1.0 Organization Overview
1.1 Title Page
Full Legal Name of Organization: D’Youville College
Operating Name of Organization: D’Youville College
Common Acronym of Organization, if applicable: N/A
URL for Organization Home Page, if applicable: www.dyc.edu
Date of Submission: 22 October 2003
Contact Information: D’Youville College One D’Youville Square 320 Porter Avenue Buffalo, NY 14201-9984 Phone: 1-716-881-7600 Fax: 1-716-881-7780 E-mail: [email protected]
Legal Representative of Organization Roche Sister Denise A. President 320 Porter Avenue, Buffalo, NY 14201-9984 Phone: 1-716-881-7673, 7671 E-mail: [email protected]
Official Function: President of Organization
Contact person to liase with the Organization Review Board Dr. John J. Donohue Vice President for Academic Affairs 320 Porter Avenue, Buffalo, NY 14201-9984 Phone: 1-716-881-8163 E-mail: [email protected]
Program Information: One program, a degree completion program leading to a Bachelor’s in Education, is being submitted at this time.
- 1 - 1.2 List of Proposed Programs
Location/Address Where Proposed program Is to Be Delivered
Street Address: 1460 Oxford Street, East P.O. Box 7005
City: London Province: Ontario Postal Code: N5Y 5R6
Telephone: (519) 452-4430 Proposed Degree Title Proposed Degree Degree Level and Type Does the organization already have Nomenclature to be awarded for Program ministerial consent to offer this program or part of Program at another location in Ontario? If “yes” please attach a copy of the terms and conditions of consent in this appendix.
Bachelor of Education B.Ed. General Baccalaureate Degree No
- 2 - Appendix 1.3 Table of Contents
Appendix 1.1 Title Page 1.1 1 Appendix 1.2 List of Proposed Programs 1.2 2 Appendix 1.3 Table of Contents 1.3 3 Organization Information Appendix 2.1 Information about the Organization and its Operations 2.1 5 Appendix 2.2 Information about Owners 2.2 7 Appendix 2.3 Institution Representatives for Meeting with Organization Review Panel 2.3 8 Appendix 3.1 Executive Summary 3.1 9 Program Synopsis Appendix 4.1 Synopsis of Proposed Program(s) 4.1 11 PART A - 1 Administrative Capacity Appendix 5.1 Legal Characteristics 5.1 12 Ethical Conduct Appendix 6.1 Explanation of Past Fraud or Misrepresentation 6.1 21 Appendix 6.2 Explanation of Pending Legal or Administrative Actions 6.2 22 Appendix 6.3 Information about Owners/Officers of this Organization and any Related Postsecondary Education Organizations 6.3 23 Appendix 7.1 Academic Calendar Information 7.1 Appendix 7.2 Policy Awareness 7.2 24 Ministry Criteria: Student Transcript Protection Appendix 8.1.1 Organization’s Plan for Management of Records 8.1.1 29 Appendix 8.1.2 Plan for Weekly Off-Site Back-up 8.1.2 31 Appendix 8.1.3 Plan to Verify Accuracy of E-records 8.1.3 32 Appendix 8.2.1 Third-Party Record Keeper 8.2.1 33 Appendix 8.2.2 Verification of Agreement 8.2.2 34 Ministry Criteria: Financial Security Appendix 9.1 Contract Period Policy 9.1 35 Appendix 9.2 Delivery of Goods and Services Policy 9.2 38 Appendix 9.3 Collection of Tuition and Fees Policy 9.3 39 Appendix 9.4 Trust Fund Accessibility to Students 9.4 40 Appendix 9.5 Trust Fund Arrangements 9.5 41 Appendix 9.6 Financial Security Information 9.6 42 Ministry Criteria: Tuition Refund Appendix 10.1: Withdrawal and Refund of Fees and Charges Policy 10.1 43 Ministry Criteria: Contracts with each Student Appendix 11.1: Enrolment Contract 11.1 48 Ministry Criteria: Awareness of Policies Appendix 12.1: Student Awareness of Policies 12.1 49 Ministry Criteria: Credit Transfer Appendix 13.1: Notification of Credit Transfer 13.1 51 Other Relevant Information Appendix 14.1-14.n Other Organization Information relevant to Part A-1 14.1- 52 PART A - 2 Mission Statement and Academic Goals Appendix 15.1 History, Mission and Goals 15.1 53 Appendix 15.2 Current Degree Programs 15.2 55 Appendix 15.3 Proposed Program(s) and Mission/Goals 15.3 57
- 3 - Appendix 15.4 Five-Year Business Plan 15.4 60 Appendix 15.5 Academic Policies 15.5 63 Appendix 16.1.1 Governance and Administrative Structure 16.1.1 70 Appendix 16.1.2 Responsibilities of Governing Bodies 16.1.2 71 Appendix 16.1.3 Organization’s Reporting Structure 16.1.3 94 Appendix 16.1.4 Reporting Structures consistent with Academic Purpose 16.1.4 96 Appendix 16.2.1 Senior Administration Job Descriptions 16.2.1 97 Appendix 16.2.2 Curriculum Vitae of Administrators 16.2.2 113 Appendix 16.3.1 Academic Plan 16.3.1 134 Appendix 16.3.2 Coordinated Business and Academic Plans 16.3.2 158 Appendix 16.4 Participation in Academic Policies and Standards 16.4 160 Ethical Conduct Appendix 17.1 Ethical Standards 17.1 173 Student Protection Appendix 18.1 Student Recruitment Policies 18.1 175 Academic Freedom and Integrity Appendix 19.1 Academic Freedom Policy 19.1 176 Appendix 19.2 Academic Freedom Constraints 19.2 177 Appendix 19.3 Intellectual Property Policy 19.3 178 Appendix 19.4 Research Policies 19.4 184 Appendix 19.5 Academic Honesty Policy 19.5 347 Appendix 19.6 Plan for Informing Faculty and Students 19.6 351 Financial Stability Appendix 20.1 Financial Viability 20.1 352 Appendix 20.2 Financial Audit Policy 20.2 427 Appendix 20.3 Sufficient Capital for Start-Up 20.3 428 Appendix 20.4 Table: Projection: Tuition Fee Collection 20.4 429 Dispute Resolution Appendix 21.1 Student Appeals, Complaints and Grievances 21.1 430 Appendix 21.2 Policy Implementation and Awareness 21.2 437 Ministry Criteria: Student Transcript Protection Appendix 22.1 Electronic Student Records 22.1 440 Appendix 22.2 Records Management 22.2 441 Appendix 23.1-23.n Other Organization Information 23.1-23.n 443 Minister’s Requirement: Acknowledgement and Agreement Form
- 4 - 2.0 Organization Information
Appendix 2.1 Information about the Organization and Its Operation
1. Administrative (operating) Address:
D’Youville College One D’Youville Square 320 Porter Avenue Buffalo, NY 14201
Telephone Number: (716) 881-3200
Fax Number: (716) 881-7780
There are no other organizational locations, campuses, branches, or satellite campuses.
2. The proposed programs will be located at the following place.
Fanshawe College Campus 1460 Oxford Street, East P.O. Box 7005 London, Ontario, Canada N5Y 5R6
3. Are there plans to deliver any of the programs listed above at any other location in Ontario?
X No Yes. Identify the locations and approximate dates when an application for consent will be made to the minister in the table provided below.
4. Type of ownership
D’Youville College is an independent, not-for-profit organization governed by a Board of Trustees.
- 5 - 5. Officers of the organization
Sister Denise A. Roche, President Michael Cipolla, Treasurer and Vice President of Finance Donald Keller, Vice President for Operations Robert Murphy, Vice President for Student Affairs John J. Donohue, Vice President for Academic Affairs
- 6 - Appendix 2.2 Information about Owners
There are no owners of this organization.
- 7 - Appendix 2.3 Institution Representatives for Meeting with Organization Review Panel.
Sr. Denise Roche, GNSH, Ph.D.
President
John J. Donohue, Ph.D.
Vice President for Academic Affairs
Roger F. Fiedler, Ph.D.
Dean of Planning and Evaluation
- 8 - 3. Executive Summary
3.1
• Overview of the organization’s history, mission, and academic goals;
D’Youville College is an independent, four-year co-educational college that was
chartered by New York State in 1908. The college provides academic programs to
approximately 2,400 graduate and undergraduate students in day, evening, weekend
and summer sessions. Founded by the Grey Nuns as the first college for women in
Western New York, the college is now governed by a lay board of trustees.
The college offers 28 baccalaureate, eight master’s, three doctoral-level and
five post-baccalaureate degrees, as well as advanced certificate programs in health-
related professions. Five-year programs leading to both a bachelor’s and master’s
degrees are available in occupational therapy, international business and dietetics.
There is a six-year physical therapy (B.S. & M.P.T. programs) and an RN B.S./M.S.
program available also. All professional programs have a strong liberal arts core.
The campus is in Buffalo, N.Y., 20 minutes from Niagara Falls and 90 minutes
from Toronto, Canada.
• Description of the relationship between the proposed program and the mission and strengths of the organization
D’Youville seeks ministerial consent to function as a university in the province of
Ontario, offering a program leading to the Bachelors in Education. D’Youville has a long history of excellence in preparing professional teachers. It currently offers graduate programs in Education at the masters and doctoral levels that are registered with the
New York State Education Department and accredited by the Commission on Higher
Education/Middle States Association of Colleges and Schools. Coursework in our
- 9 - education programs has also been reviewed by the OCT and has been approved as meeting provincial standards for teacher preparation and education. We are therefore well prepared to offer academic training for professional educators in Canada.
The institution currently enrolls 1093 students in its education programs, 827 of whom are Canadian citizens. Canadian enrollments in D’Youville’s Education programs have been strong and demand continues to grow. With increased concerns over student travel across the Canada/U.S. border, D’Youville desires to establish a presence in
Ontario that will permit eligible Canadian students to complete a baccalaureate degree in
Education while remaining in Canada.
D’Youville has entered into an arrangement with Fanshawe College in London
Ontario that, pending ministerial approval, would permit D’Youville to utilize the instructional facilities and student services of Fanshawe, thereby providing student sin the proposed program to receive a level of support in terms of facilities and services that is commensurate with Provincial standards
D’Youville’s proposal is one that seeks to serve the citizens of Canada, providing high quality professional teacher education in a more convenient location. The activity is consistent with the institution’s mission to offer baccalaureate and graduate programs to students of all faiths, cultures, and backgrounds, and to honor its Catholic heritage and the spirit of St. Marguerite d’Youville by providing academic, social, spiritual, and professional development in programs that emphasize leadership and service.
- 10 - 4.Synopsis of Proposed Program(s)
The proposed program is a degree completion program leading to a Bachelors in
Education for individuals who have completed two years of full time college study (60 credits) in the Liberal Arts and Sciences. Qualified students will be admitted to a full- time, four semester program that is composed of:
10 courses(30 credits) in Education coursework dealing with philosophy,
methods, and critical issues.
A final semester of student teaching (12 credits).
A total of four courses (13 credits) distributed in these areas: Biology,
Mathematics, Computer Science, and Philosophy
Two elective courses (6 credits) from the Liberal Arts and Sciences
Students may begin study in either the Fall, Winter, or Summer semesters. At the completion of the program, students will be awarded the Bachelors in Education.
- 11 - PART A –1
5.1 Legal Characteristics
D’YOUVILLE COLLEGE is an independent, urban, coeducational institution. It provides liberal arts and professional programs for more than 2,400 graduate and undergraduate students in day, evening, weekend and summer sessions. The Grey
Nuns founded D’Youville as the first college for women in Western New York. It became coeducational in 1971.
Under its 1908 charter of incorporation, D’Youville College is legally authorized to conduct an institution of higher learning and to grant recognized degrees. A self- perpetuating board of trustees has governed the college since a charter amendment in
1970.
The college offers baccalaureate, eight master’s-level and five post- baccalaureate degrees as well as advanced certificate programs in health-related professions. Graduate programs include community health nursing, elementary education, secondary education, special education, health services administration, international business, occupational therapy, physical therapy and family nurse practitioner. Five-year programs leading to dual degrees have been established in dietetics, international business and occupational therapy. There is a six-year physical therapy (B.S.+M.P.T.) degree. An RN-B.S./M.S. degree is also offered in nursing.
Additionally, certificate programs are offered in long-term care administration and addictions in the community. The Advance program, for working individuals with some college credit, is offered in accelerated form and leads to a bachelor’s degree in business management.
D’Youville is accredited by the Middle States Association of Colleges and
Schools. The undergraduate and graduate programs in nursing are accredited by the
Commission on Collegiate Nursing Education (CCNE). The combined B.S./M.S. program
- 12 - in occupational therapy is accredited by the Accreditation Council for Occupational
Therapy Education (ACOTE) of the American Occupational Therapy Association. The physical therapy program is accredited by the Commission on Accreditation in Physical
Therapy Education of the American Physical Therapy Association. The physician assistant program is accredited by the Accreditation Review Commission on Education for the Physician Assistant, Inc. (ARC-PA). The combined BS/MS dietetics program is accredited by the American Dietetic Association Council on Education. Programs of study are registered with the Office of Higher Education of the New York State Education
Department.
D’Youville has a sound reputation for educating professionals for community service. The college introduced majors in sociology and business during the 1930s and established Western New York’s first baccalaureate nursing program in 1942.
Traditionally a leader in education, D’Youville has received state approval for teacher education programs for bilingual elementary education, the blind and visually impaired, special education, elementary and secondary education.
Today, the tradition of excellence is maintained as D’Youville continues to offer and promote academic leadership and responds to community needs. D’Youville
College remains firmly committed to the personal growth and well being of all those within its sphere of influence.
D’Youville College is named for Marguerite d’Youville, an 18th century Canadian woman whose love of God inspired her to spend her life responding to societal needs and find creative ways of serving the poor.
She was born near Montreal in 1701. Marguerite was a widow with young children, who never neglected the poor. She was an astute and resourceful businesswoman, a compassionate friend and a person whose life was deeply rooted in her trust in God. Other women joined in her efforts to offer asylum for the elderly, blind,
- 13 - orphaned and abandoned. Known as the Grey Nuns, Sisters of Charity, the group became one of the first congregations of religious women to be founded in Canada.
During her life, Marguerite assumed the responsibility for administering the
General Hospital of Montreal, founded homes for the poor and aged and cared for unwed mothers, orphans, sick and wounded military men, regardless of their allegiance.
She earned the title Mother of Universal Charity, insisting that, “The poor must know that we never refuse to serve.” On Dec. 9, 1990, she was declared St. Marguerite d’Youville in St. Peter’s Basilica, Rome.
D’Youville College seeks to continue the spirit of Marguerite d’Youville, especially by encouraging students to be proficient, innovative, resourceful, compassionate, and well-informed members of society.
The materials included here describe the history of the College’s charter.
Senate, No. 621
LAWS OF NEW YORK.
One Hundred and Thirty-first Session
Chapter 78.
An Act to change the name of Holy Angel’s Infirmary, Academy and Industrial School for Benevolent, Charitable and Scientific Purposes to D’Youville College and Academy of the Holy Angels, and permitting said corporation to maintain a College Department for the education of women in Literature, Science, Philosophy, Religion and the Liberal Arts, and to confer degrees and grant diplomas.
Became a law April 4, 1908, with the approval of the Governor.
Passed, three-fifths being present.
The People of the State of New York, represented in Senate and Assembly, do enact as follows:
Section I.
The corporate name of “The Holy Angel’s Infirmary, Academy and Industrial School for Benevolent, Charitable and Scientific Purposes,” a corporation heretofore created by Claude F. m. Sallaz and four members of an unincorporated religious
- 14 - community in the Roman Catholic Church, known as “Grey Nuns of the Cross,” pursuant to the provisions of Chapter Fifty of the Laws of Eighteen Hundred and Sixty-nine, is hereby changed to “D’Youville College and Academy of the Holy Angels,” by which name it shall hereafter be called and known: and by that name the said corporation shall have perpetual succession with power to fill vacancies as they may occur from time to time in its boards of trustees; to sue and be sued; to contract and be contracted with; to make and use a common seal, and to alter the same at pleasure, and to purchase, take and hold real property in fee simple absolute, or any less estate, by gift, grant, devise, bequest or otherwise, subject, however, to the provisions of section six of chapter three hundred and nineteen of the Laws of Eighteen Hundred and Forty-eight, and subject further to “An Act Relating to Wills,” passed April Thirteenth, Eighteen Hundred and Sixty, and the acts amendatory thereof and supplementary thereto.
Section II.
This Act shall in nowise, impair, diminish or affect any claim or demand against the Holy Angel’s Infirmary, Academy and Industrial School for Benevolent, Charitable and Scientific Purposes, or any of its liabilities.
Section III.
This Act shall in nowise impair or diminish any to the rights or powers of the Holy Angel’s Infirmary, Academy and Industrial School for Benevolent, Charitable and Scientific Purposes, and shall in nowise affect it, except by changing its name as hereinbefore provided, and definitely fixing the title of its trustees and granting it the additional rights and powers hereinafter provided.
Section IV.
In addition to the present objects and purposes of said corporation it is hereby declared to have further object and purpose of promoting the higher education of young women in Literature, Science and Liberal Arts, and the education of such of its students as may profess the Roman Catholic Religion in the doctrines of that religion and the Philosophy approved by the ecclesiastical authority of the Roman Catholic Church.
Section V.
The “Trustees, Directors or Managers” shall hereafter be styled Trustees. At least four of them must belong to said community, “Grey Nuns of the Cross,” and they shall continue to have complete control and management of the property of said corporation. They shall be chosen in the manner now provided by-laws of the corporation, and the five persons who at the time of the passage of this act are “trustee, director or managers” of said corporation shall form and after the passage of this act, until their successors are chosen as provided by the by-laws, be trustees of said corporation. The said College Department shall have a Board of Governors, which shall consist of nine persons, five of whom must belong to said community. “Grey Nuns of the Cross,” seven members of said board shall constitute a quorum. The Board of Governors shall hot have power to create any obligation by contract or otherwise against said corporation or any lien, claim, right or obligation of any kind whatever, against its real or personal property. The first Board of Governors shall be Charles Henry Colton, Doctor of Divinity, Bishop of the Roman Catholic Diocese of Buffalo, Nelson H. Baker,
- 15 - Vicar-general of said diocese, Michael F. Fallon, Doctor of Divinity, Charles Leo O’Connor, Bachelor of Laws, and the following Grey Nuns of the Cross: - Sister Stainslaus, Sister Mary Agnes, Mother Kirby, Sister Mary Evangelista and Sister Saint Matthew, whose family names are respectively, Mary burn, Anna Quigley, Dorothea M. Kirby, Gertrude Murray and Mary K. Kelley. The said Trustees shall have perpetual power to fill vacancies in said board of governors as they may occur from time to time.
Section VI.
Whenever the said D’Youville College and Academy of the Holy Angels shall have resources of at least five hundred thousand dollars, and suitable provision for buildings, furniture, educational equipment and proper maintenance, which shall be approved by the Regents of the University of the State of New York and be evidenced by an instrument setting forth said facts under their seal, filed and recorded in their office and the office of the Secretary of state, the Governors of said College Department may grant and confer, subject to the limitations hereinafter contained, such honors, degrees or diplomas as are granted by any college or seminary of learning in the State of New York: and such diplomas and degrees shall entitle the possessors to the immunities and privileges allowed by usage or statue to the possessors of like diplomas from any university college or seminary of learning in this state; but nothing in this Act contained shall be held or construed to give the power to confer any degree or right to practice Law or Medicine. The Master’s degree shall not be conferred upon any person who has not already received the Baccalaureate Degree from said College Department, or from some other college or seminary of learning authorized to grant such degree. No degree shall be conferred except by unanimous vote of a quorum of said Governors. The courses leading to the various recognized degrees shall with the exception of studies in Philosophy, History and Religion, be approved by the Regents of the University of the sate of New York but the said Governors may, as a condition for granting such degree, require additional work in any subject to that prescribed by said regents.
Section VII.
This Act shall take effect immediately.
- 16 - Part 2.
LAWS OF NEW YORK. – By Authority
CHAPTER 12
AN ACT to change the name of the D’Youville College and Academy of the Holy Angels and to define the powers and duties of the corporation and its officers
Became a law February 7, 1928, with the approval of Governor. Passed, three-fifths being present
The People of the State of New York, represented in Senate and Assembly, do enact as follows:
Section 1. The corporate name of D’Youville College and Academy of the Holy Angels is hereby changed to D’Youville College by which name it shall hereafter be called and known; and by that name the said corporation shall have perpetual succession with power to fill vacancies as they may occur from time to time in its board of trustees; to sue and be sued; to contract and to be contracted with; to make and use the common seal and to alter the same at pleasure; and to purchase, take and hold real property in fee simple absolute, or any less estate, by gift, grant, devise, bequest or otherwise.
§ 2. This act shall in no wise impair, diminish or affect any claim or demand against the said corporation, created either under the name of “Holy Angels’ Infirmary, Academy and Industrial School for Benevolent, Charitable and Scientific Purposes” or “D’Youville College and Academy of the Holy Angels’ or any of its liabilities. §. 3. This Act shall in no wise impair or diminish any of the rights or powers of D’Youville College and Academy of the Holy Angels, and shall in no wise affect it, except by changing its name as hereinbefore provided, and changing the methods of filling vacancies in the board of governors. §. The trustees of said corporation shall belong to the religious community formerly know as the “Grey Nuns of the Cross” but now known as “Grey Nuns of the Sacred Heart” its name having been changed by the ecclesiastical authorities of the church to which said community belongs; and said trustees shall continue to have complete control and management of the property of said corporation. They shall be chosen in the manner provided by the by-laws of the corporation, and the five persons who at the time of the passage of this act are such trustees shall, form and after the passage of this act until their successor are chosen as provided by the said by-laws be such trustees. § 5. D’Youville College shall have a board of governors, at least five of whom must belong to said community, “Grey Nuns of the Sacred Heart.” The board of governors shall not have the power to create any obligation by contract or otherwise against said corporation, or any lien, claim, right or obligation of any kind whatever against its real or personal property. The board of governors shall consist of nine persons and seven
- 17 - member of said board shall constitute a quorum. The first board of governors of the College department of D’Youville College and Academy of the Holy Angels, consisting of Charles Henry Colton, then bishop of the Roman Catholic diocese of Buffalo, now deceased; Nelson H. Baker, then and now vicar-general of said diocese; Michael F. Fallon who resigned to become Roman Catholic bishop of London, Canada; Charles Leo O’Connor; and the following members of said community, all of whom by death or resignation have ceased to be members of said board, viz., Sister Stanislaus, Sister Mary Agnes, Mother Kirby, Sister Mary Evangelista, and Sister Saint Matthew; having partly changed its membership through such death or resignation of some of the members thereof and filling the vacancies caused thereby pursuant to said section five of chapter seventy-eight of the laws of nineteen hundred and eight; so that said board of governors immediately before the passage of this act consists of William Turner, doctor of divinity, doctor of philosophy and doctor of canon law, bishop of said diocese, and Nelson H. Baker, doctor of divinity and doctor of laws, vicar-general of said diocese, Lawrence F. Tighe, bachelor of arts, Charles Leo O’Connor, bachelor of laws; and the following Grey Nuns of the Sacred Heart, Mother Verecunda, superior general of said community, Mother Mary of Good Counsel, now president of said college, Sister Saint Rita, Sister Mary of the Visitation and Sister Grace of the Sacred Heart, whose family names are Anne Quinn, Teresa Kirwan, Teresa McDermott, Jane Reily and Grace Wechter; it is hereby provided that said persons composing the said board of governors of the college department of D’Youville College and Academy of the Holy Angels immediately prior to the passage of this act, shall hereby become the board of governors of D’Youville College, with perpetual power to fill vacancies in said board of governors and they may occur from time to time; and may grant and confer the same honors, degrees and diplomas with the same effect and entitling the possessors therefore to the same immunities and privileges as the said governors of the college department of D’Youville College and Academy of the Holy Angels was by said section six of chapter seventy-eight of the laws of nineteen hundred and eight permitted to grant and confer since the twenty-sixth day of June, nineteen hundred and eight, at the time of filing in the office of the regents of the university of the state of New York and office of the secretary of state, the instrument mentioned in said section, and subject to the same limitations which are as follows: Nothing in this act shall be held or construed to give the power to confer any degree or right to practice law or medicine. The master’s degree shall not be conferred upon any person who has not already received the baccalaureate degree from said college department of said college or from some other college or seminary of learning authorized to grant such degree. No degree shall be conferred except by unanimous vote of a quorum of said governors. The courses leading to the various recognized degrees shall, with the exception of studies in philosophy, history and religion, be approved by the regents of the University of the State of New York; but the said governors may, as a condition for granting such degree require additional work in any subject to that prescribed by said regents. § 6. all acts or parts of acts inconsistent with the provisions of this act are hereby repealed. § 7. This act shall take effect immediately.
State of New York }ss: Department of State I have compared the preceding with the original law on file in this office, and do hereby certify that the same is a correct transcript therefrom and of the whole of said original law.
- 18 - ROBERT MOSES Secretary of State
- 19 - THE UNIVERSITY OF THE STATE OF NEW YORK EDUCATION DEPARTMENT
Amendment to Charter of D’Youville College
This instrument witnesseth That the Board of Regents for and on behalf of the Education Department of the State of York as amended the charter of D’Youville College, located in the city of Buffalo, county of Erie and State of New York, - - which was incorporated by certificate of incorporation filed in the office of the Clerk of the county of Erie, May 26, 1864 and in the office of the Secretary of State, Mary 13, 1865, under the name and style, “The Holy Angels Infirmary Academy and Industrial School for Benevolent, Charitable and Scientific Purposes”, said charter having been last amended by chapter 12 of the Laws of 1928 and the name of the corporation changed to D’Youville College, - - in its entirety, to read as follow:
1. D’Youville College originally incorporated by a certificate of incorporation filed in the Erie County Clerk’s Office, May 26, 1864, and in the Office of the Secretary of State, Mary 13, 1865, is and shall continue to be in perpetuity a corporation under the name of D’Youville College. 2. The purposes of D’Youville College shall continue to be to conduct an Institution of higher learning and grant and confer such honors, degrees or diplomas as are granted by any college or like institution of learning in the State of New York. The courses leading to the various recognized degrees shall be approved by the Regents of The University of the State of New York. 3. The Board of Trustees as presently constituted consisting of Mother Jane Frances Cabana, Sister Mary Raphael Courtney, Sister Mary of the Angels Kennedy, Sister Mary Frances Luby and Sister Helen Dorothy Philip, shall continue to serve until their successors are chosen. The board shall have power to adopt bylaws including therein provisions giving the methods of election, the qualifications of trustees and the term of office, and shall have power by vote of two-thirds of all the members of the board of Trustees, to change the number of trustees to be not more than 25 nor less than 5. 4. The corporation shall continue to be a non-stock corporation organized exclusively for educational purposes and no part of the earning of net income shall inure to the benefit of any individual, and no officer, member, or employee of the corporation shall receive or be entitled to receive any pecuniary profit form the operations thereof, except reasonable compensation for services. 5. The principle office of the corporation shall continue to be located in the city of Buffalo, county of Erie and State of New York. 6. The Commissioner of Education is designated as the representative of the corporation upon whom process in any action or proceeding against it may be served.
Granted May 22, 1970 by the Board of Regents for and on behalf of the State Education Department executed under the seal of said Department and recorded therein, Number 10,243 /s/ Joseph W. McGovern /s/ Ewald B. Nyquist Chancellor President of the University and Commissioner of Education
- 20 -
6.1 Explanation of Past Fraud or Misrepresentation (Ethical Conduct,Benchmark 1:Handbook – Private,,S.7.3)
Has/have the owner(s) of the organization or any of its directors or officers been convicted of fraud or misrepresentation? Yes (Attach explanation[s] as Appendix 7.1.) X No
The owner(s) of the organization, any of its directors or officers have not been convicted of fraud or misrepresentation. Yes X No
6.2 Explanation of Pending Legal or Administrative Actions (Ethical Conduct,Benchmark 2:Handbook – Private,,S.7.3)
Are there any legal or administrative actions related to the operation of a business or business activity pending against the organization and/or any of its owners, officers, or administrators by any federal, provincial, state, or municipal law-enforcement agency?
Yes (Attach explanation[s] as Appendix 7.2.) X No
There are no legal or administrative actions of this type pending against the
organization and/or any of its owners, officers, or administrators by any federal,
provincial, state, or municipal law-enforcement agency.
6.3 Information About Owners/Officers of this Organization and any
Related Postsecondary Education Organizations
There are no related postsecondary organizations.
7.0 STUDENT PROTECTION
7.1 Academic Calendar Information
D’Youville College provides an Undergraduate Catalog that describes in detail the information requested in the table below. A copy of the catalog begins on the following page.
Current Academic Calendar Page Number UG Catalog: Information 4-5 The organization’s mission and goals statement A history of the organization and its governance and academic 4-5, 33-38 structure If the organization currently offers degree programs, a general 39-77 description (e.g., purpose, outcomes, length) of each degree program If the organization does not currently offer degree programs, NA a general description (e.g., purpose, outcomes, length) of each diploma program 111-125 The academic credentials of faculty and senior administrators Individual descriptions of all subjects in these programs, and 78-110 their credit value
Appendix 7.2 Policy Awareness
Academic Advisement
D'Youville places great emphasis on academic advisement. Advisement is essential for students to achieve success throughout college life. It is a student's responsibility to understand academic policies and procedures published in the undergraduate and graduate catalogs as well as those in their individual academic programs. Meeting regularly with academic advisors is highly recommended. Students may need to meet their academic advisors during these times.
Pre-registration/registration periods
Prior to any class changes or withdrawals
Following any report of unsatisfactory academic performance
When experiencing any personal, academic or adjustment problems.
Prior to withdrawing from any course
Prior to taking a leave of absence.
Prior to changing majors.
Students should contact the program chair if they are unaware of their academic advisor.
Credit transfer arrangements for incoming students:
If an incoming student has transfer credits from another institution, they must present an
"official" transcript as part of their admission procedure. The Registrar's office evaluates the courses and credits the student has achieved and allocates appropriate credit.
Prior learning assessment:
A student must provide the appropriate documentation of any prior learning assessment completed by an outside institution.
Entrance examinations:
Admission at the Freshman level is based on scores on the Scholastic Aptitude Test or the ACT exam as well as overall grade point average in high school and standing in the graduating class. At the graduate level, no entrance examinations are required. If a student's grade point average is below 2.75 (on a 4.0 scale), the student may elect to take the Graduate Record Examination. Admission is completed by an interview with the program representative.
Student support and services:
Disability Services: Students with disabilities, who need assistance in some aspect of
college life (learning how to get around campus without using stairs, assistance with
academics or special testing arrangement), should contact the3 coordinator of disability
services (CDS) for assistance. the CDS will evaluate students' needs and determine
what services are needed based on documentation from an appropriate sources.
Examples of other services used by students include scribes, readers, note takers,
enlarged texts, screen readers for lab computers, taped texts, priority registration, etc.
Testing Accommodations: Students with disabilities and those for whom English is a second language may be eligible for special testing accommodations. These accommodations include, but are not limited to, alternate locations and extended time
periods. Students who have any questions regarding eligibility for special testing arrangements should contact the CDS for assistance.
Learning Center: The Learning Center is comprised of the Disability Services Office
(DSC)(, Student Support Services (SSS) and the Higher Education Opportunity Program
(HEOP), cosponsored by the New York State Department of Education and D'Youville
College.
Student Support Services: This area administers the Skills Assessment Inventory (SAI),
consisting of reading, writing and math tests, to all incoming students, including
transfers. The purpose of these tests is to determine student's readiness for required
courses and to advise them of the need for developmental courses if necessary. SSS
provides non-credit courses in reading and study skills, writing and math.
Professional tutorial assistance is provided in reading, writing, and math using content
from credited courses as a basis for instruction. Guidance in organization, structure and
grammar for all types of writing assignments, including graduate thesis, is also provided
for both undergraduate and graduate students. An intensive four-week pre-college skills
program, EXCEL, is offered in the summer to enable incoming freshmen to improve their
basic skulks. Depending on availability, professional and peer tutors are also present to
assist with skill development for high-risk courses.
Student Activities: The student activities office works closely with students, clubs,
college departments and student leaders to provide the D'Youville community with
entertainment, community service, recreational, and leadership opportunities. These
activities improve the quality of campus life, build a sense of community and compliment
the academic experience. The student activities officer staff understands that students who participate in on-campus activities and organizations perform better academically and remain in school at a higher rate than those students who do not become involved.
These activities allow students to relax, explore new ideas, make life-long friends, develop career and leadership skills, and enjoy their time.
Registration Agreements:
Students are registered for one semester at a time. In no way do registration agreements with students exceed a consecutive twelve month period. The registration period is made during Fall for the following Spring Semester and in the Spring for the following Fall Semester.
8.0 Student Transcript Protection
8.1 Organization’s Plan for Management of Records
Student transcripts are recorded and stored electronically. The software used is a
Windows-based GUI interface running on Visual Basic. It interfaces with a SQL server database that runs on a Windows 2000 server.
Records are backed up nightly; back-up data tapes are generated weekly and are stored at a secure off-campus location.
The Office of the Registrar maintains transcripts and other relevant documents related to admissions
Official institutional transcripts provide the following:
• personal identifying information:
– the student’s name, contact information, and student number;
The Office of the Registrar maintains application documents that relate to
• basis of admission:
– documentation relating to admission requirements that verify the student’s qualifications to enter the program;
– full documentation relating to credit transfers, entrance examinations, and prior learning assessment used either for admission or advanced placement;
Official transcripts detail:
• academic history:
– the subjects/courses the student took at the institution, when these were taken, and the final grades for completed courses;
– chronological student records showing dates of enrolments, program commencement, withdrawals, leaves of absence, completion;
• academic actions against the student by the organization;
• the degree awarded and the date conferred;
• academic awards and honours given to the student by the organization; and
• name and contact information of the Registrar or similar official.
As institutional policy, D’Youville maintains students records in its archives. The Office of the Registrar converts student files to microfiche on an annual basis, providing an additional copy of student records. Beginning in 2004, the institution will digitally store students records to further ensure that transcripts remain available to students for at least seventy five (75) years.
8.1.2. Plan for Weekly Off-Site Back-up
D’Youville will ensure that that information included in a student’s transcript is kept at a location other than the Fanshawe campus and that the information is transferred to that location at least weekly. Following already established protocol, data back-up will take place weekly at the Fanshawe campus, be transmitted to the Buffalo, N.Y. campus for storage and a third copy will be included in off-site storage.
8.1.3. Plan to Verify Accuracy of E-Records
As is currently institutional practice, the Office of the Registrar will certify the accuracy of e-records.
8.2.1 Third Party Record Keeper
For purposes of satisfying the third party secure storage mandate, Fanshawe College has agreed to serve as the storage facility for this data.
8.2.2. Verification of Agreement
9.1 Contract Period Policy
Students who register for classes are obligated to settle all bills incurred with that registration. Nonattendance does not absolve liability unless written notice is received by the first week of class.
If an unpaid account is referred to a collection agency, the agency’s costs and/or attorney fees may be added to the amount owed.
The college reserves the right to change established tuition, fees and services and to determine the effective date of such changes without prior notice.
Scholarship students, no matter what amount of their award, are required to pay the application fee, acceptance deposit and any related fees.
Cost of transportation to clinical practice, or observation areas are the responsibility of the student.
Damage to college property is charged to the student(s) responsible. The college is not responsible for the loss of personal property.
D’Youville offers all students the deferred payment option of spreading a semester’s tuition and fees over four equal monthly payments. Twenty-five percent of the outstanding balance is due at the beginning of the semester, with the balance to be paid in three equal monthly installments by the end of the semester. The fee for this option is $25 and shall be added to the first payment.
The college also participates in the following plans:
AMS – A 10-month installment plan. Payments begin in June and the budget is
based on the full year’s expenses. A $50 fee includes life insurance.
Tuition Management Systems - This company provides information about private
educational loans, lines of credit and monthly billing options. Their 10- month
installment plan costs $55.
Students whose employers offer tuition assistance can defer payment until the end
of each semester by complying with the following procedure:
1. The student must pay a $25 deferred-tuition fee each semester.
2. The student must submit a letter from their employer stating the percentage to
be paid by the company and the date of expected payment.
3. The student must sign a promissory note for the amount due and remit or
schedule payment on any balance not paid by the company policy.
Payment of tuition and fees for college expenses must be arranged each semester
by a date specified, by the treasurer, at the time of billing. Students who fail to
meet this deadline will be assessed the late payment charge. Students who have
not completed financial arrangements, will be subject to cancellation of registration
at the option of the college.
Student will not be permitted to register for a new semester if amounts are owed from a previous semester. Transcripts, diplomas and certificates for a professional examinations or licensures will also be withheld. Interest is charged on unpaid balances at a rate of one percent per month.
Expenses are payable each semester before the established deadline for each semester. Checks should be made payable to D’Youville College. Payments are accepted in the form of cash, checks MasterCard or Visa. It is understood that students using credit cards to pay their tuition and fees have read and understand the college’s refund policy.
In case of authorized absence or withdrawal from the college, tuition and board adjustments will be made from the date on which withdrawal is processed.
Students are responsible for tuition and fees associated with their course registration unless they officially withdraw. Nonattendance does not constitute withdrawal. An official withdrawal must be processed. Tuition refunds for the Fall and Spring semesters will be based on the date of official withdrawal and pro-rated.
The first day of classes constitutes the beginning of the first week. Fall, Spring, and
Summer schedules should be consulted for exact dates of each semester.
Tuition and board are not refunded in case of unauthorized or unrecorded withdrawal.
9.2 Policy on Delivery of Goods and Services
Students must purchase textbooks, consumable supplies and equipment, which are a necessary corollary to the program in which they are registered. The above items are purchased at the students expense.
9.3 Policy on Collection of Tuition and Fees
Students have several options for paying tuition and fees as outlines in 14.1
In situations were students have paid for services that they have not received
due to having withdrawn prior to the completion of a semester, the college will
provide a pro-rata refund based on that date of withdrawal and the amount paid.
9.4 Trust Fund Accessibility to Students
The college does not have a requirement that the student pay more than 25% at one time.
9.5 Trust Fund Arrangements
The college has options for the student that do not require the student to pay more than 25% of the tuition and fees in advance of the delivery of services. Based on this the trust fund is not applicable.
9.6 Financial Security Information
Based on our interpretation of Regulation 279/02 it does not apply to our proposal since we do not require student to prepay more 25% of tuition.
10.1 Policy on Withdrawal and Refund of Fees and Charges
D’Youville’s Payment and Refund policy for the proposed Ontario campus is as follows:
Expenses are payable each semester in Canadian dollars before the established deadline for each semester. Checks should be made payable to D’Youville College and mailed or delivered to the student accounts office. Payments are accepted in the form of cash, checks, MasterCard or Visa. It is understood that students using credit cards to pay their tuition and fees have read and understand the college’s refund policy.
In case of unauthorized absence or withdrawal from the college, tuition and board adjustments will be made from the date on which the withdrawal is processed through the registrar’s office. Students are required to present an approved withdrawal form to the registrar’s office.
All tuition and fees for course registration will be promptly refunded to the student
a) if he or she gives written notice to the institution within two (2) days after
signing a registration agreement that he or she rescinds the agreement; or
b) if the program or part of a program, as the case may be, is discontinued before
the first day.
All and tuition fees for course registration will be promptly refunded to the student,
a) if he or she gives the institution written notice that he or she does not intend to
begin the program or course, as the case may be; or
b) if he or she does not attend the first ten (10) consecutive days of the program
or course, as the case may be.
All tuition and fees for course registration will be promptly refunded to the student
a) if he or she withdraws from a program or part of a program, as the case may be,
before one-half of it has been completed; or
b) b) if the program or part of a program is discontinued or suspended for any
reason.
After the first ten consecutive days of classes, students are responsible for tuition and fees associated with their course registration unless they officially withdraw.
Nonattendance does not constitute withdrawal. Withdrawals must be processed through the registrar’s office.
Tuition refunds for the fall and spring semesters will be based on the date of official withdrawal through the registrar’s office.
Students who officially withdraw during the fall or spring semesters may be eligible for a refund of tuition in accordance with the following schedule:
TUITION REFUND
Through the end of the eighth week ...... 100%
After the eighth week ...... 0%
ROOM AND BOARD REFUND
Through the end of the eighth week ...... 100%
After the eighth week ...... 0%
The first day of classes constitutes the beginning of the first week. Fall, spring, and summer schedules should be consulted for exact dates of each semester.
Tuition and board are not refunded in case of unauthorized or unrecorded withdrawal.
The following policies regarding registration cancellation and withdrawal is excerpted from the undergraduate catalogue.
Registration
Undergraduates are expected to register during the periods specified in the academic calendar. Specific dates are posted for each class year; time of registration is determined by computer lottery and posted in the lobby of the
Health Science Building and on the bulletin board outside the registrar’s office.
Prior to registration, the student must consult with the academic advisor and clear with the student accounts office. At the time of registration, the student must be in compliance with New York state health laws.
Student schedules are available in the registrar’s office shortly after the registration period has ended.
Once officially registered, the individual is responsible for payment of tuition and fees. No one will receive credit for a course unless officially registered for it.
Course Load
Full-time undergraduate students carry 12 or more credits. The average
course load for a student is 15 credit hours. Full-time tuition covers from 12 to 18 credit hours.
Students with a Q.P.A. of 3.0 or above may elect to carry more than 18 hours a semester. Specific permission for this is obtained from the department chair. Students are charged for any credit hours over 18 at the current rate per credit hour.
Change of Registration (Drop/Add Procedure)
Students may change their course selection by submitting a completed form to the registrar’s office during the scheduled drop/add period at the beginning of each semester.
Matriculating students need an advisor’s signature on the change of registration form when adding or deleting a course. If a student merely wishes to change the section, but retain the same course, only the student’s own signature is needed on the form. However, in those majors where student schedules are constructed with a pre-determined block of courses and laboratories, the signature of the program director is necessary to authorize a change of section.
Students may not “force register” by appearing in a class. During the drop/add period students who have been closed out of a course may have their name placed on a waiting list in the registrar’s office. Students are notified should space become available.
Withdrawal from a Course
In order to withdraw from a course at any time, a student must complete
a course withdrawal (“drop/add”) form, obtain the signature of the advisor and return the form to the registrar’s office before the end of the tenth week of the semester.
A grade of W appears on the transcript when the student withdraws after the end of the drop/add period but before the end of the tenth week of the semester. Students who do not follow this procedure but merely stop attending class will receive a grade of F for the course.
11.1 Enrolment Contract
The institution does not employ an enrollment contract. Instead D’Youville uses a registration form which requires review and approval by both the student and an academic advisor to ensure that courses selected each semester satisfy program requirements.
Students are supplied with a grade reports at the end of each semester, listing the courses completed as well as the program they are registered in.
The start date and end date for each semester is published on the course listing for that semester. Policies on withdrawals are published in that same document and are supplied in Appendix 15.1
12.1 Student Awareness of Policies
D’Youville provides students with an Undergraduate Academic Catalogue upon admission. Students are also provided with a Student Handbook upon registration.
Students will be required to sign a statement that verifies receipt. These verification statements will be kept on file in the campus office.
These documents summarize the following policies and procedures:
a) method of course delivery;
b) academic honesty;
c) admission requirements;
d) credit transfer arrangements with and recognition by other institutions;
e) grading;
f) intellectual products;
g) the ability of international students admitted to the program to meet program
requirements for degree
completion;
h) scholarships and other financial assistance;
i) student complaints and grievances;
j) student withdrawal, dismissal, and refunds;
k) where applicable, supervision, preparation, and examination of
theses/dissertations.
Academic Advisement
D'Youville places great emphasis on academic advisement. Advisement is essential for students to achieve success throughout college life. It is a student's responsibility to
understand academic policies and procedures published in the undergraduate and graduate catalogs as well as those in their individual academic programs. Meeting regularly with academic advisors is highly recommended. Students may need to meet their academic advisors during these times.
Pre-registration/registration periods
Prior to any class changes or withdrawals
Following any report of unsatisfactory academic performance
When experiencing any personal, academic or adjustment problems.
Prior to withdrawing from any course
Prior to taking a leave of absence.
Prior to changing majors.
Students should contact the program chair if they are unaware of their academic advisor.
Credit transfer arrangements for incoming students:
If an incoming student has transfer credits from another institution, they must present an "official" transcript as part of their admission procedure. The Registrar's office evaluates the courses and credits the student has achieved and allocates appropriate credit.
Prior learning assessment:
A student must provide the appropriate documentation of any prior learning assessment completed by an outside institution.
13.1 Notification of Credit Transfer
If an incoming student has transfer credits from another institution, he or she must present an "official" transcript as part of their admission procedure. The Registrar's office evaluates the courses and credits the student has achieved and allocates appropriate credit. Transfer credit awards are reflected on the student transcript.
14.1 OTHER RELEVANT INFORMATION (OPTIONAL)
Other Information relevant to the characterization of the Organization
N/A
PART A –2
15.1 History, Mission and Goals
History:
The Grey Nuns founded D’Youville as the first college for women in Western
New York in 1908. Under its 1908 charter of incorporation, D’Youville College is legally authorized to conduct an institution of higher learning and to grant recognized degrees. A self-perpetuating board of trustees has governed the college since a charter amendment in l940. It became coeducational in 1971. D’Youville College is an independent, urban, coeducational institution. It provides liberal arts and professional programs for more than 2,400 graduate and undergraduate students in day, evening, weekend, and summer sessions.
Mission:
The following Mission Statement was approved by the D’Youville Board of
Trustees on May 9, 2002:
D’Youville College is an independent institution of higher education
that offers baccalaureate and graduate programs to students of all
faiths, cultures, and backgrounds.
D’Youville College honors its Catholic heritage and the spirit of
St. Marguerite d’Youville by providing academic, social, spiritual,
and professional development in programs that emphasize leadership
and service. D’Youville teaches students to contribute to the world
community by leading compassionate, productive, and responsible
lives.
Goals:
1. A unique position in the market for each program Each DYC program will be known for something that is valued by significant numbers of potential students and that is different than the offerings of other institutions of higher learning.
2. Sufficient capital DYC will have a significant internal source of financial aid, investment in administrative and academic information systems, and facilities and infrastructure to meet the changing needs/expectations of the students and faculty.
3. Information DYC will have, and make available to appropriate individuals, the most appropriate information for making choices, choosing among risks, and evaluating our success relative to our mission.
4. Graduates who represent us well. DYC graduates will be literate, communicate well, and be proficient with computers. Graduates will have something to bring to the world other than their specific degree areas, including life management skills and the ability to think creatively and critically.
5. Controlled, consistent growth. DYC will attract increasing numbers of undergraduate and graduate students, with an increasing proportion of better qualified applicants and new students.
6. Integrity We will earn the respect of students, employers, and opinion leaders by offering programs as advertised, giving students what we promise, providing values-based education, and continuing a commitment to community service. There will be consistency in action and thought.
7. The best faculty, administration and staff providing the best service. Faculty will be the cutting edge of their professions and capable of stimulating students to do their best. The workplace will attract and retain a diverse group of individuals who are the best employees, and who are committed to making the campus extremely user-friendly.
8. Commitment to missions and values. Employees and students will understand the College mission and core values, and incorporate them into academics and their commitment to community service.
15.2 Current Degree Programs Program Title Degree Credential Level Awarded
Accounting BS BS Biology BA BA Biology Health Professions Preparation BA BA Biology Pre Med, Veterinarian, Dental BS BS Chiropractic D.C D.C. Dietetics BS/MS BS/MS Education Interdisciplinary Studies BA BA Early Childhood Education MS MS Childhood Education MS MS Middle Childhood Ed (Generalist) MS MS Middle Childhood ED (Specialist) MS MS Adolescence Education MS MS Teaching Students w/ Disabilities in Early Childhood Education MS MS Teaching Students w/ Disabilities in Childhood Education MS MS Teaching Students with Disabilities in Middle Childhood Education MS MS Generalists Teaching Students w/ Disabilities in Middle Childhood Education MS MS Specialist Teaching Students w/ Disabilities in Adolescence Education MS MS English BA BA Exercise and Sports Studies BS BS Family Nurse Practitioner MS MS Global Studies BA BA Health Policy and Health Education EdD EdD Health Services BA BA Health Services Administration MS MS History BA BA Information Technology BS BS Interdisciplinary Studies BA BA International Business BS/MS BS/MS International Business MS MS Nursing BSN BSN Nursing MS MS Nursing/Community Health Nursing BSN/MS BSN/MS Nursing/Community Health Nursing MS MS Occupational Therapy BS/MS BS/MS Occupational Therapy MS MS Philosophy BA BA Psychology BA BA Physical Therapy BS/MS BS/MS Physical Therapy MS MS Physical Therapy D.P.T. D.P.T Physician Assistant Education BS BS Sociology BA BA
Teaching English to Speaker of Other Languages MS MS
15.3 Proposed Program(s)and Mission/Goals
The proposed program prepares individuals to become professionals in the
field of education. Structured in the liberal arts tradition, the curriculum introduces the
student to the principal areas of human learning, develops the intellectual and social
maturity that allows one to realize his or her potential as a responsible individual, and
provides each student with the capabilities to meet the challenges and demands of a
pluralistic world in an effective, productive manner. Professional education courses
and field experiences provide the support necessary for teacher competencies of
knowledge, skills, attitudes, and understandings, and for developing the expertise
necessary to function effectively in teaching-learning situations.
The Program graduate is one who:
-Has acquired a knowledge of the social, philosophical,
and organizational bases of education.
-Is a professional educator capable of rational decision-making
as it pertains to developing effective teaching-leaming
environments.
-Demonstrates the ability to collaborate effectively with students,
staff, colleagues, parents, and the community.
-Possesses those attitudes and dispositions, values, and habits which are
essential to a teacher in a pluralistic society. This includes the ability to
create effective teacher-leamer environments for individuals for whom
English is a second language, individuals of both genders, individuals from
disadvantaged homes, and individuals from varying ethnic and cultural
groups.
-Understands the impact of human development, culture, heritage,
nutrition, and home, school, and commuruity environment on the
process of education.
-Exhibits effective communication skills in both oral and written language
-Understands the purposes of evaluation and demonstrates the
ability to evaluate student progress and growth through evaluation
techniques specifically related to given purposes.
-Exhibits the vision of Marguerite d'Youville by continuing to grow professionally
and participating through study, research reading, involvement in community
events, and membership in professional organization and activities so that
learning becomes a lifelong process.
This proposed program is entirely consistent with the mission of the institution and, in fact, does not involve a substantive change in the type of program offered, merely its location. As an independent institution of higher education, D’Youville has always offered baccalaureate programs to students of all faiths, cultures, and backgrounds. It now intends to provide Canadian students with access to its high quality
educational programs at a site in Ontario, thereby increasing potential student access to higher education.
D’Youville’s mission also entails the provision of academic, social, spiritual, and professional development in programs that emphasize leadership and service.
D’Youville teaches students to contribute to the world community by leading compassionate, productive, and responsible lives. It is our contention that the training of professionally educated teachers provides a service to the community and to the individual students being educated that is entirely in harmony with our mission.
15.4 Five Year Business Plan
2003-04 2004-05 2005-06 2006-07 2007-08 Canadian Enrollment Education (head count) Fall 50 200 400 500 Spring 100 250 500 500 Summer 150 300 500 500 Total 300 750 1400 1500
Education (credit hours) Fall 750 3000 6000 7500 Spring 1500 3750 7500 7500 Summer 2250 4500 7500 7500 Total 4500 11250 21000 22500
Sections Taught 60 150 280 300
Faculty Needed Full Time 6 24 50 54 Part Time 45 90 154 165
Courses 2.5 2.5 2.5 5-Feb Taught US=4, C=2.5
Percentage of: full time 25% 40% 45% 45% faculty part time 75% 60% 55% 55% faculty
Faculty Costs Full Time (@ $420,000 $1,747,20 $3,815,885 $4,251,986 $70,000 0 CDN) Part Time (@ $252,000 $524,160 $932,772 $1,039,374 $5600 CDN/ course) annual 4% 4% 4% incremen t Fringe $141,120 $476,986 $997,218 $1,111,186 Benefits @ 21%
Total $813,120 $2,748,34 $5,745,875 $6,402,546 6
Staff Costs
- 60 -
(including fringe benefits) Admnistrativ $72,600 $117,104 $163,388 $169,924 e Support $62,642 $65,147 $67,753 $70,463 Total Staff $135,242 $182,251 $231,141 $240,387 Costs
Library Books $75,000 $150,000 $150,000 $150,000 Office and $30,000 $78,000 $151,424 $168,730 Academic Supplies Student lacement $134,316 $349,222 $1,355,911 $1,510,872 @$895 ea. Faculty Travel $10,000 $11,000 $12,000 $13,000 Initial Setup and $100,000 $110,000 $85,000 $85,000 $85,000 Ongoing Costs Student and 143 $430,500 $1,119,30 $2,172,934 $2,421,270 Central Services 5 ea. 0 @$1435 per student TOTAL $789,816 $1,792,52 $3,927,269 $4,348,872 2
Facility Costs (per $432 $449 $486 $547 student, per semester) Total cost $129,600 $336,960 $630,318 $819,927 per year
Student Activity $313 $326 $339 $352 Fee (per student, per semester) Total cost $93,900 $244,140 $473,957 $528,124 per year
Contigency for $100,000 $100,000 $100,000 $100,000 unanticipated expenses
Total Costs $100,000 $2,061,67 $5,404,21 $11,158,56 $12,439,85 8 9 0 5
Tuition Revenue 0 $2,293,20 $5,962,32 $11,574,85 $12,897,69 0 0 1 1 less bad ($13,432) ($33,580) ($62,683) $67,160 debts Student Fees $18,000 $45,000 $84,000 $90,000 Total $2,297,76 $5,973,74 $11,596,16 $12,920,53 Revenue 8 0 8 0
Surplus/(Deficit) ($100,000 $236,090 $569,521 $437,607 $480,675 )
Revenue/Expens 1.1 1.1 1 1 e Ratio
inflation factor 4% 4% 4% 4% per credit hour $510 $530 $551 $573 charge per year
Assumptions
- Faculty Needed: the full time, part time ratio mirrors the course loads at the D’Youville College U.S. campus and is intended to provide diversity of instruction in the classroom. - - Faculty Costs: based on a full time faculty course load of five courses in an academic year. - - Staff Costs: 4.5 FTE staff on the Fanshawe campus will provide administration and academic coordination between the Canadian and U.S. campuses. - - Student Placement: D’Youville College is including in the cost of the tuition, the fees paid to the various school districts for the placement of student in student teaching assignments. - - Initial Setup and Ongoing Costs: this covers marketing and the cost for professional services that are not included in the facility cost reimbursement to Fanshawe College. - - Student & Central Services: the cost per student to provide support to each Canadian student, from the main D’Youville College campus. - - Facility Costs/Student Activity Fee: These are per student fees included in the cost of tuition that D’Youville College will pay to Fanshawe College and their Student Association, to allow students enrolled in this program to access all the Fanshawe campus facilities, it also includes a student bus pass. - - Contingency for Unanticipated Expenses: since we know there will be unanticipated costs a contingency has been provided for. - - Bad Debts: based on our current experience per student.
15.5 Academic Policies
The following Academic Policies support the mission of the college:
Academic Standing -General College Requirements
Admission to a Major
Classification of Students
Policy on Academic Integrity
Religious Holidays
Family Education Rights and Privacy Act of 1974 (FERPA)
A copy of these policies follows:
Academic Standing-General College Requirements
A student’s academic standing is determined by the cumulative quality point average
(Q.P.A.). An undergraduate’s cumulative-earned credits determine the classification of that student by year. Sophomores, juniors and seniors are expected to maintain a minimum cumulative Q.P.A. and a semester average of 2.0.
Seniors, juniors, and sophomores with a semester average below 2.0 receive a letter of warning from the dean and are placed on academic probation for one semester. After two consecutive semesters on probation, a student may be asked to take a leave of absence or may be dismissed. Probation continues beyond two semesters only under extraordinary circumstances.
First semester freshmen with a Q.P.A. below 1.8 are placed on academic probation for one semester and limited to 12 credit hours in the following semester. After two consecutive
semesters with a cumulative Q.P.A. below 1.8, a freshman is subject to dismissal from the college.
Students on academic probation are limited to a maximum of 12 credit hours. Freshmen and sophomores placed on probation by the Academic Policies Committee will be required to meet with a designated contact person in the learning center to develop an academic plan constructed to improve their Q.P.A. Juniors and seniors will be subject to policies developed by their department. Failure to make these contacts may result in dismissal or mandatory leave of absence following review by the Academic
Policies Committee.
No student who has been dismissed from the college will be permitted to take courses on a non-matriculated basis. No student who has been placed on forced leave of absence will be permitted to take courses on a non-matriculated basis during the term of the leave.
Special admit students who do not meet satisfactory academic progress at the end of their first two semesters, may be required to take a one semester leave of absence.
Any student who is receiving credit and matriculating toward a degree is in good standing.
Admission to a Major
Qualified students are admitted to a major when they are accepted into the college. Students who are suitably qualified, but undecided about selection of a major, may matriculate as Career
Discovery Program students. A student who has attained 45 credit hours, must be accepted into a major program or may be subject to dismissal from the college. A student dismissed from one major may transfer to another major within the college provided that the student meets the standards specified in the new major. Such transfers must occur within one semester of the dismissal from the major, otherwise, the student may be subject to dismissal from the college.
Students who are admitted to the college, but who have not declared or have not been accepted into a college major, will be assigned to the Career Discovery Program and their
admission files will be forwarded to the chair of liberal arts and the CDP coordinator, who will assign the student an advisor. Within this group of students, those who are taking course work intended to complete the entrance requirements for an intended major will be permitted to complete one full semester of course work before being assigned to a CDP class. At the end of one semester, if these students are accepted into their major of interest, they will be transferred from the CDP into the new major. Students who have not been successful in admission to the major of interest after one semester of course work will be required to begin a Career Discovery course or apply to another major. Upon completion of the Career Discover Program course, but not later than the beginning of the third semester of academic work or completion of 45 credit hours, the student must choose an academic major or risk being dismissed from the college.
Classification of Students
Matriculating students are those following a prescribed curriculum of study leading to a degree.
Matriculating students are eligible for financial aid consideration. Undergraduate matriculants are grouped by class year based on the number of credits earned:
• Seniors have earned 86 or more credits
• Juniors have earned 56-85 credits
• Sophomores have earned 26-55 credits
• Freshman have earned 25 or fewer credits.
In certain majors, program requirements determine the level of the students within the major, regardless of the total hours completed. Therefore, the class year does not always indicate the graduation year.
Non-matriculating students have not been formally accepted into the college, whether they are attending undergraduate or graduate classes. Students dismissed from the college or placed on a leave of absence may not attend as non-matriculating students.
The classification codes recorded in the registrar’s office are used for periodic college and government purposes.
Policy on Academic Integrity
Students are expected to conduct themselves with integrity and honesty while completing course requirements and complying with college academic regulations. Violations of academic integr5ity include, but are not limited to the following:
(a) PLAGERISM: The presentation of another writing or another idea as one’s own without
citation.
(b) CHEATING: The use or provision of any unauthorized assistance when completing an
exam or individual assignment.
(c) FALSIFICATION: The fabrication of signatures, notes, reports, data, or other academic
information; the submission of reports, papers, or exams prepared by a person other than
the student; this includes purchasing or selling term papers or other academic materials.
(d) PROCUREMENT: The distribution or acceptance of prior or current lab assignments,
exams, or other academic matter without the permission of the instructor.
(e) CO-SUBMISSION: The submission, without permission of the instructor, of academically
required materials previously or contemporaneously submitted in whole or in substantial part
in another class.
A breach of academic integrity as determined by the instructor, shall result in automatic failure of the exam, paper, or course and/or inability to repeat the course, a requirement of additional academic work, or as stated in the course syllabus. Demonstrated infractions will be
reported to the dean of the respective school. Appeals from the instructor’s decision will be made first to the department chair, then to the dean of the respective school and possible referral to the Academic Integrity Board. Appeals from decisions of the Academic Integrity
Board may be made to the Judicial Review Board of the college. Appeals from the decision of the Judicial Review Board may be made to the college president whose decisions shall be final.
Repeated infractions may result in dismissal from the college.
RELIGIOUS HOLIDAYS
D’Youville College complies with state regulations regarding religious holidays. State
Education Law S224-a, regarding students unable because of religious beliefs to attend classes on certain days states the following:
1. No person shall be expelled from or refused admission as a student to an institution of
higher education for the reason that he/she is unable, because of religious beliefs, to attend
classes or participate in any examination, study, or work req1uirement on a particular day or
days.
2. Any student in an institution of higher education who is unable, because of religious beliefs
to attend classes on a particular day or days shall, because of such absence on the
particular day or days, be excused from any examination or any study or work requirements.
3. It shall be the responsibility of the faculty and the administrative officials of each institution of
higher education to make available to each student who is absent from school because of
religious beliefs, an equivalent opportunity to make up any examination study, or work
requirement the student may have missed because of such absence on any particular day
or days. No fees of any kind shall be charged by the institution for making available to the
stude3nt such equivalent opportunity.
4. If classes, examinations, study or work requirements are held on Friday after 4 p.m. or on
Saturday, similar or make-up classes, examinations, study or work requirements shall be
made available on other days, where it is possible and practicable to do so. No special fees
shall be charges to the student for these classes, examinations, study or work requirements
held on other days.
5. In effectuating the provisions of this section, it shall be the duty of the faculty and of the
administrative officials of each institution of higher education to exercise the fullest measure
of good faith. No adverse or prejudicial efforts shall result to any student who makes use of
the provisions of this section,.
6. Any student, who is aggrieved by the alleges failure of any faculty or administrative official to
comply in good faith with the provisions of this section, shall be entitled to maintain an action
or proceeding in supreme court of the county in which such institution of higher education is
located for the enforcement of rights under this section.
FAMILY EDUCATION RIGHTS AND PRIVACY ACT OF 1974 (FERPA)
D’Youville College students or parents, as provided by statute, may review any official records, files and data directly related to themselves that are on file with the registrar’s office or in the
Career Service Center. The files available include identifying data, academic work completed, grades, family background information, references, ratings and/or observations. (References, ratings and/or observations completed before Jan. 1, 1975, are not available to students.)
Requests to see the aforementioned materials should be made in writing to the registrar or the direction of the Career Services Center, respectively. The records, files, and/or data will be made available no later than 45 days from the time the written request is received.
Student records, files, and data will be made available to other individuals or agencies outside the college only after the student concerned has authorized the release of the information.
However, the following are exceptions:
1. Authorized officials (e.g. officials of other schools in which the student seeks to enroll.
2. Accrediting organizations.
3. In the case of an emergency if the knowledge of such information is necessary to protect the
health and safety of the student or other persons.
16.1.1 Governance and Administrative Structure
D’Youville College is governed by a Board of Trustees, the President of the College, and the President’s Executive Council. The Executive Council is made up of Academic and
Administrative Vice Presidents, Deans, and Directors. There are 6 Administrators on the
Executive Council, including those responsible for Student Affairs, Finance, Operations,
Enrollment Management, Institutional Advancement, and Public Relations. The academic side of the College is governed by the Vice President for Academic Affairs, the Dean of Faculty, and the Dean of Planning and Evaluation. The faculty are represented by the Faculty and Graduate
Councils, and their individual departments and programs.
The table below summarizes the academic governance of the College. The accompanying by-laws of the Board of Trustees, the Faculty Council, and the Graduate Council summarize the relationships and governance structures in place at the College.
Board of Trustees
President
Executive Council
Vice President for Academic Affairs Administrative Vice Presidents
Dean Planning and Evaluation
Faculty Council Graduate Council
Departments/Programs
Faculty
16.1.2 Responsibilities of Governing Bodies.
The governance of the academic programs at D’Youville College is described by the responsibilities and authority of each of those identified in the organizational chart above.
Included here as well are the governing By-Laws of the Board of Trustees, the Faculty Council and the Graduate Council of the College.
1.) Vice President for Academic Affairs –
The chief academic officer of the institutions, responsible for the management and oversight of all aspects of educational delivery. The VPAA supervises the various programs and curricula of the institution, supervises faculty, directing their recruitment, development, and evaluation. This officer also directs the management of the Library, Academic Computing, the
College Skills Center, the Advisement Center, and all personnel and procedures within them.
2.) Dean for Planning and Evaluation –
This position includes, but is not limited to, responsibility for research and evaluation regarding academic programs at the College. The incumbent assists the VPAA in developing proposals for new program development, oversees academic policy and administrative issues in the College's doctoral programs, assists in accreditation studies, and supervises the design and implementation of academic outcomes assessment.
3.) Faculty and Graduate Councils, Academic Departments, and Faculty
A description of the responsibility and authority of these groups is contained within the following By-Laws.
BYLAWS OF THE BOARD OF TRUSTEES
OF D’YOUVILLE COLLEGE
Restructured and Amended as to Form and Content Adopted and Effective September 10, 1998
BYLAWS OF THE BOARD OF TRUSTEES OF D'YOUVILLE COLLEGE
Article I Nature
1. Pursuant to the Charter of D'Youville College, the Board of Trustees is a self- perpetuating corporate body in which is vested full legal jurisdiction in all that pertains to the College.
Article II Membership
1. The Board of Trustees shall consist of not more than twenty-five nor less than fifteen members, of whom not more than one-third shall be members of the Grey Nuns of the Sacred Heart.
2. The President of the College and the President of the Alumni Association shall be members of the Board of Trustees during the terms of their respective presidencies.
3. A former Trustee who has served with distinction may be designated by the Board of Trustees as a Trustee-Emeritus who, by virtue of such status, shall be authorized to attend and participate in all meetings of the Board of Trustees and its Committees, but shall not be authorized to vote or to serve as an officer of said Board.
Article III Term of Office
1. Except as provided in Article II, Paragraph 2, the term of office of each Trustee shall be three years or, when applicable, for the balance of an unexpired term. In either event, a Trustee's term of office shall commence upon adjournment of the Board of Trustees meeting during which said Trustee is elected, and shall end upon adjournment of the annual meeting of said Board held in the year said term is scheduled to expire.
2. A Trustee shall be eligible for reelection to serve two additional terms of three years each.
3. A person who has served as a Trustee for three consecutive terms as herein defined shall not for a period of one year thereafter be eligible to serve as a Trustee.
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Article IV Vacancies
1. Vacancies on the Board of Trustees shall occur by reason of expiration of term, voluntary resignation, unexcused absence from three consecutive Board meetings, death, or other disability.
2. Except as otherwise provided herein, vacancies to occur by reason of expiration of a member's term shall be filled by majority vote of Trustees present at the annual meeting of the Board of Trustees.
3. Vacancies resulting in an unexpired term shall expeditiously be filled for the balance of the three-year term by majority vote of Trustees present at a duly constituted meeting of said Board.
Article V Powers and Duties of the Board
The Board of Trustees shall manage and direct the affairs, business, and activities of D'Youville College and shall have such powers as are provided by the laws of the State of New York and more particularly by Section 226 of the Education Law and by the Charter of the College. These powers shall include, but not be limited to, the following:
1. Appoint the President and the Treasurer of the College and periodically review and assess their performance in office.
2. Establish, determine, or approve the general policies of the College.
3. Determine the annual budget of the College, safeguard its endowments, manage its investments, and cultivate all appropriate sources of financial support.
4. Authorize the conferring of degrees.
5. Authorize the conferring of honorary degrees upon persons deemed
6. worthy of such honor.
Article VI Officers of the Board of Trustees
The officers of the Board of Trustees shall be a Chairperson, a Vice Chairperson, and a Secretary, each of whom shall be elected annually by the Board of Trustees at its annual meeting, to take effect immediately. The Secretary need not be a Trustee.
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Article VII Duties of the Officers
1. The Chairperson of the Board of Trustees shall preside at all meetings of the Trustees, chair the Executive Committee of the Board of Trustees, and perform the duties customarily associated with the presiding officer. In consultation with the President, the Chairperson shall have the responsibility for developing the agenda of all Trustee meetings.
2. The Vice Chairperson shall aid and assist the Chairperson in the performance of the latter's duties and in the absence of the Chairperson shall perform the duties of the Chairperson.
3. The Secretary of the Board shall record and preserve all minutes of the Board of Trustees and shall in general perform those duties usually associated with a secretary of a corporation.
Article VIII Meetings
1. The annual meeting of the Board of Trustees shall be held in the month of May at the call of the Chairperson of the Board.
2. The regular meetings of the Board of Trustees shall be held twice in each year during the months of October and February at the call of the Chairperson of the Board.
3. Special meetings may be called at any time by the Chairperson of the Board or the President of the College or upon written petition of six or more Trustees.
4. Written notice of all regular and special meetings shall be mailed to each Trustee's designated mailing address not less than five nor more than ten days prior thereto.
5. A majority of the Trustees shall constitute a quorum.
6. Except as otherwise provided herein, the vote of a majority of Trustees present at a Board meeting shall be sufficient for the adoption of any resolution or for any other action.
7. The vote of two-thirds of the membership of the Board is required to:
a. amend the bylaws b. approve the sale or mortgaging of real property or the leasing thereof for more than three years c. amend the Charter d. appoint the President
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Article IX Attendance at Meetings
A Trustee who fails to attend three consecutive meetings without excuse, accepted as satisfactory by a majority of the Trustees present at a duly constituted meeting shall be deemed to have resigned and the vacancy thus created shall be filled as hereinbefore provided.
Article X Order of Business
The order of business of all meetings of the Board of Trustees shall generally be as follows:
1. Call to order 2. Acceptance of excuses for absences 3. Approval of minutes of previous meeting 4. Reports of standing committees 5. Unfinished business 6. New business 7. Report of the President 8. Announcements 9. Adjournment
Article XI Standing Committees
1. The Board of Trustees shall function through a series of standing committees each of which has been assigned defined areas of responsibility. There shall be an Executive Committee, a Finance Committee, a Nominating Committee, an Institutional Advancement Committee, a Buildings and Grounds Committee, an Apostolic Mission Committee, and such other standing committees as the Board of Trustees shall, by resolution, deem appropriate.
2. The Executive Committee shall be composed of the Chairperson, Vice Chairperson, and Secretary (if a Trustee) of the Board of Trustees, the President of the College, and the five (5) Trustees appointed to chair, respectively, the Finance, Nominating, Institutional Advancement, Buildings and Grounds, and Apostolic Mission Committees.
3. The Chairperson of the Board of Trustees shall annually appoint a Trustee to chair each standing committee, other than the Executive Committee, and shall, in consultation with each Committee Chairperson so appointed, annually appoint not less than three other Trustees as members of each standing committee. A Trustee may not simultaneously chair, but may simultaneously be a member of more than one standing committee. The Chairpersons and members of standing committees may be reappointed in successive years during their respective terms as Trustees.
4. The Chairperson, Vice Chairperson, and Secretary (if a Trustee) of the Board of Trustees and the President of the College shall be ex officio members of all standing committees.
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5. Meetings of standing committees shall be held upon the call of the Trustee chairing the Committee, the Chairperson of the Board of Trustees, the President of the College, or on request of a majority of members of the Committee.
Article XII Duties and Responsibilities of Standing Committees
1. Executive Committee: In the interim between Board meetings, the Executive Committee may transact such business of the corporation as the Trustees may authorize, except to grant degrees or to make removals from office.
2. Finance Committee: The primary responsibility of the Finance Committee is to monitor the financial condition of the College. In the interim between Board meetings, it may approve the borrowing of money when deemed necessary for the sound fiscal operation of the College. It shall review the assumptions on which the annual budget is based and shall recommend approval of the budget for each fiscal year. Following the close of each fiscal year, it shall review that year's fiscal experience, including the annual audit and management letter. It shall review and make recommendations concerning the investment policy of the College and monitor investment performance. It shall make recommendations concerning major plant fund expenditures and shall otherwise review and make recommendations to the Board of Trustees on all matters of significant financial impact upon the College.
3. Nominating Committee: It shall be the responsibility of the Nominating Committee to submit to the Board of Trustees in a timely manner, the names of candidates nominated for election to membership on the Board, the names of Trustees nominated to serve as officers of the Board, the names of candidates for appointment as President of the College, and the names of those deemed worthy of receiving honorary degrees.
4. Institutional Advancement Committee: It shall be the responsibility of the Institutional Advancement Committee to facilitate, expand, and monitor the full development efforts of the College, including fund raising and community presence activities. It shall periodically review and make recommendations for improvement of fund raising programs and shall otherwise assist the President to accomplish the full development potential of the College.
5. Building and Grounds Committee: It shall be the responsibility of the Buildings and Grounds Committee to oversee the College’s physical assets: its land, buildings, and equipment. It shall be charged with the tasks of ensuring the adequacy and condition of capital assets, developing and periodically reviewing policies, advocating for new structures and rehabilitating or renovating older structures as dictated by the Board, as well as controlling plant debt and ensuring adequate levels of funding plant maintenance.
6. Apostolic Mission Committee: The Apostolic Mission Committee has the responsibility of educating Trustees about the life of Marguerite d’Youville and the mission of D’Youville College. Also, the committee is responsible for reviewing the College’s fidelity to its mission. - 78 -
Article XIII Administration
The President of the College shall be the direct representative in the management of the College and shall be given the necessary authority to do so. The President will be held responsible for the administration of the College in all its activities and departments, subject only to such regulations as may be adopted and such orders as may be issued by the Board of Trustees or by any of its committees to which it has delegated power for such action. The President of the College shall act as the duly authorized representative of the Board of Trustees in all matters in which the Board of Trustees has not formally designated some other person for that specific purpose and shall be responsible for carrying out all policies established by the Board of Trustees. The President of the College shall have the power to appoint an Executive Vice President who shall aid and assist the President in the administration of the College and who, in the absence of the President, shall perform such duties of the President as the President shall direct.
Article XIV Seal
The seal of the corporation shall be in the form of a circle and shall bear the name of the corporation and word "Sigillum" in the form of the impression annexed thereto.
Article XV Indemnification
The College shall, to the fullest extent permitted by applicable law, as amended from time to time, indemnify each person made, or threatened to be made, a party to any action or proceeding, whether civil, criminal, administrative, investigative ("Proceeding") by reason of the fact that such person or such person's testator or intestate, is or was a Trustee or officer of the College, or, while a Trustee or officer, serves or served, at the request of the College, any other corporation, partnership, joint venture, trust, employee benefit plan or other enterprise in any capacity, against judgments, fines, penalties, amounts paid in settlement and reasonable expenses (including attorney's fees, costs and charges) incurred in connection with such threatened or pending Proceeding, or any appeal therein; provided that no such indemnification shall be made if a judgment or other final adjudication adverse to such person establishes that (i) his acts were committed in bad faith or were the result of active and deliberate dishonesty and were material to the cause of action so adjudicated, or (ii) he personally gained in fact a financial profit or other advantage to which he was not legally entitled, and provided further that no such indemnification shall be required with respect to any settlement or other nonadjudicated disposition of any threatened or pending Proceeding unless the College has given its prior consent to such settlement or other disposition.
The College shall, from time to time, advance or promptly reimburse upon request any Trustee or officer seeking indemnification hereunder the funds necessary for payment of expenses (including attorney's fees, costs and charges) reasonably incurred in connection with any threatened or pending Proceeding in advance of the final disposition thereof upon receipt of a written undertaking by or on behalf of such person to repay such amount if such person is ultimately found not to be entitled to indemnification or, where indemnification is granted, to the - 79 -
extent the expenses so advanced or reimbursed exceed the amount to which such person is entitled.
Any person seeking indemnification hereunder agrees promptly to notify the College in writing upon being served with any summons, citation, subpoena, complaint, indictment, information, or document relating to a Proceeding; the omission so to notify the College will not relieve it from any liability hereunder except to the extent the College is prejudiced by such omission. The following will be the action with respect to any such Proceeding:
a. The College will be entitled to participate therein at its own expense; and
b. Except as otherwise provided below, to the extent that it may wish, the College along (or jointly with any other indemnifying party similarly notified) will be entitled to assume the defense thereof, with counsel reasonably satisfactory to the person seeking indemnification hereunder. After notice from the College to such person of its election so to assume the defense thereof, the College will not be liable to such person for any legal or other expenses subsequently incurred by such person in connection with the defense thereof other than reasonable costs of investigation or as otherwise provided below. Such person shall have the right to employ his own counsel in such Proceeding but the fees and expenses of such counsel incurred after notice from the College of its assumption of the defense thereof shall be at the expense of such person unless (i) the employment of counsel by such person has been authorized by the College, (ii) such person shall have reasonably concluded that there may be a conflict of interest between the College and such person in the conduct of the defense of such Proceedings or (iii) the College shall not in fact employ counsel to assume the defense of such Proceeding, in each of which case the fees and expenses of counsel shall be at the expense of the College; provided, however, that such person shall cooperate in good faith with any request by the College that common counsel be utilized by the parties to the Proceeding who are similarly situated unless to do so would be inappropriate due to actual or potential differing interests between or among such parties. The College shall not be entitled to assume the defense of any Proceeding brought by or on behalf of the College or as to which such person shall have made the conclusion provided for in (ii) above.
Nothing herein shall limit or affect any right of any person otherwise than hereunder to indemnification or to advancement of expenses (including attorney's fees, costs, and charges) under any statute, rule, regulation, charter, bylaw, resolution of directors or members, insurance policy, contract, or otherwise.
If a request to be indemnified or for the advancement of expenses pursuant to this Article is not paid in full by the College within 60 days after a written claim has been received by the College, the person seeking indemnification or advancement of expenses may at any time thereafter bring suit against the College to recover the unpaid amount of the claim and, if successful in whole or in part, the person seeking indemnification or advancement of expenses shall be entitled also to be paid the expenses of prosecuting such claim. In any such judicial proceeding, the College shall have the burden of proving by the preponderance of the evidence that the person seeking indemnification or advancement of expenses is not entitled to - 80 -
indemnification or advances hereunder. Neither the failure of the College (including its Board of Trustees or independent legal counsel) to have made a determination that the person seeking indemnification or advancement of expenses is entitled to indemnification or advancement of expenses in the circumstances nor an actual determination by the College (including its Board of Trustees or independent legal counsel) that the person seeking indemnification or advancement of expenses is not so entitled shall be a defense to an action or create a presumption that the person seeking indemnification or advancement of expenses is not so entitled.
Nothing in this Article shall restrict the power and the authority of the College to indemnify or advance expenses to, make indemnification agreements and arrangements with, or maintain insurance on behalf of, any employee or agent of the College or any person (whether or not a Trustee, officer, employee, or agent of the College) who serves at the request of the College in any capacity with any other corporation, partnership, joint venture, trust, employee benefit plan or other enterprise.
If this Article or any part hereof shall be held unenforceable in any respect by a court of competent jurisdiction, it shall be deemed modified to the minimum extent necessary to make it enforceable and the remainder of this Article shall remain fully enforceable.
This Article shall be given retroactive effect and the full benefits hereof shall be available in respect of any alleged or actual occurrences, acts, or failures to act prior to the date of the adoption of this Article. The right to indemnification or advancement of expenses under this Article shall be a contract right.
Article XVI Amendments
These bylaws may be amended at any meeting of the Board of Trustees by a vote of two-thirds of the members of the Board, provided that a copy of the proposed amendment be forwarded to every Trustee at least five days in advance of the meeting at which the proposed amendment will be moved for adoption.
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D’YOUVILLE COLLEGE FACULTY COUNCIL BYLAWS
Article I: Name
The name of this organization shall be the Faculty Council of D’Youville College.
Article II. Purpose
Section 1. The Faculty Council is the representative body of faculty at D’Youville College. Within the framework of the college charter, philosophy, mission and structure it shall: a) decide all curriculum issues; subject to approval of the college president. b) recommend establishment and/or revision of academic and educational policies at D’Youville. c) devise, revise, and implement standards, criteria, and procedures for faculty development; utilization of funds for research and travel. d) be a formal forum for faculty to exchange ideas and information regarding the academic life and operations of D’Youville.
Section 2. In relation to other governing bodies or offices of the college: The faculty has primary responsibility for such fundamental areas as curriculum, subject matter and method of instruction, research, faculty status, and those aspects of student life which relate to the educational process. On these matters, the power of review or final decision lodged in the governing board or delegated by it to the president (of the college) should be exercised adversely only in exceptional circumstances, and for reasons communicated to the faculty.1
Section 3. The recommendations of the Faculty council shall be made to the Dean of Arts, Sciences and Professional Studies, or to such other officer or organization as may be appropriate in particular cases.
Section 4. Nothing in these Bylaws shall be interpreted as contradictory to any provisions of the collective bargaining agreement between D’Youville College and the D’Youville Chapter of the AAUP.
1 “Statement on Government of Colleges and Universities” - Reprinted from the Winter 1966 issue of AAUP Bulletin.
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Article III. Membership
Section 1. There shall be two kinds of members: Regular and Special. All members shall have voice and the right to introduce legislation or resolutions through appropriate channels.
Section 2. Regular members are all full-time faculty at D’Youville College, including Department Chairs and full-time non-administrative, professional Librarians. In addition to other membership privileges, regular members have the right to vote and the duty to serve on committees.
Section 3. Special members, who have no voting rights in Faculty Council or committees (unless otherwise specified) but are included to facilitate Council business, shall be the following College administrators: Dean of Arts, Sciences and Professional Studies; Dean of Health and Human Services; Director of the Library; Registrar; Director of Admissions and Financial Aid; Director of the Learning Center; Assistant to the President for Grants and Special Projects; Director of Institutional Advancement. Part-time faculty are also special members.
Article IV: Meetings
Section 1. There should be two types of meetings: regular and special.
Section 2. Regular meetings shall be held at least monthly in accord with a schedule determined by the President of the Faculty council, and published by the beginning of each academic year. A detailed agenda of each regular meeting must be made available to Faculty Council members at least three (3) days in advance of each meeting, along with relevant resolutions and other materials.
Section 3. Special meetings of Faculty council may be called by the Executive Committee of the Faculty Council, or by petition of a minimum of 25% of the regular members of Faculty Council.
Section 4. Quorum - A quorum for any meeting of this Council shall be one more than half of the total voting membership.
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Article V: Officers
Section 1. a) There shall be a President, Vice President, and Secretary of the Faculty Council. b) Election of officers: Officers will be elected for one year terms, by majority vote of Faculty Council at the April regular meeting of the Council. Officers terms begin May 1. c) Eligibility: The President and Vice President shall be elected from among tenured faculty. Tenure is not required for the Secretary.
Section 2. a) The president shall: 1. preside over all meetings; 2. confer with appropriate persons regarding needed resources, time line, locations, etc.; 3. appoint ad hoc committees as needed; 4. serve as liaison between Faculty Council and the Deans of the Schools or other appropriate bodies of personnel; 5. chair the Executive Committee, with vote; 6. call meetings of the Executive Committee; 7. oversee the various activities of the Faculty Council as well as the communication and implementation of its decisions and recommendations. 8. serve as an ex-officio member of each standing committee b) The Vice-President shall; 1. preside in place of the President when needed; 2. assume office if the President resigns or is removed from office; 3. perform duties requested by the President; 4. serve on the Executive Committee; 5. chair the committee on Undergraduate Curriculum. c) The Secretary shall: 1. record, reproduce and distribute copies of minutes of Faculty Council meetings to all members and appropriate bodies; 2. distribute, to all Faculty Council members, at least three days before regular meetings, notice of such meetings and all printed materials and information pertaining to such meetings; 3. maintain an up-to-date listing of all Faculty Council members, by category; 4. maintain a current (academic year) file of Faculty Council minutes and make such file available at all Faculty Council meetings; 5. serve on the Executive Committee.
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Section 3. Executive Committee a) The officers shall constitute an Executive committee. b) The functions of the Executive Committee shall include: calling special meetings; setting agenda; accepting charges from Faculty council for which no committee exists; representing the Faculty Council in supporting recommendations to other groups in the College.
Section 4. Removal From Office An officer may be removed from office by a vote of no-confidence: 1. upon petition of 1/2 the full Regular membership, presented to the Operations and Relations Committee at least 10 days prior to the meeting at which the vote will be taken; 2. by 2/3 vote of the regular members present at a Faculty Council meeting; 3. a vote of no confidence may not be taken under any other conditions. The vote takes effect immediately.
Article VI: Committees
Section 1. In addition to all powers, duties and responsibilities specified below, each STANDING COMMITTEE shall have the following powers and responsibilities: a) to generate legislation and resolutions pertaining to areas under its jurisdiction; b) to review all legislation and resolutions pertaining to its areas of jurisdiction; c) to seek further information or other input in researching the merits and implications of proposals under its consideration; d) to report to the full Council its evaluation and recommendations regarding proposals submitted to it; e) unless otherwise specified, to chose its own chairperson from among the Regular Council members by majority vote at its organizational meeting; f) to call upon Special members of Faculty Council, or such other College officers, administrators, or staff persons as may be appropriate for evaluating proposals under consideration by it.
Section 2. A. Members of Standing Committee shall be elected by majority vote of the Faculty Council, at the April regular meeting of the Council, for service during the following academic year. Nominations shall be submitted by the Operations and Relations Committee. Floor nominations may be made with the consent of the nominee. All selections are for a two- year term, unless otherwise specified. However, in the first selection under these bylaws, one-half of the terms shall be for one year, and one-half shall be for 2 years. B. The president shall be an ex officio member of all standing committees. C. Absence from 3 consecutive committee meetings constitutes automatic removal from committee.
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Section 3. There shall be the following Standing Committees: Committee on Undergraduate Curriculum Academic Policies Committee Academic Resources Committee Faculty Committee Research Committee Operations and Relations Committee
Section 4. Committee on Undergraduate Curriculum A. Membership: Shall consist of the following voting members: four (4) at large regular members from each School, no two of whom may represent any one department, one (1) librarian, two (2) students (a senior and a junior as selected by the Student Association), President of the Faculty Council, and the following non-voting members: Vice-President of the Faculty council as chairperson, all undergraduate department chairpersons (ex officio), the Deans of the Schools (or their representatives), the Registrar. B. Functions: 1. Shall act as a planning and evaluating body for curriculum offerings and requirements, including: a) To consider and approve routine changes regarding course numbering, catalog changes, additions and/or deletions of pre-requisites on the departmental and/or college level. b) To receive, review, and may request clarification of proposed new programs, curriculum additions, deletions or changes with rationale as submitted by the departments of the college. Upon study and approval, the committee shall present these recommendations to the faculty for approval (action). To develop and facilitate a systematic curriculum program evaluation plan.
Section 5. Academic Policies Committee A. Membership: Shall consist of the following voting members: three (3) at large regular members from each School, no two of whom may represent any one department, President of the Faculty council, two students selected by the Student Association, and the following non-voting members: the Deans of the Schools, Registrar. B. Functions: The committee shall: 1. review, study, and recommend policies, standards and procedures related, but not limited to; a) admissions b) scholarship aid c) Honors d) student academic standing and promotion e) examinations, grading, and graduation f) challenge examinations, transfers, and advanced placement g) all other academic policies, standards, and procedures. 2. Review applications for and determine recipients of scholarship aid. Students shall be excluded from these deliberations. 3. Review and determine the status of all students who, because of their poor academic record, are subject to dismissal from the college. Students shall be excluded from these deliberations.
Section 6. Academic Resources Committee - 86 -
A. Membership: Shall consist of the following voting members: five (5) Regular members, including one (1) librarian, two (2) students selected by the Student Association, and the President of the Faculty Council. The Director of the Learning Center shall be a non-voting member. B. Functions: 1. To review, study, and recommend policies for those support areas of the college which are directly involved in the learning process - the library, the learning center, and the tutorial program; and to promote close coordination between these areas and classroom teaching.
Section 7. Faculty Committee A. Membership: Shall consist of the following voting members: three (3) at large regular members from each School, no two of whom may represent any one department, one (1) librarian, and the President of the Faculty council. Three members of the committee must be tenured. B. Functions: 1. To consider issues and concerns of faculty and make policy recommendations to the Council; 2. To plan and conduct an orientation program for new faculty each semester and present programs for new orientation and Continuing Education; 3. To develop criteria and procedures for the disbursement of Travel Funds and such other funds required to maintain and improve the quality of the faculty.
