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

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

1. PURPOSE

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

2. AUTHORITY

The Virginia State Comptroller has given the Assistant Vice president for Finance the authority to enforce this policy.

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
• Personal checks or credit card payments returned unpaid by the bank
• Telecommunications charges
• 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.

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. As a last resort, the University Business Office will turn outstanding debts over to the Commonwealth of Virginia Attorney General's office for collection if a student fails to satisfy their financial obligations within an allotted time.

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: June 2009
Approved by the President: May 2002

Index Terms

Hold on records
Student accounts

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

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

1. PURPOSE

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

2. AUTHORITY

The Board of Visitors has the authority to make all rules and regulations concerning the employment of individuals to work for the university. Where the board has not enacted rules, the authority is delegated to the President.

3. APPLICABILITY

This policy relates to the 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 untenured appointments; academic year, calendar year, fixed term appointments and interim appointments. (However, please note that 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.)

4. 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.

Appointment:
The establishment of a contractual 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, transcripts, certificates, etc for acceptance of an offer, either mentioned explicitly in this policy or otherwise required by the Office of Affirmative Action.

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

Instructional Faculty:
Sometimes referred to as 'Teaching and Research Faculty" this is a faculty member whose primary responsibility is teaching, research and service. Instructional Faculty also have specific guidelines for employment set forth in the University Faculty Handbook.

5. POLICY

The process of hiring faculty members at James Madison University, from search through 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 Affirmative Action's 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 Policies 1301, 1302, 1326, and 1335.
• The hiring department may also choose to require certain documentation - such as official transcripts - 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, the appropriate university official will contact the candidate to make the offer. 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 appropriate university official will inform the successful candidate of the documentation necessary to accept the offer. Unless and until the candidate provides appropriate documentation that is satisfactory to the university, the offer may be withdrawn by the university.

2. For all Instructional Faculty and for Administrative & Professional 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 consist, at a minimum, of the following items:

• 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 justification form is available for this purpose. This justification will explain the employee's qualifications for the particular teaching assignment in the absence of a terminal or appropriate degree in a related subject.
• Degrees from foreign institutions must be submitted by the candidate to a service provider acceptable to the university for authentication and equivalency assessment, and the report must be accepted by the university before the documentation is complete.
• Proof of authorization to work in the United States, as provided by the immigration laws of the United States. Without exception and by law, this proof must be provided by completing a Federal I-9 form - no later than three days after the start of work.
• The Virginia State Job Application along with the JMU Addendum (available through Human Resources)

3. In addition to the documentation provided by the candidate, the hiring department will be responsible for any additional documentation required by the Office of Affirmative Action and the full completion of a PAR form.

4. For all Administrative & Professional Faculty who will not be teaching a class, documentation will consist, at a minimum, of the following items:

• Proof of authorization to work in the United States, as provided by the immigration laws of the United States. Without exception and by law, this proof must be provided by completing a Federal I-9 form - no later than three days after the start of work.
• The Virginia State Job Application along with the JMU Addendum (available through Human Resources).
• In addition to the documentation provided by the candidate, the hiring department will be responsible for any additional documentation required by the Office of Affirmative Action and the full completion of a PAR form to represent the third mandatory hiring document.

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

6. 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 and Vice President for Academic Affairs may choose to honor the offer for no more than sixty days, with continuation of employment contingent on the candidate's successful completion of all official transcript documentation requirements.

To hire a faculty member without appropriate official transcript documentation (for whatever reason), hiring officials must complete the Emergency Hire Form (Addendum 1) in order to request this option. If the university does not receive the appropriate official transcript(s) within sixty days of the start of the semester, the faculty member will be terminated. A faculty member terminated under such conditions will not be eligible for further employment. This Emergency Hire Form option is not available to employees who accept a position more than 60 days prior to the start of their first teaching semester.

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

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

9. 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 should provide the official transcript of the highest degree attained to date 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 of the degree may result in termination or non-renewal.

10. When the official transcript is coming from a foreign institution, the following time frames apply:

When a candidate whose degree is 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 and Vice President for Academic Affairs may choose to honor the offer for no more than 180 days, with continuation of employment contingent on the candidate's successful completion of all official transcript documentation requirements. To hire a faculty member without appropriate official transcript documentation (for whatever reason), hiring officials must complete the Emergency Hire Form in order to request this option. If the university does not receive the appropriate official, translated foreign transcript(s) within 180 days of the start of the semester, the faculty member will be terminated. A faculty member terminated under such conditions will not be eligible for further employment.

