(See Chapter I., Section A.3. for definition of Governance)
A. ACADEMIC AFFAIRS
(See Chapter III., Section A. for additional academic affairs policies applicable to state universities)
1. Academic Calendar
(See Chapter III., Section A. for additional academic affairs policies applicable to state universities)
a. The Academic Calendar of each state university shall provide for an academic year minimally consisting of two sixteen-week semesters totaling no fewer than 146 instructional days plus five final exam days each semester.
b. Each state university shall file a three-year Academic Calendar adhering to holidays and breaks approved by the Board. Each state university shall follow the calendar as approved by the Board. Any deviation for reasons other than natural disasters or national emergencies must have prior approval of the Board.
c. The President and Chief Executive Officer of the Board shall have the authority to approve or deny non-substantive revisions to Board-approved three-year calendars and shall periodically report these changes to the Board.
d. Beginning May 21, 2020 and through December 31, 2021, the Board Chairman and the Board President and Chief Executive Officer, acting together, shall have the authority to approve or deny substantive revisions to any current academic year Board-approved calendar when such revisions are COVID-19 pandemic related and need to be made effective during the period between Board meetings. The Board President and Chief Executive Officer shall immediately report any such revisions to the Board.
2. COURSE NUMBERING SYSTEM
a. In order to maintain a common system of classification of academic information for all state universities, course levels are to be identified by the first digit catalog course number as follows:
000 099 No credit courses.100 299 Lower division, undergraduate. Designed as freshman sophomore courses. 300 499 Upper division, undergraduate. Designed as junior and senior courses.500 699 Upper division, undergraduate. Primarily for juniors and seniors, with enrollment of less than 50% master’s students.700 799 Graduate and upper division. For master’s students primarily; with enrollment of less than 50% undergraduate students.800 899 Designed primarily for master’s students.900 999 Designed primarily for doctoral students.
Master’s = Courses and thesis for master’s students who will ordinarily have accumulated from 1 through 30 graduate hours and students enrolled in professional schools (Law, Veterinary Medicine, M.D., Architecture, etc.).
Doctoral = Courses for specialists and doctoral students who will ordinarily have completed more than 30 hours of graduate work.
The dual listing of courses may be permitted on a limited basis with the written approval of the graduate dean of each institution. A current list of such dually listed courses shall be maintained by each university.
b. Course level shall be identified and reported as outlined in the KSPSD Reference Manual.
c. Program category and subcategory as defined in the most recent edition of the manual Classification of Instructional Programs (CIP) (National Center for Education Statistics) are to be identified by the last four or six digits of the course identification, and college and department are to be identified by the first three digits, resulting in a seven or nine digit course identification number.
d. Only the three digit course level and number portion need be used by students for regular course and catalog identification purposes.
3. CREDIT BY EXAMINATION
a. Credit awarded by any state university in conformity with this policy shall be accepted by all other state universities.
b. Except for exams with alternative scores set under paragraph c, each state university shall award:
i. Credit for all Advanced Placement (AP) examination scores of three (3) or above for the equivalent course or courses at their institution.
ii. Credit for all College-Level Examination Program (CLEP) examination scores at or above the American Council of Education’s (ACE) credit-granting recommended score of 50 for the equivalent course or courses at their institution.
iii. Credit for all International Baccalaureate (IB) examination scores of four (4) or above on Higher Level (HL) exams and Standard Level (SL) exams for the equivalent course or courses at their institutions.
iv. Credit for all Cambridge International (CI) examination scores of E or above on Advanced Levels (A Levels) exams and e or above on Advanced Subsidiary Level (AS Levels) exams when evaluated for the equivalent course or courses at their institution.
c. Any academic discipline may establish higher systemwide AP exam scores above three (3) IB exam scores above four (4), and scores above E and e for CI, using the process for establishing a higher systemwide score proposed by the Council of Faculty Senate Presidents and approved by the Council of Chief Academic Officers on May 18, 2016 and amended by the Council of Chief Academic Officers on February 20, 2019. Any academic discipline may review and change a higher systemwide AP exam score above (3) a higher systemwide IB exam score above (4), and higher systemwide CI exam scores above E and e using the process for reviewing and changing systemwide scores proposed by the Council of Faculty Senate Presidents and approved by the Council of Chief Academic Officers on January 17, 2018 and amended by the Council of Chief Academic Officers on February 20, 2019.
d. All other Kansas public postsecondary educational institutions are encouraged to adopt this state university policy.
e. Institutions shall have discretion on awarding additional credit for scores above three (3) on AP exams, above four (4) on Higher Level or Standard Level IB exams, above E and e on CI exams, and scores above the ACE credit-granting recommended score of 50 for CLEP exams.
4. CREDIT FOR COURSES INVOLVING TRAVEL
a. Academic credit for courses or programs involving travel shall be granted under the same conditions and by the same procedures as for other courses offered for credit by the institution.
b. No program for instructional activities outside the State of Kansas shall be approved by any state university if any one or more of the following apply:
i. The proposed courses do not fall within the authorized program of the institution;
ii. The instructors are not duly qualified members of the faculty of the institution concerned; or
iii. The activity is designed to produce a profit for any individual.
c. The organization of non credit hours by individual faculty or staff members to be conducted at times when they are not being paid by the State of Kansas shall be permissible provided all reasonable precautions are taken to avoid the appearance of institutional sponsorship.
d. Nothing in this statement is intended to modify currently accepted practice relating to academic extension programs, as defined below.
5. PROGRAM REVIEW
a. In cooperation with the state universities, the Board will maintain a regular program review cycle and process that will allow the universities to demonstrate on an ongoing basis that they are delivering quality programs consistent with their mission. Regular program review is institutionally based and follows the departmental or unit structure of the institution. The Vice President for Academic Affairs shall provide guidelines for Program Review and, as part of the review of institutional reports, will include consideration of the Board-approved minima tables.
b. In addition to and distinct from the regular program review cycle and process, the Board may direct one or more state university chief executive officers to undertake a strategic program alignment review to determine which of the university’s programs shall be recommended to the Board for continuation, further evaluation, merger, or discontinuance. Guidelines will be established by the Board.
If directed to do so under this provision, the state university chief executive officer shall present to the Board a list of programs for strategic alignment review. Upon receipt of the list, the Board shall review, approve one or more programs for alignment review, and may select one or more additional programs to evaluate.
Upon completion of the strategic alignment at the campus level, the state university chief executive officer shall recommend to the Board whether identified programs should be continued, further evaluated, discontinued, or merged, and provide a rationale for each recommendation. The Board shall review the recommendations and make the final determination whether the evaluated programs continue, merit further evaluation, merge, or discontinue. For programs the Board has identified for merger or discontinuance, the state university chief executive officer shall provide a plan for the transition.
c. The review of degree programs shall encompass all levels of academic degrees from associate to doctoral. “Program” means an academic plan that is approved by the a Board and leads to an award.
6. PROGRAM PARTICIPATION - OUTSIDE FUNDING
No state university may accept a grant or gift to enter a contractual relationship for any program contrary to or outside the scope of mission and programs authorized by the Board for that institution. No program by its terms or implications can obligate the institution to continue such program after the expiration of outside funding for the program except by prior approval of the Board.
7. NEW ACADEMIC UNITS AND ACADEMIC PROGRAMS
Approval of academic units and programs is motivated by: (1) a desire to ensure sufficient resources to offer a quality program or to support a new academic unit and (2) a need to monitor new programs and units within the Kansas public postsecondary system.
a. Definitions: As used in this policy, the following terms have the stated meanings.
i. Major: A major is a program of study offering both depth and breadth in a particular discipline or field of study. For a bachelor’s degree, a major should entail approximately the equivalent of one academic year of work in the main subject plus one academic year in related subjects, or two academic years in closely related subjects within a liberal arts interdisciplinary program.
ii. Minor: A minor is a program of study, with less depth than a major. It is completed to complement, or as an addition to a major. A minor may not exceed 24 credit hours at the baccalaureate level; 12 credit hours at the master's level; and 18 credit hours at the doctoral level.
iii. Concentration: Concentrations, emphases, subprograms, sub-majors, tracks, and options are all referred to as concentrations. A concentration is a structured plan of study within a major. The number of semester hours for a concentration varies, but is included within the semester hours for the major. New concentrations do not require approval from the Council of Chief Academic Officers or the Board.
Note: Certificate programs are not considered concentrations or minors and are determined at the campus level.
b. Actions that Require Approval by the Council of Chief Academic Officers and Board President and Chief Executive Officer: The following types of action require approval by the Council of Chief Academic Officers and the President and Chief Executive Officer of the Board of Regents. Action is approved when the campus receives written notice from the Board President and Chief Executive Officer.
i. Approval of a new minor in an area of study where no Board-approved degree program exists.
ii. Changing the name of an existing unit or degree title or consolidating two or more units or degrees in one unit or degree or splitting a unit or program into two or more units or programs.
iii. Any new department.
iv. Any new school housed within an existing college.
c. Actions Requiring Approval by the Board: The following types of actions require approval by the Council of Chief Academic Officers, the Council of Presidents and the Board of Regents:
i. Substantial reorganization of a state university’s academic structure.
ii. Any new stand-alone college/school.
iii. If they require new state funding, any new department, institute, or center.
iv. Any new degree programs.
v. Any extension of an approved degree program to a higher degree level, e.g., Associate Degree to Bachelor's Degree.
vi. Any new major under an existing degree name.
d. Approval of New Academic Program Proposals
(1) When the Board considers the establishment of a new degree program or major, information regarding its need, quality, cost and means of assessment become paramount. The minimization of unnecessary program duplication is a high priority of the Kansas Board of Regents.
(2) State universities must submit a complete program proposal to Board staff and enter the proposed program into the Program Inventory Database. Once Board staff receives a complete program proposal and the program is entered into the Program Inventory Database, the proposal will be available electronically for institutions to view. All institutions shall be automatically notified of the proposed program by email through the Program Inventory Database. If a state university wishes to express concerns about a proposed associate, baccalaureate, masters, or doctoral degree, the president or chief academic officer shall address such concerns in writing to the Board staff within 45 calendar days of notification of the proposed program. If a community or technical college wishes to express concerns about a proposed associate degree, the president or chief academic officer shall address such concerns in writing to the Board staff within 45 calendar days of notification of the proposed program. During the 45 calendar day comment period, the list of concerns, comments and objections will be compiled by Board staff and forwarded to the state university for follow-up. The state university proposing the program is expected to communicate with other institutions filing concerns, comments or objections to minimize or eliminate the identified issues. Final proposals must include evidence that concerns, comments or objections have been addressed. This process is designed to make the approval process more transparent, improve proposals and reduce potential conflict related to unnecessary duplication. The 45 calendar day comment period shall run concurrently with the approval procedures for new academic program proposals.
The Board President and Chief Executive Officer, or designee, shall determine if each proposed program is similar to others in the state and may serve the same potential student population. A similar program is one that has a like CIP code, title, content or competencies. If the President and Chief Executive Officer, or designee, determines that one or more similar programs exist, the following information included in the program proposal narrative shall be taken into account: the ability/inability to offer the program collaboratively, the level of student interest in the program, existing and future labor market demand, and availability of clinical sites, if applicable.
Board staff shall compile, analyze and make recommendations to the Board on the information provided in the program proposal narrative. The recommendations and information provided shall be reviewed by the Board Academic Affairs Standing Committee to determine whether the program represents unnecessary program duplication before forwarding the proposal to the full Board for action.
ii. Procedures for Approval of New Academic Programs
After a complete program proposal is entered in to the Program Inventory Database, it shall be reviewed and considered as a first reading by the Council of Chief Academic Officers at its next regularly scheduled meeting. During the review, Council members may question the representative of the proposing institution regarding the proposed program. Council members will also consider any comments, suggestions or concerns received by Board staff. In addition, Council members will consider how the comments, suggestions and concerns have been addressed.
(1) The Council of Chief Academic Officers shall review and consider the proposal as a second reading at its subsequent regularly scheduled meeting. The Council shall make one recommendation based on a majority vote according to the following voting categories:
(a) Recommended: Proposed program merits implementation according to institutional and State priorities.
(b) Not Recommended: Proposed program does not merit Board approval at this time.
(2) The Council of Chief Academic Officers shall convey its recommendation in writing at the next regularly scheduled meeting of the Council of Presidents. If the vote of the Council of Chief Academic Officers is unanimous, the Council may convey its recommendation to the Council of Presidents on the same day it is made.
(3) The Council of Presidents shall consider the proposal and forward its recommendation to the Board of Regents.
(4) The Board of Regents shall act on the proposal at its next regular meeting.
e. Application Procedure for New Academic Programs
i. State universities shall enter the proposed program into the Program Inventory Database.
ii. State universities shall complete and submit the “Basic Program Information” Form, which shall include the following:
(1) Proposing institution;
(2) Title of proposed program;
(3) Degree(s) to be offered;
(4) Anticipated date of implementation;
(5) Responsible department(s) or unit(s); and
(6) Center for Education Statistics, Classification of Instructional Program (CIP) code associated with the program.
iii. State universities shall submit to Board Staff a "Program Proposal Narrative" and include responses to the following:
(1) Program Justification. Program proposals shall establish clearly the need for the proposed program. Need for a proposed program shall be judged on the basis of the following criteria:
(a) Is the program central to the mission of the institution? What are the locational and comparative advantages of the program?
(i) The proposed program shall be centrally related to the Board approved Mission Statement of the institution.
(ii) The proposal shall discuss and compare similar programs in other institutions in the Regents system and related programs in the same institution.
(iii) The proposal shall discuss and compare similar programs in the region and compare their quality with the program under consideration.
(iv) The proposal shall demonstrate why the program should be located at the proposing institution.
(v) The proposal shall consider and demonstrate the advantages and disadvantages of the program being a freestanding, cooperative or joint program including collaborative degree options.
(vi) The proposal shall state where the institution ranks the proposed program in its list of priorities. The proposal shall state how this determination was made.
(b) What is the student demand for the program and what are the characteristics of the students who will participate in the program?
(i) The volume of student demand for the proposed program shall be demonstrated through some form of disciplined survey analysis.
(ii) Student demand shall be demonstrated to be at a sufficient volume to justify the program. Normally three years after inception of the program, doctoral programs should have five students, master’s programs should have 20 students, and baccalaureate programs should have 50 students.
(iii) Describe the characteristics of the pool from which the students will be drawn.
(iv) Describe the procedures and criteria for admission into the proposed program.
(c) What is the demand for graduates of the program?
The proposal shall demonstrate specific job opportunities including labor market demand data at both the local and state level. The proposal shall also demonstrate other post-collegiate experiences for graduates of this program.
(2) Curriculum of the Proposed Program. Program proposals will be expected to describe the curriculum of the proposed program and shall be judged on the following criteria:
(a) Describe the more important academic objectives of the proposed program, including the range of skills and knowledge future graduates will possess.
(b) The course work required of all students who major in this program shall be described.
(c) Internships and practica required of students in this program shall be described.
(d) If clinical are required, are sufficient sites available?
(3) Program Faculty. Program proposals shall establish clearly the requirements, costs and quality of the faculty for the program.
(a) Faculty Qualifications
(i) The instructional staff shall consist of a sufficient number of permanent faculty appropriately qualified for the level of instruction. Three years after inception, programs should be staffed according to the following guidelines:
Bachelors Program – 3 faculty with Ph.D. or appropriate terminal degree;
Masters Program – 3 additional faculty with Ph.D. or appropriate terminal degree;
Specialists and Doctoral Programs – 2 additional faculty with Ph.D. or appropriate terminal degree.
(ii) The proposal shall list all instructional staff who will teach in the proposed program. The list shall include the title of each instructional staff member, his or her highest degree awarded, and whether he or she is tenured or on the tenure-track.
(iii) The proposal shall differentiate core faculty from others who teach in the program.
(iv) The instructional staff shall consist of faculty whose academic specializations are appropriate to the new degree program.
(v) The instructional staff shall consist of faculty whose academic, instructional and scholarly accomplishments suggest that the proposed program will be of high quality and appropriate to the institution’s mission, role and aspirations.
(vi) Identify other teaching requirements outside the proposed program assigned to core faculty. Also identify the proportion of their assignments devoted to the proposed program.
(vii) The number, qualifications and rank of proposed new faculty shall be identified.
(viii) The cost of proposed new faculty shall be identified, along with expected timelines for their employment by the institution.
(b) How many graduate assistants will serve the program?
The proposal shall identify any necessary graduate positions and budgeted salaries.
(4) Academic Support. Program proposals shall establish clearly the requirements, costs and quality of the academic support services for the program.
(a) What are the academic support services for this program?
The advising services, library, audio-visual and academic computing resources shall be of sufficient volume and quality to support the program effectively.
(b) What new library materials and other forms of academic support are required beyond normal additions?
(i) The expected number of library acquisitions shall be identified with anticipated costs.
(ii) New or enhanced forms of academic support shall be identified with the anticipated costs.
(c) What new supporting staff will be required beyond normal additions?
The proposal shall list support staff requirements and budgeted salaries.
(5) Facilities and Equipment. Program proposals shall establish clearly the requirements, costs and quality of the facilities and equipment for the program.
(a) What are the anticipated facilities requirements (existing, renovated or new)?
(i) Space requirements shall be sufficient to the instructional and laboratory needs of the program. The facilities needed for the delivery of a high quality program shall be itemized.
(ii) Renovated or new facilities shall carry a fiscal note, identifying necessary work and additional costs.
(iii) Sources of funding for renovation and new construction shall be identified.
(b) What new equipment will be required beyond normal additions?
(i) Equipment requirements shall be sufficient to the instructional and laboratory needs of the program. A statement shall be made about the equipment needed for the delivery of a high quality program.
(ii) The proposal shall itemize available inventory, including equipment condition and life-span.
(iii) The proposal shall itemize new equipment needs.
(6) Program Review, Assessment and Accreditation. Program proposals shall establish clearly the institution’s plan to monitor, maintain and enhance the quality and effectiveness of the program.
(a) What program review process or evaluation methods will be used to review the program?
(b) What student learning outcomes measures will be used to assess the program’s effectiveness?
(c) What are the institution’s plans regarding program accreditation?
(i) The program shall identify the specialized accrediting agency where applicable.
(ii) The proposal shall identify institutional plans to have the program accredited, including timelines and projected costs of achieving and maintaining accreditation.
f. Expedited Program Approval
This expedited program approval process is designed to allow state universities to respond quickly to distinct opportunities to meet workforce, economic or other special needs.
i. Request for Approval
To request approval to offer a program under the expedited approval process, a state university shall enter the proposed program into the Program Inventory Database and submit a “Statement of Intent” to the Vice President for Academic Affairs. The Statement shall be limited to two pages and shall:
(1) Justify the need for expedited implementation by demonstrating that the program:
(a) is in need of expedited approval due to unforeseen, immediate circumstances;
(b) has a direct and immediate impact on meeting workforce, economic, or other special needs;
(c) is being developed by a state university at the direct request of a corporate, industrial or public entity;
(d) is distinct within the state university sector or if not distinct, that duplication is appropriate;
(e) meets all the requirements of Board policy on off-campus delivery of academic courses and programs; and
(f) was expedited for approval at the campus level.
(2) Describe the proposed program, including:
(a) an overview of the program;
(b) the title of program, responsible department(s), degree(s) to be offered, anticipated date of implementation, CIP code, and location(s) of this program;
(c) an overview of the curriculum; and
(d) any new required faculty and/or resources and how those will be funded.
The Vice President for Academic Affairs will review the “Statement of Intent” and, if approved, shall electronically submit the Statement to the Council of Chief Academic Officers and Council of Presidents. The Councils shall have fourteen calendar days to review and comment on the proposed program.
The Vice President for Academic Affairs shall review the proposed program and any comments received, and provide a recommendation to the Board President and Chief Executive Officer for final consideration.
ii. Annual Report
By December of each year following a program’s implementation, state universities with programs approved using the expedited approval process shall provide the Vice President for Academic Affairs an annual update on the program. The update shall include:
(1) a brief description of program’s progress, including program enrollment;
(2) a description of any problems and/or barriers to success; and
(3) plans for and progress of changes and developments to the program.
This report shall be provided until a final decision is made on program continuation.
iii. Final Recommendation
Four years after the program’s implementation, the university shall provide the Vice President for Academic Affairs a report on its progress and recommend that it either be placed in the regular program array or be discontinued. The report shall include information on:
(1) number of Faculty;
(2) number of Majors;
(3) number of students on schedule to graduate in six years;
(4) resources expended; and
(5) whether the program is meeting workforce and/or economic needs.
The Vice President for Academic Affairs shall review the final report, and provide a recommendation to continue or discontinue to the Board President and Chief Executive Officer. If continued, the program shall be placed in the university’s regular program review cycle for reporting to the Board.
g. Requests for New Doctoral Programs: Because doctoral education requires a substantial commitment of resources in the areas of instruction and research, doctoral education will primarily occur at the University of Kansas, Kansas State University and Wichita State University.
i. Acknowledging that special or distinct opportunities for doctoral programs may arise, the Board may consider proposals for doctoral programs at Emporia State University, Pittsburg State University and Fort Hays State University under exceptional circumstances. Prior to the preparation of the New Program Proposal and undergoing the degree approval process, the proposing regional university must provide the Board with a "Statement of Intent" to develop a doctoral program. The “Statement of Intent” should be no more than two pages long. The “Statement of Intent” must demonstrate all three of the following:
(1) The proposed program will be distinct within the state university sector;
(2) The institution has a distinct research infrastructure and capacity in the proposed program area; and
(3) The proposed program captures a special or distinct opportunity that will justify an exception to the Mission, Role and Scope of the regional university.
The “Statement of Intent” will be posted on the New Program Alert System and forwarded to the Council of Chief Academic Officers and Council of Presidents for their respective review and recommendation to the Board.
Once the Board has approved the "Statement of Intent," the proposing regional university may submit a new academic program proposal for consideration.
ii. When any institution proposes a new doctoral program the Board of Regents shall employ three external consultants selected by the President and Chief Executive Officer of the Board to review the requesting institution's ability to deliver the proposed program and to review all similar programs in the system, if there are any. The criteria in section A.7.d. shall be followed by the consultants in determining the quality of the proposed program. The Council of Chief Academic Officers, the Council of Presidents and the Board shall review the consultants’ report before a final decision regarding the proposed doctoral program is rendered. All expenses of the special review shall be borne by the proposing institution. Cost of subsequent reviews related to deficiencies shall be borne by institutions found to have deficient areas.
h. Requests for Professional Practice Degree Programs: Since professional practice degree education requires a substantial commitment of resources in the areas of instruction and support, professional practice degree education will primarily occur at the University of Kansas, Kansas State University, and Wichita State University.
i. The Board may consider proposals for professional practice degree programs at Emporia State University, Pittsburg State University and Fort Hays State University under exceptional circumstances. Prior to the degree approval process, the proposing regional university must provide the Board with a “Statement of Intent” to develop a professional practice degree program. The “Statement of Intent” will be posted on the New Program Alert System and forwarded to the Council of Chief Academic Officers and Council of Presidents for their respective review and recommendation to the Board. The “Statement of Intent” should be no more than two pages long. The “Statement of Intent” must demonstrate all three of the following:
(1) The proposed program will be distinct within the state university sector and/or align with professional association standards;
(2) The proposed program will be consistent with the Mission, Role, and Scope of the institution or justify why the proposal merits an exception; and
(3) The proposed program will be cost-effective and will not financially impact the quality of other programs.
Once the Board has approved the “Statement of Intent,” the proposing regional university may submit a new academic program proposal for consideration.
ii. When any institution proposes a new professional practice degree program, the Board of Regents shall employ three external consultants selected by the President and Chief Executive Officer of the Board to review the requesting institution’s ability to deliver the proposed program and to ensure that the proposed program is not unnecessarily duplicative of existing professional practice degree programs in the State. The criteria referenced in section A.7.d. shall be followed by the consultants in determining the quality of the proposed program. Before a final decision regarding the proposed professional practice degree program is rendered, the Council of Chief Academic Officers, the Council of Presidents and the Board shall review the consultants’ report. All expenses of the special review shall be borne by the proposing institution. Cost of subsequent reviews related to deficiencies shall be borne by institutions found to have deficient areas. Institutions do not need to undergo consultant review to establish a professional practice degree program in an area of study with a previously Board-approved doctor’s degree program.
i. Associate Degree Programs: The roles of the state universities and the State's community colleges and technical colleges should be clearly differentiated. Therefore, the Board of Regents discourages the state universities from offering associate degrees in academic or technical programs where the baccalaureate is available; provided, however, that the Board acknowledges that student demand and community needs may engender requests for associate degree programs, particularly in areas of technology education. Requests by state universities for associate level programs shall be considered through the new program approval process.
j. Program Discontinuance and Merger
i. In discontinuing any existing academic program, each state university shall follow its own Program Discontinuance Policy as approved by the Board of Regents.
ii. State universities that discontinue degree programs as a result of mission differentiation will be allowed to retain funding associated with those programs to improve the quality of remaining programs.
k. Centers, Institutes and Bureaus
i. The following general criteria apply to all centers, institutes and/or bureaus established in the state university system after June 28, 1995, with the sole exception of administrative and clinical units that are nonacademic in nature:
(1) Purpose: Establishment of such a unit should enhance the visibility of a given subject or activity. Each unit shall provide an exact and detailed description of its scope.
(2) Resources: Sufficient resources should be provided for any unit to meet the goal of increased visibility.
ii. Centers of Excellence established pursuant to K.S.A. 74-8106 or seeking funding pursuant to K.S.A. 74-8106 should have state and nation-wide recognition and should be unique within the State. Such Centers of Excellence require consideration and approval by the Centers of Excellence Committee created by the Board of Regents.
The Kansas Board of Regents believes that accreditation is an important indicator of institutional and program quality but that it must be balanced by considerations such as the relationship of accreditation to institutional mission, role, and aspiration, as well as the costs associated with accreditation visits and recommendations.
i. Board approval is required when any state university seeks accreditation for any program that it does not hold. Board approval shall be preceded by a formal proposal to the Board to seek accreditation. Where a program at any state university is unaccredited, Board approval must be obtained and granted prior to beginning the accreditation process. The proposal should include information on the accrediting agency and a table of costs associated with accreditation.
ii. The Vice President for Academic Affairs shall provide the Board with a report on the accreditation status of the state universities and their accredited programs every four years. The report shall include information on a) whether the institution or the program is accredited for the full term of accreditation and b) whether the institution or the program has received full accreditation status or is on probationary status.
iii. Upon request of the Board, copies of all final accreditation reports shall be made available.
iv. In addition to the reports detailed in section ii, state universities shall promptly notify the Board, through the Vice President for Academic Affairs, when the accreditation status of a program or the institution adversely changes, as well as when an accrediting body decides on the status of a new program seeking accreditation.
m. Reciprocal Agreements
i. The Board is authorized to enter into and implement reciprocal agreements with other states and colleges and universities of other states for the mutual utilization of educational facilities to permit access for residents of the State of Kansas to courses of collegiate, graduate, or professional study not offered by any of the institutions under control of the Board. All such agreements are to be approved by the Attorney General and filed with the Secretary of State. (K.S.A. 74 3219 and 3220)
ii. The Board is authorized to enter into and implement reciprocal agreements with governing boards of colleges and universities in other states or countries for pursuing courses of collegiate, graduate or professional study. All such agreements are to be approved by the Governor and filed with the Secretary of State. (K.S.A. 74 3221)
iii. The Board realizes that it should not expect the State to provide educational programs in all academic areas. As a result, existing reciprocal agreements and contracts for guaranteed admission (K.S.A. 76 721a) that provide education opportunities in dentistry, optometry, osteopathy and veterinary medicine shall be continued to avoid the development of such costly programs within the Kansas higher education system.
iv. The Chair of the Board shall be authorized to execute all such reciprocal agreements on behalf of the Board, subject to approval of the agreement by Board counsel as to legal form, without formal Board action.
8. INTELLECTUAL PROPERTY
The purpose of the Board’s Intellectual Property policy is to foster the creation and dissemination of knowledge and to provide certainty in individual and institutional rights associated with ownership and with the distribution of benefits that may be derived from the creation of intellectual property. The policy is intended to be a broad statement to provide uniformity among the institutions while allowing for institutional flexibility. The policy applies to all full or part-time employees, including students, creating intellectual property related to the scope of their employment while under contract with a state university. When revenues are to be shared, the creator(s) shall obtain his/her share only after the institution has recouped any direct costs borne by the institution for equipment and materials and costs paid to third parties. The portion of the revenues to be shared among multiple creators shall be shared equally unless otherwise agreed in writing by the creators. Institutions shall develop written policies and procedures consistent with this Intellectual Property policy.
a. General Copyright
The ownership of the various rights associated with copyright are dependent upon the specific type of intellectual property. The institutions shall assert limited ownership of some of the various rights as set forth below. Since the Board has a fiduciary responsibility for the appropriate use of state funds, unless otherwise provided for under this policy, all rights associated with works produced as “work-for-hire” or other works that make “substantial use” of institutional resources belong to the institution. “Substantial use” means that the creator receives more than normal support for the project or receives time and/or resources specifically dedicated to the project.
i. Mediated Courseware
(1) Institutions shall have limited ownership or control rights for mediated courseware as specified below:
(a) Self-initiated mediated courseware. When employees develop mediated courseware without specific direction by the institution, unless otherwise agreed, the ownership of the courseware shall remain with the employee. Normally, no royalty, rent or other consideration shall be paid to the employee when that mediated courseware is used for instruction at the institution and such mediated courseware shall not be used or modified without the consent of the creator(s). The mediated courseware shall not be sold, leased, rented or otherwise used in a manner that competes in a substantial way with the for-credit offering of his/her own institution unless that transaction has received the approval of the chief academic officer of the institution. Should approval be granted to offer the course outside of the institution, the creator shall reimburse the institution for substantial use of institutional resources from revenues derived from the transaction offering the course.
(b) Institution-directed mediated courseware. When the institution specifically directs the creation of mediated courseware by assigning one or more employees to develop the mediated courseware and supplies them with materials and time to develop the mediated courseware, the resulting mediated courseware belongs to the institution and the institution shall have the right to revise it and decide who will utilize the mediated courseware in instruction. The institution may specifically agree to share revenues and control rights with the employee.
(2) Scholarly and Artistic Works
Notwithstanding any use of institutional resources or the “work-for-hire” principle, the ownership of textbooks, scholarly monographs, trade publications, maps, charts, articles in popular magazines and newspapers, novels, nonfiction works, artistic works, like works, and supporting materials shall reside with the creator(s) and any revenue derived from their work shall belong to the creator(s). Except for textbooks, institutions shall have royalty-free use of the work within the institution, unless otherwise agreed in writing.