Section 8. Research Committee A. Membership: Shall consist of three (3) at large regular members from each School, no two of whom may represent any one department, who represent diverse disciplines and must have research ability/skills as evidenced by the terminal degree or research activity, and the President of Faculty. B. Functions: 1. To encourage research and research activity by faculty and students: a) through presentations to the college community; b) by encouraging on-going intra/interdisciplinary dialogue on increasing faculty research and scholarly activities; c) by preparing an annual report to Administration regarding accomplishments made with funds/assistance from the research committee and barriers to faculty research at D’Youville College 2. To serve as a resource for faculty research activity in the college: a) by review of faculty proposals and by making decisions regarding research funding within the committee’s operating budget; b) by setting priorities for funding decisions within the committee’s operating budget; c) by monitoring budget allocations and spending of budget according to the committee guidelines for funding d) by consulting with and making recommendations to the Deans of the Schools regarding sabbatical requests. 3. To offer recommendations to Administration regarding release time, space for faculty research, and funds needed for such, in addition to the committee’s operating budget.
Section 9. Operations and Relations Committee - 87 -
A. Membership: Shall consist of the following voting members: four (4) Regular members and the President of the Faculty Council. B. Functions: The committee shall: 1. generate or review all resolutions and legislation concerning the Bylaws and internal operations of the Council; 2. devise procedures for, and conduct, Faculty Council elections and referenda; 3. nominate slated of officers; 4. nominate members of Standing Committee; 5. recommend to the president slates for ad hoc committees; 6. nominate faculty members to student Conduct Committee and Judicial Review Board. 7. receive and process petitions for a vote of no-confidence; 8. concern itself with relationships between the Council’s Bylaws and the bylaws, constitutions, or other operating rules of the college, College Assembly, local chapter of the AAUP, Student Association, and other bodies with which the Council interacts; 9. review and recommend modification to the Standing rules of the Council. 10. at the end of the school year, appoint a member of each committee, who is to serve on that committee the following school year, to serve as the convening chairperson for the next school year. The convening chairperson is responsible for calling and serving as chair of that committee at the first committee meeting of the following school year until a committee chair is elected from the membership of that committee.
Article VII: Amendments
These Bylaws may be amended at any regular meeting by the affirmative vote or two-thirds of the Regular members present and voting, providing that the amendment has been submitted in writing to the secretary and read to the membership at a previous meeting.
Article VII: Parliamentary Authority
The parliamentary authority of this organization shall be newly revised Robert’s Rules of Order and such standing rules as the Faculty Council may adopt to modify or supplement Robert’s rules. Revised March 14, 2001
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GRADUATE COUNCIL BYLAWS
ARTICLE I: NAME
The name of this organization is: the Graduate Council of D'Youville College.
ARTICLE II: PURPOSE
SECTION 1: The Graduate Council is the representative body of the graduate faculty at D'Youville College.
Within the framework of the college charter, philosophy, mission, and structure it shall:
A. be the formal forum for graduate faculty to exchange ideas and information regarding graduate education at D'Youville.
B. recommend establishment and/or revisions of graduate level academic and educational policies at D'Youville.
C. devise, revise, and implement standards, criteria, and procedures for certification of graduate faculty.
SECTION 2: In relation to other governing bodies or offices of the college: The faculty has primary responsibility for such fundamental areas as curriculum, subject matter, and method of instruction, research, faculty status, and those aspects of student life which relate to the educational process. On these matters, the power of review or final decision lodged in the governing board or delegated by it to the president of the college should be exercised adversely only in exceptional circumstances, and for reasons communicated to the faculty.
SECTION 3: The recommendations of the Graduate Council shall be made to the Director of Graduate Studies, or such other officer or organization as may be appropriate in particular cases.
SECTION 4: Nothing in these Bylaws shall be interpreted as contradictory to any provisions of the collective bargaining agreement between D'Youville College and the D'Youville Chapter of the AAUP.
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ARTICLE III: MEMBERSHIP
SECTION 1: There shall be two kinds of members: Elected and Ex-officio. Elected members shall have voice and the right to introduce legislation or resolutions through appropriate channels. Ex-officio members shall have voice but no vote.
SECTION 2: Elected members are full-time faculty who have been certified with full status faculty.
A. Graduate faculty of each graduate program shall elect two of its members to serve on the Graduate Council.
B. Four Graduate Council members, not members of a graduate program shall be nominated and elected by the certified graduate faculty as a body.
C. All elected members of the Council have full membership rights and privileges including voice and vote as well as the duty to serve on committees.
SECTION 3: The following are Ex-officio members of the Graduate Council: Vice President for Academic Affairs, Registrar, Director of Graduate Studies, Director of Library Resources and Graduate Students who have been elected to serve on standing committees of the council. In keeping with ex-officio status, these members have voice but no vote.
ARTICLE IV: OFFICERS
SECTION 1: There shall be three officers: Chairperson, Vice Chairperson and Recording Secretary.
SECTION 2: All elected members of the Graduate Council are eligible for any office. No other persons may serve as officers.
SECTION 3: Selection of officers shall occur as follows:
A. Upon ratification of this document, the elected members of the Graduate Council shall elect a Chairperson, a Vice Chairperson, and a Secretary. Thereafter, annually, the Graduate Council shall elect all officers.
SECTION 4: The Chairperson shall have the following powers and duties:
A. to preside over all regular and special meetings of the Graduate Council.
B. to call special meetings of the Graduate Council, as needed.
C. to serve as ex officio member of all Standing Committees.
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D. to formally communicate Graduate Council decisions and recommendations to the Director of Graduate Studies and/or when appropriate to the Vice President for Academic Affairs, other persons, administrators, or organizations.
E. to serve as liaison between the Graduate Council and the Faculty Council, the Vice President for Academic Affairs, Director of Graduate Studies and other officers or bodies.
F. to appoint ad hoc committees, as needed.
G. to oversee the various activities of the Graduate Council, as well as the communication and implementation of its decisions and recommendations.
SECTION 5: The Vice Chairperson shall have the following powers and duties:
A. presiding at meetings in the absence of the Chairperson.
B. fulfilling Chairperson responsibilities, in the absence of the Chairperson.
C. assuming the office of Chairperson, if the Chairperson resigns or is removed from office.
D. assisting the Chairperson in liaison and overseeing functions, and in other duties as assigned by the Chairperson.
SECTION 6: The Recording Secretary shall have the following duties and powers:
A. to record, reproduce, and distribute copies of minutes of Graduate Council meetings, both regular and special.
B. to distribute to all Graduate Council members, at least three days before regular meetings, notice of such meeting and all printed materials and information pertaining to such meeting.
C. to maintain an up-to-date listing of all faculty certified as graduate faculty.
D. to maintain a current academic year file of Graduate Council minutes, and make such file available at all Graduate Council meetings.
ARTICLE V: MEETINGS
SECTION 1: There shall be two types of meetings: regular and special.
SECTION 2: Regular meetings shall be held on a regular basis, in accord with a schedule determined by the Graduate Council published by the beginning of each academic year. A detailed agenda for each regular meeting must be made available to
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Graduate Council members at least three days in advance of each meeting, along with relevant resolutions and other materials.
SECTION 3: Special meetings of the Graduate Council may be called:
A. by the Chairperson of the Graduate Council.
B. by petition of a minimum of 25% of elected members of the Graduate Council.
SECTION 4: A quorum at any regular or special meeting shall be one more than half of regular members.
ARTICLE VI: STANDING COMMITTEES
SECTION 1: In addition to all specific powers, duties and responsibilities specified below, each standing committee shall have the following powers and responsibilities:
A. to generate legislation and resolutions pertaining to areas under its jurisdiction.
B. to review all legislation and resolutions pertaining to its areas of jurisdiction.
C. to seek further information or other input in researching the merits and implications of proposals under its consideration.
D. to report to the full Council its evaluation and recommendation regarding proposals submitted to it.
E. to choose its own chairperson by majority vote at its organizational meeting.
F. to call upon special members of the Graduate Council, or such other college officers, administrators, or staff persons as may be appropriate for evaluating proposals under consideration by it.
SECTION 2: Memberships on standing committees shall be drawn from Graduate Faculty as defined by the membership definition of each committee, at least one of whom must be a member of the Graduate Council.
SECTION 3: There shall be the following Standing Committees: Graduate Curriculum and Program Development; and Graduate Certification, Policies and Standards Committee.
SECTION 4: The Graduate Curriculum and Program Development Committee shall have as its powers and duties:
A. to review, and request clarification if needed, proposed new programs, curriculum additions, deletions or changes submitted to it. Upon study and approval the committee shall present such recommendations to the Graduate Council for approval.
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B. to assist, as needed, in the development of new graduate programs in such areas as feasibility studies, writing of proposals, etc.
MEMBERSHIP: One faculty from each graduate program, the Chairperson of the Graduate Council and the Director of Graduate Studies, ex officio, and one graduate student with voice and vote.
SECTION 5: The Graduate Certification, Policies and Standards Committee shall have as its powers and duties:
A. to study, evaluate, and recommend to the Graduate Council policies and standards for admissions to graduate programs.
B. to study, evaluate, and recommend to the Graduate Council policies and standards applicable to all students in graduate programs. Such concerns may include, but are not limited to, academic standing and probationary status, graduate assistantships, development of a style manual for theses, etc.
C. to study, evaluate, and recommend to the Graduate Council policies and standards for graduation.
D. review and recommend action regarding applicants who do not meet minimum admission requirements and who petition for admission.
E. to review and recommend to the Graduate Council criteria regarding Graduate Faculty Status.
F. to develop and recommend to the Graduate Council a procedure for review and certification of faculty for graduate status.
G. to carry out such reviews, according to the procedure approved by the Graduate Council. Upon completion of such review the committee shall notify the faculty member and the Director of Graduate Education of its recommendation.
MEMBERSHIP: One faculty from each graduate program, the Chairperson of the Graduate Council and the Director of Graduate Studies, ex officio, and one graduate student with voice and vote.
ARTICLE VII: NOMINATIONS
Before the last Spring meeting, each program shall elect two members for the Graduate Council and the standing committees. The Graduate Council shall call for nominations from the graduate faculty for the four (4) non-program graduate positions and conduct a mail ballot. All nominations must come from certified graduate faculty. All selections are for one year unless otherwise stated.
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ARTICLE VIII: ORDER OF MEETINGS
The order of business shall include the following as necessary:
call to order by the Chairperson of the Graduate Council acceptance of previous meeting minutes communications from the Council Chairperson reports of Standing Committees other committee reports consideration of unfinished business presentation and discussion of new business adjournment
ARTICLE IX: AMENDMENTS
These Bylaws may be amended at any regular meeting by the affirmative vote of two-thirds of the members present and voting, providing that the amendment has been submitted in writing to the secretary and read to the membership at a previous meeting.
ARTICLE X: PARLIAMENTARY AUTHORITY
The parliamentary authority of this Council shall be Roberts Rules of Order. Revised.
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16.1.3 Organization’s Reporting Structure
See attached chart.
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16.1.4 Reporting Structures Consistent with the Organization’s Academic Purposes
By maintaining an organizational structure that invests ultimate authority in a Board of
Trustees, D’Youville provides a mechanism to ensure a fidelity t its educational mission. By establishing a division of Academic Affairs with clearly delineated procedures for faculty governance and input into the academic life of the institution, D’Youville maintains its focus on educating students.
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16.2.1 Senior Administrators Job Descriptions
1.) Assistant to the President –
General Statement of Duties
Performs administrative functions and projects as assigned by the president.
Distinguishing Features of the Class
Under general direction of the president, the incumbent assists the office of the president by conducting studies and preparing reports and assists with matters affecting personnel as assigned by the president.
Examples of Duties (illustrative only)
• Coordinates committee work and data collection related to accreditation and program registration visits • Serves as governmental relations officer, responding to legislation affecting higher education through written and oral communication, as requested by the president • Represents the college at various civic and community organization programs and events • prepares various reports and surveys assigned by the president • performs duties as assigned by the president
Required Knowledge, Skills, and Abilities
• knowledge of practice and theory of higher education • knowledge of administration systems and personnel management • knowledge of reports required by accrediting and other agencies of higher education, professional and governmental • ability to prepare clear, concise, accurate reports • ability to organize programs and projects
Acceptable Training and Experience
• minimum bachelor’s degree, master’s degree preferred • 5 years of administrative experience at the college level
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2.) Assistant to the President – Special Events –
General Statement of Duties
Reports to the President of the college and is responsible for preparation of college events, fund raising events, the D’Youville College Advisory Council, and other activities as assigned.
Distinguishing Features of the Class
Must have good management, fund raising, organizational, and verbal skills.
Examples of Duties (illustrative only)
• organizes events for the college such as the Presidential Scholarship Reception, Scholarship Luncheon, Health Awards Dinner, etc. • prepares citations • prepares various correspondence as required • prepares newsletter copy • executes fund raising events • staff the Advisory Council and coordinate efforts • take College Assembly minutes
Required Knowledge, Skills, and Abilities
• good fund raising skills • good organizational ability • good writing and language usage skills • good interpersonal skills • ability to prepare various kinds of events for different audiences • good understanding of graphic presentation • budget preparation and monitoring
Acceptable Training and Experience
• minimum bachelor’s degree, master’s degree preferred • appropriate experience
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3.) Director of Planning and Marketing –
General Statement of Duties
The position of Planning and Marketing coordinator is a part-time (10 hours/week) position within the college.
Distinguishing Features of the class
The coordinator reports directly to the President.
Examples of Duties
♦ Assist the President in creating and communicating the vision for the College and building consensus around that vision of the future of the College. ♦ Support the President in efforts to bring the Board of Trustees into the planning process by facilitating retreats, staffing the Trustees Planning Committee, and through presentations of various plans and communication of the Vision. ♦ Participate on, and coordinate the Program Development Committee of the President's Council. ♦ Support the marketing planning needs of the college, including working directly with the Dean of Enrollment Management. ♦ Develop and review progress on the Comprehensive Institutional Plan and the Annual Leadership Agenda. ♦ Take the lead role in creating major plans for the College with the support of the Executive Council and faculty leadership. ♦ Support the President's Council, faculty and administrative staff in developing departmental plans that fit within the overall D'Youville College plan. ♦ Facilitate the annual year-end departmental evaluation and review process. ♦ Carry out an annual environmental assessment of strengths, weaknesses, opportunities and threats that can be used as input into the planning process. ♦ Directly assist in the systematic academic review process, including work with the faculty preparing reviews to ensure their timeliness and appropriateness. Translate SAPR information into planning information as appropriate. ♦ Support the President in strategy assessment for organizational development. Explore affiliation with other colleges, program collaboration, facilities development and other broad executive leadership issues. The consultant will flesh out position papers for the President and will facilitate exploratory meetings as required. ♦ Attend College Assembly and other college meetings as requested to provide feedback on planning issues and to communicate priorities. ♦ Be involved in helping to set budget priorities and in the major budget discussions of the President's Council. The consultant will also be invited to participate in the semi-annual President's Council planning retreats (January and June) and will assist the President in developing the agenda and in facilitating discussion. ♦ Work with department leadership in strategy development for promoting their own programs and coordinate the promotional effort.
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♦ Coordinate contractual arrangements with any advertising firms working for the College, including creation of college collateral and image materials that coincide with the marketing plan, and production of all advertising and publications targeted at external audiences. ♦ Implement market research and image tracking at least once every two years. ♦ Develop and monitor the annual marketing budget and marketing materials requirement calendar. ♦ Monitor competitor activities/developments in the market and communicate same. ♦ Report to the Board of Trustees on issues of mission compliance, market trends and awareness. ♦ Develop the planning and/or marketing sections of relevant grant and evaluation documents (e.g. Title III, Middle States) and participate in the development process for those documents and studies. ♦ Other relevant duties as assigned by the President of D'Youville College.
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4.) Vice President for Academic Affairs –
The incumbent reports directly to the president.
General Statement of Duties
The VPAA supervises all activities related to educational planning, implementation and evaluation. The incumbent directs the process of curriculum planning and implementation, oversees academic activities for all college academic programs, and directs issues related to faculty recruitment, development, and evaluation. The VPAA supervises the Library, department of Academic Computing and Instructional Services, the Advisement Center, and College Learning Center. The VPAA assists the president in providing institutional direction and in long- range planning. The VPAA also supervises administrators in specific functions of the colleges academic departments..
Distinguishing Features of the Position
Examples of Duties
Planning • provides suggestions regarding direction and long-range planning for academic programs • examines academic activities in relation to college-wide goals and college mission • reviews program and school academic year goals • follows up on achievement of program and school goals • reviews and recommends academic space requests within the college
Program Development • facilitates new program proposals • coordinates curriculum development • reviews curriculum and academic policies recommendations submitted by Faculty Council • coordinates feasibility studies, PCAs, academic program proposals, systematic program reviews and recommends to President • oversees cooperative articulation agreements with other schools • approves final course schedules
Faculty • makes recommendation to President regarding all faculty appointments, promotions, renewals, non-renewals, tenure, and salary increments • evaluates all faculty, program directors, and department heads • interviews and recommends new faculty hires • approves teaching loads and advisory and special assignments for academic staff • submits faculty contracts/load to President • supports faculty research and scholarly activities
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• oversees faculty orientation of new full-time and adjunct faculty examines and makes recommendation on sabbatical leave/professional requests
Academic Policies • maintains academic standards through department chairs and evaluation of subordinate staff • supervises the maintenance of academic records
Committee Responsibilities • holds membership(s) on: Presidents Council, Undergraduate and Graduate Curriculum Committees, and Academic Council • other meeting responsibilities include regularly scheduled meetings with the: College President, Department Chairs, Support Staff area representative(s), Program Directors, and accreditation agencies
Cooperatives Articulations Partnerships • oversees articulation agreements and partnership program with Western New York institutions • reviews cooperative articulation agreements • coordinates agreements/partnerships between schools
Grants • oversees grant proposals and coordinates grants among schools • reviews grant funded projects
Union Issues • addresses faculty grievances as outlined in the Collective Bargaining Agreement • represents administration on specified union issues
Budget • coordinates budget preparation and control in academic sector • approves and monitors Faculty Research Committee monies for faculty research activities
Student Grievances • handles student grievances following collegewide due process
Community • serves the community via board membership, attendance at meetings, and other necessary community functions and activities
Required Knowledge, Skills, and Abilities Acceptable Training and Experience
Earned doctorate A minimum of seven years management experience in an academic setting at the level of dean or higher
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5.) Vice President for Student Affairs –
General Statement of Duties
Directs the administration of student affairs services and auxiliary enterprises of the college. Does related work as well.
Distinguishing Features of the Class
Under general direction of the President, the incumbent is responsible for formulating non- academic policies and implementing such procedures in cooperation with the student affairs staff and Student Association representatives, serves as an Executive Council member, supervises professionals directing athletic programs, Campus Ministry, the Career Services Center, the Health Center, the Connections Office, Personal Counseling, Residential Life, student activities, the College Center, alcohol/drug education, and Multicultural Affairs.
Examples of Duties (illustrative only)
• responsible for student activities, conduct, and general welfare in non-academic areas of the college • serves as college advisor and coordinator for the Student Senate • formulates, promulgates, and implements policy in student affairs areas within guidelines of college policy and presidential direction • supervises the directors of student affairs areas such as career services, counseling, health, student programming, etc. • prepares and administers budget for student affairs area • acts as consultant and advisor to the President in student affairs areas, makes recommendations as required • Chairs the Enrollment Management Committee • supports the academic programs of the college • oversees the judicial and grievance systems for the college • supervises contract services in food service and the college book store • coordinates Commencement, Baccalaureate, Honors Convocation, and the major college non-academic awards • coordinates the college activity calendar and the Student Handbook and Information Guide • maintains and publishes the college crime statistics
Required Knowledge, Skills, and Abilities
• thorough knowledge of student affairs services, practices, and procedures • ability to deal effectively and fairly with students • ability to communicate effectively, both orally and in writing • ability to deal effectively with college faculty, administrators, and the public • possess courtesy, tact, sound professional judgment, initiative, and resourcefulness
Acceptable Training and Experience
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• graduation from a recognized college or university with a doctoral degree in higher education administration, counseling, or related discipline and, in addition, • five (5) years of experience in student personnel services at the college level
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6.) Vice President for Finance/Treasurer –
General Statement of Duties
Directs the fiscal affairs of the college and does related duties as required.
Distinguishing Features of the Class Under general direction of the President, the incumbent, as chief fiscal officer and an Executive Council member, is responsible for the financial management of the college. This includes the Business Office, Purchasing, Student Accounts, and collection of loans and non-current student accounts. Supervision is exercised over administrative and clerical staff.
Examples of Duties (illustrative only) • assists the President in the fiscal management of the college • supervises the Business Office Manager through approval and disapproval of exceptions to college fiscal policies • supervises the purchasing agent of the college • prepares and approves preparation of various statistical, financial reports for government and other regulating agencies • supervises and participates in the coordination and submission of the annual college budget • participates in public relations efforts for the college • coordinates clinical and other contracts with the college’s attorney
Required Knowledge, Skills, and Abilities • comprehensive knowledge of fiscal management, methods, and procedures • good knowledge of college administrative theories and techniques • ability to coordinate fiscal affairs of the college • good accounting ability • knowledge of computer systems used by college administrators • ability to supervise effectively • ability to express oneself clearly both orally and in writing • ability to work effectively with government agencies • ability to advise effectively on fiscal policies • industry and dependability • possess sound professional judgment, courtesy, and tact
Acceptable Training and Experience • graduation from a recognized college or university with a bachelor’s degree in business administration or related field and, in addition, either: • seven (7) years of responsible experience in a financial management administrative position, or • graduation from a recognized college or university with a master’s degree in business administration or related field and five (5) years of responsible experience in an financial management administrative position, or • an equivalent combination of training and experience as indicated in above
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7.) Vice President for Operations –
General Statement of Duties
Accepts responsibility for leadership in a variety of projects that have campuswide scope, including assessment, institutional studies, and facilities. Does related work as required.
Distinguishing Features of the Class
Under the direction of the President, serves as a senior administrative officer assigned to a number of long term projects requiring campuswide coordination. Supervises the Kavinoky Theatre, administrative and student computing services, and facilities.
Examples of Duties (illustrative only)
• coordinates administrative functions as requested by the President • oversees relations with unions • supervises the Kavinoky Theatre • provides leadership in the college’s computing/network technology systems • coordinates efforts for the Library Project • participates on committees • participates in community activities • represents the President at events • prepares projects, surveys, and reports as assigned by the President
Required Knowledge, Skills, and Abilities
• thorough knowledge of higher education administrative practices and theory • ability to innovate and respond to changing academic and community conditions • ability to express oneself effectively, both orally and in writing • ability to deal effectively with the public, college staff, and students • ability to prepare clear and concise reports • possess sound professional judgment, initiative, resourcefulness, courtesy, and tact
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8.) Dean of Enrollment Management –
General Statement of Duties
Responsibility for overall leadership and direction of undergraduate and graduate admissions, financial aid and retention, as well as for general enrollment management planning, implementation, and evaluation of strategic initiatives to meet enrollment management goals which dovetail with the strategic goals of the college.
Distinguished Features of the Position
Manage and implement the enrollment management plan from inquiring through retention status; integrate strategies to achieve diverse student enrollments and marketing goals
Examples of Duties (illustrative only)
• Develop strategies that optimize financial resources • Identify policy issues and recommend changes for implementation • Develop with collaboration a comprehensive and aggressive recruitment strategy designed to attract and enroll a divers student population • Lead the planning for marketing, recruitment, admissions and retention • Work closely with President and senior staff in developing strategies and an overall plan for mobilizing the campus to achieve college wide enrollment goals • Improve communication and services in internal and external communities • Provide assessment of effective strategies • Monitor, analyze and forecast both short term and long term enrollment management projections • Analyze demographics and enrollment management data fro strategic planning purposes • Direct, supervise and evaluate professional staff and supervise their oversight of their respective staffs • Prepare and administer budgets
Required Knowledge, Skills and Abilities
• Strong written, analytical, communication and interpersonal skills • Ability to coordinate the efforts of multiple departments to achieve a common objective • Evidence of ability to work effectively with faculty, staff and students • Knowledge of principles and practice of enrollment management • Ability to use data and technology effectively • Ability to initiate and manage change
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Acceptable Training and Experience
• Master’s degree; doctorate preferred • Five or more years of experience in higher education with increasing responsibility in enrollment and/or related areas • Record of achievement including successful planning, creative problem solving and effective administration
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9.) Vice President for Institutional Advancement –
General Statement of Duties
Distinguishing Features of the Position
Examples of Duties (illustrative only)
• administers all functions of the Institutional Advancement program, including alumni, annual giving campaign, government grants, and foundations • prepares plan for annual fund raising and strategies to achieve its outcome • supervises Institutional Advancement staff • represents college in fund raising activities • is responsible for achieving annual and special goals • serves as a member of the college’s Executive Council
Required Knowledge, Skills, and Abilities
• should be creative, self-starting person with managerial and planning skills • should have experience with fund raising • should have organizational skills
Acceptable Training and Experience
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10.) Director of Public Relations –
General Statement of Duties
The incumbent is responsible for directing and implementing the public relations mission of the college in accordance with the objectives set forth by the President, Trustees, and the Executive Council and to ensure the most positive image of D’Youville College to a variety of external publics. Advise the President and Executive Council in all situations that involve the college and the public.
Distinguishing Features of the Class
This is a highly specialized position requiring creativity, a wide variety of writing and speaking skills, specialized knowledge and experience with the print and electronic media, media production, newspaper policies, and also requires the ability to develop college related stories and features for both the external media and campus publications.
Examples of Duties (illustrative only)
• gathers and develops information regarding college activities, programs, students, faculty, special events., etc., for the writing and preparation of news releases to the local and national media • maintains personal contact and works closely with all media representatives on all college related matters • prepares special features for presentation to the media for possible news coverage • works with college personnel in determining the best public relations strategy for specific programs and events • arranges press conferences • meets with reporters and acts as an information coordinator for the campus • when appropriate, serves as a spokesperson for the college when responding to media and community inquiries
Required Knowledge, Skills, and Abilities
• thorough knowledge of public relations methods and techniques • ability and talent to write effectively for the news media and to communicate verbally and accurately in a professional manner to media representatives • knowledge of radio and television, publication techniques, work processing, video and photography • ability to work with a wide variety of individuals on campus and in all areas of the community to accomplish public relations objectives • ability to make sound professional judgments, often under deadline pressure, when dealing with the media • ability to innovate and develop new ideas and methods to increase public relations effectiveness
Acceptable Training and Experience - 111 -
• ten (10) years of recognized experience in public relations, journalism, or information services at a college or university, or, • graduation from a recognized college or university with a degree in journalism, liberal arts, English, and three (3) years of responsible experience in the profession, or, • an equivalent combination of experience and training as indicated above
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11.) Dean for Planning and Evaluation –
General Statement of Duties
This position includes, but is not limited to, responsibility for research and evaluation regarding academic programs at the College. The incumbent will assist the VPAA in developing proposals for new program development, will oversee academic policy and administrative issues in the College's doctoral programs, will assist in accreditation studies, and will supervise the design and implementation of academic outcomes assessment.
Examples of Duties (illustrative only)
• serve as the administrative liaison to facilitate feasibility studies for the development of new programs • evaluate undergraduate and graduate programs, monitoring them for consistency and adherence to program design • oversee the functioning of new doctoral programs • oversee design and development of academic outcomes assessment • serve as the administrative liaison with Graduate Council • review recommendations from the Graduate Council and make recommendations to the deans within academic affairs • chair and call meetings of the department heads and program directors related to issues surrounding graduate core, IRB, or research (including projects, theses, and dissertations) • participate in the interview, selection, and evaluation of department heads or program directors for graduate programs • participate in the development of standardized policies, procedures, and job descriptions for academic programs and make recommendations to the deans, including, but not limited to, department heads or program directors' job descriptions, policies pertaining to thesis committees and thesis work load, procedures to monitor the quality of theses • oversee all aspects of the Institutional Review Board
Required Knowledge, Skills, and Abilities
Knowledge of process and procedure in higher education Advanced research and report writing skills Highly developed oral and written communication skills Ability to manage multiple projects simultaneously Capacity for creative thinking
Acceptable Training and Experience Terminal graduate degree College teaching experience Extensive administrative experience in higher education Supervisory experience
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16.2.2 Curriculum Vitae of Administrators
See attached.
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Rosetta T. Rico Coordinator of Special Events D’Youville College
Brief Resume
Education:
BA in English – D’Youville College, 1970 MA in English – SUCAB, 1974 Adm. Doctoral Study – SUNYAB, 1980-81
Employment:
1970-73: Admission’s Counsel, Transfer Coordinator, Associate Director of Admissions, D’Youville College
1974-84: Director of Alumni Relations, D’Youville College
1984-86: Director of Planned Giving and Associate Director of Development, D’Youville College
1987-91: Director of Research and Development, St. Mary’s School for the Deaf
1991-95: Fundraising Consultant and owner of Our Times specializing in reproduction prints of turn-of-the-century American cities.
1995-2003: Coordinator of Special Events, D’Youville College
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KENNETH ALAN ROGERS
560 Lafayette Avenue Buffalo, New York 14222 Business Tel: (716) 881-0753 Residence: (716) 881-0560 Facsimile: (716) 881-1007 E-mail: [email protected]
Effective leader and teacher in management, corporate strategic planning, marketing, planning and health policy development. Creative, organized, articulate and involved. Strengths include consensus building, organizational process, communication and salesmanship.
KENNETH A. ROGERS, STRATEGIC MANAGEMENT & MARKETING, Buffalo, New York 1988-Present
Executive Consultant
Founder of the first Western New York consulting firm specializing in the facilitation of strategic thinking at the organizational level. Helps organizations identify what they are trying to achieve, identify strategies to get them there, and facilitates the decision process along the way. Provides management specialization in the areas of strategic planning, organizational development and marketing strategy, primarily at the policy level, to numerous and diverse organizations and industries, with a specialization in health care services delivery and higher education institutions.
D’YOUVILLE COLLEGE, Buffalo, New York 2001 – Present
Marketing and Planning Coordinator (part-time position)
Reports to the President, and is responsible for developing and monitoring the strategic and operating plans of the college as well as creating the marketing other major plans for the College with the support of the senior management. Coordinates the annual outcomes assessment process, manages contracts with advertising agencies, and carries out external marketing research on behalf of the college.
MILLARD FILLMORE HOSPITALS, Buffalo, NY 1984 - 1988
Vice President, Planning & Marketing
Developed and implemented corporate and divisional strategic long range plans, operating and marketing plans for multi-institutional health care corporation with revenues approaching $125 million. Provided community needs assessment, product development and evaluation, market research, public relations/sales/
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advertising and organizational development for president and board of directors. $1 million budget/18 employees.
• Established the planning and marketing functions of the Hospitals - the first such in Western New York. • Successfully tracked implementation of the first hospital long-range plan in Western New York which guided the Hospitals to community leadership and four straight years of operating surpluses. • Implemented the first hospital marketing plan in Western New York, leading to 6.4% caseload increase (1985-87), 38% increase in outpatient visits, and 25% increase in births. • Established a full-service marketing communications department. As a result, Millard Fillmore Hospitals' top ranking as the "preferred" hospitals increased each year. • Established a professional services section which upgraded the number, productivity and quality of community medical practices affiliated with the hospitals. • Developed the first hospital advertising campaign in Western New York, first hospital published magazine and the first true Annual Report. • Conceptualized/implemented "Systems Planning 2000", a process designed to achieve board and medical staff consensus on a vision of the Hospitals in the year 2000.
UNIVERSITY AT BUFFALO, STATE UNIVERSITY OF NEW YORK 1979 - 1984
Executive Director (1983 - 1984) Regional Economic Assistance Center, School of Management
Responsible for the delivery of specific, multi-disciplinary professional consulting services to Western New York business, not-for-profit and government sectors. Directed the human resources institute, community services research and development program, and development center for business. Coordinated applied research, consulting, and business counseling activities. Supervised and supported up to ten employees in various disciplines and programs. Arranged consulting contracts/proposals for faculty.
• Brought the School of Management into the mainstream of community economic development. • Achieved designation as a State Data Center, coordinating the distribution of census and economic information in Western New York. • Created a resource for faculty consulting, matching their expertise to community opportunities.
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Director (1979 - 1984) Community Services Research and Development Program
School of Management (1982 - 1984) School of Medicine (1979 - 1982)
Obtained and directed applied research contracts and grants from community services, government, university and commercial sources. Consultant in health services needs assessment, certificate-of-need applications, U.S. census analysis, health services evaluation and planning. Management consultant in market research, small business development and systems. Other responsibilities include program planning and budgeting, staff supervision, data development and general administration.
• Organized distribution of 1980 U.S. Census results in Western New York. • Established a university-based marketing research program. • Moved CSRDP from a healthcare orientation to a full service applied research program, serving the private sector. • Procured up to $300,000 per year in grants and contracts.
HEALTH SYSTEMS AGENCY OF WESTERN NEW YORK 1976 - 1979
Data Coordinator (1978 - 1979) Responsible for coordinating the research activities of the HSA, including staff assignments, budgeting, data systems design and data base analysis.
Principle Planner (1977 - 1978) Obtained and implemented a research contract with Region II USDHEW. Developed content and research design for publication on cost containment strategies of HSAs.
Research Associate (1976) Responsible for carrying out research activities in support of plan development function of the first federally designated HSA in the United States.
ACADEMIC APPOINTMENTS
Adjunct Assistant Professor University at Buffalo School of Management and Department of Social & Preventive Medicine (School of Medicine) 1989 - Present
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Lecturer University at Buffalo School of Management (1982)
Developed and taught "Social, Political and Economic Aspects of Health Care Delivery Services" Course for MBA Program.
Clinical Instructor University at Buffalo School of Medicine (1981) Developed and taught "Topics in Health Care Planning" for Epidemiology MA Program.
EDUCATION
Masters in Business Administration, 1976 Health Systems Management Certificate State University of New York at Buffalo
Bachelor of Arts/Sociology, 1974 State University of New York at Binghamton
PUBLICATIONS
Pegels, C. Carl; Rogers, Kenneth A., Strategic Management of Hospitals and Health Care Facilities; Aspen Publishers, Rockville, MD.; January 1988.
Rogers, Kenneth A., "The Economics of Medical Practice" in Wingate et. al., Management for Physicians. 1982. New York: Medical Examination Publishing Company.
Dowling, E.J.; Rogers, K.A.; Mennemeyer, S.T., Ph.D.; and Kobas, G. An Assessment of Indicators of HSA Strategies for Cost Containment, for Office of Regional Health Planning, USDHEW Region II and Bureau of Health Planning and Resource Development, Hyattsville, MD. December 8, 1978.
VOLUNTEER LEADERSHIP
Boards of Directors (2003) • BioEconomy Partners, Inc. • Weinberg Campus (Executive Committee) • Temple Beth Zion • American Jewish Committee Buffalo Niagara Chapter • Jewish Foundation for Aging Communities
PERSONAL
Born 1952; City of Buffalo resident; married (Kathleen); 2 children
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John J. Donohue 140 William St. Youngstown, NY 14174 (H) 716-745-1201 E-Mail: [email protected]
ADMINISTRATIVE EXPERIENCE
8/02 to present Vice President for Academic Affairs D’Youville College, Buffalo, NY Chief academic officer of a private institution providing an extensive offering of majors in the Liberal Arts and Sciences, professional fields, and health services. Distinguished by offering a variety of educational delivery systems for students, the college has experienced rapid expansion in its graduate student numbers and is currently expanding into the realm of doctoral studies. The CAO is responsible for policy and implementation of all academic aspects of the institution.
2/01 to 7/02 Acting President Medaille College, Buffalo, NY Selected by Board of Trustees to serve as acting chief executive officer of a private, multi-campus institution. Medaille is liberal arts based college offering degree programs with strong career orientations. The institution emphasizes innovative curricular design and delivery systems, extensive support services in and out of the classroom, and prides itself on being a point of access to higher education for a variety of traditional and non- traditional populations. Since 1995, the College has more than doubled in size, added 28 new programs at the undergraduate and graduate levels, established two branch campuses, and began to offer its first Master’s level programs. The CEO is responsible for all facets of directing the institution, including strategic planning, fiscal oversight, human resources management, and liaison activities with Trustees, division heads, internal and external constituents and potential donors.
10/00 - 2/01 Acting Executive Vice President Medaille College, Buffalo, NY Assumed executive responsibilities for the college when current CEO went for extended medical treatment. Responsible for all facets of directing the institution, including liaison with Trustees, division heads, external constituents and potential donors.
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07/97 - 10/00 Vice President for Academic Affairs and Academic Dean Medaille College, Buffalo, New York Expanded responsibilities related to successful program development and campus expansion initiatives resulted in an elevation of job title and function to reflect greater executive duties. As a result of development initiatives, college enrollment had grown by 96% since 1995.
08/95 - 06/97 Academic Dean Medaille College, Buffalo, New York Chief Academic Office for private, Liberal Arts College, specializing in traditional majors as well as innovative Internship Programs for students in areas stretching from Business Administration, Computer Science, Human and Government Services, to areas like Media and Sports Management. Oversee faculty and curricular development, library and academic computing resources, College Registrar, the campus learning services center, as well as a branch campus and an office of off-campus and special programs. Chief accomplishments include an overhaul of the institution’s General Education curriculum, transforming it into an outcomes-driven interdisciplinary core curriculum, the development of new majors, specialty certificates, professional training, and new master’s level degree programs, the establishment of a branch campus, the upgrade of academic computer resources, and the institution of a center for multimedia education.
08/93 -08/95 Dean School of Liberal Arts SUNY College at Morrisville, NY Chief academic and administrative officer of the School of Liberal Arts. Responsible for revitalizing the School's academic offerings and bringing coherence and rigor to its curricula. Direct the School's schedule planning and course delivery at three separate campus sites. Responsible for course and curriculum oversight and development, faculty supervision and professional growth. In addition to traditional academic duties, also directed and supervised the College Skills Center, a campus resource designed to enhance student skills and academic outcomes. Charged with administering and fine-tuning college-wide academic placement, development of special academic programs for under prepared and minority students.
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09/92 - 07/93 Associate Dean 09/91 - 09/92 Assistant Dean University College Adelphi University, Garden City, N.Y. Comprised of some 1500 full-and part-time students, University College is a distinct academic unit of Adelphi University which houses the University's continuing education programs, ABLE, a degree-granting program for adults, the General Studies Program, a rigorous, freshman- year experience designed for students with untapped academic potential. Served as the senior member of the staff of the Dean of University College. Coordinated and supervised the activities of the College Registrar, Director of Student Affairs and the Associate Directors of Academic Support Services and Budgets, Recruitment and Development, and Counseling. Responsible for those duties associated with academic affairs including program and curriculum development and revision, faculty recruitment, evaluation, and supervision. Participated in the development and teaching of Adelphi's Core Curriculum. Performed all the functions of the Dean in his absence, including articulation with the Office of the President, those of the Provost, Admissions, Financial Aid, along with internal management of the unit and representation of the unit to the University and external communities.
01/90 - 09/91 Director of Academic Affairs University College Adelphi University, Garden City, N.Y. Responsible for overall administration and development within the area of Academic Affairs. Duties included faculty recruitment, hiring and evaluation, development of new courses, curriculum revision, initiation of new academic programming (Weekend College, Pre-College Program), interpretation and administration of University academic regulations, supervision of the Coordinator of Counseling and the Coordinator of Academic Support Services. Actively involved in student recruitment, orientation, and retention efforts.
02/88 - 01/90 Coordinator of Student Affairs University College Adelphi University, Garden City, New York Responsibilities included direct day-to-day supervision and scheduling of academic advisors, counselors, and support staff in both the freshman and adult degree programs. Duties included articulation and enforcement of university administrative and academic policies, interfacing among administrators, faculty, tutors, and students, generation of reports and special projects at the direction of the Dean in the areas of recruitment, retention, and student profiles.
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TEACHING EXPERIENCE
08/02 – Present Professor of Social Science D’Youville College Buffalo, NY
08/95 – 7/02 Professor of Social Science Department of Social Sciences Medaille College, Buffalo, N.Y. Full professor, teaching anthropology, General Education, and other courses in traditional, non-traditional, and accelerated undergraduate and graduate programs.
09/93 - 08/95 Instructor Social Science Department SUNY College at Morrisville, Morrisville, N.Y. Instructor of Anthropology.
09/87 - 06/93 Instructor University College, Adelphi University, Garden City, N.Y. Course work taught included introductory, topical, as well as interdisciplinary courses in both the Humanities and Social Sciences (Society and the Individual, Introduction to Cultural Anthropology, Anthropology of Religion, Asian Society and Culture, Ethnicity and Identity, The Modern Condition, Baccalaureate Capstone). Students included traditionally aged, as well as adult populations.
09/79 -05/82 Graduate Instructor/Research Assistant Department of Anthropology, SUNY at Stony Brook Involved with faculty members in designing and implementing research strategies, report preparation, and instruction. Emphasis was placed on the development of professional research skills, refining of teaching ability, promotion of cross-cultural and international understanding. Courses taught included Peoples of Asia, Peoples of the Middle East.
ACADEMIC CREDENTIALS
Ph.D.Anthropology, 1987, SUNY at Stony Brook M.A.Anthropology, 1982, SUNY at Stony Brook B.A.Anthropology, 1978, SUNY at Stony Brook
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PUBLICATIONS
Books Sensei A Thriller. 1993. St Martin’s Press.
Complete Kendo. 1999. Boston: Charles E Tuttle Co., Inc.
Herding the Ox: The Martial Arts as Moral Metaphor. 1998. Wethersfield, CT: Turtle Press.
Warrior Dreams: The Martial Arts and the American Imagination. 1994. Westport and London: Bergin and Garvey.
The Human Condition in the Modern Age, 2nd edition. (Ed. with P. Katopes and D. Rosenberg). 1994. Kendall/Hunt Publishing.
The Forge of the Spirit: Structure, Motion, and Meaning in the Japanese Martial Tradition. 1991. New York: Garland Publishing.
Articles 2002. “Virtual Enlightenment: The Martial Arts, Cyberspace, and American Culture. Journal of Asian Martial Arts, vol.11, no.2:9-27
2002. “Wave People: the Martial Arts and the American Imagination.” In David E. Jones (ed.) Combat, Ritual and Performance: Anthropology of the Martial Arts. Westport, Ct: Praeger Publishers, pp. 65-80
2002. “Herding the Ox, Wielding the Sword.” In David E. Jones (ed.) Combat, Ritual and Performance: Anthropology of the Martial Arts. Westport, Ct: Praeger Publishers, pp.223-224
2000. “Sound and Fury: Auditory Elements in Martial Ritual.” Journal of Asian Martial Arts, Vol.9, No. 4:8-21.
1998. “What is Healthy Martial Arts Hierarchy?” In Corcoran, John and John Graden (eds.) ACMA Instructor Certification Manual. St. Petersburg, FLA: Graden Media Communications Group, pp. 127-136.
1997a. “The Shape of Water: Martial Arts Styles as Technical Continuum.” Journal of Asian Martial Arts, Vol.6, No. 4: 90-101.
1997b. “Ideological Elasticity: Enduring Form and Changing Function in the Japanese Martial Tradition.” Journal of Asian Martial Arts. Vol.6, No.2: 10-25
1994a. "The Classification of the Fighting Arts." With Kimberley Taylor. Journal of Asian Martial Arts, Vol.3, no.4: 10-37.
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1994b. "Wave People: The Martial Arts and the American Imagination." Journal of Asian Martial Arts, Vol.3, no.1: 10-25
1993a. "Ritual Dimensions of Karate-Do." Journal of Ritual Studies, Vol. 7, no.1: 105-124.
1993b. "Social Organization and Martial Systems: A Cross- Cultural Typology." Journal of Asian Martial Arts, Vol. 2, no. 1:40- 51.
1992. "Dancing in the Danger Zone: The Martial Arts in America." Journal of Asian Martial Arts 1992, Vol. 1, no. 1: 86-99.
1991. "The Dimensions of Discipleship: Organizational Paradigm, Mystical Transmission, and Vested Interest in the Japanese Martial Tradition." Ethnos Vol. 55:1-2.
1990. "Training Halls of the Japanese Martial Tradition: A Symbolic Analysis of Budo Dojo in New York." Anthropos Vol. 85:55-63.
1988. "Sword Magic: Belief, Form, and Function in the Japanese Martial Tradition." Human Affairs Vol. 14:9-35.
1984. "Ideology and Economy in Upland Southeast Asia: A Reappraisal of Political Systems of Highland Burma". Ethnos, Vol. 1-2:62-79.
ACTIVITIES
Fellow, Society of Martial Arts
Board Member, American Council on Martial Arts
Associate Editor, Journal of Asian Martial Arts.
“Pen and Sword: Leading Change in Academic Programs.” Paper presented at the Kansas State University’s Annual Department Chair Conference, Orlando Florida, February 4-7, 2001.
“Pedagogical Structure of Martial Arts Training.” Paper presented at the First International Conference of the Society of Martial Arts, University of Salford, Manchester, 26 June 1999.
“Sound and Fury: Auditory Elements in Martial Ritual.” Paper presented at the annual meeting of the Central States Anthropological Society, Chicago, IL, 15-18 April, 1999
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“Mirror, Jewel, Sword: The Martial Arts in Sociological Perspective.” Paper presented at the Guelph School of Japanese Swordsmanship, University of Guelph, Ont., Canada, 17 July 1998.
Discussant: The Martial Arts in Cultural Context. Annual meeting of the Central States Anthropological Association, St. Louis, MO., 4-8 April, 1998
“Ideological Elasticity: Enduring Form, Changing Function in the Japanese Martial Arts.” Paper presented at the annual meeting of the Western Conference of the Association for Asian Studies, Weber State University, Ogden Utah, 25-26 October 1996.
Participant, "America's Role in Our Interdependent World." A Seminar organized by the Smithsonian Associates for the State University of New York, 6-8 April 1994.
"Adelphi University's General Studies Program for Underprepared College Freshmen." With Peter J. Katopes. Paper presented at the national conference on the Freshman Experience, Charleston, South Carolina, February 1993.
"Curriculum Reform, Interdisciplinary Studies, and the Adult Student." Paper presented at the 1992 National Conference on the Adult Learner, University of South Carolina, Columbia, SC, May, 1992.
"Dancing in the Danger Zone: The Martial Arts in America." Paper presented at the annual meeting of the Association for Consumer Research, Chicago, IL, October, 1991.
Participant, "The Modern Condition: Revolutions in Knowledge, Values, and Culture." Core Curriculum Seminar funded by the National Endowment for the Humanities, Adelphi University, Garden City, NY, June, 1990.
"Herding the Ox, Wielding the Sword: Paradigms for Training in Zen and the Martial Arts." Paper presented at the annual meeting of the Anthropological Association for the Study of Consciousness, Pacific Palisades, CA, March, 1990.
"Toward an Anthropology of the Martial Arts." Invited discussant at the annual meeting of the American Anthropological Association, Washington, DC, November, 1989.
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MISCELLANEOUS EMPLOYMENT
10/86 - 09/87 Director of Research, Computer Reseller News CMP Publications Manhasset, NY
05/86 - 10/86 Assistant Director, Marketing Information Services D'Arcy Masius Benton and Bowles New York, NY
05/82 - 5/86 06/79 - 09/79 Assistant Manager, Front Desk Loew's Corporation, Hotel Division
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ROBERT P. MURPHY
15 Covington Road Buffalo, New York 14216 (716) 834-6382 (Home) (716) 881-7685 (Work)
PROFESSIONAL Vice President for Student Affairs EXPERIENCE: D’Youville College, Buffalo, NY March 1988 to present
Report to the president, and a member of the President’s Council. Supervise the areas of: Athletics, Career Services, Food Service, Health Services, Campus Ministry, Residential Life, Personal Counseling, the College Center, the College Store, the New Student Office, the Multicultural Office, Student Activities, International Student Services and the Student Association.
Responsible for budget development, hiring, long range planning, student judicial and grievance systems, student life policies, student advocacy, commencement and convocation activities and assessment of student services. Project Director for several grants. Coordinate Student Handbook and college newsletter.
From June 1997 to August 2001 also served as vice president for enrollment management. Coordinated and provided leadership for the college enrollment management efforts which included the areas of admissions and financial aid, program development, retention services and quality service efforts. Chaired the enrollment management group which provided systematic reviews of administrative areas, and developed new college wide initiatives.
Associate Dean of Students-Director of Auxiliary Services D’Youville College, Buffalo, NY September 1980 to February 1988
Reported to the Dean of Students and Vice President for Finance. Responsible for the operation of the College Center-Student Union. Advised all campus clubs/organizations, including finance advisor to the Student Association.
Supervised a College Center staff of 20, contracted operations in Food Service and the College Store, the Director of Athletic Programs and all student activities and events.
Coordinated all campus activities, the College calendar, nonacademic facility usage and conferences. Assisted the Dean of Students in all planning, hiring and problem solving. - 128 -
Director of the College Center-Student Programming D’Youville College, Buffalo, NY March 1978 to September 1980
Reported to the Dean of Students. Responsible for the operation of the College Center-Student Union, all student activities, the college calendar, conferences and non-academic facility usage.
Director of Student Programming D’Youville College, Buffalo, NY August 1976 – March 1978
Responsible for all student activities, and functioned as the Director of Athletic Programs responsible for all intercollegiate, intramural and recreational programs.
Teaching-Research Assistant SUNY at Buffalo, Department of Communication September 1974 – May 1976
EDUCATION: M.A., State University of New York at Buffalo, Department of Communication, September 1976, Cumulative average 4.0, based on a four-point system: Concentration in Organizational Communication and Communication Theory.
B.A., State University of New York at Buffalo, May 1973; Major in Speech Communication, Maga Cum Laude, and Highest Distinction Honors from the Department of Speech Communication.
MEMBERSHIPS: Leadership Buffalo Alumni Association National Association of Student Personnel Administrators National Association of International Educators Kappa Gamma Pi
HONORS: Advisor of the Year, D’Youville College, 1991-92, 1997-98 Honorary Member, D’Youville College Chapter of the National Lambda Sigma Society, 1986 D’Youville Campus Ministry Service Award, 1983, 1989 Administrator of the Year, D’Youville College, 1979-80, 1980-81 Merit Award, D’Youville College, 1979 through 1986 Spartan Award for Service to D’Youville College Athletics, 1979-80
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RESUME
Michael R. Cipolla 53 The Commons Grand Island, New York 14072 Tel: 716-773-6703
EDUCATION Niagara University: B.B.A. - 1971 Major: Accounting University of Nebraska at Omaha - 1978 College Business Management Institute
GENERAL BACKGROUND Have experience in preparing budgets and implementing budgetary procedures and controls. Have developed long range financial planning models. Have a background in data processing operations and installation of management information systems and telecommunication systems. Proficient in PC spreadsheet software. Experienced in supervising and hiring. Am currently functioning as a senior level administrator.
EXPERIENCE D'Youville College, Buffalo, New York
1987-Present Vice President for Finance/Treasurer 1980-1984 As the chief financial officer of the corporation and work closely with the President of the college and the Board of Trustees. I am responsible for the budget preparation and monitoring processes and the financial planning and management of the college. I handle the short term investment of cash and monitor the investment performance of the endowment funds investment advisors.
1984 – 1987 Loretto Heights College, Denver, Colorado
Vice President for Finance and Management
As chief financial officer, I was responsible for the financial planning and operations of the College, including preparation of the College's operating budget and its presentation to the Board of Trustees. I was a member of the administrations negotiating team in collective bargaining with the faculty union. Areas reporting to me were:
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Business Office, Personnel, MIS, Conferences and Rentals, Telecommunications, Food Service, Buildings and Grounds, Book Store and the Campus Post Office. Some of my accomplishments follow: -Developed a long range ongoing financial planning model which includes a personnel tracking capability and a current year budget interface. -Revamped business office procedures to improve student accounts and loan collections, and provide for a more efficient operation with less personnel. -Coordinated the conversion from a manual record keeping system to a campus wide data base management information system. -The purchase and installation of a college owned telephone system. -Improved campus communications between the areas within Finance and Management and the college community through the documentation of operating procedures and regularly scheduled college wide meetings.
1971 – 1980 State University of New York at Buffalo
Endowment Funds Accountant
In this "management confidential" position I was responsible for the accounting operations of the State University of New York Endowment Fund Group. Major duties included administration and supervision of the accounting operations and staff. Responsible for the preparation of financial statements, preparing and monitoring budgets and controlling budgetary expenditures. Instrumental in the conversion from a manual system to a computerized one. Have written two accounting procedures manuals. My position served as a liaison between the endowment investment advisors, the ten participating campuses in the Group and the University Central Administration in Albany.
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EXTRA CURRICULAR ACTIVITY Member of the Board of Directors of the Catholic Men's Fellowship
Chair of evangelization of the St. Stephen Parish Council
A member of the board of directors of the Upstate New York College & University Risk Management Group. A self insurance group for worker's compensation.
Coached ages 15 and under outdoor soccer teams.
Serve as the Hosting Couple Coordinator for the Denver area Marriage Renewal
A member of the Niagara District Businessmen's Association in Buffalo, N.Y. Selected to serve on the Executive Committee, the Legislative Committee and coordinate publicity releases.
Served as a Team couple for the Pre-Cana marriage preparation program.
Served as Treasurer for the Grand Island Board of Education school district.
Served as a senator and on the elections committee of the Professional Staff Senate at the University at Buffalo.
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Donald G. Keller 174 Huntley Road Buffalo, New York 14215 (716) 881-7675 work (716) 835-8018 home
SUMMARY
- Senior level expertise in facilities management, construction, purchasing, and general administration. Experienced in education, retail, service and manufacturing environments. Complementing leadership roles on municipal and not for profit boards and as a senior military officer. Accomplishments span the extremes of facilities management; i.e. project direction from concept through completion, then cost effective management of the end result.
EXPERIENCE AND ACCOMPLISHMENTS
CURRENT:
- Vice President of Operations for D’Youville College - Responsible for Expansion and Construction Projects, Facilities Planning, Facilities Operations, Computer Systems and Network Installations, Computer Labs, Telecommunication and Administrative Data Systems, Food Services, Human Resource Initiatives and Collective Bargaining Negotiations and the total operation of the Kavinoky Theatre. - Key member of the Management Team as part of the Executive Council - Total Responsibility for the $20+ million expansion program involving establishment of a 50,000 S.F. Library, a 60,000 S.F. Academic Center, and additional residence housing.
PREVIOUS
- 1990 to 1997; Director of Facilities for Tops Markets, Inc. - Responsible for all Office Facilities, Printing, Sign Shop, Mail Services, Waste Disposal and Recycling, Telecommunications, Non-Retail Purchasing, Records Management and Corporate Travel - Total Responsibility for the establishment of a new 200,000 S.F. Corporate Headquarters
OTHER
- 1989 to 1990; Director of Facilities and Manager for Ellicott Development - A major owner and manager of Office Facilities in Downtown Buffalo - 1978 to 1989; Vice President of Facilities for M & T Bank - total responsibility for Bank occupied facilities including: - 20 story office tower, remote 100,000 SF operations center - 54 Branches and leased space in New York City and New Jersey - Facilities role included Security, Property Management, Design, Construction and Renovation - Services Areas included Loss Prevention, Purchasing and Printing
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- 1964 - 1978; Purchasing Manager for National Gypsum Co. Responsible for Capital assets and repair as well as all Purchase for Resale Products.
MILITARY
- Retired in 1991 at the rank of Captain (0-6) US Naval Reserve having served from 1961 - 1964 on active duty and from 1964 - 1991 as an active reserve. Last Command was Commanding Officer of a Readiness Command responsible for 7 units comprised of 400 Officers and Enlisted personnel.
EDUCATION
- B. S. in Business Management; 1960, Lehigh University
OTHER AFFILIATIONS
-Chairman of the Board and CEO, WNY Veterans Housing Coalition -Former Finance Committee Member; Hospice Association of Western New York -Board Member, Buffalo Naval Park -Past Chairman, City of Buffalo Board of Parking
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16.3.1 Academic Plan.
See attached.
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COMPREHENSIVE INSTITUTIONAL PLAN
FINAL DOCUMENT
FALL, 2002
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TABLE OF CONTENTS
PAGE
1. Introduction and Heritage 1
2. D'Youville’ Mission, Core Values & Vision 2
3. Principles 5
4. Cornerstones of Progress 7
5. Goals 8
6. Strategic Issues, Objectives and Strategies 9 1. Academic Program Development 2. Enrollment Management 3. Academic and Administrative Communication & Information Management 4. Enhanced Campus Facilities 5. Fundraising and Revenue Diversification 6. Marketing and Awareness - Inquiry Development 7. Operational Excellence
APPENDICES
A. Outcomes Assessment B. Situation Analysis Summary C. 2002-2003 Leadership Agenda
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1. INTRODUCTION AND HERITAGE
D'Youville College is named for Marguerite d'Youville, an eighteenth century woman whose love of God inspired her to spend her life responding to challenging societal needs and finding creative ways to serve the poor. Marguerite was born near Montreal in 1701 and grew in courage, compassion and faith during her life.
As a widow with young children, Marguerite cared for her family but never neglected the poor. She became known as an astute and resourceful businesswoman, a compassionate friend to all in need, and a person whose life was deeply rooted in her trust in God.
A number of women joined in her efforts to offer asylum for the elderly, blind, orphaned and abandoned. Eventually, Marguerite and those women became the first congregation of religious women to be founded in North America: they were know as the Grey Nuns, Sisters of Charity.
During her life Marguerite assumed the responsibility for administering the General Hospital of Montreal. She founded homes for the poor and aged, and cared for unwed mothers, orphans, and sick and wounded military men, regardless of their allegiance. She earned the title of Mother of Universal Charity insisting that "The poor must know that we never refuse to serve." On December 9, 1990 Sister Marguerite was declared Saint Marguerite d'Youville in St. Peter's Basilica, Rome.
D'Youville College, founded in 1908, seeks to continue the spirit of Marguerite D'youville.
The Comprehensive Institutional Plan which follows is a summary of our vision, mission, philosophy, and goals (aspirations) as well as the means by which we intend to achieve them. It serves as an inspiration to our efforts and a road map to successfully achieving that which we have set out to do.
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2. D'YOUVILLE'S MISSION, CORE VALUES & VISION
MISSION (revision adopted May 9, 2002)
D’Youville College is an independent institution of higher education that offers baccalaureate and graduate programs to students of all faiths, cultures and backgrounds.
D’Youville College honors its Catholic heritage and the spirit of St. Marguerite d’Youville by providing academic, social, spiritual, and professional development in programs that emphasize leadership and service. D’Youville teaches students to contribute to the world community by leading compassionate, productive and responsible lives.
CORE VALUES
As a community of scholars we value the free exchange of ideas, and encourage diverse points of view and the rigorous examination of assumptions.
Individuals must be prepared through education, not only to meet the challenges of today, but also to address the challenges of the future.
Excellent education is a contribution to the betterment of society. It offers students an academic experience that helps them to develop their potential and to emerge as enriched human beings with a love of learning and a sense of responsibility for themselves and others.
Through lifelong learning, educated people continue to search for truth, are committed to use their talents to contribute to the betterment of the local and world communities, and seek excellence in their personal and professional endeavors.
We hold that there are four basic elements of an effective learning environment – academic preparation, practical experience, a consistent value structure, and a concern for the betterment of our community. The resulting educational process simultaneously shapes our graduates and the communities that we serve.
VISION STATEMENT
D'Youville College will be a leader in education, a community of scholars, an exemplary model of service, and a dynamic force within the community.
The future as we see it
D'Youville College, known for its dynamic student-centered teaching and learning atmosphere, is preparing students--traditional and non-traditional--for a fast-changing, technological, multi- cultural world. The example and philosophy of St. Marguerite d'Youville continue to influence our scope of offerings, building on a strong foundation in the liberal arts and sciences.
A leader in education... 139 -
That: • provides innovative, responsive and excellent academic programs, enhanced through collaboration with other educational and community institutions. • has a respected faculty with the facilities and equipment necessary to enhance the learning process. • connects to the collective knowledge of the world, and provides access to students no matter where they are located. • provides quality undergraduate programs aimed at preparing students for challenging/ satisfying careers and/or graduate or professional studies. • has expanded graduate education in master's and applied doctoral programs.
A community of scholars...
Where: • teaching, learning and research are highly valued. • faculty research enhances the college learning environment, bringing contemporary thought to the classroom. • there is continuous enhancement of teaching skills.
An exemplary model of service...
Offering: • compassionate and creative programmatic offerings that respond to new needs within society. • multi-campus offerings and alternative modes of access to D'Youville's programs. • financial resources to serve deserving students who are otherwise unable to pursue higher education • a concerned and involved faculty and staff.
A dynamic force within the community...
Where: • our service orientation contributes to the community's quality of life. • alumni serve as leaders, identifying and meeting the community's needs, and providing competencies sought by employers. • alumni have the broader perspectives brought about by exposure to the liberal arts and sciences, and are prepared for the types of career changes that will be common in the future. • we provide educational opportunities across all generations.
3. GUIDING PRINCIPLES
Service to Students: The education of students is the primary reason for our existence. All else will be measured against our ability to obtain excellence in the education process.
Individuality: 140 -
D'Youville College recognizes that each person has intrinsic dignity and unique capabilities. We show concern for all students, and all associated with the College, providing each individual with the opportunity and support to reach his or her highest potential.
Faculty Role: The main right and responsibility of faculty is teaching and engaging in those scholarly and professional activities that support effective teaching.
Decision-Making: We strive toward decentralized decision-making to take advantage of our professional capabilities. Personal growth and professional development are encouraged as important to organizational growth and the achievement of our mission. We are always moving toward greater decision-making power for, and involvement of, those associated with the College.
Equity and Fairness: The College community uses equity and fairness as guidelines for all decision-making. We demand personal and institutional integrity, and foster personal and institutional innovation and creativity.
Pursuit of Excellence: We pursue excellence in all chosen endeavors. There is an expectation of a high level of competence in all areas.
Responsibility: Responsibility for one's self is considered an essential element of the learning process and is expected from all involved with the College. Students are given as much responsibility, for decision-making and actions, as they are capable of handling.
Health: We find it important that the physical and emotional well-being of all those involved with the College is promoted and maintained.
Commitment: Commitment to the organization's growth and success is expected of all individuals associated with the College.
Balance: The College encourages cooperation among, and linkages between, programs and disciplines while recognizing the uniqueness of each and the right of professional self- regulation and autonomy.
Environment: We are responsible and accountable for fulfillment of the D'Youville College Mission, but in accomplishing that mission we remain mindful of the public trust and are always sensitive to the immediate surrounding community and our natural environment. The College actively attempts to understand and positively influence the social, political, and economic environments that impinge upon it.
Continuity: We respect alumni and depend on them for the continuing success of the College. 141 -
Diversity: We recognize the importance and value of a diverse student body, faculty and staff, and the enrichment that diversity can bring.
4. CORNERSTONES OF PROGRESS
The following are the 3 cornerstones that make up the Foundation of the Comprehensive Institutional Plan -- the basis of success for D'Youville College in the 21st century. The cornerstones are not in priority order.
Academic Program Excellence Commitment to Mission Innovation/Relevance
Academic Program Excellence - Programs effectively prepare students for careers and for life. - Programs exceed the expectations of students. - Programs provide a breadth of knowledge and experience that differentiates DYC graduates.
Commitment to Vision and Mission - A clearly articulated vision provides guidance and direction. - The mission is easily understood and communicated. - Clear values are integrated into the fabric of DYC. - Students, faculty, administrators, and staff understand and live the mission and values that DYC espouses
Innovation/Relevance - The college looks for new and better ways to prepare students to be successful. - The college is in the forefront of a discipline or multi-disciplinary "slice." - The college is creating its own future rather than succumbing to external pressure.
5. GOALS:
1. A unique position in the market for each program Each DYC program will be known for something that is valued by significant numbers of potential students and that is different than the offerings of other institutions of higher learning.
2. Sufficient capital DYC will have a significant internal source of financial aid, investment in administrative and academic information systems, and facilities and infrastructure to meet the changing needs/expectations of the students and faculty.
3. Information
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DYC will have, and make available to appropriate individuals, the most appropriate information for making choices, choosing among risks, and evaluating our success relative to our mission.
4. Graduates who represent us well DYC graduates will be literate, communicate well, and be proficient with computers. Graduates will have something to bring to the world other than their specific degree area, including life management skills and the ability to think creatively and critically.
5. Controlled, consistent growth DYC will attract increasing numbers of undergraduate and graduate students, with an increasing proportion of better qualified applicants and new students.
6. Integrity We will earn the respect of students, employers, and opinion leaders by offering programs as advertised, giving students what we promise, providing values-based education, and continuing a commitment to community service. There will be consistency in action and thought.
7. The best faculty, administration and staff providing the best service Faculty will be at the cutting edge of their professions and capable of stimulating students to do their best. The workplace will attract and retain a diverse group of individuals who are the best employees, and who are committed to making the campus extremely user-friendly.
8. Commitment to mission and values Employees and students will understand the College mission and core values, and incorporate them into academics and their commitment to community service
6. STRATEGIC ISSUES, OBJECTIVES AND STRATEGIES
STRATEGIC ISSUE #1: Academic Program Development and Assessment
The academic programs of D'Youville offer the main opportunity for developing and maintaining a competitive edge and promoting our strengths. Future success hinges on the ability of D'Youville College to differentiate itself based on program offerings and schedules and methods of offering courses. Competition continues to grow stronger.
The college must be looking toward career needs at least 5 - 10 years in the future. If D'Youville is not able to refresh its offerings continuously and provide relevant programs, the value of the degree is significantly diminished, thereby threatening its viability.
Academic Program Development Objectives:
a. By Fall 2004 at least three doctoral-level programs will be in place and operating: • Ed.D. Health Policy Education • Doctor of Chiropractic Medicine (DC) • Doctor of Physical Therapy (DPT)
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b. By Fall 2004 at least two additional degree programs will be in place, compared to Fall 2002, that are attractive to undergraduate students.
Strategic Priorities/Initiatives:
a. Identify potential new programs and program re-packaging concepts that are tied to careers of the future – and especially those requiring undergraduate degrees; b. Develop and competitively offer certification programs, particularly related to the health care and education industries; c. Broaden offerings to retain students -- especially those who are not able to complete preparation for a health profession- related degree at DYC and who need other options for completing a degree at the college; d. Provide programs that complement those of our Canadian partners (e.g. Seneca College) and attract Canadian students (both in Buffalo and Canada); e. Develop doctoral level programs that support areas of current or potential academic leadership in the region. f. Allow convenient alternate access to DYC programs including internet-based distance learning, weekend and evening courses, and summer offerings.
PROGRAM DEVELOPMENT STRATEGIES:
1.1 Position the College as the region’s leader in academic programs related to emerging complementary and alternative health care professions. Offer opportunities at both the undergraduate and graduate levels.
1.2 Maintain balance between undergraduate and graduate offerings, investing specifically in new programs that are attractive to freshmen and traditional undergraduate students or provide access to new pools of students. Programs should provide grounding for new career paths, offer significant revenue potential, and help to differentiate DYC from competing institutions of higher learning.
1.3 Develop doctoral level studies over a period of years, adding one doctoral program each year. Pursue doctoral programs in areas of college strength: Ed.D. in Educational Leadership, Doctor of Chiropractic, Doctor of Physical Therapy (DPT) -- as shown to be financially and organizationally feasible.
1.4 Look at collaborative ventures with other colleges and universities when such collaborations can be shown to enhance DYC program offerings and attractiveness to students.
1.5 Expand the array of internet-based courses -- especially in certificate programs. Attempt to differentiate DYC internet courses from those already on the Net by targeting specific areas of need and niche markets. Ensure that the courses are regularly evaluated and up to par in terms of quality and student support.
1.6 Undertake routine critical review of academic programs that, if necessary, leads to phasing out degree programs that are less relevant to the mission or of less interest to potential students.
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1.7 Expand the skills and competency aspects of the core and incorporate methods of assessing its effectiveness through learning outcomes measurement.
1.8 Expand the education certification and nursing degree programs in Canada by partnering with an existing Canadian college or university. Build on the DYC reputation and linkages, and seek to attract students who do not prefer to cross the border into the US for the advancement of their educations.
1.9 Develop joint programs with high schools (college credit) and college associate degree programs.
1.10 Build on our 2-year college agreements with Canadian colleges by developing programs that have natural linkages for bachelors/masters degree completion.
1.11 Maintain an effective program development process that yields a consistent pipeline of new programs and quickly moves new and re-packaged programs forward to implementation.
1.12 Establish a DYC “satellite” presence in the Southtowns with a weekend-oriented graduate degree and/or certificate program on the Hilbert College campus, specifically in the education and ESL fields. Consider using a cohort approach to the initiative.
1.13 Develop dual admission programs with other colleges/universities, with DYC being both the recipient of undergraduate students from other colleges and the point of entry for undergraduate studies that will lead to an advanced degree from another institution.
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STRATEGIC ISSUE #2: Enrollment Management
Enrollment management is a process that influences the characteristics, size and shape of the student body by planning and implementing institutional efforts in the areas of marketing, recruitment, admissions, pricing, financial aid and retention strategies. Enrollment management is extremely important to the financial health of the college, given increasing competition for students and the college dependence on tuition revenues. In developing the strategy and measuring effectiveness we have to keep in mind that certain personal issues and decisions of the student are outside of the college's control.
Undergraduate admissions are affected by the demographic changes in the Western New York area, where most of D’Youville’s students live. The numbers of high school seniors continues to shrink and the applicants to D’Youville often are those who are less prepared for college. The competition for our local students as well as students inside and outside of New York state has become more intense over the years. Many of the local colleges have duplicated our heretofore most successful programs. Graduate admissions likewise are affected by these variables. However, the Canadian market for teacher certification remains relatively strong. The new challenges are the additional colleges entering this market. Although the teacher certification program is the mainstay of the college currently, it is imperative that a shift occur before those numbers dwindle. Therefore, if a better balance is to be achieved between undergraduate and graduate numbers, a careful analysis of the effects on revenue needs to be made. If new or improved programs on both levels will ensure a new balance, then all efforts need to be made to make it happen. Other factors must also be considered since programs alone will not enroll students.
Enrollment management at D'Youville College incorporates and is affected by the following major areas of initiative covering all aspects of our offerings as they help to attract and retain students:
1. Academic Program Development (See Strategic Issue #1) 2. Retention through quality service initiatives and academic support 3. Recruitment – Undergraduate and Graduate 4. Awareness and Marketing (See Strategic Issue # 6) 5. Financial aid and tuition strategy 6. Student Life, including attractive facilities and living/learning environment (See Strategic Issues #5 and #7.
Enrollment Objectives:
a. The Fall 2003 freshmen profile will show an increase in the number of students who are better qualified with a proportionate decrease in the number of students who are least qualified, when compared to Fall 2002 enrollment.
b. The freshman to sophomore persistence rate for students entering in Fall 2003 will be at least 74% (2% higher than the rate in Fall 2002).
c. Freshman enrollment for Fall 2003 will be at least 200 students, as measured in October 2003.
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d. The undergraduate transfer enrollment for Fall 2003 will be at least 160 students, as measured in October 2003.
e. By Fall 2004 the conversion rate (applications to deposits) will be 10% higher than the Fall 2003 conversion rate.
f. Graduate enrollment for fall 2003 will be at least 15,000 total credit hours, and spring 2004 graduate enrollment will be at least 12,000 total credit hours.
Strategic Priorities/Initiatives:
a. Continue increasing the undergraduate enrollment in as many programs as possible and b. continue increasing the graduate enrollment in non-education programs. c. Increase the number of non-Canadian undergraduate and graduate students. d. Promote a campus-wide commitment to recruitment and retention efforts. e. Support quality service initiatives from the top all the way through the organization. f. Improve and implement procedures for minority and international students. g. Provide scholarship offering and financial aid packaging that make D’Youville competitive with other colleges. h. Review current early identification methods for students at risk and the interventions already provided them; recommend alternatives that will build on the successful techniques already in place. i. Use institutional data to develop student profiles of successful and unsuccessful students.
STRATEGIES:
2.1 Continuously improve the presentation and marketing of the instant scholarship program so that more students will decide to choose DYC and will decide earlier.
2.2 Identify more and better avenues of communication among the areas of the college so that service will continue to improve.
2.3 Establish a strong and attractive residential component that allows the college to compete with others for out-of-area students and commuter students desiring to live outside their homes. (see also issue #4 - facilities)
2.4 Adjust tuition to better support enrollment initiatives at both the undergraduate and graduate levels. Create a single undergraduate tuition rate per credit hour rather than a tiered rate. Develop a tuition rate for doctoral level studies that supports positioning of the college as a high quality educational institution.
2.5 Support efforts to improve the information flow so that decision making can be enhanced with appropriate data; support the development of a degree audit system for all students.
2.6 Enlist the faculty and staff in identifying and using the best means to assist students in academic difficulty or other problem areas related to their college experience.
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2.7 Continue to build the athletic profile of the college by moving toward full accreditation with the NCAA [Division III status] and adding the necessary facilities to support a broader set of offerings.
2.8 Create a hospitable environment for the expected increase of international students, including housing options, admissions, processing, and advisement.
2.9 Whenever possible, take the opportunity to develop student pride in DYC, and work with the students to develop a spirit of support for their college.
2.10 Use the expanded campus ministry staff to build community and increase the inclusion of all members of the DYC community in CM programs.
2.11 Shift admissions advertising resources to targeted efforts toward inquiries using data base marketing techniques and program-specific advertising for targeted programs.
2.12 Develop new strategies for attracting transfer students, particularly for programs that require/prefer entry in the third year.
2.13 Leverage financial aid to achieve a better conversion rate (applications to deposits) with the most desirable and highest potential students.
2.14 Continue to pursue dual admissions and articulation agreement with Canadian colleges.
2.15 Use data mining techniques to uncover trends and competencies within applicant pools that are predictors of (1) potential to be accepted at DYC, and (2) potential to be successful in DYC programs. Concentrate resources on potential DYC students with the highest likelihood of success.
2.16 Develop dual degree or joint admissions agreements with every logical two-year college in the region.
STRATEGIC ISSUE #3: Academic and Administrative Communication and Information Management
A major theme of the D'Youville Strategic Vision is that there will be a variety of computer-driven interactive learning options available, taking advantage of telecommunications linkages to the major centers of knowledge. A substantial continuous investment of human and capital resources will be required to achieve the goal of providing students, faculty and staff the necessary tools for learning and the best information for decision-making. Complete, timely and accurate information is required in order for the D'Youville College administration and Board of Trustees to make the most effective strategic decisions, and for all involved in the admissions, retention and advisement process to serve our students better. Improvement in both process and outcomes for the operations level data system (day-to-day operations focus) and the management level information system (enhancement of the decision- making process on more general policy issues) are crucial for future success.
Objectives: a. By the end of fiscal 2002/2003, on-line registration will be in full use throughout the campus.
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b. By the end of fiscal 2002/2003 all appropriate classrooms at D'Youville College will have computer technology, hardware, software and internet connectivity available for presentation, instruction and in-class research purposes.
c. By the end of fiscal 2002/2003 all D'Youville full-time faculty and appropriate other faculty will have 75% proficiency in the use of computer-based instructional technologies.
d. By the end of fiscal 2002/2003, 85% of appropriate D'Youville course offerings will be incorporating computer-based instructional technologies.
e. By the end of fiscal 2002/2003, the updated administrative computing system will be in place. All appropriate employees will understand and be capable of using the newly introduced administrative systems.
Strategic Priorities and Initiatives: a. An administrative computing system that works and that can be modified to meet current identified information needs; b. Improved reliability of the computing system, including effective power back-up and air conditioning; c. Connection of the academic and administrative computer networks to enable sharing information and databases; d. Academic computing enhancements to improve teaching and outcomes; e. Computer training to use our resources most effectively and improve productivity; f. Effective information production and distribution prioritized based on program development, enrollment management and improved student services; g. On-line registration and advisement systems h. Data mining and institutional research capabilities.
STRATEGIES:
3.1 Commit to continuation of the NIAS academic computing system with specific upgrades and incremental changes. Train all DYC associates to access the NIAS system and develop their own reports, thereby freeing up information systems personnel.
3.2 Educate/train faculty and staff on the use of the network tools, the internet capabilities and the use of multi-media presentation through a comprehensive training program. Integrate the learning environment and incorporate information systems into the education of students.
3.3 Enhance DYC’s technological capabilities to support academic plans for effective distance learning.
3.4 Extend the administrative computer networks and train users of the systems to access and manage the information effectively.
3.5 Keep current computer systems and software support at the necessary level of sophistication to remain both productive and relevant to the changing needs of students and faculty.
3.6 Develop computer technologies that complement the needs of the college and the IT program as it matures.
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3.7 Implement a process for improving the classroom and teaching experience across all academic programs by incorporating computer-based technologies. Optimize the use of these technologies through effective faculty development that incorporates new teaching approaches and technical training.
3.8 Put a comprehensive student information system in place that provides timely, accessible, accurate, and appropriate information to academic decision-makers, student service providers and students, thereby improving our ability to measurably increase student satisfaction levels and maximize student retention.
3.9 Develop Institutional Research capacity to carry out data mining activities that support Enrollment Management and Outcomes Management initiatives.
3.10 Optimize access to the DYC web site so that all seeking to access the site from outside can do so without frustration.
STRATEGIC ISSUE #4: Enhanced Campus Facilities
The continued development of programs at D'Youville College, especially at the graduate level, requires a concomitant major long-term commitment to the development of an appropriate library collection, adequate information and communication technology and sufficient facilities/capacity to take the college toward its vision of a technologically advanced and teaching-focussed campus.
There are three main challenges related to facilities planning:
1. Insufficient Capital - The college priorities for capital investment far exceed the available capital over the next 3-5 years. 2. Capital/facility investment - This depends on the identification of program growth areas and capacity needs. Academic needs and the DYC Vision Statement are the basis for facility planning prioritization and response. 3. The campus is not currently easily definable and is not organized in a manner that would accent its relationship to the urban setting. A campus site plan (vision) will bring the parts together into a cohesive whole.
Therefore, it is important to understand that facility/capital investment planning is a continual work in progress, and will be modified as the academic program development plan becomes more focused.
Buildings and Facilities Objectives:
a. By the end of fiscal 2003/2004, 75% of D'Youville's facilities will have been built, upgraded and/or modernized within the past five year period.
Major Capital Investment Priorities:
Complete by the end of 2003 1. New Gym (completion 1/30/03) 2. Resident housing – Address need for alternative housing arrangements and requirements for expanded programs. 3. Signage program – phase I 150 -
4. Land acquisition and improvement for campus expansion.
Complete by the end of 2005 5. HSB - interior renovations - upgrade teaching and learning capabilities/ classrooms on a step-by-step basis 6. College Center a. Enhanced access to College Center. b. Remodel Porterview dining area for students. 7. KAB – Air conditioning and other upgrades to administrative offices. 8. Signage program – phases II & III.
Long-Term Vision (Federal funding-based initiative) 9. Close off Fargo Street and join the library and other facilities together in a unified campus.
The total value of the investments through 2005 is estimated at over $ 9.7 million.
In general, priorities are determined using the following criteria (in order of relative importance):
A. Life Safety: There is a compelling safety and/or access issue that must be addressed in order to protect the college from incurring liability costs. B1. Students: This facilities project significantly improves the attractiveness of the college and/or student life, thereby aiding the enrollment management process. B2. Plan: The project fits within our developing vision as a center of teaching excellence, and fits within the priorities set by the Institutional Plan and/or Leadership Agenda. C1. Timing: The project must be completed earlier rather than later as the basis for moving ahead with a particular high priority program or as a predecessor to another facilities project. C2. Productivity: Investment in this facilities project will yield improved outcomes and/or operating cost reductions. C3. Investment: The project is an investment in current facilities that will save the college significant dollars through preventive maintenance. D. Fundraising potential: This project will be attractive to would-be funders and granting agencies.
STRATEGIES:
4.1 Expand/re-develop the DYC gym, locker rooms and training facilities to provide adequate and required space for increased requirements of Division III sports and the DaVinci High School, as well as the opportunity for revenues from rentals to outside organizations.
4.2 Be prepared and financially able to respond to and take advantage of opportunities to enhance the sound expansion of the college campus in a timely and orderly fashion as applicable real estate becomes available. Initially use land acquisitions for parking expansion, with the understanding that additional land will be needed for student housing and flexibility in re-configuring the campus in the future.
4.3 Provide affordable alternative housing options for juniors and seniors, married students, graduate students and others who require housing but dislike the dormitory arrangements. Specifically identify short-term (hotelling) housing for Canadian students in graduate programs requiring overnight stays.
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4.4 Continuously upgrade HVAC, electrical systems and continue with building repair and improvement projects prioritized based on the potential for "payback." Provide effective building systems for heating, ventilation, air conditioning, lighting and electrical service that are cost-effective and afford the occupants a level of satisfaction to enhance accomplishment of their tasks in a productive manner. Invest in major repair and replacements in existing facilities that are not undergoing total remodeling.
4.5 Provide adequate, safe, secure and adjacent accommodation for parking for students, faculty, staff and administrators. Particularly address the issue of secure parking for weekend and evening students.
4.6 Develop facility upkeep, work and occupancy schedules that will better accommodate attempts to maximize the use of the dormitories and classroom space during the summer and off-hours.
4.7 HSB - interior renovations: Upgrade this building using a phased approach – after the new academic building is in place – to a first-class teaching and learning environment with state-of-the-art technology and connectivity capabilities/classrooms.
4.8 Develop a satellite in the southtowns area – preferably on the campus of Hilbert College – where graduate-level programs can be offered. (see also Marketing)
4.9 Fund capital projects through planned operational budget allocations and specifically- raised capital funds (e.g. grants), with the existing DYC capital fund being used to assure repayment of debt and the continued stability of the college.
4.10 Continuously renovate buildings and facilities to further develop a concept of community, with attractively decorated and furnished buildings, standardized signage, and accessibility to all.
4.11 Upgrade housekeeping services using contractual services that are at a level that maximizes the appearance of the buildings and grounds within the constraints of the age of the building.
4.12 Enter the Canadian market as part of an existing Canadian university or college campus.
4.13 Use the Fargo Avenue campus development and enhancement master plan as the basis for a request for campus development funding from the Federal government.
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STRATEGIC ISSUE #5: Fundraising and Revenue Diversification
D'Youville College is at a crucial juncture in its development that requires a long-range view of revenue enhancement. D'Youville has traditionally been more tuition-dependent than many of its peer institutions, primarily due to the relatively small proportion of income that is derived from research grants and other outside sources. At the same time that D'Youville is embarking on a major capital improvement program (Strategic Issue #4) the college is finding itself in an increasingly competitive situation that will require both holding down tuition increases and an increasing investment in financial aid to students.
While program development will continue to be a major source of new funds for the college, good business strategy includes the development of new areas of revenue that reduce the dependence on tuition and fees . Diversification of revenue sources serves as a hedge against a temporary flattening out or downturn in tuition revenues.
Fundraising of any kind is increasingly competitive. As such, the D'Youville effort must be developed in a manner that clearly creates and presents the case for giving in a manner that is both professional and compelling. The capital campaign, as a central focus for the next three years, will require a professional approach to both the plan and the presentation materials.
Institutional Advancement Objectives:
a. By the end of fiscal 2002/2003, contributed unrestricted income for the College will total at least $ 450,000 per year.
b. By the end of fiscal 2002/2003, foundation and government grant revenue for the College will total at least $3 million for that year.
c. By the end of fiscal 2002/2003 at least 23 grant applications will be generated by faculty of the college.
d. By the end of fiscal 2002/2003 alumni participation rates in fundraising will be at an average of 30%.
e. The cost of fundraising in fiscal 2002/2003 will be below 25% of total revenue.
Priorities:
a. Increase unrestricted annual giving by at least 15% in each fiscal year. b. Complete the Foundation for the Future capital campaign to raise at least $ 10 million. c. Expand the grants development program to encourage faculty research and increase grant and foundation revenue. d. Stress enhanced community awareness and DYC reputation in WNY and elsewhere. e. Review and revise alumni programming to attract younger alumni.
STRATEGIES:
5.1 Use the Foundation for the Future capital campaign to raise $ 10 million. Use a professional approach that concentrates on implementing a comprehensive cultivation plan, including solicitation of all known major gifts and special gifts prospects. The capital
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campaign should be designed and implemented in such a way that it does not interfere with unrestricted annual giving or scholarship development.
5.2 Encourage and support faculty in obtaining outside research grant funding by developing internal policies and fiscal procedures that are incentives for the faculty, and provide the necessary technical assistance to assure their success.
5.3 Develop and expand a major and planned gift program. Create a partnership of the Board of Trustees, President and Institutional Advancement Office by forming a major gift prospect committee with clearly defined roles and responsibilities, and sufficient resources and support for each to carry out their responsibilities effectively.
5.4 Expand and improve alumni programming by collaborating with the Alumni Association on specific initiatives designed to engage and appeal to younger alumni.
5.5 Enhance the annual fund initiatives designed to reach the unrestricted giving goal.
5.6 Increase and maintain the integrity of the donor database and ensure compliance with IRS accounting standards.
5.7 Build a high performance team in the Department of Institutional Advancement by leveraging individual strengths, empowering staff and fostering teamwork.
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STRATEGIC ISSUE #6: Marketing and Awareness - Inquiry Development
If the college does nothing different in the marketing arena the impact will be severely negative, with continuing losses of students in categories that we desire to attract. If we JUST do awareness building on top of what we are doing now, we will be lucky to hold our own. The likelihood is that we will increase inquiries but be unable to convert them to DYC students. Research has shown us that the college does not have a clear identity, either inside or externally, and as such has a hard time being described as anything more than a collection of programs.
There is a clear window of opportunity for creating a new identity, built on awareness of new programs that will bring in significant number of students after the current Canadian student wave moves through. The college cannot be competitive for attracting freshmen students given the current program, approach, support, and systems. Change is required at all levels of the organization.
There are financial constraints, and limited budget dollars. But, increased expenditures in this arena will more than pay for itself over time in increased revenues from new students and from increased contributed dollars. This is a revenue generating and efficiency/effectiveness initiative rather than a cost-cutting plan. The need for a well-thought-out marketing plan is clearly reenforced by the potential for spending large sums of money and human resources on promotional activities that don't achieve the objectives of the College.
Market/Awareness Objectives: a. By the end of fiscal 2003/2004 awareness of D'Youville College will be at the 80% level for Erie County individuals with at least some expressed interest in continuing their education.
b. By the end of fiscal 2003/2004, at least 25,000 inquiries will have been processed for undergraduate admission (freshman or transfer) to DYC in the Fall 2004 semester.
Priorities:
a. Develop a comprehensive approach that combines aspects of an attractive program and campus, a cost to students that demonstrates value, availability and accessibility built around convenience to the student rather than the faculty, exceptional service to students, and then finally, effective community awareness of the college as well as inquiry-based promotional approaches. To address only some of these issues invites frustration and failure. b. Marketing is everyone's job. Each person on the President’s Council, each person on the faculty, and each person providing security services or checking out books in the library is a part of the marketing process. They need to know that, understand it, and if possible be recognized for their contribution to the marketing effort. c. Future college success is going to be based largely on the ability to increase revenues. The cost of a quality education will continue to increase, and static enrollments will not pay for those increasing costs. d. While we must create brand awareness for DYC among all of our potential markets, the priority markets for advertising will remain potential students for our new programs, undergraduate students (freshmen and transfers) and potential students from the Ontario market.
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STRATEGIES:
PROGRAM INQUIRIES
6.1 Position DYC using increased awareness of unique programs that are attractive to potential undergraduate and graduate students. Use doctoral-level program offerings to increase the quality perception of the college, and unique undergraduate opportunities to differentiate our program-based opportunities.
