A Guidebook for Community College Trustees Second Edition

SUNY
THE STATE UNIVERSITY of NEW YORK
A Guidebook for Community College Trustees
Second Edition
0(11cc of Community Colleges State University of New York • State University Plaza Albany, NewYork 12246
GUIDEBOOK FOR
COt*(UNITY COLLEGE TRUSTEES
Table of Contents
Page No.
Introduction
1.
STATE UNIVERSITY OF NEW YORK
AND ITS COtQTJWIfl COLLEGES
2.
COQ4IJNITY COLLEGE BOARDS OF TRUSTE
ES COMPOSITION, ORGANIZATION, AND OPE
RATION
S.
2.1.
3
Appointment and Composition of Conmiun
ity
College Boards of Trustees
State and Local Appointments
Term of Office
Filling of Vacancies
Oath of Of f ice
The Student Trustee
3
-
-
-
2.2.
Officers and Organization of the
Cocsnunity
CollegeaoardsofTrustees
Chair
Vice Chair
Secretary
Camaittees of the Board
4
-
-
2.3.
Meetings of the Conrunity College
Boards of Trustees
Annual Organizational Meeting
Regular Meetings
Executive Sessions
Special Meetings
Coanittee Meetings
Meeting Notices
Agenda and Order of Business
Quorum
Voting Requirements
Attendance by Trustees
Attendance by the Public
Minutes of the Meetings
5
-
-
-
-
-
3.
BYLAWS. POLICY MANUALS AND GENERAL. PRA
CTICES
3.1.
Bylaws and Policy Manuals
i
8
8
3.2.
General Practices of Cotmnunity
College Boards of Truste.s
Confidentiality
Ethics and Conflict of Interest
Public Relations
Political Action
Continuing Education of Board Members
Self-Evaluation
Role in Planning
9
-
-
-
-
ES
COMMUNITY COLLEGE BOARDS OF TRUSTE
A14D TEE PRESIDDIT
4.
5.
4.1.
President/Trustee Relationships
13
4.2.
Selection of a President
13
4.3.
DutiesofaPresident
14
4.4.
The President’s Term of Office
14
4.5.
Presidential Evaluation Processes
15
ES
COMJTJNIfl COLLEGE BOARDS OF TRUSTE
4T
EME
A.ND PERSONNEl. MAZ(AG
15
5.1.
fessional
Making Professional and Non-Pro
ServiceAppointments
16
5.2.
Formulating Personnel Policies for
Effective Personnel Administration
17
5.3.
Recording Personnel Policies for
Effective Personnel Management
18
5.4.
and
Complying with Affirmative Actioneme
nt
nag
Other Aspects of Personnel Ma
18
5.5.
6.
13
5.4.1.
Affirmative Action Planning
18
5.4.2.
Other Aspects of Personnel
Management
19
of
Handling Collective Bargaining ent
ym
plo
Em
of
Terms and Conditions
20
STEES
CO*qUNIfl COLLEGE BOARDS OF TRU
AND THE ACADEMIC PROGRAM
6.1.
.
21
Approval of Degree Programs by
y..
the Trustees and State Universit
22
la
The Establishment of the Curricu
6.1.1.
21
ii
6.1.2.
Remedial/Developmental Prog
rams
23
6.1.4.
Special Courses, Extension Wo
rk
and Other Of ferings
23
Transfer and Articulation
23
The Monitoring and Evaluation of
the
Curricula
6.2.1.
7.
22
6.1.3.
6.1.5.
6.2.
Registration with the State
Education Department
24
Reregistration of Programs wit
h
the state Education Department
24
6.2.2.
Five-Year Program Review
24
6.2.3.
Middle States Accreditation
24
6.3.
Service Area Policy
6.4.
The Provision of Academic Suppor
t
6.5.
The Academic Calendar
25
25
25
C0t*(UNITY COLLEGE BOARDS OF
TRUSTEES AND
STUDENTS
25
7.1.
7.2.
7.3.
7.4.
7.5.
Relationships with Students
25
Admission Policies and “Full
Opportunity”...
26
Retention and Dismissal Polici
es
and Practices
27
Graduation Requirements
27
Student Clubs, Organizatio
ns,
Publications, and Activity Fee
s
27
7.6.
Counseling, Health and Other
Student
Services
7.7.
Confidentiality of Studen
t Records
29
7.8.
Maintenance of Public Order
29
7.9.
Alumni Association
28
29
7.10. Alcoholic Beverages
on Campus
iii
29
8.
EGES
FINANCIAL MANAGEMENT OF CO?*WNIfl COLL
.
30
8.1.
to the
Relationship of the Boards of Trustees
sor.
Spon
State University of New York and the
30
8.2.
Preparation and Review of Budgets
31
8.2.1.
PreliminaryBudget
31
8.2.2.
Operating Budget
31
Revenue Side
State Aid
Sponsor Support
Student Tuition and Fees
Chargebacks
31
B.
Expenditure Side
32
C.
The Approval of the Budget
33
Capital Budgets
33
A.
-
-
-
8.2.3.
8.3.
8.4.
8.5.
ent
Some Special Areas of Financial Managem
and Operations
33
8.3.1.
Purchasing Procedures and Approval...
34
8.3.2.
Authorization of Travel for College
Purposes
34
8.3.3.
Acceptance of Gifts and Grants
34
Accounting, Reporting, and Analysis
34
8.4.1.
Accounting Requirements
34
8.4.2.
Reporting Requirements
35
8.4.3.
AuditingProcedures
35
36
TreasuryManagement
8.5.1.
Petty Cash Funds
36
8.5.2.
BankingProcedures
36
8.5.3.
Insurance
36
8.5.4.
Payroll
36
8.5.5.
Educational Foundations
36
iv
9.
10.
BUS INtSS MANAGEMENT RELATING TO BUILDINGS
AND GROUNDS
9.1.
Use of Facilities by Outside Organizations
9.2.
Security
9.3.
Safety and OSKA Standards
9.4.
Accessibility
37
37
37
38
LEGAL ISSUES
10.1.
37
38
The Availability of Counsel
Counsel to Trustees
Other Attorneys
The Sponsor’s Attorney
State University Office of University
Counsel and Legal Affairs
38
-
-
10.2.
Defense and Indemnification
V
39
uire real and personal property by
The boards of trustees may acq
for the purposes of the college.
gift, deed, bequest or lease
by the local sponsor in trust for
Title to real property is held
conununity college. The trustees
the uses and purposes of the
for lands, grounds, buildings and
are legally mandated to care
of all of these mandated
equipment of the college. Details
spelled out in the Code of
duties and responsibilities are Administration and Operation of
Standards and Procedures for the
ram of the State University of
Conum.tnity colleges Under the Prog
out this Guidebook, along with
New York and discussed through
s inherent in the very role of
those expectations and obligation
trusteeship.
states that coumiunity college
Furthermore, the Education Law
boards of trustees:
rm such
shall have such other powers and perfo
or
law
by
ed
vid
pro
other duties as may be
.
tees
trus
sity
ver
uni
e
prescribed by the stat
.6)
6306
(Education Law, section
l powers occurs from time to
The implementation of these residua
ibilities of the conununity
time so that some duties and respons ed in laws other than New
college boards of trustees are specifi ies are also discussed
York State’s Education Law. These dut
guidebook.
below in the appropriate sections of this
te to conrunity colleges
In practice, then, all matters that rela sity system are set
within the framework of the State Univer of Standards and
e
forth by the State University in the Cod ration of Conrunitv
Ope
and
ion
trat
inis
Procedures for the Adm
University of New York;
colleges Under the Program of the State rnal functioning of
but those matters that relate to the inte
iunity colleges are set
State University and its system of coum the presidents of the
forth from time to time in memoranda to come from the heads of
In some cases these memoranda
colleges.
Central Administration,
specific offices of State University’s
leges. These memoranda are
including the Office of Coimnunity Col
office for review by indi
usually available in each president’s
vidual trustees.
tly headed by a Deputy
The Office of Camnunity Colleges, curren
role in coordinating all
to the Chancellor, plays an important
s of the State Univer
of the shared duties and responsibilitie
The Deputy to the
.
sity and local coanunity college trustees link between the Chan
Chancellor for Conrunity Colleges is the
sidents of the col
cellor of the State University and the pre
al point where all boards
leges. This office serves as the foc
find information and help
of trustees and their presidents can
in discharginq their responsibilities.
’s Central Administration
Other offices in the State University
iew, data collection,
help with curricula development and rev
2-
financial accounting and reporting, and overall plan
ning. Thus
a unity and consistency is provided to the statewide
operations
of the total University system.
2.
COWTJNITY COLLEGE BOARDS OF TRUSTEES
ORGANIZATION, AND OPERATION
-
COMPOSITION,
Community college boards in New York State are
public entities
with powers mandated by the State’s Legisla
ture
low certain traditional organizational procedur . Trustees fol
es and operations
common to all educational governing boards.
2.1.