(3) Manuscripts for Academic Journals
(a) Notwithstanding any use of institutional resources or the “work-for-hire” principle, the ownership of manuscripts for publication in academic journals shall reside with the creator(s) and any revenue derived from their works shall belong to the creator(s).
(b) If the manuscript is to be published, the creator(s) shall request the right to provide the institution with a royalty-free right to use the manuscript within the institution in its teaching, research, and service programs, but not for external distribution, and, if successful, the creator(s) shall grant such right to the institution.
(c) Upon the establishment of national governmental or nonprofit entities whose purpose is to maintain in an electronically accessible manner a publicly available copy of academic manuscripts, the Kansas Board of Regents will review each entity and upon determination that providing the manuscripts will not jeopardize the publication of articles or infringe on academic freedom, require the creator(s) to provide to the appropriate entity a limited license for the use of each manuscript.
(4) Copyrightable Software
The rights to copyrightable software with an actual or projected market value in excess of $10,000 annually, except software included in mediated courseware, shall be determined pursuant to the Board’s Patent and Copyrightable Software policy.
(5) Student Academic Creations
The ownership of student works submitted in fulfillment of academic requirements shall be with the creator(s). The student, by enrolling in the institution, gives the institution a nonexclusive royalty-free license to mark on, modify, retain the work as may be required by the process of instruction, or otherwise handle the work as set out in the institution’s Intellectual Property policy or in the course syllabus. The institution shall not have the right to use the work in any other manner without the written consent of the creator(s).
b. Patent and Copyrightable Software
Patents obtained on inventions or the ownership of copyrightable software with an actual or projected market value in excess of $10,000 annually resulting from institutionally sponsored research shall be retained by the institution or may be assigned to an organization (hereinafter called the Organization) independent of the institution and created for the purpose of obtaining patents on inventions, receiving gifts, administering or disposing of such patents, and promoting research and the development of intellectual property at the institution by every proper means. The following regulations shall be followed with respect to inventions and software:
i. Anyone who conceives an invention or who develops copyrightable software that is not included in mediated courseware resulting from a research project sponsored by the institution shall report the matter to the appropriate research administrator at the institution, who will recommend whether or not to forward it to the Organization.
ii. If the institution or the Organization decides that the invention does not warrant patenting, the inventor is free to patent it. In such case, however, the institution does not relinquish its right to publish any of the data obtained in the research project. If the institution or the Organization decides not to further the use of the copyrightable software, it shall assign the rights therein to the creator(s).
iii. When any revenue is obtained by or on behalf of the institution from the development or assignment of any patent or from royalties, license fees or other charges based on any patent or copyrightable software, not less than twenty-five (25) percent of revenues shall be paid to the inventor(s) or creator(s). Revenue sharing shall begin only after the institution recoups costs as set forth in this policy.
iv. The remainder of any revenue mentioned in paragraph II.A.8.b.iii. shall be used to sponsor further research and research-related activities in the institution. The institution may agree that the Organization may retain a portion of the funds.
v. In case of cooperative research sponsored in part by an outside corporation or individual, a written contract shall be made between the institution and the cooperating agency. This contract should include a statement of policy substantially equivalent to that outlined below:
“It is agreed by the parties to this contract that all results of experimental work, including inventions, carried on under the direction of the scientific staff of the institution, belong to the institution and to the public and shall be used and controlled so as to produce the greatest benefit to the public. It is understood and agreed that if patentable inventions or copyrightable software grow out of the investigation and such inventions or software have commercial value, the cooperating agency shall receive preferential consideration as a prospective licensee, with a view to compensating said cooperating agency in part for the assistance rendered in the investigation.”
“It is further agreed that the name of the institution shall not be used by the cooperating agency in any advertisement, whether with regard to the cooperative agreement or any other related matter.”
vi. In case of a research project where it is proposed that all costs including overhead, salary of investigator, reasonable rent on the use of equipment, etc., are to be paid by an outside party, the institution shall negotiate with the outside party the appropriate disposition of any resulting patent or copyrightable software rights prior to the provision of any funding by the outside party. “Appropriate disposition” shall include an option to negotiate a license to any resulting intellectual property. The institution shall reserve a royalty-free right to publish all data of fundamental value to science and technology and to use the patent or copyrightable software rights for teaching, research or other educational and academic purposes.
vii. Changes in the above policies may be made by the institution to conform to the requirements of the United States Government when contracting with the United States Government or a Federal Government Agency.
Each institution may develop a trademark policy that provides for the protection of the trademarks and service marks of the institution.
d. Institutional Procedures
The institution shall establish procedures that require employment contracts and course catalogs or syllabi to state that the employee or student is subject to this policy and to resolve questions concerning intellectual property rights and any disputes that develop under this policy. Final decisions on disputed matters will be made by the university chief executive officer or designee and shall constitute final agency action.
9. NAMING OF ACADEMIC UNITS
The authority to name schools, colleges, institutes, bureaus, centers, or other academic units for an individual, individuals, or business entity is the province of the Board of Regents. The authority to re-name or remove the name of any state university academic unit also resides in the Board. Any documentation used by any state university or affiliate corporation of any state university for fund raising purposes shall clearly state that proposed names are subject to Board action and shall reserve to the Board the right to remove any name bestowed upon an academic unit. Possible reasons for removal of a name include, but are not limited to, circumstances causing damage to the reputation of the university, change of law regarding naming authority, or the dissolution or merging of the academic unit. For purposes of this policy, any time a proper noun name is to be displayed on the exterior of a building or facility, it will be treated as a naming and shall be submitted to the Board for consideration in accordance with this policy or in accordance with the Board policy on naming of buildings.
i. Academic units may be named for distinguished individuals who have made extraordinary contributions of a scholarly, professional, or public service nature related to the academic unit, or for major donors to the unit or the university.
ii. Before forwarding a name to the Board for consideration, the state university shall undertake a thorough degree of due diligence to avoid commercial influence or conflict of interest.
The chief executive officer of the state university shall recommend an appropriate name to the Board for consideration. At the time the agenda item is submitted, the name shall not be included; however, the state university shall send the proposed nomination, statement and materials individually to Regents and the Board President and Chief Executive Officer at the same time the state university sends its agenda material requests to the Board office for the Board meeting at which the nomination is to be considered. No public communication of a proposed nomination shall be made until the name is presented for consideration at the open meeting of the Board.
10. ACADEMIC ADVISING
a. Effective academic advising is central to the educational mission of the Board of Regents. To ensure that all students have access to high quality advising, each state university shall establish an Academic Advising System, which shall provide the following:
i. Goal Setting: Each Academic Advising System should help students to set both short-term and long-term educational goals.
ii. Information: Each Academic Advising System should be able to accurately inform students of graduation requirements of their department. It should be sensitive to the importance of strategic course selections so as to minimize the number of semesters required for graduation. Additionally, the System should be able to inform students of career opportunities in their field of study.
iii. Transitions: Each Academic Advising System should inform students how to change colleges and/or departments. Furthermore, the System should provide information to explain the process students follow to enroll in their curriculum and to drop or add courses during the semester.
iv. Accessibility: Each Academic Advising System should have reasonable hours and methods of availability for students. Additionally, students should be able to set up appointments within the System for an adequate amount of time to make curricular selections and career choices.
v. Referral to Campus Resources: Each Academic Advising System should be able to refer students to various campus resources including, but not limited to: university counseling services, student activities, and career and employment services.
b. Each Academic Advising System shall provide information to students to inform them of their responsibilities in the Academic Advising process.
c. Each Academic Advising System shall be responsible for the necessary training of academic advisors to assist them in meeting the responsibilities of this policy.
d. Every three years, beginning in spring 2016, each state university shall submit to the Board’s Vice President for Academic Affairs a written report, no more than two pages in length, describing how its Academic Advising System advances the Board’s strategic goals pertaining to retention and graduation. The Vice President for Academic Affairs shall summarize the campus reports in a single document and provide it to the Board President and Chief Executive Officer for transmission to the Board at the President and Chief Executive Officer’s discretion.
11. UNIVERSITY PRESS OF KANSAS
a. The University Press of Kansas is a joint publishing operation among all of the Regents institutions. It shall be governed by a Board of Trustees comprised of the academic vice president of each participating institution, which shall have powers to appoint a director and an Editorial Committee and to establish staff positions within the budget of the Press.
b. The University Press of Kansas is located at the University of Kansas and its operating budget, with proportionate shares provided from each participating institution, is included in the annual budget of the University of Kansas. Payment of royalties to unclassified authors and reimbursement of unclassified personnel for manuscripts evaluation, writing translating, copy editing, proofreading, indexing, graphic design, artwork, and photography is authorized with rates to be negotiated by the Director of the Press. Payment for such contractual services shall be accomplished by voucher in accordance with the procedure approved by the Division of Accounts and Reports.
a. Admission of Undergraduate Students to State Universities
Admission of all undergraduate degree-seeking students to state universities shall be in compliance with the Board’s Qualified Admission Regulations, K.A.R. Articles 88-29, 29a, 29b, 29c, and 29d, as applicable. State universities may set admission requirements for undergraduate non-degree seeking students.
b. Admission to Undergraduate Programs and Graduate Programs
State universities may restrict admission to undergraduate programs and graduate programs where conditions warrant. Any such restrictions shall not conflict with K.A.R. Articles 88-29, 29a, 29b, 29c, and 29d, as applicable.
c. Auditing Undergraduate and Graduate Courses
Any Kansas resident 60 years of age or older shall be permitted to audit eligible courses offered by a state university with no requirement for payment of tuition and fees ordinarily required of every student as a condition of enrollment under the following conditions:
i. Any person interested in auditing an undergraduate or graduate course pursuant to this provision shall present sufficient proof of age and residency to the state university prior to enrollment;
ii. any qualifying person interested in auditing an undergraduate course pursuant to this provision shall be admitted to the state university as a non-degree seeking student for purposes of K.A.R. Articles 88-29, 29a, 29b, 29c, and 29d, and subject to all other university policies related to non-degree seeking students enrolled in such undergraduate courses including, if any, limits on the number of credit hours that may be taken per semester;
iii. any qualifying person interested in auditing a graduate course pursuant to this provision shall meet the university and program conditions for admission as a non-degree seeking graduate student, and shall be subject to all other university policies related to non-degree seeking students enrolled in such graduate courses including, if any, limits on the number of credit hours that may be taken per semester;
iv. the state university may restrict or prohibit the enrollment of any otherwise qualifying person interested in auditing undergraduate or graduate courses that meet the Board’s definition of distance education courses, or that are part of an undergraduate program with program-specific admissions requirements;
v. a qualifying person may audit eligible undergraduate or graduate courses only on a space-available basis; and
vi. a qualifying person may be required to pay any special fees associated with the course being audited.
All determinations as to residency, age, admission restrictions on non-degree seeking students, the designation of undergraduate and graduate courses and programs eligible for auditing, and the space available for the auditing of courses pursuant to this provision shall be made by the state university involved.
2. INDIVIDUAL PLANS FOR STUDENT SUCCESS
a. Each state university shall develop and implement a process requiring each student admitted as an exception to the qualified admission standards set forth in K.A.R. Articles 88-29, 29a, 29b, 29c, and 29d to adopt a written individual plan for student success. Processes and mechanisms to comply with this policy and statutory requirements imposed in K.S.A. 76-717 must be in place by the 2013 fall semester.
b. Individual plans shall be developed in accordance with the requirements of K.S.A. 76-717 and shall:
i. Be jointly developed by the student and the student’s advisor. Other university employees may be involved, at the discretion of the institution.
ii. Address the student’s academic coursework. If deemed appropriate by the student and the student’s advisor, plans may address other issues, such as extracurricular activities, financial needs and any other aspect of student life having a bearing on academic success.
iii. Be adopted prior to the student’s initial enrollment at the university.
iv. Be reviewed by the student and the student’s advisor at least once each semester in the first academic year immediately succeeding adoption of the plan. Based on this review, the plan may be revised upon mutual agreement between the student and the student’s advisor.
c. Each state university shall regularly report to the Board’s Vice President of Academic Affairs on the academic progress of students admitted as exceptions.
3. STUDENT RECORDS
a. All state universities shall protect the privacy of all students by complying with provisions of the "Family Educational Rights and Privacy Act" (FERPA), 20 USCA Sec. 1232g, as amended, and all rules and regulations of the federal Department of Education relating thereto. Institutional policies shall be on file with the Board and any modification of such policy must be submitted to the General Counsel of the Board for review.
b. Institutional policies shall specifically provide for the means by which any student may inspect and challenge educational records directly related to the student and shall restrict the accessibility and availability of such educational records in accordance with applicable federal law and regulations. In so doing they shall make that information which is subject to disclosure under the Act available only upon written request and in a manner which is most economical and least disruptive to the routine operations of the institution.
c. State university officials shall not withhold the written record of grades earned by any dependent student when such official receives a written request for such grades from a student, or from the student's parents or legal guardian except as provided in paragraph d. of this subsection.
d. State universities are authorized to withhold student records in connection with disciplinary actions or for nonpayment for any fines and/or fees which have been authorized by the Board and are printed in the Comprehensive Fee Schedule, or for other lawful debts arising from a written agreement between the student and the university.
4. STUDENT HOUSING
a. Each state university has authority to establish and enforce student housing rules and regulations developed within the framework of Board policies contained in this manual and applicable law.
b. Effective at the start of the 2006-07 academic year, each state university shall have in place policies and procedures requiring that all incoming students residing in student housing be vaccinated for meningitis. Such policies shall include appropriate waiver procedures for those who refuse to take the vaccine.
5. STUDENT HEALTH INSURANCE
a. Pursuant to K.S.A. 2011 Supp. 75-4101, and amendments thereto, the Board has entered a contract and adopted administrative rules and regulations, K.A.R. 88-30-1 et seq., for the provision of a voluntary student health insurance program.
b. Each state university shall require any international student holding a F-1 visa and any exchange visitor holding a J-1 visa to show proof of health insurance coverage for each semester or term for which the student is enrolled, whether or not the student is participating in the Board’s voluntary student health insurance program. Such proof of insurance shall be required prior to the student beginning classes.
c. Nothing in this Section shall affect any state university’s authority to form its own student health centers and similar health programs.
6. STUDENT RESIDENCY, TUITION/FEES AND PAYMENTS
a. Residence Classification for Fee Purposes
At the beginning of each term or semester, the Registrar of each state university shall determine the residence status for fee purposes of each student who enrolls in that institution for that term or semester. If the Registrar determines that the original residency classification of any student was incorrect, the Registrar may, at any time, give written notice of reclassification to such student, together with a statement of any additional fees owed by or any refund due to such student for any terms or semesters, and the same shall be due and payable forthwith. Any residency determination by an agent duly designated by a Registrar to make such determination shall, for all purposes of these regulations, be deemed to be the residency determination of the Registrar.
Any student who is classified as a nonresident for fee purposes upon enrollment and who disagrees with that classification shall be entitled to an appeal, provided a written appeal is filed with the university registrar within thirty days of notification of classification. A student who is classified as a resident for fee purposes at the time of enrollment and who subsequently is reclassified a nonresident for such purposes, and who disagrees with that reclassification, may file a written appeal with the registrar within thirty days of notification of reclassification. Each registrar's office shall provide on request a standard appeal form. The payment in full of fees as originally assessed shall be a condition to the right to maintain an appeal from residency classification or reclassification. If a student fails to file an appeal in the time and manner provided in this rule, the classification or reclassification determined by the registrar shall, upon expiration of the appeal period, become final.
c. Residence Committee
Each state university shall establish a residence committee of at least three members to act as an appellate body to hear and determine appeals concerning the status of students as residents or nonresidents of Kansas for fee purposes. Members of the residence committee shall be appointed by the chief executive officer of the university consistent with institutional procedures, state law, and the regulations of the Board. Committee members shall serve at the pleasure of the chief executive officers. The residence committee shall elect its own chairperson who shall be eligible to vote in all cases. The registrar shall meet with the residence committee but shall not be a member of the committee.
d. Decisions of Residence Committee
i. Subject to the provisions of K.S.A. 77 601 et seq., decisions of the residence committee shall not be subject to further administrative review by any officer or committee of the state university or by the Board. If the residence committee determines that the appealing student was entitled to be classified as a resident rather than nonresident for fee purposes, the university shall refund to the student the difference between the resident and nonresident fees paid that semester.
ii. The residence committee may seek advice from the General Counsel of the Board regarding legal questions involving residency. The General Counsel shall distribute any opinions or legal determinations concerning residency to the registrar of each of the state universities.
Pursuant to law, the Board has adopted administrative rules and regulations setting forth guidelines for the determination of residence status. Those regulations can be found at K.A.R. 88 3 1 through 12.
7. STUDENT LOANS
a. Institutions are authorized to borrow funds from federal government loan programs to provide funds for loans to students. Any matching fund requirements may be transferred from the General Fees Fund.
b. Institutions offering student loans or facilitating the offering of federal direct student loans or student loans by third party financial institutions shall, at a minimum, adhere to the following Student Loan code of Conduct:
i. Preferred Lender Guidelines
Preferred or suggested lender lists used by state universities shall be based solely on the best interest of students and parents who may use the lists, and without regard to the financial interests of the university.
ii. Lender Disclosures
All preferred or suggested lender lists maintained by a state university shall clearly and fully disclose the criteria and process used to select the lenders included on those lists. Students and parents shall also be told that they have the right and ability to select a lender of their choice, regardless whether such lender appears on the university’s lender list. If an institution does not generate a “preferred or suggested lender list,” but instead lists all the lenders the institution works with, then it is not necessary to publish how or why those lenders were selected. In such instances, students shall be provided with an historical list of lenders that students have used in securing their student loans over the past five years.
iii. Revenue Sharing
State universities shall not accept anything of value from any student loan lender in exchange for any advantage sought by the lender. Lenders shall not be required or allowed to pay to be placed on a university’s preferred or suggested lender list.
iv. Gifts and Trips
Except for reasonable and customary transactions in the course of business unrelated to the employee’s official position, state university employees who are directly involved in the student lending process shall not accept anything of value from any student loan lender. This includes gifts or trips of any kind. This provision shall not be read to preclude a university chief executive officer from serving on the board of any bank, as long as procedures are in place at the university to manage any real or apparent conflict of interest.
v. Advisory Board Membership
Except for reasonable and customary transactions in the course of business unrelated to the employee’s official position, state university employees who are directly involved in the student lending process shall receive no compensation or anything of value for serving on the advisory board of any student loan lender. This provision shall not be read to preclude a university chief executive officer from serving on the board of any bank, as long as procedures are in place at the university to manage any real or apparent conflict of interest.
vi. Lender Identification
No employee of any student loan lender shall work in or provide staffing in a state university financial aid office. In addition, state universities shall direct employees of student loan lenders to clearly identify themselves as employees of the lender and to never identify themselves as university employees when meeting or speaking with students or parents.
8. ON-CAMPUS CREDIT CARD SOLICITATION
Each state university that allows on-campus solicitation by credit card companies shall adopt a policy that, at minimum, shall provide that no solicitation of credit card applications from students will take place on campus during the week before and the two weeks following the beginning day of each semester. In addition, the policy shall require that information on the responsible use of credit and the risks of credit use shall be provided to students along with any material soliciting credit card applications. Each institution will include educational material on the use of credit in student orientation programs and materials.
9. STUDENT ORGANIZATIONS AND ACTIVITIES
a. The established policy of the Board of Regents prohibits discrimination on the basis of age, race, color, religion, gender, marital status, national origin, physical handicap or disability, status as a Vietnam Era Veteran, sexual orientation or other factors that cannot be lawfully considered, within the state universities. All fraternal and campus related organizations shall follow this policy in the selection of their members, except the prohibition against sex discrimination shall not apply to social fraternities or sororities which are excluded from the application of Title IX of the Education Amendments of 1972 (20 U.S.C. Sec. 1681 et seq.). In addition, in accordance with K.S.A. 2016 Supp. 60-5312, this policy does not prohibit a student organization that is organized around shared religious beliefs from requiring leaders or members to adhere to the organization’s sincerely held religious beliefs, comply with the organization's sincerely held religious beliefs, comply with the organization’s sincere religious standards of conduct, and be committed to furthering the organization’s religious missions, beliefs, observance requirements and standards of conduct as defined by the organization or the religion on which the association is based.
b. The right of organizations to establish standards for membership is acknowledged, provided that all students are afforded equal opportunity to meet those standards. Just as all students have the right to choose those with whom they would associate on the campus, an organization shall have the right to select its members subject to these principles. Nothing in this policy shall be interpreted as imposing a requirement that would violate the principle of selection on the basis of individual merit.
c. The responsibility for compliance with this policy lies with each organization. In discharge of this responsibility, each organization shall acknowledge its understanding of this policy. Such acknowledgement shall assure that there exist no restrictions on membership, either local or national, that violate this policy.
d. Determination of Appropriate Student Activities and Fees: The chief executive officer shall be ultimately responsible for reviewing proposed expenditures from fees required of every student as a condition of enrollment and as determining whether such expenditures are in support of an appropriate student activity.
10. STUDENT ACADEMIC DISHONESTY
Student academic dishonesty shall not be tolerated on the campuses of the state universities.
Each state university shall implement and promote specific policies, procedures, and programs which seek to: (i) identify prohibited academic conduct by students; (ii) educate all students, faculty and administrators with regard to the nature, impact and consequences of student academic dishonesty; (iii) effectively report and seek to reduce such behaviors; (iv) provide for due process for students accused of academic dishonesty; (v) set forth clear sanctions, ranging from reprimand to dismissal from the university, for students who are determined to have committed dishonest acts; and (vi) implement a comprehensive and integrated plan to promote academic integrity among students, faculty and administrators.
11. STUDENT COMPLAINT PROCESS
a. Each state university shall establish and enforce explicit procedures to address student grievances and complaints alleging university activity, or a university employee act or omission, that is proscribed by Board or institutional policies. Each state university shall create, maintain, and advertise an office of ombudsman or similar single point of contact to assist students in determining the appropriate university procedure for initiating a particular complaint or grievance.
b. To address complaints for which there is no other applicable institutional procedure, the chief executive officer of each state university shall designate an office at the Vice Chancellor or Vice President level at each campus for the purpose of receiving and evaluating complaints alleging conduct by employees of the university that is proscribed by Board or institutional policies.
i. Upon receipt of a written, formal and signed complaint pursuant to this subsection 11.b., the designated official shall notify the chief executive officer of the university and the employee(s) complained about, and shall investigate the merits of the complaint. If the designated official determines that the complaint has merit, that official shall proceed to resolve it through administrative channels if possible.
ii. If it is impossible for the complaint to be resolved by the designated official through administrative channels, the issue shall be referred to the chief executive officer of the university who shall appoint an appropriate institutional committee to hear the complaint.
iii. The hearing committee shall forward its recommendation to the chief executive officer of the university for review. The chief executive officer shall accept, reject, or modify the recommendation of the hearing committee.
iv. This procedure shall not negate any other policy relating to the processing of claims or charges of proscribed conduct which may be made by persons directly involved with or affected by the operation and management of the university.
c. If after exhausting all available institutional grievance or complaint processes a student’s complaint remains unresolved, the student may make a complaint to the Board office, in writing, by completing and submitting such forms as may be required by the Board.
i. The Board will not accept the following types of complaints:
(1) Complaints that are submitted anonymously;
(2) complaints related to matters that are the subject of pending or threatened litigation, or that have already been adjudicated by the courts;
(3) complaints that allege wrongful acts by a person or entity other than a state university or employee of a state university acting in their capacity as a university employee;
(4) complaints regarding actions or matters occurring more than 2 years prior to the submission of the complaint;
(5) complaints concerning a student’s grades or examination results; and
(6) complaints concerning an employment relationship between a student and the university.
ii. Upon receiving a written complaint containing all requisite information, the Board office shall conduct the following review:
(1) Determine if the state university has a process for addressing the complaint;
(2) determine if the university process was followed;
(3) determine if the university resolution was reasonable.
d. Complaints alleging violation of laws that another state agency is charged with enforcing may be made directly to that other state agency. Following the process outlined in paragraph c. shall not be considered a requirement for such complaints. Making such a complaint to the Board shall be considered as the complainant’s consent to authorize the Board to forward the complaint to the appropriate enforcing entity.
C. CHIEF EXECUTIVE OFFICER, FACULTY AND STAFF
Unless otherwise specifically stated, as used in the following provisions, the term "unclassified staff" does not include those positions that have been converted from classified to unclassified pursuant to K.S.A. 2011 Supp. 76-715a, and amendments thereto (i.e. University Support Staff). The words "benefits-eligible" and "full-time" as used herein shall not include positions or employees who are deemed to be full-time exclusively by virtue of the state of Kansas Health Care Commission's determination of eligibility for purposes of employer-provided healthcare coverage. The terms “spouse” and “family” shall be defined in accordance with applicable United States Supreme Court holdings.
1. ADMINISTRATIVE ORGANIZATION
Major reorganization of a state university’s administrative structure, as well as the creation of academic divisions, departments, or colleges, must have the approval of the Board.
a. Chief Executive Officer
i. General Provisions
(1) Subject to the policies, rules and regulations of the Board of Regents, the chief executive officer of each state university shall administer the affairs of the university. The Board of Regents holds the chief executive officer responsible and accountable for all operations of the university, including university controlled affiliated corporations, and expects that each chief executive officer shall devote his or her undivided attention and energies to management of the university.
(2) The chief executive officer of each state university serves at the pleasure of the Board. The selection of the chief executive officer of each state university shall be made by the Board. The chief executive officer of each state university shall be required to live in the official residence if provided.
(3) The Board shall determine and approve the compensation to be received from any source by each chief executive officer for duties and responsibilities performed as chief executive officer, or reasonably related thereto.
(4) No chief executive officer shall accept an appointment to the board of directors of any corporation or organization, which pays for such services, without the advance approval of the Chair of the Board of Regents. The chief executive officer shall provide such information about the appointment as requested by or on behalf of the Board.
(5) No later than April 30 of each year, each chief executive officer shall submit a written report to the President and Chief Executive Officer of the Board providing information on all income received by the chief executive officer from any source other than his or her state university for the immediately preceding calendar year. Such report shall include date, location and description of services rendered and the amount of remuneration received. The report shall also include all funds provided by an affiliated corporation to the chief executive officer for use at his or her discretion. The report shall be maintained in the personnel file of the chief executive officer.
(6) The Board may pay, or authorize payment of, the actual and necessary travel expenses for a candidate interviewing for the position of chief executive officer of a state university or President and Chief Executive Officer of the Board. (K.S.A. 76-727)
(7) The Board may reimburse, or authorize reimbursement of, an applicant for the position of chief executive officer or President and Chief Executive Officer for all or part of the applicant's moving expenses from the applicant's out of state residence to the place of residence in Kansas. (K.S.A. 76-727)
(1) Policy Statement
The Kansas Board of Regents shall prescribe the compensation for the chancellor of the University of Kansas and the presidents of Kansas State University, Wichita State University, Emporia State University, Fort Hays State University, and Pittsburg State University (the chief executive officers). K.S.A. 76-714.
The chief executive officers of the state universities lead and manage complex institutions that are crucial to the state’s future. The chief executive officers must be outstanding academic leaders, assure sound business practices and act as good stewards of public funds, raise the philanthropic gifts necessary to foster excellence in higher education, and serve as their respective university’s primary spokesperson in their communities, in the state, and in the nation.
The Board will set the compensation of the chief executive officers in a manner that is designed to reward excellence and promote retention of outstanding leaders. As the Board sets compensation to achieve those goals, it will consider the performance of the chief executive officer, the particular university’s approved current and aspirational peers, other relevant market data, information compiled by the Board’s staff, and other information deemed relevant by the Board. The Board may establish compensation for the chief executive officers in a manner that is consistent for the group or, as appropriate, on an individual basis.
(2) Compliance with State Law
Pursuant to K.S.A. 76-714, appointments of the chief executive officers of the state universities shall be at-will, and compensation will be determined on an annual basis. This policy and any compensation packages set pursuant to this policy shall be construed in accordance with these limitations. Nothing contained in this policy shall be construed as conferring on a chief executive officer a contract of employment for a specific term.
(3) Use of a Combination of Public and Private Funds in Compensating State University Chief Executive Officers
In setting compensation for the chief executive officers of the state universities, the Board may authorize the particular university to use a combination of public and private funds. To assure that the chief executive officers are accountable to the Board, and in order to assure that the majority of the funds used to pay the chief executive officers are public funds, the percentage of private funds shall not exceed 49% of the total annual monetary compensation paid to each chief executive officer. This policy would be subject to adjustment in the event of final appropriation proviso language requiring an adjustment in a particular year.
(4) Forms of monetary compensation
In addition to base salary, which may be adjusted annually, at the discretion of the Board, based on market, peer salary rates, or taking into consideration any adjustments made to university employees’ salaries in a given year, the Board may authorize one or more of the following forms of monetary compensation for one or more of the chief executive officers:
(a) Performance incentive payments for meeting specific strategic plan, operational or other goals established by the Board for any given year, successful accomplishment of which shall be determined by achievement of certain measurable goals established by the Board for that purpose;
(b) employer contributions to a 457(f) deferred compensation plan, pursuant to specific agreement between the chief executive officer and the Board;
(c) additional payments to help defray the cost to the chief executive officer of special needs insurance beyond that provided by the state or other unique expenses.
Each chief executive officer shall receive the standard benefits package available to university unclassified staff including but not limited to health insurance and retirement plan options.
(5) Timing of Board Action
The Board may set compensation at any time for the chief executive officers of the state universities. However, it will do so no later than June 30 for the ensuing fiscal year.
iii. Appointment Process
(1) The Board shall establish appropriate processes for the selection of university chief executive officers.
(2) The Board may appoint a search committee that reflects the variety of constituencies of the university and is consistent with the priorities of the institution’s mission statement. This committee may include, but not necessarily be limited to, classified and unclassified staff, students, faculty, administration, alumni, community members, and members of the Kansas Board of Regents. The Board may invite nominations for the committee from elected leaders or representative organizations of the various constituencies, in cases where these exist. The search committee shall review and evaluate all applications and perform such other functions as are assigned by the Board.
(3) University chief executive officer searches may be national in scope, and shall be advertised in the appropriate venue(s) and conducted according to equal employment opportunity guidelines.
(4) Chief executive officer search process options may include, but are not limited to, the following:
(a) Committee-led searches in which the search committee conducts initial interviews and campus visits, assists the Board in its due diligence responsibilities associated with the review of final candidates, and forwards names of candidates to the Board for final interviews and selection;
(b) Board-led searches in which the Board conducts initial interviews, forwards names of candidates to the search committee for campus visits and search committee interviews, the search committee assists the Board in its due diligence responsibilities associated with the review of final candidates and forwards names of finalists to the Board for selection;
(c) Closed searches, which could either be Committee-led or Board-led, in which open campus visits are not conducted.
