Board of Trustees Ohio University Athens Campus
Agenda
November 16, 2012
BOARD ACTIVITIES FOR November 15, 2012 Ohio University Main Campus – Athens, Ohio Activity & Committee Meeting Schedule
Thursday, November 15, 2012
8:30 a.m. Convene at Walter Hall
Ongoing Hospitality Suite/Break Room (Walter Hall)
8:45 a.m. Ethics Training, Walter Hall
9:45 a.m. Joint Committee Meetings: Academics and Resources
10:45 a. m. Group/Individual Photos, Walter Hall; Photographer Ben Siegel
11:15 a.m. Travel to Nelson Dining Hall
11:30 a.m. Trustee Luncheon; Nelson Dining Hall
12:30 p.m. Travel to Walter Hall
12:45 p.m. Joint Committee Meetings: Academics and Resources
1:30 p.m. Resources Committee, Walter Hall, Room 125/127
1:30 p.m. Academics Committee, Walter Hall, Governance Room
3:30 p.m. Governance Committee, Walter Hall, Room 125
3:30 p.m. Audit Committee, Walter Hall, Room 127
6:30 p.m. Reception – Trustees, President, Board Secretary, and Executive Staff and Guests; OU Inn, Lindley Room
7 p.m. Dinner – Trustees, President, Board Secretary, Executive Staff and Guests; OU Inn, Lindley Room
BOARD ACTIVITIES FOR November 16, 2012 Ohio University Main Campus – Athens, Ohio
Activity & Committee Meeting Schedule
Friday, November 16, 2012
7:30 a.m. Trustee Breakfast; OU Inn, Wilson Room
9:45 a.m. Travel to Walter Hall
10 a.m. Board Meeting; Walter Hall, Governance Room
Noon Boxed Lunches from Jimmy John’s
AGENDA Board of Trustees Meeting Friday, November 16, 2012 – 10:00 a.m. Margaret M. Walter Hall, Governance Room 104, Athens Campus
OPEN SESSION
Roll Call
Approval of Agenda
1. Minutes of Board of Trustees’ Meeting of September 6, 2012
Comments from the Chair of the Board of Trustees
2. Report from the President
Committee Reports and Information Items and items apart from the Consent Agenda
University Resources Committee University Academics Committee Governance Committee Audit Committee Executive Committee
Consent Agenda
Any trustee may request, in advance of action on the consent agenda, that any matter set out in this consent agenda be removed and placed on the regular agenda for discussion and action.
All matter listed within the Consent Agenda have been distributed to each member of the Ohio University Board of Trustees for reading and study, are considered to be routine, and will be enacted by one motion of the Board with no separate discussion.
Tab 6 Resolution, Regional Instruction Fees Tab 7 Resolution, Amendment to the 403(b) Plan Tab 9 Resolution, Construction Project(s) Tab 17 Resolution, Regional Coordinating Council Appointments Tab 17 Resolution, Review of Centers and Institutes Tab 17 Resolution, Center for Advanced Software Systems Integration Name Change Tab 19 Resolution, College of Fine Arts – School of Dance, Film, and Theater Merger and Name Change
Unfinished Business
New Business
Communications, Petitions, and Memorials
Announcement of Next Stated Meeting Date
Adjournment
AGENDA University Resources Committee Margaret M. Walter Hall, Room 125/127 1:30 p.m. – Thursday, November 15, 2012
3. Capital Campaign Update 4. FY2012 Financial Statement Highlights 5. Investment Policy 6. Consent Agenda – Regional Instruction Fees 7. Consent Agenda – Amendment to the 403(b) Plan 8. Campus Updates 9. Consent Agenda Construction Project(s) 10. Federal Fiscal Cliff Update 11. ERIP / VESP Summary Report 12. Annual Insurance Report 13. Annual Clery Data Fire Report 14. Annual Clery Date Police Report 15. Annual Sustainability Report
Unfinished Business
EXECUTIVE SESSION
AGENDA University Academics Committee Margaret M. Walter Hall, Governance Room 1:30 p.m. – Thursday, November 15, 2012
16. Academic Quality-Dashboard: Retention 17. Standing Reports and Updates: a. Enrollment update b. Consent – Regional Coordinating Council Appointments c. Consent – Review of Centers and Institutes d. Consent – Center for Advanced Software Systems Integration Name Change 18. Academic Quality Initiatives e. Parental Leave Implementation Report f. Peer Institution Report g. Three Year Degrees Update h. Living and Learning Update 19. Consent – College of Fine Arts – School of Dance, Film, and Theater Merger and Name Change
Unfinished Business
AGENDA Governance Committee Margaret M. Walter Hall, Governance Room 3:30 p.m. – Thursday, November 15, 2012
Report on the AGB webinar on bylaws Report on the Annual Ohio Trustee Conference
EXECUTIVE SESSION
AGENDA Audit Committee Margaret M. Walter Hall, Room 127 3:30 p.m. – Thursday, November 15, 2012
20. Chief Audit Executive FY13 Audit Update 21. External Audit Update (Plante Moran) – final discussion regarding the results of the FY12 audit
EXECUTIVE SESSION
AGENDA Executive Committee Ohio University Inn, Wilson Room 7:30 a.m. – Friday, November 16, 2012
Report on Chair and Vice Chair visit to Faculty Senate Mineral Property Rights Update Student Trustee Rights Resolution by Faculty Senate President’s bonus process
Unfinished Business
EXECUTIVE SESSION
AGENDA Join Committee Meetings: Academics and Resources Margaret M. Walter Hall, Governance Room 9:45 a.m. – Thursday, November 15, 2012
22. Ohio University’s Fiscal Cliff – Part 1
AGENDA Join Committee Meetings: Academics and Resources Margaret M. Walter Hall, Governance Room 12:45 p.m. – Thursday, November 15, 2012
23. Ohio University’s Fiscal Cliff – Part 2
Statement of Expectations for Members of the Board of Trustees of Ohio University
Adopted by the Board of Trustees on April 24, 2009
This Statement of Expectations is intended to provide guidelines and information to assist members of the Board of Trustees in fulfilling their roles and responsibilities in service to Ohio University and the citizens of the State of Ohio.
1. The Role of the Board a. The Board of Trustees is the governing body of Ohio University. It is a body politic and corporate under Ohio law and has the right to sue and be sued. The General Assembly has conferred upon the Board the authority to: adopt rules for the governance of the institution; hire and supervise the President, faculty and staff; oversee university finances; and control university property and facilities. b. The Board serves the citizens of the State of Ohio. It is responsible for ensuring that the university offers students an educational experience of the highest quality and produces research that provides economic and cultural benefits to the citizens of Ohio. It is also responsible for making efficient and effective use of state resources by working with the Governor, the Board of Regents and the other state universities through the University System of Ohio. c. The Board’s primary concerns are strategic governance and accountability. It should adopt a strategic plan designed to ensure the long-term fulfillment of the university’s teaching, research and service mission, monitor progress in achieving the plan’s goals and update the plan as necessary. It should provide oversight to protect the university’s fiscal integrity and make sure that the President, faculty and staff comply with all applicable laws and perform their responsibilities ethically and competently. d. The Board should adopt a procedure governing the creation and monitoring of corporate entities affiliated with the university. e. The Board should govern through the President and should refrain from becoming involved in day-to-day operations. f. The Board should recognize the important role that the principle of shared governance plays in institutions of higher education. It should seek input from faculty, staff and students and whenever possible incorporate their views into its decisions.
2. The Role of Individual Trustees a. Members of the Board of Trustees are stewards of the public trust. They have a fiduciary obligation to act in the best interests of the university and the State of Ohio. They must
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adhere to the highest ethical standards and perform their university duties without regard to any personal interests they may have. Trustees should understand and comply with state ethics laws and keep themselves informed of developments in these laws. They should avoid situations that may give rise to even the appearance of a conflict of interest and promptly disclose any conflicts of interest that may occur. b. Trustees should understand that they serve the institution as a whole and are not advocates for any particular unit or constituency of the university. c. Student Trustees have a unique responsibility to ensure that the views of students are heard in Board deliberations. They should also share with other students the Board’s perspectives on University issues. In performing both of these functions, they should keep in mind the needs of all constituencies within the university. d. The Chair of the Ohio University Alumni Association Board of Directors is responsible for ensuring that the views of alumni are presented to the Board and for communicating to alumni the Board’s perspectives on university issues. ed. Service on the Board is a time consuming professional commitment. Trustees should attend all meetings of the Board and committees and should give notice to the Chair when they are unable to do so. Trustees should also make an effort to participate in conferences and other programs designed to educate and update Trustees and to attend commencements, convocations and other special events on campus. fe. Trustees should be attentive during meetings and refrain from multitasking. They should treat the opinions of their colleagues on the Board as well as others participating in Board discussions with civility and respect and should be open to alternative points of view. They should respect and protect the confidentiality of matters discussed in executive sessions and should refrain from publicly or privately criticizing other Trustees or impugning their motives. gf. Trustees should strive to make informed decisions based on an analysis of objective data. In their deliberations they should rely on the application of sound management principles and prudent business judgment. To ensure thorough consideration of Board decisions, they should review briefing materials and be prepared to actively participate in discussions. hg. In order to make good decisions, Trustees need to engage in robust and thorough discussions of university issues in public meetings. Disagreements will occur and Trustees should seek productive ways to resolve them. Once a consensus is reached on an issue, all Trustees should respect the final decision of the Board. ih. Trustees should keep themselves informed about issues and events at the local, state and national level that may affect the university and higher education in general. ji. Trustees are encouraged to offer financial support to the university in accordance with their means.
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kj. Trustees should understand and comply with the Ohio Public Records and Open Meetings Laws and should keep themselves informed of developments in these laws.
3. The Board’s Relationship with the President a. The Board delegates responsibility for all aspects of institutional management to the President. The Board and individual Trustees should refrain from involvement in operational matters except as necessary to fulfill their fiduciary duties. b. The Board and the President should agree on clearly defined institutional goals and strategies for achieving them. c. The Board should hold the President accountable for achieving institutional goals. Evaluation of the President should be an ongoing process with the Board offering candid and constructive feedback as necessary. In accordance with Board policy, formal evaluations should be conducted on a regular basis. d. The President reports to the Board as a whole and not to individual Trustees. Trustees who have concerns about the President’s performance should convey them to the Board Chair who will take appropriate action to address the concern. The Chair will report back to the Trustee who raised the concern in a timely manner. e. Individual Trustees should develop a comfortable working relationship with the President. They are encouraged to interact with the President one-on-one as needed to share information, concerns or advice but they should remember that when they do so they are not speaking for the entire Board.
4. The Board’s Relationship with Internal Constituencies a. Trustees are encouraged to interact informally with administrators, faculty and students, bearing in mind that they do so as individual members of the Board. They should avoid any statements that would give rise to the perception that they speak for the entire Board. b. When interacting with faculty, staff and students, Trustees should not disclose matters deemed confidential by the Board in executive session, advocate for their personal position on university issues or criticize other members of the university community. c. Trustees should submit requests for information about institutional issues to the Board Secretary who will facilitate a response from the appropriate university official. d. Consistent with the principle of shared governance, the faculty, through the Faculty Senate, plays an active advisory role to the administration and the Board of Trustees on all academic matters, including but not limited to academic standards, research, admissions, curriculum and the granting of degrees. The Faculty Senate initiates policies relating to university-wide academic matters, the rights and responsibilities of faculty and faculty
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grievances. The Board should respect the role of the Senate in these areas and should also consider advice from the Senate on matters of general concern to the university community. e. The Board should encourage the President and administrators to involve individual faculty and students in the development of institutional goals and priorities. The active participation of faculty and students in these matters will give them a broader understanding of institutional governance and will enrich the Board’s understanding of faculty and student views on university issues.
5. Relationships with External Entities a. The Board Chair is the only Trustee authorized to make public statements on behalf of the entire Board. b. When asked to comment on Board actions or deliberations, Trustees may defer to the Chair or the President. If Trustees choose to speak publicly on issues relating to the university or higher education in general they should make it clear that they are stating their personal views and are not expressing the formal position of the Board or the university. c. When individual Trustees communicate with federal, state or local officials on issues relating to higher education, they should take care not to create the perception that they speak for the Board or the university unless they have been authorized by the Chair or the Board to do so. d. When individual Trustees are presented with concerns about university operations, these matters should be communicated to the President and/or the Chair. e. While Trustees should seek information and ask questions of others, they should refrain from publicly criticizing the President or other members of the University Community. Criticisms or concerns that Trustees may have about the President or other members of the University Community should be conveyed to the Chair who will determine the appropriate method for the Board to address the issue.
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The Ohio University Board of Trustees By-Laws as Amended
Revised September 6, 2012
Revised April 24, 2011
Revised February 10, 2010
Revised January 23, 2009
Revised February 8, 2008
Revised July 14, 1989
Revised June 23, 1990
Revised September 20, 2002
Revised December 17, 2004
Article I. Corporate Authority and By-Laws
Section 1. The Board of Trustees of the Ohio University, a body corporate and politic, hereby adopts these Bylaws for the purpose of governing its activities in accordance with Chapter 3337 of the Ohio Revised Code.
Section 2. No By-Laws shall be enacted, amended, or repealed, except by a vote of a majority of the members (5 votes) of the Board authorized to vote, and then only after thirty (30) days notice of a proposed change has been given to all members.
Section 3. The Board shall be comprised of nine Trustees and two student Trustees, all appointed by the governor of the State of Ohio in accordance with Section 3337.01 of the Ohio Revised Code. The Board shall also include two national Trustees and the chair of the Ohio University Alumni Association Board of Directors or his or her designee. One national Trustee shall be appointed by the Board for a term of one year beginning on July 1, 2010. One national Trustee shall be appointed by the Board for a term of three years beginning on July 1, 2010. Thereafter, both national Trustees shall serve terms of three years.
Section 4. The nine Trustees appointed by the Governor shall hold voting privileges. The two student trustees, the two national trustees and the chair of the Ohio University Alumni Association Board of Directors may not vote on Board matters but their opinions and advice will be actively solicited and welcomed in Board deliberations.
Article II. Officers of the Board
Section 1. Officers of the Board shall be as follows: (a) Chairperson
(b) Vice-Chairperson
(c) Secretary
(d) Treasurer
Section 2. The Chairperson shall preside at all meetings of the Board, and unless otherwise directed by the Board, shall have the authority to appoint members of and to fill vacancies on all standing and special committees. He or she shall serve as Chairperson of the Executive Committee. Subject to these By-Laws, he or she shall fix the date and time of all regular, special, and emergency meetings, and perform such other duties as may be pertinent to the office of the Chairperson.
Section 3. The Vice-Chairperson, in the absence or incapacity of the Chairperson, shall assume the duties and obligations of the Chairperson.
Section 4. The Secretary shall keep minutes of all Board meetings and shall promptly distribute copies to all Board members. He or she shall be responsible for the orderly preservation of all records pertaining to Board business, and shall perform all other duties customary to the office or assigned by the Chairperson or by Board action.
Section 5. The Treasurer shall be responsible for the fiscal management of the University, including supporting budget preparation, the preparation of all officially required financial reports, management of investments, coordination of audits with auditors, including federal and state auditors, overseeing relationships with financial reporting agencies, and all other financial responsibilities generally or specifically assigned by the Board or the President.
Article III. Election of Officers
Section 1. The Chairperson, Vice-Chairperson, Secretary, and Treasurer shall be elected annually by the Board.
Section 2. The Chairperson and Vice-Chairperson shall each serve for one year and shall be eligible for re-election to their respective offices for a period up to three (3) consecutive years. The Secretary and the Treasurer shall be eligible for annual election to these offices without a yearly limitation.
Article IV. The President and Presidential Duties Section 1. On the basis of mutual good faith and any contractual relationship pointing to continuous service, the President of the University shall be elected from year to year, and shall be entitled at all times to one (1) year severance notice or one (1) year salary if terminated.
Section 2. The President shall attend all meetings of the Board and shall, in an advisory capacity, have a voice in its deliberations. He or she shall have the authority to initiate any subject at Board meetings.
Section 3. The President shall be responsible to the Board for the administration and discipline of the University.
Article V. Meetings
Section 1. Regular Meetings. The Board shall hold no fewer than five (5) regular meetings a year, with the date and time fixed in accordance with the provisions of Article II. Section 2.
Section 2. Special and Emergency Meetings. Special and emergency meetings may be held upon the call of the Chairperson or upon the written request of three (3) Board members to the Secretary.
Section 3. Notice of Meetings. The Secretary shall notify all Board members and the President at least five days in advance of all regular and special meetings and at least one day in advance of all emergency meetings. The policy designated "Notification Procedures for Meetings," which has been adopted by the Board pursuant to Revised Code Section 121.22, is hereby incorporated by reference into this section, and the Secretary shall carry out his or her responsibilities under that policy in accordance with its provision for all meetings.
Section 4. Attendance. It shall be the policy of the Board to require full attendance at all meetings of the Board and committees in accordance with Revised Code Section 3.17. Excuses for absence from meetings shall be communicated to the Secretary at least two (2) days before meetings. Persistent unreasonable absences in violation of Ohio law shall be cause, at the pleasure of the Chairperson, for reporting such delinquency to the appropriate authority of the State of Ohio.
Section 5. Quorum. A majority (5 voting Trustees) of the Board membership shall constitute a quorum for the conduct of the ordinary business of the Board. A vote of two-thirds (6 votes) of the Trustees authorized to vote shall be necessary to elect or remove a President and a vote of a majority (5 votes) of the Trustees authorized to vote shall be necessary to authorize the sale or lease of a University building or the planned demolition of a University building.
Section 6. Agenda. The Secretary shall consult with the chairs of the Standing Committees and then prepare a proposed agenda for each Regular Meeting. The proposed agenda shall be delivered to the President for his or her review and then to the Chairperson of the Board for final approval.
Article VI. Standing and Special Committees Section 1. Standing Committees of the Board, consisting of no fewer than three (3) members each, shall be appointed annually or for longer terms by the Chairperson of the Board, and each Standing Committee shall consider and make recommendations for action by the Board on the various policy matters enumerated below as follows:
(a) University Academics. Responsibilities will include the academic plan; enrollment management; student life; intercollegiate athletics; diversity; research and technology transfer policies and activities; information technology; communications and marketing; academic appointments; promotion and tenure policies and procedures; academic program reviews; and awarding of degrees.
(b) University Resources. Responsibilities will include financial operations; business organization and practices; human resources; university advancement; relations with local, state, and federal legislative and administrative agencies; recommending of the schedule of tuition and fees; borrowing of funds; naming, location, planning, construction, and maintenance and renovation of University facilities and grounds; the purchase, sale and lease of lands and buildings; reviewing and monitoring of all investments including the endowment; contract oversight on public utilities and other large contracts; and recommending of investment policy, advising the Board on investments and appointment of investment advisors to assure compliance with Revised Code Section 3345.05.
(c) Audit. Responsibilities will include the oversight of the internal audit functions, annual or other periodic audits of financial operations, the recommendation of the appointment of an external audit firm to the Board of Trustees, the receipt of the reports of the internal auditor and the external audit firm, and the university’s accountability and compliance procedures.
(d) Governance. Responsibilities will include the recommendation of general governance policies and procedures, the nomination of Board officers and recommendation of candidates for future trustees and national trustees. At the last meeting in each fiscal year, the Committee shall review these Bylaws to determine whether any changes are appropriate and shall recommend any such changes to the Board of Trustees.
(e) Executive. Responsibilities will include consulting with the President on the appointment of executive officers and business not specifically assigned to another Standing or Special Committee.
Section 2. The Executive Committee shall be made up of the Chair and Vice Chair of the Board of Trustees and the Chairs of University Academics and University Resources Committees and have broad powers to act in all matters not deemed by the Chairperson of the Board and the President of the University as of importance to command the immediate attention of the entire Board. All actions of the Executive Committee shall be subject to approval by the Board, except those wherein the Board has delegated to the Executive Committee or the President full power to act for the Board.
Section 3. Special committees may be appointed by the Chairperson of the Board as the Board may deem necessary. Section 4. The Chairperson of the Board and the President shall be ex-officio non-voting members of all Standing Committees and Special Committees.
Article VII. Parliamentary Authority
Section 1. When not in conflict with any of the provisions of these By-Laws, the Robert’s Rules of Order Newly Revised shall govern the proceedings of the Board.
Board of Trustees O h i o U n i v e r s i t y
Minutes
September 6, 2012
MINUTES OF THE MEETING OF
THE BOARD OF TRUSTEES OF OHIO UNIVERSITY
September 6, 2012
Pickerington Center, Ohio University
Pickerington, Ohio THE OHIO UNIVERSITY BOARD OF TRUSTEES MINUTES OF Septemb er 6, 2012 MEETING
TABLE OF CONTENTS
CALL TO ORDER ...... 5 ROLL CALL ...... 5 APPROVAL OF THE AGENDA AND THE MINUTES ...... 5 REPORTS ...... 5 Report of the Chair...... 5 Report of the President ...... 5 Introduction of the Pickerington Center ...... 8 President’s Announcements ...... 10 University Resources Committee Report ...... 10 Zanesville Recreation Center, Resolution 2012-3300………………………………...14
Property Acquisition: Cambridge Classroom, Resolution 2012-3301……………..15
University Academics Committee Report ...... 16 University Governance Committee Report ...... 17 University Audit Committee Report ...... 18 APPROVAL OF CONSENT AGENDA ...... 19 Construction Projects; Kantner Hall & Clippinger, Resolution 2012-3302 ...... 19 Vice President for Research & Creative Activity Center for Intervention Research in schools, Resolution 2012 -3303 ...... 19 College of Business Management Department Entrepreneurship Certificate, Resolution 2012 -3304 ...... 20 EXECUTIVE COMMITTEE REPORT ...... 20 President's Contract, Resolution 2012-3305 ...... 22 NEW BUSINESS ...... 25 COMMUNICATIONS, PETITIONS, AND MEMORIALS ...... 25 ANNOUNCEMENT OF NEXT STATED MEETING DATE ...... 25 ADJOURNMENT ...... 25
APPE NDICES
A Presidentort ’s Rep B University Resources Committee C University Academics Committee D Governance Committee E Audit Committee F Executive Committee
CALL TO ORDER Chair Gene Harris called the meeting to order at 3:15 p.m. She thanked the staff at the Pickerington Center for their hospitality and then asked Board Secretary Peter Mather to call the roll.
ROLL CALL Present—Chair Gene T. Harris, Vice-Chair Sandra J. Anderson, Trustees David A. Wolfort, Kevin B. Lake, Janetta King, and N. Victor Goodman.
Also in attendance were PresideRnt oderick J. McDavis, Student Trustees Allison Arnold and Amanda Roden, National Trustees Henry Heilbrunn and J. Patrick Campbell, Alumni Representative William Hilyard, and Board Secretary Peter C. Mather.
APPROVAL OF THE AGENDA AND THE MINUTES Chair Harris asked for a motion to approve the meeting agenda. Trustee Goodman made the motion, which was seconded by Trustee Anderson; all approved and the motion carried. Chair Harris asked for a motion to approve the Minutes of the Board of Trustees Meeting held on June 22, 2012. Trustee Lake made the motion. The motion was seconded by Trustee King. All approved and the motion carried.
REPORTS
Report of the Chair Chair Harris welcomed new members William Hilyard, J. Patrick Campbell, and Amanda Roden to the Board of Trustees.
Report of the President President McDavis introduced his report by thanking Chair Harris and greeting the Board members and others in attendance. He acknowledged the importance of the vision of Ohio University: to be the nation’s best transformative learning community; discussed the four fundamentals: inspired teaching and research, innovative academic programs, exemplary student support services, and integrative co-curricular activities; and pointed to the four supporting priorities: effective total compensation (short and long term), enrollment goals, improved financial health, and complete capital campaign. He noted the importance of keeping in mind the macro level vision and priorities of the institution as these values guide the Board’s work.
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Improving Student Health President McDavis reported that in the summer of 2012 Ohio University joined the National College Health Improvement Project (NCHIP) learning collaborative with 31 other member institutions, including Dartmouth, Brown, Purdue, and Yale. NCHIP held a summer conference with sessions focused on improving student health by reducing problems associated with high-risk drinking. The Board has made high-risk drinking a focal point for at least the past eight years. At the conference, Ohio University representatives shared the University’s approaches to helping students make safer choices involving alcohol, and received helpful information and strategies from other institutions in supporting our institutional efforts. The NCHIP summer event was attended by Interim Vice President for Student Affairs, Ryan Lombardi, and Interim Dean of Students, Jenny Hall-Jones.
Complete Capital Campaign President McDavis proudly announced that the Capital Campaign has raised $407 million toward the $450 million goal. (Applause) The bulk of the support, $217 million, comes from alumni; and a significant part, $147 million, comes from foundations. The President expressed his excitement about the campaign’s progress, with three years remaining before the end of the campaign in June, 2015. In addition, the President discussed the importance of private funds given the current funding limitations from public sources. He further acknowledged and thanked Bryan Benchoff, Vice President for University Advancement and the deans for their leadership and significant contributions to the campaign.
President McDavis reported that the Division of University Advancement secured $55.86 million in new gifts and pledges during the fiscal year that ended on June 30, 2012. The President’s recent advancement travel destinations include: New York, New York; Chatham, Massachusetts; Cleveland, Ohio; San Diego, California; Charlotte, North Carolina; and State College, Pennsylvania. President McDavis reported substantial enthusiasm, excitement and pride among alumni, to whom the president expressed appreciation for their contributions and support.
Legislative Update The Conditions Report of the Ohio Board of Regents asserts that the state of Ohio must establish a firm foundation of ongoing technology-intensive development, with the goal of developing a knowledge-based workforce to compete in an increasingly competitive global economy. President McDavis noted that the report promotes the development of a relationship between the University and industry to help move Ohio’s economy forward. Representatives from the Board of Regents will travel to all of Ohio’s four-year campuses and some community colleges to present the report. The proposed implementation objectives include: building a regional ecosystem, promoting collaboration and creating a
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greater regional collaboration, creating an entrepreneurial environment, fostering research cooperation, generating capital resources, planning for future job skill training, and defining metrics. The University, along with other four-year universities, has committed to becoming part of the solution in creating jobs within the region and the state and ensuring that Ohio graduates remain in the state.
President McDavis mentioned Vice President Ryan Lombardi’s presentation to the Academics Committee concerning the Ohio Board of Regents’ Tobacco-free Campus Resolution. The President has asked Vice President Lombardi to form a university-wide task force consisting of faculty, staff, and students to examine how a Tobacco-free campus policy would impact the community. The President indicated that University of Toledo and Miami University have already developed and implemented such a policy. Ohio University is reaching out to those two institutions to learn from their experiences. The Board of Trustees will be updated concerning the progress of the work of the task force.
Leadership Changes President McDavis announced recent appointments and welcomed the following new Ohio University leaders: Jack Brose, Vice Provost for Health Affairs; Robert Frank, Dean of the College of Arts and Sciences; Deborah Gearhart, Vice Provost for E-Learning; Kenneth Johnson, Dean of Heritage College of Osteopathic Medicine; Jennifer Kirksey, Chief of Staff; Ming Li, Interim Executive Director of the Center for International Studies; and Madeleine Scott, Interim Dean of the College of Fine Arts. Searches are taking place this year for Deans of the College of Fine Arts, Center for International Studies, and the Scripps College of Communication.
Points of Pride President McDavis reviewed the University’s points of pride:
A pair of Ohio University physiologists, Fritz Hagerman and Jason White, assisted U.S. Olympic rowers.
Southern Campus nursing professor, Nicole Pennington was named Regional Higher Education Outstanding professor.
Scripps Study shows more judges and courts in the United States report using social media like Facebook and Twitter.
Bobcat Student Orientation hosted 3,600 first-year students, 300 transfer students, and their families from July 12 through August 3 on the Athens campus. President acknowledged the contribution of Dr. David Descutner, Dean and Associate Provost for Undergraduate Education, and Vice President Ryan Lombardi, and all the staff
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who are involved. President McDavis noted that Bobcat Student Orientation makes a powerful impact on new students and their families.
OHIO partners with UNICEF on Communication for Development workshop through Scripps College of Communication in the summer. This workshop used Ohio University to help the UNICEF staff to understand the power of communication all over the world. He acknowledged the contribution of Interim Dean Scott Titsworth and other faculty and staff.
Ohio University is to receive $29 million for energy efficiency conservation project.
Ohio University alumnus and current Professional MBA student Jeff Dennis was honored in the Columbus Business Frist’s 2012 class of the top “Forty Under 40”.
139 first-year students were welcomed into the Heritage College of Osteopathic Medicine through the White Coat Ceremony, a ritual which the President invited the Trustees to join as guests in the future.
50 OHIO alumni and friends around the nation convened in Athens from July 19- 22 for the 2012 Alumni College Golden Weekend. Attendees participated in many educational and social activities to reconnect with the University.
Introduction of the Pickerington Center
President McDavis stressed the value of the Pickerington Center and then extended an invitation to Dr. James M. Smith, Dean of the Lancaster Campus, and Dr. Leigh A. Atkinson, Center Director, to introduce the Center.
Dean Smith welcomed the President and the Board. He asked Dr. Atkinson to join him in the introduction. He noted that Dr. Atkinson was Director at the time when the Center was established 11 years ago and she has a good understanding of the Center’s history, its origination, and its entrepreneurial spirit.
Dr. Atkinson shared that the Center started under rudimentary conditions and a leap of faith, and that this experiment has resulted in success. By the time the physical structure was built, this Ohio University satellite program had been providing classes in the high school in Pickerington for about fifteen years. The University leased what is now Building #1 at the Center for 10 years. The original on-site program included fifteen evening classes with a total of 50 students (FTE) in the fall quarter of 2000. The front office area had been the main gathering area and, due to the intimacy of the environment, the Center staff knew every student’s name. Dr. Atkinson discussed the day the 9-11 attack occurred as an illustration of the intimate community at the Pickerington Center. She recalled that the
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faculty and the students gathered in front of the television and talked about the events throughout the day. She described this as being characteristic of how the faculty and staff at the Center seek to make connections with students. Dr. Atkinson also acknowledged the personal approach provided by Mike Chillik, Director of Facilities, who reaches out and makes significant connections with students. She also commented that her business background had helped her organize and manage the Center. In 2003 the University purchased the site, which included the Center’s two current buildings. Dr. Atkinson became a “landlord” for a number of years, which involved renting space to other entities, including an anesthesiology office, an Education Services company, and a dance school. Dr. Atkinson concluded her statement and turned it over to Dean Smith.
Dr. Smith reported that the Center currently employs seven staff members. There are no full-time faculty members employed by the Pickerington Center. Faculty members come from the Lancaster Campus or are adjuncts from the Columbus area. At the undergraduate level the Center offers approximately one hundred classes per semester in several formats, including day, evening and weekend schedules. Both traditional and nontraditional students enroll at the Center. The Center’s portfolio of offerings includes general education, whereby students are able to start a wide variety of majors at Ohio University. Academic programs are offered at four levels, including two certificate programs: Women’s Gender Studies and Diversity Studies. As part of the regional campus, the Center also provides associate degrees in Arts and Sciences, Liberal Arts, Individualized Studies, and the Law Enforcement Technology program. At the bachelor’s degree level, the Center offers programs in Arts and Sciences, Organizational Communications, Technical and Applied Studies, Criminal Justice, and Specialized Studies. As they matriculate beyond their first year, students take classes between the Pickerington Center and the Lancaster Campus. Dr. Atkinson also mentioned that the Center is the host for master’s degrees in Financial Economics, Professional Business Administration, Public Administration, and Education, which are cohort-based programs.
Dr. Smith pointed out that the Pickerington Center provides “stretch space” for the University. For example, the Center has served as the host site for a number of Ohio University programs and functions, including the College of Osteopathic Medicine’s Core Group; Community Partnerships Office; Graduate Programs and University Outreach; and, most recently, the Student Success Center for E-Learning Programs. The location of the Pickerington Center along the Columbus beltway also provides opportunities for future expansion. The Center is promoting itself as an extension of the Lancaster Campus through a comprehensive advertising campaign. By examining the types of students enrolled, the Center is working to expand programmatic offerings. Possible candidates for new programs include associate degree programs in business, such as business management technology, accounting, and applied management. If the Center grows in enrollment, the campus has space for one more building to accommodate additional classes. Dr. Smith concluded his
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prepared remarks, indicating that the Pickerington Center provides substantial opportunities for the University to try new ideas and reach new audiences.
Dr. Smith then invited questions from the Board. Trustee Hilyard asked whether it is typical for a regional campus to have such satellite operations and, in particular, whether other state schools have similar models of operation. Dr. Smith responded affirmatively and mentioned that his first exposure to the Pickerington Center was as a participant in a national conference for branch campus administrators. The conference brought the national group to tour the Pickerington Center as a showcase. The branch campuses offer opportunities to take classes close to work and home, a model that has been well-known in the state of Ohio since the sixties. Again, President McDavis complimented Dr. Smith and Dr. Atkinson’s successes with the Pickerington Center.
President’s Announcements
Following the Pickerington Center presentation, President McDavis shared two announcements: 1) Dr. David L. Bronson and The Honorable Yvette McGee Brown received the 2012 Phillips Medal of Public Service, and 2) The Ohio Bobcats Football Team defeated Penn State, 24-14 in the season opener at Beaver Stadium in front of 97,000 fans.
President McDavis invited questions and there were none. Chair Harris thanked the faculty and staff at the Pickerington Center for their hospitality. She acknowledged two Faculty Representatives in the audience: 1) Dr. Judith Lee from the School of Communication Studies, who serves as the faculty representative on the Resource Committee 2) Dr. David Thomas from the School of Film, who serves on the Academic Committee. Chair Harris also recognized Dr. Elizabeth Sayrs from the School of Fine Arts. Dr. Sayrs is the new Chair of the Faculty Senate.
University Resources Committee Report
Trustee David Wolfort reported the minutes from the University Resources Committee meeting as follows.
Capital Campaign Update Vice President for Advancement, Bryan Benchoff, provided an update for the Capital Campaign noting campaign contributions totaling $406.2 million as of July 1, 2012. Dashboard results for the campaign in total and charts showing sources of gifts, area of gift giving, and the size and number of commitments were shared. The 2013 goal is $24 million in solicitations and proposals. He announced that there are outstanding proposals of $55 million through the remainder of the campaign. The $55 million amount signals lower
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annual attainment figures than previous years. However, he noted that this is common at this point in a campaign, since most known donors have already committed and are included in totals prior to the campaign’s public phase. New contacts and solicitations are being developed and sought to complete the campaign and build for the future. Committee Chair Wolfort commended the work of the Advancement team and their achievements to date.
VP Benchoff further reported that this phase of the campaign is focused on generating scholarship endowments. The total endowed scholarships and the 2012 breakdown of the number of awards by size were discussed. Benchoff noted that the goal is to achieve endowed scholarships which will generate higher award amounts to assist students in offsetting more of their costs.
Endowment Review Vice President for Finance and Administration, Stephen Golding, introduced Associate Vice President for Finance, Michael Angelini, to provide an annual report and update on the endowment oversight provided by The Ohio University Foundation Board. National Trustee Campbell, who serves as a member of the Foundation Investment Sub-Committee, joined the Resources Committee for the discussion. Areas of Sub-Committee oversight were reviewed including a discussion of the process employed to retain the current advisor, Hirtle, Callaghan & Co., in July, 2009. Hirtle, Callaghan & Co. manages approximately $10 billion in assets for 415 clients – 72 of which are higher education clients.
Endowment balances under management were discussed. The Investment Sub-Committee is responsible for oversight of the University and Foundation endowments as well as portions of each entity’s working capital. Asset allocation percentages as of June 30, 2012 were shared as were asset class performance compared to benchmarks. Trustee Campbell shared details behind the efforts of the past decade in moving the investment portfolio from a nearly 100 percent concentration in equities to a more sophisticated portfolio that, with a diversification into additional asset classes, reduces overall volatility. Another significant and courageous change made in the past decade and supported by the President and Deans was to drop the spending rate from 6 percent+ to 4 percent; a move away from an unsustainable spending rate over the long-term. As the managing fiduciary agent, Hirtle, Callaghan & Co. is charged with maintaining the asset allocation as set forth in the Foundation’s investment policy. Hirtle, Callaghan & Co. utilizes the ‘chief investment officer for hire’ approach, providing expertise and cost efficiencies as a result. Mr. Angelini also reviewed FY 2011 performance of the endowment compared to approximately 800 other endowments found in the latest NACUBO-Common Fund Annual Endowment Study. The Foundation’s one-year and five-year performance is at the median of the Study’s average, while the three-year return exceeds the average because of the exceptional return on the Diagnostic Hybrids (DHI) investment. There are early indications that the Foundation’s FY 2012 performance will be close to the average return
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for those same institutions found in the Study; those results will be shared with the board when available, after the end of the 2012 calendar year. Hirtle-Callaghan’s value as an advisor was illustrated in a performance chart by asset class, and will also be measured against attainment of the target return over time. The Hirtle-Callaghan modeling of the Foundation portfolio will be shared with the University Board.
Mr. Angelini reminded the committee that the Investment Policy will be brought back to the Board in November, followed by the NACUBO report in early 2013.
Climate Action Plan Vice President Golding introduced the Presidential Advisory Council for Sustainability Planning (PACSP) Co-Chairs Dr. Ben Stuart and Annie Laurie Cadmus. The history of the PACSP, constituted in 2009 following President McDavis’ signature of the American College and University Presidents’ Climate Commitment, was reviewed. Development on the Climate Action Plan (CAP) commenced following formal approval of the Sustainability Plan in summer, 2011. The CAP describes the University’s plan for attaining carbon neutrality by 2075 and is much more measure-based toward the ultimate goal of greenhouse gas reduction.
The PACSP formed seven sub-councils, including content experts, to develop goals and recommendations on attaining carbon neutrality for their unique areas. Sub-council reports were submitted in April, 2012, and several rounds of vetting were conducted prior to this presentation to the board. Data to measure against benchmarks are available and continue to be scrutinized for evaluating attainment of carbon neutrality by 2075. ‘Carbon offsets’ can be attained by such actions as planting trees or activities that negate the carbon producing activities. Dealing with the largest single component of total greenhouse gas and electricity, is a huge issue locally and globally. The transformation of the Lausche Heating Plant from coal to gas will be a significant reduction event.
A greenhouse gas inventory for the university is kept, and a nationally recognized carbon ‘calculator’ will be used to account for important data and to manage the University’s performance. Obstacles to the University goal toward carbon neutrality include the availability of funding, although a great deal of progress will be made based on commitments within the Six-Year Capital Improvement Plan. President McDavis commended the work of the Sustainability Council and the leadership of Ms. Cadmus and Dr. Stuart.
Summer Campus Update Vice President Golding drew committee members’ attention to highlights of the significant work of the summer as provided in the board agenda materials.
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Consent Agenda, Construction Projects Associate Vice President for Facilities, Harry Wyatt, reported on the two construction projects for board approval – Kantner Roof Replacement and Clippinger Chilled Water Building Distribution.
The committee recommended keeping the Construction Projects resolution on the Consent Agenda for Board approval.
Resolution, Zanesville Recreation Center—Vice President Golding reviewed prior board actions for this project. The transaction as previously shared with the board is basically the same except that Ohio University is now assuming responsibility as the final guarantor for the project. The University is being asked to sign all the commitments for the $12 million project. Charitable pledges of $5 million have been raised to date and, after the new market tax credits and funds from operation of the facility, $2.2 million is the net exposure of this project to the university. Management believes that this community based project is good for our students, the regional campus, and the community. The risk to the University as the ultimate guarantor is the net exposure of $2.2 million and other responsibilities associated with operations and ownership of the $12 million facility.
The committee recommended moving the Zanesville Recreation Center resolution to the full board for approval.
Resolution, Property Acquisition: Cambridge Classroom—This building is between Zanesville and Eastern campuses off of I-70 in Cambridge. The recent oil and gas boom in this part of the state has made finding facilities in the area difficult over the past two years. The property sits in a very convenient location, is in excellent condition, and is planned as a facility for first year students, with possibility of transfer to Athens or any of the regional campuses. The area is booming and ripe for a variety of educational offerings including entrepreneurial programs, graduate programs and workshops. Staffing and operation of the facility will be accomplished through currently employed regional campus employees and faculty. Campus funds have been reserved to fund the purchase of the facility.
The committee recommended moving the Property Acquisition – Cambridge Classroom Resolution to the full board for approval. Property appraisals indicate higher value than the purchase price of the property, and a cash purchase has been planned.
Approval of the Resolutions Trustee David Wolfort moved to approve the construction project of the Zanesville Recreation Center. The motion was seconded and Chair Harris asked for a roll call. All approved and motion carried.
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LEASE OF REAL PROPERTY OHIO UNIVERSITY ZANESVILLE CAMPUS 2012 -- 3300
WHEREAS, the Ohio University Board of Trustees has in Resolution No. 2012-3287 declared approximately 1.69 acres of land situated on the Ohio University Zanesville Campus as surplus, said property described and recorded in the Muskingum County Deed Record 538-799; and,
WHEREAS, Ohio University has entered into negotiations with entities, financial institutions and non-profit organizations including the Muskingum Recreation Center, PNC Bank, the Zanesville Canal and Manufacturing Company and the Zanesville Foundation for the purpose of collaborating on a community and university project that will construct the Muskingum Recreational Center, (“the Facility”), intended to benefit the Muskingum County Community, Zanesville Community and University Community; and,
WHEREAS, this Board supports and endorses both the economic and social benefits of such a Facility; and,
WHEREAS, Ohio University has agreed to enter into a lease of the above described property for the Facility, which this Board has reviewed;
NOW THEREFORE, BE IT RESOLVED, that the President of Ohio University or his designee are hereby authorized to enter into and execute a lease of the land so situated and described herein with the Muskingum Community Center, a 501 (c) 3 corporation for the purpose of constructing, managing and maintaining a building for providing health and wellness facilities, including fitness programs and swimming programs that will benefit the population of Muskingum County, Zanesville and the University communities.
BE IT FURTHER RESOLVED, that the Board hereby authorizes the President or his designee to execute the appropriate and necessary documents, and commit the approved and reasonable resources of Ohio University as they determine necessary to complete and manage the project.
Trustee David Wolfort moved to approve the property acquisition of the Cambridge classroom, a spending of more than $800,000. Trustee Kevin Lake seconded; and Chair Harris asked for a roll call. All approved and motion carried.
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RESOLUTION TO APPROVE THE NEGOTIATION AND ACQUISITION OF REAL PROPERTY TO SUPPORT THE OHIO UNIVERSITY ZANESVILLE AND EASTERN CAMPUSES
RESOLUTION 2012 - 3301
WHEREAS, Ohio University Zanesville and Ohio University Eastern seek to expand academic offerings in the areas of applied management, social work, and general education, and serve the needs of non-traditional, working students, and
WHEREAS, pursuant to Ohio Revised Code, 3337.10, 3337.11, 3337.13, 3345.11 and other relevant statutory provisions, the Ohio University Board of Trustees is authorized to do all things necessary for the continuous and successful operation of the Regional campuses, and
WHEREAS, Ohio University has assembled a representative team of university leaders and staff which has performed a review of sites in the Cambridge area, and
WHEREAS, the team, through their site visits and parallel due diligence reviews of sites and preferred criteria, identified a preferred site and would like to proceed with completion of the negotiation and acquisition.
NOW THEREFORE, BE IT RESOLVED, that the Ohio University Board of Trustees does hereby authorize the President or his designee to proceed with the further negotiation, acquisition and transaction of property located at 7077 Glenn Highway, Cambridge Ohio, for the maximum purchase price of $800,000 as the preferred site for the establishment of classroom and academic activity for the Ohio University Zanesville and Ohio University Eastern campuses.
BE IT FURTHER RESOLVED, that the President or his designee shall have the authority and power to negotiate, exchange, mortgage, buy, sell, deal with all real and any personal or tangible personal property associated with the preferred site, to direct and manage the financing, assets, claims, taxes, rents, to accept conveyance, record and transact funds for the completion of the purchase and closing and final disposition of the real and personal property attributed to the preferred site.
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University Academics Committee Report
Trustee Janetta King reported the minutes from the University Academics Committee meeting as follows.
Consent Agenda Items Center for Intervention Research in Schools—The establishment of the Center for Intervention Research in Schools will build visibility both internally and externally for the socially significant work that is being accomplished at Ohio University. The Center will aid in the recruitment of faculty and students and allow its researchers to be more competitive for grants.
Undergraduate Entrepreneurship Certificate—This new certificate will provide an opportunity for non-business students to participate in the university’s entrepreneurship curriculum. This curriculum along with the other initiatives of the university to promote entrepreneurship aligns with the state’s strategic priorities for universities and it continues to position the Ohio University at the forefront of entrepreneurship education.
The Committee recommended approval of both resolutions.
Community Standards Report Interim Vice President for Student Affairs Ryan Lombardi reported that the number of alcohol violations declined from previous year. Overall the trends in the report are consistent with previous data. Mr. Lombardi indicated that the report provides evidence that the protocols instituted by Student Affairs six years ago continue to be effective.
Mr. Lombardi stated a concern that marijuana-related violations are trending upward. This is a phenomenon that other universities across the country are experiencing as well. In response, Student Affairs has instituted new programmatic interventions and will monitor their effectiveness closely. Mr. Lombardi also noted a significant drop in “disturbing the peace” violations. He credited the change, in part, to a campaign launched by Student Affairs with the theme, “Be smart, be civil, be safe.” The committee talked about the different processes between the criminal process and what happens internally at the University. Interim Vice President Lombardi also highlighted the prevention efforts.
Academic Dashboard Report Trustee King noted that the committee had considerable discussion regarding the Academic Dashboard Report, evaluating how this tool is used, whether it is the best tool
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for our needs, and what improvements are needed. Some of the questions discussed were as follows:
Does the dashboard provide an “at a glance” view of the current state of the institution? Does the dashboard monitor performance toward strategic priorities? Does the dashboard provide data on key performance indicators needed to fulfill the fiduciary responsibilities of trustees? Does the dashboard present current information? Does the dashboard present quantitative data? Does the dashboard present comparative information? Does the dashboard present data across multiple years? Are there interrelationships among the indicators on the dashboard?
Discussion in the committee meeting focused on the degree to which the dashboard was accomplishing these objectives. Executive Vice President and Provost Pam Benoit stressed that the dashboard was meant to provide a snapshot and that the information it provided was supplemented by college level dashboards and learning objectives. She also pointed out that additional data existed in the Ohio University Fact Book and on the Institutional Research website. Those resources would allow trustees to gain a broader understanding of how the University was performing on a variety of different measures. The general conclusion was that the dashboard had been useful during the past academic year in generating substantive conversations about academic quality and that it was anticipated that it would continue to serve that function.
Search Update & Tobacco-Free Campus In reference to search updates and the Tobacco-Free Campus reports, Trustee King noted that they were consistent with the Presidential Report and, thus, not necessary to include in the committee report.
Chair Harris invited questions and there were none.
University Governance Committee Report
Trustee Janetta King reported the minutes from the University Governance Committee meeting as follows.
Bylaws The committee discussed updates of the bylaws. Discussion about changes in the bylaws will continue. A few months prior to this meeting, non-substantive edits in the bylaws were
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made and have been circulated to the committee. The committee recommended moving those non-substantive changes of the committee bylaws to the Board for adoption.
New Trustee Orientation Board Secretary Mather updated the committee on yesterday’s orientation program for the new trustees. Trustee King articulated the importance of the orientation as the program allows the trustees to perform duties and carry out fiduciary duties in a proper way.
Approval of the Resolution Trustee Goodman made the motion to pass the bylaw changes as recommended by the Governance Committee, which was seconded by Trustee Anderson. All approved and the motion carried.
University Audit Committee Report
Trustee Kevin Lake reported the minutes from the University Academics Committee meeting as follows.
Research Compliance Jo Ellen Sherow, Director of the Office of Research Compliance, presented on research compliance activities.
Ms. Sherow discussed human subject protection (IRB), animal subject protection (IACUC) and research conflict of interest (RCOI), responsible conduct of research, and research misconduct investigation.
External Audit Robert Shenton from Plante and Moran updated the Trustees on the status of the FY12 external audit. The draft of financials was on schedule and would be delivered in a month.
Internal Audit Update Jeffrey Davis, Chief Audit Executive, presented the Internal Audit Update. Mr. Davis presented an update regarding the audit plan completion, audit schedule, audit plan objectives, audit process and the Audit Committee charter. Trustee Lake thanked Mr. Davis and his team for the work they did for the University.
Chair Harris invited questions and there were none.
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APPROVAL OF CONSENT AGENDA Chair Harris presented the Consent Agenda items to the Trustees for action. Trustee Anderson moved for the adoption of the consent agenda, which was seconded by Trustee King. There was no discussion and the motion carried by unanimous vote.
Consent Agenda
APPROVAL OF PROJECT AND AUTHORIZATION TO DEVELOP CONSTRUCTION DOCUMENTS, RECEIVE BIDS AND AWARD CONSTRUCTION CONTRACTS FOR KANTNER ROOF REPLACEMENT AND CLIPPINGER CHILLED WATER BUILDING DISTRIBUTION
RESOLUTION 2012-3302
WHEREAS, two capital projects have been planned, developed, and funded as follows:
Kantner Roof Replacement with a total project budget of $800,000 to be funded from University reserves, and
Clippinger Chilled Water Building Distribution with a total project budget of $1,500,000 to be funded $1,100,000 from state appropriations and $400,000 from University reserves.
NOW THEREFORE, BE IT RESOLVED that the Ohio University Board of Trustees authorizes the receipt of bids and the President or his designee to accept and award construction contracts within the total project budgets identified.
VICE PRESIDENT FOR RESEARCH AND CREATIVE ACTIVITY CENTER FOR INTERVENTION RESEARCH IN SCHOOLS
RESOLUTION 2012 -3303
WHEREAS, faculty in the Department of Psychology have established a unique and successful program in the area of school mental health, and
WHEREAS, the establishment of the Center for Intervention Research in Schools will build
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visibility both internally and externally for significant work that is being done in an area of social significance, and
WHEREAS, the proposed center has the support of the Dean of the College of Arts and Sciences, the Vice President for Research and Creative Activity, and the Executive Vice President and Provost,
THEREFORE, BE IT RESOLVED, that the Board of Trustees of Ohio University hereby approves the establishment of the Center for Intervention Research in Schools.
COLLEGE OF BUSINESS MANAGEMENT DEPARTMENT ENTREPRENEURSHIP CERTIFICATE
RESOLUTION 2012 -3304
WHEREAS, the Management Department has proposed offering an undergraduate Entrepreneurship Certificate, and
WHEREAS, the proposed certificate has the support of the Faculty and Dean of the College of Business, the University Curriculum Council, and the Executive Vice President and Provost, and
WHEREAS, this program reaches beyond the College of Business, providing undergraduate students from various disciplines an opportunity to become more familiar with the field of Entrepreneurship,
THEREFORE, BE IT RESOLVED, that the Board of Trustees of Ohio University hereby approves offering the Entrepreneurship Certificate by the Management Department in the College of Business.
EXECUTIVE COMMITTEE REPORT
President’s Contract Chair Harris introduced the process the committee had used and conveyed the sentiments of the Board. Required by the policy, early this year the Board conducted a review of the President’s performance, addressing the period from his last review in January 2009. This evaluation highlighted the President’s exemplary leadership and significant accomplishments. Chair Harris noted that President McDavis has demonstrated remarkable leadership and a propensity for hard work and energetic commitment to advancing the University. During his tenure, the reach of the University into the global, national and local markets has been
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expanded and the institution’s reputation has been enhanced.
Chair Harris highlighted a few accomplishments that have occurred under the president’s leadership:
1) The University has increased the number of undergraduate applications, improved the quality of the undergraduate student body, made commitment to E-Learning, restructured the academic programs and departments with the goal to improve the standing of the academic and research programs. All of this has occurred while weathering severe budgetary cutbacks associated with a struggling economy.
2) The Board has seen an efficient and sustainable business model, established through the implementation of RCM (Responsibility Centered Management). The University has begun aggressive maintenance and repair programs with investments and upgrades of the residence halls.
3) The Promise Lives Campaign has seen significant success, and it is well on its way to achieve its $450 million by the end of the campaign in 2015.
4) The University is continuing to receive positive recognition for the quality of its academic programs throughout the state of Ohio and around the nation.
Chair Harris noted that President McDavis is building on these accomplishments. At the Board retreat following this meeting the members will discuss several ambitious initiatives that will shape the future of the University. These include a multi-year one hundred million dollar investment, a total compensation plan for the faculty and staff, a strategic enrollment plan, a twenty year capital plan, and a technology commercialization plan. The Board hired the President to be a change agent and he has accomplished that. The Board also recognizes the hard work of the countless faculty and staff who are making this future possible. The President has put together a highly qualified management team and provided the leadership to move the university forward.
With this very positive assessment in mind, a compensation committee consisting of Trustees Anderson, Wolfort, Brightbill and Chair Harris recommended to the full board a renewal of the President’s employment agreement with the following provisions:
1) The term of the contract will be five years, beginning July 1, 2012. (The President’s contract has one year remaining; this contract will supersede the previous one and extend his appointment for an additional four years.); 2) A 6.5% increase in base compensation;
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3) The eligibility for an annual performance bonus based on mutually agreed upon goals and the BOT’s assessment of his accomplishment of those goals.
In recognition of the President’s accomplishments of FY2012, the Executive Committee recommended a bonus of 15% of his 2012 base salary. The committee believes it is important that the University’s presidential compensation structure be competitive. At this point, it is not. Chair Harris noted that the most recent compilation of presidents’ compensation at Ohio public institutions appeared at the Chronicle of Higher Education. The Chronicle list shows compensation received during the 2011 fiscal year. The periodical ranked the president’s total compensation, which includes base salary, bonus, and deferred compensation, ninth out of ten university presidents in the state of Ohio. The committee could not know be sure whether President’s new contract has improved his compensation ranking significantly, given the other presidents will receive additional compensation. But with this in mind, Chair Harris asserted that the total compensation under the new contract was in line with the compensation paid to presidents at comparable Ohio institutions.
Chair Harris acknowledged the contribution of the faculty, staff and students. In addition, she noted that the President’s leadership was instrumental in pulling together the resources and initiatives to realize the university’s significant accomplishments. She summarized that in recognition of the President’s leadership, the compensation committee believed the proposed contract was an appropriate recognition of the hard work, dedication, and leadership that President McDavis had exhibited during some very challenging times.
Chair Harris asked Vice Chair Anderson to present the resolution. Vice Chair first took a moment to express her pleasure in working with Trustees Brightbill, Wolfort, and Chair Harris in the past several months and she assured the Board that the Executive Committee has done thorough work in representing the university. She attributed her skills in conducting research, applying critical thinking skills, asking tough questions, and coming to a fair and reasoned judgment to the education she received from the Scripps College of Communication. Then she read the resolution as follows:
CONTRACT FOR PRESIDENT RODERICK J. MCDAVIS
RESOLUTION 2012-3305
WHEREAS, in accordance with the policy the Board of Trustees has conducted a comprehensive review of the performance of President Roderick J. McDavis from January 2009 to the present.
WHEREAS, the Board has determined that the President McDavis has exhibited exemplary leadership during a period of unprecedented fiscal challenges. And under his directions academic status and the reputation of the University have been enhanced, an efficient and sustainable financial
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structure has been established.
WHEREAS, the Board desires to retain the services of President McDavis to ensure the University continues to benefit from his leadership.
NOW THEREFORE, BE IT RESOLVED that the Board hereby approves the renewal of the President’s employment agreement for a term of five years beginning on July 1, 2012, with an increase in his base compensation to $415,000.
BE IT FURTHER RESOLVED that in recognition of the President’s accomplishments during the past year in achieving the priority identified in the strategic plan, the Board hereby authorizes the payment of a bonus in an amount of 15% of his 2011-2012 base salary.
BE IT FURTHER RESOLVED that the Chair is authorized to execute a new employment agreement with the President with terms set forth in the agreement attached as Exhibit A.
Vice Chair Anderson explained that the Exhibit A is a revised version of the existing employment agreement. The revisions to this contract by the Executive Committee was assisted by the outside independent counsel, an attorney named Phillip R. Moots of Columbus Ohio, who has experience specifically in negotiating the employment contracts with presidents of colleges and universities.
Vice Chair Anderson made the motion; it was seconded by Trustee Lake. Chair Harris asked for comments.
Trustee Arnold commented that she admired the President’s willingness to make tough decisions to keep Ohio University competitive. She conveyed that she appreciated not needing to worry about academic quality or safety on campus, and that she is experiencing a truly transformative learning experience. She encouraged all her fellow students to join her and Trustee Roden in recognizing that students have a president who is committed to their success. Trustee Arnold thanked President McDavis.
Trustee Campbell commented that although he was a new trustee on the Board, his working relationship with the President was extensive. In fact, he met the President before he started in his official capacity at the University. Furthermore, the Leadership of the University Foundation had confronted many challenging issues and the President had made many politically difficult but correct decisions for the University. Trustee Campbell said that President McDavis’ biggest fault is that he is too self-effacing; he makes things look easy when they are not. The many things decisions he has made to move Ohio University forward in a dynamic way took a significant leadership. Trustee Campbell believed that given the challenges and opportunities, it was important to retain Dr. McDavis’ service. He would not want to lose the President to another institution. Trustee Campbell supported the resolution whole-heartedly and he applauded the efforts of the team that had worked on
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it. Trustee Goodman recalled that when Vice President Bryan Benchoff’s predecessor left and the University was in the middle of the Capital Campaign, the President took on the additional role of spearheading the Campaign. In that role, the President travelled extensively. Trustee Goodman noted the importance of the President’s talents for fundraising. He was astounded to hear from Chair Harris of the Chronicle’s ranking of the President’s salary, and he recalled that it had been several years since the President last received a bonus. Therefore, he noted his support for the resolution and the extension of President McDavis’ contract.
Trustee Wolfort commented the President has demonstrated exceptional leadership in confronting the challenges of the “Great Recession.” Trustee Wolfort recalled that the President approached him a number of years ago to serve on the Board and later to help provide leadership for the Capital Campaign. He had agreed on the condition that both the President and Howard Lipman, the Vice President for University Advancement at that time, would commit to staying at the University for the full period of the campaign. When Vice President Lipman was leaving, the President rose to the occasion by assuming the significant responsibilities of leading the university advancement efforts. Moreover, Trustee Wolfort noted that every senior leadership position at the University that had been filled during the President’s tenure was an enhancement. Trustee Wolfort is impressed by the talent and commitment the senior staff members bring to their work. He stated that it was a privilege to have Dr. McDavis as the President of the Ohio University and the President had his endorsement.
Trustee Heilbrunn commended the President’s stewardship of the university. Besides the twenty-year Capital Plan, another example was the bold step he took in 2007 to be a signatory to the Climate Action Plan; two years later, the university had a Sustainability Plan, and now the Climate Control Plan –a framework that will guide environmental stewardship efforts for the next sixty-three years. It is typical for the President to focus on the university’s future including the medical activities in Columbus and Cleveland, for example. Trustee Heilbrunn expressed his pleasure in having the President work for the future of the Ohio University.
Trustee Lake added that the President was the face and voice of the University and he that he embodies “what we are,” “who we are,” and “what we want to be.” He could not have asked for more from the President. Trustee Lake said it had been a privilege to have Dr. McDavis as the President of the University and he hoped to retain him as long as possible.
Chair Harris concluded that none of the Trustees was on the Board when the President was hired. However, the Board was endorsing the President’s leadership and verifying the desire to have him lead the University into the future. She joined all of the trustees in thanking the
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President for his service and committed outstanding leadership.
Secretary Mather called the roll. All approved and motion carried. This was followed by sustained applause.
President McDavis thanked the Board for their confidence in his leadership. He expressed his feeling of honor in serving the University for the past eight years. He also noted his excitement about being part of Ohio University’s bright future. He thanked all his colleagues in the audience for what they had done, and expressed his determination to keep working hard.
NEW BUSINESS There was no new business.
COMMUNICATIONS, PETITIONS, AND MEMORIALS President McDavis read the Certificate of Appreciation to Barbara Mash, Executive Assistant to the Board of Trustees.
ANNOUNCEMENT OF NEXT STATED MEETING DATE Secretary Mather announced that the next BOT Meeting will be held on November 15-16 in Athens, Ohio.
ADJOURNMENT Chair Harris adjourned the meeting at 4:49 p.m.
CERTIFICANTIO OF MINUTES Notice of this meeting and its conduct was in accordance with Resolution 1975-240 of the Board, which resolution was adopted on November 5, 1975, in accordance with Section 121.22(F) of the Ohio Revised Code and of the State Administration Procedures Act.
Gene T. Harris Peter C. Mather Chairperson Secretary
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President’s Report
presented to
Ohio University Board of Trustees
September 6, 2012
•Top Strategic Priorities Exemplary Student Support Services :: Improving High-Risk Behaviors Complete Capital Campaign • Legislative Update OBOR’s Technology Transfer and Commercialization Task Force Draft Report • Leadership Changes • Points of Pride • Program Spotlight Ohio University’s Pickerington Center
OUR UNDAMENTALS F F
1. Inspired teaching and research
dedicated to students’ academic success and focused on the connections
between student learning and the advancement of knowledge and
creative activity. 1. Inspired teaching and research 2. Innovative academic programs that 2. Innovative academic programs draw on the best traditions and
3. Exemplary student support services practices in liberal arts, professional, and interdisciplinary education.
4. Integrative co-curricular activities 3. Exemplary student support services
committed to helping students fulfill their academic promise.
