies and procedures that address leave with and without pay.

6.5.3 Life Insurance

The university will continue to pay life insurance premiums while employees are on family and medical leave.

6.5.4 Leave Accrual

Classified employees will not accrue leave hours during any period of leave without pay.

6.5.6 Retirement

  • Retirement contributions will be made for any pay period in which qualifying compensation has been received by the employee.
  • Retirement contributions will not be made for any pay period in which no qualifying compensation has been received by the employee (i.e., the employee was on leave without pay for the entire pay period).

6.5.7 Classified Employee Next Annual Leave Anniversary

When more than 14 consecutive calendar days of unpaid family and medical leave have been taken, an employee will be placed on inactive service status and their next annual leave anniversary date will be advanced according to the length of time taken on unpaid family and medical leave.

6.6  Time Frames for Use of FMLA

Eligible full-time employees may take up to 12 work weeks (26 work weeks if the provisions of section 6.6.1(a) apply) (60/130 workdays; 480/1040 hours) of family and medical leave in a calendar year. The time missed from work for FMLA leave cannot exceed 12 or 26  weeks in a calendar year.

6.6.1 FMLA for Eligible Full-Time Employees

Eligible full-time employees may take up to 12 workweeks (60 workdays; 480 work hours) of unpaid family and medical leave per calendar year for the following reasons:

  • The birth of a child (to be taken within 12 months of the child's birth).
  • The placement of a child with the employee for adoption or foster care (to be taken within 12 months of date of placement).
  • To care for a child who is under age 18, or age 18 or older who is incapable of self-care because of a mental or physical disability,
  • A spouse or a parent who has a serious health condition that involves inpatient care in hospital, hospice or residential medical care facility; or continuing treatment by a health-care provider.
  • Because of a serious personal health condition/illness that renders an employee unable to perform the functions of his or her position. The university may request certification that the employee is unable to work or is unable to perform any of the essential functions of the employee's position within the guidelines of the Americans with Disabilities Act.
  • An employee who commences leave as the result of a  workers’ compensation claim may have that time counted toward his or her 12 weeks of family and medical leave.
  • Any qualifying exigency arising out of the fact that the 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.

6.6.1(a) Eligible full-time employees may take up to 26 weeks of leave to care for a child, spouse, parent or nearest blood relative with an illness or injury incurred in the line of duty while active in the Armed Forces

6.6.2 FMLA for Eligible Part-Time Employees

Eligible part-time employees may take up to 12 weeks of family and medical leave in a calendar year for the reasons listed in 6.6.1. Eligible part-time employees may take up to 26 weeks of family and medical leave in a year for the reasons listed in 6.6.1(a). Actual hours taken will be counted on a prorated basis corresponding to the percentage of hours the employees normally are scheduled to work during the 365-day period prior to the date family and medical leave is to begin.

EXAMPLE: A part-time employee works 25 hours per week year round. During any 12-week period, the employee works a total of 300 hours. Therefore, if intermittent leave is taken, the employee may take up to 300 hours of family and medical leave in a calendar year.

6.7 Restricted Use of Family and Medical Leave

Family and Medical leave may not be used for short-term conditions for which treatment and recovery are brief, such as minor illnesses and outpatient surgical procedures with expected brief recuperating periods. It does not provide for the intermittent care of a child for such commonplace illnesses as colds and flu.

6.7.1 When both husband and wife work for the university, the full amount of leave may be limited to a combined total of 12 work weeks in a calendar year, if the leave is taken for the birth of the employee’s son or daughter or to care for the child after birth; for placement of a son or daughter with the employee for adoption or foster care, or to care for the child after placement, or to care for the employee’s parent with a serious health condition; or because of any qualifying exigency (as defined the Department of Labor) arising out of the fact that the child, spouse 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.

Where the husband and wife use a portion of the total 12-week FMLA leave entitlement for one of the above purposes, the husband and wife would each be entitled to the difference between the amounts he or she has taken individually and 12 weeks for FMLA leave for a purpose other than those listed in this section. The mother may incur a period of disability in the case of pregnancy and childbirth. This period would be considered FMLA leave for her own serious health condition and would not be subject to the combined limit.

When both husband and wife work for the university, the full amount of leave may be limited to a combined total of 26 weeks to care for a child, parent or nearest blood relative with an illness or injury incurred in the line of duty while active in the Armed Forces.

6.8 Paid Leave

Classified employees have the option of using paid leave, as appropriate under each particular leave policy, for absences covered under family and medical leave (except in cases of intermittent or reduced schedule, see 6.9). The university may designate such leave as family and medical leave if it meets the conditions described above.

6.8.1 Employees who are approved for FMLA leave may use up to 33% of their personal sick leave hours held at the beginning of the FMLA leave. Consistent with existing policy, agencies may require certification of need before granting family and medical leave.

6.8.1 (a) Non-VSDP NOTE: Other leave policies have not changed as a result of implementing this policy. For example, employees still are eligible to use only up to six days of sick leave for short-term family illnesses in a calendar year. This applies only to full-time classified employees and part-time classified employees.

If classified employees use their accrued paid leave balances for purposes described in this policy, then the university is required to provide only the number of unpaid work days that, when combined with the number of days of other leave taken, equal a total of 60/130 work days or 480/1040 work hours.

Non-VSDP EXAMPLE: A classified employee uses six days of sick leave and 15 days of annual leave to care for a parent who has a serious health condition. The university must allow him or her to take 39 days of unpaid leave.

6.8.2 Instructional, administrative & professional and eligible part-time faculty members not participating in VSDP are eligible to receive paid time off with peer coverage for the conditions listed above.

6.9 Intermittent Leave or Reduced Schedule

Employees may take intermittent leave or work a reduced schedule not to exceed 480/ 1040 hours for full-time employees as follows: 

  • When medically necessary because of an eligible employee's own serious health condition/illness or the serious health condition/illness of a child, spouse or parent, or other qualifying event an employee may take family or medical leave on an intermittent leave basis or a reduced schedule as indicated below: 
    • Intermittent Leave Schedule: A leave schedule permitting the employee to take leave periodically for a few hours a day (less than eight hours), or for a few days, on an as-needed basis.
    • NOTE: Employees may be required to provide medical certification that intermittent leave is necessary.
    • Reduced Schedule: A leave schedule permitting the employee to reduce the typical number of hours worked per work week or per workday.
  • Classified employees who must take intermittent leave or work a reduced schedule must first use their available paid leave balances as permitted by each specific leave policy or take unpaid family and medical leave once all accrued leave has been exhausted.
  • Classified employees do not accrue leave when they are on leave without pay status during family and medical leave.
  • When an employee takes leave to care for a newborn child, or because of the placement of a child with him or her for adoption or foster care, the employee may take leave intermittently or on a reduced schedule, if university management agrees on such an arrangement beforehand.
  • When the conditions noted in this policy are applicable, the university can temporarily transfer the employee to another position that better accommodates the intermittent leave or reduced schedule as long as the new position carries equivalent pay and benefits.
  • Eligible employees may take up to 26 weeks of FMLA for reasons listed in 6.6.1 (a).

7. RESPONSIBILITIES

Employees are responsible for submitting a written request for family and medical leave at least 30 days before the anticipated beginning of the family and medical leave, unless emergencies or unforeseen events preclude such advance notice to his or her supervisor.

Human Resources is responsible for:

  • Reviewing all requests for the eligibility to take up to 12 or 26 work weeks of family leave during a calendar year for the reasons stated in this policy.
  • Determining whether a physician’s certification must be required for leave that is requested for an employee's serious health condition.
  • Qualifying a family member's serious health condition or Military Caregiver leave before granting family and medical leave.
  • Notifying key employees before they begin family and medical leave that they may be denied restoration to their positions as outlined in this policy.
  • Informing supervisors and managers regarding necessary restrictions on work duties and necessary accommodations where appropriate.
  • Providing information, where appropriate to government officials investigating compliance with FMLA (or other pertinent laws).
  • Keeping and preserving records pertaining to obligations under FMLA. 
    • Records must be kept for at least three years.
    • Required records must include the following: 
      • Basic payroll and identifying employee data including: name, address and occupation; rate or basis of pay and terms of compensation; daily and weekly hours worked per pay period; additions to or deductions from wages; and total compensation paid.
      • Leave designated as FMLA leave, both paid and unpaid, and the dates employees took it. (If FMLA leave is taken in increments of less than a day, the hours must be noted.)
      • Copies of employees' notices of leave furnished to the university.
      • Any documents (including written and electronic records) describing employee benefits or university policies and practices regarding the taking of paid and unpaid leaves.
      • Records of premium payments.
      • Records of any dispute between the University and an employee regarding designation of leave as FMLA leave, including any written statement from the university or employee of the reasons for the designation and for the disagreement.
      • Records and documents relating to medical certifications, recertification or medical histories of employees or employees' family members are to be maintained in separate files/records and treated as confidential medical records except in the following instances: 
        • Supervisors and managers may be informed regarding necessary restrictions on the work or duties of an employee and necessary accommodations;
        • First aid and safety personnel may be informed (when appropriate) if the employee’s physical or medical condition might require emergency treatment; and 
        • Government officials investigating compliance with FMLA (or other pertinent law) shall be provided relevant information upon request.

8. SANCTIONS

Sanctions will be commensurate with the severity and/or frequency of the offense and may include termination. This includes employees who willfully attempt to take family and medical leave for conditions other than those allowed by this policy as well as supervisors who do not adhere specifically to this policy when dealing with FMLA related matters.

9. EXCLUSIONS

Certain employees, as described above, are not covered by the Family and Medical Leave Act. These include, for instance, employees who have been employed at the university for less than 12 months.

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 2011

Approved by the President: May 2002

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

1. PURPOSE

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.

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

Visitor:
A person who is not enrolled at, compensated by or an affiliate of the university.

Affiliate:
An individual who has a formal affiliation 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 (Formal affiliation means that a necessary relationship exists between the university and the individual to provide a service of value to the university). Affiliates are defined in Policy 1337 and include employees of contractors such as ARAMARK, Pitney Bowes, Follett, etc.

4. APPLICABILITY

This policy applies to all faculty, staff, students, affiliates and visitors of James Madison University.

5. POLICY

Operating and parking motor vehicles on university-owned or leased property is permitted only in accordance with university motor vehicle regulations as outlined in the Parking and Traffic Regulations or at the direction of Parking Services and Public Safety officials. All vehicles parked on campus must display a valid parking permit at all times. An inappropriately parked vehicle will receive a university issued citation.

Vehicles displaying handicap permits or plates must also display a valid JMU parking permit in conjunction with the handicap permit or plates whenever parked on campus.

Outstanding parking violations will result in a hold being placed on a student's record.

Disabled vehicles should be reported to Parking Services immediately. If Parking Services is closed, report disabled vehicles to the Office of Public Safety at (540) 568-6913. Arrangements should be made

to repair the vehicle or remove it from campus within 24 hours of notification. Disabled vehicles that present a potential threat to life or property may be towed immediately at the owner or operator's expense.

6. PROCEDURES

6.1 Enforcement

Parking Services and Public Safety officials will issue parking citations for violations of the Parking and Traffic Regulations. An abbreviated version of the brochure is distributed with parking permits. A complete version is available online and at the Parking Services office upon request. The most up-to-date version of the Parking and Traffic Regulations can be viewed online at the Parking Services website. Parking and traffic regulations are in effect 24 hours per day, 365 days per year.

Parking Services and Public Safety officials are authorized to tow immediately and, if necessary, without warning when a vehicle is blocking access or presents a potential threat to life or property. Any vehicle parked on university-owned or leased property that has accumulated 10 or more unpaid parking citations is subject to towing at the owner or operator's expense.

6.2 Payment of Fines

Parking citation fines may be paid at the Parking Services office during posted hours, by utilizing the electronic citation form payment option available on the Parking Services web site, or by depositing payment in the drop box located at the front of the Parking Services office.

A parking fine will be considered delinquent if it is not paid in full on or before 10 calendar days after the citation issue date or, if the citation is appealed and denied, not paid in full within 10 calendar days after notice of the appeal denial is emailed to the appellant.

Citations issued to students that are paid within the first 30 days can be paid directly at the Parking Services office, or via the Parking Services website. Citations that are delinquent more than 30 days are transferred to the University Business Office (UBO) for collection. Once citations are transferred to the UBO, students are required to pay via their student account at the University Business Office or at the University Business Office website.

6.3 Late Payment

Students:
Ten days after a citation is issued, the student will be sent a written notice via their campus email account regarding the necessity of resolving the outstanding fine provided the cited vehicle is registered with Parking Services. A hold will be placed on the official records of any student who has delinquent fines. The hold will prevent a student from registering for courses, making course adjustments, obtaining transcripts or receiving a diploma. The hold will be released upon resolution of the delinquent fines.

Faculty/Staff Members:
Ten calendar days and forty-five calendar days after a citation is issued to a registered faculty or staff vehicle, a written notice will be sent to the registrant via campus email regarding the necessity of resolving the outstanding fine. Ninety days following the citation issue date, a letter will be sent via campus email stating the amount of the delinquent fine to be deducted from the employee's next paycheck. Section 2.2-4800 of the Code of Virginia mandates this action.

Visitors:
If a visitor accumulates 10 or more unpaid citations, his or her vehicle is subject to towing.

6.4 Appealing Tickets

The Parking Appeals Committee has been delegated the authority to review and make the determinations on all appeals. Appeals must be filed within 10 calendar days of the citation issue date; if an appeal is not filed by the deadline the vehicle owner waives the right to appeal. All appeals must be submitted online via the Parking Services website. 

Appellant has the option to appear before the Appeals Committee to present his or her case. Appearances before the Appeals Committee are limited to a maximum of three minutes.

A citation may be approved for a second appeal. However, the appellant must pay the citation in full prior to requesting a second appeal review, and the second appeal must include additional information or documentation in support of the appellant's appeal.

Notification of the Parking Appeals Committee's decision will be via campus email.

If an appeal is denied, the appellant has 10 calendar days, including the date on the notification letter, to pay the fine or the 10-day ($5) penalty will apply. If Parking Services is closed, payment may be submitted via the Parking Services website or deposit payment in the drop box at the front of the Parking Services office located on the ground level of the Champions Drive Parking Deck. Do not deposit cash in the drop box.

If an appeal is denied by the Parking Appeals Committee, the chairpersons of the Parking Appeals Committee or the Associate Vice President for Business Services may, at the request of the appellant, give the matter further consideration.

7. RESPONSIBILITIES

Parking Services is responsible for sending a written notice via campus email to all faculty, staff, students and affiliates regarding the necessity of resolving outstanding fines provided the vehicle is registered. These notices will be sent approximately 10 days after the citation issue date.

All faculty, staff, students, affiliates and visitors of James Madison University are responsible for abiding by all parking and traffic regulations. Any parking fines that are received as a result of non-compliance with JMU parking regulations must be resolved with Parking Services.

8. SANCTIONS

Sanctions will be commensurate with the severity and/or frequency of the occurrence 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: March 2011
Approved by the President: October 2004

Index Terms

Parking fines
Parking violations
Parking citations

1404 Mediation

1. PURPOSE

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.

2. AUTHORITY

The Board of Visitors has the authority to make policy concerning the effective management of employee relations. Where the board has not enacted specific policy, the authority is delegated to the President.

3. DEFINITIONS

Mediation
A process by which participants, with the assistance of trained mediators, identify disputed issues, share perspectives, develop options, consider possible solutions, and seek to reach a mutually acceptable resolution to their dispute. Participants in mediation make informed and deliberate decisions to resolve past problems and discuss future relationships directly and confidentially.

Qualified University Mediator
A member of the JMU mediator pool who has satisfactorily completed mediation training offered by JMU. The mediator is an impartial third party who assists participants in reaching mutually acceptable solutions to their disputed issues. The mediator does not have the authority to overturn disciplinary notices, decide the outcome, nor impose a resolution.

Employee
An individual employed by JMU.

Mediation Coordinator
The individual responsible for implementing, coordinating, and supervising all facets of the mediation and grievance programs administered by JMU Human Resources.

Two-Party Mediation
Mediation of a dispute, primarily between two employees who may be co-workers or in a reporting relationship.

Group Mediation
Mediation of a dispute among several employees in a work unit such as a team, office or department.

4. APPLICABILITY

This policy is applicable to all employees of the university.

5. POLICY

It is the policy of JMU to resolve work place disputes through non-adversarial means such as mediation whenever possible. Participation in mediation will be voluntary. A request for mediation may be made by an employee, a supervisor or a member of management as a means to resolve workplace disputes.

Every effort should be made by the mediation coordinator and participants to achieve a mediation schedule that does not hinder university operations. Supervisors are required to allow employees to participate in the mediation process unless participation would significantly hinder university operations.

6. PROCEDURES

6.1 Mediation Preparation

  • A request for mediation is made by contacting the mediation coordinator or an HR Representative. Requests may be made in person, by telephone, by e-mail, or as a referral from a supervisor, department manager or director.
  • The mediation coordinator contacts the individual(s) making the request, completes an initial assessment, and determines the appropriateness of the situation for mediation. If the situation is not deemed appropriate for mediation, the person making the request is notified by the mediation coordinator.
  • If the other party declines the invitation to mediate, the mediation will not occur and the requestor will be notified.
  • The mediation coordinator selects two mediators from the pool of qualified university mediators.
  • All mediations will have at least one mediator present, with two co-mediators present whenever possible.
  • The mediation coordinator provides written notification to participants of the date, time, and location of the mediation. The appropriate supervisor(s) are notified to minimize disruption to normal university operations. A supervisor with concerns that a scheduled mediation will significantly hinder university operations must notify the mediation coordinator to arrange an alternate time.
  • A pre-mediation meeting with the mediators and the mediation coordinator is scheduled to distribute information and discuss other pertinent details.

6.2 Mediation

  • The mediation will be held in a private, neutral location with minimal potential for distraction.
  • All participants must agree to changes of deadlines or additional meetings.
  • The supervisor(s) must also agree to changes of deadlines or additional meetings.
  • Either party may withdraw from participation any time during the process and the mediation effort will end.
  • The mediation coordinator may attend mediations for the purpose of evaluating the mediators and/or the mediation process. Participants will be informed of such in advance.

6.3 The Agreement

  • At the conclusion of mediation, the mediators summarize information resulting from the mediation session and draft the participants' agreement. The agreement is signed by the participants and mediators and given to the mediation coordinator for review.
  • Each participant receives a copy of their final agreement from the mediation coordinator. Participants are given a mediation process evaluation form to complete.
  • The supervisor(s), department manager, or director making the request for mediation receives a copy of the signed agreement.
  • The original signed agreement resides in the mediation files maintained by the mediation coordinator.

6. 4 Confidentiality

The goal of mediation is to empower participants to share information openly and honestly without fear of embarrassment or retaliation. Participant assurance from management that no retaliation will result from engaging in mediation is critical to the process. What is said in mediation must not be used in any way against the participants before, during, or after the mediation.

At the beginning of the mediation, participants commit to keeping the contents of the mediation session confidential. Mediators and participants must treat as confidential all writings and all communications made before, during, or in connection with the mediation at all times.

The scope of the confidentiality should be discussed before the commitment is made. Disclosing the fact that mediation took place is not a breach of confidentiality.