Appointment and Composition of Community College
Boards of Trustees
The ten-member coiwnunity college boards of trustees
have five
members appointed by their sponsor’s legislative
body, four by
the Governor of the State of New York, and one
student trustee
with voting rights who is elected by the college
’s student
government association for one year.
Some sponsors regularly
include a member of the sponsoring board or legi
slative body as
one of their appointees. Appointed trustees
serve for nine
years, with terms expiring in rotation. Renewal
of these terms
of office is allowed.
Student trustees carry the same responsibil
exercise full parliamentary privileges, and ity as other trustees,
are extended equal
benefits and courtesies as other trustees
. Their term of office
ends June 30 or if they cease to be students
at their colleges
prior to this date.
An informal opinion of the State Attorney
General has ruled that
trustees, except student trustees, are loca
l public officers and
as such must reside at the time of their appo
geographical boundaries of the local sponsor. intment within the
All vacancies due to expiration or terminati
of death or resignation should be made know on of office because
n immediately to the
State University of New York Office of
Community Colleges.
The chair of each board of trustees is
often consulted about
vacancies and replacements, and shou
ld be ready to comment upon
names submitted from various sources.
It should be recognized
that delays in the appointment process occu
r from time to time
so the burden of subcommittee work is
often increased for the
remaining trustees. Trustees whose
term of office has expired
may continue to serve until reappointed
or replaced.
An oath of office is required by State law
of all trustees with
in 30 days of appointment before any
official duties are dis
charged by them. It is customary for
thos
the Governor to receive the appropriate e trustees appointed by
forms and instructions
in the mail, along with their appointment
or renewal letters.
3
The dates and purposes of
officers.
for the purpose of electing lled out in the bylaws of each
these meetings should be spe
board.
st
coatiunity college boards of tru
Regular open meetings of the of transacting the official busi
ees are held f or the purpose usually monthly meetings but are
ness of the board. These are nths of July and August. They are
often not scheduled in the moopen Meetings Law of the State of
open to the public under the
ce, time and agenda of the meet
New York. Timely notice of pla
taken and recorded at all open
ing must be given. Votes are
an
ing money must be voted upon at
meetings. All matters regard
d.
use
be
telephone voting may not
open meeting. Proxy, mail or ry or be approved unless at least
car
No motion or resolution can
are conducted according to the
gs
etin
Me
.
cur
scri
six members con
erts Rules of Order usually pre
bylaws of the board, with Rob
the
any matter not covered by
bing the proper procedure for
bylaws.
sions
gs Law, executive (closed) ses
Under the New York Open Meetin
n the vote of the board in an
if the board may only be held upo ntify the area or topics to be
ide
‘pen meeting. The motion must sio
n and be so recorded in the
ses
ve
cuti
exe
:onsidered in the
When the executive session is
minutes of the regular meeting.
regular session prior to
finished, the board must return to
adjournment.
for the discussion of cer
Executive sessions may only be held
tain matters, namely:
public safety if disclosed;
a. matters which will imperil the
e
the identity of a law enforc
b. any matter which may disclose
ment agent or informer;
t or future investigation
c. information relating to a currenense which would imperil
or prosecution of a criminal off
sed;
effective law enforcement if disclo
pending or current
d. discussions regarding proposed,
litigation;
nt to article fourteen of the
e. collective negotiations pursua
civil service law.
or employment history of a
f. the medical, financial, credit n, or matters leading to the
particular person or corporatio
, demotion, discipline,
appointment, employment, promotion
of a particular person or
suspension, dismissal or removal
corporation;
ns;
ding or administration of examinatio
g. the preparation, gra
and
6
h. the proposed acquisition, sale or lease of real prop
erty
the proposed acquisition of securities, or sale or exch or
of securities held by such public body, but only when ange
publicity would substantially affect the value ther
eof.
Special and emergency meetings (also subject to the
Open Meet
ings Law) are held by community college boards of
trus
tees from
time to time. The rules for calling meetings mus
t be spelled
out in the bylaws of the trustees. Meetings of stand
ing and ad
hoc conunittees are also subject to the requirements
of
the Open
Meetings Law.
The news media must be notified at least one week
r to the
date of a regular meeting and notice displayed in prio
one or more
conspicuous public locations at least 72 hours befo
reha
Notice of emergency meetings must be posted as is “reas nd.
onable”
and “practicable”.
The agenda of the meetings of the board of trustees
follow the order of business set forth in the board’sshould
by-laws.
Items typically included are:
-
-
-
-
Approval of the minutes of the previous meeting
Unfinished business of the previous meeting
Reports of Standing Conunittees
Reports of Special Cotmnittees
New Business
Report of the Student Trustee
Report of the President
Report of the Chair
Other Business
Next Meeting
Adjournment
To expedite the transaction of business, som
e boards request the
president to prepare a short informational para
graph about
agenda item.
Some boards include in their meetings a brie each
f
presentation by a college staff member on
a topic of interest to
the trustees. The subject may or may not
relate to an agenda
item before the board that day.
A quorum requires that at least six trustees
be present so that
business can be transacted.
Any board action requires the
affirmative vote of at least six trustees.
Trustees who are
unable to attend meetings for any reason shou
ld inform the
board’s secretary or chair as soon as pos
sible.
Public attendance at board meetings is
permitted under the Open
Meetings Law. People wishing to make pre
are subject to the conditions established sentations to the board
by the
laws.
This usually entails making a written requboard’s by
est to the
secretary of the board at least 24 hours prio
r
to
the meeting.
In the absence of such a request, a motion
may be passed to give
visitors the opportunity to be heard.
The matter can then be
7
ge, it may be neces
appointed as trustees to represent the colle
speaking only as
at times to state clearly that they are
sary
trustees only when
private citizens. Trustees speak for
Requests for informa
d.
boar
e
entir
authorized to do so by the
red to the chair
be
refer
s
time
all
tion and opinions should at
college president.
to
the
er
matt
of the board, who may refer the
comnunity
d
New York’s Freedom of Information Law has impose uponand factual
l
stica
iding
stati
prov
colleges the responsibility of
ic upon request and in
data and other public records to the publ
The intricacies of
know.”
keeping with the pubLic’s “right to
y’s Office of
ersit
this law have been explained by State Univ
of information
s
serie
University Counsel and Legal Affairs in a
an administra
to
al memoranda to presidents and should be left
tor of the college for implementation.
ees’ responsibil
-Political action is not unrelated to the trust
between the
ities to develop and preserve good relationships
it is more than
college and its various constituencies. Yet, between elected
merely creating an atmosphere of understanding
ees should
officials and the college. On the one hand, trust ularities at
attempt to protect the college from political irreg watchful,
both the State and local levels. Trustees should be and of
therefore, for any infringement of their own rights local
academic freedom because of the actions of State and
ees
elected officials. On the other hand, the boards of trust
int
are themselves part of a political process. Trustee appo
.
vacuum
a
in
made
not
are
ds
boar
ge
ments to the connun.ity colle
their
Furthermore, trustees rely on the State Legislature and
ge.
colle
the
sponsor for financial support for
tation
The continuing education of board members and the orien
r
impo
are
ges
colle
unity
of new board members about their conr
as
is
s
issue
ation
educ
er
tant matters. Keeping current on high
a
educ
al
ssion
profe
for
necessary for lay board members as it is
and
laws
ng
changi
tors. The need to be cognizant of rapidly
trustees’
other requirements that affect higher education and
tution.
insti
the
work is required for the very protection of
-
tiveness
A number of organizations help to further trustee effec ongoing
on
an
and trustee knowledge of coxmnunity college affairs
basis.
-The Association of Boards of Trustees of Conuxiunity
Colleges of the State University of New York (ABC).
Its aims are:
e,
To promote discussion and study of the administrativ
ges.
colle
nity
conunu
of
academic, and local problems
To enhance the role and function of SullY’s corrutunity
colleges.
10
To stimulate interest in, encourage the advancem
ent
of, and improve the quality of education provided
by
these colleges.
The Association hosts an annual fall conference
and with
the Of fice of Convnunity Colleges designs orie
ntat
grams for new trustees. It serves as a means of ion pro
the further education and understanding of trus promoting
tees as
active and effective board members. Partici
pation in ABC
meetings and workshops is, therefore, encourag
ed. Members
who attend ABC meetings report on them to the
full board.
The Association’s Newsletter is distributed
reg
all board members by the Association’s executiveularly to
director.
The Association of Community College Trustees
designed to help trustees of two—year institution(ACCT) is
s in the
nation to fulfill their responsibilities. Its
Trustee
Quarterly provides “down to earth” articles on the
trustees, especially their relationships with presi role of
dent and
constituency groups.
-
-The Association of Governing Boards (AGE), also
association, has a number of pocket publication a national
s, hand
books, and reports that can provide trustees
with
valuable
insights into the nature of trusteeship.