Short- & 4. Integrative co-curricular activities that Improve Complete Effective Total Long-Term foster a diverse environment of respect Financial Capital and inclusivity and facilitate students’ Compensation Enrollment Strength Campaign development as citizens and leaders. Goals
Exemplary Student Support Services
• OHIO joined the National College Health Improvement Project (NCHIP) learning collaborative session with 31 other member institutions including Dartmouth, Brown, Purdue, and Yale
• Session focused on improving student health by reducing harms associated with high-risk dr inking
• OHIO representatives presented our success in helping students make safer choices around alcohol
• The collaborative is a beneficial involvement for our University community and our students
Complete Capital Campaign
Total Attainment: $406,217
Alumni: $216,078
Other Indiv iduals: $16,687
Corporations: $7,536
Foundations: $147,719
Other Organizations: $18,198
* In thousa nds
Complete Capital Campaign
• The Division of University Advancement secured $55.86 million in new gifts and pledges during the fiscal year that ended June 30, 2012
Complete Capital Campaign
Advancement Travel: New York, New York Chatham, Massachusetts Cleveland, Ohio San Diego, California Charlotte, North Carolina State College, Pennsylvania
Presidential advancement travel from June 22, 2012 through September 5, 2012
Legislative Update
Report Goal: Ohio must establish a firm foundation of ongoing-technology- intensive development, and develop a knowledge-based workforce to create an increasingly competitive global economy
Legislative Implementation Summary Update
REMOVE BARRIERS
BUILD REGIONAL ECOSYSTEMS
PROMOTE GREATER REGIONAL COLLABORATION
CREATE AN ENTREPRENEURIAL ENVIRONMENT
Legislative Implementation Summary Update
RESEARCH COOPERATIONS
GENERATE CAPITAL RESOURCES
PLAN FOR FUTURE JOB SKILL TRAINING
DEFINE METRICS
Leadership Changes
Jack Brose, Vice Provos t for Jennifer Kirksey, Chief of Health Affairs Staff
Robert Frank, Dean, College Ming Li, Interim Executive of Arts and Sciences Director, Center for
Deborah Gearhart, Vice International Studies
Provost for E-Learning Madeleine Scott, Interim
Kenneth Johnson, Dean, Dean, College of Fine Arts Heritage College of Osteopathic Medicine
Nation’s Best Transformative Learning Points of Pride Community
• Pair of Ohio University physiologists, Fritz Hagerman and Jason White, assists U.S. Olympic rowers
Photographer: Jason White
Nation’s Best
Transformative
Learning Points of Pride Community
• Southern Campus nursing professor, Nicole Pennington, named Regional Higher Education Outstanding Professor
Photographer: Ohio University Southern Campus
Nation’s Best Transformative Learning Points of Pride Community
• Scripps Study shows more judges and courts in the United States report using social media like Facebook and Twitter
Nation’s Best Transformative Learning Points of Pride Community
Take a closer look at Bobcat Student Orientation
• 3,600 first-year students, 300 transfer students, and their families participated in the annual orientation from July 12 through Aug. 3 on the Ohio University Athens campus
Photographer: Elizabeth Held
Nation’s Best Transformative Learning Points of Pride Community
• OHIO partners with UNICEF on Communication for Development Workshop
Nation’s Best Transformative Learning Points of Pride Community
• Ohio University to receive $29 million for energy efficiency, conservation project
Nation’s Best
Transformative Learning Points of Pride Community
• Ohio University alumnus and current Professional MBA student Jeff Dennis was honored in the Columbus Business First's 2012 class of the top "Forty Under 40"
Nation’s Best
Transformative Learning Points of Pride Community
• 139 first-year students welcomed into the Heritage College of Osteopathic Medicine
Nation’s Best
Transformative Learning Points of Pride Community
• Fifty Ohio University alumni and friends from around the nation convened in Athens July 19-22 for the 2012 Alumni College and Golden Weekend
Dr. James Smith Dean, Lancaster Campus | Pickerington Center
Dr. David L. Bronson and The Honorable Yvette McGee Brown
President’s Report
presented to
Ohio University Board of Trustees
September 6, 2012
Resources Committee Meeting September 6, 2012, 10:30 am
Committee Chair David Wolfort called the meeting to order at 10:30 am. Other board members present included Trustee Sandra J. Anderson, Trustee Kevin B. Lake, Trustee Henry Heilbrunn, National Trustee J. Patrick Campbell, Student Trustee Allison Arnold, Faculty Representative Judith Lee, and President Roderick J. McDavis.
Capital Campaign Update
Vice President for Advancement, Bryan Benchoff, provided an update for the Capital Campaign noting campaign contributions totaling $406.2 million as of July 1, 2012. Dashboard results for the campaign in total and charts showing sources of gifts, area of gift giving, and the size and number of commitments were shared. The 2013 goal is $24 million in solicitations/proposals; $55 million through the remainder of the campaign – these levels will result in lower annual attainment figures, but this is common at this point in a campaign since most known donors have already committed and are included in totals prior to the public phase of a campaign. New contacts and solicitations are being developed and sought to complete this campaign and build for the future. Committee Chair Wolfort commended the work of the Advancement team and their achievements to date.
VP Benchoff further reported that this phase of the campaign is focusing on generating scholarship endowments. The total endowed scholarships and the 2012 breakdown of the number of awards by size were discussed – 727 of 949 awards were for $2,499 or less. The focus is to achieve endowed scholarships which will generate higher award amounts to assist students in offsetting more of their costs.
Endowment Review
Page 49
Vice President for Finance and Administration, Stephen Golding, introduced Associate Vice President for Finance, Michael Angelini, to provide an annual report and update on the endowment oversight provided by The Ohio University Foundation (the “Foundation”) board. National Trustee Campbell, who serves a member of the Foundation Investment Sub-committee, joined the Resources Committee for the discussion. Areas of Sub-Committee oversight were reviewed including the process employed to retain the current advisor, Hirtle, Callaghan & Co., in July, 2009. Hirtle, Callaghan & Co. manages approximately $10 billion in assets for 415 clients – 72 of which are higher education clients.
Endowment balances under management were discussed. The Investment Sub-Committee is responsible for oversight of the University and Foundation endowments as well as portions of each entity’s working capital. Asset allocation percentages as of June 30, 2012 were shared as were asset class performance compared to benchmarks. Trustee Campbell shared details behind the efforts of the past decade in moving the investment portfolio from a nearly 100% concentration in equities to a more sophisticated portfolio that, with a diversification into additional asset classes, reduces overall volatility. Another significant and courageous change made in the past decade and supported by the President and Deans was to drop the spending rate from 6%+ to 4%; a move away from an unsustainable spending rate over the long-term. As managing fiduciary, Hirtle, Callaghan & Co. is charged with maintaining the asset allocation as set forth in the Foundation’s investment policy. Hirtle, Callaghan & Co. utilizes the ‘chief investment officer for hire’ approach, providing expertise and cost efficiencies as a result.
Mr. Angelini also reviewed FY 2011 performance for the endowment as compared to approximately 800 other foundations supporting educational institutions as found in the latest NACUBO-Commonfund Annual Endowment Study (the “Study”). The Foundation’s one-year and five-year performance is at the median of the Study’s average while the three-year return exceeds the average due to the exceptional return on the DHI investment. Early indications are that the Foundation’s FY 2012 performance will be close to the average return for those same institutions found in the Study - those results will be shared with the board when available, after the end of calendar 2012. Hirtle Callaghan’s value as advisor is seen in the performance chart by asset class, but will also be measured against attainment of the target return over time which is required to meet spending rates. The Hirtle Callaghan modeling of the Foundation portfolio will be shared with the university board.
Mr. Angelini reminded that the Investment Policy will be brought back to the board in November, followed by the NACUBO report in early 2013.
Page 50
Climate Action Plan
Vice President Golding introduced Presidential Advisory Council for Sustainability Planning (PACSP) Co-Chairs Dr. Ben Stuart and Annie Laurie Cadmus. The history of the PACSP, constituted in 2009 following President McDavis’ signature of the American College and University Presidents’ Climate Commitment, was reviewed. Development on the Climate Action Plan (CAP) commenced following formal approval of the Sustainability Plan in Summer, 2011. The CAP describes the university’s plan for attaining carbon neutrality by 2075 and is much more measure-based toward the ultimate goal of greenhouse gas reduction.
The PACSP formed 7 sub-councils, including content experts, to develop goals and recommendations on attaining carbon neutrality for their unique areas. Sub-council reports were submitted in April, 2012, and several rounds of vetting were conducted prior to this presentation for the board. Data to measure against benchmarks is available and continues to be scrutinized for evaluating attainment of carbon neutrality by 2075. ‘Carbon offsets’ can be attained by such actions as planting trees or activities that negate the carbon producing activities. Dealing with the largest single component of total greenhouse gas, purchased electricity, is a huge issue locally and globally. The transformation of the Lausche Heating Plant from coal to gas will be a significant reduction event.
A green-house gas inventory for the university is kept and a nationally recognized carbon ‘calculator’ will be used to account for important data and manage performance of the university’s efforts. Obstacles to the university goal toward carbon neutrality include the availability of funding, although a great deal of progress will be made based on commitments within the 6 Year Capital Improvement Plan. President McDavis commended the work of the Sustainability Council and the leadership of Ms. Cadmus and Dr. Stuart.
Summer Campus Update
VP Golding invited committee members to review highlights of the significant work of the summer as provided in the board of agenda materials.
Consent Agenda, Construction Projects
Associate Vice President for Facilities, Harry Wyatt, reported on the two construction projects for board approval – Kantner Roof Replacement and Clippinger Chilled Water Building
Page 51
Distribution.
The committee recommended keeping the Construction Projects resolution on the Consent Agenda for Board approval.
Resolution, Zanesville Recreation Center
VP Golding reviewed prior board actions for this project. The transaction as previously shared with the board is basically the same except for the fact that Ohio University is being viewed as the final guarantor for the project. The university is being asked to sign all the commitments for the $12 million project. Charitable pledges of $5 million have been raised to date and, after the new market tax credits and funds from operation of the facility, $2.2 million is the net exposure of this project to the university. Management believes that this community based project is still good for our students, the regional campus, and the community. The risk to the university as the ultimate guarantor is the net exposure of $2.2 million and taking over the operations and ownership of the $12 million facility.
The committee recommended moving the Zanesville Recreation Center resolution to the full board for approval.
Resolution, Property Acquisition – Cambridge Classroom
The building is between Zanesville and Eastern campuses off I-70 in Cambridge. The recent oil and gas boom in this part of the state has made finding facilities in the area difficult over the past 2 years. The property sits in a very convenient place, is in excellent condition, and is planned as a first-year facility with transfer to Athens or any of the regional campuses. The area is booming and ripe for a variety of educational offerings including entrepreneurial programs, graduate programs and workshops. Staffing and operation of the facility will be accomplished through currently employed regional campus employees and faculty. Campus funds have been reserved to fund the purchase of the facility.
The committee recommended moving the Property Acquisition – Cambridge Classroom resolution to the full board for approval.
Meeting adjourned at 12:15 p.m.
Page 52
Academics Committee September 6, 2012
Present Janetta King (Chair), Victor Goodman, Amanda Roden, Bill Hilyard, Gene Harris, and David Thomas
Consent Agenda Center for Intervention Research in Schools The establishment of the Center for Intervention Research in Schools will build visibility both internally and externally for the significant work that is being done at Ohio University in an area of social significance. The Center will aid in the recruitment of faculty and students and allow its researchers to be more competitive for grants. Committee recommended approval of the resolution.
Undergraduate Entrepreneurship Certificate This new certificate will provide an opportunity for non-business students to participate in the university’s entrepreneurship curriculum. This curriculum along with the other initiatives of the university to promote entrepreneurship aligns with the state’s strategic priorities for universities and it continues to position the Ohio University at the forefront of entrepreneurship education. Committee recommended approval of the resolution.
Community Standards Report Reported by Interim Vice President for Student Affairs, Ryan Lombardi
Mr. Lombardi reported that alcohol violations have been reduced from last year. Overall the trends in the report are consistent with previous data. Mr. Lombardi indicated that the report provides evidence that the protocols instituted by Student Affairs six years ago continue to be effective.
One concern that Mr. Lombardi addressed was that violations connected to marijuana use are trending upward. This is something that other universities across the country are experiencing as well. In response, Student Affairs has instituted new educational requirements and will monitor effectiveness closely. Mr. Lombardi also noted a significant drop in disturbing the peace
violations. He credited the change in part to campaign launched by Student Affairs with the theme—“be smart, be civil, be safe.”
Academic Dashboard Report Reported by Executive Vice President and Provost Benoit
Dr. Benoit discussed the updated academics dashboard and led the Academic Committee in a conversation about the dashboard focusing on the following issues:
• Does the dashboard provide an “at a glance” view of the current state of the institution? • Does the dashboard monitor performance toward strategic priorities? • Does the dashboard provide data on key performance indicators needed to fulfill the fiduciary responsibilities of trustees? • Does the dashboard present current information? • Does the dashboard present quantitative data? • Does the dashboard present comparative information? • Does the dashboard present data across multiple years? • Are there interrelationships among the indicators on the dashboard?
Discussion in the committee focused on the degree to which the dashboard was accomplishing these objectives. Provost Benoit stressed that the dashboard was meant to provide a snapshot and that the information it provided was supplemented by dashboards and learning objectives that exist in the colleges. She also pointed out that additional data existed in the Ohio University Fact Book and on the Institutional Research website that would allow trustees to gain a broader understanding of how the university was performing on a variety of different measures. The general conclusion was that the dashboard had been useful during the past academic year in generating substantive conversations about academic quality and that it was anticipated that it would continue to serve that function.
Search Update Reported by Executive Vice President and Provost Benoit
Provost Benoit reported successful hires in the searches for the dean of the College of Arts & Sciences and the dean of the Heritage College of Osteopathic Medicine. She introduced Dr. Robert Frank as the new dean of the College of Arts & Sciences and Dr. Kenneth Johnson as the new dean of the Heritage College. Provost Benoit also introduced Dr. Deborah Gearhart as the new Vice Provost for E-Learning and Strategic Partnerships and informed the board that Dr. Ming Li had been appointed as interim executive director of the Center for International Studies.
Tobacco-Free Campus Reported by Executive Vice President and Provost Benoit
On July 23, 2012 the Ohio Board of Regents passed a resolution concerning the promotion of tobacco free Ohio campuses. President McDavis has asked Interim Vice President of Student Affairs to lead a task force to examine the issue of tobacco-free campuses at Ohio University. The work of the task force will be reported to the Board of Trustees at an upcoming meeting.
GOVERNANCE COMMITTEE MEETING Ohio University Board of Trustees Pickerington Center
Thursday, September 6, 2012
In attendance were Chair Janetta King, Trustees Goodman, Heilbrun, Hilyard, Wolfort, and Student Trustee Arnold. Also attending were Secretary to the Board Peter Mather and General Counsel John Biancamano.
1. New Trustee Orientation
Dr. Mather, updated the Committee on the previous day's orientation program for new Trustees Campbell, Goodman, Hilyard, and Roden. He pointed out that new trustee orientation is under the purview of the Governance Committee. Trustee King noted the importance of the orientation program in equipping trustees to participate effectively.
2. Proposed Revision to the Board Bylaws
The Committee reviewed a draft revision of the Board Bylaws that had been initially distributed to the Committee at the April 2012 meeting. Mr. Biancamano explained that this draft contained non-substantive, editorial changes. Discussion among the Committee members focused on the matter of decision-making processes within the Board. Trustee Goodman raised concerns about decisions that had been made without sufficient discussion among all the Board members. Discussion ensued with differing opinions shared about the degree to which Trustees felt that there was a need for involvement by the entire Board. The Committee agreed that this would be an ongoing topic of discussion for the Governance Committee and the Board as a whole.
The Committee members agreed to recommend the proposed revision to the Bylaws for approval by the full Board.
The Committee adjourned at approximately 2:25 p.m.
AUDIT COMMITTEE MEETING OHIO UNIVERSITY – PICKERINGTON CAMPUS Building 1/Room 010 September 6, 2012 – 1:30 PM
Trustee Kevin Lake, called the meeting to order at 2:00 p.m. Other committee members present were Trustee J. Patrick Campbell and Trustee Amanda Roden. President Roderick McDavis was also present.
Research Compliance
Jo Ellen Sherow, Director of the Office of Research Compliance presented on research compliance activities. Ms. Sherow discussed human subject protection (IRB), animal subject protection (IACUC) and research conflict of interest (RCOI).
External Audit
Robert Shenton of Plante and Moran updated the Trustees on the status of the FY12 external audit.
Internal Audit Update
Jeffrey Davis, Chief Audit Executive presented the Internal Audit Update. Mr. Davis presented an update regarding the audit plan completion, audit schedule, audit plan objectives, audit process and the Audit Committee charter.
There was no unfinished business.
Meeting adjourned at 2:46 p.m.
Ohio University Board of Trustees
Executive Committee Meeting
September 6, 2012
Pickerington Center
Columbus, Ohio
Present– Chair Gene T. Harris; Trustees Sandra Anderson, Janetta King, Kevin B. Lake, David Wolfort, N. Victor Goodman; Student Trustees Allison Arnold and Amanda Roden; National Trustees, Henry Heilbrunn and Patrick Campbell; Chair National Alumni Board of Directors, Bill Hilyard
Also attending were President Roderick J. McDavis, and Board Secretary Peter C. Mather.
The meeting was called to order by Chair Gene T. Harris at 12:40 pm. Upon opening the meeting, Chair Harris asked Secretary Mather to initiate a roll call vote to move into Executive Session for consideration of personal and real estate matters. At 12:40 by roll call vote of all trustees present voted (6-0) to move into executive session: Trustees Gene T. Harris, Sandra J. Anderson, Kevin B. Lake, Janetta King, David Wolfort and N. Victor Goodman.
At 1:45, by roll call, all trustees present voted to move out of executive session:Trustees Gene T. Harris, Sandra J. Anderson, Kevin B. Lake, Janetta King, David Wolfort, and N. Victor Goodman.
Chair Harris adjourned the meeting at approximately 1:50.
(a) Chairperson
(b) Vice-Chairperson
(c) Secretary
(d) Treasurer
Section 2. The Chairperson shall preside at all meetings of the Board, and unless otherwise directed by the Board, shall have the authority to appoint members of and to fill vacancies on all standing and special committees. He or she shall serve as Chairperson of the Executive Committee. Subject to these By-Laws, he or she shall fix the date and time of all regular, special, and emergency meetings, and perform such other duties as may be pertinent to the office of the Chairperson.
Section 3. The Vice-Chairperson, in the absence or incapacity of the Chairperson, shall assume the duties and obligations of the Chairperson.
Section 4. The Secretary shall keep minutes of all Board meetings and shall promptly distribute copies to all Board members. He or she shall be responsible for the orderly preservation of all records pertaining to Board business, and shall perform all other duties customary to the office or assigned by the Chairperson or by Board action.
Section 5. The Treasurer shall be responsible for the fiscal management of the University, including supporting budget preparation, the preparation of all officially required financial reports, management of investments, coordination of audits with auditors, including federal and state auditors, overseeing relationships with financial reporting agencies, and all other financial responsibilities generally or specifically assigned by the Board or the President.
Article III. Election of Officers
Section 1. The Chairperson, Vice-Chairperson, Secretary, and Treasurer shall be elected annually by the Board.
Section 2. The Chairperson and Vice-Chairperson shall each serve for one year and shall be eligible for re-election to their respective offices for a period up to three (3) consecutive years. The Secretary and the Treasurer shall be eligible for annual election to these offices without a yearly limitation.
Article IV. The President and Presidential Duties Section 1. On the basis of mutual good faith and any contractual relationship pointing to continuous service, the President of the University shall be elected from year to year, and shall be entitled at all times to one (1) year severance notice or one (1) year salary if terminated.
Section 2. The President shall attend all meetings of the Board and shall, in an advisory capacity, have a voice in its deliberations. He or she shall have the authority to initiate any subject at Board meetings.
Section 3. The President shall be responsible to the Board for the administration and discipline of the University.
Article V. Meetings
Section 1. Regular Meetings. The Board shall hold no fewer than five (5) regular meetings a year, with the date and time fixed in accordance with the provisions of Article II. Section 2.
Section 2. Special and Emergency Meetings. Special and emergency meetings may be held upon the call of the Chairperson or upon the written request of three (3) Board members to the Secretary.
Section 3. Notice of Meetings. The Secretary shall notify all Board members and the President at least five days in advance of all regular and special meetings and at least one day in advance of all emergency meetings. The policy designated "Notification Procedures for Meetings," which has been adopted by the Board pursuant to Revised Code Section 121.22, is hereby incorporated by reference into this section, and the Secretary shall carry out his or her responsibilities under that policy in accordance with its provision for all meetings.
Section 4. Attendance. It shall be the policy of the Board to require full attendance at all meetings of the Board and committees in accordance with Revised Code Section 3.17. Excuses for absence from meetings shall be communicated to the Secretary at least two (2) days before meetings. Persistent unreasonable absences in violation of Ohio law shall be cause, at the pleasure of the Chairperson, for reporting such delinquency to the appropriate authority of the State of Ohio.
Section 5. Quorum. A majority (5 voting Trustees) of the Board membership shall constitute a quorum for the conduct of the ordinary business of the Board. A vote of two-thirds (6 votes) of the Trustees authorized to vote shall be necessary to elect or remove a President and a vote of a majority (5 votes) of the Trustees authorized to vote shall be necessary to authorize the sale or lease of a University building or the planned demolition of a University building.
Section 6. Agenda. The Secretary shall consult with the chairs of the Standing Committees and then prepare a proposed agenda for each Regular Meeting. The proposed agenda shall be delivered to the President for his or her review and then to the Chairperson of the Board for final approval.
Article VI. Standing and Special Committees Section 1. Standing Committees of the Board, consisting of no fewer than three (3) members each, shall be appointed annually or for longer terms by the Chairperson of the Board, and each Standing Committee shall consider and make recommendations for action by the Board on the various policy matters enumerated below as follows:
(a) University Academics. Responsibilities will include the academic plan; enrollment management; student life; intercollegiate athletics; diversity; research and technology transfer policies and activities; information technology; communications and marketing; academic appointments; promotion and tenure policies and procedures; academic program reviews; and awarding of degrees.
(b) University Resources. Responsibilities will include financial operations; business organization and practices; human resources; university advancement; relations with local, state, and federal legislative and administrative agencies; recommending of the schedule of tuition and fees; borrowing of funds; naming, location, planning, construction, and maintenance and renovation of University facilities and grounds; the purchase, sale and lease of lands and buildings; reviewing and monitoring of all investments including the endowment; contract oversight on public utilities and other large contracts; and recommending of investment policy, advising the Board on investments and appointment of investment advisors to assure compliance with Revised Code Section 3345.05.
(c) Audit. Responsibilities will include the oversight of the internal audit functions, annual or other periodic audits of financial operations, the recommendation of the appointment of an external audit firm to the Board of Trustees, the receipt of the reports of the internal auditor and the external audit firm, and the university’s accountability and compliance procedures.
(d) Governance. Responsibilities will include the recommendation of general governance policies and procedures, the nomination of Board officers and recommendation of candidates for future trustees and national trustees. At the last meeting in each fiscal year, the Committee shall review these Bylaws to determine whether any changes are appropriate and shall recommend any such changes to the Board of Trustees.
(e) Executive. Responsibilities will include consulting with the President on the appointment of executive officers and business not specifically assigned to another Standing or Special Committee.
Section 2. The Executive Committee shall be made up of the Chair and Vice Chair of the Board of Trustees and the Chairs of University Academics and University Resources Committees and have broad powers to act in all matters not deemed by the Chairperson of the Board and the President of the University as of importance to command the immediate attention of the entire Board. All actions of the Executive Committee shall be subject to approval by the Board, except those wherein the Board has delegated to the Executive Committee or the President full power to act for the Board.
Section 3. Special committees may be appointed by the Chairperson of the Board as the Board may deem necessary. Section 4. The Chairperson of the Board and the President shall be ex-officio non-voting members of all Standing Committees and Special Committees.
Article VII. Parliamentary Authority
Section 1. When not in conflict with any of the provisions of these By-Laws, the Robert’s Rules of Order Newly Revised shall govern the proceedings of the Board.
President’s Report
presented to Ohio University Board of Trustees November 16, 2012 • Legislative Update Federal Government Relations • Personal and Civic Responsibility • Strategic Priority Complete Capital Campaign • Points of Pride • Program Spotlight
FOUR FUNDAMENTALS
1. Inspired teaching and research dedicated to students’ academic success and focused on the connections between student learning and the advancement of knowledge and 1. Inspired teaching and research creative activity. 2. Innovative academic programs that 2. Innovative academic programs draw on the best traditions and practices in liberal arts, professional, 3. Exemplary student support services and interdisciplinary education. 4. Integrative co-curricular activities 3. Exemplary student support services committed to helping students fulfill their academic promise. Short- & Improve Complete 4. Integrative co-curricular activities that Effective Total Long-Term Financial Capital foster a diverse environment of respect Compensation Enrollment Strength Campaign and inclusivity and facilitate students’ Goals development as citizens and leaders. Legislative Update
• Advocated for Ohio University and Ohio public higher education with Federal Government Officials during two-day trip to Washington, D.C. in December
• Hosted Inaugural Ohio University Federal Government Alumni Luncheon in D.C.
• Kenneth J. Kies, a 1974 graduate, was presented with the Outstanding Federal Government Alumni Award Legislative Update
• Sequestration could have a deep impact on higher education programs
• If an agreement is not reached by January 1, 2013, an 8.2 percent across-the-board program cut for domestic discretionary programs and 7.6 percent cut for mandatory spending programs will occur Legislative Update
• Federal financial aid • National Institutes for programs (excluding Pell Health Grant and College Access • National Endowment for Challenge Grant) the Arts • Supplemental Educational • Federal College Access Opportunity Grant Programs such as TRIO • Federal work-study and GEAR UP • National Science Foundation
Legislative Update
President Barack Obama U.S. Senator Sherrod Brown U.S. Congressman Steve Stivers State Senator Tim Schaffer State Senator Chris Widener State Senator Troy Balderson State Senator Lou Gentile State Representative Debbie Phillips Personal and Civic Responsibility
Halloween Guests – Registered vs. Actual (unofficial) 2009-2012
Personal and Civic Responsibility
Green Jacket Volunteers 2009-2012 Complete Capital Campaign
Total Attainment: $410,709*
Alumni: $219,235
Other Individuals: $17,054 Corporations: $8,046
Foundations: $147,870 Other Organizations: *Current as of October 30, 2012 $18,505 Complete Capital Campaign
Advancement Travel** Chicago, IL Cincinnati, Ohio Columbus, Ohio Huntington, WV Oxford, OH Washington, DC
** Presidential advancement travel from September 8, 2012 through November 14, 2012
Nation’s Best Transformative Learning Points of Pride Community
• Ohio University's Common Experience Project on Sustainability launched a multi-year effort to engage faculty, staff and students across disciplines. The aim of the project is to promote and expand the concepts of sustainability literacy.
Nation’s Best Transformative Learning Points of Pride Community • Ohio University kicked off its annual United Appeal campaign on November 1st to raise funds for 19 local partner organizations.
Nation’s Best Transformative Learning Points of Pride Community
• Ohio University Lancaster Campus is the first regional campus to offer the Diversity Studies Certificate.
Photographer: Ian Hoyt
Nation’s Best Transformative Learning Points of Pride Community • For the third year in a row, Ohio University's Flying Bobcats team has won the safety award at Region III National Intercollegiate Flying Association's (NIFA) Safety and Flight Evaluation Conference (SAFECON). Student aviator Jessica Belzer was named top scoring woman pilot.
Photographer: Ian Hoyt
Nation’s Best Transformative Learning Points of Pride Community
• With a National Science Foundation Grant, Assistant Professor Ryan Fogt and his students are studying weather systems that are impacting Antarctic climate change. Photograph Courtesy of : Ryan Fogt
Dr. David Descutner Dean of University College & Associate Provost for Undergraduate Studies President’s Report
presented to Ohio University Board of Trustees November 16, 2012 The Ohio University Board of Trustees November 15-16, 2012 J. Bryan Benchoff Campaign Priorities and Progress Campaign Priorities
Access and Opportunity $175 Million
Research and Creative Activity $105 Million Academic and Student-Life $50 Million Experience Campus Environment $100 Million
Outreach and Partnerships $20 Million
Total Goal $450 Million Campaign Progress as of October 25, 2012
Fiscal 2013 Campaign
Total Attainment* $9,276 $410,573 Active Proposals* $17,691 N/A Visits 648 8,519 Planned Giving* $1,969 $186,569 New Prospects 57 361* Planned Proposals* $22,251 $60,963 Campaign Progress as of October 25, 2012
College / Unit Raised
College of Arts and Sciences $11.12 Million College of Business $10.31 Million Scripps College of Communication $32.42 Million Patton College of Education $37.37 Million Russ College of Engineering & Technology $120.08 Million College of Fine Arts $9.41 Million College of Health Sciences & Professions $4.34 Million Honors Tutorial College $0.78 Million Heritage College of Osteopathic Medicine $132.88 Million University College $1.00 Million Voinovich School $0.41 Million Campaign Progress as of October 25, 2012
College / Unit Raised
Cutler Scholars Program $3.72 Million Intercollegiate Athletics $17.16 Million Student Affairs $1.32 Million University Libraries $2.76 Million Chillicothe Campus $0.73 Million Eastern Campus $1.20 Million Lancaster Campus $1.98 Million Southern Campus $0.89 Million Zanesville Campus $0.60 Million Total $410.6 Million Campaign Progress as of October 25, 2012
Alumni: $219,171
Other Individuals: $17,036
Corporations: $8,043
Foundations: $147,869
Other Organizations: $18,453 Campaign Progress as of October 25, 2012
Academic Divisions: $175,458
Athletics: $4,998
Faculty and Staff: $61,300
Library: $2,686
Other Restricted: $32,049
Physical Plant: $4,310
Property: $77,082
Public Service: $2,621
Research: $3,045
Student Aid: $46,343
Unrestricted: $3,680 Lead Hotline Lead Hotline www.ohio.edu/campaignvolunteers Lead Hotline www.ohio.edu/campaignvolunteers Lead Hotline www.ohio.edu/campaignvolunteers Lead Hotline www.ohio.edu/campaignvolunteers Lead Hotline www.ohio.edu/campaignvolunteers Accomplishments
Since July 2011
76 goals/tasks identified and completed Umbrella goals
Drive The Promise Lives Campaign beyond the $450 million goal
Build a nationally recognized, comprehensive, fully integrated & sustainable Advancement Program
Enhance communications and transparency across all constituencies with particular emphasis on the campus community and volunteer/University leadership
Ensure the long-term and significant growth of endowment necessary to support Ohio University’s strategic plan and Advancement/Foundation operating budget needs
Establish internal/external stakeholder ownership of Advancement program while building “institutional culture of philanthropy” Recent Accomplishments
Since July 2012 Foundation accomplishments
Revised all gift agreement templates
Reassigned (as needed) endowed funds resulting from restructuring the College of Health Sciences and Professions
Compilation and timely submittal of the FY2012 audited financial statements, which includes significant growth in net assets
Positive financial performance for the year ending June 30, 2012 for the Foundation’s three operating entities, including the Ohio University Inn, Housing for Ohio, Inc., and the Russ Research Center, LLC Advancement accomplishments
Hired new Assistant Vice President for Alumni Relations/Executive Director of the OUAA
Implemented new budgeting model
Implemented new staff evaluation and merit increase process
Implemented team-building strategies, developed staffing structure to align resources
Developed Campaign event model Development accomplishments
Identified 75 new prospects and executed 594 visits (as of October 18)
Implemented new goal setting process for gift officers
Implemented (in coordination with ICA) an engagement strategy to capitalize on athletic success and momentum
Implemented new Cutler Scholars scholarship award process Advancement Communication & Marketing accomplishments
Fall 2012 Ohio Today: extensive coverage of Promise Lives Campaign
Completed additional Campaign collateral
Prepared 15 formal, major gift proposals totaling $1.53 million
Completed Promise Lives Campaign Event Kit: invitations; banners and décor; giveaways; collateral; and follow up pieces
Placed 42 stories in Compass, Compass Points, and Alumni E-news Approximately 25 percent picked up by outside media Distributed two campaign-themed videos Planned "Vision in Action” series to feature faculty, staff and student giving Alumni Association accomplishments
Executed successful Homecoming marketing and weekend activities for sell-out crowds
Began implementation of Regional Campaign Events Completed 11 invitations for Campaign events Executed first Campaign event in Cleveland Planned additional Campaign events Columbus/Central Ohio Cincinnati Sarasota Cleveland Akron Advancement Services accomplishments
Completed Annual Giving audit
Purchased and implemented Blackbaud Target Analytics wealth screening tool
Planned and executed Schoonover Center Renovation Preview event
Planned and executed another successful season of hosting in the Football President’s Box
Upgraded to the most recent version of the Alumni/Donor database New Project List
Identified 74 additional projects/tasks that will enhance the work of University Advancement Advancement NEW projects/tasks
Functional area # of projects/tasks Administration 1 Advancement 5 Advancement Services 16 Alumni Association 6 Annual Giving 3 Communications and Marketing 8 Development 14 Donor Relations 6 Foundation 4 Gift Planning 1 Human Resources 10
Interoffice Communication
Date: October 31, 2012
To: The President and Board of Trustees
From: Stephen T. Golding, Vice President for Finance and Administration, CFO and Treasurer
Re: FY2012 Financial Statement Highlights
Please find attached for your review the University’s Audited Financial Statements for the year ending June 30, 2012 which were submitted to the Auditor of State on October 12, 2012.
At November’s meeting we will discuss financial highlights which will include overviews of the following schedules:
Statement of Revenue, Expenses and Changes in Net Assets Net Assets Classifications Operating and Non-operating Revenues Operating and Non-operating Expenses University Debt Senate Bill 6 Ratios
While reviewing the documents, you will note that the University continues the trend of increasing its net asset position by adding $59.4 million in FY2012 for a total of $796.4 million as of June 30, 2012. Similarly, the University improved its Senate Bill 6 composite ratio by bolstering the position of its primary reserve ratio, a measure of expendable net assets as a percentage of expenses, which makes up 50% of the composite. The University’s Senate Bill 6 composite score was 4.7.
I look forward to reviewing the audited financial statement results at the November board meeting. We are planning to update the University’s Sources and Uses schedules for the February board meeting and provide a first look at FY 2013 operating performance.
Should you have questions prior to the meeting please do not hesitate to contact me. Financial Statement Highlights June 30, 2012
Tab
Financial Statement Highlights Statement of Revenue, Expenses and Changes in Net Assets
(in millions) 2010 2011 2012 Operating revenue$ 399.9 $ 460.3 $ 450.3 Operating expenses 566.9 590.6 593.9 Net operating loss (167.0) (130.3) (143.6) Net nonoperating revenue 205.5 222.6 185.3 Income ‐ before other revenue 38.5 92.3 41.7 Other revenues 27.6 15.1 17.7 Increase in net assets $ 66.1 $ 107.4 $ 59.4
Net Assets: Beginning of Year$ 563.5 $ 629.6 $ 737.0 End of Year $ 629.6 $ 737.0 $ 796.4
1 Financial Statement Highlights Net Assets Classifications
(in millions) 2010 2011 2012 Invested in capital assets, net of related debt$ 453.0 $ 464.6 $ 479.5 Restricted: Nonexpendable 17.6 19.6 19.0 Expendable 52.7 33.7 37.7 Unrestricted 106.3 219.1 260.2 End of Year Net Assets $ 629.6 $ 737.0 $ 796.4
Financial Statement Highlights Operating and Non-operating Revenues
(in millions) 2011 2012 % Student tuition and fees ‐ net$ 267.3 $ 282.9 6% State appropriations 132.7 136.6 3% Auxiliary enterprises ‐ net 83.0 87.1 5% Gifts, grants and contracts 70.8 68.9 ‐3% Pell grants 47.4 43.5 ‐8% Other sources 11.2 13.2 18% Royalties 36.1 9.7 ‐73% Sales and services 10.6 8.3 ‐22% State capital appropriations 8.5 6.2 ‐27% Investment income 16.8 3.7 ‐78% Federal fiscal stabilization funds 21.3 ‐ ‐100% Total operating/non‐operating revenues$ 705.8 $ 660.0 ‐6%
2 Financial Statement Highlights Operating and Non-operating Expenses
(in millions) 2011 2012 % Instruction and departmental research $ 274.5 $ 273.9 ‐0.2% Public service 26.5 27.1 2.3% Academic support 62.8 63.0 0.3% Student services 28.4 29.1 2.5% Institutional support 27.7 34.0 22.8% Operation and maintenance of plant 52.6 52.7 0.3% Student aid 18.2 10.6 ‐42.0% Depreciation 34.2 34.8 1.8% Auxiliary enterprises 65.7 68.5 4.3% Interest on debt 7.3 6.1 ‐15.7% Disposal and wirte‐offs of plant facilities 0.6 0.6 ‐1.5% Total operating/non‐operating expenditures$ 598.6 $ 600.6 0.3%
Financial Statement Highlights University Debt
(in millions) 2010 2011 2012 Fixed rate debt$ 157.9 $ 147.7 $ 184.5 Variable rate debt 18.9 16.9 14.8 Total debt$ 176.8 $ 164.6 $ 199.3
3 Financial Statement Highlights Senate Bill 6 Ratios
FY03 FY04 FY05 FY06 FY07 FY08 FY09 FY10 FY11 FY12 Viability Ratio 0.635 0.597 0.660 0.577 0.691 0.795 0.603 0.898 1.534 1.489 Primary Reserve Ratio 0.192 0.227 0.230 0.226 0.239 0.250 0.206 0.277 0.423 0.500 Net Income Ratio 0.065 0.064 0.040 0.046 0.042 0.029 0.036 0.103 0.152 0.086
0 1 2 3 4 5 Viability Ratio < 0 0 to .29 .30 to .59 .6 to .99 1.0 to 2.5 > 2.5 Primary Reserve Ratio < -.1 -.1 to .049 .05 to .099 .10 to .249 .25 to .49 .5+ Net Income Ratio < -.05 -.05 to 0 0 to .009 .01 to .029 .03 to .049 .05+
Financial Statement Highlights Senate Bill 6 Ratios
3.0
2.5
2.0
1.5
1.0
0.5
3.4 3.1 3.2 2.9 3.2 3.5 3.2 3.9 4.2 4.7 0.0 FY03 FY04 FY05 FY06 FY07 FY08 FY09 FY10 FY11 FY12
Viability Ratio Primary Reserve Ratio Net Income Ratio
4 Financial Statement Highlights
Questions?
5 Ohio University (a component unit of the State of Ohio)
Financial Statements for the Years Ended June 30, 2012 and 2011
Ohio University Contents
Independent Auditor’s Report 1-2
Financial Statements
Management’s Discussion and Analysis 3-14
Statements of Net Assets 15-16
Statements of Revenues, Expenses, and Changes in Net Assets 17-18
Statements of Cash Flows 19-20
Notes to Financial Statements 21-85
Supplemental Information 86
Report on Internal Control Over Financial Reporting and on Compliance and Other Matters Based on an Audit of Financial Statements Performed in Accordance with Government Auditing Standards 87-88
Report on Compliance with Requirements That Could Have a Direct and Material Effect on Each Major Program and on Internal Control Over Compliance in Accordance with OMB Circular A-133 89-90
Schedule of Expenditures of Federal Awards 91-101
Notes to Schedule of Expenditures of Federal Awards 102-104
Schedule of Findings and Questioned Costs 105-108
Independent Auditor’s Report
To the Board of Trustees Ohio University Athens, Ohio
We have audited the accompanying statements of net assets of Ohio University (the “University”), a component unit of the State of Ohio, and its component unit as of June 30, 2012 and 2011 and the related statements of revenue, expenses, and changes in net assets and cash flows for the years then ended. These financial statements are the responsibility of the University’s management. 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. In addition, the basic financial statements were audited in accordance with Government Auditing Standards, issued by the Comptroller General of the United States. Those standards require that we plan and perform the audits 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, the financial statements referred to above present fairly, in all material respects, the financial position of Ohio University and its component unit as of June 30, 2012 and 2011 and the results of its operations and cash flows, where applicable, for the years then ended, in conformity with accounting principles generally accepted in the United States of America.
In accordance with Government Auditing Standards, we have also issued a report dated October 8, 2012 on our consideration of Ohio University’s internal control over financial reporting and on our tests of its compliance with certain provisions of laws, regulations, contracts, grant agreements, and other matters for the year ended June 30, 2012. The purpose of that report is to describe the scope of our testing of internal control over financial reporting and compliance and the results of that testing, and not to provide an opinion on the internal control over financial reporting or on compliance. That report is an integral part of an audit performed in accordance with Government Auditing Standards and should be considered in assessing the results of our audit.
1
To the Board of Trustees Ohio University
Our audit was conducted for the purpose of forming opinions on the financial statements that collectively comprise the Ohio University financial statements. The accompanying other supplemental information, the schedule of expenditures of federal awards, is presented for the purpose of additional analysis as required by U.S. Office of Management and Budget Circular A-133, Audits of States, Local Governments, and Non-Profit Organizations, and is not a required part of the basic financial statements. Such information is the responsibility of management and was derived from and relates directly to the underlying accounting and other records used to prepare the financial statements. The information has been subjected to the auditing procedures applied in the audit of the basic financial statements and certain additional procedures, including comparing and reconciling such information directly to the underlying accounting and other records used to prepare the financial statement or the financial statements themselves, and other additional procedures in accordance with auditing standards generally accepted in the United States of America. In our opinion, the information is fairly stated in all material respects in relation to the basic financial statements taken as a whole.
Accounting principles generally accepted in the United States of America require that management's discussion and analysis, as identified on pages 3-14, be presented to supplement the basic financial statements. Such information, although not a part of the basic financial statements, is required by the Governmental Accounting Standards Board, which considers it to be an essential part of financial reporting for placing the basic financial statements in an appropriate operational, economic, or historical context. We have applied certain limited procedures to the required supplemental information in accordance with auditing standards generally accepted in the United States of America, which consisted of inquiries of management about the methods of preparing the information and comparing the information for consistency with management’s responses to our inquiries, the basic financial statements, and other knowledge we obtained during our audit of the basic financial statements. We do not express an opinion or provide any assurance on the information because the limited procedures do not provide us with sufficient evidence to express an opinion or provide any assurance.
As discussed in Note 20 to the financial statements, the discretely presented component unit financial statements for June 30, 2011 have been restated to correct a misstatement.
As further explained in Notes 2 and 20, the financial statements include investments that are not listed on national exchanges nor for which quoted market prices are available. These investments include limited partnerships, hedge funds, funds-of-funds, and commingled funds that are not mutual funds. Such investments totaled $28,970,681 (3.6 percent of net assets) and $31,684,798 (4.3 percent of net assets) for the University and $91,863,930 (22.0 percent of net assets) and $122,369,113 (31.7 percent of net assets) for The Ohio University Foundation at June 30, 2012 and 2011, respectively.
Columbus, Ohio October 8, 2012
2 Ohio University Management’s Discussion and Analysis
Management’s discussion and analysis (MD&A) provides an overview of the financial position and activities of Ohio University for the year ended June 30, 2012, with selected comparative information for the years ended June 30, 2011 and 2010. The financial statements are prepared on the accrual basis of accounting, whereby revenue is recognized when earned and expenses are recorded when the related liability is incurred. As the MD&A presentation includes highly summarized information, it should be read in conjunction with the accompanying financial statements and related notes to the financial statements. The financial statements, footnotes, and this discussion are the responsibility of University management.
Under the provision of GASB Statement No. 39, Determining Whether Certain Organizations Are Component Units, the Ohio University Foundation (the “Foundation”) has been determined to be a component unit of the University. Accordingly, the Foundation is discretely presented in the University’s financial statements. The Foundation’s primary function is fundraising to supplement resources that are available to the University in support of its programs. The Foundation is governed by a separate board of trustees and consists of graduates and friends of the University. Nearly all the assets of the Foundation are restricted by donors to activities of the University. Ohio University provides both support for advancement operations as well as administrative support to the Foundation for critical business functions.
Financial Highlights • The University’s financial position remained strong, with assets of $1,107.9 million and liabilities of $311.5 million at June 30, 2012, compared to assets of $1,016.3 million and liabilities of $279.3 million at June 30, 2011. Net assets, which represent the residual interest in the University’s assets after liabilities are deducted, totaled $796.4 million at June 30, 2012 as compared to $737.0 million at June 30, 2011. Changes in net assets represent the University’s results of operations and are summarized for the years ended June 30, 2012, 2011, and 2010 as follows:
(in thousands) 2012 2011 2010 Operating revenues and state appropriations 586,949$ 593,005$ 531,092$ Total expenses 600,633 598,420 574,716 (13,684) (5,415) (43,624) Net investment income 3,659 16,751 12,244 Gifts and other nonoperating revenues, net 69,394 96,059 97,506
Increase in net assets $ 59,369 107,395$ 66,126$
• Net assets for the University increased $59.4 million during fiscal year 2012 as compared to an increase of $107.4 million in fiscal year 2011 and increased the University’s Senate Bill 6 composite score to a 4.7. This shows that conservative revenue forecasting, a reserve strategy, and longer-term planning efforts can impact the financial health of the institution in a relatively short period of time. This level of financial strength provides the flexibility needed for the institution to make strategic investments over the next several years.
3 Ohio University Management’s Discussion and Analysis (Continued)
• Royalty income decreased $26.4 million during fiscal year 2012. This decrease was the result of a significant one-time only transaction during fiscal year 2011, in which the annual royalties of the drug SOMAVERT were monetized in exchange for a lump-sum payment. • Student tuition and fees increased by $16.2 million in fiscal year 2012 primarily from enrollment growth strategies targeted at nonresident enrollments, specialized graduate programs, favorable retention rates, and tremendous growth in e-learning programs. • Investment income experienced a decrease from $16.8 million in fiscal year 2011 to $3.7 million in fiscal year 2012. Investment income includes earnings in the form of interest and dividends as well as both realized and unrealized gains and losses. The University’s diversified investment pool, including investments in public equities, fixed income, private equity, real estate, and commodities, experienced slightly negative performance (-0.2 percent), while the remaining portion of its working capital, comprised of money market instruments and fixed income, continues to provide a source of income. This decrease was anticipated and reflects what the University believes to be a sustainable level of investment income based on conservative investing and market performance for the near term. Market volatility continues to be a concern and, as a result, management has continued the practice of eliminating the reliance on investment income to support unrestricted budgeted operations. Investment income continues to allow the institution to make gains on the goal of improving financial strength. This source of income will be used to build strategic cash reserves and provide funding for strategic priorities in the coming years. • While Ohio University has benefited from additional federal research and public service awards from government stimulus funds through the American Recovery and Reinvestment Act (ARRA), over the last few years, these funds will be spent down by September 2013. While a decrease is shown in this line item for fiscal year 2012 as the result of the expiration of grants, primarily from the ARRA, Federal Aviation Administration, and the Department of Education, the University continues to demonstrate success in obtaining competitive research awards. • With the expiration of ARRA funds, a decrease of $21.3 million in federal fiscal stabilization funds was recognized in fiscal year 2012. The University made adjustments in base budget allocations in anticipation of fiscal year 2011 being the last year for the source of these funds. • Federal Pell Grants decreased by approximately $4.0 million in fiscal year 2012. This decrease resulted from a change in regulations governing Pell for fiscal year 2011 in which a “year-round Pell” rule allowed for additional disbursements for students. The regulation was not effective for fiscal year 2012 and there has been no indication from the federal government that it will be implemented again in the future.
4 Ohio University Management’s Discussion and Analysis (Continued)
• As part of an approved six-year capital plan, the University issued debt in the amount of $76.5 million in February of 2012 (Series 2012). The Series 2012 issuance also included the refinancing of Series 2003 & Series 2004 to take advantage of lower interest rates. The proceeds of this issuance are being used to complete construction of the Steven L. and Barbara G. Schoonover Center for Communication, the purchase of land for a central Ohio extension campus of the Heritage College of Medicine, utility infrastructure improvements, as well as upgrades to the University’s information technology network. The University views debt as a strategic resource and plans to issue additional debt over the next several years for the renovation of academic facilities, student housing, and deferred maintenance/ infrastructure improvements. In fiscal year 2012, the University retired $41.8 million in bonds payable and is scheduled to retire $10.9 million in fiscal year 2013. As of June 30, 2012, the University’s outstanding bonds payable is $199.3 million.
Statement of Net Assets The statement of net assets is the University’s balance sheet. It reflects the total assets, liabilities, and net assets (equity) of the University as of the end of the fiscal year. The difference between total assets and total liabilities, or net assets, is one indicator of the current financial condition of the institution. Over time, the increase or decrease in total net assets denotes whether the overall financial condition of the University has improved or worsened during the year. Except for capital assets, all other assets and liabilities are measured at a point in time using current values. Capital assets are recorded at historical costs less an allowance for depreciation.
The following table depicts a summary of the composition of the statement of net assets for the three years ended June 30, 2012:
(in thousands) 2012 2011 2010 Assets Current assets$ 391,189 349,354$ 251,113$ Capital assets - Net 646,087 628,550 619,413 Other assets 70,607 38,375 48,111 Total assets 1,107,883 1,016,279 918,637 Liabilities Current liabilities 91,962 96,852 94,696 Noncurrent liabilities 219,527 182,402 194,311 Total liabilities 311,489 279,254 289,007
Total net assets $ 796,394 737,025$ 629,630$
• Assets - Total assets grew by $91.6 million as a result of the following changes: o Cash and cash equivalents decreased by $90.6 million primarily as a result of $130.9 million of strategic transfers into investments. The offsetting increase to cash was from better-than-average operating results. o Investments increased by $122.4 million due to the appreciation of existing investments and endowment investments as well as the transfers from cash. 5 Ohio University Management’s Discussion and Analysis (Continued)
o Accounts receivable increased by $10.0 million due to an increase in tuition rates, increased enrollment, and favorable retention rates. o Restricted cash and cash equivalents increased by $33.3 million related to the unspent proceeds from the Series 2012 Bond issuance for multiple projects. o Capital assets increased by $17.5 million due to capitalized costs associated with the new bond projects.
• Liabilities - Total liabilities increased by $32.2 million partially as a result of the following changes: o Accounts payable and accrued liabilities decreased $4.0 million primarily as a result of a reduction in the amount of accrued payroll. o Bonds and notes payable had a net increase for current and noncurrent liabilities of $34.7 million. This increase was related to the Series 2012 Bond issued in February. Please see Note 7 for more information on borrowings and repayments.
• Net Assets - Net assets are classified into three major categories: o Invested in capital assets net of related debt is the net equity in property, plant, and equipment owned by the University. o Restricted net assets are owned by the University, but the use or purpose of the funds is restricted by an external source or entity. The restricted net assets category is subdivided further into expendable and nonexpendable. • Restricted expendable net assets may be spent by the institution, but only for the purpose specified by the donor, grantor, or other external entity. This category includes the unspent balance in grant funds, loan funds, debt service funds, and bond funded capital projects. • Restricted nonexpendable net assets are endowment funds whose principal may be invested; however, only interest, dividends, and capital gains may be spent. o Unrestricted net assets are resources derived primarily from student tuition, fees, state appropriations, and auxiliary enterprises. These assets are used for general obligations of the University. They may be used at the discretion of the board of trustees for any purpose furthering the University’s mission.
Net assets for the three years ended June 30, 2012 are displayed in the table below:
(in thousands) 2012 2011 2010 Invested in capital assets - Net of related debt$ 479,454 $ 464,658 $ 453,048 Restricted: Nonexpendable 19,040 19,577 17,567 Expendable 37,740 33,724 52,679 Unrestricted 260,160 219,066 106,336
Total net assets$ 796,394 $ 737,025 $ 629,630
6 Ohio University Management’s Discussion and Analysis (Continued)
The University continues to solidify its financial position as represented by an increase in unrestricted net assets of $41.1 million for fiscal year 2012. This is a result of a longer-term strategy developed in fiscal year 2010 to improve the University’s financial strength and enable the continued pursuit of strategic priorities. This strategy encompassed prudent resource planning and utilization including: • Conservative revenue forecasting • Creating reserves for protection from revenue shortfalls and improvement in the financial strength of the University • Revenue generation through the creation of new programs and strategic growth that leveraged existing programs • Employment of planning unit savings targets to address a structural deficit • Elimination of the reliance on investment income in support of unrestricted operations • Management of debt in a conservative and strategic manner
Statement of Revenues, Expenses, and Changes in Net Assets The statement of revenues, expenses, and changes in net assets is the University’s income statement and presents the results of operations. It should be noted that the required subtotal for net operating income or loss will generally reflect a loss for state-supported colleges and universities. This is primarily due to the way GASB Statement No. 9 defines operating and nonoperating items.
In accordance with GASB reporting principles, the revenues and expenses are primarily reported as either operating or nonoperating. Revenue is generated by providing goods and services to customers, predominately students. Nonoperating revenue includes the instructional subsidy from the State of Ohio which Ohio University relies upon for current operations. Other revenue includes state capital appropriations. Operating expenses include all expenses except for interest on debt and disposal and write-offs of plant facilities, which are reported as nonoperating expenses.
The following is a summary of the statement of revenue, expenses, and changes in net assets for the three years ended June 30, 2012:
(in thousands) 2012 2011 2010 Operating revenue 450,312$ 460,288$ 399,898$ Operating expenses 593,924 590,558 566,860 Net operating loss (143,612) (130,270) (166,962) Net nonoperating revenue 185,306 222,560 205,465 Income - Before other revenue 41,694 92,290 38,503 Other revenues 17,675 15,105 27,623 Increase in net assets 59,369 107,395 66,126 Net assets - Beginning of year 737,025 629,630 563,504
Net assets - End of year 796,394$ 737,025$ 629,630$ 7 Ohio University Management’s Discussion and Analysis (Continued)
Highlights from the statement of revenue, expenses, and changes in net assets include:
• Student tuition and fee revenue increased $16.2 million for fiscal year 2012. This increase was from enrollment growth strategies targeted at nonresident enrollments, specialized graduate and e-learning programs, and favorable retention rates. • Total other revenues consist of funding received for construction projects from the State of Ohio and private gifts. The amount recognized as revenue is related to capital projects in progress primarily on the main campus. • Instruction and departmental research is the largest contributor to total operating expenses. This functional category decreased by $2.2 million for fiscal year 2012. Above average personnel vacancies as a result of a voluntary early retirement incentive program contributed to this savings. • Institutional support increased by $6.3 million due to implementation costs of the Print Responsibly program, higher than usual bad debt expense, workers’ compensation settlements and adjustments to the workers’ compensation accrual, retiree sick payouts due to the voluntary termination plan discussed in Note 12, costs associated with the upgrades to the University’s information technology network, consultants for the implementation of the Responsibility Centered Management (RCM) model and for the Strategic Alignment Initiative, payroll and benefit costs associated with fundraising and development for the capital campaign, and changes in the overhead charges to the regional campuses.
One of the University’s operational strengths is the diverse streams of revenue that supplement its student tuition and fees. This includes private support from individuals, foundations, and corporations, along with government and other sponsored programs, state appropriations, and investment income. Consistent with its mission, the University continues to seek funding from all possible sources to supplement student tuition and to responsibly manage financial resources used to fund operating activities.
A comparison of operating and nonoperating revenues for the three years ended June 30, 2012 is as follows:
% of % of % of (in thousands) 2012 Total 2011 Total 2010 Total Student tuition and fees - Net $ 282,916 42.9% 267,334$ 37.9%$ 245,886 38.4% State appropriations 136,636 20.7% 132,717 18.8% 131,195 20.5% Auxiliary enterprises - Net 87,060 13.2% 83,027 11.8% 82,393 12.8% Gifts, grants, and contracts 68,905 10.4% 70,791 10.0% 61,465 9.6% Pell grants 43,451 6.6% 47,437 6.7% 37,910 5.9% Other sources 13,185 2.0% 11,195 1.6% 11,467 1.8% Royalties 9,658 1.5% 36,077 5.1% 8,480 1.3% Sales and services 8,332 1.2% 10,621 1.5% 9,715 1.5% State capital appropriations 6,200 0.9% 8,543 1.2% 19,548 3.1% Investment income - Net 3,659 0.6% 16,751 2.4% 12,244 1.9% Federal fiscal stabilization funds - - 21,322 3.0% 20,539 3.2% Total operating and nonoperating $ 660,002 100.0%$ 705,815 100.0% 640,842$ 100.0% revenues 8 Ohio University Management’s Discussion and Analysis (Continued)
Student tuition and fees, the largest of the revenue streams, comprises 42.9 percent of total revenues for fiscal year 2012. This is up from 37.9 and 38.4 percent of total revenue for fiscal years 2011 and 2010, respectively. The increase is reflective of the reliance on student tuition and fees for operations and capital expenditures in light of reduced state and capital appropriations. State appropriations are up $3.9 million for fiscal year 2012 and are up to 20.7 percent of total revenue, an increase from 18.8 percent and 20.5 percent of total revenue for fiscal years 2011 and 2010, respectively.
The University continues to make cost containment a priority. This strategy will allow the University to direct financial resources to the most strategic activities of the institution. This is critical as the University continues to face significant financial pressures, mainly in the areas of deferred maintenance of buildings and infrastructure as well as compensation and benefits. In addition to a functional classification of expenses below, the University has prepared operating expenses by natural (object) classification in Note 9 to the financial statements.
A comparison of operating and nonoperating expenses for the three years ended June 30, 2012 is as follows:
% of % of % of (in thousands) 2012 Total 2011 Total 2010 Total Instruction and departmental research$ 231,424 38.6%$ 233,621 39.1% 219,815$ 38.3% Separately budgeted research 42,517 7.1% 40,896 6.8% 34,674 6.0% Public service 27,135 4.5% 26,529 4.4% 23,015 4.0% Academic support 62,992 10.4% 62,787 10.5% 64,366 11.2% Student services 29,138 4.9% 28,241 4.7% 26,032 4.5% Institutional support 34,038 5.6% 27,722 4.6% 29,460 5.1% Operation and maintenance of plant 52,732 8.8% 52,594 8.8% 53,637 9.3% Student aid 10,575 1.8% 18,242 3.1% 14,977 2.6% Depreciation 34,829 5.8% 34,197 5.7% 34,503 6.0% Auxiliary enterprises 68,545 11.4% 65,730 11.0% 66,381 11.6% Interest on debt 6,130 1.0% 7,275 1.2% 7,798 1.4% Disposal and write-offs of plant facilities 578 0.1% 587 0.1% 58 - Total operating and nonoperating expenses $ 600,633 100.0%$ 598,421 100.0%$ 574,716 100.0%
Student aid decreased $7.7 million between fiscal years 2011 and 2012. When a student receives financial aid in excess of his or her tuition and fees for a given term, a disbursement (sometimes referred to as a refund) will be issued. With the implementation of the new student information system, a revised payment priorities policy was put into place. This new policy resulted in fewer refunds to students.
9 Ohio University Management’s Discussion and Analysis (Continued)
Statement of Cash Flows The statement of cash flows provides additional information about the University’s financial results and presents detailed information about the major sources and uses of cash for the institution for the fiscal year. The cash flow analysis is divided into four sections: (1) operating activities, (2) noncapital financing activities (which includes state appropriations as well as gift revenue), (3) capital and related financing activities (which includes debt activity), and (4) investing activities.
A comparative summary of the statement of cash flows for the three years ended June 30, 2012 is as follows:
(in thousands) 2012 2011 2010 Cash (used in) provided by Operating activities$ (108,072) $ (97,649) $ (146,856) Noncapital financing activities 180,099 213,409 208,388 Capital and related financing activities (10,948) (46,579) (49,683) Investing activities (118,365) 1,113 15,542 Net (decrease) increase in cash (57,286) 70,294 27,391 Cash - Beginning of year 166,469 96,175 68,784
Cash - End of year 109,183$ 166,469$ $ 96,175
Capital Assets The University made considerable additions to capital during fiscal year 2012. These capital asset additions were financed with University funds, the sale of bonds, state capital appropriations, gifts, and grants. The largest addition to capital during the fiscal year ended June 30, 2012 was the purchase of the Heritage College of Medicine Columbus Campus. Other major projects completed during the year include an addition to the Central Food Facility, continuing renovations of Bromley Hall, and further upgrades to Lausche Heating Plant and the West Green Chilled Water plant, all located on the Athens campus.
Cumulative costs associated with capital projects continuing after the fiscal year ended June 30, 2012 total approximately $20.8 million, of which $9.6 million was for renovations of Nelson Commons.
More detailed information about the University’s capital assets is presented in Note 5 to the financial statements.
Debt Administration As of June 30, 2012, the University had $199.3 million in bonds and notes outstanding, compared to $164.6 million at the end of 2011. Detailed information exists in Note 7 related to borrowings and retirements for fiscal years 2012 and 2011.
10 Ohio University Management’s Discussion and Analysis (Continued)
All long-term debt activity is supported by the general receipts of the institution. The University maintains a combination of fixed and variable-rate debt as summarized below:
(in thousands) 2012 2011 2010 Fixed rate $ 184,450 $ 147,720 157,860$ Variable rate 14,845 16,860 18,915
Total $ 199,295 $ 164,580 176,775$
Ohio University takes its stewardship responsibility seriously and works diligently to manage the institution’s resources effectively, including the use of debt to finance capital projects. The University is committed to using debt conservatively in order to maintain an acceptable credit rating and debt burden ratio. A solid debt rating and debt burden ratio is a key measurement of financial strength. Standard & Poor’s Rating Services long-term rating on Ohio University’s outstanding general and subordinated general receipts bonds is an “A+” with a “stable” outlook and Moody’s Investors Service’s rating is an “Aa3” with a “stable” outlook. This rating puts the University in a position to move forward with an aggressive capital plan that will change the face of the campus.
A six-year capital plan totaling $977.5 million was approved by the board of trustees in November 2011 and it is anticipated that $567.5 million will be funded through the issuance of debt. This plan will allow the institution to address the needs for modern academic and research facilities, deferred maintenance, as well as for resource efficiency projects. The plan will impact more than 70 percent of the core academic buildings on the Athens campus and includes major projects such as the Scripps College of Communications, McCracken and Seigfred Halls, the Heritage College of Medicine Columbus Campus, Alden Library, and a complete replacement of the Lausche Heating Plant. The plan also calls for a $205 million investment in the University’s housing stock.
The University issued debt in July 2012, in the amount of $28.6 million to implement a comprehensive energy efficiency and conservation overhaul of 72 buildings on the Athens campus. Additional debt issuances are planned over the next three to five years for the purpose of various academic and auxiliary facility needs as well as infrastructure requirements.
Senate Bill 6 Ratios Senate Bill 6 ratios, enacted into law in 1997 by the Ohio General Assembly, are used to assist the State in monitoring the financial accountability of state colleges and universities by using a standard set of measures with which to monitor the fiscal health of campuses. In order to meet the legislative intent, there are three ratios from which four scores are generated. The data and methodology used to compute the ratios are as follows:
• Expendable net assets - The sum of unrestricted net assets and restricted expendable net assets • Plant debt - Total debt, including bonds payable, notes payable, and capital lease obligations
11 Ohio University Management’s Discussion and Analysis (Continued)
• Total revenue - Total operating revenue, plus nonoperating revenue, plus capital appropriations, capital grants and gifts, and additions to permanent endowments • Total operating expenses - Total operating expenses, plus interest on long-term debt • Total nonoperating expenses - All expenses reported as nonoperating with the exception of interest expense • Change in total net assets - Total revenue less total expenses (operating and nonoperating)
The methodology for calculating the three ratios is as follows: • Viability Ratio = Expendable Net Assets/Plant Debt o This ratio measures the availability of expendable net assets to cover debt should the institution need to settle its obligations as of the balance sheet date. • Primary Reserve Ratio = Expendable Net Assets/Total Operating Expenses o This ratio provides a snapshot of financial strength and flexibility by indicating how long the institution could function using its expendable reserves without relying on additional net assets generated by operations. • Net Income Ratio = Change in Total Net Assets/Total Revenue o This ratio offers a measure of profitability as a percentage of all institutional revenue including revenue received for capital needs.