6.2 Appointments and Contracts:

Faculty appointments are official when a signed contract is issued by the president and accepted by the appointee and returned to the university with the faculty member's signature, or for an at-will faculty member, when the faculty member begins work in the position. For details see the Faculty Handbook.

The contract procedure shall be as follows:

• When the hiring department decides to initiate the hiring of a faculty member, it will generate a PAR Form and send it to Human Resources.
• If the hiring department generates its own contracts, it will attach a copy of the contract to the PAR Form, ensuring that the appropriate data on both the contract and PAR form are correct and identical. (All academic departments will generate their own contracts.)
• If the hiring department does not generate its own contracts, Human Resources will do so and send it to the hiring department after receiving the PAR.
• After the dean or AVP and the vice president (or his or her designee) sign the contract, the hiring department will send it to the president's office.
• After the president signs the contract it will be returned to the hiring department, which will send the contract to the candidate for signature.
• Once the hiring department receives the returned, signed contract, it will keep a copy for its records and send the original to Human Resources within three working days.

Contract Templates
The university has created a series of contract templates for the varying categories and types of 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 vice president's prior approval to do so. Contract templates are available through the Human Resources website.

7. RESPONSIBILITIES

Deans, department heads, search committee chairs and hiring supervisors are responsible for knowing and understanding this policy and following it carefully through the search and hiring process. They are also responsible for ensuring that accurate documentation accompanies the hiring of every faculty member.

Where the official transcript of the highest degree attained does not match the faculty member's teaching assignment, the hiring department is responsible for submitting a 'statement of justification' to Human Resources for inclusion in the employee's file.

When hiring a candidate who has completed all coursework for a doctoral degree except for the completion of the dissertation, the search committee chair, dean, or hiring supervisor is responsible for receiving the official transcript of the highest degree attained at the time of the offer in addition to ensuring that the official transcript of the doctoral degree is received in Human Resources within 15 days after the candidate is awarded the degree.

When the official transcript of an employee being offered a position is not submitted, the search committee chair or hiring supervisor is responsible for completing an 'Emergency Hire Form' and submitting it to Human Resources.

The hiring department is responsible for the management of the contract process, including sending the signed original to Human Resources at the end of the contract process.

Human Resources is responsible for creating contracts where appropriate and for placement of received contracts into the appropriate employee's personnel file.

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, Administrative and Professional Faculty members in the office of the Vice President for Academic Affairs and the position of the Vice President for Academic Affairs, see the Faculty Handbook, Section III.C.

In some cases, 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 Provost and Vice President for Academic Affairs.

10. INTERPRETATION

While the authority to interpret this policy is granted to the President, it is generally delegated to the Provost and Vice President for Academic Affairs.

Original Version: December 5, 2001
Updated January, 2002

Approved:November, 2003
Dr. Linwood H. Rose, President

Index of Terms

Contracts
Faculty hiring
Search committees
Transcripts
Searches
Appointments

Appendix

Emergency Hiring Form

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

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, 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, 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, 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: June, 2009

Index Terms:

Accommodation
Age
Color
Disability
Discrimination
Gender
Genetic Information
Harassment
National Origin
Parental status
Political affiliation
Race
Religion
Sex
Sexual harassment
Veteran status

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

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

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. Accounting Services 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 Accounting Services by the finder. The property shall be administered by Accounting Services 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 Accounting Services. 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 Accounting Services (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: April 2009
Approved by the President: July 2002

Index Terms

Lost Items
Found Items
Lost and Found
Personal property

Appendix A

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.

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 12-164.6;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.

Equipment Trust Fund:
Funds allocated by the Commonwealth of Virginia for equipment purchases.

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 permission and approval of a director, department head, academic dean or division head.

In addition, JMU Policy 1603 applies to those who observe university property being used inappropriately, such as unauthorized removal from campus.

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 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

Most often, if it is necessary to remove property from the campus, it may be done only with the permission and approval of a director, department head, academic dean orvice president..

However, with regard to equipment purchased from the Equipment Trust Fund, regulations require that such equipment remain on university property at all times.

10. INTERPRETATION

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

Previous Version: June, 2007
Approved by the President: May 2002

Index Terms
University property
Property
Use of university property

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.
     