Exceptions to confidentiality include:

  • evidence of sexual harassment
  • evidence of verbal or physical abuse
  • evidence of violation of university policy or criminal activity
  • information shared during the mediation that is known or could be learned through other means
  • specific information that participants agree to share outside the mediation
  • the final mediated agreement, when appropriate
  • threats of bodily harm to self or to others

The mediator(s) may not be called upon, at any time, by the participants of mediation as a witness in any administrative or legal proceeding, except regarding the occurrence of the mediation, evidence of verbal or physical abuse or threats of bodily harm to self or others, evidence of violation of university policy or criminal activity, or evidence of sexual harassment.

7. RESPONSIBILITIES

The Director of Human Resources is responsible for the consistent application of this policy.

The Director of Human Resources, as well as senior vice presidents, deans, directors, and department heads, are to ensure that employees are informed of this policy. Questions related to the application of this policy should be directed to the mediation coordinator in Human Resources or an HR Representative.

In addition, directors are responsible for their department's prompt, effective adherence to 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

Mediation is not available to resolve incidents involving allegations of university policy violations, criminal violations or legal violations.

This policy does not apply to students or to student workers. Student workers and their supervisors should bring disputes to the attention of the Student Work Experience Center.

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, 2010
Approved by the President: June, 2008

Index Terms:

Mediation
Alternative Dispute Resolution

3106 Lost and Found Property

1. PURPOSE

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
  • East Campus Library
  • Godwin Hall
  • Gibbons Hall
  • Harrison Hall
  • ISAT/CS Building
  • Madison Union
  • Memorial Hall
  • Moody Hall
  • Off Campus Life / Festival
  • Public Safety
  • Residence Life
  • Surplus Property
  • Taylor Down Under
  • University Recreation
  • Zane Showker Hall

Each of these areas has access to a central computer database for posting lost and found items.

2. AUTHORITY

The president of James Madison University has given the Senior Vice President for Student Affairs and University Planning the responsibility and the authority to ensure that lost and found procedures are followed.

3. DEFINITIONS

FASP - Fixed Assets and Surplus Property
This university office is responsible for managing the university's fixed assets, which includes land, buildings, improvements other than buildings, construction in progress and equipment.

Lost & Found:
A campus-wide program to record, store, return and/or dispose of items that have been found on campus utilizing a shared database for tracking and reporting.

Lost & Found Tag:
The front side contains information about the item, when it was found, and the lost and found ID number (from the database). The back side of the tag is used for claims (signature space provided).

Lost Item:
An item turned in to a university Lost & Found Center.

Claiming Lost Items:
The process where owners of lost items identify a lost item as theirs and have it returned to them.

4. APPLICABILITY

This policy applies to all JMU employees responsible for managing lost and found items.

5. POLICY

Lost and Found Center staff members at all sites will accurately record the receipt of found items. Items will be stored in a secure location and retained for a period of at least 60 days.

6. PROCEDURES

6.1 Collection
The staff member collecting the lost items will complete a Lost & Found Tag. A Lost & Found Tag must be completed when any item is entered in the database. The item description, location found, date, receiver's initials, and lost and found ID number must be recorded on this tag. The tag must then be attached to the item. If the item is a piece of jewelry or something small, a jewelry tag (provided by Fixed Assets & Surplus Property (FASP)) should be attached to the item and the lost and found ID # written on it. The staff member will check these items against "Lost Inquiries" and notify the owner when a match is made. All collections will be entered into the database and stored in a safe location.

Items of value (cash, credit/debit cards, checkbooks, checks, passports, wallets, valuable jewelry) can be held for three days by a Lost and Found Center to try to locate the owner to pick up the item. A Lost & Found Tag must be completed for these items and the information must be entered in the Lost and Found Database. The items and attached tags must then be placed in a security bag (provided by FASP) but the bag should not be sealed in case of inquiry. If the item of value is not claimed after three days, the bag must be sealed and then sent to Public Safety.

If a wallet is received at a Lost & Found Center, two employees must be present when it is opened and inventoried. If a fake ID is found in a wallet, it will be immediately sent to Public Safety. A Lost & Found Tag must be completed for wallets turned in and the information must be entered in the Lost & Found Database immediately. Wallets must be put in a security bag and kept in a secure location. After three days, they must be sent to Public Safety. No one other than the owner of the wallet is allowed to pick up the wallet.

Any illegal, unmarked, or mixed drugs found in items turned in to Lost & Found Centers must be immediately sent to Public Safety.

For any over-the-counter or prescription medicines not claimed within two weeks, Lost and Found Center staff members must follow these guidelines provided by the Health Center & FDA:

  1. Follow any specific disposal instructions on the drug label. Do not flush prescription drugs down the toilet unless this information specifically instructs you to do so.
  2. Take the drugs out of the original container and mix them with an undesirable substance, such as used coffee grounds or cat litter. The medication will be less appealing to children and pets, and unrecognizable to people who may intentionally go through trash.
  3. Put this mixture in a disposable container with a lid or a sealable bag.
  4. Conceal or remove any personal information, including Rx number, on empty containers by covering it with black permanent marker or duct tape, or by scratching it off. This will help protect the person's identity.
  5. Place the sealed container with the mixture and the empty drug containers in the trash.
  6. If you have any questions regarding disposal, contact the University Health Center (x82978 or gentryep@jmu.edu).
  7. Note: Any insulin supplies must be sent to the Health Center for proper biohazard disposal.

For any keys not claimed within 60 days, Lost and Found Center staff members must follow these guidelines:

  1. JMU Residence Life keys (keys to dorms) - contact ORL Business Operations (x87576 or busops@jmu.edu)to have the keys picked up.
  2. Other JMU office/building keys (stamped "State Property") - send the keys to the FM Lockshop.
  3. Non-JMU keys (vehicle, house, etc.) - turn in to FASP after being held for minimum 60 day period. After 120 days, turn the keys in to the Lockshop for recycling.

Lost & Found Center Managers may attempt to find the owner of USB drives or similar devices by connecting them to a computer. Because anti-virus software detects only about 50% of viruses, the following procedures must be used when connecting the devices to university computers.

  • On Windows computers, hold down the Shift key while plugging the device in and continue to hold it down until Windows tells you the device is ready. This disables the autorun function.
  • If the USB device has a write protect switch, use it.
  • Do not log on in administrator mode.
  • Do not double-click on a file to open it. Instead, use the appropriate application and open the file through the menu.
  • There is a risk that sensitive data (bank account numbers, social security numbers, etc.) can be on a USB device. If you find JMU sensitive data on a USB device, contact x82364 or it-security@jmu.edu. If you find personal sensitive data on a USB device, send it immediately to Public Safety.
  • Note: After 120 days, USB drives become the property of the state and when FASP receives them, they are destroyed. People inquiring after this time period should be told they are no longer available.

All JMU access cards (JAC) will be sent to the Campus Card Center after the Lost & Found Center staff employees have attempted to contact the owner with no success.

All lost plastic ware, soiled clothing, undergarments and toiletry items will be disposed of immediately after being turned in to a Lost and Found Center; these items will not be entered in the database.

6.2 Inquiring
Inquiries can be made at any university Lost and Found Center through an inquiry to the database or by contacting Lost & Found administration. Each Lost and Found Center will enter an Inquiry in the database that will be kept on file for a minimum of 90 days. Those seeking a lost item are encouraged to inquire at the Lost and Found Center closest to where the item was last seen.

6.3 Claiming Items
Persons claiming lost items must have photo identification, unless the item lost is a photo ID. The person claiming the lost item will sign for the item and provide identification. The item will then be updated as "claimed" in the database and purged after 30 days.

6.4 Fixed Assets and Surplus Property (FASP)
After the minimum 60-day retention period, Lost & Found sites can transfer the items to FASP. (Lost & Found Centers with storage space which want to hold onto items for 120 days may do so. When sending Lost & Found items to FASP, the items must be securely packaged or boxed and taped closed. An itemized listing (preferably from the Lost & Found database) must be taped to the package(s). If there is more than one package/box, number each box (e.g., Box 1 of 3). Contact FASP when Lost & Found packages are ready to be picked up (ext. 86931 or colopyma@jmu.edu). Do not have the Moving Crew pick them up. Packages sent to FASP should NOT contain:

  • Wet or soiled clothing or undergarments
  • Toiletries, medicines or powders
  • Plastic ware or open blade knives
  • Glass (except eye glasses)
  • Other similar items that can be discarded. Lost and Found Center employees should call FASP if they are unsure about an item.

7. RESPONSIBILITIES

The University Unions department will coordinate the Lost and Found Centers, and this policy will be condensed and advertised in The Breeze once each semester.

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.

9. EXCLUSIONS

None.

10. INTERPRETATION

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

Previous Version: May, 2010
Approved by the President: April, 2002

Index Terms

FASP - Fixed Assets and Surplus Property
Lost and found
Lost & Found Tag
Lost items
Claiming lost 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

1. PURPOSE

The purpose of this policy is to provide guidelines for James Madison University to collect all debts owed to it by its 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 STATUE AND/OR REGULATION

The university has the right under Virginia law to withhold such debts from an employee's pay. Section 2.2488 et seq. of the Code of Virginia gives the university the authority to enforce this policy. Section 40.1-2.1 of the Code exempts State agencies from Title 40.1 provisions, including 40.1-29, which restricts withholding of employees' wages or salaries.

3. DEFINITIONS

Debt:
An amount or value owed to the university by the employee.

Employee:
Any person employed in any capacity by the university, including part-time and full-time instructional faculty members, administrative & professional faculty members, staff members, students, wage employees, and any other individual receiving remuneration for services performed in an employment relationship with the university.

Withhold:
A deduction from the amount of salary or wages normally paid by the university to the employee.

4. APPLICABILITY

This policy applies to all university employees. All debts owed to the university by employees are covered by the terms of this policy.

5. POLICY

It is the policy of the university to collect all debts owed to it by its employees. Such debts may include, but are not limited to the following:

  • Parking fines
  • Library fines
  • Travel advances that have not been appropriately repaid
  • Computer loans
  • Personal telephone charges including personal use of university cell phones

6. PROCEDURES

6.1 The department responsible for collecting the debt will notify the employee in writing of the amount owed, the nature of the debt, the date by which payment must be made, and that the payment will be deducted from the employee's pay if not paid by the stated date.

6.2 The employee may contest the alleged debt by submitting within 10 business days a written statement to the department, challenging the validity of the debt. Upon receipt of such a challenge, the department head will contact the employee concerning the debt. At that time, the employee may present the department head with any appropriate documentation to indicate his or her reason for challenging the debt.

6.3 The department head has 10 business days after contacting the employee to determine whether the debt is valid. If the department head determines that the debt is not valid, he or she will notify the employee that the notice of debt is withdrawn. If the department head determines that the debt is valid, he or she will notify the employee within 10 business days after making his or her decision that the debt is valid. In this case, the department head will notify the employee of the new due date for payment and that the payment will be deducted from the employee's pay if not paid by the stated date.

6.4 The employee may file an appeal from the determination of the department head to the department head's immediate supervisor within 5 business days of receiving the notice of determination. The decision of the department head's supervisor is final.

6.5 The employee notification should allow at least 30 days following the challenge procedures above prior to filing the paperwork necessary to effect the deduction from pay.

6.6 In the event payment is not received by the stated date, the responsible department will submit to the Payroll Department written directions to withhold the amount owed from the employee's next paycheck. Deductions will be made from the employee's paycheck as appropriate, provided the deductions do not result in earnings below minimums stated by wage and hour laws.

6.7 For individuals leaving university employment, all debts to the university must be resolved between the department owed and the employee. The department will arrange with the employee for settlement of any outstanding accounts.

6.8 If an individual leaves university employment without resolving university debt, the debt can be submitted to the University Business Office with appropriate documentation for collection through a commercial collection agent and/or to the Commonwealth of Virginia debt set off program.

7. RESPONSIBILITIES

7.1 Employees are responsible for paying all debts to the university.

7.2 Department heads over the departments responsible for collecting the debts are responsible for notifying employees of debts to the university according to the procedures listed above. They are also responsible for processing challenges, contacting employees challenging the debts, determining the validity of debts, and notifying employees of their determination. Department heads are also responsible for submitting the appropriate directions to the Payroll Department to effect withholding from an employee's pay.

7.3 Supervisors of department heads responsible for collecting the debts are responsible for making final decisions in cases where a debt determination is appealed.

7.4 The Payroll Office is responsible for deducting the appropriate amount from the paycheck of an employee when it receives a written direction from the department responsible for collecting the debt.

7.5 If Human Resources learns of an employee separation, it will inform applicable departments of the employee's separation so those departments can settle any outstanding accounts.

7.6 The Assistant Vice President for Finance is responsible for monitoring the debt collection practices and procedures at the university.

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 independent contractors, students who are not employed by the university, or other debts to the university.

The university has a separate appeals process related to the collection of parking fines. This is detailed in Policy 3107. However, collection procedures as detailed in this policy apply to parking fines.

10. INTERPRETATION

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

Previous version: October 2010
Approved by the President: April 2002

Index of Terms

Employee debt
Debts to the university
Withholding of pay

3110 Recording Student Complaints

1. PURPOSE

This policy is designed to provide a standard for recording and collecting written student complaints across all divisions of 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

This policy has been developed in accordance with guidelines from JMU’s regional accrediting body, the Southern Association of Colleges and Schools Commission on Colleges (SACSCOC), regarding student complaints filed against the university.

3. APPLICABILITY

This policy relates to written student complaints made to the university that are not covered by other university procedures for filing complaints as noted in the Exclusions section, but which concern the student’s role as a student.

4. DEFINITIONS

Complaint
A written, signed complaint filed under this policy. Written complaints include emails sent from a university account that include the sender’s name and contact information. 

Complaint Log
A written record of collected student complaints maintained within the appropriate office. The log must contain the following elements: Date of complaint, name of complainant, description of the complaint, date of response, responder and description of the response. See the attached Student Complaint Log Form for an example.

Discrimination
To take an adverse action or provide unequal treatment based on a person's age, color, disability, gender identity, genetic information, national origin, parental status, 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.

Grade Review
A complaint which involves a student request to review a grade assigned in a credit-bearing class.

Harassment
A form of discrimination consisting of unwelcome offensive physical, verbal or written conduct that denigrates or shows aversion or hostility towards 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:

  • When submitting to or rejecting the conduct is made the basis for a personnel action or an action affecting a student, or a recommendation for a personnel action (such as hiring, promoting or salary adjustment), or an action affecting a student (such as admission or retention), or evaluation (such as promotion, tenure, compensation or work condition adjustment of an employee or grading of a student).
  • When the conduct has the purpose or effect of unreasonably interfering with the performance of an employee or a student. 
  • When the conduct creates a hostile, intimidating or offensive learning or working environment. 

Honor Code
The James Madison University policy regarding honesty in all academic matters for students.

Judicial Code 
The James Madison University standards of conduct established by the university for students and detailed in the Student Handbook and website of Judicial Affairs.

Student Complaint
A written complaint submitted by a student under this policy related to the person’s role as a student. Written complaints include emails sent from a university account that include the sender’s name and contact information.

Student
A currently enrolled student at the university, including part-time, full-time, for credit, not for credit, undergraduate, graduate or continuing education.

5. POLICY

Any student may initiate a complaint alleging violation of existing policies or established practices as applied to the student concerning his or her role as a student. However, if a student’s complaint is addressable by other procedures mandated by law and/or described in university policies or procedures, those must be followed. See the Exclusions section.

Each division of the university must accept written student complaints.

All divisions, departments and offices accepting complaints under this policy must maintain a complaint log of all written student complaints.  The complaint log must be compiled in a format that can be provided to the appropriate vice president upon request. See the Student Complaint Log for an example.

6. PROCEDURES

Complaints shall be filed within six months of the most recent alleged violation, or they will be dismissed as untimely. Anonymous complaints and complaints filed on behalf of another person will be dismissed.  Complaints that are appropriately handled by a different procedure on campus will be returned to the student with a referral to the appropriate office or procedure. Such a referral will be noted on the unit’s student complaint log. 

Each division determines the level (e.g., by office, by department, by academic unit) at which student complaints are collected and logged. It is the responsibility of each division to establish a policy articulating the level for collection of student complaints, the format of those complaints and who is responsible for managing and maintaining the log.

Each division shall establish a procedure to resolve complaints by students concerning their roles as students, and shall post such procedures so that students may access them.

Logs must be submitted to the appropriate vice president with the submission of annual reports. The vice president may collect the student complaint log at any time. 

Each division, department or office receiving a complaint under this policy shall note the complaint on its respective student complaint log, whether that complaint is sent by the complaining student directly or whether the complaint is referred by another division, department or office.

All complaint logs should be maintained in the original offices for a minimum of five years.

7. RESPONSIBILITIES

Each division is responsible for developing and maintaining its own process for collecting and logging student complaints. This process should be documented and available for access by students.

It is the responsibility of the area which originally receives a student complaint to log that complaint and, as appropriate, refer the complainant to the appropriate office for resolution. When a complaint is referred, it is the responsibility of the receiving area to inform the original area when the complaint is resolved.

Vice presidents are responsible for ensuring that their respective divisions have a student complaint policy which includes a log of written student complaints. In addition, vice presidents will regularly collect the student complaint logs from within their areas for review with the submission of annual reports.

8. SANCTIONS

Persons who do not comply with this policy are subject to discipline up to and including termination.

9. EXCLUSIONS

Students complaining about actions concerning matters unrelated to their roles as students may complain directly to the appropriate office, but there is no requirement that any such office keep track of student complaints as opposed to complaints from any other parties.  

Students complaining about actions covered under other policies and procedures, including grade review, discrimination, harassment, judicial code and honor code, are required to use those procedures.

Complaints registered through the Counseling Center, Intercollegiate Athletics and the University Health Center which involve confidential information (i.e. health records, medical information) will be handled according to established procedures and will not be reported in the divisional student complaint log.

10. INTERPRETATION

While the authority to interpret this policy is granted to the president, it is generally delegated to Senior Vice President for Student Affairs and University Planning.

Original Version: August 2012
Approved by the President: August 2012

Index of Terms
Student Complaint
Complaint Log

1703 Sustainable Construction

1. PURPOSE

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.

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

LEED:
Leadership in Energy and Environmental Design (LEED) Green Building Rating System, developed by the U.S. Green Building Council (USGBC), provides a suite of standards for environmentally sustainable construction.

4. APPLICABILITY

The policy applies to all departments and all facilities that are owned by the university.

5. POLICY

All new building construction or new renovation to existing buildings shall utilize materials and methods which provide quantifiable conformity to sustainable construction as defined by Leadership in Energy and Environmental Design (LEED) Green Building Rating System.

Per Commonwealth of Virginia requirements, buildings and renovations shall be designed and built to obtain LEED Silver certification.

This policy is concurrently applicable with all other state, university and Facilities Management policies and standards.

6. PROCEDURES

Facilities Planning and Construction will establish procedures necessary to ensure compliance of this policy.

7. RESPONSIBILITIES

The Senior Vice President for Administration and Finance is the final approving authority for all aspects of major new construction and renovation projects.

The Director of Engineering and Construction is responsible for ensuring that proper action is taken to accomplish all necessary work related to new construction or renovation. In addition, the Director of

Engineering and Construction is responsible for reviewing all non-capital major projects and all major maintenance projects and ensuring the compliance of those projects with this policy.

The Director of Facilities Planning and Construction is responsible for reviewing all capital projects, whether new construction or renovation, and ensuring the compliance of those projects 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

None.