Based on the calculations, each ratio is assigned a score ranging from zero to five according to the table below. A score of 5 indicates the highest degree of fiscal strength in each category.
0 1234 5 Viability Ratio less than 0 0 to .29 .30 to .59 .6 to .99 1.0 to 2.5 greater than 2.5 Primary Reserve Ratio less than -.1 -.1 to .049 .05 to .099 .10 to .249 .25 to .49 .5 or greater Net Income Ratio less than -.05 -.05 to 0 0 to .009 .01 to .029 .03 to .049 .05 or greater
Based on these scores, a summary score, termed the composite score, is determined, which is the primary indicator of fiscal health. The composite score equals the sum of the assigned viability score multiplied by 30 percent, the assigned primary reserve score multiplied by 50 percent, and the assigned net income score multiplied by 20 percent. A composite score of or below 1.75 for two consecutive years would result in an institution being placed on fiscal watch.
12 Ohio University Management’s Discussion and Analysis (Continued)
Ohio University’s composite score increased to 4.7 in fiscal year 2012 from a score of 4.2 in fiscal year 2011 and a score of 3.9 in fiscal year 2010 as summarized below:
Senate Bill 6 Ratios
5.0
4.5
4.0
3.5 2010 2011 3.0 2012
2.5
2.0
1.5
1.0 Viability Ratio Primary Reserve Net Income Ratio Composite Score
The viability ratio and the net income ratio remained the same. The primary reserve ratio increased by 1.0 and is given a weighting of 50 percent of the composite score. The combination of an increase in expendable net assets, part of the numerator of this ratio, and a minimal increase in expenses, the denominator, contributed to the growth of the primary reserve ratio.
Economic Outlook The University continues to face significant financial challenges to its academic mission, stemming from constrained state base and capital appropriations, market volatility, Ohio’s weakened economic situation, as well as the need to make strategic investments related to facilities. Fiscal years 2013 and beyond are expected to be a continuation of the challenging economic environment. In an effort to focus planning and use of resources, there have been four supporting priorities identified for the next planning cycle:
1. Establish effective strategic short-term and long-term enrollment planning to ensure recruitment goals (quality and mix of students) and revenue projections are met. This will become extremely important as the number of college-age students in Ohio decreases over the next several years. E-learning program growth is also a critical part of this strategy.
13 Ohio University Management’s Discussion and Analysis (Continued)
2. Institute effective compensation policies and practices to ensure that talented faculty, administrative staff, and classified staff are rewarded and retained. 3. Continue efforts related to a $450 million capital campaign focused on supporting core academic initiatives. 4. Improve the institution’s financial strength so that fiscal and capital resources are stable and permit ongoing strategic investment.
In light of the existing economic challenges, the University continues to focus efforts on moving the institution forward while remaining committed to the financial health of the institution. This is demonstrated through the following initiatives:
• The University continues to focus resources on the enhancement of student recruitment, through targeted marketing initiatives and providing additional scholarship dollars. Management remains cautiously optimistic that enrollment figures will remain strong even with the transition to semesters. • Positive financial performance during fiscal year 2012 has placed the institution in a favorable position to pursue strategic investments that will allow the institution to remain competitive for many years to come. • Continuation of cost-reduction strategies, such as a hiring freeze, travel restrictions, and strategic procurement initiatives remain in place to curb the growth of expenses. • To protect the University’s academic mission, realize operating cost efficiencies, and effectively manage the financial health of the institution, a multi-year budget model is being developed to allow for longer planning horizons. This is expected to facilitate the pace of change needed to react to variables in enrollment, state appropriations, and opportunities for cost control as well as create sufficient timelines to implement change efforts that will be required to react to changing economic factors.
The outlook for capital appropriations from the State is cautiously optimistic. Ohio University plans to invest future capital appropriations in deferred maintenance projects.
The University will continue to utilize its long-term investment strategy to maximize total returns, at an appropriate level of risk, while employing a spending rate policy to preserve endowment principal and minimize the impact of market volatility on operations.
While it is not possible to predict the results, management believes that prudent planning and aligning resources to strategic priorities will allow the University to maintain a strong financial position while successfully investing in strategic initiatives.
Requests for Information This management’s discussion and analysis is intended to provide additional information for the reader of the audited financial statements that follow. Further questions may be addressed to: Julie Allison, controller’s office, 204 West Union Street Office Center, Athens, Ohio 45701.
14 Ohio University Statements of Net Assets
June 30, 2012 June 30, 2011 The Ohio The Ohio University University Ohio University Foundation Ohio University Foundation Assets Current Assets Cash and cash equivalents$ 68,586,206 $ 15,756,637 $ 159,181,755 $ 23,242,302 Investments 228,853,930 203,103,777 106,497,877 179,778,016 Accounts and pledges receivable - Net 74,055,057 8,807,476 64,096,558 8,072,041 Interest and dividends receivable 522,486 127,301 262,891 321,331 Notes receivable - Net 1,979,745 - 2,003,778 - Prepaid expenses and deferred charges 14,601,948 1,526,926 15,289,257 1,450,250 Inventories 2,589,882 43,224 2,022,051 34,975
Total current assets 391,189,254 229,365,341 349,354,167 212,898,915
Noncurrent Assets Restricted cash and cash equivalents 40,596,872 3,547,222 7,287,639 3,198,543 Pledges receivable - Net - 8,338,846 - 7,296,513 Bequests receivable - 562,953 - 931,000 Cash surrender value of life insurance - 1,572,911 - 1,841,498 Charitable trusts - 16,707,079 - 17,022,926 Charitable gift annuities - 2,426,539 - 2,475,238 Endowment investments 19,039,643 163,453,731 19,577,377 148,534,913 Notes receivable - Net 10,970,442 - 11,509,830 - Capital assets - Net 646,087,408 30,520,718 628,549,812 31,312,185
Total noncurrent assets 716,694,365 227,129,999 666,924,658 212,612,816
TOTAL ASSETS$ 1,107,883,619 $ 456,495,340 $ 1,016,278,825 $ 425,511,731
The accompanying notes are an integral part of these financial statements.
15 Ohio University Statements of Net Assets (Continued)
June 30, 2012 June 30, 2011
The Ohio The Ohio University University Ohio University Foundation Ohio University Foundation Liabilities and Net Assets Current Liabilities Accounts payable and accrued liabilities$ 41,387,492 $ 3,166,463 $ 45,391,531 $ 2,834,700 Deferred revenue 32,490,344 - 34,495,172 - Refunds and other liabilities 5,266,515 5,830,368 3,046,515 5,992,969 Long term-debt - Current portion 11,465,625 1,022,000 12,657,567 1,037,400 Deposits held in custody for others 1,352,403 345,969 1,261,699 348,572
Total current liabilities 91,962,379 10,364,800 96,852,484 10,213,641
Noncurrent Liabilities Compensated absences 14,542,707 - 14,250,558 - Other long-term liabilities 2,836,790 - 2,921,180 - Long-term debt 194,616,168 28,762,400 156,998,844 29,714,000 Refundable advances, federal student loans 7,531,402 - 8,230,936 -
Total noncurrent liabilities 219,527,067 28,762,400 182,401,518 29,714,000
Total liabilities 311,489,446 39,127,200 279,254,002 39,927,641
Net Assets Invested in capital assets, net of related debt 479,454,516 4,283,540 464,658,290 3,758,928 Restricted: Nonexpendable 19,039,643 163,453,731 19,577,377 153,921,117 Expendable 37,740,009 251,648,970 33,723,805 229,248,423 Unrestricted 260,160,005 (2,018,101) 219,065,351 (1,344,778)
Total net assets 796,394,173 417,368,140 737,024,823 385,583,690
TOTAL LIABILITIES AND NET ASSETS$ 1,107,883,619 $ 456,495,340 $ 1,016,278,825 $ 425,511,331
The accompanying notes are an integral part of these financial statements.
16 Ohio University Statements of Revenues, Expenses, and Changes in Net Assets Years Ended June 30, 2012 and 2011
2012 2011 The Ohio The Ohio University University Ohio University Foundation Ohio University Foundation OPERATING REVENUE: Student tuition and fees $ 347,313,985 $ - $ 331,064,132 $ - Less: Pell grants (36,385,924) - (35,661,894) - Less: Other scholarships (28,011,937) - (28,067,896) - Net Student tuition and fees 282,916,124 - 267,334,342 - Auxiliary enterprises 96,748,008 - 93,852,450 - Less: Pell grants - Room and board (2,358,732) - (1,602,793) - Less: Other scholarships - Room and board (7,329,582) - (9,222,652) - Net Auxiliary enterprises 87,059,694 - 83,027,005 - Federal grants and contracts 31,709,532 - 35,151,405 - State grants and contracts 8,130,827 - 7,666,457 - Local grants and contracts 816,600 - 851,146 - Private grants and contracts 8,511,441 - 8,367,245 - Royalties 9,657,819 - 36,076,899 - Sales and services 8,331,864 - 10,620,941 - Other sources 13,178,593 10,771,081 11,192,599 9,329,217
Total operating revenue 450,312,494 10,771,081 460,288,039 9,329,217
OPERATING EXPENSES: Educational and general: Instruction and departmental research 231,424,236 6,322,737 233,621,283 5,703,819 Separately budgeted research 42,516,967 843,596 40,895,787 185,813 Public service 27,134,973 425,028 26,529,044 232,784 Academic support 62,991,384 1,245,982 62,787,472 2,539,443 Student services 29,137,388 1,162,834 28,241,012 966,819 Institutional support 34,038,345 11,551,266 27,721,503 9,611,764 Operation and maintenance of plant 52,731,919 - 52,593,741 1,114,176 Student aid (including Pell grants of $4,706,399 in 2012 and $10,172,377 in 2011 for Ohio University) 10,575,082 3,715,891 18,241,572 1,580,812 Depreciation 34,828,661 1,543,586 34,197,262 1,635,935 Auxiliary enterprises 68,545,176 - 65,729,768 - Operating expenses - Related entities - 7,354,502 - 6,780,275
Total operating expenses 593,924,131 34,165,422 590,558,444 30,351,640
OPERATING LOSS$ (143,611,637) $ (23,394,341) $ (130,270,405) $ (21,022,423)
The accompanying notes are an integral part of these financial statements.
17 Ohio University Statements of Revenues, Expenses, and Changes in Net Assets (Continued) Years Ended June 30, 2012 and 2011
2012 2011 The Ohio The Ohio University University Ohio University Foundation Ohio University Foundation NONOPERATING REVENUE (EXPENSES): State appropriations$ 136,636,074 $ - $ 132,716,751 $ - Federal fiscal stabilization funds - - 21,321,876 - Federal grants - Pell 43,451,055 - 47,437,064 - Federal grants - Other nonexchange 1,656,583 - 4,648,715 - State and local grants nonexchange 2,198,331 - 3,405,978 - Private gifts 4,413,232 11,200,309 4,140,187 23,417,568 University support - 5,274,285 - 4,523,605 Investment income - Net 3,658,908 29,297,278 16,751,364 49,618,994 Interest on debt (6,130,158) - (7,275,033) - Disposal and write-offs of plant facilities (578,404) - (586,744) -
Net nonoperating revenue 185,305,621 45,771,872 222,560,158 77,560,167
INCOME BEFORE OTHER REVENUE, EXPENSES, GAINS, OR LOSSES 41,693,984 22,377,531 92,289,753 56,537,744
OTHER REVENUE, EXPENSES, GAINS, OR LOSSES: State capital appropriations 6,200,109 - 8,542,842 - Capital grants and gifts 11,468,690 - 6,559,413 - Additions to permanent endowments 6,567 9,406,919 2,512 4,240,601
Total other revenue 17,675,366 9,406,919 15,104,767 4,240,601
INCREASE IN NET ASSETS 59,369,350 31,784,450 107,394,520 60,778,345
NET ASSETS: Beginning of year 737,024,823 385,583,690 629,630,303 324,805,345
End of year$ 796,394,173 $ 417,368,140 $ 737,024,823 $ 385,583,690
The accompanying notes are an integral part of these financial statements.
18 Ohio University Statements of Cash Flows Years Ended June 30, 2012 and 2011
Ohio University 2012 2011 CASH FLOWS FROM OPERATING ACTIVITIES: Student tuition and fees $ 273,768,156 $ 259,163,571 Grants and contracts 51,736,150 52,153,123 Payments to suppliers (142,292,517) (127,581,042) Payments to or on behalf of employees (377,299,609) (370,478,109) Payments for scholarships and fellowships (33,392,578) (50,369,118) Loans issued to students (2,806,229) (2,012,309) Collection of loans to students 2,626,223 2,119,211 Auxiliary enterprise sales 88,327,538 81,551,010 Royalties 9,443,390 35,797,563 Sales and services 8,590,303 10,706,815 Other receipts 13,227,598 11,300,268
Net cash used in operating activities (108,071,575) (97,649,017)
CASH FLOWS FROM NONCAPITAL FINANCING ACTIVITIES: State appropriations 136,636,074 132,716,751 Federal fiscal stabilization funds - 21,321,876 Gifts and grants for other than capital purposes 51,793,270 59,634,456 Federal direct student loan program receipts 202,836,857 201,839,351 Federal direct student loan program disbursements (211,363,475) (202,297,069) Student organization agency transactions 196,075 194,245
Net cash provided by noncapital financing activities 180,098,801 213,409,610
CASH FLOWS FROM CAPITAL FINANCING ACTIVITIES: Proceeds from capital debt 76,470,000 - State capital appropriations 6,524,858 9,670,440 Capital grants and gifts received 9,826,891 7,227,853 Purchases of capital assets (52,966,499) (43,920,875) Principal paid on capital debt and leases (44,673,233) (12,281,806) Interest paid on capital debt and leases (6,130,158) (7,275,033)
Net cash used in capital financing activities (10,948,141) (46,579,421)
CASH FLOWS FROM INVESTING ACTIVITIES: Proceeds from sales and maturities of investments 40,767,162 24,095,031 Investment income 4,690,152 3,679,356 Purchase of investments (163,822,715) (26,661,003)
Net cash (used in) provided by investing activities (118,365,401) 1,113,384
NET (DECREASE) INCREASE IN CASH (57,286,316) 70,294,556 CASH AND CASH EQUIVALENTS - Beginning of year 166,469,394 96,174,838
CASH AND CASH EQUIVALENTS - End of year $ 109,183,078 $ 166,469,394
The accompanying notes are an integral part of these financial statements.
19 Ohio University Statements of Cash Flows (Continued) Years Ended June 30, 2012 and 2011
Ohio University 2012 2011 RECONCILIATION OF OPERATING LOSS TO NET CASH USED IN OPERATING ACTIVITIES: Operating loss $ (143,611,637) $ (130,270,405) Adjustments to reconcile operating loss to net cash used in operating activities: Depreciation expense 34,828,661 34,197,262 Changes in assets and liabilities: Accounts receivable - Net (9,650,178) (7,568,839) Notes receivable - Net 563,421 461,547 Prepaid expenses and deferred charges 687,310 3,703,304 Inventories (567,830) (146,108) Accounts payable and accrued liabilities (3,773,510) 2,985,278 Deferred revenue 11,232,188 (499,977) Refunds and other liabilities 2,220,000 (511,079)
NET CASH USED IN OPERATING ACTIVITIES$ (108,071,575) $ (97,649,017)
The accompanying notes are an integral part of these financial statements.
20 Ohio University Notes to Financial Statements June 30, 2012 and 2011
Note 1 - Organization, Basis of Presentation, and Significant Accounting Policies
Organization - Ohio University (the “University”) is a public institution established by the State of Ohio (“State”) in 1804 under Chapter 3337 of the Ohio Revised Code (“ORC”). As such, it is a component unit of the State and is included as a discretely presented entity in the State’s Comprehensive Annual Financial Report. The University is the oldest of the State-assisted universities in Ohio. It is defined by statute to be a body politic and corporate and an instrumentality of the State.
The University is governed by a Board of Trustees composed of nine Trustees and two student Trustees, all appointed by the governor. The Board shall also include two national Trustees and the chair of the Ohio University Alumni Association Board of Directors or his or her designee. The two national Trustees are appointed by the Board for staggered three-year terms. The nine Trustees appointed by the governor will hold voting privileges. The two student trustees, the two national trustees, and the chair of the Ohio University Alumni Association Board of Directors may not vote on Board matters, but their opinions and advice will be actively solicited and welcomed in Board deliberations.
Basis of Presentation - The financial statements of the University have been prepared in accordance with generally accepted accounting principles as prescribed by the Governmental Accounting Standards Board (GASB), including Statement No. 34, Basic Financial Statements - and Management’s Discussion and Analysis - for State and Local Governments, and Statement No. 35, Basic Financial Statements - and Management’s Discussion and Analysis - for Public Colleges and Universities (an amendment of Statement No. 34). The presentation required by GASB Statements Nos. 34 and 35 provides a comprehensive, entity-wide perspective of the University’s assets, liabilities, net assets, revenues, expenses, and changes in net assets, and cash flows. It replaces fund groups with net asset groups and requires the direct method of cash flow presentation. The University follows all GASB pronouncements as well as Financial Accounting Standards Board (FASB) statements and interpretations, accounting principles board (APB) opinions, and accounting research bulletins of the committee on accounting procedures issued on or before November 30, 1989, unless those pronouncements conflict with or contradict GASB pronouncements. The University has elected not to apply the FASB statements and interpretations issued after November 30, 1989.
21 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
GASB Statement No. 39, Determining Whether Certain Organizations Are Component Units - An Amendment of GASB Statement No. 14, was implemented by the University effective July 1, 2003. It further clarifies that certain organizations warrant inclusion as part of the financial reporting entity because of the nature and significance of their relationship with the primary government, including their ongoing financial support of the primary government. The University has determined that The Ohio University Foundation (the “Foundation”) meets this definition and it is therefore included as a discretely presented component unit in the University’s financial statements. The Foundation’s financial statements have been prepared on the accrual basis of accounting in accordance with generally accepted accounting principles as prescribed by the FASB. A separate financial report for the Foundation is available by contacting The Ohio University Foundation, 168 West Union Street Office Center, Athens, Ohio 45701, or by calling 740-593-1901. See Note 20 for additional disclosures regarding the Foundation.
Basis of Accounting - The University is a special-purpose government engaged only in business-type activities as defined by GASB Statements No. 34 and 35. Accordingly, the financial statements are presented using an economic resources measurement focus and are presented on the accrual basis of accounting. Under the accrual basis, revenue is recognized when earned and expenses are recorded when incurred. All significant interfund transactions have been eliminated. The financial statements of its component unit are also presented under the accrual basis of accounting.
Cash and Cash Equivalents - Cash consists primarily of petty cash, cash in banks, and money market accounts. Cash equivalents are short-term highly liquid investments readily convertible to cash with original maturities of three months or less.
Investments - All investments are carried at fair value in accordance with GASB Statement No. 31, Accounting and Financial Reporting for Certain Investments and for External Investment Pools. Investments in publicly traded securities are stated at fair value as established by major securities markets. Nonpublicly-traded investments are valued based on independent appraisals and estimates considering market prices of similar investments. Changes in unrealized gain (loss) on the carrying value of investments are reported as a component of investment income (loss) in the statements of revenues, expenses, and changes in net assets.
Accounts Receivable - Accounts receivable consists of amounts due for tuition and fees, grants and contracts, and auxiliary enterprise services. Grants and contracts receivables include amounts due from the federal government, state and local governments, or private sources, as reimbursement for certain expenditures made in accordance with agreements. Uncollectible amounts have been reserved.
Inventories - Inventories are stated at lower of weighted-average cost or net realizable value.
22 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
Restricted Cash and Cash Equivalents - Restricted cash and cash equivalents are funds restricted for capital expenditures subject to bond and note agreements held by bond trustees. In addition, it includes funds held in escrow based on terms and conditions of various agreements.
Capital Assets - Purchased or constructed capital assets are recorded at cost. Donated capital assets are recorded at their estimated fair market value as of the date received. Depreciation is calculated using the straight-line method over the estimated useful life of the asset. The following are the capitalization levels and estimated useful lives of the University asset classes:
Estimated Asset Class Capitalize At Useful Life
Land Any amount N/A Land improvements $100,000 N/A Works of art and historical treasure $5,000 N/A Infrastructure $100,000 10-50 years Buildings Any amount 40 years Machinery and equipment $5,000 5-25 years Library books and publications Any amount 10 years Transportation equipment $5,000 5-10 years Purchased software $500,000 10 years Internally developed software $1,000,000 10 years
Building renovations that significantly increase the value or extend the useful life of the structure are also capitalized. The costs of normal maintenance and repairs are not capitalized. Interest incurred during the construction of capital assets is included in the cost of the asset when capitalized. Land, land improvements, and works of art and historical treasures are not depreciated. Any impairment of capital assets and insurance recoveries are disclosed in accordance with GASB Statement No. 42, Accounting and Financial Reporting for Impairment of Capital Assets and for Insurance Recoveries.
Deferred Revenue - Deferred revenue includes amounts for tuition and fees, grants and contracts, and certain auxiliary activities received prior to the end of the fiscal year, related to the subsequent accounting period.
23 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
Compensated Absences - University employees earn vacation and sick leave benefits based, in part, on length of service. Upon separation from service, employees are paid their accumulated vacation and sick pay based upon the nature of separation (termination, retirement, or death). Certain limits are placed on the hours of vacation and sick leave that employees may accumulate and carry over for payment at termination, retirement, or death. Unused hours exceeding the limits are forfeited. The estimated and accrued liability is recorded at year end in the statements of net assets, and the net change from the prior year is recorded as a component of operating expense in the statements of revenues, expenses, and changes in net assets.
Net Assets - Net assets are classified into three major categories:
• Invested in capital assets net of related debt is the net equity in property, plant, and equipment owned by the University. • Restricted net assets are owned by the University, but the use or purpose of the funds is restricted by an external source or entity. The restricted net assets category is subdivided further into expendable and nonexpendable. o Restricted expendable net assets may be spent by the institution, but only for the purpose specified by the donor, grantor, or other external entity. This category includes the unspent balance in grant funds, loan funds, debt service funds, and bond funded capital projects. o Restricted nonexpendable net assets are gifts that have been received for endowment purposes. The resources are invested with only the investment income available for purposes established by the donor or, in the case of funds functioning as endowment, by the University. These purposes include loans, scholarships, and departmental support. • Unrestricted net assets are resources derived primarily from student tuition, fees, state appropriations, and auxiliary enterprises. These assets are used for general obligations of the University. They may be used at the discretion of the Board of Trustees for any purpose furthering the University’s mission.
Restricted Versus Unrestricted Resources - When an expense is incurred that can be paid using either restricted or unrestricted resources, the University’s policy is to apply the expense at the discretion of University management.
Income Taxes - The University is an organization described in Section 115 of the Internal Revenue Code (Code) and has further been classified as an organization that is not a private foundation in accordance with Sections 509(a)(1) and 170(b)(1)(A)(ii) of the Code. However, certain revenues are considered unrelated business income and are taxable under Internal Revenue Code Sections 511 through 513.
Classification of Revenue - Revenue is classified as either operating or nonoperating.
24 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
• Operating revenue include revenues from activities that have characteristics similar to exchange transactions. These include student tuition and fees (net of scholarship discounts and allowances), sales and services of auxiliary enterprises (net of scholarship discounts and allowances), and certain federal, state, local and private grants, and contracts. The presumption is that there is a fair exchange of value between all parties to the transaction. • Nonoperating revenue includes revenue from activities that have the characteristics of non- exchange transactions, such as state appropriations, and certain federal, state, local and private gifts, and grants. The implication is that such revenues are derived from more passive efforts related to the acquisition of the revenue, rather than the earning of it.
Scholarship Discounts and Allowances - Student tuition and fee revenue, and certain other payments recorded as auxiliary enterprises revenue, are net of scholarship discounts and allowances in the statements of revenues, expenses, and changes in net assets. Scholarship discounts and allowances are the difference between the charge for tuition and fees, and the amount paid by students or by third parties on the students’ behalf. Scholarship discounts and allowances were $74,086,175 (of which $64,397,861 is netted against student tuition and fees and $9,688,314 is netted against auxiliary enterprises revenue) and $74,555,235 (of which $63,729,790 is netted against student tuition and fees and $10,825,445 is netted against auxiliary enterprises revenues) as of June 30, 2012 and 2011, respectively.
Auxiliary Enterprises - Auxiliary revenue is primarily from residence halls, dining services, intercollegiate athletics, airport operations, telephone and technology store operations, student union operations, parking services, and campus recreation. It is shown net of scholarship discounts and allowances for room and board.
Component Units - Under the provision of GASB Statement No. 39, Determining Whether Certain Organizations are Component Units, management has determined that Tech GROWTH Ohio Fund and University Medical Associates are component units of the University. Due to the insignificant amount of activity represented by these two organizations, their financial results have not been presented in the University’s financial statements. Should the operations of either of these entities become significant, the University will discretely present the entity in the financial statements of the applicable year.
Tech GROWTH Ohio Fund was established in August 2008, within the meaning of Section 501(c)(3) of the Internal Revenue Code of 1986, as amended. The exclusive purpose of the organization is for charitable, educational, and scientific endeavors in areas involving the advancement of technology, and increasing technology-based and/or other entrepreneurial commercialization ventures throughout southeast Ohio, with a focus on strategic technology based sectors that offer economic development prospects for the region.
25 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
University Medical Associates (the “Corporation”) is a not-for-profit organization incorporated in the state of Ohio and has been recognized as tax-exempt pursuant to Section 501(c)(3) of the Internal Revenue Code and applicable state statutes. The membership of the Corporation consists of many physicians who are faculty members of the Ohio University Heritage College of Osteopathic Medicine. The Corporation provides medical services furnished by the its membership in private physician offices and clinic settings on the campus of Ohio University and surrounding locations.
Eliminations - The University eliminates interfund assets and liabilities and revenue and expenses related to internal activities.
Use of Estimates - The preparation of financial statements in conformity with accounting principles generally accepted in the United States of America (GAAP) may require management to make estimates and assumptions that affect certain amounts reported in the financial statements. The estimates and assumptions are based on currently available information and actual results could differ from those estimates.
Newly Issued Accounting Pronouncements
• Service Concession Arrangements - In December 2010, the GASB issued Statement No. 60, Accounting and Financial Reporting for Service Concession Arrangements (SCA). An SCA is an agreement between a university and another legally separate university or private sector entity in which two things happen. First, the University transfers to the other entity the right and related obligation to provide public services through the use of a public asset (such as using a part of a university facility as a bookstore) in exchange for significant consideration from the other entity. In the context of these agreements, the university that transfers rights and obligations is referred to as the transferor. The entity to which these rights and obligations are transferred is referred to as the operator. Second, this operator - whether it is in the public or private sector - collects fees from the users or customers of the public asset (for example, students at the University). Finally, the transferor maintains control over the services provided. For example, the University has the ability to modify or approve the rates that can be charged for the services and the type of services that are provided.
26 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
For an SCA that involves an existing facility, the transferor should continue to report the capital asset. For a new facility or an improvement to an existing facility, the transferor should report the new facility or the improvement as a capital asset at fair value when the facility is placed in operation. The transferor should also report any related contractual obligations as liabilities. Finally, the transferor should report the difference between those two amounts as a deferred inflow of resources. This pronouncement must be applied for years that begin after December 15, 2011.
• Reporting Entity Standards - In December 2010, the GASB issued Statement No. 61, Financial Reporting Entity: Omnibus. This standard is intended to improve the information presented about the financial reporting entity, which is made up of the University’s financial reporting entity and related entities (component units). The statement modifies certain requirements for inclusion of component units in the financial reporting entity. For organizations that previously were required to be included as component units by meeting the fiscal dependency criteria, a financial benefit or burden relationship is also needed between the University and that organization for it to be included in the reporting entity as a component unit. The statement also modifies the criteria for reporting component units as if they were part of the University (i.e., blending). Blending should be used when the University and the component unit have a financial benefit or burden relationship, or management has operational responsibility for the component units. Additionally, for equity interests in legally separate organizations, the entity is required to report its interest as “restricted net assets - nonspendable.” This standard is effective for financial statements for reporting periods beginning after June 15, 2012; however, earlier application is encouraged.
During fiscal year 2013, Ohio University will use these new standards to determine if any changes are necessary to the presentation of discrete and blended component units.
• Private Sector Accounting Rules - In December 2010, the GASB issued Statement No. 62, Codification of Accounting and Financial Reporting Guidance Contained in Pre- November 30, 1989 FASB and AICPA Pronouncements. This changes the requirement for the University to apply any private sector accounting guidance that existed as of November 30, 1989 and instead incorporates all such guidance in this statement. The University will no longer have the ability to choose to continue to follow FASB statements written after that date, although such guidance still qualifies as “other accounting literature” in the GAAP hierarchy. This pronouncement must be applied for years that begin after December 15, 2011.
This is effective for fiscal year 2013, but Ohio University is already in adherence with this ruling.
27 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
• Deferred Inflows/Outflows and Net Position - In June 2011, the GASB issued Statement No. 63, Financial Reporting of Deferred Outflows of Resources, Deferred Inflows of Resources, and Net Position. This standard provides financial reporting guidance for deferred inflows and outflows of resources. Concepts Statement No. 4, Elements of Financial Statements, introduced and defined those elements as a consumption of net assets by the University that is applicable to a future reporting period, and an acquisition of net assets by the University that is applicable to a future reporting period, respectively. Previous financial reporting standards do not include guidance for reporting those financial statement elements, which are distinct from assets and liabilities. The standard also incorporates deferred outflows of resources and deferred inflows of resources into the definitions of the required components of the residual measure and by renaming that measure as net position, rather than net assets. The provisions for this standard are effective for financial statements for periods beginning after December 15, 2011.
For fiscal year 2013, Ohio University will use this new presentation standard. It will significantly change the appearance of the statement of net assets and the terminology used.
• Reporting for Pensions - In June 2012, the GASB issued GASB Statement No. 68, Accounting and Financial Reporting for Pensions. Statement No. 68 requires governments providing defined benefit pensions to recognize their unfunded pension benefit obligation as a liability for the first time, and to more comprehensively and comparably measure the annual costs of pension benefits. The statement also enhances accountability and transparency through revised note disclosures and required supplemental information (RSI). The total pension liability will be computed on a different basis than the current actuarial accrued liability and the method of allocating this liability to each participating employer has not yet been determined, so the precise impact is not known. The provisions of this statement are effective for financial statements for the year ending June 30, 2015.
The University is currently evaluating the impact this standard will have on the financial statements when adopted in fiscal year 2015.
28 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
Note 2 - Deposits with Financial Institutions, Cash and Cash Equivalents, and Investments
As of June 30, 2012, the carrying amount of the University’s cash and cash equivalents for all funds was $109,183,078 compared to bank balances of $115,847,277. At June 30, 2011, the carrying amount of the University’s cash and cash equivalents for all funds was $166,469,394. The difference in carrying amounts and bank balances is caused by outstanding checks and deposits-in-transit. At June 30, 2012, of the bank balances, $1,475,011 is covered by the Federal Deposit Insurance Corporation (FDIC) and $114,372,266 is uninsured but collateralized by pools of securities pledged by the depository banks and held in the name of the respective banks.
The University’s investment portfolio may include investments in the following:
• Obligations of the U.S. Treasury and other federal agencies and instrumentalities • Municipal and State bonds • Certificates of deposit • Repurchase agreements • Mutual funds • Commercial paper • Corporate bonds and notes • Common and preferred stock • Asset-backed securities • Absolute return funds • Private equity and venture capital • Real assets
The University’s endowment fund operates with a long-term investment goal of preserving the purchasing power of the principal in a diversified portfolio.
U.S. government and agency securities are invested through trust agreements with banks that keep the securities in their safekeeping accounts at the Federal Reserve Bank in “book entry” form. The banks internally designate the securities as owned by or pledged to the University. Common stocks, corporate bonds, money market instruments, mutual funds, and other investments are invested through trust agreements with banks that keep the investments in their safekeeping account in the appropriate custodial bank in “book entry” form. The banks internally designate the securities as owned by or pledged to the University.
29 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
The values of investments as of June 30, 2012 and 2011 are as follows:
Investment Type 2012 2011
Money markets $ 3,502,324 $ 4,522,053 U.S. government obligations 1,599,726 1,507,378 U.S. government agency obligations 4,557,946 4,672,563 Mortgage-backed securities 568,064 752,043 Corporate bonds and notes 2,862,999 2,512,511 Bond mutual funds 143,027,554 35,479,370 Municipal bonds 2,659,704 2,145,044 U.S. common stock 429,184 460,341 U.S. equity mutual funds 28,379,285 21,204,955 International equity mutual funds 31,336,106 21,134,198 Absolute return funds 14,734,163 14,975,300 Real assets 5,123,841 4,146,040 Private equity funds 9,112,677 12,563,458
Total $ 247,893,573 $ 126,075,254
The University’s investment strategy incorporates certain financial instruments that involve, to varying degrees, elements of market risk in excess of amounts recorded in the financial statements. Market risk is the potential for changes in the value of financial instruments due to market changes, including interest and foreign exchange rate movements and rate fluctuations embodied in forwards, futures, commodities, or security prices. Market risk is directly impacted by the volatility and liquidity of the markets in which the related underlying assets are traded.
Additional Disclosures Related to Interest-bearing Investments - GASB Statements No. 3 and 40 require certain additional disclosures related to the interest rate, credit, and foreign currency risks associated with interest-bearing investments.
Interest Rate Risk - Interest rate risk is the risk that changes in interest rates will adversely affect the fair value of an investment. Investments with interest rates that are fixed for longer periods are likely to be subject to more variability in their fair values as a result of future changes in interest rates.
30 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
As of June 30, 2012, maturities of the University’s interest-bearing investments are as follows:
Investment Maturities Less Than 1 to 5 6 to 10 More Than Investment Type Market Value 1 Year Years Years 10 Years Money markets $ 3,502,324 $ 3,502,324 $ - $ - $ - U.S. government obligations 1,599,726 341,947 1,257,779 - - U.S. government agency obligations 4,557,946 595,739 3,962,207 - - Mortgage-backed securities 568,064 - 105,613 191,453 270,998 Corporate bonds and notes 2,862,999 676,754 2,014,754 72,754 98,737 Bond mutual funds 143,027,554 4,259,210 6,167,036 131,975,119 626,189 Municipal bonds 2,659,704 100,043 2,398,656 161,005 - $ 158,778,317 $ 9,476,017 $ 15,906,045 $ 132,400,331 $ 995,924 Total
As of June 30, 2011, maturities of the University’s interest-bearing investments are as follows:
Investment Maturities Less Than 1 to 5 6 to 10 More Than Investment Type Market Value 1 Year Years Years 10 Years Money markets $ 4,522,053 $ 4,521,491 $ - $ - $ 562 U.S. government obligations 1,507,378 - 1,507,378 - - U.S. government agency obligations 4,672,563 143,525 4,485,584 - 43,454 Mortgage-backed securities 752,043 2,764 158,594 236,085 354,600 Corporate bonds and notes 2,512,511 12,026 2,328,677 171,808 - Bond mutual funds 35,479,370 13,591 30,317,482 5,077,402 70,895 Municipal bonds 2,145,044 151,271 1,993,773 - - $ 51,590,962 $ 4,844,668 $ 40,791,488 $ 5,485,295 $ 469,511 Total
Credit Risk - Credit risk is the risk that an issuer or other counterparty to an investment will not fulfill its obligations. The University’s risk of loss in the event of counterparty default is typically limited to the amounts recognized in the statement of net assets and is not represented by the contract or notional amounts of the instruments. Credit quality, as commonly expressed in terms of credit ratings issued by nationally recognized statistical rating organizations such as Moody’s Investors Service, Standard & Poor’s, or Fitch Ratings, provides a current depiction of potential variable cash flows and credit risk.
31 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
The credit ratings of the University’s interest-bearing investments as of June 30, 2012 are as follows: Credit Quality (S&P) Market Value AAA AA A BBB BB B Unrated
Money markets $ 3,502,324 -$ $ - -$ -$ -$ -$ $ 3,502,324 U.S. government obligations 1,599,726 - 1,599,726 - - - - - U.S. government agency obligations 4,557,946 - 4,557,946 - - - - - Mortgage-backed securities 568,064 - 568,064 - - - - - Corporate bonds and notes 2,862,999 - 1,671,272 1,023,207 168,520 - - - Bond mutual funds 143,027,554 4,251,770 127,419,082 243,641 230,791 4,301,441 - 6,580,829 Municipal bonds 2,659,704 - 1,475,414 210,254 - - - 974,036
Total $ 158,778,317 $ 4,251,770 $ 137,291,504 $ 1,477,102 $399,311 $4,301,441 $ - $ 11,057,189
The credit ratings of the University’s interest-bearing investments as of June 30, 2011 are as follows: Credit Quality (S&P) Market Value AAA AA A BBB BB B Unrated
Money markets $ 4,522,053 $ 25,000 $ - -$ -$ -$ $ - $ 4,497,053 U.S. government obligations 1,507,378 1,507,378 ------U.S. government agency obligations 4,672,563 4,570,479 - - - - - 102,084 Mortgage-backed securities 752,043 752,043 ------Corporate bonds and notes 2,512,511 - 1,358,500 1,070,014 83,997 - - - Bond mutual funds 35,479,370 4,574,449 22,986,672 309,480 22,215 241,913 322,786 7,021,855 Municipal bonds 2,145,044 - 1,357,268 204,544 - - - 583,232
Total $ 51,590,962 $ 11,429,349 $ 25,702,440 $ 1,584,038 $106,212 $ 241,913 $322,786 $ 12,204,224
Custodial Credit Risk - Custodial credit risk is the risk that, in the event of failure of the counterparty, the University will not be able to recover the value of its investment or collateral securities that are in possession of an outside party. As of June 30, 2012 and 2011, the University had no custodial credit risk.
Concentration of Credit Risk - Concentration of credit risk is the risk of loss attributed to the magnitude of a government’s investment in a single issuer. As of June 30, 2012 and 2011, there were no single-issuer investments that exceeded 5 percent of total investments.
Foreign Currency Risk - Foreign currency risk is the risk that changes in exchange rates will adversely affect the fair value of an investment or deposit. The University’s exposure to foreign currency is limited to its investment in international equity mutual funds. The value of this investment was $31.3 million and $21.1 million as of June 30, 2012 and 2011, respectively.
32 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
Valuation of Alternative Investments - Because financial data for many private investments is not available until several months after fiscal year end, some reported alternative investment valuations represent an estimate of the June 30, 2012 value, while the remaining valuations represent March 31, 2012 reported valuations that have been adjusted by cash added to and cash distributed from these accounts through June 30. Management considers information that becomes available after the financial statements are compiled but before they are released, to determine whether an adjustment to the reported fair value of investments should be made. At June 30, 2012 and 2011, there were $20.3 million and $24.0 million, respectively, in investment assets reported at the estimated values described above, and all are listed as either absolute return funds or private equity funds.
Note 3 - Accounts Receivable
The composition of accounts receivable at June 30, 2012 and 2011 is summarized as follows:
2012 2011
Student tuition and fees $ 52,239,875 $ 48,909,148 Grants and contracts 12,006,539 13,489,086 Student loans 11,442,736 2,916,118 Royalties 2,247,500 2,380,000 Other 5,260,880 4,879,426
Total accounts receivable 83,197,530 72,573,778
Less allowance for doubtful accounts (9,142,473) (8,477,220)
Accounts receivable - Net $ 74,055,057 $ 64,096,558
Note 4 - Notes Receivable
The University’s notes receivable at June 30, 2012 and 2011 is net of allowance for doubtful accounts of $2,088,227 and $2,102,686, respectively. Principal repayment and interest terms vary. Federal loan programs are funded primarily through borrower repayments, federal contributions under Perkins, and various Health Professions loan programs.
The University distributed $211,363,475 and $202,297,069 for student loans through the U.S. Department of Education Federal Direct Lending program during the years ended June 30, 2012 and 2011, respectively. These distributions and the related funding sources are included as cash disbursements and cash receipts in the accompanying statement of cash flows.
33 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
The composition of notes receivable at June 30, 2012 and 2011 is as follows:
2012 2011
Student loan program $ 14,160,464 $ 14,740,068 Heritage College of Osteopathic Medicine former students 877,950 876,226
Total notes receivable 15,038,414 15,616,294
Less allowance for doubtful accounts (2,088,227) (2,102,686)
Notes receivable - Net 12,950,187 13,513,608 Less current portion (1,979,745) (2,003,778)
Notes receivable - Net, noncurrent portion $ 10,970,442 $ 11,509,830
34 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
Note 5 - Capital Assets
Capital asset activity for the year ended June 30, 2012 was as follows:
Balance Balance July 1, 2011 Additions Transfers Retirements June 30, 2012 Capital assets not being depreciated: Land$ 19,830,864 $ 5,004,835 $ - $ - $ 24,835,699 Land improvements 4,701,091 - - - 4,701,091 Construction in progress 16,318,983 14,555,464 (9,619,945) (433,040) 20,821,462 Works of art and historical treasures 8,877,723 64,006 - (26,130) 8,915,599 Total capital assets not being depreciated 49,728,661 19,624,305 (9,619,945) (459,170) 59,273,851 Capital assets being depreciated: Infrastructure 111,091,537 2,082,190 423,407 - 113,597,134 Buildings 771,524,313 22,046,741 9,196,538 - 802,767,592 Machinery and equipment 132,259,694 7,117,281 - (12,029,146) 127,347,829 Library books and publications 75,558,411 1,364,950 - (1,971,450) 74,951,911 Transportation equipment 19,699,841 731,032 - (505,893) 19,924,980
Total capital assets being depreciated 1,110,133,796 33,342,194 9,619,945 (14,506,489) 1,138,589,446
Total capital assets 1,159,862,457 52,966,499 - (14,965,659) 1,197,863,297
Less accumulated depreciation: Infrastructure 53,899,944 4,670,862 - - 58,570,806 Buildings 311,866,384 17,922,644 - - 329,789,028 Machinery and equipment 86,779,993 8,304,836 - (11,894,475) 83,190,354 Library books and publications 64,014,361 2,579,769 - (1,971,450) 64,622,680 Transportation equipment 14,751,963 1,350,550 - (499,492) 15,603,021
Total accumulated depreciation 531,312,645 34,828,661 - (14,365,417) 551,775,889
Total capital assets being depreciated - net 578,821,151 (1,486,467) 9,619,945 (141,072) 586,813,557 Capital assets - net$ 628,549,812 $ 18,137,838 $ - $ (600,242) $ 646,087,408
35 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
Capital asset activity for the year ended June 30, 2011 was as follows:
Balance Balance July 1, 2010 Additions Transfers Retirements June 30, 2011 Capital assets not being depreciated: Land $ 19,777,052 $ 53,812 $ - $ - $ 19,830,864 Land improvements 4,701,091 - - - 4,701,091 Construction in progress 24,787,592 11,583,026 (20,051,635) - 16,318,983 Works of art and historical treasures 8,877,723 - - - 8,877,723 Total capital assets not being depreciated 58,143,458 11,636,838 (20,051,635) - 49,728,661 Capital assets being depreciated: Infrastructure 105,199,185 4,108,583 1,783,769 - 111,091,537 Buildings 749,021,063 13,248,501 9,254,749 - 771,524,313 Machinery and equipment 115,796,171 12,907,665 9,013,117 (5,457,259) 132,259,694 Library books and publications 76,569,073 1,636,472 - (2,647,134) 75,558,411 Transportation equipment 19,938,419 382,816 - (621,394) 19,699,841
Total capital assets being depreciated 1,066,523,911 32,284,037 20,051,635 (8,725,787) 1,110,133,796
Total capital assets 1,124,667,369 43,920,875 - (8,725,787) 1,159,862,457
Less accumulated depreciation: Infrastructure 49,077,608 4,822,336 - - 53,899,944 Buildings 294,401,252 17,465,132 - - 311,866,384 Machinery and equipment 83,463,152 8,213,617 - (4,896,776) 86,779,993 Library books and publications 64,341,856 2,319,639 - (2,647,134) 64,014,361 Transportation equipment 13,970,558 1,376,538 - (595,133) 14,751,963
Total accumulated depreciation 505,254,426 34,197,262 - (8,139,043) 531,312,645 Total capital assets being depreciated - net 561,269,485 (1,913,225) 20,051,635 (586,744) 578,821,151 Capital assets - net$ 619,412,943 $ 9,723,613 $ - $ (586,744) $ 628,549,812
36 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
Note 6 - Accounts Payable and Accrued Liabilities
Accounts payable and accrued liabilities at June 30, 2012 and 2011 consisted of the following:
2012 2011
Accrued payroll $ 18,412,448 $ 24,865,064 Accrued compensated absences - Current portion 612,624 484,873 Accrued self-insurance claims 3,362,000 3,375,000 Accrued royalties 2,247,500 2,287,500 Other accrued liabilities 1,378,300 824,117 Vendor and other payables 15,374,620 13,554,977
Total accounts payable and accrued liabilities$ 41,387,492 $ 45,391,531
Note 7 - Long-term Debt
The University’s long-term debt at June 30, 2012 is summarized as follows:
July 1, 2011 Additions Reductions June 30, 2012 Current
General receipts bonds - Series 2012$ - $ 76,470,000 $ - $ 76,470,000 $ - General receipts bonds - Series 2009 24,365,000 - 2,330,000 22,035,000 2,395,000 General receipts bonds - Series 2008A & B 9,160,000 - 240,000 8,920,000 255,000 Subordinated general receipts bonds - Series 2006B 24,820,000 - 1,195,000 23,625,000 1,235,000 Subordinated general receipts bonds - Series 2006A 23,205,000 - 1,250,000 21,955,000 1,300,000 Subordinated general receipts bonds - Series 2004 43,370,000 - 16,305,000 27,065,000 1,465,000 Subordinated general receipts bonds - Series 2003 22,800,000 - 18,420,000 4,380,000 2,130,000 Subordinated variable general receipts bonds - Series 2001 16,860,000 - 2,015,000 14,845,000 2,090,000
Total bonds and notes payable 164,580,000 76,470,000 41,755,000 199,295,000 10,870,000
Deferred charge on refunding - (3,119,160) (289,167) (2,829,993) (289,167) Bond premiums 4,910,532 6,435,348 1,893,428 9,452,452 810,091 Capital lease obligations 165,879 86,695 88,240 164,334 74,701
Total long-term debt$ 169,656,411 $ 79,872,883 $ 43,447,501 $ 206,081,793 $ 11,465,625
Note: Series 2001, Series 2003, Series 2004, Series 2006A, Series 2006B, and Series 2006C bonds were designated “subordinate” upon their issuance due to the existence of a prior trust agreement; that trust agreement has since been defeased and the aforementioned bonds are now parity debt service obligations.
37 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
The University’s long-term debt at June 30, 2011 is summarized as follows:
July 1, 2010 Additions Reductions June 30, 2011 Current General receipts bonds - Series 2009$ 26,645,000 $ - $ 2,280,000 $ 24,365,000 $ 2,330,000 General receipts bonds - Series 2008A & B 9,390,000 - 230,000 9,160,000 240,000 Subordinated general receipts bonds - Series 2006B 25,965,000 - 1,145,000 24,820,000 1,195,000 Subordinated general receipts bonds - Series 2006A 24,410,000 - 1,205,000 23,205,000 1,250,000 Subordinated general receipts bonds - Series 2004 44,700,000 - 1,330,000 43,370,000 1,395,000 Subordinated general receipts bonds - Series 2003 26,750,000 - 3,950,000 22,800,000 4,150,000 Subordinated variable general receipts bonds - Series 2001 18,915,000 - 2,055,000 16,860,000 2,015,000
Total bonds and notes payable 176,775,000 - 12,195,000 164,580,000 12,575,000
Bond premiums 5,453,857 - 543,325 4,910,532 - Capital lease obligations 252,086 - 86,207 165,879 82,567
Total long-term debt $ 182,480,943 $ - $ 12,824,532 $ 169,656,411 $ 12,657,567
Note: Series 2001, Series 2003, Series 2004, Series 2006A, Series 2006B, and Series 2006C bonds were designated “subordinate” upon their issuance due to the existence of a prior trust agreement; that trust agreement has since been defeased and the aforementioned bonds are now parity debt service obligations.
On February 29, 2012, the University issued General Receipts Bonds Series 2012 in the amount of $76,470,000. The proceeds are being used to develop an extension campus in Columbus, Ohio for a number of programmatic initiatives including the expansion of the Heritage College of Osteopathic Medicine, for renovations to multiple academic buildings, for infrastructure improvements including a chilled water expansion, and for additional upgrades to the University’s existing information technology network. Proceeds were also used to refund portions of the 2003 and 2004 Bonds as described below. The balance outstanding as of June 30, 2012 was $76,470,000.
On June 2, 2009, the University issued General Receipts Bonds Series 2009 in the amount of $26,645,000. The proceeds were used to purchase and implement a new student information system and to upgrade the University’s existing information technology network infrastructure. The balance outstanding as of June 30, 2012 was $22,035,000.
38 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
On July 10, 2008, the University issued General Receipts Bonds Series 2008A in the amount of $13,345,000 and Taxable General Receipts Bonds Series 2008B in the amount of $2,005,000. The proceeds were used to refund the General Receipts Bond Anticipation Notes and acquire a facility on the edge of the University’s campus. The balance outstanding as of June 30, 2012 was $8,920,000.
On April 6, 2006, the University issued $29,170,000 in Subordinated General Receipts Bonds, Series 2006B. The proceeds were used for various capital projects on the Athens campus. The balance outstanding as of June 30, 2012 was $23,625,000.
On February 16, 2006, the University issued $28,145,000 in Subordinated General Receipts Bonds, Series 2006A. The proceeds were used to refund the Series 1999 Bonds, as described below. The balance outstanding as of June 30, 2012 was $21,955,000.
On March 15, 2004, the University issued $52,885,000 in Subordinated General Receipts Bonds, Series 2004. The proceeds were used to refund the Series 2003B Notes, and for capital equipment and construction costs on various building projects. On February 29, 2012, the Series 2004 Bonds were partially refunded with $15,395,000 being incorporated into the Series 2012 Bonds. The balance outstanding as of June 30, 2012 was $27,065,000.
On September 3, 2003, the University issued $47,860,000 in Subordinated General Receipts Bonds, Series 2003. The proceeds were used to refund the Series 1993 Bonds and the Series 2003A Notes. On February 29, 2012, the Series 2003 Bonds were partially refunded with $14,465,000 being incorporated into the Series 2012 Bonds. The balance outstanding as of June 30, 2012 was $4,380,000.
On May 3, 2001, the University issued $48,025,000 in Subordinated Variable Rate General Receipts Bonds, Series 2001. The proceeds were for capital equipment and construction costs on various building projects. The balance outstanding as of June 30, 2012 was $14,845,000. The variable rate of interest in effect at June 30, 2012 was 2.0 percent. The average variable rate of interest for the year ended June 30, 2012 was 2.77 percent.
On March 15, 1999, the University issued $32,520,000 in General Receipts Bonds, Series 1999, with which to pay construction costs on various building projects. On February 16, 2006, the Series 1999 Bonds were refinanced and rolled into the Series 2006A Bonds.
These obligations are secured by a gross pledge of and first lien on the General Receipts of the University. The General Receipts include the full amount of every type and character of campus receipts, except for State appropriations and receipts previously pledged or otherwise restricted.
39 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
The University’s Bonds are secured by a Trust Agreement dated as of May 1, 2001 (“Master Trust Agreement”), as supplemented by a First Supplemental Trust Agreement dated as of May 1, 2001, a Second Supplemental Trust Agreement dated as of September 1, 2003, a Third Supplemental Trust Agreement dated as of October 1, 2003, a Fourth Supplemental Trust Agreement dated as of March 15, 2004, a Fifth Supplemental Trust Agreement dated as of February 1, 2006, a Sixth Supplemental Trust Agreement dated as of April 1, 2006, a Seventh Supplemental Trust Agreement dated as of July 1, 2008, an Eighth Supplemental Trust Agreement dated as of May 1, 2009, and a Ninth Supplemental Trust Agreement dated as of February 1, 2012 entered into in connection with the issuance of the Series 2012 Bonds, each between the University and U.S. Bank National Association. Details of the series are as follows:
Maturity Initial Issue Outstanding at Series Interest Rate Fiscal Year Amount June 30, 2012
2001 Variable 2027$ 48,025,000 $ 14,845,000 2003 5.00%-5.25% 2024 47,860,000 4,380,000 2004 2.00%-5.00% 2032 52,885,000 27,065,000 2006A 3.50%-5.00% 2025 28,145,000 21,955,000 2006B 3.75%-5.00% 2037 29,170,000 23,625,000 2008A&B 4.17%-5.00% 2034 15,350,000 8,920,000 2009 2.00%-5.00% 2020 26,645,000 22,035,000 2012 2.00%-5.00% 2043 76,470,000 76,470,000
$ 199,295,000
The University currently holds one interest rate swap which was entered into in an effort to hedge the interest rate risk associated with the issuance of the University’s Series 2001 variable- rate debt. Ultimately, the University expects that the creation of this synthetic fixed rate debt provides an interest rate that is lower than if fixed-rate debt were issued directly. The swap agreement is considered an effective hedge having met the consistent critical terms method of analysis. The fair value of the hedging derivative instrument at June 30, 2012 and June 30, 2011 was a negative $1,790,254 and a negative $1,537,427, respectively. This represents the maximum loss that would be recognized at the reporting date if all counterparties failed to perform as contracted. The University has not recorded the fair value of the derivative instrument on the statement of net assets in accordance with GASB Statement No. 53, Accounting and Financial Reporting for Derivative Instruments, as of June 30, 2012 and 2011 as management does not believe the value is significant to the financial statements. The total amounts paid relative to the swap agreement for the years ended June 30, 2012 and 2011 are $593,219 and $651,400, respectively. These amounts are included as an adjustment to interest on capital asset-related debt in the statement of revenues, expenses, and changes in net assets.
40 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
The fair value of the interest rate swap was estimated using the zero-coupon method. This method calculates the future net settlement payments required by the swap, assuming that the current forward rates implied by the yield curve correctly anticipate future spot interest rates. These payments are then discounted using spot rates implied by the current yield curve for hypothetical zero-coupon bonds due on the date of each future net settlement on the swaps.
Effective Notional Pay Receive Maturity Counterparty Date Type Objective Amount Terms Terms Date Credit Rating Cash flow hedge SIFMA Pay-fixed, for Series 2001 $14,420,000 4.039% swap 12/1/2001 Receive-variable bonds (amortizing) fixed index 12/1/2026 AA/Aa
The interest rate swap is subject to the following risks:
Credit risk The University is exposed to credit risk which is the risk associated with the inability of the counterparty to meet the terms of the agreement. The University has decided that this is a reasonable level of risk given the potential exposure and the relatively small notional amount as compared to its total outstanding debt.
The counterparty is rated AA/Aa for the years ended June 30, 2012 and 2011.
Interest-rate risk The University is exposed to interest rate risk on its interest rate swap; as the Securities Industry and Financial Markets Association (SIFMA) index decreases, the University’s net payment on the swap increases.
Basis risk The University is exposed to basis risk due to variable-rate payments received by the University on these instruments based on a rate or index other than interest rates the University pays on its variable-rate debt, which is remarketed every 30 days. The weighted-average interest rate on the University’s hedged variable-rate debt is 2.77 and 0.66 percent at June 30, 2012 and 2011, respectively, while the SIFMA swap index rate is 0.15 and 0.25 percent at June 30, 2012 and 2011, respectively.
Termination risk The University or its counterparties may terminate a derivative instrument if the other party fails to perform under the terms of the contract. Should the University’s indebtedness fail to be rated at least Baa2 (by Moody’s) or BBB (by S&P), such occasion would be considered a termination event and would require the University to pay an amount equivalent to the swap valuation at the time of the event.
41 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
Principal and interest payment requirements for the bonded debt for the years subsequent to June 30, 2012 are summarized as follows:
Years Ending Swap June 30 Principal Interest Interest Total
2013$ 10,870,000 $ 7,673,961 $ 510,446 $ 19,054,407 2014 12,965,000 7,280,883 420,885 20,666,768 2015 13,405,000 6,876,854 332,314 20,614,168 2016 13,480,000 6,491,430 240,749 20,212,179 2017 13,920,600 6,053,058 143,316 20,116,974 2018-2022 48,165,000 23,669,749 374,744 72,209,493 2023-2027 31,144,400 15,836,100 149,776 47,130,276 2028-2032 27,565,000 9,521,440 - 37,086,440 2033-2037 15,390,000 4,519,625 - 19,909,625 2038-2042 10,085,000 1,767,975 - 11,852,975 2043 2,305,000 53,925 - 2,358,925 Total$ 199,295,000 $ 89,745,000 $ 2,172,230 $ 291,212,230
The University has $164,334 in capital lease obligations that have varying maturity dates through fiscal year 2016 and carry implicit interest rates ranging from 3.9 to 14.6 percent. Lease arrangements are being used to provide partial financing for certain equipment. Capital asset balances as of June 30, 2012 that are financed under capital leases are $584,896.
The scheduled maturities of these leases at June 30, 2012 are as follows:
Minimum Years Ending Lease June 30 Payments 2013 $ 81,257 2014 49,145 2015 22,392 2016 22,974 Total minimum lease payments 175,768 Less amount representing interest 11,434
Net minimum capital lease payments 164,334 74,701 Less current portion Noncurrent capital lease obligations $ 89,633
42 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
Note 8 - Operating Leases
The University leases various facilities and equipment under operating lease agreements. These facilities and equipment are not recorded as assets on the statements of net assets. The total rental expense under these agreements was $1,438,664 and $1,424,097 for the years ended June 30, 2012 and 2011, respectively.
Future minimum payments for all significant operating leases with initial terms in excess of one year at June 30, 2012 are as follows:
Minimum Years Ending Lease June 30 Payments
2013 $ 875,006 2014 555,772 2015 394,875 2016 222,051 2017 137,757 2018-2020 323,480
Total minimum operating lease payments$ 2,508,941
43 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
Note 9 - Operating Expenses by Natural Classification
The University reports operating expenses by functional classification on the statements of revenues, expenses, and changes in net assets. Operating expenses by natural classification for the two years ended June 30, 2012 and 2011 are summarized as follows:
Year ended June 30, 2012 Compensation Supplies and Professional Travel and and Benefits Services Services Utilities Entertainment Total
Instruction and departmental research$ 196,004,920 $ 9,579,624 $ 20,327,667 $ 56,027 $ 5,455,998 $ 231,424,236 Separately budgeted research 22,358,801 6,817,071 10,944,267 6,682 2,390,146 42,516,967 Public service 16,232,518 7,651,321 2,603,368 137,221 510,545 27,134,973 Academic support 37,044,185 23,268,895 1,071,934 38,710 1,567,660 62,991,384 Student services 20,983,581 5,820,535 1,191,439 115,269 1,026,564 29,137,388 Institutional support 24,163,000 5,216,504 3,687,975 246,300 724,566 34,038,345 Operation and maintenance of plant 26,695,415 13,698,502 736,027 11,285,803 316,172 52,731,919 Auxiliary enterprises 31,387,122 29,666,889 848,959 2,817,263 3,824,943 68,545,176
Total$ 374,869,542 $ 101,719,341 $ 41,411,636 $ 14,703,275 $ 15,816,594 $ 548,520,388
Student Aid 10,575,082 Depreciation 34,828,661 Total Operating Expenses$ 593,924,131
Year ended June 30, 2011 Compensation Supplies and Professional Travel and and Benefits Services Services Utilities Entertainment Total
Instruction and departmental research$ 208,627,574 $ 5,648,111 $ 14,057,317 $ 58,961 $ 5,229,320 $ 233,621,283 Separately budgeted research 23,389,907 6,417,394 8,652,793 4,404 2,431,289 40,895,787 Public service 18,229,539 5,159,046 2,511,499 121,236 507,724 26,529,044 Academic support 40,398,995 20,003,563 910,603 30,290 1,444,021 62,787,472 Student services 26,113,077 287,438 879,676 99,423 861,398 28,241,012 Institutional support 22,204,886 1,863,855 2,737,002 234,923 680,837 27,721,503 Operation and maintenance of plant 30,179,516 9,585,067 655,846 11,931,163 242,149 52,593,741 Auxiliary enterprises 34,354,727 24,633,098 1,047,722 3,106,061 2,588,160 65,729,768
Total$ 403,498,221 $ 73,597,572 $ 31,452,458 $ 15,586,461 $ 13,984,898 $ 538,119,610
Student Aid 18,241,572 Depreciation 34,197,262 Total Operating Expenses$ 590,558,444
Note 10 - Compensated Absences
Per University policy, eligible salaried administrative appointments earn vacation at the rate of 22 days per year with a maximum accrual of 32 days. Upon termination, they are entitled to a payout of their accumulated balance. Hourly classified employees earn vacation at rates per years of service, ranging from 10 to 25 days per year. The maximum accrual is equal to the amount earned in three years, which is subject to payout upon termination. The estimated liability for accrued vacation at June 30, 2012 and 2011 was $10,157,735 and $9,847,991, respectively.
44 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
All University employees are entitled to a sick leave credit equal to 15 days per year (earned on a pro rata monthly basis for salaried employees and on a pro rata hourly basis for classified hourly employees). Salaried employees with 10 or more years of service are eligible to receive a payout upon retirement of up to 25 percent of unused days (maximum of 30 days). Hourly classified employees with 10 or more years of service are eligible for payout upon retirement of up to 50 percent of unused days (maximum of 60 days). The estimated liability for accrued sick leave at June 30, 2012 and 2011 was $4,997,596 and $4,887,440, respectively.
Compensated absences at June 30, 2012 and 2011 are summarized as follows:
Beginning Ending Current Balance Additions Reductions Balance Portion For the year ended: June 30, 2012$ 14,735,431 $ 19,788,441 $ (19,368,541) $ 15,155,331 $ 612,624
June 30, 2011$ 13,264,625 $ 22,098,410 $ (20,627,604) $ 14,735,431 $ 484,873
Note 11 - Retirement Plans
Employees of Ohio University are covered under one of three retirement plans, unless eligible for exemption as in the case of most student employees. The particular system in which an employee is eligible to enroll is dependent on their position with the University. Generally, faculty appointments are eligible for enrollment in a defined benefit plan, administered by the State Teachers Retirement System of Ohio (STRS Ohio), and all other employees are eligible for enrollment in a defined benefit plan, administered by the Ohio Public Employees Retirement System of Ohio (OPERS). In addition, full-time employees may opt out of the state retirement system and choose a defined contribution plan, also referred to as an Alternative Retirement Plan (ARP), with one of nine independent providers. STRS Ohio and OPERS also offer a defined contribution plan and a combined plan with features of both a defined contribution plan and a defined benefit plan. All options are discussed below in more detail.