• 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.
  

• 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.
  

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

7. 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.
   
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 Vice President for Student Affairs.
    

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

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

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 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, 2010
Approved by the President: April, 2002

Index Terms

Business activity

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.

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

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)

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

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.

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

1. PURPOSE

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

2. AUTHORITY

The JMU 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

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 full-time faculty and classified, adjunct faculty, part-time non-teaching and wage employees, student employees and Graduate Assistants.

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/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.

Submit a PAR form to Human Resources no later than three business days after the supervisor becomes aware of the employee's transfer/separation. Submit a PAR form to SWEC no later than three business days after the supervisor becomes aware of the student employee's or GA's transfer/separation.

• 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.
• Notify the following departments:
  • Accounts Payable,(540) 568-7396
  • Building Coordinator for office occupant updates
  • Card Services, (540) 568-6446
  • Lock Shop, (540) 568-6796, fmlockshop@jmu.edu
  • Residence Life, (540)568-7576, busops@jmu.edu
  • Parking Services, (540) 568-3300, parkingquestions@jmu.edu
  • University Advancement, (540) 568-5042, uaqa@jmu.edu
• Ensure that 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/or other systems access is terminated as required.
• Academic unit heads shall obtain grade records for the preceding academic year from separating faculty members in accordance with Faculty Handbook section III.A.2.b.(15).

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

• Retrieve university property associated with the transferring employee's position 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.

• Notify the following departments:
  • Accounts Payable, (540) 568-7396
  • Building Coordinator for office occupant updates
  • Card Services, (540) 568-6446
  • Lock Shop,(540) 568-6796, fmlockshop@jmu.edu
  • Residence Life, (540)568-7576, busops@jmu.edu
  • Parking Services, (540) 568-3300, parkingquestions@jmu.edu.
  • University Advancement, (540) 568-5042, uaqa@jmu.edu
• Ensure that the employee/student/GA'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/or other systems access are removed or terminated as required.

• For classified employees, an Interim Performance Evaluation form 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. The employee's new supervisor should consider this information in assessing the employee's performance at the end of the performance cycle. Reference JMU policy 1305 Performance Evaluation for Classified Staff, section 6.4.

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

• Submit a hiring PAR form to Human Resources when hiring an employee. Submit a hiring PAR form to SWEC when hiring a student employee or GA.

• Disburse university property for the new position, such as electronic equipment, keys, uniforms, etc.
• Notify the following departments:
  • Accounts Payable, (540) 568-7396
  • Building Coordinator for office occupant updates
  • Card Services, (540) 568-6446, cardsrvc@jmu.edu
  • Lock Shop, (540) 568-6796, fmlockshop@jmu.edu
  • Residence Life, (540)568-7576, busops@jmu.edu
  • Parking Services, (540) 568-3300, parkingquestions@jmu.edu
  • University Advancement, (540) 568-5042, uaqa@jmu.edu
• Ensure that 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/or other systems access is initiated as required.

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

6.4 Procedures for Human Resources upon receipt of an employee's separation PAR form.

• Within three business days, forward the separation PAR form or a copy of it, to the Payroll Services.
• Within three business days, email notification of the employee's separation to the following offices:
  • Accounting Services
  • Accounts Payable
  • Business Services (Computer Loan Program)
  • Card Services
  • Computing Support
  • Financial Services
  • IIS Security
  • Libraries & Educational Technologies
  • Lockshop
  • Mail Services
  • Parking Services
  • Procurement Services
  • Residence Life
  • Sponsored Programs
  • Technical Services
  • Telecommunications
  • University Advancement
  • University Business Office
• Conduct the employee exit interview with those separating full-time, classified employees who volunteer to participate.
• 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.
• Send the employee's supervisor a link to the Separating Employee Checklist to inform the supervisor of their responsibilities under this policy.

6.5 Procedures for Human Resources upon receipt of an employee's transfer PAR form.

• Human Resources will provide notification to 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 PAR.

• Within three business days, forward the separation PAR form or a copy of it, to Payroll Services.

6.7 Procedures for departments receiving notification of separations or transfers

Departments, particularly those specified in 6.4 - 6.6, receiving separation or transfer notification are responsible for taking appropriate actions on or 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 employee transfer or separation. Supervisors are responsible for ensuring that Human Resources or SWEC is notified of a separation no later than three business days after they first become aware of an employee transfer/separation. Supervisors are responsible for ensuring that Human Resources or SWEC receives the separation PAR form. 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 performing additional notifications as specified in this policy for transfers.