In determining the process to be utilized, the Board shall consider: (1) which strategy will likely lead to the most qualified candidates seeking nomination to and remaining in the pool; (2) the interests and benefits of including more campus constituencies in the process; (3) the timing of the process; and (4) other factors that impact the process.
(1) Each year the Board shall evaluate the performance of the chief executive officer of each state university and the President and Chief Executive Officer of the Board. The evaluation is intended to assist the Board in fulfilling its responsibility for the well-being of each institution and the Board office by providing for a regular schedule of meetings between each chief executive officer and the Board for purposes of assessment; improving the depth of understanding of issues germane to the job performance of the chief executive officer; providing additional opportunities for each chief executive officer to express goals for the ensuing year, personal ideas and concerns; and improving management through improved assessment of each chief executive officer.
(2) Assessment of the chief executive officers of the state universities and the Board Office shall involve at least one meeting per year between an individual chief executive officer and the full Board. The assessment process is intended to:
(a) provide the Board with a comprehensive orientation to current and/or ongoing issues related to the job performance of the chief executive officer including, but not limited to, strategic planning, personnel, relationships with vital constituencies, special initiatives and problematic circumstances, if any;
(b) reinforce Board understanding of the challenges and opportunities facing the chief executive officers and the role of the Board in helping to cultivate a climate which enables the chief executive officer to achieve distinction for his or her campus or the Board office;
(c) focus on the chief executive officer’s management skills with a deliberate evaluation and critique emphasizing strengths and weaknesses of leadership using a series of criteria capturing the principal areas of responsibility and expectation; and
(d) provide the chief executive officer with a precise statement of its expectation and define specific goals and objectives the Board wants the chief executive officer to pursue;
(3) Meetings of the Board with individual chief executive officers for purposes of performance evaluation shall be conducted in executive session.
(4) In the event the Chair determines, after consultation with the Board President and Chief Executive Officer, that there is a matter involving chief executive officer assessment that cannot wait until the next regularly scheduled Board meeting a special meeting may be called by the Chair for the purpose of inquiring into the chief executive officer assessment matter. No action may be taken at a special meeting called pursuant to the provisions of this paragraph unless five or more members agree to take action. If the matter involves the assessment of the Board President and Chief Executive Officer, the Chair may utilize the provisions of this paragraph without consulting with the President and Chief Executive Officer.
b. Faculty and Staff
i. General Provisions
(1) In accordance with K.S.A. 76-715, the Board has authorized each state university chief executive officer to make all employee appointment decisions at his or her institution. The chief executive officer may delegate that authority. Each faculty and staff appointment must be approved by the chief executive officer or the chief executive officer’s designee. The Board delegates to each chief executive officer the authority to appoint unclassified employees and to establish salaries for individual unclassified employees within the authorization provided by the Legislature and within any general guidelines issued by the Board.
(2) Provosts, vice presidents or executive vice chancellors, and deans shall serve at the pleasure of the university chief executive officer. Each state university chief executive officer shall designate a chief financial officer for the university, who shall serve at the pleasure of the university chief executive officer. Other university administrative staff positions may be designated as positions that serve at the pleasure of the chief executive officer or at the pleasure of the chief executive officer’s designee: provided, however, that such will and pleasure designation is stated in the administrator’s written annual notice of appointment. The Board shall be notified of the appointment of any provost, vice president, executive vice chancellor, chief financial officer, or other position that reports directly to the university chief executive officer. Such notice shall be given after the appointment occurs and prior to its announcement. The Board shall be notified of the departure of any provost, vice president, executive vice chancellor, chief financial officer, or other position that reports directly to the university chief executive officer at the time the university chief executive officer becomes aware of the departure or planned departure.
(3) The following employees of a state university shall be unclassified: the Chancellor or President, provosts, vice presidents, executive vice chancellors, deans, all administrative officers, student health service physicians, all teaching and research personnel, health care employees and student employees. Except for those positions that have been converted from classified to unclassified service as a result of a change in duties, or those employees whose positions have been converted from classified to unclassified University Support Staff pursuant to K.S.A. 76-715a, these categories shall not encompass any custodial, clerical, or maintenance employees, or any employees performing duties in connection with the business operations of the institution, except administrative officers and directors.
(a) Health care employees means employees of the University of Kansas Medical Center who provide health care services at the Medical Center and who are medical technicians or technologists or respiratory therapists or who are licensed professional nurses or licensed practical nurses or who are in job classes which are designated for this purpose by the chancellor as authorized by law; health care employees also includes employees of any state university who are medical technologists.
(b) The University of Kansas Medical Center shall continue to maintain personnel policies and procedures for said health care employees. Such policies and procedures shall become policies of the Board upon their acceptance and approval by the Board President and Chief Executive Officer.
(1) Within State Universities: Faculty and administrators are eligible to transfer between state universities. As a matter of courtesy, the appropriate vice president or vice chancellor of the current employing institution shall be contacted prior to any formal interview with the applicant by the recruiting institution.
(2) From Out-of-State
(a) The chief executive officer of any state university may extend an invitation to any person to make a visit to the State of Kansas for the purpose of consultation preliminary to his or her possible selection as a member of the unclassified staff at such institution, and in such case, such institution may pay the actual and necessary travel and subsistence expenses of such invitee visiting the State of Kansas. Such travel and subsistence expenses shall be paid from funds available or appropriated for travel and subsistence.
(b) The provisions of K.S.A. 75 3218, 75 3219 and 75 3220 shall not apply to state universities or the Board except that the provisions of K.S.A. 75 3218 and the provisions of K.S.A. 75 3220 supplemental thereto shall apply to employees of the Board Office other than the President and Chief Executive Officer.
(c) The chief executive officer of any state university, or any person or persons designated by him or her for the purpose, may travel to any place or places in the United States for the purpose of interviewing persons as prospective members of the faculty and unclassified staff of such institution, and in such case, such institution shall pay the transportation and subsistence expenses of persons making such trips. Such travel and subsistence shall be paid at the same rates and subject to the same limitations as now provided for state employees for out of state travel. Such travel and subsistence shall be paid from funds available or appropriated for travel and subsistence.
iii. Spoken English Language Competency
(a) All prospective faculty members of state universities, whose native language is not English, must have their spoken English competency assessed prior to employment through interviews with no fewer than three institutional personnel, one of whom shall be a student. Faculty shall include all full-time or part-time personnel having classroom or laboratory instructional responsibilities and/or direct tutorial or advisement contact. An oral interview shall be conducted either face-to-face or by mediated means.
(b) To be eligible for an appointment without spoken English language remediation conditions, prospective faculty found to be potentially deficient in speaking ability shall be required to achieve:
(i) a minimum score of 50 on the Speaking Proficiency English Assessment Kit (SPEAK);
(ii) a minimum score of 22 on the Speaking section of the Test of English as a Foreign Language internet Based Test (TOEFL iBT);
(iii) a minimum score of 7 on the Speaking section of the International English Language Testing System (IELTS); or
(iv) a score on a Board of Academic Affairs Standing Committee approved English speaking instrument that is equivalent to a minimum score detailed in C.2.b.iii.(1).(b)(i), (ii), or (iii).
(c) An exception to the requirements in C.2.b.iii.(1).(a) and (b) may be made for:
(i) visiting professors who are employed for one year or less;
(ii) foreign language courses; or
(iii) courses taught in sign language.
(d) A report detailing the process for interviewing prospective faculty, including the composition of the interview team and scores from the English speaking assessments detailed in iii.1.b.(i), (ii), (iii), or (iv) for each candidate, shall be submitted to the President and Chief Executive Officer of the Board every other year.
(2) Graduate Teaching Assistants
All prospective graduate teaching assistants of the state universities shall have their English competency assessed prior to being considered for any employment having classroom or laboratory instructional responsibility and/or direct tutorial responsibilities. The following shall be used to implement this policy:
(a) All prospective graduate teaching assistants, whose native language is not English, must be interviewed and have their competency in spoken English assessed by no fewer than three institutional personnel, one of whom shall be a student. An oral interview shall be conducted either face-to-face or by mediated means.
(b) To be eligible for an appointment without spoken English language remediation conditions, all prospective graduate teaching assistants, whose native language is not English, shall be required to achieve:
(i) a minimum score of 50 on the Speaking Proficiency English Assessment Kit (SPEAK);
(ii) a minimum score of 22 on the Speaking section of the Test of English as a Foreign Language internet Based Test (TOEFL iBT);
(iii) a minimum score of 7 on the Speaking section of the International English Language Testing System (IELTS); or
(iv) a score on a Board of Academic Affairs Standing Committee approved English speaking instrument that is equivalent to a minimum score detailed in C.2.b.iii.(2).(b).(i), (ii), or (iii).
(c) Any prospective graduate teaching assistant who does not meet the above requirements shall not be assigned teaching responsibilities nor other tasks requiring direct instructional contact with students.
(d) An exception to the requirements in C.2.b.iii.(2). (a), (b), and (c) may be made for:
(i) foreign language courses; or
(ii) courses taught in sign language.
(e) A report detailing the process for interviewing graduate teaching assistants, whose native language is not English, including the composition of the interview team and scores from the English speaking assessments detailed in C.2.b.iii.(2).(b).(i), (ii), (iii), or (iv) for each candidate, shall be submitted to the President and Chief Executive Officer of the Board every other year.
State universities shall develop implementing policies and procedures for the administration of this policy and shall report to the Board as to the effectiveness of such policy; and may adopt standards that exceed or are additional to those contained herein.
iv. Criminal Background Checks
(1) In addition to verifications required by law and except as otherwise provided in this policy or under the approved implementation plan of a state university, each state university shall provide for the performance of a criminal background check on each person hired for any state university position, other than employees reasonably expected to be employed for six months or less and student hourly employees. Criminal background checks shall be conducted either prior to the extension of an offer for employment, or as part of an offer of employment that is made contingent upon a successful criminal background check.
(2) For purposes of this policy, a criminal background check shall include:
(a) Criminal history record searches for felony and misdemeanor convictions at the county and federal levels in every jurisdiction where the candidate currently resides or has resided. Such searches should cover a minimum of the last seven years.
(b) Sex offender registry searches at the county and federal levels in every jurisdiction where the candidate currently resides or has resided.
(c) Other verifications as required by law for specified positions.
(3) Each state university shall develop a plan for implementing this policy and submit it to the Board for approval. Each university’s plan shall address the following:
(a) Optional Positions Covered. Unless otherwise required by law to perform a background check for specified positions, state universities have the option to perform background checks on position categories in addition to those stated above, such as (i) employees who are expected to be employed for six months or less; (ii) positions to be filled by a vendor or contractor; (iii) hourly student employees; (iv) interns; and (v) unpaid volunteers, and may perform more extensive checks than those required above. In making this determination, state universities shall consider the level of direct supervision and guidance provided to individuals in these categories and the nature of the duties of the job.
(b) Procedures for Implementation. Each state university shall establish procedures for (i) obtaining a release from the prospective employee allowing the university to access their criminal history record information, as authorized by K.S.A. 22-4710; (ii) determining the relevance of information obtained through a background check to the prospective employee’s trustworthiness or the safety or well-being of the university’s students and other employees, as required by K.S.A. 22-4710; (iii) how records gathered and documents prepared in furtherance of a criminal background check shall be maintained confidentially and securely and identification of university officials who will serve as custodian of criminal background check record files; and (iv) compliance with the Fair Credit Reporting Act.
(4) Each state university shall submit its plan to the Board for approval no later than September 1, 2008, with implementation to occur as of that date.
If a person is in a position which requires an evaluation or a personnel decision such as those concerning admission, academic evaluation, appointment, performance evaluations, retention, promotion, discipline, tenure or salary of a family member or a member of such person's household, such condition shall be deemed a conflict of interest and that person shall not participate in such a decision, and that person shall not participate in any group or body which is considering any such decision. Persons may be appointed to classified or unclassified, including University Support Staff, positions without regard to family relationship to or living arrangements with other members of faculty or staff so long as the personnel processes are conducted and decisions are made in compliance with this provision as well as institutional and Board policies.
vi. Annual and Multiple Year Appointments
(1) Except as provided in this section, all appointments of unclassified non-tenure track and non-tenured personnel shall be annual. Every appointment of more than one year shall be subject, on an annual basis, to appropriations being provided by the Kansas Legislature.
(2) University of Kansas Medical Center Tracks
(a) Clinical Scholar Track:
The University of Kansas Medical Center may employ and appoint personnel with clinical responsibilities to non-tenure track positions as determined to be in the best interest of the Medical Center by the Chancellor. Faculty health care practitioners whose sole practice is in connection with a KU practice plan, and/or a KU-affiliated VA hospital or pediatric provider, may be considered full-time solely for purposes of appointment to the Clinical Scholar Track. Faculty health care providers whose sole medical practice is in connection with a KU physician practice plan and who are appointed by the chief executive officer of the University of Kansas Hospital Authority (“KUHA”) to hold the position of Senior Vice President for Clinical Affairs or Physician in Chief of the KU Cancer Center as part of the Medical Center’s clinical integration with KUHA may be considered full-time solely for purposes of appointment to the Clinical Scholar Track as determined by the Chancellor to be in the best interest of the Medical Center. A component of the clinical appointment may include teaching. Contracts shall be renewable and the lengths shall be: Instructor, one year; Assistant Professor, one to three years; Associate Professor and Professor, three years. Three year contracts may be rolling contracts that, unless otherwise specified, annually shall roll over to create a new three-year term. The University may terminate a rolling contract by giving notice, prior to June 30th of any year, that the contract will terminate at the end of the then current contract term. Salary shall be determined each year by the availability of funds and by merit, which includes, but is not limited to, productivity. Contracts may be terminated by mutual agreement of the faculty member and the University. Prior to the expiration of the appointment, and except as provided above with respect to a rolling contract, the University may only terminate the contract for cause, including loss of clinical privileges or loss of clinical employment with the practice corporation or foundation, or financial exigency.
(b) Clinical Track:
The University of Kansas Medical Center may employ and appoint personnel with primarily clinical responsibilities to part-time or full-time non-tenure track positions as determined to be in the best interest of the Medical Center by the Chancellor. A component of the clinical appointment may include teaching. Initial contracts for appointments on this track shall range from one to three year terms and shall be renewable. This Clinical Track includes four ranks: Clinical Instructor, Clinical Assistant Professor, Clinical Associate Professor and Clinical Professor. Criteria for promotion in this track are specific to the applicable school within the Medical Center. The University may terminate a contract by giving notice, prior to June 30th of any year that the contract will terminate at the end of the current contract term. Salary shall be determined each year by the availability of funds and by merit, which includes, but is not limited to, productivity. Contracts may be terminated by mutual agreement of the faculty member and the University. Prior to the expiration of the appointment, the University may only terminate the contracts for cause, including loss of clinical privileges or loss of clinical employment with practice corporation or foundation, or financial exigency.
(c) Educator Track:
The University of Kansas Medical Center may employ and appoint personnel to the Educator Track whose teaching or administrative responsibilities related to medical or healthcare education equal or exceed seventy percent of their total effort in their responsibilities with the University. Appointments may be part-time or full-time, non-tenure track positions as determined to be in the best interest of the Medical Center by the Chancellor. Initial contracts for appointments on this track shall range from one to three years and shall be renewable. The Educator Track includes four ranks: Education Instructor, Education Assistant Professor, Education Associate Professor and Education Professor. Criteria for promotion in this track are specific to the applicable school within the Medical Center. The University may terminate a contract by giving notice, prior to June 30th of any year that the contract will terminate at the end of the current contract term. Salary shall be determined each year by the availability of funds and by merit, which includes, but is not limited to, productivity. Contracts may be terminated by mutual agreement of the faculty member and the University. Prior to the expiration of the contract, the University may only terminate the contract for cause, including loss of clinical privileges, if any, or loss of clinical employment with practice corporation or foundation, if any, or financial exigency.
(d) Research Track
The University of Kansas Medical Center may employ and appoint personnel to a Research Track whose primary effort is dedicated to research. Appointments may be part-time or full-time, non-tenure track positions as determined to be in the best interest of the Medical Center by the Chancellor. Contracts for appointment shall be one-year and are renewable. The Research Track includes four ranks: Research Instructor, Research Assistant Professor, Research Associate Professor and Research Professor. Criteria for promotion in this track are specific to the applicable school within the Medical Center. Salary shall be determined each year jointly by the dean and department head, and shall be consistent with applicable guidelines/limits of the funding organization and/or the specific grant/contract/award. Prior to the expiration of the contract, the University may only terminate the contract pursuant to the written agreement or for cause, including financial exigency or loss of clinical privileges or clinical employment, if any. Contracts may be terminated by mutual agreement of the faculty member and the University.
(e) Transfer Between Appointment Categories
Full-time faculty members may apply for a one-time, one-way transfer between appointment categories (tenure track, non-tenure track). Upon mutual agreement, transfers from the tenure track to the non-tenure track may be made. For transfers from the non-tenure track to the tenure track, time and title in the non-tenure track does not count toward the probationary period to obtain tenure. Once a transfer from the non-tenure track to the tenure track has occurred, the guidelines for earning tenure apply. Any such appointments must be made in specific compliance with parameters approved by the Kansas Board of Regents. A transfer between tracks remains separate from review for tenure or promotion.
(3) Kansas State University Clinical Track
Kansas State University may appoint clinical faculty to full-time or part-time, non-tenure track positions as determined by the President to be in the best interest of the University. The primary responsibility for persons on these appointments will be teaching and clinical service. A component of the clinical appointment may include opportunity for scholarly achievement.
Contracts shall be renewable and the titles and lengths shall be: clinical assistant professor, one year; clinical associate professor, three years; and clinical professor, five years. Salary will be determined each year by availability of funds and by merit, which includes, but is not limited to, productivity. The University may terminate the contract prior to the expiration of the appointment, only for cause or financial exigency. Notice of non-renewal of the three-year contract and the five-year contract must be given at least 12 months before the expiration of the contract. Faculty members may apply for a one-time, one-way transfer between appointment categories (tenure track, non-tenure track). Once a transfer from non-tenure track to tenure track has occurred, the guidelines for earning tenure apply. Time and title in the non-tenure track does not count toward the probationary period to obtain tenure. Any such appointments must be made in specific compliance with parameters approved by the Kansas Board of Regents.
(4) Other Non-Tenure Track Faculty Appointments
(a) Each University may employ and appoint qualified personnel to other full-time or part-time, non-tenure track faculty positions as determined by the chief executive officer to be in the best interest of the university. The primary responsibility for persons on these appointments shall be one or more of the following: teaching, clinical service, research, outreach and service, or other creative endeavors in academic departments. Titles and ranks shall be determined by the university.
(b) Initial contracts for such appointments shall not exceed three years, may be renewable but may not be rolling. At the end of each three year period, the university shall determine whether to renew each individual appointment made pursuant to paragraph (a) of this subsection and, if so, whether for 1, 2 or 3 additional years. Salary shall be determined each year by availability of funds and by merit, which includes, but is not limited to, productivity. Criteria for promotion, if available, shall be determined by the university and set forth in university policy.
(c) Contracts for appointments made pursuant to paragraph (a) of this subsection may be terminated by mutual agreement of the faculty member and the University. Prior to the expiration of the appointment, the university may only terminate the contract for financial exigency or for cause in accordance with Board or university policy, including loss of clinical privileges, if any, or loss of clinical employment with practice corporation or foundation, if any.
(d) For purposes of the multiple year appointments made pursuant to paragraph (a) of this subsection, full-time faculty members may apply for a one-time, one-way transfer between appointment categories (tenure track, non-tenure track). Once a transfer from non-tenure track to tenure track has occurred, the guidelines for earning tenure apply. Time and title in the non-tenure track does not count toward the probationary period to obtain tenure. A request for transfer from a tenure-track to non-tenure-track appointment must be made prior to but no later than September 1 of the penultimate year of the probationary tenure-track appointment. Any such appointments must be made in specific compliance with parameters approved by the Kansas Board of Regents.
(e) The Board shall review in 2019 the implementation by and impact on the university campuses of this Other Non-Tenure Track Faculty Appointments policy.
(a) Any athletic director or coach of a division I state university may hold a multiple year appointment when the chief executive officer of the university determines such appointment to be in the best interest of the university.
(b) Any athletic director or coach of a division II state university may hold a multiple year appointment when the chief executive officer of the university determines such appointment to be in the best interest of the university; however no such appointment shall exceed three years at any given time.
(c) Salary for individuals holding multiple year appointments under this subsection (5) shall be determined each year by availability of funds and by merit. The salary of any division II athletic director or coach shall not exceed the monetary salary of the university chief executive officer.
(d) Prior to offering a multiple year extension of an existing contract to (i) a Division I athletic director or (ii) any athletic director or a head coach under subsection (5)(a) or (5)(b) that will likely result in monetary compensation in excess of $500,000 per year, the university chief executive officer shall request the approval of the Board Chairman, or designee, and the Board President and Chief Executive Officer, or designee, when determining whether a multiple year appointment under the given circumstances is in the best interest of the university.
vii. Tenure for Tenure-Track Faculty Appointments (See Details of COVID-19 Exception)
(1) This policy applies only to faculty who have been given tenure-track appointments. Faculty who have been awarded tenure may be terminated only for adequate cause, except in the case of program or unit discontinuance or under extraordinary circumstances because of financial exigency.
(2) In the interpretation of the principles contained in paragraph (1) above, the following is applicable:
(a) The terms and conditions of every appointment shall be stated in writing and be made available to the tenure-track faculty member at the time of appointment.
(b) Beginning with the institution’s full-time appointment of the tenure-track faculty member, the probationary period shall not exceed seven years. Faculty health care providers whose sole practice is in connection with a KU practice plan, and/or a KU-affiliated VA hospital or pediatric provider, may be considered full-time solely for purposes of appointment to the Tenure Track. Medical school faculty researchers who are employed by the VA or by a pediatric provider to conduct medical research may be considered full-time solely for purposes of appointment to the Tenure Track. Physician faculty whose sole medical practice is in connection with a KU physician practice plan and who are appointed by the chief executive officer of the University of Kansas Hospital Authority (“KUHA”) to hold the position of Senior Vice President for Clinical Affairs or Physician in Chief of the KU Cancer Center as part of the Medical Center’s clinical integration with KUHA may be considered full-time solely for purposes of appointment to the Tenure Track as determined by the Chancellor to be in the best interest of the Medical Center. The chief executive officer, or the chief executive officer’s designee, may at his or her discretion reduce the probationary period at the time of appointment if it has been determined that the faculty member has served a partial probationary period at a comparable institution and such reduction is in the best interests of the institution. In no instance, however, may the probationary period for a tenure-track faculty member be reduced to less than four years, even though thereby the person's total probationary period in the academic profession is extended beyond the normal maximum of seven years. Notices should be given at least one year prior to the expiration of the probationary period if the tenure-track faculty member is not to be continued in service after the expiration of that period.
(c) If an untenured faculty member becomes a parent through birth, adoptive placement, or adoption of a child under the age of 5 prior to May 1st of the fifth year of the probationary period, that faculty member, upon notification to the institution’s chief academic officer, shall be granted a one-year delay of the tenure review. Notification must occur within 90 days of the birth, adoptive placement, or adoption. Faculty members retain the right to opt out of this interruption policy.
(d) Under unexpected special and extenuating circumstances, prior to the sixth year of service, and at the request of the faculty member and the appropriate dean, the chief academic officer of the university may grant an extension of the tenure clock for a maximum of one year.
(e) No more than two extensions of the tenure clock may be granted to a faculty member for any reason. Nothing in this provision shall be construed to guarantee reappointment of an untenured faculty member.
(f) Tenure is a privilege that must be affirmatively granted by the institution in recognition of meritorious performance. Tenure is not a privilege that can be achieved simply through continuous service at the institution, regardless of a faculty member’s length of service. Absent an affirmative action by a state university to award tenure, a faculty member shall not qualify for tenure solely by virtue of completing the probationary period.
(3) Within this general policy, each state university may make such operating regulations as it deems necessary, subject to the approval of the Board.
(4) Any tenure approved by the institution shall be limited to tenure for the recommended individual at the institution consistent with the tenure policies of that institution. (Effective 11/14/2002)
(5) In exceptional cases, the chief executive officer at a state university may hire faculty members with tenure without their having completed a probationary period.
(6) Decisions of the chief executive officer shall be final and are not subject to further administrative review by any officer or committee of the institution or by the Board of Regents.
a. Regents Distinguished Professorships
Since Fiscal Year 1964 the Kansas Legislature has appropriated funds to the Board of Regents for the employment of outstanding professors as Regents Distinguished Professors. The purpose of the program is to attract to Kansas and to retain in Kansas established scholars whose research projects augment the State’s economic and industrial development. The following are the guidelines of the Board of Regents with reference to the selection and designation of Regents Distinguished Professors:
i. The Chair of the Kansas Board of Regents shall appoint a Subcommittee composed of three Board members which shall be responsible for making recommendations to the Board in all matters pertaining to the funding, appointment, evaluation and continuance of Regents Distinguished Professors.
ii. Nominations for the appointment of a Regents Distinguished Professor shall be preceded by the submission of a proposal by the chief executive officer of the host institution detailing:
(1) the area of academic specialization for the position
(2) the mode of financing the position;
(3) the institutional facilities and resources available to the incumbent of the position;
(4) the institutional facilities and resources needed for the position;
(5) the relationship of the position to the strengths and mission of the institution;
(6) a description of how the position avoids the duplication of Regents Distinguished Professorships at other state universities or, if the position duplicates such Professorships, how the position will be integrated with the position(s) and research activities at collaborating state universities;
(7) the contribution of the position to the economic development of Kansas;
(8) the academic department or other unit to which the position will be assigned.
Final Board approval of the proposal shall be contingent upon convincing arguments and evidence on points a.ii.(1-8) provided by the proposing institution.
iii. Nominations for the appointment of a Regents Distinguished Professor may be made by the Chancellor and the Presidents. A university chief executive officer may submit a nominee for appointment to a Regents Distinguished Professorship once the position has been approved by the Board. The following precepts shall guide the Board in its appointment of Regents Distinguished Professors.
(1) The Regents Distinguished Professor shall be a recognized leader in his or her field.
(2) In the selection of Regents Distinguished Professors, emphasis should be placed on the capabilities that will enhance the economic and industrial development of the State. Regents Distinguished Professors should inform public policy and enhance the attractiveness of the State through their professional, social and cultural contributions.
(3) The nomination dossier shall be circulated to each Board member and to the President and Chief Executive Officer of the Board.
(4) The recommendation for the appointment of a nominee to a Regents Distinguished Professorship shall be made to the entire Board by the Subcommittee on Regents Distinguished Professors.
iv. The Regents Distinguished Professor designation is appended to a regular faculty line within the institution. The vacant position and the Regents Distinguished Professor allocation shall determine the salary of the Regents Distinguished Professor. Allocation of funds for Regents Distinguished Professors shall be limited to an amount appropriated by the Legislature for each professorship recommended by the Board Subcommittee on Regents Distinguished Professors and authorized by the Board of Regents.
v. Tenure for a Regents Distinguished Professor is determined in the same manner as tenure for regular faculty and confers the same privileges. Tenure, if granted, is in the university and the designation of Regents Distinguished Professor is a temporary supplement to the normal academic rank. Board designation as Regents Distinguished Professor and the stipend appended to it are subject to review and reaffirmation by the Board of Regents under the terms of this policy.
vi. Each state university shall undertake a comprehensive performance evaluation in October of the fifth year of the Regents Distinguished Professor designation and every succeeding fifth year of the designation. The university’s evaluation may include commentary on the professor’s academic work provided by peer evaluators selected by the institution and comprised of educators in the professor’s field who are not connected with the Kansas Regents system. The university’s chief executive officer shall submit to the Subcommittee a report on this evaluation that includes evidence of contributions to the State’s economic development, including sponsorship of research activity.
The professor shall be allowed to submit any information not included in the reports submitted by the chief executive officer to the Subcommittee for consideration.
vii. The Board Subcommittee shall review the available reports, evaluations and any other materials submitted by the professor. The evaluation shall include a review of the professor's professional activities and evidence of contributions to Kansas economic development. Evidence of effective performance shall include, but not be limited to, public or private sponsorship of research activity.
The Subcommittee shall recommend continuance or discontinuance of the Regents Distinguished Professor designation and stipend to the Board of Regents at the December Board meeting. If continuation is not approved by the Board, the designation and stipend shall be withdrawn effective December 31 of the following calendar year.
viii. The Regents Distinguished Professor designation is limited to full-time positions. In the event an individual holding a Regents Distinguished Professor designation changes to a less than a full-time position, the designation and the associated stipend end.
ix. When an appointment to a Regents Distinguished Professorship and its related stipend are terminated through action of the Board, the institution or the professor, the institution should initiate a proposal to the Board of Regents justifying the continuation or change in the area of academic specialization for the Regents Distinguished Professor's position.
b. Regents Distinguished Research Scholar
Each state university, subject to Board approval, may appoint up to three (3) Regents Distinguished Research Scholars, to be supported out of university resources. The purpose of this designation is to: (a) help attract established scholars whose research will contribute to Kansas’ intellectual, cultural, economic and/or industrial development; and (b) honor university faculty whose work likewise makes a significant contribution to the intellectual, cultural, economic and/or industrial development of the State of Kansas.
i. The Chair of the Kansas Board of Regents shall appoint a Subcommittee composed of at least three Board members which shall be responsible for making recommendations to the Board in all matters pertaining to the appointment, evaluation and continuance of Regents Distinguished Research Scholars.
ii. Universities may nominate an individual at any time by providing a letter of nomination describing: (1) the candidate’s area of expertise; (2) the mode of financing the position; (3) the academic unit to which the individual will be assigned; and (4) the contributions the individual’s work makes to the intellectual, cultural, economic and/or industrial development of Kansas.
iii. Nominations for appointment of the Regents Distinguished Research Scholar may be made by the Chancellor and the Presidents.
iv. The designation shall be granted by the Board for a period of five years. Consideration of renewal of the title for a second five-year period shall be acted on by the Board upon recommendation of the President or Chancellor, and the Board Academic Affairs Standing Committee. After a period of ten years, the Regents Distinguished Research Scholar designation shall be renewed at the discretion of the President or Chancellor of the institution.
v. Each state university shall report on any change in status of any Regent Distinguished Research Scholar to the Board Office as soon as possible.
vi. The Kansas Board of Regents staff shall monitor the status of all Regents Distinguished Research Scholars approved at state universities and report to the Board as requested.
c. The Kansas Partnership for Faculty of Distinction Program
The Kansas Partnership for Faculty of Distinction Program is established to encourage major gifts by private donors to enhance the ability of eligible educational institutions to attract and retain faculty of distinction. The Board of Regents shall administer the program in accordance with statutes and in a manner that optimizes the benefits to the institutions from private monies committed to this program. The State will contribute income earnings equivalent awards, as defined in statutes, to supplement endowed professorships or faculty positions at eligible educational institutions for which qualifying endowment associations have received gifts. The Board President and Chief Executive Officer shall establish procedures to manage the program in accordance with this policy and statutory provisions. (See the FISCAL MANAGEMENT AND BUSINESS ADMINISTRATION Section – The Kansas Partnership for Faculty of Distinction Program)
4. PROMOTIONS IN ACADEMIC RANK
The chief executive officer of each state university, exercising his or her professional judgment and discretion, shall decide academic promotions in accordance with the following:
a. Academic rank shall be based solely on merit, salary scales shall be commensurate with rank, and salary differences within various scales established shall also be on basis of merit.
b. The rank of professor shall be awarded only to those persons who are proven masters of their field, are outstanding in that field, and whose general attributes of culture are recognized by their fellows, with such determination to be made by administrations and faculties in traditional manner.
c. In some instances the head of a department or division may hold rank less than professor.
d. Decisions of the chief executive officer shall be final and are not subject to further administrative review by any officer or committee of the institution or by the Board of Regents.