-The American Association of Conmiunity and
Junior Colleges
(AACJC) is a national organization of publ
ic
and private
two-year colleges. It publishes the Con
uunity College
Journal and the Federal Focus, a companion
to the weekly
AACJC Letter.
It also has a newspaper entitled the AACJC
Times.
The national higher education newspaper, The
Chronicle of
Higher Education, is often considered “mu
st” reading.
-Self-evaluation should be undertaken reg
ularly by boards of
trustees in order to assess the level
of board achievement and
their own individual contributions to the
ees have a responsibility to conduct regu board’s work. Trust
lar evaluations of
themselves in addition to evaluating
the performance of the
president, the adequacy of the administ
ration, and the progress
made in achieving the college’s goals and
objectives. Trustee
self-evaluations can be beneficial beca
use board performance is
generally
improved as a result.
As the public has the right to expect exce
llence from those
entrusted with the leadership of thei
r institutions, everything
a board can do to develop a clearer unde
and responsibility is to be encouraged. rstanding of its role
A trustee subcommittee could be appointed
ate an assessment of the board’s work and by the chair to initi
to determine the
11
organiza
terials to be used. National
methods and self-study ma colleges, or outside consultants may
tions, trustees from other
be helpful here.
be conducted in various ways:
Boar4 self-evaluations can
r meeting for this purpose;
using some part of a regula
retreat;
holding a special meeting or
design a custom-made
using trustee co-leaders to
evaluation process;
-
-
-using outside facilitators.
for
and questionnaires are available
Various prepared checklists cesses. They include:
pro
use in trustee evaluation
ing Boards of Ccnrunity
Self Study Criteria for Govern
of Governing Boards. This
Colleaes from the Association requiring “Yes/No” answers
instrument contains questions
concern, ranging from the
covering ten areas of trustee
ns; and
college’s mission to staff relatio
ociation of Governing
Trustee Audit, also from the Ass igned to help individ
des
Boards. This questionnaire is
to which they have
ent
ext
the
ess
ual trustees ass
of their roles.”
“absorbed the breadth and depth
leges are expected to develop
-Role in Planning. Conrunity col iversity’s required five-year
Un
plans in conjunction with State the Middle States’ reaffirma
of
program reviews and as a part
ected to develop
Corrunity colleges are also exp
tion process.
is.
enrollment plans on an annual bas
se Statewide efforts, of which
Trustees should be aware of the
sh” academic and support
their colleges are a part, to “me nission process in a sequence
sub
programs with the annual budget
tion of state funding and the
ina
erm
det
ter
bet
h
bot
that ensures
.
proper allocation of resources
ing see:
For further details and further read
te
es of Conrunity Colleges of Sta
Association of Boards of Truste
aws, Article U.
University of New York. ABC Byl
ers Law, Article 6 (Freedom of
State of New York. Public Offic
Information Law).
Chapter 6, “Assessing Trustee
Ingram, Richard T., et al.
pter 17, “Contending with
Orientation and Development”; Cha ”; and Chapter 18, “Studying
ity
Conflicts of Interest and Liabil
of College and University
ok
dbo
Han
in
s,”
nes
Board Effective
San Francisco, 1980.
Trusteeship.
12
4.
COtUUNITY COLLEGE BOARDS OF TRUSTEES
AND THE PRESIDENT
4.1. president/Trustee Relationships
The effective operation of a community
the combined effort and cormnitment of college does in fact take
board, making good working relationsh the president and the
between them essential
for this task. The key to this good ips
wor
kin
g relationship
depends upon careful selection by the
trustees of the president
and, secondly, upon a clear understand
ing by the president’s
role.
Good working relationships between the
as part-time volunteers responsible for local board of trustees,
ing the college toward its educational policy-making and guid
goals, and the college
president, as a full-time professio
nal and the chief administra
tive officer who is responsible for ach
ieving the goals of the
institution, are crucial for the suc
cess of the college. Good
relationships do not just happen. The
y have to be consciously
pursued as a desired goal.
Trustees and the president should
with unexpected actions or announ avoid surprising each other
cements. They need to
understand fully each other’s rol
e
given with complete understanding so that mutual support can be
, either publicly or privately.
Formal channels of coimuunication
should be developed and used.
A helpful way of building rappor
interactions which occur at the t is through informal
many campus and coimnunity events
that are attended by the presid
ent and the trustees.
4.2. Selection of a President
The trustees’ legal mandate to
appoint a president, subject to
the approval of the State Unive
rsity Board of Trustees, is
usually considered the single
most important responsibility of
the local board.
As soon as possible after the int
ention of a president to resign
or retire is known or a vacancy
occ
urs for any reason, the Cha
cellor and the Deputy to the
Chancellor for Conrunity College n
s
must be notified.
While it is generally understood
should begin with an analysis of that presidential searches
and goals rather than a list of institutional issues, needs,
qualities thought to be neces
sary for administrative leadershi
p, it is also recognized tha
no search can be done in a hurry
t
applicants. A combination of sea or be limited to volunteer
may need to be established. It rch and screening committees
that consultation on these matteris vitally important, therefore,
the Chancellor for Conununity Col s be held with the Deputy to
leges, whose office will pro
procedures on presidential sea
vid
rches and a staff member to wor e
with the search coninittee.
k
13
4.3.
Duties of a President
the college
The contuu.nity college president is responsible to
trustees for:
providing general educational leadership and for
promoting the educational effectiveness of the
institution in all its aspects.
The duties of the president are to:
carry out, execute, and administer all policies
of the college trustees and the State University
trustees;
formulate and present to the college trustees, for
their action, reconrendations on:
(1) curriculum;
(2) budgets;
(3) salary schedules and salaries;
(4) personnel appointments, promotions,
retention, and retrenchment;
zational structure;
organi
(5)
and management of facilities; and
ng
(6) planni
degrees or certificates:...
of
g
(7) grantin
n
604.3)
Sectio
(Code,
The president is also required to administer collective bargain
ing agreements, submit annual reports on the operation of the
college to the trustees and “such other reports as the college
(Code,
trustees or State University of New York may require.”
section 604.3)
as
The president must assure that a faculty handbook is prepared
of
ce
guidan
and
tion
orienta
the
for
well as the documents needed
of
Code
the
in
forth
set
are
students. All of these duties
Standards and Procedures for the Administration and Operation of
New
Community Colleges Under the Program of State University of
York.
Trustees should clearly inform the president of the duties of
the office, spelling out the specific meaning of the job descrip
tion. Presidents, on the other hand, should develop effective
channels of conriunication with the chair, as the board’s spokes
person who should be kept well informed by the president. All
suggestions from a president need to be given full consideration
and deliberation by the board.
4.4.
The President’s Term of Office
Presidents are conunonly given multi-year employment contracts.
Each year SUllY Central conducts a study of presidential compen
The study is
sation in which contract terms are included.
shared with board chairs and presidents.
14
4.5.
Presidential Evaluation Proc
esses
There is no single agreed-u
po
process of evaluating the pe n mechanism for the important
rformance of a college
president.
The purpose of any evaluation
process is to help to im
performance of the presiden
prove the
t and thus of the insti
tution.
Some of the ways in which pr
esidential evaluations
include:
are conducted
using self-assessments that
are periodically submitt
the president, indicating pro
ed by
gress in achieving the
and objectives set by the
goals
trustees;
using appraisal forms prepa
from other educational agenred by the trustees or obtained
cies such as the ACCT and
pleted by all trustees on
com
a regularly-scheduled ba
sis;
conducting a continuous rev
iew of the college and
of the president. This
the work
co
of confidence in the pre uld result in an occasional vote
when special support is sident by the trustees, especially
appraisals, trustees sen needed and when, through their own
se the value of giving add
to the president’s efforts
ed support
in dealing with difficult
issues;
carefully reviewing SUNY
the State Education Depa Program Review reports, reports of
visits, independent and rtment on program reregistration
State audit reports, and
States’ reports; and
Middle
-
-
-
-
-
a combination of the abov
e.
It is recognized that ve
is not appraised by the ry little is done by the president that
constituencies of vario college connunity and even by local
of the trustees, whose us kinds. Much of this reaches the ears
role it is to sift the go
significant facts, to de
ssip from the
dures for presidential termine the objectivity of their proce
between formal and inf evaluations and the proper balance needed
orm
ly to determine their de al mechanisms in this regard, and final
gree of satisfaction with
the president.
5.