Human Resources will distribute appropriate information within three business days after becoming aware of an employee transfer or separation; and, ensure the transfer or separation PAR form is expedited to Payroll Services. Human Resources will provide notification to the former supervisor and the new supervisor of a transferring employee to inform the supervisors of their responsibilities under this policy concerning transferring employees. Supervisors of student employees are required to complete the Separating Employee Checklist upon notification of the student's 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.

Human Resources submits transfer/separationPAR forms for all transferring/departing employees to Payroll Services to facilitate the timely distribution of termination pay.

8. SANCTIONS

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

9. EXCLUSIONS

When there are less than three business days between a notification and the employee's transfer or separation date, or if a transfer or separation has occurred prior to the notification, the actions required in this policy shall be performed on the day notification is received, instead of the three day period normally allowed.

This policy does not apply to those part-time faculty members who are expected to return to the university. (Part-time faculty members are under separate separation procedures because of the unique nature of part-time faculty employment.) For instance, because the majority of part-time faculty members for whom separation PAR forms are submitted to Human Resources have already agreed to return to their part-time assignment the following semester, the system access will not be removed until 120 days following the separation date. This will allow employees in this role to retain email access, course web site, course Blackboard 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 date of separation. 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, Human Resources or SWEC will contact Information Technology to inform them of the need for immediate termination.

10. INTERPRETATION

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

Previous version: July, 2012
Approved by the President: January 2009

Index Terms
Employee separation

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

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

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

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 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 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 1through 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.

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, nor overtime leave credits.

Wage employees who meet eligibility requirements may take the allowable weeks of unpaid family or medical leave as outlined in the 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, 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, or administrative & professional faculty members, student employees or adjunct faculty. Refer to Policy 1334 for student employment 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: March 1999

1. PURPOSE

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

2. AUTHORITY

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 #1through #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
• 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 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 568-8144 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: November, 2008
Approved by the President: April, 2002

Index Terms
Recycling
Waste Management

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.
    

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).

• 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.

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.

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

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

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

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. [link]

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 which 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.

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.

Most recent version:  May 2002
Original Approved Version:  April 1, 1996

_________________________________________________

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

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

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, 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, 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, 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

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:

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

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

1. PURPOSE

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

2. AUTHORITY

The president provides the authority for the Assistant Vice President for Finance to enforce this policy.

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

A listing of current meal and lodging guidelines and mileage rates is 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: October, 2009
Approved by the President: October, 2009

Index Terms

Travel
Travel reimbursement
University-sponsored travel

1. PURPOSE

It is the objective of James Madison University to provide eligible employees with up to 12 weeks of paid or unpaid family or medical leave 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, or because of any qualifying exigency (as defined by 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 being the nearest blood relative to the injured service member with a illness or injury incurred in the line of duty while in the Armed Forces.

2. AUTHORITY

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 under a provision of law referred to in section 101(a)(13)(B) of title 10, United States Code.

Eligible Employee:

• A classified or wage 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.
• A full-time instructional or administrative faculty member who has been employed by the university for at least 12 months prior to the start of the leave.
• A part-time faculty member 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.

• 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.

• Inpatient care in a hospital, hospice or residential medical care facility
• Continuing treatment by a health-care provider.

4. APPLICABILITY

This policy applies to all university employees.

5. POLICY

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

5.2 The university requires that when requesting family and medical leave due to a call to active duty of a spouse, son, daughter, or parent, of the employee, or because of notification of an impending call or order to active duty in support of a contingency operation, the employee shall provide such notice to the employer as is reasonable and practicable.