5. FINANCIAL EXIGENCY
Financial exigency is the formal recognition by a state university that known reductions in budget or authorized number of positions have required the elimination of nontenured positions and operating expenditures to such a point that further reductions in these categories would seriously distort the academic programs of the institution; hence, further budget or position reductions would require the nonreappointment of tenured members of the faculty or the failure to meet the standards of notice for nonreappointment of faculty. It is not a requirement of financial exigency that all or most nontenured positions throughout the university be first eliminated.
i. It shall be the responsibility of the chief executive officer of each state university, in consultation with appropriate campus groups, to develop a plan for reductions in personnel as necessitated by conditions of financial exigency.
ii. In the event that financial conditions at a state university may warrant the declaration of financial exigency, the chief executive officer shall notify the Board of that fact and shall provide a complete statement of the circumstances that may warrant the declaration of financial exigency. The statement shall also include a review of all reasonable alternatives to financial exigency. If the Board and the chief executive officer concur as to the existence of a financial exigency, it shall be the responsibility of the chief executive officer to so declare.
iii. It shall be the responsibility of the chief executive officer to review the financially exigent condition with the Board at such times and with such frequency as the Board may specify.
6. SUSPENSIONS, TERMINATIONS AND DISMISSALS
a. Felony Offenses
i. Felony Conviction. The chief executive officer of a state university has the authority to discharge any employee, including a tenured faculty member, immediately upon conviction of any felony.
ii. Felony Charge. The chief executive officer of a state university has the authority to discharge or place on leave without pay any employee, including a tenured faculty member, who has been charged with a felony offense. Prior to any such determination, the employee shall be given notice of the proposed action and an opportunity to respond.
b. Other (See COVID-19 Exception for Details)
i. Faculty and staff may also be suspended, dismissed or terminated from employment for reasons of significant reduction in or elimination of the funding source supporting the position, program discontinuance, financial exigency, or for just cause related to the performance of or failure to perform the individual's duties or for violation of the reasonable directives, rules and regulations, and laws of the institution, the Board and the State of Kansas or the United States.
ii. In light of the extreme financial pressures placed on the state universities due to the COVID-19 pandemic, decreased program and university enrollment, and state fiscal issues, effective immediately through December 31, 2022 and notwithstanding any other Board or institutional policy, any state university employee, including a tenured faculty member, may be suspended, dismissed, or terminated from employment by their respective university. Such terminations, suspensions, or dismissals shall follow the procedure set forth below. Declaration of financial exigency and the processes associated with declaration of financial exigency shall not be a prerequisite to any suspension, dismissal, or termination authorized by this provision, and no existing university policy hearing procedures shall apply to such decisions.
The chief executive officer of any state university, before making any suspensions, dismissals, or terminations under this provision, shall present to the Board for approval a framework for the university’s decision-making under this provision. Elected representatives of the university’s faculty, staff and student governance groups shall be given an opportunity to provide input, comments, and recommendations on the draft framework prior to the university provost’s endorsement and chief executive officer’s adoption and submission of the framework to the Board for approval. Once approved, that framework shall be used for any suspension, dismissal, or termination under this provision. Frameworks for decision-making may be based on factors such as, but not limited to, performance evaluations, teaching and research productivity, low service productivity, low enrollment, cost of operations, or reduction in revenues for specific departments or schools. Prior to the framework being implemented on any campus, the university CEO shall communicate to both the campus community and the Board a rationale for why the framework must be implemented instead of existing suspension, dismissal or termination policies.
(1) The university chief executive officer shall provide no less than 30 days’ written notice of the suspension, dismissal, or termination to the affected employee, including the reasons for the action.
(2) Any employee given notice of a suspension, dismissal, or termination that expressly invokes the authorization of this provision may submit an appeal of the action of the university chief executive officer, through the Board of Regents office as provided below, to the Office of Administrative Hearings. Suspension, dismissal, or termination not invoking this policy shall have solely those appeal rights provided by existing university policy or other applicable existing procedures.
(3) The employee must submit the appeal to the Board office within 30 days of receiving notice of the employment action. The initial submission must include a copy of the notice of the action being appealed and a written statement, including any relevant supporting evidence or documentation, setting forth the reasons the employee believes the decision to suspend, dismiss, or terminate the employee (a) is substantially inconsistent with the university’s decision-making framework approved by the Board, (b) was the result of unlawful bias or discrimination; or (c) was otherwise unreasonable, arbitrary or capricious. These shall be the only grounds for reversing the state university chief executive officer’s decision. The employee shall provide a copy of the appeal and supporting evidence and documentation to the university’s chief executive officer at the time the appeal is submitted.
(4) The university chief executive officer shall have 30 days from receipt to respond in writing to the appeal, including any supporting evidence or documentation, and shall provide a copy of the response and any supporting evidence and documentation to the employee at the time the response is submitted. This 30-day period may be extended for good cause as determined by the Board President and Chief Executive Officer.
(5) Within 10 days of receiving the university chief executive officer’s response, the Board office shall refer the appeal to the Office of Administrative Hearings, which shall provide a hearing and decide the case based on the standards stated in this policy and in the university’s Board-approved framework. The Board shall provide a copy of the submissions to the Office of Administrative Hearings, along with a copy of this policy and the decision-making framework approved by the Board. The state university shall be responsible for fees charged by the Office of Administrative Hearings.
(6) The burden of proof in any appeal shall be on the employee. There shall be no right of discovery. The review shall be based on the written submissions, and the hearing shall allow oral presentation to the administrative hearing officer by the employee and the university, each of whom may be represented by counsel.
(7) Decisions of the administrative hearing officer shall be final and are not subject to further administrative review by any officer or committee of the university or by the Board of Regents.
(8) An appeal under this policy will not stay the effective date of the suspension, dismissal, or termination. Employees who prevail in their appeal under this policy shall be entitled to reinstatement, back pay and restoration of other lost benefits.
c. Grievance Procedure
i. Each state university shall establish and publish grievance procedures for use by faculty and staff in appealing employment decisions of the institution. The procedures shall provide the employee with notice of the action to be taken, the reasons for the action where appropriate, and an opportunity to be heard. A copy of all institutional grievance procedures shall be provided to the institution’s general counsel for review prior to becoming effective.
ii. The decision of the chief executive officer, or the chief executive officer’s designee, concerning any grievance appealing employment decisions of the university shall be final and is not subject to further administrative review by any officer or committee of the university or by the Board of Regents.
7. NOTICE PROCEDURE FOR NON-REAPPOINTMENT
a. For tenure-track faculty, notice of non reappointment should be given in writing in accordance with the following standards; such standards shall not be applicable to any administrative assignments held by the tenure-track faculty member.
i. Not later than March 1 of the first academic year of service, if the appointment expires at the end of that year; or if a one year appointment terminates during an academic year, at least three months in advance of its termination.
ii. Not later than December 15 of the second academic year of service, if the appointment expires at the end of that year; or, if an initial two year appointment terminates during an academic year, at least six months in advance of its termination.
iii. At least twelve months before the expiration of an appointment after two or more years in the institution.
iv. These statements shall apply even during periods of declared financial exigency, unless impossible, in which case notice shall be provided as early as feasible.
b. Notice procedures for non-reappointment for all classes of employees other than tenure-track faculty members shall be determined by the institution’s chief executive officer.
8. EVALUATION OF FACULTY AND POST-TENURE REVIEW
It is the policy of the Kansas Board of Regents that merit increases for faculty shall be based on the annual evaluation of their performance as it relates to the mission of the institution, college/school and department. The Board of Regents holds the state university chief executive officers accountable for the development and implementation of evaluation systems in accordance with the following guidelines:
a. Faculty evaluation criteria, procedures and instruments shall be developed through faculty participation in each department, college or division and recorded to express the performance expectations of faculty therein. Criteria, procedures and instruments shall be:
i. Sufficiently flexible to meet the objectives of the unit.
ii. Sensitive to multi-year faculty activities and outcomes.
iii. Approved by the chief academic officer of each university.
iv. Compatible with contemporary research and scholarly literature on faculty evaluation. For example, assessment of research, where research is part of the job assignment, should ordinarily include but not be limited to information on the quality of the research, the amount of research, the media in which findings were disseminated, and the reception and importance of the research. Similarly, the assessment of teaching, where teaching is part of the job assignment, should ordinarily include but not be limited to student ratings secured anonymously under standard conditions on norm-referenced instruments that adjust for initial student motivation, assessment of syllabi, and assessment of instructional materials.
b. Each state university shall make available to faculty a ratings instrument for securing student ratings of instruction in all appropriate courses. The instrument must be norm-referenced and corrected for major sources of bias as demonstrated by research.
c. The evaluation of faculty performance and expectations for the future shall be discussed with them. Documentation recording the sense of the discussion shall be provided to the faculty member.
i. The faculty member shall be given the opportunity to add comments to the documentation as part of the official record before it is considered at the next higher administrative level.
ii. Each state university shall establish a procedure by which faculty who disagree with their evaluation may request a review.
d. Each state university shall implement a plan to supplement its annual faculty evaluation system, and shall adopt and implement a post-tenure review plan consistent with this policy. Each plan shall include procedures and strategies for the following:
i. Training of departmental chairpersons in the administration of faculty evaluation.
ii. Linkage of the outcomes of faculty evaluation with assistance for renewal and development and, when necessary, reassignment and other personnel actions.
iii. Training and supervision of graduate teaching assistants.
iv. Regular post-tenure review. The primary purpose of this post-tenure review process is to assist faculty members with identifying opportunities that will enable them to reach their full potential for contribution to the university. Such review is intended to provide a longer term perspective than is usually provided by an annual review. The expectation is that each tenured faculty member will be assessed five to seven years after award of tenure, and reviews will continue at intervals of five to seven years unless interrupted by a further review for promotion. This review shall be in addition to, not in lieu of, annual evaluations.
9. FACULTY OF THE YEAR AWARD
In order to recognize and encourage excellence in teaching, research, and service, the Board will, on an annual basis, present an award to one tenured and one non-tenured but tenure track faculty member at each state educational institution and the University of Kansas Medical Center. To assist the Board in identifying appropriate recipients for the award, the Faculty Senate of each state educational institution and the University of Kansas Medical Center shall adopt criteria by which each Faculty Senate shall annually select two faculty members to recommend to the Board for recognition. The criteria shall seek to identify faculty members whose teaching, research, and service over the preceding academic year have exemplified excellence and commitment to the mission of the institution. The criteria may be adopted and amended at any time in accord with the governance procedures of the individual Faculty Senates but shall be submitted to and subject to final review and approval by the President and Chief Executive Officer of the Board. Nominations shall be submitted to the Board in adequate time for review and approval or rejection at the Board’s annual August retreat. Recipients shall be called before the Board for recognition at the September Board meeting by invitation of the Board Chair.
Persons appointed to student, unclassified positions do not accrue any of the leaves delineated below.
a. Sabbatical Leave
i. Sabbatical leaves shall be approved by the chief executive officer of each institution in accordance with Board policy.
ii. Sabbatical Leave may be granted subject to the following conditions:
(1) In strictly meritorious cases, a full time faculty member on regular appointment at any of the state universities who has served continuously for a period of six years or longer at one or more of these institutions, may, at the convenience of the institution and upon the approval of the chief executive officer of the institution with which connected, be granted not to exceed one such leave of absence for each period of regular employment for the purpose of pursuing advanced study, conducting research studies, or securing appropriate industrial or professional experience; such leave shall not be granted for a period of less than one semester nor for a period of more than one year, with reimbursement being made according to the following schedule:
(a) for nine months faculty members, up to half pay for an academic year, or up to full pay for one semester.
(b) for twelve months faculty members, up to half pay for eleven months, or up to full pay for five months.
(2) Regular salary is defined as the salary being paid at the time the sabbatical leave begins. Outside grant funds received by the university in support of the individual's scholarly efforts during his or her sabbatical leave may be used for supplemental salary, but total sabbatical leave salary in these instances may not exceed the individual’s regular salary.
(3) The number of faculty members to whom leave of absence with sabbatical pay is granted in any fiscal year shall not exceed four percent of the number of equivalent full time faculty with rank of assistant professor or higher, or equivalent rank for the institution concerned for the fiscal year for which the leave of absence is granted.
(4) No faculty member shall be granted leave of absence with sabbatical pay who does not agree to return to the service of the university granting the sabbatical leave for a period of at least one year immediately following the expiration of the period of leave. Persons failing to return to the institution granting sabbatical leave shall refund all sabbatical pay. Those who fail to remain for the full year of school service (9 to 12 months depending on annual term of employment) shall refund that portion of their sabbatical pay as represented by the portion of time they fail to serve.
b. Leave Without Pay
i. A leave without pay for up to three years may be granted by the chief executive officer of the employing institution when such is judged by the chief executive officer to be in the best interest of the institution. No leave may be granted to any employee who has accepted a permanent position with another postsecondary education institution.
ii. Any extension of a leave without pay beyond three years requires the approval of the Board. The chief executive officer of the employing institution shall provide documentation of extraordinary circumstances justifying the extension of such leave beyond three years.
iii. Leaves without pay shall not be regarded as a break in service; however, such leave shall not count toward the earning of sabbatical leave nor shall other than a scholarly leave count toward the tenure probationary period. Scholarly leave shall count toward the tenure probationary period unless the employee and the institution agree in writing to the contrary at the time the leave is granted.
iv. During a leave of absence without pay, an employee's eligibility for health insurance shall be determined by and be in accord with the policies, rules and regulations of the State Employees Health Insurance Commission.
c. Leave With Pay
In order to fulfill jury duty, National Guard duty, or other appropriate civic obligations, employees may be granted leave with pay pursuant to institutional policy.
d. Sick Leave of Unclassified Employees
i. Unclassified employees shall accumulate sick leave at the rate of 3.7 hours per biweekly pay period with no limit on the number of hours which can be accumulated. Sick leave for unclassified employees on less than full time appointments shall be reduced proportionately. Sick leave accumulations for persons on sabbatical leave shall be proportionate to the pay status during that leave. No sick leave shall be awarded for periods when unclassified employees are on leave without pay.
ii. Sick leave with pay may be granted only for the necessary absence from duty because of the personal illness, disability or legal quarantine of the employee; or the personal illness or disability of a member of the employee's family when the illness or disability reasonably requires the employee to be absent from work. "Personal illness or disability" shall be defined to include pregnancy, termination of pregnancy, adoption, childbirth and the recovery there from. "Employee's family" shall include persons related to the employee by blood, marriage or adoption and minors residing in the employee's residence as members of the employee’s household.
iii. If upon retirement, or upon termination of employment when retirement eligible, an unclassified employee has accrued 800 or more hours of sick leave, the employee shall be compensated for accumulated sick leave in accordance with the provisions of K.S.A. 75 5517 as amended.
iv. If a separated unclassified employee returns within a year to an eligible position, the sick leave balance that the employee had upon termination is reinstated. Such reinstatement does not apply to an unclassified employee who retires and returns to the Board of Regents service after retirement.
v. Each state university shall adopt appropriate procedures for administering this policy.
e. Sick Leave for Classified Employees and University Support Staff
Accrual, accumulation, granting, use of, and compensation for sick leave for classified employees and University Support Staff in a regular position shall be in accordance with K.S.A. 75-5517 and K.A.R. 1-9-5.
f. Holiday Observations
i. State universities shall observe the holidays listed below for all unclassified, including University Support Staff, and classified employees.
New Year's Day
Martin Luther King, Jr. Day
ii. Unclassified, including University Support Staff, and classified employees shall be entitled to such other special holidays as may be declared by the Governor. Classified employees and unclassified non-exempt employees, including University Support Staff, required to work on such holidays shall be afforded compensatory time or compensation at the rate of one and one-half time for each hour worked. Unclassified exempt staff who accrue annual leave and who are required to work on any listed or special holiday shall be afforded equivalent time off at a later date.
iii. When authorized by the Governor for state employees generally, unclassified, including University Support Staff, and classified employees within the state university system who accrue annual leave shall be entitled to one additional holiday per year to be taken at their discretion, subject to the advance approval of the individual's administrative supervisor.
g. Annual Leave for Unclassified Employees, Including University Support Staff
i. Persons appointed to unclassified faculty positions of less than 12 months do not accumulate or earn annual leave. Their academic duties are closely related to the presence of students on campus. Student recesses offer persons appointed to positions that do not earn annual leave an opportunity to engage in research and perform other necessary professional duties. In consideration of the professional nature of a faculty position, faculty members are expected to fulfill appropriate, professional and departmental responsibility throughout the academic year, including student recesses, exclusive of legal holidays. The academic year begins with student registration or similar duties in the Fall and continues for nine months through commencement and grade submission in the Spring. Specific periods of employment are to be governed by the annual notice of appointment issued by each institution.
ii. Persons, including University Support Staff, appointed to full-time 12 month unclassified positions or to full-time, less than 12-month unclassified non-instructional positions shall earn paid annual leave not to exceed 176 hours per fiscal year. Persons appointed to less than full-time 12-month unclassified positions and persons appointed to less than full-time, less than 12-month unclassified non-instructional positions shall earn annual leave on a pro-rated basis.
iii. Persons, including University Support Staff, appointed to unclassified positions that are eligible to earn annual leave may accumulate a maximum of 304 hours of annual leave; provided, however, that an employee may receive, upon termination from employment or upon moving from a position earning annual leave to a faculty position for less than twelve months, payment for no more than 176 hours of annual leave, and, at retirement or at termination of employment when retirement eligible, an employee may receive payment for up to 240 hours of annual leave.
iv. In accordance with K.S.A. 76-715b, and amendments thereto, University Support Staff employees of the state universities, in regular positions, shall earn and accumulate annual leave in accordance with this policy, which will be effective with the pay period beginning June 5, 2016, and the pay check dated July 1, 2016. Except to the extent specifically set forth in this subsection C.10.g., all otherwise applicable provisions in the Kansas statutes and Department of Administration’s rules and regulations shall continue to apply to University Support Staff employees.
v. Leave shall be earned according to the following Tables, based on the employee’s exempt or non-exempt status:
|Exempt Unclassified Employee|
|Appointment FTE||Hours Earned Per Pay Period|
|.75 - 1.00||8.0|
|.5 - .749||6.0|
|Less than .25||2.0|
|Non-Exempt Unclassified Employee|
|Hours in Pay Status Per Pay Period||Hours earned Per Pay Period|
h. Paid Parental Leave
Each state university shall provide for paid parental leave for eligible employees in accordance with this policy.
Employees who meet benefits eligibility requirements, as defined by the employing university, and who have been employed for twelve months with the state shall be eligible to receive paid parental leave following a qualifying event (e.g., birth or placement of a child for adoption (up to 6 years of age), or placement of a foster child(ren) at any age) occurring after the effective date of this policy. Each state university may establish implementing policies, including definitions, and may require otherwise-eligible employees to provide relevant information and notice of their intent to use the leave in order for the employees to be eligible.
ii. Leave period
Each parent designated as the primary caregiver for purposes of this policy shall receive up to eight weeks of paid parental leave, and each parent who is designated as the secondary caregiver for purposes of this policy shall receive up to four weeks of paid parental leave. For part-time employees, the leave shall be pro-rated to their part-time appointment for the applicable time period. The fact that a multiple birth, adoption, or placement occurs (e.g., the birth, adoption, or placement of twins) does not increase the length of paid parental leave for that event.
(1) If both parents are employees and eligible for paid parental leave, one employee must be designated the primary caregiver and one employee must be designated the secondary caregiver.
(2) In such instances, the paid parental leave may be taken concurrently, consecutively, 30 days in advance for FMLA qualifying events, or at different times within the 12-week period immediately following the qualifying event.
Paid parental leave under this policy shall be at 100% of the eligible employee’s regular rate of pay and, while using paid parental leave, employees continue to accrue vacation and sick leave, as well as all other regular benefits in accordance with applicable rules, regulations, Board policy and statutes.
(1) Academic year appointments. Paid parental leave only applies during periods when the employee is in paid status. Employees on academic year or less than 12-month appointments may not request or receive paid parental leave for periods when not in a paid status.
(2) Holidays. Official and observed holidays do not count against paid parental leave. Employees utilizing paid parental leave on an official or observed holiday shall receive holiday credit. Employees may be permitted to take leave of other types (i.e., sick leave and vacation leave) in addition to the eight or four weeks of paid parental leave, in accordance with other applicable Board and university policies.
(3) Timing. Paid parental leave must be taken within the 12 weeks immediately following the date of birth or date of placement for adoption of a child. For employees who assume placement of a foster child(ren), the ability to use paid parental leave will be limited each calendar year to a total of eight weeks for the primary caregiver and four weeks for the secondary caregiver. Such leave can be used for a single placement or for multiple placements. Each state university may determine whether employees will be permitted to take this leave intermittently or in a solid block of time within that 12 weeks. Any paid parental leave shall run concurrently with leave permitted under the Family Medical Leave Act (FMLA), if applicable.
iv. Paid parental leave under this policy is not transferrable and cannot be donated through a shared leave program or in any other way. Any amount of paid parental leave not utilized by the eligible employee in the 12-week period shall be forfeited.
v. Nothing in this policy shall be construed as prohibiting a state university from providing additional leave beyond that permitted under this policy, to the extent allowed by applicable rule, regulation, Board policy or statute, or from reassigning an eligible employee’s duties while the employee is on paid parental leave.
vi. Each university shall implement the 2021 amendments to this policy on September 19, 2021, for qualifying events occurring on or after September 19, 2021. Employees represented by bargaining units where the contract requires meet and confer to implement this policy shall not be covered under this policy without ratification by the bargaining unit.
i. Bereavement Leave for Unclassified Employees
Unclassified and university support staff employees may be granted leave with pay upon the death of a close relative or that person’s close relative. Such leave shall in no case exceed six working days. The employee's relationship to the deceased and necessary travel time shall be among the factors considered in determining whether to grant bereavement leave, and, if so, the amount of leave to be granted.
j. Shared Leave for Unclassified Employees
i. All unclassified employees who accumulate sick leave shall be eligible for participation in the shared leave program of the State of Kansas.
ii. All unclassified employees who participate in the shared leave program may donate sick leave as long as the donation does not cause the accumulated sick leave balance of the donating employee to be less than 480 hours, unless the employee donates sick leave at the time of separation from service.
iii. Each state university shall adopt appropriate procedures for administering this policy.
k. Family Medical Leave
i. For purposes of administering the Family Medical Leave Act each state university shall:
(1) designate qualifying leave as Family Medical Leave whether or not the employee requests such a designation;
(2) consider the twelve-month period, within which an eligible employee who experiences a Family Medical Leave Act qualifying condition or circumstance, to begin concurrently with the first day of Family Medical Leave and any subsequent twelve-month period would begin the first time an eligible employee again experienced a Family Medical Leave Act qualifying condition or circumstance after the expiration of the first twelve-month period; and
(3) require employees whose leave is designated Family Medical Leave to substitute accrued paid leave for unpaid Family Medical Leave in accordance with the federal Family Medical Leave Act.
ii. Any state university may adopt a policy allowing a member of the faculty holding a tenure earning appointment who has taken Family Medical Leave to request an additional year in which to work toward tenure.
iii. Subject to the above, each state university shall adopt policy and procedures to provide leave to its employees pursuant to the Family Medical Leave Act.
11. HEALTH PROGRAM AND OTHER INSURANCE
a. The State of Kansas provides group health, life and long-term disability insurance to eligible classified and unclassified employees, including University Support Staff.
b. Pursuant to K.S.A. 2011 Supp. 75-4101, and amendments thereto, the Board has entered contracts and adopted administrative rules and regulations, K.A.R., 88-30-1 et seq., for the provision of a voluntary student health insurance program. Eligible graduate teaching assistants, graduate research assistants, and graduate assistants may choose to participate in this health insurance program.
12. COMMITMENT OF TIME, CONFLICT OF INTEREST, CONSULTING AND OTHER EMPLOYMENT
The Board of Regents encourages the state universities to collaborate and consult with business, industry, public and private foundations, and government agencies in order to further their missions of teaching, research and service; to provide for and facilitate the professional development of their faculty and staff; and to promote the rapid expansion and application of knowledge, gained through research, to the needs of Kansas, the region and the nation. With particular reference to such collaboration, the Board of Regents considers it of utmost importance that university employees conduct their affairs so as to avoid or minimize conflicts of time commitment and conflicts of interest, and that the state universities be vigilant and prepared to respond appropriately when real or apparent conflicts arise.
To those ends, the purposes of this policy are to: (i) illustrate types of situations that generate conflicts; (ii) provide means for full and part-time faculty, staff and the university to manage real or apparent conflicts; (iii) promote the best interests of students and others whose work depends on faculty direction; and (iv) describe the types of conflicts that are prohibited. Every full and part-time employee of each state university, except for student employees, has an obligation to become familiar with, and abide by, the applicable provisions of this policy. If a situation arises, raising questions of real or apparent conflict of commitment or conflict of interest as described in this policy, affected employees must meet with their department chair, school dean or supervisor, report the conflict as described below, and eliminate the conflict or manage it in an acceptable manner. Additionally, every full and part-time employee, except student employees, shall report, as required below, any consulting arrangements, significant financial or managerial interests, or employment in an outside entity, the financial or other interests of which would reasonably appear to be directly and significantly affected by their research or other university activities.
a. General Principles
i. Conflict of Time Commitment
(1) Attempts to balance university responsibilities with external activities (such as, but not limited to, consulting, public service or pro bono work) can result in real or apparent conflicts regarding commitment of time and effort. Whenever a faculty or staff member's external activities exceed reasonable time limits, or whenever a full-time faculty or full-time unclassified staff member's primary professional responsibility is not to the university, a conflict of time commitment exists.
(2) Conflicts of commitment usually involve issues of time allocation. Full-time faculty members and full-time unclassified staff of state universities owe their primary professional responsibility to their employing institutions, and their primary commitment of time and intellectual effort must be to the education, service, research and scholarship missions of those institutions. Faculty and unclassified staff should maintain a presence on campus commensurate with their appointments. The specific responsibilities, position requirements, employment obligations and professional activities that constitute an appropriate and primary commitment of time will differ across schools and departments, but said responsibilities, requirements, obligations and activities should be initially premised on a general understanding of full-time commitment for full-time faculty and full-time unclassified staff of the universities. Exceptions must be justified and shown to enhance the institutional mission and must be approved in advance by the faculty or staff member’s supervisor.
ii. Conflict of Interest
(1) A conflict of interest occurs when there is a divergence between an individual's private, personal relationships or interests and his or her professional obligations to the university such that an independent observer might reasonably question whether the individual's professional actions or decisions are determined or substantially influenced by considerations of personal benefit, gain or advantage.
(2) Whether a conflict of interest or the appearance of one exists depends on the situation, not on the character or actions of the individual, and must be determined objectively on a case by case basis. The appearance of a conflict of interest can be as damaging or detrimental as an actual conflict and thus, for purposes of this policy, apparent conflicts are treated the same as actual conflicts.
(3) Situations involving potential conflicts of interest are common in a modern university and must be addressed. State universities have as part of their mission the promotion of the public good by fostering the transfer of knowledge gained through university research and scholarship to the private sector. Two important means of accomplishing this institutional mission include consulting and the commercialization of technologies derived from research. It is appropriate that university personnel be rewarded for participating in these activities through consulting fees and sharing in royalties resulting from the commercialization of their work. It is not appropriate, however, for an individual's actions or decisions made in the course of his or her university activities to be determined or substantially influenced by considerations of personal financial gain. Such behavior calls into question the professional objectivity and ethics of the individual, and it also reflects negatively on the employing university. State universities are institutions of public trust; university faculty and staff must respect that status and conduct their affairs in ways that will not compromise the integrity of the university.
(4) Except in purely incidental and minor ways, university resources, including but not limited to facilities, materials, personnel, or equipment shall not be used in external activities unless prior written approval has been received from the university's chief executive officer or his or her designee. Such permission shall be granted only when the use of university resources is determined to further the mission of the institution. When such permission is granted, the faculty or staff member shall make arrangements to reimburse the university for institutional materials, facilities or services used in the external activity. Such use shall not be authorized if it violates the Board of Regents policy on Sales of Products and Services.
(5) Proprietary or other information confidential to a state university shall not be used in external activities unless prior written approval has been received from the university’s chief executive officer or designee.
(6) University personnel shall not involve university students, university staff, or university faculty in their external activities if such involvement is in any way coerced or in any way conflicts with the involved participants' required commitment of time to the university. For example, a student's grades or progress towards a degree shall not be conditioned on participation in a university employee’s external activities.
iii. State Ethics Statutes
All employees shall adhere to all applicable state ethics statutes.
b. Consulting and Other Employment
i. Consulting for Other State of Kansas Agencies
Consulting by faculty members and other employees of institutions under the jurisdiction of the Board for another institution under the jurisdiction of the Board, as well as consultation for other state agencies, shall be approved in advance by both (a) the institution or agency seeking these services, and (b) the employee's home institution. The home institution shall effect payment through the regular process and shall receive reimbursement through the interfund transfer process.
ii. Other Consulting Outside the University
For faculty, the state university permits, and indeed encourages, a limited amount of consulting activity outside the faculty member's reasonably construed total professional responsibilities of employment by and for the university, on subjects that are within the faculty member’s area of professional expertise, provided such activity: (a) further develops the faculty member in a professional sense or serves the community, state, or nation in an area related to the faculty member’s professional expertise; (b) does not interfere with the faculty member's teaching, research and service to the university; and (c) is consistent with the objectives of the university. Regular instructional service to other educational institutions is normally regarded as an inappropriate and is thus generally prohibited. Without prior written approval, faculty members on full-time appointments shall not have significant outside managerial responsibilities, nor act as principal investigators, on sponsored projects that could be conducted at their employing university but instead are submitted and managed though another organization. Each state university shall determine how to apply or adapt the consulting policy and procedures for employees who are not faculty members, and faculty members who are part time. In no case shall the university’s policy and procedures for non-faculty employees be more liberal than what is allowed for faculty.
iii. Other Employment
The Board of Regents expects all faculty and staff employed by the state universities to give full professional effort to their university duties and assignments. It is, therefore, considered inappropriate to engage in gainful employment outside the state university that is incompatible with institutional commitments. It is inappropriate to transact business for personal gain unrelated to the university from one's university office, or at times when it might interfere with commitments to the university. Participation in academic conferences, workshops and seminars does not usually constitute consulting or outside employment. However, organizing, operating, or participating in such meetings for profit may be construed as consulting or outside employment as defined in this policy.
c. Reporting Requirements
i. Annual Reporting of Consulting Arrangements, Significant Financial or Managerial Interests, and Outside Employment
As part of the annual appointment process, all faculty and unclassified staff shall disclose to the university whether they or members of their immediate family (spouse and dependent children), personal household, or associate entities (e.g., corporations, partnerships or trusts in which they have a significant interest) have consulting arrangements, significant financial or managerial interests, or employment in an outside entity. This report and information shall be provided to the university no less than once each year. Each university shall be permitted to use a form of its administration’s own choosing to collect the required information so long as it contains the threshold requirements contained in this policy. The state university may, at its discretion, require its faculty and unclassified staff to submit information in addition to that required by this policy, but in no event shall the reporting faculty and staff be permitted to report less information than is required by this policy.