6.2 Re-enforce long-term relationships with referral sources (counselors, teachers) by designing D'Youville's marketing mix and image so that we establish and maintain a distinctive position in the market, and so that each particular target market understands and appreciates what the Campus stands for in relation to its competitors.
6.3 Concentrate in the near-term on transfer students – especially 3rd year students – to fill undergraduate slots as the college develops the programs, campus and facilities to effectively compete for traditional freshmen.
PRICING
6.4 Develop a 1 ½ - year phased approach to increasing DYC tuition (undergraduate and graduate) to a level at least equal to that of Daemen College. As the campus and student life improves, bring the tuition level up to a level commensurate with our targeted peer institutions.
CANADA
6.5 Establish a satellite site in Canada, in cooperation with an existing Ontario college, to serve education and other programs, as allowed by Canadian authorities.
6.6 Begin to develop the DYC image and presence in the Niagara Penninsula of Canada, from Hamilton to Fort Erie. Package an entire aproach to this market.
AWARENESS/PREFERENCE
6.7 Continue to build on the attractive logo/look and the tag line “Educating for Life” for all routine communications.
6.8 Maximize preference share for all programs/offerings, and the public and referrer perception that D'Youville College is truly a better than value than its competitors for those programs.
6.9 Shift admissions advertising resources to targeted efforts toward inquiries using data base marketing techniques and program-specific advertising.
6.10 Strengthen and maintain the DYC Web site as a tangible representative of everything the College stands for, and for creating awareness of our offerings. Strengthen the Web site’s usefulness as a source of inquiries to the college. Drive inquiries to the DYC Web site by targeted web-site advertising and linkages, and by providing value-added services.
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STRATEGIC ISSUE #7: Operational Excellence
Operational Objectives:
a. By the end of fiscal 2003/2004, at least 85% of DYC employees will be reporting that DYC is a good place to work and one that they would recommend to others.
b. By the end of fiscal 2003/2004, 90% of D'Youville College students will be reporting positive responses to current satisfaction issues such as "runaround," financial aid timeliness, class scheduling, ease in registering courses, and academic advisement.
c. By the end of fiscal 2003/2004 DYC will have no outcomes below the “acceptable” level, and at least 25% of its outcomes at the target level.
Strategic Priorities and Initiatives: a. A sense of team, with everyone moving toward common goals; b. Improved motivation and morale; c. Closing the perceived barriers between faculty and administrators, and between support staff and everyone else; d. Competitive and appropriate salaries and benefits within the construct of an overall human resource policy; e. Consistency in executing personnel policies, including evaluation approaches; f. Training in all areas required to make sure that personnel are productive; g. Commitment to diversity of faculty and staff; h. Understanding the costs and revenues associated with the delivery of individual programs and offerings of the college; i. Meaningful outcomes reporting at academic and administrative levels.
STRATEGIES:
HUMAN RESOURCES DEVELOPMENT
7.1 Further the commitment to diversity with aggressive recruitment and retention efforts for minority faculty and administrative personnel.
7.2 Communicate regularly with all employees on important plans, decisions, and changes that affect the college community.
7.3 Implement cross-training of support staff in order to improve service and motivate employees.
7.4 Evaluate the personnel evaluation and merit-based pay approaches for administrative and support staff.
7.5 Continuously measure and monitor employee satisfaction as a means of allocating resources to where they will be most effective in retaining and attracting employees.
OUTCOMES
7.6 Aggressively pursue student learning outcomes reporting within a structure that fits with Middle States accreditation expectations and Board/Administration reporting requirements. 157 -
Develop both a process and measurement system in conjunction with the academic departments.
7.7 Actively measure outcomes related to the mission, demonstrating a commitment to both mission outcomes and quality service initiatives from the top levels of administration and throughout the whole organization, and improving student service and overall quality.
QUALITY SERVICE
7.8 Continue and enhance the quality service initiative, including procedures, policies, and offerings. Quality service initiatives are the in-service capacity-building function of the enrollment management process. These include aspects of service delivery and student satisfaction awareness, faculty and staff training, and a method for feedback to the entire campus. The process must include an effective evaluation process at all levels.
7.9 Address areas identified in student surveys and through other resources as priorities for improvement. Use problem-solving techniques for the very specific and comprehensive operational response required to address those concerns.
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16.3.2 Coordinated Business and Academic Plans
Institutional planning is based on a model that specifically integrates the business plan with the academic plan. On an annual basis, the senior administrative and academic officers (the president’s cabinet, comprised of the vice presidents for academic affairs, student affairs, institutional advancement, operations, and finance, as well as the dean of enrollment management and director of public relations) meet to review annual performance and refine goals and objectives for both the short term (coming academic year) and the long term (three and five year plans). As an institution of higher education,
D’Youville College conceives of success as springing from its record in attracting, retaining, and graduating students through its various academic programs while maintaining a fiscal profile that permits continued growth and improvement in the institution, its resources and programs, and its personnel.
Based on strategic goals and objectives set by the president of the institution and senior administration, the chief financial officer meets with each division head to discuss priorities and needs related to both the coming budget year and long-term projects.
Based on these discussions, a preliminary budget plan is developed, then shared with the president’s council. A comprehensive budget is then formulated for the institution, subject to review and modification by the president. It is then presented to the institution’s Board of Trustees for final review and approval
Divisional and institutional goals consistent with the Board’s actions are then established for both the coming year and for long term plans at a series of annual planning meetings.
A final written plan is developed and disseminated as a guide to action and an aid in
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evaluation at the close of the year, at which point the cycle begins again.
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16.4 Participation in Academic Policies and Standards
D’YOUVILLE COLLEGE FACULTY COUNCIL BYLAWS
Article I: Name
The name of this organization shall be the Faculty Council of D’Youville College.
Article II. Purpose
Section 1. The Faculty Council is the representative body of faculty at D’Youville College. Within the framework of the college charter, philosophy, mission and structure it shall: a) decide all curriculum issues; subject to approval of the college president. b) recommend establishment and/or revision of academic and educational policies at D’Youville. c) devise, revise, and implement standards, criteria, and procedures for faculty development; utilization of funds for research and travel. d) be a formal forum for faculty to exchange ideas and information regarding the academic life and operations of D’Youville.
Section 2. In relation to other governing bodies or offices of the college: The faculty has primary responsibility for such fundamental areas as curriculum, subject matter and method of instruction, research, faculty status, and those aspects of student life which relate to the educational process. On these matters, the power of review or final decision lodged in the governing board or delegated by it to the president (of the college) should be exercised adversely only in exceptional circumstances, and for reasons communicated to the faculty.2
Section 3. The recommendations of the Faculty council shall be made to the Dean of Arts, Sciences and Professional Studies, or to such other officer or organization as may be appropriate in particular cases.
Section 4. Nothing in these Bylaws shall be interpreted as contradictory to any provisions of the collective bargaining agreement between D’Youville College and the D’Youville Chapter of the AAUP.
2 “Statement on Government of Colleges and Universities” - Reprinted from the Winter 1966 issue of AAUP Bulletin.
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Article III. Membership
Section 1. There shall be two kinds of members: Regular and Special. All members shall have voice and the right to introduce legislation or resolutions through appropriate channels.
Section 2. Regular members are all full-time faculty at D’Youville College, including Department Chairs and full-time non-administrative, professional Librarians. In addition to other membership privileges, regular members have the right to vote and the duty to serve on committees.
Section 3. Special members, who have no voting rights in Faculty Council or committees (unless otherwise specified) but are included to facilitate Council business, shall be the following College administrators: Dean of Arts, Sciences and Professional Studies; Dean of Health and Human Services; Director of the Library; Registrar; Director of Admissions and Financial Aid; Director of the Learning Center; Assistant to the President for Grants and Special Projects; Director of Institutional Advancement. Part- time faculty are also special members.
Article IV: Meetings
Section 1. There should be two types of meetings: regular and special.
Section 2. Regular meetings shall be held at least monthly in accord with a schedule determined by the President of the Faculty council, and published by the beginning of each academic year. A detailed agenda of each regular meeting must be made available to Faculty Council members at least three (3) days in advance of each meeting, along with relevant resolutions and other materials.
Section 3. Special meetings of Faculty council may be called by the Executive Committee of the Faculty Council, or by petition of a minimum of 25% of the regular members of Faculty Council.
Section 4. Quorum - A quorum for any meeting of this Council shall be one more than half of the total voting membership.
Article V: Officers
Section 1. a) There shall be a President, Vice President, and Secretary of the Faculty Council. b) Election of officers: Officers will be elected for one year terms, by majority vote of Faculty Council at the April regular meeting of the Council. Officers terms begin May 1. c) Eligibility: The President and Vice President shall be elected from among tenured faculty. Tenure is not required for the Secretary.
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Section 2. a) The president shall: 1. preside over all meetings; 2. confer with appropriate persons regarding needed resources, time line, locations, etc.; 3. appoint ad hoc committees as needed; 4. serve as liaison between Faculty Council and the Deans of the Schools or other appropriate bodies of personnel; 5. chair the Executive Committee, with vote; 6. call meetings of the Executive Committee; 7. oversee the various activities of the Faculty Council as well as the communication and implementation of its decisions and recommendations. 8. serve as an ex-officio member of each standing committee b) The Vice-President shall; 1. preside in place of the President when needed; 2. assume office if the President resigns or is removed from office; 3. perform duties requested by the President; 4. serve on the Executive Committee; 5. chair the committee on Undergraduate Curriculum. c) The Secretary shall: 1. record, reproduce and distribute copies of minutes of Faculty Council meetings to all members and appropriate bodies; 2. distribute, to all Faculty Council members, at least three days before regular meetings, notice of such meetings and all printed materials and information pertaining to such meetings; 3. maintain an up-to-date listing of all Faculty Council members, by category; 4. maintain a current (academic year) file of Faculty Council minutes and make such file available at all Faculty Council meetings; 5. serve on the Executive Committee.
Section 3. Executive Committee a) The officers shall constitute an Executive committee. b) The functions of the Executive Committee shall include: 1. calling special meetings; 2. setting agenda; 3. accepting charges from Faculty council for which no committee exists; 4. representing the Faculty Council in supporting recommendations to other groups in the College.
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Section 4. Removal From Office An officer may be removed from office by a vote of no-confidence: 1. upon petition of 1/2 the full Regular membership, presented to the Operations and Relations Committee at least 10 days prior to the meeting at which the vote will be taken; 2. by 2/3 vote of the regular members present at a Faculty Council meeting; 3. a vote of no confidence may not be taken under any other conditions. The vote takes effect immediately.
Article VI: Committees
Section 1. In addition to all powers, duties and responsibilities specified below, each STANDING COMMITTEE shall have the following powers and responsibilities: a) to generate legislation and resolutions pertaining to areas under its jurisdiction; b) to review all legislation and resolutions pertaining to its areas of jurisdiction; c) to seek further information or other input in researching the merits and implications of proposals under its consideration; d) to report to the full Council its evaluation and recommendations regarding proposals submitted to it; e) unless otherwise specified, to chose its own chairperson from among the Regular Council members by majority vote at its organizational meeting; f) to call upon Special members of Faculty Council, or such other College officers, administrators, or staff persons as may be appropriate for evaluating proposals under consideration by it.
Section 2. A. Members of Standing Committee shall be elected by majority vote of the Faculty Council, at the April regular meeting of the Council, for service during the following academic year. Nominations shall be submitted by the Operations and Relations Committee. Floor nominations may be made with the consent of the nominee. All selections are for a two-year term, unless otherwise specified. However, in the first selection under these bylaws, one-half of the terms shall be for one year, and one- half shall be for 2 years. B. The president shall be an ex officio member of all standing committees. C. Absence from 3 consecutive committee meetings constitutes automatic removal from committee.
Section 3. There shall be the following Standing Committees: Committee on Undergraduate Curriculum Academic Policies Committee Academic Resources Committee Faculty Committee Research Committee Operations and Relations Committee
Section 4. Committee on Undergraduate Curriculum A. Membership: Shall consist of the following voting members: four (4) at large regular members from each School, no two of whom may represent any one department,
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one (1) librarian, two (2) students (a senior and a junior as selected by the Student Association), President of the Faculty Council, and the following non-voting members: Vice-President of the Faculty council as chairperson, all undergraduate department chairpersons (ex officio), the Deans of the Schools (or their representatives), the Registrar. B. Functions: 1. Shall act as a planning and evaluating body for curriculum offerings and requirements, including: a) To consider and approve routine changes regarding course numbering, catalog changes, additions and/or deletions of pre-requisites on the departmental and/or college level. b) To receive, review, and may request clarification of proposed new programs, curriculum additions, deletions or changes with rationale as submitted by the departments of the college. Upon study and approval, the committee shall present these recommendations to the faculty for approval (action). To develop and facilitate a systematic curriculum program evaluation plan.
Section 5. Academic Policies Committee C. Membership: Shall consist of the following voting members: three (3) at large regular members from each School, no two of whom may represent any one department, President of the Faculty council, two students selected by the Student Association, and the following non-voting members: the Deans of the Schools, Registrar. D. Functions: The committee shall: 1. review, study, and recommend policies, standards and procedures related, but not limited to; a) admissions b) scholarship aid c) Honors d) student academic standing and promotion e) examinations, grading, and graduation f) challenge examinations, transfers, and advanced placement g) all other academic policies, standards, and procedures. 2. Review applications for and determine recipients of scholarship aid. Students shall be excluded from these deliberations. 3. Review and determine the status of all students who, because of their poor academic record, are subject to dismissal from the college. Students shall be excluded from these deliberations.
Section 6. Academic Resources Committee A. Membership: Shall consist of the following voting members: five (5) Regular members, including one (1) librarian, two (2) students selected by the Student Association, and the President of the Faculty Council. The Director of the Learning Center shall be a non-voting member. B. Functions: 1. To review, study, and recommend policies for those support areas of the college which are directly involved in the learning process - the library, the learning center, and the tutorial program; and to promote close coordination between these areas and classroom teaching.
Section 7. Faculty Committee A. Membership: Shall consist of the following voting members: three (3) at large regular members from each School, no two of whom may represent any one
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department, one (1) librarian, and the President of the Faculty council. Three members of the committee must be tenured. B. Functions: A. To consider issues and concerns of faculty and make policy recommendations to the Council; B. To plan and conduct an orientation program for new faculty each semester and present programs for new orientation and Continuing Education; C. To develop criteria and procedures for the disbursement of Travel Funds and such other funds required to maintain and improve the quality of the faculty.
Section 8. Research Committee A. Membership: Shall consist of three (3) at large regular members from each School, no two of whom may represent any one department, who represent diverse disciplines and must have research ability/skills as evidenced by the terminal degree or research activity, and the President of Faculty. B. Functions: 1. To encourage research and research activity by faculty and students: a) through presentations to the college community; b) by encouraging on-going intra/interdisciplinary dialogue on increasing faculty research and scholarly activities; c) by preparing an annual report to Administration regarding accomplishments made with funds/assistance from the research committee and barriers to faculty research at D’Youville College 2. To serve as a resource for faculty research activity in the college: a) by review of faculty proposals and by making decisions regarding research funding within the committee’s operating budget; b) by setting priorities for funding decisions within the committee’s operating budget; c) by monitoring budget allocations and spending of budget according to the committee guidelines for funding d) by consulting with and making recommendations to the Deans of the Schools regarding sabbatical requests. 3. To offer recommendations to Administration regarding release time, space for faculty research, and funds needed for such, in addition to the committee’s operating budget.
Section 9. Operations and Relations Committee A. Membership: Shall consist of the following voting members: four (4) Regular members and the President of the Faculty Council. B. Functions: The committee shall: 1. generate or review all resolutions and legislation concerning the Bylaws and internal operations of the Council; 2. devise procedures for, and conduct, Faculty Council elections and referenda; 3. nominate slated of officers; 4. nominate members of Standing Committee; 5. recommend to the president slates for ad hoc committees; 6. nominate faculty members to student Conduct Committee and Judicial Review Board. 7. receive and process petitions for a vote of no-confidence; 8. concern itself with relationships between the Council’s Bylaws and the bylaws, constitutions, or other operating rules of the college, College Assembly, local
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chapter of the AAUP, Student Association, and other bodies with which the Council interacts; 9. review and recommend modification to the Standing rules of the Council. 10. at the end of the school year, appoint a member of each committee, who is to serve on that committee the following school year, to serve as the convening chairperson for the next school year. The convening chairperson is responsible for calling and serving as chair of that committee at the first committee meeting of the following school year until a committee chair is elected from the membership of that committee.
Article VII: Amendments
These Bylaws may be amended at any regular meeting by the affirmative vote or two- thirds of the Regular members present and voting, providing that the amendment has been submitted in writing to the secretary and read to the membership at a previous meeting.
Article VII: Parliamentary Authority
The parliamentary authority of this organization shall be newly revised Robert’s Rules of Order and such standing rules as the Faculty Council may adopt to modify or supplement Robert’s rules.
Revised March 14, 2001
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GRADUATE COUNCIL BYLAWS
ARTICLE I: NAME
The name of this organization is: the Graduate Council of D'Youville College.
ARTICLE II: PURPOSE
SECTION 1: The Graduate Council is the representative body of the graduate faculty at D'Youville College. Within the framework of the college charter, philosophy, mission, and structure it shall:
A. be the formal forum for graduate faculty to exchange ideas and information regarding graduate education at D'Youville.
B. recommend establishment and/or revisions of graduate level academic and educational policies at D'Youville.
C. devise, revise, and implement standards, criteria, and procedures for certification of graduate faculty.
SECTION 2: In relation to other governing bodies or offices of the college: The faculty has primary responsibility for such fundamental areas as curriculum, subject matter, and method of instruction, research, faculty status, and those aspects of student life which relate to the educational process. On these matters, the power of review or final decision lodged in the governing board or delegated by it to the president of the college should be exercised adversely only in exceptional circumstances, and for reasons communicated to the faculty.
SECTION 3: The recommendations of the Graduate Council shall be made to the Director of Graduate Studies, or such other officer or organization as may be appropriate in particular cases.
SECTION 4: Nothing in these Bylaws shall be interpreted as contradictory to any provisions of the collective bargaining agreement between D'Youville College and the D'Youville Chapter of the AAUP.
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ARTICLE III: MEMBERSHIP
SECTION 1: There shall be two kinds of members: Elected and Ex-officio. Elected members shall have voice and the right to introduce legislation or resolutions through appropriate channels. Ex-officio members shall have voice but no vote.
SECTION 2: Elected members are full-time faculty who have been certified with full status faculty.
A. Graduate faculty of each graduate program shall elect two of its members to serve on the Graduate Council.
B. Four Graduate Council members, not members of a graduate program shall be nominated and elected by the certified graduate faculty as a body.
C. All elected members of the Council have full membership rights and privileges including voice and vote as well as the duty to serve on committees.
SECTION 3: The following are Ex-officio members of the Graduate Council: Vice President for Academic Affairs, Registrar, Director of Graduate Studies, Director of Library Resources and Graduate Students who have been elected to serve on standing committees of the council. In keeping with ex- officio status, these members have voice but no vote.
ARTICLE IV: OFFICERS
SECTION 1: There shall be three officers: Chairperson, Vice Chairperson and Recording Secretary.
SECTION 2: All elected members of the Graduate Council are eligible for any office. No other persons may serve as officers.
SECTION 3: Selection of officers shall occur as follows:
A. Upon ratification of this document, the elected members of the Graduate Council shall elect a Chairperson, a Vice Chairperson, and a Secretary. Thereafter, annually, the Graduate Council shall elect all officers.
SECTION 4: The Chairperson shall have the following powers and duties:
A. to preside over all regular and special meetings of the Graduate Council.
B. to call special meetings of the Graduate Council, as needed.
C. to serve as ex officio member of all Standing Committees.
D. to formally communicate Graduate Council decisions and recommendations to the Director of Graduate Studies and/or when appropriate to the Vice President for Academic Affairs, other persons, administrators, or organizations.
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E. to serve as liaison between the Graduate Council and the Faculty Council, the Vice President for Academic Affairs, Director of Graduate Studies and other officers or bodies.
F. to appoint ad hoc committees, as needed.
G. to oversee the various activities of the Graduate Council, as well as the communication and implementation of its decisions and recommendations.
SECTION 5: The Vice Chairperson shall have the following powers and duties:
A. presiding at meetings in the absence of the Chairperson.
B. fulfilling Chairperson responsibilities, in the absence of the Chairperson.
C. assuming the office of Chairperson, if the Chairperson resigns or is removed from office.
D. assisting the Chairperson in liaison and overseeing functions, and in other duties as assigned by the Chairperson.
SECTION 6: The Recording Secretary shall have the following duties and powers:
A. to record, reproduce, and distribute copies of minutes of Graduate Council meetings, both regular and special.
B. to distribute to all Graduate Council members, at least three days before regular meetings, notice of such meeting and all printed materials and information pertaining to such meeting.
C. to maintain an up-to-date listing of all faculty certified as graduate faculty.
D. to maintain a current academic year file of Graduate Council minutes, and make such file available at all Graduate Council meetings.
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ARTICLE V: MEETINGS
SECTION 1: There shall be two types of meetings: regular and special.
SECTION 2: Regular meetings shall be held on a regular basis, in accord with a schedule determined by the Graduate Council published by the beginning of each academic year. A detailed agenda for each regular meeting must be made available to Graduate Council members at least three days in advance of each meeting, along with relevant resolutions and other materials.
SECTION 3: Special meetings of the Graduate Council may be called:
A. by the Chairperson of the Graduate Council.
B. by petition of a minimum of 25% of elected members of the Graduate Council.
SECTION 4: A quorum at any regular or special meeting shall be one more than half of regular members.
ARTICLE VI: STANDING COMMITTEES
SECTION 1: In addition to all specific powers, duties and responsibilities specified below, each standing committee shall have the following powers and responsibilities:
A. to generate legislation and resolutions pertaining to areas under its jurisdiction.
B. to review all legislation and resolutions pertaining to its areas of jurisdiction.
C. to seek further information or other input in researching the merits and implications of proposals under its consideration.
D. to report to the full Council its evaluation and recommendation regarding proposals submitted to it.
E. to choose its own chairperson by majority vote at its organizational meeting.
F. to call upon special members of the Graduate Council, or such other college officers, administrators, or staff persons as may be appropriate for evaluating proposals under consideration by it.
SECTION 2: Memberships on standing committees shall be drawn from Graduate Faculty as defined by the membership definition of each committee, at least one of whom must be a member of the Graduate Council.
SECTION 3: There shall be the following Standing Committees: Graduate Curriculum and Program Development; and Graduate Certification, Policies and Standards Committee.
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SECTION 4: The Graduate Curriculum and Program Development Committee shall have as its powers and duties:
A. to review, and request clarification if needed, proposed new programs, curriculum additions, deletions or changes submitted to it. Upon study and approval the committee shall present such recommendations to the Graduate Council for approval.
B. to assist, as needed, in the development of new graduate programs in such areas as feasibility studies, writing of proposals, etc.
MEMBERSHIP: One faculty from each graduate program, the Chairperson of the Graduate Council and the Director of Graduate Studies, ex officio, and one graduate student with voice and vote.
SECTION 5: The Graduate Certification, Policies and Standards Committee shall have as its powers and duties:
A. to study, evaluate, and recommend to the Graduate Council policies and standards for admissions to graduate programs.
B. to study, evaluate, and recommend to the Graduate Council policies and standards applicable to all students in graduate programs. Such concerns may include, but are not limited to, academic standing and probationary status, graduate assistantships, development of a style manual for theses, etc.
C. to study, evaluate, and recommend to the Graduate Council policies and standards for graduation.
D. review and recommend action regarding applicants who do not meet minimum admission requirements and who petition for admission.
E. to review and recommend to the Graduate Council criteria regarding Graduate Faculty Status.
F. to develop and recommend to the Graduate Council a procedure for review and certification of faculty for graduate status.
G. to carry out such reviews, according to the procedure approved by the Graduate Council. Upon completion of such review the committee shall notify the faculty member and the Director of Graduate Education of its recommendation.
MEMBERSHIP: One faculty from each graduate program, the Chairperson of the Graduate Council and the Director of Graduate Studies, ex officio, and one graduate student with voice and vote.
ARTICLE VII: NOMINATIONS
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Before the last Spring meeting, each program shall elect two members for the Graduate Council and the standing committees. The Graduate Council shall call for nominations from the graduate faculty for the four (4) non-program graduate positions and conduct a mail ballot. All nominations must come from certified graduate faculty. All selections are for one year unless otherwise stated.
ARTICLE VIII: ORDER OF MEETINGS
The order of business shall include the following as necessary:
call to order by the Chairperson of the Graduate Council acceptance of previous meeting minutes communications from the Council Chairperson reports of Standing Committees other committee reports consideration of unfinished business presentation and discussion of new business adjournment
ARTICLE IX: AMENDMENTS
These Bylaws may be amended at any regular meeting by the affirmative vote of two- thirds of the members present and voting, providing that the amendment has been submitted in writing to the secretary and read to the membership at a previous meeting.
ARTICLE X: PARLIAMENTARY AUTHORITY
The parliamentary authority of this Council shall be Roberts Rules of Order. Revised
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17.1 Ethical Standards
(Ethical Conduct,Benchmark 7:Handbook – Private,,S.7.3) Attach as Appendix 7.3 a statement of the ethical standards relating to fair and honest business practices that will guide the conduct of the organization in the course of its operations in Ontario and in other jurisdictions.
As an institution of higher education chartered by the University of the State of
New York and accredited by the Middles States Association of Colleges and
Schools, D’Youville has demonstrated that it meets or continues to meet the following Eligibility Requirements of the Middle States Commission on Higher
Education.
1. The institution is authorized to operate as an educational institution and
award postsecondary degrees by an appropriate governmental
organization within the Middle States region and other agencies as
required by each of the jurisdictions or regions in which it operates. Based
on review of individual institutional requests, the Commission may
determine that degree-granting authority from a U.S. or foreign
governmental or other agency outside the Middle States region is an
acceptable alternative.
2. The institution’s mission is clearly defined and adopted by its governing
board consistent with its legal authorization, and is appropriate to a
degree granting institution of higher education.
3. Educational programs within the institution award credit towards
postsecondary degrees equivalent to at least one academic year in
length.
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4. The governing body is able to assure that the institution adheres to the eligibility requirements, describes itself in identical terms to all accrediting agencies, can be reasonably expected to adhere to accreditation standards and policies, communicate any changes in its accredited status, and that it will make freely available to the Commission accurate, fair, and complete information on all aspects of the institution and its operations.
5. The institution publishes in its catalog or other appropriate places accurate and current information that describes purposes and objectives, admission requirements and procedures, academic calendars, rules and regulations directly affecting students, programs and courses, degrees offered and the degree requirements, costs and refund policies, grievance procedures, academic credentials of faculty and administrators, and other items relative to attending the institution and withdrawing from it.
6. The institution devotes a sufficient portion of its income to the support of its educational purposes and programs.
7. The institution complies with applicable interregional policies, such as
“Separately Accreditable Institutions” and “Evaluation of Institutions
Operating Interregionally.”
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18.1 Student Recruitment Policies Admission to D'Youville College is moderately competitive. Our selection process attempts to identify those qualified men and women who will benefit most from the wide variety of academic and extracurricular programs that the college offers. In making admissions decisions, we consider grades, class rank, standardized test scores, recommendations, and any additional information you may provide.
To apply to D'Youville, you need to submit a completed application (Physician
Assistant program requires a supplemental application) along with the $25.00 processing fee, official high school transcripts (official transcripts from all colleges and/or universities previously attended in the case of transfer students) SAT or ACT scores and letters of recommendation (optional for all programs except Physician Assistant). Review the admission requirements section in the fact sheet for the major of your choice for more information or specialized instructions.
Applications are reviewed on a rolling basis for all programs of study except for the Physicians Assistant program. You can expect to receive an admissions decision within three weeks of the time we receive all the necessary forms, test scores, and transcripts. The sooner you complete your application, the sooner you'll receive a decision.
Admission to D'Youville College is granted without regard to age, race, gender, national origin, religious affiliation, or disability.
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19.2 Academic Freedom Policy
a. Teachers are entitled to full freedom in research and the publication of the
results, subject to the adequate performance of their other academic duties,
but research for pecuniary return should be based upon an understanding
with the authorities of the institution.
b. Teachers are entitled to freedom in the classroom in discussing their subject,
but they should be careful not to introduce into their teaching controversial
matter which has no relation to their subject. Limitations of academic
freedom because of religious or other aims of the institution should be
clearly stated in writing at the time of the appointment.
c. College and university leaders 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 the institution by their
utterances. Hence, they, at all times, should 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.
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19.2 Academic Freedom Constraints
Will students or staff be asked to sign or adhere to a statement of faith and/or a code of conduct that might constitute a constraint upon academic freedom?
X No
Yes (Attach as Appendix 9.2 a copy of the policy/policies where the applicant: a) notifies staff and students prior to employment or admission; and b) has adequate procedures in place to ensure that the principles of natural justice are
followed in the event of allegations related to any violation of any contractual
arrangement between the organization and its staff and/or students in which the
required statement of faith and/or code of conduct is implicated.)
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19.3 Intellectual Property Policy
A. Scope
This Article sets forth the rights and obligations of the parties hereto as to
intellectual property rights of the College and of the members of the bargaining
unit, such rights to include but not to be limited to rights in intellectual property
that can be trademarked, copyrighted, or patented.
B. Definitions
1. Copyright/Copyrightable
a. literary works
b. musical works, including any accompanying words
c. dramatic works, including any accompanying music
d. pantomimes and choreographic works
e. pictorial, graphic, and sculptural works
f. motion picture and other audiovisual works
g. sound recordings
h. architectural works
i. computer programs
2. Intellectual Property
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Any trademarkable, copyrightable, or patentable matter or any
intellectually created tangible thing or matter including, but not limited to,
books, tests, articles, monographs, glossaries, bibliographies, study
guides, laboratory manuals, syllabi, tests and work papers, lectures,
musical and/or dramatic compositions, unpublished scripts, films,
filmstrips, charts, transparencies, other visual aids, video and audio tapes
and cassettes, computer programs, live video and audio broadcasts,
programmed instruction materials, drawings, paintings, sculptures,
photographs, and other works of art.
3. Patent/Patentable includes:
a. inventions or discoveries which constitute any new and useful
process, machine, manufacture, or composition of matter or any
new and useful improvement thereof, as such is further defined in
35 USC sections 100,101
b. designs, being new, original and ornamental designs for an article
made, as such is further defined in 35 USC section 171, et seq.
c. plant patents, being for the asexual reproduction of a distinct and
new variety of plant, including cultivated sports, mutants, hybrids,
and newly-found seedlings, other than a tuber propagated plant or
plant found in an uncultivated state, as such is further defined in
35 USC 161, et seq.
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4. Trademark/Trademarkable
Any word, name, symbol, or device, or combination thereof adopted and
used by an employee to identify his goods and distinguish them from
those made, manufactured, or sold by others.
C. Ownership and Limitations
1. Except as limited below in Section C (2), (3), and (4), it shall be presumed
that intellectual property created, made, or originated by an employee
covered by this Agreement shall be the sole and exclusive property of
such employee for perpetuity or so long as the federal law applicable
thereto allows and the employee may choose individually to contract
away such property in full or in part. Creatorship of intellectual property
shall be presumed in the claiming employee as against the College.
Intellectual property created by the employee in the fulfillment of the
employee’s normal duties and responsibilities under this collective
bargaining agreement is presumed to belong to the employee for
proprietary or marketing purposes outside of the College but is available
to the College for internal review and for review by external agencies
regulating the College.
2. The College shall have the right to purchase intellectual property created,
made, or originated by an employee. If the College does not exercise this
right and Section C (4) and/or (5) are not applicable, ownership shall vest
in the employee as outlined in Section C (1), above.
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3. The College is the presumed owner of intellectual property only when the
College enters into an agreement with the employee to specifically create
such specified intellectual property in exchange for compensation and this
agreement specifically outlines the development obligations and the
College’s exclusive ownership.
4. The College and the employee are joint owners of intellectual property
when they enter into a specific agreement to create such intellectual
property and such agreement shall define the development obligations
and ownership share of each party.
5. Nothing in this Article shall relieve the employee of the obligation to
prepare syllabi, assignments, and tests for students in their program or
department and to use such materials in classroom instruction without the
expectation of royalty payments by the College for the materials.
D. Use of Funds From Sale of Intellectual Property
1. Funds received by the College from the sale of intellectual property
owned by the College shall be allocated and expended as determined
solely by the College.
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2. Funds received by the employee and by the College from the sale of
intellectual property owned jointly by the employee and the College shall
be allocated and expended in accordance with the specific agreement
negotiated by the employee and the College concerning such jointly
owned intellectual property.
E. Obtaining Copyrights, Patents, or Trademarks
It shall be the obligation of the creator of the intellectual property to act to protect
his or her rights pertinent thereto under the law at the creator’s sole cost and
expense. Nothing set forth herein shifts the aforesaid obligation from the
employee to either the College or the Union.
F. Development Obligations
1. It is understood that intellectual property developed by employees on or
off College time, except for those materials for which the College had
specifically contracted, prior to August 31, 1999 shall remain the property
of such employees but shall continue to be used for the benefit of the
College while the employee remains an employee of the College.
2. The resources, including materials and time, required to develop
intellectual property shall be provided by the presumed owner of the
intellectual property. Intellectual property may be used in the classroom
to further its efficacy and efficiency without jeopardizing this section of the
agreement.
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19.4 Research Policies
The College provides four Handbooks that include our policies on research. These handbooks include:
1. D’Youville College Graduate Handbook
2. D’Youville College Institutional Review Board Handbook
3. D’Youville College Thesis Handbook
4. D’Youville College Project Handbook
The materials in these Handbooks are reproduced here.
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GRADUATE HANDBOOK
D’YOUVILLE COLLEGE 2002-2003
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TABLE OF CONTENTS
General Information...... 1 Introduction...... 1 Degree Programs ...... 1 Master of Science...... 1 Bachelor of Science/Master of Science...... 1 Integrated Bachelor of Arts/Master of Science...... 1 Certificate Programs...... 1 Graduate Program Contact Persons...... 2
Communication...... 3 Publications and Announcements...... 3 Bulletin Board Communication...... 3 Student Mailboxes...... 4
Student Organizations...... 5 Dietetics ...... 5 Nursing...... 5 Occupational Therapy...... 5 Physical Therapy...... 5
Student Representation on Committees ...... 6 Student Representative Elections...... 6 Committee Positions...... 6
Academic Regulations...... 7 Master of Science Programs...... 7 Bachelor of Science/Master of Science Programs ...... 7 Integrated Bachelor of Arts/Master of Science ...... 7 Thesis Option for All Programs...... 7 Project Option...... 7 Completion of Degree Requirements...... 8
Academic Policies, Financial Aid, and Student Services Reference Guide ...... 9
Management Internship/Practicum ...... 16 Health Services Administration ...... 16 Waiver of Practicum...... 16 International Business...... 16 Nursing...... 16 Application for Management Internship/Practicum ...... 16
Publishable Paper...... 17 Guidelines...... 17
Teaching Practicum ...... 18 Nursing...... 18 i -
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TABLE OF CONTENTS
Application ...... 18 Due Dates...... 18 Special Notes...... 18 Graduate Education Programs ...... 18 Prerequisites ...... 18 Requirements...... 19 Special Education...... 19 Elementary or Secondary Education...... 19 Application ...... 19 Special Notes...... 20 Due Dates...... 20
Graduate Financial Aid...... 21 Scholarships...... 21 Eligibility Criteria...... 21 Application Process...... 21 McTaggart-D'Youville Student Loan Fund...... 21
Appendix...... 23 Request for Extension of Time to Complete the Master of Science Program ...... 24 Independent Study Application Form for Graduate Students...... 26 Publishable Paper Faculty Editorial Review Form ...... 27 Application for Teaching Practicum...... 29 Application for Management Internship/Practicum...... 30
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GENERAL INFORMATION
INTRODUCTION CERTIFICATE PROGRAMS The Graduate Handbook is designed to provide graduate students with general information about the Advanced Certificate programs are offered in college, information regarding policies and Addictions in the Community, Advanced Orthopedic procedures specific to the graduate programs, and Physical Therapy, Clinical Research Associate, sample forms required in the various graduate Health Services Administration, Holistic Nursing programs. Other college publications and Practice, Hospice and Palliative Care, Improving announcements provide additional important Performance, Long Term Care Administration, information for all D'Youville College students. It is Nursing and Health Related Professions Education, the responsibility of each student to obtain these and in Manual Physical Therapy. A Post-Masters publications as they become available. Certificate in Family Nurse Practitioner is also available. Teacher certification programs are also offered in Elementary and Secondary Education. DEGREE PROGRAMS
Master of Science A graduate program in Community Health Nursing was introduced in 1983. Since then, other graduate programs have been developed in family nurse practitioner, nursing (choice of clinical focus), elementary education, secondary education, special education, health services administration, international business, occupational therapy and physical therapy. Starting in spring of 2003, new education programs will be introduced in early childhood, childhood, middle childhood generalist, middle childhood specialist, adolescence, and teaching English to speakers of other languages.
Bachelor of Science/Master of Science Five-year programs leading to BS/MS degrees have been established in Dietetics, International Business, and Occupational Therapy. A BSN/MS degree is also offered in Community Health Nursing. A six- year program in physical therapy (B.S.+M.P.T.) is also offered, as well as an R.N.-B.S./M.S. degree in nursing.
Integrated Bachelor of Arts/Master of Science A five-year program in Education leads to an integrated BA in Interdisciplinary Studies and MS in Education.
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GENERAL INFORMATION
CONTACT PERSONS
Community Health Nursing Masters, or: Holistic Health Studies Addictions in the Community Certificate Holistic Nursing Practice Certificate Holistic Nursing Practice Certificate Hospice and Palliative Care Certificate Hospice and Palliative Care Certificate Nursing and Health Related Professions Nursing and Health Related Professions Education Certificate Education Certificate Dr. Paul Hageman, PAW 437, x7793 Dr. Verna Kieffer, HSB 517, x6517 International Business Dietetics Dr. Kushnood Haq, HSB 416, x8123 Dr. Charlotte Baumgart, PAW 330, x7752 Nursing (Choice of Clinical Focus) Masters Education, Elementary Dr. Verna Kieffer, HSB 517, x6517 Certificate or Masters Occupational Therapy Education, Secondary Certificate or Dr. Merlene Gingher, PAW 329, x0611 Masters Education, Special Certificate Physical Therapy Masters or Masters of Science, or Masters or: Education, Early Childhood Certificate or Advanced Orthopedic Physical Therapy Masters Manual Physical Therapy Education, Childhood Ms. Lynn Rivers, PAW 328, x7708 Certificate or Masters Education, Middle Childhood Certificate or Masters Education, Adolescence Certificate or Masters Education, Teaching English to Speakers of Other Languages (TESOL) Certificate or Masters Dr. Sheila Taylor-King, HSB 609, x8119
Family Nurse Practitioner Dr. Verna Kieffer, HSB 517, x6517
Health Services Administration Masters, or: Clinical Research Associate Certificate Health Services Administration Certificate Improving Performance Certificate Long Term Care Certificate Dr. Ardyce Lightner, HSB 106, x0601
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COMMUNICATION
PUBLICATIONS and ANNOUNCEMENTS Program Brochures The Education, HSA, and Nursing programs have Administrative Announcements their own program brochures. Contact the Graduate Letters and announcements from various offices are Admissions Director in KAB 210 to receive one. posted on bulletin boards to keep the college community informed. Official bulletin boards are Project Handbook located in the Academic Center (AC), College This Handbook provides guidelines and describes Center (CC), Health Sciences Building (HSB), and forms necessary to complete project requirements 1st floor of the Koessler Administration Building for all D'Youville College graduate programs. (KAB), Madonna Hall, Marguerite Hall, and 631 Niagara Street. Thesis Handbook This Handbook provides guidelines and describes The Catalyst forms necessary to complete thesis requirements for The Catalyst is the student newspaper published all D'Youville College graduate programs. monthly and available in offices and racks throughout the campus. Undergraduate Catalog The College Catalog contains program and course Campus News descriptions for all undergraduate programs A bi-monthly newsletter, D’mensions, updates the including the 5-year combined BS/MS degree college community on events, developments, and programs in Dietetics, Occupational Therapy, and accomplishments involving administrators, faculty, Physical Therapy and the integrated 5-year BA/MS staff and students on the campus and is available in in Education. Information on these programs is not offices and lounges around the campus. repeated in this Graduate Handbook.
College Calendar, Resource Guide and Planner This contains events, deadlines, meetings, and BULLETIN BOARD COMMUNICATION information about student services, rights, parking, Students are responsible for reading information committees, housing, etc. It is published in posted on the Graduate Studies bulletin board and September, and is available in the Connections information on their program bulletin board(s). Office, AC 101. Students should check with the faculty in each program, but current locations of bulletin boards are: D'YouKnow Newsletter This is published by Student Affairs on a bi-monthly Dietetics: Outside PAW 334. basis, and mailed to each student's home. Education: 6th floor HSB next to room 608. Graduate Catalog This contains program and course descriptions for Graduate Studies: Outside HSB 111. the Education, Health Services Administration (HSA), International Business, Nursing, Health Services Administration: Outside PAW 441. Occupational Therapy and Physical Therapy programs. Holistic Health Studies: Outside PAW 437.
Institutional Review Board Manual International Business: Outside HSB 632. This Manual contains general information about the protection of human subjects in preparing research proposals and detailed information about the preparation of IRB applications. - 3 - 4
Nursing: STUDENT MAILBOXES Chairperson's Information/Research: Opposite HSB 508 Dietetics Located in PAW 339 of the Koessler Administration Faculty and NYS Nurses Association: Building. They should be checked regularly. Opposite HSB 506 and in center hall Students are requested to also check their e-mail regularly. Students who use an e-mail address other Graduate Program: Next to HSB 506 than the one assigned by the college must inform the department secretary in PAW, x7670. Grants and Scholarships: Next to HSB 510 Health Services Administration Nursing Honor Society, Zetu Nu Fourth floor of PAW of the Koessler Administration Chapter of Sigma Theta Tau Building opposite PAW 441. They should be Next to HSB 5th floor elevator checked regularly.
Official Announcements/Policies: Holistic Health Studies Around HSB 506 Outside PAW 437.
Student Nurses Association: International Business Opposite HSB 5th floor elevator Outside HSB 416.
Occupational Therapy: Outside PAW 331 and in Nursing the Student Mailbox Room. Fifth floor of the Health Science Building in the center hall. Nurse Practitioner students have Physical Therapy: Outside PAW 339. mailboxes outside of HSB 505. They should be checked regularly.
Occupational Therapy PAW 339 of Koessler Administration Building. They should be checked weekly in the fourth year of study and daily in the fifth year of study.
Physical Therapy PAW 339 of Koessler Administration Building. They should be checked daily in the fourth and fifth years of study.
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STUDENT ORGANIZATIONS
DIETETICS directed toward improvement of health care and resolution of related social issues. Members of the Student Dietetic Association (SDA) National SNA receive extra credits in determining The SDA was formed in Spring, 1994. The purposes winners of the foundation of the NSNA scholarship of the SDA are to foster professional growth, awards. Membership is open to all nursing students. community service and for fund-raising activities See the SNA bulletin board for more information. that support member identified needs. Membership is open to all Dietetic students. Contact Ms. Maria Haas for more information. OCCUPATIONAL THERAPY
Student OT Association (SOTA) NURSING The SOTA was formed in Fall, 1986. The primary purposes of the organization are to foster the Sigma Theta Tau, Nursing Honor Society student's growth as a future professional and to In 1979 Sigma Theta Tau, the National Honor provide assistance to community organizations. Society of Nursing, was introduced at D'Youville. Meetings are held monthly. The Zeta Nu Chapter was chartered in 1981. Zeta Nu is dedicated to the advancement of nursing as a profession and a science, and to the goal of nurses PHYSICAL THERAPY assuming leadership roles in research, scholarship, and public policy. Graduate student members must Student PT Association (SPTA) earn a minimum 3.50 GPA on a 4.00 scale; have All physical therapy students are members of the completed one fourth of the required graduate D’Youville College SPTA. The purpose of the curriculum; acquire 3 letters of endorsement (at least SPTA is to foster collegiality and professional 2 from members, including 2 from faculty); submit a development. Members participate in various transcript, and demonstrate qualities of professional community services such as Special Olympics, and leadership. Membership is open to all faculty, activities for fund raising to sponsor students alumni, and students meeting the requirements. See attending state and national conferences. Members the Zeta Nu bulletin board for more information. are encouraged to join the American Physical Therapy Association and participate in their Student Nurses' Association (SNA) professional organization. The D'Youville chapter of the SNA of New York State was founded in 1980, and is a lively forum for nursing students to air their views on the D'Youville nursing program and nursing in general.
The purposes of the SNA are to foster individual growth of the student as a person and professional; to influence health care, nursing education, and nursing practice through legislative activities as appropriate; and to promote and encourage student participation in interdisciplinary activities, educational opportunities, and community affairs
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STUDENT REPRESENTATION ON COMMITTEES
Certified Graduate Member Faculty consider it a COMMITTEE POSITIONS right and a responsibility of students to participate actively as voting members of the various graduate Graduate Council committees. The role of graduate student Representatives of certified graduate member faculty representative is important, providing a unique and graduate students serving on subcommittees are opportunity for students' views to be heard, elected by their peers. The Council meets monthly considered, and acted upon in an official forum. By and recommends graduate courses, academic assuming this responsibility, students join with policies, and faculty certification criteria. faculty members and administrators in making decisions that form the policies and procedures of Graduate Curriculum and Program graduate programs. Development This Committee includes eight certified graduate Student representatives should be able and willing to member faculty and one graduate student. They meet serve for one academic year and will represent their monthly to approve proposed new programs and appropriate academic level. Students selected should curriculum changes. be in good academic standing. Graduate Certification, Policies, and Standards STUDENT REPRESENTATIVE ELECTIONS This Committee includes eight certified graduate member faculty and one graduate student. They meet Under direction of the Associate Dean for Graduate monthly to recommend graduate academic policies Studies and Institutional Research, students from and standards for admission, progression, and each graduate program elect their representatives to graduation. their respective graduate program in the spring semester with the elected individuals taking office in Graduate Community Health Nursing the fall. The graduate student representatives meet This Committee includes all graduate nursing faculty with the Chairperson of the Graduate Council in the and one graduate nursing student. They meet spring to nominate two students from the entire monthly to recommend curriculum and academic graduate student body for each of the two Graduate policy revisions pertaining to the graduate nursing Council Standing Committees (four total). program.
The election for council committees takes place Graduate Dietetics early in the fall semester so that the two elected Graduate Education representatives can begin their service at the first Graduate Health Services Administration Graduate Council meeting. If an elected student Graduate International Business representative is unable to serve his or her term, the Graduate Occupational Therapy student representatives from each of the graduate Graduate Physical Therapy programs meet again to hold another election. Each Committee includes all graduate department faculty, the department chair, and one graduate student. Each meets monthly or at least each semester to recommend curriculum and academic policy revisions pertaining to the respective graduate program.
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ACADEMIC REGULATIONS
MASTER OF SCIENCE PROGRAMS Thesis Option for All Programs General requirements are given below. Those • Education: (Starting in Spring 2003:) requirements that are specific to a given program are Elementary Adolescence included under each program listing in the Graduate Secondary Childhood Catalog. Special Early Childhood Middle Childhood 1. Completion of the program within a maximum of four academic years for coursework and two years • Teaching English to Speakers of Other for thesis. Languages (TESOL) 2. A grade of B or higher is applicable to a graduate • Community Health Nursing degree offered by all of the graduate programs at D'Youville College. No more than a total of six • Family Nurse Practitioner credits of grades lower than a B (B-, C+, C) are • Health Services Administration applicable to the graduate degree. This policy • International Business applies to all 500 and 600 level classes for each • Occupational Therapy graduate program. A grade of C- or lower is not • Physical Therapy applicable to any graduate degree. 3. Successful defense of a thesis. 4. Presentation of findings at Thesis Presentation Day.
BACHELOR OF SCIENCE/ Generally, a full-time graduate load is 9 to 12 credits MASTER OF SCIENCE PROGRAMS per semester. For financial aid purposes, government regulations specify 12 credits as the minimum load for • Dietetics full-time status. Part-time students register for 6 or • International Business fewer credits per semester. Summer sessions are not • Nursing counted as semesters for purposes of full-time status. • Occupational Therapy • Physical Therapy All requirements, regulations, and forms are found in Admission requirements and graduate academic the Graduate Handbook, Graduate Catalog, requirements for these programs are listed in the Institutional Review Board Manual, Project Undergraduate Catalog. Handbook, or the Thesis Handbook. Required forms are available in the Graduate Studies Office.
INTEGRATED BACHELOR OF ARTS/ MASTER OF SCIENCE PROGRAM
• Education Project Option Each program distributes its own project requirements. Admission requirements and graduate academic Students should seek counsel from the director of their requirements for these programs are listed in the graduate program. Undergraduate Catalog.
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ACADEMIC REGULATIONS
Completion of Degree Requirements For those programs that result in the award of a Bachelors and Masters, students are expected to In addition to coursework, graduate students complete the program within two years of initial matriculating in programs that lead to a masters degree registration in GRA 629 (Thesis Advisement) or the (regardless of whether the program leads to both Project II Course. Students are required to demonstrate bachelors and masters degrees, or masters degrees successful defense of a thesis or project, and present only) are expected to complete graduate research in the the student’s graduate research findings at a thesis or form of either a thesis or project. Some programs project presentation. require the thesis as the only option, whereas others allow students to choose between the thesis or project. Students who do not complete their programs within The general requirements for each are listed here. their respective timeframes described here must Additional requirements that are specific to a program petition for an extension of the time limit by are included under each program described in the submitting a completed Request for Extension of Time Graduate Catalog under the section Graduate to Complete the Master of Science Program form Programs. available in the Graduate Studies Office (see Extension to Complete Graduate Degree in the appendix). The Generally, a full-time graduate load is 9 to 12 credits completed form is to be submitted to the Graduate per semester. For financial aid purposes, government Studies Office via the student's graduate program regulations specify 12 credit hours as the minimum director. load for full-time status. Part-time students register for 6 or fewer credits per semester. Summer sessions are Thesis students must also submit an approved copy of not counted as semesters for purposes of full- and part- the thesis to the Associate Dean for Graduate Studies time status. and Institutional Research to receive final formatting approval. For those programs that result in the award of a Master of Science only, students are expected to complete the All required forms are available in the Graduate program within a maximum of four academic years for Studies Office in HSB 111. coursework and two years for thesis or project. Students are required to demonstrate successful defense of a thesis or project, and present the student’s graduate research findings at a thesis or project presentation.
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ACADEMIC POLICIES, FINANCIAL AID, AND STUDENT SERVICES REFERENCE GUIDE
To avoid duplication and misinterpretation, the According to FERPA, information contained in the following is provided as a comprehensive list of the educational records of students who are 18 years of information available for graduate students on age or older or enrolled in post-secondary institutions academic policies, financial aid, and student services. may be sent to the parent without the written consent Information provided in the Graduate Catalog and the of the student only if the student is a financial College Calendar, Resource Guide and Planner is dependent of the parents. The term dependent is referenced in this list but not duplicated. defined in section 152 of the Internal Revenue Code as an individual (son, daughter, stepson, or Accessibility to Records stepdaughter of a taxpayer) who receives over half of According to the Family Educational Rights and his or her support from the taxpayer during the given Privacy Act (FERPA) of 1974, student records shall calendar year. not be released to another individual, agency, or organization (except college personnel with a legitimate educational interest as determined by the college) without first obtaining the student's written authorization to release such information.
The only information the college can release without the student's written authorization is directory information. Directory information includes the student's name, address, telephone listing, date and place of birth, major field of study, participation in officially recognized activities and sports, weight and height of members of athletic teams, dates of attendance, degrees and awards received, and the most recent previous educational agency or institution attended. Directory information may be released upon request unless the Registrar receives a written statement from the student directing otherwise.
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ACADEMIC POLICIES, FINANCIAL AID, AND STUDENT SERVICES REFERENCE GUIDE
Advisement Academic advisement takes place each semester during a specified time before registration. Notices are posted in the lobby of HSB. Students have the responsibility of making an appointment with their assigned advisor for an academic conference and completion of the registration form. Appointments with advisors generally need to be made at least one week in advance of the actual advisement period.
Advisors On admission to a program, students are assigned faculty members from their major program to serve as academic advisors. Advisors are responsible for giving curriculum advisement--assisting with the choice of courses, offering direction in the program of study, and assessing the student's progress within the program.
Students should feel free to contact their advisors to discuss concerns related to their studies. Faculty members hold office hours weekly at times posted on their doors; appointments can also be arranged. Messages for advisors can be left with the program secretary. A current list of students and their advisors is posted on program/department bulletin boards early each semester. Students wishing to change advisors should see the director of their graduate program.
AIDS Policy See the College Calendar, Resource Guide and Planner.
Athletics See the College Calendar, Resource Guide and Planner.
Audit See the Graduate Catalog.
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"C" Grade Policy have their name placed on a waiting list in the A grade of B or higher is applicable to a graduate registrar’s office. Students are notified should space degree offered by all of the graduate programs at become available. D'Youville College. No more than a total of six (6) credits of grades lower than a B (B-, C+, C) are Check Cashing applicable to the graduate degree. This policy applies See the College Calendar, Resource Guide and to most 500 and 600 level classes for each graduate Planner. program. However, some programs require a grade of no less than a B in selected courses. These exceptions Child Care are noted in each program’s description in a separate See Day Care Centers in the Graduate Catalog and section of this catalog. A grade of C- or lower is not Child Care in the College Calendar, Resource Guide applicable to any graduate degree. and Planner.
Campus Ministry College Store Campus Residence See the College Calendar, Resource Guide and Career Services Center Planner. See the Graduate Catalog. Conditional Admission Challenge Examination Policy See the Graduate Catalog. Conditional admission is No graduate courses may be challenged. not available in the Family Nurse Practitioner Program. Change of Name, Address and Phone It is the responsibility of each individual student to Connections Office notify D’Youville College, in writing, of any change Continuing Registration of name, address or phone number. Forms are See the Graduate Catalog. available in the registrar’s office. CPR Certification Change of Program All nursing students taking clinical nursing courses, Any student who changes majors (including changing and all physical therapy majors must be certified in from one graduate program to another, changing from Cardiopulmonary Resuscitation (CPR). Many certificate to masters, or changing from masters to fieldwork programs in occupational therapy also certificate) must complete a change of major form require CPR certification. available in the registrar's office. Day Care Centers Change of Registration (Drop/Add Procedure) Deferred Payment Options Students may change their course selection by Disability Statement submitting a completed drop/add form to the See the Graduate Catalog. registrar’s office during the scheduled drop/add period at the beginning of each semester. Matriculating Disadvantaged Student Scholarships students need an advisor’s signature on the drop/add See D'Youville College Aid in the Graduate Catalog. form when adding or deleting a course. If a student Also see the Graduate Financial Aid section of this merely wishes to change the section, but retain the handbook. same course, only the student’s own signature is needed on the form. However, in those majors where Employer Tuition Assistance student schedules are constructed with a pre- See the Graduate Catalog. determined block of courses and/or laboratories, the signature of the chair is necessary to authorize a Escort Service change of section. Students may not “force register” by See the College Calendar, Resource Guide and appearing in a class. During the drop/add period Planner. students who have been closed out of a course may 11 -
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Exit Interview Financial Agreements and Arrangements Upon completion of the program or at any time of See the Graduate Catalog. departure from the program, students are required to complete an exit interview with the director or faculty Financial Aid of the graduate program. This interview is the first of a The Financial Aid Office is the key to obtaining the aid variety of long-term evaluation surveys which request possible to meet college expenses. Financial Aid information from students regarding the program. personnel help students determine which types of aid Students must contact the director of their graduate to apply for and explain deadlines, requirements, and program for dates and times of exit interviews and for conditions. See the Graduate Catalog. necessary forms required by the program. Financial Aid Application Process Extension To Complete Graduate Degree See the Graduate Catalog. A petition for an extension of time to complete the Food Service graduate degree must be accompanied by a completed See the College Calendar, Resource Guide and Request for Extension of Time to Complete the Master Planner. of Science Program form (see appendix) available in the Graduate Studies Office in HSB 111. Grade Change Grade Reports The form is to be forwarded to the Graduate Studies Grades in GRA 629 Office via the student's graduate research director. The Grading form will then be forwarded to the chairperson of the See the Graduate Catalog. Graduate Certification, Policies, and Standards Committee. The chairperson of the Graduate Graduation Certification, Policies, and Standards Committee There is one commencement ceremony each May at forwards the committee recommendation to the which time the prior December, current May, and Graduate Council. anticipated August graduates are honored. Graduate students must clear for graduation with the Registrar Copies of the form with the final disposition will be and file their intent to graduate no later than 6 months given to the graduate research director, department prior to their graduation in December, May, or August. chair, and the Associate Dean for Graduate Studies and Notification of the completion of requirements other Institutional Research, with the original placed in the than course work (Green Sheet) must be received in student's division file the Registrar's Office with all signatures no later than May 1, August 1, or December 1, or the student's Federal Aid graduation date is moved to the next conferral period. Federal Perkins Loans Federal Stafford Loans and Refunds Grants and Scholarships Federal Work Study The Financial Aid Office provides all students with See the Graduate Catalog. information about government and D'Youville-based aid for which students are eligible through regular Final Examinations assistance programs. Final examinations are scheduled by the registrar at the end of the semester. The final examination period The Career Services Center also offers extensive files commences after study days as noted in the college with information on outside and private foundation calendar. Normally, final examinations are scheduled sources of scholarships and financial aid. Students can for Monday evening and all day Tuesday through also see the director of their graduate program for Friday following the end of classes. Examinations for information on additional sources of aid specific to Saturday classes are announced by the professor. their fields of study and can consult the D'Youville College library or the public library.
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Grievance Procedure Leave of Absence (LOA) See the College Calendar, Resource Guide and Graduate students who wish to interrupt their studies Planner. through a leave of absence may only do so for up to four individual or consecutive semesters. In order to Health Requirements obtain permission for a leave of absence, graduate All graduate students must submit a completed students must complete a request form, which is D'Youville College health form. No student will be available in the registrar's office, and submit the form admitted to a clinical course, management internship, to the appropriate department chair. Ordinarily, a or teaching practicum without one. All students must student may not request a leave of absence after the satisfy NY State immunization requirements. 12th week of the semester. Special consideration is Immunization records, a PPD test, and rubella titre given for illness or other extenuating circumstances. results and follow-up must be on file in the D'Youville The appropriate Dean must give permission in these College Health Office, located on the first floor of cases. In the event that a student does not return at the Marguerite Hall; staff may be reached at (716)-881- time stipulated, the leave automatically becomes a 7698. See Health Services in the Graduate Catalog. withdrawal. The student must then apply for readmission in order to return to the college. Identification Cards See the College Calendar, Resource Guide and Liability Insurance Planner. Students in dietetics, nursing, occupational therapy and physical therapy must show proof of liability insurance Incomplete Grade (I) prior to taking clinical courses. A copy of the proof is See the Graduate Catalog. placed in the student's file.
Independent Study (Graduate) Licensure A student pursuing an independent study is able to All nursing students taking clinical courses must show delve into some special area of interest that is beyond proof of being currently licensed to practice nursing in the scope of current course offerings at D'Youville. New York State or Ontario, or eligibility for New Graduate students in good standing with a minimum York State or Ontario licensure. All Family Nurse cumulative GPA of 3.0 and successful completion of at Practitioner students must provide proof of licensure in least 12 graduate credit hours at D'Youville College a jurisdiction of the United States. are eligible. The graduate student undertaking such a project should have an appropriate background McTaggert/D'Youville Loan Fund preparation in the subject. Independent study courses See the Graduate Catalog. Students apply through the will be designated by the discipline code letters, the graduate program director. See also the appendix in numerals 679(fall offering) and 680(spring offering) this handbook. and the initials IS, e.g., NUR 679IS. The title will reflect the course content. Multicultural Affairs See the Graduate Catalog. The graduate student must complete a written proposal of the study and obtain the approvals as Non-Matriculated Status indicated on the independent study application form Non-matriculated students have not been formally for graduate students available in the Graduate Studies accepted into the college. Non-matriculating students Office in HSB 111. may take up to a total of 6 credit hours of graduate courses. In order to do so, they must hold a bachelors Information Center degree in the appropriate discipline and meet all course Learning Center prerequisites. Also, prior to registration, students must See the Graduate Catalog. confer with and obtain the signatures of both the chair of the program in which the course is offered and the Associate Dean for Graduate Studies and Institutional Research. 13 -
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Orientation minimum of 3.0, the student is automatically Outside Sources of Aid removed from probation. If a student does not See the Graduate Catalog. achieve the 3.0 QPA, the Program Graduate Committee will either: Parking Tags a. continue the student on probation for one Parking permits are available for a fee. Contact the more semester. If a minimum of 3.0 is not Connections Office in AC 101 at 881-7766 for then achieved, dismissal is automatic. information. b. dismiss the student from the program immediately. 2. A student who receives less than a C or fails in a Payment S/U course must repeat the course unless he or Personal Counseling she has been dismissed. A course may be See the Graduate Catalog. repeated one time only. 3. A student may be on probation no more than two Plagiarism semesters during the entire graduate program. Plagiarism is the presentation of another's writing or 4. A student who maintains a minimum of a 3.0 another's ideas as one's own without citation. Legally, average but receives a third grade of C or lower socially, and academically it is considered a form of will be reviewed by the Program Graduate theft and usually results in automatic failure on the Committee for a recommendation regarding paper or in the course and may result in an inability to continuation in the program. repeat the course. Students who have plagiarized may 5. An appeal to any of the above may be made by be referred to the appropriate Dean. Repeated following the grievance procedures found in the plagiarism may result in dismissal from the College. College Calendar, Resource Guide and Planner.
Probation Guidelines-- Program of Study Completion Form Dual Degree BS/MS Programs See the Graduate Catalog. Dietetics International Business Program Merit Scholarships Nursing See D'Youville College Aid in the Graduate Catalog. Occupational Therapy See also the Graduate Financial Aid section of this Physical Therapy handbook. See the Undergraduate Catalog. Provisional Admission Probation Guidelines-- See the Graduate Catalog. Provisional admission is Master of Science Programs not available in the Family Nurse Practitioner Program. Community Health Nursing Elementary Education Publishable Paper Family Nurse Practitioner The publishable paper requirement only applies to Health Services Administration students in the Graduate Community Health Nursing International Business Program. See section entitled Publishable Paper later Physical Therapy in this manual. Secondary Education Special Education Readmission Policy Students who are dismissed from a graduate program 1. A student who has less than a 3.0 cumulative GPA may not be readmitted to the same program. at any time is placed on probation the following semester. At the end of the probation semester, the student's file is reviewed by the Program Graduate Committee. If the student's cumulative QPA is a
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Recency of Coursework Review of Provisional Admission Some academic programs require that relevant clinical Students who have been admitted provisionally will be coursework be completed within a specific timeframe reviewed after they have completed the first four prior to conferral of the degree. Students who have courses in the graduate program to determine if they taken a leave of absence, decelerated their program of have met the requirements of their admission (see the study, received an extension to complete the graduate Graduate Catalog for requirements). Those students degree, or who have been dismissed and readmitted to who have met the requirements will be removed from a program may be required to retake coursework even provisional status; those who have not may be subject if previously completed successfully. Students should to dismissal from the program. check with the director of their graduate program for more information. Scheduling Courses Students must schedule courses following Reference File Service prerequisites. A grade of incomplete in a prerequisite The Career Services Center maintains an optional course must be completed before admission to the reference file service for students and alumni. The next course. Certain courses are offered only in spring purpose is to provide employers or educational or fall semesters. The Graduate Catalog specifies the institutions with information regarding each applicant's prerequisites and the semesters the courses are qualifications. Students should begin to collect letters usually offered. of reference from professors, preceptors, faculty, and supervisors as soon as possible. A variety of references Scholarly Activities provides potential employers with a broader Although not an academic requirement, all graduate perspective and allows for possible changes in career students are strongly encouraged to subscribe to focus. Reference file packets are available in the relevant journals and to seek membership in Career Services Center in HSB 315-316. Graduate professional organizations. students may schedule appointments for career counseling, job search, and resume/cover letter Scholarships assistance. Additional services include current job See Grants and Scholarships. listings, career fairs, a job search library, and professional networking opportunities. Sequence for Completing Program Requirements Students are expected to complete their program in the Refund following sequence: See Payment and Refund in the Graduate Catalog. 1. Complete coursework, including internships or practicum, concurrently with the following Registration activities. It is especially important for graduate students to 2. The Publishable Paper requirement must be met register for courses as early as possible so that the (Nursing students only). See section on the broadest range of courses (and course times) are made Publishable Paper. available to students. Also see the Graduate Catalog. 3. Completion of the thesis proposal, thesis proposal presentation, IRB application, thesis, thesis Repeating A Course defense, and Thesis Presentation Day; See the Graduate Catalog. Or Completion of the project and its related Retention Scholarships activities as determined by each See D'Youville College Aid in the Graduate Catalog. graduate program. See also the Graduate Financial Aid section of this 4. Review and approval of the thesis manuscript by handbook. the Office of Graduate Studies Outside Reader; Or Approval of the project as determined by each graduate program.
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5. Submission of signed Green Sheets to the Office Withdrawal From the College of Graduate Studies with all required A student intending to withdraw from D'Youville must documentation and receipts. contact the department chair in person or in writing and submit the proper withdrawal forms to the registrar's Sexual Harassment office. Withdrawal will be considered effective on the Smoking Policy date the written intent of withdrawal is received. The Snow Closing procedure is not complete until the written intent has See the College Calendar, Resource Guide and been properly filed with the college. If the withdrawal Planner. procedure is completed mid-semester, courses for which the student is currently enrolled will be assigned Stafford Loan Refunds the grade of W. No tuition refund will be made after State Aid the fifth week of the semester or after dates stated in Student Information Center the summer session brochure. See the Graduate Catalog. Discontinuance of attendance, notifying instructors, or Teacher Certification mere telephone contact with college personnel DOES Students admitted to Track I or Track II, or Track A in NOT constitute an official withdrawal. Students Elementary or Secondary Education, of the Graduate remain both academically and financially responsible Education Program must submit proof of current for all courses for which they have enrolled until the teacher certification from the state education withdrawal procedure has been finalized with the department. registrar's office.
Thesis Advisement Credits Students withdrawing from a graduate program must Transfer Policies have an exit interview and should see the director of Tuition and Fees their graduate program for additional information. Tuition Assistance Program (TAP) Writing Tutor Tuition Reduction for Canadian Students See the Graduate Catalog. Tuition Refunds
Veteran's Benefits
Withdrawal From A Course
See the Graduate Catalog.
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MANAGEMENT INTERNSHIP/PRACTICUM
HEALTH SERVICES ADMINISTRATION NURSING
Students must contact their HSA faculty academic Nursing students must apply for the management advisor to arrange a Management Internship/ internship by the fourth week in the semester prior to Practicum prior to registering for the practicum course. registering for the management/internship course. A general description of the practicum is as follows: Students spend 9-10 hours per week for 10 weeks with a preceptor in a setting appropriate for 1. The practicum will require 120 hours. administrative management experience. Experiences 2. Students in the D'Youville Health Services will be dependent on management level of placement. Administration program may be given The management internship placement will not be in permission to complete the practicum at the student's own agency of employment. their present place of employment at the discretion of the HSA department chair. Before registering for this course, students must 3. The practicum will include participation in complete NUR 603 and GRA 616. See sample a breadth of activities relating to the role Application for Management Internship/Practicum and functions of health care administrators. form in the appendix of this handbook. Actual forms may be obtained from the Graduate Studies Office in Waiver of Practicum HSB 111. The HSA Department may allow students to waive practicum credit for administrative and managerial Application for Management work experience in health systems in accordance with Internship/Practicum criteria set forth by the HSA Department. Minimally, Complete the Application for Management requirements for waiver will consist of: Internship/Practicum form according to the following guidelines. Students should submit the application to 1. The student having been employed in a their GRA 616 faculty member by October 1st/March managerial position for at least five years. 1st for the following academic semester. 2. The student's presentation of a portfolio, detailing the nature of the administrative 1. The internship requires 90 hours and managerial experience in health (approximately 8 hours per week) to be systems and justification for the waiver completed during one semester. request. 2. Two agencies other than the student's place 3. The student's maintenance of a minimum of employment need to be included as GPA of 3.00 at the time of consideration of options for the internship. waiver of practicum. 3. The management level requested needs to 4. Students who waive practicum credit by be at a higher level than the one in the virtue of related work experience will be student's present employment. required to take an additional three credit 4. The internship will include participation in HSA elective. a breadth of activities relating to the role of manager in a health care facility. Approval of these activities will be worked out INTERNATIONAL BUSINESS between the supervising manager and the GRA 620 faculty member. Students should contact Dr. Kushnood Haq of the International Business Department for information about the internship in international business.
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PUBLISHABLE PAPER
Prior to graduation, nursing students must complete a 5. The Director of Graduate Nursing routes the paper suitable for publication. Ideas and topics should materials to a graduate nursing faculty referee. be considered from the beginning of graduate work, Graduate nursing faculty require one month from and the paper should be started by the time a student is the date received for review of publishable about halfway through the program. papers submitted during the last two weeks of classes in Fall and Spring semesters. Papers may be selected from one of the assignments completed in any of the student's courses. The student 6. The graduate nursing faculty member will review needs to allow 2 to 3 weeks for faculty review of each the manuscript utilizing the review form and submission. This includes the first draft of the paper as make a recommendation regarding approval for well as any subsequent drafts. Students should be submission to the target journal. aware that faculty are not available during June, July, or August for reviewing publishable paper drafts. In 7. The recommendations of the reviewer and the addition, papers submitted during the last 5 weeks of final approved manuscript will be sent to the the semester may take considerably longer than the Director of Graduate Nursing and then placed in usual 2 to 3 weeks for faculty review. the student's file.
GUIDELINES 8. The student can then mail the manuscript to the journal with acknowledgment that it was written 1. The student selects the paper or topic to be by a D'Youville College Graduate Student. If developed and identifies possible refereed published, credentials should state: journals for consideration. Mary Smith, [degree initials] 2. The student modifies or develops the manuscript Employer in ways appropriate to the journal selected, City, State/Province utilizing the Information for Authors directions given by the journal. Selected journals' Written as a requirement guidelines are on reserve in the D'Youville for Graduate Nursing Study College Library. while at D'Youville College, Buffalo, NY 3. Students complete the date, manuscript title, and journal title sections on the Publishable Paper- 9. The student must submit evidence to the Director Faculty Editorial Review Form. See sample form of Graduate Nursing that the manuscript has been in the appendix. Actual forms may be obtained mailed to the journal (such as a postal receipt) from the Graduate Studies Office in HSB 111. prior to the Director's final approval signature on the Green Sheet. 4. The student submits a single copy of the manuscript to the Director of Graduate Nursing, 10. The student will inform the Director of Graduate along with one copy of the Publishable Paper- Nursing of the journal's response. Faculty Editorial Review Form, and a copy of the journal guidelines.
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TEACHING PRACTICUM
NURSING Due Dates The completed application must be submitted to the Nursing students must apply for the teaching secretary in the Nursing Department by October 1st for practicum by the fourth week in the semester prior to the Spring semester and March 1st for the Fall registering for GRA 608 Teaching Practicum. Students semester. will spend approximately 8 hours per week for 10 weeks with a preceptor in a setting appropriate to the Special Notes student's major. Experiences will include classroom The student is there to learn and should take teaching, clinical or field supervision, and participation advantage of every opportunity to do so. The student in faculty committees. See the sample Application for must work with the supervising teacher(s) to arrange Teaching Practicum form in the appendix. Forms are a suitable schedule. Students must clarify with their available from the Graduate Studies Office in HSB teaching supervisor that they are not able to participate 111. in full-time teaching activities. Any problems should be discussed with the GRA 608 faculty member. Application Complete the Application for Teaching Practicum form keeping in mind the following requirements GRADUATE EDUCATION PROGRAMS when planning for the teaching practicum. All graduate students in education must satisfy the Approximately 8 hours per week for at least 10 weeks minimum requirements for field experience in addition will be spent in activities relating to practice teaching to adhering to arrival and departure times required of (unless other arrangements have been approved by the teachers, as well as attending appropriate school events faculty member). such as Open House. Students receive a letter grade (A, A-, B+, etc.) for field experience performance in 1. The student should be involved in activities the student teaching practicum. related to classroom teaching approximately 20 to 30 hours over a 10-week period. This includes Prerequisites three hours of classroom teaching; generally 3- All students in the U.S. Graduate Education Programs one hour segments for which the student is must complete at least 15 credit hours of course work responsible. These classes should be arranged at D'Youville and have attended D'Youville for two with the supervising teacher early in the semesters before registering for the student teaching semester so that the student is able to prepare. practicums. In addition, students must have a minimum overall cumulative GPA of 3.00 (B) or 2. The student should be involved with activities higher. related to clinical teaching approximately 30 to 40 hours over the 10-week period. This clinical All students must take the New York State Teacher teaching might include, but is not limited to, Competency Exam (NYSTCE) or show proof that they such activities as working with a student who have registered prior to student teaching. needs special assistance, teaching a part of the supervising teacher's clinical group, or All students are required to successfully complete Uses conducting selected pre and/or post-conferences. and Abuses of Alcohol and Drugs, Child Abuse, Maltreatment and Neglect, and SAVE, Schools 3. The student should also spend about 20 to 25 Against Violence Education Act, in order to be hours observing and participating in other certified in New York State. These are included in activities related to college teaching. existing courses in the programs.
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Requirements Application Students are required to spend 5 weeks in the pre- Students eligible to apply for a field experience practicum experience and 10 weeks in a practicum placement should complete the following steps: situation. Students who earn below a minimum grade of B for EDU 603, EDU/SED 645, or EDU/SED 649 1. Establish eligibility by following the advisement are not permitted to repeat these courses. process. The academic advisor should confirm that: Special Education: a. the required professional education courses Students in this program must complete SED 641 have been completed with grades of B or Options and Alternatives in Classroom Management better, (along with 12 additional credits) prior to registering b. a cumulative average of at least 3.0, and for a teaching practicum. c. the appropriate NYS test has been completed. Track I students complete SED 645--Practicum in Special Education, 3 credits, 5 days per week for 2. Pick up the Application for Graduate Education 5 weeks. Field Placement form and the Student Profile Track II students complete SED 645--Practicum in form for the student teaching practicum. Forms Special Education, 6 credits, 5 days per week for may be obtained from the Director of Field 10 weeks. Experiences in the Graduate Education programs, Track III students complete SED 649--Methods/ or the D’Youville College Website Materials Practicum, 3 credits, 5 days per week (www.dyc.edu) for 5 weeks, and SED 645--Practicum in Special Education, 6 credits, 5 days per week for 10 3. Read the application, profile, and envelope weeks. directions. Items incorrectly completed will be returned which delays the field placement. Special application may be made by Track III Graduate Special Education students to register for 4. Type the application with no typographical or both SED 649 (3 credits) and SED 645 (6 credits) spelling errors. It should look professional. during the same semester. After completion of SED Students will include a mailing address and phone 649, review of performance by the Director of Field number where they can be reached. Experiences and a minimum grade of B will determine eligibility for placement in SED 645. If this 5. Two self-addressed, unstamped, unsealed option is chosen, the student may register for the 9 business envelopes must be included. These will credits of field experience and one academic course to be used to mail related material to students total no more than 12 credits for the semester. during the semester break.
Elementary or Secondary Education: 6. Students may indicate a preference in the request Track A students complete EDU 645/EDU 603-- for placement consideration with the Practicum in Elementary/Secondary Education, 3 understanding that the request may not be credits, 5 days per week for 5 weeks. honored. Track B students complete EDU 645/EDU 603, 6-12 credits, 5 days per week for 10 weeks. Sections 7. This document will be sent to the teacher and are coded A, B, or C, to indicate American, principal of the school in which the student will binational, or Canadian settings respectively. All be placed. The form should indicate the Canadian students are expected to complete a 14 professional education courses the student has week student teaching experience, 5 days per taken with courses listed by name, not course week. number. Those in secondary education should list courses that relate to their area of certification. Those areas include biology, chemistry, physics, earth science, business education, English, foreign language, mathematics, and social studies. 20 -
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New York State requires students who have 8. Students are required to be in compliance with the baccalaureate degrees in Speech and Communication health regulations prior to being permitted to or Deaf Education to complete the teaching practicum participate in any field experience. in special education if they are seeking certification in this area. Special Notes Students who have baccalaureate degrees in the area Due Dates in which they are seeking certification (elementary, Students must submit the completed application to the secondary, or special education) and who have current Director of Field Experiences by the fourth week of provisional certification in this area are not required to the semester prior to the anticipated participation in complete a student teaching practicum. Students who student teaching. Failure to comply with this deadline do not have provisional certification in this area are may preclude the student's participation in the required to complete a 5-week practicum. The Ontario practicum for the anticipated semester. There is a $50 College of Teachers requires Canadian students to take fee for late applications. 12 credits of student teaching.
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GRADUATE FINANCIAL AID
SCHOLARSHIPS semester), and describes the award criteria, D'Youville College awards Program Merit and process, and termination of the award. Disadvantaged Student Scholarships (incoming 3. The graduate program director evaluates the students) and Retention Scholarships (continuing student's request and makes a recommendation to students) based on review of previous or current the Associate Dean for Graduate Studies and college academic records. Scholarships are available Institutional Research by completing the Graduate only to students pursuing master's degrees in Financial Aid Recommendation form and education, health services administration, international attaching a copy of the student's request for aid. business, nursing, occupational therapy, and physical therapy. 4. The Associate Dean for Graduate Studies and Institutional Research reviews the graduate Eligibility Criteria program director's recommendations, evaluates the Program Merit Scholarship total pool of applicants by program, and makes 1. Must be a new student. funding decisions. 2. Strong undergraduate academic record. 3. Minimum of 3.25 QPA. 5. The Associate Dean for Graduate Studies and 4. Enrolled for at least six graduate credit hours Institutional Research sends a letter of award to the each semester. student with copies sent to the Director of 5. Granted for one year only; non-renewable. Financial Aid and the student's graduate program director. Disadvantaged Student Scholarship 1. Must be a new student. 6. Within two weeks of receiving the award letter, 2. Must be a disadvantaged student. the student takes the letter to the financial aid 3. Undergraduate academic record signifies office where it is determined if the FAFSA needs strong potential. to be completed. 4. Minimum of 2.75 QPA. 5. Enrolled for at least six graduate credit hours 7. The student completes all documentation required each semester. by the Financial Aid Office and, when approved 6. Granted for one year only; non-renewable. by the Financial Aid Office, the award is credited to the student's account. Retention Award (Need-Based Grant) 1. Must be a continuing student. 2. Must demonstrate significant financial need. MCTAGGART-D'YOUVILLE 3. Enrolled for at least six graduate credit hours STUDENT LOAN FUND each semester. 1. First consideration is to be given to students who Application Process have clearly defined career goals, especially in 1. The student submits a written request for the fields of human services and health sciences. graduate financial aid to the graduate program director. 2. The fund is to be made available to students of highest academic achievement and potential. 2. The graduate program director meets with the student and verifies the student's eligibility for the various awards (including registration for a minimum of 6 graduate credit hours each 22 -
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GRADUATE FINANCIAL AID
3. No constraints are to be made regarding age, sex, 6. Funds are to be regarded as a loan and must be race, ethnic background, or religion. Older, paid back to the College. Repayment on the loan married, or single-parent students especially are begins nine (9) months after the borrower ceases to be encouraged. to be a student. The Borrower has ten (10) years 4. The student must first apply for all other sources in which to repay the loan with a minimum of financial aid, including grants and loans, payment of $90 per quarter of each year. before being considered for the McTaggart Loan. 7. The interest will be one percent (1%) below 5. The fund may be utilized primarily for those government student loan rates in effect at the burdensome living expenses which often prevent time. an older student from completing a degree such as day care, increased rent, private transportation, 8. Students must sign a promissory note. lab expenses, emergency medical costs, and so on. The fund may also be utilized as a lender of 9. Application is made through the student's last resort, toward partial tuition costs. The graduate director. student must submit a completed Free Application for Federal Student Assistance and a New York State TAP application prior to receiving the loan. Instituted in 1987 Criteria Revised November, 1993
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APPENDIX
Request for Extension of Time to Complete the Masters Program
Independent Study Application Form for Graduate Students
Publishable Paper Faculty Editorial Review Form
Application for Teaching Practicum
Application for Management Internship/Practicum
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REQUEST FOR EXTENSION OF TIME TO COMPLETE THE MASTERS’ PROGRAM
PART A. (To be completed by student) This request must be filed prior to November 1st or April 1st for extensions to take effect the following semester. This form must be typed. Please answer every question in this section. An incomplete or handwritten form will be returned. Once this section is completed, give this form to your Academic Advisor and your Thesis/Project Advisor (if you have one).
Name: Date: ______
Program: Date started program: ______
Have you previously had a leave of absence? Yes _____ No _____ Dates: ______If Yes, attach a copy of request form
Have you previously received an extension? Yes _____ No ______Dates: ______If Yes, attach a copy of request form AND approval of extension letter
Number of credits completed so far: ______
Proposal completed? Yes ______No ______NA ______Defense Date: ______Thesis/Project completed? Yes ______No ______NA ______Defense Date: ______Publishable paper completed? Yes ______No ______NA ______Submission Date: ______(Nursing only)
Explain your need for an extension. Please be specific. Use additional pages if necessary:
Timetable for completing the remaining program requirements (This should include the amount of additional time needed to complete your work):
Extension requested through the end of: ______(semester) (year)
Signature: ______Date: ______(Student)
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MASTERS’ EXTENSION FORM - PAGE 2
Student Name: ______Date: ______
Program: ______
______
PART B. (To be completed by Academic Advisor and Thesis/Project Advisor) Please forward to graduate office once completed.
Recommendation re: Extension:
approve ______not approve ______approve with conditions ______(attach explanation)
Signature: ______Date: ______(Academic Advisor)
approve ______not approve ______approve with conditions ______(attach explanation)
Signature: ______Date: ______(Thesis/Project Director)
Signature: ______Date: ______(Graduate Program Director)
______
PART C. (To be completed by Graduate Office) Please forward to the Chair of the Certification, Policies, and Standards Committee once completed.
Date Extension Request Form received ______
Date Form forwarded to CPS Committee Chair ______
______
PART D. (To be completed by Chair of the Certification, Policies, and Standards Committee) Please return to the Graduate Office once completed.
Extension is:
approved ______Extension granted through:______(semester, year) not approved ______
Signature: ______Date: ______(Chair, Graduate Certification, Policies, and Standards Committee)
______
Original: Student's Program File
27
Copies: Thesis Director, Program Director, Graduate Studies Office, Registrar
Revised: March, 2000
28
INDEPENDENT STUDY APPLICATION FORM FOR GRADUATE STUDENTS
A graduate student in good standing pursuing an independent study is able to delve into an area of special interest which is beyond the scope of current course offerings.
Name: ______Date: ______
Program: ______Planned Semester: ______
ELIGIBILITY
1. 12 credit hours of 500-600 level graduate study at D’Youville College
2. Cumulative graduate GPA of at least 3.0.
3. Appropriate background preparation in the subject area. Describe below:
______
______
______
PROPOSAL
29
1. Course Title: ______Credits: ______
2. Course Description: ______
______
______
3. Course Objectives: ______
______
______
______
4. Methods/Materials: ______
______
APPROVAL SIGNATURES
______(1) Cooperating Faculty Member Date (2) Student’s Program Director Date
______(3) Cooperating Faculty Member’s Date (4) Associate Dean for Graduate Date
Program Director Studies and Institutional Research
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PUBLISHABLE PAPER FACULTY EDITORIAL REVIEW FORM
Date: ______Code Number: ______
Due Date: ______Manuscript Title: (Student to complete) ______
______
Journal: ______
Instructions: Enter your comments in relation to each of the criteria below. Please use continuation sheets if additional space is needed. Do not write on the manuscript. Indicate your recommendation for publication in the space provided. A typed copy of this form is sent to the author by the Director of the Graduate Program.
I. Consistency with the purposes of the selected journal and the graduate program.
II. Concise, logical ordering of ideas, readability, grammatically correct, consistent with journal format.
III. Sound defense of ideas.
Please continue on reverse
31
IV. Accuracy of content
V. Appropriate use of research methodology, if applicable.
VI. Adequacy of documentation
Comments and Recommendation for Publication:
______Reviewer Signature
Return this form to the Director of the Graduate Nursing Program.
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APPLICATION FOR TEACHING PRACTICUM (Please print or type all information)
Date Received: ______Name: ______SS#: ______Address: ______City: ______State/Province: ______Zip: ______Work Phone: ______Home Phone: ______Preferred Semester to Begin Teaching Practicum: ______Graduate Program: ______Hours Completed at End of Current Semester: ______Prerequisites Met and Dates: ______List of possible schools in order of preference for practicum: 1. ______2. ______3. ______4. ______
* I understand that due to limited selections I may be assigned to an area outside of
Buffalo. I also realize that this experience takes place during the day for the most part, and will plan my schedule accordingly.
______Signature Date
ATTACH CURRENT PROFESSIONAL VITA ….………………………………………………………………………………………………………………… FOR OFFICE USE ONLY
Site of teaching practicum: ______
Graduate Program Approval: ______
Name: ______SS#: ______
Your teaching practicum is scheduled at ______for the ______
33 semester ______. Your contact person is ______at (phone) ______
Further details will be discussed on the first day of GRA 608.
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APPLICATION FOR MANAGEMENT INTERNSHIP/PRACTICUM (Please print or type all information)
Name: ______SS#: ______
Address: ______
City: ______State/Province: ______Zip: ______
Work Phone: ______Home Phone: ______
Preferred Semester to Begin Teaching Practicum: ______
Graduate Program: ______
Hours Completed at End of Current Semester: ______
Prerequisites Met and Dates: ______
Present Place of Employment: ______
Present Position: ______
Preferred Semester to Complete Management Internship: Fall _____ Spring _____ Summer _____ (Year) (Year) (Year)
List your strengths: ______
______
List your skills: ______
______
*I understand that due to the usual working hours of managers, I may be assigned to an experience during the day, Monday through Friday, and I will plan my schedule accordingly. I also understand that I may not be assigned to my preferred placement(s) as listed on the reverse of this form.
______
35
Signature Date Continue on Reverse
36
1. First agency preferred for internship placement:
Name: ______
Address: ______
City: ______State/Province: ______Zip: ______
Phone: ______Contact Person: ______
Preceptor (If different than contact person):
Name: ______
Title: ______
2. Second agency preferred for internship placement:
Name: ______
Address: ______
City: ______State/Province: ______Zip: ______
Phone: ______Contact Person: ______
Preceptor (If different than contact person):
Name: ______
Title: ______
ATTACH A CURRENT PROFESSIONAL VITA/RESUME
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Institutional Review Board Manual
D’YOUVILLE COLLEGE 2002-2003
i
TABLE OF CONTENTS
Important Notes and Deadlines ...... ii
Introduction ...... 1 Other IRBs ...... 1 How To Use This Manual...... 1
Regulations...... 2 Code of Federal Regulations...... 2 The Belmont Report...... 2
Definitions and Examples of Terms Used in Human Subjects Research Applications...... 5
Types of Human Subjects Review ...... 10
Determining Which IRB Application to File ...... 11
Instructions for Completing Human Subjects Review Applications ...... 12 Exempt Review Application ...... 12 Expedited Review Application ...... 13 Standard Review Application ...... 14
Instructions for Completing the Human Subjects Research Proposal Form...... 15
Human Subjects Research Proposal Evaluation Form...... 17
Common Reasons for Approval With Conditions Rather Than Full Approval...... 17
Voluntary Informed Consent...... 18
Required Elements of Informed Consent...... 18
Tips on Informed Consent...... 19
IRB Dispositions ...... 20
Sample Forms...... 21 Exempt Review Application – IRB ...... 21 Expedited Review Application - IRB ...... 22
ii
TABLE OF CONTENTS
Standard Review Application - IRB ...... 23 Human Subjects Research Proposal...... 24 Human Subjects Research Proposal Evaluation ...... 26 Sample Informed Consent...... 27
Policy and Procedures on Misconduct in Science...... 28
Index...... 30
iii
IMPORTANT NOTES AND DEADLINES
1. Assent. 4. Informed Consent--Contact Person. Although assent (defined later in this manual) The contact person for questions about is required for subjects under age 18, there is subjects' rights, or the research, tasks, or no prescribed minimum age at which subject activities subjects are asked to perform or assent is required. The researcher must complete must be someone other than the consider the potential subject's age, maturity, researcher. Note that title refers to an and psychological state, as well as the administrative or academic designation such complexity of the research tasks or activities as Thesis Director or Project Director; not to the potential subject is being asked to agree the contact person's professional credential or to perform. Based on available evidence, it is degree designation such as RN, PT, or OTR. the IRB that ultimately determines whether See paragraph six of the sample Informed assent is required. Consent form later in this manual.