Defined Benefit Plans - The defined benefit plans of STRS Ohio and OPERS are cost-sharing, multiple-employer public employee retirement plans. Both systems provide retirement and disability benefits, annual cost-of-living adjustments, survivor benefits, and postretirement health care. The authority to establish and amend benefits is provided by State statute. Both STRS Ohio and OPERS issue stand-alone financial reports. Interested parties may obtain a copy of the STRS Ohio report by making a written request to STRS Ohio, 275 East Broad Street, Columbus, Ohio 43215-3771, by calling toll free 888-227-7877, or by visiting the STRS Ohio website at www.strsoh.org. The OPERS report may be obtained by making a written request to OPERS, 277 East Town Street, Columbus, OH 43215-4642, or by calling 614-222-5601 or 800-222- 7377.
45 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
Defined Contribution Plans - The ARP is a defined contribution pension plan, under IRS Section 401(a), and established by Ohio Amended Substitute House Bill 586 (ORC 3305.02) on March 31, 1998, for public institutions of higher education. The University’s Board of Trustees adopted the University’s plan on April 18, 1998. Full-time employees are eligible to choose a provider, in lieu of STRS Ohio or OPERS, from the list of nine providers currently approved by the Ohio Department of Insurance and who hold agreements with the University. Employee and employer contributions equal to those required by STRS Ohio and OPERS are required for the ARP, less any amounts required to be remitted to the state retirement system in which the employee would otherwise have been enrolled.
Eligible employees have 120 days from their date of hire to make an irrevocable election to participate in the ARP. Under this plan, employees who would have otherwise been required to be in STRS Ohio or OPERS, and who elect to participate in the ARP, must contribute the employee’s share of retirement contributions to one of nine private providers approved by the Ohio Department of Insurance. The legislation mandates that the employer must contribute an amount to the state retirement system to which the employee would have otherwise belonged, based on an independent actuarial study commissioned by the Ohio Retirement Study Council and submitted to the Ohio Board of Regents. That amount is 3.5 percent for STRS Ohio and 0.77 percent for OPERS for the year ended June 30, 2012. The employer also contributes what would have been the employer’s contribution under STRS Ohio or OPERS, less the aforementioned percentages, to the private provider selected by the employee. The University plan provides these employees with immediate plan vesting.
The ARP does not provide disability benefits, survivor benefits, or postretirement health care. Benefits are entirely dependent on the sum of contributions and investment returns earned by each participant’s choice of investment options.
STRS Ohio and OPERS also offer a defined contribution plan and a combined plan with features of both a defined contribution plan and a defined benefit plan.
Retirement Plan Funding - The Ohio Revised Code provides statutory authority for employee and employer contributions to retirement systems. The employee and employer rates are the same for ARP employees as the retirement system under which they would otherwise be covered. However, for those who would otherwise be covered by STRS Ohio and who instead elect the ARP, 3.5 percent of the employer contribution goes to the STRS Ohio retirement system and 0.77 percent of the employer contribution goes to the OPERS systems as of August 1, 2007. The University’s contributions each year are equal to its required contributions.
46 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
Following are the employee and employer contribution rates in effect for fiscal year 2012:
Contribution Rates STRS Ohio OPERS ARP
Faculty: Employee: All year 10% 10% University: All year 14% 14% Staff: Employee: All year 10% 10% University: All year 14% 14% Law enforcement staff: Employee: July-Dec 2011 11.6% 11.6% Employee: Jan-June 2012 12.1% 12.1% University: All year 18.1% 18.1% University contributions for the current and two preceding years are summarized as follows: Employer Contributions STRS Ohio OPERS ARP
2012$ 11,680,349 $ 13,721,099 $ 9,333,834 2011 11,881,254 13,811,674 8,998,394 2010 11,632,635 13,875,159 8,793,766
The payroll for employees covered by OPERS and STRS Ohio for the year ended June 30, 2012 was $125,281,000 and $122,828,000, respectively. The payroll for employees covered by OPERS and STRS Ohio for the year ended June 30, 2011 was $125,242,000 and $122,553,000, respectively. For the years ended June 30, 2012 and 2011, the University’s total payroll was $285,431,000 and $278,727,000, respectively.
Other Postemployment Benefits (OPEB) - In addition to the pension benefits described above, Ohio Law provides that the University fund postretirement healthcare benefits to retirees and their dependents through employer contributions to OPERS and STRS Ohio. OPERS provides retirement, disability, and survivor benefits as well as postemployment healthcare coverage to qualifying members of its plans. A portion of each employer’s contribution to OPERS is set aside for funding of postretirement health care. The portion of employer contributions, for all employers, allocated to health care was 4.0 percent during calendar year 2011. The number of active contributing participants as of December 31, 2011 was 349,188.
47 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
STRS Ohio provides access to healthcare coverage to retirees who participated in the Defined Benefit or Combined Plans, and their dependents. Coverage under the current program includes hospitalization, physicians’ fees, prescription drugs, and partial reimbursement of monthly Medicare Part B premiums. Pursuant to the Ohio Revised Code (ORC), the State Teachers Retirement Board (the “Board”) has discretionary authority over how much, if any, of the healthcare costs will be absorbed by STRS Ohio. All benefit recipients pay a portion of the healthcare cost in the form of a monthly premium.
The ORC grants authority to STRS Ohio to provide healthcare coverage to eligible benefit recipients, spouses, and dependents. By Ohio law, healthcare benefits are not guaranteed and the cost of the coverage paid from STRS Ohio funds shall be included in the employer contribution rate, currently 14 percent of covered payroll.
The Board allocates employer contributions to the Health Care Stabilization Fund from which healthcare benefits are paid. For the fiscal years ended June 30, 2012 and 2011, the board- allocated employer contributions equal to 1.0 percent of covered payroll to postemployment health care. The balance in the Health Care Stabilization Fund was $2.96 billion on January 1, 2012, the date of the most recent information available from STRS Ohio.
For the fiscal year ended June 30, 2012, the date of the most recent information available from STRS, net healthcare costs paid by STRS Ohio were $604,000,000. There were 138,000 eligible benefit recipients.
Note 12 - Voluntary Termination Plan
On February 25, 2011, the University Board of Trustees approved a set of Early Retirement Incentive Plans (ERIP) and Voluntarily Employment Separation Plans (VESP). Bonuses for eligible employees in OPERS, STRS, or ARP ranged from $0 to $80,000, and a possible purchase of one year of service credit depending on the eligible plan and retirement date. An ERIP allows the University to purchase additional service credit, in this case, one year, which enables eligible employees to retire early or to retire with a larger retirement benefit than they may have otherwise. The ERIP period remained open until September 30, 2012.
The cost for employees who took advantage of the voluntary termination plans for the years ended June 30, 2012 and 2011 was $5,099,800 and $7,679,687, respectively, which included payments and accruals for sick and vacation payouts in accordance with standard policy, the incentive bonus, and the OPERS or STRS payment for additional service credit.
48 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
Note 13 - Risk Management and Contingencies
Legal - During the normal course of operations, the University has become a defendant in various legal and administrative actions. Liabilities are reported when it is probable that a loss has occurred and the amount of that loss can be reasonably estimated. However, in the opinion of in-house legal counsel and University management, the disposition of all pending litigation would not have a material adverse effect on the University’s financial position.
Self-Insurance - The University provides medical and dental coverage for its employees on a self-insurance basis. Expenses for claims are recorded on an accrual basis based on the date claims are incurred. The University applies GASB Statement No. 10, Accounting and Financial Reporting for Risk Financing and Related Insurance Issues.
Changes in the self-insurance claims liability for the three years ended June 30, 2012 are summarized as follows:
2012 2011 2010
Accrued claims liability - Beginning of year $ 3,375,000 $ 4,006,000 $ 3,644,000
Incurred claims - Net of favorable settlements 41,170,771 39,234,162 38,443,545 Claims paid (41,183,771) (39,865,162) (38,081,545)
Accrued claims liability - End of year$ 3,362,000 $ 3,375,000 $ 4,006,000
Liability for claims is accrued based on estimates of the claims liabilities made by the University’s third-party actuary. These estimates are based on past experience and current claims outstanding. Actual claims experience may differ from the estimate.
49 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
Commercial Insurance Coverage - The University has the following commercial insurance policies:
Type Deductible Coverage
Aircraft Liability (Flight Training) $ - $ 5,000,000 Aircraft Liability (Corporate) - 50,000,000 Airport Liability 10,000 10,000,000 General and Auto Liability 100,000 50,000,000 Educator's Liability 100,000 30,000,000 Medical Malpractice Liability 25,000 1,000,000 Foreign Liability - 1,000,000 Crime 100,000 5,000,000 Property ($900 million shared with other Inter-University Council Insurance Consortium members) 100,000 1,000,000,000
Workers’ Compensation Coverage - The University participates in a plan that pays workers’ compensation benefits to employees who have been injured on the job. The Ohio Bureau of Workers’ Compensation calculates the estimated amount of cash needed in the subsequent fiscal year to pay the claims for these workers and sets rates to collect this estimated amount from participating state agencies and universities in the subsequent year.
Note 14 - Capital Project Commitments
At June 30, 2012, the University is committed to future capital expenditures as follows:
Contractual commitments $ 34,741,790 Estimated completion costs of projects 50,259,323
Total $ 85,001,113
These projects will be funded by: State appropriations $ 8,734,497 University funds (including bond funds) 72,548,805 Gifts, grants, and other 3,717,811
Total $ 85,001,113
50 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
Note 15 - Other Noncurrent Liabilities
Refundable Advances for Federal Student Loans - Refundable advances for federal student loans for the two years ended June 30, 2012 are summarized as follows:
Beginning Ending Current Balance Reductions Balance Portion
For the year ended: June 30, 2012 $ 8,230,936 $ (699,534) $ 7,531,402 $ -
June 30, 2011$ 8,317,693 $ (86,757) $ 8,230,936 $ -
Note 16 - Pollution Remediation GASB Statement No. 49, Accounting and Financial Reporting for Pollution Remediation, requires the University to account for pollution (including contamination) remediation obligations.
Future expected payments for pollution remediation activities include legal obligations due to commencing purchase orders for asbestos removal. This liability is measured at the cost of the construction contract including consultants and the amount assumes no unexpected change orders.
Pollution remediation obligations continued to include expected payments imposed by the Ohio Environmental Protection Agency (OEPA). The violation of OAC Rule 3745-27-13(A) and ORC Rule 3734.02 (H) lists the University as responsible for the methane gas level monitoring of a disposal site on the University's Southern Campus. The University's monitoring on this site in fiscal year 2009 was estimated at 40 years. The liability is accrued based on reasonably expected potential outlays for performing this monitoring. The current value of expected cash flows method was used to measure the estimated liability using the prior year expenditures as an estimate of future annual obligations.
51 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
Future expected payments for all significant pollution remediation activities include: Years Ending Minimum June 30 Payments
2013 $ 469,470 2014 61,604 2015 61,604 2016 61,604 2017 61,604 2018-2049 1,971,328
Total minimum payments $ 2,687,214
These amounts are included in the current portion of accounts payable and accrued liabilities, as well as in other long-term liabilities on the statements of net assets.
Note 17 - Donor-restricted Endowments
Under the standard established by Section 1715.56 of the Ohio Revised Code, an institution may appropriate as much as is prudent of the realized and unrealized net appreciation of the fair value of the assets of the endowment fund over the historic dollar value of the fund for the uses and purposes for which an endowment fund is established. The University’s endowment spending policy is based on the concept of total return and the spending rate for fiscal year 2012 was 5 percent, which included a 1 percent administrative fee, the same as for fiscal year 2011. The amounts of net appreciation on investments of donor-restricted endowments that are available for authorization for expenditure by the Board were $10,497,664 and $11,154,804 for June 30, 2012 and 2011, respectively. Those amounts are reported as restricted expendable net assets.
52 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
Note 18 - Net Assets
Restricted and unrestricted net assets for the years ended June 30, 2012 and 2011 are as follows:
2012 2011 Restricted - nonexpendable: Permanent endowments $ 19,039,643 $ 19,577,377
Restricted - expendable: Sponsored programs 7,600,749 8,367,890 Loans 9,266,476 9,080,801 Bond funded capital projects - net and debt service funds 10,375,120 5,120,310 Net income and appreciation on endowments 10,497,664 11,154,804
Total restricted - expendable$ 37,740,009 $ 33,723,805
Unrestricted: Allocated $ 260,160,005 $ 216,584,990 Unallocated - 2,480,361 Total unrestricted $ 260,160,005 $ 219,065,351
Restricted net assets are subject to external restrictions and are categorized as either nonexpendable or expendable. Restricted nonexpendable net assets consist entirely of endowments whose corpus is held in perpetuity. Restricted expendable net assets are made up of the categories above.
Unrestricted net assets are not subject to external restrictions; however, the majority of the University’s unrestricted net assets have been internally designated for specific purposes or for contractual purchase obligations. This category includes amounts set aside for auxiliaries, academic and research programs, reserves, and capital projects.
Note 19 - Subsequent Event
On July 29, 2012, the University received $28.6 million in financing to implement a comprehensive energy efficiency and conservation overhaul of 72 buildings at its Athens campus. The loan package performed in conjunction with the Ohio Air Quality Development Authority (OAQDA) was the result of two Air Quality Development Bonds including Series A federally tax-exempt bonds and Series B Qualified Energy Conservation Bond (QECB) federal tax credit bonds. OAQDA administers the QECB program on behalf of the State of Ohio. The project will result in annual energy savings of approximately $1.9 million, which will be used to fund the cost of the improvements over the project’s 15-year term.
53 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
Note 20 - The Ohio University Foundation
The Ohio University Foundation (the “Foundation”) was incorporated in Ohio in October 1945 to support the educational undertakings of Ohio University (the “University”). The Foundation is authorized to solicit and receive gifts and contributions for the benefit of the University and to ensure that funds and property received are applied to the uses specified by the donor.
The Foundation’s wholly owned subsidiary, Inn-Ohio of Athens, Inc. (the “Inn”), owns and operates a 139-room hotel and restaurant facility in Athens, Ohio known as The Ohio University Inn.
Another controlled entity, Housing for Ohio, Inc. (Housing), constructed and operates a 182- unit student housing facility in Athens, Ohio. It has been granted tax-exempt status under Section 501(a)(3) of the Internal Revenue Code (the “Code”) as an organization described in Section 501(c)(3).
The Foundation entered into an agreement with the Sugar Bush Foundation (Sugar Bush), an Ohio not-for-profit corporation, in August 2005. Sugar Bush is a supporting organization as defined in Code Section 509(a)(3) and the Foundation is its primary supported organization receiving 51 percent of its charitable distributions. This agreement was further amended in August 2007 with Sugar Bush pledging to commit all of its charitable distributions to the Foundation. Upon dissolution of Sugar Bush and payment of all Sugar Bush liabilities, all of its assets shall be transferred to the Foundation, provided the Foundation is then recognized as a nonprofit Ohio corporation and as a tax-exempt organization under Section 501(c)(3) of the Code. The Foundation consolidates this supporting organization that is deemed to be financially interrelated.
During 2009, the Foundation created three limited liability companies to receive property distributions from The Dolores H. Russ Trust for the benefit of the Russ College of Engineering. The three limited liability companies are the Fritz J. and Dolores H. Russ Holdings LLC, Russ North Valley Road LLC, and Russ Research Center LLC (collectively referred to as the “Russ LLCs”). The limited liability companies are treated as disregarded entities for federal income tax purposes. The Foundation is the sole member of Fritz J. and Dolores H. Russ Holdings LLC. Fritz J. and Dolores H. Russ Holdings LLC is the sole member of Russ North Valley Road LLC and Russ Research Center LLC.
54 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
Summary of Significant Accounting Policies
Basis of Accounting - The consolidated financial statements of the Foundation have been prepared on the accrual basis of accounting. The accompanying consolidated financial statements present the financial position and results of activities of the Foundation and its wholly owned subsidiary and other related entities - the Inn, Housing, one supporting organization, and three limited liability companies. All intercompany transactions have been eliminated.
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 disclosures of contingent assets and liabilities at the date of the consolidated financial statements and the reported amount of revenue and expenses during the reporting period. Actual results could differ from those estimates.
Concentration of Credit Risk - Financial instruments, which potentially subject the Foundation to a concentration of credit risk, consist principally of pledges receivable, investments for the Foundation, and receivables related to operations of the Inn and Russ Research Center. Exposure to losses on pledges receivable is principally dependent on each donor’s financial condition. The Foundation monitors the exposure for credit losses and maintains allowances for anticipated losses on receivables.
Investments are recorded at fair value. Investment securities are exposed to various risks, such as interest rate, market, and credit risks. Due to the level of risk associated with certain investment securities, it is at least possible that changes in the value of investment securities will occur in the near term and that such changes could significantly affect the Foundation’s consolidated statements of financial position and activities.
The management companies that operate the Inn and the Russ Research Center are responsible for collection of receivables. Each entity provides a reserve for any estimated uncollectible balances, as appropriate.
Gifts and Contributions - Contributions are recorded at their fair value on the date of receipt. All contributions are considered to be available for unrestricted use unless specifically restricted by the donor. Contributions received that are designated for future periods or restricted by the donor for specific purposes are reported as temporarily restricted or permanently restricted support that increases those net asset categories. When a donor restriction expires (when a stipulated time restriction ends or the purpose of restriction is accomplished), temporarily restricted net assets are reclassified as unrestricted net assets and reported in the consolidated statements of activities as net assets released from restrictions.
55 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
Contributed property is recorded at fair value at the date of donation. If donors stipulate how long the assets must be used or restrict the use of such assets for a specific purpose, the contributions are recorded as restricted support. In the absence of such stipulations, contributions of property are recorded as unrestricted support.
Contributions of charitable gift annuities are reduced by the actuarially determined liability resulting from acceptance of the gift. Contributions are held in charitable trusts at the present value of their estimated future benefits to be received when the trust assets are distributed upon notification of the donor’s death. Pledges Receivable - Unconditional promises to give that are expected to be collected within one year are recorded at net realizable value. Unconditional promises to give that are expected to be collected in future years are recorded at the present value of their estimated future cash flows. The discount on those amounts is computed using an assumed inflation rate. The discount rate utilized was 4.99 and 5.01 percent for the years ended June 30, 2012 and 2011, respectively. Amortization of the discounts is included in contribution revenue. Unconditional promises to give, which are silent as to the due date, are presumed to be time restricted by the donor until received and are reported as temporarily restricted net assets. Conditional promises to give are not included as support until the conditions on which they depend are substantially met. Intentions - The Foundation receives communications from donors indicating that the Foundation has been included in the donor’s will or life insurance policy as beneficiary, representing intentions to give rather than promises to give. Such communications are not unconditional promises to give because the donors retain the ability to modify their wills and insurance policies during their lifetimes. The total realizable value of these intended gifts has not been established, nor have the intended gifts been recognized as an asset or contribution revenue. Such gifts are recorded when the Foundation is notified of the donor’s death, the will is declared valid by a probate court, and the proceeds are measurable. Cash Surrender Value of Insurance Policies - The Foundation records as an asset the cash surrender value of insurance policies for which it is the owner and beneficiary. Investments - Investments in securities are recorded at fair value based on quoted market values, with changes in market value during the year reflected in the consolidated statements of activities. Purchases and sales of investments are accounted for as of the trade date.
56 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
Income from Investments - All investment income in the form of interest and dividends is credited to unrestricted net assets unless otherwise designated by the donor. All capital appreciation/depreciation earned on permanently restricted, temporarily restricted, and unrestricted investments is credited to unrestricted net assets unless otherwise restricted by the donor.
Property and Equipment - Property and equipment are recorded at the estimated fair value, if received as a gift, or at the purchase cost, plus any expenditures for improvements.
Depreciation of buildings is recorded over periods ranging from 20 to 40 years using the straight-line method. Depreciation and amortization of other property, equipment, and improvements are recorded over periods ranging from 3 to 15 years using the straight-line method.
Annually, or more frequently if events or circumstances change, a determination is made by management to ascertain whether property and equipment and intangibles have been impaired based on the sum of expected future undiscounted cash flows from operating activities. If the estimated net cash flows are less than the carrying amount of such assets, the Foundation will recognize an impairment loss in an amount necessary to write down the assets to a fair value as determined from expected future discounted cash flows. Based upon its most recent analysis, the Foundation has determined that no impairment to the carrying value of its long-lived assets existed at June 30, 2012 and 2011.
Cash - At times, cash may exceed federally insured amounts. The Foundation believes it mitigates risks by depositing cash with major financial institutions. At June 30, 2012, the Foundation held $17,577,806 in cash that was uninsured by the Federal Deposit Insurance Corporation (FDIC).
Cash Equivalents - The Foundation considers all highly liquid investments purchased with original maturities of three months or less to be cash equivalents.
Restricted Cash - Restricted cash represents cash that, under terms of the bond issue trust indenture agreement (the “Trust Indenture”) (related to Housing for Ohio, Inc.), is restricted for various purposes. In accordance with the terms of the Trust Indenture and related agreements, the proceeds from the bonds not used to construct the student housing facility and certain equipment and improvements were deposited with the trustee. The Foundation is also required to deposit all revenue directly into a designated revenue fund. The trustee is then authorized, without further direction from the Foundation, to transfer funds out of the revenue fund to other funds as outlined in the Trust Indenture.
57 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
Functional Allocation of Expenses - The costs of providing the various programs and support services have been summarized on a functional basis in the consolidated statements of activities. Certain costs have been allocated among the programs and support services benefited. Although methods of allocation used are considered appropriate, other methods could be used that would produce different amounts.
Income Taxes - The Internal Revenue Service has determined that the Foundation is an exempt organization under Section 501(c)(3) of the Internal Revenue Code, except for taxes on unrelated income. The provision for income taxes for the Inn, including deferred tax (recovery) expenses, totaled $127,924 and ($58,638) for the years ended June 30, 2012 and 2011, respectively.
Accounting principles generally accepted in the United States of America require management to evaluate tax positions taken by the Foundation and to recognize a tax liability if the Foundation has taken an uncertain position that more likely than not would not be sustained upon examination by the IRS or other applicable taxing authorities. Management has analyzed the tax positions taken by the Foundation and has concluded that as of June 30, 2012 and 2011, there are no uncertain positions taken or expected to be taken that would require recognition of a liability or disclosure in the financial statements. The Foundation is subject to routine audits by taxing jurisdictions; however, there are currently no audits for any tax periods in progress. Management believes that it is no longer subject to income tax examinations for years prior to June 30, 2009.
Fair Value of Financial Instruments - The carrying values of the Foundation’s financial instruments in the accompanying consolidated statements of financial position approximate their respective estimated fair value at June 30, 2012 and 2011.
The Foundation has estimated the fair values of its financial instruments using available quoted market information and other valuation methodologies. Accordingly, the estimates presented are not necessarily indicative of the amounts that the Foundation could realize in a current market exchange. Determinations of fair value are based on subjective data and significant judgment relating to timing of payments and collections and the amounts to be realized. Different market assumptions and/or estimation methodologies might have a material effect on the estimated fair value amounts.
58 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
The fair values of short-term financial instruments, including cash equivalents and trade accounts receivable and payable, approximate the carrying amounts in the accompanying consolidated financial statements due to the short maturity of such instruments. The fair value of long-term obligations approximates the carrying amounts in the accompanying consolidated financial statements. The carrying value of the debt approximates fair value based on current borrowing rates.
Advertising Costs - Advertising costs of the Inn are included in marketing expenses and are expensed as incurred.
Net Assets
Unrestricted Net Assets - The unrestricted net assets consist of operating funds available for any purpose authorized by the board of trustees.
Unrestricted net assets as of June 30, 2012 and 2011 are available for the following purposes:
Restated 2012 2011 Designated: Board-designated quasi-endowments$ - $ 12,374,420 Board-designated 1804 grants 183,284 678,109 Designated underwater accounts (290,619) (205,666) Subtotal designated (107,335) 12,846,863 Undesignated: The Inn 3,358,564 3,138,383 Housing (1,555,888) (2,045,872) Other (5,407,336) (17,326,242) Subtotal undesignated (3,604,660) (16,233,731) Total unrestricted net assets$ (3,711,995) $ (3,386,868)
Temporarily Restricted Net Assets - Temporarily restricted net assets consist of funds that are restricted for a specific use or time determined by the donor. Temporarily restricted net assets are reclassified to unrestricted net assets and reported in the consolidated statements of activities as net assets released from restrictions when the restrictions are satisfied either by the passage of time or by actions of the Foundation. However, if a restriction is fulfilled in the same time period in which the contribution is received, the Foundation reports the support as unrestricted.
59 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
Temporarily restricted net assets as of June 30, 2012 and 2011 are available for the following purposes: Restated 2012 2011
Academic support $ 12,077,219 $ 12,087,116 Alumni relations 445,761 472,988 Fundraising and development 789,485 983,120 Institutional support 16,876,518 16,206,157 Instruction and departmental research 177,598,567 155,243,792 Intercollegiate athletics 1,923,578 1,734,286 Operation and maintenance of plant - 395,071 Public service 623,143 533,805 Research 1,835,790 1,444,152 Student aid 44,008,337 44,289,007 Student services 1,448,006 1,659,947
Total $ 257,626,404 $ 235,049,441
Permanently Restricted Net Assets - Permanently restricted net assets consist of funds arising from a gift or bequest in which the donor has stipulated, as a condition of the gift, that the principal be maintained in perpetuity and only the investment income from investment of the funds be expended. Certain donor endowments also specify that a portion of the earnings from the investment be reinvested as principal, or that all income earned over a period of time be reinvested. Amounts are also transferred for specific uses as authorized from time to time by the donor. Earnings, gains, and losses on restricted net assets are classified as unrestricted unless otherwise restricted by the donor or by applicable state laws.
60 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
Permanently restricted net assets as of June 30, 2012 and 2011 are available for the following purposes: Restated 2012 2011
Academic support $ 9,570,274 $ 7,148,037 Alumni relations 405,091 459,028 Fundraising and development 306,856 362,463 Institutional support 4,405,321 4,548,254 Instruction and departmental research 70,095,672 67,450,839 Intercollegiate athletics 1,623,669 1,606,963 Public service 367,518 584,306 Research 3,126,589 612,969 Student aid 70,893,957 68,496,244 Student services 2,658,784 2,652,014
Total $ 163,453,731 $ 153,921,117
Pledges Receivable
Amounts included in pledges receivable for unconditional promises to give at June 30, 2012 and 2011 are as follows: Temporarily Permanently At June 30, 2012 Restricted Restricted Total Gross amounts due in: Less than one year$ 4,500,808 4,007,597$ $ 8,508,405 One to five years 5,524,406 8,939,497 14,463,903 More than five years 283,900 2,000 285,900 Gross pledges receivable 10,309,114 12,949,094 23,258,208 Less allowance for uncollectible pledges (2,172,850) (2,689,823) (4,862,673) Less discount to present value (489,495) (1,058,789) (1,548,284) Total pledges receivable - Net$ 7,646,769 $ 9,200,482 $ 16,847,251
61 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
Temporarily Permanently At June 30, 2011 Restricted Restricted Total Gross amounts due in: Less than one year$ 3,413,954 $ 4,334,303 $ 7,748,257 One to five years 5,141,954 7,624,761 12,766,715 More than five years 376,695 401,638 778,333 Gross pledges receivable 8,932,603 12,360,702 21,293,305 Less allowance for uncollectible pledges (2,038,025) (2,820,165) (4,858,190) Less discount to present value (402,935) (987,411) (1,390,346) Total pledges receivable - Net$ 6,491,643 $ 8,553,126 $ 15,044,769
As of June 30, 2012, the Foundation has approximately $47 million in numerous outstanding pledges which are considered to be intentions to give and are contingent upon future events. These pledges are not accrued as pledges receivable or recognized as revenue because they do not represent unconditional promises to give. It is not practicable to estimate the ultimate realizable value of these commitments or the period over which they might be collected.
Fair Value Measurements
The Foundation’s investments include endowed funds, as well as a portion of working capital funds. The Foundation’s investment policy provides that the long-term objective of the investment pool is to maximize the real return, or the nominal return less inflation, of the assets over a complete market cycle with emphasis on preserving capital and reducing volatility through prudent diversification. Further, the investment strategy seeks to provide real growth of assets in excess of endowment spending requirements plus inflation. The asset allocation of the Foundation’s investments at June 30, 2012 and 2011 is summarized in the following table:
62 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
Fair Value and Cost of Investments at June 30, 2012 and 2011
June 30, 2012 June 30, 2011 Fair Value Cost Fair Value Cost Fixed-income investments: Money market mutual funds$ 10,791,592 $ 10,791,592 $ 13,894,663 $ 13,894,663 Bonds and bond mutual funds 38,863,601 36,865,330 25,647,394 24,410,003 TIPS mutual funds 12,989,052 11,603,588 15,426,278 14,654,431 Subtotal fixed income 62,644,245 59,260,510 54,968,335 52,959,097 Public equity investments: Domestic large-cap equity 89,717,278 77,566,333 69,571,362 59,354,765 Domestic small-cap equity 8,349,008 8,512,989 6,168,429 6,444,861 REITs 713,090 732,708 3,352,514 2,730,131 Developed international equity 80,095,680 80,000,605 56,569,956 48,231,766 Emerging markets international equity 25,576,463 19,404,091 14,700,262 7,467,338 Global equity - - 612,958 731,670 Subtotal public equity 204,451,519 186,216,726 150,975,481 124,960,531 Alternative investments: Commodities 17,102,473 20,183,777 10,968,983 12,316,733 Absolute return funds 49,180,019 52,407,230 50,500,753 50,660,956 Private equity funds 17,146,101 16,409,797 28,954,097 23,375,185 Private real estate funds 11,474,746 10,046,623 10,705,252 9,194,869 Venture capital funds 4,558,405 3,636,558 3,434,857 3,993,435 Direct private equity investments - - 17,805,171 12,119,277 Subtotal alternative investments 99,461,744 102,683,985 122,369,113 111,660,455 Total investments $ 366,557,508 $ 348,161,221 $ 328,312,929 $ 289,580,083
The Foundation reports investments and split-interest agreements at estimated fair value, in accordance with the fair value hierarchy prescribed by Financial Accounting Standards Board Accounting Standards Codification (ASC) 820, Fair Value Measurements and Disclosures (formerly SFAS 157). The framework for determining fair value is based on a hierarchy that prioritizes the valuation techniques and inputs used to measure fair value, as follows:
Level 1 - Inputs that reflect unadjusted quoted prices in active markets for identical assets or liabilities that the Foundation has the ability to access. The Foundation’s Level 1 assets consist primarily of fixed-income or equity mutual funds, publicly traded large- and small-cap stocks, and REITs. Prices for these investments are widely available through major financial reporting services.
63 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
Level 2 - Inputs other than quoted prices that are observable, either directly or indirectly. These may include quoted prices for similar assets and liabilities in active markets, and other inputs such as interest rates and yield curves that are observable at commonly quoted intervals. The Foundation’s Level 2 assets include government and corporate bonds, as well as commingled money market, bond, and equity funds that are not registered with the Securities and Exchange Commission and do not trade on an exchange.
Level 3 - Inputs that are unobservable, including inputs that are available in situations where there is little, if any, market activity for the related asset or liability. The Foundation’s Level 3 assets include allocations to commodities, absolute return funds, private equity, private real estate, and venture capital funds. The Foundation’s Level 3 assets also include split-interest agreements that are valued using an actuarial approach.
In instances where inputs used to measure fair value fall into different levels in the above fair value hierarchy, fair value measurements in their entirety are categorized based on the least observable input that is significant to the valuation. The Foundation’s assessment of the significance of particular inputs to these fair value measurements requires judgment and considers factors specific to each asset or liability. The Foundation’s fair value assets and liabilities, by level, at June 30, 2012 and 2011 are summarized in the following tables:
64 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
Assets and Liabilities Measured at Fair Value on the Recurring Basis at June 30, 2012
Fair Value at Reporting Date Using Quoted Prices Significant in Active Other Significant Markets for Observable Unobservable Identical Assets Inputs Inputs June 30, 2012 (Level 1) (Level 2) (Level 3) Investments Fixed-income investments: Money market mutual funds$ 10,791,592 $ 4,708 $ 10,786,884 $ - Bonds and bond mutual funds 38,863,601 36,239,278 2,624,323 - TIPS mutual funds 12,989,052 12,989,052 - - Subtotal fixed income 62,644,245 49,233,038 13,411,207 - Public equity investments: Domestic large-cap equity 89,717,278 89,717,278 - - Domestic small-cap equity 8,349,008 8,349,008 - - REITs 713,090 713,090 - - Developed international equity 80,095,680 80,095,680 - - Emerging markets international equity 25,576,463 14,355,834 11,220,629 - Subtotal public equity 204,451,519 193,230,890 11,220,629 - Alternative investments: Commodities (1) 17,102,473 7,597,814 - 9,504,659 Absolute return funds (2) 49,180,019 - - 49,180,019 Private equity funds (3) 17,146,101 - - 17,146,101 Private real estate funds (4) 11,474,746 - - 11,474,746 Venture capital funds (5) 4,558,405 - - 4,558,405 Subtotal alternative investments 99,461,744 7,597,814 - 91,863,930 Total investments$ 366,557,508 $ 250,061,742 $ 24,631,836 $ 91,863,930
Split-interest Agreements Charitable gift annuities $ 2,426,539 $ 2,058,182 $ 368,357 $ - Charitable trusts (6) 16,707,079 15,626,806 292,921 787,352 Total split-interest agreements $ 19,133,618 $ 17,684,988 $ 661,278 $ 787,352
Total fair value measurements $ 385,691,126 $ 267,746,730 $ 25,293,114 $ 92,651,282
65 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
Assets and Liabilities Measured at Fair Value on the Recurring Basis at June 30, 2011
Fair Value at Reporting Date Using Quoted Prices Significant in Active Other Significant Markets for Observable Unobservable Identical Assets Inputs Inputs June 30, 2011 (Level 1) (Level 2) (Level 3) Investments Fixed-income investments: Money market mutual funds$ 13,894,663 $ 428,461 $ 13,466,202 $ - Bonds and bond mutual funds (7) 25,647,394 23,223,938 2,248,456 175,000 TIPS mutual funds 15,426,278 15,426,278 - - Subtotal fixed income 54,968,335 39,078,677 15,714,658 175,000 Public equity investments: Domestic large-cap equity 69,571,362 69,571,362 - - Domestic small-cap equity 6,168,429 6,168,429 - - REITs 3,352,514 3,352,514 Developed international equity 56,569,956 56,569,956 - - Emerging markets international equity 14,700,262 3,066,849 11,633,413 - Global equity 612,958 612,958 - - Subtotal public equity 150,975,481 139,342,068 11,633,413 - Alternative investments: Commodities (1) 10,968,983 - - 10,968,983 Absolute return funds (2) 50,500,753 - - 50,500,753 Private equity funds (3) 28,954,097 - - 28,954,097 Private real estate funds (4) 10,705,252 - - 10,705,252 Venture capital funds (5) 3,434,857 - - 3,434,857 Direct private equity investments (8) 17,805,171 - - 17,805,171 Subtotal alternative investments 122,369,113 - - 122,369,113
Total investments$ 328,312,929 $ 178,420,745 $ 27,348,071 $ 122,544,113
Split-Interest Agreements Charitable gift annuities $ 2,475,238 $ 2,116,345 $ 358,893 $ - Charitable trusts (6) 17,022,926 15,696,253 621,088 705,585 Total split-interest agreements $ 19,498,164 $ 17,812,598 $ 979,981 $ 705,585
Total fair value measurements$ 347,811,093 $ 196,233,343 $ 28,328,052 $ 123,249,698
66 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
Commodities funds investing in areas that offer strong relative performance in rising inflation environments and are broadly diversified across the commodities markets, including futures, options on futures, and forward contracts on exchange-traded agricultural goods, metals, minerals, and energy products.
(1) Hedge funds broadly diversified across managers, investment strategies, and investment venues. Includes both fund investments, as well as fund of funds investments. (2) Private equity funds broadly diversified across managers, investment stages, geography, industry sectors, and company size. Includes individual fund investments, as well as fund of funds investments. (3) Private real estate funds broadly diversified across managers, investment strategies, geography, and industry sectors. (4) Venture capital funds with the objective of investing in early stage business entities and enterprises with a primary focus on medical and information technologies. (5) Level 3 asset represents the present value of the revenue expected to be received from charitable trusts, where the Foundation does not serve as trustee. (6) Level 3 investment represents auction rate preferred shares in a closed-end fixed-income fund, which is illiquid and in the process of being refinanced by the investment manager. (7) Includes ownership of stock in a manufacturer of precision sensor measurement equipment. Also includes estimated proceeds from the sale of stock in a privately held manufacturer of genetically engineered and non- engineered tissue cell cultures, to be received at the end of the escrow period.
Investments are reported as Level 3 assets if the valuation is based on significant unobservable inputs. Often, these assets trade infrequently, or not at all. For some Level 3 assets, both observable and unobservable inputs may be used to determine fair value. As a result, the unrealized gains and losses presented in the tables below may include changes in fair value that were attributable to both observable and unobservable inputs. The Foundation’s policy is to recognize transfers between levels of the fair value hierarchy as of the beginning of the reporting period. For the fiscal years ended June 30, 2012 and June 30, 2011, there were no transfers between levels of the fair value hierarchy.
67 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
Additional information on the changes in Level 3 assets is summarized in the table below as of June 30, 2012 and 2011:
Changes in Level 3 Assets Measured at Fair Value on a Recurring Basis for the Year Ended June 30, 2012
Fair Value Measurements Using Significant Unobservable Inputs (Level 3) Fixed Income Alternative Investments Total Bond Absolute Level 3 Mutual Return Investments Funds Commodities Funds Beginning balance$ 122,544,113 $ 175,000 $ 10,968,983 $ 50,500,753 Gains (losses) included in changes in net assets: Realized gains (losses) 37,597,817 - (2,785) 1,849,206 Unrealized losses (13,855,823) - (1,426,010) (3,169,940) Total gains (losses) 23,741,994 - (1,428,795) (1,320,734) Purchases and sales: Purchases 4,055,414 - 113,201 - Sales (58,477,591) (175,000) (148,730) - Total purchases and sales (54,422,177) (175,000) (35,529) - Ending balance $ 91,863,930 $ - $ 9,504,659 $ 49,180,019
Fair Value Measurements Using Significant Unobservable Inputs (Level 3) (Continued) Alternative Investments (Continued) Private Private Venture Direct Equity Real Estate Capital Private Equity Funds Funds Funds Investments Beginning balance $ 28,954,097 $ 10,705,252 $ 3,434,857 $ 17,805,171 Gains (losses) included in changes in net assets: Realized gains 3,604,193 120,237 - 32,026,966 Unrealized (losses) gains (4,958,280) (96,123) 1,480,424 (5,685,894) Total (losses) gains (1,354,087) 24,114 1,480,424 26,341,072 Purchases and sales: Purchases 1,877,152 1,865,061 200,000 - Sales (12,331,061) (1,119,681) (556,876) (44,146,243) Total purchases and sales (10,453,909) 745,380 (356,876) (44,146,243) Ending balance $ 17,146,101 $ 11,474,746 $ 4,558,405 $ -
Fair Value Measurements Using Significant Unobservable Inputs (Level 3) (Continued) Split-interest Agreements Charitable Trust Assets Beginning balance $ 705,585 Change in value of split-interest agreements included in changes in net assets: Change in actuarial estimate 81,767 Total change in value 81,767 Ending balance $ 787,352
68 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
Changes in Level 3 Assets Measured at Fair Value on a Recurring Basis for the Year Ended June 30, 2011
Fair Value Measurements Using Significant Unobservable Inputs (Level 3) Fixed Income Alternative Investments Total Bond Absolute Level 3 Mutual Return Investments Funds Commodities Funds Beginning balance$ 99,973,403 $ 175,000 $ 8,305,151 $ 46,868,395 Gains (losses) included in changes in net assets: Realized gains (losses) 1,840,065 - (2,120) - Unrealized gains 10,866,123 - 2,662,320 3,632,358 Total gains 12,706,188 - 2,660,200 3,632,358 Purchases and sales: Purchases 3,361,190 - 44,034 - Contributions 11,651,246 - - - Sales (5,147,914) - (40,402) - Total purchases and sales 9,864,522 - 3,632 - Ending balance$ 122,544,113 $ 175,000 $ 10,968,983 $ 50,500,753
Fair Value Measurements Using Significant Unobservable Inputs (Level 3) (Continued) Alternative Investments (Continued) Private Private Venture Direct Equity Real Estate Capital Private Equity Funds Funds Funds Investments Beginning balance$ 27,422,472 $ 8,375,982 $ 2,618,032 $ 6,208,371 Gains (losses) included in changes in net assets: Realized gains 1,808,652 20,307 13,226 - Unrealized gains 2,511,187 1,371,987 688,271 - Total gains 4,319,839 1,392,294 701,497 - Purchases and sales: Purchases 1,402,110 1,740,046 175,000 - Contributions - 54,446 - 11,596,800 Sales (4,190,324) (857,516) (59,672) - Total purchases and sales (2,788,214) 936,976 115,328 11,596,800 Ending balance$ 28,954,097 $ 10,705,252 $ 3,434,857 $ 17,805,171
Fair Value Measurements Using Significant Unobservable Inputs (Level 3) (Continued) Split-interest Agreements Charitable Trust Assets Beginning balance$ 871,520 Change in value of split-interest agreements included in changes in net assets: Change in actuarial estimate (165,935) Total change in value (165,935) Ending balance$ 705,585
69 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
An amendment to ASC 820 released in September 2009 permits the Foundation to use the net asset value (NAV), as a practical expedient, to estimate the fair value of an investment fund. Although the Foundation considers all available data in reporting the fair value of investments, the NAV, or its equivalent, is used as the primary valuation input for some Level 2 and most Level 3 assets.
The following table provides additional information regarding the fair value, liquidity, and unfunded commitment for investments where the NAV was used as a practical expedient.
Level 2 and Level 3 Investments Reported at Net Asset Value at June 30, 2012
Estimated Redemption Termination Redemption Notice Date Unfunded Fair Value Frequency Period (Fiscal Year) Commitment Fixed-income investments: Money market mutual funds (Level 2)$ 10,786,884 daily none not applicable $ - Bonds and bond mutual funds (Level 2) 1,270,038 daily 1 day not applicable - Bonds and bond mutual funds (Level 3) - - Subtotal fixed income 12,056,922 - Public equity investments: Emerging markets international equity mutual funds (Level 2) 11,220,629 monthly 30 daysnot applicable - Subtotal public equity 11,220,629 - Alternative investments: Commodities (Level 3) 9,504,659 monthly 10 - 30 daysnot applicable - Absolute return funds (Level 3) 49,180,019 quarterly 60 - 95 daysnot applicable - Private equity funds (Level 3) 17,146,101 not liquid not liquid 2012 - 2021 8,223,776 Private real estate funds (Level 3) 11,474,746 not liquid not liquid 2012 - 2018 757,575 Venture capital funds (Level 3) 4,558,405 not liquid not liquid 2012 - 2014 815,082 Direct private equity investments (Level 3) - - Subtotal alternative investments 91,863,930 9,796,433 Total investments $ 115,141,481 $ 9,796,433
70 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
Level 2 and Level 3 Investments Reported at Net Asset Value at June 30, 2011
Estimated Redemption Termination Redemption Notice Date Unfunded Fair Value Frequency Period (Fiscal Year) Commitment Fixed-income investments: Money market funds (Level 2)$ 13,466,202 daily none not applicable $ - Bonds and bond mutual funds (Level 2) 1,176,634 daily 1 day not applicable - Bonds and bond mutual funds (Level 3) 175,000 not liquid not liquid not liquid - Subtotal fixed income 14,817,836 - Public equity investments: Emerging markets international equity mutual funds (Level 2) 11,633,413 monthly 30 daysnot applicable - Subtotal public equity 11,633,413 - Alternative investments: Commodities (Level 3) 10,968,983 monthly 10 - 30 daysnot applicable - Absolute return funds (Level 3) 50,500,753 quarterly 60 - 65 daysnot applicable - Private equity funds (Level 3) 28,954,097 not liquid not liquid 2012 - 2018 5,575,425 Private real estate funds (Level 3) 10,705,252 not liquid not liquid 2012 - 2018 3,590,237 Venture capital funds (Level 3) 3,434,857 not liquid not liquid 2012 - 2014 1,015,082 Direct private equity investments (Level 3) 17,805,171 not liquid not liquid 2012 - Subtotal alternative investments 122,369,113 10,180,744 Total investments $ 148,820,362 $ 10,180,744
Donor- and Board-restricted Endowments
The Foundation’s endowment includes both donor-restricted endowment funds and funds designated by the board of trustees as quasi-endowments. Certain quasi-endowments have been created with unrestricted funds, while others have been created with gifts that were temporarily restricted by the donor for the benefit of a particular college within the University. Both types of quasi-endowments have been included in the following schedules because both have been invested to provide income for a long, but unspecified period in accordance with board-imposed restrictions. Net assets associated with endowment funds are classified and reported based on the existence or absence of donor-imposed restrictions or board-imposed restrictions.
71 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
Interpretation of Relevant Law - The Foundation has interpreted the Uniform Prudent Management of Institutional Funds Act (UPMIFA) as requiring the preservation of the contributed value of the original gift of donor-restricted endowment funds absent explicit donor stipulations to the contrary. As a result of this interpretation, the Foundation classifies as permanently restricted net assets (a) the original value of gifts donated to the permanent endowment, (b) the original value of subsequent gifts to the permanent endowment, and (c) accumulations to the permanent endowment made in accordance with the direction of the applicable donor gift instrument at the time the accumulation is added to the fund. The remaining portion of the donor-restricted endowment fund that is not classified in permanently restricted net assets is classified as temporarily restricted net assets until those amounts are appropriated for expenditure by the Foundation in a manner consistent with the standard of prudence prescribed by UPMIFA. In accordance with UPMIFA, the Foundation considers the following factors in making a determination to distribute or accumulate donor-restricted endowment funds:
(1) The duration and preservation of the fund (2) The purposes of the gifting organization or individual and the donor-restricted endowment fund (3) General economic conditions (4) The possible effect of inflation and deflation (5) The expected total return from income and the appreciation of investments (6) Other resources of the Foundation (7) The investment policies of the Foundation
72 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
Endowment Net Asset Composition by Type of Fund as of June 30, 2012
Temporarily Permanently Unrestricted Restricted Restricted Total
Donor-restricted endowment $ (290,619) $ 103,175,081 $ 152,083,400 $ 254,967,862 Board-designated (quasi) endowment created with donor-restricted funds - 92,247,195 - 92,247,195 Board-designated (quasi) endowment created with unrestricted funds - - - -
Total funds $ (290,619) $ 195,422,276 $ 152,083,400 $ 347,215,057
Changes in Endowment Net Assets for the Fiscal Year Ended June 30, 2012
Temporarily Permanently Unrestricted Restricted Restricted Total
Market value - Beginning of the year$ 12,168,755 $ 167,992,691 $ 142,078,701 $ 322,240,147
Net realized and unrealized gains and losses and investment income (670,534) 28,550,828 (68,562) 27,811,732
Contributions - - 10,073,261 10,073,261
Spending policy transfer - (142,494) - (142,494)
Transfers (from) to board- designated endowments (11,788,840) 1,153,504 - (10,635,336)
Administrative fee - (2,132,253) - (2,132,253)
Market value - End of the year$ (290,619) $ 195,422,276 $ 152,083,400 $ 347,215,057
73 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
Restated Endowment Net Asset Composition by Type of Fund as of June 30, 2011
Temporarily Permanently Unrestricted Restricted Restricted Total
Donor-restricted endowment $ (205,666) $ 76,874,443 $ 142,078,701 $ 218,747,478 Board-designated (quasi) endowment created with donor-restricted funds - 91,118,248 - 91,118,248 Board-designated (quasi) endowment created with unrestricted funds 12,374,421 - - 12,374,421
Total funds$ 12,168,755 $ 167,992,691 $ 142,078,701 $ 322,240,147
Restated Changes in Endowment Net Assets for the Fiscal Year Ended June 30, 2011
Temporarily Permanently Unrestricted Restricted Restricted Total
Market value - Beginning of the year As previously reported$ 1,110,883 $ 112,808,747 $ 137,891,194 $ 251,810,824 Adjustment to properly classify endowment - 9,517,452 5,386,204 14,903,656 As restated 1,110,883 122,326,199 143,277,398 266,714,480
Net realized and unrealized gains and losses and investment income 10,978,769 42,750,814 (5,008,872) 48,720,711
Contributions - - 4,600,175 4,600,175
Spending policy transfer (377,843) (7,996,499) (800,000) (9,174,342)
Transfers to board - designated endowments 529,166 11,876,246 10,000 12,415,412
Administrative fee (72,220) (964,069) - (1,036,289)
Market value - End of the year$ 12,168,755 $ 167,992,691 $ 142,078,701 $ 322,240,147
74 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
Funds with Deficiencies - From time to time, the fair value of assets associated with individual donor-restricted endowment funds may fall below the contributed value that the donor or UPMIFA requires the Foundation to retain as the corpus. These funds are known as “underwater accounts.” In accordance with GAAP, deficiencies of this nature that are reported in unrestricted net assets were $290,619 and $205,666 as of June 30, 2012 and 2011, respectively. These deficiencies resulted from unfavorable market fluctuations and allowable distributions made over time.
Return Objectives and Risk Parameters - The Foundation has adopted investment and spending policies for endowment assets that attempt to provide a predictable stream of funding to programs supported by its endowment while seeking to maintain the long-term purchasing power of the endowment assets. Endowment assets include donor-restricted funds that are held in perpetuity or for donor-specified periods, as well as board-designated funds. Under this policy, as approved by the Board of Trustees, the endowment assets are invested in a manner that is intended to outperform, over rolling 12-quarter periods, a composite benchmark of appropriately weighted indices, while maintaining acceptable risk levels. The Foundation anticipates the endowment funds will provide an average rate of return of approximately 7.7 percent annually, gross of investment management fees of approximately 1 percent. Actual returns in any given year may vary from this amount.
Strategies Employed for Achieving Objectives - To satisfy its long-term rate-of-return objectives, the Foundation relies on a total-return strategy in which investment returns are achieved through both capital appreciation (realized and unrealized) and current yield (interest and dividends). The Foundation targets a diversified asset allocation that places a greater emphasis on equity-based investments to achieve its long-term return objectives within prudent risk constraints.
Spending Policy - For the fiscal year ended June 30, 2012, the Foundation’s spending policy stipulated that 5 percent of a three-year moving average of the market value of the endowment was available to spend, with 1 percent of the amount being set aside to support the Foundation’s administrative expenses. The spending rate applied to all endowment accounts except underwater accounts, where spending was limited to 1 percent of a three-year moving average of the market value. In establishing this policy, the Foundation considered the long-term expected return on its endowment. Accordingly, over the long term, the Foundation expects the current spending policy to allow the endowment to grow at an average of 1.7 percent annually. This is consistent with the Foundation’s objective to maintain the purchasing power of the endowment assets held in perpetuity or for a specified term as well as to provide additional real growth through investment returns and new gifts.
75 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
Additionally, during the fiscal year ended June 30, 2012, the Foundation moved the date of the spending policy transfer from June 30 to July 1, which is the date that the board appropriates the funds for spending. The decline in spending policy transfer, as included in the endowment tables above, is reflective of this change in process and is not indicative of an overall decline in available funding.
Property and Equipment
As of June 30, 2012 and 2011, property and equipment are as follows:
2012 2011
Land $ 2,455,998 $ 2,455,841 Land improvements 780,105 683,258 Building and building improvements 39,821,131 39,336,797 Furnishings, fixtures, and equipment 4,898,374 4,815,715
Subtotal 47,955,608 47,291,611
Less accumulated depreciation and amortization (17,434,890) (15,979,426)
Property and equipment - Net$ 30,520,718 $ 31,312,185
Total depreciation expense of $1,543,586 and $1,635,935 was recorded in fiscal years 2012 and 2011, respectively.
Support from Ohio University
During 2012 and 2011, the University paid certain payroll costs amounting to $5,274,285 and $4,470,240, respectively, and additional costs of $0 and $53,365, respectively, for the Foundation’s Development Office, Office of Alumni Relations, and Accounting Office. The support costs paid by the University are reflected in the consolidated statements of activities as University support, with a like amount included in expenses.
The University provides office space and the use of certain common facilities and services to the Foundation at no cost. These costs have not been recorded as University support because they are not considered to be significant to the results of activities of the Foundation.
76 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
Split-interest Agreements
Charitable Gift Annuities - Under charitable gift annuity agreements, all assets are held by the Foundation. Therefore, the Foundation has recorded the donated assets at fair value and the liabilities to the donor or his/her beneficiaries discounted to the present value of the estimated future payments to be distributed by the Foundation to such individuals. The amount of the contribution is the difference between the asset and liability and is recorded as contribution revenue. The Foundation uses the Internal Revenue Service (IRS) discount rate, or Applicable Federal Rate, to determine net present value of the liability. This rate is published monthly and represents the annual rate of return that the IRS assumes the gift assets will earn during the gift term. The discount rate for each charitable gift annuity is established at the beginning of the agreement. The discount rate applied to gift annuities held at June 30, 2012 and 2011 ranged from 2.0 to 9.4 percent.
Charitable Remainder Trusts - Under charitable remainder trust agreements, the Foundation serves as the remainderman and will receive the net assets of the trust upon death of the donor’s beneficiary. During the life of the trust, the donor, or the donor-designated beneficiary, will receive regular payments as established by the trust.
In instances where the donor has not specifically reserved the right to change the remainderman, and all assets of charitable remainder trust are maintained by a third-party trustee in an irrevocable trust for the benefit of the Foundation, the Foundation will recognize, as contribution revenue and as a receivable, the present value of the estimated future benefits to be received when the trust assets are distributed. The trustee disburses income earned on the assets of the charitable remainder trust to the donor or donor-designated beneficiaries.
In instances where the donor has not specifically reserved the right to change the remainderman, and the Foundation serves as the trustee, the Foundation will recognize the fair market value of the assets of the trust, as well as a liability for the net present value of future payments to be distributed by the Foundation to the donor or his/her designated beneficiaries. The amount of the contribution is the difference between the asset and liability at the inception of the trust. The Foundation uses the IRS discount rate, or Applicable Federal Rate, to determine net present value of the liability. This rate is published monthly and represents the annual rate of return that the IRS assumes the gift assets will earn during the gift term. The discount rate for each charitable remainder trust is established at the beginning of the agreement. The discount rate applied to charitable remainder trusts held at June 30, 2012 and 2011 ranged from 3.4 to 8.2 percent.
77 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
Certain charitable remainder trust transactions are not reported on the consolidated statements of financial position or the consolidated statements of activities as, in these cases, the remainderman can be changed by the donor prior to his/her death.
Adjustments to the receivable to reflect amortization of the discount, revaluation of the present value of the estimated future payments to the donor-designated beneficiaries, and changes in actuarial assumptions during the term of the trust are recognized as changes in the value of split- interest agreements. Upon the death of the donor-designated beneficiaries, the receivable is closed, the assets received from the trust are recognized at fair value, and any difference is reported as a change in the value of split-interest agreements.
Lead Trusts - Charitable lead trusts provide an income stream to the Foundation for a set period of time established by the donor. The income stream is recorded at the net present value of the payments. Once the set period of time ends, the Foundation will no longer receive the income stream and the remaining principal is transferred back to the donor. If the Foundation serves as trustee, an asset and a liability will be recorded for the trust. The asset is booked at the fair market value. The liability is recorded at fair market value less the net present value of the income stream. If the Foundation does not serve as trustee, only the asset, at the net present value of the income stream, will be recorded for the trust. The Foundation uses the IRS discount rate, or Applicable Federal Rate, to determine net present value of the income stream. This rate is published monthly and represents the annual rate of return that the IRS assumes the gift assets will earn during the gift term. The discount rate for each charitable lead trust is established at the beginning of the agreement. The discount rate applied to the lead trusts held at June 30, 2012 and 2011 ranged from 1.05 to 5.00 percent.
Perpetual and Other Trusts - Perpetual trusts are those trusts that provide a perpetual income stream to the Foundation but are held by a third party. An asset and revenue are recorded for the fair market value of the instrument. Each year, the net change in fair market value to the asset is recorded as an increase or decrease in revenue.
Pooled Income Fund - A pooled income fund allows a donor to place funds into an investment pool from which an income stream is provided. The income stream is paid to the donor and/or the donor-designated beneficiaries, and the Foundation will receive the net assets of the fund upon their death.
78 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
Revocable Trusts - Under revocable trust agreements, the Foundation serves as the remainderman and will receive the net assets of the trust upon death of the donor’s beneficiary. All assets of the trust may be maintained by a third-party trustee for the benefit of the Foundation, or by the Foundation if named as a trustee. The trustee disburses income earned on the assets of the trust to the donor or donor-designated beneficiaries. Under revocable trust agreements, the donor maintains the ability to legally dissolve the trusts and may or may not reserve the right to change the remainderman. For these reasons, the Foundation does not report revocable trust transactions on the consolidated statements of financial position or the consolidated statements of activities if the trust is held by a third-party trustee.
Inn-Ohio of Athens, Inc.
The Inn was purchased by the Foundation on August 30, 1986. The primary purpose for which the Foundation invested in the Inn was to provide affordable and convenient housing, dining, and conference facilities for University employees, alumni, and guests. As a significant portion of the Inn’s revenue is derived from these customers, the Foundation is committed to financially supporting the Inn.
The Inn’s business is subject to all of the risks inherent in the lodging industry. These risks include, among other factors, varying levels of demand for rooms and related services, adverse effects of general and local economic and market conditions, changes in governmental regulations that influence wages or prices, changes in interest rates, the availability of credit, changes in real estate taxes and other operating expenses, and the recurring need for renovation, refurbishment, and improvements.
79 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
Operations - The Inn’s operations for the years ended June 30, 2012 and 2011 are summarized below:
2012 2011
Revenue $ 4,457,098 $ 4,228,160
Operating and general expenses 3,567,486 3,457,896 Depreciation and amortization 536,105 552,058 Interest expense - Net 45,198 134,960 Provision for income taxes 127,924 (58,638)
Total expenses 4,276,713 4,086,276
Net income 180,385 141,884 Unrealized gains 39,796 8,404
Change in net assets$ 220,181 $ 150,288
Effective November 30, 1996, a management agreement (the “Management Agreement”) was entered into with Winegardner & Hammons, Inc. (the “Manager”). The Management Agreement was amended during fiscal 2001 to automatically renew annually unless notified in writing 60 days prior to the end of the fiscal year. The Manager’s compensation is a base fee plus 15 percent of the hotel’s net available operating profit as defined in the Management Agreement.
In fiscal years 2012 and 2011, base management fees incurred by the Inn with respect to the Manager were $100,000 per year and incentive fees were $97,489 and $75,841, respectively.
The Inn’s alternative minimum tax credit carryforwards were approximately $0 at June 30, 2012 and $46,000 at June 30, 2011.
Debt Obligations - Long-term debt of the Inn as of June 30, 2012 and June 30, 2011 consists of the following:
2012 2011
Term loan - Principal due through June 2021, interest at 3.31 percent through June 2016 and adjusted thereafter$ 2,824,400 $ 3,051,800 Less current portion of long-term debt (242,000) (227,400)
Total$ 2,582,400 $ 2,824,400
80 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
In June 2006, the Inn obtained a $4,000,000 term loan, the proceeds of which were used to pay a dividend of $3,000,000 in June 2006 and $1,000,000 of which was placed in the bond fund to retire the 1996 Serial and Term Project Bonds in November 2006. The term loan is guaranteed by the Foundation.
Substantially all of the property and equipment are pledged as collateral for the term loan. The interest rate on the term loan was fixed at 6.20 percent through June 2011 and was adjusted to 3.31 percent as of July 1, 2011. The interest rate will be adjusted to the index rate as defined in the agreement plus 1.40 percent in June 2016 and every five years thereafter.
Maturities of long-term debt at June 30, 2012 are set forth in the following schedule: Years Ending June 30 Amount
2013 $ 242,000 2014 257,400 2015 273,800 2016 291,300 2017 291,300 Thereafter 1,468,600
Total$ 2,824,400
The fair value of the debt obligations approximates the carrying value at June 30, 2012 and 2011.
Housing for Ohio, Inc.
In November 1999, the Foundation established Housing, a limited liability company and 501(c)(3) corporation, with the purpose of acquiring, developing, constructing, and operating a 182-unit student-housing rental project which contains 580 beds. The property, known as University Courtyard Apartments (the “Project”), is located in Athens, Ohio on property owned by the University and leased to Housing. The facility is managed and operated by a private entity.
81 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
Operations - Housing’s operations for the years ended June 30, 2012 and 2011 are summarized below:
2012 2011
Revenue $ 3,419,605 $ 2,720,210
Operating and general expenses 1,360,555 1,177,081 Depreciation and amortization 786,069 862,941 Interest expense and bond fees 704,817 658,484 Tax and insurance 78,180 263,419
Total expenses 2,929,621 2,961,925
Change in net assets $ 489,984 $ (241,715)
Debt - In September 2000, Housing offered $31,985,000 of variable-rate, tax-exempt bonds (the “2000 Bonds”). The proceeds of the 2000 Bonds financed the construction, installation, and equipping of the Project. The 2000 Bonds will be fully matured at June 2032 and bear interest at an adjustable rate as determined weekly by the remarketing agent, based on its knowledge of prevailing market conditions, except that in no event will the interest rate exceed 12 percent.
The average interest rates for the years ended June 30, 2012 and 2011 were 0.14 percent and 0.25 percent, respectively, and the actual interest rates at June 30, 2012 and 2011 were 0.20 and 0.10 percent, respectively.
As collateral, until all principal and interest on any of the 2000 Bonds have been paid, Housing has pledged, assigned, and granted a security interest to its right, title, and interest in gross revenue of University Courtyard Apartments and related assets. The Foundation has made no additional pledge of assets or revenue to the 2000 Bonds, which are nonrecourse to the Foundation.
82 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
Principal payments for the bonded debt for the years subsequent to June 30, 2012 are summarized as follows:
Years Ending June 30 Principal
2013 $ 780,000 2014 820,000 2015 865,000 2016 910,000 2017 960,000 Thereafter 22,415,000
Total$ 26,750,000 Debt issuance costs are included in property on the consolidated statements of financial position and are amortized over the term of the 2000 Bonds. Amortization was $26,157 during each of the years ended June 30, 2012 and 2011.
Additionally, Housing has an outstanding promissory note to the Project’s developer in the original amount of $700,000. The note is payable in 10 annual installments of $70,000 through June 2014. The payment terms are predicated on the Project’s current management company remaining the manager of the Project. In the event that the current management company’s services are terminated prior to the final payment, the remaining balance shall become immediately due and payable. There is no interest accruing on the note, and management of Housing believes that the present value discount of future payments and the calculation of imputed interest on this note are not significant to the consolidated financial statements. In March 2012, the Organization was notified by a financial institution that the developer had listed the remaining installment payments as collateral on a loan with that financial institution. The notification advised that all subsequent payments were to be made to that financial institution. Although a payment was due June 1, 2012, the Organization is in the process of negotiating a settlement of all payments with the financial institution. In addition to this payment, the original agreement anticipated installment payments of $70,000 on June 1, 2013 and June 1, 2014.