For purposes of this policy, significant financial or managerial interests (or significant financial or other interests) means all holdings greater than $5,000 or more than 5% ownership in a company.
Failure to timely submit the required reporting form to the university shall result in denial of the opportunity to submit research proposals to external funding agencies and may result in discipline in accordance with university procedures. When the university determines that the information submitted indicates that an actual or apparent conflict of time commitment or conflict of interest does or may exist, the university may require the faculty or unclassified staff member to submit additional information and explanation regarding that conflict.
ii. Ongoing Duty to Report Consulting Arrangements, Significant Financial or Managerial Interests, and Outside Employment As They Occur
In addition to the annual report that faculty and unclassified staff are required to make, all faculty and staff shall disclose any current or prospective situations that may raise questions of conflict of time commitment or conflict of interest, as soon as such situations become known. Such reports shall be made to the department chair or dean or supervisor of that staff or faculty member.
iii. Federal Reporting Requirements
State universities are required to adhere to and implement any additional policies and procedures and disclosure requirements that are imposed by applicable federal conflict of interest laws. State universities may modify the reporting form established pursuant to paragraph (1) of the subsection c. without seeking approval of the Council of Presidents, as necessary to meet or exceed such federal requirements. Such modifications shall not result in less comprehensive reporting.
iv. Prior Approval for Consulting and Other Employment Outside the University
Faculty and staff shall inform the chief academic officer, through the department chair or head and the dean, of all consulting activities. The faculty or staff member shall report in writing the proposed arrangements, and secure approval prior to engaging in consulting activities or other employment. The report shall indicate the extent and nature of the consulting activities or employment, the amount of time to be spent, including travel time, and the amount of time expected to be spent on all such outside consulting activities or employment during the coming academic year.
v. Disposition of Reports
All required reports shall be submitted in accordance with institutional requirements and shall be used for the determination of whether an individual is in compliance with this policy. Such reports shall also be available to institutional research officers to permit certification and/or verification of compliance with federal regulations. Institutions must maintain these reports for a minimum of three years.
d. Use of University Name
The Name of the Board of Regents, a state university or the Regents System may never be used as an endorsement of a faculty or staff member's external activities or by any outside entity for any purpose without expressed and advance written approval of the university chief executive officer or the Board's President and Chief Executive Officer, as appropriate. Faculty and staff members may list their institutional affiliation in professional books, articles and monographs they author or edit and in connection with professional workshops they conduct or presentations they make without securing approval.
e. Campus Policy Development and Enforcement
Additional rules and procedures for personal external activity, consistent with Board policy, will be established by each state university. In situations in which the objectivity of a faculty or staff member could reasonably be questioned, or where apparent conflicts of interest exist, each state university shall establish an effective review mechanism to determine if a conflict of time commitment or conflict of interest exists and to facilitate resolution of the conflict where possible, and to decide upon the appropriate sanctions when a conflict is determined to exist. Such review mechanisms will include opportunity for appeal within the university structure.
f. Distribution and Dissemination
This policy statement will be distributed upon initial appointment to all faculty and staff by each state university.
13. POLITICAL ACTIVITY
a. Faculty, administrators and other unclassified employees, including University Support Staff, may accept any public or political party appointed or elected position that does not create any conflict of interest with, and does not require substantial time away from, assigned duties or in other respects infringe upon those duties.
b. The filing of a declaration of intent to become a candidate shall not affect the status or appointment of an unclassified employee, including University Support Staff. However, the employee shall continue to properly and fully perform all of his or her assigned duties or take appropriate leave if available. Should the employee, while he or she is a candidate for office and not on approved leave, fail to perform all of his or her assigned duties, such employee shall be subject to appropriate disciplinary action.
c. Leave without salary or other benefits shall be granted to those elected or appointed to public office requiring full time or lengthy sustained periods away from assigned duties, such as Congress, the Kansas Legislature, and state and county offices or appointments to office falling within this category. For persons elected or appointed to Congress or the Kansas Legislature, this provision shall be effective from the date such person takes the Oath of Office or the first day of the Legislative session and continuing until the adjournment of Congress or to a date no sooner than the last adjournment in April or sine die adjournment, whichever occurs first, of each regular and special session of the Kansas Legislature; as to other state and county offices requiring full time or lengthy sustained periods away from assigned duties, this provision shall be effective during the entire time a person serves as such officer. Leave without salary or other benefits shall not be required for any person serving in the Kansas Legislature or for service on any committee during a period when the Legislature is not in regular or special session, provided that such person shall decline to accept all legislative compensation for such service, but such person shall be entitled to mileage and other expense allowances as provided by statute and paid by the Legislature. K.S.A. 2011 Supp. 74-4925(5) provides that any member of the Kansas Legislature who is on leave of absence from the Board of Regents or an educational institution under its management may elect to remain eligible for participation in the Board of Regents’ retirement plan while on such leave.
d. In the interest of the fullest participation in public affairs, personnel are free to express opinions speaking or writing as an individual in their personal capacity and not as a representative of the institution in signed advertisements, pamphlets and related material in support of or opposition to parties and causes. There shall be the commensurate responsibility of making plain that each person so doing is acting for himself or herself and not on behalf of an institution supported by tax funds drawn from citizens of varying political and economic views. This responsibility includes avoiding the use of university letterhead and stationery and other official university designations. Employees testifying before the Legislature on behalf of outside entities shall notify their institution’s designated representative prior to such testimony.
a. Retirement Benefits
i. Eligible classified employees and University Support Staff are covered by the Kansas Public Employees Retirement System as determined by law.
ii. Faculty and unclassified employees are covered by and/or eligible for those retirement benefits under the Mandatory Retirement Plan that are set forth in detail as follows:
(1) The provisions of Kansas Board of Regents Mandatory Plan Document control the terms of the plan.
(2) The provisions of the Investment Policy Statement control the Board’s oversight and the role of the Investment Providers.
(3) The provisions of the Vendor Management Document shall control the Investment Provider reporting and fund change protocol.
iii. Retirement Age for Faculty and Staff Participating in the Kansas Board of Regents Mandatory Retirement Plan. There shall be no mandatory retirement age for participating employees. For purposes of eligibility for certain statutory retirement benefits, such retirement shall not occur before the fifty-fifth birthday; provided, however, that individuals who seek to retire from age 55 to 59 must have ten years of service in a benefits-eligible position at a state university or with the Board of Regents staff.
b. Phased Retirement Program
Phased retirement is a privilege, not a right, and is a benefit that may be granted only by the chief executive officer or his or her designee when it has been determined to be in the best interest of the institution. Subject to the provisions of K.S.A. 76-746 and K.A.R. 88-12-1 through 8, an unclassified employee aged 55 or older who is participating in the Kansas Board of Regents Mandatory Retirement Plan may enter into a written agreement with the employing institution whereby the employee shall accept a position which is less than full-time but at least one-fourth time, and the institution shall provide benefits on a full-time basis for up to five years.
c. Tax Sheltered 403(b) Voluntary Retirement Program
Eligible classified and unclassified employees, including University Support Staff, may participate in a 403(b) voluntary retirement program. The provisions of the Kansas Board of Regents Voluntary Plan Document shall control the terms of the plan.
15. EMERITUS/EMERITA STATUS
Emeritus/Emerita status is an honorary title awarded to a retiring faculty member or administrator for extended meritorious service.
a. Chief Executive Officers
The Board of Regents may confer by resolution the title of Chancellor Emeritus/Emerita or President Emeritus/Emerita upon a former Chancellor or former President of one of the state universities. Factors to consider when awarding emeritus/emerita status include distinguished administrative service that advances the strength, growth and integrity of the university, and outstanding contributions to the higher education system, the community and the State, as well as the length of administrative service to the university. There is no salary or emolument attached to the status.
b. Faculty and Other Administrative Officers
Each state university shall establish its own criteria for awarding such status to university faculty and other administrators. Emeritus/Emerita status requires approval by the chief executive officer of the employing institution. There is no salary or emolument attached to the status other than such privileges as the institution may wish to extend.
State universities are authorized to pay honoraria as required for visiting lecturers upon authorization by the chief executive officer of the institution, or the chief executive officer’s designee.
17. WITHHOLDING OF PAYCHECKS AND SET-OFF OF AMOUNTS OWED
In addition to any other remedy available by law, each state university shall be authorized, in accordance with K.S.A. 75-6201 et seq., to withhold payroll or other warrants issued by the State to, or setoff amounts owed by, any officer or employee of that institution against salary, other compensation or other amounts payable to such individual for any fine, fee or penalty owed by such officer or employee to the state university.
18. KANSAS TORT CLAIMS ACT/LEGAL DEFENSE OF EMPLOYEES
Lawsuits against state employees, including faculty and staff, are controlled by and handled pursuant to the provisions of the Kansas Tort Claims Act (K.S.A. 75-6101 et seq.). The Act seeks to limit liability and provides that the State of Kansas shall, subject to certain limitations and qualifications, defend and indemnify state employees, including state university faculty and staff, sued as a consequence of actions taken by state employees while acting within the scope of their employment.
Subject to institutional policies, any employees of a state university who is sued for any alleged nonfeasance, misfeasance or malfeasance of the duties of the employee’s position shall immediately notify institutional legal counsel to initiate an appropriate request to the Attorney General for legal defense. Specific questions about protections provided pursuant to the Kansas Tort Claims Act or the legal defense of employees may be referred to institutional legal counsel.
Each state university shall prominently post a copy of the “Whistleblower” Act (K.S.A. 75-2973) in locations where it can reasonably be expected to come to the attention of all employees of the institution. The “Whistleblower” Act sets forth the right of state employees to discuss the operations of a state agency with any member of the legislature and the right to report any violation of state or federal law or rules and regulations to any person, agency, or organization without retaliation.
20. REPORTING OF CHILD SEXUAL ABUSE
Each university shall specifically address and adopt procedures for the mandatory reporting, to appropriate law enforcement agencies, of any child sexual abuse witnessed by staff or faculty. For purposes of this provision, child sexual abuse means those crimes defined in K.S.A. 2011 Supp. 21-5501 et seq. that relate to minors as victims.
D. FISCAL MANAGEMENT AND BUSINESS ADMINISTRATION
(See Chapter III., Section B. for additional fiscal management policies applicable to state universities
1. TUITION AND FEES
The Board shall fix tuition, fees required of every student as a condition of enrollment, student housing fees, building construction fees, and changes in academic fees. The Board delegates to the chief executive officer of each institution the authority to establish user and administrative fees where the increase does not generate an amount in excess of $250,000 annually. All such tuition and fees are to be incorporated in the Comprehensive Fee Schedule, which will be received annually by the Board.
a. Institutional Procedures
Each state university shall submit proposed changes for the following to the student body president and to the appropriate student organization prior to Board consideration: (1) fees required of every student as a condition of enrollment; (2) student housing fees; (3) building construction fees; (4) changes in academic fees; and (5) tuition rates. No student fees, other than user fees, shall be charged or collected by any state university for debt service on bonded indebtedness for any building or facility of such state university used primarily for academic purposes or providing health care services unless a student referendum is conducted in accordance with K.S.A. 76-742.
b. Establishment or Alteration of Fees and Tuition Rates
i. Board approval must be secured prior to the establishment or change of fees required of every student as a condition of enrollment, student housing fees, building construction fees; changes in academic fees; and tuition rates. All proposed tuition and fee changes shall first be submitted to the Fiscal Affairs and Audit Committee of the Board. The proposal shall be accompanied by a fiscal impact statement showing the increased revenue to be received and a detail of planned expenditures. The proposal shall also indicate the involvement and comments of student organizations and the student body president during the review process. The proposed tuition or fee change, financial impact statement and student organization comments shall be provided to all persons receiving the agenda of the Board meeting. Final action on such proposed tuition or fee change by the Committee shall not be taken until the next regularly scheduled meeting of the Committee.
ii. Any “Kansas Teacher of the Year” recipient may enroll for up to nine credit hours annually at any state university without payment of tuition or fees if the individual is actively pursuing a teaching career in Kansas.
c. Calendar for Fee and Tuition Rate Adjustments
i. The calendar to be followed for all student fees adjustments, except for emergency situations, shall be as follows:
(1) Changes in student housing fees must go to the Board for first reading in November and to the Board for final action in December.
(2) Fees required of every student as a condition of enrollment and administrative fees generating additional annual revenue in excess of $250,000 go to the Board for first reading and action at the same time as tuition rates.
(3) Building Construction fees may go to the Board at any regular meeting. Two readings are required.
(4) Tuition rates and academic fee changes will be considered by the Board no later than June prior to the beginning of the fall semester for which they are effective.
ii. The above tuition and fees shall be effective at the beginning of a fall semester, spring semester or summer session as specified by the Board.
d. Payment and Fees
All students are required to pay fees as published in the institution’s comprehensive fee schedule.
Short-term extensions of the fee payment due date may be granted for sponsored international students experiencing international monetary exchange difficulties, students certified to receive funds through the institution’s Office of Student Financial Aid, and for other extenuating circumstances at the institution’s discretion. Each university shall establish procedures to collect outstanding obligations owed by students and former students. Each university shall maintain a system to record all delinquent financial obligations owed to that university by students and former students. A university may take any or all of the following actions for delinquent student accounts:
i. Deny or cancel registration;
ii. Withhold refunds (to the extent permitted by law) and the provision of services, grade reports, transcripts, diplomas, and graduation;
iii. Terminate agreements for student or family housing and/or take other action when financial obligations relate to housing;
iv. Use outside collection agencies as authorized in K.S.A. 76-745, report to credit bureaus, and assess related fees;
v. Follow K.S.A. 75-3782a, et seq., in requesting the Director of Accounts and Reports write-off of uncollectible accounts; and
vi. Other measures as permitted by law.
e. Tuition Assistance for Faculty/Staff
Each state university may implement a tuition assistance program for spouses and dependents of full-time employees. The specific parameters of the program as it applies to each institution and any subsequent changes must be approved by the Board in advance of implementation. The institution will annually calculate the total tuition provided through the tuition assistance plan and officially recognize this cost by reflecting it in their financial system. From this enabling policy, each institution proposing a tuition assistance program would present in the spring to the Board of Regents their specific plan.
f. Board Approval of Tuition and Fee Waivers Pursuant to K.S.A. 76-719c
The Board shall approve all university programs to offer to student tuition and fee waivers, specifically the Board shall review and approve the standards, conditions and requirements “designed to foster the growth, distinction, and stability of the state educational institution and the quality of its educational programs and pursuits.”
i. State university proposals shall include a statement of purpose, eligibility requirements, award/waiver amounts, financial impact, and a description of the assessment that will be used to measure the efficacy of the award/waiver in achieving the stated goal.
ii. Typically, proposals shall be submitted to the Board for first reading in May and for final action in June of the year prior to the effective date of the program, i.e. program approved June, 2010 would be effective for fall, 2011.
iii. Reporting of approved waivers will be added to the existing reporting mechanism for tuition and fee waivers that is collected annually in November.
2. STATE APPROPRIATIONS
a. Unified State Appropriation Request
i. The official request for any new state appropriations for the state universities shall be made by the Board of Regents, pursuant to K.S.A. 74-3202c(b)(6), and amendments thereto, as a part of its unified appropriation request for state funding of postsecondary educational institutions.
ii. The Board shall hold a budget workshop each year with the purpose of conducting an in-depth review of the appropriation requests from the state universities to aid the Board in determining the submissions to be included in the Board of Regents’ unified state appropriation request to the Governor and Legislature. Board staff, in consultation with the Fiscal Affairs and Audit Committee, shall annually provide the state universities with guidance and a uniform format for the materials prepared for the Regents.
b. State University Annual Budgets
i. The fiscal year of all institutions is July 1 through June 30, and shall be designated by reference to the calendar year in which the fiscal year ends.
ii. The Board shall receive a copy of the budget submitted to the Division of the Budget, assembled in accordance with the instructions provided by the Division of the Budget.
3. FEDERAL FUNDS
a. The Board or any state university may make and file applications for federal funds appropriated and made available by federal law for purposes related to the operation or function of the Board or such university. The Board, or any state university, may receive from the federal government, or any of its agencies, any funds made available under existing law, rules or regulations, or that may hereafter be made available. The Board, or any state university, may expend the same in accordance with the law, and the rules, regulations and requirements under which such funds are made available. Such moneys shall be expended only in accordance with and for the purposes specified in federal law. Federal funds shall be deposited in the State treasury.
b. State university requests for federal funds for capital improvements shall be in accord with Board policy on building and construction projects. (see section E.3.).
4. ACCEPTANCE OF GIFTS
a. When a state university anticipates applying for, accepting and receiving a private donation, gift, grant or bequest that may impose a significant fiscal obligation upon the university, such private donation, gift, grant or bequest must be reviewed by the Board of Regents prior to the acceptance of such donation, gift, grant or bequest by the Board or authorization for the state university to accept such donation, gift, grant or bequest pursuant to K.S.A. 76 724. For purposes of this policy "significant fiscal obligation" shall be considered to be a need, at the time of receipt of the donation, gift, grant or bequest, and in reasonable relation to the acceptance thereof, to: (i) seek additional state funding of $50,000 or more, or (ii) seek additional state funding for operating support of a gift building.
b. If appropriate, the President and Chief Executive Officer of the Board shall notify other officials of the State including but not limited to the Governor, the Secretary of Administration, the State Director of the Budget, the Attorney General and the Director of Architectural Services of such private donations, gifts, grants or bequests.
c. The chief executive officer of each state university shall seek to verify, with reference to all private donations, gifts, grants or bequests of real property, that said real property was not the site of or used for the disposal of hazardous wastes or materials.
d. When the proposed private donations, gifts, grants or bequests consist of a facility to be constructed for the state university, reasonable efforts should be taken to encourage the donor to make such gift conform to guidelines and procedural manuals of the Director of Architectural Services.
e. This policy shall not apply to donations, gifts, grants or bequests made to institutional endowment associations or foundations.
Crowdfunding is the practice of funding a project or venture by soliciting relatively small donations from a large number of people, typically via the Internet. This policy applies to crowdfunding campaigns undertaken by any individual associated with a state university (e.g. faculty, staff or students) using the university’s system or a third-party crowdfunding platform. This policy does not apply to crowdfunding campaigns undertaken by a state university’s official endowment or foundation. This policy does not apply to crowdfunding campaigns undertaken by individuals or entities using non-university systems and on their own behalf for private purposes. Use of crowdfunding to raise funds in support of a university-related project is subject to all Kansas Board of Regents policies, university policies, as well as local, state and federal laws.
Each state university shall adopt a policy that, at minimum, shall ensure that fundraising campaigns and projects undertaken by individuals or groups on behalf of the university or university-affiliated entities or represented as being on behalf of the university or university-affiliated entities, receive the necessary approvals and are subject to all university rules, policies, compliance regulations and state and federal law. The policy is aimed at protecting the use of the university’s name, brand, marks, logo and other such property rights, and at ensuring that such fundraising and related crowdfunding projects are consistent with the university’s interests and are appropriately designed and presented to the donor community.
Projects that use university resources or facilities, or that involve human or animal subjects, controlled substances or proprietary materials are required to comply with the Board’s and university’s policies for crowdfunding and must receive approval from the appropriate officials as set forth in the university’s policies or applicable law.
6. FINANCIAL REPORTING
a. Annual Financial Report
Each state university shall submit to the Board President and Chief Executive Officer a comprehensive financial report for the prior fiscal year in accordance with the schedule maintained on the Board of Regents’ website. The Board President and Chief Executive Officer shall be responsible for recommending to the Board any specific financial report findings that should be further reviewed by the Board. The financial report shall conform to a format determined by the Council of Business Officers. The financial report shall reflect conformity with financial reporting methods and formats promulgated by the American Institute of Certified Public Accountants, the Governmental Accounting Standards Board and the National Association of College and University Business Officers' Financial Accounting and Reporting Manual for Higher Education unless otherwise provided by state law, practices or procedures.
b. Internal Audit Function
i. Each state university shall have an internal audit function. The responsibility of the internal audit function is to serve the university in a manner that is consistent with the International Professional Practices Framework (IPPF) promulgated by the Institute of Internal Auditors. Additional resources, tools and guidance should be obtained through the Association of College and University Auditors and the Committee of Sponsoring Organizations.
ii. The purpose, authority, and responsibility of each university’s internal audit function shall be defined in a formal written document (internal audit charter) that is approved by each state university’s chief executive officer. The charter shall make clear the purposes of the internal audit function, specify the unrestricted scope of its work, and declare that auditors are to have no responsibility for the activities they audit. The scope of work of the internal auditors shall include review of university controlled affiliated corporations, including a review for potential conflicts of interest and transactions between the university and university controlled affiliated corporations. The charter shall endow internal auditors with the authority to fully and freely access all the university’s records, properties, and personnel relevant to an audit. The charter shall provide that the auditor report directly to the university chief executive officer on all audit matters. The charter shall clearly state that internal auditors shall report directly to the Board Fiscal Affairs and Audit Committee any situation wherein the auditor perceives a conflict of interest with or on the part of the university chief executive officer’s involvement with the subject of an audit. In addition, each state university shall include the charter in university manuals, policies, and procedures as appropriate. Each state university internal audit department shall report annually to the Board’s Committee on Fiscal Affairs and Audit, summarizing the prior year’s activities and audit plans for the coming year. Each state university shall notify the Board’s Committee on Fiscal Affairs and Audit in writing of any personnel change in the position of university internal auditor.
iii. Each state university shall develop and maintain an internal audit plan. At a minimum, internal controls for the university’s highest risk units, based on public funds exposure, should be assessed on a regular basis.
iv. Each completed internal audit reporting material financial weaknesses or fraud shall be submitted to the Board President and Chief Executive Officer who shall be responsible for recommending to the Committee on Fiscal Affairs and Audit any specific audit findings that should be further reviewed by the Committee.
c. Non-Public Funds Management Review
i. Each state university chief executive officer shall maintain on file at the university a current list and description of the non-public, unrestricted funds under his or her direction or that of direct subordinates.
ii. Each state university chief executive officer shall maintain and provide to the Board annually a list of all affiliated corporations (controlled and non-controlled) and a description of their respective governing boards and management structure.
iii. Each state university shall annually review the roles of direct subordinates in or with such affiliated corporations for the purpose of identifying potential conflicts of interest. If appropriate and to the extent it is within the chief executive officer’s control, the university chief executive officer shall initiate a plan to either eliminate or manage any identified actual or potential conflicts of interest and shall file the plan with the President and Chief Executive Officer of the Board of Regents.
iv. The President and Chief Executive Officer of the Board shall annually review the roles of the state university chief executive officers in or with all affiliated corporations for the purpose of identifying potential conflicts of interest. If appropriate, the President and Chief Executive Officer of the Board shall initiate a plan to either eliminate or manage any actual or potential conflicts of interest and shall submit such plans to the Board Chair and Vice-chair for approval.
v. The Board may initiate external management reviews of the use and expenditure of non-public, unrestricted funds held by the university or an affiliated corporation of the university and under the direction of each state university chief executive officer and each state university chief executive officer’s direct subordinates at any time, but such reviews shall be conducted no less than once every 8 years beginning fiscal year 2021. For the once every eight years audits, the period under review may be limited to the immediately preceding fiscal year, as determined by the Fiscal Affairs and Audit Standing Committee. Additionally, such reviews shall be conducted when there is a change in the chief executive officer. All such reviews shall be contracted by the Board and financed by the state university under review. The university shall request its university non-controlled affiliated corporations having non-public, unrestricted funds that are under the direction of the university chief executive officer or the chief executive officer’s direct subordinates to cooperate in the conduct of such reviews.
vi. Each state university chief executive officer shall request the board of directors of each university non-controlled affiliated corporation to conduct an agreed-upon procedure engagement to be performed at the time of its annual independent audit to identify actual or potential conflicts of interest involving unrestricted, non-public funds under the authority or direction of the university chief executive officer or the chief executive officer’s direct subordinates. Agreed upon procedures shall be established by the Board Fiscal Affairs and Audit Committee. The agreed-upon procedures shall include an examination of fund transfers and other transactions between and among the university, its affiliated corporations, and external entities reported on statements of substantial interest forms. The university non-controlled affiliated corporation shall be asked to share a report of each such engagement with the President and Chief Executive Officer of the Board.
vii. For purposes of paragraph c.,
(1) “non-public funds” means any funds expended for the benefit of the state university but not processed through the state financial system, and
(2) “affiliated corporation” shall not include the Wichita State University Board of Trustees.
7. DESIGNATION OF CHIEF FINANCIAL OFFICER
Each state university chief executive officer shall appoint or designate a chief financial officer for the university. Each chief financial officer shall report directly to the university chief executive officer and shall be endowed with authority to effectively perform the standard duties and responsibilities of a chief financial officer, including having a broad knowledge and understanding of all of the institution’s financial and business matters.
8. FINANCIAL RESERVES
To ensure long-term financial sustainability, the state universities shall maintain sufficient resources to manage risks, to recognize commitments and to take advantage of opportunities. Recognizing that the publication “Strategic Financial Analysis for Higher Education” provides an effective benchmarking tool developed specifically to evaluate the financial well-being of institutions of higher education, the state universities shall provide an annual update on the metrics included within the ratio analysis, which shall include the resulting composite financial index. The annual update shall conform to a format determined by the Council of Business Officers.
9. AFFILIATED CORPORATIONS
a. Affiliated corporations are incorporated entities, whether controlled or non-controlled by the university, that are funded solely or primarily by monies other than state funds and the purpose of which is to enhance or support the mission and activities of a state university. Affiliated corporations include, but are not limited to, alumni associations, incorporated student unions, endowment associations or foundations, and athletic corporations.
i. University controlled affiliated corporations are affiliated corporations meeting one of the following criteria:
(1) A majority of a quorum of the board of directors, or other committee charged with making decisions on behalf of the corporation, are university personnel or appointed by the state university chief executive officer, or
(2) The corporation is otherwise controlled by the university or the university chief executive officer, as determined by the following considerations.
(a) Does the university chief executive officer appoint voting members to the corporation’s organizational committee (i.e. executive committee, finance committee, audit committee, etc.)?
(b) Does the university chief executive officer designate, appoint or hire the corporation’s executive director/chief executive officer?
(c) To what extent does the university chief executive officer have control over the management of the corporation’s day to day operations as well as control of its major decision making processes?
(d) To what extent are public funds used to fulfill the corporation’s responsibilities and mission?
ii. University non-controlled affiliated corporations are affiliated corporations that do not meet one or more of the above-listed criteria
b. State universities shall not utilize state funds for the operation of non-controlled affiliated corporations. This provision shall not be interpreted to include reasonable fee-for-services arrangements.
10. AUXILIARY ENTERPRISES (See COVID-19 Exceptions for Details)
a. Auxiliary enterprises are self supporting state university operated enterprises, which include, but are not limited to, student housing, student health services, unincorporated student unions, and parking.
b. The operation of auxiliary enterprises on campus is authorized when such business is related to the educational objectives of the university. Before commencing operation of an auxiliary enterprise, the university shall first submit the proposed plan for the financing, operation and management of the auxiliary enterprise to the Board for approval. State funds shall not be used to subsidize the operation of any organization operated as an auxiliary enterprise unless specified by bond covenants or by Board action.
c. Buildings may not be transferred from auxiliary enterprise restricted use support to general use support without approval by the Board.
11.SALES OF PRODUCTS AND SERVICES
Any sale of products or services by a state university, its auxiliary enterprises, or an affiliated corporation of a state university (all hereinafter collectively referred to as "institution(s)") is deemed appropriate only if such sale is an integral part of or reasonably related to, an activity which is essential to the fulfillment of the institution's instructional, research or public service missions. Such sales must meet the following criteria:
a. Sales of Products and Services to Students, Faculty, Staff, and University Guests
i. Institutions may sell products and services to students, faculty, staff, and university guests provided that the products and services satisfy reasonable educationally related or convenience needs of the university community and provided that such products and services are not generally available to persons who are not students, faculty, staff or university guests. University guests are defined as persons who enter a campus for an educational, research, or public service activity, and not primarily to purchase or receive products and services. Sales to university guests shall be related to the guest's purpose or needs while on campus.
ii. Institutions may sell products and services to students, faculty, staff, and university guests if the product or service contributes to maintaining the quality of the educational, living, or work environment of the institution. Most crucial to maintenance of quality are efforts that impact positively on student, faculty and staff recruitment and retention, including, but not necessarily limited to: student activity association entertainment; movies; athletic and recreational events and facilities; institutional operation of student health facilities; counseling centers; musical, cultural and artistic activities; and auxiliary enterprise activities.
iii. The appropriateness of sales of products and services to students, faculty, staff and university guests shall also be weighed by the availability or nonavailability of the products or services in the community at the time sales were initiated. Availability may be defined in terms of convenience, quality or quantity of service.
iv. The sales of products and services to students, faculty, staff and university guests shall be advertised only in media that are aimed or specifically targeted to the university community or by other methods which are limited to the campus.
v. Sale or distribution of tobacco products on state university campuses shall be prohibited. (Effective 7-1-10.)
b. Sales to the External Community
A product or service may be sold to the external community, only if the following two criteria are met: 1) the product or service must be appropriate for sale; and 2) sale of the product or service must adhere to the appropriate policy on pricing. Any advertising of products or services appropriate for sale to the external community shall be reasonably related in content and cost to the product or service being sold.
i. Appropriate Sales: The following is a listing of sales to the public that are deemed to be appropriate:
(1) An institution may sell a product or service that is directly related to the achievement of its institutional mission statement.