10. INTERPRETATION

The authority to interpret this policy rests with the president and is generally delegated to the Director of Engineering and Construction.

Previous version: June 2011
Approved by the President: October 2009

Index Terms

Sustainability
Renovation
Facilities
Facilities Management
Stewardship
Construction

4103 Strategic Alliances

1. PURPOSE

This policy is intended to foster the development of strategic alliances at JMU and to integrate the accounting for strategic alliances into the university's regular planning process.

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

Strategic Alliance:
Sometimes called "cooperative strategies," strategic alliances represent the middle ground in the continuum of partnerships. They exist between the more loosely constructed tactical partnerships such as conventional outsourcing and service arrangements on the one hand - often referred to as transactional alliances - and the more formal and permanent route of mergers on the other.

For the purposes of this policy, a strategic alliance is defined as a relationship between James Madison University and another organization(s) (e.g., business, governmental body, foundation and/or other educational institution) that meets all of the following criteria:

  1. The alliance must be formalized in writing. In general, the format should be contractual and stipulate the objectives and responsibilities of each party.
  2. The purpose or objective of the alliance must be critical to the core mission of each party.
  3. The alliance should focus on attaining each party's long-range goals. Consequently, the term of the alliance must be strategic in breadth and represent a commitment of at least five years.
  4. The goals and methods of the alliance must be fully supported at the level of the president and the president's senior management team.
  5. Each party must be committed to a common strategy and set of objectives. The parties must also be willing to share their core competencies to build synergy.

Examples of objectives that could be met through strategic partnerships include (but are not limited to):

  • Maximizing new revenues,
  • Providing alternative learning experiences for students (i.e., internships, visiting faculty, etc.),
  • Increasing international student experiences,
  • Providing enhanced student support services,
  • Developing new academic programs,
  • Providing enhanced professional development for faculty and staff,
  • Communicating the JMU message to external audiences, and
  • Providing new and/or improved facilities.

4. APPLICABILITY

This policy applies to the university's senior management and those they delegate in the process of developing strategic alliances.

5. POLICY

JMU will develop new strategic partnerships that enhance the university's programs and ensure success in meeting goals and objectives. The judicious use of strategic alliances offers a means for meeting the challenges of a changing environment and of achieving an even higher level of programmatic excellence.

6. PROCEDURES

Senior vice presidents or those whom they delegate will submit a Strategic Alliance Report for each alliance within their purview and send the report to the AVP for University Planning & Analysis by October 1 of each year.

The AVP for University Planning & Analysis will collate the changes, create a draft final report and send it to the the president and senior vice presidents during the fall semester to review the submissions. Once the President and senior vice presidents have approved the report, it will be published via the Strategic Alliances Website.

7. RESPONSIBILITIES

Senior vice presidents are responsible for establishing the overall emphasis on the development of strategic alliances within their divisions. Their more specific responsibilities include the preparation of annual goals and objectives regarding the creation of new strategic alliances and the communication of those goals and objectives to all appropriate levels of the division. Senior vice presidents are also responsible for the annual reporting process within their divisions.

The Associate Vice President for University Planning & Analysis is primarily responsible for the annual reporting process. This includes managing the Strategic Alliances Website, issuing a call to the senior vice presidents and those they delegated for the completed reports, presenting a summary of the reports to the president and senior vice presidents, and completing the annual report documenting the status of strategic alliances at JMU.

Those who are appointed by their senior vice presidents as responsible for reporting strategic alliances will update existing alliances and report new ones using the Strategic Alliances Website by the appropriate deadlines.

8. SANCTIONS

None

9. EXCLUSIONS

None

10. INTERPRETATION

The President has the authority to interpret this policy, which is normally delegated to the Associate Vice President for University Planning and Analysis.

Previous Version: December 2008
Approved by the President: July 2002

Index Terms

Alliances
Strategic Alliances

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

1. PURPOSE

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 includesa 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.

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.

Virginia Department of Human Resource Management (DHRM) Policy 1.40 Performance Planning and Evaluation establishes guidelines for the performance evaluation of classified employees. This policy adheres to those guidelines and provides clarification as necessary.

3. DEFINITIONS

Below Contributor
Work that fails to meet performance measures. To receive an overall Below Contributor rating, an employee must have received at least one documented Notice of Improvement Needed or Written Notice within the performance cycle.

Contributor
Work that is characterized by fully meeting performance measures.

Core Responsibilities
Job responsibilities that are primary and essential to the type of work performed by an employee and normally remain relatively consistent during the performance cycle.

Departmental Values
Evaluation factors which represent the behaviors, objectives and competencies that departments value as employees perform their work.

Employee Work Profile (EWP)
The combination of an employee's position description, performance evaluation and Individual Professional Development Plan (IPDP).

Extraordinary Contributor
Work that consistently and considerably exceeds performance measures. To receive an overall Extraordinary Contributor rating, an employee must have received at least one documented Acknowledgement of Extraordinary Contribution within the performance cycle.

Individual Professional Development Plan (IPDP)
An individualized record of an employee's current training needs or desires and short and long term career goals. It is a written plan for developing knowledge, skills and competencies that support both the organization's objectives and the employee's needs and goals.

Interim Performance Evaluation
A performance evaluation completed during the performance cycle to assess and document the employee's progress toward achieving the performance plan. This may also be used as an optional evaluation conducted near the mid-point of the performance cycle or on an as-needed basis. Interim performance evaluations are not considered official documents and are retained in the supervisor's confidential file for use in completing the Annual Performance Evaluation.

Measures
Qualitative and/or quantitative standards against which each core responsibility, special assignment and overriding departmental value is assessed. Measures describe major duties, assignments, objectives and behaviors in terms of complexity, accountability and outcomes and must be specific, measurable, attainable and relevant.

Performance Cycle
The period from October 25 through October 24 of each 12-month period during which an employee's performance is evaluated.

Performance Evaluation
The official determination of the degree to which an employee has met the established performance expectations and measures, as indicated in the Position Description.

Performance Increase
A monetary increase based on results of the annual performance evaluation and guidelines issued by DHRM and JMU. Performance increases are effective November 25 of each year when funding is available.

Position Description
The electronic document (available in PositionLink) that includes a brief work description, core responsibilities, performance measures, special assignments and departmental values.

Probationary Period
An introductory period of employment that allows the employee and university to determine if the employee is suited for the job. The typical probationary period is 12 months; however, it can be extended for up to six additional months, not to exceed 18 months, for performance reasons, if an employee is absent for an extended period of time, or if an employee transfers into a new position during the last six months of his/her probationary period.

Probationary Progress Review
Formal reviews held at thee, six, nine and 12-months in the employee's probationary period. Supervisor's use the Probationary Progress Review to assess and document the employee's performance during their first year of employment.

Reviewer
The supervisor of an employee's immediate supervisor, or another person designated to review an employee's position description, performance plan, performance rating and who responds to appeals of performance ratings.

Salary Administration Plan
The plan that reflects JMU's philosophy and policies in support of the mission to ensure consistent and fair employment and compensation practices.

Supervisor
The person to whom the employee directly reports and who is responsible for ensuring the employee has a clear, accurate and up-to-date EWP.

University Compensation Committee
The committee recommends, reviews, monitors and evaluates compensation practices and programs for university employees. Committee members include division representatives, the university budget director and the director of Human Resources.

4. APPLICABILITY

This policy applies to all classified employees and supervisors of classified employees.

5. POLICY

All classified employees must be evaluated according to schedules and procedures set out in this policy. Employee performance is a key component of how pay will be administered not only in the Performance Management Program but also with the university's pay practices as outlined in the Salary Administration Plan.

Key design features of the university's Performance Management Program include three performance-rating levels, a 12-month probationary period for new employees, an opportunity for employee self-evaluation and an optional interim evaluation.

5.1 Reviewer Approval of the Performance Evaluation

The reviewer is responsible for approving the evaluation before it is presented to the employee. Reviewers have the authority to change any part of the performance evaluation based on their knowledge and/or judgment about the employee's performance or the supervisor's approach to the performance evaluation.

6. PROCEDURES

6.1 Development of Position Description

The position description in PositionLink is the central document to the university's Performance Management Program. The position description iscreated by the supervisor and approved by the reviewer. Following the reviewer's approval, position descriptions are discussed with the employee within the first 30 days of employment. Supervisors should use this as an opportunity to discuss the employee's responsibilities, expected job performance and clarify any aspects of the job. Changes to core responsibilities and measures must be updated by the supervisor and reviewed with the employee as they occur.

6.2 Information Gathering for the Performance Evaluation

In order for performance evaluations to be effective and reflect the actual performance of the employee, it is imperative to collect and document information on a continuous basis. Supervisors should use a variety of sources when gathering evaluation information.

Sources may include direct observation of employee behaviors and work products by the supervisor and information solicited from peers, customers, subordinates and other supervisors who interact and work with the employee. Working in conjunction with an HR Consultant departments may also develop supplemental evaluation tools such as a 360 evaluation or team-based objectives and measures.

Additionally, a valuable source of information for performance evaluations can be obtained from the employees themselves. The university's Performance Management Program requires employees to actively to participate in the performance evaluation process. Employees must be given the opportunity to provide their supervisor with a self-evaluation of their performance for the evaluation period. Using their position description, employees complete a self-evaluation and submit it to the supervisor. The supervisor must review and consider the self-evaluation when completing employee performance evaluations.

6.3 Feedback during the Performance Evaluation Cycle

Supervisors should mentor, coach and reinforce progress toward expected results and outcomes and address areas of concern as they occur. Effective management of performance involves providing continuous formal and/or informal feedback to employees throughout the entire performance cycle. The content of the annual performance evaluation must never come as a surprise to the employee.

Another source of information that is particularly valuable for management development purposes is employee feedback on their supervisor's performance, commonly referred to as Upward Feedback or 360-degree feedback.

6.4 Interim Performance Evaluations

Interim performance evaluations provide an opportunity to give structured feedback to employees on their progress toward meeting performance expectations during the evaluation period. Interim performance evaluations may be conducted at any time during the performance cycle.

When an employee's supervisor changes during the performance cycle, the outgoing supervisor should complete an Interim Performance Evaluation at that time. This is helpful to the incoming supervisor to assist in the evaluation of the employee at the end of the performance cycle. The new supervisor should review the performance expectations, make any necessary modifications and incorporate the former supervisor's assessment in the overall evaluation.

An Interim Performance Evaluation should be completed prior to departure if, after six months into the performance cycle, an employee transfers into a new position with a different supervisor or between state agencies. The employee's new supervisor should consider this information in assessing the employee's performance.

6.5 Acknowledgment of Extraordinary Contribution/Substandard Performance

Acknowledging an employee's performance in a timely manner will either reinforce exceptional behaviors or identify employee performance that is unacceptable and needs improvement. All performance, whether extraordinary, acceptable or unacceptable must be acknowledged and recognized throughout the performance cycle.

Supervisors are encouraged to recognize exemplary performance by completing an Acknowledgement of Extraordinary Contribution. It is important to differentiate between performance that is expected and performance that exceeds supervisory expectations.

Supervisors must immediately identify poor, substandard and/or unacceptable performance. Substandard performance on any core responsibility or special assignment may result in a Notice of Improvement Needed. Working in conjunction with an HR Consultant, supervisors will develop an improvement plan, with specific timelines, addressing the area(s) that require immediate improvement. Input will be solicited from the employee in developing the improvement plan. A timeline for improvement must be established for at least 30 days and no more than 180 days. Based on the timeline, the supervisor must re-assess the employee's performance relative to the performance improvement plan.

Policy 1317-Standards of Conduct and Performance for Classified Employees addresses the concept of progressive discipline and assists supervisors in working with employees to improve their performance. Supervisors would normally address first time minor or marginal performance issues through performance counseling and coaching. However, repeated and/or more serious performance or conduct issues may result in more severe disciplinary action, such as issuance of a Written Notice.

The Acknowledgement of Extraordinary Contribution and Notice of Improvement Needed are not considered official documents and are retained in the supervisor's confidential file for use in completing the Annual Performance Evaluation. An Acknowledgement of Extraordinary Contribution, Notice of Improvement Needed or Written Notice may support an overall rating of Extraordinary or Below Contributor on the Annual Performance Evaluation; however, receipt of this documentation does not guarantee such a rating.

6.6 Completing the Performance Evaluation

The supervisor must complete performance evaluations for non-probationary employees, along with the Individual Professional Development Plan (IPDP), and submit to Human Resources by the last workday in September.

In completing the performance evaluation and arriving at an overall performance rating, the supervisor will take into consideration how successful the employee was in meeting the criteria established by the performance measures and the length of time the employee performed in their job. To support the overall rating of Extraordinary Contributor, an Acknowledgement of Extraordinary Contribution from the same performance cycle must be attached to the Annual Performance Evaluation when it is submitted to Human Resources.

To support the overall rating of Below Contributor, an employee must have received at least one Notice of Improvement Needed or Written Notice during the same performance cycle. The Notice of Improvement Needed must be attached to the Annual Performance Evaluation when it is submitted to Human Resources. It is not necessary to attach a copy of the Written Notice, as it is already on file in Human Resources. An employee who receives an overall rating of Below Contributor must be re-evaluated within three months.

If a Written Notice is used in place of a Notice of Improvement Needed to support a rating of Below Contributor, and the notice is subsequently removed pursuant to the Grievance Procedure, the performance evaluation must be modified accordingly.

Employee absences due to compensatory time, overtime leave, Military Leave, Workers' Compensation, Family and Medical Leave and Short Term Disability must not influence the employee's overall performance rating. However, if an employee was absent from work for a significant portion of the performance year, the percentage increase may be impacted.

6.7 Conducting the Evaluation Meeting

The purpose of the evaluation meeting is to provide the supervisor and employee an opportunity to discuss job performance and achievement of professional development goals during the previous performance cycle and plan for future performance objectives. The evaluation meeting requires careful planning and preparation on part of both the supervisor and employee. The supervisor must be prepared to discuss what input/feedback was considered in the employee's evaluation and the rationale for each of the individual and overall performance ratings. In addition, the evaluation meeting is the time for the employee and supervisor to determine at least one professional development goal for the upcoming performance cycle.

If an employee disagrees with the performance evaluation, he or she will be given the opportunity to provide an explanation. The supervisor may change any ratings based on the information provided by the employee. If the supervisor decides to change a rating, the reviewer must be consulted before the change is made and must initial the change.

At the end of the evaluation meeting the employee will write any comments and sign the form indicating that the results have been discussed. If the employee refuses to sign the evaluation, the supervisor must indicate this on the performance evaluation.

6.8 Overall Below Contributor Rating -- Performance Re-evaluation Plan

Within 10 workdays of the evaluation meeting, working in conjunction with an HR Consultant, the supervisor must develop a performance re-evaluation plan that sets forth performance measures for the next three months, and have it approved by the reviewer.

At the conclusion of the re-evaluation period, if the employee's rating continues to be Below Contributor, the supervisor has several options including demotion, reassignment, reduction of duties or termination. It is the supervisor's responsibility to ensure that effort has been made for improvement and employee development before taking a final action such as demotion or termination.

If the supervisor working in concert with an HR Consultant identifies another position within the time allotted for improvement that is more suitable for the employee's level of performance, then the employee may be reassigned or demoted. This will conclude the re-evaluation period. If this occurs, the employee will not be eligible for a performance increase. With a demotion, the employee's salary must be reduced by at least 5%.

As an alternative to reassignment or demotion, the supervisor may elect to maintain the employee in his or her position and eliminate the duties that the employee was unable to successfully fulfill. This reduction in duties must be accompanied by a concurrent salary reduction of at least 5%.

If the supervisor, reviewer and HR Consultant determine that termination from employment is the proper action based on the re-evaluation, the employee will be terminated at the conclusion of the re-evaluation period.

6.9 Performance Increases

The General Assembly and the Governor annually determine the statewide average performance increase for the university's workforce if state funds allow for such an increase. The university is not authorized to supplement the funding provided by the General Assembly and Governor for employee performance increases.

The Commonwealth may implement a pay for performance program in which pay increases are tied to the employee's particular rating. The exact figure, which by percentage will be the same for all full-time employees with similar ratings, will be determined by the senior leaders working in conjunction with the university Compensation Committee and Human Resources.

6.10 Appeals

When an employee disagrees with the evaluation and this cannot be resolved with the supervisor, the employee may appeal to the reviewer for reconsideration. The employee must make this appeal in writing within 10 workdays of the initial evaluation meeting. The reviewer will discuss the appeal with the supervisor and the employee.

After discussion of the appeal, the reviewer must provide the employee with a written response within five workdays. The response will indicate the reviewer's conclusion of the performance evaluation.

6.11 Probationary Progress Reviews

The supervisor must evaluate and provide structured feedback periodically to the new employee during the 12-month probationary period. A Probationary Progress Review will be completed at approximately 3, 6 and 9 months of the probationary period. Supervisors will receive electronic notifications from Human Resources when these reviews are due. In addition, at any time during the probationary period, the Probationary Progress Review may be used to document the employee's progress and to provide performance feedback.

The final Probationary Progress Review should occur approximately three weeks prior to the completion of the probationary period. A copy of the Probationary Progress Review will serve as written notification that the probationary period has been satisfactorily completed. If a probationary employee is not notified of satisfactory completion or extension of the probationary period at the end of 12 months, it is understood that the employee successfully completed the probationary requirement.

6.11.1 Extension of Probationary Period

The probationary period may be extended for up to six additional months for performance reasons or due to periods of leave with or without pay. However, the probationary period may not exceed 18 months, excluding periods of leave. Employees must be notified in writing when their probationary period will be extended.

The extension of the probationary period must be documented on a Probationary Progress Review and must be approved by the reviewer. A copy of the completed Probationary Progress Review must be given to the employee.

When a probationary employee transfers into a different position during the first six months of probation, the remainder of the probationary requirement must be completed. If an employee transfers into a new position during the last six months of the probationary period, the employee must complete the remainder of the probationary requirement, and the supervisor may elect to extend the probationary period not to exceed a total of 18 months. In all cases, the employee must be notified in writing when the probationary period is to be extended.

6.11.2 Performance Increases for Probationary Employees

Probationary employees are not eligible for an increase that recognizes the completion of their probationary period. However, the university may provide a performance increase to probationary employees when the state is providing annual increases. Performance increases for probationary employees will be dependent on a Contributor rating and may be pro-rated based on the employee's hire date. Employees rated Below Contributor will not be eligible for a performance increase.

7. RESPONSIBILITIES

The president, vice presidents, deans, associate/assistant vice presidents, directors, and particularly supervisors of classified employees are responsible for ensuring consistent application of the Performance Management Program and this policy, and for communicating the content to classified employees.

All supervisors of classified employees are responsible for completing and submitting performance evaluations in accordance with established policies and procedures. Supervisors are also responsible for ensuring that each classified employee has a clear, accurate, up-to-date EWP.

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

Wage employees, administrative and professional faculty and instructional faculty are not evaluated 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: June 2012
Approved by the President: April 2002

Index of Terms

Acknowledgement of Extraordinary Contribution
Below Contributor
Contributor
Employee Work Profile
Extraordinary Contributor
Individual Professional Development Plan
Notice of Improvement Needed
Performance Cycle
Performance Evaluation
Performance Increases
Performance Management
Position Description

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

1. PURPOSE

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.

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

Institute of Internal Auditors (IIA)
The professional organization that establishes International Standards for the Professional Practice of Internal Auditing.