2. Procedures. 5. Informed Consent-- The procedures section of the proposal Compensation/Liability. submitted with IRB applications has been A standard disclosure paragraph should be defined to include those sections normally added to the Informed Consent. This found in chapter III of the thesis (or relevant disclosure is only necessary in research sections of the project manuscript) including: involving more than minimal risk or the use introduction, setting, population and sample, of deception and/or coercion. See paragraph data collection methods, human rights seven of the sample Informed Consent form protection, tool(s), and treatment of data. See later in this manual. instructions for submission of Expedited and Standard IRB Applications in this manual. 6. Misconduct in Science Policy and Procedures. 3. Informed Consent--Research Title. The D'Youville College official policy and Although the exact title of the research study procedures on Misconduct in Science are or project had previously been required, included in this manual. These regulations researchers may now include either the title are designed to ensure that the rights of of the graduate research in the Informed faculty, administration, staff, and students are Consent, or the general topic of the research. protected, that the obligations of the college See paragraph two of the sample Informed to the public at large and various funding Consent form later in this manual. agencies and authorities are observed, and to ensure the maintenance of the highest quality research environment at the college.
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IMPORTANT NOTES AND DEADLINES
APPLICATION DEADLINES
The deadline for IRB applications is the first Friday of each month (unless otherwise noted) although applications may be submitted at any time to the Graduate Studies Office.
Fall, 2002 Spring, 2003 Summer, 2003 August 30, 2002 January 10, 2003 (second May 30, 2003 October 4, 2002 Friday) July 4, 2003 November 1, 2002 February 7, 2003 August 1, 2003 December 6, 2002 March 7, 2003 April 11, 2003 (second Friday) May 2, 2003
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INSTITUTIONAL REVIEW BOARD
INTRODUCTION OTHER IRBs In accordance with federal guidelines for institutions conducting research that involves human subjects, the Institutional Review Board (IRB) of D'Youville College When research will be conducted at was established. It is the function of this Board to assess the balance of risks to human participants and the locations other than the College, the benefits that may be expected from proposed research. The purpose of this manual is to describe types of researcher will generally have to receive human subjects review, application forms and procedures, possible IRB dispositions of applications, and the definitions and examples of terms used in approval from the other institution as well. In human subjects review applications. It also provides specific information required for informed consent these cases, the researcher should first secure forms and includes an example of an informed consent form. preliminary approval from the other While the language in this manual is designed to apply most specifically to research institution to conduct the research at that being conducted by students as part of master's programs, the information in this manual location. Then the researcher should formally applies to all forms of research proposed by any member of D'Youville College. This includes apply for approval through the D'Youville student projects that use human subjects in systematic investigation to develop or College IRB. Once Full Approval or Approval contribute to general knowledge in a field. Student projects and theses are subject to review with Recommendations has been granted by even if they do not use human subjects. The IRB may impose additional requirements at any the College IRB, the researcher may then time to help ensure that adequate information is presented in accordance with institutional formally apply for approval at the other policies, and federal, state, and local laws. No research of any kind by any person institution. Often, having the research affiliated with D'Youville College may be initiated until the D'Youville College IRB has reviewed first at the College facilitates a more granted a disposition of Full Approval or Approval with Recommendations. efficient review at the other institution. Full-time faculty members conducting independent research meeting the criteria for exempt status as listed on page 10 of this HOW TO USE THIS MANUAL manual are exempt from this policy.
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INSTITUTIONAL REVIEW BOARD
Review the entire manual prior to beginning the preparation of your application to the IRB, and familiarize yourself with the terminology presented in the Definitions section of this manual, because the terms have meanings specific to the protection of human subjects. Review the three types of applications received by the IRB. Note that while some research is classified as exempt, an exempt human subjects review application MUST STILL BE SUBMITTED. File the application that best represents the type of research being proposed. Note that only the IRB can make the final decision on how research will be classified and reviewed. Use the checklist entitled Determining Which IRB Application to File as a worksheet to assist in determining which application to submit. Complete the form prior to preparing an application, but do not submit this form with the application. Once it has been determined which application to submit, follow the instructions for preparing the application, including submission of all supporting documentation and forms. Voluntary informed consent is one of the most important parts of the research process in terms of protecting human subjects. Review the section on Voluntary Informed Consent prior to preparing a consent form for the planned research. The forms provided in this manual are samples only. The proper forms to be used for completing the application process are available from the Office of Graduate Studies, and ONLY these forms will be accepted. FORMAL APPLICATION TO OTHER IRBs MAY NOT BE INITIATED UNTIL APPROVAL FROM THE D’YOUVILLE IRB HAS BEEN GRANTED!
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REGULATIONS
The regulations set forth in this manual are based on THE BELMONT REPORT the Belmont Report from the National Commission for the Protection of Human Subjects of Biomedical and The Belmont Report was developed by the Behavioral Research, and the Code of Federal Regulations, Title 45 - Public Welfare, Part 46 - National Commission for the Protection of Protection of Human Subjects. The Belmont Report is a Human Subjects of Biomedical and Behavioral statement of general ethical principles that is meant to Research in 1979. This commission was created act as a guide in resolving ethical problems that when the National Research Act (PL 93-348) surround the conduct of research with human subjects. was passed in 1974. The Belmont Report The Belmont Report is concerned with the ethics of summarizes the general ethical principles research, while Part 46 of Title 45 of the Code of Federal Regulations (which is based on the Belmont identified by the Commission that should Report) addresses more specifically the recommended underlie the conduct of biomedical and guidelines for the protection of human subjects. behavioral research involving human subjects. In carrying out its mission, the Commission CODE OF FEDERAL REGULATIONS considered the boundaries between biomedical/ behavioral research and the accepted routine The federal regulations are disseminated by practice of medicine, the role of the assessment the Office for Protection from Research Risks of the risk and benefit balance in determining (OPRR), an administrative unit within the whether humans should be used in the research, Department of Health and Human Services, of guidelines for the selection of human subjects, the National Institutes of Health. The and the nature and definition of informed regulations apply to all research involving consent. human subjects and provide definitions for the Since research and practice often occur terms research and human subject. The together, it is necessary to distinguish between regulations define research as a systematic these two terms in order to know what activities investigation designed to develop or contribute ought to be reviewed for the protection of to generalizable knowledge. Human subject is human subjects. The term practice is used to defined as a living individual about whom an mean a commonly accepted intervention or investigator conducting research obtains data procedure that is designed to enhance the well through intervention or interaction with the being of an individual or client and is individual, or identifiable private information. considered by the practicing community to have The federal regulations describe four basic a reasonable expectation of success. Research is requirements for the conduct of an IRB: (a) a used to mean an activity designed to test a statement of principles, (b) designation of one hypothesis or answer research questions, so that or more IRBs, (c) appointment of IRB conclusions may be drawn and contributions to members, and (d) written procedures for the the general knowledge of a field may be made. IRB. It is within these parameters that the While research and therapy or research and D'Youville College IRB operates. education may be carried out together, for example, when evaluating the safety and
- 2 - 3 efficacy of a therapy or of an educational acting freely in the pursuit of those goals. To strategy, this need not cause confusion respect that autonomy is to allow the individual regarding whether the activity requires review the freedom to pursue those goals without by the IRB. The general rule is that if there is an interference when there are no compelling element of research in any activity involving reasons not to do so. human subjects, the activity should be Although the capacity for self-determination reviewed. is expected to be part of the normal maturation The following summary identifies the process, some individuals lose this capacity boundaries between medical/behavioral because of illness or mental disability. So, not research and the practice of medicine, and the every individual is capable of self- three basic ethical principles which, when determination, and some individuals require practically applied, lead to informed consent, extensive protection. The extent of the assessment of risk and benefits, and the protection afforded individuals who are selection of subjects. The three principles considering participation in a research activity identified by the Commission as generally depends upon an assessment of the risk of harm accepted in our cultural tradition are labeled: (a) and the likelihood of benefit from the research. respect for persons, (b) beneficence, and (c) These individuals must also enter into the justice. These principles are stated in a research activity voluntarily and with adequate sufficiently general manner to allow scientists, information. subjects, reviewers, and informed citizens to In its practical application, this principle understand the ethical issues that are an integral requires that autonomous individuals, insofar as part of research using human subjects. In stating they are capable, be given the opportunity to these principles, the objective is to provide an choose what will and what will not happen to analytical framework that will guide the them. The possibility of this occurring is resolution of ethical problems involving maximized when three standards for informed research with human subjects. consent are satisfied. The first of these Respect for Persons standards is information, generally including the The first principle, which in its practical procedure, purpose of the research, possible application gives rise to the idea of informed risks, anticipated benefits, and opportunity to consent, is respect for persons. There are two ask questions and withdraw from the research. ethical convictions that serve as the basis of this A simple listing of these items does not convey principle. First, individuals should be treated as the full meaning of all of what is meant by the autonomous agents. Second, individuals with term information. A general rule often used to diminished autonomy are entitled to protection. determine what information to give requires the This principle carries two moral researcher to provide information that requirements: that we acknowledge the reasonable persons would wish to know in order autonomy of individuals and protect those to make a decision regarding their care. Even individuals with diminished autonomy. The then, subjects should clearly understand the autonomous person is capable of choice, that is, range of the probable risks and the voluntary capable of deliberation about personal goals and nature of their participation. Information
4 concerning risk should never be withheld for researcher's careful consideration of data, the purpose of eliciting the cooperation of including consideration of alternate means of subjects, but care should be taken to avoid obtaining the same research information, and disclosures that would invalidate the research. concern for the subject, subject's family, and The second standard to insure informed society at large. This is accomplished by a consent is comprehension. This standard is met systematic, non-arbitrary approach by the when the information is conveyed in a manner reviewing committee that requires those making that the subject can understand. This means that decisions about the justifiability of the proposed the researcher must adapt the presentation of the research to be thorough in gathering and information to the subject's capacities for assessing information about all aspects of the intelligence, rationality, language, and level of research. maturity. The obligation of the researcher to This includes a determination of the determine whether or not the subject presuppositions of the research, clarification of comprehends the information increases with the the probability and magnitude of risk, and seriousness of harm and probability of risks. estimation of compliance with five The third standard for informed consent is considerations: (a) brutal and inhumane voluntariness. Agreement to participate in treatment is never justified; (b) risks are reduced research is valid only if the consent is voluntary. to those necessary to obtain the research goals; This means that the consent must be obtained (c) if risk involves the possibility of serious without coercion, undue influence, unjustifiable impairment, review committees should require a pressure, or deception. very high level of justification; (d) the use of vulnerable populations must be justified; and (e) Beneficence relevant risks and benefits must be The second principle that the Commission communicated to the subject in the appropriate established to guide resolution of ethical issues language. inherent in research was the principle of beneficence. This is the obligation to secure the Justice well being of participants in research by The third principle is justice, which requires maximizing possible benefits and minimizing that there be fair procedures and outcomes in possible harms. In practical terms, this involves the selection of research subjects. The question determining when it is justifiable to seek certain is: Who ought to receive the benefits of research benefits despite the risks and when the benefits and who ought to bear its burdens? This should be abandoned because of the risks. principle is applicable at both individual and The assessment of benefits and risks is social levels. concerned with the probabilities and At the individual level, research is magnitudes of possible harms, such as constrained to offer the benefits of research to psychological, physical, legal, social, and all subjects and not to seek vulnerable subjects economic harm, measured against the possible for research procedures involving higher levels benefits to the subject and to society. This of risks. assessment of risks and benefits requires the
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Social justice requires that a distinction be investigation. Except where research is directly made with respect to the ability of the social related to the specific conditions of the class class selected for research to bear the burdens of involved, it seems unfair that populations the research. For example, this moral dependent on public health care constitute a requirement would require the selection of pool of preferred research subjects if more adults before children, all other factors being advantaged populations are likely to be the reasonably equal. Thus, the selection of recipients of the benefits of the research. research subjects needs to be examined in order Justice demands that benefits coming out of to determine whether some classes (racial and publicly funded research be available to all ethnic minorities, welfare recipients, children, individuals and not just to those who can afford or prisoners) are being selected simply because the benefits, and that publicly funded research of their easy availability, rather than for reasons not be confined to groups of individuals who directly related to the problem under are unlikely to be among the recipients of the benefits. This principle is more often than not overlooked. Therefore, the IRB must exercise a heightened degree of vigilance to insure that the principle of justice is fully applied to proposed research.
Summary The Belmont Report attempts to summarize the basic ethical principles identified by the Commission in the course of its deliberations. The Commission was charged to consider the boundaries between medical/behavioral research and medical practice, the role of risk benefit assessment, the appropriate guidelines for selection of human subjects, and the nature and definition of informed consent. The report is a statement of basic ethical principles and guidelines to assist scientists in resolving the ethical problems surrounding the conduct of research with human subjects.
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DEFINITIONS AND EXAMPLES OF TERMS USED IN HUMAN SUBJECTS RESEARCH APPLICATIONS
Anonymity secure the well-being of participants in research Refers to a guarantee of privacy by virtue of by maximizing possible benefits and recording data collected so that there is no way minimizing possible harms. for anyone (including the researcher) to be able to identify participants by the data collected. Child This is more common in research involving A person who has "not attained the legal age one-time data collection, such as that which for consent to treatments or procedures involved occurs when using survey methods, taking only in the research, under the applicable law of one set of physical or psychological jurisdiction in which the research will be measurements, or having subjects complete conducted" (FR 46.401 (a), p. 15). See Legal questionnaires without asking for their names. Age. It is important to inform subjects that when data are recorded anonymously, subjects will not have the right to withdraw from the research once the data have been collected, because there is no way to determine which data belong to which subject. Be aware that surveys or questionnaires that require extensive demographic data may violate the principle of anonymity by providing enough information to allow the researcher to directly identify one subject from all others.
Assent A person's affirmative agreement to participate in research. Individuals under age 18 may give assent, but not consent, to participate as subjects in research. Assent should be sought from adults for whom a legal guardian has been appointed. Failure to object must not be construed as assent. The minimum age for assent depends on the maturity and psychological state of the individual.
Beneficence One of three ethical principles in the Belmont Report stating that there is an obligation to
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Coercion Subjects should be protected from coercion. Coercion means to compel or force someone If subjects are not protected, the IRB to participate in or perform an action that would application must include an explanation of why not ordinarily be done of the individual's own coercion is necessary as well as any possible free choice. In the Milgram experiments in the repercussions of the coercion. The methods to 1960s, subjects were coerced by an authority be used for coercing subjects must be detailed figure to continue to administer false (sham) in the research proposal. A plan for informing electrical shocks of supposedly increasing subjects at the end of the research of how and intensity to actors who were pretending to be why they were coerced must be fully explained volunteer subjects even when the actors (see Debriefing). Potential physical and/or appeared to be in great pain and were begging psychological risks that may be incurred by not to be shocked. The researcher compelled subjects due to the coercion must be identified, subjects to continue administering shocks to the and procedures for addressing the risks must be volunteers even when, ordinarily, the subject established as part of the debriefing procedures. would not have continued the behavior. Coercion may be present but less obvious Confidentiality when recruiting subjects for research. For Confidentiality refers to protection of example, telling parents or guardians of subjects subjects' privacy so that information collected or subjects themselves how much they will be about them, as part of the research process, is helping the investigator by participating in not disclosed. Information may be revealed in research can be interpreted as coercive. group form, or as individual examples, but not Participation should be free and voluntary, with in a way that an individual may be identified. no overriding statements. If the investigator collects information on Mentioning a relationship that exists between subjects over a period of time, such as in test- the researcher and the potential subjects may be retest reliability or in pretest-posttest study coercive. Subjects may feel obligated to designs, there must be a mechanism to relate participate because they know or have seen the various data to the same subject. This may be researcher at various times. In cases of infants done by using codes or identifiers (e.g., subject and children, mentioning that the researcher ID numbers) on both sets of data that only the cares for or has cared for the child puts parents researcher can trace to a master name-number in a very awkward and unfair position. list. Because names and numbers can be related, Face-to-face recruitment has the potential to this list must be kept confidential by storing it in be coercive. It is difficult for individuals to say a private and secure location, such as a locked no to someone who is directly in front of them file cabinet. and talking about his or her research. Inflection, If data are recorded anonymously in cases tone of voice, and nonverbal cues can where the researcher personally knows subjects, inadvertently slip into the recruitment process it must be acknowledged that the researcher without the researcher's awareness. Coercion knows the subjects personally, and the data can be reduced if an impartial third party must be treated confidentially, because presents the request for participation. anonymity is not possible. It is important to
8 acknowledge that subjects may waive the right is using to measure effectiveness. The subjects of confidentiality. This may occur, for example, must, of course, be aware of what when a subject specifically requests to be measurements will be taken so they can sign an quoted. informed consent to participate in the research, In the United States, all confidential data but the researcher may choose to not tell must be stored by the researcher or 3 years. In participants what is looked for in order to Canada, data must be stored for 6 years. prevent the subjects from biasing the results. Subjects should be protected from deception. Consent If subjects are not protected, the researcher must Willingness to participate as a subject in explain in the IRB application why this is research by individuals 18 years of age or older. necessary, as well as any possible repercussions See Implied Consent and Informed Consent. for the subjects. The methods to be used for deceiving subjects must be detailed in the Debriefing research proposal, and a plan for informing Debriefing is a process of telling subjects all subjects at the end of the research as to how and the information related to the research that was why they were deceived must be fully explained initially withheld, and the reasons for (see Debriefing). Potential physical and/or withholding the information. Debriefing is used psychological risks that may be incurred by when subjects have been deceived or coerced, subjects due to deception must be identified, and as a means of briefly informing subjects and procedures for addressing the risks must be about the research purpose(s) immediately after established. data have been collected (if possible without compromising the remaining data collection). In Dehoaxing the first case, debriefing may take the form of Dehoaxing is the process of convincing dehoaxing or desensitizing subjects. Do not subjects who have been deceived as part of confuse debriefing with summary of the research that they have in fact been deceived. research results. See Summary of Results. The purpose of dehoaxing is to prevent possible future harm to the subject. For Deception example, subjects may be given false pretest Deception is defined as misrepresenting, scores in order to test the effect of these scores tricking, or disguising. Deception is common in on subsequent tests of motivation levels. If some research. An example is in drug testing, subjects believe that the false scores represent where some subjects receive a placebo, some their true abilities, their level of self-esteem may receive experimental drug A, and others receive become jeopardized. In cases such as these, experimental drug B, but subjects do not know simply informing the subjects that they were whether they are receiving the drug or the deceived and that the pretest scores were false placebo. Another example of deception is may not be sufficient. In addition to informing testing the effects of a treatment with control the subjects, some form of demonstration may and experimental groups, but not telling be needed to convince subjects that they were subjects what dependent variable the researcher
9 deceived and thereby diminish the undesirable individual, or (b) identifiable private effects of the experiment. information" (FR 46.102 (f), p. 6).
Desensitization Implied Consent Desensitization is the process of helping Implied consent means that subjects give subjects deal with information they learn about their consent to participate in the research by themselves as a result of participating in virtue of their participation. That is, the subjects' research. Again, consider the outcome of the voluntary participation in the research is Milgram study in which some subjects thought accepted as their consent to be a part of the they had administered lethal electrical shocks to research. Implied consent can be used only another person because the experimenter told when the only record linking the subject and the them to do so. This knowledge of their research would be the informed consent behavior, coupled with their previous self- document and the principal risk would be perception, required counseling for some potential harm resulting from a breach of subjects who became depressed as a result of confidentiality. Thus, implied consent is only participating in the study. possible with data that are recorded One way to desensitize subjects is to anonymously. reinforce the idea that their behavior resulted Implied consent is often used in mailed from the circumstances of the research, and that survey research where subjects are asked to their behavior was not abnormal or unusual. return a completed questionnaire to the Desensitization is used to help subjects accept researcher without recording their names on the behaviors that were performed which seemed survey or questionnaire. The data must be inconsistent with their self-perceptions. anonymous so that there is no way for the researcher to link the data with the subject. As a Discomfort result, subjects must be informed that they The extent to which a subject may be made cannot withdraw their data once provided to the physically or psychologically uncomfortable by researcher, since there is no way to know which the topic or activity that is the focus of the data are theirs. research. Implied consent may be used when coding mechanisms, such as master name-number lists, Guardian are employed in the survey design such that the Individual authorized under applicable state researcher knows which subject returned which or local law to consent on behalf of a child to survey, ONLY when (a) subjects are informed general medical care. that coding is being used, (b) the researcher destroys the coding mechanism at the Human Subject completion of data collection (thus, at this point, "A living individual about whom an the once-confidential data become anonymous), investigator conducting research obtains: (a) and (c) subjects are informed of the date on data through intervention or interaction with the which the coding mechanism is to be destroyed.
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Informed Consent Justice Informed consent should be viewed as a One of three basic ethical principles process and not just a form. Full, accurate, and regarding the conduct of research described in comprehensible information must be provided the Belmont Report. This principle requires that to individuals to enable them to voluntarily there be fair procedures and outcomes in the decide whether or not they want to participate in selection of research subjects. research. The explanation of procedures used to obtain informed consent should be presented to Legal Age the individuals being asked to participate in the Legal age is defined as 18 years old or older. research in terms they can understand. Thus, the language of informed consent must be Maintenance of Data presented in lay language. It must be made clear Confidential data must be securely to individuals that their signature on the form maintained in a locked file cabinet, locked desk, serves as documentation of their consent to or through some other secure method. willingly participate in the research. Applicants must specify where the data will be maintained. Data must be stored for three (3) IRB years in the United States and six (6) years in Institutional Review Board. Canada.
IRB Approval Minimal Risk Determination by an IRB that research "has "The probability and magnitude of harm or been reviewed and may be conducted at an discomfort anticipated in the (proposed) institution within the constraints set forth by the research are not greater in and of themselves IRB and by other... requirements" (FR 46.102 than those ordinarily encountered in daily life or (h) p. 6). during the performance of routine physical or psychological examinations or tests" (FR 46.102 (i), p. 6).
Non-Participation Non-participation occurs when an individual who previously consented to participate in research fails to appear for scheduled sessions with the researcher, or who initially participates but then stops. Researchers may use all of the data that were collected on any individual who ceases participation in a study but has not withdrawn from the study. See Withdrawal.
Permission
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"The agreement of parent(s) or guardian to their leaders, or for the leaders who are being the participation of their child or ward in evaluated (judged) by their subordinates. research" (FR 46.402 (c), p. 15). See Assent, Subjects must have enough information to make Guardian, and Informed Consent. an informed decision as to whether or not they want to participate in the research and endure Physical Risk or Discomfort the potential psychological risk. Subjects should be protected from more than minimal physical risk/discomfort. If the planned Research research does not protect subjects, the "A systematic investigation, including researcher must indicate why this is necessary, research development, testing, and evaluation, the possible consequences for subjects, and designed to develop or contribute to what will be done to restore physical balance. generalizable knowledge" (FR 46.102 (d), p. 6). Subjects must be informed of any potential for physical risk or discomfort. See Minimal Risk. Respect for Persons For example, in testing the concurrent An ethical principle described in the Belmont validity of two tests of hand dexterity, subjects Report which states that individuals should be may be required to perform tests that could treated as autonomous agents, and that cause fatigue or pain in the hand musculature. individuals with diminished autonomy are Subjects must be protected from this discomfort entitled to protection. or informed of the possibility for this discomfort, and must have enough information Risk to make an informed decision as to whether or The probability of harm or discomfort. not they want to participate in the research and endure the potential physical risk.
Psychological Risk or Discomfort Subjects should be protected from more than Summary of Results minimal psychological risk or discomfort. If the Subjects often agree to participate in research proposed research does not protect subjects, the without compensation. One way to thank them researcher must indicate why this is necessary, and to educate them about the research in which what are the possible consequences for subjects, they were involved is to offer a summary of the and what will be done to restore psychological research results. To do so, the researcher should balance. Subjects must be informed of any include space on the consent form for subjects potential for psychological risk or discomfort. to write their address, should they wish to See Minimal Risk. receive a copy of the summary of results. For example, in a study of leadership style, The researcher must be careful to write a subjects may be surveyed about their evaluation summary of the results especially for of superiors, which may lead to psychological participants, and not simply give the discomfort for some individuals; either subjects participants a copy of the full results section of who may feel they are passing judgment on the research. Students engaged in master's
12 research should always seek the guidance of participate in the research, the subject may their graduate research director when preparing choose to discontinue participation in the a summary of their results. In cases where research, and notify the researcher of research is performed at clinics or locations withdrawal from the research study. other than on the D'Youville College campus, The Procedures section of the research the researcher should prepare a draft of the proposal, the script of introduction to recruit summary of the results for review by the site subjects, and the Informed Consent form must supervisor or official assigned to the research specify how and when subjects may exercise project. No summary should be sent to this right, and that there are no consequences for participants without approval by the site the subject if this right is exercised. official. How a subject may withdraw refers to Also, the researcher must be sure to send a procedures established by the researcher for the copy of the summary of results to all subjects subject to exercise this right. For example: who indicated a desire to receive this summary. "Subjects may withdraw from the study by In the rush to complete one’s research, the informing (specify name of a person) either researcher must keep in mind that it was the verbally or in writing, of their desire to subjects' agreement to participate in the research withdraw." Verbal notification implies that the that made completion of the research possible, subject may notify the contact person, either and that the subjects' request for results must be face-to-face, or over the telephone. Written honored. The honoring of this agreement notification may be in the form of a letter or between subject and researcher encourages handwritten note delivered to the contact future participation in research efforts, while the person. failure to honor this agreement serves as a When a subject may withdraw refers to the deterrent to all future research. maximum timeframe during which the subject may exercise the right of withdrawal. No Withdrawal minimum timeframe for participation can be Withdrawal refers to how subjects in a established. That is, the researcher cannot research study may discontinue their require a subject to participate for any minimum involvement prior to the completion of the time period; otherwise the subject would not research. When a subject exercises this right, truly have the right of withdrawal. The the informed consent to participate in the maximum timeframe refers to the longest period research becomes void. The data collected from of time during which a subject may exercise the a subject's participation cannot be used in any right of withdrawal. This timeframe is analyses, and the data must be destroyed established to prevent subjects from immediately upon notification of withdrawal withdrawing from the study after the research from the study. has been completed. For example: Subjects may For example, a subject may agree to withdraw from the study at any time up to 3 participate in a 30-minute exercise session, days after the subject's participation has been twice per week, for 6 weeks. If, after the fourth completed. In this example, subjects have only exercise session, the subject no longer wishes to 3 days after their completed participation in the
13 research to decide that the researcher may not use data from their participation. It should be clearly explained to subjects that data collected anonymously limit their right to withdraw from the research only throughout the duration of their involvement because there is no way for the researcher to withdraw anonymous data once they have been collected. There can be no penalty or loss of benefits to subjects to which they are otherwise entitled, if they choose to withdraw from the study.
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TYPES OF HUMAN SUBJECTS REVIEW
There are three types of human subjects review: be safe, or agricultural chemical or environmental exempt, expedited, and standard. The criteria for each contaminant at or below the level found to be safe by the Food and Drug Administration, or approved by the review follows. Environmental Protection Agency, or the Food Safety and Inspection Service of the U.S. Department of Agriculture. EXEMPT REVIEW The following categories of research are EXPEDITED REVIEW exempt from human subjects review: The following categories of research involving human subjects and no more than minimal risk qualify 1. Any form of research which does not utilize human subjects for expedited human subjects review: such as historical and library research (also non-human chemistry and physics research). 1. Collection of: hair and nail clippings, in a nondisfiguring manner; deciduous teeth; and permanent teeth if patient care 2. Research involving the collection or study of existing data, indicates a need for extraction, and collection is made by an documents, records, or pathological or diagnostic specimens, if individual licensed to perform such procedures. these sources are publicly available. 2. Collection of excreta and external secretions including sweat, 3. Research involving the collection or study of existing data, uncannulated saliva, placenta removed at delivery, and amniotic documents, records, or pathological or diagnostic specimens, fluid at the time of rupture of the membrane prior to or during and the information is recorded by the investigator in such a labor, and collection is made by an individual licensed to manner that subjects cannot be identified, directly or through perform such procedures. identifiers linked to the subjects, such as in content or secondary data analyses. 3. Recording of data from subjects 18 years of age or older using noninvasive procedures routinely employed in clinical practice. 4. Research conducted in established or commonly accepted This includes the use of physical sensors that are applied either educational settings, involving normal educational practices, to the surface of the body or at a distance and do not involve such as research on regular or special education instructional input of matter or significant amounts of energy into the subject strategies, or research on the effectiveness of or the comparison or an invasion of the subject's privacy. It includes such among instructional techniques, curricula, or classroom procedures as testing sensory acuity and weighing, and management methods. procedures such as electrocardiography, electroencephalog- raphy, thermography, detection of naturally occurring 5. Research involving the use of educational tests (cognitive, radioactivity, diagnostic echography, and electroretinography, diagnostic, aptitude, or achievement), survey or interview when performed by an individual licensed to perform such procedures, or observation of public behavior, and the subjects procedures. It does not include exposure to electromagnetic are elected or appointed public officials or candidates for radiation outside the visible range (for example, x-rays, public office. microwaves).
6. Research involving the use of educational tests (cognitive, 4. Voice recordings made for research purposes such as diagnostic, aptitude, or achievement), survey or interview investigations of speech defects. procedures, or observation of public behavior, and: a. the information is recorded by the investigator in such a 5. Mild exercise by healthy volunteers. manner that subjects cannot be identified, directly or through identifiers linked to the subjects. And 6. The study of existing data, documents, records, or pathological b. any disclosure of the human subjects’ response outside the or diagnostic specimens. research could not reasonably place the subjects at risk of criminal or civil liability or be damaging to the subjects’ 7. Research on individual or group behavior or characteristics of financial standing, employability, or reputation. individuals, such as studies of perception, cognition, game theory, or test development, where the investigator does not 7. Taste and food quality evaluation and consumer acceptance manipulate subjects' behavior and the research will not involve studies where wholesome foods without additives are stress to subjects. consumed, or in which a food is consumed that contains a food ingredient at or below the level and for a use found to STANDARD REVIEW
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Any type of research involving human subjects that does not meet the criteria for either exempt or expedited human subjects review must be processed through standard review procedures.
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DETERMINING WHICH IRB APPLICATION TO FILE
To determine which IRB application to file for the proposed research, answer each of the questions below with yes or no. Then follow the directions listed after each set of questions to complete the appropriate IRB application.
Does the proposed research involve:
1. Y N the use of human subjects or information about human Check: If you answered yes to any of questions 2 through 7 subjects? STOP. You may complete the Exempt Review Application following procedures listed in this manual. If you Check: If you answered no to question 1 STOP. You may answered no to all questions 2 through 7, continue to complete the Exempt Review Application following questions 8 through 14 that follow. procedures listed in this manual. If you answered yes, continue to questions 2 through 7 that follow. 8. Y N collection of: hair and nail clippings, in a nondisfiguring manner; deciduous teeth; and permanent teeth if patient care 2. Y N the collection or study of existing data, documents, records, or indicates a need for extraction, and collection is made by an pathological or diagnostic specimens, from publicly available individual licensed to perform such procedures? sources? 9. Y N collection of excreta and external secretions including sweat, 3. Y N the collection or study of existing data, documents, records, or uncannulated saliva, placenta removed at delivery, and pathological or diagnostic specimens, and the information is amniotic fluid at the time of rupture of the membrane prior to recorded by the investigator in such a manner that subjects or during labor, and collection is made by an individual cannot be identified, directly or through identifiers linked to licensed to perform such procedures? the subjects? 10. Y N recording of data from subjects 18 years of age or older using 4. Y N normal educational practices, such as research on regular or noninvasive procedures routinely employed in clinical special education instructional strategies, or research on the practice? This includes the use of physical sensors that are effectiveness of or the comparison among instructional applied either to the surface of the body or at a distance and do techniques, curricula, or classroom management methods in not involve input of matter or significant amounts of energy established or commonly accepted educational settings? into the subject or an invasion of the subject's privacy. It includes such procedures as testing sensory acuity and 5. Y N the use of educational tests (cognitive, diagnostic, aptitude, or weighing, and procedures such as electrocardiography, achievement), survey or interview procedures, or observation electroencephalography, thermography, detection of naturally of public behavior, and the subjects are elected or appointed occurring radioactivity, diagnostic echography, and electro- public officials or candidates for public office? retinography, when performed by an individual licensed to perform such procedures. It does not include exposure to 6. Y N the use of educational tests (cognitive, diagnostic, aptitude, or electromagnetic radiation outside the visible range (for achievement), survey or interview procedures, or observation example, x-rays, microwaves). of public behavior and the information is recorded by the investigator in such a manner that subjects cannot be 11. Y N voice recordings made for research purposes such as identified, directly or through identifiers linked to the subjects, investigations of speech defects? and any disclosure of the human subjects’ response outside the research could not reasonably place the subjects at risk of 12. Y N mild exercise by healthy volunteers? criminal or civil liability or be damaging to the subjects’ financial standing, employability, or reputation.? 13. Y N the study of existing data, documents, records, or pathological or diagnostic specimens? 7. Y N taste and food quality evaluation and consumer acceptance studies where wholesome foods without additives are 14. Y N individual or group behavior or characteristics of individuals, consumed, or in which a food is consumed that contains a such as studies of perception, cognition, game theory, or test food ingredient at or below the level and for a use found to be development, where the investigator does not manipulate safe, or agricultural chemical or environmental contaminant at subjects' behavior and the research will not involve stress to or below the level found to be safe by the Food and Drug subjects? Administration, or approved by the Environmental Protection Agency, or the Food Safety and Inspection Service of the U.S. Check: If you answered yes to any of questions 8 through 14 you Department of Agriculture? may complete an Expedited Review Application. If you answered no to all questions 8 through 14, you must
- 16 - 17 complete a Standard Review Application. Follow the procedures listed in this manual for each application.
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INSTRUCTIONS FOR COMPLETING HUMAN SUBJECTS REVIEW APPLICATIONS
Applications for IRB review may be Section II (CRITERIA) is used to indicate obtained in the Graduate Studies Office. under which criterion the applicant seeks Applications for IRB review must be completed review. Most graduate research will require as follows. In student applications, the marking only one criterion. Applications thesis/project must be fully approved by the without selected (using X in box preceding applicant’s graduate research director (and criteria) exempt or expedited criteria will be committee, if applicable) prior to seeking reviewed using standard criterion. The human subjects approval. This requires that application deadline for standard review is the both the Approval of Graduate Research first Friday of each month. Topic and Approval of Graduate Research In the DESCRIPTION (Section III) of Proposal forms have been given signatures of Exempt and Expedited applications, the full approval by the student’s graduate applicant must describe the nature of the research director and on file at the Graduate research and how the research meets the criteria Studies Office prior to application to IRB. checked in Section II of the form. This The steps to complete these forms are detailed description should not simply repeat the criteria in the Thesis Handbook and under separate marked in Section II, but instead should handouts available at the Graduate Studies elaborate on the reasons for choosing the Office. criteria marked in Section II. In student applications to the IRB, the Section IV (SIGNATURES) is self- IDENTIFYING INFORMATION (Section I) explanatory, but note that for student must include the applicant's name. Applicants applications, BOTH the applicant and the should record the address and phone number to graduate research director must sign. which correspondence from the IRB may be Directions are provided below for the sent for at least 30 days from the date the submission of IRB applications and supporting application is submitted. The Graduate Studies documents in the form of packets. In all cases, Office should be notified immediately of any the packets should be separately paper-clipped, change in address or name. Use a xxx-xx-xxxx not stapled, and not packaged in separate format for Social Security Number, or xxx-xxx- folders or envelopes. The deadline for xxx for Social Insurance submission of Standard Review IRB Number, for the SS Number. Program refers to applications is the first Friday of each month, the degree program, and not the division or although applications may be submitted at any school. The title of the graduate research may time to the Graduate Studies Office. be abbreviated as necessary to fit on one line. The name of the graduate research director must be provided for all student applications. EXEMPT REVIEW APPLICATION
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INSTRUCTIONS FOR COMPLETING HUMAN SUBJECTS REVIEW APPLICATIONS
1) Complete an Exempt Review Application 4) Decisions on Exempt Review applications form. All four sections of the form must may take between 2 and 4 weeks. Four be completed or the application will not be decisions are possible from this review: accepted. Notes on Sections I and III were Full Approval, Approval with provided above. Section II is used to Recommendations, Approval with indicate under which criterion the Conditions, or Disapproval. See the applicant seeks exempt review status. sections on IRB Dispositions later in this Section IV requires that BOTH the manual for explanations of each of these. applicant and the graduate research director sign the form.
2) Make one copy of the abstract included in the graduate research. If one was not included, prepare a 1-page abstract that describes the research, with details about how the research will be conducted.
3) Submit 2 copies of the following materials in the order listed below to the Graduate Studies Office: − Exempt Review Application form − One-page Abstract − Fully approved Approval of Graduate Research Proposal form − For studies involving human subjects only: Completed Human Subjects Research Proposal form − Human Subjects Research Proposal Evaluation form (fill in only Name and Date)
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5) The applicant is notified by mailed letter DECISIONS ARE NOT GIVEN IN of the IRB Committee decision. When PERSON OR OVER THE PHONE. other than a Full Approval disposition has Thesis or project chairs are also notified of been made, the letter includes the the IRB decisions via campus mail. recommendations, conditions, or reasons for disapproval. COMMITTEE EXPEDITED REVIEW APPLICATION
1) Complete an Expedited Review − Completed Human Subjects Research Application form (see sample later in this Proposal form manual). All four sections of the form − Human Subjects Research Proposal must be completed or the application will Evaluation form (complete not be accepted. Notes on Sections I and Researcher’s Name and Date only) III were provided above. Section II is used to indicate under which criterion the applicant seeks exempt review status. Section IV is self-explanatory, but note that BOTH the applicant and the graduate research director must sign the form.
2) Make one copy of the abstract included in the graduate research. If one was not included, prepare a one-page abstract that describes the research, with details about how the research will be conducted.
3) Submit 2 copies of the following packets of materials in the order listed below to the Graduate Studies Office by the due dates shown on page ii of this manual:
1 Packet: − Expedited Review Application form − Fully approved Approval of Graduate Research Proposal form
1 Packet: − Expedited Review Application form − One-page Abstract
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− Description of Procedures of the weeks. Four decisions are possible from research: this review: Full Approval, Approval with Setting of the research, Recommendations, Approval with Population and Sample Conditions, or Disapproval. See the Data Collection Methods sections on IRB Dispositions later in this Human Rights Protection manual for explanations of each of these. Tool(s) to be used for data collection 5) The applicant is notified by mailed letter − Data gathering tools (e.g., survey, of the IRB Committee decision. When questionnaire) other than a Full Approval disposition has − Copy of information used to recruit been made, the letter includes the subjects (e.g., postings, newspaper ad, recommendations, conditions, or reasons verbal presentation to classes, etc.) for disapproval. COMMITTEE − Copy of information to be provided to DECISIONS ARE NOT GIVEN IN subjects to obtain informed consent PERSON OR OVER THE PHONE. − Consent form (actual form, not a Graduate research directors are also “reduced copy” of the form) notified of the IRB decisions via campus mail. 4) Decisions on Expedited Review applications may take between 2 and 4
STANDARD REVIEW APPLICATION
1) Complete the Standard Review Graduate Studies Office by the due dates Application form (see sample later in this shown on page ii of this manual: manual). All three sections of the form must be completed or the application will 1 Packet: not be accepted. Notes on Section I were provided above. − Standard Review Application form − Fully approved Approval of Graduate 2) Section II is used to provide the abstract Research Proposal form for the research. Use the abstract that was included in the research proposal. If one 5 Packets: was not included, prepare a one-page abstract that describes the research, with − Standard Review Application form details about how the research will be − Completed Human Subjects Research conducted. Proposal form − Human Subjects Research Proposal 3) Submit the following 6 packets of Evaluation form (complete materials in the order listed below to the Researcher’s Name and Date only)
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− Description of Procedures of the research: Setting of the research, Population and Sample Data Collection Methods Human Rights Protection Tool(s) to be used for data collection − Data gathering tools (e.g., survey, questionnaire) − Copy of information used to recruit subjects (e.g., postings, newspaper ad, verbal presentation to classes, etc.) − Copy of information to be provided to subjects to obtain informed consent − Consent form (actual form, not a “reduced copy” of the form)
4) Decisions on Standard Review applications may take 1 month. Four decisions are possible from this review: Full Approval, Approval with Recommendations, Approval with Conditions, or Disapproval. See the sections on IRB Dispositions later in this manual for explanations of each of these.
5) The applicant is notified by mailed letter of the IRB Committee decision. When other than a Full Approval disposition has been made, the letter includes the recommendations, conditions, or reasons for disapproval. COMMITTEE DECISIONS ARE NOT GIVEN IN PERSON OR OVER THE PHONE. Graduate research directors are also notified of the IRB decisions via campus mail.
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INSTRUCTIONS FOR COMPLETING THE HUMAN SUBJECTS RESEARCH PROPOSAL FORM
The Human Subjects Research Proposal The purpose here is simply to determine Form contains 13 questions to be answered by whether subjects who participate in the study the applicant regarding the protection of human can expect to receive any benefits from their subjects in the proposed research. Applicants participation in the research, and what those should take care to answer each question benefits may be. Note that this question applies concisely but fully, to complete the yes/no to participants, and not to the community or answer blocks in questions 1, 4, 5, and 6, the society as a whole. Benefits are broadly defined anonymous/confidential answer block in in this question to include psychological or question 9, and the data storage answer block in physical benefits, but the specific benefits must question 10. Incomplete forms will not be be listed. Most importantly, the benefits must be reviewed by the IRB Committee. See sample realistic and equally possibly attainable by most form later in this manual. participants. In other words, do not list benefits that only a minority of participants might Question 1: Are subjects exposed to any receive, but rather list those benefits that most possibility of physical or psychological risk or participants are likely to receive. discomfort? If yes, describe how subjects are Question 3: What are the possible benefits exposed, the methods to be used to protect that can be derived from the research? subjects, and what will be done to restore While question two was concerned with the physical and psychological homeostasis. benefits to be derived by the participants in the The purpose of this question is to determine research, this question pertains to the possible whether subjects will be exposed to any risk or benefits that may be provided to the broader discomfort, and if so, how they are exposed, community or society. Again, however, the how subjects will be protected, and what will be benefits must be realistic and not overstated. done to diminish the effects of the risk or discomfort after the research (restore physical Question 4: Are subjects members of any of and/or psychological balance). Review the the following vulnerable populations? If yes, definitions of risk, discomfort, physical risk or explain why the research is not conducted with discomfort, and psychological risk or members of less vulnerable populations, and discomfort in the Definitions section of this what special protections or safeguards will be manual. An explanation is necessary for each used to protect the welfare of members of a occurrence of a "yes" response to the four risk vulnerable population (see form for list of and discomfort questions. If "no" is checked for vulnerable populations). all four options, no explanation is necessary. This question pertains to the equity of subject selection. The IRB takes into consideration the Question 2: What are the possible benefits purposes of the research and the setting in that can be derived by subjects who participate which the research will be conducted. The in the research? purpose of this question is to determine whether
- 23 - 24 subjects are being selected from vulnerable Questions 5 and 6: Are subjects exposed to populations, and if so, how the inclusion of deception/coercion? If so, explain how, why it those subjects, rather than subjects from less is necessary, and possible risks or discomforts vulnerable populations, is justified. Another to subjects. purpose is to determine whether members of a The purpose of these questions is to vulnerable population are adequately protected determine whether subjects will be exposed to in the proposed research. deception or coercion, and if so, how they are The issue of concern is that members of exposed, why this is necessary, and the possible vulnerable populations are more likely to be risks or discomforts to subjects resulting from coerced or unduly influenced than members of the deception or coercion. Review the less vulnerable populations. For example, when definitions of coercion and deception in the asked by a researcher to participate in a study, Definitions section of this manual. An children are more likely to feel compelled to explanation is necessary only if the "yes" agree than adults. The same may be true for response is checked. institutionalized individuals versus noninstitutionalized individuals. Question 7: If either question 5 or 6 was If "yes" is checked to any of the populations answered yes, explain debriefing procedures to listed, the applicant must clearly state why be used to desensitize, dehoax, or otherwise members of that group are needed for the inform subjects of the true intent of the research, versus members from a less research and why deception and/or coercion vulnerable population, and how the subjects' was necessary. rights will be protected. This question should be completed only if either question 5 or 6 was answered "yes". This question is concerned with debriefing and is used to determine if the researcher's plans for informing subjects, desensitization, and/or dehoaxing are adequate in the view of the IRB. Review definitions for debriefing, dehoaxing, and desensitization in the Definitions section of this manual.
Question 8: What is the relationship between the researcher and the potential subjects? Explain how the potential subjects will be protected from coercion during the recruitment and research processes based on this relationship. This question is used to determine the potential risk of coercion in the recruitment and research processes. Identify the relationship;
25 then explain how subjects will be protected from coercion. Question 12: How will research findings be For example, if the researcher provides disseminated to subjects? nursing/ therapy/educational, etc., services to The purpose of this question is to determine subjects who will be recruited, this relationship how research findings will be provided to should be specified and the researcher must subjects. Review the summary of results explain how coercion will be prevented or definition earlier in this manual. Researchers are reduced. In this case, the researcher may ask not required to provide research participants another person to ask subjects to participate in with a summary of results, but if a summary is the research to prevent subjects from feeling provided, all subjects must have equitable compelled or obligated to participate because access to the findings. their nurse, therapist, or teacher is asking them to be subjects in his or her study. Question 13: How will subjects' voluntary This does not mean that researchers may not collect informed consent be obtained and data from their patients, clients, students, employees, documented? Specify any accommodations. and so on. The researcher, however, must demonstrate Review the section on Voluntary Informed that he or she has evaluated the impact of his or her relationship on the recruitment and research processes, Consent in this manual prior to completing this based on the nature of this relationship. question. It is not necessary to explain the consent form in the answer to this question, Question 9: How will subjects' data be since IRB members use a checklist to verify that maintained? all required elements of informed consent are The purpose of this question is to determine present in the consent form. Instead, describe whether subjects' data will be maintained the process to be used or steps to be followed to anonymously or confidentially. Review the explain the study to prospective subjects. The definitions of anonymity and confidentiality in applicant may refer to a script included in the the Definitions section of this manual. research proposal, but this script must be included with the materials submitted to the Question 10: How long will subjects' data be IRB. stored? In the United States, all confidential data must be stored by the researcher for 3 years. In Canada, data must be stored for 6 years.
Question 11: Where and how will subjects' data be stored? Confidential data must be securely maintained in a locked file cabinet, locked desk, or through some other secure method. Applicants must specify where the data will be maintained.
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The applicant must specify any purpose of the study rather than stating the accommodations made to the consent form and actual purpose when the latter would bias or consent process for special populations. For subjects' performance. In this last example, the example: (a) using enlarged print on the consent researcher must include a debriefing procedure form or using a braille consent form for visually in the research methodology to inform subjects impaired subjects, (b) paraphrasing the title of of the deception at the completion of data the study rather than using the actual title when gathering. the latter is confusing to subjects, and (c) paraphrasing the
HUMAN SUBJECTS RESEARCH PROPOSAL EVALUATION FORM
This form is used by the IRB to evaluate the plan documentation submitted with the application. Only for the protection of human subjects as described on complete the researcher’s name and date when the Human Subjects Research Proposal form and other submitting your application.
COMMON REASONS FOR APPROVAL WITH CONDITIONS RATHER THAN FULL APPROVAL
The following are common reasons research applications receive approval with conditions 3. Terminology in subject recruitment or rather than full approval from the D'Youville instruction scripts not easily understandable IRB. Review your application to insure that by the target group. none of the following will prevent full approval of your research. 4. Not giving a name and title of a contact person (other than the researcher) and 1. Not obtaining proper signatures on IRB providing a phone number or address at forms, or failing to have on file fully which he or she may be contacted. Avoid approved and signed graduate forms (yellow personal and/or home phone numbers. and goldenrod forms). 5. Not clearly specifying withdrawal 2. Not clearly stating how data will be securely procedures and/or the time frame within maintained (use of subject ID numbers and a which the withdrawal option may be master ID number/name coding list), where exercised by subjects. data will be stored (such as a locked file cabinet), and for how long data will be 6. Coercive recruitment procedures or script. securely maintained For example, a therapist recruits subjects for (USA = 3 years, Canada = 6 years). research and even states that participation is
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voluntary, but implies that the patient/client should participate in order to help the therapist.
7. Requiring more than one yes or no answer on a screening form or health questionnaire. Instead, list the screening criteria and ask potential subjects to answer one yes-or-no question about whether any of the exclusion criteria apply.
8. Not specifying the subject's duration of commitment (such as two 45-minute sessions a week for 6 weeks).
9. Inconsistencies on consent form, recruitment script, and explanation of the study.
10. Not including the no loss of benefits phrase on the consent form when necessary.
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VOLUNTARY INFORMED CONSENT
Except for Exempt research, no researcher The procedures used in obtaining informed may involve a human being as a subject in a consent should be designed to educate research study unless the researcher has prospective subjects in terms they can obtained the legally effective informed consent understand. Therefore, the language and its of the subject or the subject's legally authorized documentation (especially the explanation of representative. the study's purpose, duration, experimental Informed consent is a process, not just a procedures, alternatives, risks, benefits, and so form. Information must be presented to enable on) must be written in simple language that is persons to voluntarily decide whether or not to fully understandable to the people being asked participate as a research subject. It is a to participate. The written presentation of fundamental mechanism ensuring respect for information is used to document the basis for persons through provision of thoughtful consent consent and for the subjects' and researcher's for a voluntary act. future reference.
REQUIRED ELEMENTS OF INFORMED CONSENT
The following are all required elements of the 5. Expected duration of subjects' participation. informed consent form. The language in all of Be specific as to the number, frequency, and these elements should be easily understood by duration of sessions. the prospective subjects. Refer to the sample informed consent form found later in this 6. Description of possible risks and/or manual: discomforts. Distinguish between possible and remotely possible, using the definition 1. Statement that the study involves research. of minimal risk as the guideline (see Definitions section). 2. Name of the primary researcher. 7. Description of the procedures to be 3. Title of study (or) general topic of research. followed. Again, be sure to write using terms understandable to the intended 4. Explanation of the purposes of the research. subjects. Translate the purpose statement(s) from the thesis proposal from its technical language 8. Identification of any experimental to language easily understandable to the procedures to be used. prospective subjects. 9. Description of realistic benefits to the subjects or others. Do not overestimate the
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possible benefits that may be derived from numbers whenever possible. Note that title the proposed research. Often, there are no refers to an administrative or academic direct benefits to participants in various designation such as Graduate Research research studies. Director; not to the contact person's professional designation such as RN, PT, or 10. Disclosure of appropriate alternate OTR. procedures and/or treatments, if any, that might be advantageous to subjects. 15. *An explanation as to whether any compensation is provided and what it 11. Extent to which confidentiality or anonymity consists of. will be maintained. 16. *The name, title, and phone number or 12. Statement that participation is voluntary and address of a contact person in the event of a refusal to participate will involve no penalty research-related injury to the subject. or loss of benefits to which the subject is 17. *An explanation as to whether medical otherwise entitled. treatments are available if injury occurs and, if so, what they consist of, or where further 13. Statement that subjects may withdraw information may be obtained. participation and when and how they may do so. There must be no penalty or loss of 18. Consent must be dated and signed by the benefits to which subjects would otherwise subject or the subject's legal representative. be entitled. * Note that items 15-17 are only required 14. The name, title, and phone number or when there is more than minimal risk or address of a contact person for questions when the study involves the use of about the research or the subject's rights. deception and/or coercion. However, avoid providing home phone numbers; use business or office telephone
TIPS ON INFORMED CONSENT
∗ Do not begin phrases with "I understand that legal document, also think of it as a teaching ...", as these can be interpreted as suggestive, tool. may be relied upon as a substitute for sufficient factual information, and can ∗ Describe the overall experience that will be constitute coercive influence. encountered. Explain the research activity and how it is experimental, such as requiring ∗ Use of scientific jargon and legalese is not extra tests or separate research records. appropriate. While the consent form is a
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∗ Inform prospective subjects of any ∗ Describe alternatives to participating in the foreseeable harm, discomforts, research project. For example, in some drug inconveniences, or risks that may be studies, the medication(s) may be available associated with the research. through a family doctor or clinic without the need to volunteer for the research activity. ∗ If additional risks are identified during the course of the research, the consent process ∗ The regulations require naming and documentation will require revisions to knowledgeable contact persons to answer inform subjects as they are recontacted or subjects' questions about the research, their newly contacted. rights as subjects, and research-related injuries. A single person is not likely to be ∗ Describe the benefits that subjects may appropriate to answer questions in all of reasonably expect to encounter. There may these areas because of potential conflicts of be none other than a sense of helping the interest or the appearance of such. While public at large. questions about the research itself are best answered by the investigator, other questions ∗ If payment is given to defray the incurred may best be referred to those not on the expense of participation, it must not be research team. coercive in amount or method of distribution. ∗ Voluntary participation and the right to withdraw are essential. It is also important to point out that no penalty or loss of benefits will occur as a result of either not participating or withdrawing.
∗ Health surveys or other screening tools should require only one yes or no answer to the entire screening to protect potential subjects' privacy.
∗ Health surveys screening for exercise precautions should determine whether there is any possibility that a female subject is pregnant, and if so, exclude her from any research involving exercise.
IRB DISPOSITIONS
Four dispositions are possible from the IRB Recommendations, Approval with Conditions, or committee review: Full Approval, Approval with Disapproval.
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If Approval with Conditions is granted, the FULL APPROVAL letter from the IRB committee specifies what conditions must be met before Full Approval Upon notification of Full Approval, the will be granted. The applicant, in consultation applicant may begin formal application as with the graduate research director, must needed to other IRBs at the facilities/agencies address each of the conditions and report in in which data are to be collected. memo format back to the IRB via the The applicant is required to immediately Graduate Studies secretary. notify the IRB for further review of the When submitting revised materials, the research in the event that ANY of the applicant must include: (a) a memo signed by following occurs: the graduate research director indicating that - a major change in the method of data the changes have been approved by the collection director, and (b) a copy of the approval with - unanticipated adverse effects on the human conditions letter the applicant received from subjects the IRB after the first review of the - unanticipated difficulties in obtaining application by the IRB. informed consent or maintaining Upon subsequent review, the application confidentiality may be granted any of the four possible dispositions. The proposed research may not APPROVAL WITH RECOMMENDATIONS begin until Full Approval or Approval with Recommendations has been granted by the Upon notification of Approval with IRB. Recommendations, the applicant may begin formal application as needed to other IRBs at DISAPPROVAL the facilities/agencies in which data are to be collected. Note, however, that while the IRB If the IRB disapproves of the research, the has approved the research, the IRB has applicant is notified of the specific reasons for chosen to make recommendations to the disapproval. The applicant should schedule a meeting applicant regarding possible improvements to with his or her graduate research director and/or the IRB chair to discuss the research and what actions the research plan or appearance of written need to be taken to remediate the problems. When an materials to be used in the research. These application is disapproved by the IRB, the applicant recommendations should be addressed prior must submit a new application with supporting to application to other IRBs as needed. materials to the IRB for the application to be The applicant is required to immediately reviewed again. notify the IRB for further review of the When submitting the new application, the research in the event that ANY of the applicant must include a copy of the conditions described under the Full Approval disapproval letter the applicant received from section above occurs. the IRB after the first review of the application by the IRB. APPROVAL WITH CONDITIONS The proposed research may not begin until Full Approval or Approval with
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Recommendations has been granted by the IRB.
CONTINUING APPROVAL
If the research is not completed within 12 months of the notice of approval from the IRB, the applicant must notify the IRB of the status of the project.
EXEMPT REVIEW APPLICATION - IRB 33 HUMAN SUBJECTS RESEARCH - D’YOUVILLE COLLEGE INSTITUTIONAL REVIEW BOARD
(Please TYPE or WRITE CLEARLY)
I. IDENTIFYING INFORMATION Telephone Number:
______
Researcher: ______SS or SI Number: ______
Address: ______Program: ______
______Research Director: ______
Research Title: ______
II. CRITERIA Place an X next to the criterion or criteria under which you are seeking exempt review: ___ Research which does not utilize human subjects ___ Research involving the collection or study of existing data, documents, records, or pathological or diagnostic specimens, from publicly available sources. ___ Research involving the collection or study of existing data, documents, records, or pathological or diagnostic specimens, and the information is recorded by the investigator in such a manner that subjects cannot be identified, directly or through identifiers linked to the subjects, such as in content or secondary data analyses. ___ Research conducted in established or commonly accepted educational settings, involving normal educational practices, such as research on regular or special education instructional strategies, or research on the effectiveness of or the comparison among instructional techniques, curricula, or classroom management methods. ___ Research involving the use of educational tests (cognitive, diagnostic, aptitude, or achievement), survey or interview procedures, or observation of public behavior and the subjects are elected or appointed public officials or candidates for public office. ___ Research involving the use of educational tests (cognitive, diagnostic, aptitude, or achievement), survey or interview procedures, or observation of public behavior and, the information is recorded by the investigator in such a manner that subjects cannot be identified, directly or through identifiers linked to the subjects, and any disclosure of the human subjects’ response outside the research could not reasonably place the subjects at risk of criminal or civil liability or be damaging to the subjects’ financial standing, employability, or reputation. ___ Taste and food quality evaluation and consumer acceptance studies where wholesome foods without additives are consumed, or in which a food is consumed that contains a food ingredient at or below the level and for a use found to be safe, or agricultural chemical or environmental contaminant at or below the level found to be safe by the Food and Drug Administration, or approved by the Environmental Protection Agency, or the Food Safety and Inspection Service of the U.S. Department of Agriculture.
III. DESCRIPTION Summarize specifically but concisely HOW the planned research meets the above criteria (attach additional pages as needed).
IV. SIGNATURES
The researcher’s signature indicates that during all phases of the conduct of this research he or she will insure the practical application of the general ethical principles identified by the National Commission for the Protection of Human Subjects of Biomedical and Behavioral Research, including respect for persons, beneficence, and justice. The researcher will respect the confidentiality of information obtained from or about subjects in this research and will protect all subjects’ privacy by not disclosing any information in a way in which an individual may be identified.
______
- 33 - 34 Researcher’s Signature Date Graduate Research Director’s Signature
Rev: March, 2002
35 EXPEDITED REVIEW APPLICATION - IRB HUMAN SUBJECTS RESEARCH - D’YOUVILLE COLLEGE INSTITUTIONAL REVIEW BOARD
(Please TYPE or WRITE CLEARLY)
I. IDENTIFYING INFORMATION Telephone Number: ______
Researcher: ______SS or SI Number: ______
Address: ______Program: ______
______Research Director: ______
Research Title: ______
II. CRITERIA Place an X next to the criterion or criteria under which you are seeking expedited review: ___ Collection of: hair and nail clippings, in a nondisfiguring manner; deciduous teeth; and permanent teeth if patient care indicates a need for extraction, and collection is made by an individual licensed to perform such procedures. ___ Collection of excreta and external secretions including sweat, uncannulated saliva, placenta removed at delivery, and amniotic fluid at the time of rupture of the membrane prior to or during labor, and collection is made by an individual licensed to perform such procedures. ___ Recording of data from subjects 18 years of age or older using noninvasive procedures routinely employed in clinical practice. This includes the use of physical sensors that are applied either to the surface of the body or at a distance and do not involve input of matter or significant amounts of energy into the subject or an invasion of the subject's privacy. It includes such procedures as testing sensory acuity and weighing, and procedures such as electrocardiography, electroencephalography, thermography, detection of naturally occurring radioactivity, diagnostic echography, and electroretinography, when performed by an individual licensed to perform such procedures. It does not include exposure to electromagnetic radiation outside the visible range (for example, x-rays, microwaves). ___ Voice recordings made for research purposes such as investigations of speech defects. ___ Mild exercise by healthy volunteers. ___ The study of existing data, documents, records, or pathological or diagnostic specimens. ___ Research on individual or group behavior or characteristics of individuals, such as studies of perception, cognition, game theory, or test development, where the investigator does not manipulate subjects' behavior and the research will not involve stress to subjects.
III. DESCRIPTION Summarize specifically but concisely HOW the planned research meets the above criteria (attach additional pages as needed).
IV. SIGNATURES
The researcher’s signature indicates that during all phases of the conduct of this research he or she will insure the practical application of the general ethical principles identified by the National Commission for the Protection of Human Subjects of Biomedical and Behavioral Research, including respect for persons, beneficence, and justice. The researcher will respect the confidentiality of information obtained from or about subjects in this research and will protect all subjects’ privacy by not disclosing any information in a way in which an individual may be identified.
______
- 35 - 36 Researcher’s Signature Date Graduate Research Director’s Signature
Rev: March, 2002
STANDARD REVIEW APPLICATION - IRB 37 HUMAN SUBJECTS RESEARCH - D’YOUVILLE COLLEGE INSTITUTIONAL REVIEW BOARD
(Please TYPE or WRITE CLEARLY)
I. IDENTIFYING INFORMATION Telephone Number: ______
Researcher: ______SS or SI Number: ______
Address: ______Program: ______
______Research Director: ______
Research Title: ______
II. ABSTRACT
III. SIGNATURES
The researcher’s signature indicates that during all phases of the conduct of this research he or she will insure the practical application of the general ethical principles identified by the National Commission for the Protection of Human Subjects of Biomedical and Behavioral Research, including respect for persons, beneficence, and justice. The researcher will respect the confidentiality of information obtained from or about subjects in this research and will protect all subjects’ privacy by not disclosing any information in a way in which an individual may be identified.
______
- 37 - 38 Researcher’s Signature Date Graduate Research Director’s Signature
Rev: March, 2002
39 HUMAN SUBJECTS RESEARCH PROPOSAL HUMAN SUBJECTS RESEARCH - D’YOUVILLE COLLEGE INSTITUTIONAL REVIEW BOARD
(Please TYPE or WRITE CLEARLY)
Researcher: ______Date: ______
1. Are subjects exposed to any possibility of: Risk: Discomfort: Y: N: Y: N: physical physical psychological psychological
If yes, describe how subjects are exposed, the methods to be used to protect subjects, and what will be done to restore physical and psychological homeostasis.
2. What are the possible benefits that can be derived by subjects who participate in the research?
3. What are the possible benefits that can be derived from the research?
4. Are subjects members of any of the following vulnerable populations? If yes, explain why the research is not conducted with members of less vulnerable populations, and what special protections or safeguards will be used to protect the welfare of members of a vulnerable population. Check all that apply.
___ subjects are not members of ___ children ___ mentally disabled a vulnerable population ___ economically disadvantaged ___ pregnant women ___ educationally disadvantaged ___ prisoners ___ institutionalized persons ___ other (specify)
- 39 - 40
Rev: March, 2002
41 HUMAN SUBJECTS RESEARCH PROPOSAL D’YOUVILLE COLLEGE INSTITUTIONAL REVIEW BOARD
5. Are subjects exposed to deception? If so, explain how, why it is necessary, and possible ___ Yes ___ No risks or discomforts for subjects.
6. Are subjects exposed to coercion? If so, explain how, why it is necessary, and possible ___ Yes ___ No risks or discomforts for subjects.
7. If either question 5 or 6 was answered yes, explain debriefing procedures to be used to desensitize, dehoax, or otherwise inform subjects of the true intent of the research and why deception and/or coercion was necessary.
8. What is the relationship between the researcher and the potential subjects? Explain how the potential subjects will be protected from coercion during the recruitment and research processes based on this relationship.
9. How will subjects’ data be maintained? 10. How long will subjects’ data be stored? ___ anonymous ___ 3 years ___ confidential ___ 6 years
11. Where and how will subjects’ data be securely stored and maintained?
12. How will research findings be disseminated to subjects?
13. How will subjects’ voluntary informed consent be obtained and documented? Specify any accommodations made to the consent form or consent process for special populations.
42
Rev: March, 2002
43
HUMAN SUBJECTS RESEARCH PROPOSAL EVALUATION HUMAN SUBJECTS RESEARCH - D’YOUVILLE COLLEGE INSTITUTIONAL REVIEW BOARD
Researcher: ______Evaluator: ______Date: ______
Yes No N/A 1. Risks to subjects are minimized by using procedures which: a. are consistent with sound research design. b. do not unnecessarily expose subjects to risk (pregnant women excluded from exercise). c. when appropriate, are already being performed for diagnostic or treatment purposes. 2/3. Risks to subjects are reasonable in relation to anticipated benefits. 4. Selection of subjects is equitable and subjects will be selected from the least vulnerable population possible given the nature of the planned research. 5. Risk/benefit ratio of exposure to deception is acceptable. 6. Risk/benefit ratio of exposure to coercion is acceptable. 7. Plan for desensitization and/or dehoaxing is acceptable. 8. Subjects are protected from coercion related to researcher-subject relationship. 9/11. Procedures for maintenance of subjects’ data are acceptable for the planned design. 12. All subjects have equitable access to research findings.
13. Required elements of INFORMED CONSENT: a. statement that the study involves research. b. name of primary researcher. c. title of research or general topic of research. d. explanation of the purposes of the research. e. expected duration of the subject’s participation. f. description of the procedures to be followed. g. identification of any experimental procedures to be used. h. description of possible risks and/or discomforts. i. Description of realistic benefits to the subject or others. j. disclosure of appropriate alternate procedures and/or treatments, if any, that might be advantageous to subjects. k. extent to which confidentiality or anonymity will be maintained. l. statement that participation is voluntary and refusal to participate will involve no penalty or loss of benefits to which subject is otherwise entitled. m. statement that subject may withdraw participation and when and how subject can do so. n. contact person for questions about research and subject’s rights. In studies of more than minimal risk or questionable liability: o. explanation as to whether compensation is provided and what it consists of. p. name, title, and phone number or address of contact person in event of research-related injury. q. explanation as to whether medical treatments are available if injury occurs and what they consist of, or where further information may be obtained. r. consent is documented/dated with signature of subject or subject’s legal representative.
14. Required elements of IMPLIED CONSENT (when coding mechanisms are used): a. subjects are informed that coding is being used. - 43 - 44 b. researcher destroys coding mechanism at completion of data collection. c. subjects are informed of date on which coding mechanism is to be destroyed.
Rev: March, 2002
45
INFORMED CONSENT [SAMPLE]
The purpose of this form is to assure that you are given sufficient information to make an informed decision as to whether you will agree to be a subject in a study involving research. [Researcher's Name], hereafter referred to as researcher, is conducting a study [entitled: Title Of Study,] (or provide general topic of research instead) [examining ...] to determine [purpose of study]. Your participation will involve [ # ] session(s) for [ # ] minutes, [ # ] time(s) per week for [ # ] week(s). As a subject, you will be asked to [describe procedures to be employed, screening or exclusion tools, tests and/or treatments to be administered, review of medical records, forms to be completed]. The procedures in this study [are] [are not] considered experimental. (If experimental, describe what is experimental). There are no more risks or discomforts associated with the procedures involved in this study than those ordinarily encountered in daily life or during the performance of routine physical or psychological examinations or tests. There may be no direct benefits to you for participating in this research, but your participation could be helpful in [describe realistic possible benefits such as testing current or new tests and treatments, developing new tests and treatments, etc ...]. Any information you provide during the course of the study will be recorded in such a way that your identify will remain [confidential] [anonymous]. (If confidential) This means that number codes will be used to record your information, no one but the researcher will have access to the information, and it will be securely stored. Your identity will never be revealed and information about the study will be reported in group form only. (If anonymous) This means that your name will not be associated with your information, no one will be able to identify you, and information about the study will be reported in group form only. Your participation in this study is completely voluntary. If you choose to participate, you may change your mind at any time up to [ # ] days after the final study session and withdraw your consent. You can withdraw by notifying [Name of Person] at [phone #] of your desire to withdraw. There is no penalty or loss of benefits to which you are otherwise entitled if you withdraw from the study, or if you choose to not participate. If during the course of the study you have questions about the research, tasks, or activities you are asked to perform or complete, or your rights as a research subject, you may contact [Name and Title of Contact Person other than the researcher] at [phone #], and all your questions will be answered. (In studies with more than minimal risk or the use of deception and/or coercion). You will receive no payment for participating in this study. The researcher and D'Youville College assume no liability for any discomfort or injury you may incur as a result of your participation in this study. If a medical emergency arises during your performance of the procedures in this study, the researcher will assist you in obtaining medical care at your expense. You are responsible for obtaining any other medical care on your own, and at your own expense. You should contact [Name and Title of Contact Person] at [phone #], in the event of a research related injury. You are receiving two copies of this form. Return the signed copy to the researcher and keep the other for your future reference. If you would like to receive a summary of the results of the study upon its completion, record your full address on the reverse side of this form. ------My signature below indicates that I understand the procedures to be employed in this study, all my questions concerning the study have been answered to my satisfaction, and I agree to be a subject in this study. I also agree to allow the researcher to present his or her findings publicly or privately, orally or in written form.
______Subject's Signature Date
-or-
______
- 45 - 46
Subject's Legal Representative Date
47
D’YOUVILLE COLLEGE
POLICY AND PROCEDURES ON MISCONDUCT IN SCIENCE1
POLICY scientific "misconduct involving research or The college is committed to the principle research training, applications for support of that the professional conduct of the faculty, research or research training, or related administration, staff, and students must research activities" (42 CFR 50.101). This conform to the highest ethical standards in all applies not only to research activities supported phases of research and teaching. To ensure that by funds made available under the Public this principle is strictly honored, a process has Health Service Act, but also to research been established to address promptly and fairly activities supported by other funding sources or allegations of scientific misconduct. conducted without a specific source of funding.
Purpose These regulations are designed to ensure that the rights of faculty, administration, staff, and students are protected, that the obligations of the college to the public at large and various funding agencies and authorities are observed, and to ensure the maintenance of the highest quality research environment at the college.
Definition of Misconduct in Science For the purposes of this policy, misconduct is defined as: ...fabrication, falsification, plagiarism, or other practices that seriously deviate from those that are commonly accepted within the scientific community for proposing, conducting, or reporting research. It does not include honest error or honest differences in interpretations or judgments of data. (Federal Regulations 42 CFR 50.102, Appendix I)
Consistent with the above principles of ethical conduct and federal regulations, D'Youville college shall make diligent efforts for preventing, detecting, and dealing with
1 A separate set of policies apply to research proposed to or supported by the U.S. Public Health Service. These are available in the Office of Graduate Studies. 48
PROCEDURE necessary documents shall be grounds for a A. Complaint recommendation for an investigation. The Research Standards Officer (RSO) The college shall make diligent efforts to will work with individuals who have a specific protect the identity of the complainant and the scientific misconduct complaint against a accused during the inquiry phase. If the process D'Youville college faculty member, staff reaches the investigative phase, the right of the member, or student involved in research. The subject of the investigation to confront the RSO assists individuals in the development of complainant requires that the identity of the a signed formal complaint, since only a signed complainant be revealed. During the entire formal complaint describing the allegation in process, the institution shall make every sufficient detail will initiate an inquiry. The reasonable effort to protect the livelihood and RSO is also responsible for maintaining well being of anyone making an allegation in records of the disposition of all complaints. good faith as well as the accused. The current RSO is the Associate Dean for The RSO shall take no more than 30 days Graduate Studies and Institutional Research from receipt of the signed complaint to conduct (Associate Dean). the inquiry and submit a report to the Dean of Health and Human Services or the Dean of B. Inquiry Arts, Sciences, and Professional Studies. The When the RSO has received a signed, report shall include a recommendation that written complaint, he/she will promptly initiate either: an inquiry and notify the Dean of Health and 1. Information collected during the Human Services or the Dean of Arts, Sciences, inquiry phase does not substantiate the and Professional Studies, that an inquiry is in complaint and a formal investigation is progress. not warranted. The report shall An inquiry consists of information document the reasons for the decision gathering and initial fact finding to determine and the findings from the inquiry will whether an allegation of misconduct warrants be filed in the office of the RSO. A an investigation. The subject of the inquiry copy of the report will be sent to the shall be notified that a complaint of scientific subject of the inquiry and complainant; misconduct has been received. The or investigating officer shall separately meet with 2. A formal investigation should be the subject and complainant and shall review conducted and a report will be all necessary and reasonable documentation to submitted to the Dean of Health and determine if an investigation shall be Human Services or the Dean of Arts, recommended. An investigation will be Sciences, and Professional Studies. initiated if the inquiry stage establishes However, the final decision to conduct information which tends to support the or not to conduct an investigation will accusation or which raises questions as to rest with the Dean of Health and possible misconduct that can only be resolved Human Services or the Dean of Arts, by formal investigation. Refusal on the part of Sciences, and Professional Studies. the subject to allow the RSO to review Upon the decision to conduct an
49
investigation, the subject of the submit to the Dean of Health and Human investigation and the complainant will Services or the Dean of Arts, Sciences, and be notified that an investigation will Professional Studies a report of the findings of follow. the investigation. This report will consist of the The RSO, after administrative and legal complaint, the RSO's findings, and the subject's consultation, will determine whether and when comments on the allegations. to inform outside granting agencies, other researchers, and/or publishers that an D. investigation is underway. Notification to If misconduct is confirmed, the Dean of federal granting agencies and other outside Health and Human Services or the Dean of granting agencies shall be made in accordance Arts, Sciences, and Professional Studies shall with applicable regulatory requirements of the make recommendations to the President for funding agency. appropriate sanctions against the subject. The imposition of sanctions shall follow relevant C. Investigation college policies and procedures regarding If it has not been previously reported, discipline. If misconduct is not substantiated, the Dean of Health and Human Services or the the college shall make diligent efforts to restore Dean of Arts, Sciences, and Professional the reputation of the subject and protect the Studies shall notify the granting agency that an confidentiality of the record. investigation is underway to determine if At the close of the investigation, the scientific misconduct has occurred. The college Dean of Health and Human Services or the shall keep the funding agency apprised of any Dean of Arts, Sciences, and Professional developments which disclose facts that may Studies will communicate the findings of the affect current or potential funding for the investigation and all actions pursuant to these individual(s) under investigation or that the findings to the funding agency or agencies and funding agency needs to know to ensure to any publications where appropriate. appropriate use of funds. When an allegation may involve immediate danger to humans or Source of Information: Guidelines developed by the Dana-Farber Cancer Institute, State animals, the RSO shall alert the Dean of Health University of New York at Buffalo, and the State University College of and Human Services or the Dean of Arts, New York at Buffalo. Amended and adopted by D’Youville College Board of Trustees, September 1996. Sciences, and Professional Studies who will take appropriate actions to protect those at risk.
This action may include stopping the research project. The RSO shall take no more than 120 days to complete the investigation, prepare a report of findings, and elicit comments from the subject of the investigation. The subject has a right to counsel and to present evidence and testimony during the investigative phase and to question the complainant. The RSO shall
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INDEX
Abstract...... 12-13 Disapproval ...... 20 Prisoners...... 4 Alternate treatment ...... 18 meet w/IRB Chair...... 20 Privacy...... 5, 6 Anonymity ...... 5, 16 Discomfort...... 7, 8, 15 Psychological Additional requirements ...... 1 Discontinue...... 9 balance...... 8, 15 Applications...... 21-25 Exempt review discomfort ...... 8, 15 dispositions ...... 20 criteria...... 10 homeostasis ...... 15 instructions...... 12-14 instructions ...... 12-13 measurements...... 5 sample forms...... 21-26 Expedited review risks ...... 8, 15 which criterion to apply ...... 11 criteria...... 10 Questionnaires...... 5 Approval ...... 20 instructions ...... 13 Recruiting...... 14 Assent ...... 5 Federal Regulations...... 2 Research ...... 8 Belmont Report...... 2 Guardian ...... 7, 8 related-injuries...... 19 Beneficence...... 3, 5 Human subject...... 7 Respect for persons ...... 3, 8 Benefits...... 3, 4, 15 types of review ...... 10 Results loss of...... 9 Instructions for items dissemination...... 16 payment...... 19 1-13 of application...... 15-17 equal access to...... 16 possible ...... 15 forms...... 21-25 summary of...... 9 realistic...... 15 Instructions, general ...... 12 Risks...... 3, 4, 8, 15 societal ...... 15 I. Identifying Information...... 12 Scientific jargon ...... 19 Biomedical/Behavioral Research...... 2 II. Criteria ...... 12 Serious impairment ...... 4 Brutal/inhumane treatment...... 3 III. Description ...... 12 Standard review Children ...... 4, 5 IV. Signatures...... 12 criteria ...... 10 Coercion...... 5, 16 IRB due dates...... ii, 12 Confidentiality ...... 6, 16 approval...... 7 instructions ...... 12, 14 waive the right ...... 6 other IRBs...... 1 Subjects Consent ...... 6 Justice ...... 4, 8 adverse effects...... 20 comprehension...... 3 social justice ...... 4 identifiers...... 6 contact person ...... 18,19 Justification...... 4 payment...... 19 documentation...... 18,19 Legal age ...... 8 protection of ...... 14 educate subjects ...... 18 representative...... 18 recruiting ...... 14 implied ...... 7 Legalese...... 19 refusal to participate...... 18 informed...... ii, 7, 16, 19 Medical treatments ...... 19 relationship to researcher ...... 5, 16 language...... 19 Minorities ...... 4 rights...... 17 required elements...... 18-19 Misconduct in Science Policy...... 28 selection equity...... 15 sample form ...... 27 Nat'l Commission for Protection of thanking...... 9 signatures ...... 19 Human Subjects...... 2 voluntariness ...... 3, 16, 17 tips ...... 19 Non-Participation ...... 8 Summary of study results...... 9, 16 voluntary...... 3, 18 Other IRBs Undue influence ...... 15 Data preliminary approval ...... 1 Vulnerable populations ...... 4, 15 destroying ...... 9 formal application...... 1 Withdrawal...... 5, 9 gathering tools ...... 13, 14 Packets...... 12 destroying data ...... 9 maintenance ...... 8 Parent...... 8 how...... 9 one-time collection ...... 5 Permission ...... 8 lose benefits...... 9,18 Deadlines ...... ii, 12 Physical maximum time frame ...... 9 Debriefing...... 6, 16 balance...... 8, 15 penalty...... 9,18 Deception...... 6, 16 discomfort...... 8, 15 rights...... 18 Definitions ...... 5-9 homeostasis...... 15 when...... 9 Dehoax...... 6, 16 measurements ...... 5 Desensitize...... 7, 16 risks ...... 8, 15
THESIS HANDBOOK
D’YOUVILLE COLLEGE 2002-2003
i
TABLE OF CONTENTS
General Steps for Completing the Thesis...... 1 Corrections...... 19 Definition of Terms...... 19 The Thesis Committee...... 3 Figures ...... 19 Committee Composition...... 3 Grammar ...... 19 Selection of the Thesis Committee ...... 3 Headings ...... 19 Changes in Committee Membership...... 3 Hyphenation...... 19 Responsibilities of the Committee...... 3 Indentation ...... 19 Thesis Director...... 3 Ink 19 Thesis Committee Members ...... 4 Italics...... 19 Student Responsibilities ...... 4 Justification...... 19 Lists...... 19 The Thesis Proposal ...... 5 Margins ...... 19 Beginning the Process ...... 5 Numbers...... 19 Proposal Formats...... 5 Page Numbers ...... 19 Format 1: Qualitative Study--Section Format...... 5 Pagination Verification ...... 20 Format 2: Quantitative Study--Chapter Format....8 Paper ...... 20 Format 3: Quantitative Study--Section Format.....8 Photographs ...... 20 Print...... 20 Thesis Proposal Presentation...... 11 Punctuation ...... 20 Quotations...... 20 Filing the Thesis Proposal and Thesis Proposal Form ...12 Reproduction...... 20 Running Head...... 20 Human Subjects Approval ...... 12 Seriation...... 20 Short Title...... 20 Completion of the Thesis ...... 13 Spacing in Body of Text ...... 21 Parts of the Thesis ...... 13 Statistics ...... 21 Chapter I, Introduction...... 13 Symbols ...... 21 Chapter II, Review of the Literature...... 13 Tables ...... 21 Chapter III, Procedures...... 13 Tense...... 21 Chapter IV, Results...... 14 Type Size...... 21 Chapter V, Discussion...... 14 Underline...... 21 References...... 14 Order of the Parts of the Thesis ...... 22 Appendix ...... 14 The Thesis Defense ...... 14 Thesis Manuscript Approval ...... 23 Filing the Thesis Defense Form...... 15 Thesis Presentation Day ...... 23 Preparation of the Thesis Manuscript...... 16 Key Manuscript Pages...... 16 Microfilming and Binding...... 24 Title Page...... 16 Copyright Page...... 16 Variations from APA Format for D'Youville College....25 Thesis Approval Page...... 16 Page Headers...... 25 Abstract Page...... 17 Acknowledgment Page...... 17 Appendix A Thesis Processing Forms and Table of Contents...... 17 Instructions for Their Completion ...... 27 List of Tables...... 17 List of Figures...... 17 Appendix B Thesis Manuscript Sample Pages ...... 40 List of Appendixes...... 17 References...... 18 Appendix Divider Page...... 18 General Guidelines...... 18 Block Quotation...... 18 Boldface...... 18 Chapter Titles and Numbers ...... 18 Citations...... 18 Computer Printouts...... 18
1
GENERAL STEPS FOR COMPLETING THE THESIS
In general, the steps for completing the 4. Submit the yellow AGRT form to the thesis are as follows: graduate director of your program for his or her signature of approval. This 1. After developing ideas from the form must be approved before work on beginning of the program and during the thesis can begin. The Graduate GRA 600--Theory Development and Studies Office (GSO) must be notified GRA 601--Research Methods, finalize if any changes to the committee a thesis topic at the start of GRA 610 composition are made. (Thesis Seminar). 5. Submit the original AGRT form to 2. Approach a certified graduate faculty your graduate director. The graduate member in your program who you director will send one copy to the GSO, would like to serve as your thesis keep one copy, and send one copy to director. Discuss ideas with him or her, you for your records. ask if he or she is willing to serve as your director, and come to agreement 6. Complete the thesis proposal and on your thesis topic. Complete the top presentation according to the section of the yellow Approval of guidelines in this handbook. Graduate Research Topic (AGRT) 7. Complete all modifications, form and obtain the thesis director's corrections, and additions to the thesis signature. See sample form in proposal as recommended by the thesis Appendix A. committee and thesis director. Once approved by your thesis director, 3. Approach two certified graduate submit one copy of the final fully members (one must be from outside approved thesis proposal to the your program) and elicit their graduate director of your program. willingness to work with you as members of your committee. Obtain 8. Submit the fully approved goldenrod their signatures on the yellow AGRT Approval of Graduate Research form. Date and sign the form yourself Proposal (AGRP) form (see Appendix as well. Make sure the top two sections A) to the graduate director of your of this form are now completed with all program. The graduate director will requested information, signatures, and send one copy to the GSO, keep one date. copy, and send one copy to you for your records. This form must be signed prior to submitting an application to the D'Youville College Institutional Review Board (IRB).
2
15. Complete data collection, analysis, 9. Send letters to copyright holders thesis, and thesis defense. Obtain all requesting permission to reproduce any thesis committee member signatures on copywritten material (figures, the blue Approval of Completed illustrations, tests, and so on) you wish Graduate Research (ACGR) form. It is to include in the thesis. It may take up suggested that you take at least 2 to 6 months to receive written copies of page iii (signature page) on approval. Approval letters must be the high quality paper to the defense so included in the thesis appendix. The that committee members may sign GSO will not accept any thesis without these pages at the defense. This avoids needed copyright permission letters tracking down members later, included in the appendix. especially in the summer months.
10. Register for thesis advisement (GRA 16. Check on the status of copyright 629) according to guidelines permission letters. See step 9 described established for your graduate program. earlier.
11. Submit necessary material to the 17. Make sure your thesis director gives Institutional Review Board to obtain final approval to all changes made approval to begin the study. See the according to the committee IRB Manual. recommendations, and signs the bottom of the blue ACGR form. 12. Save the original approval letter received from the IRB. This must be 18. Submit the fully approved blue ACGR included as an appendix in the thesis. form (see appendix) to the graduate director of your program. The graduate 13. Submit necessary material to any director will send one copy to the GSO, agencies and their IRB Committees as keep one copy, and send one copy to needed for approval of data collection you for your records. This form must only after obtaining approval from the be approved prior to submitting of the D'Youville College IRB. manuscript for review and approval by the GSO Outside Reader. 14. Meet with the Registrar to clear for graduation at least 6 months prior to 19. Review the UMI Guidelines (available the expected graduation date. in the GSO, HSB 111) and the guidelines in this handbook for preparing the final thesis manuscript.
3
20. Submit the thesis in final form to the 24. Complete the Thesis Presentation Day GSO for APA and format clearance by requirement. the Outside Reader who supplies the student with a list of required changes 25. Complete the top section of the Green in the manuscript. Sheet by printing the requested information and obtain the necessary 21. Make the corrections and resubmit the signatures on the Green Sheet. See new (corrected) and old copies of the sample form in Appendix A. entire thesis manuscript for another review. The entire review process takes 26. Submit 2 copies of the final manuscript a minimum of 1 week, but may take up of the thesis on high-quality paper, to 3 weeks especially in the weeks just UMI receipt, completed UMI preceding the deadline for graduation. application, Green Sheet, and In addition to the final thesis, a green additional title and abstract sheets to Certification of Approval of All the GSO by the first of May, August, Graduate Non-Course Requirements or December, for May, August, and for Graduation (Green Sheet) must be December graduations, respectively. submitted to the GSO for approval. You should plan to submit the thesis for its first review at least 2 to 3 weeks prior to the deadline for Green Sheets. This allows time for the reader to complete the first review, for you to make the corrections, for the reader's second review, and for you to prepare the final 2 copies of the thesis for the Graduate Studies Secretary.
22. Complete the UMI application (available in the GSO, HSB 111) and prepare the additional title and abstract sheets as instructed in the UMI application. Also attach one copy of each copyright permission letter included in the thesis appendix.