COt*(UNITY COLLEGE BOAR
DS OF TRUSTEES AND PER
SONNEL
MANAGEMENT
Trustees have legal resp
of staff in the professioonsibilities relating to the appointment
Trustees are required to nal and nonprofessional services.
formulate and record al
policies.
l personnel
15
Nonprofessional Service
Making Professional and
Appointments
legal
College Boards of Trustees are
nity
unu
Con
y
rsit
ive
t
Un
State
te to the president the appoin
ega
del
or
t
oin
app
to
ed
profes
ly requir
the college staff, both in the
ment of other members of fessional services, as explained below.
sional and in the nonpro
vice
t part of the unclassified ser r
tha
is
e
vic
ser
nal
sio
fes
the pe
The pro
lude all positions requiring
of Civil Service which incfunctions” in the academic and techni
ucational
5.1.
admini
formance of “ed
and student services, academic the
cal disciplines, library
out
ry
car
professions required to
in the
stration and in “other
lege.” All other positions are
selec
e
work of the conrnunity col
vic
Ser
il
are subject to Civ
nonprofessional service and ures.
ced
tion and appointment pro
ir
generally have delegated to the
as
ff
Conrunity college trustees
sta
nal
selecting professio
the
college president the duty of
ing
ain
the college while ret
administrators and faculty forappointment to full-time position
right to formalize all final nonprofessional services, College
in both the professional andthe president’ s recairendations and
ec
trustees rely heavily upon
se matters. Likewise, the sel
professional judgments in thefor appointment is made by the presi
tion of faculty reconrended with appropriate academic officers
dent following consultation
accepted academic manner, and
and faculty coirittees in the best qualified appointee.
following searches to find the
ine all positions needed in the
Boards of trustees must determ runity college, giving an appro
si
professional service of the con
ition. Again, it is the pre
pos
ed
pos
pro
the
for
le
tit
olu
priate
ed upon. The resulting res
dent’s recormuendation that is act
Chancellor of State University,s
tion is then suuitted to the tha
t includes the qualification
along with a job description Chancellor’s approval of the new
desired. Upon receipt of thessioner of Civil Service is notified
position, the county’s Conri
included in the conrunity
nal
and the new title henceforth is
ed position in the professiovice
college’s budget as an unclassifi
ser
nal
sio
s in existing profes
service of the college. Change
d by trustee action, using the
titles must likewise be determineserves as an official channel of
above procedure. The president and the Chancellor on these
conununication with the trustees
matters.
vice
loyees selected under Civil Sert
Furthermore, Civil Service emp
competitive classes of employmen or
rules in competitive and non
to the staff by trustee action
are also officially appointed sid
ent of this responsibility.
through delegation to the pre
16
5.2.
Formulating Personnel Policies for
Effective
Personnel Administration
The Code of Standards and Procedures
Operation of Coiununity Colleges Und for the Administration and
University of New York requires thater the Program of State
late and record the policies and pro the college trustees formu
cedures of appointment for
professional personnel.
Among the personnel policies and
procedures specifically
required by the Code are:
Ci) appointments, promotions and dismi
ssals of
faculty members;
(ii) conditions of employment, leaves
of absence
and sabbatical leave;
(iii) rules and regulations to which
faculty are
expected to adhere;
(iv) statements regarding academic
freedom; and
(v) subject to local and State civ
il service
regulations, the working condit
ion
academic personnel and fixed rates s for nonof
compensation.
(Code, Section 604.2(b)(l))
This is a policy-making functio
n. To accomplish it properly,
the trustees should know the pur
and see that it is then implem pose of each policy they develop
ented fairly within the institu
tion. However, it must also be
rights of trustees to establish recognized that the traditional
faculty/stat f connittees as con personnel policies, using
sultative bodies, must be carrie
out in the context of Federal
and State laws, including equal d
opportunity and collective bar
gaining legislation. See sectio
5.3. and 5.4. below.
ns
Trustees rely heavily upon the
detailed help in developing all colleges administration for
personnel policies.
Major personnel policies develop
ed by trustees are as follows:
1. Promotion
2, Continuing appointment
3. Evaluation
4. Dismissal and termination
5. Retirement
6. Rehiring of retired staff
7. Leaves of absence
8. Sabbatical leaves
9. Academic freedom
10. Outside employment
17
th
of nonacademic staff are set for
s
tter
ma
t
men
loy
emp
tions of the
Personnel
il Service Law and the regula
matters are
ese
in New York State’s Civ
Th
.
Service of each county
ents
tlem
Coninjssioner of Civil
d
set
ate
ious locally-negoti
further elaborated by var jor personnel policies applicable to
across the State. The maeach conmiunity college need to be set
the nonacademic staff at oks, both for periodic board of
forth in personnel handbo use by the college’s staff.
trustees’ review and ready
Policies for Effective Personnel
5.3. Recording Personnel
Management
loyment of
record the conditions of emp
Boards of trustees must
fessional staff.
the president and all pro
board
are the best way to transmit handbooks
oks
dbo
han
aff
/st
lty
cu
Fa
professional staff. These
h law or
policies to the college’s
and should not conflict wit bargain
e
dat
to
up
t
kep
be
uld
sho
her through the collective
with procedures conveyed eit practice. Proper citation of all
t
ing process or through pas the policies should be given so that
g
atin
ok
board resolutions cre
out clearly-from other handbo
nd
sta
ies
lic
po
s
rd’
boa
the
matters.
A policy
policies regularly.
Trustees should review their a review of handbooks and the
review is often triggered by
Such reviews
e action program.
ativ
irm
aff
the
of
g
atin
upd
ies
annual
the results of their polic ing
or
nit
mo
to
es
ste
tru
the
p
achiev
can hel
t the policies are indeed
and to satisfy themselves tha
their purpose.
tion and Other Aspects
Complying with Affirmative Ac
5.4.
of Personnel Management
5.4.1.
Affirmative Action Planning
equal
ns set forth provisions for
Affirmative action program pla , salary advancement, promotion,
employment opportunity in hiring keeping with State and Federal
in
ls
and all aspects of employment
orders. Both plans and goa
ive
cut
exe
,
and
ns
r
ive
laws, regulatio
Un
h the policies of State
follow a pattern consistent wit Of f ice of Affirmative Action.
sity and the guidelines of its
s start with board policies of
All affirmative action effort e, creed, religion, national
nondiscrimination regarding rac
status
Physical disability and marital
origin, age and sex.
be con
not
may
t
tha
s
t of factor
lis
the
to
ed
add
n
bee
now
e
is a
hav
isions. Sexual harassment
dec
t
men
loy
emp
g
kin
ma
in
d
lace
sidere
which has no place in the workpthese
form of sex discrimination ic
on
ies
lic
programs. Board po
or in the college’s academ
inated on campus.
sem
matters should be widely dis
18
Boards of trustees are required to approv
e a grievance mechanism
for the internal handling of discrimination
dents, faculty, and professional and nonpro complaints by stu
use of an internal procedure can prevent thefessional staff. The
agony of off-campus
actions and even court determinations wher
e
disp
arate trea
standards prevail.
Some conmiunity colleges have adopted tment
a proce
dure similar to the State university’s inte
rna
l
pro
ced
ure
s
using
a tripartite panel, with one member cho
sen by the president, one
by the grievant, and a third, who chairs the
panel, chosen by
the two designees.
Trustees should recognize that the possibi
lity of complaints and
grievances arising from decisions regard
ing hiring, promotion,
tenure, etc., is ever present at the coll
ege and ultimately may
involve the board of trustees itself. Emp
loyees can file claims
with the New York State Division of Hum
an Rights, the Federal
Equal Employment Opportunity Conmiission, and
the courts.
For further details on all matters reg
ard
affirmative action, the SUNY Affirmative ing discrimination and
Action Office should be
contacted.
5.4.2.
Other Aspects of Personnel Management
Nepotism is sometimes an issue of concern
in
tion.
Under Executive Orders and Title VII college administra
of the Civil Rights
Act of 1964 as amended by the Equal
Employment Opportunity Act
of 1972, policies and practices which
restrict the employment of
spouses are discriminatory and are
pro
hibited. Thus the State
University of New York has no anti
-nepotism policy. When appli
cants or employees are spouses and
are
they cannot be prohibited from workin qualified for positions,
g in the same college or
the same department as long as one
is
not evaluated by the
other. However, New York courts
and the State Comptroller have
pointed out that the employment of
relatives is often controver
sial, creating at least the impress
ion
of impropriety. There
fore, potential employment situatio
ns involving nepotism require
continuous monitoring and careful han
dling by the trustees and
the college.
Faculty/staff development programs are
nel management that is of special int another aspect of person
erest to trustees because
staff development programs are clai
med to be the keystone of
effective personnel management.
The
regulations require that opportuniti Conrnissioner of Education’s
es for faculty professional
development exist.
Some examples of professional sta
ff development adtivities are:
special campus or agency training
programs
conference participation
educational leaves
sabbatical leaves
grants from public and private age
ncies.
-
-
-
-
-
19
s area in
made innovative demands in thi advancing
n
ba
ons
uni
pus
cam
e
Som
for their members, thereby
ts
efi
ben
n
gai
to
ort
eff
an
. Trustees should know
of the institution
judge more
the educational mission
development program so as to .
ff
sta
h
eac
of
e
pos
pur
the
furthering staff development
effectively its success in
rgaining of Terms and
5.5. Handlirw Collective Ba
Condittons of Employment
yees
ally known as the Public Emplo
ici
off
,
Law
r
ylo
Ta
7
196
repre
The
the right of organization and lic
es
giv
,
Act
ent
ym
plo
Em
Fair
lic employment. It requires pub
sentation to those in pub h, and enter into written agreements
e 14,
employers “to negotiate wit
..” (Civil Service Law, Articl
with employee orqaizizations.