83 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
Restatement
During the fiscal year ended June 30, 2012, the Foundation discovered that an estate gift received in 1979 had been classified as an unrestricted gift, rather than a true endowment as stipulated by the donor’s last will and testament. Since inception of the gift, these funds had been treated as a board-designated (quasi) endowment, with certain principal withdrawals occurring periodically over the life of the gift.
A prior-period adjustment was recorded to properly classify this gift as a true endowment. This action had no net effect on the Foundation’s total financial position. However, the adjustment increased permanently restricted net assets by an amount equal to the gift’s historic value, increased temporarily restricted net assets by an amount equal to the gift’s accumulated market appreciation since inception, and reduced unrestricted net assets by a like amount.
As of July 1, 2010, the adjustment reduced unrestricted net assets by $14.9 million, increased temporarily restricted net assets by $9.5 million, and increased permanently restricted net assets by $5.4 million. For the year ended June 30, 2011, the adjustment reduced the change in unrestricted net assets by $2.1 million, increased the change in temporarily restricted net assets by $2.1 million, and had no effect on the change in permanently restricted net assets. As of June 30, 2011, the adjustment reduced unrestricted net assets by $17.0 million, increased temporarily restricted net assets by $11.6 million, and increased permanently restricted net assets by $5.4 million. Changes to the statement of financial position and statement of activities as of and for the year ended June 30, 2011 are detailed below:
84 Ohio University Notes to Financial Statements (Continued) June 30, 2012 and 2011
Temporarily Permanently Unrestricted Restricted Restricted Total Net Assets - Beginning of year As previously presented$ 2,933,270 $ 172,666,202 $ 149,205,873 $ 324,805,345 Adjustment to properly classify endowment (14,903,656) 9,517,452 5,386,204 - As restated (11,970,386) 182,183,654 154,592,077 324,805,345 Revenue and other support Interest and dividends As previously presented 303,830 3,010,052 - 3,313,882 Adjustment to properly classify endowment (51,634) 51,634 - - As restated 252,196 3,061,686 - 3,313,882 Sold during the year (realized gain (loss) As previously presented 625,096 10,702,957 (4,686,345) 6,641,708 Adjustment to properly classify endowment (106,198) 106,198 - - As restated 518,898 10,809,155 (4,686,345) 6,641,708 Held at year end (unrealized gain (loss) As previously presented 12,354,732 27,188,440 (355,858) 39,187,314 Adjustment to properly classify endowment (2,097,138) 2,097,138 - - As restated 10,257,594 29,285,578 (355,858) 39,187,314 Administrative fee income As previously presented 807,340 (807,340) - - Adjustment to properly classify endowment 156,729 (156,729) - - As restated 964,069 (964,069) - - Change in Net Assets As previously presented 10,681,759 50,767,546 (670,960) 60,778,345 Adjustment to properly classify endowment (2,098,241) 2,098,241 - - As restated 8,583,518 52,865,787 (670,960) 60,778,345 Net Assets - End of year As previously presented 13,615,029 223,433,748 148,534,913 385,583,690 Adjustment to properly classify endowment (17,001,897) 11,615,693 5,386,204 - As restated $ (3,386,868) $ 235,049,441 $ 153,921,117 $ 385,583,690
85
Supplemental Information
86 Report on Internal Control Over Financial Reporting and on Compliance and Other Matters Based on an Audit of Financial Statements Performed in Accordance with Government Auditing Standards
Independent Auditor's Report
To the Board of Trustees Ohio University
We have audited the financial statements of the business-type activities and discretely presented component unit of Ohio University (the "University") as of and for the year ended June 30, 2012, which collectively comprise the University's basic financial statements, and have issued our report thereon dated October 8, 2012. We have conducted our audit in accordance with auditing standards generally accepted in the United States of America and the standards applicable to financial audits contained in Government Auditing Standards, issued by the Comptroller General of the United States. Internal Control Over Financial Reporting Management of Ohio University is responsible for establishing and maintaining an effective internal control over financial reporting. In planning and performing our audit, we considered Ohio University's internal control over financial reporting as a basis for designing our auditing procedures for the purpose of expressing our opinions on the financial statements, but not for the purpose of expressing an opinion on the effectiveness of the entity's internal control over financial reporting. Accordingly, we do not express an opinion on the effectiveness of the entity's internal control over financial reporting. A deficiency in internal control exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect and correct misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control such that there is a reasonable possibility that a material misstatement of the entity's financial statements will not be prevented or detected and corrected on a timely basis. Our consideration of internal control over financial reporting was for the limited purpose described in the first paragraph of this section and was not designed to identify all deficiencies in internal control over financial reporting that might be deficiencies, significant deficiencies, or material weaknesses. We did not identify any deficiencies in internal control over financial reporting that we consider to be material weaknesses, as defined above.
87 To the Board of Trustees Ohio University
Compliance and Other Matters As part of obtaining reasonable assurance about whether Ohio University’s financial statements are free of material misstatement, we performed tests of its compliance with certain provisions of laws, regulations, contracts, and grant agreements, noncompliance with which could have a direct and material effect on the determination of financial statement amounts. However, providing an opinion on compliance with those provisions was not an objective of our audit and, accordingly, we do not express such an opinion. The results of our tests disclosed no instances of noncompliance or other matters that are required to be reported under Government Auditing Standards. This report is intended solely for the information and use of management, the board of trustees, others within the entity, the audit committee, the Auditor of the State of Ohio, federal awarding agencies, and pass-through entities and is not intended to be and should not be used by anyone other than these specified parties.
October 8, 2012
88 Report on Compliance with Requirements That Could Have a Direct and Material Effect on Each Major Program and on Internal Control Over Compliance in Accordance with OMB Circular A-133
Independent Auditor's Report
To the Board of Trustees Ohio University
Compliance We have audited the compliance of Ohio University (the "University") with the types of compliance requirements described in the U.S. Office of Management and Budget (OMB) Circular A-133 Compliance Supplement that could have a direct and material effect on each of its major federal programs for the year ended June 30, 2012. The major federal programs of Ohio University are identified in the summary of auditor's results section of the accompanying schedule of findings and questioned costs. Compliance with the requirements of laws, regulations, contracts, and grants applicable to each of its major federal programs is the responsibility of Ohio University's management. Our responsibility is to express an opinion on Ohio University's compliance based on our audit. We conducted our audit of compliance in accordance with auditing standards generally accepted in the United States of America; the standards applicable to financial audits contained in Government Auditing Standards, issued by the Comptroller General of the United States; and OMB Circular A-133, Audits of States, Local Governments, and Non-Profit Organizations. Those standards and OMB Circular A-133 require that we plan and perform the audit to obtain reasonable assurance about whether noncompliance with the types of compliance requirements referred to above that could have a direct and material effect on a major federal program occurred. An audit includes examining, on a test basis, evidence about Ohio University's compliance with those requirements and performing such other procedures as we considered necessary in the circumstances. We believe that our audit provides a reasonable basis for our opinion. Our audit does not provide a legal determination on Ohio University's compliance with those requirements. In our opinion, Ohio University complied, in all material respects, with the compliance requirements referred to above that could have a direct and material effect on each of its major federal programs for the year ended June 30, 2012. However, the results of our auditing procedures disclosed instances of noncompliance with those requirements that are required to be reported in accordance with OMB Circular A-l33 and which are described in the accompanying schedule of findings and questioned costs as Findings 2012-01 and 2012-02.
89 To the Board of Trustees Ohio University
Internal Control Over Compliance The management of Ohio University is responsible for establishing and maintaining effective internal control over compliance with requirements of laws, regulations, contracts, and grants applicable to federal programs. In planning and performing our audit, we considered Ohio University's internal control over compliance with requirements that could have a direct and material effect on a major federal program in order to determine our auditing procedures for the purpose of expressing our opinion on compliance and to test and report on internal control over compliance in accordance with OMB Circular A-133, but not for the purpose of expressing an opinion on the effectiveness of internal control over compliance. Accordingly, we do not express an opinion on the effectiveness of the entity's internal control over compliance. Our consideration of internal control over compliance was for the limited purpose described in the preceding paragraph and was not designed to identify all deficiencies in internal control over compliance that might be significant deficiencies or material weaknesses and therefore, there can be no assurance that all deficiencies, significant deficiencies, or material weaknesses have been identified. However, as discussed below, we identified certain deficiencies in internal control over compliance that we consider to be material weaknesses. A deficiency in internal control over compliance exists when the design or operation of a control over compliance does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect and correct noncompliance with a type of compliance requirement of a federal program on a timely basis. A material weakness in internal control over compliance is a deficiency, or a combination of deficiencies, in internal control over compliance such that there is a reasonable possibility that material noncompliance with a type of compliance requirement of a federal program will not be prevented or detected and corrected on a timely basis. We consider the deficiencies in internal control over compliance described in the accompanying schedule of findings and questioned costs as Findings 2012-01 and 2012-02 to be material weaknesses. Ohio University’s responses to the findings identified in our audit are described in the accompanying schedule of findings and questioned costs. We did not audit Ohio University’s responses and, accordingly, we express no opinion on them. This report is intended solely for the information and use of management, the board of trustees, others within the entity, the audit committee, the Auditor of the State of Ohio, federal awarding agencies, and pass-through entities and is not intended to be and should not be used by anyone other than these specified parties.
October 8, 2012
90 Ohio University Schedule of Expenditures of Federal Awards Year Ended June 30, 2012
Federal Agency/Pass-Through Grantor CFDA No. Federal/Pass-Through Grant Number Expenditures
STUDENT AID CLUSTER DEPARTMENT OF EDUCATION Direct Programs: Supplemental Educational Opportunity Grants 84.007 P007A113342$ 775,830 College Work-Study Program 84.033 P033A113342 829,029 Pell Grant Program 84.063 P063P110345 43,441,889 Pell Grant Program (Prior Year) 84.063 P063P110345 9,166 Federal Direct Student Loan 84.268 UNKNOWN 211,363,475 Federal Perkins Loans Outstanding 84.038 UNKNOWN 9,129,047 Academic Competitiveness Grant (Prior Year) 84.375 UNKNOWN (250) National Science and Mathematics Access to Retain Talent Grant (Prior Year) 84.376 UNKNOWN (1,334) TEACH GRANT 84.379 P379T120345 998,082
Total Department of Education 266,544,934
DEPARTMENT OF HEALTH AND HUMAN SERVICES Direct Programs: Primary Care Loans (HPSL) Outstanding 93.342 UNKNOWN 2,465,551 Disadvanataged Student Loans Outstanding 93.342 UNKNOWN 1,718,696 FY12 SDS AWARD 93.925 T08HP22370 51,876
Total Department of Health and Human Services 4,236,123
TOTAL STUDENT AID CLUSTER 270,781,057
RESEARCH AND DEVELOPMENT CLUSTER APPALACHIAN REGIONAL COMMISSION Direct Programs: APPALACHIAN REGIONAL COMMISSION 23.009 OH-16259-09 23,891
Total Appalachian Regional Commission 23,891
DEPARTMENT OF AGRICULTURE Direct Programs: U S DEPARTMENT OF AGRICULTURE 10.001 58-1235-8-160 31,696 U S DEPARTMENT OF AGRICULTURE 10.206 2008-35318-04572 140,150 U S DEPARTMENT OF AGRICULTURE 10.206 2009-35320-05623 14,674 U S DEPARTMENT OF AGRICULTURE 10.961 58-3148-1-166 7,037 U S DEPARTMENT OF AGRICULTURE 10.XXX 06-JV-11242300-070 (19) U S DEPARTMENT OF AGRICULTURE 10.XXX 10-CR-11242302-056 20,626 U S DEPARTMENT OF AGRICULTURE 10.XXX 11-JV-11242309-117 11,530 U S DEPARTMENT OF AGRICULTURE 10.XXX 12-JV-11242309-018 1,323 U S DEPARTMENT OF AGRICULTURE 10.XXX 11-PA-11091400-015 6,939
Total Department of Agriculture 233,956
DEPARTMENT OF DEFENSE Direct Programs: US Army U S ARMY CORP OF ENGINEERS 12.XXX W912DR-10-P-0104 32,530 U S ARMY CORP OF ENGINEERS 12.XXX W912DR-12-P-0050 9,008 US ARMY CONSTRUCTION ENGINEERING RESEARCH LABORATO 12.630 W9132T-09-1-0001 1,239,502 US ARMY RDECOM ACQUISITION CENTER 12.431 W911NF-11-1-0358 54,714 1,335,754
Defense Threat Reduction Agency DEFENSE THREAT REDUCTION AGENCY 12.351 HDTRA1-09-1-0059 107,513
Office of the Chief of Naval Research OFFICE OF NAVAL RESEARCH 12.300 N00014-12-1-0335 10,933
Subtotal Direct Programs 1,454,200
See Notes to Schedule of Expenditures 91 of Federal Awards. Ohio University Schedule of Expenditures of Federal Awards (Continued) Year Ended June 30, 2012
Federal Agency/Pass-Through Grantor CFDA No. Federal/Pass-Through Grant Number Expenditures
RESEARCH AND DEVELOPMENT CLUSTER (con't) DEPARTMENT OF DEFENSE (con't)
Pass-Through Programs From: BAE SYSTEMS, INC. 12.XXX 31-5060068$ (2,385) DAYTON AREA GRADUATE STUDIES INSTITUTE 12.XXX RY9-OU-09-4 91 MIAMI UNIVERSITY 12.XXX P0067120 132 MIAMI UNIVERSITY 12.800 G01901 70,974 NORTHROP GRUMMAN 12.XXX 39199503 3,139 OHIO AEROSPACE INSTITUTE 12.XXX R-300-100303-40104 137,818 60018316, RF01130500; 60019548, RF01142374/RF01223512; 60019917, OHIO STATE UNIVERSITY 12.XXX RF01146209 699,934 OHIO STATE UNIVERSITY 12.XXX 60019394; RF01265691 2,702 PARSONS BRINCKERHOFF 12.XXX N40085-11-D-7210 20,488 PENN STATE UNIVERSITY 12.431 3225-OU-USA-0026 22,462 PERFORMANCE POLYMER SOLUTIONS, INC 12.XXX UNKNOWN 29,066 PERFORMANCE POLYMER SOLUTIONS, INC 12.XXX FA8650-11-C-5103 26,513 QUANTUM DIMENSION 12.XXX C0053-1 14,967 SCIENCE APPLICATIONS INTERNATIONAL CORPORATION 12.XXX 4400132785 9,412 UES, INC. 12.XXX S-875-160-002; P875-16 45,000 005963, PO# L09-4500036894; L11- UNIVERSITY OF CINCINNATI 12.XXX 4500051126; L12-4500057829 3,000 UNIVERSITY OF ILLINOIS AT CHICAGO 12.420 2008-06237-01-00KN 22,125 Subtotal Pass-Through Programs 1,105,438
Total Department of Defense 2,559,638
DEPARTMENT OF EDUCATION Direct Programs: U S DEPARTMENT OF EDUCATION 84.215K U215K090134 12,174 U S DEPARTMENT OF EDUCATION 84.215K U215K100211 44,647 Subtotal Direct Programs 56,821
Pass-Through Programs From: LEHIGH UNIVERSITY 84.324 541821-78008; 541821-78002 854,544 THE LEONA GROUP, LLC - ACHIEVE CAREER PREPARATORY 84.XXX UNKNOWN 13,000 UNIVERSITY OF SOUTH CAROLINA 84.324 12-2109; 42182 50,508 Subtotal Pass-Through Programs 918,052
Total Department of Education 974,873
DEPARTMENT OF ENERGY Direct Programs: U S DEPARTMENT OF ENERGY 81.049 DE-FG02-93ER40756 282,669 U S DEPARTMENT OF ENERGY 81.049 DE-FG02-88ER40387 346,801 U S DEPARTMENT OF ENERGY 81.049 DE-FG02-02ER46012 129,665 U S DEPARTMENT OF ENERGY 81.049 DE-FG02-06ER46317 158,055 U S DEPARTMENT OF ENERGY 81.049 DE-FG02-06ER46300 44,994 U S DEPARTMENT OF ENERGY 81.049 DE-SC0004084 2,683 U S DEPARTMENT OF ENERGY 81.087 DE-FG36-08GO88083 265,213 U S DEPARTMENT OF ENERGY 81.087 DE-EE0003666 266,195 U S DEPARTMENT OF ENERGY 81.112 DE-FG52-09NA29455 293,884 U S DEPARTMENT OF ENERGY 81.214 DE-EM0000357 357,538 Subtotal Direct Programs 2,147,697
Pass-Through Programs From: ARRA-ALGAEVENTURE SYSTEMS INC 81.135 ARRA-DE-FOA-0000065, 25A1786 136,168 ARGONNE NATIONAL LABORATORY 81.XXX 2F-30862, Mod 0001 20,277 AUSTRAL ENGINEERING AND SOFTWARE 81.XXX Ck# 8229 69 BROOKHAVEN NATIONAL LABORATORY 81.XXX 202065 370 FLUOR B&W PORTSMOUTH, LLC 81.XXX PO-0002176 9,100 GEORGIA INSTITUTE OF TECHNOLOGY 81.121 R8895-G5 3,279 IDAHO STATE UNIVERSITY 81.XXX 11-180D 77,878 08-P1064; 09-P0182; 09-P2438; 11-P0503: 12- JEFFERSON SCIENCE ASSOCIATES, LLC 81.XXX P0022 30,968 JEFFERSON SCIENCE ASSOCIATES, LLC 81.XXX 11-P1797, Mod 2 42,261 JEFFERSON SCIENCE ASSOCIATES, LLC 81.XXX 09-P1691 12,366 LAWRENCE LIVERMORE NATIONAL LABORATORY 81.XXX B594940 25,324 LAWRENCE LIVERMORE NATIONAL LABORATORY 81.XXX B589889 70,779 LAWRENCE LIVERMORE NATIONAL LABORATORY 81.XXX B595009 100,954 ARRA-ECDD 10-232, DEV01- 0000011975/12537/14682; ECDD 12-012, ARRA-OHIO DEPARTMENT OF DEVELOPMENT 81.041 DEV01-0000015303 50,896 Subtotal Pass-Through Programs 580,689 Total Department of Energy 2,728,386
See Notes to Schedule of Expenditures 92 of Federal Awards. Ohio University Schedule of Expenditures of Federal Awards (Continued) Year Ended June 30, 2012
Federal Agency/Pass-Through Grantor CFDA No. Federal/Pass-Through Grant Number Expenditures
RESEARCH AND DEVELOPMENT CLUSTER (con't) DEPARTMENT OF HEALTH AND HUMAN SERVICES Direct Programs: National Institute of Health NATIONAL INSTITUTE OF HEALTH 93.173 R01 DC005063$ 283,805 NATIONAL INSTITUTE OF HEALTH 93.173 R15DC009504 13,813 NATIONAL INSTITUTE OF HEALTH 93.173 R01DC010883 433,939 NATIONAL INSTITUTE OF HEALTH 93.242 R01 MH078749 14,201 NATIONAL INSTITUTE OF HEALTH 93.242 R01MH082864 456,525 NATIONAL INSTITUTE OF HEALTH 93.242 R01MH087462 468,920 NATIONAL INSTITUTE OF HEALTH 93.389 R21 RR032366-01 / R21 GM103494-02 155,974 NATIONAL INSTITUTE OF HEALTH 93.393 R01CA086928 180,511 NATIONAL INSTITUTE OF HEALTH 93.396 R15CA137499 27,900 NATIONAL INSTITUTE OF HEALTH 93.396 R15CA161830 108,780 ARRA-NATIONAL INSTITUTE OF HEALTH 93.701 ARRA-RC1DA028494 243,402 ARRA-NATIONAL INSTITUTE OF HEALTH 93.701 ARRA-R15HD065552 117,785 ARRA-NATIONAL INSTITUTE OF HEALTH 93.701 ARRA-R01DC005063 16,558 ARRA-NATIONAL INSTITUTE OF HEALTH 93.701 ARRA-R15DK081192 6,963 NATIONAL INSTITUTE OF HEALTH 93.839 R01 HL077438 252,316 NATIONAL INSTITUTE OF HEALTH 93.847 R15DK081192 13,816 NATIONAL INSTITUTE OF HEALTH 93.847 R15DK083729 70,230 NATIONAL INSTITUTE OF HEALTH 93.847 R15DK082981 119,801 NATIONAL INSTITUTE OF HEALTH 93.853 R15NS051846 98,705 NATIONAL INSTITUTE OF HEALTH 93.859 R01GM073188 128,274 NATIONAL INSTITUTE OF HEALTH 93.865 R15HD065552 89,746 NATIONAL INSTITUTE OF HEALTH 93.879 G13LM010878 36,602 NATIONAL INSTITUTE OF HEALTH 93.989 D43TW008261 79,962 NATIONAL INSTITUTE OF HEALTH 93.390 R15HL092545 6,407 Subtotal Direct Programs 3,424,935
Pass-Through Programs From: GEORGE WASHINGTON UNIVERSITY 93.XXX U01-DK061055 533 HARVARD UNIVERSITY 93.173 R01 DC002290 83,171 ARRA-INTERTHYR CORPORATION 93.701 ARRA-R42AI066618 216,581 LC TECHNOLOGIES, INC. 93.173 R43DC010079 40,047 METALLOPHARM 93.273 R43AA018600 142 SOUTHERN ILLINOIS UNIVERSITY 93.866 520275 10,262 SOUTHERN ILLINOIS UNIVERSITY 93.866 520317 344,683 THE TRUSTEES OF INDIANA UNIVERSITY 93.847 IN-4685559-OU; 1025174 87,234 UNIVERSITY OF CINCINNATI 93.262 7569 6,910 VANDERBILT UNIVERSITY 93.859 VUMC 35830 60,804 850,367
Total Department of Health and Human Services 4,275,302
DEPARTMENT OF THE INTERIOR Pass-Through Programs From: GREGORY LIPPS, LLC 15.615 SCP-2011-03, Check 1178 6,000 MARYLAND DEPARTMENT OF NATURAL RESOURCES 15.XXX K00P1400772; K00P2400989 8,433 UNIVERSITY OF WYOMING 15.252 WYDEQ49813OHIO 117 WEST VIRGINIA DIVISION OF NATURAL RESOURCES 15.6XX UNKNOWN 3,657
Total Department of the Interior 18,207
DEPARTMENT OF JUSTICE Direct Programs: U S DEPARTMENT OF JUSTICE 16.560 2010-DE-BX-K002 148,252
Pass-Through Programs From: MARSHALL UNIVERSITY 16.XXX RC-P1000252; RC-P1001723 140
Total Department of Justice 148,392
DEPARTMENT OF STATE Pass-Through Programs From: NATIONAL ACADEMY OF SCIENCES 19.XXX PGA-P210852 73,732
Total Department of State 73,732
See Notes to Schedule of Expenditures 93 of Federal Awards. Ohio University Schedule of Expenditures of Federal Awards (Continued) Year Ended June 30, 2012
Federal Agency/Pass-Through Grantor CFDA No. Federal/Pass-Through Grant Number Expenditures
RESEARCH AND DEVELOPMENT CLUSTER (con't) DEPARTMENT OF TRANSPORTATION Direct Programs: FEDERAL AVIATION ADMINISTRATION FEDERAL AVIATION ADMINISTRATION 20.108 09-G-010$ 348,846 FEDERAL AVIATION ADMINISTRATION 20.108 10-G-007 67,518 FEDERAL AVIATION ADMINISTRATION 20.108 10-G-018 92,560 FEDERAL AVIATION ADMINISTRATION 20.108 12-G-004 41,716 FEDERAL AVIATION ADMINISTRATION 20.XXX DTFAEN-11-C-00505 24,500 FEDERAL AVIATION ADMINISTRATION 20.XXX DTFA01-01-C-00071 30,984 FEDERAL AVIATION ADMINISTRATION 20.XXX DTFAAC-09-A-80000 60,103 FEDERAL AVIATION ADMINISTRATION 20.XXX DTFAWA-10-D-00020 590 FEDERAL AVIATION ADMINISTRATION 20.XXX DTFAWA-10-D-00020 22,687 FEDERAL AVIATION ADMINISTRATION 20.XXX DTFAWA-10-D-00020 96,525 FEDERAL AVIATION ADMINISTRATION 20.XXX DTFAWA-10-D-00020 863 FEDERAL AVIATION ADMINISTRATION 20.XXX DTFAWA-10-D-00020 43,927 FEDERAL AVIATION ADMINISTRATION 20.XXX DTFAWA-10-D-00020 20,562 FEDERAL AVIATION ADMINISTRATION 20.XXX DTFANM-10-A-80001 74,149 Subtotal Direct Programs 925,530
Pass-Through Programs From: 3M 20.XXX USMMMKR248 17,157 ARRA-BEAVER EXCAVATING COMPANY 20.XXX ARRA-3466-047 2,715 DELTA AIRPORT CONSULTANTS, INC. 20.XXX AIP# 3-51-0004-041-2011 1,125 ENGINEERING & SOFTWARE CONSULTANTS, INC. 20.XXX 09-01; 10-06 43,977 ENGINEERING & SOFTWARE CONSULTANTS, INC. 20.200 41258 456 ITT CORPORATION 20.XXX ITT 09-2401-041; 328200 964,296 MICHAEL BAKER CORPORATION 20.xxx UNKNOWN 34,649 P010069904; 117270.00.0024.6000.571 (task SCIENCE APPLICATIONS INTERNATIONAL CORPORATION 20.XXX 01,02) 117270.00.0024.6001.571 (task 03) 371,040 UNIVERSITY OF AKRON 20.701 DTRT06-G-0037 1,211 WAYNE STATE UNIVERSITY 20.200 WSU12010; P0521413 8,316 Subtotal Pass-Through Programs 1,444,942
Total Department of Transportation 2,370,472
NATIONAL ENDOWMENT FOR THE HUMANITIES Direct Programs: NATIONAL ENDOWMENT FOR THE HUMANITIES 45.164 GE-50227-10 13,992
Total National Endowment for the Humanities 13,992
ENVIRONMENTAL PROTECTION AGENCY Direct Programs: U S ENVIRONMENTAL PROTECTION AGENCY 66.202 EM-83350201 125,009 U S ENVIRONMENTAL PROTECTION AGENCY 66.516 SU-83601201 9,014
Total Environmental Protection Agency 134,023
NATIONAL AERONAUTICS AND SPACE ADMINISTRATION Direct Programs: NASA GLENN RESEARCH CENTER 43.002 NNX12AD53G 71,506 NASA GLENN RESEARCH CENTER 43.007 NNX09AD87G 26,274 NASA GLENN RESEARCH CENTER 43.009 NNX11AD04G 4,120 NASA GLENN RESEARCH CENTER 43.XXX NNX10AK21G 19,604 NASA GODDARD SPACE FLIGHT CENTER 43.001 NNX11AP15G 14,403 NASA GODDARD SPACE FLIGHT CENTER 43.001 NNX11AO20G 31,382 NASA GODDARD SPACE FLIGHT CENTER 43.001 NNX12AE31G 32,360 NASA GODDARD SPACE FLIGHT CENTER 43.XXX NNX10AC79G 86,561 NASA GODDARD SPACE FLIGHT CENTER 43.XXX NNX09AT82G 1,075 NASA GODDARD SPACE FLIGHT CENTER 43.XXX NNX10AE67G 2,575 NASA GODDARD SPACE FLIGHT CENTER 43.XXX NNX10AO49G 28,000 NASA GODDARD SPACE FLIGHT CENTER 43.XXX NNX10AU11G 52,109 NASA LANGLEY RESEARCH CENTER 43.XXX NNX08BA01A 393,424 Subtotal Direct Programs 763,393
Pass-Through Programs From: JACOBS ESTS GROUP 43.XXX ESTS-0075; 32-000003-LR; 32-040104-00 26,934 SMITHSONIAN ASTROPHYSICAL OBSERVATORY 43.XXX TM1-12002X 57,065 SPACE TELESCOPE SCIENCE INSTITUTE 43.XXX HST-GO-11194.01-A 4,721 SPACE TELESCOPE SCIENCE INSTITUTE 43.XXX HST-GO-11571.01-A 27,085 SPACE TELESCOPE SCIENCE INSTITUTE 43.XXX HST-GO-12253.01-A 46,514 UNISYS CORPORATION 43.XXX TSM-000599 69,886 Subtotal Pass-Through Programs 232,205
Total National Aeronautics and Space Administration 995,598
See Notes to Schedule of Expenditures 94 of Federal Awards. Ohio University Schedule of Expenditures of Federal Awards (Continued) Year Ended June 30, 2012
Federal Agency/Pass-Through Grantor CFDA No. Federal/Pass-Through Grant Number Expenditures
RESEARCH AND DEVELOPMENT CLUSTER (con't) NATIONAL SCIENCE FOUNDATION Direct Programs: NATIONAL SCIENCE FOUNDATION 47.041 CBET-0547165$ 35,093 NATIONAL SCIENCE FOUNDATION 47.041 CMMI-0926420 40,364 NATIONAL SCIENCE FOUNDATION 47.041 CBET-0933415 39,377 NATIONAL SCIENCE FOUNDATION 47.041 CBET-1039869 45,157 NATIONAL SCIENCE FOUNDATION 47.041 CBET-1106118 106,852 NATIONAL SCIENCE FOUNDATION 47.041 ECCS-1129010 25,743 NATIONAL SCIENCE FOUNDATION 47.041 ECCS-1138749 69,881 NATIONAL SCIENCE FOUNDATION 47.049 DMS-0545895 22,205 NATIONAL SCIENCE FOUNDATION 47.049 AST-0708284 38,938 NATIONAL SCIENCE FOUNDATION 47.049 DMR-0710581 122,093 NATIONAL SCIENCE FOUNDATION 47.049 CHE-0745590 75,737 NATIONAL SCIENCE FOUNDATION 47.049 CHE-0809669 66,585 NATIONAL SCIENCE FOUNDATION 47.049 CHE-0848081 83,766 NATIONAL SCIENCE FOUNDATION 47.049 DMR-0902936 65,963 NATIONAL SCIENCE FOUNDATION 47.049 PHY-0969986 197,436 NATIONAL SCIENCE FOUNDATION 47.049 DMR-1005525 95,560 NATIONAL SCIENCE FOUNDATION 47.049 PHY-1005578 43,004 NATIONAL SCIENCE FOUNDATION 47.049 DMR-1056493 105,336 NATIONAL SCIENCE FOUNDATION 47.049 AST-1109576 73,269 NATIONAL SCIENCE FOUNDATION 47.049 CHE-1112250 39,779 NATIONAL SCIENCE FOUNDATION 47.049 CHE-1149367 15,748 NATIONAL SCIENCE FOUNDATION 47.049 PHY-0969297 145,344 NATIONAL SCIENCE FOUNDATION 47.049 PHY-0969788 155,626 NATIONAL SCIENCE FOUNDATION 47.049 DMR-1108285 45,173 NATIONAL SCIENCE FOUNDATION 47.074 IOS-0615753 8,221 NATIONAL SCIENCE FOUNDATION 47.074 DEB-0629819 67,617 NATIONAL SCIENCE FOUNDATION 47.074 IOS-0724135 8,145 NATIONAL SCIENCE FOUNDATION 47.074 IOS-0744798 49,614 NATIONAL SCIENCE FOUNDATION 47.074 IOS-0821930 160,397 NATIONAL SCIENCE FOUNDATION 47.074 IOS-0818412 29,439 NATIONAL SCIENCE FOUNDATION 47.074 IOS-0842624 108,610 NATIONAL SCIENCE FOUNDATION 47.074 DEB-0936855 160,497 NATIONAL SCIENCE FOUNDATION 47.074 IOS-0958926 22,199 NATIONAL SCIENCE FOUNDATION 47.074 IOS-0955569 121,280 NATIONAL SCIENCE FOUNDATION 47.074 IOS-1050154 93,155 NATIONAL SCIENCE FOUNDATION 47.074 DBI-1062327 22,862 NATIONAL SCIENCE FOUNDATION 47.074 IOS-1145887 22,903 NATIONAL SCIENCE FOUNDATION 47.074 IOS-1147087 5,431 NATIONAL SCIENCE FOUNDATION 47.075 BCS-0720025 13,474 NATIONAL SCIENCE FOUNDATION 47.075 BCS-0921952 101,953 NATIONAL SCIENCE FOUNDATION 47.075 BCS-1010118 32,373 NATIONAL SCIENCE FOUNDATION 47.075 SES-1051027 816 NATIONAL SCIENCE FOUNDATION 47.075 SES-1127710 71,909 NATIONAL SCIENCE FOUNDATION 47.075 BSC-1127164 30,228 NATIONAL SCIENCE FOUNDATION 47.076 HRD-0930229 120,992 NATIONAL SCIENCE FOUNDATION 47.076 DUE-0941224 99,258 NATIONAL SCIENCE FOUNDATION 47.076 DGE-0947813 454,037 NATIONAL SCIENCE FOUNDATION 47.076 DGE-1060934 34,994 NATIONAL SCIENCE FOUNDATION 47.076 DUE-0833295 144,996 NATIONAL SCIENCE FOUNDATION 47.076 DUE-0837751 24,408 NATIONAL SCIENCE FOUNDATION 47.078 ANT-1043576 31,570 NATIONAL SCIENCE FOUNDATION 47.078 ANT-1142720 28,174 NATIONAL SCIENCE FOUNDATION 47.079 OISE-0730257 459,189 ARRA-NATIONAL SCIENCE FOUNDATION 47.082 ARRA-DBI-0845955 73,511 ARRA-NATIONAL SCIENCE FOUNDATION 47.082 ARRA-SES-0851764 126,250 ARRA-NATIONAL SCIENCE FOUNDATION 47.082 ARRA-DMR-0906825 115,655 ARRA-NATIONAL SCIENCE FOUNDATION 47.082 ARRA-CHE-0911160 117,279 ARRA-NATIONAL SCIENCE FOUNDATION 47.082 ARRA-CCF-0915418 40,840 ARRA-NATIONAL SCIENCE FOUNDATION 47.082 ARRA-DEB-0918681 45,884 ARRA-NATIONAL SCIENCE FOUNDATION 47.082 ARRA-IOS-0918661 140,069 ARRA-NATIONAL SCIENCE FOUNDATION 47.082 ARRA-EAR-0922067 26,987 ARRA-NATIONAL SCIENCE FOUNDATION 47.082 ARRA-DBI-0922988 44,222 ARRA-NATIONAL SCIENCE FOUNDATION 47.082 ARRA-EAR-0933619 34,250 ARRA-NATIONAL SCIENCE FOUNDATION 47.082 ARRA-ANT-0944168 77,579 ARRA-NATIONAL SCIENCE FOUNDATION 47.082 ARRA-PHY-0963376 321,270 NATIONAL SCIENCE FOUNDATION 47.050 EAR-0844256 37,617 NATIONAL SCIENCE FOUNDATION 47.050 OCE-1061973 44,813 NATIONAL SCIENCE FOUNDATION 47.070 IIS-1018590 72,622 NATIONAL SCIENCE FOUNDATION 47.070 CCF-1054339 55,340 NATIONAL SCIENCE FOUNDATION 47.070 IIS-1117489 41,638 NATIONAL SCIENCE FOUNDATION 47.070 IIS-1135361 18,797 NATIONAL SCIENCE FOUNDATION 47.XXX AST-0956640 134,923 Subtotal Direct Programs 5,852,316
See Notes to Schedule of Expenditures 95 of Federal Awards. Ohio University Schedule of Expenditures of Federal Awards (Continued) Year Ended June 30, 2012
Federal Agency/Pass-Through Grantor CFDA No. Federal/Pass-Through Grant Number Expenditures
RESEARCH AND DEVELOPMENT CLUSTER (con't) NATIONAL SCIENCE FOUNDATION (con't) Pass-Through Programs From: OAKLAND UNIVERSITY 47.XXX DMR-710529$ 1,006 OHIO STATE UNIVERSITY 47.049 RF01042477; 60004660 239 PURDUE UNIVERSITY 47.070 4101-41416 13,590 THE COLLEGE OF WILLIAM & MARY 47.049 713141/OUsub01, OUsub02 81,416 UNIVERSITY OF ALASKA FAIRBANKS 47.078 UAF 09-0036; FP901996 41,872 UNIVERSITY OF TENNESSEE 47.076 OR1102-001.04 24,610 Subtotal Pass-Through Programs 162,733
Total National Science Foundation 6,015,049
TOTAL RESEARCH AND DEVELOPMENT CLUSTER 20,565,511
CHILD NUTRITION CLUSTER DEPARTMENT OF AGRICULTURE Pass-Through Programs From: Ck# 4278941, #4322231; #981506; #6255957; OHIO DEPARTMENT OF EDUCATION 10.559 #11216276; #14854182; #18135514 8,280
TOTAL CHILD NUTRITION CLUSTER 8,280
ECONOMIC DEVELOPMENT CLUSTER ECONOMIC DEVELOPMENT ADMINISTRATION Direct Programs: ECONOMIC DEVELOPMENT ADMINISTRATION 11.307 06-79-05483 604,327
TOTAL ECONOMIC DEVELOPMENT CLUSTER 604,327
FISH AND WILDLIFE CLUSTER DEPARTMENT OF THE INTERIOR Pass-Through Programs From: COMMONWEALTH OF KENTUCKY DEPARTMENT OF FISH AND WI 15.605 0700006848; 0800016307; 1000004546 820
TOTAL FISH AND WILDLIFE CLUSTER 820
HIGHWAY PLANNING AND CONSTRUCTION CLUSTER DEPARTMENT OF TRANSPORTATION Pass-Through Programs From: APPLIED RESEARCH ASSOCIATES 20.205 TSA-0001491-OhioU-00; 16961 9,353 OHIO DEPARTMENT OF TRANSPORTATION 20.205 21182 102,661 OHIO DEPARTMENT OF TRANSPORTATION 20.205 21934 139,576 OHIO DEPARTMENT OF TRANSPORTATION 20.205 21916 70,325 OHIO DEPARTMENT OF TRANSPORTATION 20.205 Federal Agreement No. E111419 11,914 OHIO DEPARTMENT OF TRANSPORTATION 20.205 24864 81,903 OHIO DEPARTMENT OF TRANSPORTATION 20.205 24903; 134659 18,011 OHIO DEPARTMENT OF TRANSPORTATION 20.205 24605; 134626 21,911 TEXAS A&M UNIVERSITY 20.205 9-S120302 7,089 UNIVERSITY OF AKRON 20.205 24285 39,367
TOTAL HIGHWAY PLANNING AND CONSTRUCTION CLUSTER 502,110
See Notes to Schedule of Expenditures 96 of Federal Awards. Ohio University Schedule of Expenditures of Federal Awards (Continued) Year Ended June 30, 2012
Federal Agency/Pass-Through Grantor CFDA No. Federal/Pass-Through Grant Number Expenditures
TRIO CLUSTER DEPARTMENT OF EDUCATION Direct Programs: U S DEPARTMENT OF EDUCATION 84.042A P042A100511$ 315,338 U S DEPARTMENT OF EDUCATION 84.047A P047A080818 282,220 U S DEPARTMENT OF EDUCATION 84.047A P047A121446 43,972
TOTAL TRIO CLUSTER 641,530
EARLY INTERVENTION SERVICES (IDEA) CLUSTER DEPARTMENT OF EDUCATION Pass-Through Programs From: OHIO CHILD CARE RESOURCE AND REFERRAL ASSOCIATION 84.181A UNKNOWN 3,106
TOTAL EARLY INTERVENTION SERVICES CLUSTER 3,106
TANF CLUSTER DEPARTMENT OF HEALTH AND HUMAN SERVICES Pass-Through Programs From: OHIO BOARD OF REGENTS 93.558 UNKNOWN 16,447 OHIO DEPARTMENT OF JOBS AND FAMILY SERVICES 93.558 G-1011-21-0625 669
TOTAL TANF CLUSTER 17,116
CSBG CLUSTER DEPARTMENT OF HEALTH AND HUMAN SERVICES Pass-Through Programs From: ARRA-OHIO ASSOCIATION OF COMMUNITY ACTION AGENCIES 93.710 ARRA-UNKNOWN 84,079
TOTAL CSBG CLUSTER 84,079
CCDF CLUSTER DEPARTMENT OF HEALTH AND HUMAN SERVICES Pass-Through Programs From: OHIO CHILD CARE RESOURCE AND REFERRAL ASSOCIATION 93.575 UNKNOWN 8,839
TOTAL CCDF CLUSTER 8,839
MEDICAID CLUSTER DEPARTMENT OF HEALTH AND HUMAN SERVICES Pass-Through Programs From: OHIO STATE UNIVERSITY 93.778 RF01273253; 60032973/60034117 56,487
TOTAL MEDICAID CLUSTER 56,487
OTHER PROGRAMS APPALACHIAN REGIONAL COMMISSION Direct Programs: APPALACHIAN REGIONAL COMMISSION 23.XXX CO-16608-2010 39,782
Pass-Through Programs From: OHIO APPALACHIAN CENTER FOR HIGHER EDUCATION 23.XXX UNKNOWN 2,922 OHIO APPALACHIAN CENTER FOR HIGHER EDUCATION 23.XXX UNKNOWN 800 Subtotal Pass-Through Programs 3,722
Total Appalachian Regional Commission 43,504
CORPORATION FOR NATIONAL AND COMMUNITY SERVICE Pass-Through Programs From: OHIO ASSOCIATION OF SECOND HARVEST FOOD BANKS 94.XXX UNKNOWN 5,265
OHIO COMMISSION ON SERVICE AND VOLUNTEERISM 94.006 06AFH-2550-11-OC068; 06AFH-1502-12-OC068 258,866 RURAL ACTION INC 94.XXX UNKNOWN 800
Total Corporation for National and Community Service 264,931
See Notes to Schedule of Expenditures 97 of Federal Awards. Ohio University Schedule of Expenditures of Federal Awards (Continued) Year Ended June 30, 2012
Federal Agency/Pass-Through Grantor CFDA No. Federal/Pass-Through Grant Number Expenditures
OTHER PROGRAMS (con't) DEPARTMENT OF AGRICULTURE Direct Programs: U S DEPARTMENT OF AGRICULTURE 10.769 41-005-316402113 $ 143,328 U S DEPARTMENT OF AGRICULTURE 10.769 RBEG 266 Subtotal Direct Programs 143,594
Pass-Through Programs From: DOH01-0000023180; DOH01-0000023782; OHIO DEPARTMENT OF HEALTH 10.557 DOH01-0000023782 41,648 60029794 (PO# RF01243310),60033875 (PO# OHIO STATE UNIVERSITY 10.500 RF01290212) 23,667 Subtotal Pass-Through Programs 65,315
Total Department of Agriculture 208,909
DEPARTMENT OF COMMERCE Direct Programs: ECONOMIC DEVELOPMENT ADMINISTRATION 11.302 06-86-05482 75,373 NATIONAL INSTITUTE OF STANDARDS AND TECHNOLOGY 11.550 39-02-N09028 27,199 NATIONAL INSTITUTE OF STANDARDS AND TECHNOLOGY 11.550 39-01-N10087 25,115 Subtotal Direct Programs 127,687
Pass-Through Programs From: 06-66- 04858/04616/04741/04955/05054/05301/0570 BOWLING GREEN STATE UNIVERSITY 11.303 4 32,964 UNIVERSITY OF MICHIGAN 11.XXX 3001346678 4,800 Subtotal Pass-Through Programs 37,764
Total Department of Commerce 165,451
DEPARTMENT OF DEFENSE Pass-Through Programs From: AIR FORCE OFFICE OF SCIENTIFIC RESEARCH 12.800 FA9550-12-1-0283 10,000 US ARMY RDECOM ACQUISITION CENTER 12.431 W911NF-12-1-0105 10,933 Subtotal Direct Programs 20,933
Pass-Through Programs From: MBDD 03-013/04-017/05-010/06-016/07- 015/08-012; MBED 09-015; MBDD 10-016/11- OHIO DEPARTMENT OF DEVELOPMENT 12.002 013/12-015 32,748
Total Department of Defense 53,681
DEPARTMENT OF EDUCATION Direct Programs: U S DEPARTMENT OF EDUCATION 84.015A P015A060159 27,920 U S DEPARTMENT OF EDUCATION 84.015A P015A060008 400 U S DEPARTMENT OF EDUCATION 84.015A P015A100009 152,956 U S DEPARTMENT OF EDUCATION 84.015B P015B100009, P015B100009-12 249,202 U S DEPARTMENT OF EDUCATION 84.021A P021A080002 36,199 U S DEPARTMENT OF EDUCATION 84.215P U215P110022 179,104 Subtotal Direct Programs 645,781
See Notes to Schedule of Expenditures 98 of Federal Awards. Ohio University Schedule of Expenditures of Federal Awards (Continued) Year Ended June 30, 2012
Federal Agency/Pass-Through Grantor CFDA No. Federal/Pass-Through Grant Number Expenditures
OTHER PROGRAMS (con't) DEPARTMENT OF EDUCATION (con't) Pass-Through Programs From: ATHENS CITY SCHOOL DISTRICT 84.287C 5720$ 66,712 ATHENS CITY SCHOOL DISTRICT 84.XXX UNKNOWN 17,537 ATHENS CITY SCHOOL DISTRICT 84.XXX UNKNOWN 11,306 BELLAIRE LOCAL SCHOOL DISTRICT 84.XXX UNKNOWN 27,611 TPFDBASE0607_K/0708_K/0809_K; 0610_K; COLUMBUS STATE COMMUNITY COLLEGE 84.243 0611_K 1,432 COTIM MEMBERS 84.015B P015A060157 10,600 EAST CENTRAL OHIO ESC 84.287 UNKNOWN 3,592 FEDERAL HOCKING LOCAL SCHOOL DISTRICT 84.287C 192 79,377 FEDERAL HOCKING LOCAL SCHOOL DISTRICT 84.287 5901 148,062 GALLIA-VINTON EDUCATIONAL SERVICE CENTER 84.XXX UNKNOWN 11,883 ILLINOIS STATE BOARD OF EDUCATION 84.XXX UNKNOWN 1,576 INSTITUTE FOR INTERNATIONAL EDUCATION 84.XXX UNKNOWN 840 KRATOS TECHNOLOGY AND TRAINING SOLUTIONS, INC. 84.XXX KTTS-0048-RMC01;PO-0002879 70,663 MEIGS LOCAL SCHOOL DISTRICT 84.364A 71007 22,603 NATIONAL WRITING PROJECT CORPORATION 84.928A 07-OH06 42,347 OHIO APPALACHIAN CENTER FOR HIGHER EDUCATION 84.378A UNKNOWN 4,922 BOR01-0000001452; BOR01-0000001623; OHIO BOARD OF REGENTS 84.334A BOR01-0000001779; BOR01-0000002404 80,485 OHIO BOARD OF REGENTS 84.334S BOR01-0000001778; BOR-01-0000002395 69,533 OHIO BOARD OF REGENTS 84.XXX 13455 17,248 OHIO BOARD OF REGENTS 84.002 PO 316,770 OHIO BOARD OF REGENTS 84.367 14519 112,064 OHIO BOARD OF REGENTS 84.367 10-38, 11-35 192,256 OHIO REHABILITATION SERVICES COMMISSION 84.XXX RSC01-0000005956 5,500 OHIO STATE UNIVERSITY 84.350C RF01097801; 60012518 34,270 OHIO VIRTUAL ACADEMY 84.XXX UNKNOWN 1,350 90505, 90509, 90506; 100382, 100384, 100383; 110623, 110624; 110414; 120146, 120147, PERRY HOCKING EDUCATIONAL SERVICE CENTER 84.XXX 120148 18,496 ROSS COUNTY COMMUNITY ACTION AGENCY 84.XXX Ck# 014179 2,500 SINCLAIR COMMUNITY COLLEGE 84.002 UNKNOWN 5,948 SOUTHERN LOCAL SCHOOL DISTRICT (PERRY COUNTY) 84.XXX UNKNOWN 36,266 STARK EDUCATION PARTNERSHIP 84.XXX Ck# 13574 39,319 TRIMBLE LOCAL SCHOOL DISTRICT 84.215K U215K100256 58,595 TRIMBLE LOCAL SCHOOL DISTRICT 84.287C UNKNOWN 150,716 TRIMBLE LOCAL SCHOOL DISTRICT 84.XXX UNKNOWN 46,593 WELLSTON CITY SCHOOL DISTRICT 84.395A 72127 47 WELLSTON CITY SCHOOL DISTRICT 84.395A UNKNOWN 10,636 Subtotal Pass-Through Programs 1,719,655
Total Department of Education 2,365,436
DEPARTMENT OF ENERGY Direct Programs: U S DEPARTMENT OF ENERGY 81.214 DE-EM0000357 425,194
Pass-Through Programs From: FLUOR B&W PORTSMOUTH, LLC 81.XXX PO-0002257 83,910 FLUOR B&W PORTSMOUTH, LLC 81.XXX PO-0003901 6,094 OHIO DEPARTMENT OF DEVELOPMENT 81.041 SEP-11-05 14,573 ARRA-OHIO DEPARTMENT OF DEVELOPMENT 81.128 ARRA-EECBG-10-17 1,080,345 ARRA-OHIO DEPARTMENT OF DEVELOPMENT 81.128 ARRA-EECBG-10-16 265,900 Subtotal Pass-Through Programs 1,450,822
Total Department of Energy 1,876,016
DEPARTMENT OF HEALTH AND HUMAN SERVICES Direct Programs: Centers for Disease Control CENTERS FOR DISEASE CONTROL AND PREVENTION 93.946 H75DP002306 107,334
Health Resources and Services Administration HEALTH RESOURCES AND SERVICES ADMINISTRATION 93.247 D09HP09349 370,981 HEALTH RESOURCES AND SERVICES ADMINISTRATION 93.358 A10HP22082 29,976 HEALTH RESOURCES AND SERVICES ADMINISTRATION 93.359 D11HP22202-01-00 116,184 HEALTH RESOURCES AND SERVICES ADMINISTRATION 93.912 D04RH12664 84,815 601,956
Subtotal Direct Programs 709,290
See Notes to Schedule of Expenditures 99 of Federal Awards. Ohio University Schedule of Expenditures of Federal Awards (Continued) Year Ended June 30, 2012
Federal Agency/Pass-Through Grantor CFDA No. Federal/Pass-Through Grant Number Expenditures
OTHER PROGRAMS (con't) DEPARTMENT OF HEALTH AND HUMAN SERVICES (con't) Pass-Through Programs From: ATHENS CITY-COUNTY HEALTH DEPARTMENT 93.991 2B01DP009042-09$ 8,538 ATHENS HOCKING VINTON 317 BOARD 93.XXX UNKNOWN 13,335 ARRA-CASE WESTERN RESERVE UNIVERSITY 93.718 ARRA-90RC001201 7,500 CROSSROADS COUNSELING SERVICES, INC. 93.XXX UNKNOWN 1,919 FAIRFIELD COUNTY FAMILY, ADULT & CHILDREN FIRST CO 93.276 UNKNOWN 5,303 FRIENDS OF THE CONGRESSIONAL GLAUCOMA CAUCUS 93.XXX SSSP# 53 328 IRONTON LAWRENCE COMMUNITY ACTION ORGANIZATION 93.XXX UNKNOWN 13,998 MENTAL HEALTH AND RECOVERY SERVICES BOARD OF STARK 93.XXX UNKNOWN 3,837 OHIO CHILD CARE RESOURCE AND REFERRAL ASSOCIATION 93.994 UNKNOWN 9,078 ADA01-0000001256; ADA01-0000001621; OHIO DEPARTMENT OF ALCOHOL AND DRUG ADDICTION 93.XXX ADA01-0000001875; ADA01-0000002167 224,307 OHIO DEPARTMENT OF ALCOHOL AND DRUG ADDICTION 93.XXX ADA01-0000002006 64,111 OHIO DEPARTMENT OF HEALTH 93.243 00540011LA0110/LA0211/LA0312 875,273 OHIO DEPARTMENT OF HEALTH 93.283 5U58DP000795-04 18,920
05-4-001-1-MC-07; OHIO DEPARTMENT OF HEALTH 93.994 00540011MC0108/0209/0310/0411/0512/0613 53,932 OHIO DEPARTMENT OF JOBS AND FAMILY SERVICES 93.645 G-1213-06-0150; JFS01-0000011562 9,712
OHIO DEPARTMENT OF JOBS AND FAMILY SERVICES 93.654 JFS01-0000008516; JFS01-0000009830/10742 4,555
OHIO DEPARTMENT OF JOBS AND FAMILY SERVICES 93.658 JFS01-0000008516; JFS01-0000009830/10742 4,917 OHIO DEPARTMENT OF JOBS AND FAMILY SERVICES 93.658 G-1213-06-0150; JFS01-0000011562 31,489
OHIO DEPARTMENT OF JOBS AND FAMILY SERVICES 93.659 JFS01-0000008516; JFS01-0000009830/10742 5,550 ARRA-OHIO HEALTH INFORMATION PARTNERSHIP (OHIP) 93.718 ARRA-90RC001201 631,237 PICKAWAY COUNTY COMMUNITY ACTION ORGANIZATION 93.XXX UNKNOWN 5,000 THE CENTER FOR APPALACHIAN PHILANTHROPY 93.283 01 A-2 41,092 F 2007-6; PO# 85448; F2008-17; PO#116919; THE UNIVERSITY OF TOLEDO 93.107 PO# 141877; F-2010-31 47,012 THE UNIVERSITY OF TOLEDO 93.107 F-2012-1111 82,855 Subtotal Pass-Through Programs 2,163,798
Total Department of Health and Human Services 2,873,088
DEPARTMENT OF HOMELAND SECURITY Direct Programs: FEDERAL EMERGENCY MANAGEMENT AGENCY 97.036 FEMA-4002-DR-09-UAGH2 63,749
Pass-Through Programs From: FRANKLIN COUNTY OFFICE OF HOMELAND SECURITY & JUST 97.008 0298-12 4,312 FRANKLIN COUNTY OFFICE OF HOMELAND SECURITY & JUST 97.008 08-UASI-OU 90,470 Subtotal Pass-Through Programs 94,782
Total Department of Homeland Security 158,531
DEPARTMENT OF JUSTICE Direct Programs: FEDERAL BUREAU OF PRISONS 16.XXX DJBP010200000009 17,569 U S DEPARTMENT OF JUSTICE 16.525 2009-WA-AX-0003 73,402
Total Department of Justice 90,971
DEPARTMENT OF LABOR Direct Programs: U S DEPARTMENT OF LABOR 17.268 HG-22714-12-60-A-39 135
Pass-Through Programs From: ARRA-OHIO BOARD OF REGENTS 17.275 ARRA-A-1011-15-0727 (81)
Total Department of Labor 54
DEPARTMENT OF STATE Direct Programs: U S DEPARTMENT OF STATE 19.401 S-ECAAE-11-CA-076 (DT) 238,088 U S DEPARTMENT OF STATE 19.401 S-ECAAE-12-CA-076 Preaward 26,110 U S DEPARTMENT OF STATE 19.415 S-ECAPE-09-GR-199 (KF) 42,018
Total Department of the State 306,216
See Notes to Schedule of Expenditures 100 of Federal Awards. Ohio University Schedule of Expenditures of Federal Awards (Continued) Year Ended June 30, 2012
Federal Agency/Pass-Through Grantor CFDA No. Federal/Pass-Through Grant Number Expenditures
OTHER PROGRAMS (con't) DEPARTMENT OF TRANSPORTATION Direct Programs: FEDERAL AVIATION ADMINISTRATION 20.106 3-39-0006-1710$ 20,592 FEDERAL AVIATION ADMINISTRATION 20.106 3-39-0006-1609 7,095 Subtotal Direct Programs 27,687
Pass-Through Programs From: NORTHEAST OHIO AREAWIDE COORDINATING AGENCY 20.XXX 6429e 7,054
Total Department of Transportation 34,741
DEPARTMENT OF VETERANS AFFAIRS Direct Programs: VETERANS AFFAIRS MEDICAL CENTER 64.XXX V538S-336 1,971
Total Department of Veterans Affairs 1,971
ENVIRONMENTAL PROTECTION AGENCY Direct Programs: U S ENVIRONMENTAL PROTECTION AGENCY 66.034 XA-83492901 25,789
Pass-Through Programs From: PO 25303; 26259; 28138; 29118; 210141; MIAMI VALLEY REGIONAL PLANNING COMMISSION 66.XXX 211017; 212010 11,739 MIDWEST BIODIVERSITY INSTITUTE 66.XXX UNKNOWN 99,889 NORTHEAST OHIO AREAWIDE COORDINATING AGENCY 66.XXX UNKNOWN 14,946 OHIO ENVIRONMENTAL PROTECTION AGENCY 66.460 10(h) EPA-11 342,771 STATE OF WASHINGTON 66.817 IA C1200080 3,502 Subtotal Pass-Through Programs 472,847
Total Environmental Protection Agency 498,636
NATIONAL AERONAUTICS AND SPACE ADMINISTRATION Pass-Through Programs From: OHIO AEROSPACE INSTITUTE 43.XXX OSCG 064749 23,526 OHIO AEROSPACE INSTITUTE 43.XXX Ck #1369 17,945 OHIO AEROSPACE INSTITUTE 43.XXX UNKNOWN 13,500
Total National Aeronautics and Space Administration 54,971
NATIONAL ENDOWMENT FOR THE ARTS Direct Programs: NATIONAL ENDOWMENT FOR THE ARTS 45.024 11-5200-7075 8,784 NATIONAL ENDOWMENT FOR THE ARTS 45.024 11-3400-7021 15 Subtotal Direct Programs 8,799
Pass-Through Programs From: OHIO HUMANITIES COUNCIL 45.XXX OHC-R12-026 2,884
Total National Endowment for the Arts 11,683
NATIONAL HISTORICAL PUBLICATIONS AND RECORDS COMMISSION Direct Programs: NATIONAL HISTORICAL PUBLICATIONS AND RECORDS COMMI 89.003 NAR09-RB-50056-09 16,033
Total National Historical Publications and Records Commission 16,033
SMALL BUSINESS ADMINISTRATION Direct Programs: U S SMALL BUSINESS ADMINISTRATION 59.000 SBAHQ-08-I-0044; SBAHQ-09-I-0192 67,758
Pass-Through Programs From: FOUNDATION FOR APPALACHIAN OHIO 59.XXX SBAHQ-09-I-0097 35,157 ECDD 04-101/05-169/06-125/07-146/08-102/09- OHIO DEPARTMENT OF DEVELOPMENT 59.037 185/10-179/11-232/12-090 97,195 OHIO DEPARTMENT OF DEVELOPMENT 59.037 12-265A 1,764 OHIO DEPARTMENT OF DEVELOPMENT 59.XXX ECDD 11-288 22,500 Subtotal Pass-Through Programs 156,616
Total Small Business Administration 224,374
UNITED STATES AGENCY FOR INTERNATIONAL DEVELOPMENT Pass-Through Programs From: FHI360 98.XXX 3879-OU-01; 3879-CARE-01 327,808 AMERICAN COUNCIL ON EDUCATION 98.012 EDH-A-00-08-00008-00 73,082
Total United States Agency for International Development 400,890
TOTAL OTHER PROGRAMS 9,650,087
GRAND TOTAL FEDERAL AWARDS $ 302,923,349
See Notes to Schedule of Expenditures 101 of Federal Awards. Ohio University Notes to Schedule of Expenditures of Federal Awards Year Ended June 30, 2012
Note 1 - Basis of Presentation and Significant Accounting Policies The accompanying schedule of expenditures of federal awards (the “Schedule”) includes the federal grant activity of Ohio University under programs of the federal government for the year ended June 30, 2012. Expenditures reported on the Schedule are reported on the same basis of accounting as the basic financial statements, although the basis for determining when federal awards are expended is presented in accordance with the requirements of OMB Circular A-133, Audits of States, Local Governments, and Non-Profit Organizations. In addition, expenditures reported on the Schedule are recognized following the cost principles contained in OMB Circular A-21, wherein certain types of expenditures are not allowable or are limited as to reimbursement. Therefore, some amounts presented in this Schedule may differ from amounts presented in, or used in the preparation of, the basic financial statements. Because the Schedule presents only a selected portion of the operations of Ohio University, it is not intended to and does not present the financial position, changes in net assets, or cash flows, if applicable, of Ohio University. Pass-through entity identifying numbers are presented where available. Note 2 - Noncash Assistance During the year ended June 30, 2012, Ohio University did not receive any nonmonetary assistance. Note 3 - Catalog of Federal Domestic Assistance (CFDA) Numbers All programs with identifiable CFDA numbers have been listed separately. Grant numbers have been provided for several programs for which CFDA numbers were not available.
102 Ohio University Notes to Schedule of Expenditures of Federal Awards Year Ended June 30, 2012
Note 4 - Subrecipient Awards Of the federal expenditures presented in the Schedule, federal awards were provided to subrecipients as follows: Amount Provided to Federal Program Title CFDA Number Subrecipients Economic Development Support for Planning Organizations 11.302 $ 2,642 Economic Adjustment Assistance 11.307 125,469 Basic, Applied, and Advanced Research in Science and Engineering 12.630 194,817 Aviation Research Grants 20.108 39,840 Highway Planning and Construction 20.205 36,760 Design, Development, Verification, and Validation of An Integrated Alerting and Notification Function for an Intelligent Integrated Flight Deck 43.XXX 234,214 Social, Behavioral, and Economic Sciences 47.075 29,912 Education and Human Resources 47.076 272,668 Trans-NSF Recovery Act Research Support 47.082 28,838 Nonpoint Source Implementation Grants 66.460 331,240 State Energy Program 81.041 42,942 Renewable Energy Research and Development 81.087 26,484 Advanced Research and Projects Agency - Energy Financial Assistance Program 81.135 11,576 Overseas Programs - Group Projects Abroad 84.021A 28,995 Research Related to Deafness and Communication Disorders 93.173 343,469 Mental Health Research Grants 93.242 38,838 Substance Abuse and Mental Health Services Projects of Regional and National Significance 93.243 438,728 Trans-NIH Recovery Act Research Support 93.701 47 Health Information Technology Regional Extension Centers Program 93.718 489,675 Blood Diseases and Resources Research 93.839 (186) Biomedical Research and Research Training 93.859 30,641 Rural Health Care Services Outreach and Rural Health Network Development Program 93.912 51,447 Cooperative Agreements to Support State-Based Safe Motherhood and Infant Health Initiative Programs 93.946 26,596 International Research and Research Training 93.989 54,530 Ohio Strategic Prevention Framework State Incentive Grant (SPF-SIG) Evaluation 93.XXX 142,577 Total $ 3,022,759
103 Ohio University Notes to Schedule of Expenditures of Federal Awards Year Ended June 30, 2012
Note 5 - Adjustments and Transfers As allowable and in accordance with federal regulations issued by the U.S. Department of Education, in the year ended June 30, 2012, the University expended $87,603 of the 2010-2011 Federal Work Study (FWS) Program (84.033) award carried forward to the 2011-2012 award year. The University also carried forward $114,391 of the 2011-2012 FWS Program (84.033) to be expended in the 2012-2013 award year. During the year ended June 30, 2012, the University transferred $111,519 of the 2011- 2012 FWS Program (84.033) award to the Supplemental Educational Opportunity Grant (SEOG) Program (84.007). In addition, the University expended $72,819 of the 2010- 2011 SEOG Program (84.007) award carried forward to the 2011-2012 award year. The University carried forward $65,721 of the 2011-2012 SEOG Program (84.007) to be expended in the 2012-2013 award year.