23. Pay the UMI fees to the Cashier in KAB and retain the receipt for submission to the Graduate Studies Secretary.
4
THE THESIS COMMITTEE
COMMITTEE COMPOSITION however, rests with the director of the The thesis committee is composed of student's graduate program. three Certified Graduate Member Faculty, A list of faculty members available for one who serves as director and comes from thesis committees with a description of the student's program. Second members of their interests and expertise is distributed to thesis committees also come from the students in GRA 610 (Thesis Seminar) student's program. However, second classes. The list is also posted on the members of thesis committees may come Graduate Studies bulletin board outside from outside the student's program HSB 111. providing that they have content expertise The yellow Approval of Graduate in the thesis topic as determined by the Research Topic form should be completed student's thesis director in consultation with by the student, signed by the three the graduate program director or committee members, and submitted for department chair. The third member must filing as described earlier. See sample form come from outside the student's program in Appendix A. Actual forms may be and/or department. obtained from the Graduate Studies Office The thesis committee meets with the in HSB 111. student at least twice during the course of study: at the presentation of the thesis proposal and at the final defense of the CHANGES IN completed thesis. Other meetings of the COMMITTEE MEMBERSHIP committee may be called by the thesis If a student wishes to change director, a member of the thesis committee, committee members or director prior to the or the student. Holding an informal thesis proposal presentation, he or she committee meeting early in the proposal should consult with the thesis director, development stage may be fruitful in graduate program director, or department complex studies, or in cases where it is chair who may refer the student back to the unknown whether the committee members committee member and/or thesis director agree with the student's planned for further discussion. If difficulties are not methodology for completing the research. resolved, the student should complete a revised yellow Approval of Graduate Research Topic form after discussion with SELECTION OF all involved parties, and resubmit the form THE THESIS COMMITTEE following procedures described earlier in It is the student's responsibility to ask this section. faculty who are Certified Graduate If a student wishes to change Members to serve as thesis director or committee members or director after the committee members. Final approval, thesis proposal presentation, he or she
5 should follow the above procedures. The 7. Advise student of readiness to student may need to repeat the proposal defend the thesis proposal, seek IRB presentation with the new thesis committee approval, defend the thesis, and receive if required by the thesis director. final approval of the thesis after If the thesis director or committee incorporating all committee member is unable to continue on the thesis recommendations. committee, the director will notify the 8. Assist the student in following all student and the student's graduate program guidelines for completing the thesis director or department chair of his or her proposal, IRB application, and thesis. resignation. The student should then follow 9. Post on the program's Graduate the above procedures for forming a new Bulletin Board the date, time, title, and committee. student's name for the thesis proposal presentation and the thesis defense. 10. Monitor the filing of copies of all RESPONSIBILITIES OF THE thesis-related forms and the fully approved thesis COMMITTEE proposal in the student's department file.
Thesis Committee Members: Thesis Director: 1. Agree to serve on the thesis 1. Assist the student in exploration of committee based on expertise and interest the problem. in the proposed study. 2. Be available for consultation and 2. Be available for consultation and preside at thesis proposal and thesis thesis committee meetings. defense meetings. 3. Read student materials and respond 3. Approve all drafts of the students' in a timely fashion. written material prior to being forwarded to 4. Discuss suggestions for major the committee members and to the IRB, alterations with the thesis director. guide the student to appropriate resources, 5. Evaluate the student's presentation and assure a written proposal and final of the proposal and defense of the thesis that are grammatically correct, have completed thesis and indicate approval by acceptable composition, and are consistent signature. with APA format.
4. Suggest consultation with committee members or other persons who might provide specialized assistance in developing the thesis proposal or thesis. 5. Receive suggestions for major alterations from the committee members and give guidance to the student based on the committee's consensus. 6. Maintain a folder documenting thesis advisement sessions.
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STUDENT RESPONSIBILITIES 1. Select thesis director and committee members, obtain their agreement to serve, and submit all thesis- related forms, thesis proposal, and thesis as described earlier in this manual. All forms must be filed within 5 working days of their completion. 2. Provide the thesis director and committee members with materials AT LEAST 5 working days before a response is expected (expanded to 10 days during the last 2 weeks of the semester). 3. Make time, date, and place arrangements for all thesis committee meetings, presentations, and defenses. 4. Follow all guidelines of his or her department and the Graduate Council applicable to proper completion of the manuscript, obtaining human rights approval, and, as needed, agency approval.
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THE THESIS PROPOSAL
BEGINNING THE PROCESS format, which must then be approved in The thesis process begins with writing by the Associate Dean for Graduate formulation of the thesis proposal in GRA Studies and Institutional Research. With 610 where writing the proposal is part of any format used, follow the guidelines the course requirements. This draft is prescribed in the American Psychological evaluated by the course instructor. The Association (APA) Manual (5th ed.) and as thesis director and the committee are modified in this handbook. Appendixes identified during the course and provide must be paginated and a short title used assistance to the student as needed. throughout the proposal. It is recommended Prior to the student's initial contacting that an abstract also be prepared to of thesis committee members, the thesis facilitate application to the IRB later. proposal must be carefully defined and developed with the thesis director. The student works with the director to prepare the proposal in a final form that can be presented to the other members of the thesis committee. The thesis proposal presentation does not occur until all members of the committee have adequate information and time to review the proposal. At least 5 working days are needed for thesis proposal reviews. At least 10 working days may be needed by committee members later in the semester. Many faculty are not available between May commencement and the beginning of the Fall semester, so schedule proposal presentations accordingly.
PROPOSAL FORMATS Three formats are available for the proposal. Check with the graduate director of your program to determine which format is required in your program. Only one of these three formats may be used unless the thesis director recommends a different
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FORMAT 1: phenomenon. The second may be a QUALITATIVE STUDY -- deductive theory format, where the aim of SECTION FORMAT the research is to move from the The proposal is written in separate generalizations of a specific conceptual/ sections in the third person, future or past theoretical framework to formulate tense, using the following format. conclusions regarding a specific experience. If the deductive approach is Abstract chosen, the conceptual/theoretical An abstract of a maximum of 120 framework of the thesis should be words should be written to highlight the discussed in a comprehensive manner so details of the proposal. that its major ideas and their relationships are identified and described. How this Introduction framework will be used within the thesis The function of the introduction is to should be explained, primarily as the last attract the reader's interest and attention. It part of this section. is a broad overview of the problem to be addressed but should be relatively short. Preliminary Review of Literature Documentation is needed when citing the The preliminary review of literature ideas of another person. covers the broad topics, including articles on the theoretical/conceptual framework Statement of the Purpose and research methodology, that are The desired effect or result of the study germane to the study. Previous research should be explained. This part identifies the and literature on the thesis topic should be specific focus of the thesis, which will tend critiqued. to be one of discovery, description, conceptualization (theory building), Significance and Justification sensitization, or illustration. Be sure to This section should convince the label the type of research you are doing reader of the necessity for this research when making this statement, for example and refer to the results of the preliminary by stating “The purpose of this qualitative, review of literature, as well as clinical descriptive research . . .” as you introduce evidence, such as statistics, that shows the the purpose. need for studying the topic. It should emphasize how the study will add to the Conceptual/Theoretical Framework present knowledge in the field by Two approaches may be followed in addressing the gaps in previous research terms of the conceptual/theoretical or replicating prior studies. The study’s framework in qualitative research. The tentative usefulness to the specific field of first may be an inductive practice should also be addressed. With phenomenological approach where the qualitative research using extremely small aim of the research is to develop a theory samples, it is important to avoid from observations of a specific exaggerating the significance of the
9 thesis. The major purpose of qualitative Definition of Terms research is to add to the body of This segment serves to assure that the knowledge regarding a specific topic by readers will interpret words or phrases not delineating the perspectives of one or in the vernacular but as the writer intends. more individuals on this focus. The list should include words used in the title, research purpose, the research Assumptions questions/objectives, ones unique to the Assumptions are statements accepted study, and the conceptual/ heoretical as universal truths that you believe are framework. Esoteric terminology, foreign inherent to your study. Assumptions words or phrases, and terms having more related to the problem, the than one interpretation should be conceptual/theoretical framework, and the considered for definition. research methodology should be outlined. Variables and Concepts Research Questions or Typically in qualitative research, the Objectives of the Study key variables or concepts are not known The specific goals or questions to be at the beginning of the study. Thus, this addressed in the study should be outlined. section is not included in the proposal.
Limitations The specific limitations and biases of the research should be discussed. Limitations related to the use of qualitative methodology should be included.
Procedure for Making Observations, Generating Descriptions, and/or Formulating Analyses This portion of the proposal should begin with an introductory paragraph that describes what is included in this section. Subheadings should be used to denote the discrete elements of this section and follow this order:
Introduction
Setting for the thesis This should include the general area of the country where the study
10 is being conducted (e.g., Population/Sample northeastern United States). It The population to be studied should should also include the specific be described. The unique issues of place where the sample is being sampling in a qualitative study derived from (e.g., clients who should be addressed. The number attend a specific clinic), and the of participants should be identified, place where the data gathering will with the rationale for choosing a occur (e.g., an office, participant's very limited number of home, place of convenience to the participants. The criteria for subject). selecting the sample should be delineated. How the sample will be selected should be discussed in full. Each step in this process must be included, beginning with how, when, and who will make the initial contact with each individual to how the person actually becomes designated as a study participant.
Method of data collection The strategies of data collection, such as field notes, interviewing, participation-observation, historical process, content analysis, etc. should be described in detail. The rationale for choosing this method should be explained. The procedure for developing the specific method for the thesis should also be discussed. If the method will be pilot-tested, describe the way this will be accomplished.
Plan for Protecting the Human Rights of the Participants This section should address each of the components noted in the IRB Handbook. The process of informed consent must be fully explained, and the consent form
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must follow the suggested one The list of references must begin on a almost verbatim. new page, is double-spaced with the first line left-justified and remaining lines Proposed plan for data collection indented three spaces (about 1/2”) from the The proposed plan for data left margin. An individual reference should collection should be delineated in a not be divided or split across two pages. step-by-step manner. Points to consider include how the researcher Appendixes will gain access to the setting, Each appendix must have an appendix obtain the sample, obtain the divider page. The appendixes must be data/observations, and then keep placed according to the order in which each the data/ bservations organized and is first mentioned in the text of the retrievable. The plan for the storage proposal. See Key Manuscript Pages of the material should also be section later in this manual. Include the included. following appendixes as determined in consultation with the thesis director and Plans for Analysis of thesis committee members: Data/Observations The plan for the analysis of the data/ Budget. (Optional). A listing of all observations should be described. If anticipated expenses and the amount appropriate, the tentative framework for needed for each expense. This should the analysis of the material should be include the complete cost of all thesis- highlighted. If the method for data related expenses including the analysis will be derived from the data, purchase of commercially available explain how this process will be pursued. tests or instruments to be used in data The standards of the method of judging collection and other expenses to be the quality of the specific type of incurred in data collection, typing, qualitative research should be addressed. copying, and binding. For example, the concept of auditability or an audit trail may be noted. Other Interview Guide/Tools. A copy of criteria, such as credibility, fittingness, or each data collection tool is to be the utilization of primary sources as data included in the appendix, including test for historical research, may be instruments and student-made tools for highlighted. collecting demographic or study data. A copy of the letter of permission from Summary authors to use their non-published tools Write one paragraph that summarizes must be included. what has been covered in the proposal. Copyright Permission. If copies References of figures, illustrations, tools or instructions are made from published
12 sources, a copy of the letter of FORMAT 2: permission from the copyright holder QUANTITATIVE STUDY -- must be included. Original approval CHAPTER FORMAT letters should be retained by the The proposal is written in the third student. person, future or past tense, following the chapter format for the thesis described Agency Permission Request. The later. The proposal may serve as the first letter or forms which will be used in three chapters of the thesis manuscript. requesting agency permission are This is determined by the graduate director included in the appendix as needed. of your program.
Human Subjects Research Proposal Forms. The completed FORMAT 3: forms that will be submitted for QUANTITATIVE STUDY -- obtaining human subjects approval SECTION FORMAT from the D'Youville College The proposal is written in separate Institutional Review Board should be sections in the third person, future tense, included in the appendix. Note that using the following format: application to the IRB is not made until the thesis proposal has been fully Abstract approved in its entirety by the thesis A 120-word (maximum) abstract committee. should be written to highlight details of the proposal. Assent/Consent Forms. Copies of assent and/or consent forms must be Introduction included. The function of the introduction is to attract the reader's interest and attention. It Script for Recruitment of is a broad overview of the problem to be Subjects. Include printed materials to studied. Documentation is neither be distributed or posted to recruit necessary nor desired. It is concluded with subjects, and scripts of presentations to a statement of the hoped-for be made verbally to potential subjects. accomplishment of the study and provides a smooth transition to the next part of the proposal.
Statement of Purpose(s) or Statement of Problem(s) The purpose of the study is described in one or more specific statements that identify what is to be achieved or the
13 objectives to be attained in relation to the Preliminary Review of the Literature problem selected. This section covers the broad topics germane to the study. The content is Conceptual Framework or derived from the literature with emphasis Theoretical Framework on the theoretical framework for the study The framework is an attempt to and for related research studies. The areas organize the phenomena under study into of content should be identified with coherent systems, identify the relevant subheadings. The content is documented concepts and their relationships, and according to the rules in the APA manual. provide a framework for predicting the There should be a concluding sentence or occurrence of the phenomena. paragraph.
Significance and Justification The significance and justification is a summary based on existing literature evidence and clinical evidence that convinces the reader of the validity of the problem and that the study needs to be conducted.
Assumptions Assumptions are those statements accepted as universal truths that have application to the study.
Hypothesis or Research Question The writer may state hypotheses or research questions, depending upon the type of study. A hypothesis is a specific prediction or expected outcome of the study, stated positively or in the null form. The predictions are related to the problem in question. A research question is stated in the form of a question and seeks to identify characteristics of variables or relationships between variables.
Definition of Terms This section serves to ensure that readers will interpret words or phrases not in the vernacular but as the writer intends.
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The definition of terms used in the Variables hypotheses or research questions should This is a presentation of those variables include words newly coined, use of words having a bearing on the study that the unique to the study, esoteric terminology, researcher chooses to control and also foreign words or phrases, and terminology states how the control will be exerted. The having more than one interpretation, such independent, dependent, and extraneous as the terms nurse or therapist, for variables should be stated as appropriate. example. Both theoretical and operational definitions of terms should be included. Limitations See General Guidelines later in this manual Statements of limitations may or may for format suggestions. not be present. If included, a limitation is the recognition of a variable which has bearing on the study but over which the researcher has no control.
Procedure for Collection of Data This part of the proposal begins with an introductory paragraph describing the research design. Subheadings must be used to denote the discrete elements comprising the collection of data and should follow this order:
Introduction
Setting
Population and Sample Population from which the sample will be derived, method for selection of sample, sample size, and method for randomization.
Data Collection Methods How data will be collected; a step- by-step specification of data collection procedures must be included.
Human Rights Protection
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Description of how the safety, References privacy, and rights of human The list of references must begin on a subjects will be protected. new page, is double-spaced with the first line left-justified and remaining lines Tool to be used indented three spaces (about 1/2”) from the standardized--to include: left margin. An individual reference should • how constructed not be divided or split across two pages. • how assessed for reliability and validity Appendixes • how administered Each appendix must have an appendix • modifications or additions divider page. The appendixes must be made by the researcher placed according to the order in which each • permission from authors for is first mentioned in the text of the tools not commercially proposal. See Key Manuscript Pages available and purchased section later in this manual. Include the following appendixes as determined in developed by the researcher--to consultation with the thesis director and include: thesis committee members: • how constructed • how assessed for reliability Budget. (Optional). A listing of all and validity anticipated expenses and the amount • how administered needed for each expense. This should include the complete cost of all thesis- related expenses including the Treatment of Data This is the anticipated statistical or purchase of commercially available content analysis of the data. It is based on tests or instruments to be used in data the kind of data gathered and statistical collection and other expenses to be methods to be used. This should describe incurred in data collection, typing, both descriptive and inferential statistics as copying, and binding. appropriate, and brief explanations with references for statistics not familiar to the Tools. A copy of each data committee. Dummy tables planned to be collection tool is to be included in the included in the results section of the thesis appendix, including test instruments may be included to demonstrate data and student-made tools for collecting analyses. P values should be included demographic or study data. A copy of where appropriate. the letter of permission from authors to use their non-published tools must be Summary included. Write one paragraph that summarizes what has been covered in the proposal. Copyright Permission. If copies of figures, illustrations, tools or
16 instructions are made from published sources, a copy of the letter of permission from the copyright holder must be included. Original approval letters should be retained by the student.
Agency Permission Request. The letter or forms that will be used in requesting agency permission are included in the appendix, as needed.
Human Subjects Research Proposal Forms. The completed forms that will be submitted for obtaining human subjects approval from the D'Youville College Institutional Review Board (IRB) should be included in the appendix. Note that application to the IRB is not made until the thesis proposal has been fully approved in its entirety by the thesis committee.
Assent/Consent Forms. Copies of assent and/or consent forms must be included.
Script for Recruitment of Subjects. Include printed materials to be distributed or posted to recruit subjects, and scripts of presentations to be made verbally to potential subjects.
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THESIS PROPOSAL PRESENTATION
APPROVAL TO PRESENT At the presentation, changes in the After the thesis proposal has been study may be recommended and accepted completed and the thesis director has given by the student and the committee. One of his or her recommendation for the purposes of the presentation is to presentation, a final copy of the thesis strengthen the proposed research. If proposal is distributed by the student to changes in the written proposal are needed, each committee member at least 5 working the committee may decide to either meet days prior to the scheduled presentation. for another presentation or have the thesis Committee members may give feedback to director review and approve the changes on the thesis director regarding readiness for behalf of the committee. presentation of the thesis proposal.
SCHEDULING The student schedules the proposal presentation in consultation with the thesis director and the committee members. It is the student's responsibility to ensure that all committee members are provided with a final confirmed proposal presentation date, time, and location.
POSTING The date, time, topic, and student's name will be posted by the thesis director on the program's graduate bulletin board prior to the scheduled thesis proposal presentation.
THE PRESENTATION The student begins the presentation with a brief (10-15 minutes) summary of the content of the thesis proposal. The summary should focus on the nature of the problem under study and the ways in which the problem will be studied. All components of the study are then opened for discussion by the committee.
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REVIEW CRITERIA or she is recalled to the room, usually The following criteria are reviewed in within 10-15 minutes. order for the thesis proposal to be accepted: 1. Problem under study is stated definitively. 2. Theoretical basis for the study is identified and the relationship of the theoretical base to the study is documented. 3. Problem is researchable. 4. Feasibility of the study is substantiated. 5. Methodology of the study is sound and justified in relation to the problem. 6. Projected analysis of the data is appropriate and justified in relation to the problem. 7. Sites available for conducting the research are identified. 8. Availability of sufficient subjects is identified, and all human rights considerations are fully explored if human subjects are utilized. 9. Written proposal is grammatically correct, acceptable composition, and consistent with APA format.
APPROVAL OF THE THESIS PROPOSAL The student must demonstrate the ability to respond with knowledge, competence, and confidence to the questions of the total committee. There must be unanimous agreement among the committee members that the criteria have been met. At the conclusion of the questions, the committee members meet in closed session to formulate their evaluation. The student is notified of the committee's decision and recommendation(s) when he
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FILING THE THESIS PROPOSAL AND THESIS PROPOSAL FORM
After the thesis proposal is approved in The student is responsible for its final form, with the signatures of all submitting the copies of the goldenrod three committee members recorded on the AGRP form to the director of the graduate goldenrod Approval of Graduate Research program. The graduate director will send Proposal (AGRP) form, the thesis proposal one copy to the GSO, keep one copy, and is given to the director of the graduate send one copy to the student for his or her program who files the proposal in the own records. This form must be fully student's division file. approved prior to making application to the IRB. See sample form in the appendix. Actual forms may be obtained from the GSO.
HUMAN SUBJECTS APPROVAL
human subjects review applications. It also INSTITUTIONAL REVIEW BOARD provides specific information required for In accordance with federal guidelines informed consent forms and includes an to institutions conducting research example of an informed consent form. involving human subjects, the Institutional Consult the manual to begin preparing the Review Board (IRB) of D'Youville College IRB application. IRB Manuals and was established. It is the function of this application forms are available from the Board to assess the balance between the GSO in HSB 111. risks to human participants and the benefits that may be expected from proposed research. No research study of any kind by any student affiliated with D'Youville College may be initiated until the D'Youville College IRB has granted full approval for the study. The IRB Manual was developed to describe the types of human subjects review, application forms and procedures, possible IRB dispositions of applications, definitions, and examples of terms used in
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AGENCY APPROVAL When research will be conducted at locations other than the College, the researcher will generally have to receive approval from the other institution as well. In these cases, the researcher should first secure preliminary approval from the other institution to conduct the research at that location. Then the researcher should formally apply for approval through the D'Youville College IRB. Once full approval has been granted by the College, the researcher may formally apply for approval at the other institution. Often, the process of having the research reviewed first at the College facilitates a more efficient review at the other institution.
IN NO CASE MAY FORMAL APPLICATION TO ANOTHER IRB BE INITIATED UNTIL FULL APPROVAL FROM THE D'YOUVILLE COLLEGE IRB HAS BEEN GRANTED!
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COMPLETION OF THE THESIS
The following guidelines provide INTRODUCTION information relevant to the writing of the This chapter consists of the following thesis and defense of the thesis. elements derived from the proposal: The thesis defense does not occur until all members of the committee have 1. Introduction adequate information and time to review 2. Statement of Purpose - or - the thesis. At least 5 working days are Statement of Problem needed for thesis reviews. At least 10 3. Conceptual Framework - or - working days may be needed by committee Theoretical Framework members later in the semester. 4. Literature Synopsis (if required by Many faculty are not available between your graduate program) May commencement and the beginning of 5. Significance and Justification Fall semester, so schedule thesis defenses 6. Assumptions accordingly. 7. Hypothesis(ses) - or - Research Question(s) 8. Definition of Terms PARTS OF THE THESIS 9. Variables The thesis is written in the third person, 10. Limitations past tense, using the format prescribed in 11. Summary (a brief summary of the the fifth edition of the American above and an overview of Psychological Association (APA) Manual succeeding chapters naming and as modified in this handbook. standard chapter titles and men- The following description of the tioning the specifics contained in content of the text will apply to most each chapter) theses. However, some studies may require a variation in the way in which chapters are CHAPTER II designated and ordered. Your thesis REVIEW OF THE LITERATURE director will provide assistance in This chapter contains an exhaustive determining the most appropriate ordering survey of all material relevant to the of text material if a variation is indicated. problem under study. It contains the However, any variation in the number of following types of information: chapters or major variation in the content of the chapters must then be approved in 1. Expansion of the conceptual or writing by the Associate Dean for Graduate theoretical framework used in the Studies and Institutional Research. study. (Note that some thesis directors do not require this in Chapter II if they feel it was CHAPTER I sufficiently covered in Chapter I)
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2. Review of all related research 2. Description of the Sample studies (demographics) 3. Review of literature related to the 3. Hypothesis(ses) or Research tools, instruments, and Question(s) methodology used 4. Tools or Instruments 4. Summary paragraph concluding the 5. Serendipitous Findings (optional) chapter. 6. Summary (paragraph concluding the chapter). CHAPTER III PROCEDURES CHAPTER V This chapter is a presentation of the DISCUSSION methodology utilized in the study. It begins This is the final chapter of the thesis. An with a very brief introduction describing alternate title for this chapter is “SUMMARY, the research design. An alternate title for CONCLUSIONS, IMPLICATIONS, AND RECOMMENDATIONS”. It begins with an this chapter is “PROCEDURES FOR introductory paragraph entitled “Summary”. The COLLECTION AND TREATMENT OF chapter has four main parts as shown below. Not DATA”. The subheading sequence all components of the Conclusions section are includes at least the following: appropriate for every thesis. Seek guidance from the thesis director regarding which components 1. Introduction must be included in the thesis.
2. Setting 1. Summary (brief review of entire 3. Population and Sample study) 4. Data Collection Methods 2. Conclusions (an exposition of all 5. Human Rights Protection possibilities that can be derived 6. Tool(s) from the study, drawn about each 7. Treatment of Data (methods of of the areas below as appropriate): analysis) a. Relationship of the Results to 8. Summary (paragraph concluding the Conceptual Framework the chapter) b. Relationship of the Results to the Literature CHAPTER IV c. Relationship of the Results to RESULTS the Hypothesis or Research This chapter is a presentation of the Question study results. It begins with a brief d. Relationship of the Results to introduction describing the purpose of the the Variables study and the hypothesis tested or research e. Study Design and Data question addressed. An alternate title for Collection Methods this chapter is “ANALYSIS OF DATA”. f. Tool(s) and/or Instrument(s) Used 1. Introduction g. Statistical and Data Analysis Methods 23
3. Implications for Practice, of the thesis is distributed to each Management, or Education committee member. Copies should be 4. Recommendations for Future distributed no later than 5 working days Research. prior to the scheduled defense (10 days during the last 2 weeks of the semester). References
Scheduling Appendix - Appendixes are placed in the The student schedules the defense in order in which they are first mentioned in consultation with all committee members text and should include: and ensures that all committee members are A. letter of full approval from the provided with a confirmed defense date, college’s Institutional Review time, and location. Board B. script for recruitment of subjects Posting C. assent/consent forms The date, time, topic, and student's D. letters giving permission to name are posted by the thesis director on reproduce published material or use the program's graduate bulletin board prior unpublished material to the defense. E. tools F. demographic sheet Guests G. any inclusion which contributes to The student may invite guests to the the strength or content of the study. defense. Guests may not be invited by the thesis committee without the student's NOTE: Because of potential for violating permission. Guests leave the room while confidentiality, the appendixes should not committee members meet in closed session include any information that identifies to formulate their evaluation. where data were collected. Consistent with the goal of maintaining confidentiality, The Defense copies of letters giving the researcher The student presents the thesis to the permission to conduct the study at a committee and all components of the study particular location such as a hospital, clinic, are discussed. The purpose of the defense school or business, should be given to the is for the student to demonstrate thesis director for filing in the department’s understanding of the study and to present student file. The originals should be kept due cause for acceptance of the study by by the student. responding to the questions and challenges from the committee. The student begins the THE THESIS DEFENSE defense by presenting a brief (10-15 minutes) summary of the content of the Approval to Defend thesis. The summary should focus on the After the thesis has been completed and nature of the problem and the way in which the thesis director has given his or her the problem was successfully studied. If recommendation for defense, a final copy 24
desired, graphs, charts, and summaries of It is suggested that students take at least data may be presented using overhead 2 copies of page iii (signature page) on the projectors, slides, or computer presentation. high quality paper, to the defense for It is the student's responsibility to make signing by committee members at the arrangements for any projection equipment defense. This avoids looking for members needed. later (especially in summer months).
Review Criteria FILING THE THESIS DEFENSE Questions and challenges that may be FORM addressed by the thesis committee include: 1. Relationship of the study to existing After the thesis defense is approved, literature. signatures of the student and all three 2. Justification of approaches or committee members are recorded on the techniques used in the study. blue Approval of Completed Graduate 3. Explanation of statistics, data Research (ACGR) form. The student is analysis, and interpretation of results. then responsible for submitting the 4. Application of the results to completed ACGR form to the graduate practice. director of his or her program. The 5. Presentation of what the student graduate director will send one copy to the would have done differently after the GSO, keep one copy, and send one copy to experience of having completed the study. the student for his or her records. This form 6. Identification and substantiation of must be fully approved prior to submitting the most significant implications and the thesis manuscript to the GSO Outside recommen-dations of the study. Reader. See sample form in the appendix. Forms may be obtained from the GSO. Approval of the Thesis Defense The student must demonstrate the ability to respond with knowledge, competence, and confidence to the questions and challenges of the total committee. There must be unanimous agreement among the committee members that the criteria have been met. At the conclusion of the questions, the committee members meet in closed session to formulate their evaluation. The student is notified of the committee's decision and recommendation(s) when he or she is recalled to the room, usually within 10-15 minutes.
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PREPARATION OF THE THESIS MANUSCRIPT
There are a number of persons The title page is always the first page responsible for both the preparation and of the thesis manuscript and is numbered as acceptance of the final copy of the thesis page i. including the student, thesis director, thesis The title of the thesis is centered and committee, Outside Reader for Graduate typed in all capital letters on the third Studies, Graduate Studies Secretary, and double-spaced line below the page number. the Associate Dean for Graduate Studies The word “By” is centered and typed in and Institutional Research. However, it is upper and lower case letters on the next the student who holds the major double-spaced line below the thesis title. responsibility for making sure that the The student's full first name, middle initial, thesis meets all of the requirements of the and last name are centered and typed in Graduate Council and the graduate upper and lower case letters on the next program. double-spaced line below the word “By”. Unless a student types his or her own On the fourth double-spaced line below the thesis, the final draft will be in the hands of student's name, the statement of degree a typist, and the typist is responsible for a requirements is centered and typed as number of items. However, it should be shown on the sample title page in clear to the student that the typist is not Appendix B. The full name of the student's responsible for correcting errors in school should be typed in upper and lower grammar or verifying the arithmetic case letters in place of the bracketed accuracy of tables. The typist is responsible “Name of School”. The student's degree for supplying the student with a well-typed, program should be centered and typed in attractive-looking copy that meets the upper and lower case letters in place of the standards of the College as to form and bracketed “Program Title”. The words format. It is the student's responsibility to “Buffalo, NY” are typed on the next see that the typist is supplied with the double-spaced line. The date of the thesis appropriate information. defense should be centered and typed in The format to be used for the thesis upper and lower case letters in place of the manuscript is that prescribed in the fourth bracketed “Month Day, Year” (e.g., April edition of the American Psychological 3, 2000). See sample title page in Appendix Association (APA) Manual and rules in B. this handbook. See variations from APA format for D'Youville College later in this Copyright Page manual. The copyright page is always the second page of the thesis manuscript and is KEY MANUSCRIPT PAGES numbered as page ii. The statement begins on the first double-spaced line below the Title Page page number. Indent 5 spaces or 1/2” and
26 type single-spaced. The student's full first It is recommended that the student take name, middle initial, and last name are at least 2 copies of page iii (on the high typed in upper and lower case letters in quality paper) to the defense so that place of both bracketed “Full First Name committee members may sign these at the Middle Initial. Last Name” statements. See defense. This avoids tracking down sample copyright page in Appendix B. members later (especially in summer months). Thesis Approval Page The thesis approval page is always the Abstract Page third page of the thesis manuscript and is The abstract page is always the fourth numbered page iii. The thesis director and page of the thesis manuscript and is two committee members must sign the numbered page iv. Note that “Abstract” is original thesis approval page. The student centered and typed in upper and lower case is responsible for typing the discipline letters one double-spaced line below the names for all committee members. page number. Text in the abstract begins The title of this page is centered and one double-spaced line below the title. Use typed in italics capital letters on the next blocked text, with no indentation on the double-spaced line below the page number. first line or any other line. The abstract is The subtitle “Thesis Committee limited to 120 words. Note that p = .02 is Chairperson” is centered and typed in counted as three words. See sample upper and lower case letters two double- abstract page in Appendix B. spaced lines below the page title. The signature line is centered with the word Acknowledgment Page “Name” typed in upper and lower case The acknowledgment page is optional. followed by a colon, one space, and If included, it immediately follows the approximately 4” of underlined spaces. The abstract, is double-spaced, and numbered discipline line is typed in a similar manner page v. “Acknowledgment” is centered and one triple-spaced line below the signature typed in upper and lower case letters one line. The discipline line should be the same double-spaced line below the page number. length as the signature line. The subtitle The text is double-spaced. See sample page “Committee Members” is centered and in Appendix B. typed in upper and lower case letters two double-spaced lines below the previous Table of Contents discipline line. Match placement of the If an acknowledgment page is remaining text to the sample thesis included, the table of contents immediately approval page in Appendix B. The full date follows this page. The page number for the of the thesis defense should be centered first page of the table of contents is Roman and typed in upper and lower case letters in numeral v (acknowledgment excluded) or place of the bracketed “Month Day, Year” page vi (acknowledgment included). (e.g., April 3, 2002). Additional pages of the table of contents are consecutively numbered with Roman
27 numerals. The titles in the table of contents List of Appendixes must match the wording in the text, and The list of appendixes page page references must be correct. Each immediately follows the list of figures page subordinate level of heading is indented and is numbered with a roman numeral. from the left margin of the previous level. The title “List of Appendixes” is centered Long headings are to continue on the next and typed in upper and lower case letters line indented 3 spaces (1/2”) from the one double-spaced line below the page beginning of that heading. See sample number. The word “Appendix” is typed in pages in Appendix B. upper and lower case letters and left- justified one double-spaced line below the List of Tables page title. The first appendix is typed left- The list of tables page immediately justified one double-spaced line below the follows the table of contents page and is word “Appendix”. Appendix titles are consecutively numbered with roman typed in upper and lower case letters, numerals. The title is centered and typed in single-spaced, with a double-spaced line upper and lower case letters one double- between titles. Appendixes are identified spaced line below the page number. The by capital letters left-justified followed by word “Table” is typed in upper and lower two spaces and the appendix title. case letters and is left-justified one double- Periods (or a dotted line) after each spaced line below the page title. Each table appendix title begin one space after the last is numbered (Arabic) and left-justified letter of the title and continue leaving five followed by a period. The title of each table blank spaces (1/2”) at the end of the line is typed in upper and lower case, left- for the page number of the appendix (right- justified to the fifth space (1/2”), and justified). See sample list of appendixes single-spaced if longer than one line. page in Appendix B. Periods (or a dotted line) after the table title begin one space after the last letter of the References title and continue leaving five blank spaces Every citation that appears in the text (1/2”) at the end of the line for the page must also appear in the reference list. The number of the table (right-justified). reference list is not a bibliography, Double-space between table titles. See therefore only those citations appearing in sample page in Appendix B. the text may be included in the reference list. List of Figures In the reference list, references are The list of figures page immediately typed double-spaced with no extra blank follows the list of tables page and is lines between references. The first line of consecutively numbered with roman each reference begins at the left margin but numerals. Follow typing format as the second and remaining lines are described in List of Tables. See sample list indented three spaces (1/2”) from the left of figures page in Appendix B. margin. Each new reference begins at the left margin.
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All authors up to 6 must be listed in the GENERAL GUIDELINES references; for 7 or more authors, abbreviate the 7th and subsequent authors Block Quotation with “et al.”. Watch for correct alphabetical See Quotations. order; list different works by the same author in order of date. Use a comma Boldface before the ampersand for two or more Do not use boldface anywhere in the authors. Use state abbreviations with city thesis. names. Note exceptions on page 217-218 of the APA Manual. Follow the examples Chapter Titles and Numbers in chapter 4 of the APA Manual, as there is Each chapter starts on a new page. new information about referencing Double-space twice after the page number. electronic sources. See sample page in The word “CHAPTER” is centered and Appendix B. typed in capital letters followed by one space and the number of the chapter is Appendix Divider Page typed in capital roman numerals (I, II, and Each appendix must have a divider so on). The title of the chapter is centered page. The divider page number is the and typed in capital letters two double- number used in the List of Appendixes. spaced lines below the chapter number. Each page of each appendix must have a The text begins two double-spaced lines page number. Appendixes must fit the below the chapter title. See sample chapter margins of the thesis; reduce if necessary. title page in Appendix B. Titles for each appendix appear on an appendix divider page. The first line is Citations typed on the 4” below the page number. Only cite works actually used. In the The word “Appendix” is centered and text, spell out “and” when citing two or typed in upper and lower case letters more authors; however, in parentheses followed by one blank space and the within the text, use the ampersand “&” appendix letter typed as a capital letter such instead. For two or more authors, always as “Appendix A”. The title of the appendix use both names. For three, four, or five is centered and typed in upper and lower authors, use all names the first time you case letters on the next double-spaced line. refer to that source. All subsequent See Appendix B for sample page. references in parentheses should be written as “(FirstAuthor et al., date)”; all subsequent references in text should be written as “FirstAuthor et al. (date)”. For references in parentheses with six or more authors, use the “(FirstAuthor et al., date)” format for the first and all subsequent references to that source. For references in text with six or more authors,
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use the “FirstAuthor et al. (date)” format the text, with no other text (except caption) for all references to that source. on this page. If two references shorten to the same form, use the full reference each time. Grammar Multiple citations in parentheses are in Every sentence of the manuscript must alphabetical order. Citations must match be carefully checked for grammatical the References. Watch order of names in correctness. sources with multiple authors. Headings Computer Printouts Be consistent in your heading levels, These are acceptable in an appendix following APA format. All headings must but the printout must meet all margin be in the Table of Contents (indented to restrictions and the typeface must be letter show levels of subordination), and the quality. wording must be exactly the same as in the text. Chapter titles are not headings and are not included in determining levels of Corrections headings. Corrections are difficult to hide. Correction tape, chalk, erasures, Hyphenation strikeovers, ink eradicator, correction fluids Do not hyphenate words at the end of a such as White-OutTM, and corrections in line; instead, leave a line of text a little ink are not acceptable; they appear as black short rather than hyphenating a word. All marks on microfilm. Make corrections on self-compounds should be hyphenated. Be the original manuscript before it is consistent. Review Tables 3.1, 3.2, and 3.3 photocopied. in the APA Manual.
Definition of Terms Indentation Two suggested formats for the Each paragraph in the text is indented Definition of Terms section of the thesis five spaces (1/2”), except for the Abstract, are shown in Appendix B. which uses blocked text with no indentation on the first line or any other Figures line. Every figure must be checked for completeness and agreement with the Ink explanation in the text. Figure numbers Only black ink is acceptable. Laser must match citations in text. The figure print quality is preferable. caption should be at the bottom of the page, flush left, with the first word and proper Italics nouns capitalized, and ending with a Use italics in text for statistical terms, period. Each figure is on its own page, emphasis, and for book titles. Use italics placed on the page after first mentioned in for book titles, journal titles, and volume
30 numbers in the References. Avoid the use a page number. The preliminary pages of of quotation marks except for direct the manuscript from the title page to the quotations. page just before the first page of chapter I are numbered with lower case roman Justification numerals (i, ii, iii, iv, and so on). The right margin should not be The first page of chapter I is the first justified; it is left uneven. See sample page page where numbering changes to Arabic in Appendix B. numbers and this is page 1. All remaining pages of the manuscript including the text, Lists references, and appendixes are See Seriation. consecutively numbered with Arabic numerals (1, 2, 3, and so on). Margins The left margin on each page is 2”. The Pagination Verification top, right, and bottom margins on each The original thesis and reproductions page are 1”. will be microfilmed and bound exactly as they are received by the bookbinder. Numbers Therefore, it is the student's responsibility Write in words the numbers one to ensure proper pagination. The student through nine and use numerals for all should also be sure to keep a copy of the numbers 10 and above. Note that there are original for his or her files. many exceptions to these general rules. Space mathematical copy as you space Paper words, not “p=.03”, but “p = .03”. Print the manuscript on 8 1/2” x 11” Use numbers not words for ages, time, nonerasable high-quality, white paper, percents, sample size, measurements, and minimum 20-pound weight with 25% rag dates, except as the first word of a or cotton content. It is essential that all sentence. Use the form “1950s” for plurals watermarks run the same way to achieve of numbers and abbreviations; no high quality microfilming. Only apostrophe. manuscripts printed on white paper will be APA uses the metric system. If your accepted by the Graduate Studies Office measurements are in inches, feet, and so for submission to UMI. on, you must give metric equivalents. Report the results of statistical tests using Photographs the examples shown on pages 138-139 and The student is responsible for the pages 294-295 of the APA Manual. permanent mounting of photographs and other material to be included for the Page Numbers photographic reproduction of materials. Page numbers are typed one double- Dry mounting tissue provides the neatest spaced line below the short title and are and most permanent method of affixing right-justified. Every page of the thesis has photographs. A photograph release form
31 must be signed by each individual in a require an additional copy of the thesis for photograph. Do not use color photographs. filing in the student's department file. Check with the director of your graduate Print program. The print must be letter quality (typewriter, laser or letter-quality printer, Running Head not dot matrix) with dark black characters In the upper right-hand corner of each that are consistently clear and dense. page, 6 lines from the top of the page (leaving 1” for the top margin), type a short Punctuation title consisting of two or three key words Space once after all punctuation. In a for the title. The short title should be right- series of three or more, use a comma before justified and typed in upper and lower case “and”. Use the find and replace function on letters. See sample pages in Appendix B. your word processor to check this before submitting your thesis. A dash is formed by Seriation typing two hyphens with no extra spaces, Within a paragraph, use (a), (b), and like--this. (c). In separate paragraphs, use 1., 2., and 3. Indent the paragraph and return to the Quotations left margin for second and subsequent Quotes of less than 40 words are lines. All elements in a series should be incorporated into text enclosed by double grammatically parallel in style. quotation marks (“). Quotes of 40 or more words are typed double-spaced in block Short Title format. The first line is indented 5 spaces See Running Head. (1/2”) from the left margin without the usual paragraph indent. Subsequent paragraphs in a block quote are indented 5 spaces (1/2”) from the new margin. Quotation marks are not used for block quotes. All quotations should include a reference to page number(s). See sections 3.34-3.41 in the APA Manual.
Reproduction The College requires 2 sets of the completed thesis including 1 original and 1 reproduction on the type of paper specified above. No reproductions should be made without first securing the written signature of the Graduate Studies Outside Reader on the Green Sheet. Some graduate programs
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Spacing in Body of Text If a table continues to the next page, The entire thesis is double-spaced type “(continued)” in italics next to the except the text for the copyright page (ii) table title on the next page, double-space, and part of the title page (i). On all pages of then type the column headings. See sample the text except the chapter title pages, the of table pages in Appendix B. text begins one double-spaced line below the page number. See sample body of text page in Appendix B.
Statistics Report the results of statistical tests using the examples shown on pages 138- 139 and pages 294-295 of the APA Manual.
Symbols Mathematical, scientific, chemical, and other kinds of symbols that cannot be typed should be carefully drawn with a template or guide. Transfer symbols are not allowed due to lack of permanence. Handwritten symbols should be avoided but are acceptable if done carefully, in black ink, uniformly, and in a shape that conforms with accepted print.
Tables Table titles are placed at the top of the page, left-justified, italicized, and with principal words capitalized. Only horizontal lines are allowed in tables. Tables are double-spaced and placed on the page after they are first mentioned. Each table should be on its own page with no text on this page other than that which is part of the table. Every table must be checked for completeness, mathematical correctness, and agreement with the explanation in the text of the thesis. Table numbers must match citations in text.
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Tense The thesis is written in the past tense; that is, the research has been completed. However, use present tense to describe facts that are permanently true. For example, “In the 1500s, Galileo said the world is round.”
Type Size The type size should be set to be approximately 12-point. APA recommends a serif typeface for ease of readability. Because the manuscript will be reduced in size on microfilm, 12-pitch type is recommended. The type must be uniform and consistent throughout the manuscript with the exception of the lettering or numbering of photographic plates, original drawings, and graphs.
Underline Avoid underlining. Use italics instead.
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ORDER OF THE PARTS OF THE Note: The appendix from the thesis THESIS proposal containing the agency approval to conduct research (or collect data) must not The following order of optional and be included in the final thesis. There must compulsory components of the thesis must be no information in the final thesis that be followed: specifically identifies where data were 1. Title page collected. Material related to the agency 2. Copyright page approval and any other identifying 3. Thesis Approval page information should be given to the thesis 4. Abstract director for filing in the student's program 5. Acknowledgments (optional) student file. Finally, replace the researcher's 6. Table of Contents phone number in the consent form (or other 7. List of Tables (only if tables are correspondence in the appendixes) with a used) blank underline. 8. List of Figures (only if figures are used) 9. List of Appendixes 10. Chapter I 11. Chapter II 12. Chapter III 13. Chapter IV 14. Chapter V 15. References 16. Appendix A Divider Page 17. Appendix A 18. Appendix B Divider Page 19. Appendix B 20. remaining appendixes
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THESIS MANUSCRIPT APPROVAL
When all changes resulting from the Because the thesis is a reflection of thesis defense have been made, the the quality of the student and D'Youville student may then have the final College, the Associate Dean for Graduate manuscript typed. It is submitted in final Studies and Institutional Research has the form to the Graduate Studies Office authority to require the necessary (GSO), which is responsible for making corrections before the Green Sheet will be sure that the manuscript has no errors in signed. See sample Green Sheet form in APA format and is consistent with the Appendix A. Actual forms may be requirements outlined in this handbook. obtained from the GSO in HSB 111. Students should allow at least 1 week It is recommended that a competent (and up to 3 weeks in April, July, and reader other than the student review the November) for the entire final manuscript for errors and APA review/correction/re-review process. compliance before it is submitted to the A completely signed blue Approval of GSO. Manuscripts must be submitted in Completed Graduate Research form must folders or other acceptable sized be on file in the GSO before a thesis will envelopes. Loose manuscripts will not be be accepted for review. accepted.
THESIS PRESENTATION DAY
Thesis Presentation Day is a in groups of up to four students, or to requirement for all thesis students. In prepare poster presentations in lieu of order to present, students must have individual presentations. Check with the completed the analysis of research data director of your graduate program for and be able to answer the research more information. questions or provide results of hypothesis testing. Students give a timed 10-minute presentation of their thesis. The presentation should include an overview of why the topic was chosen, major concepts in the theoretical framework, hypotheses or research questions, research design, sample, instrument, findings, application to practice, and conclusions. Some programs allow students to present closely related research findings 36
Audiovisual aids may enhance the presentation--but prior arrangements must be made with the director of the graduate program. The audience consists of the D'Youville College community and any outside interested persons. Thesis Presentation Days are usually held in July, November, and April, for August, December, and May graduations, respectively. This event is scheduled each year by the directors of the various graduate programs in consultation with the GSO. Check with your graduate director for details about presentation options, dates, times, and any written material you are required to submit in order to register for Thesis Presentation Day.
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MICROFILMING AND BINDING
1. Once the thesis has been approved, pick up 5. The receipt from the Cashier is placed the University Microfilm Inc. (UMI) in the student's file in the Graduate application and the Thesis Microfilming and Studies Office. No thesis will be Binding Checklist from the Graduate Studies Office and complete the required forms. UMI accepted without this receipt. is the company that the College uses for the microfilming and binding of all graduate 6. The Graduate Studies Office sends the theses. All requirements in their guide must manuscripts and UMI forms to UMI for be met. microfilming and binding.
2. The student pays for the microfilming 7. The student is responsible for binding and binding of his or her thesis to the personal copies of the thesis. A list of Cashier in KAB. The total cost, which binderies is in the phone book, and the includes microfilming, copyright, and College Bookstore also handles binding, is posted on the Graduate personal thesis binding orders. Studies bulletin board outside HSB 111. Checks are made payable to D'Youville 8. The two bound copies of the thesis College and marked “Graduate Thesis returned by UMI are distributed to the Account”. The Cashier’s Office issues a thesis director and the library. receipt that must be submitted to the Graduate Studies Secretary when theses are submitted.
3. Two original, approved, signed, and unbound thesis copies are submitted to the Graduate Studies Office, along with an extra copy of the title page and abstract. The name of the student's thesis director must be listed on the extra copy of the abstract page. Manuscripts are submitted in folders or other acceptable sized envelopes. Loose manuscripts are not accepted by the Graduate Studies Office.
4. The Green Sheet is submitted at the time that the manuscripts are submitted. The Graduate Studies Secretary must sign off on the Green Sheet.
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VARIATIONS FROM APA FORMAT FOR D'YOUVILLE COLLEGE
The Publication Manual of the American For a final manuscript such as a student Psychological Association (5th ed.) (APA paper or a thesis, some deviations from the Manual) makes a distinction between copy APA Manual rules are allowed. See Appendix manuscripts and final manuscripts. The copy A of the APA manual for more information. manuscript must be formatted as described in D'Youville College has determined that the APA manual and is meant to go to a the following variations from the Publication printer or type-setter for final publication. Manual of the American Psychological Final manuscripts on the other hand, are Association (4th ed.) will apply to theses completed projects and are read in the form submitted to the college. they are submitted.
APA MANUAL D'YOUVILLE
Page Headers Specifies one line for the header, which Requires a two-line header, double-spaced, includes the short title and page number. flush right 1” from the top of the page as shown on the sample thesis manuscript pages in Appendix B.
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Appendix A
Thesis Processing Forms and Instructions for Their Completion
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*** SAMPLE GRADUATE RESEARCH FORM ONLY *** 43
*** SAMPLE GRADUATE RESEARCH FORM ONLY *** 44
*** SAMPLE GRADUATE RESEARCH FORM ONLY *** 45
*** SAMPLE GRADUATE RESEARCH FORM ONLY *** 46
Instructions for Completing Graduate Research Forms:
Step 1: The Approval of Graduate Research Topic Form:
Form 1 (yellow): Approval of Graduate Research Topic: This form includes three sections: • The top section is to be completed by the student. • The middle section includes the required signatures from both faculty and student. • The bottom section form is to be completed by the Program Graduate Director.
In the top section of this form, the student is REQUIRED to either type in or print clearly: 1. the student’s name (including middle initial), 2. social security or social insurance number, 3. the graduate program (graduate program codes are in the boxed area of the form), 4. whether the student plans to complete a (T)hesis or a (P)roject, 5. a tentative Title. The title for this form is NOT required to match subsequent titles of any subsequent forms, as students may change their topics later on in the research process.
The middle section of this form includes spaces for students who are doing Graduate Research Projects (on the left side) or Theses (on the right side). Students will complete the top of the form, then submit the form to their Initial Project Director or Thesis Director for signature approval.
ONLY ONE SIDE of the middle section of this form should be completed.
Required Signatures in the Middle Section: • Students in programs that require only 1 Project Director for each student’s research will be required to obtain only one signature in the middle section of the form from the Project Director. For some programs, this signature will be that of the Initial Project Director, while for other programs it will be the signature of the Project Director who will work with the student throughout the graduate research project.
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Instructions for Completing Graduate Research Forms:
Step 1: The Approval of Graduate Research Topic Form:
• Students in programs that require Project or Thesis Committees will require additional Committee Member signatures in the middle section of the form.
When the student has obtained ALL appropriate signatures to complete the middle section of the form, the student is REQUIRED to sign the middle section of the form and record the date of the student’s signature. The student’s signature indicates that the middle section of the form has been fully completed. Students will then submit form to the program Graduate Director to complete the bottom section.
The bottom section of the form REQUIRES the signature of the Program Graduate Director and date of the signature PRIOR TO submission to the Graduate Office. When the Program Graduate Director has signed and dated the bottom of the form, the form may then be submitted to the Graduate Office.
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Instructions for Completing Graduate Research Forms:
Step 2: The Approval of Graduate Research Proposal Form:
Form 2 (goldenrod): Approval of Graduate Research Proposal: This form includes four sections: • The top section is to be completed by the student. • The second section is optional, providing a description of any recommendations required by the Graduate Research Director prior to final approval of the proposed research. • The third section includes the action and action date of the Graduate Research Director or Committee as well as the required signatures of faculty and student. • The fourth section is optional, providing the final approval date of the student’s proposed research if it required recommendations listed in the second section. This section is completed by the Graduate Research Director as needed.
In the top section of this form, the student is REQUIRED to either type in or print clearly: 1. the student’s name (including middle initial), 2. social security or social insurance number, 3. the graduate program (graduate program codes are in the boxed area of the form), 4. whether the student plans to complete a (T)hesis or a (P)roject, 5. a proposed Title. The title for this form is NOT required to match EXACTLY to the titles on previous or subsequent forms; however, it is expected that the title on this form will appropriately reflect the graduate research that is subsequently completed for the program.
• After completing the top section of this form, students should attach a photocopy of the previously approved Approval of Graduate Research Topic form, and submit these materials to the student’s Graduate Research Director. This allows the student’s Graduate Research Director to be certain that the student has completed previous steps necessary for submission of the Approval of Graduate Research Proposal.
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Instructions for Completing Graduate Research Forms:
Step 2: The Approval of Graduate Research Proposal Form:
The second section of this form includes spaces for a description of any recommendations required by the Graduate Research Director prior to final approval of the proposed research. This section may be left blank if the student’s research proposal has been fully approved by the Graduate Research Director.
• NOTE: Forms that indicate that the student’s graduate research proposal was “Not Approved” or “Approved with Recommendations” will require completion of the section entitled “RECOMMENDATIONS OF DIRECTOR/COMMITTEE:’, and subsequent completion of the line indicating the “Date Recommendations Approved”.
• NOTE: For programs requiring only 1 Project Director and no additional committee members, it is expected that the Graduate Research Director’s signature would be that of the Initial Project Director.
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Instructions for Completing Graduate Research Forms:
Step 2: The Approval of Graduate Research Proposal Form:
The third section of this form includes spaces includes the action and action date of the Graduate Research Director or Committee as well as the required signatures of faculty and student.
• For Programs that do not require a Project or Thesis Proposal defense: 1. the Graduate Research Director check-marks the APPROVED line under DIRECTOR/COMMITTEE ACTION, 2. the Graduate Research Director fills in the approval date just below, 3. the Graduate Research Director signs on the Research Director’s line, 4. the student signs under Student’s Signature.
• For Programs that require a Project or Thesis Proposal defense: 1. the Graduate Research Director check-marks one of the three options under the DIRECTOR/ COMMITTEE ACTION. 2. the Graduate Research Director fills in the DIRECTOR/COMMITTEE ACTION date just below, 3. the Graduate Research Director signs on the Research Director’s line, 4. other Committee Members sign (if applicable) 5. the student signs under Student’s Signature.
The fourth section is optional, providing the final approval date of the student’s proposed research if it required recommendations listed in the second section. This section is completed by the Graduate Research Director as needed.
• For forms that indicate that the student’s graduate research proposal was either “Not Approved” or “Approved with Recommendations”, the line indicating the “Date Recommendations Approved” must be dated and signed by the Research Director of the Project or Thesis.
Steps to be completed before submitting the Approval of Graduate Research Proposal to the Graduate Office: 1. the student completes the top section of the form, 2. the student attaches a photocopy of the Approval of Graduate Research Topic form,
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Instructions for Completing Graduate Research Forms:
Step 2: The Approval of Graduate Research Proposal Form:
3. the student obtains ALL appropriate signatures and dates on the form, 4. the student submits the form to the Program Graduate Director, 5. the Program Graduate Director reviews the form to ensure that it is complete, then separates the forms. The top (or original) copy goes to the student’s file, one copy is sent to the Graduate Office, and the bottom copy is returned to the student. THE GRADUATE OFFICE WILL ONLY ACCEPT THESE FORMS FOR THOSE STUDENTS WITH Approval of Graduate Research Topic FORMS ON FILE AT THE GRADUATE OFFICE.
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Instructions for Completing Graduate Research Forms:
Step 3: Application to and Full Approval from the D’Youville College Institutional Review Board (IRB):
Application to the D'Youville College Institutional Review Board (IRB): Although not included with a specific form in these instructions, it is important to note that students must apply to IRB before they continue on with their Projects or Theses.
Upon completion of the Approval of Graduate Research Proposal form, Graduate Research Directors should ensure that EVERY student completes an application to the D’Youville College Institutional Review Board (IRB). Graduate Research Directors should ensure that EVERY student also receives a letter of APPROVAL from the IRB prior to their conduct of the Projects or Theses. ALL Projects or Theses require review by the D’Youville College IRB, and require Approval from the IRB before their conduct. There are no exemptions or exceptions to this policy.
Application forms for the D'Youville College IRB are available in the Graduate Office (HSB 111). The guidelines for applications to the D’Youville College IRB are detailed in the D’Youville College Institutional Review Board Manual, also available in the Graduate Office. Graduate Research Directors are responsible for ensuring that students are made aware of the D'Youville College IRB policies, and for ensuring that students have applied for, and received letters of Approval from the D'Youville College IRB prior to the conduct of their research.
Graduate Research Directors should review the IRB application materials from the Graduate Office and the IRB Manual with their students to ensure that students are aware of what needs to be completed for the D'Youville College IRB. Graduate Research Directors are required to review the completed IRB application materials prior to their submission to the Graduate Office. No IRB materials will be accepted by the Graduate Office without a signature of approval from the student’s Graduate Research Director.
Graduate Research Directors should ensure that students have received their letters of Approval from the D'Youville College IRB prior to the conduct of their research. Copies of these letters are sent to the student’s Graduate Research Directors as well as to the students themselves. Graduate Research Directors should recognize that some IRB
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Instructions for Completing Graduate Research Forms:
Step 3: Application to and Full Approval from the D’Youville College Institutional Review Board (IRB): letters may indicate that the student has not received Approval, but instead must meet certain conditions prior to receiving approval to conduct their research. Graduate Research Directors should review the IRB letter with each student prior to the conduct of the student’s research to be certain that the student has received IRB Approval.
THE GRADUATE OFFICE WILL ONLY ACCEPT IRB FORMS FOR THOSE STUDENTS WITH Approval of Graduate Research Topic and Approval of Graduate Research Proposal FORMS ON FILE AT THE GRADUATE OFFICE.
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Instructions for Completing Graduate Research Forms:
Step 4: Approval of Graduate Research Form:
Form 3 (blue): Approval of Graduate Research: This form includes four sections: • The top section is to be completed by the student. • The second section is optional, providing a description of any recommendations required by the Graduate Research Director prior to final approval of the research. • The third section includes the action and action date of the Graduate Research Director or Committee as well as the required signatures of faculty and student. • The fourth section is optional, providing the final approval date of the student’s research if it required recommendations listed in the second section. This section is completed by the Graduate Research Director as needed.
In the top section of this form, the student is REQUIRED to either type in or print clearly: 1. the student’s name (including middle initial), 2. social security or social insurance number, 3. the graduate program (graduate program codes are in the boxed area of the form), 4. whether the student plans to complete a (T)hesis or a (P)roject, 5. the research Title. The title for this form is REQUIRED TO MATCH EXACTLY the title on the final Certification of Approval of All Graduate Non-Course Requirements for Graduation Form (green sheet).
• After completing the top section of this form, students should attach a photocopy of the previously approved Approval of Graduate Research Proposal form and a copy of the Letter of Approval from the D’Youville College IRB, and submit these materials to the student’s Graduate Research Director. This allows the student’s Graduate Research Director to be certain that the student has completed previous steps necessary for submission of the Approval of Graduate Research.
55
Instructions for Completing Graduate Research Forms:
Step 4: Approval of Graduate Research Form:
The second section of this form includes spaces for a description of any recommendations required by the Graduate Research Director prior to final approval of the research. This section may be left blank if the student’s research proposal has been fully approved by the Graduate Research Director.
• NOTE: Forms that indicate that the student’s graduate research was “Not Approved” or “Approved with Recommendations” will require completion of the section entitled “RECOMMENDATIONS OF DIRECTOR/COMMITTEE:’, and subsequent completion of the line indicating the “Date Recommendations Approved”.
56
Instructions for Completing Graduate Research Forms:
Step 4: Approval of Graduate Research Form:
The third section of this form includes spaces includes the action and action date of the Graduate Research Director or Committee as well as the required signatures of faculty and student.
• For Programs that do not require a Project or Thesis defense: 1. the Graduate Research Director check-marks the APPROVED line under DIRECTOR/COMMITTEE ACTION, fills in the approval date just below, and 2. signs on the Research Director’s line, 3. the student signs under Student’s Signature.
• For Programs that require a Project or Thesis defense: 1. the Graduate Research Director check-marks one of the three options under the DIRECTOR/ COMMITTEE ACTION. 2. the Graduate Research Director fills in the DIRECTOR/COMMITTEE ACTION date just below, 3. the Graduate Research Director signs on the Research Director’s line, 4. other Committee Members sign (if applicable) 5. the student signs under Student’s Signature.
The fourth section is optional, providing the final approval date of the student’s research if it required recommendations listed in the second section. This section is completed by the Graduate Research Director as needed.
• For forms that indicate that the student’s graduate research was either “Not Approved” or “Approved with Recommendations”, the line indicating the “Date Recommendations Approved” must be dated and signed by the Research Director of the Project or Thesis.
Steps to be completed before submitting the Approval of Graduate Research to the Graduate Office: 1. the student completes the top section of the form, 2. the student attaches a photocopy of the Approval of Graduate Research Proposal form and a photocopy of the Letter of Approval from the IRB,
57
Instructions for Completing Graduate Research Forms:
Step 4: Approval of Graduate Research Form:
3. the student obtains ALL appropriate signatures and dates on the form, 4. the student submits the form to the Program Graduate Director, 5. the Program Graduate Director reviews the form to ensure that it is complete, then separates the forms. The top (or original) copy goes to the student’s file, one copy is sent to the Graduate Office, and the bottom copy is returned to the student.
THE GRADUATE OFFICE WILL ONLY ACCEPT THESE FORMS FOR THOSE STUDENTS WITH Approval of Graduate Research Proposal forms and Letters of IRB Approval ON FILE AT THE GRADUATE OFFICE.
58
Instructions for Completing Graduate Research Forms:
Step 5: Certification of Approval of All Graduate Non-Course Requirements for Graduation Form:
Form 4 (green): Certification of Approval of All Graduate Non-Course Requirements for Graduation: This form includes six sections: • The top section is to be completed by the student. • The second section REQUIRES the signature of the Program Graduate Director upon completion of the student’s presentation of the Project or Thesis on Presentation Day. • The third section is for Nursing students only, and REQUIRES the signature of the Program Graduate Director upon completion of the student’s Publishable Paper. • The fourth section is for Project students only, and REQUIRES the signature of the Graduate Research Director upon completion of the student’s Project. • The fifth section is for Thesis students only, and REQUIRES the signatures of the Graduate Studies Outside Reader for APA and College Format Clearance, and the Graduate Studies Secretary for UMI Microfilm and Binding Approval. • The sixth section is for ALL students, and REQUIRES the signature of the Associate Dean for Graduate Studies, certifying that students have completed ALL of their Graduate Non-Course Requirements for Graduation.
In the top section of this form, the student is REQUIRED to either type in or print clearly: 1. the student’s name (including middle initial), 2. social security or social insurance number, 3. the graduate program (graduate program codes are in the boxed area of the form), 4. whether the student plans to complete a (T)hesis or a (P)roject, 5. the research Title. The title for this form is REQUIRED TO MATCH EXACTLY the title on the student’s final Project or Thesis.
• After completing the top section of this form, students should attach a photocopy of the previously approved Approval of Graduate Research form and a copy of the Letter of Approval from the D’Youville College IRB, and submit these materials to the student’s Graduate Research Director. This
59
Instructions for Completing Graduate Research Forms:
Step 5: Certification of Approval of All Graduate Non-Course Requirements for Graduation Form:
allows the student’s Graduate Research Director to be certain that the student has completed previous steps necessary for submission of the Certification of Approval of All Graduate Non-Course Requirements for Graduation.
The second section of this form REQUIRES the signature of the Program Graduate Director upon completion of the student’s presentation of the Project or Thesis on Presentation Day.
• NOTE: Faculty who have observed the student present his or her research on Presentation Day may sign in this section of the form, but their signature must be initialed by the Program Graduate Director.
60
Instructions for Completing Graduate Research Forms:
Step 5: Certification of Approval of All Graduate Non-Course Requirements for Graduation Form:
The third section of this form is required of Nursing students only, and REQUIRES the signature of the Program Graduate Director of Nursing and date of completion of the student’s Publishable Paper.
The fourth section is for Project students only, and REQUIRES the signature of the Graduate Research Director and date of completion of the student’s Project.
The fifth section is for Thesis students only, and REQUIRES the signatures of the Graduate Studies Outside Reader and date of approval for APA and College Format, and the Graduate Studies Secretary and date of approval for UMI Microfilm and Binding.
The sixth section is for ALL students, and REQUIRES the signature of the Associate Dean for Graduate Studies and date of certification that students have completed ALL of their Graduate Non-Course Requirements for Graduation.
Upon completion of all required signatures on this form, the Associate Dean for Graduate Studies will separate these forms, and forward the top copy to the Registrar for graduation clearance. The second copy will be kept in the Graduate Office student file, and the third copy will be sent to the Program Graduate Director.
THE GRADUATE OFFICE WILL ONLY ACCEPT THESE FORMS FOR THOSE STUDENTS WITH Approval of Graduate Research forms and Letters of IRB Approval ON FILE AT THE GRADUATE OFFICE.
61
Appendix B
Thesis Manuscript Sample Pages
62
63
Short Title
i
TITLE OF THESIS
CENTERED IN CAPS AND DOUBLE-SPACED
By
[Full First Name Middle Initial. Last Name]
A thesis submitted to the Faculty of D'Youville College School of [Name of School] in partial fulfillment of the requirements for the degree of
Master of Science
in
[Program Title]
Buffalo, NY
[Month Day, Year]
64
Short Title
*** SAMPLE THESIS TITLE PAGE ***
65
Short Title
ii
Copyright (c) 2002 by [Full First Name Middle Initial. Last Name]. All rights reserved. No part of this thesis may be copied or reproduced in any form or by any means without written permission of [Full First Name Middle Initial. Last Name].
66
Short Title
*** SAMPLE COPYRIGHT PAGE ***
67
Short Title
iii
THESIS APPROVAL
Thesis Committee Chairperson
Name:
______
____
Discipline:
______
_
Committee Members
Name:
______
____
68
Short Title
Discipline:
______
_
Name:
______
____
Discipline:
______
_
Thesis defended
on
[Month Day, Year]
69
Short Title
*** SAMPLE THESIS APPROVAL PAGE ***
70
Short Title
iv
Abstract
This study was designed to determine the ability of individuals with chronic pain to return to occupational role. Functional gain, discharge FIMTM
Instrument score, marital status, gender, and age were factors that were considered to affect return to occupational role. Kielhofner’s model of human occupation provided the conceptual framework within which return to occupational role was studied. Data on 66 individuals with chronic pain was analyzed using logistic regression. The results indicated that age, gender, functional gain, and discharge FIM instrument scores were not significant predictors for return to occupational role. However, marital status was found to be statistically significant to predict return to occupational role for individuals with chronic pain.
71
Short Title
*** SAMPLE THESIS ABSTRACT PAGE ***
72
Short Title
v
Acknowledgment
Inclusion of an acknowledgment page is optional. The student should seek guidance from the thesis director on whether to include the page in the final thesis manuscript. If it is included, it is numbered as page roman numeral v, each paragraph is indented five spaces (1/2”), and the text is double-spaced. This page is placed just after the Abstract and just before the
Table of Contents.
73
Short Title
*** SAMPLE THESIS ACKNOWLEDGMENT PAGE ***
74
Short Title
vi
Table of Contents
List of Tables ...... viii List of Figures ...... ix List of Appendixes ...... x
Chapter
I. INTRODUCTION...... 1
Purpose ...... 3 Statement of Problem ...... 3 Conceptual Framework ...... 3 Literature Synopsis ...... 8 Significance and Justification ...... 10 Assumptions ...... 11 Hypotheses ...... 12 Definitions of Terms ...... 13 Variables ...... 15 Limitations ...... 16 Summary ...... 16
II. REVIEW OF THE LITERATURE ...... 18
Physiology of Kinesthetic Receptors ...... 18 Approaches in Measuring Kinesthesia ...... 21 Kinesthetic Sensitivity Test ...... 21 The Rod Push ...... 26 Kinesthesiometer ...... 28 Problems in Measurement of Kinesthesia ...... 31 Relationship to Motor Behavior ...... 39
75
Short Title
Summary ...... 43
*** SAMPLE TABLE OF CONTENTS, FIRST PAGE ***
76
Short Title
vii
III. PROCEDURES ...... 44
Introduction ...... 44 Setting ...... 44 Population and Sample ...... 44 Data Collection Methods ...... 45 Human Rights Protection ...... 48 Tools ...... 49 Treatment of Data ...... 53 Summary ...... 54
IV. RESULTS ...... 55
Introduction ...... 55 Description of the Sample ...... 55 Hypotheses ...... 57 Tools ...... 66 Serendipitous Findings ...... 67 Summary ...... 69
V. DISCUSSION ...... 70
Summary ...... 70 Conclusions ...... 71 Relationship of the Results to the Conceptual Framework ..... 73 Relationship of the Results to the Literature ...... 75 Relationship of the Results to the Hypothesis ...... 79 Relationship of the Results to the Variables ...... 81 Study Design and Data Collection Methods ...... 83
77
Short Title
Tools and Instruments Used ...... 87 Statistical and Data Analysis Methods ...... 88 Implications for Practice ...... 93 Implications for Management ...... 97 Implications for Education ...... 103 Recommendations for Future Research ...... 108
References ...... 111
Appendixes ...... 123
*** SAMPLE TABLE OF CONTENTS, SECOND PAGE ***
78
Short Title
viii
List of Tables
Table
1. Demographic Description of the Sample (N = 56) ...... 56
2. Means and Standard Deviations for the Angles of Shoulder Flexion Achieved Under Kinesthetic Control at Each Standard Angle by Body Side (N = 56) ...... 58
3. The Main Effects of Gender and Handedness, and the Interaction of Gender by Handedness at the 45o Standard Angle on the Right Side of the Body (n = 47) ...... 61
4. Means and Standard Deviations for the Angle Differences Formed Between the Angle Achieved Under Kinesthetic Control and the Standard Angle Set by the Examiner (n = 47) ...... 65
79
Short Title
*** SAMPLE LIST OF TABLES PAGE ***
80
Short Title
ix
List of Figures
Figure
1. The Senses, Integration of Their Inputs, and Their End Products .... 5
2. Gender Differences for Normative Data Involving Kinesthetic Perception on a Sample of Nondisabled Children ...... 62
3. Means of the Angles of Shoulder Flexion Achieved Under Kinesthetic Control by Gender at the 45o Standard Angle ...... 64
81
Short Title
*** SAMPLE LIST OF FIGURES PAGE ***
82
Short Title
x
List of Appendixes
Appendix
A IRB Full Approval Letter ...... 123
B Parental Consent Form ...... 125
C Subject Assent Form ...... 127
D Instructions for Student Screening ...... 129
E Student Screening ...... 132
F Protocol for Test Administration ...... 134
G Scoring Form ...... 145
H Diagram of Endstop ...... 147
83
Short Title
*** SAMPLE LIST OF APPENDIXES PAGE ***
84
Short Title
1
CHAPTER I
INTRODUCTION
Kinesthesia simply stated is to perceive motion. This may seem to be a basic concept, yet kinesthesia is an important sensory systems component that, through integration, is used by the individual to move with accurate, fluid, and efficient motion in the environment. In everyday life, individuals perform gross and fine motor movements, such as getting up from the floor, dressing, writing while copying from the board, and typing. Purposeful efforts to visually attend to the entire movement interfere with the smooth flow of the movement.
Therefore, individuals rely on kinesthetic information to monitor these movements. Efficiency of motor performance is dependent on the physical ability to control muscle movements. It is also dependent upon the integrity of the afferent kinesthetic input from muscles and
85
Short Title joint receptors, generated by active and passive movements that guide the position, velocity, and direction of movements.
It is clinically important for pediatric occupational therapists to differentiate possible sensory deficits, such as a deficit in kinesthesia,
*** SAMPLE CHAPTER TITLE PAGE ***
86
Short Title
3
Laszlo's (1981) vertical ramp estimations, Ayres' (1978) Southern
California Sensory Integration and Praxis Test, and the
Kinesthesiometer, each of which have inherent problems with reliability and validity, availability, or practicality for use in a clinical setting.
Statement of Purpose
The purpose of this research was to develop norms for kinesthetic perception for a nondisabled sample of children in a clinically efficient manner.
Conceptual Framework
This research was based on the work of Ayres (1979) in sensory integration. As shown in Figure 1, sensory integration is a hierarchical process in which each stage of sensation integrates the lower levels and promotes adaptive motor responses and adaptation to the environment. In this developmental process, kinesthetic input can be represented as one of the sensory systems along with the auditory, vestibular, proprioceptive, tactile, and visual systems which provide sensory input into the central nervous system (CNS). Kinesthetic
87
Short Title perception can be represented at Level Three (see Figure 1) as the interactions of kinesthetic sensitivity, proprioception, and body percept.
The organization of perceptual motor development in a developmentally arranged sequence provides a framework for explaining how problems in
*** SAMPLE BODY OF TEXT PAGE ***
88
Short Title
13
SAMPLE STYLE 1:
Definition of Terms
The terms in the research questions were defined theoretically and operationally.
Age
Theoretical definition: the number of years a person has been living since birth. Operational definition: the student's age upon entrance into the nursing program as reported in item 8 on the data gathering tool.
SAMPLE STYLE 2:
Definition of Terms
The terms in the research questions were defined theoretically and operationally.
1. Age--the number of years a person has been living since birth. Operationally defined as the student's age upon entrance into the nursing program as reported in item 8 on the data gathering tool.
89
Short Title
*** SAMPLE DEFINITIONS OF TERMS FORMATS ***
90
Short Title
65
Table 3
Descriptive Statistics on FIMTM Instrument Item Scores at Admission for Subjects
Who Returned or Did Not Return to Role Following a Traumatic SCI Resulting in
Tetraplegia (N = 250)
Return to Role n M SD Min Max
Eating
Did Not Return 197 2.75 1.98 1 7
Returned 53 3.66 2.06 1 7
Grooming
Did Not Return 197 2.34 1.63 1 7
Returned 53 3.13 1.90 1 7
91
Short Title
*** SAMPLE TABLE PAGES***
92
Short Title
66
Return to Role n M SD Min Max
Bathing
Did Not Return 197 1.73 1.24 1 7
Returned 53 2.43 1.92 1 7
Dressing Upper Body
Did Not Return 197 2.01 1.47 1 7
Returned 53 2.77 1.88 1 7
93
Short Title
*** SAMPLE TABLE PAGES***
94
Short Title
111
References
Canarie, Inc. (1997, September 27). Towards a Canadian health IWAY:
Vision, opportunities and future steps. Retrieved November 8, 2000,
from
http://www.canarie.ca/press/publications/pdf/health/healthvision.doc.
Kielhofner, G. (1980a). A model of human occupation, Part 2. Ontogenesis
from the perspective of temporal adaptation. American Journal of
Occupational Therapy, 34, 657-658.
Kielhofner, G. (1980b). A model of human occupation, Part 3. Benign and
vicious cycles. American Journal of Occupational Therapy, 34, 731-
737.
Kromer, E. (1993). A descriptive study of the factors affecting postpartum
adolescent contraceptive use from a Roy framework. Unpublished
master's thesis, D'Youville College, Buffalo, NY.
Kolb, D. (1984). Experience as the source of learning. Englewood Cliffs,
NJ: Prentice-Hall.
95
Short Title
Lewis, D. J., Saydak, S. J., Mierzwa, I. P., & Robinson, J. A. (1989).
Gaming: A teaching strategy for adult learners. Journal of Continuing
Education in Nursing, 20(2), 80-84.
*** SAMPLE REFERENCE PAGE ***
96
Short Title
112
Massaro, D. (1992). Broadening the domain of the fuzzy logical model of
perception. In H. Pick, Jr., P. van den Broek, & D. Knill (Eds.),
Cognition: Conceptual and methodological issues (pp. 51-84).
Washington, DC: American Psychological Association.
Merbitz, C., Morris, J., & Grip, J. (1989). Ordinal scales and foundations of
misinference. Archives of Physical Medicine Rehabilitation, 70, 308-
312.
Montgomery, D., & Amos, R. (1991). Nutrition information needs during
cardiac rehabilitation: Perceptions of the cardiac patient and spouse.
Journal of the American Dietetic Association, 91, 1078-1083.
Palazatti, A. (1993, March 14). Buffalo infant death rate tops all cities in
state. The Buffalo News, pp. 1, 10.
NOTE: FOR REFERENCING OF ELECTRONIC MEDIA,
SEE PP. 268-281 OF THE APA MANUAL.
97
Short Title
*** SAMPLE REFERENCE PAGE ***
98
Short Title
123
Appendix A
IRB Full Approval Letter
99
Short Title
*** SAMPLE APPENDIX DIVIDER PAGE ***
100
Short Title
124
TO: [Student Name]
FROM: [Director/Coordinator Name] Institutional Review Board
DATE: September 1, 2000
SUBJECT: IRB FULL APPROVAL
I am pleased to inform you that your application to the D'Youville College Institutional Review Board entitled: “[Title of Graduate Research]” has been granted FULL APPROVAL with respect to the protection of human subjects. This means that you may now begin your research unless you must first apply to the IRB at the institution where you plan to conduct the research.
Please note that you are required to report back to this IRB for further review of your research should any of the following occur:
1. a major change in the method of data collection 2. unanticipated adverse effects on the human subjects 3. unanticipated difficulties in obtaining informed consent or maintaining confidentiality 4. the research has not been completed one year from the date of this letter
Congratulations and good luck on your research! jg cc: Director of Graduate Studies [Name of Student’s Graduate Research Director] file
101
Short Title
How to Get Your IRB Letter into Your Thesis
1. In your thesis, put a page break after the Appendix divider page for your
IRB Approval Letter. Print that page.
2. Take your original approval letter to a copy machine and copy it at 75%
size. You are reducing the letter to 75% of its original size.
3. Position the reduced letter on the blank, pre-printed page from step 1 so
that the header shows and the margins are correct. Watch especially that the
left margin is 2 inches.
4. Make a copy of the blended pages (the blank, pre-printed page with 75%
approval letter properly placed on it).
5. Insert the copy made in step 4 into your thesis.
Header
72
D’YOUVILLE COLLEGE
TO: [Student Name]
FROM: [Director/Coordinator Name] Institutional Review Board
DATE: September 1, 2000
SUBJECT: IRB FULL APPROVAL
I am pleased to inform you that your application to the D'Youville College Institutional Review Board entitled: "[Title of Graduate Research]" has been granted FULL APPROVAL with respect to the protection of human subjects. This means that you may now begin your research unless you must first apply to the IRB at the institution where you plan to conduct the research.
Please note that you are required to report back to this IRB for further review of your research should any of the following occur: How to Get Your IRB Letter into Your Thesis
This same process works for any diagrams, graphs, printed materials, and/or pictures that go into your thesis text.
PROJECT HANDBOOK
D’YOUVILLE COLLEGE 2002-2003
i
TABLE OF CONTENTS
General Steps for Completing the Project...... 1 Completion of the Project – Project Presentation/Defense...... 8 The Project Committee...... 3 Written Parts of the Project ...... 8 Committee Composition...... 3 Format for the Review of the Literature ...... 8 Selection of the Project Committee ...... 3 The Project Defense...... 9 Changes in Committee Membership...... 3 Approval to Defend ...... 9 Responsibilities of the Committee...... 4 Scheduling ...... 9 Project Director...... 4 Posting ...... 9 Project Committee Members ...... 4 The Defense...... 9 Student Responsibilities ...... 4 Approval of the Project...... 9 Filing the Project Defense Form...... 9 The Project Proposal and Presentation...... 5 Beginning the Process ...... 5 Project Presentation Day ...... 10 Proposal Formats...... 5 Approval to Present ...... 5 Filing the Certification of Approval of All Scheduling...... 5 Graduate Non-Course Requirements for Posting...... 5 Graduation (Green Sheet)...... 10 The Presentation...... 5 Review Criteria...... 6 Appendix A Project Processing Forms and Approval of the Project Proposal ...... 6 Instructions for Their Completion ...... 11 Filing the Project Proposal Form...... 6 Appendix B IRB Full Approval Letter...... 25 Human Subjects Approval ...... 7 Institutional Review Board...... 7 Agency Approval...... 7
1
GENERAL STEPS FOR COMPLETING THE PROJECT
In general, the steps for completing the 3. Depending upon your program’s Project are as follows: requirements, you may be required to contact one or more additional Project 1. After developing ideas from the committee member(s). Approach one beginning of the program and during or more additional certified graduate GRA 600--Theory Development and/or members and elicit their willingness to GRA 601--Research Methods, finalize work with you as a member of your a Project topic at the start of the Project committee. Obtain one or more I course. additional committee member’s signatures on the Approval of Graduate 2. Approach a certified graduate faculty Research Topic (AGRT) form. Date member in your program who you and sign the form yourself as well. would like to serve as your Project Make sure the top two sections of this director. Discuss ideas with him or her, form are now completed with all ask if he or she is willing to serve as requested information, signatures, and your director, and come to agreement date. on your Project topic. Complete the top section of the yellow Approval of 4. Submit the yellow AGRT form to the Graduate Research Topic (AGRT) graduate director of your program for form and obtain the Project director's his or her signature of approval. This signature. See sample form in form must be approved before work on Appendix A. the Project can begin. The Graduate Studies Office (GSO) must be notified if any changes to the committee composition are made.
5. Submit the original AGRT form to your graduate director. The graduate director will send one copy to the GSO, keep one copy, and send one copy to you for your records.
6. Depending upon your program, you may be required to present a Project proposal in class or in front of your committee according to the guidelines in this handbook and the Project guidelines provided by your program.
2
7. Complete all modifications, corrections, and additions to the Project proposal as recommended by your Project director. Once approved by your Project director, follow departmental guidelines regarding submission of a copy of the final fully approved Project proposal to the graduate director of your program.
8. Obtain a fully approved goldenrod Approval of Graduate Research Proposal (AGRP) form (see Appendix A), including all necessary signatures and dates on the form. Send the top copy to the graduate director of your program. Keep the second copy for your own records, and submit the bottom copy to the GSO. This form must be signed prior to submitting an application to the D'Youville College Institutional Review Board (IRB).
9. Send letters to copyright holders requesting permission to reproduce any copywritten material (figures, illustrations, tests, and so on) you wish to include in the Project. It may take up to 6 months to receive written approval. Approval letters must be included in the Project appendix. The GSO will not accept any Project without needed copyright permission letters included in the appendix.
3
10. Register for Project II course according 16. Check on the status of copyright to guidelines established for your permission letters. See step 9 described graduate program. earlier.
11. Submit necessary material to the Institutional Review Board (IRB) to obtain approval to begin your Project. See the IRB Manual for completing IRB applications and obtaining IRB approval.
12. Save the original approval letter received from the IRB. This must be included as an appendix in the Project.
13. Submit necessary material to any agencies and their IRB Committees as needed for approval of data collection only after obtaining approval from the D'Youville College IRB.
14. Meet with the Registrar to clear for graduation at least 6 months prior to the expected graduation date.
15. Conduct the steps for completing your Project (e.g., data collection and analysis, interviews, identification of website information, development of a manual), and submit the results to your Project director. Follow the guidelines of your program with regard to a Project defense or presentation. Obtain a fully approved blue Approval of Completed Graduate Research (ACGR) form (see Appendix A), including all necessary signatures and dates on the form.
4
17. Make sure your Project director gives final approval to all changes made according to the committee recommendations, and signs the bottom of the blue ACGR form.
18. Send the top copy of the blue ACGR form to the graduate director of your program. Keep the second copy for your own records, and submit the bottom copy to the GSO.
19. Submit the Project in final form to the GSO You should plan to submit the Project to the GSO at least 2 to 3 weeks prior to the deadline for Green Sheets. You must attach one copy of each copyright permission letter included in the Project appendix.
20. Complete the Project Presentation Day requirement.
21. In addition to the final Project, a green Certification of Approval of All Graduate Non-Course Requirements for Graduation (Green Sheet) must be submitted to the GSO for approval. Complete the top section of the Green Sheet by printing the requested information and obtain the necessary signatures on the Green Sheet. See sample form in Appendix A.
22. Fully completed green sheets are due in the GSO no later than noon, two working days prior to the due date for course grades for graduating students set by the Registrar for May, August, and December graduations, respectively.
5
THE PROJECT COMMITTEE
COMMITTEE COMPOSITION Members to serve as Project director or All programs require a Project director committee member(s). Final approval, from the student's program who must be a however, rests with the director of the Certified Graduate Member. Second or student's graduate program. third committee members may be required A list of faculty members available for by some programs. Follow your individual Project committees with a description of program’s guidelines regarding second or their interests and expertise is distributed to third committee members on Project students in the Project I course. The list is committees. Some programs require that also posted on the Graduate Studies additional committee member(s) come bulletin board outside HSB 111. from the student's program or from outside The yellow Approval of Graduate the student's program. Research Topic form should be completed, Some programs require a Project dated, and signed by the student; signed by committee and a proposal presentation or all required members of the Project defense. Follow your program’s guidelines committee; and submitted for filing as regarding the meetings of the Project described earlier. See sample form in committee. Generally, Project committees Appendix A. Actual forms may be will meet with the student at least twice obtained from the Graduate Studies Office during the course of study. The first in HSB 111. meeting will occur at the presentation or defense of the Project proposal, and the CHANGES IN second at the final presentation or defense COMMITTEE MEMBERSHIP of the completed Project. Other meetings of If a student wishes to change a the committee may be called by the Project committee member or the Project director director, a member of the Project prior to the completion of the Project committee, or the student. Holding an proposal, the student should consult with informal committee meeting early in the the Project director, graduate program proposal development stage may be fruitful director, or department chair. The student in complex Projects, or in cases where it is may be referred back to the committee unknown whether the committee members member and/or Project director for further agree with the student's planned discussion. If difficulties are not resolved, methodology for completing the Project. the student should complete a revised yellow Approval of Graduate Research Topic form after discussion with all SELECTION OF involved parties, and resubmit the form THE PROJECT COMMITTEE following procedures described earlier in It is the student's responsibility to ask this section. faculty who are Certified Graduate
6
If a student wishes to change a committee member or Project director after the completion of the Project proposal, the student should follow the above procedures. The student may need to redo the proposal with the new Project committee if required by the Project director. It is important to note that some programs have differing Project directors; one director for Project I, and one director for Project II. If so, students are not required to follow the above procedures. If the Project director or committee member is unable to continue on the Project committee, the director will notify the student and the student's graduate program director or department chair of his or her resignation. The student should then follow the above procedures for identifying a new director and/or forming a new committee.
7
RESPONSIBILITIES OF THE 10. Post on the program's Graduate COMMITTEE Bulletin Board the date and time of the Project proposal presentation or defense, as Project Director: well as the Project presentation or defense. 1. Assist the student in exploration of 11. Monitor the filing of copies of all the problem. Project-related forms and the fully approved 2. Be available for consultation and Project proposal and final Project in the student's department file, and 1 copy of the completed preside at Project proposal and completed Project to the GSO. Project meetings. 3. Read and/or review student materials and respond in a timely fashion. 4. Approve all drafts of the students' written material prior to being forwarded to the committee member and to the IRB, guide the student to appropriate resources, and assure a written proposal and final Project that are grammatically correct, have acceptable composition, and are consistent with the appropriate style format. 5. Suggest consultation with a committee member or other persons who might provide specialized assistance in developing the Project proposal or Project. 6. For programs with Project committees, the Project director will receive suggestions for major alterations from the committee member and give guidance to the student based on the committee's consensus. 7. Maintain a folder documenting Project advisement sessions. 8. Advise the student of readiness to present or defend the Project proposal, seek IRB approval, present or defend the finished Project, and receive final approval of the Project after incorporating all committee recommendations. 9. Assist the student in following all guidelines for completing the Project proposal, IRB application, and Project.
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Project Committee Members: 5. Follow all program and Project 1. Agree to serve on the Project Handbook guidelines with regard to filing committee based on expertise and interest of all GSO forms. in the proposed research, and program’s guidelines. 2. Be available for consultation and Project committee meetings. 3. Read and/or review student materials and respond in a timely fashion. 4. Discuss suggestions for major alterations with the Project director. 5. Evaluate the student's presentation of the proposal and presentation or defense of the completed Project and indicate approval by signature.
STUDENT RESPONSIBILITIES
1. Select Project director and committee member(s) as required by the student’s program, obtain agreement(s) to serve, and submit all Project-related forms, Project proposal, and Project as described earlier in this manual. All forms must be filed within 5 working days of their completion. 2. Provide the Project director (and committee member(s) as appropriate) with Project materials for review AT LEAST 5 working days before a response is expected (expanded to 10 days during the last 2 weeks of the semester). 3. Follow program guidelines with regard to scheduling times, dates, and places for all Project committee meetings, presentations, and/or defenses. 4. Follow all guidelines of the student’s program and the Graduate Council applicable to proper completion of the Project, obtaining human rights approval, and, as needed, agency approval.
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THE PROJECT PROPOSAL AND PRESENTATION
BEGINNING THE PROCESS content. While only three formats are The Project process begins with available for the thesis proposals, there are formulation of the Project proposal in the no such standardized formats for Projects. Project I course, where developing a The following serves only as a guideline written component of the proposal is part for the development and presentation of of the course requirements. This draft is your Project. Check with your Project evaluated by the course instructor, who is director and the graduate director of your in most cases the Project director. The program to determine which format is Project director (and the committee, where required for your Project in your program, appropriate) is identified during the course as written materials for the Project are and provides assistance to the student as required to follow one of the standardized needed. formats approved by the Graduate Council: For programs requiring a committee, APA, APTA, MLA, or Chicago style. It is the Project proposal should be carefully recommended that an abstract also be defined and developed with the Project prepared to facilitate application to the IRB director prior to the student's initial later. contacting of Project committee member(s). The student works with the director to prepare the proposal in a final form that can be presented to the Project committee. The Project proposal presentation does not occur until the Project director (and committee member(s), as required by the program) has had adequate information and time to review the proposal. At least 5 working days are needed for Project proposal reviews. At least 10 working days may be needed by committee members later in the semester. Many faculty are not available between May commencement and the beginning of the Fall semester, so any required proposal presentations will need to be scheduled accordingly.