Section 200).
ining who
play a direct role in determ ation are
Boards of trustees d.o not nt.
ent
res
rep
ut
Conflicts abo
will be the bargaining age yment Relations Board (PERB). Trustees
plo
does so
handled by the Public Em
resolution and the sponsor
by
ons
uni
pus
cam
nonprofes
recognize
the
,
all
but not
In most cannunity colleges, Civil Service bargaining
likewise.
county’s
sional staff are part of the tive staff may be in the same bar
Faculty and administra
g
unit.
s. The pattern of bargainin
gaining unit or it separate one some cases the faculty’s recog
In
varies throughout the State.
county, in sane cases with the nty
the
h
wit
ns
gai
cou
nized union bar
e cases with a combination of
e
board of trustees, and In som
hav
es
A few conrunity colleg
nd
and trustee representatives.
on negotiation teams. The tre
trustees participating directly in professional labor/management
seems to be that campuses bring
negotiators.
ions
gaining of “terms and condit
or
The Taylor Law reqa.ires the bar
has specific meaning in lab
of employrnent,’ and this phrase a mandatory, nonmandatory or
law. Any question as to what is uld be referred to campus
sho
permissive topic of bargaining
administrators.
often employed for collective
Special labor negotiators areent of a chief negotiator, whether
bargaining, but the appointm
sponsor, requires considerableitems
made by the trustee or by the
uld any trustee discuss
sho
thought and advice. At no time with anyone other than the presi
placed on the bargaining table es. To do so leads to undermin
ste
dent, negotiator or other tru
A general pattern is visible
team.
g
nin
gai
bar
e’s
ing the colleg
the terms of the settlements
in the topics bargained arid iniations in detail among the connnu
made, but there are great var
inf or
Connunity Colleges can give
nity colleges. The Of fice of
plying sample contracts and
mation on these rmatters by sup , as well as up-to-date informa
use
special clauses currently in
tion on mediators.
20
All union contracts contain procedure
grievances arising under the terms of s for hearing complaints and
Contract grievances invariably include the negotiated agreement.
informal first steps and
usually end with binding arbitration
det
ermined by an outside
party.
The personnel policies of the profes
unionized- those designated as managsional staff who are not
only confidential--must still be est erial and confidential or
board of trustees. Most boards ext ablished by the college’s
end newly-negotiated benefits
to the non-union staff.
-
6.
CO?*UNITY COLLEGE BOARDS OF TRUSTEES
MD THE ACADEMIC PROGRAM
State University conununity Colleg
e
inherent responsibility to oversee Boards of Trustees have the
academic program at their colleges, the proper development of the
subject to the guidance and
approval of the State University. How
ever, the implementation of
academic policies and the maintenanc
e
of
academic standards are
the role of the college administra
tio
n
and
faculty. Thus the
rules of the Conriissioner of Educa
tion state:
within the authority of its govern
ing board, the
institution shall provide that
overall educational
policy and its implementation are
the responsibility
of the institution’s faculty
and academic officers.
Other appropriate segments of the
institutional
conununity may share in this res
pon
sibility in
accordance with the norms develo
ped
by each
institution.
(Code, Section 52.2(e)(2))
6.1.
The Establishment of the Curric
ula
New York State Education Law
provides that:
The boards of trustees of each
shall adopt curricula, subjec conuuunity college
the state university truste t to the approval of
es.... (Education Law,
Section 6306.2)
These two-year college programs
are required to be post-high
school in nature:
combining general education wit
education relating to the occ h technical
the conrunity, area or conrunupational needs of
ity college region
in which the college is locate
d and those of the
state and the nation genera
lly.
(Education Law, Section 630
3.1)
21
6.2.
icula
The Monitoring and Evaluation of the Curr
seeing that their
Trustees should play an oversight role in State Education
and
college complies with State University
and that proper selfents
irem
requ
Department program review
by the college for
study procedures are developed and used
ion.
ditat
accre
of
Middle States reaffirmation
6.2.1.
Reregistration of Programs with the State
Education Department
Education
Reregistration of degree programs with the State
registration.
of
s
ition
cond
the
Department occurs as required by
State
the
from
team
Campus visits may be made by a staff
degrees awarded,
Education Department. The enrollment patterns,
facilities used
the
and
ed,
faculty qualifications, courses offer
are subject to close review.
6.2.2.
Five-Year Program Review
the review of
State University has established guidelines for t is to keep
all curricula over a five-year.period. The inten
those programs no
all curricula up to date and to discontinue
effective basis.
longer serving an adequate function on a cost- developed in
State university suggests that campus plans be
and as part of
conjunction with these five-year program reviews
Middle States accreditation procedures.
extensive
The elimination of an academic program requires
University’s
review. The procedures are set forth in the State
7, on
June 24, 1983 Memorandum to Presidents, Vol. 83, No. uance of
ontin
Disc
or
ion
and/
tivat
“Revised Procedures for Deac
Academic Programs.”
6.2.3.
Middle States Accreditation
is a non
The Middle States Association of Colleges and Schools
er
high
and
y,
ndar
seco
profit association serving elementary,
and
ation
evalu
y,
stud
of
education institutions through programs
to
ies
appl
ion
ditat
accreditation. Middle States regional accre
tenately
oxim
appr
the entire college, and it is reaffirmed in
each college
year intervals. The reaffirmation process provides
s, and
goal
with the opportunity to review its own concepts,
n by a
give
operations in the light of professional criticism
A campus self-study is undertaken
visiting team of educators.
It is essentially a planning process in which
for this purpose.
s and
the present status of the college is assessed, new goal es reaf
edur
proc
and
ies
polic
ing
directions developed, and exist
of this
firmed or changed. The board of trustees must be a part In
ents.
vem
achie
and
s
self-evaluation of the college’s goal
addition, a member of State University’s Of f ice of Cozmnunity
team
Colleges serves as a resource person to the Middle States
24
to provide expertise on State pro
cedural matters and to
questions from the team’s visit
ing members who invariab answer
from different states.
ly are
6.3.
service Area Policy
Community colleges may provid
sponsorship area to qualifie e educational services beyond their
d
pate in the operations of an local sponsors wishing to partici
existing coimnunity colle
agreement can be developed
ge. An
by the college’s board of
and local sponsor. Guidelin
es and procedures for th trustees
able from the State Universi
is are avail
ty.
6.4.
The Provision of Academic Su
pport
It is widely recognized that
the
is far broader than its curricu college’s educational program
tional media and other equipm la alone. The library, instruc
parts of the academic program.ent are supportive and necessary
Trustees should see
quate consideration is giv
en to the above factors in that ade
lege’s budgetary process.
the col
6.5.
The Academic Calendar
The length of the college
Conmzissioner of Education
lines for the development
Thirty weeks are provided
year is governed by regula
and follows State Universi tions of the
of campus instructional caty guide
f or instruction and exam lendars.
inations.
No classes or examinatio
ns should be scheduled on
holidays. Such holidays
are required by law to be religious
the college’s catalog.
Once the calendar is caref identified in
accurately established,
ully and
classes should be held
the regular functions
on
schedule and
of the campus maintained.
In all of this, the tru
ste
role, leaving the opera es play an oversight and supportive
tional requirements to the
administration.
college’s
7•
COIUNITY COLLEGE BOARDS
OF TRUSTEES AND STUDENT
S
Policies pertaining to stu
trustees’ policy manual. dents should be included in the
They should be revised
with the advice of the
as necessary
internal governance sy
stem.
7.1. Trustees’ Relation
ship to Students
As a matter of general
pr
under the concept of in actice, trustees no longer operate
loco parentis, recogniz
students have the same
ing instead that
rights and responsibili
citizens.
ties as other
Some boards of trustees
have endorsed, therefore
“Joint Statement on Ri
, the 1967
ghts and Freedoms of St
udents” prepared by
25
an Association of University Profes
representatives of the Americ
dent Association, the Association of
sors, the U.S. National StuNational Association of Women Deans
American Colleges, and the
nt recognizes that students should
and Counselors. This stateme
ion and protection from improper
be allowed freedom of express er disclosure of information about
academic evaluation and improp
others.
them by faculty, counselors, and
ents occur for the most part
Contact between trustees and stud
sponsored dinners, shows, and
through informal events such as
Even so, the strongest relationship
lectures held on campus.
is through the student trustee.
that trustees have with students
icial line of conununication
This student serves as the off
students. The student trustee
between the trustees and the
ent activities and the operation
keeps trustees informed of stud generally available at the
of student services and programs
college.
ll Opportunity”
7.2. Admission Policies and “Fu
hoards to trustees to:
The Code of Standards requires
the professional
establish policies and delegate to for
administrative staff responsibility section 604.2 (b)(7))
(Code,
.