5.3 The university requires that a request for family and medical leave be supported by a health-care provider's certification of the medical condition of the person affected to include the date when the serious condition began, the probable duration of the condition and other appropriate facts as detailed below:

• A family illness request requires a statement that the employee is needed to care for a child, spouse or parent and must include the estimated time needed.
• A personal illness request requires a statement that the employee is unable to perform the essential functions of his or her job as defined by the Americans with Disabilities Act.
• Military caregiver leave is for a seriously ill or injured Service member that is a spouse, son, daughter, parent, or nearest blood relative to the injured service member (up to 26 weeks of leave). An intermittent leave or reduced schedule request necessitated by planned medical treatment must include the expected treatment dates and duration of treatment.
• An intermittent leave or reduced schedule request necessitated by an employee's own health condition must include a statement of the medical necessity for the leave and the expected duration.
• An intermittent leave or reduced schedule requested for the care of an employee's family member requires a statement that the employee's leave is "needed to care for" the family member, the expected duration and the schedule of intermittent leave or reduced schedule. The term of "needed to care for" includes: the medical certification provisions encompassing both physical and psychological care and includes situations where, for example, because of a serious health condition, the family member is unable to care for his or her own basic medical, hygienic, or nutritional needs or safety, or is unable to transport himself or herself to the doctor, etc. The term also includes providing psychological comfort and reassurance which would be beneficial to a seriously ill child or parent receiving inpatient care in situations where the employee may be needed to fill in for others who are caring for the family member, or to make arrangements for changes in care, such as transfer to a nursing home; and an employee's intermittent leave or a reduced schedule necessary to care for a family member includes not only a situation where the family member's condition itself is intermittent, but also where the employee is only needed intermittently, such as where other care is normally available, or care responsibilities are shared with another member of the family or a third party.
  NOTE: When possible, the employee should provide certification in advance of, or at the commencement of, the requested leave. When that is not possible, certification must be provided reasonably soon after the leave begins. JMU may designate leave as FMLA qualifying for an employee if HR is notified that the employee has a qualifying event rather than waiting for the employee to request such leave.

• 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.

• 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 re-certifications on a reasonable basis.
• The university typically reviews each on-going FMLA case quarterly, however, requests for re-certification 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

• If the employee requests an extension to the currently approved leave period
• The circumstances for which the previous certification was issued have changed significantly
• Receive credible information that casts doubt on the employee's stated reason for the absences

• 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 below) 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 job 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.

• 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.

• 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.

• 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.

• 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).

• Classified employees' 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. PROCEDURES

6.1 Time Frames for Use of FMLA:
Eligible full-time employees may take up to 12 or 26* workweeks (60/130* workdays; 480/1040* hours) of family and medical leave in a year. The time missed from work for FMLA leave cannot exceed 12 or 26* weeks in a year.

6.2 FMLA for Full-Time Faculty and Classified Employees

A. 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 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.

• 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 workweek 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 6.2 (b).

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* workweeks of family leave during a calendar year for the reasons stated in this policy.
• Determining whether certification of health care provider 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.
• Informing first aid and safety personnel, where appropriate, if the employee's physical or medical condition might require emergency treatment.
• 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:
      1. Supervisors and managers may be informed regarding necessary restrictions on the work or duties of an employee and necessary accommodations;
      2. First aid and safety personnel may be informed (when appropriate) if the employee's physical or medical condition might require emergency treatment; and
      3. 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 under conditions other than or contrary to 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: August, 2009
  Approved by the President: May, 2002

  Index Terms:
  FMLA
  Family and Medical Leave Act
  Sick Leave

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.
    

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 services 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 12-164.6;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 "Parking and Traffic Regulations" (http://web.jmu.edu/parking/2010-2011%20Parking%20Regulations.pdf) or at the direction of parking 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 citation issued by the university.

Vehicles with handicapped permits or plates must display a valid JMU parking permit in conjunction with the handicap permit or plates whenever the vehicle is 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) 568-6912. Arrangements should be made to repair the vehicle or remove it from campus within 24 hours of notification. Disabled vehicles that present a danger to life or property may be towed at the owner or operator's expense.

6. PROCEDURES

6.1 Enforcement

Parking enforcement and police personnel will issue parking citations for violations of regulations printed in the brochure entitled Parking and Traffic Regulations
(http://web.jmu.edu/parking/2010-2011%20Parking%20Regulations.pdf.) This brochure is distributed with parking permits and is available 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 web site. Parking and traffic regulations are in effect 24 hours per day, 365 days per year.

Parking enforcement and police personnel are authorized to tow immediately and, if necessary, without warning when a vehicle is blocking access or presents a risk to public safety. 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 inserting the payment in the citation payment 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 the later of (a) ten calendar days after the date of violation, or (b) if the citation is appealed and denied and not paid in full within, 10 calendar days after notice of the appeal denial is mailed to the violator.

Student citations delinquent over 30 days are transferred to the University Business Office for collection on a daily basis. Delinquent citations are included in future student financial bills.