PROPOSAL FORMATS One of the most important aspects of Projects is their flexibility in format and
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APPROVAL TO PRESENT of the Project are then open for discussion After the Project proposal has been by the committee. completed and the Project director has given his or her recommendation for At the presentation, changes in the presentation, a final copy of the Project Project may be recommended. One of the proposal is distributed by the student to purposes of the presentation is to each committee member at least 5 working strengthen the proposed Project. If changes days prior to the scheduled presentation. in the written proposal are needed, the Committee members may give feedback to committee may decide to review the the Project director regarding readiness for Project again, or have the Project director presentation of the Project proposal. review and approve the changes on behalf of the committee. SCHEDULING The student schedules the proposal presentation in consultation with the Project director (and committee member(s), where appropriate). It is the student's responsibility to ensure that those attending the presentation are provided with a final confirmed proposal presentation date, time, and location.
POSTING The date, time, topic, and student's name should be posted by the Project director on the program's graduate bulletin board prior to the scheduled Project proposal presentation.
THE PRESENTATION Each student should follow the guidelines for Project proposal presentation included in the program’s Project Handbook. General guidelines suggest that the student begin the presentation with a brief (10-15 minutes) summary of the content of the Project proposal. The summary should focus on the nature of the problem and the ways in which the problem will be addressed. All components
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REVIEW CRITERIA APPROVAL OF THE PROJECT PROPOSAL The following criteria will be used as standards of quality by which the Project The student must demonstrate the ability to proposal is reviewed in order to be respond with knowledge, competence, and confidence to questions about the proposed accepted: Project. If the program requires a committee, there 1. The problem or topic under study is must be unanimous agreement among the stated definitively. committee members that the criteria have been 2. Theoretical basis for the project is met. At the conclusion of committee questions, identified and its relationship to the the committee members meet in closed session to formulate their evaluation. The student is conceptual or theoretical base of the project notified of the committee's decision and is documented. recommendation(s) when he or she is recalled to 3. Topic is researchable. the room, usually within 10-15 minutes. 4. Feasibility of the project is substantiated. FILING THE PROJECT PROPOSAL 5. Methodology of the project is sound FORM and justified in relation to the research topic. After the Project proposal is approved 6. Analysis of the literature is in its final form, the Project Director and appropriate, meaningful, and relevant to the student (and those of committee member(s) research topic and methods. as required by the program) will sign the 7. As applicable, sites available for goldenrod Approval of Graduate Research conducting the project are identified and Proposal (AGRP) form and provide the appropriate. date of final approval. The student submits 8. If human subjects or participants are one copy of the fully approved goldenrod utilized, the availability of sufficient AGRP form to the director of the student’s subjects is identified, and all human rights graduate program, one copy to the GSO, considerations are fully considered. and keeps one copy for his or her own 9. The proposal is well-written and records. organized, and conceptually sound. 10. The proposal is mechanically This form must be fully approved and correct and consistent with APA, APTA, on file with the GSO before the student MLA or Chicago style, as approved by the may make application to the IRB. See proposal and project advisor. sample form in the appendix. Actual forms may be obtained from the GSO.
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HUMAN SUBJECTS APPROVAL –
APPLICATION TO THE INSTITUTIONAL REVIEW BOARD (IRB)
INSTITUTIONAL REVIEW BOARD
In accordance with federal guidelines to institutions conducting research involving human subjects, the Institutional Review Board (IRB) of D'Youville College was established. It is the function of this Board to assess the balance between the risks to human participants and the benefits that may be expected from proposed research. No research study of any kind by any student affiliated with D'Youville College may be initiated until the D'Youville College IRB has granted full approval for the study. The IRB Manual was developed to describe the types of human subjects review, application forms and procedures, possible IRB dispositions of applications, definitions, and examples of terms used in human subjects review applications. It also provides specific information required for informed consent forms and includes an example of an informed consent form. Consult the manual to begin preparing the IRB application. IRB Manuals and application forms are available from the GSO in HSB 111.
No research of any kind (including Projects) by any person affiliated with D'Youville College may be initiated until the D'Youville College IRB has granted a disposition of Full Approval or Approval with Recommendations. 13
AGENCY APPROVAL
When research will be conducted at locations other than the College, the researcher will generally have to receive approval from the other institution as well. In these cases, the researcher should first secure preliminary approval from the other institution to conduct the research at that location. Then the researcher should formally apply for approval through the D'Youville College IRB. Once full approval has been granted by the College, the researcher may formally apply for approval at the other institution. Often, the process of having the research reviewed first at the College facilitates a more efficient review at the other institution.
In no case may formal application to another IRB be initiated until full approval from the D'Youville College IRB has been granted!
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COMPLETION OF THE PROJECT – PROJECT PRESENTATION/DEFENSE
The following guidelines provide which format is appropriate for your general information relevant to the written Project in your program. section(s) of the Project and presentation or One of the commonalities among all defense of the Project. For more specific Projects is the written literature review. The details, students should follow their own following description of the content of the program guidelines for completion and literature review will apply to most presentation or defense of their projects. Projects. Your Project director will provide For those programs that require a assistance in determining the format of Project committee, the Project presentation your literature review if a variation is or defense does not occur until all members indicated. However, any major variation in of the committee have adequate the format of the literature review must be information and time to review the Project. approved in writing by the Associate Dean At least 5 working days are needed for for Graduate Studies and Institutional Project reviews. At least 10 working days Research. may be needed later in the semester. Many faculty are not available between May commencement and the beginning of Fall semester, so schedule Project defenses accordingly.
WRITTEN PARTS OF THE PROJECT Written components of the Project are expressed in the third person, past tense, using one the College’s acceptable formats: APA, APTA, MLA or Chicago style, as approved by the proposal and project advisor. While all Projects will have a written component, not all Project materials will conform to a standard format. One of the most important aspects of Projects is their flexibility in format and content. While only three formats are available for the thesis proposals, there are no such standardized formats for Projects. Check with your Project director and the graduate director of your program to determine
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FORMAT FOR THE permission to conduct the study at a REVIEW OF THE LITERATURE particular location such as a hospital, clinic, This section of the Project is typically school or business, should be given to the developed as a part of the Project Proposal, Project director for filing in the and contains an extensive survey of all department’s student file. The originals literature appropriate, meaningful, and should be kept by the student. relevant to the research topic and methods. It should address such areas of the Project as:
1. The problem or topic under study, 2. The theoretical or conceptual base, 3. The feasibility of the Project, 4. The methodology of the Project, including any tools, instruments, or technology used for the Project, 5. If human subjects or participants are utilized, the availability of sufficient subjects, and consideration of human rights.
All completed Projects should have appendixes that include properly formatted references and IRB-related materials. Appendixes are placed in the order in which they are first mentioned in text and may also include:
A. letters giving permission to reproduce published material or use unpublished material B. tools C. any inclusion which contributes to the strength or content of the study.
NOTE: Because of potential for violating confidentiality, the appendixes should not include any information that identifies where data were collected. Consistent with the goal of maintaining confidentiality, copies of letters giving the researcher
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THE PROJECT DEFENSE The student may invite guests to the defense. Guests may not be invited by the Not all programs at the College Project committee without the student's require a Project defense. Many permission. Guests leave the room while programs require only a presentation. committee members meet in closed session Students should check with their to formulate their evaluation. program’s graduate director to determine whether they will have a THE DEFENSE defense or presentation of their Project The student presents the Project to the at its completion. The following general committee and all components of the study guidelines provide information for are discussed. The purpose of the defense students who will be required to defend is for the student to demonstrate their completed Projects. Students understanding of the Project’s components should check their program’s Project and to present due cause for acceptance of Handbooks for more information about the Project by responding to the questions presentations or defenses. and challenges from the committee. The student may begin the defense by presenting a brief (10-15 minutes) APPROVAL TO DEFEND summary of the content of the Project. If After the Project has been completed desired, graphs and charts may be and the Project director has given his or her presented using overhead projectors, slides, recommendation for defense, a final copy or computer presentation. It is the student's of the Project is distributed to each responsibility to make arrangements for committee member. Copies should be any projection equipment needed. distributed no later than 5 working days prior to the scheduled defense (10 days APPROVAL OF THE PROJECT during the last 2 weeks of the semester). The student must demonstrate the ability to respond with knowledge, SCHEDULING competence, and confidence to the The student schedules the defense in questions and challenges of the total consultation with all committee members committee. There must be unanimous and ensures that all committee members are agreement among the committee members provided with a confirmed defense date, that the criteria have been met. time, and location. At the conclusion of the questions, the
POSTING committee members meet in closed session The date, time, topic, and student's to formulate their evaluation. The student is name are posted by the Project director on notified of the committee's decision and the program's graduate bulletin board prior recommendation(s) when he or she is to the defense. recalled to the room, usually within 10-15 minutes. Guests
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FILING THE PROJECT DEFENSE FORM After the Project is approved in its final form, the Project Director and student (and those of committee member(s) as required by the program) will sign the blue Approval of Completed Graduate Research (ACGR) form and provide the date of final approval. The student submits one copy of the fully approved blue ACGR form to the director of the student’s graduate program, one copy to the GSO, and keeps one copy for his or her own records. See sample form in the appendix. Forms may be obtained from the GSO. This form must be fully approved and on file with the GSO before the student may make application to the GSO for Certification of Approval of All Graduate Non-Course Requirements for Graduation (green sheet). Students must have a fully completed and approved green sheet on file with the GSO in order to graduate. See sample forms in the appendix. Actual forms may be obtained from the GSO.
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PROJECT PRESENTATION DAY
Project Presentation Day is a Project Presentation Days are usually requirement for all Project students. held in July, November, and April, for Students should follow the guidelines August, December, and May graduations, provided by their individual programs with respectively. This event is scheduled each regard to their readiness to present their year by the directors of the various Projects. graduate programs in consultation with the GSO. Check with your graduate director for details about presentation options, dates, times, and any written material you are required to submit in order to register for Project Presentation Day.
FILING THE CERTIFICATION OF APPROVAL OF ALL GRADUATE NON-COURSE REQUIREMENTS FOR GRADUATION (GREEN SHEET)
Students must take two final steps in goldenrod Approval of Graduate order to be approved for graduation. The Research Proposal, and blue Approval of first of these steps is to meet with the Graduate Research forms, along with a Registrar to clear for graduation at least 6 letter of approval to conduct the research months prior to the expected graduation from the D’Youville College date. Institutional Review Board (IRB). The second step is to submit to the GSO a Certification of Approval of All Graduate Non-Course Requirements for Graduation (green sheet). See sample forms in the appendix. Actual forms may be obtained from the GSO. The instructions for completing this green sheet are included in the appendix of this Handbook. The green sheet serves to notify the Registrar that the student has completed all graduate non-coursework requirements for graduation. This includes the completion and presentation of a Thesis or Project. The GSO MUST have on file fully approved copies of the yellow Approval of Graduate Research Topic, 19
Upon receiving a fully completed and signed green sheet, the GSO will review the student’s file for the above materials, and make a determination whether to approve the student for graduation. When all of the above forms are located in the student’s file in the GSO, the Associate Dean for Graduate Studies and Institutional Research signs at the bottom of this form and separate these forms. The top copy is sent to the Registrar for graduation clearance. The second copy is kept in the GSO student file, and the third copy is sent to the Program Graduate Director. Fully completed green sheets are due in the GSO no later than noon, two working days prior to the due date for course grades for graduating students set by the Registrar for May, August, and December graduations, respectively.
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Appendix A
Project Processing Forms and Instructions for Their Completion
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*** SAMPLE GRADUATE RESEARCH FORM ONLY *** 23
*** SAMPLE GRADUATE RESEARCH FORM ONLY *** 24
*** SAMPLE GRADUATE RESEARCH FORM ONLY *** 25
*** SAMPLE GRADUATE RESEARCH FORM ONLY *** 26
Instructions for Completing Graduate Research Forms:
Step 1: The Approval of Graduate Research Topic Form:
Form 1 (yellow): Approval of Graduate Research Topic: This form includes three sections: • The top section is to be completed by the student. • The middle section includes the required signatures from both faculty and student. • The bottom section form is to be completed by the Program Graduate Director.
In the top section of this form, the student is REQUIRED to either type in or print clearly: 1. the student’s name (including middle initial), 2. social security or social insurance number, 3. the graduate program (graduate program codes are in the boxed area of the form), 4. whether the student plans to complete a (T)hesis or a (P)roject, 5. a tentative Title. The title for this form is NOT required to match subsequent titles of any subsequent forms, as students may change their topics later on in the research process.
The middle section of this form includes spaces for students who are doing Graduate Research Projects (on the left side) or Theses (on the right side). Students will complete the top of the form, then submit the form to their Initial Project Director or Thesis Director for signature approval.
ONLY ONE SIDE of the middle section of this form should be completed.
Required Signatures in the Middle Section: • Students in programs that require only 1 Project Director for each student’s research will be required to obtain only one signature in the middle section of the form from the Project Director. For some programs, this signature will be that of the Initial Project Director, while for other programs it will be the signature of the Project Director who will work with the student throughout the graduate research project.
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Instructions for Completing Graduate Research Forms:
Step 1: The Approval of Graduate Research Topic Form:
• Students in programs that require Project or Thesis Committees will require additional Committee Member signatures in the middle section of the form.
When the student has obtained ALL appropriate signatures to complete the middle section of the form, the student is REQUIRED to sign the middle section of the form and record the date of the student’s signature. The student’s signature indicates that the middle section of the form has been fully completed. Students will then submit form to the program Graduate Director to complete the bottom section.
The bottom section of the form REQUIRES the signature of the Program Graduate Director and date of the signature PRIOR TO submission to the Graduate Office. When the Program Graduate Director has signed and dated the bottom of the form, the form may then be submitted to the Graduate Office.
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Instructions for Completing Graduate Research Forms:
Step 2: The Approval of Graduate Research Proposal Form:
Form 2 (goldenrod): Approval of Graduate Research Proposal: This form includes four sections: • The top section is to be completed by the student. • The second section is optional, providing a description of any recommendations required by the Graduate Research Director prior to final approval of the proposed research. • The third section includes the action and action date of the Graduate Research Director or Committee as well as the required signatures of faculty and student. • The fourth section is optional, providing the final approval date of the student’s proposed research if it required recommendations listed in the second section. This section is completed by the Graduate Research Director as needed.
In the top section of this form, the student is REQUIRED to either type in or print clearly: 1. the student’s name (including middle initial), 2. social security or social insurance number, 3. the graduate program (graduate program codes are in the boxed area of the form), 4. whether the student plans to complete a (T)hesis or a (P)roject, 5. a proposed Title. The title for this form is NOT required to match EXACTLY to the titles on previous or subsequent forms; however, it is expected that the title on this form will appropriately reflect the graduate research that is subsequently completed for the program.
• After completing the top section of this form, students should attach a photocopy of the previously approved Approval of Graduate Research Topic form, and submit these materials to the student’s Graduate Research Director. This allows the student’s Graduate Research Director to be certain that the student has completed previous steps necessary for submission of the Approval of Graduate Research Proposal.
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Instructions for Completing Graduate Research Forms:
Step 2: The Approval of Graduate Research Proposal Form:
The second section of this form includes spaces for a description of any recommendations required by the Graduate Research Director prior to final approval of the proposed research. This section may be left blank if the student’s research proposal has been fully approved by the Graduate Research Director.
• NOTE: Forms that indicate that the student’s graduate research proposal was “Not Approved” or “Approved with Recommendations” will require completion of the section entitled “RECOMMENDATIONS OF DIRECTOR/COMMITTEE:’, and subsequent completion of the line indicating the “Date Recommendations Approved”.
• NOTE: For programs requiring only 1 Project Director and no additional committee members, it is expected that the Graduate Research Director’s signature would be that of the Initial Project Director.
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Instructions for Completing Graduate Research Forms:
Step 2: The Approval of Graduate Research Proposal Form:
The third section of this form includes spaces includes the action and action date of the Graduate Research Director or Committee as well as the required signatures of faculty and student.
• For Programs that do not require a Project or Thesis Proposal defense: 1. the Graduate Research Director check-marks the APPROVED line under DIRECTOR/COMMITTEE ACTION, 2. the Graduate Research Director fills in the approval date just below, 3. the Graduate Research Director signs on the Research Director’s line, 4. the student signs under Student’s Signature.
• For Programs that require a Project or Thesis Proposal defense: 1. the Graduate Research Director check-marks one of the three options under the DIRECTOR/ COMMITTEE ACTION. 2. the Graduate Research Director fills in the DIRECTOR/COMMITTEE ACTION date just below, 3. the Graduate Research Director signs on the Research Director’s line, 4. other Committee Members sign (if applicable) 5. the student signs under Student’s Signature.
The fourth section is optional, providing the final approval date of the student’s proposed research if it required recommendations listed in the second section. This section is completed by the Graduate Research Director as needed.
• For forms that indicate that the student’s graduate research proposal was either “Not Approved” or “Approved with Recommendations”, the line indicating the “Date Recommendations Approved” must be dated and signed by the Research Director of the Project or Thesis.
Steps to be completed before submitting the Approval of Graduate Research Proposal to the Graduate Office: 1. the student completes the top section of the form, 2. the student attaches a photocopy of the Approval of Graduate Research Topic form, 3. the student obtains ALL appropriate signatures and dates on the form, - 30 - 31
Instructions for Completing Graduate Research Forms:
Step 2: The Approval of Graduate Research Proposal Form:
4. the student submits the form to the Program Graduate Director, 5. the Program Graduate Director reviews the form to ensure that it is complete, then separates the forms. The top (or original) copy goes to the student’s file, one copy is sent to the Graduate Office, and the bottom copy is returned to the student. THE GRADUATE OFFICE WILL ONLY ACCEPT THESE FORMS FOR THOSE STUDENTS WITH Approval of Graduate Research Topic FORMS ON FILE AT THE GRADUATE OFFICE.
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Instructions for Completing Graduate Research Forms:
Step 3: Application to and Full Approval from the D’Youville College Institutional Review Board (IRB):
Application to the D'Youville College Institutional Review Board (IRB): Although not included with a specific form in these instructions, it is important to note that students must apply to IRB before they continue on with their Projects or Theses.
Upon completion of the Approval of Graduate Research Proposal form, Graduate Research Directors should ensure that EVERY student completes an application to the D’Youville College Institutional Review Board (IRB). Graduate Research Directors should ensure that EVERY student also receives a letter of APPROVAL from the IRB prior to their conduct of the Projects or Theses. ALL Projects or Theses require review by the D’Youville College IRB, and require Approval from the IRB before their conduct. There are no exemptions or exceptions to this policy.
Application forms for the D'Youville College IRB are available in the Graduate Office (HSB 111). The guidelines for applications to the D’Youville College IRB are detailed in the D’Youville College Institutional Review Board Manual, also available in the Graduate Office. Graduate Research Directors are responsible for ensuring that students are made aware of the D'Youville College IRB policies, and for ensuring that students have applied for, and received letters of Approval from the D'Youville College IRB prior to the conduct of their research.
Graduate Research Directors should review the IRB application materials from the Graduate Office and the IRB Manual with their students to ensure that students are aware of what needs to be completed for the D'Youville College IRB. Graduate Research Directors are required to review the completed IRB application materials prior to their submission to the Graduate Office. No IRB materials will be accepted by the Graduate Office without a signature of approval from the student’s Graduate Research Director.
Graduate Research Directors should ensure that students have received their letters of Approval from the D'Youville College IRB prior to the conduct of their research. Copies of these letters are sent to the student’s Graduate Research Directors as well as to the students themselves. Graduate Research Directors should recognize that some IRB letters may indicate that the student has not received Approval, but instead must meet - 32 - 33
Instructions for Completing Graduate Research Forms:
Step 3: Application to and Full Approval from the D’Youville College Institutional Review Board (IRB): certain conditions prior to receiving approval to conduct their research. Graduate Research Directors should review the IRB letter with each student prior to the conduct of the student’s research to be certain that the student has received IRB Approval.
THE GRADUATE OFFICE WILL ONLY ACCEPT IRB FORMS FOR THOSE STUDENTS WITH Approval of Graduate Research Topic and Approval of Graduate Research Proposal FORMS ON FILE AT THE GRADUATE OFFICE.
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Instructions for Completing Graduate Research Forms:
Step 4: Approval of Graduate Research Form:
Form 3 (blue): Approval of Graduate Research: This form includes four sections: • The top section is to be completed by the student. • The second section is optional, providing a description of any recommendations required by the Graduate Research Director prior to final approval of the research. • The third section includes the action and action date of the Graduate Research Director or Committee as well as the required signatures of faculty and student. • The fourth section is optional, providing the final approval date of the student’s research if it required recommendations listed in the second section. This section is completed by the Graduate Research Director as needed.
In the top section of this form, the student is REQUIRED to either type in or print clearly: 1. the student’s name (including middle initial), 2. social security or social insurance number, 3. the graduate program (graduate program codes are in the boxed area of the form), 4. whether the student plans to complete a (T)hesis or a (P)roject, 5. the research Title. The title for this form is REQUIRED TO MATCH EXACTLY the title on the final Certification of Approval of All Graduate Non-Course Requirements for Graduation Form (green sheet).
• After completing the top section of this form, students should attach a photocopy of the previously approved Approval of Graduate Research Proposal form and a copy of the Letter of Approval from the D’Youville College IRB, and submit these materials to the student’s Graduate Research Director. This allows the student’s Graduate Research Director to be certain that the student has completed previous steps necessary for submission of the Approval of Graduate Research.
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Instructions for Completing Graduate Research Forms:
Step 4: Approval of Graduate Research Form:
The second section of this form includes spaces for a description of any recommendations required by the Graduate Research Director prior to final approval of the research. This section may be left blank if the student’s research proposal has been fully approved by the Graduate Research Director.
• NOTE: Forms that indicate that the student’s graduate research was “Not Approved” or “Approved with Recommendations” will require completion of the section entitled “RECOMMENDATIONS OF DIRECTOR/COMMITTEE:’, and subsequent completion of the line indicating the “Date Recommendations Approved”.
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Instructions for Completing Graduate Research Forms:
Step 4: Approval of Graduate Research Form:
The third section of this form includes spaces includes the action and action date of the Graduate Research Director or Committee as well as the required signatures of faculty and student.
• For Programs that do not require a Project or Thesis defense: 1. the Graduate Research Director check-marks the APPROVED line under DIRECTOR/COMMITTEE ACTION, fills in the approval date just below, and 2. signs on the Research Director’s line, 3. the student signs under Student’s Signature.
• For Programs that require a Project or Thesis defense: 1. the Graduate Research Director check-marks one of the three options under the DIRECTOR/ COMMITTEE ACTION. 2. the Graduate Research Director fills in the DIRECTOR/COMMITTEE ACTION date just below, 3. the Graduate Research Director signs on the Research Director’s line, 4. other Committee Members sign (if applicable) 5. the student signs under Student’s Signature.
The fourth section is optional, providing the final approval date of the student’s research if it required recommendations listed in the second section. This section is completed by the Graduate Research Director as needed.
• For forms that indicate that the student’s graduate research was either “Not Approved” or “Approved with Recommendations”, the line indicating the “Date Recommendations Approved” must be dated and signed by the Research Director of the Project or Thesis.
Steps to be completed before submitting the Approval of Graduate Research to the Graduate Office: 1. the student completes the top section of the form, 2. the student attaches a photocopy of the Approval of Graduate Research Proposal form and a photocopy of the Letter of Approval from the IRB, - 36 - 37
Instructions for Completing Graduate Research Forms:
Step 4: Approval of Graduate Research Form:
3. the student obtains ALL appropriate signatures and dates on the form, 4. the student submits the form to the Program Graduate Director, 5. the Program Graduate Director reviews the form to ensure that it is complete, then separates the forms. The top (or original) copy goes to the student’s file, one copy is sent to the Graduate Office, and the bottom copy is returned to the student.
THE GRADUATE OFFICE WILL ONLY ACCEPT THESE FORMS FOR THOSE STUDENTS WITH Approval of Graduate Research Proposal forms and Letters of IRB Approval ON FILE AT THE GRADUATE OFFICE.
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Instructions for Completing Graduate Research Forms:
Step 5: Certification of Approval of All Graduate Non-Course Requirements for Graduation Form:
Form 4 (green): Certification of Approval of All Graduate Non-Course Requirements for Graduation: This form includes six sections: • The top section is to be completed by the student. • The second section REQUIRES the signature of the Program Graduate Director upon completion of the student’s presentation of the Project or Thesis on Presentation Day. • The third section is for Nursing students only, and REQUIRES the signature of the Program Graduate Director upon completion of the student’s Publishable Paper. • The fourth section is for Project students only, and REQUIRES the signature of the Graduate Research Director upon completion of the student’s Project. • The fifth section is for Thesis students only, and REQUIRES the signatures of the Graduate Studies Outside Reader for APA and College Format Clearance, and the Graduate Studies Secretary for UMI Microfilm and Binding Approval. • The sixth section is for ALL students, and REQUIRES the signature of the Associate Dean for Graduate Studies, certifying that students have completed ALL of their Graduate Non-Course Requirements for Graduation.
In the top section of this form, the student is REQUIRED to either type in or print clearly: 6. the student’s name (including middle initial), 7. social security or social insurance number, 8. the graduate program (graduate program codes are in the boxed area of the form), 9. whether the student plans to complete a (T)hesis or a (P)roject, 10. the research Title. The title for this form is REQUIRED TO MATCH EXACTLY the title on the student’s final Project or Thesis.
• After completing the top section of this form, students should attach a photocopy of the previously approved Approval of Graduate Research form and a copy of the Letter of Approval from the D’Youville College IRB, and submit these materials to the student’s Graduate Research Director. This
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Instructions for Completing Graduate Research Forms:
Step 5: Certification of Approval of All Graduate Non-Course Requirements for Graduation Form:
allows the student’s Graduate Research Director to be certain that the student has completed previous steps necessary for submission of the Certification of Approval of All Graduate Non-Course Requirements for Graduation.
The second section of this form REQUIRES the signature of the Program Graduate Director upon completion of the student’s presentation of the Project or Thesis on Presentation Day.
• NOTE: Faculty who have observed the student present his or her research on Presentation Day may sign in this section of the form, but their signature must be initialed by the Program Graduate Director.
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Instructions for Completing Graduate Research Forms:
Step 5: Certification of Approval of All Graduate Non-Course Requirements for Graduation Form:
The third section of this form is required of Nursing students only, and REQUIRES the signature of the Program Graduate Director of Nursing and date of completion of the student’s Publishable Paper.
The fourth section is for Project students only, and REQUIRES the signature of the Graduate Research Director and date of completion of the student’s Project.
The fifth section is for Thesis students only, and REQUIRES the signatures of the Graduate Studies Outside Reader and date of approval for APA and College Format, and the Graduate Studies Secretary and date of approval for UMI Microfilm and Binding.
The sixth section is for ALL students, and REQUIRES the signature of the Associate Dean for Graduate Studies and date of certification that students have completed ALL of their Graduate Non-Course Requirements for Graduation.
Upon completion of all required signatures on this form, the Associate Dean for Graduate Studies will separate these forms, and forward the top copy to the Registrar for graduation clearance. The second copy will be kept in the Graduate Office student file, and the third copy will be sent to the Program Graduate Director.
THE GRADUATE OFFICE WILL ONLY ACCEPT THESE FORMS FOR THOSE STUDENTS WITH Approval of Graduate Research forms and Letters of IRB Approval ON FILE AT THE GRADUATE OFFICE.
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Short Title
123
Appendix B
IRB Full Approval Letter
*** SAMPLE APPENDIX DIVIDER PAGE ***
- 41 - 42
- 42 - 43
Short Title
12
TO: [Student Name]
FROM: [Director/Coordinator Name] Institutional Review Board
DATE: September 1, 2000
SUBJECT: IRB FULL APPROVAL
I am pleased to inform you that your application to the D'Youville College Institutional Review Board entitled: “[Title of Graduate Research]” has been granted FULL APPROVAL with respect to the protection of human subjects. This means that you may now begin your research unless you must first apply to the IRB at the institution where you plan to conduct the research.
Please note that you are required to report back to this IRB for further review of your research should any of the following occur:
1. a major change in the method of data collection 2. unanticipated adverse effects on the human subjects 3. unanticipated difficulties in obtaining informed consent or maintaining confidentiality 4. the research has not been completed one year from the date of this letter
Congratulations and good luck on your research! jg cc: Director of Graduate Studies [Name of Student’s Graduate Research Director] file
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1. In your thesis, put a page break after the Appendix divider page for your IRB Approval Letter. Print that page.
2. Take your original approval letter to a copy machine and copy it at 75% size. You are reducing the letter to 75% of its original size.
3. Position the reduced letter on the blank, pre-printed page from step 1 so that the header shows and the margins are correct. Watch especially that the left margin is 2 inches.
4. Make a copy of the blended pages (the blank, pre-printed page with 75% approval letter properly placed on it).
5. Insert the copy made in step 4 into your thesis.
Header
72
D’YOUVILLE COLLEGE
TO: [Student Name]
FROM: [Director/Coordinator Name] Institutional Review Board
DATE: September 1, 2000
SUBJECT: IRB FULL APPROVAL
I am pleased to inform you that your application to the D'Youville College Institutional Review Board entitled: "[Title of Graduate Research]" has been granted FULL APPROVAL with respect to the protection of human subjects. This means that you may now begin your research unless you must first apply to the IRB at the institution where you plan to conduct the research.
Please note that you are required to report back to this IRB for further review of your research should any of the following occur:
1. a major change in the method of data collection 2. unanticipated adverse effects on the human subjects 3. unanticipated difficulties in obtaining informed consent or maintaining confidentiality 4. the research has not been completed one year from the date of this letter
Congratulations and good luck on your research!
jg
cc: Director of Graduate Studies [Name of Student’s Graduate Research Director] file
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19.5 Academic Honesty Policy
Policy on Academic Honesty
D’Youville College’s Policy on Academic Integrity
Students are expected to conduct themselves with integrity and honesty while completing course requirements and complying with college academic regulations. Violations of academic integrity include, but are not limited to the following:
(a) Plagiarism: The presentation of another’s writing or another’s ideas as one’s own without citation;
(b) Cheating: The use or provision of any unauthorized assistance when completing an exam or individual assignment;
(c) Falsification: The fabrication of signatures, notes, reports, data, or other academic information; the submission of reports, papers or exams prepared by a person other than the student; this includes purchasing or selling term papers or other academic materials;
(d) Procurement: The distribution or acceptance of prior or current lab assignments, exams or other academic matter without the permission of the instructor; and,
(e) Co-submission: The submission, without permission of the instructor, of academically required materials previously or contemporaneously submitted in whole or in substantial part in another course.
A breach of academic integrity, as determined by the instructor, shall result in automatic failure of the exam, paper or course and/or inability to repeat the course, a requirement of additional academic work, or as stated in the course syllabus. Demonstrated infractions will be reported to the dean of the respective school. Appeals from the instructor’s decision shall be made first to the department chair, then
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to the dean of the respective school and possible referral to the Academic Integrity Board. Appeals from decisions of the Academic Integrity Board may be made to the Judicial Review Board of the college.
Appeals from decisions of the Judicial Review Board may be made to the college president whose decisions shall be final. Repeated infractions may result in dismissal from the college.
D’Youville College’s Procedures for Alleged Violations
of the D’Youville College Policy on Academic Integrity
1. A faculty member who has knowledge that a student has committed a violation of the policy on academic integrity may confront the student and impose a penalty of failure of the exam, paper, or course, and/or inability to repeat the course, a requirement of additional academic work, or as stated in the course syllabus. The faculty member will notify, in writing, both the director of the student’s academic major program (which may subject the student to additional program/specific sanctions) and to the dean of the respective school. If the student has no academic major, the director of the program in which the student receives academic advisement will be notified along with the dean of the respective school. Any penalty imposed is subject to review and possible referral by the respective dean to the Academic
Integrity Board for its review and possible modification. A record of the violation and penalty imposed will be a part of the student’s academic record (department and registrar’s office) while at the college.
Appeals from the instructor’s decision shall be made first to the instructor’s department chair or program head; then to the dean of the respective school; and possible referred to the Academic Integrity Board.
Appeals from decision of the Academic Integrity Board may be made to the Judicial Review Board of the college. Appeals from decisions of the Judicial Review Board may be made to the college president whose decision shall be final.
2. If the student’s records show prior offenses of the academic integrity policy, the respective dean shall refer the student’s second and subsequent alleged violations to the Academic Integrity Board (after
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action taken by appropriate faculty member). The Academic Integrity Board will meet to consider what, if any, further sanctions are in order. The board will be convened as necessary by the respective dean. The board will be comprised of the members of the Academic Policy Committee of the Faculty Council.
Members of the committee who are involved in the alleged violation will remove themselves from proceedings. Appeals from decisions of the Academic Integrity Board may be made to the Judicial
Review Board of the college. Appeals from decisions of the Judicial Review Board may be made to the college president whose decision shall be final.
3. Sanctions for second and subsequent violations of the academic integrity policy require approval by the members of the board and are as follows:
a. Dismissal from the student’s academic program with either an opportunity to reapply after one
semester or one year; or no opportunity to reapply.
b. Forced leave of absence from the college for at least one semester and no more than two
semesters. The term semester does not include summer sessions or courses. Any credit
earned at another institution while a student is on a forced leave of absence will not be
accepted by D’Youville College for any purpose.
c. Dismissal from the college with no opportunity to reapply.
The College also provides to all students the following statement on Dishonesty:
DISHONESTY
Disciplinary action may be taken against any student who falsifies or modifies any official college record.
This includes, but is not limited to, identification cards, absence excuses, parking tags, transcripts, examinations, grade reports, applications, etc.
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Knowingly giving false information concerning a material fact to an administrator and/or official body in pursuit of their official function shall also be subject to disciplinary action.
Students who violate accepted academic procedures through plagiarism or cheating will be processed through the Academic Integrity Policy (see the college catalog). Other academic irregularities may be referred to the appropriate academic dean or designee.
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19.6 Plan for Informing Faculty and Students
Information regarding the College’s policies on dishonesty and the D’Youville College Code of Conduct is distributed to each new student via the College Catalog, and is included in the College Calendar,
Resource Guide and Planner. The Calendar, Resource Planner and Guide is free, and is distributed to all new students at orientation, and to all continuing students through notification by the Office of Student
Affairs.
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20.1 Financial Viability
Attached are D’Youville College’s audited financial statements for the fiscal years 2000-01 through 2002-
03. As you can see from these financial statements the college is a financially sound institution with sufficient reserves to fund the initial set-up year of the program and to continue the program on.
Also included are comparable D’Youville College financial statements on a projected basis for the fiscal years 2003-04 and 2004-05.
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D ' Youville College
Financial Statements Years Ended May 31, 2002 and 2001 and Independent Auditors' Report
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D'YOUVILLE COLLEGE
TABLE OF CONTENTS
PAGE
INDEPENDENT AUDITORS' REPORT 1
FINANCIAL STATEMENTS OF D'YOUVILLE COLLEGE AS OF MAY 31, 2002 AND 2001 AND FOR THE YEARS THEN ENDED:
Statements of Financial Position 2 Statements of Activities 3-4 Statements of Cash Flows 5 Notes to Financial Statements 6-13
- 354 - Deloitte & Touche LLP Suite 250 Key Bank Tower 50 Fountain Plaza Buffalo, New York 14202
Tel: (716) 843-7200
Fax: (716) 856-7760
www.deloitte.com
Deloitte &Touche
INDEPENDENT AUDITORS' REPORT The Board of Trustees D'Youville College:
We have audited the accompanying statements of financial position of D'Youville College (the "College") as of May 3 1, 2002 and 200 1, and the related statements of activities and cash flows for the years then ended. These financial statements are the responsibility of the management of the College. Our responsibility is to express an opinion on these financial statements based on our audits.
We conducted our audits in accordance with auditing standards generally accepted in the United States of America. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used and significant estimates made by management, as well as evaluating the overall financial statement presentation. We believe that our audits provide a reasonable basis for our opinion.
In our opinion, such financial statements present fairly, in all material respects, the financial position of the College as of May 3 1, 2002 and 200 1, the changes in its net assets and cash flows for the years then ended in conformity with accounting principles generally accepted in the United States of America.
July 26, 2002
Deloitte Touche Tohmatsu
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D’YOUVILLE COLLEGE STATEMENTS OF FINANCIAL POSITION MAY 31, 2002 AND 2001
ASSETS 2002 2001 Cash and cash equivalents $ 7,378,347 $ 4,515,395 Student accounts receivable, net of allowance for doubtful accounts of $905,828 in 2002 and $719,723 in 2001 2,256,391 2,142,539 Other receivables 492,203 479,358 Contributions receivable, net 836,256 1,035,151 Investments 26,792,317 30,295,126 Loans to students, less allowance for doubtful accounts of $175,000 in 2002 and 2001 2,212,891 2,265,548 Property, plant and equipment, net 32,995,000 29,047,477 TOTAL ASSETS $72,963,405 $69,780,594 LIABILITIES AND NET ASSETS LIABILITIES: Accounts payable and accrued liabilities $ 1,079,835 $ 1,637,479 Deferred revenue 1,567,628 1,331,058 Student deposits 580,886 571,099 Long-term debt 16,869,535 17,055,535 U.S. Government grants refundable 2,202,836 2,119,082 Total liabilities 22,300,720 22,714,253 NET ASSETS: Unrestricted 42,875,029 39,569,936 Temporarily restricted 4,070,695 4,086,740 Permanently restricted 3,716,961 3,409,665 Total net assets 50,662,685 47,066,341 TOTAL LIABILITIES AND NET ASSETS $72,963,405 $69,780,594
See notes to financial statements.
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STATEMENT OF ACTIVITIES YEAR ENDED MAY 31, 2002
Temporarily Permanently Unrestricted Restricted Restricted Totals REVENUE: Student tuition and fees $ 26,584,566 $ 0 $ 0 $ 26,584,566 Less: Scholarships and fellowships (5,947,668) 0 0 (5,947,668) Net tuition and fees 20,636,898 0 0 20,636,898 Private gifts 2,024,026 33,793 0 2,057,819 Government grants and appropriations 2,955,035 0 0 2,955,035 Auxiliary enterprises: Theatre 323,453 0 0 323,453 Other 1,167,116 0 0 1,167,116 Investment income earned on long-term investments 370,894 71,105 0 441,999 Other 901,734 6,695 0 908,429 Net assets released from restrictions 380,652 (380,652) 0 0 TOTAL REVENUE 28,759,808 (269,059) 0 28,490,749 EXPENSES: Educational and general: Instruction 11,319,519 0 0 11,319,519 Academic support 1,886,669 0 0 1,886,669 Student services 4,395,084 0 0 4,395,084 Public services 1,007,810 0 0 1,007,810 Institutional support 4,652,583 0 0 4,652,583 Total educational and general 23,261,665 0 0 23,261,665 Auxiliary enterprises: Theatre 478,829 0 0 478,829 Other 1,438,654 0 0 1,438,654 TOTAL EXPENSES 25,179,148 0 0 25,179,148 INCREASE (DECREASE) IN NET ASSETS FROM OPERATIONS 3,580,660 (269,059) 0 3,311,601 NON-OPERATING ACTIVITIES: Changes in value of split-interest agreements 0 (76,739) 0 (76,739) Investment income 385,655 36,683 2,052 424,390 Net realized and unrealized losses (662,222) (38,904) 0 (701,126) Gifts designated for long-term investment 1,000 331,974 305,244 638,218 INCREASE (DECREASE) IN NET ASSETS FROM NONOPERATING ACTIVITIES (275,567) 253,014 307,296 284,743 TOTAL INCREASE (DECREASE) IN NET ASSETS 3,305,093 (16,045) 307,296 3,596,344 BEGINNING NET ASSETS 39,569,936 4,086,740 3,409,665 47,066,341 ENDING NET ASSETS $ 42,875,029 $ 4,070,695 $ 3,716,961 $ 50,662,685
See notes to financial statements.
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D'YOUVILLE COLLEGE STA TEMENT OF ACTIVITIES YEAR ENDED MAY 31, 2001
Temporarily Permanently Unrestricted Restricted Restricted Totals REVENUE: Student tuition and fees $ 25,596,714 $ 0 $ 0 $ 25,596,714 Less: Scholarships and fellowships (5,765,528) 0 0 (5,765,528) Net tuition and fees 19,831,186 0 0 19,831,186
Private gifts 762,772 229,191 0 991,963 Government grants and appropriations 2,622,747 0 0 2,622,747 Auxiliary enterprises: Theatre 406,563 5,016 0 411,579 Other 1,064,726 0 0 1,064,726 Investment income earned on long-term investments 393,094 64,013 0 457,107 Other 852,488 196,478 0 1,048,966 Net assets released from restrictions 190,342 (190,342) 0 0 TOTAL REVENUE 26,123,918 304,356 0 26,428,274 EXPENSES: Educational and general: Instruction 10,211,726 0 0 10,211,726 Academic support 1,797,552 0 0 1,797,552 Student services 4,048,242 0 0 4,048,242 Public services 864,399 0 0 864,399 Institutional support 4,213,686 0 0 4,213,686 Total educational and general 21,135,605 0 0 21,135,605 Auxiliary enterprises: Theatre 576,418 0 0 576,418 Other 1,646,490 0 0 1,646,490 TOTAL EXPENSES 23,358,513 0 0 23,358,513 INCREASE IN NET ASSETS FROM OPERATIONS 2,765,405 304,356 0 3,069,761 NON-OPERATfNG ACTIVITIES: Investment income 544,436 51,703 0 596,139 Net realized and unrealized gains 205,106 53,401 0 258,507 Gifts designated for long-term investment 43,453 4,412 208,865 256,730 INCREASE IN NET ASSETS FROM NONOPERATING ACTIVITIES 792,995 109,516 208,865 1,111,376 TOTAL INCREASE IN NET ASSETS 3,558,400 413,872 208,865 4,181,137 BEGINNING NET ASSETS 36,011,536 3,672,868 3,200,800 42,885,204
ENDING NET ASSETS $ 39,569,936 $ 4,086,740 $ 3,409,665 $ 47,066,341
See notes to financial statements.
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- 360 - D’YOUVILLE COLLEGE
STATEMENTS OF CASH FLOWS YEARS ENDED MAY 31, 2002 AND 2001
2002 2001 CASH FLOWS FROM OPERATING ACTIVITIES: Increase in net assets $ 3,596,344 $ 4,181,137 Adjustments to reconcile increase in net assets to net cash provided by operating activities: Depreciation 871,151 665,497 Loss on disposal of equipment 0 270,835 Net realized gains (151,261) (424,649) Net unrealized losses 852,387 166,142 Increase in student accounts receivable, net (113,852) (395,481) Decrease in contributions receivable, net 198,895 277,802 (Increase) decrease in other receivables (12,845) 85,812 (Decrease) increase in accounts payable and accrued liabilities (557,644) 841,3 78 Increase in deferred revenue 236,570 259,466 Increase in student deposits 9,787 241,093 Gifts received for long-term investment (638,218) (256,730) Net long-term investment income reinvested for long-term purposes (495,479) (660,152) Net cash provided by operating activities 3,795,835 5,252,150 CASH FLOW FROM INVESTING ACTIVITIES: Purchase of property, plant and equipment (4,818,674) (7,069,610) Proceeds from sale of investments 24,874,322 15,793,129 Purchase of investments (22,072,639) (23,616,483) Decrease in student loans receivable, net 52,657 98,195 Net cash used in investing activities (1,964,334) (14,794,769) CASH FLOWS FROM FINANCING ACTIVITIES: Principal repayments of indebtedness (186,000) (180,000) Gifts received for long-term investment 638,218 256,730 Proceeds from issuance of long-term debt 0 10,700,000 Net long-term investment income reinvested for long-term purposes 495,479 660,152 Increase in government grants refundable 83,754 96,930 Net cash provided by financing activities 1,031,451 11,533,812 Net increase in cash and cash equivalents 2,862,952 1,991,193 Cash and cash equivalents, beginning of year 4,515,395 2,524,202 Cash and cash equivalents, end of year $ 7,378,347 $ 4,515,395 Supplemental cashflow disclosure: Cash paid for interest during the year on long-term debt $ 714,527 $ 333,009
See notes to financial statements.
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- 362 - D'YOUVILLE COLLEGE
NOTES TO FINANCIAL STATEMENTS YEARS ENDED MAY 31, 2002 AND 2001
1. SUMMARY OF SIGNIFICANT ACCOUNTING POLICEES
Nature of Operations - D'Youville College (the College), is an independent, urban, coeducational institution offering liberal arts and professional programs in its undergraduate, graduate and continuing education programs. The College is primarily funded by tuition and fees charged for programs offered.
Classification of Net Assets - The College reports its net assets and changes therein in the following categories:
Unrestricted Net Assets - Unrestricted net assets represent resources that are generally available for support of the College's activities, with certain limitations, as follows:
• Uses of certain unrestricted net assets are committed through contractual agreements. Such amounts primarily consist of matching funds under student loan programs of the Federal Government, and required trustee balances under long-term debt agreements. In addition, grants and contracts are received that are for the performance of certain services or functions, that are reported in the unrestricted net asset category.
• Certain accumulated net investment gains earned on permanently restricted net assets are included within unrestricted net assets. In accordance with New York State law as interpreted by the College, the appropriation and spending of such gains, absent donor directives, is subject to a standard of prudence, as more fully discussed under the accounting policy note on investments.
• The Board of Trustees, through voluntary resolutions, has set aside portions of the College's unrestricted net assets to function as quasi-endowment and for property, plant and equipment purposes.
Temporarily Restricted Net Assets - The College reports gifts of cash and other assets as restricted support if they are received with donor stipulations that limit the use of the donated assets. When a donor restriction expires, that is, when a stipulated time restriction ends or purpose restriction is accomplished, temporarily restricted net assets are reclassified to unrestricted net assets and reported in the statement of activities as net assets released from restriction.
Permanently Restricted Net Assets - Permanently restricted net assets result from donors who stipulate that their donated resources be maintained permanently. The College is permitted to use up or expend part or all of the income and gains derived from the donated assets, restricted only by the donors' stipulations.
Cash and Cash Equivalents - Cash and cash equivalents include amounts on deposit with financial institutions, investments in money market funds, and other short-term, highly liquid securities.
Deferred Revenue and Expenses - All revenues and expenses related to summer school activities received or incurred prior to May 31 are deferred until the following fiscal year.
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- 364 - Investments - Investments are reported at their fair values. The College has interpreted New York State law to allow the spending of income and gains on investments of permanently restricted net assets, absent explicit donor stipulations that all or a portion of such income or gains be maintained in perpetuity. State law allows the College to appropriate and spend such income and gains as is prudent, considering such factors as the College's long and short-term needs, present and anticipated financial requirements, expected total return on investments, price level trends, and general economic conditions. Accordingly, such realized and unrealized gains, as well as gains and losses on temporarily restricted and unrestricted net assets, are reported as temporarily restricted or unrestricted, based upon the presence or absence of donor stipulations as to their use.
Property, Plant and Equipment - Buildings and equipment in existence at June 23, 1951 are stated at their appraised value as of that date. Additions to property, plant and equipment subsequent to June 23, 1951 are stated at cost, or, in the case of donated assets, at fair value at the date of the gift. Depreciation is calculated on the straight-line method over the estimated useful lives of the assets.
The College reports gifts of property, plant and equipment as unrestricted support unless explicit donor stipulations specify how the donated assets must be used. Gifts of long-lived assets with explicit restrictions that specify how the assets are to be used and gifts of cash or other assets that must be used to acquire long-lived assets are reported as restricted support. Absent donor stipulations about how those long-lived assets must be maintained, the College reports expirations of donor restrictions when the donated or acquired long-lived assets are placed in service.
Gifts - Gifts or contributions, including unconditional promises to give, are recognized as revenue when received. Noncash gifts are recorded at fair value at the date of donation.
Grants and Contracts - Revenue from grants and contracts is generally recognized as earned, that is, as the related costs are incurred under the grant or contract agreements. Amounts received in advance are reported as deferred revenues.
Functional Expenses - Expenses are reported in the statements of activities in categories recommended by the National Association of College and University Business Officers. The College's primary program service is instruction. Expenses reported as academic , support, student services, and auxiliary enterprises are incurred in support to this primary program service.
Tax-Exempt Status - The Internal Revenue Service (IRS) has determined and informed the College by a letter dated April 4, 1974, that the College is tax exempt on related income, under the appropriate sections of the Internal Revenue Code. Management does not believe that circumstances after the date of the IRS determination letter will affect the tax-exempt status of the College.
Nonoperating Activities - Investment income earned, and gains and losses on investments held for long-term purposes and gift revenue restricted or designated for long-terin investment or capital expenditures are considered nonoperating activities in the accompanying statement of activities. Investment income earned on long-term investments held for endowment and similar purposes is allocated to operating activities.
Fair Value of Financial Instruments - Unless otherwise stated, the fair value of assets and liabilities approximates the carrying value of such instruments.
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- 366 -
Use of Estimates - The preparation of financial statements in conformity with accounting principles generally accepted in the United States of America requires management to make estimates and assumptions that affect the reported amounts of assets and liabilities and disclosure of contingent assets and liabilities at the date of the financial statements and the reported amounts of revenues and expenses during the reported period. Actual results could differ from those estimates.
2. UNRESTRICTED NET ASSETS
Unrestricted net assets consist of the following at May 31:
2002 2001 Designated: For long-term purposes to support scholar-ships and other programs: Endowment purposes $ 6,837,623 $ 6,936,801 Acumulated appreciation resulting from long-term investments of permanently restricted net assets 1,706,571 1,990,686 For retirement of indebtedness 3,501,718 8,185,668 For required matching funds under Federal Government and other student loan programs 341,783 326,644 For property, plant and equipment purposes 10,197,602 7,679,884 For specific operating purposes 3,862,136 2,123,352 26,447,433 27,243,035 Net investment in property, plant and equipment 15,804,292 11,772,204 Undesignated 623,304 554,697 Total unrestricted net assets $42,875,029 $39,569,936
3. TEMPORARILY RESTRICTED NET ASSETS
Temporarily restricted net assets at May 31 consist of unexpended proceeds of gifts restricted for the following purposes:
2002 2001 Facilities $ 638,834 $1,332,846 Student loan fund 500,257 469,362 Grants and scholarships 2,100,149 1,790,520 Academic programs 746,779 338,436 Student services 6,644 13,289 Annuity funds 78,032 142,287 Total temporarily restricted net assets $4,070,695 $4,086,740
4. PERMANENTLY RESTRICTED NET ASSETS
Permanently restricted net assets as of May 31, 2002 and 2001 represent accumulated principal of endowment gifts, which are to be invested in perpetuity, the income and gains from which are expendable to support scholarships.
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- 368 - 5. NET ASSETS RELEASED FROM RESTRICTIONS
Net assets were released from donor restrictions during 2002 and 2001 by incurring expenses satisfying the following restricted purposes:
2002 2001 Instruction and academic support $283,554 $ 73,527 Student services 13,710 19,883 Institutional support - 27,870 Scholarships 69,356 64,270 Public service 11,029 - Auxiliary enterprises 3,003 4,792 Net assets released from restrictions $380,652 $190,342
6. CONTRIBUTIONS RECEIVABLE
Contributions are recorded as revenue upon receipt of the unconditional promise to give. Outstanding contributions receivable are discounted using the U.S. Treasury rate for investments of similar periods and are comprised of the following at May 31, 2002 and 2001:
2002 2001 Amounts receivable in less than I year $ 233,560 $ 155,000 Amounts receivable in I to 5 years 494,765 809,000 Amounts receivable in greater than 5 years 167,663 199,038 Contributions receivable 895,988 1,163,038 Less discount (59,732) (127,887)
Net contributions receivable $ 836,256 $1,035,151
Direct fundraising expense was approximately $666,000 and $446,000 for the years ended May 31, 2002 and 2001, respectively.
7. GRANTS
Pell Grant and New York State Tuition Assistance programs are not reflected in the College's financial statements. Students received $938,625 and $744,404 from the Federal Pell program in 2002 and 2001, respectively. Students received $961,695 and $1,034,708 from the New York State Tuition Assistance program in 2002 and 2001, respectively.
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- 370 -
8. INVESTMENTS
Investments are comprised of the following at May 3 1:
2002 20D1 Fair Fair Value Cost Value Cost
U.S. Government securities $ 13,543,147 $ 13,353,730 18,375,283 $ 18,174,618 Corporate stocks 7,269,828 5,919,257 6,700,004 4,489,667 Corporate bonds 1,675,096 1,658,796 1,773,846 1,776,175 Money market funds 4,304,246 4,304,247 3,445,993 3,445,993 $26,792,317 $25,236,030 $30,295,126 $27,886,453
Such investments were held for the following long-term purposes at May 3 1:
2002 2001 Fair Fair Value Cost Value Cost Operating purposes $ 39,411 $ 36,271 $ 14,195 $ 14,944 Designated purposes 300,000 300,000 300,000 300,000 Endowment and similar purposes 14,094,275 12,528,211 13,958,159 11,617,638 Property, plant and equipment purposes 11,925,750 11,938,667 15,614,821 15,545,920 Student loan purposes 432,881 432,881 407,951 407,951 $26,792,317 $25,236,030 $30,295,126 $ 27,886,453
Investments held for endowment and similar purposes having a fair value of $13,816,886 at May 31, 2002 are pooled on a market value basis, with each individual fund subscribing to or disposing of units on the basis of the market value per unit at the beginning of the calendar quarter within which the transaction takes place. The annuity investments held for endowment and similar purposes having a fair value of $277,389 at May 31, 2002 are not pooled investments.
The assets held for endowment and similar purposes, primarily the investments noted above, include accumulated principal of permanently restricted endowment gifts and other net assets designated by the Board of Trustees to function as quasi-endowment, including accumulated appreciation resulting from long-term investment of permanently restricted endowment gifts.
Spending to support programs from assets held for endowment and similar purposes is under a policy whereby all interest and dividends earned on such long-term investments are spent to support the operations of the College. Net realized and unrealized gains and losses, which are recognized as either unrestricted or temporarily restricted net assets, dependent upon donor stipulations, are also maintained within the portfolio of endowment and other assets held for similar purposes.
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The following schedules summarize the investment return and its classification in the statement of activities for the year ended May 31, 2002.
Temporarily Unrestricted Restricted Total
Interest and dividends $ 756,549 $107,788 $ 864,337 Realized gains 37,253 114,008 151,261 Unrealized losses (699,475) (152,912) (852,387) Total return on investments $ 94,327 $ 68,884 $ 163,211 Reported as follows: Investment income earned in long-term investment $ 370,894 $ 71,105 $ 441,999 Investment income 385,655 36,683 422,338 Net realized and unrealized losses (662,222) (38,904) (701,126) Total return on investments $ 94,327 $ 68,884 $ 163,211
The total interest and dividend income earned by the pooled investments, net of investment management and custodial fees, was $438,944 and $457,963 in 2002 and 2001, respectively, with an average earnings per unit of $30.09 and $32.72 in 2002 and 200 1, respectively.
9. PROPERTY, PLANT AND EQUIPMENT Property, plant and equipment consist of the following at May 31: 2002 2001 Land and improvements $ 1,292,716 $ 1,258,154 Buildings 30,449,134 22,735,804 Equipment 8,537,626 6,878,502 Library books 4,292,516 3,989,077 44,571,992 34,861,537 Accumulated depreciation (11,873,449) (11,002,299) 32,698,543 23,859,238 Construction in progress 296,457 5,188,239 Total $ 32,995,000 $ 29,047,477
Construction in progress at May 31, 2002 relates to the construction of the new athletic facility, which is expected to be placed in service in fiscal year 2003. Construction in progress at May 31, 2001 related to the construction of the new academic center, which was placed in service in fiscal year 2002.
10. LINE OF CREDIT
The College maintains an unsecured bank line of credit providing short-term borrowing availability of $500,000, with interest charged at the prime rate. The line is renewed annually on January 31. There were no borrowings made during the year and no borrowings were outstanding at May 31, 2002.
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11. LONG-TERM DEBT
U.S. Secretary of Housing and Urban Development Insured Bonds
The College issued bonds to the U.S. Secretary of Housing and Urban Development and are payable serially to 2018, with annual payments of principal and interest aggregating to approximately $76,000. The bonds are general obligations of the College, secured by first mortgages on two dormitories: Madonna Hall and Marguerite Hall, and a first lien on the net revenues of the dormitories.
Under the terms of the bond indenture, the College established repair and replacement reserve funds with the trustee into which it deposits $39,500 of dormitory net revenues annually, if available, and a bond and interest sinking fund which must be maintained at a minimum of $93,000.
Interest expense was $29,866 and $31,216 for the years ended May 31, 2002 and 2001, respectively.
Dormitory Authority of the State of New York Insured Revenue Bonds
During 1998-99 the College financed the construction of its new library with $4,575,000 of twenty-two year serial bonds and $1,050,000 of term bonds due July 1, 2021 to July 1, 2023, issued by the Dormitory Authority of the State of New York (DASNY). The bonds are general obligations of the College, secured by pledged revenues and a first mortgage on the Library.
During 2000-01, the College financed the construction of its new academic center with $3,835,000 of twenty-two year serial bonds and $6,865,000 of term bonds due July 1, 2020 to July 1, 2025, issued by the DASNY. The bonds are general obligations of the College, secured by pledged revenues and a first mortgage on the academic center.
Under the terms of each bond indenture, the College established a bond and interest sinking fund which must be maintained at a minimum of $387,500 for the 1998-99 issuance and $788,183 for the 2000-01 issuance. The College also created a building and equipment reserve fund for each issuance, neither of which had a balance requirement at May 31, 2001, but the DASNY may change this requirement at any time.
Interest expense on both bond issues was $786,106 and $361,793 for the years ended May 31, 2002 and 2001, respectively.
Scheduled principal payments due on total long-term debt is as follows:
Fiscal Year Ending May 31, Amount 2003 $ 448,000 2004 464,000 2005 481,000 2006 497,000 2007 524,000 Thereafter 14,455,535
$ 16,869,535
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12. RETIREMENT PLAN
Employees of the College are included on a voluntary basis in a defined contribution retirement plan provided by Teachers Insurance and Annuity Association. The cost of the plan to the College amounted to approximately $442,000 in 2002 and $413,000 in 2001. The College's policy is to fund retirement plan costs accrued.
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D’Youville College
Financial Statements Years Ended May 31, 2003 and 2002 and Independent Auditors' Report
- 379 - Deloitte & Touche LLP Suite 250 Key Bank Tower 50 Fountain Plaza Buffalo, New York 14202 Tel: (716) 843-7200 Fax: (716) 856-7760 www.deloitte.com Deloitte &Touche
INDEPENDENT AUDITORS' REPORT
The Board of Trustees D'Youville College:
We have audited the accompanying statements of financial position of D'Youville College (the "College") as of May 31, 2003 and 2002, and the related statements of activities and cash flows for the years then ended. These financial statements are the responsibility of the management of the College. Our responsibility is to express an opinion on these financial statements based on our audits.
We conducted our audits in accordance with auditing standards generally accepted in the United States of America. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used and significant estimates made by management, as well as evaluating the overall financial statement presentation. We believe that our audits provide a reasonable basis for our opinion.
In our opinion, such financial statements present fairly, in all material respects, the financial position of the College as of May 31, 2003 and 2002, the changes in its net assets and cash flows for the years then ended in conformity with accounting principles generally accepted in the United States of America.
August 8, 2003
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D'YOUVILLE COLLEGE
STATEMENTS OF FINANCIAL POSITION MAY 31, 2003 AND 2002
ASSETS 2003 2002 Cash and cash equivalents $ 8,015,937 $ 7,378,347 Student accounts receivable, net of allowance for doubtful accounts of $1,119,428 in 2003 and $905,828 in 2002 2,489,462 2,256,391 Other receivables 746,285 492,203 Contributions receivable, net 1,671,683 836,256 Investments 26,318,401 26,792,317 Loans to students, less allowance for doubtful accounts of $175,000 in 2003 and 2002 2,306,458 2,212,891 Property, plant and equipment, net 35,322,870 32,995,000
TOTAL ASSETS $ 76,871,096 $ 72,963,405
LIABILITIES AND NET ASSETS
LIABILITIES: Accounts payable and accrued liabilities $ 1,330,273 $ 1,079,835 Deferred revenue 1,768,943 1,567,628 Student deposits 598,326 580,886 Long-term debt 16,421,535 16,869,535 U.S. Government grants refundable 2,197,076 2,202,836 Total liabilities 22,316,153 22,300,720
NET ASSETS: Unrestricted 45,647,144 42,875,029 Temporarily restricted 5,022,592 4,070,695 Permanently restricted 3,885,207 3,716,961 Total net assets 54,554,943 50,662,685
TOTAL LIABILITIES AND NET ASSETS $ 76,871,096 $ 72,963,405
See notes to financial statements.
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STATEMENT OF ACTIVITIES YEAR ENDED MAY 31, 2003
Temporarily Permanently Unrestricted Restricted Restricted Totals
REVENUE: Student tuition and fees $28,464,613 $ - - $28,464,613 Less: Scholarships and fellowships (6,231,967) (6,231,967) Net tuition and fees 22,232,646 - - 22,232,646
Private gifts 1,105,323 968,570 2,073,893 Government grants and appropriations 3,231,401 245,600 3,477,001 Auxiliary enterprises: Theatre 489,115 489,115 Other 1,226,732 1,226,732 Investment income earned on long-term Investments 355,415 73,102 428,517 Other 1,063,956 6,930 1,070,886 Net assets released from restrictions 295,905 (293,545) (2,360) TOTALREVENUE 30,000,493 1,000,657 (2,360) 30,998,790 EXPENSES: Educational and general: Instruction 11,465,846 11,465,846 Academic support 1,829,748 1,829,748 Student services 4,946,435 4,946,435 Public services 1,608,269 1,608,269 Institutional support 4,734,857 4,734,857 Total educational and general 24,585,155 24,585,155 Auxiliary enterprises: Theatre 566,425 566,425 Other 1,915,136 1,915,136 TOTAL EXPENSES 27,066,716 - - 27,066,716 INCREASE (DECREASE) IN NET ASSETS FROM OPERATIONS 2,933,777 1,000,657 (2,360) 3,932,074 NON-OPERATING ACTIVITIES: Investment income 142,702 35,987 435 179,124 Net realized and unrealized losses (305,233) (95,843) (401,076) Gifts designated for long-term investment 869 11,096 170,171 182,136
(DECREASE) INCREASE IN NET ASSETS FROM NON-OPERATING ACTIVITIES (161,662) (48,760) 170,606 (39,816)
TOTAL INCREASE IN NET ASSETS 2,772,115 951,897 168,246 3,892,258
BEGII,ZNING NET ASSETS 42,875,029 4,070,695 3,716,961 50,662,685
ENDING NET ASSETS $45,647,144 5,022,592 $ 3,885,207 $54,554,943
See notes to financial statements.
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- 386 - D'YOUVILLE COLLEGE
STATEMENT OF ACTIVITIES YEAR ENDED MAY 31, 2002
Temporarily Permanently Unrestricted Restricted Restricted Totals
REVENUE: Student tuition and fees $26,584,566 $ - $ - $26,584,566 Less: Scholarships and fellowships (5,947,668) (5,947,668) Net tuition and fees 20,636,898 - - 20,636,898
Private gifts 2,024,026 33,793 2,057,819 Government grants and appropriations 2,955,035 2,955,035 Auxiliary enterprises: Theatre 323,453 323,453 Other 1,167,116 1,167,116 investment income earned on long-term investments 370,894 71,105 441,999 Other 901,734 6,695 908,429 Net assets released from restrictions 380,652 (380,652) TOTALREVENUE 28,759,808 (269,059) - 28,490,749
EXPENSES: Educational and general: Instruction 11,319,519 11,319,519 Academic support 1,886,669 1,886,669 Student services 4,395,084 4,395,084 Public services 1,007,810 1,007,810 Institutional support 4,652,583 4,652,583 Total educational and general 23,261,665 - - 23,261,665 Auxiliary enterprises: Theatre 478,829 478,829 Other 1,438,654 1,438,654 TOTAL EXPENSES 25,179,148 - - 25,179,148
INCREASE (DECREASE) IN NET ASSETS FROM OPERATIONS 3,580,660 (269,059) 3,311,601 NON-OPERATING ACTIVITIES: Changes in value of split-interest agreements (76,739) (76,739) Investment income 385,655 36,683 2,052 424,390 Net realized and unrealized losses (662,222) (38,904) (701126) Gifts designated for long-term investment 1,000 331,974 305,244 638,218
(DECREASE) INCREASE IN NET ASSETS FROM NON-OPERATING ACTIVITIES (275,567) 253,014 307,296 284,743
TOTAL INCREASE (DECREASE) IN NET ASSETS 3,305,093 (16,045) 307,296 3,596,344
BEGINNING NET ASSETS 39,569,936 4,086,740 3,409,665 47,066,341
ENDING NET ASSETS $42,875,029 $ 4,070,695 $ 3,716,961 $50,662,685
See notes to financial statements.
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- 388 - STATEMENTS OF CASH FLOWS YEARS ENDED MAY 31, 2003 AND 2002
2003 2002
CASH FLOWS FROM OPERATING ACTIVITIES: Increase in net assets $ 3,892,258 $ 3,596,344 Adjustments to reconcile increase in net assets to net cash provided by operating activities: Depreciation 909,996 871,151 Loss on disposal of equipment 5,772 Net realized (gains) losses 202,183 (151,261) Net unrealized losses 198,893 852,387 Gifts received for long-term investment (182,136) (638,218) Net long-term investment income reinvested for long-term purposes (252,226) (495,479) Change in assets and liabilities affecting cash flows: Increase in student acounts receivable, net (233,071) (113,852) Decrease (increase) in contributions receivable, net (835,427) 198,895 Increase in other receivables (254,082) (12,845) Increase (decrease) in accounts payable and accrued liabilities 250,438 (557,644) Increase in deferred revenue 201,315 236,570 Increase in student deposits 17,440 9,787 Net cash provided by operating activities 3,921,353 3,795,835 CASH FLOW FROM INVESTING ACTIVITIES: Purchase of property, plant and equipment (3,243,638) (4,818,674) Proceeds from sale of investments 22,854,543 24,874,322 Purchase of investments (22,781,703) (22,072,639) Decrease (increase) in student loans receivable, net (93,567) 52,657 Net cash used in investing activities (3,264,365) (1,964,334) CASH FLOWS FROM FINANCING ACTIVITIES: Principal repayments of indebtedness (448,000) (186,000) Gifts received for long-term investment 182,136 638,218 Net long-term investment income reinvested for long-term purposes 252,226 495,479 Increase (decrease) in government grants refundable (5,760) 83,754 Net cash (used in) provided by financing activities (19,398) 1,031,451 Net increase in cash and cash equivalents 637,590 2,862,952 Cash and cash equivalents, beginning of year 7,378,347 4,515,395 Cash and cash equivalents, end of year $ 8,015,937 $ 7,378,347
Supplemental cashflow disclosure: Cash paid for interest during the year on long-term debt $ 791,926 $ 714,527
See notes to financial statements.
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D'YOUVILLE COLLEGE
NOTES TO FINANCIAL STATEMENTS YEARS ENDED MAY 31, 2003 AND 2002
1. SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES
Nature of Operations-D'Youville College (the College), is an independent, urban, coeducational institution offering liberal arts and professional programs in its undergraduate, graduate and continuing education programs. The College is primarily funded by tuition and fees charged for programs offered.
Classification of Net Assets-The College reports its net assets and changes therein in the following categories:
Unrestricted Net Assets-Unrestricted net assets represent resources that are generally available for support of the College's activities, with certain limitations, as follows:
• Uses of certain unrestricted net assets are committed through contractual agreements. Such amounts primarily consist of matching funds under student loan programs of the Federal Government, and required trustee balances wider long-term debt agreements. In addition, grants and contracts are received that are for the performance of certain services or functions, that are reported in the unrestricted net asset category.
• Certain accumulated net investment gains earned on permanently restricted net assets are included within unrestricted net assets. In accordance with New York State law as interpreted by the College, the appropriation and spending of such gains, absent donor directives, is subject to a standard of prudence, as more fully discussed under the accounting policy note on investments.
• The Board of Trustees, through voluntary resolutions, has set aside portions of the College's unrestricted net assets to function as quasi-endowment and for property, plant and equipment purposes.
Temporarily Restricted Net Assets-The College reports gifts of cash and other assets as restricted support if they are received with donor stipulations that limit the use of the donated assets. When a donor restriction expires, that is, when a stipulated time restriction ends or purpose restriction is accomplished, temporarily restricted net assets are reclassified to unrestricted net assets and reported in the statement of activities as net assets released from restriction.
Permanently Restricted Net Assets-Permanently restricted net assets result from donors who stipulate that their donated resources be maintained permanently. The College is permitted to use up or expend part or all of the income and gains derived from the donated assets, restricted only by the donors' stipulations.
Cash and Cash Equivalents-Cash and cash equivalents include amounts on deposit with financial institutions, investments in money market funds, and other short-term, highly liquid securities.
Deferred Revenue and Expenses-All revenues and expenses related to summer school activities received or incurred prior to May 31 are deferred until the following fiscal year.
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Investments-Investments are reported at their fair values. The College has interpreted New York State law to allow the spending of income and gains on investments of permanently restricted net assets, absent explicit donor stipulations that all or a portion of such income or gains be -maintained in perpetuity. State law allows the College to appropriate and spend such income and gains as is prudent, considering such factors as the College's long and short-term needs, present and anticipated financial requirements, expected total return on investments, price level trends, and general economic conditions. Accordingly, such realized and unrealized gains, as well as gains and losses on temporarily restricted and unrestricted net assets, are reported as temporarily restricted or unrestricted, based upon the presence or absence of donor stipulations as to their use.
Property, Plant and Equipment-Buildings and equipment in existence at June 23, 1951 are stated at their appraised value as of that date. Additions to property, plant and equipment subsequent to June 23, 1951 are stated at cost, or, in the case of donated assets, at fair value at the date of the gift. Depreciation is calculated on the straight-line method over the estimated useful lives of the assets.
The College reports gifts of property, plant and equipment as unrestricted support unless explicit donor stipulations specify how the donated assets must be used. Gifts of long-lived assets with explicit restrictions that specify how the assets are to be used and gifts of cash or other assets that must be used to acquire long-lived assets are reported as restricted support. Absent donor stipulations about how those long-lived assets must be maintained, the College reports expirations of donor restrictions when the donated or acquired long-lived assets are placed in service.
Gifts-Gifts or contributions, including unconditional promises to give, are recognized as revenue when received. Noncash gifts are recorded at fair value at the date of donation.
Grants and Contracts-Revenue from grants and contracts is generally recognized as earned-, that is, as the related costs are incurred under the grant or contract agreements. Amounts received in advance are reported as deferred revenues.
Functional Expenses-Expenses are reported in the statements of activities in categories recommended by the National Association of College and University Business Officers. The College's primary program service is instruction. Expenses reported as academic support, student services, and auxiliary enterprises are incurred in support to this primary program service.
Tax-Exempt Status-The Internal Revenue Service (IRS) has determined and informed the College by a letter dated April 4, 1974, that the College is tax exempt on related income, under the appropriate sections of the Internal Revenue Code. Management does not believe that circumstances after the date of the IRS determination letter will affect the tax-exempt status of the College.
Non-operating Activities-Investment income earned, and gains and losses on investments held for long-term purposes and gift revenue restricted or designated for long-term investment or capital expenditures are considered non-operating activities in the accompanying statement of activities. Investment income earned on long-term investments held for endowment and similar purposes is allocated to operating activities.
Fair Value of Financial Instruments-Unless otherwise stated, the fair value of assets and liabilities approximates the carrying value of such instruments.
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Use of Estimates-The preparation of financial statements in conformity with accounting principles generally accepted in the United States of America requires management to make estimates and assumptions that affect the reported amounts of assets and liabilities and disclosure of contingent assets and liabilities at the date of the financial statements and the reported amounts of revenues and expenses during the reported period. Actual results could differ from those estimates.
2. UNRESTRICTED NET ASSETS
Unrestricted net assets consist of the following at May 31:
2003 2002 Designated: For long-term purposes to support scholarships and other programs: Endowment purposes $ 6,951,615 $ 6,837,623 Accumulated appreciation resulting from long-term investments of permanently restricted net assets 1,549,844 1,706,571 For retirement of indebtedness 2,794,415 3,501,718 For required matching funds under Federal Government and other student loan programs 352,776 341,783 For property, plant and equipment purposes 10,022,166 10,197,602 For specific operating purposes 4,683,719 3,862,136 26,354,535 26,447,433 Net investment in property, plant and equipment 18,586,308 15,804,292 Undesignated 706,301 623,304
Total unrestricted net assets $ 45,647,144 $42,875,029
3. TEMPORARILY RESTRICTED NET ASSETS
Temporarily restricted net assets at May 31 consist of unexpended proceeds of gifts restricted for the following purposes:
2003 2002
Facilities $1,721,047 $ 638,834 Student loan fund 531,970 500,257 Grants and scholarships 2,016,093 2,100,149 Academic programs 393,537 746,779 Student services 259,613 6,644 Annuity funds 100,332 78,032
Total temporarily restricted net assets $5,022,592 $4,070,695
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4. PERMANENTLY RESTRICTED NET ASSETS
Permanently restricted net assets as of May 31, 2003 and 2002 represent accumulated principal of endowment gifts, which are to be invested in perpetuity, the income and gains from which are expendable to support scholarships.
5. NET ASSETS RELEASED FROM RESTRICTIONS
Net assets were released from donor restrictions during 2003 and 2002 by incurring expenses satisfying the following restricted purposes:
2003 2002
Instruction and academic support $197,947 $283,554 Student services 2,488 13,710 Institutional support 8,785 Scholarships 79,687 69,356 Public service 6,425 11,029 Auxiliary enterprises 573 3,003 Net assets released from restrictions $295,905 $380,652
6. CONTRIBUTIONS RECEIVABLE
Contributions are recorded as revenue upon receipt of the unconditional promise to give. Outstanding contributions receivable are discounted using the U.S. Treasury rate for investments of similar periods and are comprised of the following at May 31, 2003 and 2002:
2003 2002 Amounts receivable in less than 1 year $ 308,597 $ 233,560 Amounts receivable in 1 to 5 years 1,060,000 494,765 Amounts receivable in greater than 5 years 393,129 167,663 Contributions receivable 1,761,726 895,988 Less discount (90,043) (59,732)
Net contributions receivable $ 1,671,683 $ 836,256
Direct fundraising expense was approximately $709,542 and $666,000 for the years ended May 31, 2003 and 2002, respectively.
7. GRANTS
Pell Grant and New York State Tuition Assistance programs are not reflected in the College's financial statements. Students received $1,059,729 and $938,625 from the Federal Pell program in 2003 and 2002, respectively. Students received $1,120,365 and $961,695 from the New York State Tuition Assistance program in 2003 and 2002, respectively.
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8. INVESTMENTS
Investments are comprised of the following at May 31:
2003 2002 Fair Fair Value Cost Value Cost
U.S. Government securities 11,382,405 $ 10,982,828 $ 13,543,147 $ 13,353,730 Corporate stocks 7,083,263 6,207,922 7,269,828 5,919,257 Corporate bonds 1,892,199 1,809,724 1,675,096 1,658,796 Money market funds 5,960,534 5,960,534 4,304,246 4,304,247
$26,318,401 $ 24,961,008 $26,792 $25,236,030
Such investments were held for the following long-term purposes at May 3 1:
2003 2002 Fair Fair Value Cost Value Cost Operating purposes $ 45,184 $ 48,358 $ 39,411 $ 36,271 Designated purposes 300,000 300,000 300,000 300,000 Endowment and sin-filar purposes 14,178,527 12,799,728 14,094,275 12,528,211 Property, plant and equipment purposes 11,341,280 11,359,512 11,925,750 11,938,667 Student loan purposes 453,410 453,410 432,881 432,881
$ 26,318,401 $24,961,008 $26,792,317 $25,236,030
Investments held for endowment and similar purposes having a fair value of $13,857,926 at May 31, 2003 are pooled on a market value basis, with each individual fund subscribing to or disposing of units on the basis of the market value per unit at the beginning of the calendar quarter within which the transaction takes place.
The assets held for endowment and similar purposes, primarily the investments noted above, include accumulated principal of permanently restricted endowment gifts and other net assets designated by the Board of Trustees to function as quasi-endowment, including accumulated appreciation resulting from long-term investment of permanently restricted endowment gifts.
Spending to support programs from assets held for endowment and similar purposes is under a policy whereby all interest and dividends earned on such long-term investments are spent to support the operations of the College. Net realized and unrealized gains and losses, which are recognized as either unrestricted or temporarily restricted net assets, dependent upon donor stipulations, are also maintained within the portfolio of endowment and other assets held for similar purposes.
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- 406 - The following schedules summarize the investment return and its classification in the statement of activities for the year ended May 31:
2003
Temporarily Unrestricted Restricted Total
Interest and dividends $ 498,117 $109,089 $ 607,206 Realized losses (152,425) (49,758) (202,183) Unrealized losses (152,808) (46,085 (198,893)
Total return on investments $ 192,884 $ 13,246 $ 206,130
Reported as follows: Investment income earned in long-term investment $ 355,415 $ 73,102 $ 428,517 Investment income 142,702 35,987 178,689 Net realized and unrealized losses (305,233) (95,843 (401,076)
Total return on investments $ 192,884 $ 13,246 $ 206,130
2002
Temporarily Unrestricted Restricted Total
Interest and dividends $ 756,549 $107,788 $ 864,337 Realized gains 37,253 114,008 151,261 Unrealized losses (699,475 (152,912) (852,387)
Total return on investments $ 94,327 $ 68,884 $ 163,211 Reported as follows: Investment income earned in long-term investment $ 370,894 $ 71,105 $ 441,999 Investment income 385,655 36,683 422,338 Net realized and unrealized losses (662,222) (38,904 (701,126)
Total return on investments $ 94,327 $ 68,884 $ 163,211
The total interest and dividend income earned by the pooled investments, net of investment management and custodial fees, was $430,520 and $438,944 in 2003 and 2002, respectively, with an average earnings per unit of $28. 10 and $30.09 in 2003 and 2002, respectively.
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9. PROPERTY, PLANT AND EQUIPMENT
Property, plant and equipment consist of the following at May 3 1:
2003 2002
Land and improvements $ 1,347,120 $ 1,292,716 Buildings 33,500,321 30,449,134 Equipment 8,662,722 8,537,626 Library books 4,593,297 4,292,516 48,103,460 44,571,992 Accumulated depreciation (12,780,590)(11,873,449) 35,322,870 32,698,543 Construction in progress 296,457
Total $ 35,322,870 $ 32,995,000
Construction in progress at May 31, 2002 related to the construction of the new athletic facility, which was placed in service in fiscal year 2003.
10. LINE OF CREDIT
The College maintains an unsecured bank line of credit providing short-term borrowing availability of $500,000, with interest charged at the prime rate (4.25% at May 31, 2003). The line is renewed annually on January 31. There were no borrowings made during the year and no borrowings were outstanding at May 31, 2003.
11. LONG-TERM DEBT
U.S. Secretary of Housing and Urban Development Insured Bonds
The College had previously issued bonds to the U.S. Secretary of Housing and Urban Development and are payable serially to 2018, with annual payments of principal and interest aggregating to approximately $76,000. The bonds are general obligations of the College, secured by first mortgages on two dormitories: Madonna Hall and Marguerite Hall, and a first lien on the net revenues of the dormitories.
Under the terms of the bond indenture, the College established repair and replacement reserve funds with the trustee into which it deposits $39,500 of dormitory net revenues annually, if available, and a bond and interest sinking fund, which must be maintained at a minimum of $93,000.
The outstanding balance of these bonds at May 31, 2003 and 2002 was $901,535 and $949,535, respectively. Interest expense was $28,486 and $29,866 for the years ended May 31, 2003 and 2002, respectively.
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Dormitory Authority of the State of New York Insured Revenue Bonds
During 1998-99, the College financed the construction of its library with $4,575,000 of twenty-two year serial bonds and $1,050,000 of term bonds due July 1, 2021 to July 1, 2023, issued by the Dormitory Authority of the State of New York (DASNY). The bonds are general obligations of the College, secured by pledged revenues and a first mortgage on the Library. The outstanding balance on this issuance at May 31, 2003 and 2002 was $5,070,000 and $5,220,000, respectively.
During 2000-01, the College financed the construction of its new academic center with $3,835,000 of twenty-two year serial bonds and $6,865,000 of term bonds due July l, 2020 to July 1, 2025, issued by the DASNY. The bonds are general obligations of the College, secured by pledged revenues and a first mortgage on the academic center. The outstanding balance on this issuance at May 31, 2003 and 2002 was $10,450,000 and $10,700,000, respectively.
Under the terms of each bond indenture, the College established a bond and interest sinking fund which must be maintained at a minimum of $387,500 for the 1998-99 issuance and $788,183 for the 2000-01 issuance. The College also created a building and equipment reserve fund for each issuance, neither of which had a balance requirement at May 31, 2003, but the DASNY may change this requirement at any time.
Interest expense on both bond issues was $757,294 and $786,106 for the years ended May 31, 2003 and 2002, respectively.
Scheduled principal payments due on total long-term debt is as follows:
Fiscal Year Ending May 31, Amount
2004 464,000 2005 481,000 2006 497,000 2007 524,000 2008 545,000 Thereafter 13,910,535
$ 16,421,535
12. RETIREMENT PLAN
Employees of the College are included on a voluntary basis in a defined contribution retirement plan provided by Teachers Insurance and Annuity Association. The cost of the plan to the College amounted to approximately $514,000 in 2003 and $442,000 in 2002. The College's policy is to fund retirement plan costs accrued.
*****
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D'Youville College
Financial Statements Projections for Year Ended May 31, 2004 with comparative totals for Year Ended May 31, 2003
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D'YOUVILLE COLLEGE
STATEMENTS OF FINANCIAL POSITION MAY 31, 2004 AND 2003
ASSETS 2004 2003
Cash and short term investments $ 9,773,390 $ 8,015,937 Student accounts receivable, net of allowance for doubtful accounts of $1,119,428 in 2004 and 2003 2,638,462 2,489,462 Other receivables 746,000 746,285 Contributions receivable, net 1,672,000 1,671,683 Investments 26,788,801 26,318,401 Loans to students, less allowance for doubtful accounts of $175,000in 2004 and 2003 2,306,000 2,306,458 Property, plant and equipment, net 40,976,865 35,322,870
TOTAL ASSETS $ 84,901,518 $ 76,871,096
LIABILITIES AND NET ASSETS
LIABILITIES: Accounts payable and accrued liabilities $ 1,330,000 $ 1,330,273 Deferred revenue 1,769,000 1,768,943 Student deposits 598,000 598,326 Long-term debt 21,207,535 16,421,535 U.S. Government grants refundable 2,197,000 2,197,076
NET ASSETS: Unrestricted 48,018,854 45,647,144 Temporarily restricted 5,725,522 5,022,592 Permanently restricted 4,055,607 3,885,207
TOTAL LIABILITIES AND NET ASSETS $ 84,901,518 $ 76,871,096
See notes to financial statements.
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D'YOUVILLE COLLEGE
STATEMENT OF ACTIVITIES YEAR ENDED MAY 31, 2004
Temporarily- Permanently Unrestricted Restricted Restricted Totals REVENUE: Student tuition and fees $ 31,733,514 $ 0 0 $ 31,733,514 Less: Scholarships and fellowships (7,977,241) 0 0 (7,977,241) Net tuition and fees 23,756,273 0 0 23,756,273
Private gifts 1,167,000 968,000 0 2,135,000 Government grants and appropriations 2,822,995 0 0 2,822,995 Auxiliary enterprises: Other 1,695,399 0 0 1,695,399 Investment income earned on long-term investments 348,955 73,000 0 421,955 Other 959,402 6,930 0 966,332 Net assets released from restrictions 296,000 (296,000) 0 0 TOTALREVENUE - 31,046,024 751,930 0 31,797,954
EXPENSES: Educational and general: Instruction 12,277,661 0 0 12,277,661 Academic support 2,120,781 0 0 2,120,781 Student services 5,744,578 0 0 5,744,578 Public services 1,576,529 0 0 1,576,529 Institutional support 4,390,258 0 0 4,390,258 Total educational and general 26,109,807 0 0 26,109,807 Auxiliary enterprises: Other 2,403,507 0 0 2,403,507 TOTAL EXPENSES 28,513,314 0 0 28,513,314
INCREASE IN NET ASSETS FROM OPERATIONS 2,532,710 751,930 0 3,284,640
NON-OPERATING ACTIVITIES: Investment income 143,000 36,000 400 179,400 Net realized and unrealized gains (305,000) (96,000) 0 (401,000) Gifts designated for long-term investment 1,000 11,000 170,000 182,000 INCREASE IN NET ASSETS FROM NONOPERATING ACTIVITIES (161,000) (49,000 170,400 (39,600)
TOTAL INCREASE IN NET ASSETS 2,371,710 702,930 170,400 3,245,040
BEGINNING NET ASSETS 45,647,144 5,022,592 3,885,207 54,554,943
ENDING NET ASSETS $ 48,018,854 $ 5,725,522 $ 4,055,607 $ 57,799,983
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D'YOUVILLE COLLEGE
ASSUMPTIONS TO PROJECTED FY04 FINANCIAL STATEMENT
General: The college will be starting a dormitory building project this year with an estimated total cost of $10,500,000. By May 31, 2004 it is assumed that 1/2 of the project will be complete. Thus $5,250,000 is estimated to be added as a capital addition as construction in progress. Also, it is anticipated that the college will be borrowing $5,250,000 to finance 1/2 of the project costs.
For Statement of Financial Position:
Accounts receivable students is increased by 6%, the amount of the tuition rate increase for the year. Investments are increased only by endowment additions projected for the year. Property, plant, and equipment are increased by estimated capital projects for the year less depreciation. Long term debt is increased by the new borrowing and adjusted for current year projected debt principal payments.
For the Statement of Activities:
Restricted and Government grant revenues and expenditures are estimated to be equivalent to prior year. Plant expenditures are considered capital expenditures and not added to the expenditure totals. Debt interest is added to the expenditure totals. The allocation of O&M expenditures is done consistent with prior year.
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D'Youville College
Financial Statements Projections for Year Ended May 31, 2005 with comparative totals for Year Ended May 31, 2004
1
Page 3 of 3 - 418 -
D'YOUVILLE COLLEGE
STATEMENTS OF FINANCIAL POSITION MAY 31, 2005 AND 2004
ASSETS 2005 2004
Cash and short term investments $ 6,855,765 $ 9,773,390 Student accounts receivable, net of allowance for doubtful accounts of $1,119,428 in 2005 and 2004 2,796,770 2,638,462 Other receivables 746,000 746,000 Contributions receivable, net 1,672,000 1,672,000 Investments 26,959,201 26,788,801 Loans to students, less allowance for doubtful accounts of $175,000 in 2004 and 2003 2,306,000 2,306,000 Property, plant and equipment, net 45,705,865 40,976,865
TOTAL ASSETS $87,041,601 $84,901,518
LIABILITIES AND NET ASSETS
LIABILITIES: Accounts payable and accrued liabilities $ 1,330,000 $ 1,330,000 Deferred revenue 1,769,000 1,769,000 Student deposits 598,000 598,000 Long-term debt 20,726,535 21,207,535 U.S. Government grants refundable 2,197,000 2,197,000 Total liabilities 26,620,535 27,101,535
NET ASSETS: Unrestricted 49,766,607 48,018,854 Temporarily restricted 6,428,452 5,725,522 Permanently restricted 4,226,007 4,055,607 Total net assets 60,421,066 57,799,983
TOTAL LIABILITIES AND NET ASSETS $ 87,041,601 $ 84,901,518
See notes to financial statements.