Internal Control
A process, effected by the Board of Visitors, management or other university personnel, designed to provide reasonable assurance regarding the achievement of objectives in the following categories:

  • effectiveness and efficiency of operations (including financial and operational performance goals and safeguarding assets against loss);
  • reliability of reporting (including internal/external financial and non-financial reporting); and
  • compliance with applicable laws and regulations (including university and departmental policies and procedures).

4. APPLICABILITY

This policy applies to all university departments, activities and personnel.

5. POLICY

It is the policy of the university to support the internal auditing program established by the Board of Visitors and president. The program will comply with the International Standards for the Professional Practice of Internal Auditing established by the IIA.

6. PROCEDURES

6.1 Independence and Objectivity

Audit and Management Services will be independent, in organization and in function, from all university divisions. The Director of Audit and Management Services reports directly to the Audit Committee of the Board of Visitors and administratively to the president. The director will meet quarterly with the Audit Committee to report on activities of the department. In addition, the director will meet privately with the Audit Committee as needed.

Audit and Management Services personnel will have complete, free and unrestricted access to all university departments, activities, records, properties and personnel necessary for the completion of audits or special projects. When appropriate, special arrangements will be made for the examination of confidential information. In addition, Audit and Management Services personnel must maintain objectivity and, therefore, will not be unduly influenced in selecting audit procedures, reporting and performing investigations. The director will be responsible for reporting situations that impair independence and objectivity of the audit staff to the president and the Audit Committee.

In order to maintain independence and objectivity, Audit and Management Services personnel will not:

  • perform operational duties for the university;
  • initiate or approve accounting transactions external to the internal auditing department; or
  • direct the activities of any university employee not employed by the internal auditing department, except to the extent such employees have been appropriately assigned to auditing teams or to otherwise assist the internal auditors.

6.2 Proficiency and Due Professional Care

Audit staff will possess the knowledge, skills and other competencies needed to perform their individual responsibilities. Each auditor will be required to obtain forty hours of continuing education each year to maintain professional proficiency. In addition, the department will collectively possess or obtain the knowledge, skills and other competencies needed to perform its responsibilities.

The audit staff will apply the skill expected of a reasonably prudent and competent internal auditor. Auditors should be alert to the significant risks that might affect university goals and objectives, operations or resources. However, audit assurance procedures alone, even when performed with due professional care, do not guarantee that all significant risks will be identified.

6.3 Scope of Work

The scope of work of Audit and Management Services is to determine whether the university's network of risk management, control and governance processes, as designed and represented by management, is adequate and functioning in a manner to ensure:

  • risks are appropriately identified and managed;
  • interaction with the various governance groups occurs as needed;
  • significant financial, managerial and operating information is accurate, reliable and timely;
  • employees' actions are in compliance with policies, standards, procedures, and applicable laws and regulations;
  • resources are acquired economically, used efficiently and adequately protected;
  • programs, plans and objectives are achieved;
  • quality and continuous improvement are fostered in the university's control processes; and
  • significant legislative or regulatory issues impacting the university are recognized and addressed appropriately.

A risk-based audit plan will be utilized to accomplish the scope of work.

6.4 Risk-Based Audit Plan

Audit and Management Services will develop a risk-based annual audit plan, which will be approved by the Audit Committee. In addition, Audit and Management Services will inform the president and each vice president, prior to each fiscal year, of the audits scheduled for that year. Modifications may be made to the annual audit plan, based on management requests or new circumstances that come to the attention of Audit and Management Services. All modifications will be approved by the Audit Committee.

Frequency of a particular audit is ordinarily determined by the risk associated with the audit area. A formal risk assessment will be maintained for each audit area and used to develop the annual audit plan. In addition to the risk-based audits, the annual audit plan should include, to the extent practicable, time for special projects and follow-up audits.

The director will report semiannually to the Audit Committee on accomplishment of the annual audit plan.

6.5 Audit Process and Report Issuance

The director will be responsible for maintaining a departmental policies and procedures manual that will govern the performance of audits. All work papers will be reviewed to ensure quality.

Opportunities for improving internal controls, compliance and financial management may be identified during audits. At the conclusion of test work (last phase of the audit), a draft report will be submitted to the department head and the assistant vice president (or dean), and a meeting will be held to discuss the report. After the meeting any necessary revisions to the report will be made and a revised draft will be sent to the department head, with the assistant vice president (or dean) receiving a copy. At that time the department head will be asked to provide, within one week, written responses to the report recommendations. Possible responses include the development of an action plan (with an estimated completion date) or acceptance of risk. However, risks which jeopardize compliance with laws and regulations generally cannot be accepted.

Once responses are received, the draft report (with responses included) and an executive summary will be forwarded to the responsible vice president, with the department head and assistant vice president (or dean) receiving copies. Unless contacted by the vice president within one week, the final report will be issued. The original report will be sent to the president, and copies will be distributed to the Audit Committee, vice president, assistant vice president (or dean) and department head.

The final audit report will include an opinion on the adequacy and effectiveness of internal controls for areas reviewed, possible recommendations to establish compliance and establish or enhance controls, and management responses to the recommendations. Audit reports are prepared to assist the president and administration in their decision making. Therefore, report distribution will be restricted to individuals who are organizationally responsible for the activity.

6.6 Follow-up Review

Audit and Management Services will perform follow-up reviews after audit reports are issued to determine the status of corrective action plans. A follow-up report will be submitted to the department head and assistant vice president (or dean) at the conclusion of each follow-up review. In addition, the results of individual follow-up reviews will be included in action plan status reports, which will be periodically submitted to the vice presidents, president and Audit Committee.

6.7 Coordination with External Auditing Agencies

The director will coordinate the department's audit efforts with the Auditor of Public Accounts and other external auditors.

It may be necessary under certain circumstances to request audits from external sources. After approval by the president, these requests will be coordinated through Audit and Management Services. The director will help ensure that external auditors have access to appropriate personnel and information that is relevant, complete and accurate. Additionally, Audit and Management Services will strive to minimize the time required by visiting auditors and limit disruptions to the conduct of normal business.

A copy of all audit reports issued by external auditors and responses to those reports will be provided to Audit and Management Services. Audit and Management Services may also perform appropriate follow-up on significant findings and provide status reports on implementation to the vice presidents, president and Audit Committee.

6.8 Implementation of New Systems and Major Modifications to Existing Systems

It is the responsibility of university management to establish adequate internal controls when information systems containing critical or sensitive information are implemented or modified. Upon request, Audit and Management Services may provide consulting or advisory assistance to university officials involved with implementing controls for systems.

6.9 Management and Quality Assurance

Audit and Management Services will comply with the International Standards for the Professional Practice of Internal Auditing established by the IIA, and every member of Audit and Management Services will comply with the Code of Ethics promulgated by the IIA. In addition to an ongoing, internal quality assurance program, an external quality assurance review will be performed at least once every five years (or at the discretion of the Audit Committee) by a qualified, independent reviewer.

7. RESPONSIBILITIES

The Director of Audit and Management Services is responsible for:

  • maintaining an effective internal auditing program;
  • ensuring that the results of examinations and actions taken are communicated to the Audit Committee and appropriate levels of university management;
  • keeping the Audit Committee informed of emerging trends and successful practices in internal auditing; and
  • ensuring that the internal auditing program includes consulting services, beyond assurance services, to assist management in meeting its objectives. Examples include process design and advisory services.

Academic and administrative department heads are responsible for:

  • allowing audit staff to have complete, free and unrestricted access to all university records and personnel necessary for the completion of audits and special projects;
  • providing responses (including action plans and completion dates) in accordance with this policy; and
  • ensuring that action plans are completed in a timely manner.

Vice presidents are responsible for approving action plans included in audit reports and have ultimate responsibility for implementation of the action plans.

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 Board of Visitors and is generally delegated to the Director of Audit and Management Services.

Previous version: February 2012
Approved by the President: April 2008
Approved by the Audit Committee of the Board of Visitors: May 2008

Index Terms

Audit
Internal controls

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 12-164.6;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: January 2009
Approved by the President: August 2002

Index Terms:
Coursepack
Copy Center
Copyright
Copying
1206 Contingency Management for Technology-based Information Systems

1. PURPOSE

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.

2. AUTHORITY

The president has charged Information Technology (IT) with managing the university's technology-based information systems; therefore, IT has the authority to establish policies related to that responsibility.

3. DEFINITIONS

Business Impact Analysis:
Examining the relationship between key business processes of the university and its ability to sustain and execute critical functions. Business impact analysis also identifies the technology resources required to sustain such critical functions

Critical functions:
Business processes identified by the division heads that significantly affect service levels to students, affect public safety, impact the budget and/or are the result of governmental regulations; those functions of information systems that are so important to the university that their loss or unavailability is unacceptable. With a critical function, even a short-term unavailability of the information provided by the system would have a significant negative impact on the fiscal or legal integrity of university operations or on the continuation of essential university programs/services.

Information system:
A set of processes and resources to generate, manipulate, store and/or disseminate data. Information systems are usually part of a larger business function and generally take one of the following three forms:

  • Central information systems:
    Information systems that use central computing facilities, the central communications network and/or other shared resources and are managed by Information Technology;
  • Local information systems:
    Information systems that use only individual workstations and/or departmental server resources not managed by IT; and,
  • Manual information systems:
    Information processes that use no information technology/electronic automation.

Contingency Management Plan:
A plan that includes an identification of critical functions, an inventory of the backup facilities and other information technology resources required in the event of a contingency, procedures for alternative processing and recovery, procedures for event detection, and requirements for training, testing and maintenance related to the plan.

System Owner:
The academic/administrative unit head responsible for overall functionality of an information system and for stewardship of the data it includes (e.g. the university registrar is the system owner for the Student Administration System). The system owner works in cooperation with IT for effective implementation/operation of the system and to assure appropriate controls are in place.

4. APPLICABILITY

This policy applies to all critical functions supported by technology-based information systems, applications or services.

5. POLICY

Departments must have contingency management plans in place and detail how critical functions will be performed should a contingency event result in the absence of normal facilities, information resources or personnel. IT must have a contingency management plan for the central computing facilities and the communications network. The plans will also outline the procedures to be used for returning to a normal operating environment. The development and maintenance of contingency management plans must adhere to university policies and standards including that all or part of the plans' contents be tested annually to ensure that they are complete, current and workable. Testing should be done in a manner that will not interfere with the normal quality of university services.

6. PROCEDURES

Adequate contingency management plans must be developed and maintained for all technology-based information systems that support critical functions

The contingency management plans must be reviewed, tested and updated at least annually and all personnel affected by the plan adequately trained on the content and operation of the plan.

7. RESPONSIBILITIES

7.1 Division heads are responsible for identifying critical functions within their divisions that are supported by technology-based information systems. Division heads are also responsible for:

  • informing departments within their divisions of the critical functions;
  • ensuring that adequate contingency management plans are in place for critical functions;
  • ensuring that departments have established alternate procedures to be used during a recovery period for central information systems; and,
  • deciding when situations require the activation of contingency management plans and/or alternate procedures.

7.2 Deans, directors and academic/administrative unit heads are directly responsible for:

  • developing and maintaining contingency management plans for local and manual information systems;
  • establishing alternate procedures necessary to sustain functionality during the recovery period for central information systems;
  • periodically reviewing, testing, and updating contingency management plans and alternate procedures; and,
  • ensuring that personnel within their areas are adequately trained on the contents of the plans.

7.3 The division heads shall decide the criticality of functions and/or assignment of responsibilities that are disputed or not organizationally apparent. The Assistant Vice President for Information Technology is responsible for identifying the technology resources that support critical functions, for developing contingency plans for critical technology-based information systems and for representing information technology within the broader continuity of operations/emergency planning context.

7.4 Development of contingency management plans for central information systems is a shared responsibility. IT is responsible for the central computing facilities and the communications network. The system owner is responsible for the contingency management plans and alternate procedures necessary to sustain functionality during the recovery period.

8. SANCTIONS

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

9. EXCLUSIONS

This policy does not refer to manual systems.

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: September, 2010
Approved by the President: April, 2002

Index Terms

Contingency Management
Critical functions
Critical applications

1322 Probationary Period for Classified Employees

1. PURPOSE

To establish the university's policy for the mandated probationary period for all classified 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

This policy is written in keeping with Virginia Department of Human Resource Management (DHRM) Policy 1.45 - Probationary Period and VA Code § 2.2-2812 Employment of Personnel.

3. DEFINITIONS 

Probationary Period
The introductory period of employment that allows the employee and JMU to determine if the employee is suited for the job. During the probationary period, employees may be terminated at the pleasure of the appointing authority, without access to the State Grievance Procedure. The normal probationary period is 12 months; however, it can be extended as described in this policy for up to 18 months for performance reasons, if an employee is absent for an extended period of time, or if an employee moves to another position within the last six months of the 12-month period.

Probationary Progress Review Form
The form used to document the probationary employee’s progress through the probationary period.

4. APPLICABILITY

This policy applies to all classified employees.

5. POLICY

It is the university's policy to require all classified employees to satisfactorily complete a 12-month probationary period as a prerequisite to continued employment with the university. 

6. PROCEDURES

6.1 New employment/Re-employment

Employees who are hired/re-hired into a classified position must serve a 12-month probationary period effective from the date of employment/re-employment. Employees who have completed a probationary period during their current employment, and who begin a new classified position with no break in service, are not required to serve a new probationary period unless they fall within the guidelines of 6.2 and 6.3 for positions that require a new and/or extended probationary period.

6.2 New probationary period

A person who is selected for a position that requires certification following completion of a prescribed training program must complete a new probationary period. Recruitment announcements for positions that require new probationary periods must include this requirement. Offer letters or other written employment notification also must include information about the additional probationary requirement, as appropriate.

An employee who is promoted into a higher position that requires serving another probationary period shall be offered to be returned to his/her previous position or an equivalent vacancy if the probationary period is not completed for any reason other than misconduct.

6.3 Reasons for extending the probationary period

Probationary periods may be extended for up to six additional months for performance reasons. 

Probationary periods must be extended when probationary employees are on any leave with or without pay for more than 14 consecutive calendar days. 

Leaves requiring extension of the probationary period may include:

  • Family Medical Leave
  • Leave without pay-layoff 
  • Military leave with or without pay 
  • VSDP (Virginia Sickness and Disability Program) short-term disability (STD) leave for more than 14 consecutive calendar days. Also included are periods of short-term disability where the employee is working in an “active employment” status with restrictions/modifications.
  • Workers’ Compensation 

Extensions include the first 14 days of absence, as well as those days in excess of 14, up to the date an employee returns to work. The total probationary period may not exceed 18 months, excluding periods of leave with or without pay. 

6.4 Change in position during the probationary period

When a probationary employee moves to a different position during the first 6 months of the probationary period, the remainder of the 12-month requirement must be completed. (However, the probationary period also may be extended for performance or leave reasons as described above.)

If an employee moves to a new position during the last 6 months of the probationary period, the employee's probationary period may remain as the original 12 months, or may be extended so that the new supervisor has the benefit of the full 12-month probationary period. However, the total time served in probationary status may not exceed 18 months (excluding any periods of leave that exceed 14 consecutive calendar days as described above.)

6.5 Employee Notification of Extended Probationary Period

Employees must be notified in writing on the Probationary Progress Review form if their probationary periods will be extended beyond the initial 12 months. Extensions must be approved by the reviewer.

6.6 Probationary Progress Reviews during the Probationary Period

  • At the end of 3, 6 and 9 months the supervisor should use the Probationary Progress Review form to record employee progress towards meeting established core responsibilities, special assignments and departmental values as well as make recommendations for performance improvement. 
  • The supervisor should meet with the employee at the end of 3, 6 and 9 months, and should also meet with the employee 3 weeks prior to completion of the probationary period, to discuss their progress. A rating of Contributor indicates satisfactory performance.
  • A decline in performance following a satisfactory performance review, but before completion of the probationary period, may be the basis for termination.
  • The completed Probationary Progress Review is an official form that is kept in the employee's personnel file in Human Resources.
  • The supervisor, reviewer and employee may also make recommendations for revisions to the position description in PositionLink at these intervals.

6.7 Additional Documentation of Work Performance

Documentation other than the Probationary Progress Review, such as any memoranda or an interim evaluation, is not official documentation of performance and should be kept in a confidential file separate from the employee's personnel file. 

6.8 Termination or Disciplinary Action

If the university determines at any time during the probationary period that an employee is not suited for the job and unable to improve satisfactorily, the employee should be terminated or allowed to resign at the discretion of the university. Notification of termination must be issued in writing. If notification must be made by mail, it is recommended that it be sent by certified or registered mail. Records related to termination shall reflect "unsatisfactory performance during the probationary period" or "resignation."

Probationary employees do not have access to the State Grievance Procedure to grieve a termination or disciplinary action. Any employee, including a probationary employee, who claims that termination, or other disciplinary action, was based on age, color, disability, gender identity, genetic information, national origin, parental status, political affiliation, race, religion, sex, sexual orientation or veteran status may file a discrimination complaint with JMU’s Office of Equal Opportunity or the Department of Human Resource Management.

6.9 Completion of Probationary Period

The supervisor should meet with the probationary employee 3 weeks prior to completion of the 12-month probationary period and provide the employee with a completed Probationary Progress Review. If a probationary employee works beyond a 12-month period without being notified (1) of satisfactory completion or (2) that the probationary period was extended, the employee will be regarded as having successfully completed the probationary requirement. 

Satisfactory completion of the probationary period does not result in the employee's receiving a guarantee of continued employment, but entitles the employee to certain rights as set forth in university policies.

There are no automatic pay increases as a result of completion of the probationary period.

6.10 Merit Increases

Merit increases for probationary employees, when available, must be based on the employee’s most recent Probationary Progress Review rating. The rating must be at the Contributor level to be eligible for a performances increase, which when funded, becomes effective on November 25.

7. RESPONSIBILITY 

The Director of Human Resources is responsible for the consistent application of this policy. The Director of Human Resources, as well as vice presidents, deans, directors and department heads are to ensure that probationary employees are informed of this policy. In addition, vice presidents, deans, directors and department heads are responsible for their department's adherence to this policy. Questions related to the application of this policy should be directed to an HR Consultant

Supervisors are responsible for conducting effective interim performance evaluation meetings at 3, 6, 9 months, as well as 3 weeks prior to the end of the probationary period.

Human Resources is responsible for reminding supervisors that reviews are due, as well as maintaining completed probationary progress review forms.

8. SANCTIONS

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

9. EXCLUSIONS

This policy does not apply to wage employees, 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.

Previous Version: August 2012
Approved by the President: September 2002

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

1. PURPOSE

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.

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 university's Board of Visitors (Board) has adopted the James Madison University Supplemental Retirement Plan for Faculty (SRPF), and its terms are consistent with this policy. The Board has given the President of the university the authority to execute the SRPF and any amendments required by the Internal Revenue Service in order for the SRPF to gain qualified status, provided said amendments are consistent with this policy.

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.

Contractual Right to Employment
For the purposes of this policy, a contractual right to continued employment refers to a faculty member who has a contract with a termination date more than one year in the future.

Early Retirement
The offer of certain compensation and benefits associated with a faculty member retiring prior to what would be considered 'normal' retirement in terms of age and/or length of state service.

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

Supplemental Retirement Plan for Faculty (SRPF)
The SRPF is intended to be a qualified defined benefit plan pursuant to the Internal Revenue Code of 1986, as amended.