104 Ohio University Schedule of Findings and Questioned Costs Year Ended June 30, 2012
Section I - Summary of Auditor's Results Financial Statements Type of auditor's report issued: Unqualified Internal control over financial reporting: Material weakness(es) identified? Yes X No Significant deficiency(ies) identified that are not considered to be material weaknesses? Yes X None reported Noncompliance material to financial statements noted? Yes X No Federal Awards Internal control over major programs: Material weakness(es) identified? X Yes No Significant deficiency(ies) identified that are not considered to be material weaknesses? Yes X None reported Type of auditor's report issued on compliance for major programs: Unqualified Any audit findings disclosed that are required to be reported in accordance with Section 510(a) of Circular A-133? X Yes No Identification of major programs:
CFDA Numbers Name of Federal Program or Cluster 84.007, 84.033, 84.038, 84.063, 84.268, 84.375, 84.376, 84.379, 93.342, and 93.925 Student Financial Aid Cluster 81.128 ARRA - Ohio Department of Development
Dollar threshold used to distinguish between type A and type B programs: $1,363,668 Auditee qualified as low-risk auditee? X Yes No
105 Ohio University Schedule of Findings and Questioned Costs (Continued) Year Ended June 30, 2012
Section II - Financial Statement Audit Findings None
106 Ohio University Schedule of Findings and Questioned Costs (Continued) Year Ended June 30, 2012
Section III - Federal Program Audit Findings
Reference Number Finding 2012-01 Program Name - Student Financial Aid Cluster - Federal Direct Student Loans and Perkins Loan Program - 84.268 and 84.063 Pass-through Entity - NA Finding Type - Material weakness and material noncompliance with laws and regulations Criteria - Special tests and provisions compliance requirement - Changes in a student’s status are required to be reported to the National Student Loan Data System (NSLDS) within 30 days of the change or included in a Student Status Confirmation Report (SSCR) sent to the NSLDS within 60 days of the status change (34 CFR § 682.610). Condition - The University did not report status changes within the required time frame. Questioned Costs - None Context - Of the 25 students tested for status change testing, 23 of those students did not have status changes reported in a timely manner. Cause and Effect - The University transmits student enrollment data to the Federal Clearinghouse, but not within the timeline required by federal regulations. As a result, these students did not have status changes updated with the Federal Clearinghouse or the NSLDS within the required time frame. Recommendation - The University should submit student enrollment information more frequently to ensure compliance with federal regulations by having the registrar’s office upload reports on a monthly basis. Views of Responsible Officials and Planned Corrective Actions - Due to the transition and implementation of a new student system that went into effect for summer 2011, reports to the National Student Clearinghouse were delayed. Ohio University has been working closely with the National Student Clearinghouse to get its data submitted manually. Ohio University fully expects to submit data timely for the 2012-2013 year and will follow the Clearinghouse recommendation of submitting data monthly.
107 Ohio University Schedule of Findings and Questioned Costs (Continued) Year Ended June 30, 2012
Section III - Federal Program Audit Findings (Continued)
Reference Number Finding 2012-02 Program Name - Student Financial Aid Cluster - 84.007, 84.033, 84.063, 84.375, 84.376, 84.268, 84.038, and 84.379 Pass-through Entity - None Finding Type - Material weakness and material noncompliance with laws and regulations Criteria - Special tests and provisions compliance requirement - Returns of Title IV funds are required to be disbursed directly to a student for any amount of a post- withdrawal disbursement of grant funds that is not credited to the student’s account. The institution must make the disbursement as soon as possible, but no later than 45 days after the date of the institution’s determination that the student withdrew (34 CFR § 668.22(a)(ii)(B)(1)). The withdrawal date is the date that the student began the withdrawal process, provided official notification to the school in writing or orally, or ceases attendance (34 CFR § 668.22(c) and (d)). Condition - The University did not return Title IV refunds to students within 45 days. Questioned Costs - None Context - Of the 25 students tested for return of Title IV funds, there were 18 instances in which Title IV refunds were not returned to students within 45 days. Cause and Effect - The calculations were not performed in a timely manner, resulting in a delay in the recording of the funds. Recommendation - We recommend the student financial aid department implement a review process and establish internal deadlines to ensure Title IV refunds are returned in a timely manner. Views of Responsible Officials and Planned Corrective Actions - The conversion to a new student system in summer 2011 resulted in a delay in developing reports to identify students subject to the Return to Title IV calculation. A preliminary report has been developed, and the University is in the process of reviewing and adjusting student accounts per federal regulations. The drawdown for federal funds was adjusted during the 2011-2012 financial aid year to eliminate issues with the return of funds to the federal programs.
108
Interoffice Communication
Date: October 31, 2012
To: The President and Board of Trustees
From: Stephen T. Golding, Vice President for Finance and Administration, CFO and Treasurer
Re: Investment Policy Update
As discussed at the September Resources Committee meeting, a brief overview of the current investment policy will be shared with you at the November meeting. The investment policy, as included within the materials is used to guide the investing of the University’s and the Foundation’s endowments as well as portions of both entities’ working capital. The overview will include discussion not only of those changes that were made to the prior version of the policy but, also, discussion of particular provisions that are of importance.
If you have questions on this matter, please do not hesitate to contact me.
Ohio University Investment Policy
Tab
Assets (at June 30, 2012) Endowments & Quasi-Endowments Foundation Endowments $232,740,738
Foundation Quasi $114,674,317
University Quasi University $32,206,997 Endowments $29,565,313 Investment Policy
Investment Objective Oversight - Fiduciary Responsibilities Asset Allocation Investment Managers Alternative Investments Investment Plan (Attachment A) Performance Benchmarks (Attachment B/C) Handling of Gifts (Attachment D) Illiquid Investments (Attachment E) Spending Policy (Attachment F)
Investment Objective
The long-term objective ….is to maximize the real return of the assets over a complete market cycle with emphasis on preserving capital and reducing volatility through prudent diversification.
Addition – All gifts are directed to the Fund unless programmatic concerns exist or specific market risk is identified by the managing fiduciary. Oversight – Foundation Board Investment Sub-Committee Major Responsibilities Ensure appropriateness of investment policy and make changes accordingly Appoint and oversee the managing fiduciary Establish custody accounts to hold assets Review the fund’s asset allocation and make changes accordingly Delegate specific administrative responsibilities dealing with the investment and reinvestment of the fund’s assets Monitor compliance with the investment policy Review performance
Oversight – Hirtle Callaghan Responsibilities
Invest funds within the guidelines and asset allocation ranges as set forth in the investment policy Evaluate the asset allocation of the fund and recommend changes as appropriate Allocating contributions and other cash flows to investment managers Taking all actions with respect to investment managers Setting investment guidelines for investment managers and monitoring their compliance Investment Plan Asset Allocation Asset Class % of total target Cash 0% - 10% 0% TIPS 3% - 10% 6% Fixed Income 7% - 22% 15% US Equity 16% - 37% 26% Global Equity (ex US) 16% - 37% 26% Absolute Return 0% - 23% 10% Real Assets 0% - 16% 8% Private Equity 0% - 15% 9%
Investment Managers
Selected by quantitative and qualitative review including: Management Investment philosophy Investment process Performance Organization of firm Operations of firm Complement to other managers in Fund Alternative Investments
Permissible alternative investments: Private real estate Limited partnership interests Private equity Hedge funds Consideration for alternative investments: Illiquidity of investment Fund’s overall allocation to alternatives
Performance Benchmarks
S&P 500/Barclays Capital Aggregate Bond Index Custom benchmark weighted by common industry benchmarks (by asset class): US Equities: Russell 1000, 2000, 3000 International Equities: MSCI EAFE, MSCI Emerging Markets Hedge Funds: HFR FOF Strategic Index Private Equity: S&P 500 Index plus 5.0% Core Fixed Income: Barclays Capital Aggregate Bond Index Real Estate: DJ Wilshire US Real Estate Index Handling of Gifts
ADD - Programmatic Considerations Immediate stock liquidation unless disposition exceeds 20% of the 30-day average daily trading volume Gifts of illiquid or non-marketable securities or founder’s stock to be assessed by Treasurer
Guidelines for Illiquid Investments
Not publicly traded and do not provide daily liquidity Illiquidity greater than three years Classified as private equity and private real estate CHANGE - Valuation Purpose – generate returns in excess of public market Diversification Monitoring Spending Policy
UPMIFA ADD – Ultimate approval by OUF Executive Committee Appropriation Endowed accounts (not underwater):
4.0% spending rate
2.0% administrative fee Underwater accounts
1.0% spending rate SPRING SEMESTER-2013 REGIONAL CAMPUSES INSTRUCTIONAL FEE, GENERAL FEE AND NON-RESIDENT SURCHARGE
RESOLUTION 2012 --
WHEREAS, Ohio University is committed to the strategy of equalizing rates for lower division and upper division courses at its Regional Campuses, and
WHEREAS, in consultation with the Ohio Board of Regents, the University determined that the instructional rates indicated on the proposed fee schedule (Attachment A) were appropriate for undergraduate students on the Regional Campuses, and
WHEREAS, instructional rates for the Spring 2013 semester will be adjusted to ensure that the total annual rates for 2012-3 will comply with the above proposed fee schedule as requested by the Ohio Board of Regents, and
WHEREAS, the rates comply with approved Amended Substitute House Bill 153 which allows the combined instructional and general fees for undergraduate students to increase by 3.5%.
NOW THEREFORE, BE IT RESOLVED that the Board of Trustees adopts the proposed fee schedules (Attachment A), effective Spring Semester 2013.
Interoffice Communication
Date: October 31, 2012
To: The President and Board of Trustees
From: Stephen T. Golding, Vice President for Finance and Administration, CFO and Treasurer
Re: Regional Instructional Fee
At the Board of Trustees meeting in June 2012, the Resources Committee reviewed and approved a strategy to equalize the instructional fee for upper division and lower division undergraduate students at the Regional Campuses. Based upon further conversation with the Ohio Board of Regents, the University has been asked to adjust the rate schedule to apply the 3.5% cap separately for lower and upper division students. Rate changes will be instituted effective for the Spring 2012 semester that will ensure that the annual rates for lower division students will meet this requirement. Rates for upper division students will remain as originally approved in June.
The attached rate schedule reflects the revised rates that will accomplish this adjustment.
Should you have questions prior to the meeting please do not hesitate to contact me.
OHIO UNIVERSITY 2012-13 Tuition Schedule
Regional Campus Undergraduate Tuition** Regional Campus Undergraduate Tuition Chillicothe, Lancaster, Zanesville Campuses Eastern and Southern Campuses Lower Division Lower Division Spring Semester 2012-13 Spring Semester 2012-13 Credit Instructional General Ohio Non-Resident Out-of-State Credit Instructional General Ohio Non-Resident Out-of-State Hours Fee Fee Resident Total Fee Resident Total Hours Fee Fee Resident Total Fee Resident Total 1 216 3 219 86 305 1 208 3 211 86 297 2 432 6 438 172 610 2 416 6 422 172 594 3 648 9 657 258 915 3 624 9 633 258 891 4 864 12 876 344 1,220 4 832 12 844 344 1,188 5 1,080 15 1,095 430 1,525 5 1,040 15 1,055 430 1,485 6 1,296 18 1,314 516 1,830 6 1,248 18 1,266 516 1,782 7 1,512 21 1,533 602 2,135 7 1,456 21 1,477 602 2,079 8 1,728 24 1,752 688 2,440 8 1,664 24 1,688 688 2,376 9 1,944 27 1,971 774 2,745 9 1,872 27 1,899 774 2,673 10 2,160 30 2,190 860 3,050 10 2,080 30 2,110 860 2,970 11 2,160 30 2,190 860 3,050 11 2,080 30 2,110 860 2,970 12-20* 2,372 33 2,405 923 3,328 12-20* 2,276 33 2,309 923 3,232 *Beyond 20 Hours: Resident Fee is $120/hr and Non-Resident Fee is $178/hr *Beyond 20 Hours: Resident Fee is $120/hr and Non-Resident Fee is $178/hr **Zanesville Campus students are charged an $8 Security Fee **Zanesville Campus students are charged an $8 Security Fee
Regional Campus Undergraduate Tuition** Regional Campus Undergraduate Tuition Chillicothe, Lancaster, Zanesville Campuses Eastern and Southern Campuses Upper Division Upper Division Spring Semester 2012-13 Spring Semester 2012-13 Credit Instructional General Ohio Non-Resident Out-of-State Credit Instructional General Ohio Non-Resident Out-of-State Hours Fee Fee Resident Total Fee Resident Total Hours Fee Fee Resident Total Fee Resident Total 1 219 3 222 86 308 1 219 3 222 86 308 2 438 6 444 172 616 2 438 6 444 172 616 3 657 9 666 258 924 3 657 9 666 258 924 4 876 12 888 344 1,232 4 876 12 888 344 1,232 5 1,095 15 1,110 430 1,540 5 1,095 15 1,110 430 1,540 6 1,314 18 1,332 516 1,848 6 1,314 18 1,332 516 1,848 7 1,533 21 1,554 602 2,156 7 1,533 21 1,554 602 2,156 8 1,752 24 1,776 688 2,464 8 1,752 24 1,776 688 2,464 9 1,971 27 1,998 774 2,772 9 1,971 27 1,998 774 2,772 10 2,190 30 2,220 860 3,080 10 2,190 30 2,220 860 3,080 11 2,409 30 2,439 860 3,299 11 2,409 30 2,439 860 3,299 12-20* 2,445 33 2,478 923 3,401 12-20* 2,445 33 2,478 923 3,401 *Beyond 20 Hours: Resident Fee is $120/hr and Non-Resident Fee is $178/hr *Beyond 20 Hours: Resident Fee is $120/hr and Non-Resident Fee is $178/hr **Zanesville Campus students are charged an $8 Security Fee **Zanesville Campus students are charged an $8 Security Fee
AMENDMENT TO THE 403(b) PLAN
RESOLUTION 2012 --
WHEREAS, Ohio University (the “University”) previously adopted and currently maintains the Ohio University 403(b) Plan (the “Plan”); and
WHEREAS, the Board of Trustees of the University (the “Board”) desires to amend the Plan, effective January 1, 2012, to document and memorialize the University’s prior actions and ongoing administration of the Plan with respect to pick-up contributions that the University makes to the Plan on behalf of certain employees whose employment agreements provide for such contributions, as permitted under Internal Revenue Code Section 414(h)(2); and
WHEREAS, the Board wishes to further amend the Plan to document and memorialize that pick-up contributions, although designated as employee contributions, are being paid by the University in lieu of contributions by the employee; and
WHEREAS, Section 8.2 of the Plan gives the University the ability to amend the Plan.
NOW, THEREFORE, the Board does resolve as follows:
1. That effective January 1, 2012, the Board adopts the Amendment to the Plan in substantially the form as attached hereto and as may be amended with the advice of counsel.
2. That the University hereby authorizes and ratifies the actions of the Vice President for Finance and Administration or his designee in executing the above-mentioned amendment, and authorizes appropriate officers of the University to take such actions and execute other instruments, documents, or conveyances as necessary to effectuate the amendment.
3. That said officers, in carrying out this resolution, are hereby authorized and empowered to make any necessary changes to the amendment and to the Plan, with the advice of counsel, as may be required to ensure compliance with the applicable and effective provisions of the Internal Revenue Code of 1986, as amended, and regulations thereunder.
Date: October 30, 2012
To: The President and Board of Trustees
From: John J. Biancamano, General Counsel
Re: AMENDMENT TO THE 403(B) PLAN
Included for board consideration is a resolution adopting an amendment to the 403(b) Retirement Plan (the “403(b) Plan”).
Pursuant to Internal Revenue Code Section 414(h)(2), in order for an employer to pay contributions to a 403(b) plan on behalf of an employee or employees (“pick-up contributions”), the employer must formally specify that such pick-up contributions may be made pursuant to an employment agreement. Further, the employer must take formal action to authorize an individual to take such actions as are needed to effectuate the pick-up contributions.
The attached resolution adopts the amendment to the 403(b) Plan, specifying that Ohio University may make pick-up contributions pursuant to an employment agreement. The resolution further authorizes the appropriate officers of the university to take such action as is needed to effectuate the amendment without further ratification or action by the Board. A copy of the amendment is attached.
Interoffice Communication
Date: October 31, 2012
To: The President and Board of Trustees
From: Stephen T. Golding, Vice President for Finance and Administration, CFO and Treasurer
Re: CAMPUS UPDATES
The Campus Updates presentation is a condensed and slightly updated version of the Summer Campus Updates materials that were included in the September Resources Committee materials.
A brief update will be provided to the Resources Committee members. I feel it is important to discuss progress made on safety actions since last fall’s trustee tour of campus as well as provide an update on the high profile grounds efforts.
I also would like to highlight the incredible coordination between the university and city and county agencies throughout the summer and fall. Extraordinary cooperation and assistance was exhibited during the weather events of the summer, the Presidential visit to campus in October, and the annual Halloween celebration hosted by the city.
Campus Updates
Tab
1 Campus Updates Summer 2012
Significant focus has been placed on safety and high-impact, campus beautification projects Funding has been earmarked for these priority projects in response to concerns from the Board, faculty, staff, alumni and prospective students and their families $3 million for campus safety projects $2 million for high-impact Grounds projects
2 Campus Updates Summer 2012 In addition to the focus on safety and grounds projects, summer routines were impacted by: Q2S shift transition resulted in 2 fewer weeks for campus projects this summer 2 significant summer storms June 29 ‘Derecho’ . Swift response by University’s Critical Incident Response Team . Constant communication with Athens City and County agencies . Athens Campus power was restored within 18 hours; the university’s focus switched to helping the community July 18 Windstorm $415,000 in claims submitted to FEMA and insurance . Debris removal, emergency protective measures, repairs
3 Campus Updates Response to Storms June 29 ‘Derecho’
4 Campus Updates Response to Storms June 29 ‘Derecho’
‘Derecho defined as a long-lived, widespread, straight-line windstorm 4 million customers from Indiana to Virginia lost power Temperatures in the upper 90′s to near 100 in the following days Damaging winds; significant tree damage; lengthy power outage and emergency generation use OU sustained damages in excess of $400,000 including costs to maintain emergency power Significant community impact OU assisted the City of Athens, the County, LeAx Water District, and the Village of Amesville with equipment, cooling stations, and staging areas for debris
5 Campus Updates Response to Storms July 18 Windstorm
Windstorm of less than one hour
Oxbow Trail blocked with downed trees
Elevator Penthouse roof of Bromley Residence Hall blew over West Union Street
OU sustained damages in excess of $150,000
6 Campus Updates Response to Storms July 18 Windstorm
Windstorm of less than one hour Oxbow Trail blocked with downed trees Elevator Penthouse roof of Bromley Residence Hall blew over West Union Street OU sustained damages in excess of $150,000
7 Campus Updates Capital Projects Progress High Impact Grounds Projects
Athena Theater • Phased tree canopy improvement for building viewing
• Grass improvement • Mulching rings around trees
8 Campus Updates Capital Projects Progress Uptown Area
31 S. Court Street • Bromley Hall refurbishment & Academics relocations • 31 South Court (Woolworth’s) • Scripps College of Communication / Former Baker Center
9 Campus Updates Capital Projects Progress Infrastructure & Safety Projects
• Seigfred Steps • Alden Steps •RTV Ramp • Chilled Water Expansion • Performance Contract Projects • Elimination of 15 passenger vans
10 Campus Updates Capital Projects Progress Solar Array, Heating Plant – ODNR Grant
11 Campus Updates Capital Projects Progress Compost Facility Expansion – ODNR Grant
12 Campus Updates Capital Projects Progress Nelson Commons Concept Venue
13 Campus Updates Capital Projects Progress Residential Housing
• Wolfe Ullom Apartments demolished in September, 2012 to make way for Residential Housing Master Plan
• Jefferson Hall Roof Repair / Replacement
14 Campus Updates University, City, Community & Beyond High-Profile Fall Events Coordination Presidential Visit – October 17, 2012 Short time frame to prepare and secure campus and city areas Significant coordination with the University, City, Secret Service and White House Advance Staff ~ 15,000 attendees visit College Green! Halloween – October 26-28 weekend Annual City-sponsored event involving months of preparation between the University, City, and citizen groups 125 ‘Green Jacket’ volunteers, staff and students, visible on campus and in town to prevent risk to students and property 51 university staff ‘door watchers’ in the residence halls ~1,100 guests were registered in the residence halls
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APPROVAL OF PROJECTS AND AUTHORIZATION TO DEVELOP CONSTRUCTION DOCUMENTS, RECEIVE BIDS AND AWARD CONSTRUCTION CONTRACTS FOR GALBREATH CHAPEL REHABILITATION, BUSH HALL REHABILITATION, FY2013 BROMLEY HALL RENOVATIONS, AND FY2013 CENTRAL FOOD RENOVATIONS
RESOLUTION 2012--
WHEREAS, the following four capital projects have been planned, developed, and will be funded as follows:
Galbreath Chapel Rehabilitation with a total project budget of $1,250,000 to be funded by $1 million in University 2012 Bond Series, $100,000 from University Reserves, and $150,000 from state appropriations,
Bush Hall Rehabilitation with a total project budget of $11.5 million to be fully funded by Residential Housing Auxiliary reserves,
FY2013 Bromley Hall Renovations with a total project budget of $6 million to be fully funded by Residential Housing Auxiliary reserves, and
FY2013 Central Food Renovations with a total project budget of $2.5 million to be fully funded by Culinary Services Auxiliary reserves.
NOW THEREFORE, BE IT RESOLVED that the Ohio University Board of Trustees authorizes the receipt of bids and the President or his designee to accept and award construction contracts within the total project budgets identified.
Date: October 31, 2012
To: The President and Board of Trustees
From: Stephen T. Golding, Vice President for Finance and Administration, CFO and Treasurer
Re: CONSTRUCTION PROJECT APPROVAL REQUEST: . Galbreath Chapel Rehabilitation . Bush Hall Rehabilitation . FY2013 Bromley Hall Renovations . FY2013 Central Food Renovations
The following construction projects in excess of $500,000 in total project cost are presented to the Board for project or budget revision approval.
Galbreath Chapel Rehabilitation: The 6,200 gross square foot Galbreath Chapel was constructed in 1957 and has had minimal modification over the years. The University removed the building from service in spring of 2012 in response to falling plaster due to roof leaks. A comprehensive approach to rehabilitation has been undertaken to incorporate safety issues exacerbated by a long list of deferred maintenance, presence of hazardous materials, and the need for accessibility for the disabled. Planned work includes new roof, repair of limestone and brickwork, repair of the plaster ceilings, asbestos abatement, new floor finishes, and interior and exterior painting. The main electrical equipment and fire alarm system will be replaced and the heating, ventilation, and air conditioning system will be improved including new controls. An elevator will be added to the building and the restrooms will be reworked to be accessible to wheelchairs.
The project budget is $1,250,000 and will be funded: 1) University 2012 Bond Series at $1.0 million, 2) University Reserves at $100,000, and 3) $150,000 from state appropriations.
Bush Hall Rehabilitation: Bush Hall, constructed in 1955, is a traditional East Green residence hall of approximately 31,800 gross square feet. As an East Green/South Green overall sector plan is being developed, it is revealed that the sense of place projected by East Green is a positive model to preserve and emulate. While the sector plan is still under development, it has been determined that a comprehensive renovation of Bush Hall on East Green will be completely compatible with a final sector plan.
The planned rehabilitation will provide for 104 beds in combination of double and single rooms. Multi-purpose space to provide flexibility for program and education will be an important feature. Central bathrooms with be upgraded with added privacy. Accessibility features will be added including a new elevator. New electrical, access control, fire alarm, heating, ventilation and air conditioning systems will be provided. Windows will be replaced. With the exception of the roof that was replaced in 2009 this is a complete building rehabilitation. The plan includes a 2,800 gross square foot entry addition. The project budget is $11.5 million and will be fully funded by Residential Housing Auxiliary reserves.
FY2013 Bromley Hall Renovations: Bromley Hall is a high rise residence hall built in 1966 and purchased by the University in 2001. The 179,200 gross square foot building, houses approximately 440 students in single, double and triple occupancy rooms. Infrastructure improvements have been on-going since the purchase of the facility. This summer renovations were completed to convert the former kitchen and dining areas on the first floor to academic space for Army ROTC and Aeronautics.
To date 176 student rooms and 104 bathrooms have been renovated. This phase is planned to renovate the remaining 48 student rooms and 24 associated semi-private bathrooms in the southwest section of the building on floors two through nine. Renovations will include asbestos abatement, plumbing, lighting, mechanical work, interior finishes, casework, furnishings and window replacement. The project budget is $6 million and will be fully funded by Residential Housing Auxiliary reserves.
FY2013 Central Food Renovations: The Culinary Auxiliary commissioned a comprehensive study of the Central Foods Facility in 2007, and updated the study in 2009. The goal of the study was effective efficiency of the facility and its operations as well as rehabilitation of the 1972 building. Operational goals included significant savings from scratch production of items now purchased, labor efficiencies, better product quality and consistency, and less waste. The board approved the first phase of the plan in September 2010, with a budget of $7.7 million, which included a significant addition. The board approved a second phase of the plan in September of 2011, with a budget of $5.1 million, which involved 10,800 gross square feet of internal renovation. The first phase is complete, and the second phase is under construction.
The third phase of the plan is presented for approval at the November 2012 Board of Trustees meeting. This phase is planned to renovate approximately 6000 gross square feet of space for the bakery and associated storage. The project budget is $2.5 million and, as all previous phases, will be fully funded by Culinary Services Auxiliary reserves. One subsequent phase of renovation is anticipated in the future.
A resolution is included to facilitate approval. Please let me know if you have questions.
Construction Projects
Tab
Construction Projects Agenda
Galbreath Chapel Rehabilitation Bush Hall Rehabilitation FY2013 Bromley Hall Renovations FY2013 Central Food Renovations Construction Projects Galbreath Chapel Rehabilitation
Comprehensive rehabilitation of 1957 structure for safety, accessibility and systems Adding elevator and accessible restrooms Electrical equipment replacement, HVAC upgrades and new HVAC controls Budget: $ 1,250,000 Fund sources: $1 million from University 2012 Bond Series $100,000 from University Reserves $150,000 from state appropriations
Construction Projects Bush Hall Rehabilitation
Comprehensive rehabilition of 1955 East Green residence hall Provides for 104 beds in double and single rooms 31,800 gsf renovation; 2,800 gsf entry addition Features multi-purpose space for programs and education Complete new systems and addition of elevator Budget: $11.5 million Fund Source: Residential Housing Auxiliary reserve Construction Projects FY2013 Bromley Hall Renovations
Continued rehabilitation of 1966 high rise residence hall Upgrades 48 student rooms and 29 semi private restrooms Window replacement, plumbing, lighting, casework and finishes Budget: $6.0 million Fund Source: Residential Housing Auxiliary reserves
Construction Projects FY2013 Central Food Renovations
Phase 3 of 4 planned to 1972 building Renovations to improve culinary operations 6,000 gsf renovation for bakery and storage Budget: $2.5 million Fund Source: Culinary Services Auxiliary reserves
Interoffice Communication
Date: October 31, 2012
To: The President and Board of Trustees
From: Stephen T. Golding, Vice President for Finance and Administration, CFO and Treasurer
Re: Federal Fiscal Cliff Update
Earlier this year the Office of Management and Budget reported that if Congress does not agree to a long-term plan to reduce the deficit by calendar year end, most higher education programs will face deep cuts as a result of the mandatory spending reductions that will go into effect January 1, 2013. This year-end impact has been referred to as a “fiscal Cliff” and is created by several federal tax cuts scheduled to expire at the same time as the Affordable Care Act taxes take effect in addition to automatic spending reductions (“sequestration”) to address the growing federal deficit. As reported by some economic analysis, these actions will take place against a backdrop that includes a possible government shutdown, the approach of another debt ceiling limitation, the projected $50 billion of economic losses now projected due to hurricane Sandy, the uncertainty of the U.S. election and a post-election compromise, and uncertainty regarding the U.S. government’s future credit rating if Congress and the Executive Branch remain gridlocked. The Office of Management and Budget’s September report concluded the following higher education programs would be impacted.
7.6% mandatory and 8.2% discretionary sequestration cuts imposed on NIH, NSF, NEH and federal work study/ access programs as well as increased federal loan origination fees and a 2% reduction in Medicare provider payments Reduction in federal interest subsidies for existing Build America Bonds – 7.6% ($255 million), triggering questions about the potential to exercise extraordinary redemption provisions typically included in such bonds and the impact on debt markets going forward. Increased likelihood of major tax reform which could pose a significant, and unknowable, threat to institutions of higher education with regard to charitable deductions, uses of tax- exempt debt, limitations on tax-exempt interest deductions and/or exclusions from taxes for endowment earnings. Failure to solve the debt ceiling concerns could result in delays – short-lived – in federal research funding, student loans, and health care reimbursements. Pell Grants – as is the College Access Challenge Grants – would be protected during fiscal year 2013, but subject to similar cuts in fiscal year 2014.
The current thinking is that Congress will avert most of the fiscal restraints scheduled for year- end, but believe the payroll tax cut will in all likelihood expire. There is also uncertainty as to whether the upper income tax cut and/or unemployment benefits will expire. In addition, most observers expect spending cuts under “sequestration” to be temporarily reversed, but there is no agreement as to how this might be accomplished. As one might expect, there are any number of scenarios as to which pieces will be solved for and which pieces will be allowed to take effect with the caution that there is a clear risk that Congress will be unable to come up with an acceptable political compromise that can muster a majority in both houses. If this were to be the case, the impact on the U.S. economy and the resulting uncertainty would have its own set of challenges for higher education institutions in the fiscal year 2014 budget planning cycle. Today Ohio University is assessing the impact of the federal fiscal cliff on University colleges and programs and working with deans and others to determine what steps – as appropriate – the University may need to take to mitigate the impact of “sequestration” at least on a short-term basis. While we have not made a final determination as to what steps will be necessary, this memo is intended to alert the Board of Trustees to the fact that there could be an impact on the University and it may be necessary to take action to deal with these impacts before the February board meeting. If this is the case, we will prepare a summary report of the impacts and the actions taken by the University to protect critical programs and people until there is greater clarity as to exactly what long-term actions Congress will take to address the federal deficit and the other issues addressed above.
Interoffice Communication
Date: October 31, 2012
To: The President and Board of Trustees
From: Stephen T. Golding, Vice President for Finance and Administration, CFO and Treasurer
Re: Annual Insurance Update
Included in your agenda materials is the annual Ohio University Insurance Program Report prepared by the office of Risk Management and Safety.
This report to the board provides a summary of the insurance market overall, the current state of risk and insurance programs at Ohio University, and a brief look at the university’s history of claims.
The 2012 report highlights: The changing insurance market OHIO self-insured retention program Worker’s Compensation move to self-insured Property loss…Clippinger lab fire Benefits of OHIO involvement with the IUC-Insurance Consortium (IC)
If you have any questions or suggestions, please feel free to contact me.
OHIO UNIVERSITY INSURANCE PROGRAM REPORT
Submitted to the Board of Trustees
November 2012
Introduction
Risk Management seeks an environment in which each department takes ownership of its risks in keeping with responsibility center management so that the strategic objectives of the University may be achieved. Risk Management plays an important role in coordinating all of the activities of Ohio University to prevent losses from occurring and in transferring risk through insurance coverage, so as to minimize the adverse effects of losses on the University community.
Insurance Market Overview
The property and liability insurance industry responded to the impact of catastrophic losses occurring prior to 2011, leading to higher rates at the July 1 renewal for its customers, including Ohio University. Prior to the numerous property losses in 2011 related to natural disasters including earthquakes and tornadoes, property insurance rates were rising and many organizations saw this reflected in higher insurance premiums. Such change resulted from various causes and among them were the previously mentioned natural disasters, poor underwriting profits, minimal increases in property values due to economic conditions and low interest rates which tended to reduce insurance carrier profits. In 2011, the global insurance industry experienced its worst year for natural catastrophes which included the New Zealand earthquake, the Japanese earthquake and tsunami, Hurricane Irene, tornadoes and massive flooding in Thailand. The total of all of these losses was in excess of $100 billion. These kinds of losses affect all insureds to a certain extent whether they are global or domestic. Liability rates rose in direct coordination with claim experience both nationally and within the University’s insurance pool, the Inter‐University Council‐Insurance Consortium (IUC‐IC). Within the United States, severity of settlements for student assaults, sexual molestation, athletic participants and law enforcement have increased. Four major automobile and general liability losses within the IUC‐IC have either been settled or will be in the near term. Although none of these are Ohio University losses, they affect the cost of the coverage purchased jointly with the other members of this pool. As a result, total property and casualty insurance costs rose from $946, 648 in 2011‐12 to $981,226 in 2012‐13, an increase of 3.7%.
1
Self‐Insurance Program
Procuring traditional first‐dollar insurance to cover the property, liability, automobile, and professional liability risks inherent in a major teaching and research institution is not an economically viable alternative due to its cost. Self‐Insurance, as an alternative at Ohio University, began in 1999. The University realized savings in insurance costs since then by retaining large deductibles for both property and liability insurance. The lower costs of the primary insurance layers allowed Ohio University to increase its overall limits of liability for better protection from catastrophic events which could significantly impact the University.
Twelve universities joined with Ohio University a decade ago in order to share risk, forming the Inter‐University Council Insurance Consortium or IUC‐IC. Ohio University purchases insurance and pools risk through the IUC‐IC for exposures that remain after all reasonable risk control measures have been pursued and when the magnitude of the threat and the potential for loss warrants the purchase. Such purchases through the IUC‐IC pool are for losses that are unexpected as well as for losses, which due to their size, would severely impact the financial stability of the University.
Property Insurance
Property insurance protects University buildings and contents against losses from major perils, including boiler and machinery, fire, earthquake, flood, lightning, windstorm, hail, smoke, riot, damage caused by vehicles or aircraft, sprinkler leakage, vandalism and terrorism, all subject to the terms of the policy and a $100,000 deductible. Coverage for flood damage is up to $25 million. After our self‐insured retention of $100,000, the University's policies provide for replacement cost coverage up to limits of $100 million dedicated to the University and with an additional $900 million shared with the other IUC‐IC universities. Total insurable property values are slightly below $2.4 billion, including $398 million for business interruption. The policy is priced based upon a rate per $100 of value and provided by our insurance carrier, Lexington Insurance Company. Within the last year, values for university properties were evaluated and revised, providing a more accurate schedule. Our current rate is less than 2 cents per $100 of value and reflects a 4.8% increase from the prior fiscal year. At the last renewal, property
2 insurance premium costs rose from $526,448 in 2011 to $551,959 due to the previously mentioned change in the market and a slight rise in property values. Crime coverage intended to protect the University from the theft of money is in place with limits of $5 million and a deductible of $100,000. Premiums declined slightly from $12,058 in 2011 to $11,990 at the last renewal.
Liability Insurance
The University’s liability coverage protects it against negligent and alleged negligent acts and omissions of employees or other University agents that result in bodily injury (including loss of life) or property damage to the property of others, subject to the terms of the policy. Our coverage includes liability arising from automobiles, premises and police professional. In general, the policy does not provide coverage for students except for those who are employed by the University or involved in internships. Limits of liability are $50 million and the deductible is $100,000. Foreign liability insurance offered by Chartis protects employees while traveling abroad with limits of $1 million. Costs declined from $7,347 in 2011 to $6,253 at the last renewal, a decline of 15%. Medical malpractice insurance is purchased by the University and offers coverage for the risk associated with the operation of Campus Care, including counseling and psychiatric services. Coverage is provided up to limits of $1 million and with a $25,000 deductible. The Ohio University Heritage College of Osteopathic Medicine and University Medical Associates maintain a separate medical malpractice insurance program. Risk Management will be exploring cost savings for this coverage during the next insurance renewal. Aviation insurance protects the University with respect to the operation of corporate aircraft, the airport and the flight training program. Costs declined at the renewal of insurance by 3.5% to a total of $140,308.
Educator’s Legal Liability Insurance
Ohio University purchases Educator's Legal Liability coverage from commercial insurers in order to provide protection to its trustees, officers, and employees against claims stemming from wrongful acts. A wrongful act is defined as any breach of duty, neglect, error, misstatement or omission. Policy limits for this coverage are $30 million and there is a $100,000 deductible. Liability coverage is written through General Reinsurance Corporation, United Educators and National Surety Corporation. Costs for the renewal of all liability insurance protection rose from $420,200 in 2011 to $429,267 at its renewal on July 1, 2012, an increase of 2%. Pollution liability coverage was added for $27,995.
3
Specialized Insurance
Several University departments purchase insurance in order to bolster the effectiveness of their various missions. Education Abroad has arranged medical insurance providing North American quality healthcare to our students and faculty outside of the United States. Costs are assessed against those participating in education abroad programs and were approximately $47,000 in the last year. This department has also procured political evacuation coverage which provides for the prompt departure of students and faculty from dangerous situations. International SOS provides this service for a total annual cost of $8,232. Facilities Management has obtained project specific professional liability insurance for the renovation of the Old Baker Center at a cost of $91,000. Intercollegiate Athletics maintains medical insurance for injured athletes which supplements the program offered by the NCAA. This department spent $85,404 at the last renewal of this coverage. The Kennedy Museum has purchased property insurance for exhibits provided by outside organizations. Coverage for these items costs $956 annually. The Ohio University Inn purchases property and casualty insurance to protect its facility. At the last renewal the cost was $37,923.
Worker’s Compensation Coverage
Protection for employee work‐place injuries is afforded through a comprehensive program, including medical treatment, rehabilitation and income replacement. Contractors are engaged to ensure appropriate emergency treatment, as needed, in addition to services designed to facilitate the speedy recovery of the injured. Risk Management and Safety maintains a close relationship with the Bureau of Worker’s Compensation as this office of State government handles the University’s claims. Over the last four years, annual claims have remained at slightly above $2 million, while contributions from University departments have generally exceeded these amounts. In order to further reduce costs, Risk Management and Safety has applied to the Bureau of Worker’s Compensation for self‐insured status. Approval is expected so that the University can begin this new approach to handling its industrial injuries in 2013.
Claims Experience
The University did not sustain a major property or liability claim (a loss over $500,000) during fiscal year 2011‐12; its claim activity over the last five years has involved only one major incident. During a majority of the years over the prior decade, there was little claim activity.
4 However, a major property loss occurring in April of 2006 involved the Grover Center, which sustained substantial water damage as a result of a defective valve. Total restoration costs of $1.9 million were substantially reduced by a $1 million settlement with the manufacturer of the valve. We have only one significant claim currently in litigation. A plaintiff has sued the University, alleging medical malpractice for the treatment of flesh eating disease at Hudson Health Clinic in September of 2007. Her case is pending. Such cases are vigorously defended. Obviously, occurrences of this sort involve significant human suffering, dislocation and exposure to the University, which should not be down‐played; however, given all of the operations and activities the University, a greater frequency of severe cases of this magnitude could be expected.
Property Claims
During only two of the last thirteen years (the life span of the IUC‐IC) was there any notable property claim activity and in only one of them did the total value of property claims exceed $500,000. Claim frequency remained low and the only major recent loss was the previously mentioned Grover Center incident. Fire damaged a room at Clippinger Laboratories in April of last year, but the value of the cost of repairs is slightly above $100,000. The following chart, Figure 1, is a record of the University’s property losses over the last decade.
Ohio University Property Claims 2000 - 2012
$1,200,000 $1,186,536
$1,000,000
$800,000
$600,000
$400,000 $275,000 $200,000 $5,390 $0 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 Year
5
Liability Claims
During four of the last thirteen years, the total of liability claims has been in excess of $100,000 and in one of those years the total exceeded $500,000. Our legal counsel’s aggressive defense of lawsuits brought against the University continues to have a significant, favorable impact on our overall experience. Totals for each year include amounts for both claim payments and case reserves. A history of the University’s liability losses over the last decade is displayed below in figure 2.
Ohio University Liability Claims 2000 - 2012
$1,000,000
$800,000 $714,062
$600,000 $386,515 $400,000 $269,551 $275,997
$200,000
$0 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 Year
Conclusion
Risk Management and Safety continuously seeks to conserve funds while improving coverage and creating long terms partnerships in order to hold down costs. Our association with the IUC‐ IC pool has proven to be a cost effective relationship; this affords us the opportunity to group purchase insurance at a reduced cost and to share risk in a beneficial manner. Our emphasis on loss prevention has demonstrated considerable savings over time. The University continues to improve its risk profile whenever possible.
6
Interoffice Communication
Date: October 31, 2012
To: The President and Board of Trustees
From: Stephen T. Golding, Vice President for Finance and Administration, CFO and Treasurer
Re: Summary Report - Early Retirement Incentive Plan (ERIP); Voluntary Employee Separation Plan (VESP) Program
The university offered the ERIP and VESP plans beginning in March, 2011 to provide increased flexibility in developing budget reductions plans and to create an opening for units to rethink and restructure programming approaches to optimize their ability to achieve their mission. The Early Retirement Incentive Plan (ERIP) enabled the university to purchase an additional year of service through the STRS and OPERS pension plans for eligible employees who retired during or within 90 days of the plan close. The ERIP also included a bonus for faculty who waived their right to the faculty early retirement teaching program. The Voluntary Employee Separation Plan provided monetary bonuses for individuals who voluntarily terminated their employment with the university. A total of 295 employees participated in the voluntary retirement plans. Percentages of participation for eligible faculty and staff were higher than the range originally projected for both groups. As of the end of October, payouts and costs of the voluntary separation plans totaled slightly over $13 million. The salaries for the participants amounted to just over $19 million. Final disposition of the vacated positions is not final. As we are still in the process (as reported last Spring) of backfilling critical positions both administratively and in the colleges and academic departments, we remain committed to achieving our 40% savings target, $7.6 million, which would result in a payback of 1.74 year and will continue to monitor over the remainder of this year.
If you have any questions or suggestions, please feel free to contact me.
Interoffice Communication
Date: October 31, 2012
To: The President and Board of Trustees
From: Stephen T. Golding, Vice President for Finance and Administration, CFO and Treasurer
Re: Annual Campus Fire Safety (Clery) Report
Included in your agenda materials is the annual Ohio University 2011 Campus Fire Safety (Clery) Report prepared by the office of Risk Management and Safety.
This report to the board provides a summary of Campus Fire Safety overall, the specific OHIO residence hall fire safety programs and also a brief look at the university’s history of fire losses.
The 2011 report highlights: Fire safety education, training and fire drills Fire emergency procedures Fire statistics for 2011, 2010 & 2009 Residence hall fire safety equipment 2011…6 residence hall fires o 4 intentional o 1 undetermined o 1 unintentional
If you have any questions or suggestions, please feel free to contact me.
2011 Annual Fire Safety Report Athens, Ohio Campus
http://www.ohio.edu/riskandsafety/ehs/fire/clery_fire_report.htm
Environmental Health and Safety University Service Center 49 Factory Street Athens, Ohio 45701
(740) 593-1666 http://www.ohio.edu/riskandsafety/ehs/index.htm Contents
From Risk Management & Safety 3
Overview 4
Scope 4
Definitions 5
On-Campus Housing Fire Safety Equipment 6
Fire Safety Education, Training, & Fire Drills 6
Specific Fire Prevention Related Policies & Programs 7
Ohio University Student Housing Handbook 8
Specific EHS Programs & Procedures 9
Fire Statistics 12
Fire Reporting 12
Reporting Fires & Emergencies 12
Emergency Procedures 13
Evacuation Procedures 13
Reporting Malfunctioning Local Smoke Alarms 14
Ohio University Fire Safety Plan 14
In Case of Fire Emergency 15
Appendix A 16
Appendix B 19
Appendix C 21
Appendix D 23
Ohio University Annual Fire Safety Report 2011 2
FROM RISK MANAGEMENT AND SAFETY
Thank you for taking the time to read this year’s annual fire safety report. This report, prepared annually by the Department of Risk Management and Safety, is provided to meet the requirements of the Jeanne Clery Disclosure of Campus Security Policy and Campus Crime Statistics Act of 1998.
You may obtain a copy of this report by contacting Risk Management and Safety at (740) 593-1666 or by accessing the following web site:
http://www.ohio.edu/riskandsafety/ehs/fire/clery_fire_report.htm
The Department of Risk Management and Safety is charged with promoting a safe learning, working, and living environment for the University. Our health and safety programs provide services and guidance to campus students, faculty, staff, and visitors.
Our department provides a wide array of safety related services including programs in:
Fire Protection Risk Management Research and Laboratory Safety Emergency Management Industrial Hygiene Radiation Safety Environmental Compliance Worker’s Compensation Occupational Safety and Health Sanitation and Pest Control
Annual Clery Act Security Report You may obtain a copy of this report by contacting the Ohio University Police Department at (740) 593-1911 or by accessing the following web site:
http://www.ohio.edu/police/rtk/upload/Clery-Report.pdf
Ohio University Annual Fire Safety Report 2011 3
OVERVIEW
The “Higher Education Opportunity Act” (Public Law 110-315) became law in August, 2008, requiring all United States academic institutions to produce an annual fire safety report outlining fire safety practices, standards, and all fire- related on-campus statistics related to student housing. The following public disclosure report details all information required by this law as it relates to Ohio University as outlined in the initial regulation; subsequent yearly reports will comply with the act as amended.
SCOPE
The annual Fire Safety Report is for the Ohio University campus located in Athens, OH.
Ohio University Annual Fire Safety Report 2011 4
DEFINITIONS On-campus student housing facilities – student housing facilities that are owned or controlled by Ohio University, or are located on property that is owned or controlled by Ohio University, and is within the reasonably contiguous geographic area that makes up the Ohio University campus in Athens, OH. Fire – any instance of open flame or other burning in a place not intended to contain the burning or in an uncontrolled manner. ** F/A -Fire Alarm System – a central, building-wide alarm system that provides fire detection through the use of smoke and heat detectors, monitors fire suppression systems, sounds building-wide evacuation alarms, and is monitored by the Ohio University Police Department. S- Fire Sprinkler System – water based automatic fire suppression system. *S/A - Local Smoke Alarm – a device that contains a smoke detector and an integrated audible alarm. When activated the local smoke alarm sounds an audible alarm but does not activate the facility fire alarm system and or send an alarm signal the Ohio University Police Department.
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ON-CAMPUS HOUSING FIRE SAFETY EQUIPMENT
At Ohio University, all forty-three of our residence halls are protected by fire detection and alarm systems which are centrally monitored 24 hours a day, seven days a week. The buildings are also equipped with either emergency generators or lighting fixtures that incorporate backup batteries; upon loss of power, these systems automatically activate to assure adequate egress lighting in hallways and emergency exit stairwells. Eight of our residence halls have full sprinkler systems. All fire safety systems and equipment are strictly maintained and tested in accordance with applicable national standards. A summary of the fire protection systems present in each residence hall is provided in Appendix A.
FIRE SAFETY EDUCATION, TRAINING AND FIRE DRILLS
Upon request, all on-campus residents, including those with special needs, receive intensive and comprehensive fire safety training at the beginning of each semester. Each resident is required to review and comply with the requirements outlined in Ohio University Student Housing Handbook, which includes information on fire safety and what appropriate action to take during a fire alarm or fire emergency. There is an emergency evacuation map posted on each floor to direct occupants to primary and secondary exits.
Fire drills are conducted each semester in all of the occupied residence halls every year in coordination with Ohio University’s office of Environmental, Health and Safety. Fraternity and sorority houses that are located in Athens must follow the same procedures that apply to residence halls.
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SPECIFIC FIRE PREVENTION RELATED POLICIES AND PROGRAMS
Policy 44.105: Fire Emergencies, affirms procedures that students must evacuate the building upon fire alarm activation and outlines the role of staff members in overseeing evacuation procedures and reentry into the building when authorized. This policy is intended to prevent injury, loss of life, and property damage from fire emergencies.
Policy 44.109: Safety Management, ensures systematic integration of safety and environmental considerations into all university activities. This policy applies to all members of the university community and also to contractors whose work is directed on a day-to-day basis by university employees.
Policy 44.113: Smoking, prohibits smoking in all Ohio University buildings; on appurtenant rooftops and terraces; in public buildings directly and indirectly under the control of Ohio University; and within 10 feet of Ohio University buildings, including windows and ventilation intake openings. This policy provides an Ohio University non-smoking policy in compliance with Ohio Smoking Law, Chapter 3794 of the Ohio Revised Code, effective date December 7, 2006, and with the Ohio Fire Code provisions on Smoking, Section 310.
Policy 42.501: Decorations in University Buildings, states that all room furnishings and/or decorations and the decorating of public spaces is strictly controlled, additional limitations on the use of flammable and combustible materials for decorations in both residence rooms and common areas. This policy establishes the conditions for safe use of decorations in university buildings, including classroom, administrative, and residence buildings.
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The Ohio University Student Housing Handbook which is part of the housing contract, limits the types of electrical appliances allowed in residence halls, establishes expectations for compliance with drills and training, provides for periodic health and safety inspections of residence rooms, affirms limitations on materials that may be stored in resident rooms, prohibits open flames without a permit, limits the use of combustible decorations/furnishings, and defines the consequences if students violate university policies and programs. Specifically: o Electrical appliances such as electric stoves, George Foreman- type grills, toaster ovens, toasters, crock pots, sandwich makers, air conditioners, space heaters, hot plates, and other open coiled appliances are not permitted in residence hall rooms. No extension cords of any type are permitted, and halogen bulb lamps and high intensity lamps are prohibited. o Items that require an open flame, operate on fuel, or produce heat (such as Bunsen burners, lit candles, incense, and alcohol burners) are prohibited. o Student rooms, common areas, storage, and mechanical areas are subject to regular inspection by the Ohio Fire Marshal’s Office, Environmental Health and Safety personnel, and Student Programs staff. In addition, resident room inspections are conducted once per semester by hall staff in order to identify any health or safety concerns. Violations of fire and life safety policies are subject to university judicial action and appropriate sanctions. o Anyone found causing a false fire alarm, tampering with fire- safety equipment, or not properly evacuating during a fire alarm will face arrest and/or judicial referral. o Ohio University’s Fire Safety program establishes requirements for the performance of periodic fire safety inspections of all university buildings, including residence halls; provides for periodic training for employees and students on basic fire safety; affirms conditions that must be maintained in all university properties to comply with the Ohio Fire Prevention Code; and, establishes requirements for the permitting, approval and inspection of hot work, use of open flames/burning, pyrotechnics and special effects, and temporary facilities, tents and stages.
Ohio University Annual Fire Safety Report 2011 8
SPECIFIC EHS PROGRAMS AND PROCEDURES
Resident Life Fire Safety - Fire Safety is taken very seriously at Ohio University. It is customary that your hall will conduct a fire drill. Please comply fully with the building evacuation and re-entry procedures during these drills. Any time you hear a fire alarm, pick up your keys, lock your door, and leave the building immediately. Never use the elevator. Take the time to learn where the fire alarms and exit routes are from any room in your building (you won't always be in your own room when the alarm sounds or when you spot smoke or flames). If you encounter smoke or flames in the building, pull the nearest fire alarm, leave the building immediately, and call 911.
Resident Life Electrical Safety - Very few of our residence hall rooms have a sufficient number of electrical wall outlets to accommodate all of the appliances which you'll have with you or be in locations which will be most convenient to your chosen room layout. Therefore, when you are trying to be creative, please follow the electrical safety "do's" and "don'ts".
Space Heaters - The Ohio University recognizes that individuals have different levels of comfort associated with temperature and heat. The use of electric space heaters as a temporary measure is permitted, if guidelines are followed.
Recreational Fires - EHS requires a permit for recreational or ceremonial fires. For permits call 593-1666. Please allow ten (10) days to process. Compliance must be met for the Athens City Fire Department Burn Law (effective 8/29/06).
Multi-outlet assemblies (power strips) - Power strips should be properly secured to a permanent surface, equipped with fuse or circuit breaker, energized from a permanent outlet, grounded 3-wire type, and UL approved.
Extinguisher Training – Training is offered any time, please contact the Department of Environmental Health & Safety at 593-1666 if you would like to practice using a fire extinguisher or to set up a training class.
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Nuisance Fire Alarms - Fortunately, the cause of most fire alarms is not fire, but something else. Causes can be accidental (somebody bumping into a fire alarm device, a worker spray painting, sawing/sanding wood, or welding too close to a detector), unintentional (dust or insects the detector sees as smoke, or a smoke detector too close to a kitchen area, or water that leaks into a detector), mechanical (a malfunctioning system--usually when a new system is being installed, an electrical storm, or a faulty wire), or malicious (intentionally setting off the alarm). Learn more about How To Live With Your Fire Alarm System.
Fire Drills - Fire drills will be conducted three times a year, occurring during the academic session. Drills are conducted for each of the 42 residence halls by Ohio University staff. EHS keeps records of these drills as well as those reported by off campus Greek Chapter Houses.
Prevention and Inspection Programs - Environmental Health and Safety conducts a fire drill during the first two weeks of the academic session at each residence hall. Random fire safety inspections are made weekly throughout the Ohio University campus by Residence Life staff. Fraternities and sororities are inspected by EHS.
Building Construction and Alarm Systems - Some residence halls are equipped with fire department standpipes, hoses, and some have sprinkler systems. Each residence hall is equipped with a fire alarm system that includes manual pull stations, horns and strobe lights. All rooms contain smoke detectors, either single or multi-station (interconnected to the fire alarm panel). The fire alarm and sprinkler systems are inspected and tested according to code requirements and fire extinguishers are scheduled to be inspected monthly per code.
Fraternity & Sorority Inspection - Ohio University has a special relationship with fraternity and sorority chapters. As part of that special relationship, the university allows sophomore students to be exempted from the on-campus housing policy. In order to maintain this exemption, chapters must comply with certain rules and expectations.
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Tents, Canopies, Football, & Outdoor Events - The state of Ohio requires a permit for all tents and membrane structures (air inflated or frame covered structure) over 200 square feet, and canopies (open sides at least 75%) over 400 square feet. Please visit the following sites for specific requirements. Tent/Canopy Permit Policy State of Ohio Tent/Canopy Permit Tent/Canopy Application Explanation and Guidelines Assembly Events Inspection Requirements o Tent & Canopy Use Permit Forms - A $75 permit is required for tents, canopies, and membrane structures available from the Ohio Department of Commerce Forms. These permits are not processed by Ohio University, but by the Ohio Department of Commerce, Code Enforcement. Please allow at least 1 week for processing. Send permits to: The Ohio Department of Commerce Division of State Fire Marshal 8895 East Main Street Reynoldsburg, OH 43068 (614) 752-8200 Fax: (614) 728-5168
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FIRE STATISTICS
The number and cause of each fire in each residence hall is summarized in Appendix B. There were no reported fire-related injuries or fatalities in residence halls during calendar years 2009 through 2011.
FIRE REPORTING
The Ohio University Police Department monitors the status of all fire detection and fire suppression systems in residence halls. If a fire has occurred it must be reported to the Ohio University Police Department by calling (740) 593-1911 (non-emergency) or 911 (emergency). The Ohio University campus fire log is available for viewing upon request in the lobby of the EHS Department M-F, 8:00am to 5:00pm.
PLANS FOR FUTURE IMPROVEMENT Ohio University maintains a prioritized list of projects to upgrade older fire systems, enhance the capabilities of existing systems, or install new fire safety systems in existing buildings.
REPORTING FIRES AND EMERGENCIES Report on-campus fires to 911 and activate the building fire alarm using a manual fire alarm pull-station. ** All fires, including those that have been extinguished, must be reported to Ohio University Police. Report all other emergencies to the Ohio University Police Department by one of these methods: • Call 3-1911 from any campus phone • Call (740) 593-1911 from a cellular or off-campus phone • Use a Code Blue Telephone or other emergency telephone
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EMERGENCY PROCEDURES
Ohio University has published an Emergency Response Guide to help members of the Ohio University community properly respond to emergencies on campus. The current version of the guide can be found at the Ohio University Emergency Programs web page:
http://www.ohio.edu/riskandsafety/emergencyprograms/responses.htm
EVACUATION PROCEDURES All persons are required to evacuate from and exit the building any time: the fire or evacuation alarm sounds; an evacuation announcement is made; or a University official orders you to evacuate. When evacuating, remember to: • Close any open windows in your room • Take jackets or clothing needed for protection from the weather • Feel the top of your door for heat before opening it • Stay low and open the door slowly checking for signs of smoke or fire in the corridor • Lock your room door behind you as you leave • Proceed quickly to the nearest exit • Move away from the building and to your floor’s meeting location • If you have information about the emergency then report it to emergency responders • If you are unable to exit the building due to a disability or fire conditions, take refuge to a safe location and call 911. If possible, signal out a window to emergency responders.
Ohio University Annual Fire Safety Report 2011 13
REPORTING MALFUNCTIONING LOCAL SMOKE ALARMS All on-campus student housing rooms are equipped with local smoke alarms that when activated will sound an in-room audible alarm. In-room smoke alarms do not sound a building-wide alarm and do not send an alarm signal to the Ohio University Police Department but many of these smoke alarms are connected to the building fire alarm system for power and monitoring purposes. Report malfunctioning smoke alarms to the Ohio University Police Department by calling (740) 593-1911 at any time, day or night. Never cover, remove, or tamper with smoke alarms or other fire protection equipment.
OHIO UNIVERSITY FIRE SAFETY PLAN
The current Ohio University Fire Safety Plan is shown on the next page. This fire safety plan is applicable to all campus facilities, including on-campus student housing facilities.
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IN CASE OF FIRE EMERGENCY Ohio University Policy 44.105: Fire Emergencies When the Fire Alarm Sounds 1. Evacuate the building immediately via the nearest available exit. Go to a location out of the path of emergency response vehicles, away from fire hydrants, approximately 50 feet away from the building, and account for the people in your group. If you know someone is unable to evacuate the building, you should relay that information to 911. 2. If you cannot evacuate the building due to mobility impairment, the intensity of the fire, or smoke, then "Shelter in Place" by: a. closing the doors to the room you are in; b. calling 911 to give your location and information; c. stopping up cracks (e.g., with wet towels) to block smoke; d. open windows to the outside for fresh air; and staying next to the floor to avoid breathing hot gases and smoke. e. Wait until help arrives. 3. In order to slow the spread of the fire, doors, and if possible, windows, should be closed as the last person leaves a room or area during the evacuation of the building. 4. Do not use elevators, use the building's stairwells. 5. Do not return to your room until the all clear signal is given by the Ohio University Police Department ("OUPD"), or the Athens Fire Department, or — in the case of a fire drill — Environmental Health and Safety ("EHS"). If You Discover a Fire 1. Call 911. 2. Assist any person in immediate danger to safety, if that can be accomplished without risk to you or other persons. 3. Do not try to fight the fire yourself; call 911 and be prepared to give your name, location, and fire information. If the fire is small enough and you have been trained, you may use a nearby fire extinguisher to control and extinguish the fire after calling 911. 4. Immediately activate the building fire alarm system by pulling a manual fire alarm pull station on your way out of the building if the building alarm is not already sounding. In all residence halls and many other buildings this will automatically notify OUPD and the fire department and get help on the way. The Stopper II device which covers the pull station will sound a local alarm when opened. Do not mistake this for the actual fire alarm. After opening this cover, the actual pull station must be pulled to sound the fire alarm. 5. If you cannot evacuate the building, then shelter in place, as described in item 2 of subsection I, above. 6. Never reenter a building after a fire without permission from the Athens Fire Department or OUPD.