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D'YOUVILLE COLLEGE
STATEMENT OF ACTIVITIES YEAR ENDED MAY 31, 2005
Temporarily Permanently Unrestricted Restricted Restricted Totals REVENUE: Student tuition and fees $ 31,736,946 $ 0 $ 0 $31,736,946 Less: Scholarships and fellowships (8,098,087) 0 0 (8,098,087) Net tuition and fees 23,638,859 0 0 23,638,859 Private gifts 1,167,000 968,000 0 2,135,000 Government grants and appropriations 2,823,663 0 0 2,823,663 Auxiliary enterprises: Other 2,062,275 0 0 2,062,275 Investment income earned on long-term investments 352,445 73,000 0 425,445 Other 972,734 6,930 0 979,664 Net assets released from restrictions 296,000 (296,000) 0 0 TOTAL REVENUE 31,312,976 751,930 0 32,064,906 EXPENSES: Educational and general: Instruction 12,900,986 0 0 12,900,986 Academic support 2,341,067 0 0 2,341,067 Student services 5,741,334 0 0 5,741,334 Public services 1,581,996 0 0 1,581,996 Institutional support 4,395,973 0 0 4,395,973 Total educational and general 26,961,356 0 0 26,961,356 Auxiliary enterprises: Other 2,442,867 0 0 2,442,867 TOTAL EXPENSES 29,404,223 0 0 29,404,223 INCREASE IN NET ASSETS FROM OPERATIONS 1,908,753 751,930 0 2,660,683 NON-OPERATING ACTIVITIES: Investment income 143,000 36,000 400 179,400 Net realized and unrealized gains (305,000) (96,000) 0 (401,000) Gifts designated for long-term investment 1,000 11,000 170,000 182,000 INCR-EASE IN NET ASSETS FROM NONOPERATING ACTIVITIES (161,000) (49,000) 170,400 (39,600)
TOTAL INCREASE IN NET ASSETS 1,747,753 702,930 170,400 2,621,083
BEGINNING NET ASSETS 48,018,854 5,725,522 4,055,607 57,799,983
ENDING NET ASSETS $49,766,607 $ 6,428,452 4,226,007 60,421,066
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D'YOUVILLE COLLEGE
ASSUMPTIONS TO PROJECTED FY04 FINANCIAL STATEMENT
General: The college will be starting a dormitory building project this year with an estimated total cost of $10,500,000. By May 31, 2004 it is assumed that 1/2 of the project will be complete. Thus $5,250,000 is estimated to be added as a capital addition as construction in progress. Also, it is anticipated that the college will be borrowing $5,250,000 to finance 1/2 of the project costs.
For Statement of Financial Position:
Accounts receivable students is increased by 6%, the amount of the tuition rate increase for the year. Investments are increased only by endowment additions projected for the year. Property, plant, and equipment are increased by estimated capital projects for the year less depreciation. Long term debt is increased by the new borrowing and adjusted for current year projected debt principal payments.
For the Statement of Activities:
Restricted and Government grant revenues and expenditures are estimated to be equivalent to prior year. Plant expenditures are considered capital expenditures and not added to the expenditure totals. Debt interest is added to the expenditure totals. The allocation of O&M expenditures is done consistent with prior year.
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Financial Projection of
D'YOUVILLE COLLEGE'S CANADIAN DIVISION
Years ending August 31, 2004 and 2005
- 422 - Deloitte & Touche LLP 5140 Yonge Street. Suite 1700 Toronto, ON M2N 61-7 Canada Tel: (416) 6016150 Fax: (416) 229 2524 www.deloitte.ca Deloitte &Touche
Notice to Reader On the Compilation of a Financial Projection
We have compiled the financial projection of D'Youville College's Canadian Division consisting of a statement of divisional financial position as at August 31, 2004 and August 31, 2005 and a statement of divisional operations and net assets for the years then ending using assumptions, including the hypothesis disclosed in Note 1, with an effective date of October 16, 2003, and other information provided by management. Our engagement was performed in accordance with the applicable guidance on compilation of a financial projection issued by The Canadian Institute of Chartered Accountants.
A compilation is limited to presenting, in the form of a financial projection, information provided by management and does not include evaluating the support for the assumptions, including the hypothesis, or other information underlying the projection. Accordingly, we do not express an opinion or any other form or assurance on the financial projections or assumptions, including the hypothesis. Further, since this financial projection is based on assumptions regarding future events, actual results will vary from the information presented even if the hypothesis occurs, and the variations may be material. We have no responsibility to update this communication for events and circumstances occurring after the date of this communication.
This communication is intended to be used solely for D'Youville's application to the Ontario Postsecondary Education Quality Assessment Board and is only to be referred to or distributed to management of D'Youville College or the Ontario Postsecondary Education Quality Assessment Board.
Chartered Accountants
Toronto, Ontario October 16, 2003
Deloitte Touche - 423 - D'YOUVILLE COLLEGE'S CANADIAN DIVISION Statement of Divisional Financial Position August 31, 2004 and 2005 All amounts are stated in Canadian dollars (unaudited - see Notice to Reader)
2004 2005
ASSET
Due from D'Youville College's U.S. division $ - $ 136,090
LIABILITY
Due to D'Youville College's U.S. division $100,000 $ -
NET ASSETS (100,000) 136,090
$ - 136,090
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D'YOUVILLE COLLEGE'S CANADIAN DIVISION Statement of Divisional Operations and Net Assets Years ending August 31, 2004 and 2005 All amounts are stated in Canadian dollars (unaudited - see Notice to Reader)
2004 2005 REVENUE Student tuition $ - $ 2,293,200 Fees $ - 18,000 - 2,311,200
EXPENDITURES Academic - 1,047,436 Student services - 592,021 Administrative 100,000 192,621 Facility costs - 129,600 Bad debts - 13,432 Other - 100,000 100,000 2,075,110
EXCESS OF (EXPENDITURES OVER REVENUE) REVENUE OVER EXPENDITURES (100,000) 236,090
NET ASSETS, BEGINNING OF YEAR - (100,000) NET ASSETS, END OF YEAR $(100,000) $ 136,090
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D'YOUVILLE COLLEGE'S CANADIAN DIVISION Notes to Financial Projection August 31, 2004 and 2005 All amounts are stated in Canadian dollars (unaudited - see Notice to Reader)
1. HYPOTHESIS AND BASIS OF PRESENTATION
This financial projection has been prepared in accordance with Canadian generally accepted accounting policies by management based on the hypothesis that the Ontario Postsecondary Quality Assessment Board will approve the proposed agreement between D'Youville College and Fanshawe College as detailed in their letter of intent dated June 10, 2003. The financial projection includes only the Canadian operations of D'Youville College.
2. RELATED PARTY TRANSACTIONS
Student services include charges from the U.S. division of D'Youville College totaling $430,500. These charges relate to administrative and support services provided by the U.S. division to the Canadian division.
3. KEY ASSUMPTIONS
The key assumptions included in this financial projection are as follows:
I. General inflation rate of 4%. II. $1.00 Canadian dollar equals $1.43 U.S. dollars during the 2004 and 2005 fiscal years. III. Program delivery will commence September 2004 and enrolment during the fiscal 2005 year IV. will be as detailed below:
Fall 50 Winter 100 Spring 150 300
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20.2 Financial Audit Policy
It has been the college’s policy in the past and will continue to be a mandate from our Board of Trustees to have an outside independent audit firm perform and annual audit of our financial methods, performance, and stability as reflected in our annual financial statement. Our arm’s length professional accounting firm who carries out this audit is Deloitte & Touché LLP.
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20.3 Sufficient Capital Available for Start-Up
We have included as attachments in Section 20.1, D’Youville College’s audited financial statements for fiscal years 2000-01 through 2002-03 and projected financial statements for 2003-04 and 2004-05 that evidence there is sufficient capital available for the start up and operating costs associated with the proposed program.
Also enclosed in Appendix 20.1 is a pro forma financial statement, prepared by
Deloitte & Touché LLP a public accounting firm licensed under the Public Accountancy
Act.
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20.4 Table: Projection: Tuition Fee Collection
Month 1 2 3 4 5 6 7 8 9 10 SEP OCT NOV DEC JAN FEB MAR APR MAY JUN Tuition $95,625 $95,625 $95,625 $95,625 $191,250 $ $ $ $286,875 $ fees collecte d Tuition $95,625 $ $ $ $191,250 $ $ $ $286,875 $ fees earned Tuition fees 100% 100% 100% 100% 100% % earned / 100% 100% 100% 100% Tuition fee collecte d
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21.1 Student Appeals, Complaints and Grievances
Grievance Procedure: The college is committed to the education and social development of its students. If, in the course of this complex educational process, a student feels he or she has been treated unfairly by a college employee, the college has both a standard grievance procedure and a grievance officer. The grievance officer functions to assist and advise students in the processing of complaints. Students are encouraged to use this officer to address legitimate problems and concerns. The current grievance officer is the assistant vice president of student affairs.
In addition, there is also a postsecondary complaint registry.
Recommended Grievance Procedure:
1, Wherever and whenever possible, the student should first attempt to rectify
the situation by dealing directly with the employee(s). This should be done
within15 days of the incident(s) in question.
2. If the student remains unsatisfied after step 1, the student is to appeal to the
employer’s superior (coordinator, director, department chairperson, etc.) to
seek a resolution acceptable to both sides. This is to be done within five
working days of completing of step 1.
3. If the student remains unsatisfied after step 2, he/she may appeal, in writing,
to the senior officer overseeing the particular employee/area. At this point,
the senior officer has the option to convene a three-member review panel to
help make recommendations back to the senior officer. The panel shall be
made up of one student, one faculty member and one administrator. The
senior officer will investigate the grievance and report back to the
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complainant, in writing, within five working days. Please note that steps 2
and 3 may be combined.
4. If the student remains unsatisfied after step 3, he or she has the option of
appealing to the college Judicial Review Board. Requests to the Judicial
Review Board must be made in writing to the grievance officer within five
working days after a decision at the senior administration level. A full
detailing of Judicial Review Board policies and procedures is available
through the vice president of student affairs or the grievance officer.
Grievance Officer:
The grievance officer shall act as the coordinator of the grievance process. The grievance officer is empowered to make adjustment or decisions to the process in order to fulfill its purpose in a timely and comprehensive manner. Of particular importance is the need to expedite decisions that have direct and immediate consequences upon the academic status of a student. Any such decisions will be made with communication to all parties to insure their awareness and cooperation.
Postsecondary Complaint Registry
In New York State, a complaint may be filed by any person with reason to believe that an institution has acted contrary to its published standards or that conditions at the institution appear to jeopardize the quality of the institution's instructional programs or the general welfare of its students. Any person who believes he or she has been aggrieved by the institution on or after May 4, 1994, may file a written complaint with the department within three years of the alleged incident.
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How to File a Complaint:
1. The person should first try to resolve the complaint directly with the institution
by following the internal complaint procedures provided by the institution.
2. If a person is unable to resolve the complaint with the institution or believe
that the institution has not properly addressed the concerns, he or she may
request a complaint form by writing a letter to the Postsecondary Complaint6
Registry, NYS Education Department, Division of College and University
Evaluation, Room 5, North Mezzanine, 89 Washington Ave., Albany, N.Y. 12234
or by calling (518) 474-2593.
3. The Postsecondary Complaint Registry form should be completed, signed,
and sent to the above address. The completed form should indicate the
re3sdolution being sound and any efforts that have been made to resolve the
complaint through the institution's internal complaint processes. Copies of all
relevant documents should be included.
4. When a complaint concerns a matter that falls solely within the jurisdiction of
the institution of higher education, the complainant will be notified and the
department will refer the complaint to the institution in question and request that
the matter receive a review and response. Some complaints may fall within the
jurisdiction of an agency or organization other than the NYS Education
Department
5. Upon conclusion of the department's complaint review or upon a disposition of
the complaint by referral to ano9ther agency, organization, or to the institution of
higher education, the department will issue a written notice to the complainant
describing the resolution of the complaint. The complainant may contact the
department evaluator directly for follow-up or for additional assistance.
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6. The department will make every effort to address and resolve complaints
within 90 days from receipt of the complaint form.
Procedure for Section 504
For students/employees wishing to file a grievance in relation to Section
504 of the Rehabilitation Act of 1973, it is recommended that they follow the
same procedure as outlined under the grievance procedure. However, the
student/employee is encouraged to seek out the Section 504 coordinator to
assist with the processing of the complaint. The current 504 coordinator is the
health services director.
Title IX Procedure
For students/employees wishing to file a grievance in relation to Title IX -
Sexual Discrimination, it is recommend that they follow the grievance procedure
in writing. However, the student/employee is encouraged to seek out the
campus coordinator of Title IX to assist with the processing of the complaint. The
current coordinator is the vice president for student affairs.
Sexual Harassment
For all students, faculty, administrative, professional and hourly staff
employees.
Definition:
Sexual harassment is a form of conduct that undermines the integrity of human relationships. Acccordingly, D'Youville College views sexual harassment as inappropriate conduct that will not be tolerated. Sexual harassment is also a form of sex discrimination, which is illegal, under the New York State Human Rights Law, as well as
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under Title VII of the Civil Rights Act of l964;, as it related to employees and under Title IX of the Education Amendments of 1972, as it related to students.
Sexual harassment may be described as unwelcome sexual advances, requests for sexual favors, or other physical or expressible behavior of a sexual nature where:
1. Submission to such conduct is made explicitly or implicitly a term or condition
of an individual's employment or education.
2. Submission to or rejection of such conduct by an individual is used as the
basis for academic or employment decisions affecting an individual, or
3. Such conduct has the purpose or effect of substantially interfering with an
individual's academic or professional performance, or creates an intimidating
hostile or offensive work or academic enforcement even if the person engaging in
the conduct does not intend to interfere, intimidate, or be hostile or offensive.
This includes, but is not limited to, sexual joking and innuendo, the use of sexually explicate language or the display of sexually oriented jokes, posters, or other material on bulletin boards, in offices, carrels, and work areas.
Prohibited Harassment of a Non-sexual Nature.
Harassment of a nonsexual nature is verbal or physical conduct that denigrates or shows hostility or aversion toward an individual because of his/her race, color, religion, national origin, marital status, age, disability or sexual orientation, and that (i) has the purpose or effect of creating an intimidating hostile or offensive working or academic environment, (ii) has the purpose or effect of unreasonably interfering with an individual's
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academic work performance, or (iii) otherwise adversely affects an individual's academic or employment opportunities.
Harassing conduct includes, but is not limited to, the following: (I) epithets, slurs, negative stereotyping, threatening, intimidating, or hostile acts that relate to race, color, religion, national origin, marital status, age, disability or sexual orientation and (ii) written or graphic material that denigrates or shows hostility or aversion toward an individual or group because of race, color, religion, national origin, marital status, age, or disability that is placed on walls, bulletin boards, or elsewhere on the college's premises or circulated in the classroom or workplace.
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21.2 Policy Implementation and Awareness
Formal procedures:
Any student, faculty member or non-faculty employee who believes he or she is
being harassed in violation of college policy, or witnesses what he or she
believes is harassment in violation of college policy, has an obligation to report
such harassment either to his or her department chairperson, dean, immediate
manager, the director of personnel or the vice president of student affairs.
Complaints will be processed either informally or, if necessary, through a formal
procedure as described below.
At the informal level, the main goal will be to resolve the situation to the mutual
agreement of all parties. At this stage, employees or students who believe they
have been harassed, can consult a department chairperson, dean, director of
personnel, manager or supervisor responsible for the resolution of student or
workplace problems in an effort to resolve the matter informally without the
necessity of a full-blown investigation., An informal resolution may include a
meeting between the affected parties or a personal letter by the employee or
student to the alleged harasser that outlines the problematic behavior, describes
the effect of that behavior on the letter writer and expresses a wish for the
behavior to stop.
If the complainant is not satisfied with the outcome at the informal stage, he or
she can request an investigation. At this point, the responsible college
representative will investigate the complaint by conducting interviews of the
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necessary parties, including the accused, the complainant and any witness or others deemed necessary to complete the investigation. After completion of the investigation, the responsible college representative will meet with the complainant and the accused (if appropriate) separately to review the investigation findings and possible resolution of the claim. If the employee or student who has made the complaint is not satisfied with the outcome, he or she should proceed either to step 3 of the college's grievance procedure or to the student grievance procedure, whichever is applicable.
Any faculty member or non-faculty employee who has been found by the college to have engaged in harassment in violation of college policy will be subject to disciplinary action, up to and including discharge. Any discipline will be handled in accordance with appropriate college policies, i.e., the appropriate college manuals or collective bargaining agreements. Any student who has been found by the college to engage in harassment in violation of the college policy will be subject to sanctions in accordance with the student handbook.
General Considerations
All members of the college community have the right to raise the issue of harassment covered by this policy without fear of reprisal and/or retaliation.
Any student, faculty member or non-faculty employee found by the college to have made a charge of harassment under this policy that is intentionally dishonest or malicious will be subject to disciplinary action under appropriate college policy.
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Investigations will be conducted in as confidential manner as possible. Any individual making a complaint will be advised of the results of the investigation and of any action taken.
Student Conduct Committee
The Student Conduct Committee (SCC) exists as part of the college's judicial system. The SCC hears complaints of alleged violations of nonacademic policies. Such complaints may be initiated by an administrator, faculty member, and other employee of the college or by any student within the D'Youville community. Complaints shall be processed through the college's adjudication officer, currently the director of student activities. For more information contact the director of student activities or the vice president for student affairs.
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22.1 Electronic Student Records
Student transcripts are recorded and stored electronically. The software used is a
Windows-based GUI interface running on Visual Basic. It interfaces with a SQL server database that runs on a Windows 2000 server.
Records are backed up nightly; back-up data tapes are generated weekly and are stored at a secure off-campus location.
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22.2 Records Management
The Office of the Registrar maintains transcripts and other relevant documents related to admissions
Official institutional transcripts provide the following:
• personal identifying information:
– the student’s name, contact information, and student number;
The Office of the Registrar maintains application documents that relate to
• basis of admission:
– documentation relating to admission requirements that verify the student’s qualifications to enter the program;
– full documentation relating to credit transfers, entrance examinations, and prior learning assessment used either for admission or advanced placement;
Official transcripts detail:
• academic history:
– the subjects/courses the student took at the institution, when these were taken, and the final grades for completed courses;
– chronological student records showing dates of enrolments, program commencement, withdrawals, leaves of absence, completion;
• academic actions against the student by the organization;
• the degree awarded and the date conferred;
• academic awards and honours given to the student by the organization; and
• name and contact information of the Registrar or similar official.
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As institutional policy, D’Youville maintains students records in its archives. The Office of the Registrar converts student files to microfiche on an annual basis, providing an additional copy of student records. Beginning in 2004, the institution will digitally store students records to further ensure that transcripts remain available to students for at least seventy five (75) years.
D’Youville will ensure that that information included in a student’s transcript is kept at a location other than the applicable campus and that the information is transferred to that location at least weekly. Following already established protocol, data back-up will take place weekly at the Ontario campus, be transmitted to the Buffalo, N.Y. campus for storage and a third copy will be included in off-site storage.
As is currently institutional practice, the Office of the Registrar will certify the accuracy of e-records.
For purposes of satisfying the third party secure storage mandate, Fanshawe College has agreed to serve as the storage facility for this data
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23. Other Organization Information
D’Youville College Response to Board Comments
1. Response to January Meeting with ORP 2. Response to 8 March 2004 ORP Report 3. June 2004 Response to Organization Review Secretariat Portion
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1. Response to January Meeting with ORP
Standard 7.3 Ethical Conduct
Benchmark 7: The Applicant will submit a table referencing location of policies in various institutional documents. With respect to ethic conduct, the Applicant will submit to the Panel a synthesized version of ethical conduct statement that has been approved by the Applicant's governing body.
Institutional Ethical Conduct Statement D’Youville College offers programs to students of all faiths, cultures, and backgrounds.
D’Youville honors its Catholic heritage and the spirit of St. Margeurite d’Youville by providing academic, social, spiritual, and professional development in programs that emphasize leadership and service. D’Youville teaches students to contribute to the world community by leading compassionate, productive, and responsible lives. Members of the
D’Youville College community are committed to the highest ethical standards in all their activities. Since they represent their college to the larger society, they have a special duty to exemplify the best qualities of their institution and to observe the highest standards of personal and professional conduct.
Our words and actions embody respect for truth, fairness, free inquiry, and the opinions of others. We respect all individuals without regard to race, color, sex, sexual orientation, marital status, creed, ethnic or national identity, handicap, or age. We uphold the professional reputation of our colleagues and give credit for ideas, words, or images originated by others. We avoid actual or apparent conflicts of interest and, if in doubt, seek guidance from appropriate authorities.
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We follow the letter and spirit of laws and regulations affecting higher education.
We commit ourselves to fair and honest business practices that will guide the college in its conduct in the course of operations in Ontario.
The attached pages summarize locations where D’Youville College policies are evident in the materials submitted for review. The table also shows the approving body(s) and the dates of each policy approval. Many of these policies are approved on an annual basis.
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Appendix 5.5 Location in Academic Policies: Most Recent Submitted Approving Body* Date of Approval Documents Academic Standing Board of Trustees College Catalogs - MSCHE Annually - Spring, 2003 UG – p. 25 NYSED Annually - October, 2003 Grad – p. 16 IPEDS Annually - October, 2003 Admission to a Major Board of Trustees College Catalog - MSCHE Annually - Spring, 2003 UG – p. 25 NYSED Annually - October, 2003 IPEDS Annually - October, 2003 Classification of Students Board of Trustees College Catalogs - MSCHE Annually - Spring, 2003 UG – p. 26 NYSED Annually - October, 2003 Grad – p. 16 IPEDS Annually - October, 2003 Academic Integrity Board of Trustees College Catalogs - MSCHE Annually - Spring, 2003 UG – p. 29 NYSED Annually - October, 2003 Grad – p. 19-20 IPEDS Annually - October, 2003 Family Education Rights Board of Trustees College Catalogs - and Privacy Act of 1974 MSCHE Annually - Spring, 2003 UG – p. 32 (FERPA) NYSED Annually - October, 2003 Grad – p. 16 IPEDS Annually - October, 2003 Graduate Handbook p. 9
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Appendix 5.5 Location in Academic Policies Most Recent Submitted Approving Body* Date of Approval Documents Academic Year MSCHE Annually - Spring, 2003 College Catalog - NYSED Annually - October, 2003 UG – p. 25 IPEDS Annually - October, 2003 Academic Advisement MSCHE Annually - Spring, 2003 College Catalogs - NYSED Annually - October, 2003 UG – p. 25 IPEDS Annually - October, 2003 Grad – p. 16 Grad Handbook p. 9 Change of Major MSCHE Annually - Spring, 2003 College Catalogs - NYSED Annually - October, 2003 UG – p. 26 IPEDS Annually - October, 2003 Grad – p. 17 Grad Handbook p. 10 Student Dismissal MSCHE Annually - Spring, 2003 College Catalogs - NYSED Annually - October, 2003 UG – p. 26 IPEDS Annually - October, 2003 Grad – p. 16 Registration MSCHE Annually - Spring, 2003 College Catalogs - NYSED Annually - October, 2003 UG – p. 26 IPEDS Annually - October, 2003 Grad – p. 17 Grad Handbook p. 10 Course Load MSCHE Annually - Spring, 2003 College Catalogs - NYSED Annually - October, 2003 UG – p. 26 IPEDS Annually - October, 2003 Attendance MSCHE Annually - Spring, 2003 College Catalog - NYSED Annually - October, 2003 UG – p. 27 IPEDS Annually - October, 2003 Audit MSCHE Annually - Spring, 2003 College Catalogs - - 447 -
NYSED Annually - October, 2003 UG – p. 27 IPEDS Annually - October, 2003 Grad – p. 18 Grad Handbook p. 9
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Appendix 5.5 Location in Academic Policies Most Recent Submitted Approving Body* Date of Approval Documents Prerequisites and MSCHE Annually - Spring, 2003 College Catalog - Corequisites NYSED Annually - October, 2003 UG – p. 27 IPEDS Annually - October, 2003 Directed Studies MSCHE Annually - Spring, 2003 College Catalogs - NYSED Annually - October, 2003 UG – p. 27 IPEDS Annually - October, 2003 Grad – p. 18 Special Topics/ MSCHE Annually - Spring, 2003 College Catalogs - Independent Study NYSED Annually - October, 2003 UG – p. 27 Coursework IPEDS Annually - October, 2003 Grad – p. 18 Grad Handbook p. 12 Pass/Fail Option MSCHE Annually - Spring, 2003 College Catalogs - NYSED Annually - October, 2003 UG – p. 27 IPEDS Annually - October, 2003 Grading Policies MSCHE Annually - Spring, 2003 College Catalogs - NYSED Annually - October, 2003 UG – p. 27-29 IPEDS Annually - October, 2003 Grad – p. 18-19 Grad Handbook p. 11 Repeating / MSCHE Annually - Spring, 2003 College Catalogs - Withdrawal NYSED Annually - October, 2003 UG – p. 28 From a Course IPEDS Annually - October, 2003 Grad – p. 18 Withdrawal from MSCHE Annually - Spring, 2003 College Catalog - The College NYSED Annually - October, 2003 UG – p. 31 IPEDS Annually - October, 2003 Grad – p. 21 Grad Handbook p. 15 Leaves of Absence MSCHE Annually - Spring, 2003 College Catalogs - - 449 -
NYSED Annually - October, 2003 UG – p. 31 IPEDS Annually - October, 2003 Grad – p. 19 Grad Handbook p. 12
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Appendix 5.5 Location in Academic Policies Most Recent Submitted Approving Body* Date of Approval Documents Health Requirements MSCHE Annually - Spring, 2003 College Catalog - NYSED Annually - October, 2003 UG – p. 9 IPEDS Annually - October, 2003 Grad – p. 19 Transfer Credit MSCHE Annually - Spring, 2003 College Catalogs - NYSED Annually - October, 2003 UG – p. 27 IPEDS Annually - October, 2003 Grad – p. 11 “Fresh Start” Rule MSCHE Annually - Spring, 2003 College Catalog - NYSED Annually - October, 2003 UG – p. 31 IPEDS Annually - October, 2003 Religious Holidays MSCHE Annually - Spring, 2003 College Catalogs - NYSED Annually - October, 2003 UG – p. 32 IPEDS Annually - October, 2003 Grad – p. 20 AIDS Policy MSCHE Annually - Spring, 2003 Calendar/Resource Guide - NYSED Annually - October, 2003 p. 102 IPEDS Annually - October, 2003 Behavior/ MSCHE Annually - Spring, 2003 Calendar/Resource Guide - Code of Conduct NYSED Annually - October, 2003 p. 102 Dress IPEDS Annually - October, 2003 Contracts MSCHE Annually - Spring, 2003 Calendar/Resource Guide - NYSED Annually - October, 2003 p. 103 IPEDS Annually - October, 2003 Grad – p. 21 Disciplinary Process / MSCHE Annually - Spring, 2003 Calendar/Resource Guide - Dishonesty NYSED Annually - October, 2003 p. 102 IPEDS Annually - October, 2003 Drug/Alcohol MSCHE Annually - Spring, 2003 Calendar/Resource Guide - - 451 -
Eating and Drinking NYSED Annually - October, 2003 p. 104-105 IPEDS Annually - October, 2003 Fire Regulations MSCHE Annually - Spring, 2003 Calendar/Resource Guide - NYSED Annually - October, 2003 p. 106 IPEDS Annually - October, 2003
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Appendix 5.5 Location in Academic Policies Most Recent Submitted Approving Body* Date of Approval Documents Off-Campus MSCHE Annually - Spring, 2003 Calendar/Resource Guide - Activities NYSED Annually - October, 2003 p. 107 IPEDS Annually - October, 2003 Parental/Family/Spouse MSCHE Annually - Spring, 2003 Calendar/Resource Guide - Notification NYSED Annually - October, 2003 p. 107 IPEDS Annually - October, 2003 Sexual Harassment MSCHE Annually - Spring, 2003 Calendar/Resource Guide - NYSED Annually - October, 2003 p. 108-109 IPEDS Annually - October, 2003 Student Conduct MSCHE Annually - Spring, 2003 Calendar/Resource Guide - Committee NYSED Annually - October, 2003 p. 110 IPEDS Annually - October, 2003 Smoking Policy MSCHE Annually - Spring, 2003 Calendar/Resource Guide - NYSED Annually - October, 2003 p. 110 IPEDS Annually - October, 2003 Weapons & MSCHE Annually - Spring, 2003 Calendar/Resource Guide - Explosives NYSED Annually - October, 2003 p. 110 IPEDS Annually - October, 2003 Employee/Student MSCHE Annually - Spring, 2003 Calendar/Resource Guide - Acceptable Use Policy NYSED Annually - October, 2003 p. 110-111 For Computers IPEDS Annually - October, 2003 Illegal Copying of MSCHE Annually - Spring, 2003 Calendar/Resource Guide - Software & Other NYSED Annually - October, 2003 p. 111 Copyrighted Materials IPEDS Annually - October, 2003 “C” Grade Policy MSCHE Annually - Spring, 2003 Graduate Handbook - - 453 -
For Graduate Courses NYSED Annually - October, 2003 p. 10 IPEDS Annually - October, 2003
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Appendix 5.5 Location in Academic Policies Most Recent Submitted Approving Body* Date of Approval Documents CPR Certification MSCHE Annually - Spring, 2003 Graduate Handbook - For Graduate Nursing NYSED Annually - October, 2003 p. 10 Students IPEDS Annually - October, 2003 Exit Interviews MSCHE Annually - Spring, 2003 Graduate Handbook - For Graduate Students NYSED Annually - October, 2003 p. 11 IPEDS Annually - October, 2003 Extension of Time MSCHE Annually - Spring, 2003 Graduate Handbook - To Complete Graduate NYSED Annually - October, 2003 p. 11 Degree IPEDS Annually - October, 2003 Graduation for MSCHE Annually - Spring, 2003 Graduate Handbook - Graduate Students NYSED Annually - October, 2003 p. 11 IPEDS Annually - October, 2003 Liability Insurance for MSCHE Annually - Spring, 2003 Graduate Handbook - Students in Health- NYSED Annually - October, 2003 p. 12 Related Programs IPEDS Annually - October, 2003 Licensure For MSCHE Annually - Spring, 2003 Graduate Handbook - Graduate Nursing NYSED Annually - October, 2003 p. 12 Students IPEDS Annually - October, 2003 Non-Matriculated MSCHE Annually - Spring, 2003 Graduate Handbook - Status for Graduate NYSED Annually - October, 2003 p. 12 Students IPEDS Annually - October, 2003 Plagiarism MSCHE Annually - Spring, 2003 Graduate Handbook - NYSED Annually - October, 2003 p. 13 IPEDS Annually - October, 2003 Academic Probation MSCHE Annually - Spring, 2003 Graduate Handbook - - 455 -
For Graduate Students NYSED Annually - October, 2003 p. 13 IPEDS Annually - October, 2003
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Appendix 9.4 Location in Research Policies Most Recent Submitted Approving Body* Date of Approval Documents Graduate Research MSCHE Annually - Spring, 2003 Thesis Handbook – p. 1-4 Committees NYSED Annually - October, 2003 Project Handbook – p. 1-4 IPEDS Annually - October, 2003 Graduate Research MSCHE Annually - Spring, 2003 Thesis Handbook – p. 5-8 Formats NYSED Annually - October, 2003 IPEDS Annually - October, 2003 Graduate Research MSCHE Annually - Spring, 2003 Thesis Handbook – p. 13-15 Elements NYSED Annually - October, 2003 Project Handbook – p. 1-4 IPEDS Annually - October, 2003 Thesis Research MSCHE Annually - Spring, 2003 Thesis Handbook – p. 16-22 Format NYSED Annually - October, 2003 IPEDS Annually - October, 2003 Presentations of MSCHE Annually - Spring, 2003 Thesis Handbook – p. 23 Graduate Research NYSED Annually - October, 2003 Project Handbook – p. 8-10 IPEDS Annually - October, 2003 Graduate Research MSCHE Annually - Spring, 2003 Thesis Handbook – p. 27-39 Progress Approval Forms NYSED Annually - October, 2003 Project Handbook – p. 11-24 IPEDS Annually - October, 2003 Protection of Human MSCHE Annually - Spring, 2003 Thesis Handbook – p. 12 Subjects in Research NYSED Annually - October, 2003 Project Handbook – p. 7 IPEDS Annually - October, 2003 IRB Manual – ALL
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Appendix 9.0 Location in Academic Freedom Most Recent Submitted and Integrity Approving Body* Date of Approval Documents 9.1 Academic Freedom Board of Trustees May 15, 2000 AAUP/DYC Agreement (in AAUP/DYC Agreement) College President p. 1.1 9.3 Intellectual Products Board of Trustees May 15, 2000 AAUP/DYC Agreement (in AAUP/DYC Agreement) College President p. 20.1-20.3 9.4 Research Policies Multiple Approvals by: Multiple Dates (in Graduate, Thesis, Project Graduate Council & as Policies are revised and IRB Handbooks) College President Office of Research Integrity Annually - Feb 19, 2003 9.5 Academic Honesty Board of Trustees College Catalogs - (in Catalog & MSCHE Annually - Spring, 2003 UG – p. 29 Student Resource Guide) NYSED Annually - October, 2003 Grad – p. 19-20 Calendar, Resource IPEDS Annually - October, 2003 Guide – p. 102-103 Appendix 11.0 Dispute Resolution See College Catalogs- 11.2 Policy Implementation Board of Trustees Grievance Procedure and Awareness MSCHE Annually - Spring, 2003 UG – p. 9 NYSED Annually - October, 2003 Grad – p. 8 (in College Catalog & Calendar, Resource Student Resource Guide) IPEDS Annually - October, 2003 Guide – p. 106-107 * Abbreviations: MSCHE Middle States Commission on Higher Education NYSED New York State Higher Education IPEDS Integrated Post-Secondary Educational Data System Section 487 (a) (17) of the Higher Education Act of 1965 - U.S. Department of Education AAUP American Association of University Professors
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DYC D'Youville College AAUP/DYC Agreement "A Cooperative Agreement 1999-2003 by and between D'Youville College and D'Youville College Charter, AAU The Collective Bargaining Agreement between Faculty and Administration at D'Youville College, approved by the Board of Trustees at the College May 15, 2000
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Standard 7.4 Student Protection
Benchmarks 1 and 3: The Applicant commits to collecting signed confirmation from students that they are aware of policies and procedures, as stipulated in the
Minister's Requirements, (Directives and Guideline for Applying for Ministerial Consent
Under the Post-secondary Education Choice and Excellence Act, 2000 - available on the
PEQAB website). The Applicant also commits to the development of a calendar and student handbook for the Canadian operation that accurately represents the policies in place at that site.
The attached Confirmation Form will be signed by all students that they are aware of policies and procedures, as stipulated in the Minister's Requirements. The attached Confirmation Form’s student signature also indicates that the student understands the policies and procedures concerning academic honesty.
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Confirmation of Awareness of Organizational Practices and Policies of D’Youville College
The student’s signature below indicates that the student has been given a College Catalog and a Calendar and Resource Guide, and that the student has read and is aware of the College’s policies in these materials regarding:
• admission requirements • matters pertaining to international students • scholarships and other financial assistance • method of course delivery • grading • academic honesty • intellectual property • credit transfer arrangements and recognition by other organizations • withdrawals, dismissals, and refunds • supervision, preparation, and examination of theses/dissertations (if applicable) • complaints/grievances
I have read and am aware of the College’s polices as listed above.
______(Student signature) (Date)
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Standard 7.5 Academic Freedom and Integrity
Benchmarks 1 and 3: The Applicant will consult with the Canadian Association of
University Teachers (CAUT) regarding these policies in the Canadian context.
Policy Statement on Academic Freedom – Adapted from CAUT The Canadian Association of University Teachers is dedicated to the promotion and protection of academic freedom. The common good of society depends upon the search for knowledge and truth and its free expression. Academic freedom is essential for these purposes. Academic freedom does not require neutrality on the part of the individual.
Rather academic freedom makes commitment possible.
Academic staff, like all other groups and individuals, are entitled to enjoy recognized civil, political, social and cultural rights. Therefore, all academic staff must enjoy freedom of thought, conscience, religion, expression, assembly and association as well as the right to liberty and security of the person and liberty of movement. They must not be hindered or impeded in exercising their civil rights as citizens, including the right to contribute to social change through freely expressing their opinion of state policies and of policies affecting higher education. They must not suffer any penalties simply because of the exercise of such rights.
Academic staff are entitled to the exercise of academic freedom. Academic freedom includes the right, without constriction by prescribed doctrine, to freedom of teaching and discussion, freedom in carrying out research and disseminating and publishing the results thereof, freedom in producing and performing creative works, freedom to engage in service to the institution and the community, freedom to express freely their opinion about the institution, its administration, or the system in which they work, freedom from
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institutional censorship and freedom to participate in professional or representative academic bodies.
Academic staff must not be forced to teach against their own best knowledge and conscience or be forced to use curricula and methods contrary to national and international human rights standards. Academic staff must play the predominant role in determining educational standards, consistent with standards of ethical conduct and institutional integrity. All academic staff must have the right to fulfill their functions without discrimination of any kind and without fear of repression by the state or any other source.
1. PURPOSE D’Youville College is committed to the pursuit, creation and dissemination of knowledge through teaching, research and other scholarship and creative activities. The College firmly believes that this mission can best be fulfilled in an atmosphere of free and responsible inquiry and discussion.
2. DEFINITIONS Academic freedom is defined as the freedom to discover, inquire, speak, assemble and communicate without deference to prescribed doctrine. Faculty and students will be evaluated on their performance without reference to religious, social or political views.
3. THE POLICY 3.1 The faculty member is free to engage in research, scholarship and creative work and to publish or produce the results, subject to the College’s Intellectual Property Policy (#). The faculty member is also free to teach and discuss without deference to prescribed doctrine. Students have the freedom to study, discuss, and express different points of view in an open academic setting while conforming to the standards of conduct operating within D’Youville College.
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3.2 Academic freedom of faculty and students carries the responsibility to respect the rights and freedoms of others. In particular, faculty and students are expected to recognize the rights of other members of the College community – faculty, staff and students – to express their opinions.
3.3 Faculty members are individually accountable, in both the moral and social sense, for their findings and statements. In protecting academic freedom, the College is not assuming that responsibility, which is properly the responsibility of the individual concerned. Faculty should not purport to speak on behalf of the College, unless specifically authorized to do so. A statement of affiliation with, or position at, the College shall not be interpreted as an attempt to speak on behalf of the College.
3.4 Academic freedom does not diminish the obligation of faculty to meet their responsibilities to the College as their employer and to the students.
4. REFERENCES 4.1 See also D’Youville College’s Policy on Intellectual Property
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Benchmark 3: The Applicant will develop and submit a policy on intellectual property for students.
The following policy has been adapted from the College’s policy on intellectual property for the faculty, and will be implemented at D’Youville College.
G. Scope
This Article sets forth the rights and obligations of the parties hereto as to intellectual property rights of the College and of the students, such rights to include but not to be limited to rights in intellectual property that can be trademarked, copyrighted, or patented.
H. Definitions
5. Copyright/Copyrightable
j. literary works k. musical works, including any accompanying words l. dramatic works, including any accompanying music m. pantomimes and choreographic works n. pictorial, graphic, and sculptural works o. motion picture and other audiovisual works p. sound recordings q. architectural works r. computer programs
6. Intellectual Property
Any trademarkable, copyrightable, or patentable matter or any intellectually created tangible thing or matter including, but not limited to, books, tests, articles, monographs, glossaries, bibliographies, study guides, laboratory manuals, syllabi, tests and work papers, lectures, musical and/or dramatic compositions, unpublished scripts, films, filmstrips, charts, transparencies, other visual aids, video and audio tapes and cassettes, computer programs, live video and audio broadcasts, programmed instruction materials, drawings, paintings, sculptures, photographs, and other works of art.
7. Patent/Patentable includes:
d. inventions or discoveries which constitute any new and useful process, machine, manufacture, or composition of matter or any new and useful improvement thereof, e. designs, being new, original and ornamental designs for an article made, f. plant patents, being for the asexual reproduction of a distinct and new variety of plant, including cultivated sports, mutants, hybrids,
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and newly-found seedlings, other than a tuber propagated plant or plant found in an uncultivated state,
8. Trademark/Trademarkable
Any word, name, symbol, or device, or combination thereof adopted and used by a student to identify his goods and distinguish them from those made, manufactured, or sold by others.
I. Ownership and Limitations
6. Except as limited below in Section C (2), (3), and (4), it shall be presumed that intellectual property created, made, or originated by a student covered by this Agreement shall be the sole and exclusive property of such student for perpetuity or so long as the federal law applicable thereto allows and the student may choose individually to contract away such property in full or in part. Creatorship of intellectual property shall be presumed in the claiming student as against the College. Intellectual property created by the student in the fulfillment of the student’s normal duties and responsibilities under this agreement is presumed to belong to the student for proprietary or marketing purposes outside of the College but is available to the College for internal review and for review by external agencies regulating the College.
7. The College shall have the right to purchase intellectual property created, made, or originated by a student. If the College does not exercise this right and Section C (4) and/or (5) are not applicable, ownership shall vest in the student as outlined in Section C (1), above.
8. The College is the presumed owner of intellectual property only when the College enters into an agreement with the student to specifically create such specified intellectual property in exchange for compensation and this agreement specifically outlines the development obligations and the College’s exclusive ownership.
9. The College and the student are joint owners of intellectual property when they enter into a specific agreement to create such intellectual property and such agreement shall define the development obligations and ownership share of each party.
J. Use of Funds From Sale of Intellectual Property
3. Funds received by the College from the sale of intellectual property owned by the College shall be allocated and expended as determined solely by the College.
4. Funds received by the student and by the College from the sale of intellectual property owned jointly by the student and the College shall be allocated and expended in accordance with the specific agreement
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negotiated by the student and the College concerning such jointly owned intellectual property.
K. Obtaining Copyrights, Patents, or Trademarks
It shall be the obligation of the creator of the intellectual property to act to protect his or her rights pertinent thereto under the law at the creator’s sole cost and expense. Nothing set forth herein shifts the aforesaid obligation from the student to the College.
L. Development Obligations
3. It is understood that intellectual property developed by students on or off College time, except for those materials for which the College had specifically contracted, prior to August 31, 1999 shall remain the property of such students but shall continue to be used for the benefit of the College while the student remains enrolled at the College.
4. The resources, including materials and time, required to develop intellectual property shall be provided by the presumed owner of the intellectual property. Intellectual property may be used in the classroom to further its efficacy and efficiency without jeopardizing this section of the agreement.
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Benchmark 4: The Applicant will add a local reference to the Tri-Council Policy to its Canadian operation's policy on ethical research standards and will submit a policy with regard to the management of research funds.
D’Youville College faculty, staff and students will maintain strict adherence to the research policies stated in the Tri-Council Policy Statement on the “Ethical Conduct for
Research Involving Human Subjects” (2003).
Benchmark 5: It is expected that required information will be found in supplementary documents submitted. (These materials have been either included with the original proposal, as identified by the supplementary table showing the location of policies in the submitted documents, or in the supplemental materials submitted, including the Calendar, Resource Guide, and Planner, the Faculty Handbook, etc.).
Benchmark 6: The enrolment contract that students will sign (see 7.4
Benchmarks 1 and 3 above) will include reference to their understanding of policies and procedures concerning academic honesty, insofar as these are consistent with
Canadian and Ontario legal practice.
The Confirmation of Awareness of Organizational Practices and Policies of
D’Youville College described above includes this reference.
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2. Response to 8 March 2004 ORP Report
PEQAB May 2003 Postsecondary Education Quality Assessment Board Commission d’évaluation de qualité de l’éducation postsecondaire
______
Organization Review Panel Report (Full Version)
for
D’Youville College
Applying for Ministerial Consent Under the Post-secondary Education Choice and Excellence Act, 2000
Submit to
Postsecondary Education Quality Assessment Board 9th floor, Mowat Block 900 Bay Street Toronto, Ontario Canada M7A 1L2
Telephone: 416-325-1686 Fax: 416-325-1711
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E-mail: [email protected] Web: http://peqab.edu.gov.on.ca
ORGANIZATION REVIEW Recommendation Page
Proposed Program Name: Bachelor of Education
Institution: D’YouvilleCollege, Buffalo, New York
Date Report Submitted: March 8, 2004 ______
In its assessment of the program for a Bachelor of Education Degree
proposed by D’Youville College
A) the Organization Review Panel finds that with respect to the Board’s Standards, the Applicant’s organization, policies, plans and practices
require revisions to meet the Board’s standards
Reasons for the Recommendation: Not all the Benchmarks have been met. (Cf. summary report below)
B) the Organization Review Panel finds that with respect to the Minister’s Requirements, the Applicant’s organization, policies, plans, and practices require revisions to meet the Minister’s requirements
Reasons for the Recommendation: Not all the Benchmarks have been met.
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Chair of the Organization Review Panel: ___Carole Stewart______Date: March 8, 2004______Name
Other Panel Members: ___Andrew Berczi______Date: March 8, 2004______Name
___Douglas Letson______Date: March 8, 2004______Name
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D’Youville College Response to the Organizational Review Panel Report:
The College thanks the Organizational Review Panel (ORP) for their supportive comments regarding our proposal, and for their insights into the process of review for approval to offer a program in Education to students in Canada. The College also notes a number of areas in the Panel’s Report that require address. This reply is designed to address each of the concerns raised by the ORP in their Report submitted to the
Postsecondary Education Quality Assessment Board (PEQAB) on March 8, 2004.
ORGANIZATION REVIEW PANEL REPORT
PART A: Board Requirements
1: Achievement of Standards – Executive Summary
D’Youville College is an independent, four-year co-educational college chartered by New York State in 1908. It has approximately 2,400 graduate and undergraduate students. It currently offers graduate programs in Education at the masters and doctoral levels. It has 1093 students presently enrolled in its education programs, 827 of whom are Canadian citizens. The campus is in Buffalo, N.Y., 20 minutes from Niagara Falls and 90 minutes from Toronto. With increased concerns over student travel across the Canada/U.S. border, D’Youville desires to establish a presence in Ontario that will permit eligible Canadian students to complete a baccalaureate degree in Education while remaining in Canada.
It is worth noting that the programs in which Canadian students are currently registered are graduate programs, entered after completing an undergraduate degree, whereas what they are proposing in Ontario is a four-year bachelor’s degree in Education. It is a degree completion program for individuals who have completed two years of full time college study in the Liberal Arts and Sciences. Qualified students will be admitted to a full-time four semester program.
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We would like to take this opportunity to clarify our position on the differences between our proposed undergraduate degree program and the graduate program offered in New York State. Our College has a strong tradition of offering outstanding Education programs at both the undergraduate and graduate levels. Students from both sides of the border have taken advantage of our excellence in Education to receive certificates, bachelors and Masters degrees. We felt that it would best advantage the students in
Ontario to offer a bachelors degree in Education rather than the graduate program leading to a Masters degree in the U.S., as the requirements for a Masters degree differ in sequencing between the two countries. Thus, while it is true that we currently offer the graduate program to many Canadian students in New York State, students in Canada will not require this level of coursework to be certified to teach in Canada.
Also, we would like to make mention of our greater understanding of the bachelors degree in Education in Canada, and therefore propose a one-year, three-semester program leading to a bachelor’s degree which will be based on an undergraduate liberal arts bachelors degree as a requirement for admission. This proposal will be detailed in our revised submission of materials for Form B (Program Review) of the PEQAB requirements for program approval.
The Organization Review Panel met on January 8, 2004 with the following representatives of D’Youville College and Fanshawe College (the proposed Ontario partners): L Joy Warkentin, Senior Vice President Academic, Fanshawe College; Ruth Rodgers, Curriculum Consultant, Fanshawe College; Dr. Roger Fiedler, Dean of Planning and Evaluation, D'Youville
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College; and Dr. John J. Donohue, Vice President for Academic Affairs, D'Youville College. The ORP and the representatives of the Colleges went through the workbook, discussing all the concerns the ORP had about the proposal. After the meeting D’Youville submitted to the ORP copies of various handbooks which contained information missing from the original submission.
The major concern of the ORP was that little attempt appeared to have been made to adapt any of the principles, policies, or procedures to the Ontario context. It was the understanding of the ORP that a revised submission would be sent to it, so that the Panel could reconsider some of its points. However, since by the end of February no additional material had been submitted, the ORP concluded that it should submit its report to PEQAB based on the original submission plus additional handbooks. In general it is the view of the ORP that this submission is not yet adequately prepared. Details follow below, and in the Workbook.
We have prepared a number of replies detailing our efforts to adapt the principles, policies and procedures of the College to the Ontario context. Some of these revisions required approval by our governing bodies at the College, and therefore we felt that it would be better to have adapted, appropriate and approved policies than to respond too quickly to the areas of weakness identified by the ORP Panel. The process of revision has been very helpful to us, and we feel much more confident regarding our adaptation of policies to the Ontario context. We hope that the replies below make clear our efforts to adapt many of our policies and procedures to meet the need to demonstrate how these will work in the province of Ontario.
The ORP Panel noted the following itemized concerns in the Executive Summary of its
Report to the PEQAB Board. Specifically, the Panel identified Standards 7.1 (Mission
Statement and Academic Goals), 7.2 (Administrative Capacity), 7.3 (Ethical Conduct),
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7.4 (Student Protection), 7.5 (Academic Freedom and Integrity), 7.6 (Financial Stability), and 7.7 (Dispute Resolution). Each of these areas and the concerns identified by the
Panel are addressed here.
7.1: Mission Statement and Academic Goals
The Mission Statement and Academic Goals are clear and consistent with the programs offered by the institution in New York. However, it is not entirely clear how these goals are to be achieved in the context of a much smaller satellite operation in London Ontario. There is little indication in the submission of sensitivity to the many changes required to reflect the situation of an academic program based outside of New York.
In fact, some of the information in the handbook is at odds with Canadian regulations and fails to mention such things as student aid programs in Ontario. Presumably an academic calendar will be prepared for the Canadian operation, and this document should clearly indicate that for all the participants in the program offered in Ontario (faculty, staff, students and administration) the laws of Ontario and Canada will apply.
Formal confirmation of the agreement with Fanshawe College should be part of the submission.
The Academic Policies referred to in this section make exclusive reference to American institutions. A list of several such policies that require elaboration are given in the Workbook. Such policies should be rewritten to place these policies in the context of Ontario, and to make reference to such policies as the Ontario Human Rights Act.
In response to paragraph 1, we have revised many of our policies to reflect the changes required by the Panel members and PEQAB. These changes are detailed in the separate sections below that itemize, and provide examples of, areas requiring policy or operational revision.
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With regard to the implementation of the College’s Mission, we feel that the offering of an Education program in the Province of Ontario is an integral part of our Mission statement. We recognize that the Panel has asked for specifics regarding the implementation of policies that were written for students in the U.S. that support the
Mission, and our responses to these specifics are detailed below.
D’Youville’s expansion into the province of Ontario is one predicated on important aspects of the institution’s mission: to offer baccalaureate programs to students of all faiths, cultures and backgrounds; to provide academic and professional development in programs that emphasize leadership and service; and to teach students to contribute to the world community by leading compassionate, productive and responsible lives.
D’Youville seeks permission to educate Canadian students as professional teachers.
The institution has an historic connection with Canada in the person of St. Marguerite
D’Youville, founder of the Gray Nuns. D’Youville currently attracts approximately one thousand Canadian students to its U.S. campus for study and has a long and successful history of preparing students for professional employment as teachers in the Province of
Ontario.
Expansion into Ontario would facilitate the ongoing mission of the college to provide access to degree study to a diverse student population and permit D’Youville to provide a larger segment of the Canadian population with the opportunity to study at an institution with a distinct and highly successful approach to training professional educators.
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D’Youville is committed to retaining a strong emphasis on its institutional mission and, if afforded the opportunity to operate in Ontario, would train and enculturate its employees to ensure a perpetuation of institutional mission and identity.
In response to paragraph 2, with regard to the College Calendar, D’Youville College commits to ensuring that its “Calendar, Resource Guide, and Planner”, which includes key information for students regarding the College calendar, policies on sexual harassment, copyright issues, grievance procedures, etc. will be adapted and published to follow Canadian guidelines and policies, which differ from those in the U.S. While the policies presented to the ministry exclusively reference American operation, D’Youville recognizes the need to conform to regulations of Canada and Ontario. As such,
D’Youville commits to eventual revision of policies as relevant where necessary.
D’Youville understands that should a recommendation to grant a consent go to the
Minister, the Minister may require as a condition of the consent a process requiring that policies conform to law in Ontario.
In response to paragraph 3, we include a final draft of a document that will serve as the formal agreement between D’Youville College and Fanshawe College that incorporates the changes in our proposal that the Panel and PEQAB have asked for regarding such areas as commitments for classroom space, facilities, student support services, and enrolment at the Fanshawe Campus.
In response to paragraph 4, we have attempted to cover all of the changes in policies that address the concerns expressed by the Panel and required for REQAB approval.
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These policies involve such areas as the grievance procedure, human rights of subjects
in research, and the incorporation of language from the Ontario Human Rights Act.
7.2: Administrative Capacity
The College as a whole has an administrative structure appropriate to an institution of post-secondary education, appropriately qualified administrative staff, and appropriate participation of faculty in academic decision-making, but the administrative structure of the proposed Canadian operation is not specified in the submission.
The proposed Ontario operation will be organized as a branch of the Buffalo operation
and a special academic program with policies and procedures consistent with Ontario
laws and regulations. The Ontario operation will not be organized as a stand-alone or
subsidiary operation but a fully integral part of D’Youville College under an amended
charter. As such, the policies related to governance, student protection, legal and
financial liability, financial stability, etc. are those presented in the application for
D’Youville College.
We further clarify our administrative structure here to address the concern expressed by
the Panel. The main area of concern was with the operational nature of the structure
proposed at Fanshawe College. The Proposal now specifies the administrative structure
in the following way:
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Presiden
Vice President for Academic
Fanshawe New York
Program Academic Department Secreta
Student Services
Coordinator Facult Facul t
This structure provides a clearer overview of how the campus will function administratively, and how it will relate to the New York Campus and its administrative structure. Further, within this structure are descriptions of each administrator’s role on the Fanshawe Campus that meet the Board’s benchmarks concerning the conduct of administrative issues raised by the Panel, such as the management of the grievance procedure on the Fanshawe Campus.
In our previous submission, the Panel identified as a key concern that the structure did not offer a clear understanding of how grievances would be handled away from the New
York Campus, as our Grievance Policies and Procedures detailed the process as it
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occurs on the D’Youville Campus. As will be discussed below, the administrative structure detailed above includes as one of the responsibilities of the Program Director on the Fanshawe Campus to serve in the role of the Grievance Officer on the Fanshawe
Campus, and members of Fanshawe College will serve as the external review board regarding grievances on the Fanshawe Campus.
The current enrolment of Canadian students in the education program in New York is 827 (out of 1093 students). The projected enrolment in Ontario for 2008 is 1500. This is an extremely large increase. There was no information given in the submission as to the basis on which the projected increase in student enrolment was predicted, nor any contingency plans with regard to financial support if the enrolment goals were not reached.
D’Youville has every confidence that its enrollment targets can be met, in large part because we have already established a record of significant Canadian enrollment in a similar program with similar tuition in New York State. It is our conviction that establishing a program in Ontario would make enrollment more convenient for Canadian students, and that significant numbers of Ontario residents would opt to attend in the province as opposed to crossing into the United States.
Note that, should enrolment quotas not be met and the program terminated, D’Youville
College commits to teach out all students enrolled in the program, as is stated in the agreement with Fanshawe College that has been submitted to the ministry.
Our initial proposal included enrollment projections based upon a program that led to the award of a Bachelors degree in Education (B. Ed.) over a two-year period. This initial
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proposal, as detailed in the initial Form B submission was based on the expectation that students would complete two years of Liberal Arts coursework, then complete the B. Ed. in years 3 and 4. We have revised our program proposal (Form B) to recognize that students must first complete a Bachelors degree in a Liberal Arts field, then enroll in a
Bachelors program leading to a degree in Education.
Thus, our revised proposal will describe a program that requires for admission a Liberal
Arts Bachelors degree, and includes a one-year, 3-semester program leading to a
Bachelors degree in Education in accordance with the Guidelines of the Ontario College of teachers (OCT).
This program revision has substantially revised our enrollment projections, such that we now project a total of 225 students in the program at any one time. We borrow from our revised Form B materials the enrollment projections table that addresses the concern of the Panel:
Benchmark 8.4 Enrolment Projections and Staffing Implications (Capacity to Deliver, Benchmark 3, 6 Handbook - Private, 9.5)
Staffing Requirements – Projected Cumulative Cumulative Cumulative Add columns Ratio of Enrolment* Full-time Part-time to account for Full-time Full- Part- Faculty Faculty technical Students/ Time Time Equivalents Equivalents support, Full-time (F.T.E.) (F.T.E.) teaching Faculty assistants, and so on Year 1 150 3 2 25:1
Year 2 225 5 5 25:1
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Year 3 225 5 5 25:1
Year 4 225 5 5 25:1
* Show the The proposed program anticipates two entry terms per year: Summer and method Winter. Each of these entry points anticipates admitting 75 students in a used to cohort. Across terms, it is anticipated that there will be some attrition of calculate students, thus resulting in the numbers projected above. cumulative enrolment:
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With regard to physical facilities, in terms of classroom space, computer facilities, labs, etc, which are to be rented from Fanshawe, the ORP was concerned by the lack of evidence of there being sufficient current excess capacity at Fanshawe to accommodate the rather large additional enrollment.
We have responded to this request with a comprehensive statement of agreement with
Fanshawe College that specifically addresses this concern. In the attached agreement,
D’Youville College and Fanshawe College agree that Fanshawe will provide the space needed to accommodate the larger number of students included in our initial proposal, thus ensuring that the substantially lower number of student space and facility requirements of the revised proposal will be more than adequately met by the agreement.
As far as representation on curriculum committees is concerned, faculty representation is appropriate, but student participation is somewhat limited. There is also no indication that students (and faculty?) based in Canada will have any role to play on Faculty Council committees. The representatives of D’Youville assured the ORP during the meeting that Canadian faculty and students would play a role, but there were no clear indications of how that would be organized
D’Youville commits to applying the U.S. model to its proposed Ontario operation in terms of student and faculty participation in development/revision of curriculum, academic policies, etc., and that Ontario faculty, where consistent with Canadian and Ontario law, will have the same benefits and voice as faculty working at the main campus in the U.S. operation. D’Youville confirms that the Ontario operation will have a curriculum and content focused for the Ontario context and requirements.
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Specifically, the D’Youville College Faculty Council includes all faculty at the College.
This is a requirement of the By Laws of the Faculty Council, and differs from the
College’s Graduate Council, which is representative in nature. The By Laws of the
Faculty Council thus ensure representation of those at Fanshawe on the Council. Since the proposed program is undergraduate, the issues addressed by the Graduate Council will have no relevance to the faculty, staff, or students at the Fanshawe campus.
D’Youville College commits to ensuring that students from the Fanshawe Campus will be represented at Faculty Council.
7.3: Ethical Conduct
A statement of ethical standards is submitted (7.3). However, there is no indication in the submission that this is board-approved. While the Panel has no authority to recommend such a change for the New York operation, the Panel believes that a Code of Ethics statement binding for all members of the College community (all students and employees) should appear in the Manual for the Ontario operation.
We include the following Institutional Ethical Conduct Statement, developed by the
President of D’Youville College and prepared for formal Board approval:
Institutional Ethical Conduct Statement
D’Youville College offers programs to students of all faiths, cultures, and backgrounds.
D’Youville honors its Catholic heritage and the spirit of St. Margeurite d’Youville by providing academic, social, spiritual, and professional development in programs that
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emphasize leadership and service. D’Youville teaches students to contribute to the world community by leading compassionate, productive, and responsible lives. Members of the
D’Youville College community are committed to the highest ethical standards in all their activities. Since they represent their college to the larger society, they have a special duty to exemplify the best qualities of their institution and to observe the highest standards of personal and professional conduct.
Our words and actions embody respect for truth, fairness, free inquiry, and the opinions of others. We respect all individuals without regard to race, color, sex, sexual orientation, marital status, creed, ethnic or national identity, handicap, or age. We uphold the professional reputation of our colleagues and give credit for ideas, words, or images originated by others. We avoid actual or apparent conflicts of interest and, if in doubt, seek guidance from appropriate authorities.
We follow the letter and spirit of laws and regulations affecting higher education.
We commit ourselves to fair and honest business practices that will guide the college in its conduct in the course of operations in Ontario.
7.4: Student Protection
The Academic Calendar is comprehensive, although it could contain more information on academic appeals, etc. It was not clear in the submission where the material in 8.3, Policy Awareness, appears in published material for students (most of the section headings do not appear in the calendar index). Nor is it clear what financial support Canadian students will be eligible for. Will they, for example, be eligible for the D’Youville Scholarships? No mention is made of student aid programs in Ontario. In
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general more material is required about the place of the Ontario-based students in the organization.
The Applicant commits to collecting signed confirmation from students that they are aware of policies and procedures, as stipulated in the Minister's Requirements,
(Directives and Guideline for Applying for Ministerial Consent Under the Post-secondary
Education Choice and Excellence Act, 2000 - available on the PEQAB website). The
Applicant also commits to the development of a calendar and student handbook for the
Canadian operation that accurately represents the policies in place at that site.
The attached Confirmation Form will be signed by all students that they are aware of policies and procedures, as stipulated in the Minister's Requirements. The attached
Confirmation Form’s student signature also indicates that the student understands the policies and procedures concerning academic honesty.
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Confirmation of Awareness of Organizational Practices and Policies of D’Youville College
The student’s signature below indicates that the student has been given a College Catalog and a Calendar and Resource Guide, and that the student has read and is aware of the College’s policies in these materials regarding:
• admission requirements • matters pertaining to international students • scholarships and other financial assistance • method of course delivery • grading • academic honesty • intellectual property • credit transfer arrangements and recognition by other organizations • withdrawals, dismissals, and refunds • supervision, preparation, and examination of theses/dissertations (if applicable) • complaints/grievances
I have read and am aware of the College’s polices as listed above.
______(Student signature) (Date)
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7.5: Academic Freedom and Integrity
The published policies of the College with regard to ethical research with human subjects are quite detailed and complete, and rather impressive for an institution which regards itself as a “teaching” institution which is more concerned with the dissemination than the generation of knowledge. The ORP found a number of inadequacies in the policies in this area, which representatives of D’Youville agreed to rewrite, although to date no such material has been received.
For example, the statement on Academic Freedom, 9.1 (b) states that “Limitations of academic freedom because of religious or other aims of the institution should be clearly stated in writing at the time of the appointment.” However, what these limitations are or might be is not explained. The statement on academic freedom is thus incomplete.
D’Youville College has approved the following policy:
The Canadian Association of University Teachers is dedicated to the promotion and protection of academic freedom. The common good of society depends upon the search for knowledge and truth and its free expression. Academic freedom is essential for these purposes. Academic freedom does not require neutrality on the part of the individual.
Rather academic freedom makes commitment possible.
Academic staff, like all other groups and individuals, are entitled to enjoy recognized civil, political, social and cultural rights. Therefore, all academic staff must enjoy freedom of thought, conscience, religion, expression, assembly and association as well as the right to liberty and security of the person and liberty of movement. They must not be hindered or impeded in exercising their civil rights as citizens, including the right to contribute to social change through freely expressing their opinion of state policies and of policies affecting higher education. They must not suffer any penalties simply because of the exercise of such rights.
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Academic staff are entitled to the exercise of academic freedom. Academic freedom includes the right, without constriction by prescribed doctrine, to freedom of teaching and discussion, freedom in carrying out research and disseminating and publishing the results thereof, freedom in producing and performing creative works, freedom to engage in service to the institution and the community, freedom to express freely their opinion about the institution, its administration, or the system in which they work, freedom from institutional censorship and freedom to participate in professional or representative academic bodies.
Academic staff must not be forced to teach against their own best knowledge and conscience or be forced to use curricula and methods contrary to national and international human rights standards. Academic staff must play the predominant role in determining educational standards, consistent with standards of ethical conduct and institutional integrity. All academic staff must have the right to fulfill their functions without discrimination of any kind and without fear of repression by the state or any other source.
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There is a comprehensive policy on intellectual property for employees, but not for students.
The following policy has been adapted from the College’s policy on intellectual property for the faculty, and will be implemented at D’Youville College.
M. Scope
This Article sets forth the rights and obligations of the parties hereto as to
intellectual property rights of the College and of the students, such rights to
include but not to be limited to rights in intellectual property that can be
trademarked, copyrighted, or patented.
N. Definitions
9. Copyright/Copyrightable
s. literary works
t. musical works, including any accompanying words
u. dramatic works, including any accompanying music
v. pantomimes and choreographic works
w. pictorial, graphic, and sculptural works
x. motion picture and other audiovisual works
y. sound recordings
z. architectural works
aa. computer programs
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10. Intellectual Property
Any trademarkable, copyrightable, or patentable matter or any
intellectually created tangible thing or matter including, but not limited to,
books, tests, articles, monographs, glossaries, bibliographies, study
guides, laboratory manuals, syllabi, tests and work papers, lectures,
musical and/or dramatic compositions, unpublished scripts, films,
filmstrips, charts, transparencies, other visual aids, video and audio tapes
and cassettes, computer programs, live video and audio broadcasts,
programmed instruction materials, drawings, paintings, sculptures,
photographs, and other works of art.
11. Patent/Patentable includes:
g. inventions or discoveries which constitute any new and useful
process, machine, manufacture, or composition of matter or any
new and useful improvement thereof,
h. designs, being new, original and ornamental designs for an article
made,
i. plant patents, being for the asexual reproduction of a distinct and
new variety of plant, including cultivated sports, mutants, hybrids,
and newly-found seedlings, other than a tuber propagated plant or
plant found in an uncultivated state,
12. Trademark/Trademarkable
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Any word, name, symbol, or device, or combination thereof adopted and
used by a student to identify his goods and distinguish them from those
made, manufactured, or sold by others.
O. Ownership and Limitations
10. Except as limited below in Section C (2), (3), and (4), it shall be presumed
that intellectual property created, made, or originated by a student
covered by this Agreement shall be the sole and exclusive property of
such student for perpetuity or so long as the federal law applicable
thereto allows and the student may choose individually to contract away
such property in full or in part. Creatorship of intellectual property shall be
presumed in the claiming student as against the College. Intellectual
property created by the student in the fulfillment of the student’s normal
duties and responsibilities under this agreement is presumed to belong to
the student for proprietary or marketing purposes outside of the College
but is available to the College for internal review and for review by
external agencies regulating the College.
11. The College shall have the right to purchase intellectual property created,
made, or originated by a student. If the College does not exercise this
right and Section C (4) and/or (5) are not applicable, ownership shall vest
in the student as outlined in Section C (1), above.
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12. The College is the presumed owner of intellectual property only when the
College enters into an agreement with the student to specifically create
such specified intellectual property in exchange for compensation and this
agreement specifically outlines the development obligations and the
College’s exclusive ownership.
13. The College and the student are joint owners of intellectual property when
they enter into a specific agreement to create such intellectual property
and such agreement shall define the development obligations and
ownership share of each party.
P. Use of Funds From Sale of Intellectual Property
5. Funds received by the College from the sale of intellectual property
owned by the College shall be allocated and expended as determined
solely by the College.
6. Funds received by the student and by the College from the sale of
intellectual property owned jointly by the student and the College shall be
allocated and expended in accordance with the specific agreement
negotiated by the student and the College concerning such jointly owned
intellectual property.
Q. Obtaining Copyrights, Patents, or Trademarks
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It shall be the obligation of the creator of the intellectual property to act to protect
his or her rights pertinent thereto under the law at the creator’s sole cost and
expense. Nothing set forth herein shifts the aforesaid obligation from the student
to the College.
R. Development Obligations
5. It is understood that intellectual property developed by students on or off
College time, except for those materials for which the College had
specifically contracted, prior to August 31, 1999 shall remain the property
of such students but shall continue to be used for the benefit of the
College while the student remains enrolled at the College.
6. The resources, including materials and time, required to develop
intellectual property shall be provided by the presumed owner of the
intellectual property. Intellectual property may be used in the classroom
to further its efficacy and efficiency without jeopardizing this section of the
agreement.
Although the College has a full and comprehensive policy with regard to ethical research standards, including adherence to US Federal Regulations and to the principles of the Belmont Report, there needs to be reference to
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the Tri-Council Policy with regard to the Canadian operation. There appeared to be no policy with regard to the management of research funds.
D’Youville College has been moving in the direction of graduate education and research over the past 10 years, and we thank the Panel for its recognition of our efforts to have detailed policies in place with regard to ethical research. We also recognize that many of the policies in place are common to both countries, and, in fact, are common to all ethical research, although the sources of reference for such policies differ between the two locations. We also recognize that the proposed program does not involve the students in any comprehensive way in research activities. However, in response to the
Panel’s review of our policies, we include the statement that D’Youville College faculty, staff and students will maintain strict adherence to the research policies stated in the Tri-
Council Policy Statement on the “Ethical Conduct for Research Involving Human
Subjects” (2003).
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The Academic Honesty Policy appears to apply only to students. A more comprehensive policy applying as well to faculty, administration and other employees is necessary. A statement of ethical conduct binding on all members of the college community should be developed for the Ontario operation.
The Academic Honesty Policy statement now applies to students, faculty and staff, on the D’Youville Campus and will apply to the Fanshawe Campus.
As the college has no “enrolment contract” perhaps it would be prudent if a sentence could be printed on the bottom of the Registration card to the effect that “I have received a copy of both the College Calendar and the Student Handbook, and I accept the rules and regulations contained therein and agree to adhere to them.”
The College proposes the following in accordance with the Panel’s recommendation, and to meet the requirements of the PEQAB Board:
The Applicant commits to collecting signed confirmation from students that they are aware of policies and procedures, as stipulated in the Minister's Requirements,
(Directives and Guideline for Applying for Ministerial Consent Under the Post-secondary
Education Choice and Excellence Act, 2000 - available on the PEQAB website). The
Applicant also commits to the development of a calendar and student handbook for the
Canadian operation that accurately represents the policies in place at that site.
The attached Confirmation Form will be signed by all students that they are aware of policies and procedures, as stipulated in the Minister's Requirements. The attached
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Confirmation Form’s student signature also indicates that the student understands the policies and procedures concerning academic honesty.
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Confirmation of Awareness of Organizational Practices and Policies of D’Youville
College
The student’s signature below indicates that the student has been given a College Catalog and a Calendar and Resource Guide, and that the student has read and is aware of the College’s policies in these materials regarding:
• admission requirements • matters pertaining to international students • scholarships and other financial assistance • method of course delivery • grading • academic honesty • intellectual property • credit transfer arrangements and recognition by other organizations • withdrawals, dismissals, and refunds • supervision, preparation, and examination of theses/dissertations (if applicable) • complaints/grievances
I have read and am aware of the College’s polices as listed above.
______(Student signature) (Date)
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7.6: Financial Stability
Although both the audited financial statements for 2001 and 2002, and the projected financial statements for 2003 and 2004 indicate that the financial viability and stability of D'Youville College is firm, because the tuition to be charged by D'Youville College in the Ontario operation for a Bachelor's degree is significantly above that charged by other Universities and Colleges in Ontario, the estimated tuition revenues for 2003 and 2004 appear to be somewhat overly optimistic. Therefore, because of the uncertainty associated with these estimates, and given that London is not an underserved area with respect to teacher training, the ORP would have liked to have received assurances that even if the actual revenues for the Fanshawe College-based operation does not exceed the actual cost of running the Fanshawe College-based operation, it will maintain this program at least until the students already enrolled in this program have graduated.
As addressed above, D’Youville has revised its enrolment projections downward to accommodate a one-year, 3-semester program leading to a Bachelors of Education degree. The statement above also confirms that, in the event that revenues do not exceed cost, D’Youville College commits to maintaining the program until students already enrolled in the program graduate.
7.7: Dispute Resolution
In general, The Academic Appeal Process, although inclusive, does not fully satisfy the natural justice principles typically adopted for these procedures. Details of inadequacies found by the ORP are given in the Workbook. Briefly, they include the following concerns:
D’Youville College recognizes the issues identified here, and has addressed each on a point-by-point basis:
There is no explanation of how the grievance procedures in place will be made available to students in Ontario.
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An explanation of the Grievance Procedure and its application at the Fanshawe
Campus:
GRIEVANCE PROCEDURE
The college is committed to the education and social development of its students and equitable treatment in accord with the Ontario Human Rights Act. If, in the course of this complex educational process, a student feels he/she has been treated unfairly by a college employee, the college has both a standard grievance procedure and a grievance officer. The grievance officer functions to assist and advise students in the processing of complaints. Students are encouraged to use this officer to address legitimate problems and concerns. The student grievance officer for the D’Youville Campus at Fanshawe
College will be the Program Director at the Fanshawe campus.
RECOMMENDED GRIEVANCE PROCEDURE:
1. Wherever and whenever possible, the student should first attempt to rectify
the situation by dealing directly with the employee(s). This should be done
within five working days of the incident(s) in question.
2. If the student remains unsatisfied after step 1, the student is to appeal to the
employee's superior (coordinator, director, department chairperson, etc.) to
seek a resolution acceptable to both sides. This is to be done within five
working days of completion of step 1.
3. If the student remains unsatisfied after step 2, he/she may appeal, in writing,
to the senior officer overseeing the particular employee/area. At this point,
the senior officer has the option to convene a three-member review panel to
help make recommendations back to the senior officer. The panel shall be
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made up of one student, one faculty member and one administrator from the
Fanshawe campus. The senior officer will investigate the grievance and
report back to the complainant, in writing, within five working days. Please
note that steps 2 and 3 may be combined.
4. If the student remains unsatisfied after step 3, he or she has the option of
appealing to the college Judicial Review Board. Requests to the Judicial
Review Board must be made in writing to the grievance officer within five
working days after a decision at the senior administration level.
There is no explanation of how the membership of the review panel, or that for the Student Conduct Committee, will be established.
The College appreciates the Panel’s suggestion that the review panel include as external members those at Fanshawe College. This has been included in the reply below.
There is an explanation of how the student can gain information about the Judicial Review Board, but the appropriate material is not provided in this submission.
The Material describing the Judicial Review Board and how students will gain access to this information is detailed below. In brief, students will receive the Fanshawe Campus Calendar, Resource Guide and Planner, and a
College Catalog, which will contain the information about the Judicial
Review Board, and will sign the “Confirmation of Awareness of
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Organizational Practices and Policies of D’Youville College” included above under Benchmark 7.5 Academic Freedom and Integrity.
There is an outline of the process by which a student may file a complaint in New York State. Presumably this is not a process available to students in Ontario. What will the parallel process be, or will there be one?
There will be a parallel process at the Fanshawe Campus.
The Academic Appeal Process does not appear fully to satisfy the natural justice principles typically adopted for these procedures; namely, should an appeal proceed to a Hearing by the Judiciary Council, the student should be given an opportunity to appear before the Council (either in person alone, or with an advocate) to present his case, and answer questions from members of the Council.
The designated final appeal forum for all parties (students, faculty, staff members) appears to be the President of the institution. This does not seem to satisfy the benchmark requirement "for a final internal review by a body of persons not involved in the dispute in any way". Furthermore, this could likely cause problems in cases where either a student or a staff grievance was with the administration or, indeed, with the President.
The Academic Appeal Process has been adapted to function on the
Fanshawe Campus. We have revised the final appeal final internal review to be composed of one student, one faculty member, and one officer from
Fanshawe College.
The sexual harassment policy, whether it deals with faculty, staff, administration, or students, simply indicates that complaints should be made, that they will be dealt with without prejudice through a confidential investigation, and that such complaints are both serious and may be of various forms. But the policy does not say who will deal with the complaints or how they will be dealt with.
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The following policy clarifies that Sexual Harassment cases follow the procedures applicable under the complaint policy:
Sexual Harassment
In the case of students/employees wishing to file a grievance in relation to sexual discrimination, it is recommended that they follow the grievance procedure in writing. However, the student/employee is encouraged to seek out the Fanshawe College equity officer to assist with the processing of the complaint.
A full detailing of Judicial Review Board policies and procedures follows:
Final Review and Appeal
D’Youville College students, faculty and staff on the Fanshawe campus will have the right to appeal decisions of the Judicial Review Board to a committee composed of members of Fanshawe College. The composition of this group will be one administrator, one faculty member, and one student. Appeals should be made by the individual appealing in writing within five working days from the receipt of the decision of the
Judicial Board. Decisions will be rendered within five working days.
2: Nature of Evidence Provided – Executive Summary
In general, the Organization Review Panel was concerned that there appeared to be little in the formal submission that explained how the policies and procedures in place in New York would be adapted to the Ontario
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context, nor any explanation of how the Ontario operation would fit into the institution as a whole. The Panel was satisfied that D’Youville College was a reputable institution which no doubt provides its students in New York with a quality education in education, but there was little evidence that thought had been given to the complications involved in transferring part of the operation to Ontario, and satisfying the needs of accreditation in Ontario.
3: Results of Discussions with the Applicant – Executive Summary
During the meeting with the representatives of D’Youville, all the forgoing concerns were expressed. In most cases, D’Youville committed itself to rewriting and amplifying the policies. It was the understanding of the ORP that the rewritten material would be submitted to the Panel in short order, for evaluation against the standards and benchmarks. However, after 2 months no such material has arrived, and thus the ORP decided to submit its report to PEQAB based on the original submission.
The College recognizes that the above sections address the Panel’s Executive Summary of the areas requiring further information and/or clarification. We felt strongly that the
Panel required re-written policies in many areas that would only be acceptable when approved by either the on-campus governing agencies, or those that involve cooperative agreements with Fanshawe College.
D’Youville College has a strong history of matching policy to federal, state and local guidelines, as well as international regulations. As a small, independent College seeking approval to offer programs in Canada, we are required to verify that any revisions to our existing policies and/or procedures would meet with approval of all involved with this new venture. We also felt that the Organizational Review Panel (ORP) and the PEQAB
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Board would prefer that revisions be approved prior to re-submission, whenever and wherever possible, to ensure that there was agreement to the policy revisions.
As an example of this, the College’s response to a revision to the area of academic freedom required by the Panel necessitated a change in the contract between the College and its employees, which required approvals of the employees, College President, and the Board of Trustees. Such an important change required an understanding and agreement in a relatively short time interval that demonstrated a strength of a small, independent college, but which required more time than was initially anticipated by either the College or the ORP Panel.
Thus, we thank the Panel for their comprehensive and detailed reply to our proposal, their suggestions to us with regard to the direction needed for our responses, and for their appropriate submission of their Report to PEQAB so that we could have the opportunity to confirm our replies across our governing agencies.
4: Organization’s Strengths and Weaknesses – Executive Summary
This is well-established and financially stable New York college which offers reputable teacher-training on its own campuses. There is no real reason to believe that they could not do the same in Ontario. Unfortunately they do not seem to have faced up to the alterations in policies, procedures, etc., which will be necessary to set up operation in London Ontario.
We are pleased to agree with the ORP Panel’s indication that we have every likelihood of offering a program of the highest quality in the field of Education at the Fanshawe
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Campus as we do in New York State for so many of our U.S. students and our Canadian neighbors. We thank the Panel for their support of our existing programs, and for their thorough review of our existing and/or adapted policies that require further change to allow for operation in London Ontario. This reply addresses all of the concerns of the
ORP Panel in order to ensure that the revisions provide sufficient detail to meet or exceed the benchmarks identified by the PEQAB Board to grant approval to offer programs in London Ontario.
The College recognizes that the above sections address the Panel’s Executive Summary of the areas requiring further information and/or clarification. Further, the College has made every effort to address these areas by revisions in current policies that require approval by either the on-campus governing agencies, or those that involve cooperative agreements with Fanshawe College. D’Youville College
In order to respond to each area under the Benchmarks, the College has chosen to reply in a somewhat redundant fshion to ensure that the PEQAB Board members will have easy references at each position in the ORP Panel’s Report. That is, in addition to the detailed reply to each of the concerns raised in the Executive Summary above, similar information with occasional detail is supplied in each of the individual Benchmark areas identified by the Workbook ratings of “R” or “M” below. We hope that this allows the
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PEQAB Board members more direct access to each of our replies in each section of the
Workbook, rather than jumping back and forth from references to, to the replies in the
Executive Summary section above.
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PEQAB May 2003 Postsecondary Education Quality Assessment Board Commission d’évaluation de qualité de l’éducation postsecondaire
______
Organization Review Panel Workbook (Full Version)
for
D’Youville College
Applying for Ministerial Consent Under the Post-secondary Education Choice and Excellence Act, 2000
Submit to
Postsecondary Education Quality Assessment Board 9th floor, Mowat Block 900 Bay Street Toronto, Ontario Canada M7A 1L2
Telephone: 416-325-1686 Fax: 416-325-1711
E-mail: [email protected] Web: http://peqab.edu.gov.on.ca
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PART A
ORGANIZATION REVIEW:
BOARD REQUIREMENTS
NOTE: STANDARDS AND BENCHMARKS THATARE SHADED WILL BE ASSSESSED BY THE BOARD SECRETARIAT.
THE ORGANIZATIONAL REVIEW PANEL’S FOCUS IS ON THE NON-SHADED STANDARDS BENCHMARKS
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7.1 Mission Statement and Academic Goals
Standard: The governing body has approved a mission statement and academic goals that identify the academic character and aspirations of the organization, including the extent to which the Applicant is committed to the dissemination of knowledge through teaching and, where applicable, the creation of knowledge and service to the community or related professions.
Benchmark Ratings Submissio Rating To ensure clarity about the Panel’s judgment, please rate the proposal against each n of the benchmarks. Appendix
Benchmark Rating Scale F = fails to meet the benchmark R = requires revisions to meet the benchmark M = meets or exceeds the benchmark
1. The applicant provides a clear and well-articulated mission and goals 5.1 R statement.
2. Programs are clearly related to the Applicant’s mission and goals. 5.2; R 5.3 3. Resources are used to advance the mission. 5.4 R
4. Appropriate academic policies support the mission. 5.5 R
1.a. Did the Panel have the information it needed to form a sound judgement on each of the benchmarks? Yes [ x ] No [ ]
1.b. Comment on the reliability, sufficiency, and validity of the evidence. The material was comprehensive with regard to the Buffalo operation. Unfortunately, it had not in general been adapted to fit into the Canadian context.
2. The Applicant: ____ fails to meet this standard; __x_ requires revisions to meet this standard; ____ meets or exceeds this standard.
3. Please explain the rating, referring to the evidence for it. Identify areas of particular strength or weakness.
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o Strengths: The Mission Statement and Academic Goals are clear and consistent with the programs offered by the institution in New York. o Weaknesses: Benchmarks 1 & 2: It is not entirely clear how these goals are to be achieved in the context of a much smaller satellite operation in London Ontario. Will, for example, the students have the same broad selection of courses available in New York to fulfill the Liberal Arts and other breadth requirements? Will courses be revised to reflect the Ontario and Canadian context? There is little indication in the submission of sensitivity to changes that should be made to reflect the situation of an academic program based outside of New York.
With regard to the implementation of the College’s Mission, we feel that the offering of an Education program in the Province of Ontario is an integral part of our Mission statement. We recognize that the Panel has asked for specifics regarding the implementation of policies that were written for students in the U.S. that support the
Mission, and our responses to these specifics are detailed below.
D’Youville’s expansion into the province of Ontario is one predicated on important aspects of the institution’s mission: to offer baccalaureate programs to students of all faiths, cultures and backgrounds; to provide academic and professional development in programs that emphasize leadership and service; and to teach students to contribute to the world community by leading compassionate, productive and responsible lives.
D’Youville seeks permission to educate Canadian students as professional teachers.
The institution has an historic connection with Canada in the person of St. Marguerite
D’Youville, founder of the Gray Nuns. D’Youville currently attracts approximately one thousand Canadian students to its U.S. campus for study and has a long and successful
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history of preparing students for professional employment as teachers in the Province of
Ontario.
Expansion into Ontario would facilitate the ongoing mission of the college to provide access to degree study to a diverse student population and permit D’Youville to provide a larger segment of the Canadian population with the opportunity to study at an institution with a distinct and highly successful approach to training professional educators.
D’Youville is committed to retaining a strong emphasis on its institutional mission and, if afforded the opportunity to operate in Ontario, would train and enculturate its employees to ensure a perpetuation of institutional mission and identity.
The issue raised by the Organizational Review Panel (ORP) regarding the breadth of liberal arts offerings at the Fanshawe Campus was in response to our initial proposal to offer a two-year program leading to a bachelors degree in Education, as described in our initial material contained in Form B (our initial Program Proposal). D’Youville College recognizes that the offering of a bachelors degree in Education requires a prior bachelors degree with a strong liberal arts background, and thus has revised its proposal as detailed in a revised Form B application. The College has revised its proposal to request approval to offer a bachelors degree in Education as the
Professional Area of Study, involving a one-year, 3-semester program of professional coursework in Education. This proposal requires a prior degree in liberal arts education for admission, and therefore no longer includes coursework in liberal arts.
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Benchmark 3: The original submission contained no material relating to the agreement between D’Youville and Fanshawe. A draft agreement was provided to the Panel at the meeting. Formal confirmation of the agreement should be part of the final submission to PEQAB. The ORP would also, in view of indications in the Strategic Plan that the College is under enrolment and financial pressures, like to see a commitment to maintain the program in Canada until all students who have entered that stream actually complete their degrees. The draft agreement, in its final clause (7.8), includes an agreement that in the event of the failure of D’Youville to make the appropriate payments to Fanshawe and thus the termination of the agreement, students will be accommodated to complete their programs. This clause should be broadened and should indicate whose responsibility it is to make provision for students with unfinished programs as well as the site at which the programs will be completed.
The agreement between D’Youville College and Fanshawe College is included as an attachment to this detailed reply to the ORP Panels’ Review.
The College commits to the agreement that, should enrolment quotas not be met and the program terminated, D’Youville College will teach out all students enrolled in the program, as is stated in the attached agreement with Fanshawe College.
Our initial proposal included enrollment projections based upon a program that led to the award of a Bachelors degree in Education (B. Ed.) over a two-year period. This initial proposal, as detailed in the initial Form B submission was based on the expectation that students would complete two years of Liberal Arts coursework, then complete the B. Ed. in years 3 and 4. We have revised our program proposal (Form B) to recognize that
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students must first complete a Bachelors degree in a Liberal Arts field, then enroll in a
Bachelors program leading to a degree in Education.
Thus, our revised proposal will describe a program that requires for admission a Liberal
Arts Bachelors degree, and includes a one-year, 3-semester program leading to a
Bachelors degree in Education in accordance with the Guidelines of the Ontario College of teachers (OCT).