.
admission of students
nsor may, under State law,
Each board of trustees and local spo admission plans based on an
”
jointly implement “full opportunity
ission into appropriate
adm
agreement that “full opportunity”
programs of the college will be open:
nsorship area
to all applicants residing in the spo
the prior
hin
wit
who graduated from high school
ool graduates
sch
h
year and to applicants who are hig
h the
wit
y
dut
and who were released from active
prior
the
hin
wit
armed forces of the United States
))
a)(i
(Education Law, Section 6304.l(
year.
is “based on the qualifi
Furthermore, admission to the college
t regard to race, color, sex,
cations of the applicant. . .withou
in.” The college publish
age, religion, creed, or national orig
applicants may know of the
es “admission procedures so that all uirements of the
req
policies, standards and admission
.2)
605
tion
(Code, Sec
institution.”
of the Code of Standards
These nondiscriminatory requirements
condition of handicap
comply with State and Federal law. The to an educational
on
alone may not be used to deny admissi
program.
possible at all contnunity
Admission to part-time degree study is g the cut-off point for
kin
colleges, with 12 credits or more mar
e colleges have estab
Som
ent.
stud
e
-tim
full
designation as a
rently-enrolled high
lished early admission programs for cur
26
school students who, under certain conditions
, may take credit
courses at the college
Cross-registration of students wit
h
other colleges, both public and private, foll
ows State Univer
sity’s guidelines on this matter.
A number of conuunity colleges participat
e in the activities of
State University’s Application
s Pro
sing Center which provides
University-wide application receip ces
and
t
how to enroll in the cournunity college handling. Details on
the college’s catalog, along with req should be set forth in
with advanced standing, taking proficiuirements for admission
credit for learning gained from life ency tests, and obtaining
experiences.
Details of all financial aid programs availab
le at the college
should be outlined in the college’s cat
alo
g.
Also, the stan
dards of academic progress necessary for
stud
ents
to maintain
eligibility for certain State and Federal
fin
anc
ial
aid awards
must be included.
7.3.
Retention and Dismissal Policies and Pra
ctices
All conrnunity colleges have carefully dev
student work, calculating cumulative gra ised systems of grading
the standards applicable to academic prode point averages, and
tion may include constraints upon a stu bation. Academic proba
activities with an intent to encourage dent’s extracurricular
greater effort to meet
the required academic standards of
suc
ces
s. Trustees may not
need to know all the intricacies of
thes
e
academic procedures,
but they should be aware of their
imp
act
on
student learning and
upon student withdrawal or dismissa
l from the college.
7.4. Graduation Requirements
The authorization to confer degrees
tion Department and the Board of Regcomes from the State Educa
program is registered, after approv ents at the time the degree
faculty and college administratio al by the SUNY Trustees. The
the Associate in Arts, Associate n recoriunend the candidates for
in Science, Associate in
Applied Science and Associate in Occ
and for certificates. Requirements upational Studies degrees
spelled out in the college catalog. for all degrees must be
The trustees must “provide for the
diplomas, and the conferring of appawarding of certificates and
mendation of the president and the ropriate degrees on the recom
faculty.” (Code, Section
604.2)
7,5.
Student Clubs. Organizations, Activ
ity Fees and
Publications
Host conununity colleges have stud
with constitutions approved by theent government organizations
local trustees. Student
clubs are officially established
by the student government and
27
ity funds to provide cul
can receive support from student activ as an adjunct to the
es
tural, athletic, and social activiti
ess.
formal educational proc
the trustees and collected
Student activity fees are approved by budget allocates the funds
A student government
by the college.
after approval by the
to the student clubs and organizations
following:
college. Trustees should be aware of the
Title IX are
Athletics. Intercollegiate athletics under
Separate
of sex.
basis
the
on
tory
required to be nondiscrimina
in interscholastic,
teams for members of each sex are permitted
if the selection
tics
athle
l
intercollegiate, club or intramura
activity is a
the
or
l
skil
ive
of the teams is based on competit
l. Equip
etbal
bask
or
all
“contact sport” such as hockey, footb
pensation
com
and
ces,
servi
s,
ment, supplies, training facilitie
in
ined
exam
be
t
mus
that
s
of coaches are the kinds of thing
.
rams
prog
etic
athl
in
s
determining if equal opportunity exist
generally enjoy freedom
Publications. Most student publications
expected to promote
of the press status. Faculty advisors are
newspaper editors.
impartial and balanced reporting by student publishing libelous
The conventions of decency and care in not
ld know what publi
material need to be followed. Trustees shou
cations are being produced by students.
national
Affiliation of local student organizations with itted by the
organizations. This kind of affiliation is perm
provided that
State University (sororities and fraternities),
restrictive on
membership in the national organization is not age, or dis
the basis of race, creed, national origin, sex,
charter these
ability. Local boards may or may not wish to
.
uses
organizations on their camp
7.6.
Counseling. Health and Other Student Services
ees and local
Under the Full Opportunity Law, the board of trust rams of reme
prog
uate
adeq
sponsor are required to “provide for
needs of all
diation, instruction and counselling to meet the
Law, Section
n
catio
(Edu
students to be served by the college.”
6304.1(a) (iv))
full- and partExtensive counseling and advisement services to
students
ing
help
time students have been widely established,
tion of
with personal and educational problems and the selec
courses needed to meet degree requirements.
lishment of
Many boards of trustees have also approved the estab
rams for
health services, child care centers, orientation prog
for the
ces
servi
ial
spec
and
nts,
new students and their pare
disabled.
28
All of these items should be set
related documents for the orientatforth in student handbooks and
ion and guidance of students
attending the college.
7.7.
confidentiality of Student Re
cords
Both the State University of New
York and the Conmiissioner
Education require that academ
of
ic
rec
ords of all students be kep
permanently.
t
Under the Family
Act of 1974 (Buckley Amendmen Educational Rights and Privacy
t), former and current stu
dent
records may not be released withou
t student consent, and stu
dents have the right to review
their educational records.
Policies on reviewing folders,
for
sary, correcting entries, and res challenging and, if neces
trictions on the release
personally-identifiable record
s are developed by the col of
lege
for approval by the trustees.
Directory information relating
to students can only be rel
eased
if students are informed of the
disclosed and the students the categories of information to be
withhold permission. This resmselves have the opportunity to
triction does not apply to in
campus reporting of student
tra
dat
York, nor does it apply to age a to the State University of New
by law to review student rec ncies and individuals authorized
ords.
7.8.
Maintenance of Public Order
Every board of trustees is
Education Law to have avail required by the State of New York’s
ab
prepared statement on the ma le in the president’s office a
statement, which defines the intenance of order on campus. The
nature of a disruption and
conduct that is prohibite
d, should be published in the the
handbook, and also in the
faculty handbook for the inf student
ormation
of all instructional staff.
A procedure is provided for
dents who are charged with
stu
violations and are subject
plinary actions.
to disci
7.9.
Alumni Association
Most boards of trustees hav
e approved and otherwise enc
the establishment of alumn
ouraged
i
associations.
Graduates of degree
and certificate programs,
and students who leave aft
ting a given number of cre
er comple
dit
tion membership at most cot s are eligible for alumni associa
rinunity college campuses.
ties of these association
The activi
s include reunions, news
letters, award
dinners, and efforts to rai
se funds for special purpos
college. Some scholarships
es of the
dents to help theni continue maybe awarded to graduating stu
their education. Alumni
tions, which can provide con
associa
uuu
college, are becoming a growin nity and fiscal support for the
g resource of convnunity colle
Trustees are encouraged to
ges.
help this development.
29
7.10.
Alcoholic Beverages on Campus
have established policies govern
Most conrunity college trustees
on campus. These policies
ing the use of alcoholic beverages
edure for the serving of
generally provide an application proc
nts. The places where alco
alcoholic beverages at college eve
ed, and a joint staff/stu
holic beverages may be served are statblished to implement this
dent advisory convnittee is often esta
policy.
8.
EGES
FINANCIAL MMAGEZ4ENT OF CO)QUNIfl COLL
iunity colleges have signifi
The boards of trustees of the conm
l and business operations
cant responsibilities for the financia
of their colleges.
resources are obtained and
Trustees are concerned that adequate ely and efficiently in
ctiv
that these resources are used effe
Specific requirements
ege.
coll
carrying out the purposes of the
ng fund are found in the
for dealing with the college’s operati
s and Procedures for the
Education Law, in the Code of Standard
ity Colleges Under the
Administration and Operation of the Coninun and the state Univer
York
Program of the State University of New
ness Of ficers..”
sity’s “Manual for Conununity College Busi
with the details of
Although trustees are not normally involved to be sufficiently
the college’s business operations, they need handle intelligent
cognizant of major fiscal matters in order to they are a part and
h
ly the budget authorization process of whic e from carrying out
com
that
orts
rep
l
ncia
fina
to comprehend the
the budget plans.