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3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 Off-Line academicyear conductedeach # of evacuation of # drills System Standpipe No No No Fire Extinguishers Yes Yes Yes Yes Yes Yes Yes Yes YesYes Yes YesYes Yes Yes Yes YesYes Yes Yes Yes Yes Yes System No No No FireSprinkler No No No No No No No No No System FireAlarm Yes YesYes YesYesYes Yes YesYes YesYes YesOff-Line Yes Yes Off-LineYes Yes Off-LineYes Yes Off-Line Yes Yes Residence Hall Fire Safety Equipment Address All Residence Halls are equipped with room smoke detectors All Residence equippedHalls are smokewith detectorsroom 131SouthGreen Drive 10Weld Drive 51East Green Drive 47TrailOxbow 35SouthCongress Street Nelson8 Drive 22NorthMcKInley Avenue Yes34University Terrace 50East Green Drive Yes 16Nelson Drive Yes95Richland Avenue 12NorthMcKinley Avenue 181SouthGreen Drive Yes167SouthGreen Drive Yes 24Nelson Drive 14Nelson Drive Yes * Stand alone smoke detectors ** Smoke detectors report to fire panel Smokefire to detectorsreport panel ** alone Stand smoke detectors* ResidenceHall AppendixA Adams** Armbruster* Atkinson* Biddle** 18Weld Drive * Boyd Bromley** Brough* Brown* Bryan** Bush Cady* Convo** Crawford* Dougan* * Ewing Fenzel* Foster*
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3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 academicyear conductedeach # of evacuation of # drills System Standpipe No No No No No No No No No No Fire Extinguishers Yes YesYes Yes YesYesYes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes System No No No No No No No No No No No FireSprinkler System FireAlarm Yes Yes Yes Yes Yes Yes Yes YesYesYes Yes YesYes YesYes Yes Yes Yes Yes YesYes Yes YesYesYes Yes Yes Yes Residence Hall Fire Safety Equipment Address All Residence Halls are equipped with room smoke detectors All Residence equippedHalls are smokewith detectorsroom 155SouthGreen Drive West8 Green Drive 101East UnionStreet 44East Green Drive 45East Green Drive 17Weld Drive 20Nelson Drive 57East Green Drive 28NorthMcKinley Avenue 46East Green Drive 51TrailOxbow Yes 43TrailOxbow 59East Green Drive 199SouthGreen Drive * Stand alone smoke detectors ** Smoke detectors report to fire panel Smokefire to detectorsreport panel ** alone Stand smoke detectors* ResidenceHall AppendixA Gamertsfelder** Hoover* 58East Green Drive James** Jefferson* Johnson** Lincoln** MacKinnon** * Martzolff O'Bleness* 18NorthMcKInley Avenue Perkins** Pickering* Yes Read** Ryors* Sargent** ScottQuad** Shively** Smith* 88University Terrace
Ohio University Annual Fire Safety Report 2011 17
3 3 3 3 3 3 3 0 3 academicyear conductedeach # of evacuation of # drills System Standpipe No No No No No No Fire Yes Yes YesYes Yes Yes YesYes Yes Yes Yes Yes Extinguishers System No No No No No No No No No FireSprinkler System FireAlarm Yes Yes Yes Yes Yes Yes Yes No Yes Residence Hall Fire Safety Equipment Address All Residence Halls are equipped with room smoke detectors All Residence equippedHalls are smokewith detectorsroom All Residence equippedHalls are smokewith detectorsroom 60East Green Drive 41TrailOxbow 193SouthGreen Drive 34SouthCollege St 22Weld Drive 20West Green Drive 35Wolfe Street 175SouthGreen Drive * Stand alone smoke detectors ** Smoke detectors report to fire panel Smokefire to detectorsreport panel ** alone Stand smoke detectors* Smokefire to detectorsreport panel ** alone Stand smoke detectors* ResidenceHall AppendixA Tiffin ** Tiffin Treudley** * True ** Voigt Washington* Weld* Wilson** 48East Green Drive WolfeAptsSt* Wray*
Ohio University Annual Fire Safety Report 2011 18
Damage Property 0 N/A 0 N/A 0000 N/A N/A 0 N/A 0 N/A 00 $44,505.66 N/A 0 N/A 0 N/A 0 N/A 00 N/A 0 N/A 0 N/A 0 N/A 0 N/A 0 $0.00 0 N/A N/A N/A N/A Deaths 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 Injuries N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A Fires Classification of N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A DateFireTime& of DateFire Reported 0 N/A 0 N/A 000 N/A N/A 1 N/A 0 6/3/110 6/3/112:00@ am 0 N/A Intentional N/A N/A 0 0 10 N/A 11/14/110 11/14/115:33@ am 0 Unintentional N/A N/A 0 N/A 2011 inEach Building TotalFires Address 47TrailOxbow 16Nelson Drive 2011 Ohio2011 University Residence Hall Related Information for Fire Safety and Statistics ResidenceHall AppendixB Adams Armbruster Atkinson 18Weld Drive 131BiddleSouthGreen Drive Boyd 10Weld Drive Bromley Brough 51East Green Drive 0Brown 35SouthCongress Street Bryan Nelson 8 Drive Bush N/A Cady 22NorthMcKInley Avenue 0Convo 34University Terrace Crawford 0 50East Green Drive Dougan N/A Ewing 95Richland Avenue 12 NorthMcKinley Avenue Fenzel N/A 181SouthGreen Drive Foster 0Gamertsfelder 167 SouthGreen Drive 58East Green DriveHoover 24Nelson Drive James 14 Nelson 0Drive N/A Johnson 0 155SouthGreen Drive West 8 Green Drive N/A 44East Green Drive N/A 0 N/A
Ohio University Annual Fire Safety Report 2011 19
Damage Property 0000 N/A 0 N/A 0 N/A 0 N/A 0 N/A 0 N/A 0 N/A 0 N/A 0 N/A N/A 0 N/A 0 N/A 0 N/A 0 $0.00 0 $72,094.59 00 $0.00 0 N/A 0 N/A 0 N/A N/A N/A N/A 0 $200.00 Deaths 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 Injuries N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A Fires Classification of N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A DateFireTime& of DateFire Reported 10/18/11 10/18/115:58@ am 10/19/11 Undetermined 10/19/1111/16/113:48@ am 9/2011unknown@ Intentional 0 Intentional 0 0 000 N/A 0 N/A 0 N/A 0 N/A 00 N/A 0 N/A N/A 1 N/A 0 N/A 4/8/113 N/A 4/8/115:00@ am 0 Intentional000 N/A 0 0 N/A N/A N/A N/A 2011 inEach Building TotalFires Address 193SouthGreen Drive 60East Green Drive 2011 Ohio2011 University Residence Hall Related Information for Fire Safety and Statistics ResidenceHall AppendixB Lincoln MacKinnon Martzolff 18NorthMcKInley AvenueO'Bleness 45East Green Drive Perkins 17Weld Drive Pickering 20 0Nelson Drive Read Ryors 57East Green Drive 28NorthMcKinley Avenue Sargent N/A ScottQuad 46East Green Drive Shively 0 51TrailOxbow 88University 43TrailSmith Oxbow Terrace Tiffin Treudley 59East Green Drive N/A 199SouthGreen Drive True 41TrailOxbow Voigt 0Washington Weld 48East Green Drive Wilson 34SouthCollege St WolfeAptsSt N/A Wray 35WolfeStreet 22Weld Drive 20West Green Drive 175SouthGreen Drive 0 N/A
Ohio University Annual Fire Safety Report 2011 20
Damage Property 0000 N/A N/A 0 N/A N/A 00 N/A 00 N/A N/A N/A N/A 000 N/A 0 N/A N/A N/A 0 N/A 00 N/A N/A 000 N/A N/A N/A 0 N/A Deaths 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 Injuries N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A Fires Classification of N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A DateFireTime& of DateFire Reported 0000 N/A N/A 0 N/A N/A 00 N/A 00 N/A N/A N/A N/A 000 N/A 0 N/A N/A N/A 2010 inEach Building TotalFires Address 47TrailOxbow 16Nelson Drive 2010 Ohio2010 University Residence Hall Related Information for Fire Safety and Statistics ResidenceHall AppendixC Adams Armbruster Atkinson 18Weld Drive 131SouthGreen Drive Biddle Boyd 10Weld Drive Bromley 51East 0Green BroughDrive Brown 35SouthCongress Street Bryan Nelson 8 Drive Bush N/A 22NorthMcKInley 0Avenue Cady Convo 34 University Terrace 0Crawford 50East Green Drive N/A Dougan 95Richland Ewing Avenue 12NorthMcKinley Avenue Fenzel N/A 181SouthGreen Drive Foster 0 167GamertsfelderSouthGreen Drive 58East Green 24 NelsonDrive Drive Hoover 0 14Nelson DriveJames N/A 0 155SouthGreen Drive N/A West 8 Green Drive N/A 0 N/A
Ohio University Annual Fire Safety Report 2011 21
Damage Property 0000 N/A $25.00 00 N/A 0 N/A 0 N/A 0 N/A 0 N/A 0 N/A $480.00 00 N/A 0 N/A 0 N/A 0 N/A 0 N/A 0 N/A 0 N/A 0 N/A 0 N/A N/A $100.00 N/A Deaths 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 Injuries N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A Fires Classification of N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A DateFireTime& of DateFire Reported 0 N/A 010 N/A 8/5/1000 8/5/1010:41@ am N/A 0 Cooking N/A 1 N/A 00 0 N/A 4/18/100 4/18/101:39@ am N/A N/A Intentional0 N/A 0 0 0 N/A 01 N/A N/A N/A 3/7/10 3/7/10@1:30 am Intentional 0 2010 inEach Building TotalFires Address 60East Green Drive 193SouthGreen Drive 0 N/A 2010 Ohio2010 University Residence Hall Related Information for Fire Safety and Statistics ResidenceHall AppendixC Johnson Lincoln MacKinnon 44East Green Drive Martzolff 18NorthMcKInley Avenue 45East Green Drive O'Bleness Perkins 17Weld Drive 0Pickering 20Nelson Drive Read 57East Green Drive Ryors 28NorthMcKinley Avenue Sargent N/A ScottQuad 46East Green Drive 0 Shively 51TrailOxbow 43TrailOxbow 88University Terrace Smith Tiffin N/A 59East Green Drive Treudley True 199SouthGreen Drive Voigt 41TrailOxbow Washington Weld 48 0East Green Drive Wilson 34SouthCollege St Wray 22Weld Drive N/A 20West Green Drive 175SouthGreen Drive 0 N/A
Ohio University Annual Fire Safety Report 2011 22
Damage Property 0000 N/A 0 N/A 0 N/A 0 N/A 0 N/A 0 N/A 0 N/A 0 N/A 0 N/A 0 N/A 0 N/A 0 N/A 0 N/A 0 N/A 0 N/A 0 N/A 0 N/A N/A $20.00 N/A Deaths 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 Injuries N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A Fires Classification of N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A DateFireTime& of DateFire Reported 0000 N/A N/A 0 N/A N/A 00 N/A 00 N/A N/A N/A N/A 000 N/A 0 N/A N/A N/A 2009 inEach Building TotalFires Address 47TrailOxbow 16Nelson Drive 2009 Ohio2009 University Residence Hall Related Information for Fire Safety and Statistics ResidenceHall AppendixD Adams Armbruster Atkinson 18Weld Drive 131SouthGreen Drive Biddle Boyd 10Weld Drive Bromley 51East BroughGreen 0Drive Brown 35SouthCongress Street Bryan Nelson 8 Drive Bush N/A 22NorthMcKInley Avenue Cady 0 Convo 34University Terrace Crawford 0 50East Green Drive Dougan N/A 95Richland Ewing Avenue 12NorthMcKinley Avenue Fenzel N/A 181SouthGreen Drive Foster 0Gamertsfelder 167SouthGreen Drive 58East Green Drive 24Nelson HooverDrive 0 14Nelson JamesDrive N/A 0 155SouthGreen Drive N/A West 8 Green Drive N/A 1 3/3/09 3/3/0910:44am@ Intentional 0
Ohio University Annual Fire Safety Report 2011 23
Damage Property 0 $100.00 000 N/A 0 N/A 0 N/A 0 N/A 0 N/A 0 N/A 0 N/A 0 N/A 0 N/A 00 N/A 0 N/A 0 N/A 0 N/A N/A N/A N/A 0 N/A 0 N/A 0 N/A 0 N/A Deaths 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 Injuries N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A Fires Classification of N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A DateFireTime& of DateFire Reported 000 N/A 0 N/A 0 N/A 0 N/A 0 N/A 10 N/A 0 N/A 4/17/09 4/17/092:55am@0 N/A 0 N/A Intentional0 N/A 0 N/A 0 00 N/A N/A N/A N/A 2009 inEach Building TotalFires Address 60East Green Drive 193SouthGreen Drive 0 N/A 2009 Ohio2009 University Residence Hall Related Information for Fire Safety and Statistics ResidenceHall AppendixD Johnson Lincoln MacKinnon 44East Green Drive Martzolff 18NorthMcKInley Avenue 45East Green Drive O'Bleness Perkins 17Weld Drive 0Pickering 20 Nelson Drive Read 57East Green Drive Ryors 28NorthMcKinley Avenue Sargent N/A ScottQuad 46East Green Drive 0 Shively 51TrailOxbow 43TrailOxbow 88University Terrace Smith Tiffin N/A 59East Green DriveTreudley True 199SouthGreen Drive Voigt 41TrailOxbow Washington Weld 48East 0Green Drive Wilson 34SouthCollege St Wray 22Weld Drive N/A 20West Green Drive 175SouthGreen Drive 0 N/A
Ohio University Annual Fire Safety Report 2011 24
Interoffice Communication
Date: October 31, 2012
To: The President and Board of Trustees
From: Stephen T. Golding, Vice President for Finance and Administration, CFO and Treasurer
Re: Annual Clery Act Compliance Report
Included in your agenda materials is the Ohio University 2012 Clery Act Compliance Report prepared by the University Police department.
This report to the board provides a summary of Campus Crime statistics for the 2011 calendar year, as well as recapping the statistics from the previous two Clery Compliance Reports (2009 and 2010). In addition to containing crime statistics, the Clery Report also provides information about University services, emergency procedures, and victim resources.
The 2012 report highlights:
Robberies and Aggravated Assaults remained unchanged from 2010 to 2011 Burglary and Forcible Sex Offenses showed slight dips in 2011 Arsons increased slightly in 2011 Liquor and drug arrests remained fairly consistent
If you have any questions or suggestions, please feel free to contact me.
2012 Clery Act Compliance Report
Ohio University Police Department Dear Members of the Ohio University Community:
The information that follows is designed to introduce you to issues of safety and security on the Ohio University Athens campus. O.U. regional campus information may be obtained at the respective campus or via the Ohio University Police Depart- ment website at www.ohiou.edu/police/. We have included a vast amount of informa- tion because it is our belief it will assist the members of our community in protecting themselves – the more we all know about our environment and society, the safer we will be.
The Ohio University Police Department provides professional law enforcement services to support the University’s mission. We value dedication, integrity, and professionalism in delivering our services, and employing a team approach to problem solving whenever possible. Through innovation and creativity, we achieve a high standard of service to our community. We treat each and every person with respect and compassion, working in tandem with members of our community to make O.U. a safe and secure place for all of us to work, learn, and live.
We encourage you to read this information and consider the advice it provides. Please feel free to contact the University Police Department if you have any ques- tions, comments, or concerns about this material or about the safety and security in general at Ohio University.
Andrew D. Powers Chief of Police Ohio University Police Department Ohio University’s 2012 Clery Act Compliance Report Ohio University is a state-assisted institution of higher education located in Athens, Ohio, with regional campuses in Belmont County (Eastern), Ironton (Southern), Chillicothe, Lancaster, Pickerington, Proctorville and Zanesville.
Ohio University is committed to assisting all members of the Ohio University community in providing for their own safety and security. The annual security compliance document is available on the OUPD website at www.ohiou. edu/police.
Our website and booklet contain information regarding campus security and personal safety including topics such as: crime prevention, University police law enforcement authority, crime reporting policies, disciplinary procedures and other matters of importance related to security on the Athens campus only.
In addition we have included crime statistics for the Athens and regional campuses for the three previous calendar years summarizing crimes that occurred on campus, and on public property within, or immediately adjacent to and accessible from, campus. Annual Fire Safety Report Ohio University’s Annual Fire Safety Report is created and distributed by the Office of Environmental Health and Safety (EHS). The report can be accessed at www.ohio.edu/riskandsafety/ehs or picked up at the EHS office at 142 University Service Center, 49 Factory Street.
Campus Law Enforcement Authority The Ohio University Police Department is a full service law enforcement agency, operating 24 hours a day, 365 days a year, located at 135 Scott Quadrangle. The department is staffed with 25 sworn police officers commissioned by the state of Ohio to serve and protect the University community. The department also employs 7 full time civilian personnel. Investigations of criminal conduct and violations of university policy are conducted in a timely and professional manner with prosecution and referrals to the criminal justice system or other appropriate entities when applicable. The department is also responsible for issuing timely warnings of crimes that pose a threat to the campus community. The department also works closely with other federal, state, municipal and university departments to enhance the level of law enforcement service available to the university community and to provide those who may be the victim of criminal actions or emergency situations information regarding university options available to them. The Ohio University Police Department also holds mutual aid agreements with the City of Athens Police Department and the Athens County Sheriff’s Office.
Ohio University believes that eliminating or minimizing criminal opportunities helps prevent crime. Partnerships have been established with students and employees to identify potential areas of victimization and options for appropriate response. Police officers engage in visible patrol and also present programs along with Residential Housing staff and other groups on campus to help community
3 Reporting of Criminal Activity and Other Emergencies Procedures and Facilities to Report Criminal Actions or Other Emergencies Students, employees, visitors and community members are strongly encouraged to report incidents of criminal conduct, suspicious behavior or emergencies to the Ohio University Police Department by telephone (740) 593-1911 or in person at 135 Scott Quadrangle as soon as possible. Emergency telephones are located at the main entrance of all residence halls and select locations throughout campus. The phones are recognizable by the blue lights located above each phone. Emergency phones provide direct access to the Ohio University Police Department and can be used to access other emergency services.
Confidential Reporting Ohio University encourages anyone who is the victim of/or witness to, any crime to promptly report the incident to the Ohio University Police Department or another campus authority. With such information, the University can take steps to help ensure the future safety of the campus by keeping an accurate record of the number of incidents involving students. Determining where there is a pattern of crime with regard to a particular location, method, or assailant, and alerting the campus community to potential danger are also benefits of such information. Please note that, because police reports are public record under state law, the Ohio University Police Department cannot hold reports of crime in confidence. Crime reports made to Ohio University health care and mental health professionals can generally be kept confidential, although reports will be included in the annual disclosure of crime statistics.
Emergency Preparedness Ohio University recognizes the need to prepare itself for numerous emergencies that may happen at any time. Ohio University has created an Emergency Operation Plan (EOP). The EOP provides general guidance, organizational structure and specific direction on preparedness, response and communication disciplines. It is critical that we prepare for the “unexpected” events to protect the Ohio University community and the local community of Athens, OH. The EOP outlines University procedures for managing major emergencies that may threaten the health and safety of the campus community. Ohio university policy #344.100, Critical Incidents, provides the Ohio University policy authority for this plan. The EOP can be easily accessed by visiting www.ohio.edu/riskandsafety/emergencyprograms/. In addition, to the EOP the University has created a Critical Incident Response Team (CIRT). CIRT is made up of numerous University stakeholders whose mission is to provide leadership to the campus community before, during and after an emergency or critical incident. CIRT members meet once every quarter.
Immediate Emergency Notification The Ohio University Police Department (OUPD) and Risk Management and Safety (RMS) work closely to monitor emergency situation on and around the University. If it is determined that there is an emergency or dangerous situations that poses an
4 immediate threat to the health and safety of some or all members of the University community, OUPD will immediately collaborate with RMS and CIRT to determine the immediate course of action. OUPD and/or RMS have the responsibility to respond to, summon the necessary resources, to mitigate, investigate and document any situation that may cause an emergency or dangerous situation in the University community. OUPD, RMS and CIRT will also work with the City of Athens and Athens County Emergency Management Agency to determine if there is an emergency or critical incident within the City or County of Athens that may pose an immediate threat to the University community and respond immediately to those situations as well. In the event of critical incident or emergency situation, the University community will be notified by the appropriate emergency notification system that have been established at Ohio University and described in detail in this booklet. This notification may be issued by OUPD or CIRT. The emergency notification may be to a selected group or location within the university Community or it may be a notification for the entire University community, using the most appropriate notification system to disseminate the information. Alert notification will be issued immediately unless a notification, in the judgment of OUPD and other first responders, compromise efforts to assist victims, or to contain, respond to, or otherwise mitigate the emergency. Student, faculty and staff are also encouraged to notify OUPD of any and all possible dangerous situations the may be occurring within the University community.
Emergency Evacuation Procedures Information on critical incidents and how to respond to these different events can be found at www.ohio.edu/emergency. Students living in the residence halls at Ohio University, participant in quarterly evacuation procedures and drills, which are held at the beginning of each academic quarter. These evacuation and emergency/fire drills are designed to inform students of emergency exits and emergency planning for the residence halls. Environmental Health and Safety along with Residential Housing are responsible for the coordination of these drills. Residents of the halls will be notified of the drills by Residential Housing staff. The University Critical Incident Response Team (CIRT) also participates in a table top exercise at each of the quarterly meeting. These exercises are based on a wide range of emergency situations and critical incidents that may affect some or all of the University community. CIRT members use these exercises to determine the best course of actions and responses for the various incidents. The university will also continue to be active in the Athens County Emergency Management Agency drills and exercises that are held every year and may affect the University community.
Shelter-in-Place Procedures – What’s it Mean to “Shelter-in-Place” If an incident occurs and the building or areas around you become unstable, or it if the air outdoors becomes dangerous due to toxic or irritating substances, it is usually safer to stay indoors, because leaving the area may expose you to that danger. Thus, to “shelter-in-place” means to make a shelter of the building that you are in, and with a few adjustments this location can be made even safer and more comfortable until it is safe to go outside.
5 Basic “Shelter-in-Place” Guidance If an incident occurs and the building you are in is not damaged, stay inside in an interior room until you are told it is safe to come out. If you building is damaged, take your personal belongings (purse, wallet, OU ID, etc) and follow the evacuation procedures for your building (close your door, proceed to the nearest exit, and use the stairs instead of the elevators). Once you have evacuated, seek shelter at the nearest University building quickly. If police , fire department or other first responders are on scene, follow their directions.
How You Will Know to “Shelter-in-Place” A shelter-in-place notification will come from the Ohio University Police Department, Risk management and Safety, Residential Housing Staff or other authorities. Alerts either by text messaging or outdoor notification messages will be the primary means of disseminating the notification however, other means may of communication may also be employed.
How to “Shelter-in-Place” No matter where you are, the basic steps of shelter-in-place will generally remain the same. Should the need arise; follow these steps, unless instructed otherwise by emergency personnel: 1. If you are inside, stay where you are. Collect any emergency shelter-in-place supplies and a telephone to be used in case of an emergency. If you are outdoors, proceed into the closest University building quickly or follow instructions from emergency personnel on the scene. 2. Locate a room to shelter inside. It should be: a. An interior room b. Above ground level c. Without windows or with the least number of windows. If there is a large group of people inside a building, several rooms may be necessary. 3. Shut and lock all windows (tighter seal) and close exterior doors. 4. Turn off air conditioners, heaters and fans. 5. Close vents to ventilation systems as you are able. (University employees will turn off ventilation system as quickly as possible). 6. Make a list of people and ask someone to call the Ohio University Police Department (740-593-1911) so they will know where you are sheltering. 7. Turn on a radio or TV and listen for further instructions. 8. Make yourself comfortable.
Community Emergency Notifications The following methods of communication are available and may be utilized in the event of a campus emergency. The usage of these tools will be dependent upon the particular set of circumstances present during the situation or incident. Not every communication tool will be utilized in every situation. The Ohio University Police Department in conjunction with the Critical Incident Response Team (CIRT) may initiate the communications tools listed.
Outdoor Emergency Notification System (Siren/PA system): An outdoor emergency notification system (audible siren/pa) has been installed 6 on the Athens Campus and may be used for notifying the campus community of weather-related situations or other emergency situations as deemed necessary by the University. There are six locations where the outdoor emergency notification system will sound from (or each site may be activated independently). An outdoor emergency notification will start with the sounding of a pre-programmed tone and continue with a verbal announcement either pre-recorded or live. An audible educational test of the outdoor emergency notification system occurs the 2nd Friday following the start of each academic quarter.
OHIO Alert (Voice/Text Messaging/Email/Social Media): Ohio University’s OHIO Alert allows authorized users to send automated emergency notifications via voice message, e-mail, text messaging, Twitter, and Facebook in situations as deemed necessary and appropriate. There will be times where this system will be used in conjunction with the campus outdoor emergency notification system and other times where it will be used with other communication methods or as the sole method of communications. The University tests the emergency event notification system quarterly.
Email The University’s email system may be used as a mode of communication. The email system allows a more thorough explanation of the situation be delivered to everyone’s email address at Ohio University. Instructions or protective steps may also be given through email.
Websites The University has several opportunities to utilize the web to disseminate information in an emergency. The University’s homepage www.ohio.edu has an emergency information link and may also be a standalone site used as the sole release point for emergency information. The emergency information page http://www.ohio.edu/emergency is a site where information may be posted as the emergency situation evolves. This site is a link from the University homepage and is regularly used to update the campus community. This site links to other University sites such as OUPD, Counseling and Psychological Services and the Campus Emergency Response Guide which provides procedures to follow in an emergency i.e. evacuation, tornado, etc.
CATVision CATVision is a year-round, 24 hour-a-day service delivered to every student bedroom, apartment and residence hall lounge on the Athens campus. The service is also provided to various academic and administrative locations on campus. Programming to all television monitors connected to CATVision can be interrupted to display an emergency message.
Campus Emergency Call-in Number A University call-in number has been established to play a short pre-recorded announcement. The number is 740.597.1800 (on Athens campus, 7-1800).
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Campus and Local Media During an emergency related to campus, campus and local media outlets will be notified by University Communications and Marketing and will be updated as the situation evolves. Policies for Making Timely Warning Reports to the Campus Community When Ohio University considers a crime to pose an ongoing threat to the safety of the community, “Crime Alerts/Timely Warnings” are distributed by the Ohio University Police Department throughout campus. Alerts will be issued for the following crimes: arson, aggravated assault, burglary, criminal homicide, motor vehicle theft, robbery, and sex offenses. Crime alerts may also be posted for other crimes as deemed necessary.
Monitoring and Reporting Criminal Activity at Off-Campus Locations Officially Recognized by the Institution The Ohio University Police Department maintains a close, cooperative relationship with all local, state and federal law enforcement agencies. In addition to joint education and enforcement efforts, the department works through the local police department to monitor and record criminal activity at off-campus locations of student organizations officially recognized by the university, including student organizations with off-campus housing facilities. Safety of and Access to Campus Facilities Including
Campus Residences The main campus of Ohio University is located on 1,800 acres in southeastern Ohio with 210 buildings. The access to facilities is limited to those who have authorization through their status as students, faculty, staff or visitors in connection with special events or invitation.
Academic and administrative facilities are secured by building or facility occupants or maintenance personnel at the close of the day’s activities and opened in the mornings in the same manner. Residence halls are for the use and enjoyment of the residents of the building. Exterior doors remain locked with the exception of a main door that is unlocked between the hours of 9 a.m. and 8 p.m. Interior hallway doors are to be locked at all times. Access to the individual rooms is limited to the residents and authorized university employees who must follow procedures established to protect the safety of the residents.
Programs Designed to Inform Students and Employees About Campus Security The Ohio University Police Department sponsors or participates in various programs designed to inform students, staff and visitors about safety and security issues throughout the year. While attempting to be comprehensive in providing a safe and secure community, it is important that community members be aware of their own safety and that of others in the community. In an effort to provide information to that end, the Ohio University Police Department also provides the following programs to the university community: 8 RAD – Rape Aggression Defense is a 15-hour self-defense program for women that focuses on mental and physical preparation with a strong emphasis on physical defensive techniques.
CLO – A Community Liaison Officer is assigned to every residence hall to provide formal as well as informal contacts throughout the academic year. Officers provide informational programming on issues for the hall and strive to create avenues of communication for hall residents with a police officer.
Policies Regarding Illegal Drugs and Alcoholic Beverages on Campus The Ohio University Police Department investigates and enforces drug and alcohol violations occurring on the main campus in cooperation with local, state and federal law enforcement agencies. Violations of drug and alcohol laws will result in criminal prosecution and referral to Ohio University Judiciaries. Judiciary sanctions under the Student Code of Conduct range from short-term probation to expulsion. Ohio University strictly enforces drug and alcohol laws. Health Promotion located at Baker Center is responsible for substance abuse education and prevention for students. Ohio University also has an alcohol and drug abuse awareness program for employees, which includes an Employee Assistance Program coordinated by the Human Resources Department. The Ohio University Police Department works cooperatively with local law enforcement agencies and organizations such as Mothers Against Drunk Drivers (MADD) to prevent drug and alcohol violations around the university community.
Statement of Policy Regarding Campus Sexual Assault Program to Prevent Sex Offenses, and Procedures to Follow When a Sex Offense Occurs
Statement on Sexual Assault
Sexual assault is defined as any attempted or actual unwanted sexual behavior. Sexual assault occurs along a continuum of intrusion and violation ranging from unwanted sexual comments to forced sexual intercourse. Sexual intrusions and violations of any degree are serious offenses and compromise the integrity of the University community. All forms of sexual assault are criminal offenses as well as violations of the A-4 (Mental or Bodily Harm to Others) provision of the Ohio University Student Code of Conduct. The University hearing board or administrative hearing officer will address three questions in cases of alleged sexual assault. First, “Did an act constituting sexual assault occur?” If the answer to this is yes but no physical contact occurred, the minimum sanction is one quarter suspension. The second question is “Was physical contact involved?” In these cases the minimum sanction is a one-year suspension. The third question is “Did penetration occur during the assault?” In any case where the answer to this question is yes, the accused student will be expelled. The guidelines also state that a presidential interim suspension will always be considered in cases where expulsion is being considered. Students found in violation of this provision are subject to a range of disciplinary sanctions including disciplinary expulsion from Ohio University. In cases of sexual assault,
9 both the accused student and the complainant have rights which are observed through the University judicial process. These rights are contained in their entirety in the Ohio University Student Code of Conduct. Ohio University is committed to creating an environment free from the threat of sexual assault, while actively responding to the needs of those affected by sexual assault. Consistent with this commitment, Ohio University has created a sexual assault education and prevention program which serves as the primary source for information, advocacy, and referral. Through this program and other departments on campus, Ohio University provides educational workshops and materials, prevention programs, and advocacy. Students affected by sexual assault may also seek assistance through this program in negotiating housing and academic accommodations Members of the Ohio University community who have been sexually assaulted are strongly encouraged to obtain medical assistance, talk with a counselor, and report the assault to the Ohio University Police Department. Counseling services are available for students through the Sexual Assault Education and Prevention Program and Counseling and Psychological Services. All services are free. Survivors are advised to report the assault to the Ohio University Police Department as soon as possible after the incident. Thus, evidence which might otherwise be lost after time has elapsed can be collected. Reporting sexual assault to OUPD in no way compels an individual to pursue a specific course of action. However, reporting does enable an individual to be apprised of the medical, emotional, legal, and university judicial options for dealing with the assault. Medical attention is important for two reasons: • Testing and/or medical treatment of sexually transmitted diseases, pregnancy, or physical injuries. • Evidence collection.
Student Sexual Assault Reporting Protocol It is the position of Ohio University that if a student alleges a sexual assault, the university has a responsibility to care for the survivor and promptly investigate the incident in the interest of the safety and security of the university community. The following protocol is to be utilized by any staff member who receives information that an alleged student sexual assault has occurred: Determine the health and safety needs of the survivor. When the sexual assault is being reported by a student, the staff member should say to the student, “Based upon what you say, I may be required to have the incident investigated by the University.”* The University is concerned for the survivor’s safety as well as the safety of the larger community. Whether or not the survivor wants to continue with a description of the incident, the resource packet (provided by Health Promotion) is given to the survivor and resources are discussed. The staff member is to contact the following: • OUPD (immediately), and • University Judiciaries (within one working day) 10 to provide whatever information is available about the incident, including name of survivor and perpetrator. Health Promotion (within one working day) to provide the necessary information required by the Campus Security (Clery) Act. OUPD and University Judiciaries will communicate to determine how the case will be investigated. If the survivor is willing to meet, either or both offices will review the case and options for action with the survivor. Whether or not a survivor wants criminal charges pursued, an institutional investigation will still proceed. As the case is investigated, OUPD and University Judiciaries will determine if there is enough evidence to proceed with the case either through the criminal or university judicial system and take the appropriate course of action (with or without the participation of the survivor). Any deviations from this protocol must be reasonable and documented.
Revised August, 2005
* Health care and mental health professionals are exempt from reporting the specifics of the incident as mandated by HIPPA (Counseling and Psychological Services and Student Health Services). They will, however, need to contact Health Promotion to provide the necessary information required by the Clery Act.
Registered Sex Offenders Information on registered sex offenders can be obtained by contacting the Athens County Sheriff’s Office at 13 West Washington Street Athens, Ohio 45701 or by telephone at (740) 593-6633, or visit their website at www.athenssheriff.com/ or http://ohio.esorn.net/search2.php?AgencyID=53904.
Missing Student Policy Designation of Missing Person Contact(s) by Students In accordance with Federal Higher Education Opportunity Act of 2008, Section 485(j), 20 U.S.C. 1092(j), 34 C.F.R. 668.46, regarding missing students, each student residing in university on-campus housing has the option to designate an individual or individuals to be contacted by the university not later than 24 hours after the time that the Ohio University Police Department determines that student to be missing. If the student determined to be missing is under the age of 18 and not emancipated, the university will notify both the missing person’s contact(s) designated by the student’s custodial parent or guardian.
The missing student’s contact(s) may be the same individual(s) as the student’s general purpose emergency contact, but does not have to be.
Students are responsible for updating their missing person contact(s) through the Office of Residential Housing, as described in more detail below.
The missing person contacts will be maintained confidentially; only authorized campus individuals and law enforcement officers in furtherance of a missing person investigation may have access to the information.
11 Notification to Students and Collection and Maintenance of Information At the beginning of each term, the Office of Residential Housing will, via email, notify students residing in university on-campus housing that they have the option to register a missing student contact or contacts. In that email, students will be directed to visit their MyHousing page to register their missing student contact(s). To register the contact(s) students (1) select “personal preferences” then the “current semester” (i.e., spring 2010-11), (2) complete the “confidential emergency contact” web field, then (3) save the information by selecting the “submit my personal preferences” button. The Office of Residential Housing will maintain each student’s missing person contact(s) until the student changes the contact(s).
Procedures for Reporting and Notification Regarding Missing Students Individuals who have reason to believe that a student is missing should immediately report their concern to the Ohio University Police Department (OUPD). OUPD will take appropriate investigative action, in accordance with department policy to determine wether the student has been missing more than 24 hours.
As soon as reasonably possible, and not longer than 24 hours after OUPD determines that the student has been missing for 24 hours, OUPD will notify the Dean of Students, or his or her designee.
Upon notification from OUPD that a student has been missing for more than 24 hours, the Dean of Students (or designee) will:
• Make contact with one or more of the missing person contact(s) identified by the student. If a missing person contact has not been formally declared, the university will notify the general purpose emergency contact.
• If the missing student is an unemanicipated student under the age of 18, the Dean of Students (or designee) will also notify that the student’s custodial parent or guardian.
In addition, OUPD will notify any local law enforcement with jurisdiction (if other than or in addition to OUPD) that the student has been missing for more than 24 hours.
Regional Campus Information Specific information regarding policies and procedures at individual regional campuses may be obtained by contacting the following:
Chillicothe Campus: 517 West 5th Street Chillicothe, Ohio 45601 Telephone (740) 774-7200
Eastern Campus: 45425 National Road, West St. Clairsville, Ohio 43950 Telephone (740) 695-1720 12 Lancaster Campus: 1570 Granville Pike Lancaster, Ohio 43130 Telephone (740) 654-6711
Proctorville Center: Ohio University Southern Campus - Proctorville Center P.O. Box 882 305 State Street Proctorville, Ohio 45667 Telephone (740) 886-7655
Pickerington Center: 12933 Stonecreek Drive Pickerington, Ohio 43147 Telephone (614) 367-9371
Southern Campus: 1804 Liberty Avenue Ironton, Ohio 45638 Telephone (740) 533-4600
Zanesville Campus: 1425 Newark Road Zanesville, Ohio 43701 Telephone (740) 588-1434
APPENDIX For the purposes of this document, the following definitions were used:
I. Sex Offenses As per the National Incident-Based Reporting System Edition of the Uniform Crime Reporting Program
A. Sex Offenses – Forcible Any sexual act directed against another person, forcible and/or against the person’s will; or not forcible or against the person’s will where the victim is incapable of giving consent.
1. Forcible Rape The carnal knowledge of a person, forcible and/or against the person’s will; or not forcible or against the person’s will where the victim is incapable of giving consent because of his/her temporary or permanent mental or physical incapacity (or because of his/her youth).
2. Forcible Sodomy Oral or anal sexual intercourse with another person, forcible and/or against that person’s will; or not forcible against the person’s will where the victim is incapable of giving consent because of his/her youth or because of his/her temporary or permanent mental or physical incapacity.
3. Sexual Assault with an Object The use of an object or instrument to unlawfully penetrate, however slightly, the genital or anal opening of the body of another person, forcibly and/
13 or against that person’s will; or, not forcible or against the person’s will where the victim is incapable of giving consent because of his/her youth or because of his/her temporary or permanent mental or physical incapacity.
4. Forcible Fondling The touching of the private body parts of another person for the purpose of sexual gratification, forcible and/or against that person’s will; or, not forcible or against the person’s will where the victim is incapable of giving consent because of his/her youth or because of his/her temporary or permanent mental or physical incapacity.
B. Sex Offenses – Non-Forcible Unlawful, non-forcible sexual intercourse 1. Incest Non-forcible sexual intercourse between persons who are related to each other within the degrees wherein marriage is prohibited by law.
2. Statutory Rape Non-forcible sexual intercourse with a person who is under the statutory age of consent.
II. Crime Definitions As per the Uniform Crime Reporting Handbook
A. Arson Any willful or malicious burning or attempt to burn, with or without intent to defraud, a dwelling house, public building, motor vehicle, or aircraft, personal property of another, etc.
B. Aggravated Assault An unlawful attack by one person upon another for the purpose of inflicting severe or aggravated bodily injury. This type of assault usually is accompanied by the use of a weapon or by means likely to produce death or great bodily harm. It is not necessary that injury result from an aggravated assault when a gun, knife, or other weapon is used which could and probably would result in a serious personal injury if the crime were successfully completed.
C. Burglary The unlawful entry of a structure to commit a felony or theft. For reporting purposes this definition includes: unlawful entry with the intent to commit a larceny or felony; breaking and entering with the intent to commit a larceny; housebreaking; safecracking; and all attempts to commit any of the aforementioned.
D. Manslaughter By Negligence The killing of another person through gross negligence.
E. Murder and Non-negligent Manslaughter The willful (non-negligent) killing of one human being by another.
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F. Motor Vehicle Theft The theft or attempted theft of a motor vehicle. (Classify as motor vehicle theft all cases where automobiles are taken by persons not having lawful access even though the vehicles are later abandoned, including joyriding.)
G. Robbery The taking or attempting to take anything of value from the care, custody, or control of a person or persons by force or threat of force or violence and/or by putting the victim in fear.
H. Drug Abuse Violations Violations of State and local laws relating to the unlawful possession, sale, use, growing, manufacturing, and making of narcotic drugs. The relevant substances include: opium or cocaine and their derivatives (morphine, heroin, codeine); marijuana; synthetic narcotics (demerol, methadones); and dangerous non-narcotic drugs (barbiturates, benzedrine).
I. Liquor Law Violations The violations of laws or ordinances prohibiting: the manufacture, sale, transporting, furnishing, possession of intoxicating liquor, maintaining unlawful drinking places; bootlegging; operating a still; furnishing liquor to a minor or intemperate person; using a vehicle for illegal transportation of liquor, drinking on a train or public conveyance; and all attempts to commit any of the aforementioned. (Drunkenness and driving while under the influence are not included in this definition.)
J. Weapon Law Violations The violation of laws or ordinances dealing with weapon offenses, regulatory in nature such as: manufacture, sale, or possession of deadly weapons; carrying deadly weapons, concealed or openly; furnishing deadly weapons to minors; aliens possessing deadly weapons; and all attempts to commit any of the aforementioned.
III. Geographic Locations A. On-Campus Defined as (1) Any building or property owned or controlled by an institution within the same reasonably contiguous geographic area and used by the institution in direct support of, or in a manner related to, the institution’s educational purposes, including residence halls; and (2) Any building or property that is within or reasonably contiguous to the area identified in paragraph (1) of this definition, that is owned by the institution but controlled by another person, is frequently used by students and supports institutional purposes (such as a food or retail vendor).
B. Non-Campus Building or Property Defined as (1) Any building or property owned or controlled by a student organization that is officially recognized by the institution; or (2) Any building or property owned or controlled by an institution that is used in direct support of, or in relation to, the institution’s educational purposes, is frequently used by students, and is not within the same reasonably contiguous geographic area of the institution.
15 C. Public Property Defined as all public property, including thoroughfares, streets, sidewalks, and parking facilities, that is within the campus or immediately adjacent to and accessible from the campus. Local Law Enforcement, Counseling Services, and Support Agencies Police Ohio University Police Department: ...... (740) 593-1911 or 911 if an emergency Athens City Police Department:...... (740) 593-6606 or 911 if an emergency Athens County Sheriff’s Department:...... (740) 593-6633 or 911 if an emergency
Ohio University Programs Counseling and Psychological Services: ...... 593-1616 CARELINE: ...... 593-3344 S.A.N.E. (Sexual Assault Nurse Examiner) O’Bleness Memorial Hospital: ...... 593-5551 Health Promotion: ...... 593-4742 V.P. for Student Affairs: ...... 593-2580 The Office of Judiciaries: ...... 593-2629 The Office of the Dean of Students: ...... 593-1800 The Office of Multicultural Programs: ...... 593-4027 The Office of International Student and Faculty Services: ...... 593-4330 The Office of Lesbian, Gay, Bisexual, & Transgender Center: ...... 593-0239 Student Health Services: ...... 593-4730/593-4731
Athens Community My Sister’s Place: ...... 593-3402 O’Bleness Memorial Hospital: ...... 593-5551 Planned Parenthood of Southeast Ohio: ...... 593-6979 Athens County Victim Assistance Program: ...... 592-3212 or 592-3208 Crisis Services: ...... 1-888-475-8484 Tri-County Mental Health & Counseling Services: ...... 592-3091
Drug & Alcohol Programs Appalachian Behavioral Healthcare: ...... 594-5000 Health Recovery Services: ...... 592-6720 TASC: ...... 592-3398 Tri-County Mental Health & Counseling: ...... 592-3091 Employee Assistance Program (OU employees) ...... 1-800-227-6007
16 43 44 76 30 Sub- Total 85 110 496 497 Non- Police Police 0 0 0 0 0 0 0 0 0 PD Local Local 10 0 0 0 0 1 0 6 00 1 00 7 0 0 0 01 0 0 0 00 0 0 0 1 1 010 00 0 01 0 0 00 0 0 0 0 1 06 0 00 0 0 0 1 00 0 1 0 000 7 0 0 0 0 0 0 0 0 0 43 25 44 30 76 OUPD On-Campus Residential 64 68 508 123 18 74 51 235 Sub- Total 0 Non- Police Police 5 0 PD Local Local Public PropertyPublic Grand Total 13 33 18 OUPD Sub- Total Non- Police Police PD Local Local 0 0 4 4 0 0 3 3 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 7 0 8 OUPD The Ohio University Police Department Crime Statistics 64 68 56 176 Sub- Total 85 123 498 501 Non- Police Police 0 0 0 0 0 2 0 1 0 PD Local Local 100100000000100000000000008008010100009000000000000000000000000003 0 00000000000002002000000002 10010000000012002010101014000000000000000000000000002002000000002200200000000280080101000090000000000000000000000000000000000000000000000000000 64 38 68 55 174 On Campus Property Non-Campus Property OUPD Athens Clery 2009 Clery Murder/Non- Negligent Negligent Manslaughter Robbery Assault Aggravated Theft Vehicle Motor Arson TotalBurglary Burglary Forcible Non-Forcible Burglary Attempted Burglary Offenses, Sex Forcible Total Rape Forcible SodomyForcible Assault Sexual w/Object Fondling Forcible Offenses, Non-Sex Forcible Total Incest Rape Statutory Arrests Law Liquor Law Liquor Referred Violations for Disciplinary Action Arrests Drug Law Violations Drug Law Referred for Action Disciplinary WeaponsIllegal Possession Arrests WeaponsIllegal Possession Referred Violations for Disciplinary On-Campus numberssub-section of Residential are a On Campus Property.
17 24 10 26 70 101 Sub- Total 517 517 117 117 Non- Police Police 0 0 0 0 0 0 0 0 0 0 PD Local Local 00 0 0 0 0 0 0 0 00 0 0 0 00 0 0 00 0 00 0 0 0 4 4 020 03 0 02 0 0 00 0 0 0 0 2 05 0 00 3 0 0 2 05 0 0 0 000 5 0 0 0 0 5 0 0 0 0 24 10 26 70 101 OUPD On-Campus Residential 30 15 34 527 126 47 238 22 153 Sub- Total Non- Police Police 7 0 6 0 PD Local Local Public PropertyPublic Grand Total 40 16 OUPD Sub- Total Non- Police Police PD Local Local 0 00 1 0 1 0 0 0 0 0 5 0 5 0 0 0 01 0 0 0 0 0 1 0 0 0 2 0 0 2 0 0 0 0 0 0 0 0 0 50 0 0 5 0 0 OUPD The Ohio University Police Department Crime Statistics 30 12 34 186 131 Sub- Total 521 521 126 126 Non- Police Police 0 0 0 0 0 0 0 0 0 0 PD Local Local 00000000000000000000000000000000000000000000000000000 0 00000000000000 0 0044000000004 10010000000012002000001013200200000000240040000000044004000000004000000000000060061001020290000000000000600600000000600000000000000000000000000 30 12 34 186 131 On Campus Property Non-Campus Property OUPD Athens Clery 2010 Clery Murder/Non- Negligent Negligent Manslaughter Robbery Assault Aggravated Theft Vehicle Motor Arson TotalBurglary Burglary Forcible Non-Forcible Burglary Attempted Burglary Offenses, Sex Forcible Total Rape Forcible SodomyForcible Assault Sexual w/Object Fondling Forcible Offenses, Non-Sex Forcible Total Incest Rape Statutory Arrests Law Liquor Law Liquor Referred Violations for Disciplinary Action Arrests Drug Law Violations Drug Law Referred for Action Disciplinary WeaponsIllegal Possession Arrests WeaponsIllegal Possession Referred Violations for Disciplinary On-Campus numberssub-section of Residential are a On Campus Property.
18 14 14 84 55 643 189 Sub- Total *643 *189 Non- Police Police 0 0 0 0 0 0 0 0 PD Local Local 00 0 0 0 0 0 0 1 0 0 1 0 00 0 0 0 3 3 3 0 00 3 0 00 0 0 0 0 110 04 0 00 0 0 00 0 0 1 0 1 2 0 0 00 4 0 0 0 0 0 0 00 0 00 2 0 0 0 0 0 0 0 0 0 14 14 84 55 OUPD On-Campus Residential 0 0 2 0 3 1 1 3 6 3 1 4 0 5 0 0 11 25 29 647 189 232 145 Grand Total 34 13 Sub- Total Non- Police Police 6 0 PD Local Local Public Property Public 9 4 0 Education for counting incidents involving campus referrals. judicial involving forincidents counting Education OUPD * Increase in number is due to changes in the guidelines from guidelines Department the the number Increasein * changes of in to due is 16 28 11 Sub- Total 0 0 Non- Police Police 15 11 PD Local Local 0 00 4 0 4 0 0 0 0 0 0 0 0 0 0 0 6 0 6 0 0 0 0 0 8 0 8 0 0 0 0 1 0 OUPD The Ohio University Police Department Crime Statistics 19 21 643 189 182 121 Sub- Total *643 *189 Non- Police Police 0 0 0 0 0 0 0 0 PD Local Local 00000000000000000000000080080101110220020000000000000000000000 0 0000000000000 0 003300000000 100100000000100100000000200200000101600600000000200201010000000001010000400400000000000000000000200201011102000000000000000000000000 19 21 182 121 On Campus Property Non-Campus Property OUPD Athens Clery 2011 Clery Murder/Non- Negligent Negligent Manslaughter Robbery Assault Aggravated Theft Vehicle Motor Arson TotalBurglary Burglary Forcible Non-Forcible Burglary Attempted Burglary Offenses, Sex Forcible Total Rape Forcible SodomyForcible Assault Sexual w/Object Fondling Forcible Offenses, Non-Sex Forcible Total Incest Rape Statutory Arrests Law Liquor Law Liquor Referred Violations for Disciplinary Action Arrests Drug Law Violations Drug Law Referred for Action Disciplinary WeaponsIllegal Possession Arrests WeaponsIllegal Possession Referred Violations for Disciplinary Action Property. Onsub-section Campus of numbers are a On-Campus Residential
19 Grand Total Grand Sub- Total Non- Police PD Local Public PropertyPublic Sub- Total OUPD Non- Police PD Local Sub- Total OUPD Non- Police PD Local The Ohio University Police Department Crime Statistics 000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000 0 0 0 000000000000 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 On Campus PropertyOn Campus Property Non-Campus OUPD Clery 2009 Clery ChillicotheOU Branch Murder/Non-Negligent Manslaughter Manslaughter Negligent Robbery Assault Aggravated Vehicle Theft Motor Arson Total Burglary Forcible Burglary Non-Forcible Burglary Attempted Burglary Sex Offenses, Forcible Total Forcible Rape Forcible Sodomy AssaultSexual w/Object Forcible Fondling Sex Offenses, Non-Forcible Total Incest Statutory Rape Liquor Arrests Law Violations Law Liquor Disciplinary for Referred Action ArrestsDrug Law ViolationsDrug Law Referred for Disciplinary Action Illegal Weapons Possession Arrests Illegal Weapons Possession for Violations Referred Disciplinary Action
20 Grand Total Grand Sub- Total Non- Police PD Local Public PropertyPublic Sub- Total OUPD Non- Police PD Local Sub- Total OUPD Non- Police PD Local The Ohio University Police Department Crime Statistics 000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000 0 0 0 000000000000 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 On Campus PropertyOn Campus Property Non-Campus OUPD Clery 2010 Clery ChillicotheOU Branch Murder/Non-Negligent Manslaughter Manslaughter Negligent Robbery Assault Aggravated Vehicle Theft Motor Arson Total Burglary Forcible Burglary Non-Forcible Burglary Attempted Burglary Sex Offenses, Forcible Total Forcible Rape Forcible Sodomy AssaultSexual w/Object Forcible Fondling Sex Offenses, Non-Forcible Total Incest Statutory Rape Liquor Arrests Law Violations Law Liquor Disciplinary for Referred Action ArrestsDrug Law ViolationsDrug Law Referred for Disciplinary Action Illegal Weapons Possession Arrests Illegal Weapons Possession for Violations Referred Disciplinary Action
21 Grand Total Grand Sub- Total Non- Police PD Local Public PropertyPublic Sub- Total OUPD Non- Police PD Local Sub- Total OUPD Non- Police PD Local The Ohio University Police Department Crime Statistics 000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000 0 0 0 000000000000 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 On Campus PropertyOn Campus Property Non-Campus OUPD Clery 2011 Clery ChillicotheOU Branch Murder/Non-Negligent Manslaughter Manslaughter Negligent Robbery Assault Aggravated Vehicle Theft Motor Arson Total Burglary Forcible Burglary Non-Forcible Burglary Attempted Burglary Sex Offenses, Forcible Total Forcible Rape Forcible Sodomy AssaultSexual w/Object Forcible Fondling Sex Offenses, Non-Forcible Total Incest Statutory Rape Liquor Arrests Law Violations Law Liquor Disciplinary for Referred Action ArrestsDrug Law ViolationsDrug Law Referred for Disciplinary Action Illegal Weapons Possession Arrests Illegal Weapons Possession for Violations Referred Disciplinary Action
22 Grand Total Grand Sub- Total Non- Police PD Local Public PropertyPublic Sub- Total OUPD Non- Police PD Local Sub- Total OUPD Non- Police PD Local The Ohio University Police Department Crime Statistics 000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000 0 0 0 000000000000 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 On Campus PropertyOn Campus Property Non-Campus OUPD Clery 2009 Clery EasternOU Branch Murder/Non-Negligent Manslaughter Manslaughter Negligent Robbery Assault Aggravated Vehicle Theft Motor Arson Total Burglary Forcible Burglary Non-Forcible Burglary Attempted Burglary Sex Offenses, Forcible Total Forcible Rape Forcible Sodomy AssaultSexual w/Object Forcible Fondling Sex Offenses, Non-Forcible Total Incest Statutory Rape Liquor Arrests Law Violations Law Liquor Disciplinary for Referred Action ArrestsDrug Law ViolationsDrug Law Referred for Disciplinary Action Illegal Weapons Possession Arrests Illegal Weapons Possession for Violations Referred Disciplinary Action
23 Grand Total Grand Sub- Total Non- Police PD Local Public PropertyPublic Sub- Total OUPD Non- Police PD Local Sub- Total OUPD Non- Police PD Local The Ohio University Police Department Crime Statistics 000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000 0 0 0 000000000000 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 On Campus PropertyOn Campus Property Non-Campus OUPD Clery 2010 Clery EasternOU Branch Murder/Non-Negligent Manslaughter Manslaughter Negligent Robbery Assault Aggravated Vehicle Theft Motor Arson Total Burglary Forcible Burglary Non-Forcible Burglary Attempted Burglary Sex Offenses, Forcible Total Forcible Rape Forcible Sodomy AssaultSexual w/Object Forcible Fondling Sex Offenses, Non-Forcible Total Incest Statutory Rape Liquor Arrests Law Violations Law Liquor Disciplinary for Referred Action ArrestsDrug Law ViolationsDrug Law Referred for Disciplinary Action Illegal Weapons Possession Arrests Illegal Weapons Possession for Violations Referred Disciplinary Action
24 Grand Total Grand Sub- Total Non- Police PD Local Public PropertyPublic Sub- Total OUPD Non- Police PD Local Sub- Total OUPD Non- Police PD Local The Ohio University Police Department Crime Statistics 000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000 0 0 0 000000000000 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 On Campus PropertyOn Campus Property Non-Campus OUPD Clery 2011 Clery EasternOU Branch Murder/Non-Negligent Manslaughter Manslaughter Negligent Robbery Assault Aggravated Vehicle Theft Motor Arson Total Burglary Forcible Burglary Non-Forcible Burglary Attempted Burglary Sex Offenses, Forcible Total Forcible Rape Forcible Sodomy AssaultSexual w/Object Forcible Fondling Sex Offenses, Non-Forcible Total Incest Statutory Rape Liquor Arrests Law Violations Law Liquor Disciplinary for Referred Action ArrestsDrug Law ViolationsDrug Law Referred for Disciplinary Action Illegal Weapons Possession Arrests Illegal Weapons Possession for Violations Referred Disciplinary Action
25 Grand Total Grand Sub- Total Non- Police PD Local Public PropertyPublic Sub- Total OUPD Non- Police PD Local Sub- Total OUPD Non- Police PD Local The Ohio University Police Department Crime Statistics 000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000 0 0 0 000000000000 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 On Campus PropertyOn Campus Property Non-Campus OUPD Clery 2009 Clery LancasterOU Branch Murder/Non-Negligent Manslaughter Manslaughter Negligent Robbery Assault Aggravated Vehicle Theft Motor Arson Total Burglary Forcible Burglary Non-Forcible Burglary Attempted Burglary Sex Offenses, Forcible Total Forcible Rape Forcible Sodomy AssaultSexual w/Object Forcible Fondling Sex Offenses, Non-Forcible Total Incest Statutory Rape Liquor Arrests Law Violations Law Liquor Disciplinary for Referred Action ArrestsDrug Law ViolationsDrug Law Referred for Disciplinary Action Illegal Weapons Possession Arrests Illegal Weapons Possession for Violations Referred Disciplinary Action
26 Grand Total Grand Sub- Total Non- Police PD Local Public PropertyPublic Sub- Total OUPD Non- Police PD Local Sub- Total OUPD Non- Police PD Local The Ohio University Police Department Crime Statistics 000000000000000000000000000000000000000000000000000000000000000000000000010100000000000000000000010100000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000 0 0 0 001100000000 0 0 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 On Campus PropertyOn Campus Property Non-Campus OUPD Clery 2010 Clery LancasterOU Branch Murder/Non-Negligent Manslaughter Manslaughter Negligent Robbery Assault Aggravated Vehicle Theft Motor Arson Total Burglary Forcible Burglary Non-Forcible Burglary Attempted Burglary Sex Offenses, Forcible Total Forcible Rape Forcible Sodomy AssaultSexual w/Object Forcible Fondling Sex Offenses, Non-Forcible Total Incest Statutory Rape Liquor Arrests Law Violations Law Liquor Disciplinary for Referred Action ArrestsDrug Law ViolationsDrug Law Referred for Disciplinary Action Illegal Weapons Possession Arrests Illegal Weapons Possession for Violations Referred Disciplinary Action
27 Grand Total Grand Sub- Total Non- Police PD Local Public PropertyPublic Sub- Total OUPD Non- Police PD Local Sub- Total OUPD Non- Police PD Local The Ohio University Police Department Crime Statistics 000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000 0 0 0 000000000000 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 On Campus PropertyOn Campus Property Non-Campus OUPD Clery 2011 Clery LancasterOU Branch Murder/Non-Negligent Manslaughter Manslaughter Negligent Robbery Assault Aggravated Vehicle Theft Motor Arson Total Burglary Forcible Burglary Non-Forcible Burglary Attempted Burglary Sex Offenses, Forcible Total Forcible Rape Forcible Sodomy AssaultSexual w/Object Forcible Fondling Sex Offenses, Non-Forcible Total Incest Statutory Rape Liquor Arrests Law Violations Law Liquor Disciplinary for Referred Action ArrestsDrug Law ViolationsDrug Law Referred for Disciplinary Action Illegal Weapons Possession Arrests Illegal Weapons Possession for Violations Referred Disciplinary Action
28 Grand Total Grand Sub- Total Non- Police PD Local Public PropertyPublic Sub- Total OUPD Non- Police PD Local Sub- Total OUPD Non- Police PD Local The Ohio University Police Department Crime Statistics 000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000 0 0 0 000000000000 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 On Campus PropertyOn Campus Property Non-Campus OUPD Clery 2009 Clery PickeringtonOU Center Murder/Non-Negligent Manslaughter Manslaughter Negligent Robbery Assault Aggravated Vehicle Theft Motor Arson Total Burglary Forcible Burglary Non-Forcible Burglary Attempted Burglary Sex Offenses, Forcible Total Forcible Rape Forcible Sodomy AssaultSexual w/Object Forcible Fondling Sex Offenses, Non-Forcible Total Incest Statutory Rape Liquor Arrests Law Violations Law Liquor Disciplinary for Referred Action ArrestsDrug Law ViolationsDrug Law Referred for Disciplinary Action Illegal Weapons Possession Arrests Illegal Weapons Possession for Violations Referred Disciplinary Action
29 Grand Total Grand Sub- Total Non- Police PD Local Public PropertyPublic Sub- Total OUPD Non- Police PD Local Sub- Total OUPD Non- Police PD Local The Ohio University Police Department Crime Statistics 000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000 0 0 0 000000000000 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 On Campus PropertyOn Campus Property Non-Campus OUPD Clery 2010 Clery PickeringtonOU Center Murder/Non-Negligent Manslaughter Manslaughter Negligent Robbery Assault Aggravated Vehicle Theft Motor Arson Total Burglary Forcible Burglary Non-Forcible Burglary Attempted Burglary Sex Offenses, Forcible Total Forcible Rape Forcible Sodomy AssaultSexual w/Object Forcible Fondling Sex Offenses, Non-Forcible Total Incest Statutory Rape Liquor Arrests Law Violations Law Liquor Disciplinary for Referred Action ArrestsDrug Law ViolationsDrug Law Referred for Disciplinary Action Illegal Weapons Possession Arrests Illegal Weapons Possession for Violations Referred Disciplinary Action
30 Grand Total Grand Sub- Total Non- Police PD Local Public PropertyPublic Sub- Total OUPD Non- Police PD Local Sub- Total OUPD Non- Police PD Local The Ohio University Police Department Crime Statistics 000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000 0 0 0 000000000000 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 On Campus PropertyOn Campus Property Non-Campus OUPD Clery 2011 Clery PickeringtonOU Center Murder/Non-Negligent Manslaughter Manslaughter Negligent Robbery Assault Aggravated Vehicle Theft Motor Arson Total Burglary Forcible Burglary Non-Forcible Burglary Attempted Burglary Sex Offenses, Forcible Total Forcible Rape Forcible Sodomy AssaultSexual w/Object Forcible Fondling Sex Offenses, Non-Forcible Total Incest Statutory Rape Liquor Arrests Law Violations Law Liquor Disciplinary for Referred Action ArrestsDrug Law ViolationsDrug Law Referred for Disciplinary Action Illegal Weapons Possession Arrests Illegal Weapons Possession for Violations Referred Disciplinary Action
31 Grand Total Grand Sub- Total Non- Police PD Local Public PropertyPublic Sub- Total OUPD Non- Police PD Local Sub- Total OUPD Non- Police PD Local The Ohio University Police Department Crime Statistics 000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000 0 0 0 000000000000 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 On Campus PropertyOn Campus Property Non-Campus OUPD Clery 2009 Clery Proctorville CenterOU Murder/Non-Negligent Manslaughter Manslaughter Negligent Robbery Assault Aggravated Vehicle Theft Motor Arson Total Burglary Forcible Burglary Non-Forcible Burglary Attempted Burglary Sex Offenses, Forcible Total Forcible Rape Forcible Sodomy AssaultSexual w/Object Forcible Fondling Sex Offenses, Non-Forcible Total Incest Statutory Rape Liquor Arrests Law Violations Law Liquor Disciplinary for Referred Action ArrestsDrug Law ViolationsDrug Law Referred for Disciplinary Action Illegal Weapons Possession Arrests Illegal Weapons Possession for Violations Referred Disciplinary Action
32 Grand Total Grand Sub- Total Non- Police PD Local Public PropertyPublic Sub- Total OUPD Non- Police PD Local Sub- Total OUPD Non- Police PD Local The Ohio University Police Department Crime Statistics 000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000 0 0 0 000000000000 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 On Campus PropertyOn Campus Property Non-Campus OUPD Clery 2010 Clery Proctorville CenterOU Murder/Non-Negligent Manslaughter Manslaughter Negligent Robbery Assault Aggravated Vehicle Theft Motor Arson Total Burglary Forcible Burglary Non-Forcible Burglary Attempted Burglary Sex Offenses, Forcible Total Forcible Rape Forcible Sodomy AssaultSexual w/Object Forcible Fondling Sex Offenses, Non-Forcible Total Incest Statutory Rape Liquor Arrests Law Violations Law Liquor Disciplinary for Referred Action ArrestsDrug Law ViolationsDrug Law Referred for Disciplinary Action Illegal Weapons Possession Arrests Illegal Weapons Possession for Violations Referred Disciplinary Action
33 Grand Total Grand Sub- Total Non- Police PD Local Public PropertyPublic Sub- Total OUPD Non- Police PD Local Sub- Total OUPD Non- Police PD Local The Ohio University Police Department Crime Statistics 000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000 0 0 0 0 000000000000 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 On Campus PropertyOn Campus Property Non-Campus OUPD Clery 2011 Clery Proctorville CenterOU Murder/Non-Negligent Manslaughter Manslaughter Negligent Robbery Assault Aggravated Vehicle Theft Motor Arson Total Burglary Forcible Burglary Non-Forcible Burglary Attempted Burglary Sex Offenses, Forcible Total Forcible Rape Forcible Sodomy AssaultSexual w/Object Forcible Fondling Sex Offenses, Non-Forcible Total Incest Statutory Rape Liquor Arrests Law Violations Law Liquor Disciplinary for Referred Action ArrestsDrug Law ViolationsDrug Law Referred for Disciplinary Action Illegal Weapons Possession Arrests Illegal Weapons Possession for Violations Referred Disciplinary Action
34 Grand Total Grand Sub- Total Non- Police PD Local Public PropertyPublic Sub- Total OUPD Non- Police PD Local Sub- Total OUPD Non- Police PD Local The Ohio University Police Department Crime Statistics 000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000 0 0 0 000000000000 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 On Campus PropertyOn Campus Property Non-Campus OUPD Clery 2009 Clery SouthernOU Branch Murder/Non-Negligent Manslaughter Manslaughter Negligent Robbery Assault Aggravated Vehicle Theft Motor Arson Total Burglary Forcible Burglary Non-Forcible Burglary Attempted Burglary Sex Offenses, Forcible Total Forcible Rape Forcible Sodomy AssaultSexual w/Object Forcible Fondling Sex Offenses, Non-Forcible Total Incest Statutory Rape Liquor Arrests Law Violations Law Liquor Disciplinary for Referred Action ArrestsDrug Law ViolationsDrug Law Referred for Disciplinary Action Illegal Weapons Possession Arrests Illegal Weapons Possession for Violations Referred Disciplinary Action
35 Grand Total Grand Sub- Total Non- Police PD Local Public PropertyPublic Sub- Total OUPD Non- Police PD Local Sub- Total OUPD Non- Police PD Local The Ohio University Police Department Crime Statistics 000000000000000000000000000000000000000000000000000000000000000000000000000001010000000001010000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000 0 0 0 0 000000000000 0 0 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 On Campus PropertyOn Campus Property Non-Campus OUPD Clery 2010 Clery SouthernOU Branch Murder/Non-Negligent Manslaughter Manslaughter Negligent Robbery Assault Aggravated Vehicle Theft Motor Arson Total Burglary Forcible Burglary Non-Forcible Burglary Attempted Burglary Sex Offenses, Forcible Total Forcible Rape Forcible Sodomy AssaultSexual w/Object Forcible Fondling Sex Offenses, Non-Forcible Total Incest Statutory Rape Liquor Arrests Law Violations Law Liquor Disciplinary for Referred Action ArrestsDrug Law ViolationsDrug Law Referred for Disciplinary Action Illegal Weapons Possession Arrests Illegal Weapons Possession for Violations Referred Disciplinary Action
36 Grand Total Grand Sub- Total Non- Police PD Local Public PropertyPublic Sub- Total OUPD Non- Police PD Local Sub- Total OUPD Non- Police PD Local The Ohio University Police Department Crime Statistics 000000000000000000000000000000000000000000000000000000000000000000000000000002020000000002020000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000 0 0 0 000000000000 0 0 0 2 2 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 On Campus PropertyOn Campus Property Non-Campus OUPD Clery 2011 Clery SouthernOU Branch Murder/Non-Negligent Manslaughter Manslaughter Negligent Robbery Assault Aggravated Vehicle Theft Motor Arson Total Burglary Forcible Burglary Non-Forcible Burglary Attempted Burglary Sex Offenses, Forcible Total Forcible Rape Forcible Sodomy AssaultSexual w/Object Forcible Fondling Sex Offenses, Non-Forcible Total Incest Statutory Rape Liquor Arrests Law Violations Law Liquor Disciplinary for Referred Action ArrestsDrug Law ViolationsDrug Law Referred for Disciplinary Action Illegal Weapons Possession Arrests Illegal Weapons Possession for Violations Referred Disciplinary Action
37 Grand Total Grand Sub- Total Non- Police PD Local Public PropertyPublic Sub- Total OUPD Non- Police PD Local Sub- Total OUPD Non- Police PD Local The Ohio University Police Department Crime Statistics 000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000 0 0 0 000000000000 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 On Campus PropertyOn Campus Property Non-Campus OUPD Clery 2009 Clery ZanesvilleOU Branch Murder/Non-Negligent Manslaughter Manslaughter Negligent Robbery Assault Aggravated Vehicle Theft Motor Arson Total Burglary Forcible Burglary Non-Forcible Burglary Attempted Burglary Sex Offenses, Forcible Total Forcible Rape Forcible Sodomy AssaultSexual w/Object Forcible Fondling Sex Offenses, Non-Forcible Total Incest Statutory Rape Liquor Arrests Law Violations Law Liquor Disciplinary for Referred Action ArrestsDrug Law ViolationsDrug Law Referred for Disciplinary Action Illegal Weapons Possession Arrests Illegal Weapons Possession for Violations Referred Disciplinary Action
38 Grand Total Grand Sub- Total Non- Police PD Local Public PropertyPublic Sub- Total OUPD Non- Police PD Local Sub- Total OUPD Non- Police PD Local The Ohio University Police Department Crime Statistics 000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000 0 0 0 000000000000 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 On Campus PropertyOn Campus Property Non-Campus OUPD Clery 2010 Clery ZanesvilleOU Branch Murder/Non-Negligent Manslaughter Manslaughter Negligent Robbery Assault Aggravated Vehicle Theft Motor Arson Total Burglary Forcible Burglary Non-Forcible Burglary Attempted Burglary Sex Offenses, Forcible Total Forcible Rape Forcible Sodomy AssaultSexual w/Object Forcible Fondling Sex Offenses, Non-Forcible Total Incest Statutory Rape Liquor Arrests Law Violations Law Liquor Disciplinary for Referred Action ArrestsDrug Law ViolationsDrug Law Referred for Disciplinary Action Illegal Weapons Possession Arrests Illegal Weapons Possession for Violations Referred Disciplinary Action
39 Grand Total Grand Sub- Total Non- Police PD Local Public PropertyPublic Sub- Total OUPD Non- Police PD Local Sub- Total OUPD Non- Police PD Local The Ohio University Police Department Crime Statistics 000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000 0 0 0 000000000000 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 On Campus PropertyOn Campus Property Non-Campus OUPD Clery 2011 Clery ZanesvilleOU Branch Murder/Non-Negligent Manslaughter Manslaughter Negligent Robbery Assault Aggravated Vehicle Theft Motor Arson Total Burglary Forcible Burglary Non-Forcible Burglary Attempted Burglary Sex Offenses, Forcible Total Forcible Rape Forcible Sodomy AssaultSexual w/Object Forcible Fondling Sex Offenses, Non-Forcible Total Incest Statutory Rape Liquor Arrests Law Violations Law Liquor Disciplinary for Referred Action ArrestsDrug Law ViolationsDrug Law Referred for Disciplinary Action Illegal Weapons Possession Arrests Illegal Weapons Possession for Violations Referred Disciplinary Action
40 Hate Crimes Ohio University is required to report all Hate Crimes that occur on the Athens campus, regional campuses and property. Hate Crimes are reported based on the listed crimes below and are committed intentionally because of Race, Gender, Religion, Sexual Orientation, Ethnicity or Disability. The following crimes are to be reported: Murder/Non-Negligent Manslaughter, Negligent Manslaughter, Robbery, Aggravated Assault, Simple Assault, Motor vehicle Theft, Arson, Burglary, Sexual Offenses-Forcible, Sexual Offenses-Non-Forcible, Larceny-Theft, Intimidation, or Destruction/Damage/ Vandalism of Property. There were no reportable Hate Crimes that occurred on the Campuses of Athens Chillicothe, Eastern, Lancaster, Pickering Center, Proctorville Center and Southern for the following years:
2009 2010 2011
Zanesville had one (1) Hate Crime reported On Campus Property in 2011 for Intimidation by Race and none for the following years:
2009 2010
41 -6 -4 -4 -3 H- 7 8H 2H 3H 9G inovich Vo ...... 226 B-5 ...... 222 C-6 chnology Center.1 Te ...... 101 F-3 Residence...... 85 H-5 House...... 127 K-6 l. ’s levision Bldg...... 31 H-3 ff Te lfe Street Apartments ...... 79 I-6 lter Hall ...... 156 F-5 shington Hall ...... 49 J-4 ld House ...... 128 K-6 st Green Practice Facility ...... 157 D-4 ay House...... 134 K-7 en Stadium ...... 93 D-4 igt Hall ...... 34 H-3 inovich School, Ridges Building mada International House ...... 33 I-3 mpleton-Blackburn Alumni eudley Hall ...... 99 F-4 ue House ...... 132 K-6 ffin Hall...... 55ffin J-5 Ridges Building #29 ...... 229Ridges Building #30 ...... 230 C-7 Ridges Building #31 ...... 231 B-7 Ridges Building #32 ...... 232 C-7 Ridges Building #33 ...... 233 C-7 Ridges Building #34 ...... 234 C-7 Ridges Building #35 ...... 235 C-7 Ridges Building #36 ...... 236 C-7 Ridges Building #37 ...... 237 C-8 Ridges Building #38 ...... 238 C-8 Ridges Building #39 ...... 239 C-8 Ridges Auditorium...... 223 D-8 Ridges Building #45 ...... 245 C-6 Cooling....241Ridges District Water C-7 C-7 Ridges Building #24 ...... 224Ridges Building #26 B-6 Ti Ryors Annex ...... 182Ryors Hal E-3 Tr Sargent Hall ...... 98Scott Quadrangle, OUPD...... 76 F-4 Scripps Hall...... 10 H-5 Sculpture Studio ...... 38 G-4 Seigfred Hall ...... 39 J-3 I-3 Trisolini Gallery, Baker University Gallery, Trisolini Center...... 87 House...... 36Trisolini G-4 I-3 Shively Hall...... 54 Center...... 141Sing Tao I-5 Smith House ...... 131 G-4 L-6 Tr and Sheetmetal Shops....179 Tunnel D-1 Hall...... 58Tupper University College Office...... 9 G-3 I-4 University Garage...... 109 D-3 University Medical Associates, Parks Hall...... 105Upper Grounds Maint. Bldg...... 61 E-4 Parking...... 56Visitor I-4 Vo I-4 Softball Complex ...... 137 D-4 Courts...... 91 Tennis Vo South Green Field House...... 158Stocker Center ...... 103 L-5 Surface Science Lab ...... 175 E-3 Te G-5 Memorial Auditorium ...... 8 H-4 #21 ...... 221Wa D-7 Wa We Alphabetical Index...... Bldg. F-3 Grid Life Science Research Facility...... 149 Lin Hall, Kennedy Museum ...... 201Lincoln Hall ...... 45 C-7 Lindley Hall ...... 17 I-4 Lower Grounds Maintenance G-4 Building ...... 8 Mackinnon Hall...... 70Martzol J-5 We Wilson Hall (administrative)...... McCracken Hall ...... 42 HallMcGuffey ...... J-3 McKee House ...... 59 I-4 Wilson Hall (residence hall)...... 104Wo E-4 WOUB-TV Studios ...... 31 H-3 Morton Hall...... 78Nelson Commons ...... 72 I-5 Oasis ...... 155 J-6 O’Bleness House...... 123 H-5 OHIO Eco House...... 228 K-6 Ohio University Inn...... 107 B-5 Osteopathic Medicine, D-9 College Office ...... 96OUPD, Scott Quad ...... 76 D-4 Parking Garage, Athens City...... 28 I-5 Parking Garage, Baker Center .....87 H-2 Parks Hall, University Medical G-4 Associates ...... 105Peden Stadium...... 94 E-4 F-6 Wr Perkins Hall ...... 52Pickering Hall ...... 68 I-4 K-5 Wr Ya Zoology Bldg...... 74 H-5 Pilcher House ...... 15 H-3 Ping Recreation Center ...... 140Porter Hall ...... 86 H-7 President F-4 President Street Academic Center...... 14Pruitt Field - Multipurpose G-3 Athletic Facility ...... 106Putnam Hall ...... 41 C-3 Radio- I-3 Read Hall ...... 48Recreation Areas...... 115 J-4 Research and L-6 Ridges Building #1, Lin Hall, Kennedy Museum...... 201Ridges Building #2 ...... 202 C-7 Ridges Building #3 ...... 203 C-7 Ridges Building #4 ...... 204 C-7 Ridges Building #5 ...... 205 C-6 Ridges Building #6 ...... 206 B-7 Ridges Building #7 ...... 207 C-7 Ridges Building #8 ...... 208 C-7 Ridges Building #9 ...... 209 C-7 Ridges Building #10 ...... 210 C-7 Ridges Building #12 ...... 212 C-7 Ridges Building #13 ...... 213 D-7 Ridges Building #14 ...... 214 D-7 Ridges Building #15 ...... 215 D-7 Ridges Building #16 ...... 216 C-7 Ridges Building #17 ...... 217 C-7 Ridges Building #18 ...... 218 D-7 Ridges Building #19 ...... 219 D-7 Ridges Building #20...... 220 D-7 D-7 Ridges Building #21, School...... 221 D-7 Ridges Building #22 -3 -4 -4 -3 -4 -4 -4 -4 H-6 H,I,J,K-7 9H 1H 6H 9G 7H 5G 3H 5H 111 C-2 v. Bldg. Grid fice...31 H-3 chnology, st ...... 119 E-4 Te We ter Cooling...... 80 D-3 torial, College Office ...83 G-5 aining Center...... 150 E-1 Tu Wa Alden...... Tr y, erson Hall ...... 46 J-4 chnology Center...... 153 C-1 College Office ...... 96 D-4 College Office ...... 103 D-3 Gordy Hall ...... 84Graduate Services Office ...... 59 H-5 Grosvenor Hall ...... 96 H-4 Grosvenor Hall, E-4 Chubb Hall ...... Claire Oates Ping Cottage ...... 64Class Gateway ...... 11 I-4 Clippinger Laboratories...... 81 H-3 Communication, College Of Computer Service Center ...... 13Convocation Center...... 95 G-3 Copeland Hall ...... 12 E-5 Corrosion and Multi-Phase G-3 Te Crawford Hall...... 71Credit Union, Ohio University....117 J-5 Crewson House ...... 18 D-1 Cutler Hall ...... G-4 District Grover Center ...... 89 Parking...... 56Guest/Visitor F-5 Haning Hall ...... 20 I-4 E-1 HDL Center...... 142 G-3 Health and Human Services, Heating Substation...... 23 F-3 Dougan House ...... 133Education, College Office...... 42 K-7 Edgehill Maintenance Bldg...... 63 I-3 Edwards Accelerator Lab...... 82 I-3 Electric & Life Safety Shops ...... 113 H-5 Ellis Hall ...... D-2 Emeriti Park...... 146Engineering and G-6 Ewing House ...... 135 J-7 Honors Hoover House ...... 136Howard Park ...... 143 J-7 H-3 Facilities and Auxiliaries Admin. Bldg...... 180Facilities Management Shops.....110 D-2 Facilities Management Shops.....112 D-2 D-2 Fenzel House...... 122 J-6 Hudson Health Center...... 35Human Resources I-3 and Fine Arts, College Office...... 37Food Service, Central H-3 ...... 111 D-2 Information, Baker University Center...... 87Innovation Center...... 154 G-4 Intregrated Learning and Reasearch C-1 Facility (Future)...... 184Intramural Field ...... 116 E-3 Irvine Annex...... 181 L-3 E-3 Football Practice Field ...... 151 G-7 Irvine Hall ...... 102James Hall ...... 97 E-4 Je ff E-4 Jennings House ...... 37Johnson Hall...... 47 I-3 Kantner Hall...... 30 J-4 Kennedy Museum, Lin Hall ...... 201 H-2 C-7 Alphabetical Index Former Baker Center...... 32Foster House H-3 ...... 125 K-5 Golf Course ...... 73 Konneker Alumni Center ...... 60Konneker Research Center...... 225 I-4 B-5 9 Factory Street...... 17835 Park Place ...... 83 D-1 Adams Hall...... 157 H-5 of...... Admissions, Office J-7 Parking...... 56Admissions, Visitor H-4 Galbreath Chapel...... Gamertsfelder Hall ...... 53Glidden Hall, Robert...... 40 J-4 Center...... 144Golf and Tennis I-3 I-7 Lasher Hall...... 21Library Annex...... 159 G-3 Lausche Heating Plant...... 108 F-1 D-3 AFSCME 1699...... 177Airport, Directions to D-2 ...... 114Alden Library ...... J-9 Konneker...... 60Alumni Center, Alumni Gateway ...... 176 H-5 Aquatic Center...... 92 H-3 Armbruster House ...... 129 G-5 Arts and Sciences, College Office... K-6 Athena Cinema ...... 147Athens City Building...... 29 H-2 Athens County Courthouse...... 27 H-2 H-2 Librar Atkinson House...... 130Baker University Center...... 87 L-6 Bentley Annex...... 139 G-4 Bentley Hall...... 16 G-3 Bicentennial Park...... 183 G-4 F-5 Biddle Hall...... 51Bingham House...... 118 I-4 Biochemistry Research Fac...... 152 E-6 Bird Arena ...... 90 B-1 Botanical Research...... 75 G-5 I-5 Boyd Hall ...... 100 F-3 Bromley Hall...... 148Brough House ...... 126 G-3 Brown Hall ...... 69 K-5 Brown House...... 43 J-5 I-3 Bryan Hall...... 57Bush Hall ...... 50 I-4 J-4 Business, College Office...... 12Cady House G-3 ...... 124Carin Center ...... 145 K-6 Central Classroom Bldg...... 24 F-7 Food Ser Central Foods Facility, F-3 Child Development Center...... 227 B-7 Chessa Field - Soccer Facility ...... 138 B-3 ter Cooling Wa 225226 Konneker Research Center 227 Ridges Building #26 229 Child Development Center 230 Ridges Building #29 231 Ridges Building #30 232 Ridges Building #31 233 Ridges Building #32 234 Ridges Building #33 235 Ridges Building #34 236 Ridges Building #35 237 Ridges Building #36 238 Ridges Building #37 239 Ridges Building #38 241 Ridges Building #39 Ridges District 245 Ridges Building #45 m inovich School Vo Ridges Auditoriu 224 Ridges Building #24 220221 Ridges Building #20 Ridges Building #21 222223 Ridges Building #22 Facility (Future) Ridges Building #1 181182 Irvine Annex 183 Ryors Annex 184 Bicentennial Park Integrated Learning and Research 201 Kennedy Museum Ridges Building #1, Lin Hall, 202203 Ridges Building #2 204 Ridges Building #3 205 Ridges Building #4 206 Ridges Building #5 207 Ridges Building #6 208 Ridges Building #7 209 Ridges Building #8 210 Ridges Building #9 212 Ridges Building #10 213 Ridges Building #12 214 Ridges Building #13 215 Ridges Building #14 216 Ridges Building #15 217 Ridges Building #16 218 Ridges Building #17 219 Ridges Building #18 Ridges Building #19 OUPD
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43 “Ohio’s First and Finest”
©2010 Ohio University Printing Services • 58266-9/10 44
Interoffice Communication
Date: October 31, 2012
To: The President and Board of Trustees
From: Stephen T. Golding, Vice President for Finance and Administration, CFO and Treasurer
Re: Annual Sustainability Update
Included in your agenda materials is the Ohio University Sustainability Report. I intend to present this report to the trustees annually.