4. APPLICABILITY

This policy applies to instructional and A&P faculty members. To be eligible to be a participant under the plan, a faculty member must:

  • Be at least fifty (50) years of age; and,
  • Be tenured or have a contractual right to employment as defined above; and,
  • Be a full-time employee employed in a non-classified faculty position (or be on leave from such full-time status) with at least 10 years of full-time service with the university; and,
  • Satisfy any additional criteria established by the president or Board of Visitors of the university relating to participation under the plan.

5. POLICY

Participation in the plan is voluntary for both the university and the faculty member.

With the approval of the president the university may exercise its discretion to extend an offer of early retirement to an eligible faculty member when such an offer is strategically intended to enhance the university's achievement of its mission.

6. PROCEDURES

6.1 Selection of Participants
Criteria for selecting participants from among the eligible applicants will be established by the university based upon policy objectives. Selected participants will be recommended by the deans or directors to the Vice President, who will make recommendations to the president for final approval.

6.2 Retirement Contract
The university and each participant will enter into a retirement contract that will include provisions covering the following matters:

  1. The participant's retirement date. Retirement will result in the participant's:
    1. Permanent conclusion of full-time employment with the university;
    2. Permanent withdrawal from active membership in the Virginia Retirement System (VRS) by the VRS member;
    3. Permanent ineligibility for active VRS membership on account of employment by the university or any other agency of the Commonwealth of Virginia; and
    4. Permanent ineligibility for contributions to the accounts of ORP (Optional Retirement Plan) program participants by the university or any other agency of the Commonwealth of Virginia.
  2. The amount of the early retirement benefit, which will be one hundred fifty percent (150%) of the participant's final base salary as reflected in the records of the university, and the schedule of payments for such benefit, which will be over a period of five years in quarterly increments. (Under exceptional circumstances, the University and the Participant may agree to accelerate the distribution of the Participant's Benefit. If the University and the Participant agree, the Participant shall receive his or her Benefit over a two (2) to four (4) year period in lieu of a five (5) year period.)
  3. The payments will be made pursuant to the Supplemental Retirement Plan for Faculty described in 6.4 below. Such payments will be made if the participant becomes disabled prior to the retirement date, or if the participant dies on or after the retirement date. However, such payments will not be made if the participant dies prior to the retirement date. The participant has full responsibility for evaluating all factors relating to ending full-time employment at the university, including retirement income, health insurance and tax considerations.

6.3 Annual Payments
Aggregate payments pursuant to this policy in any year may not exceed five percent (5%) of the university's educational and general fund appropriation for faculty salaries and benefits for that year. However, the actual amount allocated by the university for payments pursuant to this policy in any year will be determined by the needs of the university, and the university will not be obligated to allocate the maximum amount described in the preceding sentence.

6.4 Qualified Defined Benefits Plan
Benefits under this policy will be provided through the James Madison University Supplemental Retirement Plan for Faculty (SRPF). Benefits under the SRPF are intended to supplement any retirement benefits the participant may be receiving from the VRS and/or the optional retirement program (ORP) and to help alleviate the financial strain of retirement.

7. RESPONSIBILITIES

The president is responsible for approving individual early retirement offers.

Deans, directors and Vice Presidents are responsible for identifying candidates for the Retirement Incentive Plan and making recommendations to the president.

The Human Resources Benefits Team is responsible for managing the Retirement Incentive Plan for Faculty (RIPF) contracts and providing one-on-one counsel with applicable 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 excludes any and all employees who do not meet the criteria as established in Section 4 above.

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: April, 2002

Index of Terms

Early Retirement
Retirement
Supplemental Retirement

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/doc/newpar.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 History Investigation

1. PURPOSE

This policy is intended to protect the university's interests and the well-being of its students, staff and faculty and the public. This policy establishes parameters for criminal records checks on individuals who are offered employment at the university. Convictions disclosed or discovered in the employment process may influence the selection of the applicant where the conviction is job-related or such that the university deems the employment of the individual poses high risk to the university community.

2. AUTHORITY

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

3. DEFINITIONS

Conviction
The result of a trial or legal proceeding that ends in judgment or sentence that the person is guilty of a criminal or traffic violation.

Crime
The breach of a legal duty, punishable by a penal statute, whether federal, state or local.

Criminal Records Check
A review of the potential employee's or employee's record of criminal convictions and traffic violations.

4. APPLICABILITY

This policy applies to all university employees unless otherwise noted.

5. POLICY

5.1 Criminal Records Checks

All newly hired or rehired (any individual whose rehire date exceeds one year from the termination date or those who are rehired less than one year from the termination date and have not previously had a criminal records check conducted) full-time and part-time employees will undergo a criminal records check. The provisions of this policy also apply to temporary wage positions that are exempted from the normal competitive recruitment process.

5.2 Falsification of Information

The determination of falsified criminal history information on the application or in the hiring process will normally result in denial of or separation from university employment.

5.3 Individuals Identified as Potentially Having Job-Related or High Risk Criminal Histories

A criminal records check may also be conducted for individual employees who have disclosed potentially job-related or high risk criminal histories after being hired, or who have been reported as potentially having job-related or high risk criminal histories by any source after being hired. If it is determined that the job-relatedness or nature of the crime poses an unacceptable risk to the university community, the offer of employment will be rescinded, the individual will be separated from the university or the individual will not receive and offer of employment.

5.4 Job Application/Interview

The staff application for employment requires an applicant to describe any convictions for violation(s) of law, including moving traffic violations. While the faculty profile does not include a disclosure statement, both faculty and staff applications include a statement certified by the applicant as to the truthfulness of the report.

It is acceptable and appropriate to inquire about convictions, but not arrests, during the interview process. Hiring officials should review the conviction disclosure statements on the staff employment applications of interviewed candidates. Hiring officials should inquire about any reported convictions during the interview. Any information about reported convictions, as well as any information about falsification of information, must be communicated to the HR Service Center for further investigation and appropriate action.

Individuals who do not disclose all required convictions on the application will normally be excluded from the selection process up to and including rescinded offers of employment. Convictions disclosed on the application or during the employment process will not be considered in the selection decision if they have been determined to be neither job-related nor high risk.

5.5 Additional Background Investigations

The university reserves the right to conduct criminal background investigations when an employee is charged with any crime that reflects on his/her suitability for continued employment, during the course of an administrative investigation, when the employee is transferred or hired into a new position, or when circumstances are identified that warrant further investigation.

6. PROCEDURES

6.1 Communication of Policy

The provisions of the criminal history investigation policy will be communicated to applicants and employees using the following methods:

  • Application materials provided to all JobLink applicants
  • Departmental employment interviews
  • Departmental employment letters of offer
  • During Onboard @ JMU sessions
  • Classified employee welcome letters

In addition, members of the HR Service Center will be available to discuss the provisions and procedures of the policy with supervisors, employees and applicants.

6.2 Initiating the Criminal History Check

The selected candidate must complete a release form during their Onboard session. The HR Service Center will contact the department with the results if the investigation reveals a job-related or high-risk criminal history record.

The university reserves the right to conduct checks on the widest scope possible. Normally, criminal history investigations will include a criminal felony and misdemeanor court search based on a social security trace over the past seven years and a national sex offender registry search as well as other appropriate sources of background information.

Any information related to criminal history will be maintained in the strictest confidence possible. Only essential personnel involved in the hiring process (including the administrative line up to the president), the individuals involved in the assessment of job-relatedness or high risk nature, and the police and audit departments should be informed of information on the criminal background of an individual employee or applicant on a need-to-know basis.

6.3 Determination of Job-related or High Risk Convictions

The HR Service Center will initially review the criminal records check to determine job-relatedness or high-risk nature. If the individual has convictions that are job-related, the university will normally deny employment. The determination to deny employment will be made by the hiring authority, in consultation with Human Resources, and the administrative line, up to and including the president, in accordance with the policy. The decision to employ an individual with a job-related conviction requires the approval of the appropriate division head or the executive assistant to the president.

If the individual has convictions that are deemed high risk in nature, the hiring authority in consultation with Public Safety, Faculty/Staff Assessment Team (F/SAT), Human Resources, and the administrative, line up to and including the president will make the final decision to employ or retain the individual. The decision to employ an individual with a high risk conviction requires the approval of the appropriate division head.

In making the determination of job-relatedness or high risk nature, the hiring department will consider how recently the conviction occurred; the frequency and severity of the crime(s); and the age of the individual at the time the crime was committed. The safety and security of the campus community is the university's foremost consideration.

6.4 Preliminary Offers

Departments may make an offer of employment to the selected candidate; however, the offer is contingent on the results of the criminal records check. The HR Service Center will contact the department with the results of the criminal records check as soon as possible if a questionable record is discovered. In some cases, job offers may be delayed until the results of the checks are received.

If the employee commences work before the results of the criminal records check have been received, the offer letter will note that the continuation of employment is contingent on the results of the check.

6.5 References

JMU Policy 1320 provides more information regarding the hiring of classified and wage employees, including the university's policy on reference checks. JMU Policy 2101 provides more detailed information regarding the hiring of faculty.

7. RESPONSIBILITIES

Hiring supervisors are responsible for adherence to this policy, including communicating it clearly to job applicants.

The HR Service Center is responsible for the management of this policy, including overseeing the criminal records check process and reporting results.

8. SANCTIONS

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

9. EXCLUSIONS

Criminal history checks will not be conducted by Human Resources on:

  • Any individual whose primary role with the university is a student (criminal history checks are conducted on students hired into non-student wage positions)
  • Any individual who is hired to work five days or less
  • Student employees
  • Graduate assistants
  • Affiliates

10. INTERPRETATION

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

Previous Version: July, 2010
Approved by the President: July, 2004

Index Terms
Background checks
Criminal history checks

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

1. PURPOSE

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.

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

Accessibility:
The university objective that everyone within the university community, regardless of physical or technological readiness, will have the opportunity for appropriate access to information technology.

4. APPLICABILITY

This policy is applicable to colleges, departments, auxiliaries, research and administrative entities with the Information Technology organization supporting the programs or services of the university.

5. POLICY

The procurement, development and/or maintenance of information technology and user support services for persons with disabilities will be aligned with accessibility standards specified in Section 508 of the Rehabilitation Act and "Web Content Accessibility Guidelines" from the World Wide Web Consortium (W3C), appropriately tailored to the specific circumstances of the university.

Accessibility standards must be designed to evolve and change, as newer technologies are introduced and user needs change. At the same time, the standards will maintain a consistent framework for accessibility training and support services. University information technology development, maintenance, training and support personnel who are responsible for information technology procurement, programs and services will possess professional credentials and/or an appropriate level of technical knowledge and experience related to accessibility standards for persons with disabilities.

6. PROCEDURES

6.1 An overview of the university accessibility standards, guidelines, training, tools and methods is available at http://www.jmu.edu/computing/policy/.

6.2 To learn more about accessibility issues related to this policy, please refer to the following:

U.S. Government - Americans with Disability Act and the Rehabilitation Act of 1973 Section 504

U.S. Government - the Rehabilitation Act of 1973 Section 508 standards (http://www.section508.gov/index.cfm?FuseAction=Content&ID=12)

The World Wide Web Consortium (W3C) (http://www.w3.org/) is an international organization that develops inter-operable technologies (technologies that can communicate with each other), e.g., specifications, guidelines, software and tools, to lead the Web to its full potential. W3C is a forum of information, commerce, communication and collective understanding. Of particular relevance are the Web Content Accessibility Guidelines 1.0 (http://www.w3.org/TR/WAI-WEBCONTENT) Copyright © 1999 W3C (MIT, INRIA, Keio) and the Web Content Accessibility Guidelines 2.0 (http://www.w3.org/TR/2005/WD-WCAG20-20051123/) Copyright © 2005 W3C ® (MIT, ERCIM, Keio), All Rights Reserved. W3C liability, trademark and document use rules apply.

7. RESPONSIBILITIES

Information Technology is responsible for the oversight of technology accessibility on campus.

8. SANCTIONS

None

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: August, 2009
Approved by the President: September, 2008

Index Terms

Accessibility

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 - FMLA.

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 Employers Accident Report and Panel Physician 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 Physician 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

1. PURPOSE

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.

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 conjunction with and under the authority of Virginia Department of Human Resource Management (DHRM) Policy 2.10-Hiring.

The Americans with Disabilities Act Amendments Act (42 U.S.C. § 12101 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. James Madison University is obliged to provide reasonable accommodations to enable candidates to apply and interview for open positions.

3. DEFINITIONS

Classified Position
A salaried position assigned to an Occupational Family and Career Group based on duties and responsibilities, and to a Role Code based on the compensable factors of Complexity, Results, and Accountability. See DHRM Policy 2.20-Types of Employment.

JMU Only Position
A position for which only current JMU employees may apply. (This excludes individuals designated as affiliates.)

Open Recruitment
A position for which all state employees and the general public may apply.

Virginia Jobs
The statewide career site for the Commonwealth of Virginia. Positions reflected in the state’s Virginia Jobs system are available for view through the DHRM’s website.

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 measuring 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 persons involved in recruiting, selecting and hiring classified and wage employees at James Madison University.

5. POLICY

The university will recruit, select and hire classified and non-student wage employees in accordance with federal and state law and university policies. To comply with these policies, to ensure that employment practices are effective and to provide equal employment opportunity, the following procedures must be observed in filling all classified and non-student wage positions.

James Madison University does not discriminate and will not tolerate discrimination or harassment 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. Conduct by a member of the university community that constitutes discrimination or harassment on the basis of any protected class is a violation of university policy and is sanctionable. See Policy 1324-Discrimination and Harassment.

When requested, departments must provide reasonable accommodation throughout the application and selection process to persons with a qualified disability in accordance with the Americans with Disabilities Act.

6. PROCEDURES

6.1 Initial Steps

Before beginning a recruiting and selection process departments must:             

  • Analyze the vacant position and determine if any changes in the job have occurred that would require a new or updated job description.
  • Update the position description in PositionLink to reflect current duties and responsibilities.                                   
  • Determine the necessary and preferred knowledge, skills, and abilities (KSAs) or competencies for the position and identify up to five job-related screening criteria associated with the KSA’s that are predictive of a candidate’s ability to successfully perform the job.
  • Determine the appropriate salary hiring range. 
  • Determine, with Human Resources assistance as needed, if the position is assigned to the proper role and make role changes as necessary. 
  • Identify any education qualifications required for the position.                                                                                                                                 
  • Identify any bona fide occupational qualifications (BFOQs). 

6.2 Advertising

Departments should determine the recruitment strategy that best fits the department’s needs. This may be done in collaboration with Human Resources.

Job announcements must include the following:

  • Position title: Hiring officials will have the choice to use state role titles, working titles or a combination of both. 
  • Any bona fide occupational requirements. Please call Human Resources for help in determining appropriate requirements. 
  • A summary of job duties. 
  • Any educational requirements not required by law, stated with a provision for equivalent substitution of applicable experience or training (e.g., bachelor’s degree or equivalent combination of education and work experience required). When indicating a preference for a college degree, the announcement must also include the specific types of related degrees that are applicable to the position’s core duties. 
  • Any occupational certification, license, or registration required by law.
  • Salary or hourly pay rate (Ensuring that the Salary Administration Plan is adhered to and involving the HR Consultant to verify appropriate salary, hiring officials may choose to advertise one of the following): 
    • Specific hiring range 
    • Maximum starting salary 
    • Minimum starting salary 
    • Statement such as “commensurate with experience.” Advertised pay rates must be based on the appropriate pay bands and be within the budgeted amount for the position. 

Job announcements may also include the following:

  • Preferred qualifications 
  • A requirement for related experience (but requiring specific years of experience is prohibited) 
  • Other aspects of the position such as shift, work hours, etc.

Advertisements for all classified positions will automatically be placed:

  • In the JMU JobLink recruitment system (including JMU only announcements). 
  • In the state’s Virginia Jobs system. Job announcements must be posted for at least five consecutive workdays (including JMU only announcements). 
  • Through the Historically Black Colleges and Universities listserv. 
  • Through the Hispanic Association of Colleges Universities listserv. 
  • Posted on Heroes to Hire website (H2H).

Exceptions to the requirement for automatic advertisement placement are allowed for the following:

  • Positions that will be used as a placement for employees affected by a layoff. 
  • Positions to be filled by agency-initiated demotions, promotions or reassignments. 
  • Similar positions that become vacant within 90 calendar days from the closing date of the previously recruited positions. The hiring authority may use the same candidate pool if the two positions have the same role title, primary duties, work title and organizational unit. 

Departments may also choose to advertise in newspapers, journals, websites, or other print or electronic periodicals, etc. This can be done through Recruitment and Employment Services in Human Resources. Advertisements must meet all required Equal Employment Opportunity Commission regulations.

  • Web and display ads (ads with images) must include the following statement: James Madison University is committed to a diverse and inclusive community and to maintaining a work and educational environment that is free of all forms of discrimination. This institution does not tolerate discrimination or harassment 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. Anyone having questions concerning discrimination should contact the Office for Equal Opportunity: (540) 568-6991. 
  • Line ads (ads without images) must include the following statement: JMU does not tolerate discrimination or harassment 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.

The university does not require non-student wage (part-time) positions be advertised. The departments may fill these positions without interviewing or screening applications. However, if a department chooses to conduct a formal search, the guidelines set forth in this policy must be followed.

6.3 Screening

Positions may be posted for a fixed period of not less than five consecutive workdays (excluding weekends and holidays) from the posting date. When choosing a fixed period, a closing date must be included in the announcement. All applications received by the closing date must be considered.

Positions may also be posted with an open-until-filled statement. If this method is chosen for a classified position, the announcement must be posted on the JMU JobLink recruitment system and the state’s Virginia Jobs system for at least five consecutive workdays (excluding weekends and holidays).

Departments may either interview all applicants for a position or reduce the applicant pool by screening applications/resumes. Before screening applications, the hiring authority must choose up to five job-related criteria (as noted in 6.1 above) based on the Position Description (found in PositionLink). These job-related criteria must be included as qualifications in both the JobLink posting and in related advertisements. Recruitment Specialists are available to assist departments with screening.

6.4 Interviewing

Interviews must be conducted for all advertised classified positions. An exception to this policy regards persons on layoff status. If a person in layoff status is minimally qualified for the position, no interview is required to make an offer of employment to that person. All candidates selected for an interview must be interviewed before an offer is made. However, departments are not required to reschedule interviews with applicants who were unable to make the initial scheduled interview.

Interview questions must be developed before the interviewing process and all questions must be asked of each applicant interviewed. Questions must be job-related and based on knowledge, skills and abilities. Additional follow up questions may be asked in response to statements or questions from the applicant, or to clarify information provided by the applicant.

Interviews may be conducted by the hiring authority, persons designated by the hiring authority or by a selection panel. The following are expectations and responsibilities for selection panel members conducting interviews:

  • Selection panel members should familiarize themselves with the basic responsibilities of the position. 
  • If they are classified employees, selection panel members should be in the same role or a role with greater authority than the position for which they are interviewing candidates (unless the panel members are a human resource professional whose responsibilities include interviewing applicants). 
  • Selection panel members must excuse themselves from the search process if they are related to or have knowledge of a candidate that creates a conflict of interest.
  • Selection panel members should make recommendations regarding their choice of applicants to the hiring authority.