8.1.
to the
Relationship of the Boards of Trustees
State University of New York and the Sponsor
of trustees to the
The relationship of conmiunity college boards etary matters is a
State University’s Board of Trustees on budg
bed by the State
close one. Standards and regulations prescri
or financing the
University Trustees must include provisions f iunity colleges.
capital costs and operating costs of the conms developed by
The Law also states that the Code of Standard
State University may include:
schedules and formats for the preparation and
sunission of annual budgets by the boards of
trustees and the local sponsors to the state
university trustees. . . and systems of accounts
for use by the boards of trustees and the
local sponsors of the conununity colleges.
(Education Law, Section 6304.1(b)(iv))
ent at cornrnu
Thus, the general instructions for budget developm . This is
sity
nity colleges come to them from the State Univer
the Budget of
of
sion
Divi
the
by
often with the prior approval
30
the State of New York of the schedu
les and other formats
involved.
The trustees of community college
relationship with their local spos also have a major fiscal
nsors. This is because
fact that budgets must also be app
of the
a major revenue source for the co roved by the sponsor which is
llege.
8.2.
Preparation and Review of Bu
dgets
8.2.1.
Preliminary Budget
Community college budget-making beg
ins with the submission
preliminary operating budget req
uests to the State Universiof
July or August of each year. Th
ty in
annual budget operations of the is is done at a time when the
community colleges are com
a close and when the communit
ing to
y college’s upcoming budget
being finalized following actio
is
by the State Legislature. The n on the Aid to Localities Budget
Aid to Localities Budget co
the State aid appropriations for
nta
the community colleges. The ins
data contained in the prelim
ina
college’s trustees because of ry budget must be reviewed by the
planning. In fact, the Code its impact on future financial
of Standards developed by St
University requires that:
ate
The preliminary college opera
shall have been approved by ting budget estimate
the
and shall be accompanied by evi college trustees
dence of such
approval. (Code, section
602.2)
The data.froni the prelimina
ry budgets provide the basis
developing the initial State
for
of the State University for aid operating appropriation request
its community colleges.
8.2.2.
Operating Budget
Trustees need tobe famili
ar with the nature of the co
annual operating budget.
llege’s
Operating budgets for each
college are developed at the
community
bed “standards and formats” campus level according to prescri
ments of anticipated income that include estimating disburse
operating expenses. Updat and appropriations requested to meet
ed versions of all schedules
mats needed to develop the
and f orthe State University annualoperating budget are received from
ly and completed by the co
staff.
llege’s
A.
Revenue Side
The annual funding formula
for the community college used to develop State appropriations
s
budgets on the revenue sid for inclusion in their operating
e is a pivotal factor in
development process.
the budget
31
tunity college operating
Financial assistance for con
State Aid.
State aid funding is
ollment driven.
costs is largely FTE enr new incentives or programs. Trustees
often changed to include efing from their president on the
should expect periodic bri aid.
current formula for State
Total student tuition and fees may
Student Tuition and Fees.
of the total amount of operating
not exceed more than one-third
y also places a cap on conununity
costs. The State Universit does not exceed the tuition at the
college tuition so that it
rds
ed, four-year institutions. Boa
lower-division, State-operat approve all tuition charges imposed
of trustees are required tosuch as parking fees, library fees,
t
at the college, plus fees
unt of tuition expected is contingen
etc. Since the total amo ment estimates developed by the cam
upon enrollment, the enroll iversity enrollment plan are a cru
Un
jec
pus as part of the State ng.
Trustees should know what pro
nni
pla
get
cial part of bud
in this process.
tions the college is making
e’s
ancial support given the colleg ed
uir
Sponsor Support. The fin
req
unt
amo
the
sponsor is
operating budget by the local backs, State aid, and other
rge
cha
after student tuition,
ined. The sponsor’s contribu
erm
det
n
bee
has
me
inco
g
tin
offset
Law to be “four-f if teenths of
on
cati
Edu
the
by
ed
uir
req
is
tion
ch as may be necessary.” It is
the operating costs, or so mu by local appropriations from
ed
made available to the colleges
derived fran tax levies earmark
general revenue or from funds
for
ns
tio
ria
rop
County app
es.
in part or whole for such purpos ts are a “purpose of the
cos
conununity college’s operating
al taxation.
county’ and hence covered by loc
paid
capital chargeback payments are
in
ed
Chargebacks. Operating and
oll
enr
resident students
by the county of residence for noninstructional program. The
ed
a community college’s State-aid
provisions in the Code of
amount of the chargebacks is set by
Standards.
B.
Expenditure Side
of
budget is an estimated breakdown
The expenditure side of the
ch
giving the function for whi
ns
the appropriations anticipated,
s of the expense. The functio
ect
obj
the
and
d
use
be
l
wil
y
the
are:
-
-
-
Instruction
Organized Activities
Sponsored Research
Extension and Public Service
Libraries
Student Services
Plant
Maintenance and Operation of the
General Administration
General Institutional Services
tiployee Benefits
32
Within each of the categories,
personnel services; equipment the objects of expense are:
;
to consortia; and employee be contractual expenses; payments
nefits.
The budget’s single-page ove
budget and the proposed bu rview gives the previous year’s
percentage differences for dget with both the dollar and the
gives the percentage distribeach function and object. It also
of the functions and objectsution of the total budget among all
larly useful summary for tru of expense. Thus, it is a particu
stee purposes.
C.
The Approval of the Budget
The college’s operating budg
Requests for State Aid,” mu et under the title “Operating Budget
st be approved by the conunu
college’s board of trustees
riity
before submission to the
University.
State
The budget of each conununit
y college must also be app
the local sponsor. Evidence
roved by
resolutions are submitted to of the approvals in the form of
the State University by the
colleges on behalf of the
bo
ard
s of trustees.
If
University or the local
sponsor fail to approve a the State
college budget, as submitt
com
ed by the college trustees munity
of Standards permits co
, the code
llege trustees to:
request the Chancellor of
State University or his
designee to arrange for
a conference to include
representatives of the .th
agreement on the amount ofree bodies to produce
the budget.
(Code,
Section 602.3(d))
8.2.3.
Capital Budgets
Capital funds are usually
provided jointly by the
local sponsor, although
State and
the
local sponsor may finance
costs in full, if they op
capital
Capital budgets require
the approval of both the t to do so.
local sponsor and the State
sity Trustees. Local spon
Univer
bonds or notes to support sors may authorize the issuance of
into an agreement with the capital expenditures or they may enter
and construction of colle Dormitory Authority for the financing
trustees must approve anyge facilities. The college board of
prior to approval by the amendment made to a capital budget
sponsor and the State Un
Trustees.
iversity
capital cost chargeback
funds from nonresident
separately accounted for
students that are
by
the sponsor’s share of lan the college can be used to reduce
the financing of such ind d costs, capital cost indebtedness,
ebtedness, and certain
charges under the rules
and regulations of the equipment
State University.
33
8.3.
Some Special Areas of Financial Management
and Operations
practices must be
Effective fiscal management processes and approved budgetary
established and used in carrying out the colleges follow a uni
State University’s convnunity
decisions.
regarding their finan
form fiscal plan under the Education Law
cial affairs.
8.3.1.
Purchasing Procedures and Approval
the purchase of
Some boards of trustees pass resolutions on
in the budget and
educational equipment and supplies as approved
e resolutions are
needed for the purposes of the college. Thes rdance with State
acco
prepared after the solicitation of bids in r boards delegate a
Othe
es.
edur
proc
and local laws and bidding
oved levels, to the
part of their responsibility, within appr
staff.
rding competitive
County regulations may contain provisions rega
’s statutes.
bidding that are more restrictive than the State
8.3.2.
Authorization of Travel for College Purposes
l in the
Although trustees authorize expenditures for trave
for college
ests
requ
l
budget, the day-to-day handling of trave
nded
expe
money
of
l
purposes and of refunds to an individua
n.
ratio
usually remains with the college’s administ
8.3.3.
Acceptance of Gifts and Grants
of trust
Conununity colleges are empowered through their boards
ees, under the Education Law, to:
y
accept gifts, grants, bequests and devises absolutel
te
or in trust for such purposes as may be appropria
ctives
or proper f or effectuating the programs and obje
(Education Law, section 6304.2)
of such colleges.
college
No contribution may be accepted by the trustees or the
of sex,
that distinguishes any individual or group on the basis
The
n.
origi
nal
natio
or
,
age, race, color, religion, creed
trustees customarily authorize the sending of “thank you”
letters to all donors of gifts.
8.4.
Accounting, Reporting and Analysis
Accounting, reporting, auditing, and analysis are management lf.
itse
control processes that follow from the budgetary process
ees
They are not, however, processes undertaken by the trust
themselves. Trustees should know enough about them to under
have
stand fully the reports that arise from the budgets they
approved.
34
8.4.1.
Accounting Requirements
The accounting practices measure and reco
the college as it carries out its budget rd the operations of
plan. The State Comp
troller’s Uniform System of Accounts
for
Community Colleges is
required to be used for this purpose.