(2) An institution may sell a product or service where the sale enhances the academic, cultural, recreational, or artistic environment of the university community. This shall include, but not be limited to: attendance at addresses by public speakers, musical events, athletic events, museum exhibits, and art showings.
(3) Products and services that are by-products of the institution's instruction, research, or public service activities may be sold to the public.
(4) Agricultural and mineral products produced from either research activities or from land owned or leased by the institution may be sold to the public.
(5) An institution may sell food service, but such food service shall be limited to the institution's campus.
(6) An institution may sell clothing and other gift and souvenir items imprinted with the institutional or conference logo, seal, emblem, initials, nickname, mascot or name.
(7) An institution may sell gift or souvenir items related to the operation of university museums or similar facilities.
(8) An institution may sell a product or service if it has specific state or federal statutory authority or mandate to do so.
(9) An institution may provide a product or service pursuant to a grant or contract with a governmental entity to provide such product or service either to the entity or to the public.
(10) An institution may offer a product or service to the external community if such product or service is unavailable elsewhere in the community and is reasonably related to the institution's mission. Unavailability may be defined in terms of convenience, quality or quantity.
ii. Sale or distribution of tobacco products on state university campuses shall be prohibited. (Effective 7-1-10.)
iii. Pricing Policies
(1) In establishing a price or fee for products or services, the price should generally reflect the direct and indirect costs of the products or services and should minimally reflect the price in the private marketplace. For the purpose of this policy, direct costs include, but are not limited to: all salaries, fringe benefits, supplies, and capital directly attributable to the sale of the product or service. An institution's negotiated federal indirect cost rate shall be used to determine indirect costs.
(2) If the activity is integral to the fulfillment of the institution's instructional, research or public service missions, prices may be established at less than full cost recovery upon approval by the institutional chief executive officer or the chief executive officer's designee.
(3) All contracts offering products or services to other state agencies shall be priced in accordance with Board policy on "Contracts with Other State Agencies, Indirect Cost Reimbursement" in the Fiscal Management and Business Administration section of this Policy Manual.
(4) If a product is an agricultural or mineral product produced either as a by-product of teaching or research activities or as a product of land owned or leased by an institution, such product shall be sold for its market value.
i. The chief executive officer of each state university shall designate an officer at the Vice Chancellor or Vice President level who will approve the initiation of any new activity or program that will produce sales of products or services, or a substantial change in the type or level of existing sales of products or services, and determine that such activity or program complies with this policy. Each state university shall develop policies and procedures for administrative approval of activities that satisfy the criteria of this policy.
ii. The Director of Internal Audit or other designated official at each state university shall review service and product sales on a regular basis and shall report and identify activities to the designated Vice Chancellor or Vice President that are not in compliance with this policy. The designated Vice Chancellor or Vice President shall review the identified activities. If the designated officer agrees that the activity is not in compliance with the policy on competition, that officer shall prescribe parameters for compliance or shall require that the activity be curtailed.
iii. This policy will be applicable to private entities or individuals who sell products or services directly to students, faculty or staff pursuant to a contract with a state university.
d. Competition Grievance Procedure
i. The chief executive officer of each state university shall designate an officer at the Vice Chancellor or Vice President level who will receive and evaluate complaints from private enterprises alleging inappropriate or unreasonable competition by the institution with private enterprise.
ii. Upon receipt of a written, formal and signed complaint, the designated official shall investigate the merits of the complaint and determine whether the activity is in compliance with the Board of Regents policy on sales of products and services. The designated official shall proceed to resolve the complaint through administrative channels if possible. If the designated official is unable to resolve the complaint within fifteen (15) working days of receipt, it will be presumed that the complaint cannot be resolved through administrative channels.
iii. If it is impossible for the complaint to be resolved by the designated official through administrative channels, the complaint shall be given to the chief executive officer of the university for referral, within ten (10) working days, to the Institutional Competition Review Committee for review. An Institutional Competition Review Committee (hereinafter "Committee") shall be separately constituted and appointed by the chief executive officer for each complaint. Each Committee shall be made up of five (5) members as follows: three (3) members from the university community (one of whom shall serve as Chair of the Committee) and two (2) members representing the private sector.
iv. The Committee shall, within five (5) working days of its receipt of the complaint, and after consultation with the complainant, determine whether the complainant wishes to make an oral presentation to the Committee or whether the issue(s) shall be determined based on written submissions of the parties. If the complainant desires to personally make an oral presentation to the Committee, same shall be held within twenty (20) working days of the receipt of the complaint. The Committee shall listen to the complainant and a representative of the department or area offering the product or service. The Committee shall determine whether sales of the product or service are in compliance with the Board of Regents policy on sales of products and services. The Committee will prepare a written conclusion of its determination and recommendation of action within fifteen (15) working days of the conclusion of the oral presentation, or within fifteen (15) working days of receipt of the written submissions.
v. The Committee shall forward its recommendation to the chief executive officer of the university for review. The chief executive officer shall accept, reject, or modify the recommendation of the Committee and shall inform the President and Chief Executive Officer of the Board and the other chief executive officers of the recommendation of the hearing committee along with a statement of the action taken thereon by the chief executive officer within fifteen (15) working days of receipt of the Committee recommendation.
vi. If the proposed action of the chief executive officer does not satisfactorily resolve the complaint or charge, the complainant may appeal the chief executive officer's decision to the Kansas Board of Regents within twenty (20) working days of receipt of the Committee's recommendations. Should review be granted, the Chair of the Board shall appoint, within twenty (20) working days of receipt of the appeal, a Regents Review Committee to review the complaint. A Regents Review Committee shall be separately constituted for each complaint. Each Regents Review Committee shall be made up of three (3) members as follows: one member, who shall serve as Chair of the Regents Review Committee, shall be the Chair of the Board of Regents or the Chair's designee, one member shall be designated by the institutional chief executive officer where the complaint arose and one member shall be designated by the complainant. The Regents Review Committee will, within thirty (30) working days of its receipt of the complaints, make a complete review of the matter and provide its written Report and Decision to the President and Chief Executive Officer of the Board of Regents for implementation and reporting to the full Board of Regents.
vii. This procedure is intended to facilitate discussion and the resolution of issues and not as a formal or judicial process. Neither party may be represented by counsel. Time limits should not be used to adversely affect any complaints and unusual circumstances may justify a waiver of such time limits. It is further anticipated by the Board of Regents that a conscientious and good faith effort will be made by both parties to resolve the complaint at the earliest possible opportunity and that appeals to the Board of Regents will be the exception.
viii. This procedure shall not negate any other policy or afford additional rights relating to the processing of claims or charges of proscribed conduct which may be made by persons directly involved with or affected by the operation and management of a state university. This procedure is applicable only to any individual without current access to an established institutional grievance procedure.
12. SERVICE CLEARING ACTIVITIES
All service clearing activities must be consistent with Board policy on the sale of products or services.
a. Institutional Related Activities
Each state university shall develop policies and procedures for identifying appropriate institutionally related service activities including, but not limited to, telecommunications, printing services, central stores, fleet management, and duplicating and reproduction services, and provide for administrative approvals prior to providing such services.
b. Other Organizations or Classes of Individuals
i. A state university may provide services to specific organizations or classes of individuals outside the University as approved in advance by the university’s chief executive officer. Such services will ordinarily be approved only if the organization or class of individuals has made a written request for such service.
ii. Individual projects to be undertaken for approved organizations or classes of individuals shall be reviewed by each university on written application prescribed by the university.
(See Chapter I., Section B. Contracts for for PEERA MOAs)
a. General Provisions
i. State universities may enter into contracts to acquire products or services normally requiring the expenditure of funds, including leases of real property as described in chapter II, section E “Facilities” of this Policy Manual, with any party or parties including any agency of the United States or any state or any subdivision of any state or with any person, partnership or corporation if the purpose of such contract is related to the operation, function or mission of the state university. (K.S.A. 76-721) The Board’s President and Chief Executive Officer must be notified in writing of any contract which requires expenditures or transfers by the state university of an amount greater than one million dollars ($1,000,000), excluding contracts directly related to a capital improvement project.
ii. All contracts between the state universities and other state agencies shall be subject to the provisions of K.S.A. 75 3711b. (K.S.A. 76 721).
iii. Any contract with a corporation whose operations are substantially controlled by a state university shall provide that the books and records of such corporation shall be public records and shall require an annual audit by an independent certified public accountant to be furnished to the Board of Regents and filed with the state agency in charge of post auditing state expenditures.
iv. Only the chief executive officer of the state university, or a specifically authorized designee of the chief executive officer of the state university, shall execute contracts on behalf of a state university. All delegations of authority made pursuant to this provision shall be filed with the General Counsel of the Board of Regents at least annually.
v. All contracts shall be in the name of the state university. Individual schools, divisions and departments shall not enter into contracts.
b. Contracts with Other State Agencies, Indirect Cost Reimbursement
i. When contracts are negotiated with state agencies for projects to be performed by university personnel, generally in and with university facilities, and when the funds used by the state agency for the project derive directly from its state appropriation from general revenue, the university will forego reimbursement for the entire indirect costs computed at its current audited rates. It is required in such cases that (i) the state agency certify in writing that the funds for the project derive directly and completely from its state appropriation from general revenue, and (ii) the contract state explicitly the university contribution of the indirect costs, with specified current audited rates, estimated base and estimated amount of the contribution.
ii. When contracts are negotiated with state agencies for projects to be performed by university personnel, generally in and with university facilities, and when the funds used by the state agency for the purpose derive from federal or other non state allocations to the State, the university will normally expect to be reimbursed for its related indirect costs at its current audited rates. When the terms of the allocation to the State do not provide full reimbursement of all indirect costs of the work for which the allocation was made, reimbursement of university indirect costs related to the project will be negotiated downward. In general, the distribution of available but less than full indirect cost reimbursement funds between the state agency and the university shall be in proportion to the state agency's audited administrative cost rate and the university's audited indirect costs rate; if the state agency's rate is not available, it may be approximated by the university's research administration indirect cost rate component. In all such cases where the university agrees to receive reimbursement at less than its full audited rate, the proposal, and whenever possible the contract, shall contain statements indicating (i) the justification for the reduction, in terms of this policy, and (ii) the amount of the university's unreimbursed indirect costs specified as a university contribution to the project.
iii. When the funds to be used by the state agency derive from agency fee income (not interpreted as to include federal funds by formula, program or project), and the state agency certifies in writing that in setting the fees in question it has ignored the reimbursement for indirect costs of the university necessary for the conduct of the project being negotiated, the indirect costs of the project will be contributed by the university under the same terms as when the state agency funds derive from its state appropriation from general revenue. (In these circumstances the state agency is to be encouraged in the future to take into account in setting its fees the real indirect costs of contracting entities such as the university in order that proper, business like reimbursements may be made.)
iv. In no case of a contract with a state agency will the university (i) require indirect cost reimbursement when the funds received by the state agency for financing the project provide no part allocable for indirect costs, or (ii) contribute the entire indirect costs of a project when the funds received by the state agency for financing the project do include a part allocable for indirect costs.
v. When state agencies submit or forward proposals for federal or other non state funded programs or projects that will require the services of the university, it is expected that prior consultations will take place with university representatives, and that the proposal as forwarded will contain an identifiable component describing the university's anticipated participation, complete with staffing plan, facilities commitments, and a proposed budget estimating both direct and indirect costs for the university's portion of the program or project. To the maximum legal extent possible under the laws and regulations of the prospective sponsor, full reimbursement shall be sought for the indirect costs of the state agency and of the university.
vi. This policy governs all contracts and similar agreements between state agencies and the university (individual schools, divisions and departments are not authorized to execute such instruments).
14. CAPITAL FINANCING
Policy Objective/Purpose. This policy provides a framework within which decisions surrounding capital financing are made by the Board in exercising its fiduciary responsibilities and by each Chief Executive Officer in administering the affairs of the university, including responsibility for determining whether to use debt to finance particular capital projects and the ongoing management of debt.
i. Debt Obligations Issued by or on Behalf of the Board. Pursuant to legislative authority, including specific appropriation provisos in conjunction with K.S.A. 74-8901, et seq., the Board is authorized to issue or seek issuance of debt obligations on behalf of the state universities. The Board may issue debt obligations directly or by using the services of the Kansas Development Finance Authority.
ii. Revenue Bonds Issued on Behalf of Affiliated Corporations. At the time of Board approval of the project plan for a project to be built on state property and financed with revenue bonds issued on behalf of endowment associations, foundations, other affiliated corporations, or the Wichita State University Board of Trustees, the state university having possession of the property shall obtain approval from the Board for the proposed bond financing.
b. Types of Debt
For purposes of this policy, the term “debt obligation” includes bonds, notes, debentures, interim certificates, grant and revenue anticipation notes, interest in a lease, lease certificate of participation or other evidences of indebtedness, whether or not the interest on which is subject to federal income taxation. Any capital project financing proposal involving derivative instruments shall require additional review by the Board’s Fiscal Affairs and Audit Committee prior to Board approval of the project. Such additional review may include a presentation by Kansas Development Finance Authority staff to explain the rationale for using derivatives and an independent assessment of the feasibility of the proposal.
c. Use of Debt
Debt obligations cannot be used to fund university employee compensation or other non-capital expenses.
d. Period of Debt
Period of debt cannot exceed planned useful life of the asset being financed and must be for a reasonable term in relation to the amount financed.
e. Pledge of Available Revenue
If the state university for which the debt obligations for a project are issued, in consultation with the Kansas Development Finance Authority, determines that the debt obligations will be more marketable with a pledge of generally available unencumbered funds of the university, or a credit enhancement in the form of a supplemental pledge or assurance of revenues other than those generated by the facility for which the debt obligations are to be issued, the desire to utilize such a pledge or assurance shall be reported to the Board at the time of the request for approval of the capital improvement, and language permitting the pledge of other available revenues for debt service purposes shall be included in the legislative proviso authorizing issuance of the debt obligations. Any debt obligations issued by the Board directly pursuant to K.S.A. 76-6a13 et seq. shall be subject to the pledge of revenue restrictions set forth in K.S.A. 76-6a15. This paragraph shall apply to projects submitted to the Board for approval after October 1, 2009. In the case of debt obligations issued with a pledge of generally available unencumbered funds, each financing is expected to be supported by a project financial plan identifying revenues sufficient to fulfill annual debt service requirements.
f. Refunding Bonds
Refunding bonds may be issued in an aggregate principal amount not to exceed the amount necessary to refund outstanding bonds that were issued on behalf of the university, plus costs. If one or more of the following conditions is met, refunding bonds may be issued without further approval of the Board:
i. Issuance of refunding bonds will achieve a present value savings of not less than 3% of the principal amount of the outstanding bonds to be refunded and final maturity of the bonds shall not be significantly extended beyond the original final maturity of the refunded bonds;
ii. Issuance of refunding bonds will restructure debt service requirements on the outstanding bonds in a way that is fiscally or administratively advantageous to the university as recommended and upon request, explained by Kansas Development Finance Authority or bond counsel for the proposed transaction (this option may be used only after the university has presented to the Fiscal Affairs and Audit Committee information regarding the prudence of exercising it under the specific circumstances and the Committee has approved the issuance); or
iii. Issuance of Refunding Bonds will eliminate burdensome or unduly constraining covenants contained in legal documentation authorizing the issuance of the outstanding bonds, as recommended and upon request, explained by Kansas Development Finance Authority or bond counsel for the proposed transaction (this option may be used only after the university has presented to the Fiscal Affairs and Audit Committee information regarding the prudence of exercising it under the specific circumstances and the Committee has approved the issuance).
g. Responsibilities of the Board
The Board will consider the impact that each debt issuance will have on a university’s debt burden and its continuing ability to provide strong debt service coverage. The Board will annually review each university’s debt capacity plan prepared and submitted in a format and in accordance with a schedule established by Board staff. The Board may assess a university’s debt affordability and capacity by gathering input from other sources, for example, bond rating service scorecards, prepared and provided annually to the Board by Kansas Development Finance Authority staff. To fulfill its fiduciary responsibilities, it is essential that the Board of Regents understand the outstanding amount of debt obligations of each university. Board staff provides support to the Board in this responsibility by annually issuing a schedule for preparation and submission of the debt capacity plan and any related reports and specifying the content and format of the plan and related reports. Such schedule and format parameters will be prepared in consultation with Council of Business Officers.
In assessing each university’s current debt levels, and when exercising oversight regarding assumption of additional debt by a university, the Board takes into account both the university’s debt affordability and debt capacity. Debt affordability focuses on a university’s ability to service its debt through its operating budget and identified revenue streams and is driven by strength in income and cash flows. Debt capacity focuses on a university’s financial leverage in terms of debt funding as a percentage of the university’s total capital.
h. Responsibilities of the University
i. Each university shall provide the Board with adequate information to allow for reasonable and prudent oversight of the university’s debt portfolio including, but not limited to, annual submission of the completed and updated debt capacity plan. The debt capacity plan, including key financial ratios, is intended to provide the university’s administration and the Board with information necessary to determine whether the university will exceed its debt capacity. The financial ratios described in each university’s debt capacity plan are not intended to track to a specific credit rating, but rather to help the university maintain sound financing for capital needs as they arise. The Board recognizes that rating agencies and other credit analysts use these and other measures in evaluating an issuer’s ability to issue and repay debt. The Board expects at a minimum that each university set a target for debt burden ratio and bond coverage ratio and to continuously project debt capacity into the future. Each university’s target will be used as a guidepost for that university, not a firm boundary.
(1) Debt Burden Ratio is a percentage and represents the principal (excluding refunded principal) and interest on debt divided by total expenditures. The outstanding principal and interest included in each university’s debt capacity plan shall be derived from the university’s annual financial report. The principal and interest on new debt is based on the plan of financing for proposed projects.
(2) Average Debt Service Coverage represents the adjusted change in net assets divided by debt service. The average is calculated using the current fiscal year, two years prior to the current fiscal year and projected figures for the two subsequent fiscal years including requested projects. The outstanding principal and interest included in each university’s debt capacity plan shall be derived from the university’s annual financial report. The principal and interest on new debt shall be based on the plan of financing for proposed projects.
(3) Viability Ratio represents expendable net assets divided by total plant-related debt. The ratio is an indicator of an institution's ability to assume new debt and measures the debt capacity. The viability ratio represents expendable net assets divided by long-term debt. The ratio assists with answering the question: "Are resources, including debt, managed strategically to advance the mission?” The Viability Ratio measures the most basic determinant of clear financial health: the availability of expendable net assets to cover debt should the institution need to settle its obligations as of the balance sheet date.
(4) A university may elect to monitor additional selected ratios (including, but not limited to those suggested by the rating agencies) to provide further information regarding its financial performance and the impact of new debt for a specific project.
ii. Each university shall adopt debt policies and procedures with respect to matters involving: debt issuance; debt management, compliance practices relating to use of tax exempt bond proceeds and bond financed assets; arbitrage and rebate compliance; record retention; refunding; and continuing disclosure obligations and designate a Bond Compliance Officer who is responsible for coordinating and overseeing post-issuance compliance for tax-exempt debt obligations issued on behalf of the university. Each university shall provide both the Board and the Kansas Development Finance Authority with a copy of its current policies and procedures, including the contact information for the Bond Compliance Officer.
15. PURCHASING PURSUANT TO K.S.A. 76-769
a. Guiding Principles
i. Each state university choosing to utilize the provisions of K.S.A. 76-769 shall develop and be guided by procurement policies and procedures that:
(1) Focus on the stewardship of public funds;
(2) Advance and support the mission of the institution;
(3) Promote a competitive and fair procurement environment; and
(4) Are open and transparent, including adherence to the Kansas Open Records Act.
ii. State universities utilizing the provisions of K.S.A. 76-769 are encouraged to engage in cooperative purchasing opportunities with other public universities or other state agencies to achieve the lowest competitive price, including purchasing from current State central purchasing contracts, state travel services, and products pursuant to the Prison Made Goods Act, if it is in the best interest of the state university.
b. Requirements for Policies and Procedures
The policies and procedures developed by each state university in accordance with this section shall address, at a minimum:
i. How the system of administration will advance and support the mission of the state university and provide increased levels of service to university students, faculty and staff as they work collectively to advance the university interest;
ii. How the state university intends to promote a competitive procurement environment including a statement regarding what competitive bid limit thresholds will be utilized;
iii. How notice of procurement opportunities will be provided to vendors and to the public in general;
iv. The criteria to be utilized as contracts and purchase orders are awarded;
v. The process to be utilized to resolve vendor protests or requests for information, if any, that are submitted by vendors or the public in general;
vi. How the state university intends to cooperate with the State and other state universities as procurement decisions are made; and
vii. What steps are taken to ensure that all university procurement officials are guided by a purchasing code of ethics, such as the National Association of Educational Procurement Code of Ethics.
16. PURCHASING INSURANCE
a. State universities may purchase insurance of any kind or nature except employee health insurance. (K.S.A. 75-4101(d).)
b. Any purchase of insurance shall be made on a competitively bid or competitively negotiated bases and purchased from an insurance company authorized to transact business in the State of Kansas. State universities shall use a competitive procurement procedure for such purchases, which procedure shall be on file at the institutions and open for public inspection.
c. Prior to such purchases, state universities are encouraged to consult with other state universities to determine whether coverage for more than one state university would be advantageous.
d. If a state university does not obtain insurance coverage for state university-owned aircraft and vehicles through State contracts, coverage that at least matches the State’s insurance coverage shall be purchased.
e. The chief executive officer of each state university shall implement procedures to ensure the provision of insurance coverage that at least matches the State’s insurance coverage for all travel of students or university employees in chartered or rental aircraft or vehicles while on university business or university sponsored activities.
The use of general use and restricted use funds is permitted for the purchase of advertising subject to authorization by the chief executive officer of the state university or the chief executive officer’s designee.
18. AUTHORIZED DISPOSITION OF SURPLUS PROPERTY
a. Guiding Principles
i. Each state university choosing to utilize the provisions of K.S.A 75-6606(c) shall develop and be guided by policies and procedures for the disposition of surplus university property that:
(1) Focus on the stewardship of public property;
(2) Advance and support the mission of the institution;
(3) Promote the reuse of surplus property at the institution;
(4) Operate in a fair, equitable and transparent manner;
(5) Prohibit the giving or sale of property to an individual without first complying with university policies and procedures; and
(6) Are in full compliance with all local, state and federal laws, rules and regulations.
ii. Each state university is encouraged to engage in cooperative opportunities with the other state universities to promote the reuse of surplus property system-wide. Each state university is also encouraged to consider sustainability practices, as surplus property is disposed.
b. Policy Requirements
The policies and procedures developed by each state university in accordance with this section shall address, at a minimum:
i. How notice of the planned disposal of surplus property will be provided to the general public; and
ii. How the disposition of property and receipt of revenues will be documented and utilized.
c. Disposal Methods
The following methods are authorized for the disposition of surplus property:
i. Advertised fixed price;
ii. Advertised negotiated price;
iii. Advertised sealed bid;
iv. Advertised public auction;
v. Donation to not-for-profit organizations, or individuals and entities eligible to participate in the Federal Surplus Property Program; and
vi. Cannibalize, recycle, junkyard and or trash.
19. REFUND FROM FEE AGENCY ACCOUNTS
a. State universities may make direct refunds of tuition fees, charges or other institutional receipts from the appropriate fee agency account.
b. All refunds are to be deducted from receipts before submitting monthly receipt vouchers to the State Treasurer.
c. Each state university shall maintain appropriate documentation for all refunds and retain the same for audit.
d. Each state university shall file with the Division of Accounts and Reports the specific procedures to be used by the institution in implementing the above policy.
20. SPONSORED RESEARCH OVERHEAD
Sponsored research overhead funds received by state universities shall be used to strengthen research programs and capabilities in those institutions. Appropriate uses for such funds include, but are not limited to: remodeling and equipping research laboratories, hiring personnel associated with grant administration, technicians or graduate research assistants; funding pilot projects that may lead to federal grants; financing computer acquisition or operations; and paying rent for supplemental research facilities.
21. THE KANSAS PARTNERSHIP FOR FACULTY OF DISTINCTION PROGRAM
The President and Chief Executive Officer of the Kansas Board of Regents, or designee, shall be responsible for administering the following procedures, which shall be in addition to the procedures set out in K.S.A. 76-773 et seq.
For purposes of this program, “joint donors” will be considered to be related or associated if they have expressed a mutual commitment to furthering the purposes of this program through their joint gift. The institution shall be responsible for demonstrating that such a relationship exists between or among joint donors. In the case of a joint donation, support for an endowed professorship must come from persons or groups that share “common characteristics or similarities such that the joint monetary donation conforms with the purposes of the program.” K.S.A. 76-773(c). For example, an appropriate fund raising activity would be for a college of engineering to solicit funds, especially major gifts, from engineering college alumni to support an endowed professorship in engineering. Alternatively, an example that would not conform to the intent of the “common characteristics and similarities” standards of the program would be for the institution to seek donations from all university alumni to support an endowed professorship in engineering.
a. The chancellor, president, director or other chief executive officer of an eligible educational institution shall notify the Board President and Chief Executive Officer of the receipt of each qualifying gift. Such notification will be in a format determined by the Board President and Chief Executive Officer and shall include:
i. The name of the account of the faculty position to be endowed by the gift;
ii. The amount of the gift received; and
iii. The date the gift was received.
The Board President and Chief Executive Officer, or designee, shall determine if the gift qualifies for certification under the program. No gift shall be certified until the threshold amount of cash, as per K.S.A. 76-775 for each type of institution, is on deposit with the institution’s endowment association. If the gift qualifies for certification under the program and has been deposited in cash with the endowment association, the Board President and Chief Executive Officer will certify to the Director of Accounts and Reports the amount and date of receipt of the qualifying gift and the appropriate professorship account to which it applies.
Only qualified cash gifts from qualified donors may be used to meet the minimum threshold required for establishment of the endowed professorship. An institution may receive non-cash gifts for an endowed professorship, but such non-cash gifts must be converted to cash and on deposit with the institution’s endowment association before they are eligible for certification under the program.
b. Institutions may add new gifts to a certified endowed professorship, as long as the new donations are made by the same single donor or entity or by a member of the same class of joint donors. Only qualified new gifts may be used to increase the total amount of the certified endowed professorship account that is eligible for the state earnings equivalent award.
c. The Board President and Chief Executive Officer will certify receipt of each addition to an original qualifying gift (certified endowed professorship), provided that the addition meets or exceeds at least 20 percent of the institution’s minimum threshold for a qualifying gift and the addition satisfies all other requirements for certification. The chancellor, president, director or other chief executive officer of an eligible educational institution shall notify the Board President and Chief Executive Officer of the receipt of each addition to a previously certified gift. Such notification shall be in a format determined by the Board President and Chief Executive Officer.
d. In accordance with K.S.A. 76-775, the Director of Accounts and Reports shall transfer from the state general fund the amount determined to be the earnings equivalent award for such qualifying gift. The Board President and Chief Executive Officer shall certify no later than June 30 of each year the endowed professorships at all institutions. Prior to June 30 of each year, the Board President and Chief Executive Officer will produce a report listing all certified endowed professorships and request the chief executive officer of each eligible institution, as applicable, to verify the accuracy of such report for her or his institution.
If on July 1 of any fiscal year the total of all transfers from the state general fund for earnings equivalents awards for qualifying gifts is equal to or greater than the applicable maximum stated in K.S.A. 76-775 and amendments thereto, no new qualifying gifts or additions to qualifying gifts will be certified by the Board during that fiscal year. If on July 1 of the subsequent year the total of all transfers from the state general fund for earnings equivalent awards for qualifying gifts is less than the applicable maximum, the Board President and Chief Executive Officer shall certify any new qualifying gifts or additions to gifts in the following manner. If for any reason the Board should need to accept qualifying gifts after the maximum total amount of new gifts per year for all or any individual institution has been reached, the date receipted by the Board shall determine the order in which gifts shall be certified.
e. The Board President and Chief Executive Officer shall prepare and distribute to each participating institution a semi-annual report showing the accumulated amount of gifts that have been certified for all eligible institutions.
f. On or before September 1 of each year, each eligible institution that has established one or more certified endowed professorships shall file a report on a form provided by the Board President and Chief Executive Officer. Such report shall specify how funds (from the State General Fund earnings equivalent awards and from the endowment association’s earnings) were expended to support the endowed professorship(s) for the previous state fiscal year. The Board President and Chief Executive Officer may request other information from the institutions to improve the program or report on its effectiveness.
22. VEHICLES AND EQUIPMENT
a. Purchase of Vehicles
Purchase and replacement of vehicles are delegated to the chief executive officer of each state university or the chief executive officer’s designee. Replacement of vehicles should be made in accordance with Department of Administration guidelines and procedures.
b. Transfer of Equipment
Equipment purchased by externally sponsored research projects may be transferred to another college or university only if the following conditions are met:
i. The project investigator is moving to another academic institution and the financial support is also transferred by the granting agency without interruption;
ii. The granting agency approves transfer to the new institution of equipment purchased wholly by grant funds;
iii. The equipment is specialized in nature, acquired specifically for the investigator for that investigator’s particular program, and is essential to continuance of the program without undue interruption in the work;
iv. The granting state university does not need the equipment in its current related research program; and
v. The entire cost of physical transfer of the equipment will be borne by the granting agency or the recipient institution.
a. Out-of-State Travel Requests – Faculty and Staff
Approval of out of state travel requests for staff and faculty of each state university is vested in the chief executive officer, or his or her designee, of the respective state universities.
b. Out-of-State Travel Requests – Chief Executive Officers
Approval of out of state travel requests for the chief executive officer of a state university is vested in the Board and delegated to the Board President and Chief Executive Officer. Requests for out of state travel, regardless of source of funding, shall be submitted to the Board Office in such form as prescribed by the Board President and Chief Executive Officer generally at least two weeks prior to the date travel commences, but in no event after the date of travel commences. Expenses will be allowed pursuant to Department of Administration or Internal Revenue Service regulations governing travel. Out of state travel that is within 130 miles of the chief executive officer’s main campus or that is within the Kansas City metropolitan area shall not require approval.
c. International Travel Requests – Faculty, Staff and Chief Executive Officers
The purpose of this policy is to encourage responsible international engagement and to aid university employees, including student employees, in the planning of their international travel and activities when they are conducted on behalf of the university or as part of a university program.
i. The state universities recognize the need, benefits and opportunities presented for their employees, including student employees, to travel and conduct activities abroad on official university business. However, this travel, by its very nature, creates risk to state university information security and/or technology. Therefore, each state university shall develop policies, processes and procedures addressing and mitigating each of the following identified Risks (Individual, Informational, and Institutional) for all chief executive officers, staff, faculty, and student employees while on university affiliated and/or sponsored travel.