6.5 Reference and Criminal History Checks

Reference checks are covered in detail in Policy 1320-Providing and Obtaining Employment Reference Information.

Criminal background checks are covered in detail in Policy 1321-Criminal History Investigation.

6.6 Selection

Reasons for non-selection of applicants must be specific and job related and for each applicant who is not selected a ‘reason for non-selection’ must be noted in JobLink.

Using any of the following criteria as reasons for non-selection is prohibited by law and university policy:

  • Age, color, disability, gender identity, genetic information, national origin, parental status, political affiliation, race, religion, sex, sexual orientation or veteran status. 
  • Mental or physical disability that does not interfere with the applicant’s ability to perform the essential functions of the job with or without a reasonable accommodation. 
  • Other factors that have no bearing on job-related requirements.

Appropriate reasons for non-interview or non-selection may include any one or a combination of the following:

  • Unsatisfactory references or relatively weak references. 
  • Applicant’s refusal or inability to accept work schedule, salary, duties or other job-related conditions. 
  • Job-related education and/or training insufficient or not as strong as selected candidate. 
  • Job-related experience insufficient or not as strong as selected candidate. 
  • Job-related knowledge/skills/abilities insufficient or not as strong as selected candidate. 
  • Interpersonal or communications abilities not suited to the needs of the position.

6.7 Hiring

After the hiring authority, person(s) designated by the hiring authority, or the selection panel has completed reference checks and made a decision on the candidate who should receive an offer, the hiring authority must contact Human Resources to discuss the appropriate starting salary. After speaking with an HR Consultant, the hiring authority may extend an offer of employment. When the offer has been made and accepted, the candidate and the hiring authority can determine a start date, and the hiring authority must then submit the Onboard Form/ePar to Human Resources. Human Resources will send a welcome letter to all new classified employees. The selected candidate will be required to complete the Onboard process prior to the hire date. As part of the onboard process the candidate must present appropriate documentation in a timely manner to comply with requirements of the Form I-9 and the E-Verify system.

Nepotism and employment of family members is covered in detail in Policy 1301-Nepotism and Employment of Family Members.

6.8 Recruitment and Selection Records

The recruiting process is one that is closely monitored by state and federal agencies. It is critical that the process for hiring employees at JMU reflect a commitment to hiring practices that do not discriminate 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. 

For the protection of those involved in applying for positions, the information related to the recruiting and selection process shall be kept confidential. In addition, under the Virginia Freedom of Information Act (2.2-3700), agencies are not required to allow applicants to examine reference data or recommendation letters. Therefore, documentation of reference checks and information obtained must be maintained in strict confidence.

6.9 Documentation

It is important to provide rigorous documentation for each selection. Therefore, all hiring supervisors of classified positions (and of wage positions when a competitive search has been conducted) are responsible for submitting all of the following documentation to Human Resources within 14 days once a selection has been made:

  • The Screening Criteria Grid found in JMU JobLink documenting the following: 
    • Names for all the applications received 
    • Specific criteria used to evaluate applicants 
    • Ratings based on the established criteria for all applicants
  • Interview notes/questions on all applicants interviewed from all selection panel members
  • Reference check forms
  • Any correspondence to or from the applicants  

RESPONSIBILITIES

Human Resources coordinates the recruiting and hiring of classified and wage employees and oversees this policy.

SANCTIONS

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

EXCLUSIONS

This policy does not apply to the hiring of instructional or administrative & professional faculty.

INTERPRETATION

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

Previous Version: September 2012
Approved by the President: September 2001

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

1. PURPOSE

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.

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

Alternative Work Schedule:
For full-time, classified employees, a work schedule other than January through December, Monday through Friday, 8:00 a.m. to 5:00 p.m.

Classified Position:
A salaried position assigned to an Occupational Family and Career Group based on duties and responsibilities, and to a Role Code based on the compensable factors of Complexity, Results, and Accountability. See DHRM Policy 2.20-Types of Employment.

Flextime:
Full-time schedule that allows flexibility and does not typically match the university's standard schedule of Monday through Friday, 8:00 a.m. to 5:00 p.m.

Job Sharing:
Two classified employees voluntarily share the work responsibilities of one full-time, classified position.

LessThan12-Month Schedule:
Employees working less than 12 months which usually parallels the academic semesters.

4. APPLICABILITY

This policy applies to all classified employees.

5. POLICY

A unit head, dean, vice president, and/or associate/assistant vice president shall make all decisions regarding the applicability of a flexible schedule. University management has the responsibility to identify positions as being designated for a less than 12-month schedule or for job sharing based on the financial, physical and service needs of the unit. For positions that may be best suited for telecommuting. See Policy 1332-Telecommuting.

The university aligns its procurement plans, practices and procedures with the campus environmental stewardship goals and campus Environmental Stewardship Action Plan (ESAP).

5.1 Flextime
Unit heads may allow employees to have flexible work hours providing that employees work at least 40 hours each regular workweek. Unit heads are responsible for ensuring office coverage during the university’s ordinary business hours of 8:00 a.m. to 5:00 p.m. Unit heads have the authority to implement flexible work hours within a workweek based on the needs of the unit. Compressed, four-day workweeks or other alternative work schedules may be implemented as long as coverage is maintained.

5.2 Alternative Work Schedules
Only those units that must routinely provide services outside the traditional 8:00 a.m. to 5:00 p.m. work schedule may vary their weekly work schedule. Work schedules in these units may change from week-to-week, with employees having different days off during different weeks. Before implementing an alternative work schedule a unit head must first obtain approval from the appropriate vice president.

6. PROCEDURES

6.1 Less Than 12-Month Schedules

Compensation

  • The employee's annual salary will be pro-rated for a less than 12-month schedule based on the length of the employment term.
  • The employee will be paid over 24 pay periods to accommodate deductions for benefits during the non-working months.
  • The employee who separates from the university or changes employment status before the end of the schedule must repay any overpayment of salary.
  • The salary of an employee placed in a less than 12-month schedule must be at least equal to the legal minimum wage.
  • Current performance planning and evaluation policies will apply to these employees and salary increase eligibility will not be affected. 

Benefits

  • Employees will continue to be eligible for healthcare benefits during the 12-month period. The university will pay the employer share of premiums and the employee portion will be processed as a payroll deduction; thus, full, half-monthly premiums will be deducted from the employee’s salary each pay period. 
  • The employee will earn 12 months of retirement service credit and contributions will be made at the pro-rated salary rate. 
  • Life insurance will be in effect. 
  • All leave balances are frozen and there is no accrual of leave during the non-working period designated in the Less Than 12-month Schedule Agreement.  Optional deductions continue as long as there are sufficient earnings to cover the deductions. 

6.2 Implementing the Less Than 12-month Schedule

  • A supervisor shall designate positions in a unit as less than 12-month schedules to provide flexible work scheduling and to maintain efficient operation of the university.
  • The supervisor shall designate employees to be placed in a less than 12-month schedule based on the unit’s needs. 
  • Layoff rights are not triggered by the conversion of positions to less than 12 months since the positions are not being abolished but are being changed to reflect the operational needs of the university. 
  • The supervisor, the employee and unit head, dean, vice president, and/or associate/assistant vice president must sign the Less Than 12-Month Schedule Agreement before it can be implemented.
  • A Less Than 12-Month Schedule Agreement stating the beginning and ending dates of the term, along with a  Personnel Action Request must be sent to Human Resources to effect the change. The non-working months must fall at the end of the period - working months September through June, non-working months July and August.
  • Positions designated as less than 12-months should be determined before the beginning of the academic year. The employee should be informed as soon as possible, and not less than, 30 days before the effective date of the change. 
  • Units may not fill less than 12-month positions with wage employees during the non-working period of the less than 12-month employee. 
  • Employees placed in less than 12-month positions may accept wage employment at the university for a very specific purpose and for a period not to exceed two weeks. 
  • Employees placed in a less than 12-month position may not return to 12-month status until after the full term of the less than 12-month schedule. 

6.3 Job Sharing

  • Positions best suited for job sharing are those that can be broken into a series of tasks or projects that require limited coordination between the job sharers; however, any position may be individually assessed to determine its suitability for job sharing.
  • In selecting positions for job sharing, evaluation and consideration should be given to the impact it will have on internal and external customer service, continuity of university operations, and impact to supervisors and other employees.
  • Both parts of job sharing positions must have the same minimum qualifications and both incumbents must be able to meet all requirements.
  • Positions proposed for job sharing must be reviewed and approved in writing by the unit head, dean, vice president, and/or associate/assistant vice president.

Recruitment and Selection

  • The recruitment notice shall specify that the position is 50% and scheduled for 20 hours per week.
  • Applicants deemed fully qualified must be able to perform all the duties associated with the full position description and not selected responsibilities.
  • The selection process for filling a job sharing position is the same as for filling a single-incumbent classified position.


Compensation

  • New employees entering a shared position will be employed under the starting pay guidelines at 50% of the approved rate.
  • Current employees entering positions approved for job sharing will be paid 50% of their current annual rate.
  • Non-exempt, classified employees in shared positions are subject to provisions of the Fair Labor Standards Act and must be paid accordingly.


Benefits

  • Job sharers earn a pro-rated amount for holidays and annual leave.
  • Job sharers are given a pro-rated amount sick, family/personal leave and short-term disability benefits under the provision of the Virginia Sickness and Disability Program.
  • Job sharers are eligible for life insurance and retirement.
  • Job sharers are not eligible for health insurance.
  • Employee Work Profiles must be created and given to each job sharer. The development of job standards and completion of performance evaluations must be completed for each employee in accordance with established policy. See Policy 1305-Performance Evaluation for Classified Employees.


Implementing Job Sharing

  • All requests for job sharing must be initiated by the supervisor and submitted to the unit head, dean, vice president, and/or associate/assistant vice president as appropriate for approval.
  • Employees who apply and are appointed to a shared classified position will work 50% of the time or 20 hours during the regular workweek.
  • Employees appointed to the shared classified position will be covered by the rules applicable to the Virginia Personnel Act, including rights and privileges together with any limitations on less than full-time employment.
  • This policy does not affect the status of filled part-time classified positions that are currently authorized at less than 40 hours per week.
  • Wage employees are not eligible to participate in a shared position while continuing to work as a wage employee but may apply for any posted shared positions.
  • Classified employees in shared positions cannot be hired as wage employees while participating in this program.
  • Shared positions may return to full-time status at the discretion of the unit head, dean, vice president, and/or associate/assistant vice president. The full-time position must then be advertised and incumbents must apply through the normal recruitment process.

7. RESPONSIBILITY

Unit heads, deans, vice presidents, and/or associate/assistant vice presidents are responsible for the application of this policy in their areas of responsibility.

The Director of Human Resources is responsible for overseeing the use of this policy and assisting unit heads, deans, vice presidents and associate/assistant vice presidents with its implementation.

Supervisors are responsible for periodically reviewing job-sharing arrangements to determine if they are meeting the needs of the employee while at the same time providing acceptable operational standards in the unit.

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 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: July 2011
Approved by the President: April 2002

5001 Annual Planning Policy

1. PURPOSE

The purpose of this policy is to outline the annual planning process for the university's administrative units and place the process within the context of the university's mission statement, defining characteristics, visions and goals.

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

Defining Characteristics:
Statements summarizing the type of institution that the university strives to become.

Mission:
The statement that succinctly defines the ultimate purpose for the university or the administrative unit.

Objectives:
Clear, collaborative (where possible), concise, measurable and specific ways in which administrative units intend to achieve a specific university goal or pursue the administrative unit's mission statement. Some objectives evolve from previous evaluation/assessment efforts.

University Goals:
Goals established by the vice presidents with contributions from administrators, faculty members, staff members and students; these goals collectively describe current initiatives being pursued to achieve the university's mission statement and defining characteristics.

Vision:
The statement accompanying each characteristic that provides a rationale for that characteristic.

4. APPLICABILITY

This policy is applicable to all units outside the division of Academic Affairs.

5. POLICY

One of the university's defining characteristics addresses the university's planning process: The university will involve the entire campus community in a well-defined, consistently used and commonly understood process for planning and decision-making that emphasizes accountability and ties resource allocation to institutional effectiveness.

6. PROCEDURES

6.1 An effective planning process contributes to the identification, achievement and assessment/evaluation, and use of results of the objectives of administrative units.

  • The process should be accountable, clearly communicated to constituents, comprehensive, dynamic and inclusive (providing for broad constituent participation).
  • The process must be repeated annually.
  • The Planning Database shall be used by administrators and staff members designated by the appropriate division head or the executive assistant to the president. The database is the means for completing, reporting, sharing and retaining all aspects of the planning process.

6.2 Mission statement

  • All departments/offices must have a mission statement that along with other accompanying documents identifies what the unit strives to accomplish, the constituencies that the unit serves and the ways in which it relates to the educational role of the university.
  • Mission statements should be concise, periodically updated and developed with input from constituencies.
  • The mission statement will be modified or endorsed on the occasion of each unit's program review.

6.3 Objectives

  • Objectives may span one or more years; however, progress toward objectives must be reported annually.
  • Objectives should state the change or intended outcome when the objective has been attained.
  • Objectives should be clear, concise, measurable and collaborative, where possible. They may evolve from the needs and interests of faculty and staff members in the departments/offices or from students and other constituents.
  • Objectives may be responses to societal changes, recent program reviews and objectives from previous years.

6.4 Steps To Reach Objective (from Planning Database):

  • These steps are the ways in which a department/office seeks to attain an objective. They should be focused, specific and achievable within a year's time.

6.5 Assessment/Evaluation Methods:

  • All objectives must be assessed and evaluated annually to determine whether the desired change or intended outcome has been attained.
  • Assessment is the determination of the extent to which learning has occurred.
  • Evaluation is the determination of the extent to which any other change or intended outcome has occurred.
  • Assessment/evaluation efforts should utilize valid, reliable and multiple methods.

6.6 Objective Accomplishments (Year-end):

  • A summary must be provided about the extent to which the objective has been accomplished. The summary should include the activities and the changes that occurred.

6.7 Use of Assessment/Evaluation Results for Program Improvement:

  • Assessment/evaluation results should influence subsequent year's objectives and future resource allocations.

7. RESPONSIBILITIES

Vice presidents are responsible for implementing this policy within their divisions.

Each director or department head is responsible for the day-to-day management of the unit's objectives.

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

None.

10. INTERPRETATION

The authority to interpret this policy is given to the president, who normally delegates it to the Senior Vice President for Student Affairs and University Planning.

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

Index Terms

Planning Database
Policy
Procedure
Rules
University Policies

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. A list of Building Services Coordinators can be found at http://www.jmu.edu/riskmgmt/wm_library/JMU_Buildings_Addresses_2014_Building_Coordinators.pdf.

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 section III.D.4 of the Faculty Handbook.

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 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 2113.

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

1.PURPOSE

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 and are provided to support 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.

2. AUTHORITY

Laws such as the Family Educational Rights and Privacy Act (FERPA), the Government Data Collection and Dissemination Practices Act ( § 2.2-3800 et seq.), the Digital Millennium Copyright Act (Pub. L. No. 105-304, 112 Stat. 2860 Oct. 28, 1998), the Virginia Public Records Act (§ 42.1-76 et seq.), and the Freedom of Information Act (§ 2.2-3700 et seq.) require the university to enforce this policy.

Use of electronic messaging systems commits individuals to all applicable university policies and procedures, Commonwealth Department of Human Resource Management Policy 1.75 Use of Internet and Electronic Communication Systems (http://www.dhrm.virginia.gov/hrpolicy/pol175UseOfInternet.pdf), and other laws that may apply.

The President gives the Assistant Vice President for Information Technology responsibility for the university's electronic messaging systems/services and for instituting policies, procedures and technical mechanisms necessary to assure their effective support of the university mission.

3. DEFINITIONS

Electronic Messaging:
The use of communications mechanisms such as e-mail, instant message, social media, electronic list services, and web sites, etc. to deliver, exchange or circulate information electronically.

Official Communication:
Communications that include content related to the conduct of university business. Examples may include information about student enrollment, grades, and financial responsibilities, etc.; employee salary/progress information; financial accounts and records; administrative inquiries and records; audits; and academic or administrative decisions, reviews, reporting, and notices, etc.

Official JMU E-mail Addresses/Accounts:
Those e-mail addresses/accounts assigned by the university to employees, students, affiliates or others in affiliation with the .jmu.edu domain. For employees/affiliates these addresses take the form eID@.jmu.edu and for students they are eID@dukes.jmu.edu.

4. APPLICABILITY

This policy applies to all individuals and/or technical mechanisms that use the university's information technology resources for electronic messaging functions.

5. POLICY

All members of the JMU community are encouraged to use its electronic messaging resources and are expected to do so in a manner consistent with the university's mission. The university is committed to using its resources efficiently and e-mail is a cost-effective means of communication. This policy establishes e-mail as the university's official means of communication with students and employees regardless of their status and sets forth obligations members of the university community have regarding e-mail use for this purpose.

5.1 Official Communication:
The university will send official communications to students and employees by e-mail addressed to their official JMU e-mail addresses. Students and employees are expected to check their official JMU e-mail addresses on a frequent and consistent basis to remain informed of university communications, as certain communications may be time sensitive. Those who fail to check their e-mail on a regular basis are responsible for any resulting consequences.

To meet compliance obligations and maintain appropriate controls, employees/affiliates shall conduct all university business from their official JMU e-mail address/account.

Students have the option of automatically redirecting e-mail sent to their official JMU email address/account to another e-mail service. By making another delivery choice students are accepting responsibility for 1) selecting an e-mail service(s) they frequently use to ensure they receive and read official university communications in a timely manner, 2) the additional security/privacy risk that may be introduced through forwarding, and 3) any consequences resulting from unavailability of external services or any e-mail which is not received. Students shall also recognize that to help assure identity of the requester, certain types of requests for information or services from the university may require they be initiated only from their official JMU e-mail account.

Employees/affiliates may not automatically redirect e-mail sent to their official JMU account to another e-mail service.

5.2 Instructional Uses of Electronic Messaging:
Faculty members will determine how e-mail or other forms of electronic messaging will be used in instruction. Faculty may expect that students are checking their e-mail regularly and may use e-mail for their courses accordingly.

5.3 Appropriate Use:
The university encourages all members of its community to use electronic communications in a manner that is respectful of others. Individuals must remember that information distributed through the university's messaging systems may be subject to other university requirements under freedom of information, legal discovery, etc. When using university messaging systems, individuals should consider themselves as representatives of the university and appropriate language, behavior and style is warranted. Refer to Policy 1207.

5.4 Constraints:
To help assure availability and functionality of the university's messaging systems, individuals shall be aware of the technical constraints and functional limitations of the various messaging technologies they choose to use and abide by security and appropriate use principles governing their individual and common use. General messaging guidelines are available at: http://www.jmu.edu/computing/guidelines/messaging.pdf.

5.5 Message Content:
The content of any electronic message is the sole responsibility of the individual sending the message. Harassment, obscenity, forgery and other illegal forms of expression are not acceptable use of university resources. Restrictions on content of electronic messages are generally the same as those that apply to verbal or written communication (slander, harassment, etc.). When such restrictions need to be enforced, the same administrative, judicial and criminal processes as for non-computer communication may be invoked. Use of electronic messaging systems does not change what is and is not an illegal communication. Barring illegality or violation of university policy including, but not limited to, Policy 5101, Solicitation for Private Funds and Policy 1207, Appropriate Use of Information Technology Resources, the university will not regulate messages based on content or views expressed by the sender or implied by the receipt. Individuals who use resources such as electronic forums, social media sites, newsgroups, e-mail lists, etc. shall decide for themselves whether the forum and content are appropriate to their needs. The university will treat these services as an educational resource. Transmission of information by electronic means does not negate intellectual property rights, copyrights or other protections.