8.4.2.
Reporting Requirements
Actual reporting and analysis of the
nity college are done at a number of operations of each coimnu
levels. Annual financial
reports are suhn.itted by the community
Comptroller, with copies to the State colleges to the State
University, after the
‘5 books are closed.
Sununary financial reports of the
entire coimnunity college system are
troller. State university’s Controlprepared by the State Comp
reports of State University’s contnu ler also compiles sununary
these are available for trustee infonity colleges and, although
rmation, it is expected that
trustees will probably be more int
erested in their own college’s
financial report that is prepared acc
schedules and formats. Trustees oug ording to the Comptroller’s
ht to be thoroughly familiar
with this report. They should
be prepared to ask the college
for simple and understandable
exp
example, its end-of-year data comlanations of it and bow, for
in the various “program” categor pares with the amounts budgeted
ies. In this way it is possible
for trustees to reconcile the
costs of the major functions of
the college and so better underst
and the levels of funding they
will be asked to approve in
the next budget process.
8.4.3. Auditing Procedures
Auditing is part of the process
of financial reporting and
analysis.
Some community colleges have the
that management control system ir own internal auditors to see
s are working and that the system
of internal control is preventing
fraud, abuse, waste and error.
Each Board of Trustees is, howeve
r, required by law to:
provide for periodic audits of
all accounts
maintained at its direction and
render such
reports respecting any and all
rece
ipts and
expenditures of the college as
the local
legislative body or board, or
oth
priate governing agency, may dir er appro
ect.
(Education Law, Section 6304.6)
This is clarified in the Code
of
“annually by a certified public Standards where auditing
the agency of the sponsor resp independent accounting firm or
onsible for the performance of
audits” is made mandatory.
(Code, Section 602.1(c)) Tru
stees
should examine carefully all
CPA
management letters dealing with audits done for them and the
their college’s internal con
trol
35
the CPA is indeed
They should satisfy themselves that
system.
ared to approve the use of other
independently chosen and be prep
CPA firms from time to time.
conriunity colleges about every
The state Comptroller audits
General Municipal Law. This is
three years in conformance with t emphasizing conformance with
a compliance and performance audi
s for the payment of State
State mandates requiring calculation
ce
Separate audits of student financial assistan ld
aid requests.
shou
tees
Trus
e.
mad
are also
under the TAP and EOP programs
audits of Federal financial
uct
cond
tors
audi
know the Federal
awards given to students.
$.5.
Treasury Management
8.5.1.
Petty Cash Funds
treasurer to establish
Boards of trustees may authorize the
its. Education Law requires
petty cash funds, within legal lim
these funds be made avail
that lists of expenditures made from
The internal management
able for review at board meetings. ibil
ity of the college
control of these funds is a respons
administration.
8.5.2.
Banking Procedures
service banks for
Boards of trustees are required to use full A surety bond, pay
ies.
deposit of their money and securit
the
y company covering
able to the college and executed by a suret be required of the
the deposits with agreed upon interest, may or Federal securities
e
bank used by the college. Unmatured stat determined by board
be
ld
shou
this
of
All
.
may also be used
action.
8.5.3.
Insurance
of all kinds is of
The provision of adequate insurance coverage
ctice of the local
particular concern to the trustees. The prabe controlling; but
may
sponsor in regard to insurance coverage com
pensation or losses
only
r,
ure
if the sponsor is a self-ins
the college’s opera
incurred by the college can be included in
ting budget.
8.5.4.
Payroll
Pay
trative function.
Preparation of the payroll is an adminis
roll
pay
the
does
as
checks require the treasurer’s signature
sor or the college’s
itself, certifying its correctness. The spon’s preparation.
roll
administration is responsible for the pay
8.5.5.
Educational Foundations
al foundations to
A number of cozrrunity colleges have education
ni associations
handle funds received from private donors, alum
36
And other bodies for the special purposes
of the college.
Foun
dations can be appropriate vehicles for
est
ablishing productive
relationships with the local coimuun
ity.
programs and goals, consistent with the Foundation support of
plans and policies of
the college, lends fiscal flexibili
ty
to
of tight budgeting. However, foundatio the college at a time
as a substitute for governmental supporn funds may not be used
operations of foundations must be con t of the college. The
Internal Revenue Code and other Fed sistent with the Federal
lations affecting private charitableeral and State laws and regu
organizations. Generally
Accepted Accounting Principles (GA
AP)
must be audited by an independent aud are followed and books
itor.
9.
BUSINESS MANAGEMENT RELATING TO BUILDIN
GS AND GROUNDS
The State Education Law entrusts to the
boards of trustees of
the conununity colleges “the care, cus
tod
y, control and manage
ment of the lands, grounds, buildings
,
fac
ilities and equipment
used for the purposes of such colleg
es”.., arid also “the power
to protect, preserve and improve the
same.”
(Educational Law,
Section 6306.5)
This authority remains with the tru
a college’s land and buildings is stees although legal title to
real property must be held by the held by the sponsor. College
sponsor in trust for the uses
and purposes of the college.
Some topics that fall under this
concept of stewardship are out
lined below.
9.1. Use of Facilities by Out
side Organizations
Trustees establish policies
reg
ities by outside organizations ulating the use of college facil
for recreation, research, consul
tation, and other activities
that are in keeping with the edu
tional mission of the comnunity
ca
nonconunercial uses. A college-d college. These are all
eveloped schedule of charges
the use of college facilitie
s and equipment should be approvedfor
by the trustees. The use of col
making activities by outside gro lege facilities for prof itwith the college’s mission and ups is generally not in keeping
any such proposed use must be
carefully reviewed by the local
tomary for the trustees to per trustees. However, it is cus
mit nonprofit organizations to
college facilities and equipment
use
coninunity interest. This becomes for programs and meetings of
of the college to the work of bon a public service contribution
a fide nonprofit organization
of the constunity.
s
9.2.
security
The proper security of buildings
and equipment is a matter of
trustee concern. Some conrun
ity colleges hire their own
security personnel and others
college
contract for this service.
Secur
ity officers have the power
to issue traffic and parking
tickets
but do not have the power of
peace officers under the Crimin
Procedure Law.
al
37
9.3.
safety and OSRA Standards
d
As public colleges, the conrunity colleges are covere by the
conditions of the Federal Occupational Safety and Health Act and
iiployers are required to com
applicable New York state Laws.
rds in the workplace, free of
standa
health
ply with safety and
ment of Labor may inspect any
Depart
state
York
The New
hazards.
if there is reason to
employees
public
by
ed
premise occupi
and health are being
safety
of
rds
standa
believe that OSHA
violated.
9.4.
Accessibility
All programs of the college need to be accessible to the handi
capped. Most boards of trustees have already authorized many
renovations to existing buildings so as to provide for program
accessibility. Trustees should be certain that all such altera
tions are maintained in proper condition.
10.
LEGAL ISSUES
It is very important that trustees be informed and knowledgeable
Knowing when to consult a lawyer may some
about legal matters.
times be more important than knowing whom to consult. Thus,
whenever doubt arises as to the propriety of any proposed action
or when the filing of any suit against the college becomes
known, the board’s chair or president should consult with the
college’s attorney.
The Availability of Counsel
10.1.
The following sources of legal advice are available:
a.
The Sponsor’s Attorney
The sponsor’s attorney is primarily responsible for representing
the college in all lawsuits. The attorney will defend the col
lege, its trustees, its officers and employees in all lawsuits
relating to college activities.
b.
Counsel to the Trustees
some boards of trustees retain separate college legal counsel.
Trustees can also rely upon the sponsor’s legal office for help.
Retaining any legal counsel, other than the sponsor’s attorney,
requires permission of the sponsor.
c.
Other Attorneys
Attorneys may be used for special purposes with the approval of
Some insurance companies require that their own
the sponsor.
lawyers be used to represent the college’s case. Labor lawyers
are hired sometimes for collective bargaining purposes.
38
d.
State university Office of Unive
rsity Counsel
and Legal Affairs
The state University office of Universit
y counsel and Legal
Affairs is well versed in legal mat
ters
related to higher educa
tion. This Office will defer in many
ins
tances to the college’s
attorney, who has primary responsib
ility for legal representa
tion of the college.
State University’s legal staff
handles
those matters that fall within the
requirements and State University’s purview of the Education Law
particularly when academic, fiscal policies and regulations,
and other matters of State
wide impact are involved.
10.2.
Defense and Indemnification of
Trustees
The Education Law provides defense
tion to contnunity college trustees, and indemnification protec
vidually while they are performing officers and employees indi
ever, for trustees to benefit from their official duties. How
essential that there be full consulthe Law’s provisions, it is
legal counsel regarding the intric tation with the sponsor’s
notice be given to the sponsor’s acies of this Law and that
together with a copy of any leg attorney within five days,
al papers received by a trustee.
November 1990
39
A