This program revision has substantially revised our enrollment projections, such that we now project a total of 225 students in the program at any one time. We borrow from our revised Form B materials the enrollment projections table that addresses the concern of the Panel:
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Benchmark 8.4 Enrolment Projections and Staffing Implications (Capacity to Deliver, Benchmark 3, 6 Handbook - Private, 9.5)
Staffing Requirements – Projected Cumulative Cumulative Cumulative Add columns Ratio of Enrolment* Full-time Part-time to account for Full-time Full- Part- Faculty Faculty technical Students/ Time Time Equivalents Equivalents support, Full-time (F.T.E.) (F.T.E.) teaching Faculty assistants, and so on Year 1 150 3 2 25:1
Year 2 225 5 5 25:1
Year 3 225 5 5 25:1
Year 4 225 5 5 25:1
* Show the The proposed program anticipates two entry terms per year: Summer and method Winter. Each of these entry points anticipates admitting 75 students in a used to cohort. Across terms, it is anticipated that there will be some attrition of calculate students, thus resulting in the numbers projected above. cumulative enrolment:
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Benchmark 4: The Academic Policies referred to in this section make exclusive reference to American institutions; for example, the right of the student “to maintain an action or proceeding in the supreme court of the county in which such institution of higher education is located.” There appear to be no policies with regard to recognition of Canadian human rights legislation and employment standard laws, either for students, staff, faculty or administrators, who may be Canadian citizens and participate in the delivery of university level courses in Canada. Such policies should be rewritten to place these rights in the context of Ontario, and to make reference to such policies as the Ontario Human Rights Act. The Copyright and duplication policy makes reference to U.S. copyright laws, despite the fact that Canadian copyright laws differ from their American counterparts. In fact, some of the copyright information in the handbook is at odds with Canadian regulations with respect to duplication. Fanshawe College is probably a party to the Cancopy/Access agreement, and the material ought to reflect that fact and contain the proper information. The handbook fails to mention student aid programs in Ontario. Presumably an academic calendar will be prepared for the Canadian operation, and this document should clearly indicate that for all the participants in the program offered in Ontario (faculty, staff, students and administration) the laws of Ontario and Canada will apply. It should also include an account of how all the policies in place for the American operation will apply to students registered in the Ontario operation. Prior to such a calendar and handbook being prepared, D’Youville should clarify for PEQAB the application of all its policies on the Ontario campus. The various agreements, handbooks, etc provided to the Panel after the meeting make clear that D’Youville has a comprehensive set of academic and administrative policies. However, in all these cases (e.g., the Computer and Electronic Equipment Policy, the Employee and Dependent/Spouse Tuition Waiver Policy, the Drug and Alcohol Policy, the Fundraising Activity policy) there is no indication how these policies will be applied on the Fanshawe campus.
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o Rating Rationale:
4.a. Where applicable, indicate the major/minor areas in which revisions are required. b. Where appropriate, indicate the steps the Applicant might take to meet this standard. Almost complete rewriting of policies in the Ontario context. A final statement from Fanshawe College that it is prepared to provide the necessary resources under the conditions specified. 5. Detail any commitments (or important clarifications) that the Applicant made to the Panel which were not part of the original proposal and that were critical to the Panel’s final assessment of this standard. The representatives of D’Youville agreed that they would rewrite the appropriate policies, but two months after the meeting no such material has arrived. 6. Was there any significant divergence of opinion over the Applicant’s ability to meet this standard?
Yes [ ] No [x ] If yes, please explain.
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We have revised policies to address the concerns expressed by the Panel and required for REQAB approval. These policies involve such areas as the grievance procedure, human rights of subjects in research, and the incorporation of language from the Ontario
Human Rights Act.
We include the following policies regarding the filing of grievances, sexual harassment, and the comprehensive role of the ombudsman at the proposed Fanshawe Campus that includes language incorporating the Ontario Human Rights Act:
GRIEVANCE PROCEDURE
The college is committed to the education and social development of its students and equitable treatment in accord with the Ontario Human Rights Act. If, in the course of this complex educational process, a student feels he/she has been treated unfairly by a college employee, the college has both a standard grievance procedure and a grievance officer. The grievance officer functions to assist and advise students in the processing of complaints. Students are encouraged to use this officer to address legitimate problems and concerns. The student grievance officer for the D’Youville Campus at Fanshawe
College will be the Program Director at the Fanshawe campus.
RECOMMENDED GRIEVANCE PROCEDURE:
1. Wherever and whenever possible, the student should first attempt to rectify
the situation by dealing directly with the employee(s). This should be done
within five working days of the incident(s) in question.
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2. If the student remains unsatisfied after step 1, the student is to appeal to the
employee's superior (coordinator, director, department chairperson, etc.) to
seek a resolution acceptable to both sides. This is to be done within five
working days of completion of step 1.
3. If the student remains unsatisfied after step 2, he/she may appeal, in writing,
to the senior officer overseeing the particular employee/area. At this point,
the senior officer has the option to convene a three-member review panel to
help make recommendations back to the senior officer. The panel shall be
made up of one student, one faculty member and one administrator from the
Fanshawe campus. The senior officer will investigate the grievance and
report back to the complainant, in writing, within five working days. Please
note that steps 2 and 3 may be combined.
4. If the student remains unsatisfied after step 3, he or she has the option of
appealing to the college Judicial Review Board. Requests to the Judicial
Review Board must be made in writing to the grievance officer within five
working days after a decision at the senior administration level.
Sexual Harassment
In the case of students/employees wishing to file a grievance in relation to sexual discrimination, it is recommended that they follow the grievance procedure in writing. However, the student/employee is encouraged to seek out the Fanshawe College equity officer to assist with the processing of the complaint.
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A full detailing of Judicial Review Board policies and procedures follows:
Final Review and Appeal
D’Youville College students, faculty and staff on the Fanshawe campus will have the right to appeal decisions of the Judicial Review Board to a committee composed of members of Fanshawe College. The composition of this group will be one administrator, one faculty member, and one student.
Appeals should be made by the individual appealing in writing within five working days from the receipt of the decision of the Judicial Board.
Decisions will be rendered within five working days.
Fanshawe Campus Ombuds Office
D’Youville College students on the Fanshawe Campus will also have access to the Fanshawe Ombuds Office. The Ombuds Office was created in 1993.
Its mandate is to deal with complaints related to all areas of student life at the college. The office is overseen by an advisory committee comprised of
Students, Staff, Faculty and Administrators.
Characteristics of Ombuds Offices
There are three characteristics of Ombuds Offices: Impartiality, Independence
and Confidentiality.
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Impartiality - The Ombuds office takes a non-aligned role when hearing a concern.
Independence - The Ombuds Office operates independently of the usual administrative authorities. The Ombuds Office was created as the result of an agreement between the College and the Student Union. The office is jointly funded by these two entities, and reports to the College President and an advisory committee made up of members from all College constituencies, including the Student Union. This, along with the terms of reference for the
Ombuds office, promotes the independence and impartiality of the office.
Confidentiality - All communication with the Ombuds will be treated as confidential. The Ombuds has access to the information and files generated from discussions with students only when students specifically give their permission to release information so that an investigation may proceed. The only exceptions to this is if information is subpoenaed by a court of law, or the Ombuds believes there is a risk to personal safety, but these cases are rare and have never happened here at Fanshawe College.
Many students make use of this confidential service to get advice about specific issues at the College or to access College Policy.
In order to ensure confidentiality, the Ombuds only pursues complaints with the consent of the complainant.
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The Ombuds has limits
Consulting the Ombuds is not a substitute for seeking help or information through normal channels. Routine inquiries about College services are best directed to the appropriate office. In most cases, you should try to solve your problem with the office or person you have the problem with. If you are uncertain where to start, you are unable to resolve the problem, or the matter is so serious that you would have difficulty approaching anyone, the Ombuds office is an appropriate place to come.
The Ombuds does not act as an advocate or an adjudicator.
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Agreement Concerning the Mandate for The Fanshawe College Ombuds Office
1. Preamble
Fanshawe College is committed to the just and fair treatment of every member of the college community. In keeping with this commitment, the College joined with the
Fanshawe Student Union in 1993 to create a jointly funded Ombuds Office.
2. Ombuds Office Mandate
The mandate of the Ombuds Office is to:
1. Receive, investigate, and seek to resolve, at the request of any member of the college community, or upon the Ombuds' own motion, any problems, or complaints with regard to any aspect of college life.
2. Provide general information about College resources, procedures and rules, and advise visitors of their rights and responsibilities in situations where problems or questions may arise.
3. Make recommendations to those in authority with a view to remedying the situation of individuals, and recommend changes in rules or procedures, which would have the effect of making the College, or Student Union more fair in their operations.
3. Statement of Principles
In order to accomplish its mandate, the Ombuds Office will adhere to the following principles.
1. Impartiality: The Ombuds shall take a non-aligned, impartial role when, receiving, assessing and investigating complaints, and making recommendations.
2. Independence: The Ombuds Office operates independently of the usual College and
Student Union administrative structures. Fanshawe College and Fanshawe Student
Union jointly fund the Ombuds Office. The Ombuds reports to the College President and
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an advisory committee made up of members from all College constituencies, including the Student Union.
3. Confidentiality: All communication with the Ombuds Office will be treated as confidential. The Ombuds will only access files, and release information, so that an investigation may proceed, when the party initiating the complaint has given their permission. Notwithstanding these provisions, the Ombuds reserves the right to break confidentiality in cases where imminent physical safety is at risk, or the Ombuds is legally required to disclose information.
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In response to the ORP Panel’s identified weakness regarding the College Calendar,
D’Youville College commits to ensuring that its “Calendar, Resource Guide, and
Planner”, which includes key information for students regarding the College calendar, policies on sexual harassment, copyright issues, grievance procedures, etc. will be adapted and published to follow Canadian guidelines and policies, which differ from those in the U.S. While the policies presented to the ministry exclusively reference
American operation, D’Youville recognizes the need to conform to regulations of Canada and Ontario. As such, D’Youville commits to eventual revision of policies as relevant where necessary. D’Youville understands that should a recommendation to grant a consent go to the Minister, the Minister may require as a condition of the consent a process requiring that policies conform to law in Ontario.
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7.2 Administrative Capacity
Standard: The Applicant has the legal characteristics, governance structure and administrative capacity necessary to organize and manage a competent institution of higher learning.
Benchmark Ratings Submissio Rating To ensure clarity about the Panel’s judgment, please rate the proposal against each n of the benchmarks. Appendix
Benchmark Rating Scale F = fails to meet the benchmark R = requires revisions to meet the benchmark M = meets or exceeds the benchmark
1. The Applicant identifies the organization’s legal characteristics through 6.1 Yes [ ] submission of its articles of incorporation, statutory authority, or No [ ] partnership agreement where applicable; when part of a larger organization, the Applicant identifies the legal nature of that relationship. 2. The organization has an appropriate governing structure, such as a 6.2 M governing body that is the legally constituted body responsible for managing the assets of the organization and maintaining the purpose, viability and integrity of the organization, achieving institutional policies and goals, selecting administrative leadership, and providing the appropriate physical, fiscal, and human resources. 3. The organization’s reporting structure clearly indicates the relationship 6.2 M between the owners, and the governing and managing bodies. 4. Governance and decision-making structures are clear, effective, and 6.2 M consistent with the Applicant’s academic purposes. 5. The organization has qualified senior administrative staff, including a 6.3 R chief executive officer who is accountable to the governing body and whose full-time or major responsibility is the administration of the institution. 6. The organization has the administrative capacity to manage effectively 6.4 M an institution of higher learning as demonstrated by co-ordinated business and academic plans detailing the organization’s commitment to the academic quality of program content and delivery. 7. Development of the curriculum, academic policies, and standards 6.5 R includes appropriate participation by qualified academic staff and appropriate forms of consultation with students. 8. The organization has sufficient administrative staff with clear lines of 6.6 R administrative authority and accountability to conduct the affairs of the institution.
Note: Benchmarks which are grey-shaded do not need to be assessed by the Panel
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1.a. Did the Panel have the information it needed to form a sound judgement on each of the benchmarks? Yes [ x ] No [ ]
b. Comment on the reliability, sufficiency, and validity of the evidence. Again, not enough attention was paid in the submission to the Canadian context in which the London operation will be placed. 2. The Applicant:
____ fails to meet this standard; _x__ requires revisions to meet this standard; ____ meets or exceeds this standard.
3. Please explain the rating, referring to the evidence for it. Identify areas of particular strength or weakness. o Strengths: The College has an administrative structure appropriate to an institution of post-secondary education, appropriately qualified administrative staff, and appropriate participation of faculty in academic decision-making, although the administrative structure of the proposed Canadian operation is not specified. o Weaknesses: Benchmark 2, 5 & 8: There is no administrative structure specified for the proposed Ontario operation at Fanshawe College. Benchmark 6: With regard to physical facilities, in terms of classroom space, computer facilities, labs, etc, which are to be rented from Fanshawe, the ORP was somewhat concerned by the lack of evidence of their being such current excess capacity at Fanshawe to accommodate the rather large additional enrollment. Benchmark 7: Faculty representation on policy development committees is appropriate, but student participation is somewhat limited. There are student members on three standing committees of the Faculty Council, which fulfills the role of a Senate for undergraduate studies, but there are no student members of the larger body. The Graduate Council, the parallel body for Graduate Studies has a student representative on both standing committees, but no student representation on the main body. In both cases the ORP thought greater student representation was desirable. Crucially, there is also no
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indication that students (and faculty?) based in Canada will have any role to play on Faculty Council committees. The representatives of D’Youville assured the ORP during the meeting that Canadian faculty and students would play a role, but there were no clear indications of how that would be organized. o Rating Rationale:
4.a. Where applicable, indicate the major/minor areas in which revisions are required. b. Where appropriate, indicate the steps the Applicant might take to meet this standard. The place of the proposed Canadian operation in the administrative structure, and the opportunities for Canadian faculty and students to take part in academic decision making need to be specified.
5. Detail any commitments (or important clarifications) that the Applicant made to the Panel which were not part of the original proposal and that were critical to the Panel’s final assessment of this standard. The Applicant agreed to rewrite material, which is crucial to the acceptability of this application.
6. Was there any significant divergence of opinion over the Applicant’s ability to meet this standard? Yes [ ] No [ x ] If yes, please explain.
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o Benchmark 2, 5 & 8: There is no administrative structure specified for the proposed Ontario operation at Fanshawe College.
The proposed Ontario operation will be organized as a branch of the Buffalo operation and a special academic program with policies and procedures consistent with Ontario laws and regulations. The Ontario operation will not be organized as a stand-alone or subsidiary operation but a fully integral part of D’Youville College under an amended charter. As such, the policies related to governance, student protection, legal and financial liability, financial stability, etc. are those presented in the application for
D’Youville College.
We further clarify our administrative structure here to address the concern expressed by the Panel. The main area of concern was with the operational nature of the structure proposed at Fanshawe College. The Proposal now specifies the administrative structure in the following way:
Presiden
Vice President for Academic
Fanshawe New York
Program Academic Department Secreta
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Student Services
Coordinator Facult Facul t
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This structure provides a clearer overview of how the campus will function administratively, and how it will relate to the New York Campus and its administrative structure. Further, within this structure are descriptions of each administrator’s role on the Fanshawe Campus that meet the Board’s benchmarks concerning the conduct of administrative issues raised by the Panel, such as the management of the grievance procedure on the Fanshawe Campus.
In our previous submission, the Panel identified as a key concern that the structure did not offer a clear understanding of how grievances would be handled away from the New
York Campus, as our Grievance Policies and Procedures detailed the process as it occurs on the D’Youville Campus. In our response to Benchmark 7.1 above, we include our revision to the Grievance Policy and Procedures that cover the concerns of the ORP
Panel regarding its operation on the Fanshawe Campus.
Benchmark 6: With regard to physical facilities, in terms of classroom space, computer facilities, labs, etc, which are to be rented from Fanshawe, the ORP was somewhat concerned by the lack of evidence of their being such current excess capacity at Fanshawe to accommodate the rather large additional enrollment.
As indicated in our response to the ORP’s review of Benchmark 7.1, our revised proposal will describe a program that requires for admission a Liberal Arts Bachelors degree, and includes a one-year, 3-semester program leading to a Bachelors degree in
Education in accordance with the Guidelines of the Ontario College of teachers (OCT).
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This program revision has substantially revised our enrollment projections, such that we now project a total of 225 students in the program at any one time. We feel that this revision will alleviate any concerns expressed by the ORP Panel.
We further respond to this request with a comprehensive statement of agreement with
Fanshawe College that specifically addresses this concern. In the attached agreement,
D’Youville College and Fanshawe College agree that Fanshawe will provide the space needed to accommodate the larger number of students included in our initial proposal, thus ensuring that the substantially lower number of student space and facility requirements of the revised proposal will be more than adequately met by the agreement.
Benchmark 7: Faculty representation on policy development committees is appropriate, but student participation is somewhat limited. There are student members on three standing committees of the Faculty Council, which fulfills the role of a Senate for undergraduate studies, but there are no student members of the larger body. The Graduate Council, the parallel body for Graduate Studies has a student representative on both standing committees, but no student representation on the main body. In both cases the ORP thought greater student representation was desirable. Crucially, there is also no indication that students (and faculty?) based in Canada will have any role to play on Faculty Council committees. The representatives of D’Youville assured the ORP during the meeting that Canadian faculty and students would play a role, but there were no clear indications of how that would be organized.
D’Youville commits to applying the U.S. model to its proposed Ontario operation in terms of student and faculty participation in development/revision of curriculum, academic policies, etc., and that Ontario faculty, where consistent with Canadian and Ontario law,
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will have the same benefits and voice as faculty working at the main campus in the U.S. operation. D’Youville confirms that the Ontario operation will have a curriculum and content focused for the Ontario context and requirements.
Specifically, the D’Youville College Faculty Council includes all faculty at the College.
This is a requirement of the By Laws of the Faculty Council, and differs from the
College’s Graduate Council, which is representative in nature. The By Laws of the
Faculty Council thus ensure representation of those at Fanshawe on the Council. Since the proposed program is undergraduate, the issues addressed by the Graduate Council will have no relevance to the faculty, staff, or students at the Fanshawe campus.
D’Youville College commits to ensuring that students from the Fanshawe Campus will be represented at Faculty Council.
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7.3 Ethical Conduct
Standard: The Applicant values and upholds integrity and ethical conduct.
Benchmark Ratings Submissio To ensure clarity about the Panel’s judgment, please rate the proposal against n each of the benchmarks. Appendix
Benchmark Rating Scale Y = yes, material relevant to the benchmark has been supplied Rating N = no, material relevant to the benchmark has not been supplied 1. The applicant discloses any past criminal convictions on the part of 7.1 Yes [ ] officers and directors relating to fraud or misrepresentation and of any No [ ] past conduct of officers or directors that gives reasonable grounds to believe business will not be carried out in accordance with conditions of Ministerial Consent and with integrity, honesty and in accordance with laws of general application in the province of Ontario. 2. The applicant discloses of any legal or administrative actions pending 7.2 Yes [ ] against the institution, and/or any of the owners, officers, or No [ ] administrators, by any federal, provincial, state, or municipal law enforcement agency. 3. If the applicant or any of its officers and directors has or has had a 2.3 Yes [ ] registered private vocational school in Ontario, the applicant discloses No [ ] any instances of non-compliance with the Private Career Colleges Act, R.S.O. 1990, c. P-26. 4. If the applicant or any of its officers and directors has breached the rules 2.3 Yes [ ] governing student financing through the Ontario Student Assistance No [ ] Program or any other government program of direct student financing, the applicant discloses any instances of non-compliance. 5. If the applicant or any of its officers and directors operates or has 2.3 Yes [ ] operated in other jurisdictions, the applicant discloses any instances of No [ ] non-compliance with relevant legislation in those jurisdictions. 6. If the applicant or any of its officers and directors operates or has ever 2.3 Yes [ ] operated a school in Ontario, the Applicant is free from criminal or No [ ] summary offence convictions related to OSAP or requirements under the Private Vocational Schools Act. 7. An acceptable statement by the governing board of the ethical standards 7.3 Yes [ ] relating to fair and honest business practices that will guide its conduct in No [ x ] the course of operations in Ontario and in other jurisdictions
Note: Benchmarks which are grey-shaded do not need to be assessed by the Panel
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1.a. Did the Panel have the information it needed to form a sound judgement on each of the benchmarks? Yes [ x ] No [ ] b. Comment on the reliability, sufficiency, and validity of the evidence.
2. The Applicant:
____ fails to meet this standard; __x_ requires revisions to meet this standard; __ _ meets or exceeds this standard.
3. Please explain the rating, referring to the evidence for it. Identify areas of particular strength or weakness. o Strengths: o Weaknesses: A statement of ethical standards is submitted (7.3). However, there is no indication that this is board- approved. While the Panel has no authority to recommend such a change for the New York operation, the Panel believes that a Code of Ethics statement binding for all members of the College community (all students and employees) should appear in the Manual for the Ontario operation. o o Rating Rationale:
4.a. Where applicable, indicate the major/minor areas in which revisions are required. b. Where appropriate, indicate the steps the Applicant might take to meet this standard.
5. Detail any commitments (or important clarifications) that the Applicant made to the Panel which were not part of the original proposal and that were critical to the Panel’s final assessment of this standard.
6. Was there any significant divergence of opinion over the Applicant’s ability to meet this standard? Yes [ ] No [ x ] If yes, please explain.
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We include the following Institutional Ethical Conduct Statement, developed by the
President of D’Youville College and prepared for formal Board approval:
Institutional Ethical Conduct Statement
D’Youville College offers programs to students of all faiths, cultures, and backgrounds.
D’Youville honors its Catholic heritage and the spirit of St. Margeurite d’Youville by providing academic, social, spiritual, and professional development in programs that emphasize leadership and service. D’Youville teaches students to contribute to the world community by leading compassionate, productive, and responsible lives. Members of the
D’Youville College community are committed to the highest ethical standards in all their activities. Since they represent their college to the larger society, they have a special duty to exemplify the best qualities of their institution and to observe the highest standards of personal and professional conduct.
Our words and actions embody respect for truth, fairness, free inquiry, and the opinions of others. We respect all individuals without regard to race, color, sex, sexual orientation, marital status, creed, ethnic or national identity, handicap, or age. We uphold the professional reputation of our colleagues and give credit for ideas, words, or images originated by others. We avoid actual or apparent conflicts of interest and, if in doubt, seek guidance from appropriate authorities.
We follow the letter and spirit of laws and regulations affecting higher education.
We commit ourselves to fair and honest business practices that will guide the college in its conduct in the course of operations in Ontario.
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7.4 Student Protection
Standard: The Applicant values and upholds integrity and ethical conduct in its relations with students.
Benchmark Ratings Submissio Rating To ensure clarity about the Panel’s judgment, please rate the proposal against n each of the benchmarks. Appendix
Benchmark Rating Scale F = fails to meet the benchmark R = requires revisions to meet the benchmark M = meets or exceeds the benchmark
Y = requirement is met N= requirement is not met 1. Public reports, materials and advertising are produced in a full, accurate 8.1 R and truthful manner, and recruitment policies follow fair business practices. 2. Key information about the Applicant’s organization, policies and programs is published in its academic year calendar and is otherwise readily available to students and the public, specifically including: • the organization’s mission and goals statement; 8.2 Yes [ ] No [ ] • history of the organization and its governance and 8.2 Yes [ ] academic structure; No [ ]
• a general description of each degree program (e.g., 8.2 Yes [ ] purpose, outcomes, length); No [ ]
• individual descriptions of all subjects in these programs and their 8.2 Yes [ ] credit value. No [ ] • the academic credentials of faculty and senior 8.2 Yes [ ] administrators; and No [ ]
3. Prior to registration, students are provided with and confirm in writing their awareness of policies (and procedures) pertaining to: • credit transfer arrangements for incoming students,; 8.3 Yes [ ] No [ ] • prior learning assessment 8.3 Yes [ ] No [ ] • entrance examinations 8.3 Yes [ ] No [ ] • student support and services; 8.3 Yes [ ] No [ ] • institutional closure including, the financial methods the 8.3 Yes [ ] organization has selected to ensure the repayment of No [ ] unearned (pre-paid) tuition and fees owing to students
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in the event of institutional failure or student withdrawal; • regulatory requirements that registration agreements with students 8.3 Yes [ ] shall not exceed a consecutive 12 month period. No [ ]
Note: Benchmarks which are grey-shaded do not need to be assessed by the Panel
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1.a. Did the Panel have the information it needed to form a sound judgement on each of the benchmarks? Yes [ x ] No [ ] b. Comment on the reliability, sufficiency, and validity of the evidence.
2. The Applicant: ____ fails to meet this standard; __x_ requires revisions to meet this standard; ___ meets or exceeds this standard.
3. Please explain the rating, referring to the evidence for it. Identify areas of particular strength or weakness. o Strengths: The Academic Calendar is comprehensive, although it could contain more information on academic appeals, etc. o Weaknesses: It needs to be revised to encompass the Ontario operation. It is not clear where the material in 8.3, Policy Awareness, appears in published material for students (most of the section headings do not appear in the calendar index.) Rating Rationale:
4.a. Where applicable, indicate the major/minor areas in which revisions are required. b. Where appropriate, indicate the steps the Applicant might take to meet this standard.
5. Detail any commitments (or important clarifications) that the Applicant made to the Panel which were not part of the original proposal and that were critical to the Panel’s final assessment of this standard.
6. Was there any significant divergence of opinion over the Applicant’s ability to meet this standard? Yes [ ] No [ x ] If yes, please explain.
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The Applicant commits to collecting signed confirmation from students that they are aware of policies and procedures, as stipulated in the Minister's Requirements,
(Directives and Guideline for Applying for Ministerial Consent Under the Post-secondary
Education Choice and Excellence Act, 2000 - available on the PEQAB website). The
Applicant also commits to the development of a calendar and student handbook for the
Canadian operation that accurately represents the policies in place at that site.
The attached Confirmation Form will be signed by all students that they are aware of policies and procedures, as stipulated in the Minister's Requirements. The attached
Confirmation Form’s student signature also indicates that the student understands the policies and procedures concerning academic honesty.
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Confirmation of Awareness of Organizational Practices and Policies of D’Youville College
The student’s signature below indicates that the student has been given a College Catalog and a Calendar and Resource Guide, and that the student has read and is aware of the College’s policies in these materials regarding:
• admission requirements • matters pertaining to international students • scholarships and other financial assistance • method of course delivery • grading • academic honesty • intellectual property • credit transfer arrangements and recognition by other organizations • withdrawals, dismissals, and refunds • supervision, preparation, and examination of theses/dissertations (if applicable) • complaints/grievances
I have read and am aware of the College’s polices as listed above.
______(Student signature) (Date)
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7.5 Academic Freedom and Integrity
Standard: The Applicant maintains an atmosphere in which academic freedom exists and in which students and academic staff are expected to display a high degree of intellectual independence. Academic activity is supported by policies, procedures and practices that encourage academic honesty and integrity.
Benchmark Ratings Submissio Rating To ensure clarity about the Panel’s judgment, please rate the proposal against n each of the benchmarks. Appendix
Benchmark Rating Scale F = fails to meet the benchmark R = requires revisions to meet the benchmark M = meets or exceeds the benchmark
Y = requirement is met N= requirement is not met N/A = not applicable
1. The applicant has a policy on academic freedom in which the Applicant 9.1 Yes [ ] recognizes and protects the rights of individuals in their pursuit of knowledge No [x without fear of reprisals by the Applicant or by third parties, and the right of ] individuals to communicate acquired knowledge and the results of research freely. 2. When students or staff are asked to sign or adhere to a statement of faith and/or a code of conduct that might constitute a constraint upon academic freedom, a policy in which the Applicant: Yes [ ] (a) notifies staff and students prior to employment or admission; and 9.2 No [ ] N/A [ x } (a) has adequate procedures in place to ensure the principles of natural 9.2 Yes [ ] justice are followed in the event of alleged violations of any No [ ] contractual arrangement concerning such required statement of faith N/A [ x and/or code of conduct. } 3. The applicant has an appropriate policy on the ownership of the intellectual 9.3 R products of employees and students. 4. Where appropriate, the applicant upholds formal ethical research standards, 9.4 R as evidenced by policies on human research participants, the use of animals in research and the management of research funds. 5. The applicant has appropriate policies pertaining to academic honesty and 9.5 R procedures for their enforcement. 6. The applicant provides an appropriate plan for informing students and faculty 9.6 R about and ensuring their understanding of the policies and procedures concerning academic honesty
Note: Benchmarks which are grey-shaded do not need to be assessed by the Panel
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1.a. Did the Panel have the information it needed to form a sound judgement on each of the benchmarks? Yes [ x ] No [ ] b. Comment on the reliability, sufficiency, and validity of the evidence.
2. The Applicant:
____ fails to meet this standard; __x_ requires revisions to meet this standard; ____ meets or exceeds this standard.
3. Please explain the rating, referring to the evidence for it. Identify areas of particular strength or weakness. o Strengths: The published policies of the College with regard to ethical research with human subjects are quite detailed and complete, and rather impressive for an institution which regards itself as a “teaching” institution which is more concerned with the dissemination than the generation of knowledge. o Weaknesses: Benchmark 1: The statement on Academic Freedom, 9.1 (b) (p. 284 of submission) states that “Limitations of academic freedom because of religious or other aims of the institution should be clearly stated in writing at the time of the appointment.” However, what these limitations are or might be is not explained. The statement on academic freedom is thus incomplete; it does not give the required information. Benchmark 3: There is a comprehensive policy on intellectual property for employees, but not for students. Benchmark 4: Although the College has a full and comprehensive policy with regard to ethical research standards, including adherence to US Federal Regulations and to the principles of the Belmont Report, there needs to be reference to the Tri-Council Policy in material regarding the Canadian operation. There appeared to be no policy with regard to the management of research funds. Benchmark 5: The Academic Honesty Policy appears to apply only to students. A more comprehensive policy applying as well to faculty, administration and other employees is necessary. A statement of ethical conduct binding on all members of the college community should be developed, at least for the Ontario operation.
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Benchmark 6: As the college has no “enrolment contract” perhaps it would be prudent if a sentence could be printed on the bottom of the Registration card to the effect that “I have received a copy of both the College Calendar and the Student handbook, and I accept the rules and regulations contained therein and agree to adhere to them.” o Rating Rationale:
4.a. Where applicable, indicate the major/minor areas in which revisions are required. b. Where appropriate, indicate the steps the Applicant might take to meet this standard.
5. Detail any commitments (or important clarifications) that the Applicant made to the Panel which were not part of the original proposal and that were critical to the Panel’s final assessment of this standard.
6. Was there any significant divergence of opinion over the Applicant’s ability to meet this standard? Yes [ ] No [ x ] If yes, please explain.
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o Benchmark 1: The statement on Academic Freedom, 9.1 (b) (p. 284 of submission) states that “Limitations of academic freedom because of religious or other aims of the institution should be clearly stated in writing at the time of the appointment.” However, what these limitations are or might be is not explained. The statement on academic freedom is thus incomplete; it does not give the required information.
D’Youville College has approved the following policy:
The Canadian Association of University Teachers is dedicated to the promotion and protection of academic freedom. The common good of society depends upon the search for knowledge and truth and its free expression. Academic freedom is essential for these purposes. Academic freedom does not require neutrality on the part of the individual.
Rather academic freedom makes commitment possible.
Academic staff, like all other groups and individuals, are entitled to enjoy recognized civil, political, social and cultural rights. Therefore, all academic staff must enjoy freedom of thought, conscience, religion, expression, assembly and association as well as the right to liberty and security of the person and liberty of movement. They must not be hindered or impeded in exercising their civil rights as citizens, including the right to contribute to social change through freely expressing their opinion of state policies and of policies affecting higher education. They must not suffer any penalties simply because of the exercise of such rights.
Academic staff are entitled to the exercise of academic freedom. Academic freedom includes the right, without constriction by prescribed doctrine, to freedom of teaching and discussion, freedom in carrying out research and disseminating and publishing the results thereof, freedom in producing and performing creative works, freedom to engage
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in service to the institution and the community, freedom to express freely their opinion about the institution, its administration, or the system in which they work, freedom from institutional censorship and freedom to participate in professional or representative academic bodies.
Academic staff must not be forced to teach against their own best knowledge and conscience or be forced to use curricula and methods contrary to national and international human rights standards. Academic staff must play the predominant role in determining educational standards, consistent with standards of ethical conduct and institutional integrity. All academic staff must have the right to fulfill their functions without discrimination of any kind and without fear of repression by the state or any other source.
Benchmark 3: There is a comprehensive policy on intellectual property for employees, but not for students.
The following policy has been adapted from the College’s policy on intellectual property for the faculty, and will be implemented at D’Youville College.
S. Scope
This Article sets forth the rights and obligations of the parties hereto as to
intellectual property rights of the College and of the students, such rights to
include but not to be limited to rights in intellectual property that can be
trademarked, copyrighted, or patented.
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T. Definitions
13. Copyright/Copyrightable
bb. literary works
cc. musical works, including any accompanying words
dd. dramatic works, including any accompanying music
ee. pantomimes and choreographic works
ff. pictorial, graphic, and sculptural works
gg. motion picture and other audiovisual works
hh. sound recordings
ii. architectural works
jj. computer programs
14. Intellectual Property
Any trademarkable, copyrightable, or patentable matter or any
intellectually created tangible thing or matter including, but not limited to,
books, tests, articles, monographs, glossaries, bibliographies, study
guides, laboratory manuals, syllabi, tests and work papers, lectures,
musical and/or dramatic compositions, unpublished scripts, films,
filmstrips, charts, transparencies, other visual aids, video and audio tapes
and cassettes, computer programs, live video and audio broadcasts,
programmed instruction materials, drawings, paintings, sculptures,
photographs, and other works of art.
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15. Patent/Patentable includes:
j. inventions or discoveries which constitute any new and useful
process, machine, manufacture, or composition of matter or any
new and useful improvement thereof,
k. designs, being new, original and ornamental designs for an article
made,
l. plant patents, being for the asexual reproduction of a distinct and
new variety of plant, including cultivated sports, mutants, hybrids,
and newly-found seedlings, other than a tuber propagated plant or
plant found in an uncultivated state,
16. Trademark/Trademarkable
Any word, name, symbol, or device, or combination thereof adopted and
used by a student to identify his goods and distinguish them from those
made, manufactured, or sold by others.
U. Ownership and Limitations
14. Except as limited below in Section C (2), (3), and (4), it shall be presumed
that intellectual property created, made, or originated by a student
covered by this Agreement shall be the sole and exclusive property of
such student for perpetuity or so long as the federal law applicable
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thereto allows and the student may choose individually to contract away
such property in full or in part. Creatorship of intellectual property shall be
presumed in the claiming student as against the College. Intellectual
property created by the student in the fulfillment of the student’s normal
duties and responsibilities under this agreement is presumed to belong to
the student for proprietary or marketing purposes outside of the College
but is available to the College for internal review and for review by
external agencies regulating the College.
15. The College shall have the right to purchase intellectual property created,
made, or originated by a student. If the College does not exercise this
right and Section C (4) and/or (5) are not applicable, ownership shall vest
in the student as outlined in Section C (1), above.
16. The College is the presumed owner of intellectual property only when the
College enters into an agreement with the student to specifically create
such specified intellectual property in exchange for compensation and this
agreement specifically outlines the development obligations and the
College’s exclusive ownership.
17. The College and the student are joint owners of intellectual property when
they enter into a specific agreement to create such intellectual property
and such agreement shall define the development obligations and
ownership share of each party.
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V. Use of Funds From Sale of Intellectual Property
7. Funds received by the College from the sale of intellectual property
owned by the College shall be allocated and expended as determined
solely by the College.
8. Funds received by the student and by the College from the sale of
intellectual property owned jointly by the student and the College shall be
allocated and expended in accordance with the specific agreement
negotiated by the student and the College concerning such jointly owned
intellectual property.
W. Obtaining Copyrights, Patents, or Trademarks
It shall be the obligation of the creator of the intellectual property to act to protect
his or her rights pertinent thereto under the law at the creator’s sole cost and
expense. Nothing set forth herein shifts the aforesaid obligation from the student
to the College.
X. Development Obligations
7. It is understood that intellectual property developed by students on or off
College time, except for those materials for which the College had
specifically contracted, prior to August 31, 1999 shall remain the property
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of such students but shall continue to be used for the benefit of the
College while the student remains enrolled at the College.
8. The resources, including materials and time, required to develop
intellectual property shall be provided by the presumed owner of the
intellectual property. Intellectual property may be used in the classroom
to further its efficacy and efficiency without jeopardizing this section of the
agreement.
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Benchmark 4: Although the College has a full and comprehensive policy with regard to ethical research standards, including adherence to US Federal Regulations and to the principles of the Belmont Report, there needs to be reference to the Tri-Council Policy in material regarding the Canadian operation. There appeared to be no policy with regard to the management of research funds.
D’Youville College has been moving in the direction of graduate education and research over the past 10 years, and we thank the Panel for its recognition of our efforts to have detailed policies in place with regard to ethical research. We also recognize that many of the policies in place are common to both countries, and, in fact, are common to all ethical research, although the sources of reference for such policies differ between the two locations. We also recognize that the proposed program does not involve the students in any comprehensive way in research activities. However, in response to the
Panel’s review of our policies, we include the statement that D’Youville College faculty, staff and students will maintain strict adherence to the research policies stated in the Tri-
Council Policy Statement on the “Ethical Conduct for Research Involving Human
Subjects” (2003).
Benchmark 5: The Academic Honesty Policy appears to apply only to students. A more comprehensive policy applying as well to faculty, administration and other employees is necessary. A statement of ethical conduct binding on all members of the college community should be developed, at least for the Ontario operation.
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The Academic Honesty Policy statement now applies to students, faculty and staff, on the D’Youville Campus and will apply to the Fanshawe Campus.
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Benchmark 6: As the college has no “enrolment contract” perhaps it would be prudent if a sentence could be printed on the bottom of the Registration card to the effect that “I have received a copy of both the College Calendar and the Student handbook, and I accept the rules and regulations contained therein and agree to adhere to them.”
The College proposes the following in accordance with the Panel’s recommendation, and to meet the requirements of the PEQAB Board:
The Applicant commits to collecting signed confirmation from students that they are aware of policies and procedures, as stipulated in the Minister's Requirements,
(Directives and Guideline for Applying for Ministerial Consent Under the Post-secondary
Education Choice and Excellence Act, 2000 - available on the PEQAB website). The
Applicant also commits to the development of a calendar and student handbook for the
Canadian operation that accurately represents the policies in place at that site.
The attached Confirmation Form will be signed by all students that they are aware of policies and procedures, as stipulated in the Minister's Requirements. The attached
Confirmation Form’s student signature also indicates that the student understands the policies and procedures concerning academic honesty.
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Confirmation of Awareness of Organizational Practices and Policies of D’Youville
College
The student’s signature below indicates that the student has been given a College Catalog and a Calendar and Resource Guide, and that the student has read and is aware of the College’s policies in these materials regarding:
• admission requirements • matters pertaining to international students • scholarships and other financial assistance • method of course delivery • grading • academic honesty • intellectual property • credit transfer arrangements and recognition by other organizations • withdrawals, dismissals, and refunds • supervision, preparation, and examination of theses/dissertations (if applicable) • complaints/grievances
I have read and am aware of the College’s polices as listed above.
______(Student signature) (Date)
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7.6 Financial Stability
Standard: The Applicant demonstrates financial stability and the financial resources to provide a stable learning environment and to ensure that students can complete the program.
Benchmark Ratings Submissio Rating To ensure clarity about the Panel’s judgment, please rate the proposal against n each of the benchmarks. Appendix
Benchmark Rating Scale F = fails to meet the benchmark R = requires revisions to meet the benchmark M = meets or exceeds the benchmark
Y = requirement is met N= requirement is not met
1. The applicant provides a credible long-term business plan 5.4 M (normally five years) that addresses the Applicant’s future educational, physical, and fiscal growth in Ontario and details the program to be offered in Ontario.
2. The applicant confirms it has access to the resources (human, 10.1; Yes [ x administrative, financial, technical, facilities, equipment) required 10.3 ] No [ to provide the program for the period proposed in order to achieve ] the stated learning outcomes.
3. The applicant has a policy requiring the regular audit of the 10.2 Yes [ x Applicant’s financial methods, performance, and stability by an ] No [ arm’s-length professional accountant. ]
1.a. Did the Panel have the information it needed to form a sound judgement on each of the benchmarks? Yes [ x ] No [ ] b. Comment on the reliability, sufficiency, and validity of the evidence.
2. The Applicant: ____ fails to meet this standard; ___ requires revisions to meet this standard; _x__ meets or exceeds this standard.
3. Please explain the rating, referring to the evidence for it. Identify areas of particular strength or weakness. o Strengths:
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o Weaknesses: Although both the audited financial statements for 2001 and 2002, and the projected financial statements for 2003 and 2004 indicate that the financial viability and stability of D'Youville College is firm, because the tuition to be charged by D'Youville College in the Ontario operation for a Bachelor's degree is significantly above that charged by other Universities and Colleges in Ontario, the estimated tuition revenues for 2003 and 2004 appear to be somewhat overly optimistic. Therefore, because of the uncertainty associated with these estimates, the ORP would have liked to have received assurances that even if the actual revenues for the Fanshawe College-based operation does not exceed the actual cost of running the Fanshawe College-based operation, it will maintain this program at least until the students already enrolled in this program have graduated.
o Rating Rationale:
4.a. Where applicable, indicate the major/minor areas in which revisions are required. b. Where appropriate, indicate the steps the Applicant might take to meet this standard. 5. Detail any commitments (or important clarifications) that the Applicant made to the Panel which were not part of the original proposal and that were critical to the Panel’s final assessment of this standard.
6. Was there any significant divergence of opinion over the Applicant’s ability to meet this standard? Yes [ ] No [ x ] If yes, please explain.
As addressed above, D’Youville has revised its enrolment projections downward to accommodate a one-year, 3-semester program leading to a Bachelors of Education degree. The statement above also confirms that, in the event that revenues do not exceed cost, D’Youville College commits to maintaining the program until students already enrolled in the program graduate.
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7.7 Dispute Resolution
The Applicant has policies for dealing with disputes between the organization and its students, and between faculty and students.
Benchmark Ratings Submissio Rating To ensure clarity about the Panel’s judgment, please rate the proposal against n each of the benchmarks. Appendix
Benchmark Rating Scale Y = requirement is met N= requirement is not met
1.The applicant has institutional policies and procedures through which students’ academic appeals, complaints, grievances, and/or other disputes can be dealt with in accordance with the following principles of natural justice:
(a) individuals have a right to a fair and expeditious resolution of disputes; 11.1 Yes [ ] No [R ]
(b) individuals have a right to know and understand the charges or 11.1 Yes [ X ] complaints made against them; No [ ]
(c) individuals have a right to be heard in response to charges or 11.1 Yes [ X ] complaints made against them, before any disciplinary decision is No [ ] taken;
(d) institutions have an obligation to deal with complaints or grievances 11.1 Yes [ X ] according to clear and reasonable deadlines; No [ ]
(e) institutions have an obligation to establish and operate according to 11.1 Yes [ X ] administrative processes that deal with disputes fairly and No [ ] expeditiously at the informal level.
2. Students and employees are informed about and understand the policies and procedures for dispute resolution. To these ends, the Applicant’s policies ensure that:
a) charges or complaints against an individual are stated clearly and in 11.2 Yes [X ] writing; No [ ] b) there is an administrative person(s) responsible for dealing with 11.2 Yes [X ] complaints and to whom complaints may be directed, and who may No [ ] facilitate the informal and satisfactory resolution of disputes;
c) there is a process for reviewing disputes and examining the evidence; 11.2 Yes [ ] No [ R ]
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d) there is provision for a final internal review by a body of persons not 11.2 Yes [ involved in the dispute in any way. ] No [ R ]
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1.a. Did the Panel have the information it needed to form a sound judgement on each of the benchmarks? Yes [ X ] No [ ] b. Comment on the reliability, sufficiency, and validity of the evidence. . 2. The Applicant: ____ fails to meet this standard; __x_ requires revisions to meet this standard; ____ meets or exceeds this standard.
3. Please explain the rating, referring to the evidence for it. Identify areas of particular strength or weakness. o Strengths: Weaknesses: Benchmark 1: In general, The Academic Appeal Process - although inclusive - does not fully satisfy the natural justice principles typically adopted for these procedures. Namely, should an appeal proceed to a Hearing by the Judiciary Council, the student should be given an opportunity to appear before the Council (either in person alone, or with an advocate) to present his case, and answer questions from members of the Council. There is no explanation of how the grievance procedures in place will be made available to students in Ontario. For example, the Grievance Officer is the Asst. VP Student Affairs. How will Ontario students contact him? There is no explanation of how the membership of the review panel referred to on p. 598 will be established, or that for the Student Conduct Committee referred to on p. 606. There is an explanation of how the student can gain information about the Judicial Review Board, but the appropriate material is not provided in this submission. The ORP is unable to evaluate the process in the absence of this material. Nor is there any indication in the “Final Draft Agreement” between the two institutions as to who would assume on-site responsibility for any grievance procedure launched in Ontario. Finally, there is an outline of the process by which a student may file a complaint in New York State. Presumably this is not a process available to students in Ontario. What will the parallel process be, or will there be one? There should be reference to the Ontario Human Rights Act. In general this section is incomplete, making it impossible for the ORP to make a judgment with regard to its adequacy.
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Benchmark 2: The designated final appeal forum for all parties (students, faculty, staff) appears to be the President of the institution. This does not seem to satisfy the benchmark requirement "for a final internal review by a body of persons not involved in the dispute in any way". Furthermore, this could likely cause problems in cases where either a student or a staff grievance was with the administration or, indeed, with the President. Thus, it might be prudent to appoint an external group as the final arbiter, and the observation was made that the relationship with Fanshawe College might well provide D'Youville College with the possibility of having a Fanshaw- based committee function in this capacity in final appeals and grievances involving Fanshawe College based students, faculty, or staff. The sexual harassment policy, whether it deals with faculty, staff, administration, or student, simply indicates that complaints should be made, that they will be dealt with without prejudice through a confidential investigation, and that such complaints are both serious and may be of various forms. But the policy does not say who will deal with the complaints or how they will be dealt with.
o Rating Rationale:
4.a. Where applicable, indicate the major/minor areas in which revisions are required. b. Where appropriate, indicate the steps the Applicant might take to meet this standard.
5. Detail any commitments (or important clarifications) that the Applicant made to the Panel which were not part of the original proposal and that were critical to the Panel’s final assessment of this standard.
6. Was there any significant divergence of opinion over the Applicant’s ability to meet this standard? Yes [ ] No [ x ] If yes, please explain.
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Weaknesses: Benchmark 1: In general, The Academic Appeal Process - although inclusive - does not fully satisfy the natural justice principles typically adopted for these procedures. Namely, should an appeal proceed to a Hearing by the Judiciary Council, the student should be given an opportunity to appear before the Council (either in person alone, or with an advocate) to present his case, and answer questions from members of the Council. There is no explanation of how the grievance procedures in place will be made available to students in Ontario. For example, the Grievance Officer is the Asst. VP Student Affairs. How will Ontario students contact him? There is no explanation of how the membership of the review panel referred to on p. 598 will be established, or that for the Student Conduct Committee referred to on p. 606. There is an explanation of how the student can gain information about the Judicial Review Board, but the appropriate material is not provided in this submission. The ORP is unable to evaluate the process in the absence of this material. Nor is there any indication in the “Final Draft Agreement” between the two institutions as to who would assume on-site responsibility for any grievance procedure launched in Ontario. Finally, there is an outline of the process by which a student may file a complaint in New York State. Presumably this is not a process available to students in Ontario. What will the parallel process be, or will there be one? There should be reference to the Ontario Human Rights Act. In general this section is incomplete, making it impossible for the ORP to make a judgment with regard to its adequacy.
D’Youville College recognizes the issues identified here, and has addressed each on a point-by-point basis:
Weaknesses: Benchmark 1: In general, The Academic Appeal Process - although inclusive - does not fully satisfy the natural justice principles typically adopted for these procedures. Namely, should an appeal proceed to a Hearing by the Judiciary Council, the student should be given an opportunity to appear before the Council (either in person alone, or with
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an advocate) to present his case, and answer questions from members of the Council.
Final Review and Appeal
D’Youville College students, faculty and staff on the Fanshawe campus will have the right to appeal decisions of the Judicial Review Board to a committee composed of members of Fanshawe College. The composition of this group will be one administrator, one faculty member, and one student. Appeals should be made by the individual appealing in writing within five working days from the receipt of the decision of the
Judicial Board. Decisions will be rendered within five working days.
***** - “the natural justice principles typically adopted for these procedures. Namely, should an appeal proceed to a Hearing by the Judiciary Council, the student should be given an opportunity to appear before the Council (either in person alone, or with an advocate) to present his case, and answer questions from members of the Council.
The full details regarding the revised Judicial Review Board are shown here:
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JUDICIAL REVIEW BOARD BYLAWS
ARTICLE I: PURPOSE
Section 1. The Judicial Review Board of D'Youville College is designed to assure the student due process when his/her rights as a student at D'Youville College are affected.
Section 2. The Judicial Review Board shall have appellate jurisdiction over a decision rendered at the senior administrative level, as prescribed by the organizational chart of the college, and those of the Student Conduct Committee.
Section 3. Judicial power shall be vested in those members of the D'Youville College community who constitute the Judicial Review Board.
ARTICLE II: MEMBERSHIP
Section 1. The Judicial Review Board shall consist of ten (10) members. There shall be three (3) members from the administration, three (3) members from the Faculty Council and four (4) members of the student body. There shall be two (2) alternates from the administration, two (2) alternates from the faculty and three (3) from the Student Body.
Section 2. The administrative members and alternates shall be appointed by the Administrators' Advisory Committee.
Section 3. The instructional faculty members and alternates shall be appointed by the Faculty Council.
Section 4. The student members and alternates shall be appointed by the Student Senate.
Section 5. A chairperson and vice chairperson shall be elected from among the ten (10) members of the Judicial Review Board. In the case of the absence of the chairperson, the vice chairperson shall serve as chair.
Section 6. A quorum of the JRB shall consist of five (5) members in addition to the chairperson. The quorum must include at least one (1) administration member, one (1) faculty member, and two (2) students.
Section 7. Each member of the Judicial Review Board shall have one vote, except that the presiding chairperson shall only vote in the event of a tie.
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Section 8. Meetings shall be called by the chairperson of the Judicial Review Board or by at least six (6) members of the Judicial Review Board who together request a meeting.
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ARTICLE III: JURISDICTION
Section 1. A case may be brought before the Judicial Review Board by a student who is not satisfied with a decision at the Executive Council level, or one made by the Student Conduct Committee. A request for a hearing must be submitted in writing to the Judicial Review Board within five (5) work days after a decision at the President’s Council level or by the Student Conduct Committee.
Section 2. The Judicial Review Board shall at no time initiate a case to be reviewed.
ARTICLE IV: HEARINGS
Section 1. The party or parties to appear before the Board shall be notified by the chairperson, in writing, of the reason, with sufficient particularity for the proposed hearing. There shall be a minimum of five (5) work days and a maximum of ten (10) work days allowed for preparation for the hearing, unless the chairperson of the Board agrees to a continuance.
Section 2. The student(s) involved shall be informed in writing of their rights and responsibilities guaranteed in the Student Bill of Rights and Responsibilities of D'Youville College, at the time of the above notification by the chairperson.
Section 3. The chairperson shall conduct the hearing and make all rulings on matters during the hearing.
Section 4. All facts in the case are to be presented at the hearing and in the presence of the involved parties. The testimony of all parties shall be open to cross examination. In the event of insufficient evidence, the chairperson can call on both parties to present new evidence to enable the Board to reach a decision.
Section 5. The Board shall tape record the hearing.
Section 6. The decision of the Board shall be based solely on the evidence presented to it.
Section 7. Decisions of the Board shall be reached by a majority vote.
Section 8. The Board shall make a written statement of its findings to both parties. The decision of the Board shall be based on these findings and shall be stated in written form.
Section 9. The written findings, decisions, and tape recording are to be sealed and filed in the office of the President within one week of the hearing. Sealed decisions may be opened only on written
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request to the President by one of the parties affected by the Judicial Review Board decision and/or when reasonable cause, to be determined by the President, exists for breaking the seal.
Section 10. All records of the proceedings shall be maintained in the Office of the President until one (1) year after the student(s) leaves the College.
ARTICLE V: PROCEDURAL DUE PROCESS
Section 1. The Procedural Due Process of the College as described in the Student Bill of Rights will apply in any case brought before the Board.
Section 2. Individuals may be assisted in his/her defense by a full time member of the D'Youville College faculty, staff or student body.
ARTICLE VI: DECISIONS
Section 1. The Board may choose to pass on a case over which it has no jurisdiction, i.e. grade changes.
Section 2. The Board may reject appeals it feels are not warranted or may request further information from the parties, without a formal hearing.
Section 3. The Board has the authority to grant or deny the appeal after a formal hearing.
Section 4. The Board may also refer the decision back to the originating Executive Council member or the Student Conduct Committee with a recommendation for its modification, with or without a formal hearing.
ARTICLE VII: APPEALS
Section 1. Either party has the right to appeal the decision of the Board within five (5) working days to the appropriate vice president/council member of the college. The opposing party has the right to respond to said appeal within five (5) work days of the appeal. The vice president/council member will review the decision of the Board and the written statements of the parties and render a decision within ten (10) work days after receiving the written decision of the Board. The appeal by either party must be in writing. An extension of this time period may be granted by the chairperson of the Board if the vice president/council member so requests.
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Section 2. Suspensions and dismissals from the College upheld by the Board shall be automatically reviewed by the President of the college.
ARTICLE VIII: CONTEMPT
Any individual or group who gives false testimony or who disrupts the Board proceedings, or who violates directives made in the course of such procedures shall be found in contempt of the Board which finding shall be referred to the President, who, in consultation with the Board, will determine the course of action, including imposition of any sanction.
ARTICLE IX: AMENDMENTS
Proceedings to amend this constitution may be initiated by any member of the Judicial Review Board. This constitution shall stand amended upon the acceptance of the proposed amendment by a majority vote of the Executive Council, a two thirds (2/3) vote of the Student Senate of the Student Association and approval of the President of the College.
02/2003 Judicial Review Board Bylaws.doc
The Academic Appeal Process has been adapted to function on the
Fanshawe Campus. We have revised the final appeal final internal review to be composed of one student, one faculty member, and one officer from
Fanshawe College.
There is no explanation of how the grievance procedures in place will be made available to students in Ontario. For example, the Grievance Officer is the Asst. VP Student Affairs. How will Ontario students contact him?
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An explanation of the Grievance Procedure and its application at the Fanshawe
Campus:
GRIEVANCE PROCEDURE
The college is committed to the education and social development of its students and equitable treatment in accord with the Ontario Human Rights Act. If, in the course of this complex educational process, a student feels he/she has been treated unfairly by a college employee, the college has both a standard grievance procedure and a grievance officer. The grievance officer functions to assist and advise students in the processing of complaints. Students are encouraged to use this officer to address legitimate problems and concerns. The student grievance officer for the D’Youville Campus at Fanshawe
College will be the Program Director at the Fanshawe campus.
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RECOMMENDED GRIEVANCE PROCEDURE:
1. Wherever and whenever possible, the student should first attempt to rectify
the situation by dealing directly with the employee(s). This should be done
within five working days of the incident(s) in question.
2. If the student remains unsatisfied after step 1, the student is to appeal to the
employee's superior (coordinator, director, department chairperson, etc.) to
seek a resolution acceptable to both sides. This is to be done within five
working days of completion of step 1.
3. If the student remains unsatisfied after step 2, he/she may appeal, in writing,
to the senior officer overseeing the particular employee/area. At this point,
the senior officer has the option to convene a three-member review panel to
help make recommendations back to the senior officer. The panel shall be
made up of one student, one faculty member and one administrator from the
Fanshawe campus. The senior officer will investigate the grievance and
report back to the complainant, in writing, within five working days. Please
note that steps 2 and 3 may be combined.
4. If the student remains unsatisfied after step 3, he or she has the option of
appealing to the college Judicial Review Board. Requests to the Judicial
Review Board must be made in writing to the grievance officer within five
working days after a decision at the senior administration level.
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There is no explanation of how the membership of the review panel referred to on p. 598 will be established, or that for the Student Conduct Committee referred to on p. 606.
The College appreciates the Panel’s suggestion that the review panel include as external members those at Fanshawe College. This has been included in Step 3 of the
Grievance Procedures detailed above.
There is an explanation of how the student can gain information about the Judicial Review Board, but the appropriate material is not provided in this submission. The ORP is unable to evaluate the process in the absence of this material.
The Material describing the Judicial Review Board and how students will gain access to this information is detailed below. In brief, students will receive the Fanshawe Campus Calendar, Resource Guide and Planner, and a
College Catalog, which will contain the information about the Judicial
Review Board, and will sign the “Confirmation of Awareness of
Organizational Practices and Policies of D’Youville College” included above under Benchmark 7.5 Academic Freedom and Integrity.
Nor is there any indication in the “Final Draft Agreement” between the two institutions as to who would assume on-site responsibility for any grievance procedure launched in Ontario.
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This is now addressed by the revised Grievance Procedures, and the appointment of the Program Director as the Grievance Officer on the
Fanshawe Campus.
Finally, there is an outline of the process by which a student may file a complaint in New York State. Presumably this is not a process available to students in Ontario. What will the parallel process be, or will there be one? There should be reference to the Ontario Human Rights Act. In general this section is incomplete, making it impossible for the ORP to make a judgment with regard to its adequacy.
There will be a parallel process at the Fanshawe Campus.
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Benchmark 2: The designated final appeal forum for all parties (students, faculty, staff) appears to be the President of the institution. This does not seem to satisfy the benchmark requirement "for a final internal review by a body of persons not involved in the dispute in any way". Furthermore, this could likely cause problems in cases where either a student or a staff grievance was with the administration or, indeed, with the President. Thus, it might be prudent to appoint an external group as the final arbiter, and the observation was made that the relationship with Fanshawe College might well provide D'Youville College with the possibility of having a Fanshaw- based committee function in this capacity in final appeals and grievances involving Fanshawe College based students, faculty, or staff.
The Academic Appeal Process has been adapted to function on the
Fanshawe Campus:
Final Review and Appeal
D’Youville College students, faculty and staff on the Fanshawe campus will have the right to appeal decisions of the Judicial Review Board to a committee composed of members of Fanshawe College. The composition of this group will be one administrator, one faculty member, and one student. Appeals should be made by the individual appealing in writing within five working days from the receipt of the decision of the
Judicial Board. Decisions will be rendered within five working days.
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The sexual harassment policy, whether it deals with faculty, staff, administration, or students, simply indicates that complaints should be made, that they will be dealt with without prejudice through a confidential investigation, and that such complaints are both serious and may be of various forms. But the policy does not say who will deal with the complaints or how they will be dealt with.
The following policy clarifies that Sexual Harassment cases follow the procedures applicable under the complaint policy:
Sexual Harassment
In the case of students/employees wishing to file a grievance in relation to sexual discrimination, it is recommended that they follow the grievance procedure in writing. However, the student/employee is encouraged to seek out the Fanshawe College equity officer to assist with the processing of the complaint.
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PART B
ORGANIZATION REVIEW:
MINISTER’S REQUIREMENTS
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Minister’s Requirements: 7.8.a. Student Transcript Protection Requirements
Note to Organization Reviewers: The applicant must adhere to the Minister’s “Applicant Acknowledgement and Agreement” and provide evidence that it meets all requirements set out in the Directives and Guidelines for Applying for Ministerial Consent Under the Post-secondary Education Choice and Excellence Act, 2000 and any regulations that may be made under the act from time to time.
The following pages reflect the Minister’s requirements as defined in the Handbook and by Regulations (279/02, 280/02, 281/02) established pursuant to the Act.
Reference: Ratings for Evaluating Requirements Submissio Rating MD = Minister’s To ensure clarity about the Panel’s judgment, please rate the n Directives proposal against each of the requirements. Appendix Requirement Rating Scale Reg = Reg 279 Y = policy or plan in place Unless otherwise stated N= policy or plan not in place
M.D. – 8a5 1.There is a software program that will allow for future 13.1 Yes [x ] growth in data amounts that the organization will use to keep No [ ] and manage electronic student record. MD 8a5 + Reg 2.There is a plan for records management that will ensure that at a minimum, the following appear on the transcripts:
a. Personal identifying information 13.2.1 Yes [ ] No [ ] Board • the student’s name, Yes [ x Interpretation ] No [ ] Board • contact information, and Yes [ x Interpretation ] No [ ] Board • student number; Yes [ x Interpretation ] No [ ] MD 8a5 + Reg b. Basis of Admission 13.2.1 Board • documentation relating to admission requirements that Yes [ Interpretation verify the student’s qualifications to enter the program; ] No [ ] Board • full documentation relating to credit transfers, entrance Yes [ Interpretation examinations, prior learning assessment used for ] admission or advanced placement; No [ ] MD 8a5 + Reg c. Academic History 13.2.1 Board • the subjects/courses which the student took at Yes [x
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Interpretation the institution, when these were taken, and the ] final grades for completed courses; No [ ] Board • chronological student records showing dates of Yes [ x Interpretation enrolments, program commencement, withdrawals, ] leaves of absence, completion; No [ ] MD 8a5 + Reg d. academic actions against the student; 13.2.1 Yes [ ] No [ ] MD 8a5 + Reg e. the degree awarded and the date conferred; 13.2.1 Yes [x ] No [ ] MD 8a5 + Reg f. academic awards and honours; and 13.2.1 Yes [ ] No [ ] MD 8a5 + Reg g. name and contact of the Registrar or similar official. 13.2.1 Yes [ ] No [ ] 6. There is a plan to guarantee that student records will be 13.2.2 Yes [ accessible to the student for at least 75 years. ] No [ ] 7. There is a plan to ensure weekly back-up storage of student 13.2.3 Yes [ records at an off-site location. ] No [ ] 8. There is a plan to ensure that the Registrar or similar 13.2.4 Yes [ official will certify the accuracy of the records. ] No [ ] 9. There is a verified agreement with a third-party named as 13.3 Yes [ the record keeper in the event that the organization closes or ] can no longer, for any reason, maintain the records, that No [ meets the Minister’s requirements. ]
Note: Requirements which are grey-shaded do not need to be assessed by the Panel
Reviewers’ Comments: The submission states that all the benchmarks are fulfilled. The sample transcript given did not allow the ORP to verify this in all cases: i.e.: admission requirements, transfer credits, academic actions against student, academic awards and honours, name of registrar.
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D’Youville commits to meeting obligations regarding Student Transcript Protection,
Financial Delivery of Goods and Services, Student Records, etc., as outlined the
Minister's Requirements, (Directives and Guideline for Applying for Ministerial Consent
Under the Post-secondary Education Choice and Excellence Act, 2000).
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Minister’s Requirements:
7.8.b & g Financial Security/Delivery of goods and services on payment
Reference: Ratings for Evaluating Requirements Submissio Rating MD = To ensure clarity about the Panel’s judgment, please rate the n Minister’s proposal against each of the requirements. Appendix Directives Requirement Rating Scale
Y = policy or plan in place Reg = Reg 279 Unless therwise N= policy or plan not in place stated N/A = not applicable
M.D. & Reg The organization’s policy meets the requirement that student 14.1 Yes [ ] registration agreements will not exceed a consecutive 12 month No [ ] period. M.D. & Reg The organization’s policy meets the requirement that texts, 14.2 equipment and supplies purchased by a student from the organization are delivered immediately upon payment. (Requirement 7.8.g.) M.D. & Reg Based on the financial projections provided in Appendix 10.3 14.3; and 10.4 of the submission, the Applicant has correctly 14.7 calculated the amount of security required against closure or student withdrawal. M.D. & Reg The financial security will be in the form of notes, 14.6 Yes [ ] bonds, debentures or other evidence of indebtedness No [ ] issued or guaranteed as to principal and interest by a Canadian government or a Canadian organization on a list of possible issuers, including Canada, Ontario, or another province of Canada, or by a bank or financial organization supervised or examined by the Central Bank of Canada or other governmental authority in Canada. M.D. & Reg If the consent holder chooses to collect unearned fee revenue 14.4; N/A [ ] of more than 25 per cent, the consent holder will be required to 14.5; Yes [ ] place such excess amounts in a trust fund until the services are 14.7 No [ ] provided. In the event of institutional failure or student withdrawal, any amounts in the trust fund owing to the student will be required to be easily accessible to the student. M.D. & Reg • the name and contact information of the financial 14.4 N/A [ ] institution that manages the trust fund; Yes [ ] No [ ] M.D. & Reg • verification direct from the financial institution confirming 14.4 N/A [ ] the fund arrangements and terms Yes [ ] No [ ] Note: Requirements which are grey-shaded do not need to be assessed by the Panel
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Reviewers’ Comments:
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Minister’s Requirements: 7.8.c. Tuition Refunds
Reference: Ratings for Evaluating Requirements Submissio Rating MD = To ensure clarity about the Panel’s judgment, please rate the n Minister’s proposal against each of the requirements. Appendix Directives Requirement Rating Scale
Y = policy or plan in place Reg = Reg 279 Unless N= policy or plan not in place otherwise N/A = not applicable stated Reg – Section A private institution shall ensure that all tuition fees for a 15.1 Yes [ 8 program for the period for which a student has registered are ] promptly refunded to the student: No [ ] a) if he or she gives written notice to the institution within two days after signing a registration agreement that he or she rescinds the agreement or b) if the program is discontinued before the first day. Reg- Section A private institution shall ensure that all tuition fees for a 15.1 Yes [ 8 program for the period of which a student has registered, less ] an administrative fee of a maximum of $500, are promptly No [ refunded to the student, ] a) if he or she gives the institution written notice that he or she does not intend to begin the program; or b) if he or she does not attend the first ten consecutive days of the program Reg –Section A private institution shall ensure that unearned tuition fees, for 15.1 8 the program for the period for which a student has registered, less an administrative fee of a maximum of $500, are promptly refunded to the student, a) if he or she withdraws from the program before one- half of it has been completed. b) If the program is discontinued or suspended for any reason Reg – Section Section 4 of the Reg states that 15.1 8 A tuition refund is payable as follows: 1.The private institution shall arrange for the trustee to pay to Yes [ the student the amount to which the student is entitled under ] this section from the amount, if any, of the unearned tuition No [ ] fees held in the fund for benefit of the student. 2. The private institution shall pay to the student the balance of the amount to which he or she is entitled under this section. Despite the above section, a refund required by this section may be paid in total to the student by the private institution and, if it does so, the private institution is entitled to be paid the amount held in the trust fund for the benefit of the student in respect of unearned tuition fees. Despite the above section, if the amount of unearned tuition fees held by a private institution in respect of a student who is entitled to a refund under this section is insufficient to cover the administrative fee authorized in (2) or (3) above, the deficiency may be deducted from the unearned tuition fees held
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in trust for the benefit of the student and paid to the institution from the trust fund.
Reviewers’ Comments:
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Minister’s Requirements:
7.8.d. Student Contracts
Reference: Ratings for Evaluating Requirements Submissio Rating MD = To ensure clarity about the Panel’s judgment, please rate the n Minister’s proposal against each of the requirements. Appendix Directives Requirement Rating Scale
Y = policy or plan in place Reg = Reg 279 Unless N= policy or plan not in place otherwise N/A = not applicable stated The consent holder will be required to have an enrolment contract for students enrolling in degree programs. The contract will include the following: M.D. 8b(3) • the title of the degree program and name of the degree to 16.1 Yes [ be awarded; ] No [ ] M.D. 8b(3) • the start date of the contract period and end date of the 16.1 Yes [ contract period for distance education programs; ] No [ ] N/A [ ] M.D. 8b(3) • the start date of the contract period for all other programs 16.1 Yes [ (or any part of any type of program) ] No [ ] • policies on student withdrawal and refund of fees and 16.1 Yes [ charges ] No [ ]
Note: Requirements which are grey-shaded do not need to be assessed by the Panel
Reviewers’ Comments
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Minister’s Requirements:
7.8.e. Awareness of Policies Affecting Students Reference: Ratings for Evaluating Requirements Submissio Rating MD = To ensure clarity about the Panel’s judgment, please rate the n Minister’s proposal against each of the requirements. Appendix Directives Requirement Rating Scale
Y = policy or plan in place Reg = Reg 279 Unless N= policy or plan not in place otherwise N/A = not applicable stated The consent holder is prepared to obtain from each student, prior to registration, written confirmation that the student is aware of organization practices and policies concerning the following M.D. 8b(4) a. admissions requirements 17.1 Yes [ ] No [ ] M.D. 8b(4) b. matters pertaining to international students 17.1 Yes [ ] No [ ] M.D. 8b(4) c. scholarships and other financial assistance 17.1 Yes [ ] No [ ] M.D. 8b(4) d. method of course delivery 17.1 Yes [ ] No [ ] M.D. 8b(4) e. grading 17.1 Yes [ ] No [ ] M.D. 8b(4) f. academic honesty 17.1 Yes [ ] No [ ] M.D. 8b(4) g. intellectual property 17.1 Yes [ ] No [ ] M.D. 8b(4) h. credit transfer arrangements and recognition by other 17.1 Yes [ organizations ] No [ ] M.D. 8b(4) i. withdrawals, dismissals, and refunds 17.1 Yes [ ] No [ ] M.D. 8b(4) j. supervision, preparation and examination of 17.1 Yes [ theses/dissertations (if applicable ] No [ ] N/A [ ] M.D. 8b(4) k. complaints/grievances 17.1 Yes [ ] No [ ]
Reviewers’ Comments:
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Minister’s Requirements:
7.8.f. Credit Transfer
Reference: Ratings for Evaluating Requirements Submissio Rating MD = To ensure clarity about the Panel’s judgment, please rate the n Minister’s proposal against each of the requirements. Appendix Directives Requirement Rating Scale
Y = policy or plan in place Reg = Reg 279 Unless N= policy or plan not in place otherwise N/A = not applicable stated M.D. 8b(5) The consent holder is prepared to provide each registrant in a 18.1 program with a written notice identifying any credit transfer arrangements currently in place and providing the details of such arrangements, as well as contact information for the receiving organization. If the consent holder has no credit transfer in place, the written notice will indicate that no such arrangements exist.
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3. June 2004 Response to Organization Review Secretariat Portion
ORGANIZATION REVIEW SECRETARIAT PORTION
Senior Policy Advisor: Virginia Hatchette Proposed Program Name: Bachelor of Education
Institution: D’Youville College
Date Report Submitted: June 17, 2004
In the assessment of D’Youville College
A) the Secretariat finds that with respect to the Board’s Standards, the Applicant’s organization, policies, plans and practices:
____ fail to meet the Board’s standards __x__ require revisions to meet the Board’s standards _ meet or exceed Board’s standards Executive Summary
With respect to the elements of the Applicant submission, the Secretariat assesses against the Board standards, the Secretariat found that the applicant submitted materials, polices and practices as required for the following: • Administrative Capacity – Benchmark 1 • Ethical Conduct – Benchmarks 1-6 • Student Protection – Benchmarks 2-10
D’Youville College has met the Board’s standards with one exception: confirmation of students’ awareness of policies pertaining to credit transfer arrangements for incoming students, prior learning assessment, entrance examinations, student support and services.
The attached page provides an updated form to include the areas of student awareness
not included in our previous form.
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Confirmation of Awareness of Organizational Practices and Policies of D’Youville College
The student’s signature below indicates that the student has been given a College Catalog and a Calendar and Resource Guide, and that the student has read and is aware of the College’s policies in these materials regarding:
• admission requirements • matters pertaining to international students • scholarships and other financial assistance • method of course delivery • grading • academic honesty • intellectual property • credit transfer arrangements and recognition by other organizations • withdrawals, dismissals, and refunds • supervision, preparation, and examination of theses/dissertations (if applicable) • complaints/grievances • prior learning assessment • entrance examinations • student support and services
I have read and am aware of the College’s polices as listed above.
______(Student signature) (Date)
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B) the Secretariat finds that with respect to the Minister’s Requirements, the Applicant’s organization, policies, plans, and practices: __x___ require revisions to meet the Minister’s requirements ____ meet or exceed the Minister’s requirements
Executive Summary With respect to the elements of the Applicant submission, the Secretariat assesses against the Minister’s Requirements, the Secretariat found that the applicant submitted materials, polices and practices as required for the following: • Student Transcript Protection – Requirements 6-9 • Financial Security/Delivery of Goods and Services on Payment – All requirements • Tuition Refunds – All requirements • Student Contracts – All requirements
Before Ministerial Consent could be granted, the applicant will need to: • work with the Senior Policy Advisors from Private Institutions Branch to complete the security trust fund arrangements,
D’Youville College commits to working with the Senior Policy Advisors from the Private
Institutions Branch to complete the security trust fund arrangements.
• submit the plan for ensuring the accuracy of student records for review, confirm that Fanshawe College, the 3rd party record keeper, will maintain student records in the event that D’Youville and Fanshawe terminate their agreement for whatever reason,
We are in contact with Fanshawe College to make these arrangements, and will notify
you immediately of our agreement.
• confirm that texts, equipment and supplies will be delivered immediately to students on payment,
D’Youville College confirms that it is our policy to have texts, equipment and supplies
delivered immediately to students on payment.
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• confirm that the start date of the contract/registration period for the program, and policies on student withdrawal and refund of fees and charges appear on the registration contract,
D’Youville College will include the start date of the contract/registration period for the program, and policies on student withdrawal and refund of fees and charges on the registration contract.
• confirm that the college is will provide each registrant in the program with a written notice identifying any credit transfer arrangements (from D’Youville to a receiving institution) currently in place and providing the details of such arrangements, as well as contact information for the receiving organization. If the consent holder has no credit transfer arrangements in place, the written notice will indicate that no such arrangements exist.
D’Youville College confirms that the college will provide each registrant in the program with a written notice identifying any credit transfer arrangements (from D’Youville to a receiving institution) currently in place and providing the details of such arrangements, as well as contact information for the receiving organization. If D’Youville College has no credit transfer arrangements in place, the written notice will indicate that no such arrangements exist.
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7.2 Administrative Capacity
Standard: The Applicant has the legal characteristics, governance structure and administrative capacity necessary to organize and manage a competent institution of higher learning.
Benchmark Ratings Rating To ensure clarity about the Committee’s judgment, please rate the proposal against each of the benchmarks.
Benchmark Rating Scale F = fails to meet the benchmark R = requires revisions to meet the benchmark M = meets or exceeds the benchmark
9. The Applicant identifies the organization’s legal characteristics through Yes [√ ] submission of its articles of incorporation, statutory authority, or partnership No [ ] agreement where applicable; when part of a larger organization, the Applicant identifies the legal nature of that relationship.
Applicant attached current copies of • State of New York – original charter and subsequent amendments
The Applicant: ____ fails to meet the benchmarks assessed by the secretariat; ____ requires revisions to meet benchmarks assessed by the secretariat; __√__ meets or exceeds the benchmarks assessed by the secretariat
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7.3 Ethical Conduct
Standard: The Applicant values and upholds integrity and ethical conduct.
Benchmark Ratings To ensure clarity about the Committee’s judgment, please rate the proposal against each of the benchmarks.
Benchmark Rating Scale Y = yes, material relevant to the benchmark has been supplied Rating N = no, material relevant to the benchmark has not been supplied 8. The applicant discloses any past criminal convictions on the part of Yes [ √ ] officers and directors relating to fraud or misrepresentation and of any past No [ ] conduct of officers or directors that gives reasonable grounds to believe business will not be carried out in accordance with conditions of Ministerial Consent and with integrity, honesty and in accordance with laws of general application in the province of Ontario. 9. The applicant discloses of any legal or administrative actions pending Yes [ √ ] against the institution, and/or any of the owners, officers, or administrators, No [ ] by any federal, provincial, state, or municipal law enforcement agency. 10. If the applicant or any of its officers and directors has or has had a Yes [ √ ] registered private vocational school in Ontario, the applicant discloses any No [ ] instances of non-compliance with the Private Career Colleges Act, R.S.O. 1990, c. P-26. 11. If the applicant or any of its officers and directors has breached the rules Yes [√ ] governing student financing through the Ontario Student Assistance No [ ] Program or any other government program of direct student financing, the applicant discloses any instances of non-compliance. 12. If the applicant or any of its officers and directors operates or has operated Yes [√ ] in other jurisdictions, the applicant discloses any instances of non- No [ ] compliance with relevant legislation in those jurisdictions. 13. If the applicant or any of its officers and directors operates or has ever Yes [√ ] operated a school in Ontario, the Applicant is free from criminal or No [ ] summary offence convictions related to OSAP or requirements under the Private Vocational Schools Act.
The applicant has submitted that There are no owners or partners that hold an equity position or a claim against the D’Youville College The Officers of the Corporation do not currently nor have they previously owned or controlled a postsecondary organization: There are no instances of non-compliance with Regulatory or Legislative Requirements in Ontario and/or Other Jurisdictions for any of the Officers of the Corporation. The owner(s) of the organization, its Directors and Officers have never been convicted of fraud or mispresentation.
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There are no legal or administrative actions related to the operation of a business or business activity pending against the organization, any of its owners, officers, or administrators by any federal, provincial, state, or municipal law enforcement agency.
The Applicant: ____ fails to meet the benchmarks assessed by the secretariat; ____ requires revisions to meet benchmarks assessed by the secretariat; __√__ meets or exceeds the benchmarks assessed by the secretariat
This rating is based on the applicant submission and a signed Applicant Acknowledgement and Agreement Form attesting to the truthfulness of the submission content.
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7.4 Student Protection
Standard: The Applicant values and upholds integrity and ethical conduct in its relations with students.
Benchmark Ratings Rating To ensure clarity about the Committee’s judgment, please rate the proposal against each of the benchmarks.
Benchmark Rating Scale F = fails to meet the benchmark R = requires revisions to meet the benchmark M = meets or exceeds the benchmark
Y = requirement is met N= requirement is not met 4. Key information about the Applicant’s organization, policies and programs is published in its academic year calendar and is otherwise readily available to students and the public, specifically including: 5. the organization’s mission and goals statement; Yes [ √ ] No [ ] 6. a history of the organization and its governance and academic Yes [√ ] structure; No [ ]
7. a general description of each degree program (e.g., purpose, outcomes, Yes [√ length); No [ ]
8. individual descriptions of all subjects in these programs and their credit value. Yes [√ ] No [ ] 9. the academic credentials of faculty and senior administrators; and Yes [√ ] No [ ] 10. Prior to registration, students are provided with and confirm in writing their awareness of policies (and procedures) pertaining to: • credit transfer arrangements for incoming students,; Yes [] No [ √ ] • prior learning assessment Yes [ ] No [√ ] • entrance examinations Yes [ ] No [ √ ] • student support and services; Yes [ ] No [ √ ]
The Applicant: ____ fails to meet this standard; _√___ requires revisions to meet this standard; ____ meets or exceeds this standard.
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D’Youville has created a form to confirm students’ awareness of policies but at this time it does not include students’ awareness of policies pertaining to credit transfer arrangements for incoming students, prior learning assessment, entrance examinations, student support and services.
The attached page provides an updated form to include the areas of student awareness not included in our previous form.
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Confirmation of Awareness of Organizational Practices and Policies of D’Youville College
The student’s signature below indicates that the student has been given a College Catalog and a Calendar and Resource Guide, and that the student has read and is aware of the College’s policies in these materials regarding:
• admission requirements • matters pertaining to international students • scholarships and other financial assistance • method of course delivery • grading • academic honesty • intellectual property • credit transfer arrangements and recognition by other organizations • withdrawals, dismissals, and refunds • supervision, preparation, and examination of theses/dissertations (if applicable) • complaints/grievances • prior learning assessment • entrance examinations • student support and services
I have read and am aware of the College’s polices as listed above.
______(Student signature) (Date)
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7.8 Minister’s Requirements
7.8.a. Student Transcript Protection Requirements
Note to Organization Reviewers: The applicant must adhere to the Minister’s “Applicant Acknowledgement and Agreement” and provide evidence that it meets all requirements set out in the Directives and Guidelines for Applying for Ministerial Consent Under the Post-secondary Education Choice and Excellence Act, 2000 and any regulations that may be made under the act from time to time.
The following pages reflect the Minister’s requirements as defined in the Handbook and by Regulations (279/02, 280/02, 281/02) established pursuant to the Act.
Reference: Ratings for Evaluating Requirements Rating MD = Minister’s To ensure clarity about the Committee’s judgment, please rate the Directives proposal against each of the requirements. Requirement Rating Scale Reg = Reg 279 Y = policy or plan in place Unless otherwise stated N= policy or plan not in place
6. There is a plan to guarantee that student records will be accessible to Yes [ ] the student for at least 75 years. No [ √ ] 7. There is a plan to ensure weekly back-up storage of student records Yes [√ ] at an off-site location. No [ ] 8. There is a plan to ensure that the Registrar or similar official will Yes [ √ ] certify the accuracy of the records. No [ ] 9. There is a plan for a third-party named as the record keeper in the Yes [ ] event that the organization closes or can no longer, for any reason, No [ √ maintain the records. ]
Reviewers’ Comments:
D’Youville College will serve as the off-site location for student record storage. D’Youville has committed to meeting benchmarks 6, 8, and 9, however, the plan for ensuring the accuracy of student records was not included in the submission, and the letter of confirmation from the 3rd party record keeper (Fanshawe College) does not explicitly state that records will be maintained in the event that D’Youville and Fanshawe terminate their agreement for whatever reason.
We are in contact with Fanshawe College to make these arrangements, and will notify you immediately of our agreement.
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7.8.b & g Financial Security/Delivery of goods and services on payment
Reference: Ratings for Evaluating Requirements Rating MD = Minister’s To ensure clarity about the Committee’s judgment, please rate the Directives proposal against each of the requirements. Requirement Rating Scale Reg = Reg 279 Y = policy or plan in place Unless otherwise stated N= policy or plan not in place N/A = not applicable
M.D. & Reg The organization’s policy meets the requirement that student Yes [√ ] registration agreements will not exceed a consecutive 12 month No [ ] period. M.D. & Reg The organization’s policy meets the requirement that texts, Yes [ ] equipment and supplies purchased by a student from the No [√ ] organization are delivered immediately upon payment. (Requirement 7.8.g.) M.D. & Reg Based on the financial projections provided in Appendix 10.3 and No [√ ] 10.4 of the submission, the Applicant has correctly calculated the amount of security required against closure or student withdrawal. M.D. & Reg The financial security will be in the form of notes, bonds, Yes [ ] debentures or other evidence of indebtedness issued or No [√ ] guaranteed as to principal and interest by a Canadian government or a Canadian organization on a list of possible issuers, including Canada, Ontario, or another province of Canada, or by a bank or financial organization supervised or examined by the Central Bank of Canada or other governmental authority in Canada. M.D. & Reg If the consent holder chooses to collect unearned fee revenue of N/A [ √ ] more than 25 per cent, the consent holder will be required to place Yes [ ] such excess amounts in a trust fund until the services are provided. No [ ] In the event of institutional failure or student withdrawal, any amounts in the trust fund owing to the student will be required to be easily accessible to the student. M.D. & Reg • the name and contact information of the financial institution that manages the trust fund; M.D. & Reg • verification direct from the financial institution confirming the fund arrangements and terms
Reviewers’ Comments:
• With respect to texts, equipment and supplies, there was insufficient information in the submission to determine conformity with this requirement. • D’Youville has not submitted information with respect to bonding arrangements.
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• D’Youville College confirms that it is our policy to have texts, equipment
and supplies delivered immediately to students on payment.
• D’Youville College commits to working with the Senior Policy Advisors
from the Private Institutions Branch to complete the security trust fund
arrangements.
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7.8.c. Tuition Refunds
Reference: Ratings for Evaluating Requirements Rating MD = Minister’s To ensure clarity about the Committee’s judgment, please rate the Directives proposal against each of the requirements. Requirement Rating Scale Reg = Reg 279 Y = policy or plan in place Unless otherwise stated N= policy or plan not in place N/A = not applicable
Reg – Section 8 A private institution shall ensure that all tuition fees for a program Yes [ √ for the period for which a student has registered are promptly ] refunded to the student: No [ ] c) if he or she gives written notice to the institution within two days after signing a registration agreement that he or she rescinds the agreement or d) if the program is discontinued before the first day. Reg- Section 8 A private institution shall ensure that all tuition fees for a program for the period of which a student has registered, less an Yes [ √ administrative fee of a maximum of $500, are promptly refunded to ] the student, No [ a) if he or she gives the institution written notice that he or she ] does not intend to begin the program; or b) if he or she does not attend the first ten consecutive days of the program
Reg –Section 8 A private institution shall ensure that unearned tuition fees, for the program for the period for which a student has registered, less an Yes [ √ administrative fee of a maximum of $500, are promptly refunded to ] the student, No [ c) if he or she withdraws from the program before one-half of ] it has been completed. d) If the program is discontinued or suspended for any reason
Reviewers’ Comments:
The Applicant submitted withdrawal and refund polices as per the Minister’s Directives.
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7.8.d. Student Contracts
Reference: Ratings for Evaluating Requirements Rating MD = Minister’s To ensure clarity about the Committee’s judgment, please rate the Directives proposal against each of the requirements. Requirement Rating Scale Reg = Reg 279 Y = policy or plan in place Unless otherwise stated N= policy or plan not in place N/A = not applicable
The consent holder will be required to have an enrolment contract for students enrolling in degree programs. The contract will include the following: M.D. 8b(3) • the title of the degree program and name of the degree to be Yes [ ] awarded; No [√ ]
M.D. 8b(3) • the start date of the contract period and end date of the contract Yes [ ] period for distance education programs; No [ ] N/A [ √ ] M.D. 8b(3) • the start date of the contract period for all other programs (or Yes [ ] any part of any type of program) No [ √ ] • policies on student withdrawal and refund of fees and charges Yes [ ] No [ √ ]
Reviewers’ Comments
• D’Youville includes the name of the degree program only in its registration contract with students.
D’Youville College will include the title and name of the degree program, the start date of the contract/registration period for the program, and policies on student withdrawal and refund of fees and charges on the registration contract.
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7.8.e. Awareness of Policies Affecting Students Reference: Ratings for Evaluating Requirements Rating MD = Minister’s To ensure clarity about the Committee’s judgment, please rate the Directives proposal against each of the requirements. Requirement Rating Scale Reg = Reg 279 Y = policy or plan in place Unless otherwise stated N= policy or plan not in place N/A = not applicable
The consent holder is prepared to obtain from each student, prior to registration, written confirmation that the student is aware of organization practices and policies concerning the following M.D. 8b(4) • admissions requirements Yes [√ ] No [ ] M.D. 8b(4) • matters pertaining to international students Yes [√ ] No [ ] M.D. 8b(4) • scholarships and other financial assistance Yes [√ ] No [ ] M.D. 8b(4) • method of course delivery Yes [√ ] No [ ] M.D. 8b(4) • grading Yes [√ ] No [ ] M.D. 8b(4) • academic honesty Yes [√ ] No [ ] M.D. 8b(4) • intellectual property Yes [√ ] No [ ] M.D. 8b(4) • credit transfer arrangements and recognition by other Yes [ √ organizations ] No [ ] M.D. 8b(4) • withdrawals, dismissals, and refunds Yes [ √ ] No [ ] M.D. 8b(4) • supervision, preparation and examination of theses/dissertations Yes [√ (if applicable) ] No [ ] N/A [ ] M.D. 8b(4) • complaints/grievances Yes [√ ] No [ ]
Reviewers’ Comments:
• D’Youville has developed a form to students’ awareness of policies and procedures.
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7.8.f. Credit Transfer
Reference: Ratings for Evaluating Requirements Rating MD = Minister’s To ensure clarity about the Committee’s judgment, please rate the Directives proposal against each of the requirements. Requirement Rating Scale Reg = Reg 279 Y = policy or plan in place Unless otherwise stated N= policy or plan not in place N/A = not applicable
M.D. 8b(5) The consent holder is prepared to provide each registrant in a N program with a written notice identifying any credit transfer arrangements currently in place and providing the details of such arrangements, as well as contact information for the receiving organization. If the consent holder has no credit transfer in place, the written notice will indicate that no such arrangements exist.
Reviewers’ Comments:
There was insufficient information in the submission to determine D’Youville’s conformity with this requirement.
D’Youville College confirms that the college will provide each registrant in the program with a written notice identifying any credit transfer arrangements (from D’Youville to a receiving institution) currently in place and providing the details of such arrangements, as well as contact information for the receiving organization. If D’Youville College has no credit transfer arrangements in place, the written notice will indicate that no such arrangements exist.
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