5.6 Privacy:
At university management discretion, files, data or communications may be reviewed as necessary. Therefore, individuals are entitled to no expectation of privacy with regard to their files, data or communication.

5.7 Occasional Personal Use:
Since electronic messaging systems may, on occasion, carry information in the form of incidental personal or casual communication, care must be taken that such use does not compromise security of university data resources, the integrity of university business functions or the appropriate use of university messaging systems.

5.8 Mass Messaging:
To provide for appropriate use of university resources, to appropriately steward e-mail addresses of university constituents and to avoid conflict or confusion, mass e-mail must meet certain criteria and procedures identified by the University Policy Committee for use of bulk e-mail and, unless otherwise stipulated, shall include a header/footer indicating compliance. Procedures for facilitating bulk mailings are available at: http://www.jmu.edu/computing/is/bulkemail/faq.shtml

In addition, since mass e-mail and other distributions to university constituents through the web or using JMU's other computing and messaging facilities may constitute an electronic publication of the university, additional standards may apply. Such electronic publications must be approved by the Division of University Advancement Office of Communications and Marketing and meet the standards outlined in Policy 1502, University Identity.

6. PROCEDURES

Specific requirements related to bulk mail, list services and other electronic messaging services mentioned in this policy are available on the JMU Computing Standards website at http://www.jmu.edu/computing/standards.

7. RESPONSIBILITIES

Electronic messaging systems by their very nature depend on the shared effort and responsibility of all who participate in and manage their use. Disruptions, whether by technical or behavioral means, can impact availability and usefulness for an entire community of users.

Information Technology (IT) is responsible for ensuring reliable, secure and efficient operation of the university's electronic messaging systems. IT will also assure access to messaging services for all members of the university community in keeping with the university mission and will instruct and assist users in choosing among various messaging options. Messaging servers cannot be established in the .jmu.edu domain nor can third-party messaging vendors (such as e-mail service providers) be contracted without specific permission from IT.

University employees have additional responsibilities by virtue of their access to a variety of institutional data. Since JMU is a state institution maintaining personal information about individuals, special care is required. Laws such as the Family Educational Rights and Privacy Act (FERPA) (20 USC 1232g et. seq.), the Virginia Government Data Collection and Dissemination Practices Act (Code of Virginia § 2.2-3800), the Virginia Freedom of Information Act (Code of Virginia § 2.2-3700) and others apply to data use and transmission within electronic messaging systems. University employees shall obey university policies and applicable laws and regulations regarding data use and information security as they use electronic messaging systems. Of particular note:

  1. E-mail must not be used to communicate highly confidential data as defined in JMU Policy 1205, University Data Stewardship.
  2. E-mail must not be the sole method for notification where another method of communication is required by law.
  3. Certain types of message content may constitute public records and/or be subject to records management requirements, including records retention. See JMU Policy Policy1109, Records Management for additional guidance.

8. SANCTIONS

James Madison University reserves the right to manage its electronic messaging resource (medium and services) to ensure overall utility and common accessibility in support of the university mission. This includes, but is not restricted to, suspension or revocation of computing and telecommunication services, including electronic messaging capability.

Regarding employees, sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment.

Regarding students, sanctions will be commensurate with the severity and/or frequency of the offense and may include suspension or expulsion.

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 2010
Approved by the President: April 2010

Index Terms
E-mail
Electronic messaging
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:

1337 Affiliates

1. PURPOSE

This policy is designed to establish the rules and procedures for the university's designation of an individual as a University Affiliate.

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

Affiliate
An individual who has a formal affiliation 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 (Formal affiliation means that a necessary relationship exists between the University and the individual to provide a service of value to the University).

Institution-Related Foundation (IRF)
As defined in the Comprehensive Standards of the Southern Association of Colleges and Schools section 3.2.13,, an institution-related foundation is a separately incorporated independent entity or organization existing to compliment an institution's education purposes and contribute to its overall effectiveness. An IRF is not controlled by the university; instead is has established a contract or other formal agreement that (a) accurately describes the relationship between the institution and the foundation and (b) describes any liability associated with that relationship.

NOTE: this policy does not apply to faculty members who affiliate within the university with other academic units.

Affiliate Coach
An individual who has been designated by JMU Intercollegiate Athletics as a volunteer coach in the Intercollegiate Athletics Department.

Contractor Affiliate
An individual who is employed by a contractor working on the university campus and/or assigned to work on the university campus in departments such as food services, fundraising, the credit union, the bookstore, mail services, marketing, telecommunications, or on construction sites.

Campus Minister
An affiliate who has been designated by the Student Organization Services office as a recognized minister to an official student religious organization.

Emeritus Staff
A retired member of the classified staff or Administrative and Professional Faculty of the university who has been granted emeritus status.

Emeritus Faculty
A retired member of the faculty of the university who has been granted emeritus status.

Institutional-Related Foundation Affiliate
An individual who is employed by a James Madison University Institution-Related Foundation and is assigned to work on the university campus through the Division of University Advancement.

Health Services Affiliate
An individual who is designated by an office on campus as a volunteer or working on assignment to provide services to such departments as the Office on Children and Youth, or the Virginia Center For Health Outreach.

International Programs Faculty
An individual who is not an employee of the university, but provides instruction in one of the university's StudyAbroad programs.

IT Affiliates
Information Technology contractors and/or vendors who have an established, on-going relationship with the university to deliver information technology services in support of their application(s) or under contract for services based on a statement of work. The affiliate relationship is based on either a contract with dates that are either fixed or based on contract with a yearly review and/or renewal. Affiliate status is provided in support of the specified statement of work and resulting schedule or the vendor contract and will not exceed one year without deliberate renewal of the affiliate status by IT.

Military Science Affiliate
An individual who is employed by the United States armed services and assigned to work on the university campus in the Military Sciences Department.

President's Office Affiliate
An individual who has been designated by the President's office as a recognized affiliate of the university.

Sponsored Program Affiliate
An individual who is working on campus, usually with university faculty members on research pursuant to a sponsored program, project, contract, or grant, but is not employed by the university.

Short-Term Affiliate
An individual who has a formal affiliation with the university, and receives some services from the university on short-term basis and may provide a variety of services for mutual benefit. These individuals may be students or faculty from other institutions studying or involved in research or a project at JMU or employees transitioning in or out of the University who require occasional visits and/or communication with the university on a temporary basis. Short-Term Affiliates must have an end date on the affiliate form of not more than sixty (60) days and may be renewed on an as needed basis with the approval of both the department head and Human Resources.

State Auditor
An individual who is employed by the Auditor of Public Accounts and assigned to work temporarily on the university campus.

Student Organization Affiliate
An individual who is designated by the Student Organization Services office as a volunteer for a registered student organization.

Teacher in Residence
An individual who is employed by a K-12 school district who volunteers to work with JMU students or who is participating in training/education on campus.

Visiting Professor
An individual who is employed by another university but is temporarily working on the JMU campus.

4. APPLICABILITY

This policy applies to all affiliates and to all services provided by the university for any Affiliate.

5. POLICY

University affiliates must be sponsored by a department of the university. The sponsoring department will determine which services will be made available to each affiliate, depending on the relationship of the affiliate with the university, as deemed appropriate by the university. The university reserves the right to modify and/or eliminate services to any affiliate without prior notification. Affiliate status is at the discretion of the university, and may be withdrawn or removed at any time at the option of the university.

6. PROCEDURES

In order to grant affiliate status and services to an individual, the department sponsoring the affiliate must complete an Affiliate Service Request Form. The form must be signed by the department head and approved by the department head's supervisor up to and including the appropriate division head and kept on file in the sponsoring department. Once the requesting department has obtained the signatures for their internal "hard copy" documentation, the form may be submitted electronically to Payroll for entry into the PeopleSoft Human Resources/ Payroll system. Affiliate status will normally become effective within seven working days after receipt of the form..

Requests for specific services for an affiliate are on listed on the Affiliate Service Request Form. The sponsoring department must designate which of the following service(s) are to be provided for the affiliate:

  • Eligibility to purchase a parking hang tag
  • Inclusion in the campus directory
  • JMU e-id
  • JACard
  • Library privileges
  • UREC access

Short-Term Affiliates, depending on their length and type of service, may not receive all of the above affiliate services but only those that are necessary to complete the service they are providing to the University.

All departments reserve the right to allow or disallow services to affiliates according to need and relationship with the University.

Once an affiliate's relationship with the university ends, all access to university owned/operated systems is immediately terminated.

7. RESPONSIBILITIES

It is the responsibility of the affiliate-sponsoring department to initiate the Affiliate Service Request Form. It is also the responsibility of the sponsoring department to notify payroll when the individual no longer has affiliate status or when services to the individual are to be stopped. The sponsoring department must maintain a file for all affiliates it sponsors, including copies of the documents authorizing the affiliate to receive services or access to systems.

It is the responsibility of the administration, up to and including the division heads, to approve affiliate status and appropriate services or access for individuals sponsored by departments within their division.

Payroll is responsible for entering the data from the affiliate request form into the PeopleSoft system, and for modifying the system once notified of the termination of affiliate status or services.

Human Resources will produce an annual report by org/unit for each department head of affiliate sponsoring departments to review the current affiliate status and make appropriate changes in the PeopleSoft Human Resources/Payroll system.

8. SANCTIONS

Sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment for employees who do not adhere to this policy.

9. EXCLUSIONS

This policy does not apply to faculty members who affiliate within the university with other academic units.

This policy does not apply to the spouses or family members of university employees and/or spouses and family members of affiliates in their use of UREC facilities. The policies and procedures of UREC concerning spouse and family use of the UREC facilities is separate and apart from these provisions. See http://www.jmu.edu/recreation/.

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, 2010
Approved by the President: February, 2006

1603 Reporting of Suspected Fraudulent Transactions

1. PURPOSE

The purpose of this policy is to establish procedures for reporting suspected fraudulent acts involving university property or 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.

STATE OR FEDERAL STATUTE AND/OR REGULATION

Code of Virginia Section 30-138 requires the president to notify the Auditor of Public Accounts, the State Inspector General and the Superintendent of State Police of circumstances suggesting a reasonable possibility that a fraudulent transaction involving university employees has occurred. Code of Virginia Section 2.2-3011 provides whistle blower protection for all employees disclosing information about suspected wrongdoing or abuse to an appropriate authority.

3. DEFINITIONS

Appropriate authority
A federal or state agency or organization having jurisdiction over criminal law enforcement, regulatory violations, professional conduct or ethics, or abuse; or a member, officer, agent, representative, or supervisory employee of the agency or organization. The term also includes the Office of the Attorney General, the Office of the State Inspector General, and the General Assembly and its committees having the power and duty to investigate criminal law enforcement, regulatory violations, professional conduct or ethics, or abuse.

Fraud
The intentional deception perpetrated by an individual or individuals, which could result in a tangible or intangible benefit to themselves and/or could cause detriment to the university, the commonwealth or others. Fraud includes a false representation of a matter of fact (whether by words or by conduct, by false or misleading statements, or by concealment of that which should have been disclosed) that deceives and is intended to deceive. Fraudulent transactions can include but are not limited to the following prohibited acts:

  • misappropriation of cash or funds with falsification of documents;
  • falsification of documents;
  • unauthorized use of university property or resources;
  • unauthorized access to (or misuse of) computer systems or equipment;
  • falsifying entries to payroll or travel records;
  • charging personal purchases to the university; and
  • unauthorized use of university employees.

Good faith report
A report of wrongdoing or abuse which is made without malice and which the person making the report has reasonable cause to believe is true.

Whistle blower
An employee who witnesses or has evidence of wrongdoing or abuse and who makes or demonstrates by clear and convincing evidence that he/she is about to make a good faith report of, or testifies or is about to testify to, the wrongdoing or abuse to one of the employee's superiors, an agent of the university, or an appropriate authority.

Wrongdoing
A violation, which is not of a merely technical or minimal nature, of a federal or state law or regulation or a formally adopted code of conduct or ethics of a professional organization designed to protect the interests of the public or employee.

4. APPLICABILITY

This policy applies to all university departments, activities, employees, students and student organizations.

5. POLICY

The university will not tolerate theft, waste, abuse or misuse of state or university property or other resources. University employees and students will be required to report suspected irregularities or possible fraudulent transactions to Audit and Management Services. All reported allegations will be fully reviewed, and substantiated fraudulent activities will be reported to the proper authorities.

The university will not discharge, threaten, or otherwise discriminate or retaliate against a whistle blower who discloses information about suspected wrongdoing or abuse in good faith and upon a reasonable belief that the information is accurate. Disclosures that are reckless or that the employee knew or should have known were false, confidential by law, or malicious shall not be deemed good faith reports and shall not be protected. In addition, the university will not discharge, threaten, or otherwise discriminate or retaliate against a whistle blower because the whistle blower is requested or subpoenaed by an appropriate authority to participate in an investigation, hearing, or inquiry by an appropriate authority or in a court action.

Nothing in this policy shall prohibit the university from disciplining or discharging a whistle blower for his/her misconduct or any violation of university policy or law.

6. PROCEDURES

6.1 Upon the discovery of circumstances that suggest that a fraudulent transaction may have occurred, it is the responsibility of university employees and students to immediately notify the Director of Audit and Management Services. Upon such notification, the director will ensure that the appropriate vice president and the president are informed of the questionable transaction or specific event.

6.2 Audit and Management Services will perform audit procedures to determine whether there is a reasonable possibility that a fraudulent transaction has occurred. Audit and Management Services will also attempt to quantify any losses and make recommendations for improving internal controls.

6.3 Employees and students are required to cooperate fully with those performing investigations. Employees, departments, students and organizations (i.e., other than those responsible for conducting investigations pursuant to this policy) shall not conduct investigations on their own since this may compromise official investigations.

6.4 If Audit and Management Services determines that there is a reasonable possibility that a fraudulent transaction has occurred and involves a university employee (including student employees), the office will prepare a letter for the president's signature to report the possible fraudulent transaction to the Auditor of Public Accounts, the State Inspector General and the Superintendent of State Police in accordance with Section 30-138.A of the Code of Virginia.

6.5 Audit and Management Services will also consult Public Safety for their opinion on whether a reasonable possibility exists that a fraudulent transaction has occurred. Further investigation of the transaction or specific event with the objective of prosecution is the responsibility of Public Safety and the Commonwealth's Attorney. The decision to prosecute is the responsibility of the Commonwealth's Attorney. Audit and Management Services will assist with further investigation if requested.

6.6 The university will take any necessary administrative actions and may request restitution of funds. Recovery of funds will be the responsibility of the Assistant Vice President for Finance unless otherwise decided.

6.7 University employees (including student employees) and citizens of the Commonwealth may also anonymously report suspicious activities to the State Fraud, Waste and Abuse Hotline (1-800-723-1615), maintained by the Office of the State Inspector General (OSIG). Audit and Management Services may be required to investigate these activities and report findings to OSIG.

6.8 Audit and Management Services will report incidents involving students to Judicial Affairs and, if student organizations are involved, the Associate Vice President for Student Life.

7. RESPONSIBILITIES

Employees and students are responsible for notifying Audit and Management Services of circumstances that suggest that a fraudulent transaction may have occurred.

Audit and Management Services is responsible for performing audit procedures to determine whether there is a reasonable possibility that a fraudulent transaction has occurred. The office is also responsible for preparing letters for the president's signature to report possible fraudulent transactions by employees to the Auditor of Public Accounts, the State Inspector General and the Superintendent of State Police in accordance with Section 30-138.A of the Code of Virginia. Audit and Management Services will report incidents involving students to Judicial Affairs and, if student organizations are involved, the Associate Vice President for Student Life.

Public Safety is responsible for performing investigations for the objective of prosecution.

The president is responsible for reporting possible fraudulent transactions by employees to the Auditor of Public Accounts, the State Inspector General and the Superintendent of State Police in accordance with Section 30-138.A of the Code of Virginia.

The Office of Human Resources is responsible for posting notices of whistle blower protection in accordance with Section 2.2-3013 of the Code of Virginia.

8. SANCTIONS

Regarding employees (including student employees), sanctions will be commensurate with the severity and/or frequency of the offense and may include termination of employment.

Regarding student organizations, sanctions will be commensurate with the severity and/or frequency of the offense and may include withdrawal of recognition and support for the student organization.

Regarding students, sanctions will be commensurate with the severity and/or frequency of the offense and may include suspension or expulsion.

In addition to the above administrative actions, individuals may also be subject to criminal prosecution. (See 6.4 and 6.5)

9. EXCLUSIONS

None

10. INTERPRETATION

The authority to interpret this policy rests with the president and is generally delegated to the Director of Audit and Management Services.

Previous Version: July 2011
Approved by the President: November 2009

Index Terms

Audit
Fraud
Whistle blower

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 through the university's advertising portal at http://www.jmu.edu/advertising for approval by the Office of Public Affairs.

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 via the university's advertising portal (http://www.jmu.edu/advertising) 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 via the university's advertising portal 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

1. PURPOSE

This policy provides direction and requirements related to management of information technology projects of varying size, scope and cost.

2. AUTHORITY

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 JMU Policy 1213 (Information Technology Project Management), JMU exercises independent authority for issuing policy and establishing requirements related to technology management for the institution. The President gives Information Technology (IT) responsibility for University policies and procedures for acquisition, implementation, documentation and use of information technology resources and for meeting its compliance obligations.

3. DEFINITIONS

Technology project:
A temporary effort undertaken by or on behalf of the university that: 1) establishes a new technology-based system or service; 2) facilitates a significant business process transformation using technology; or 3) includes a major change in technology architecture or a system migration beyond that considered as general maintenance, enhancement or refresh (MER) activity.

4. APPLICABILITY

This policy applies to all departments and employees of the university. It applies to all information technology projects undertaken at the university.

5. POLICY

It is the policy of the university to ensure effective and efficient project management exists and adequate controls are included when acquiring, developing and implementing information systems that include technology components.

Whether the objective is to acquire/develop a new system or service or to maintain/modify an existing one, the university requires all employees to comply with university policies and standards for management of information technology projects.

6. PROCEDURES

IT assists university departments in planning and managing information technology projects. Such projects generally include development or acquisition of new or enhanced computer systems including hardware, software and services. IT has established processes for classifying and managing specific sizes and types of projects in keeping with internal requirements and industry best practices. These include procedures for preparation and approval of project proposals, for determining project classification based on project size and complexity, and for meeting necessary documentation and oversight requirements. Procedures for submitting project initiation requests, classifying projects and for achieving the related oversight, management and documentation requirements are included in JMU Computing Standard developed and maintained by IT.

University departments must contact IT and complete a Project Initiation Questionnaire prior to soliciting acquisition, development or enhancement of technology systems.

7. RESPONSIBILITIES

IT must be involved in project selection and planning whenever a technology solution is being considered and will provide consulting and advisory assistance to university officials involved with implementing project management. IT will also provide technical input and other advice and/or assistance commensurate with the project classification. Inquiries about project initiation and/or IT's involvement should be directed to the Assistant Vice President for Information Technology.