(1) Individual Risk includes, but is not limited to personal safety, the security of all carried property, hygiene, health, and other immediate concerns. Each state university shall:
(a) Implement a policy that requires each traveler, supervisor, or a dedicated staff unit to review any travel advisories posted on the U.S. Department of State and Centers for Disease Control website and factor such advisories into the risk decision-making process.
(b) Implement a policy limiting and/or prohibiting travel to certain countries as appropriate. Such policy shall specifically address travel to countries designated as Travel Advisory Levels 3 or 4. If travel is approved, the traveler must sign appropriate university waivers.
In addition, each state university shall consider the following as a best practice:
(c) Develop and implement training on personal safety tailored to the specific destination in the case of Advisory Levels 3 and 4. In some instances, a university-contracted travel assistance provider may offer this capability providing “duty of care” services.
(2) Informational Risk includes, but is not limited to, theft of research data and intellectual property through cyber, physical, and other methods. Each state university international travel policy shall include processes and procedures to notify all university travelers of the risks to their data while abroad.
In addition, each state university shall consider implementing the following as best practices:
(a) Advise travelers on how to mitigate Informational Risk through standard practices, cyber hygiene, and limiting the amount of data at risk.
(b) Implement a loaner laptop and cellphone program for official international travel, with the requirement that all research data, information, presentations, and other data be stored on the loaner equipment or in an approved cloud environment during travel. Upon return, the data on these devices will be removed by university IT.
(3) Institutional Risk includes, but is not limited to, harm to the state university’s employees, students, and reputation. Each state university international travel policy shall include measures to address Institutional Risk (e.g., requiring international travel pre-registration, risk advisory groups, etc.).
24. RESTRICTED PARTY SCREENING
The purpose of this policy is to reduce risk and ensure compliance with applicable federal regulations that prohibit export and other transactions with listed entities with restrictions or prohibitions as determined by multiple U.S. federal agencies. Requiring restricted parties screening is an essential component of the Board’s commitment to export compliance.
The United States government and its export regulations restrict or prohibit U.S. individuals and entities, including institutions of higher education, from exporting or providing services of any kind to any party identified in the U.S. government export denial, debarment, or blocked persons lists (“Restricted Parties”). The restrictions on interactions with Restricted Parties vary depending on the particular list and may include limits or prohibitions on export, regulatory, financial and commercial interactions.
The United States government recommends that all organizations, including state universities, review the lists of Restricted Parties prior to engaging in any transaction with a third party (“Restricted Party Screening”).
Each state university shall develop policies, processes, and procedures outlining when and how third parties shall undergo Restricted Party Screening. In developing such policies, processes, and procedures, each state university shall consider including the following groups of individuals and entities as those third parties that should undergo Restricted Party Screening:
a. Visitors, visiting professors, researchers, and scientists (foreign and domestic)
b. New employees and affiliates
c. Recipients of international shipments (sending or hand-carrying)
d. International travel destination, host, sponsor, and/or collaborator
e. Research collaborators (foreign and domestic)
f. Participants in short-term educational programs
g. Research sponsors
h. Vendors/suppliers (foreign and domestic)
i. Recipients of transfers of items including technology
k. Professional and Continuing Education registrants
l. Consortia supporters and members.
25. VISITORS WITH ACCESS TO RESTRICTED MATERIAL
The purpose of this policy is to 1) enhance the safety of visitors to state university campuses and those campus communities; 2) protect and promote each university’s mission, vision, and values; 3) safeguard intellectual property; 4) ensure compliance with applicable federal regulations and laws prohibiting transactions with restricted entities; 5) support IT security and services and other mission-critical infrastructure; and 6) reduce overall risk to the state universities’ employees, students, research and information. This policy and its exclusions are not intended to replace existing security/compliance procedures already in place at state universities.
For purposes of this policy, a “Visitor” is an individual (international or domestic): 1) who is not otherwise employed by and/or does not have a current formal affiliate status with a state university; and 2) who is coming to a state university either in person or by way of telecommunication to conduct business; and 3) who has access to state university intellectual property, research data, research facilities, networks, or secure physical spaces (collectively, “Restricted Material”). Visitors may include, but are not limited to, vendors, contractors, external faculty, external researchers, and industry partners.
For purposes of this policy, a Visitor does not include prospective students who are visiting campuses or individuals attending events that are open to the public (e.g., sporting, musical, and theatrical events), who will be in public spaces and who will not have access to Restricted Material.
Each state university shall establish policies and procedures that demonstrate a commitment to maintaining an open and free academic environment that supports both domestic and international collaborations while maintaining compliance with federal and state laws and regulations applicable to visitors on state university campuses, including but not limited to export control regulations. Such policies shall include the following components:
a. Due diligence screening using approved commercial software or U.S. government websites to determine if a Visitor or their employing organization/entity is restricted by export control laws, sanction programs, and/or debarment lists;
b. Training that details employee and Visitor responsibilities, acceptable behavior by Visitors, and authorized accesses to networks and facilities;
c. Control and recording of Visitors such as badging and where/what individuals had access to while at the institution;
d. Providing for safety of Visitors while at state universities;
e. Reporting procedures concerning Visitor misconduct or other issues that arise while at the university; and
f. Identifying how the state university will review visits and assess risk.
Guiding Principle. Each state university shall inform the Board’s Director of Facilities in a timely manner about construction projects at each campus, including all relevant milestones (including design phases, procurement, and construction phases) and unforeseen changes. Consistent with Board policy on procurement, each capital project involving a state university, its affiliated corporations or other related organizations shall, for projects using state funds, be advertised and bid in a manner that advances and supports the mission of the university, promotes a competitive and fair procurement environment, and is open and transparent.
1. PROJECT PLANNING
(Campus Master Plans)
a. Each state university shall maintain a Campus Master Plan that documents concepts and guiding principles for future land use and development of campus facilities and infrastructure in support of the institution’s mission and strategic plan. Each state university shall submit a new Campus Master Plan at least once every ten years for Board review and approval. Significant modifications or updates to the Campus Master Plan shall also be submitted to the Board for review and approval. Each state university shall present its Campus Master Plan to the Board during the 2021-2022 or 2022-2023 academic cycle, and every three years thereafter, for informational purposes. Additionally, each state university shall present its Campus Master Plan to the Board when a new facility is planned, in order to demonstrate how it will be incorporated in the Campus Master Plan, how the new facility will be operated and maintained, the anticipated life span of the new facility/infrastructure (in years) and the universities’ plan for funding maintenance expenses for the new facility.
b. Campus Master Plans, or significant modifications and updates to existing Campus Master Plans, shall:
i. address current and deferred maintenance needs;
ii. include a plan to ensure compliance with space utilization standards established by the Board;
iii. demonstrate how newly planned facilities will be incorporated into the Plan;
iv. forecast the life expectancy of newly planned facilities (in years) based on design criteria and anticipated real world conditions; and
v. demonstrate how the new facilities will be operated and maintained and identify the funding plan for future maintenance.
c. Annually, in concert with the capital budget planning process, each university shall demonstrate that any capital improvement or repair project proposed to be financed in whole or in part with debt obligations can be accommodated within the university’s debt capacity as measured by the university’s ratios described in the university’s approved debt capacity plan. In consultation with the Board’s Director of Facilities, each university shall identify and present to the Board for approval any substantial change to its previously approved project debt financing plan.
2. SUMMARY OF APPROVAL REQUIREMENTS
a. Capital Projects Approval
• Approval requirements applicable to all projects with state funding or on state-owned property except for projects done in partnership with private developers which require Board approval, but which are not included in the five-year capital plan.
• Design Development plans must be approved by the Board President and CEO via signed memorandum.
• Joint Committee on State Building Construction (JCSBC) must be advised of all project expenditures.
b. Architect & Engineer Selection (Projects with State Funding)
3. CAPITAL IMPROVEMENT PROJECTS
i. Large capital improvement projects are those which exceed $1,000,000 in total project costs, regardless of funding source, including: new construction, building additions, major renovation, remodeling or alterations, demolition of structures, annual maintenance, deferred maintenance, rehabilitation and repair, fixed equipment replacement, and utility or infrastructure projects. “Total project costs” include project soft costs. Any large capital improvement project located on state property is governed by the applicable and relevant processes and policies for capital improvements established by the State of Kansas and the Kansas Board of Regents, regardless of funding source.
ii. Small (or On-Call) capital improvement projects are those which are $1,000,000 or less in total project costs, regardless of funding source, including: new construction, building additions, renovation, remodeling or alterations, demolition of structures, annual maintenance, deferred maintenance, rehabilitation and repair, fixed equipment replacement, and utility or infrastructure projects. “Total project costs” include project soft costs. Any small capital improvement project located on state property is governed by the applicable and relevant processes and policies for capital improvements established by the State of Kansas and the Kansas Board of Regents, regardless of funding source.
iii. Educational Building Fund (EBF) means the fund created pursuant to K.S.A. 76-6b01 et seq. and funded by the annual mill levy authorized by Article 6, Section 6 of the Kansas Constitution.
i. Large Capital Improvement Projects
(1) Initial Request: Each state university shall submit initial concept requests for authorization of large capital improvement projects (exceeding $1,000,000 in total project cost) with the university’s five-year capital plan submitted to the Board for consideration on March 1 of each year utilizing the Kansas Division of Budget forms. Typically, Board review of each five-year capital plan will take place in April with Board approval in May of each year. Upon Board approval of the five-year capital plan, and prior to proceeding with selection of an architect and/or engineer for design services, each university shall submit for Board review and approval, as outlined in 3.b.i(5), a written program statement for each project. Each request approved by the Board shall be filed with the appropriate state offices on or before July 1st in the format determined by the State Budget Director. No state university shall pursue gubernatorial or legislative approval of any large capital improvement project without prior Board approval.
(2) New Space: All large capital improvement project proposals for new buildings or major additions on state-owned property, shall include detailed plans for facility maintenance, utilizing the Board’s standard calculation worksheet template(s), as part of the program statement. Except for university affiliated corporations, auxiliaries and facilities managed by athletics, a structured plan shall demonstrate how maintenance over the projected life of the building will be financed, consistent with existing university facilities. Such plan will be incorporated within the overall maintenance plan for the university. The worksheet for calculating the maintenance and operating costs will be determined by industry standard methods and consider building type, complexity, and function. Maintenance expenditures and plans shall be reviewed by the Board annually. Such annual maintenance and operating plans shall be included in the program statement and shall adhere to standards prescribed by the Board’s Director of Facilities.
(3) Amendments to the current year capital improvements project list may be submitted to the Board at times other than those specified above. Following Board approval, the state universities shall be responsible for advising the Joint Committee on State Building Construction of amendments after the capital plans are due at the Budget Office on July 1st of each year.
(4) Licensed Professional Consultants: The design and construction administration for all new buildings and major renovations on state property shall be performed by licensed professional consultants retained in accordance with Kansas statutes. A written program statement for each building project shall be submitted and approved by the Board and by the Legislature or Joint Committee on State Building Construction, as set forth in section E.3.b.i.5., before such services are obtained.
(5) Program Statements: Minimum requirements for program statements include goals and objectives, detailed project scope and description, project budget (indicating estimated total project development costs in line item format), project schedules, and project delivery method. For projects creating new space, the program statement must also include a list of spaces with detailed descriptions, area summaries, functional criteria, room data sheets, justification and impact of the additional space on overall campus space, the projected design life of the building (in years) and completion of the maintenance assessment worksheet. Additional information that the state university deems necessary may also be included. Board approval of program statements are only required for large capital projects, except in the case where a small capital project is a new building or addition.
(6) Design Development Plans: Following Legislative and Board approval of a specific capital improvement project, design development plans for a building or project and the location of the new building shall be submitted to the President and Chief Executive Officer for review and approval before final plans are prepared. The Board President and Chief Executive Officer, upon the recommendation of the Director of Facilities, may approve design development plans on behalf of the Board by issuance of a signed memorandum. Board approval of design development plans are only required for large capital projects, except in the case where a small capital project is a new building or addition.
ii. Small Capital Improvement Projects
The state universities are authorized by the Board and the Legislature to proceed with projects the total project costs of which are $1,000,000 or less. Authority to approve projects costing less than $250,000 is delegated to the state university chief executive officer. Upon written request of the university’s chief executive officer, and with concurrence of the Board’s Director of Facilities, the Board President and Chief Executive Officer has the authority to authorize projects with costs greater than $250,000 and less than $1,000,000. The large capital projects requirements for Licensed Professional Consultants also apply for small capital projects. Large capital project requirements for Program Statement, Design Development Plans, and Maintenance Assessment shall apply to those small capital projects that add new space.
i. Funding Sources: Capital improvement projects may be paid for from the State General Fund, tuition, the Educational Building Fund, revenue bond proceeds (in accordance with chapter II.D. of this Policy Manual), restricted fees, auxiliary revenues, research overhead funds, private donations, tuition interest earnings as defined by K.S.A. 76-7,102(d), in accordance with K.S.A. 76-719(e), and other resources as approved by the Board.
ii. Moneys in the Educational Building Fund (EBF) may be expended as authorized by K.S.A. 76-6b02. The Board further narrows the use of EBF allocations to the universities to state-owned “mission critical” buildings (those predominantly used for academic and/or research missions).
The Board receives an annual appropriation from the EBF. This appropriation is allocated by the Board to the state universities pursuant to the “adjusted square footage” formula used by the Board since 2007, which factors in gross square footage, building age and complexity of the physical plant. Buildings razed after adoption of this policy shall not impact future distribution of the appropriation among the universities.
Additionally, the universities shall contribute funds for small capital projects (including annual and deferred maintenance, and rehabilitation and repair projects) from State General Fund appropriations, tuition, restricted fees, auxiliary revenues, research overhead funds and other resources as approved by the Board.
iii. Federal Grant Requests: All institutional requests for federal grants for capital improvements shall be submitted in writing to the Board President and Chief Executive Officer before the request is submitted to the appropriate federal agency.
iv. Private Funds: No capital improvement project that is funded in part or totally from private funds may proceed to signature of contract unless and until all private funds have been deposited in an account for the use of the project or a letter of credit has been received by the Board President and Chief Executive Officer that guarantees the availability of the funds necessary to complete the project.
v. Fund Raising: In addition to the project approval required in subsection 3.b.i. of this section, notification of all capital improvement projects to be funded in part or in whole from private resources must be submitted in writing to the Board’s President and Chief Executive Officer and approved before fund raising efforts are publicly announced. This provision shall not be construed to prohibit fund raising efforts prior to their public announcement.
4. MAINTENANCE ASSESSMENT
i. Annual Maintenance is defined as a combination of the following:
(1) Capital Renewal/Replacement - The replacement of major building and/or utility components and systems to extend useful life of a facility (e.g. roof replacements, HVAC retrofits);
(2) Normal/Routine Maintenance and Minor Repairs - The cyclical, planned work performed on capital assets such as buildings, fixed equipment, and infrastructure to help them reach their originally anticipated life; and
(3) Preventive Maintenance - The planned program of periodic inspection, adjustment, cleaning, lubrication and/or selective parts replacement, as well as performance testing and analysis intended to maximize the reliability, performance, and lifecycle of building systems and equipment.
ii. Deferred Maintenance is annual maintenance and necessary renewal of facilities systems and components that have been postponed, delayed, or deferred, to a future budget cycle or until funds are available.
Beginning in FY 2023, and each year thereafter, each university shall calculate a maintenance assessment as a percentage of the professionally estimated replacement cost of mission critical buildings according to an assessment schedule culminating in a sustainable 2% of current replacement value (CRV) as approved by the Board on an annual basis. Utilizing each university’s Deferred Maintenance Projects Fund, expenditures shall be itemized using a standard template for the Board’s review annually. Maintenance funds must be spent annually toward maintenance of campus buildings unless approved by the Board as an exception. Parameters and criteria for the university’s prioritization of projects should be referenced in Board’s University Facilities Guidelines.
At a minimum, the Board will review every three years the performance of the Maintenance Assessment and the Capital Renewal Initiative and make adjustments informed by the Board’s review.
Each state university shall identify and expend campus funds (excluding EBF allocations) annually for the purpose of addressing annual and deferred maintenance according to a prioritized assessment plan reviewed by the Board at the annual budget workshop. Funding for the maintenance assessment may include contributions from university, state, federal and philanthropic sources.
5. FACILITY REPORTS
Each state university shall maintain, prepare, and assemble data to be included in the State University Facilities Report to be submitted by the Board in January of odd numbered years. This report is submitted to the Legislature in odd numbered years to satisfy the reporting requirements of K.S.A. 76-7, 103. The State University Facilities Report combines the facilities condition report (previously termed the Report on State University Deferred and Annual Maintenance report), the building inventory, and the space utilization efficiency report (previously termed the Inventory of Physical Facilities and Space Utilization report).
Each state university shall maintain and manage building inventory, space utilization and facilities condition data in the Board of Regents’ system facilities database for all buildings, site and utilities infrastructure on state-property to be submitted to the Board office by October 1st of each year for inclusion in the State University Facilities Report provided to the Board in January of each year.
i. Space Utilization Efficiency
Each state university shall report on campus space utilization efficiency to the Board of Regents by October 1, 2022, and annually thereafter, as part of the State University Facilities Report in compliance with the methodology and best practices for space standards and management as identified in the Board’s University Facilities Guidelines. Parameters and criteria for prioritization of projects should be referenced in this guiding documents.
ii. Facilities Condition
Each state university shall maintain and manage facilities condition data and comprehensive building inventory utilizing the facilities database and report to the Board of Regents by October 1, 2022, and annually thereafter to be included in the State University Facilities Report in compliance with the methodology and best practices for building inventory and facilities condition data as identified in the Board’s University Facilities Guidelines. Parameters and criteria for prioritization of projects should be referenced in this guiding document. Each university shall have facilities condition assessments, as well as utility, site infrastructure assessments entered into the database for all assets on state-owned property by October 1, 2027.
iii. Maintenance Assessment Expenditures
Each state university shall annually report project expenditures from their Deferred Maintenance Projects Fund (for the previous fiscal year) or other private funds utilizing the Board’s standard template by October 1st of each year.
iv. Educational Building Fund (EBF) Expenditures
Each state university shall submit annual EBF expenditures (for the previous fiscal year) utilizing the Board’s standard template by October 1st of each year.
6. ENERGY CONSERVATION MEASURES (K.S.A. 75-37,125)
Energy conservation measure means an energy study, audit, improvement or equipment which is designed to provide energy and operating cost savings at least equivalent to the amount expended by the participating state university for such energy study, audit, improvement or equipment over a period of its anticipated useful life.
i. When an energy conservation measure is to be financed with revenue bond proceeds pursuant to K.S.A. 74-8960, the applicable processes for approval of and issuance of revenue bonds shall be followed.
ii. When an energy conservation measure is to be financed by means other than with revenue bond proceeds pursuant to K.S.A. 74-8960, the provisions of K.S.A. 75-37,125 and any other applicable statutory provisions shall be followed and the project shall be presented to the Board for approval prior to entering into any contract, lease-purchase agreement or other financing arrangement.
iii. A contractual provision in the contract with an entity providing energy conservation measures shall guarantee that the actual amount of savings of energy and operational costs attributable to the energy conservation measure be not less than the cost of the energy conservation measure over the time specified including financing costs.
7. OBSOLETE BUILDINGS
Each state university shall evaluate all buildings in the university’s inventory to determine if any building is obsolete. If a building is found to be obsolete, the state university shall request approval of the Board to retire the building from service and shall make a recommendation to the Board regarding the prudence of razing, repurposing and/or divesting of the building. Each recommendation shall include the following information:
a. Estimated costs and funding source(s);
b. the building’s condition;
c. current backlog of deferred maintenance;
d. historical status or designation; and
e. an assessment of any environmental issues associated with the property to be vacated.
Refer to the Land Transactions section of this policy for procedures and conditions under which a state educational institution may sell and convey real property given as an endowment, bequest or gift to the institution.
a. State Fire Marshal
An annual inspection of all buildings at each state university shall be made by the State Fire Marshal with copies of the inspection report to be sent to the university. In lieu of the State Fire Marshal conducted inspection, a state university may enter into a memorandum of agreement with the State Fire Marshal pursuant to the State Fire Marshal Commissioned Inspector Act, K.S.A. 31-701 et seq. Annual inspections conducted by a university commissioned inspector shall be performed in accordance with the Act and the university’s memorandum of agreement. A list of commissioned inspectors shall be filed with the Director of Facilities for each University. Over the course of the year as inspections are conducted, the State Fire Marshall’s office will copy the Director of Facilities on any notice of citation, plan of correction, potential sanction, violation, cease and desist order or hazard requiring follow up by the state university, who will review with the President and Chief Executive Officer.
b. Department of Administration
Each state university shall obtain such Department of Administration reviews and inspections for new construction or renovation as are required by the Department’s Building Design and Construction Manual.
c. Boiler and Other Inspections Required by Law
Each state university shall provide for such boiler and other inspections as are required by law. (K.S.A. 44-913 et seq.) Each state university shall retain its annual inspection reports for 21 years or until no longer useful.
9. PRIVATE HOUSING
Unless directly authorized to do so by the Board, state universities shall not do any of the following:
a. enter into agreements, written or verbal or implied relating to private housing;
b. give preference to any owner or operator of private housing;
c. guarantee occupancy in or payments for private housing; or
d. provide public funds for the supervision, maintenance or operation of private housing.
The President and Chief Executive Officer of the Board, upon the recommendation of the Director of Facilities, may approve on behalf of the Board any agreement relating to private housing that is for a term of less than one year.
For purposes of this section, “private housing” means privately-owned residential housing made available for university students’ or university employees’ use while attending or working for the university at the university’s main or branch campus.
10. REPORTS DUE
A listing of required submittals and their respective due dates may be accessed on the Board of Regents’ website.
11. LAND TRANSACTIONS
a. Leases (Including Oil and Gas Agreements)
i. All leases of state-owned real property shall be approved by university counsel as to form, shall be submitted to the Board for approval in accordance with paragraph iv. of this subsection or subparagraph 11.e.i. 4., 5, or 6, as applicable, and shall be submitted to other state agencies for approval where required by law. (K.S.A. 75 3739(l), 75-3743, 75 3744, 76-165, and/or 76-769(b)). All leases of state-owned real property for less than fair lease value shall be subject to the approval of the Board unless: (1) the use of the leased space is determined by the state university’s chief executive officer to be of benefit to the institution, (2) the lease meets the criteria for execution by the state university’s chief executive officer in paragraph iv. of this subsection, and (3) the rental rates are certified by the state university’s chief financial officer as fair and equitable for the type of lease arrangement, which may include non-monetary considerations.
ii. No real property owned or controlled by the State of Kansas shall be leased unless a notice of intention to lease said property has been ¬published at least thirty days prior to execution of any documents; provided, however, that this requirement shall not be imposed on leases with another state agency or a political subdivision. (K.S.A. 75 430a(d))
iii. No lease of land for the production of oil, gas or other minerals shall be for a period of more than ten years and so long as oil, gas or other minerals are produced in paying quantities thereon, shall be awarded only upon competitive bids pursuant to K.S.A. 76-165, and shall retain to the state a royalty interest of not less than one-eighth part of all oil, gas or other minerals produced. When a state university leases land for the production of oil, gas, sand, gravel or any other mineral, the university shall provide information to the state geological survey in accordance with K.S.A. 76-323b. (K.S.A. 76 164 through 76 168)
iv. State university leases of state-owned real property to or from third parties not associated with the state university may be executed by the university’s chief executive officer without Board approval unless:
(1) the lease involves construction on state property;
(2) the lease is an oil, gas or mineral lease covered by K.S.A. 76-165;
(3) the lease is for a term of more than 10 years; or
(4) the lease is for an amount in excess of $25,000 per year.
v. Leases with state university endowments, foundations, and other related organizations are governed by subsection 11.e. below.
i. The state universities’ chief executive officers shall act on behalf of the Board in granting or conveying right-of-way easements across any land under the custody and control of the Board. Easements may be granted with or without receiving consideration therefore, and may permit use of the land for purposes of access, convenience or necessity and such other right-of-way purposes as are customarily related to such easements. (K.S.A. 74-3264 and 75-2131)
ii. Easement documents shall be submitted to the Attorney General for approval as to form. (K.S.A. 74-3264 and 75-2131)
c. Sale of Real Property
i. Following receipt of the appraisals required by law, any sales of real property owned or controlled by the Board of Regents or a state university must be approved by the Board of Regents and authorized by the Legislature. K.S.A. 74 3254 and 76-7,152 may serve as pre-authorization by the Legislature to dispose of certain devises. (K.S.A. 75-3043a, 74-3254, and 76-7,152)
ii. No real property owned or controlled by the Board of Regents or a state university shall be sold unless a notice of intention to sell said property has been published at least thirty days prior to execution of any documents. (K.S.A. 75 430a(d))
iii. No real property owned or controlled by the Board of Regents or a state university shall be sold, and no transaction for the sale of such property shall be closed, until the property has been surveyed as required by law. (K.S.A. 75-6611)
iv. Sale and conveyance of real property given to the state university as an endowment, bequest or gift where K.S.A. 76-7,152 is the authorizing statute for the sale requires Board of Regents approval in accordance with the following. If the university determines that such real estate is no longer needed, the university shall make a recommendation to the Board regarding the prudence of selling the property. The recommendation shall include the following:
(1) justification for selling of the property;
(2) the professional survey of the property described in paragraph 11.c.iii.;
(3) the appraised value of the property as determined pursuant to paragraph 11.c.i.;
(4) a proposal for disposition of the sale proceeds;
(5) confirmation that selling the property would be consistent with any restrictions placed on the endowment, bequest or gift; and
(6) a plan for acknowledgement of the original donors.
All relevant requirements for the sale of real property referenced in this section 11.c. shall apply to sales made pursuant to this paragraph. Any sale and conveyance authorized pursuant to this paragraph 11.c.iv. shall not be subject to the provisions of K.S.A. 75-6609.
v. Sales of real property to state university endowments, foundations, and other related entities are governed by subsection 11.e. below.
d. Acquisition of Real Property
i. The Board of Regents may acquire real property necessary to properly maintain and carry on a state university or the business thereof. (K.S.A. 76 147)
ii. State universities shall submit a description of all properties that they desire to purchase, or otherwise acquire, to the Board for approval. If such property is valued at less than $250,000, the Board President and Chief Executive Officer, upon the recommendation of the Director of Facilities, may approve the acquisition on behalf of the Board. Such description shall include a legal description of the property, anticipated use and the estimated cost of purchase and any cost relating to the razing or renovating and maintaining such property.
iii. No real property shall be purchased by the Board of Regents or a state university until the property has been appraised as required by law (K.S.A. 75-3043a or 76-147). Prior to purchase, a warranty deed and environmental assessment will be required. Exceptions to the requirement for a warranty deed may be made by the Board President and Chief Executive Officer.
iv. Each state university shall record all deeds to real estate acquired, and any other instruments relating to the acquisition required by law to be recorded, with the register of deeds of the county where the real estate is located. All original instruments relating to land acquisitions shall be maintained in the Board office. (K.S.A. 75 3516)
v. Acquisition of real property from state university endowments, foundations, and other related organizations are governed by subsection 11.e. below.
e. Real Property Transactions with State University Endowments, Foundations and Other Related Organizations
i. State university endowments, foundations and other related organizations are organized under the laws of the State of Kansas and exist to support the state universities. While state law and organizational charters typically impose upon these related organizations special responsibilities for the administration of property received by the organizations, this policy shall establish the basis for all real property transactions described herein between all related organizations, the state universities and the Board. For purposes of this paragraph e., the term “related organizations” includes all state university affiliated corporations as defined in section II.D.8. of this Policy Manual.
(1) The approval of the Board of Regents shall be required prior to the acceptance by a state university of any gift of property from any related organization.
(2) In the event any related organization desires to sell to the Board or the university properties held by the related organization as a result of purchase, or a gift or devise that conveyed unrestricted and unqualified fee to the related organization, the purchase price shall not be more than the highest appraised value as determined by two independent real estate appraisers. (K.S.A. 76-147)
(3) Where trades of real property between the State and any related organization may benefit the state university and disposal of the state property has been approved by the Legislature, the Board of Regents may authorize the state university to negotiate a trade of the realty. The valuation of the related organization’s property shall be determined in the same manner as that of state properties. (K.S.A. 75-3043a or 76-147)
(4) Leases of real property by the state universities from any related organizations shall be subject to the approval of the Board and to the following limitations:
(a) If the related organization holds properties in unrestricted accounts for which no remuneration is required under its fiduciary responsibility, or if the property is held on the basis of a gift or devise which so permits, the related organization may make the property available to the state university on a no fee basis.
(b) Any occupancy by the state university shall be subject to a written agreement.
(c) For properties held by any related organization as ¬in¬vestments for eventual development by the state university, the rental cost shall not exceed an amount calculated to amortize the investment, or the market value in a case where the state university seeks to occupy a property previously leased by the related organization on a private or commercial basis.
(5) Leases of state-owned real property by the state universities to any affiliated corporation or other related organization shall be subject to the approval of the Board, but may be approved by the Board President and Chief Executive Officer if:
(a) the terms of the lease require state university funding of less than $1,000,000 in construction costs per project; and
(b) the terms of the lease require no state university funds for operating and maintenance expenses.
(6) To the extent the terms of any sublease were identified in the request for authorization of a lease submitted to the Board for approval pursuant to subparagraph (5), no further Board approvals of the sublease are required. Any subsequent subleases of state-owned real property by an affiliated corporation or other related organization to third parties, the terms of which are not identified in the request for authorization of a lease submitted to the Board for approval pursuant to subparagraph (5), shall be subject to the approval of the Board, but may be approved by the Board President and Chief Executive Officer if:
(a) the terms of the sublease require state university funding of less than $1,000,000 in construction costs per project;
(b) the terms of the sublease require no state university funding for operating and maintenance expenses;
(c) the sublease is for a term of less than 30 years; and
(d) the sublease includes a provision that either requires the facility condition index to be at least 80% of new at the end of the sublease, or the facility will be demolished at no cost to the university.
(7) State university transfers of real property received by devise to the state university’s endowment or foundation in accordance with K.S.A. 74-3254 shall be subject to approval by the Board and any conditions imposed by the testator.
ii. Construction of Buildings: When any related organization constructs a building on the organization’s property for the state university’s use and at the request of the state university, the state university is authorized to enter into lease agreements on an amortizing basis, subject to the advance approval of the Board of Regents.
iii. Issuing Bonds: In the event any related organization proposes or is requested to issue bonds and the proceeds will be used to fund construction or improvement upon state-owned property, the state university having possession of the property shall obtain Board approval of the project before the bond issuance process is initiated.
f. Designation on the State or National Historic Register: Each state university shall seek approval from the Board prior to initiating the process to place state property on the state or national historic register.