Citations paid within the first 30 days can be paid directly at the Parking Services office, or via www.jmu.edu/parking, Once citations are transferred to the UBO, students are required to pay through their student account with a check or cash at the counter in Warren Hall or with an e-check or a credit card (MasterCard, American Express or Discover) at the University Business Office web site (www.jmu.edu/ubo).

6.3 Late Payment

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

Faculty/Staff Members
Ten calendar days and 45 calendar days after a citation is issued to a registered faculty or staff vehicle, a written notice will be sent via campus mail regarding the necessity of satisfying the outstanding fine. Ninety days following the citation issue date a letter will be sent via campus mail detailing the amount of the delinquent fine to be deducted from the employee's next paycheck. Section 2.2-4800 of the Code of Virginia has authorized this action.

Visitors
If a visitor receives more than ten citations without obtaining a parking permit from Parking Services, his/her vehicle is subject to towing.

6.4 Appealing Tickets

The Parking Appeals Committee has been delegated the authority to rule on all appeals.
Initial appeals must be filed within 10 calendar days of the date the citation was issued. Citation Appeal forms are available at the Parking Services on the ground level of the Champion's Drive parking deck, via mail or fax and on the Parking Services web site. All student appeals must be submitted online.

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

Citations that have not been resolved within ten calendar days after the citation was issued must be paid in full prior to an initial appeal review.

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 should include additional information or documentation in support of the appellant's appeal.

Notification of the Parking Appeal Committee's decision will be sent to students via campus email accounts and to faculty and staff via campus mail. All returned emails will be followed by a written notification to the appellant's official university address. Responses will be mailed to an alternate address at the appellant's request.

If an appeal is denied, the appellant has ten 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, submit payment online at https://t2.jmu.edu/myaccount or deposit payment in the drop box at the front of the Parking Services office located on the ground level of the Champions Drive Deck. Do not insert cash in the drop box..

If the appeal is denied by the committee, at the request of the faculty, staff or student, the chair of the appeals committee and/or the Associate Vice President for Business Services may give the matter further consideration.

7. RESPONSIBILITIES

Parking Services is responsible for sending a written notice via campus mail to all faculty, staff and affiliates regarding the necessity of satisfying outstanding fines provided the vehicle is registered. Students will be notified of outstanding fines via their campus email account. All returned emails will be followed by a written notification to the student's official address. These notices will be sent approximately ten days after a citation has been issued.

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 and traffic rules and regulations must be settled 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: June 2009
Approved by the President: October 2004

Index Terms

Parking fines
Parking violations
Parking citations

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

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

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

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

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

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, 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, 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 attached Student Complaint Log Form 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

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 JMU Board of Visitors is responsible for university policies, delegating day to day management of those policies to the president, who has authorized this policy for directing university construction practices.

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 construction of a new building or renovation 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 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 Facilities Management is responsible for ensuring that proper action is taken to accomplish all necessary work related to new construction or renovation.

The Facilities Management Engineering Manager 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 Facilities Management.

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

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

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 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

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 Employee Relations Representative 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 Employee Relations Representative, 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.

JMU 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 Employee Relations Representative, 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 Workforce Analyst 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 Employee Relations Representative 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

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 (http://www.jmu.edu/JMUpolicy/1209.shtml), 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

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

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

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

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 Resources Policy 1.45 Probationary Period.

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 6 months of the 12-month period.

Probationary Progress Review Form
The form used to document the probationary employee's progress throughout 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.

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 (Code of Virginia §2.2-2812).

6.3 Reasons for extending the probationary period

Probationary periods may be extended for up to 6 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)
• Worker's' Compensation

Extensions shall 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 should 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 race, sex, color, national origin, religion, age, genetic information, sexual orientation, disability, veteran status, parental status, or political affiliation may file a discrimination complaint with JMU's Office of Equal Opportunity or the Office of Equal Employment Services of the Department of Human Resource Management.

1. PURPOSE
   
   This policy establishes guidelines for naming facilities, places, colleges, schools, institutes, centers, programs, and other units at the university.
2. 
   
3. 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.
4. 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.
5. 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.
6. 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.
7. 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.
8. 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.
9. 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.
10. EXCLUSIONS
    
    None.
11. 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.

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

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

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: March, 2009
Approved by the President: May, 2007

Index Terms
Rooms
Room scheduling
Room use
Space use