The person/department proposing a technology project is responsible for project initiation. IT will work with the department on all administrative tasks associated with project selection and classification and for compliance with both university and state requirements.

Once the project is chartered (officially adopted as outlined in the JMU Computing Standard) the project manager, in consultation with the relevant division head or other sponsoring authority, as identified in the project charter, is responsible for project management, documentation and oversight. Specific responsibilities include assuring compliance with policies, standards and guidelines issued by the University and fulfillment of any external compliance obligations that may apply.

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.

Previous Version: September, 2010
Approved by President: December 2004

Index Terms

IT
Project Management
Technology Acquisition
Security Controls

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

1. PURPOSE

James Madison 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. 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 asked to assist 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.

2. AUTHORITY

University administration has given the Senior Vice President for Student Affairs and University Planning the responsibility and oversight of policies and procedures related to faculty advising for student organizations. Specific authority for this policy resides with the Director of University Unions in conjunction with the Office of Student Activities and Involvement.

3. DEFINITIONS

Recognized student organization:
A student group organized around a common cause, theme, interest or organization external to the university that meets all of the criteria set forth by the university required for official recognition. More information can be found on the JMU Student Organizations web page and student handbook.

Front-end Budgeted (FEB) Organization:
A student organization that receives an allocation of student fees (from the Student Government Association) during the spring semester for the following academic year.

Faculty/Staff Member:
Includes full or part-time instructional faculty member, full or part-time administrative & professional faculty member, full-time classified staff member, or wage employee.

4. APPLICABILITY

This policy applies to advisers of recognized student organizations at JMU.

5. POLICY

The university requires that each student group maintain an active relationship with at least one faculty/staff member who is interested in and committed to promoting the constitutional functions of the group. All student organizations must have an adviser who is a faculty or staff member at JMU as defined above. Additionally, the organization should be in contact with their adviser on a regular basis.

6. PROCEDURES

Information on the role of an adviser, liability concerns, and services to advisers is addressed more specifically in procedures provided by the Office of Student Activities & Involvement and the University Unions.

7. RESPONSIBILITIES

Faculty/Staff Adviser to Student Organizations

  1. To carry out the duties assigned to the adviser by the organization's approved constitution.
  2. To serve as a liaison between the University and the student group, to interpret communicate and advise the organization on university policies and procedures (including the Financial Procedures Manual and the JMU Manual of Policies and Procedures), and to be an official "guest" at the organization's functions when appropriate.
  3. To be aware of and assist the organization in the management of its financial operations. In addition, for front-end budgeted (FEB) organizations reporting to the Media Board, the advisor shall ensure compliance with all State and University financial procedures, including but not limited to Financial Procedures Manual Section 3045 (Local/Agency Funds) and the Office of Student Activities and Involvements' financial procedures for FEB organizations. (For other FEB organizations, University Unions staff is responsible for ensuring compliance with financial policies and procedures.)
  4. To assist the organization in planning and executing its programs and events, and to refer organizers to appropriate university resources which may aid in the planning process.
  5. To approve the organization's applications for use of university space, vehicles and fund raising (in conjunction with policies in the Student Handbook and University Policy #5101); to verify the organization's requests for financial support through student fees (Student Government Association Front-End Budgeting or Contingency Funds).
  6. To consult periodically with the Office of Student Activities and Involvement concerning the organization's direction, programs, and function; to notify the Office of Student Activities and Involvement in the event the organization has decided to disband or has ceased to function as a student organization.
  7. To serve as an adviser until a successor is appointed if for any reason it is impossible to continue as adviser to the organization.
  8. To submit, in writing, a formal resignation of duties as an adviser to Student Organization Services within 10 days.
  9. To assist the organization in the periodic examination of its progress toward the goals specified in the organization's constitution and to suggest alternatives that may aid in goal attainment.
  10. To serve on the hearing board for organizational disciplinary matters as needed. Training prior to hearings will be provided by the Office of Student Activities and Involvement.

8. SANCTIONS

Faculty/staff advisers of student organizations not adhering to the requirements set forth above, will relinquish their faculty adviser role and responsibilities.

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 Senior Vice President for Student Affairs and University Planning.

Previous version: December, 2008
Approved by the President: May 2002

1210 E-Commerce

1. PURPOSE

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.

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

University E-Commerce:
Financial transactions involving the sale of merchandise or services by departments or student groups or the receipt of contributions to the university over the Internet.

E-Commerce Oversight Committee:
A group that is jointly appointed by the AVP for Technology and AVP for Finance and charged with establishing parameters for JMU E-Commerce applications.

4. APPLICABILITY

This policy applies to all university E-Commerce. It applies to all employees and students engaged in such practices.

5. POLICY

It is the policy of the university to initiate adequate controls when implementing and maintaining E-Commerce. These controls will ensure compliance with state cash management requirements and provide assurance that university and customer financial information is properly secured. No new or revised E-commerce activities shall be established without prior written approval by the AVP for Finance.

Sale of university merchandise or merchandise bearing the university name or logo on the Internet requires prior approval by the AVP for Business Services.

Fundraising in the name of the university, including collecting contributions on the Internet, requires prior approval by the Senior Vice President for University Advancement.

6. PROCEDURES

University departments and organizations shall prepare and submit an application for new or revised E-Commerce activities to the AVP for Finance. The department head or director is responsible for the submission of the E-Commerce activity application. The application is attached as appendix A. Until approval is received from the AVP for Finance, no procurements may be completed and no E-commerce activity may begin.

7. RESPONSIBILITIES

The assistant vice president for finance shall review and evaluate the application for all university e-commerce business activities in accordance with this policy and shall make final recommendation to the Senior Vice President for Administration and Finance as to authorization of requested e-commerce business activity.

This policy also places responsibility on department heads and directors to 1) operate within the parameters specified by the E-Commerce Oversight Committee, 2) require appropriate computer use as specified in JMU Policy 1207: Appropriate Use of Information Technology Resources and 3) require appropriate information security as specified in JMU Policy 1204: Information Security and the Payment Card Industry Data Security Standards (PCI DSS) as specified by the PCI Security Standards Council. Reference the current PCI Data Security Standard.

8. SANCTIONS

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

The assistant vice president of finance will terminate the e-commerce business activity if it does not comply with the requirements of this policy.

9.EXCLUSIONS

None

10. INTERPRETATION

Authority to interpret this policy rests with the president and is generally delegated to the assistant vice president for finance.

Previous Version: January, 2010
Approved by the President: October, 2005

Application for E-Commerce Business Activity

1307 Performance Evaluation of Administrative & Professional Faculty

1. PURPOSE

This policy delineates the method for providing annual performance evaluations of administrative and 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.

Administrative & Professional Faculty Job Description & Performance Evaluation
This is the required form for conducting a performance evaluation. It is available online and consists of:

  • Section 1: Job Description
  • Section 2: Objectives for this Performance Cycle
  • Section 3: Performance Evaluation

4. APPLICABILITY

This policy applies to all administrative & professional faculty and those who supervise administrative & professional faculty.

5. POLICY

Each administrative & professional faculty member's performance will be formally evaluated on an annual basis.

6. PROCEDURE

The annual evaluation period for administrative & professional faculty is July 1 to June 30. Annual performance evaluations are to be conducted between June 1 and August 31 each year. The immediate supervisor must discuss the evaluation with the employee being evaluated and the employee must receive a copy of the evaluation.

The Administrative & Professional Faculty Job Description & Performance Evaluation must be used to define the employee's job description, set and track objectives, conduct the annual performance evaluation, and track professional development needs and progress.

Section 1 - the Job Description - a copy must be sent to Human Resources when it is first established and/or written and subsequently when it is changed.

The performance evaluation process includes reviewing the progress of goals and objectives set for the preceding performance cycle as well as setting goals and objectives for the succeeding performance cycle.

Multiple sources of information - e.g. client/customer feedback, feedback on supervisor by subordinates, peer feedback, self-assessment - should be incorporated into the evaluation process.

The employee must receive a copy. The supervisor retains the original documents in their departmental files while the employee is actively employed and for five years following termination. These documents must then be disposed of using a confidential destruction method. Refer to Policy 1109-Records Management, section 6.1 Records Retention and Disposition Schedules.

7. RESPONSIBILITIES

It is the responsibility of each supervisor of administrative & professional faculty to formally evaluate the employee's performance annually, which should be the culmination of regular feedback and coaching.

It is the responsibility of the supervisor to work with the employee in completing the Job Description (Section 1) and ensuring a copy of it is submitted to Human Resources initially and then sent whenever it is updated. Section 1 is the only section of the document that should be copied to Human Resources.

The supervisor must maintain the entire, origional job document in his or her files while the employee is actively employed and for five years following termination.

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 instructional faculty.

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 2011
Approved by the President: May 2006

ADDITIONAL RESOURCES

Administrative & Professional Faculty Resource Book
Faculty Handbook
Policy 1335 Terms and Conditions of Employment for Administrative & Professional Faculty
Policy 1339 Negotiated Amicable Separation Agreements for Administrative & 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

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 Internet and Electronic Communication Systems) 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

1. PURPOSE

The purpose of this policy is to outline the university's tuition waiver program for degree seeking coursework at JMU in support of the university's commitment to employee development and fulfillment.

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

Non-Degree Seeking Coursework
An individual applying for tuition waiver through this policy is considered non-degree-seeking if the total number of JMU credit hours earned, to include the credit hours represented by the course that is the subject of the current tuition waiver application, is 12 or fewer. In short, a faculty or staff member taking credit hours 1 through 12 at JMU is considered non degree-seeking. Non degree-seeking tuition waiver applications are addressed in Policy 1402 and are not considered in this policy.

Degree Seeking Coursework
An individual applying for tuition waiver is considered degree-seeking if the total number of JMU credit hours earned, to include the credit hours represented by the course that is the subject of the current tuition waiver application, is 13 or more. In short, a faculty or staff member taking credit hours 13 and up at JMU is considered degree-seeking.

4. APPLICABILITY

Except where noted, this policy applies to full time employees, wage or part-time employees, and emeritus faculty and staff.

ROTC employees may enroll in credit courses pursuant to this policy.

Clinical faculty members and Cooperative Education Partners in the teacher education program who have earned 300 tuition exchange units may use the vouchers earned to enroll in any 3 hour credit course at JMU, except for courses with an "OP" section, where space is available with approval from the Education Support Center.

5. POLICY

In support of James Madison University's commitment to the continued professional and personal development of employees, full and part-time faculty and staff, non-student wage employees and emeritus faculty and staff may enroll in James Madison University credit courses of instruction and have normal tuition or tuition deposit fees waived subject to the review and approval of their supervisor and within the terms of this policy.

The decision to pursue a JMU degree is a valuable privilege and benefit and represents a plan to commit a great deal of time to study and coursework. Before considering and approving an application for degree-seeking tuition waiver, the supervisor of the faculty or staff member applying for waiver must:

  • Affirm that the faculty or staff member has demonstrated consistently high job performance and should consider continued high job performance as a requirement for continued use of this policy to pursue the JMU degree.
  • Review with the faculty or staff member the plan for degree-attainment, particularly as it relates to any flexibility in work schedules that will be required.

The taxability or non-taxability of tuition waivers for employees is based on the Internal Revenue Code and is subject to change.

5.1 Eligibility

The following eligibility restrictions and guidelines apply:

5.1.1 Full-time faculty and staff may apply for degree-seeking tuition waiver after one year of employment. In addition, full-time classified staff must have completed their probationary period to apply for degree-seeking tuition waiver.

5.1.2 Emeritus faculty and staff are eligible to apply for degree-seeking tuition waiver upon being granted the emeritus designation.

5.1.3 Full-time faculty members who are not under a summer teaching contract are eligible to apply for degree-seeking tuition waiver for courses taken during the summer semester(s) upon the approval of their supervisor and dean in the form of signatures on the tuition waiver form.

5.1.4 Part-time faculty members are eligible to apply for degree-seeking tuition waiver after two semesters of teaching and then for courses taken in any semester in which they have an active teaching assignment or in any semester that begins within six months following the last day of their last active teaching assignment. However, part-time faculty must have the signatures of both their supervisor and dean on the tuition waiver form whenever applying for tuition waiver.

5.1.5 Generally, non-student wage employees are eligible for two courses and two labs per calendar year.

5.1.6 Non-student wage employees are eligible for a degree-seeking tuition waiver after 2000 hours of employment and may apply for another tuition waiver after each subsequent 1000 hours. However, a wage employee's eligibility for waiver is not cumulative. Once a waiver is issued, eligibility will not exist again until the employee has worked another 1000 hours. (See exceptions below.)

(Example: A wage employee has worked 2425 hours since becoming employed or since the issuance of a previous tuition waiver. The employee is eligible for waiver. However, once a waiver is issued, the 2425 hours are 'zeroed out' and the wage employee must work an additional 1000 hours to be eligible for a subsequent waiver and then another 1000 hours to be eligible for another waiver, etc.)

5.1.7 Non-student wage employees, who have been continuously employed for at least two (2) years and who have worked at least 2000 hours over the course of the previous two (2) years, are eligible to have tuition waived for two courses and two labs per calendar year (one course and one lab per semester) each calendar year beginning with the semester after the two-year anniversary is reached.

5.1.8 Non-student wage employees, who are nine-month employees, (the job mandates a break in employment) are eligible for a waiver for two courses and two labs per calendar year (one course and one lab per semester) after their two-year anniversary. To be eligible they must have worked at least 2000 hours over the course of the previous two years. They are only eligible for a waiver of tuition for courses taken during the time they are actively working.

5.1.9 Employees classified as 'part-time non-teaching' are eligible to apply for degree-seeking tuition waiver for one class and one lab in any semester in which they are employed by the university. Typically, these employees are research assistants, computer lab assistants, etc.

5.1.10 Part-time administrative & professional faculty members are eligible for a waiver for two courses and two labs per calendar year in any semester in which they are employed by the university.

5.2 Limitations:

5.2.1 Applicants who are full time faculty or staff or emeritus faculty or staff may have tuition waived for up to two courses and one lab each semester and per summer.

5.2.2 Applicants who are part-time instructional faculty or part-time administrative & professional faculty may have tuition waived for up to one course and one lab each semester and per summer.

5.2.3 Employees enrolled in the iMBA program are allowed the following waiver limitations:

5.2.3.1 Tuition waived for two courses in quarters 1 and 3

5.2.3.2 Tuition waived for one course in each of quarters 2 and 4

5.2.4 Waiver of tuition is not authorized for private vocal or instrumental instruction or for non-credit courses.

5.2.5 Approval to register for a course and receive waiver of tuition is not authorized for courses offered during normal working hours except when the signing authorities have determined that the following criteria are met:

The course relates directly to the individual's assigned duties or is required for a degree-seeking student.

And

Absence from work to attend classes does not exceed a total of four working hours per week regardless of whether one or two classes are taken per semester.

Note about summer classes: Courses taken in May session and in the summer are generally longer in duration than courses in other semesters. Employees may request an exception to the above requirement from their supervisor. If approved by the supervisor, this exception must be noted on the tuition waiver form.

Note about leaves of absences: Occasionally, a course may require an extended leave of absence. This applies to such courses as practicums or internships. Tuition may be waived for such courses with the supervisor's and Dean/AVP approval of the leave of absence and if the employee returns to work following the completion of the course.

5.2.6 Emeritus faculty and staff who are not employed by the university must have their application for tuition waiver signed by a representative from the Provost.

5.2.7 An employee who resigns from employment or is terminated for cause during the period in which a course is being taken will be responsible for the full payment of all tuition and associated fees, regardless of whether a tuition waiver has been approved for the course.

5.2.8 This waiver does not apply to individual courses offered thru Outreach and Engagement or other self-supporting programs, except as provided by university policy. Waivers can be used for employees who are fully accepted into the Adult Degree Program. Waivers can also be used for employees who are fully accepted into a Certificate Program or a Degree Program if space is available and with approval from Outreach and Engagement.

5.3 Important Note Concerning Online Courses

The Board of Visitors has approved a special tuition rate for online courses.

If the online course could be taken in a standard classroom setting (at the regular tuition rate)

or

If the online course is not required for a particular degree program and not required by the supervisory the amount of tuition waived will not exceed the standard in-state per credit hour tuition rate.

Examples:

  • An employee taking an online course that the employee has the option of taking in a classroom setting (at the standard tuition rate) will not have 100% of tuition waived. Instead, tuition will be waived up to the standard in-state rate.
  • An employee taking an online course that is not a required element of the particular degree program will not have 100% of tuition waived. Instead, tuition will be waived up to the standard in-state rate.
  • An employee taking an online course that is only offered online and is required for the completion of the degree will have full tuition waiver.
  • An employee taking an online course that has been required by his or her supervisor will have full tuition waiver for that course.

6. PROCEDURES

Persons seeking a waiver of tuition for courses taken under this policy will:

1. Prepare the Waiver of Tuition Form.

2. At a minimum, both the supervisor and reviewer must approve the application for degree-seeking tuition waiver by signing the waiver form. Non-student wage employees must have the signature of their AVP or Dean on each Request for Waiver of Tuition as one of the required signatures.

3. Human Resources will affirm that the employee qualifies for degree-seeking tuition waiver and will then forward the processed Waiver of Tuition Form to the University Business Office for final processing and approval of the waiver to be applied to employee account. Tuition waivers will only be processed after the university's semester census date. Employees receiving a balance due bill after submitting a tuition waiver will have their accounts adjusted by the amount of the tuition waiver for which they quality.

4. Employees will be emailed a copy of waiver processed by HR to retain for their records.

5. Early processing of the Waiver of Tuition Form is strongly encouraged.

6. Taxable waivers are subject to state and federal withholding and social security and Medicare taxes and are based on the employee's taxable income. At the end of each semester, the University Business Office will provide Payroll Services a listing of employees that have received more than $5,250.00 (the amount generally exempt from taxation under Internal Revenue Code Section 127).Payroll Services will collect the appropriate taxes from each employee at the end of the semester in which the employee exceeds the exempt limit for non-job related tuition waivers. Employee's W-2 will include taxable waivers.

7. RESPONSIBILITIES

It is the responsibility of the employee and his/her supervisor to ensure that the requirements of the policy have been followed.

It is the responsibility of the employee to know and understand this policy regarding online courses. In the event that the employee is requesting tuition waiver for a course that does not qualify for full waiver under this policy, the employee will be responsible for payment of the balance of the tuition not waived.

8. SANCTIONS

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

9. EXCLUSIONS

Application fees, special course or departmental fees, and readmission fees are to be paid by the employee.

This policy does not apply to nor address classes or courses taken at an institution other than James Madison University. For information about such courses, see policy 1401 - Tuition Reimbursement.

Employees of 'affiliates' such as Aramark, Follett or Pitney Bowes are not eligible for tuition waiver.

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, February 2008

Index of Terms
Tuition
Tuition waiver

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

1. PURPOSE

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.

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

University policies fall within a greater hierarchy of laws, statutes and regulations as well as within the following framework and therefore, are subject to compliance with laws and regulations instituted by higher levels of authority:

  1. Federal laws and regulations
  2. State laws and regulations
  3. Board of Visitors policies and rules
  4. University policies and rules
  5. Divisional policies and rules
  6. Departmental policies and rules

3. DEFINITIONS

Division:
Division is the largest organizational subgroup of the university.  The five divisions include:

Academic Affairs
Access and Enrollment Management
Administration & Finance
Student Affairs & University Pla