12. OCCUPANCY LEASES
State university leases of space in a privately-owned building from an entity with which the university has or had a direct or indirect partnership to construct the building may be executed by the university’s chief executive officer without Board approval unless:
a. The lease is for a term of more than 10 years; or
b. the lease is for an aggregate amount in excess of $100,000 per year paid from any funding source other than grant moneys.
13. NAMING OF BUILDINGS, FACILITIES AND CAMPUSES
a. Authority for Naming
The initial naming of any state university building or other major component is the province of the Board of Regents. The authority to re-name or remove the name of any state university building or other major component, or to seek a legislative name change for a campus, also resides in the Board. Any documentation used by any state university or affiliate corporation of any state university for fund raising purposes shall clearly state that proposed names are subject to Board action and shall reserve to the Board the right to remove any name bestowed upon a building or other major component. New names shall not be put into use prior to obtaining the appropriate approvals.
Possible reasons for removal of a name include, but are not limited to, circumstances causing damage to the reputation of the university, change of law regarding naming authority, or if a building is razed or given over to a new use.
Any time a proper noun name is to be displayed on the exterior of a building, other major component, minor component, or associated signage it shall be treated as a naming and shall be submitted to the Board for consideration in accordance with this policy. Naming or re-naming a minor component does not otherwise require Board approval. Naming or changing a name or portion of a name using only descriptors of the building or other major component or how it is to be used, such as North Garage or Early Childhood Education Center, does not require Board approval.
For purposes of this policy, “major component” means entire buildings, wings of buildings, and large sections of campus, “minor component” means campus areas or sections of facilities such as rooms, labs, open outdoor spaces, streets, structures and physical features, and “state university building or other major component” means any such structure or area that the university has the authority to name regardless of ownership or location.
i. Generally, buildings and other major components are named for distinguished individuals who have made extraordinary contributions of a scholarly, professional, or public service nature related to the university’s mission, or for major donors to the construction.
ii. Before forwarding a name to the Board for consideration, the state university shall undertake a thorough degree of due diligence to avoid commercial influence or conflict of interest.
iii. Buildings and other major components shall not be named for sitting presidents, chancellors, Board members, or federal, state or local elected officials, however buildings and other major components named for such individuals before appointment or election or between appointments or elections to one or more of those positions need not be re-named.
The chief executive officer of the state university shall recommend an appropriate name to the Board for consideration. At the time the agenda item is submitted, the name shall not be included; however, the state university shall send the proposed name and a brief narrative individually to Regents and the President and Chief Executive Officer of the Board at the same time the state university sends its agenda material requests to the Board office for the Board meeting at which the name is to be considered. No public communication of a proposed name shall be made until the name is presented for consideration at the open meeting of the Board. Proposed names for campuses require approval by the Board in accordance with this policy whether the proposed name or name change also requires legislative action. Any naming or re-naming requiring legislative action shall also follow the Board’s policies and processes for seeking legislation.
14. PARKING AND TRAFFIC RULES
The chief executive officer of each state university shall act on behalf of the Board in exercising the authority of the Board to care for, control, maintain and supervise all roads, streets, driveways and parking facilities for vehicles on the grounds of the state university. The chief executive officers will adopt rules and policies as authorized by K.S.A. 74-3209 through 74-3216, as amended.
15. WEAPONS POSSESSION
a. Pursuant to the authority vested in the Board of Regents by Article 6, Section 2 of the Kansas Constitution, K.S.A. 76-712 and other state laws, and in accordance with K.S.A. 75-7c20 allowing concealed carry and K.S.A. 75-7c24 authorizing prohibition of open carry, concealed carry of handguns shall be permitted on each state university campus, while open carry of firearms and possession of weapons other than concealed handguns shall be prohibited on each state university campus.
b. For purposes of this policy:
i. The term “weapons” includes:
(1) Any object or device which will, is designed to, or may be readily converted to expel bullet, shot or shell by the action of an explosive or other propellant;
(2) any handgun, pistol, revolver, rifle, shotgun or other firearm of any nature, including those that are concealed or openly carried;
(3) any BB gun, pellet gun, air/C’O2 gun, blow gun, or any device, such as a Taser, which is designed to discharge electric darts or other similar projectiles; however, personal self-defense stun guns that do not fit within the preceding definition shall not be deemed to be a weapon for the purposes of this policy;
(4) any explosive, incendiary or poison gas (A) bomb, (B) mine, (C) grenade, (D) rocket having a propellant charge of more than four ounces, or (E) missile having an explosive or incendiary charge of more than ¼ ounce;
(5) any incendiary or explosive material, liquid, solid or mixture equipped with a fuse, wick or other detonating device;
(6) any tear gas bomb or smoke bomb; however, personal self-defense items containing mace or pepper spray shall not be deemed to be a weapon for the purposes of this policy;
(7) any knife, commonly referred to as a switch-blade, which has a blade that opens automatically by hand pressure applied to a button, spring or other device in the handle of the knife, or any knife having a blade that opens or falls or is ejected into position by the force of gravity or by an outward, downward or centrifugal thrust or movement;
(8) any straight-blade knife of four inches or more such as a dagger, dirk, dangerous knife or stiletto; except that an ordinary pocket knife or culinary knife designed for and used solely in the preparation or service of food shall not be construed to be a weapon for the purposes of this policy;
(9) any martial arts weapon such as nunchucks or throwing stars;
(10) any longbow, crossbow and arrows or other projectile that could cause serious harm to any person; or
(11) any other dangerous or deadly weapon or instrument of like character.
ii. The term “handgun” means:
(1) A pistol or revolver which is designed to be fired by the use of a single hand and which is designed to fire or capable of firing fixed cartridge ammunition; or
(2) any other weapon which will or is designed to expel a projectile by the action of an explosive and which is designed to be fired by the use of a single hand.
iii. The term “firearm” includes any handgun, rifle, shotgun, and any other weapon which will or is designed to expel a projectile by the action of an explosive.
iv. The term “adequate security measures” shall have the same meaning as the term is defined in K.S.A. 75-7c20, and “building” shall have the same meaning as the term “state building” is defined in K.S.A. 75-7c20.
v. The term “campus” means any building or grounds owned by a state university or the Board and any building or grounds leased by a state university or the Board for state university use.
c. Nothing in this policy shall be read to prohibit possession of weapons on campus (1) as necessary for the conduct of Board approved academic programs or university approved activities or practices, or (2) by university police or security officers while acting within the scope of their employment. Each university shall develop and follow policies and procedures for the safe possession, use and storage of such weapons and shall notify the Board in writing of any activities or practices involving weapons that are approved by the university under subparagraph c(1).
d. Beginning July 1, 2017, any individual who is 21 years of age or older, and beginning July 1, 2021, any licensed individual who is 18-21 years of age, and who is lawfully eligible to carry a concealed handgun in Kansas shall not be precluded from doing so on state university campuses except in buildings and areas of buildings for which adequate security measures are provided, and except as otherwise prohibited by law.
i. Each individual who lawfully possesses a handgun on any state university campus shall be wholly and solely responsible for carrying, storing and using that handgun in a safe manner and in accordance with the law, Board policy and university policy. Nothing in this policy shall be interpreted to require individuals who lawfully possess a handgun to use it in defense of others.
ii. Each university shall develop and follow policies and procedures for the safe possession and storage of lawfully possessed handguns, and shall submit such policies and procedures to the Board office for review and approval by the Board Governance Committee prior to publication or implementation. Each university’s policies and procedures shall include detailed provisions regarding how and where to report suspected violations of this policy, how faculty, staff and students shall be notified of the laws and policies pertaining to concealed carry on campus, and shall also provide interested students, faculty and staff with information about any known locally or regionally available firearm safety instruction.
e. Open carry of any firearm anywhere on any campus shall be prohibited. Each entrance to each building and facility on each campus shall be conspicuously posted with appropriate signs indicating that openly carrying a firearm into that building or facility is prohibited. Additional signs may be posted as appropriate.
f. Except in those instances where necessary for self-defense or transferring to safe storage and except as otherwise provided in subparagraphs c(1) and c(2), it shall be a violation of Board policy to openly display any lawfully possessed concealed carry handgun while on campus.
g. Regardless whether the individual is otherwise lawfully eligible to carry a concealed handgun, it shall be a violation of Board policy to commit any of the following offenses on a university campus:
i. Possess a firearm under the influence of alcohol or drugs, as defined by K.S.A. 21-6332, and amendments thereto;
ii. discharge a firearm in violation of K.S.A. 21-6308, and amendments thereto;
iii. discharge a firearm within or into the corporate limits of any city in violation of K.S.A. 21-6308a; or
iv. otherwise possess, store, transport, trade, sell, or in any other way use a firearm in violation of any applicable law.
h. Beginning July 1, 2017, each individual who lawfully possesses a concealed handgun on campus shall at all times have that handgun in their custody and control, and shall either keep it on their person with safety mechanism, if any, engaged, or stored 1) in any secure storage location provided by or authorized by the university specifically for that purpose, 2) at their residence, or 3) in their vehicle. If stored in a location provided or authorized by the university specifically for that purpose, the handgun must be secured, concealed from view, and in a location that can be accessed only by the individual and the university. If stored in a vehicle on campus, the handgun must be secured and concealed from view. For any dormitory or scholarship hall that does not have adequate security measures, each resident who lawfully possesses a handgun on campus and elects to store the handgun they possess in the room to which they are assigned when not carrying it on their person in a concealed fashion shall secure the handgun in a secure storage device that conceals the gun from view. Such storage devices shall be provided by the individual who possesses the handgun and must meet minimum industry standards for safe-keeping of handguns.
i. Beginning July 1, 2017, each state university shall determine whether and to what extent otherwise lawfully possessed concealed handguns will be prohibited in any campus buildings or areas of buildings by provision of adequate security measures, permanent or temporary, at each public entrance to the building or area. Each entrance to each building where concealed carry is prohibited as provided in this paragraph shall be conspicuously posted with appropriate signs indicating that carrying a concealed handgun into that building is prohibited. Additional signs may be posted as appropriate. Each state university that prohibits concealed carry pursuant to this paragraph shall submit to the Board office for review and approval by the Board Governance Committee a list of the buildings and areas of buildings so restricted, the rationale therefor, and a description of the adequate security measures to be provided.
i. The list shall be provided at the time such buildings and areas are first identified as requiring adequate security and, as buildings or areas of buildings are added to the list, at the time so amended. Once the Governance Committee has approved a building or area for provision of adequate security measures, re-approval of that building or area is not required.
ii. Because safety and security considerations may warrant a university implementing adequate security measures on an as-needed, temporary basis that are intended to address a specific concern, each university shall include in its annual security report to the Board information regarding all instances in which adequate security measures were implemented on an as needed, temporary basis during the previous year and the reasons therefor.
j. Any individual who violates one or more provisions of this policy may be issued a lawful directive to leave campus with the weapon immediately. Any individual who violates the directive shall be considered to be in trespass and may be cited accordingly. Any employee or student of the university who violates one or more provisions of this policy shall be subject to discipline in accordance with applicable university codes of conduct. Any individual who violates state or federal law may be detained, arrested or otherwise subjected to lawful processes appropriate to the circumstances.
k. Notice of this policy shall be given in each state university’s weapons policy and housing contracts. To the extent adequate security measures are used to prohibit concealed carry into stadiums, arenas and other large venues that require tickets for admission, the tickets shall state that concealed carry will be prohibited at that event.
16. USE OF CAMPUS GROUNDS AND FACILITIES
a. State university facilities and grounds shall not be made available for fund raising events for any candidate, party committee or political committee, or for filming or otherwise producing partisan political advertisements.
b. Except as prohibited in subsection a., state university facilities may be made available for the purpose of holding political meetings, or public forums, provided there is no interference with regularly scheduled functions, the person requesting the space can clearly demonstrate that there is not otherwise available a reasonably suitable facility in the community, students are permitted to hear the speakers without charge, and payment of the regular fees for use of the facilities is made in advance of such use. University policies regulating availability and use of campus facilities shall be content-neutral and limited to narrowly drawn time, place and manner restrictions that are consistent with established principles of the First Amendment to the Constitution of the United States.
c. The outdoor areas of each state university campus are public forums, open on the same terms to any member of the campus community subject to reasonable time, place, and manner restrictions that are consistent with established principles of the First Amendment to the Constitution of the United States. Members of the campus community may engage in non-commercial expressive activity in any outdoor area of campus in accordance with published university policies establishing time, place and manner restrictions. University policies regulating availability and use of campus outdoor areas shall be content-neutral and limited to narrowly drawn time, place and manner restrictions that are consistent with established principles of the First Amendment to the Constitution of the United States.
d. Members of the campus community shall be permitted to engage in non-commercial chalking in the outdoor areas of campus, subject to the following restrictions. Universities may prohibit chalking in designated portions of the outdoor areas of campus provided members of the campus community are afforded ample alternative areas to engage in non-commercial chalking. University policies regulating chalking in outdoor areas of campus shall be content-neutral and limited to narrowly drawn time, place and manner restrictions that are consistent with established principles of the First Amendment to the Constitution of the United States.
e. The state universities shall not discourage students, faculty and staff from hearing diverse points of view from speakers and programs sponsored by the university or recognized student, faculty, and employee organizations. University policies or rules on the advance reservation of rooms, the posting of notices, the payment of rental charges when applicable, and such other rules as the university prescribes for the use of its facilities to avoid interference with the regular program of the institution shall be content-neutral and limited to narrowly drawn time, place and manner restrictions that are consistent with established principles of the First Amendment to the Constitution of the United States.
f. Nothing in this policy shall be interpreted as prohibiting a state university from regulating or restricting expressive activity that is not protected by the First Amendment.
g. Other than the Governor, elected officials and candidates for elected office shall not be introduced or recognized on campus unless they are in attendance at a campus event in an official capacity and at the request of the university.
h. The distribution of handbills shall be prohibited in those areas devoted primarily to instruction and study or at the immediate sites and times of enclosed public events.
i. State universities shall have the authority to develop additional policies and guidelines that are not in conflict with this policy and that are consistent with First Amendment precedent. Such policies and guidelines shall be reviewed by the Governance Committee and filed with the President and Chief Executive Officer of the Board.
j. For purposes of this policy, the terms “candidate,” “party committee,” and “political committee” shall have the meanings specified in K.S.A. 25-4143, as amended. ‘Campus community’ means students, administrators, faculty and staff at the relevant state university and guests invited to the university by the university’s students, administrators, faculty, or staff. ‘Outdoor areas of campus’ means the generally accessible outside areas of campus where a majority of students, administrators, faculty, and staff at the university are commonly allowed without ticketed entrance.
17. CONSUMPTION, SERVICE AND SALE OF ALCOHOL IN NON-CLASSROOM AREAS
In accordance with K.S.A. 2018 Supp. 41-719(g), and amendments thereto, state universities are permitted to allow consumption of alcoholic liquor on state university property under authorized and appropriately controlled conditions and guidelines to be determined by the chief executive officer of each university and set forth in an institutional policy on service of alcoholic liquor.
In addition to authorizing consumption in accordance with K.S.A. 2018 Supp. 41-2018, any service or sale of alcoholic liquor on campus must be approved, in advance, by the chief executive officer of the institution, or the chief executive officer’s designee, and may only be allowed in those non classroom areas, and outside grounds immediately adjacent thereto, that are specifically designated for such activities in the institutional policy on service of alcoholic liquor. Service and sale of alcoholic liquor on campus shall be in compliance with the Kansas Club and Drinking Establishment Act, including but not limited to acquisition of the appropriate license or permit for each designated area, and may only be for on-premise consumption.
Each institution shall file and maintain a current copy of its policy on service of alcoholic liquor with the President and Chief Executive Officer on behalf of the Board.
For purposes of this policy, alcoholic liquor has the meaning specified in K.S.A. 2018 Supp. 41-102 and includes beer, wine and spirits.
1. INTERACTION WITH LEGISLATURE, COURTS, AND OTHER STATE AGENCIES
a. Legislative Appearances and Committee Hearings
State university employees should make every effort to accommodate legislative committee requests to provide expert testimony on proposed legislation. The university shall notify the Board President and Chief Executive Officer of the invitation.
b. Legislative Requests and Proposed Legislation (Also see FISCAL MANAGEMENT AND BUSINESS ADMINISTRATION)
i. All requests for funds, programs, changes in legislation and new legislation affecting the Board and system institutions shall be submitted to the Board for consideration no later than the November meeting of the Board. Emergency situations may warrant special exceptions, but to the extent possible, no request for legislation during the ongoing legislative session shall be submitted after the March meeting of the Board. Non-budgetary legislative items shall be submitted by the government relations officer of the institution to the Board's director of government relations and shall contain actual bill language when possible. Requests for funds, programs, changes in legislation and new legislation that are approved by the Board shall be included in the Board’s annual legislative proposals. Requests that are not approved by the Board shall not be submitted to the Legislature for introduction.
ii. Once approval has been granted, all institutions are authorized to work for these requests and each institution is expected to support the entire request. Conversely, all institutions are prohibited from requesting or working for additional legislation or funds.
iii. When legislation having an effect on the operation of the higher education system, proposed by someone or some group other than the Board, is brought to the Board’s attention, it shall be the responsibility of the Board to make a decision as to whether the position of the system is that of support, non support, or opposition.
c. Legislative Post Audit Reports
i. Each state university, upon receiving notification from the Legislative Division of Post Audit that a performance or financial audit of the university is to be conducted, shall forward such notification to the Board President and Chief Executive Officer. Each state university shall submit a written report to the Board, in accordance with the schedule maintained on the Board of Regents’ website, detailing progress during the preceding calendar year toward implementation of accepted Post Audit recommendations. This report shall be made on an annual basis until all accepted recommendations have been fully implemented.
ii. Discussion of pending or anticipated Legislative Post Audits shall be a standing item on the Board’s Fiscal Affairs and Audit Committee agenda.
d. Information Requests from Other State Agencies
i. System-wide Requests: Requests directed to state universities for system-wide information from other state agencies or other branches of state government shall be transmitted through the Board office. State universities receiving requests directly from other state agencies or branches of state government shall advise the requesting party of this policy and advise the Board office of the request. When time is not sufficient to allow transmission of responses through the Board office, responses may be submitted directly to the requesting party with copies to the Board office.
ii. University-Specific Requests: Responses to requests received by a state university for information related specifically to that university may be sent directly to the requesting party, with a copy to the Board office.
e. Attorney General Opinions
Any state university or state university official wishing to seek an opinion from the Attorney General shall do so by making a request through the office of the General Counsel of the Board.
f. Kansas Governmental Ethics Commission Opinions
Any state university or state university official wishing to seek an opinion from the Kansas Governmental Ethics Commission shall do so by making a request through the office of the General Counsel of the Board.
g. State and Federal Court Actions
i. Any state university intending to sue another state university or submit a brief in opposition to another state university in a case that is pending before any state or federal court shall, before filing suit or as soon as aware of the opposition but no later than requesting leave to file a brief, notify the Board President and Chief Executive Officer. The university chief executive officer shall fulfill this notification responsibility.
ii. Any state university intending to appeal a state court or federal court decision shall, before the notice of appeal is filed, notify the Attorney General’s office.
2. INTERFERENCE WITH CONDUCT OF INSTITUTION
Actions by faculty, staff, students or visitors that unnecessarily or unreasonably obstruct or interfere with the teaching, research or learning functions or other normal and necessary activities of a state university, or that create an imminent threat of danger to persons or property, may constitute grounds for restitution, suspension, dismissal or termination, or temporary or permanent exclusion from the campus or any part thereof.
Interference with the conduct of the institution shall include, but not be limited to, actions by faculty, staff, students or visitors that violate any statutory, administrative, or regulatory provision that could subject the university to any sanction under any federal or state law, regulation, or policy, or to any potential or actual loss of accreditation. Interference with the conduct of the institution shall not include any constitutionally protected expression, though such expression may be limited by reasonable, narrowly drawn and content neutral time, place or manner restrictions.
3. STATEMENT ON DIVERSITY AND MULTICULTURALISM
Opportunities to gain experience within a diverse environment and to develop appreciation of multiculturalism are considered to be important elements of the educational experience for all students. An emphasis on multiculturalism and diversity should foster an atmosphere within the university which recognizes and celebrates both the similarities and differences among all persons to create a collegiate community which reflects the world community and which provides a wide range of role models for students. The focus of responsibility for the design of educational experiences, including multicultural experiences, resides with each institution.
4. AFFIRMATIVE ACTION, EQUAL OPPORTUNITY AND TITLE IX SEX DISCRIMINATION
The Board of Regents believes and supports the view that every individual has the right to expect that all decisions with reference to employment, i.e. selection, discipline, promotion or termination, and all decisions with reference to student status, i.e. admission, academic achievements and discipline, be made without regard to age, race, color, religion, sex, marital status, national origin, physical handicap or disability, status as a Vietnam Era ¬Veteran, sexual orientation or other factors which cannot be lawfully considered, to the extent specified by applicable federal and state laws. To this end, each state university shall develop and maintain an equal employment opportunity, equal educational opportunity and non-discrimination policy in the operation and administration of all University programs and services.
Notwithstanding the above, and in accordance with K.S.A. 73-201 et seq., and amendments thereto, positive consideration in hiring decisions shall be given to Vietnam Era Veterans for whom that law applies.
Further, each state university shall establish a comprehensive affirmative action program designed to provide equal employment and educational opportunities as required and allowed by law.
Each state university shall appoint a Title IX Coordinator as required by 34 C.F.R. § 106.8(a). Each state university Title IX Coordinator shall report directly to the university chief executive officer or their designee.
5. RACIAL, SEXUAL AND OTHER UNLAWFUL HARASSMENT
Unlawful harassment cannot and will not be tolerated at state universities. Each state university shall develop and maintain specific policies that seek to: (i) identify prohibited conduct in this area; (ii) educate campus constituencies with regard to this negative behavior; (iii) eliminate such behavior; and (iv) set forth the manner in which such behaviors or conduct is to be addressed.
6. USE OF SOCIAL MEDIA BY FACULTY AND STAFF
a. Commitment to Academic Freedom and First Amendment
The Kansas Board of Regents strongly supports principles of academic freedom. It highly values the work of state university faculty members. Academic freedom protects their work and enhances the valuable service they provide to the people of Kansas.
The Board also supports this statement from the 1940 Statement of Principles of the American Association of University Professors:
“College and university teachers are citizens, members of a learned profession, and officers of an educational institution. When they speak or write as citizens, they should be free from institutional censorship or discipline, but their special position in the community imposes special obligations. As scholars and educational officers, they should remember that the public may judge their profession and their institution by their utterances. Hence they should at all times be accurate, should exercise appropriate restraint, should show respect for the opinions of others, and should make every effort to indicate that they are not speaking for the institution.”
Further, the Kansas Board of Regents recognizes the First Amendment rights as well as the responsibilities of all employees, including faculty and staff, to speak on matters of public concern as private citizens, if they choose to do so, including through social media. In general, for both faculty and staff, any communication via social media that is protected by the First Amendment and that is otherwise permissible under the law is not precluded by this policy.
This policy shall be construed and applied in a manner that is consistent with the First Amendment and academic freedom principles.
b. Social Media Policy
In keeping with the Kansas Board of Regents’ commitment to the First Amendment and principles of academic freedom, the Board supports the responsible use of existing and emerging communications technologies, including social media, to serve the teaching, research, and public service missions of the state universities. These communications technologies are powerful tools for advancing state university missions, but at the same time pose risks of substantial harm to personal reputations and to the efficient operation of the higher education system. The Board therefore believes it is prudent to adopt this policy on the proper – and improper – use of social media.
1. For purposes of this policy: “Social media” means any online tool or service through which virtual communities are created allowing users to publish commentary and other content, including but not limited to blogs, wikis, and social networking sites such as Facebook, LinkedIn, Twitter, Flickr, and YouTube; “social media” does not include e-mail sent to a known and finite number of individuals, or non-social sharing or networking platforms such as Listserv and group or team collaboration worksites.
2. Authorship of content on social media in accordance with commonly accepted professional standards and in compliance with all applicable laws and university and Board policies shall not be considered an improper use of social media in the following contexts:
i. academic research or other scholarly activity;
ii. academic instruction within the instructor's area of expertise; and
iii. statements, debate, or expressions made as part of shared governance and in accordance with university policies and processes, whether made by a group or individual employee.
3. The United States Supreme Court has held that public employers generally have authority to discipline their employees for speech in a number of circumstances, including but not limited to speech that:
i. is directed to inciting or producing imminent violence or other breach of the peace and is likely to incite or produce such action;
ii. when made pursuant to (i.e. in furtherance of) the employee’s official duties, is contrary to the best interests of the employer;
iii. discloses without lawful authority any confidential student information, protected health care information, personnel records, personal financial information, or confidential research data; or
iv. subject to the balancing analysis required by the following paragraph, impairs discipline by superiors or harmony among co-workers, has a detrimental impact on close working relationships for which personal loyalty and confidence are necessary, impedes the performance of the speaker’s official duties, interferes with the regular operation of the employer, or otherwise adversely affects the employer's ability to efficiently provide services.
In determining whether an employee’s communication is actionable under subparagraph iv, the interest of the employer in promoting the efficiency of the public services it performs through its employees must be balanced against the employee’s right as a citizen to speak on matters of public concern.
4. When determining whether a particular use of social media constitutes an improper use, the following shall be considered: academic freedom principles referenced in subsection b.2., the employee’s position within the university, whether the employee used or publicized the university name, brands, website, official title or school/department/college or otherwise created the appearance of the communication being endorsed, approved or connected to the university in a manner that discredits the university, whether the communication was made during the employee’s working hours and whether the communication was transmitted utilizing university systems or equipment.
5. The chief executive officer of a state university, or the chief executive officer's delegate, has the authority to make use of progressive discipline measures pursuant to Board or university policy, up to and including suspension, dismissal and termination, with respect to any faculty or non-student staff member who is found to have made an improper use of social media. Existing university grievance and review processes shall apply to any such action.
c. Application of policy
This policy on the use of social media shall be construed and applied in a manner that is consistent with the First Amendment and academic freedom principles and shall apply prospectively from the date of its original adoption by the Kansas Board of Regents on December 18, 2013.
7. USE OF CONTROVERSIAL MATERIAL, INCLUDING THE USE OF SEXUALLY EXPLICIT MATERIALS, IN INSTRUCTION
The Kansas Board of Regents recognizes that academic freedom must be balanced by academic responsibility. Therefore, it is the policy of the Kansas Board of Regents to require each institution within its jurisdiction to adopt the following set of precepts on the use of sexually explicit materials, the teaching about pedophilia and the conduct and management of courses relative to these topics:
“Students are entitled to an atmosphere conducive to learning and to even-handed treatment in all aspects of the teacher-student relationship. Faculty members may not refuse to enroll or teach students on the grounds of their beliefs or the possible uses to which they may put the knowledge to be gained in a course. Students should not be forced by the authority inherent in the instructional role to make particular personal choices as to political action or their own social behavior. Evaluation of students and the award of credit must be based on academic performance professionally judged and not on matters irrelevant to that performance, whether personality, race, religion, degree of political activism, or personal beliefs.
It is the mastery teachers have of their subjects and their own scholarship that entitles them to their classrooms and to freedom in the presentation of their subjects. Thus, it is improper for an instructor persistently to intrude material that has no relation to the subject, or to fail to present the subject matter of the course as announced to the students and as approved by the faculty in their collective responsibility for the curriculum.”*
Each state university will ensure that existing policy governing sexual harassment is accessible for the purpose of addressing such issues as they might arise from course content or pedagogy. Campus policies on sexual harassment and on the use of sexually explicit materials in instruction will be placed on file with the Kansas Board of Regents. (2003 Session Laws of Kansas, Chapter 160, Section 45(b).
* Source: Excerpted from the AAUP’s 1970 Statement on Freedom and Responsibility
8. SUSTAINABILITY AND IMPLEMENTATION PRINCIPLES
The purpose of this policy is to outline specific ways, reflective of each university’s resource constraints and environmental impacts, in which state universities may be able to enhance their service to Kansans as well as their leadership in addressing these challenges both on campus and, though their extensive contacts and relationships, throughout Kansas and the world.
a. Policy Statement
University policies, practices and programs should, when possible, embody approaches that reduce life cycle costs, restore or maintain the functioning of natural systems, and enhance human well-being.
For purposes of this policy provision, sustainability shall mean societal efforts to meet the needs of present users without compromising the ability of future generations to meet their own needs. Sustainability presumes that the planet’s resources are finite, and should be used conservatively, wisely and equitably.
b. Implementation Principles
i. Learning Opportunities: State universities shall incorporate issues of sustainability into the learning experiences of students throughout their academic experiences.
ii. Campus Life: State universities shall strive to infuse sustainability principles into the organization of campus life. This includes encouraging students, faculty and staff to:
(1) Minimize their environmental impact,
(2) Enhance campus ecology,
(3) Develop and foster awareness and campus culture that recognizes the importance of sustainability principles,
(4) Enhance/facilitate access to environmental and ecological goods, and
(5) Carry these lifestyles with them when they leave the campus community.
iii. Operations: State universities shall comply with all relevant environmental laws and regulations and executive orders from the Governor, and aspire to go beyond compliance by integrating values of sustainability, stewardship, and resource conservation into activities and services. As operational decisions are made, university personnel should consider ways to improve the long-term quality and regenerative capacity of the environmental, social and economic system that support the institutional activities and needs and promote practices that minimize harmful effects of operations on the surrounding environment. State universities shall strive to maximize the efficiencies of operations and services while pursuing the goals detailed above within the resources available to institutions as they pursue excellence in fulfilling institutional missions.
iv. Campus Planning: State universities shall evaluate the impact of their construction projects; incorporate green building and design methods to the extent economically feasible; and consider the impact of planning decisions on future generations of the campus community, with the goal of minimizing the environmental footprint.
v. Administration: State universities shall develop sustainability goals to inform institutional policies and procedures. These policies and procedures shall rely on scientific and technical analysis, informed by economic realities of funding, to support efforts to develop objectives and targets for operations with indicators, or measures to assure accountability to the Board. Whenever economically feasible, sustainability shall be included in areas of planning, decision-making, assessment, and reporting.
vi. Outreach: State universities shall conscientiously share the knowledge, awareness, and expertise generated by their engagement with sustainability in accordance with their respective missions and roles in serving society as a whole.
9. ATHLETIC CONFERENCES
Any change by a state university in its athletic conference membership shall require expedited Board Chairman, Board Vice Chairman, and Board President and CEO approval before entering into discussions or negotiations relative to such change. Expedited Board Chairman, Board Vice Chairman, and Board President and CEO approval shall also be required before the final decision to change is made and communicated to any third party. The state university chief executive officer shall make a recommendation to the Board Chairman, Board Vice Chairman, and Board President and CEO upon full consideration of all relevant factors, including student competition in intercollegiate sports appropriate to the institution, fiscal resources available, and sound standards of student academic performance.