The FY 12 Sustainability Report outlines the progress made toward each of the Sustainability Plan’s 35 Benchmarks and identifies “Next Steps” for the university’s future sustainable efforts.
The Ohio University Sustainability Plan is a 35-point plan aimed at improving the institution’s sustainability profile. The document was formally adopted by the President in Summer 2011 after extensive consultation. Implementation planning began shortly after adoption and involved the Office of Sustainability staff, members of Ecology and Energy Conservation Committee and a diverse set of administrative and academic units across campus.
The actual reporting process and format are subject to change annually dependent upon campus and community feedback. Since this is the first year of reporting in this manner, members of the Ohio University Board of Trustees are encouraged to provide feedback regarding the formatting offered here. Feedback can be emailed to [email protected].
If you have any questions or suggestions, please feel free to contact me.
This document may also be found online.
Ohio University Sustainability Report
Completed: August 2012 Published: October 2012 Edition 1
Prepared by: Ohio University Office of Sustainability with support from Ecology and Energy Conservation Committee
Table of Contents
Executive Summary 3
Overall Benchmark Progress 4
Benchmarks 5
Progress by Categories Academics & Research 6 Land Management 11 Outreach and Reporting 14 Purchasing 17 Transportation 22 Waste 25 Fundraising & Endowment 29 Climate Commitment 31 Buildings & Energy Infrastructure 33
Acknowledgements 37
2
Executive Summary
In 2007, President Roderick McDavis signed the American College & University Presidents’ Climate Com- mitment. With this act, the University was committed to setting a target date and plan for institutional car- bon neutrality and integrating sustainability into the curriculum and college experience. To aid these efforts, President McDavis established the Presidential Advisory Council for Sustainability Planning (PACSP) in 2009. PACSP then worked with various campus and community constituents in the development of the Ohio University Sustainability Plan, which was adopted by the President in June 2011. Driving visions, benchmarks, suggested strategies and full details regarding creation of the Sustainability Plan are addressed in the Plan itself. The Sustainability Plan moved into the implementation phase during the 2011-2012 aca- demic year under the direction of the Ecology and Energy Conservation Committee (EECC) of the Faculty Senate.
In this, the first year of the Sustainability Plan’s existence, the implementation process consisted of identify- ing and reaching out to responsible parties for each benchmark. To compile data regarding progress on benchmarks, members of the Office of Sustainability first identified parties who already had efforts under- way, were familiar with the Sustainability Plan and/or had resources or procedures in place which were available to address the benchmark.
To facilitate easy comprehension in this report, benchmarks were divided into subcategories. The bench- mark priority level (ranked 1-35) is retained and located to the left of each benchmark report. This report documents the progress made for each benchmark and identifies next steps to ensure continued progress.
In the first year of implementation, the following have been achieved: An implementation and reporting process was created A campus-wide departmental liaison program proposal was created to aid implementation 4 benchmarks are reported as having achieved “Significant” progress (11.4%) “Some” progress was made on 6 benchmarks (17.1%)
While sustainability continues to be a high priority of Ohio University, 25 of the benchmarks received “minimal” or “insignificant” progress ratings. It should be noted that this plan is expected to be accom- plished in the long-term and such level of reporting is to be expected. Though, it is clear that additional work must be accomplished if the institution is to successfully accomplish all elements of this plan. To begin, additional data collection is necessary in a variety of areas. This will require the support of additional staff or volunteer hours. Additionally, increased outreach and programming must occur in order to im- prove the sustainability literacy of the entire campus community. Infrastructure development will continue to be a high priority of the institution and will receive significant support through research, grant writing and staff resources.
None of the efforts reported here could have been accomplished if it weren’t for the passion and dedica- tion of individuals throughout the institution. We are grateful to those who chose to report their efforts to EECC and the Office of Sustainability. It is anticipated, though, that a number of efforts were not includ- ed here merely because the reporting agents were unaware of such efforts. All members of the campus community are invited to self-report any personal and professional efforts being taken to improve Ohio University’s sustainability profile. Reports may be emailed to us at [email protected] at any time throughout the year.
3
Insignificant Minimal Some Significant Complete
Benchmarks: 1 - Reduce institutional greenhouse gas emissions 2 - Reduce campus and building energy intensity 3 - Increase renewable energy 4 - LEED certify new buildings and major renovations on all campuses 5 - Reduce solid waste 6 - Institute annual sustainability profile tracking and assessment process 7 - Increase recycling rates 8 - Improve sustainability literacy of students, faculty and staff 9 - Increase enrollment in sustainability-themed courses, majors, and programs 10 - Integrate sustainability goals and objectives into capital campaign 11 - Provide undergraduate students with a sustainability-focused major, degree program, or equivalent 12 - Evaluate LEED EBOM of existing facilities 13 - Prohibit the installation of permanent irrigation systems that rely on potable water 14 - Increase purchase of local food 15 - Improve identification and proper handling of hazardous waste 16 - Improve sustainability profile of student, staff, and faculty vehicles 17 - Institute storm water management plan 18 - Improve sustainability profile of campus fleet 19 - Increase use of green cleaning products 20 - Increase the percentage of paper products on campus that include post-consumer recycled content 21 - Assess endowment investment in sustainable corporations and entities and recommend strategies for increasing investment in these corporations and entities 22 - Implement recruitment strategies targeting sustainability-minded students, faculty, and staff 23 - Strengthen sustainability research activities 24 - Prohibit elective use of Styrofoam materials and containers 25 - Sub-meter campus facilities 26 - Practice Integrated Pest Management (IPM) 27 - Decrease use of Single Occupancy Vehicles (SOV) 28 - Increase purchase on non-food local goods and services and environmentally preferable goods 29 - Increase purchase of environmentally preferable computer products 30 - Provide information to diners regarding sustainability-attributes of food options 31 - Develop sustainability guidelines for concessionaires and franchisees 32 - Increase food donations to local service organizations 33 - Encourage residency in City of Athens for Athens campus employees 34 - Implement notification system for local service organizations regarding availability of surplus items 35 - Define and track sustainability research activities
5
Academics and Research
FY 2012 Highlights:
Honors Tutorial College established a B.S. in Environmental Studies. The academic program is scheduled to begin in 2012-13, Ohio University defined “sustainability lit- eracy” and created surveying methods for the student population. The Common Experience Project theme for the coming 4 years has been selected as “Sustainability.” 6
Academics and Research
8. Improve sustainability literacy of students, faculty and staff
Target and Date: December, 2011: Define ‘sustainability literacy’ June 2012: Establish ‘sustainability literacy’ baseline Annually: Increase sustainability literacy among students, faculty and staff by 5%
Progress Level: Some
Status: Sustainability-“Sustainability literacy” was defined: “A person literate in sustainability understands basic defini- tions of sustainability and understands how to incorporate sustainability values and practices into everyday living and their personal and professional choices.” “Basic definitions of sustainability” include the Brundtland definition (“Meeting the needs of the present without compromising the ability of future generations to meet their needs,” from The Report of the Brundtland Commission, Our Common Future, Oxford University Press, 1987) and the intrinsic connection between the three pillars of sustainability as highlighted in the Ohio University approach of “people, planet, prosperity.”
To measure sustainability literacy, a pilot sustainability literacy study was completed for the 2011-2012 aca- demic year. From this study, a baseline sustainability literacy survey was created which will be given to in- coming freshmen via the CIRP survey, and to outgoing seniors through an emailed exit survey. The 2012 freshmen CIRP survey will provide the sustainability literacy baseline by which future increases in sustainabil- ity literacy will be measured. Starting in spring 2013, an exit sustainability literacy survey, facilitated by Office of Sustainability, will be distributed via email to graduating seniors each year.
The theme for the Common Experience Project, an academic effort to promote unified curriculum messag- ing, for 2012-2015 will be “sustainability.”
Note: Sustainability literacy evaluation helps identify a community’s placement within three phases of sustain- ability progression, as defined by Leith Sharp through her Organizational Change Management theory. The three phases are: Awakening, Pioneering and Transforming. In the institution’s effort to assess “sustainability literacy,” efforts will be made to assist student in their navigation through all phases of this process on at least one topic within sustainability. Therefore, it is anticipated that additional metrics and programming will need to be defined and created to adequately measure progress in this goal. Reporting Bodies: EECC, Office of Sustainability, University College, Enrollment Next steps: Address faculty/staff literacy; pilot SOUL program.
7
Academics and Research
9. Increase enrollment in sustainability-themed courses, majors and programs.
Target and Date: December, 2011 – Define sustainability-themed courses, majors, and programs. Determine baseline, Annual – 5% increase in sustainability – themed course offerings and enrollment Ahead of the Curve
Interior Architecture, Progress Level: Minimal College of Fine Arts
“The Ohio University Interior Ar- chitecture program curriculum Status: addresses the architecture of in- Sustainability-themed courses have been defined. Baseline data gath- side space…In today's world every- ering is underway. thing designers and architects do is tempered by, and filtered through, the lens of sustainability. Sustainability has been selected as the theme for the Common Experi- ence Project for the next four years. This program is aimed at offer- “Within this program we address ing all OU students with a consistent message regarding institutional sustainability as an overarching values by incorporating sustainability into a variety of curricula, re- component in designing the archi- tecture of inside spaces. We ad- gardless of discipline. All faculty participating in this voluntary pro- dress the concepts of material gram will take a survey to self-identify sustainability themed courses content, manufacturing processes, which they teach. At the close of FY12, this survey had been created life cycle assessment of materials and distributed for responses. and building and installation meth- ods.” Reporting Bodies: - Matthew Ziff EECC, Office of Sustainability, University College, Enrollment Associate Professor Interior Architecture Area Chair Next steps: Continue to implement survey distribution and collection. All faculty
are invited to self-report by sending an email to [email protected]. Office of Sustainability will then be responsi- ble for compiling a list of sustainability themed courses and submitting the list to Enrollment when available. Enrollment will then report the number of students in each sustainability themed course. The same will be done for sustainability themed majors, but enrollment numbers will only be compiled annually.
8
Academics and Research
11. Provide undergraduate students with a sustainability-focused major, degree program or equivalent.
Target and Date: 2015: One major, degree program or equivalent.
Progress Level: Significant
Status: Honors Tutorial College (HTC) will offer a B.S. Environmental Studies, beginning in 2013. Details are availa- ble at http://www.honors.ohio.edu/programs/environmental-studies.html Reporting Body: Office of the Provost Next steps: Assess HTC program and consider future steps
23. Strengthen sustainability research activities
Target and Date: 2012-2013: 25% increase in full-time faculty engaged in sustainability research and 75% increase in sustainabil- ity research in all academic departments and centers by 2020 or a 5% increase per year in each category be- ginning 2012 -2013.
Progress Level: Insignificant
Status: Minimal progress has been made since Benchmark 35 must first be completed in order to calculate the base- line for Benchmark 23 Reporting Bodies Center of Excellence in Energy and Environment (CE3), Vice President of Research & Office of Research and Sponsored Programs, all individuals or units engaged in sustainability-related research. Next steps: Complete baseline inventory for benchmark 35. Start discussions with internal grant administrators about incentives for sustainability research. Assess how types of research are funded, acknowledged and rewarded during faculty promotion and tenure across campus. Develop a reporting mechanism that encourages all fac- ulty to self-report their sustainability-related research activities (especially those not grant-funded).
9
Academics and Research
35. Define and track sustainability research activities.
Target and Date: July 2011: Define ‘sustainability research activities’ September 2011: Conduct inventory of sustainability research activities by faculty, department, collabora- tion, awards, and award dollars
Progress Level: Minimal
Status: A definition of sustainability research activities was created: “Sustainability” research activities must be multidisciplinary and must advance knowledge in all three of the tenets of sustainability: preserving the planet, promoting a strong economy and fostering healthy populations. Activities which will be included in the inventory of sustainability research activities will include controlled terms from each of the three ten- ets.
The list of controlled terms for sustainability research activities was created. A list of 55 faculty members potentially conducting current sustainability research was created. The controlled terms and a full list of faculty can be found online.
Reporting Bodies: Office of Research and Sponsored Programs, Office of Sustainability, all individuals or units engaged in sus- tainability-related research.
Next steps: Office of Sustainability and the Common Experience Project will work to inform faculty members of the controlled terms which will signify sustainability research in research publications or grant submissions and thereby allow the university to track and acknowledge their research. The Office of Sustainability will ac- tively request feedback from faculty on additional controlled terms while simultaneously offering faculty members a place to self-report sustainability research activities in unpublished work. With the help of SOUL, the institution will be able to create an inventory of sustainability research activities in 2012-2013.
10
Land Management
FY 2012 Highlights:
Installation of permanent irrigation systems relying on potable water is prohibited for new construction. Integrated pest management is currently implemented throughout much of the Athens campus.
11
Land Management
13. Prohibit the installation of permanent irrigation systems
that rely on potable water.
Target and Date: Total ban by June 2011
Progress Level: Significant Ahead of the Curve
Status: Facilities Management While this practice is essentially in effect for all new construction as part
of LEED-equivalent requirements, no formal standard yet exists. Ten years ago, Facilities Reporting Bodies: Management recognized Design and Construction, Facilities Management the economic and environ- mental benefits of reusing Next steps: Write and incorporate formal standard into Design and rain water for irrigation. Construction procedures and/or LEED-equivalent requirements. Also, Therefore, when the Ohio create inventory of existing irrigation systems with a goal of gradually University golf course was converting all systems to non-potable water. renovated in 2002, a pond was constructed on the golf course for the purpose of collecting rain water. This pond is the primary source of irrigation water for all Ohio University athletic fields. A well beneath the pond is used as a back-up source of water.
Left: The retention pond located on the Ohio Univer- sity golf course in Athens, Ohio.
12
Land Management
17. Institute storm water management plan.
Target and Date: Plan adopted June 2012
Progress Level: Insignificant
Status: Construction projects over one acre require storm water management plans. At this point a campus-wide storm water management plan is not established. Reporting Body: University Planning Next Steps: We recognize the importance of considering the built environment’s impact on storm water flow after con- struction is complete and it is recommended that a lead within EECC, Office of Sustainability or Facilities Planning and Space Management be designated to coordinate this effort.
26. Practice integrated pest management.
Target and Date: Plan adopted by 2011.
Progress Level: Minimal
Status: Integrated pest management is already taking place throughout much of main campus, but no formal written procedures exist.
Reporting Body: Grounds Services
Next Steps: The Office of Sustainability will facilitate procedure writing, utilizing the expertise of Grounds Services, the Plant Biology and Biological Sciences departments. Branch campuses will be included in the discussion so they may determine how to effectively adopt strategies for their own campuses.
13
Outreach & Reporting
FY 2012 Highlights:
Publication of “Routes, ” the Office of Sustainability’s online publication.* Implementation and reporting plan is established for the Ohio University Sustainability Plan. The first Sustainability Plan Report is published in Summer 2012.
*Learn how to receive “Routes” updates by emailing us at [email protected].
14
Outreach & Reporting
6. Institute annual sustainable profile tracking and assessment process.
Target and Date: Formal mechanism implemented within 3 months of Sustainability Plan adoption
Progress Level: Significant
Status: The Office of Sustainability compiled data and published an annual sustainability report. The Office of Sus- tainability also created a new publication, Routes, to inform the campus community about sustainability initi- atives and progress on the Sustainability Plan. Throughout the year
As this is the first Sustainability Plan report, the Office of Sustainability is collecting feedback regarding con- tent and ease of readability. Comments can be sent to [email protected].
Each report will include an invitation for reporting bodies to provide the Office of Sustainability with feed- back on how to improve the data gathering and communication process. The establishment of the tracking and assessment process is in draft form, and this activity will remain in process in perpetuity.
Reporting Body: Ecology and Energy Conservation Committee, Office of Sustainability
Next steps: Compile feedback and adjust process as needed
15
Outreach & Reporting
22. Implement recruitment strategies targeting sustainability-minded students, faculty and staff.
Target and Date: Fall 2012 - use the sustainability profile of the school as a tool to recruit students with an expressed interest in sustainability. Faculty and staff will be recruited based on an expressed interest in sustainability and envi- ronmental issues.
Progress Level: Minimal
Status: The Office of Sustainability attended all transfer and recruitment fairs in 2011-12 and has begun discussions with Admissions staff regarding future recruitment strategies as they relate to sustainability. Sustainability highlights have been included in all freshman orientation materials for Fall 2012. Additionally, sustainability is highlighted in upcoming versions of the OU Viewbook. Reporting Body: Human Resources, Undergraduate Admissions, Office of Sustainability. Next steps: Work with the Undergraduate Admissions and UCM to integrate sustainability information into all recruit- ment materials
30. Provide information to diners regarding sustainability-attributes of food options.
Target and Date: Labeling and marketing program by 2012
Progress Level: Minimal
Status: Currently Culinary Services uses an icon to label items with local ingredients. It is anticipated that future efforts will include a broader definition of “sustainability-attributes” so as to include more education in the labeling and marketing program. Reporting Body: Auxiliary Services Next Steps: The Office of Sustainability will continue to work with Auxiliary Services to provide increased education and labeling of Ohio University culinary options.
16
Purchasing
FY 2012 Highlights:
A formal draft of OU’s current green cleaning procedures is created for LEED credit submission. Green cleaning continues to be imple- mented throughout the Athens campus. “Sustainability” is highlighted in the Pouring Rights RFP process.
17
Purchasing
14. Increase purchase of local food.
Target and Date: 0.5% per year between 2011 and 2016
Progress Level: Minimal
Status: Currently there is no system in place to track purchases of local food. The University does currently pur- chase local food and is committed to purchasing more. Discussions with Culinary Services and Procure- ment have begun regarding the infrastructure that needs to be in place in order to properly establish a sys- tem for tracking local food purchases. Reporting Body: Auxiliary Operations. Next steps: Office of Sustainability will continue to offer support to appropriate staff in Auxiliary Operations regarding the establishment and maintenance of a formal tracking process.
19. Increase use of green cleaning products.
Target and Date: Exclusive use of certified products when available and competitively priced.
Progress Level: Some
Status: A draft of Ohio University’s green cleaning procedures was written and submitted for the LEED certifica- tion of 15 Park Place. The green cleaning products and materials listed in these procedures are already be- ing purchased for use throughout the campus. Details of the procedures can be found online. Reporting Body: Facilities Management. Next steps: Facilities Management will continually evaluate new green cleaning products. Office of Sustainability will work with procurement to formalize procurement process for green cleaning products purchased through- out the university, including branch campuses
18
Purchasing
20. Increase the percentage of paper products on campus that include post-consumer recycled content.
Target and Date: 75% of all annual paper products purchased will include at least 40% PCC by June 2012.
Progress Level: Minimal
Status: The “Print Responsibly” program was introduced in 2012, which could centralize some paper purchases. Reporting Body: Procurement Next steps: The Office of Sustainability will work with Procurement to determine the percentage of paper products purchased with 30% or more PCC in 2011 as baseline for comparison with future years. An educa- tional campaign through SOUL should be explored.
24. Prohibit elective use of Styrofoam materials and containers.
Target and Date: Total ban with exemptions, effective June 2011.
Progress Level: Minimal
Status: An amendment to change ‘Styrofoam’ to polystyrene was submitted to the EECC by the Director of Sustain- ability in Spring 2012. This will ensure that all polystyrene use is limited, as opposed to limiting just one spe- cific brand of polystyrene. Though this is not yet an institutional policy, Culinary Services stopped purchasing polystyrene food containers in 2007 to give purchasing preference to convenience and ethics. When asked about the change Chef Matt Rapposelli responded “We wanted to go to compostable containers and it is easier from an inventory perspective to stock just the one type of container as well as we knew it was a bet- ter choice.” Reporting Body: Procurement Next steps: The Office of Sustainability is working with BobCatBUY managers to utilize the software as a me- dium for informing OU purchasers about alternative options for similar products that do not contain polysty- rene that are made available through BobCatBUY. Identifying where polystyrene is still in use on campus and researching and publicizing alternatives may help a polystyrene ban take effect. Outreach to purchasers needs to be done to better educate our campus community about this effort and the reasoning behind it.
19
Purchasing
28. Increase purchase of non-food local goods and services and environmentally preferable goods.
Target and Date: 0.5% per year between 2011 and 2016
Progress Level: Insignificant
Status: Representatives from Procurement have confirmed that classification options for non-food goods and ser- vices exists. The classifications are currently listed as, “Recycled,” “Energy Star” and “Green.” Office of Sus- tainability will continue to work with Procurement to establish an efficient way for properly tracking local and environmentally preferable goods in BobCatBUY. Reporting Body: Procurement. Next steps: Office of Sustainability will continue to work with Procurement to establish an efficient way for properly tracking local and environmentally preferable goods in BobCatBUY. Together, these two entities will work with SOUL to determine the most commonly purchased local products and create a marketing campaign to inform the campus community of these products.
29. Increase purchase of environmentally preferable computer products.
Target and Date: 75% of all annual computer products purchased will be rated EPEAT Gold or better by FY2012..
Progress Level: Insignificant
Status: This item was minimally addressed this Fiscal Year. It was determined that Apple products are purchased through the Tech Depot and the university has a Dell Contract through BobcatBUY. Reporting Bodies: Technology Depot, Office of Information Technology, Procurement Next steps: Office of Sustainability will work with Tech Depot and Procurement to identify a list of EPEAT rat ed computers. Then, all parties will work together to begin tracking the purchase of such products through BobCatBUY and annual Tech Depot reports.
20
Purchasing
31. Develop sustainability guidelines for concessionaires and franchisees.
Target and Date: Guidelines developed by June 30, 2012
Progress Level: Some
Status: Sustainability was highlighted as a priority in Ohio University’s recent Request for Proposals (RFP) for new Pouring Rights vendor contracts. Suppliers were expected to address eight areas of sustainability in their proposals: support for recycling; waste reduction; energy conservation; promotional support; reporting; car- bon footprint reduction; social responsibility; and, end-of-life activities. PepsiCo prevailed as the winning sup- plier and has expressed its commitment to sustainability through innovative programs and initiatives that ad- dress personal nutrition, water and emissions reduction, energy conservation and recycling efforts, to name a few. Additionally, PepsiCo representatives agreed to make annual sustainability and resource consumption reports available upon request.
Reporting Bodies: Procurement/Auxiliaries, Athletics, Office of Sustainability
Next Steps: Interested parties will continue to work together to ensure a positive implementation of all areas of sustainability that were guaranteed by the supplier. Office of Sustainability will maintain a strong working relationship with Procurement and Auxiliaries so as to continue to incorporate sustainability into the RFP process at Ohio University.
21
Transportation
FY 2012 Highlights:
Parking pass fees instituted in 2011-12 to encourage alternate transportation to single -occupancy vehicles. Policy 47.001 goes into effect, requiring all newly-acquired vehicles to meet or exceed CAFE standards.
22
Transportation
16. Improve sustainability profile of student, staff and faculty vehicles.
Target and Date: Guidelines developed by June 30, 2012
Progress Level: Insignificant
Status: Although a formal program to improve sustainability profile of vehicles is still in the discussion stage, many students, faculty and staff have proactively and independently purchased vehicles classified as LEFE. Office of Sustainability staff and volunteers are currently in the process of cataloging all vehicles on campus that are associated with a parking pass in an effort to develop baseline LEFE data. Reporting Body: Transportation and Parking Services Next Steps: Office of Sustainability will work with SOUL to create s program aimed at encouraging students, faculty and staff to purchase LEFE when personal vehicles are replaced.
18. Improve sustainability profile of campus fleet.
Target and Date: Average fuel economy of the campus fleet will increase by 5% per year beginning in the fall of 2011. All cars and light trucks acquired from outside the university beginning in June 2011 will meet or exceed 2011 federal CAFE standards.
Progress Level: Minimal Status: Policy number 47.001 went into effect on December 22, 2011. As a condition of this policy, all cars and light trucks acquired from outside the university must be approved by Transportation and Parking Services. One of the approval requirements includes that vehicles must now meet or exceed 2011 federal CAFÉ standards. Additionally, it should be noted that all 15-passenger vans are being replaced with newer, more fuel efficient, 12-passenger vans. Reporting Body: Transportation and Parking Services. Next steps: Transportation and Parking Services will continue to provide the Office of Sustainability with data tracking the vehicles registered with the university through annual parking passes. The Office of Sustain- ability will analyze fuel economy data during the 2012-2013 academic year.
23
Transportation
27. Decrease use of Single Occupancy Vehicles (SOV).
Target and Date: 85% of all students and 20% of all faculty and staff will use a non-SOV option as their primary method of transportation by 2015, including but not limited to non-motorized, shared, and alternative fuel options.
Progress Level: Insignificant
Status: Parking pass fees were instituted in academic year 2011-12. Reporting Bodies Transportation and Parking Services, Human Resources, University Planner, University-City Transit Partner- ship Next Steps: FY2012 parking pass numbers will be compared to FY2013 parking pass numbers and both will be compared to total enrollment and faculty/staff numbers.
33. Encourage residency in City of Athens for Athens campus employees.
Target and Date: Informational materials will be provided to all incoming faculty and staff prior to relocation by 2012
Progress Level: Minimal
Status: The City of Athens Planner worked to create a map of residential neighborhoods (Athens, Ohio) to be used in the Welcome Packet being created by the Office of Sustainability for all new faculty and staff. This Wel- come Packet is intended to offer those relocating to the Athens area with an overview of sustainable oppor- tunities in the region Reporting Bodies: Human Resources, Office of Sustainability. Next steps: It is anticipated that the Sustainability Welcome Packet will be made available to all new and/or relocating faculty/staff by late 2012.
24
Waste
FY 2012 Highlights:
Expansion of compost facility, June 2012, to 6 tons per day capacity. This expansion will allow the institution to responsibly manage all organic waste generated on its Athens campus. A comprehensive recycling inventory was completed.
25
Waste
5. Reduce Solid Waste
Target and Date: 5% per year between 2011 and 2016.
Progress Level: Minimal
Status: During the 2011 fiscal year, 9,422 tons of solid waste were generated by Ohio University. Categories of sol- id waste are: landfilled (3,214 tons), recycled (5,956 tons, no construction recycling reported), composted (251.5 tons), and construction and demolition (0 tons reported).
The expansion to the compost facility was completed in June 2012. The compost facility, already the largest at any university in the country, will be able to process 6 tons of material per day beginning FY13. All com- postable waste generated by the university will be able to be processed in this facility. In FY12 the University launched the “Print Responsibly” program which will aid in institutional waste reduc- tion efforts. The Recycling and Refuse Office expanded their move-out program in 2012, going door-to-door on campus and off campus to inform students of recycling and reuse opportunities for their solid waste.
Reporting Bodies Recycling and Refuse, Culinary Services, Environmental Health and Safety, Off-Campus Living, Procurement, Office of Sustainability, SOUL Next Steps: Report FY12 data and compare to FY11 data to determine if target decrease was met; expand on-campus compost program to all dining hall and dining ware; pilot program for SOUL in 2012.
26
Waste
7. Increase Recycling Rates
Target and Date: 80% by weight of all recyclable solid waste by 2016.
Progress Level: Some
Status: The university completed a comprehensive evaluation of all material recycled in FY2011. 5,956 tons of ma- terials were recycled, out of 9,422 tons of solid waste generated by Ohio University (no recycling or solid waste data was provided by Design and Construction for FY11). Therefore the rate of recycling was 63%. Reporting Bodies Recycling and Refuse, Design and Construction Next Steps: Report FY12 data and compare to FY11 data to determine if target decrease was met; expand on-campus compost program to all dining hall and dining ware; pilot program for SOUL in 2012
15. Improve identification and proper handling of hazardous waste.
Target and Date: Implement tracking system for purchased hazardous chemicals by 2013.
Progress Level: Minimal
Status: It is the intention of Procurement Services that all hazardous materials purchases are made through BobCat- BUY. This will allow Environmental Health and Safety to identify individuals and units that are purchasing hazardous waste. Additionally, the system requires purchasers to identify that they are aware of proper han- dling procedures.
Processes for safely disposing of chemical and hazardous wastes do currently exist. They are outlined at http://www.ohio.edu/riskandsafety/ehs/hazmat/chemical.htm. In addition, the Hazardous Materials Manage- ment Manual is in the process of being updated. Reporting Bodies: Environmental Health and Safety, Procurement. Next steps: Confirm with the BobCatBUY manager that the system is in place and operating.
27
Waste
32. Increase food donations to local service organizations.
Target and Date: Meet with Athens County Health Department, Culinary Services, and local service groups to discuss current obstacles and establish baseline goals for improvement by the end of Fall Quarter 2011.
Progress Level: Insignificant
Status: At this time, health code restrictions limit our ability to comply with this benchmark.
Reporting Body: Culinary Services
Next Steps: The Office of Sustainability will work with Culinary Services to consider opportunities that may exist for pursuing grant funding in support of a refrigerated vehicle for food delivery. This would allow the institution to comply with health department code restrictions.
34. Implement notification system for local service organizations regarding availability of sur- plus items.
Target and Date: Notification system active within 3 months of Sustainability Plan adoption.
Progress Level: Insignificant
Status: This benchmark was not addressed by the Office of Sustainability in FY12.
Reporting Bodies: Moving and Surplus, Office of Sustainability.
Next steps: The Office of Sustainability intends on working collaboratively with various relevant faculty/staff in FY13 to offer support in the advancement of this benchmark. It is the intention of the Office of Sustaina- bility to develop relationships with additional student-centered entities such as Student Affairs, Undergradu- ate Student Senate and Graduate Student Senate.
28
Fundraising & Endowment
FY 2012 Highlights:
President McDavis announced the formation of the Ad Hoc Committee on Socially Responsible Practices on Feb, 29, 2012
29
Fundraising & Endowment
10. Integrate sustainability goals and objectives into capital campaign.
Target and Date: Goals will be developed and integrated into the capital campaign by the Fall of 2012.
Progress Level: Insignificant
Status: In FY12, “sustainability” was highlighted throughout the University’s Capital Improvement Plan. Such inclu- sion in such a prominent institutional document suggests that conversations regarding inclusion in the capital campaign will happen more organically in the future. Reporting Body University Advancement Next Steps: The Office of Sustainability will begin conversations with University Advancement to determine the role sustainability can play into future campaign priorities and/or values.
21. Assess endowment investment in sustainable corporations and entities and recommend strategies for increasing investment in these corporations and entities.
Target and Date: Annual assessment beginning in the academic year following sustainability plan adoption.
Progress Level: Minimal
Status: On February 29, 2012, President McDavis announced the formation of the Ad Hoc Committee on Socially Responsible Practices whose responsibilities will focus on “examin(ing) issues that arise related to the univer- sity's socially responsible management of its resources.” Reporting Body: Investment Board. Next steps: The committee will first examine the current campaign to become a “conflict free” campus. In an effort to properly address Item 21, we will rely on the outcomes developed by the Ad Hoc Committee on Socially Responsible Practices, as they will be great leaders in this conversation and can lay a strong founda- tion for us as we move forward.
30
Climate Commitment
FY 2012 Highlights:
Greenhouse gas emissions dropped slightly in FY11 from FY10 Feasibility Study is conducted in an effort to replace coal as the university’s primary source of heat generation. Ohio University submits its first 5-year Progress Report to ACUPCC.
31
Climate Commitment
1. Reduce institutional greenhouse gas emissions (GHG) across all campuses.
Target and Date: By 2030: 25% below 1990 levels. By 2050: 80% below 1990 levels. By 2075: carbon neutrality.
Progress Level: Minimal
Status: Data was gathered for FY2011 and corrections were made to previous data collected to determine an accu- rate baseline. Data is not yet complete for baseline, so reductions cannot yet be determined, though there were fewer greenhouse gas emissions reported in FY2011 than in FY2010. A Feasibility Study for the replacement of the use of coal at the Lausche power plant occurred throughout the year. The institution will use the results of that study to move forward with their efforts to reduce Greenhouse Gas emissions through this project. A team of more than 70 students, faculty, staff and community members collaborated on the development of a Climate Action Plan, which will assist in the target reductions identified in this benchmark. Reporting Bodies Culinary Services, Department of Parking and Transportation, Facilities Management, Procurement, Provost, Residential Housing, Office of Sustainability. Next Steps: To complete the baseline, data must be determined for transportation sources of emissions for past years (gasoline and diesel fleet (1991-2004), university aircraft (1991-1999) and purchased air travel (1991-1998)). Next steps to reduce greenhouse gas emissions have been identified in the Climate Action
32
Buildings & Energy Infrastructure
FY 2012 Highlights:
Avoided 24 MW peak. Walter International Education Center was renovated to LEED Silver standards. Building to or exceeding LEED Silver certifi- cation is now an OU Design and Construc- tion Standard. Installation of photovoltaic systems at the Lausche storage shed and the OU Compost Facility. The units have a combined capacity of 93 kW.
33
Buildings & Energy Infrastructure
2. Reduce campus and building energy intensity.
Target and Date: Reduce building energy intensity 20% below 2004 levels by 2014 and 40% below 2004 levels by 2030. Avoid 24 Megawatt (MW) peak on the Athens campus. Lower peak to 23 MW by 2016.
Progress Level: Insignificant Status: Energy intensity was 181,000 BTU/GSF in 2004. 2011 levels were 180,000 BTU/GSF or 0.55% lower than 2004 levels. We just barely avoided a 24 MW peak in FY11. Institutional peak was 23.1 MW. Reporting Bodies Facilities Management, Office for Design and Construction & Residential Housing Next Steps: Office of Sustainability will continue to work with Facilities Management to provide support in accomplishing these goals through efforts such as energy conservation programming and outreach.
3. Increase renewable energy generation and sourcing.
Target and Date: 20% of all campus energy use by 2020.
Progress Level: Minimal
Status: At the commencement of Fiscal Year 2012, Ohio University managed 19.13 kW of installed PV capacity. At the close of FY12, OU boasted two new PV systems with a 93 kW combined capacity, thus increasing the institution’s solar generation by nearly 500%. It is anticipated that the energy generated by renewables at Ohio University will provide approximately 8% of institutional energy generation and sourcing in FY13
(calculations based on the Clean Air Cool Planet Carbon Calculator).
This increase in solar energy generation was made possible through funding from the American Recovery and Reinvestment Act (ARRA). More information about ARRA grant funding opportunities can be found at http://www.recovery.gov. To track the progress of Energy Efficiency and Conservation Block Grants (EECBG) through ARRA, visit http://www1.eere.energy.gov/wip/eecbg.html. To track all federal funds provided through the ARRA, visit www.recovery.gov.
Reporting Body: Facilities Management Next steps: Office of Sustainability will maintain a positive working relationship with Facilities Management and serve in a support role in their acquisition of additional renewable energy options. This is especially im- portant as the university transitions off coal as the power plant study addresses options for increasing re- newable energy sources. 34
Buildings & Energy Infrastructure
4. LEED certify new buildings and major renovations on all campuses.
Target and Date: LEED Silver minimum certification for all building and renovation projects budgeted at or above $2 million, effective FY2011. Equivalent LEED-based approach for projects budgeted under $2 million, effective FY2012.
Progress Level: Some
Status: Ohio University applied for its first LEED Silver certification in FY 12. The application was submitted for the newly renovated Walter International Education Center located at 15 Park Place on the Athens campus. As per the OU Sustainability Plan, the University has adopted a LEED silver design standard for significant reno- vation and construction projects. From the Ohio University Design and Construction Standards: “It is our goal to meet or exceed LEED (Leadership in Energy and Environmental Design) Silver certification standards for both new construction and existing buildings.” More information regarding this standard is available online.
Reporting Body: Facilities Management
Next Steps: The university will continue to encourage LEED accreditation of OU Project Managers and build in certification costs of all major construction and renovation projects to all construction budgets. For more information about additional design standards, please refer to the Construction & Design section of the Cli- mate Action Plan.
35
Buildings & Energy Infrastructure
12. Evaluate LEED EBOM of existing facilities.
Target and Date: Checklist evaluation of at least one existing facility over 15,000 gsf. By October 1, 2011.
Progress Level: Significant
Status: A LEED-EBOM evaluation is currently underway for Cutler Hall. Results of this evaluation will be made avail- able online at www.ohio.edu/sustainability in FY13 Reporting Body: Facilities Management Next Steps: The Office of Sustainability will determine prioritization for any follow-up procedures identified in the Cutler Hall evaluation and identify key stakeholders for such efforts. If resources are available, LEED- EBOM evaluations of other buildings will continue to occur and a university-wide Master Site list for LEED/ LEED-EBOM registrations will be developed.
25. Sub-meter campus facilities.
Target and Date: 2014: Building level meters for electricity and water for 50% of facilities over 15,000gsf 2021: Building level meters for electricity and water for 100% of facilities over 15,000gsf
Progress Level: Insignificant
Status: The OU energy dashboard offers the campus real-time information about Athens campus energy use. Sub- metering will happen slowly, as funds allow. It is anticipated that new construction will be outfitted with sub- meters. In the meantime, Office of Sustainability will work with SOUL to identify potential opportunities for grant funds that could assist with sub-metering projects. Buildings are already metered for water. Reporting Body: Facilities Management Next steps: Sub-metering is a prohibitively expensive process and obtaining grants to assist with the costs would catalyze achievement of the target. Along these lines, it may be useful to connect facilities with stu- dents or staff in the Office of Sustainability who could research and assist with grant writing.
36
Acknowledgements
The success of the Ohio University Annual Sustainability Report is greatly dependent on the leadership and vision of all faculty, staff and students on all Ohio University campuses. A great deal of our efforts are augmented and complemented by various leaders and invested parties from surrounding communities.
Special thanks is extended to those entities mentioned as a “Reporting Body” for one or more Benchmarks in this plan.
Ecology and Energy Conservation Committee The Ecology and Energy Conservation Committee serves as the monitoring agent to the Sustainability Plan.
Rachel Ackerman, Student Representative Annie Laurie Cadmus, Director of Sustainability Ana Rosado Feger, Assistant Professor of Operations Management Joshua Felker, Student Representative Cliff Hamilton, Hazardous Materials Coordinator Kyle Kingma, Graduate Student Representative Paul Logue, Athens City Planner Scott Miller, Director of Energy & Environmental Programs, Voinovich School of Leadership & Public Affairs Terri Nelson, Manager of Southeast Ohio Library Deposit Jill Rosser, English Faculty Steve Scanlan, Assistant Professor of Anthropology, EECC Chairperson Hogan Sherrow, Associate Professor of Sociology and Anthropology Henry Woods, Recycling and Refuse Coordinator
The Office of Sustainability The Office of Sustainability serves as the primary point of contact for questions or concerns regarding the implementation of the Benchmarks described within this document. The following staff members were integral to the development of an implementation and reporting mechanism during Fiscal Year 2012.
Annie Laurie Cadmus, Director of Sustainability Jessica Bilecki, Graduate Assistant for Marketing and Outreach Elaine Goetz, Graduate Assistant for Research and Reporting
37
For additional information about the Sustainability Plan, the planning process, and for a PDF of the original June 2011 version, please visit:
www.ohio.edu/pacsp
Interoffice Communication
Date: October 31, 2012
To: The President and Board of Trustees
From: Pamela J. Benoit, Executive Vice President and Provost
Re: Academic Quality Dashboard - Retention
There is increasing interest at both the national and state level in improving the completion rates for college students. Completion cannot be improved without attending to retention. Both graduation rates and retention are prominent on the university dashboard.
This material concentrates on why retention is important, how it is measured, rates of retention, factors impacting retention, and retention efforts at Ohio University. Some key issues include the following:
First-year retention on the Athens campus was 79.3% for Fall 2011 73% of students enrolled at 4-year publics are retained from the first to the second year (ACT) and Ohio’s average retention rate for four-year publics is 74% (OBOR, 2010) ACT/GPA of students positively impact retention; Professional schools have the highest retention Research on best practices identifies retention activities that have been successful at Ohio University. o First Year Experiences o At Risk Students o Living and Learning Next steps include investments in professional advising, basic course interventions, and scholarship leveraging.
Retention is important to students and their families, the university, and society. It is an important discussion and I look forward to talking to you about what we have done and will expand to improve in this area
Retention
Tab
Retention
• Why is it important? • Students • University • Society • How is retention measured • Full‐time students who are attending college for the first time • Transfers • Part‐Time • Non‐degree • Focus on between the first and second year Ohio University Dashboard
Retention: Retention Rates
• Overall first‐year retention rate for Athens campus in fall 2011 was 79.3%, .7% lower than the previous year
• 73% of students enrolled at four‐year publics are retained from the first to the second year (ACT)
• Ohio‐s average retention rate for four‐year publics is 74% (OBOR, 2010) Factors Impacting Retention
• Student Variables • Race • First generation • ACT/GPA • Gender • Instructional variables • College/Major • Courses Retention • Best Practices (“Five High‐Impact Practices: Research on Learning Outcomes, Completion, and Quality,” AACU 2010) 1. First Year Seminars 2. Learning Communities 3. Undergraduate Research Programs 4. Service‐Learning Programs 5. Capstone experiences • Other Proven Practices: 1. Quality academic advising 2. Organization of student support services linked to student success 3. Helping students make constructive use of technology
Ohio University’s Retention Efforts
• First Year Experience Program • Bobcat Student Orientation • Learning Communities Program (LCP) • First‐Year Seminars Tied to the LCP • LINKS Program (multicultural students) • Common Experience Project on Sustainability • Majors Fair • Arts for Ohio, including new Athena Cinema Plan • Student Development/Education Programs (alcohol education, financial literacy, Education Abroad, etc.) Ohio University’s Retention Efforts
• Student Success Initiatives • Map‐Work Project. Monitors academic progress of all undecided students in University College and College of Arts & Sciences as well as other at risk student groups. • New focus on intervention with first‐generation students. • New focus on local admits who don’t meet admission guidelines but are admitted as part of our commitment to the region. • New focus on comprehensive plans for 1st and 2nd year students as part of the Living‐Learning plans tied to residence hall renovation and construction.
Retention
• Goal: Increase freshmen to sophomore retention to 84% by 2016. • Next Steps • Professional Advising • Retention in basic courses • Scholarship leveraging
FACTORS ASSOCIATED WITH FIRST-YEAR STUDENT ATTRITION AND RETENTION AT OHIO UNIVERSITY ATHENS CAMPUS
OHIO UNIVERSITY OFFICE OF INSTITUTIONAL RESEARCH October 2012
(2012-SI-20)
2 Factors Associated with First-Year Student Attrition and Retention at Ohio University-Athens Campus
Executive Summary
• The overall first-year (freshman) retention rate for students entering the Ohio University Athens Campus in fall 2011 was 79.3%, which is .7% lower than the previous year.
• Of students who leave Ohio University before their second year, most do so between spring and fall quarters. 93% percent of the first-year students enrolled fall 2011 quarter returned for winter 2012; 90% of fall 2011 students returned for spring 2012; 79% of fall 2011 students returned for fall 2012. Two hundred sixty-one students left from fall to winter; 140 left from winter to spring; 393 left from spring to fall.
• The first-year retention rate for African-American students was 76%, down from 82% the previous year.
• The first-year retention rate for first generation college students was 73%, whereas it was 81% for non first generation students.
• The first-year retention rate for males was 79%, down from 80% the previous year. The first-year retention rate for females was 79%, down from 80% the previous year.
• There is a positive relationship between students’ high school academic performance and retention and between ACT scores and retention. Students with higher high school percentile rank, higher high school GPA and ACT scores are more likely to return for their second year.
• There is a positive relationship between students’ academic performance at Ohio University and retention. Fifty-eight percent of the students with below a 2.0 GPA did not return for their second year. Only fifteen percent of the students with a GPA of 2.0 and above did not return.
• College- and major-specific retention rates are presented (Table 2). Colleges with professional majors continue to have higher retention rates. Undecided majors in all colleges have lower retention rates.
• Large-enrollment first-year courses with higher and lower retention rates were identified.
• A small increase in the number of students retained could enhance Ohio University’s revenue. If 20 to 40 new students could be retained in one year they would generate about $250,000 to $500,000 in additional revenue. If retained to graduation in four years, 20 to 40 students would generate about $750,000 to $1,500,000.
• Surveys of non-returning students revealed that among non-academic reasons for leaving Ohio University, personal adjustment, financial reasons, and environmental reasons were reported most frequently.
3
Student retention is an important goal of Ohio University. Stable enrollment
depends as much on retaining students as it does on recruiting them. In an effort to
present information to faculty and staff about Ohio University’s progress with student
retention, the Office of Institutional Research does an annual report on “Factors
Associated with First-Year Student Attrition and Retention at Ohio University.” This
report presents a number of variables related to attrition and retention rates among
different groups of Ohio University first-year students. Also, the federal government and organizations such as the Ohio Board of Regents and US News and World Report
require universities to report and publicize retention and graduation rates. Graduation
rates are reported separately: (http://www.ohio.edu/instres/student/gradrates.html).
The rationale for limiting the retention study to first-year students is that the most
significant loss of Ohio University students, as a result of attrition, occurs during the first
year. For example, of the 1,491 first-year students in the 2005 freshman class who did
not graduate by 2010-2011, 56 percent left during their first year. Retention rates
beyond the first year are available and are reported separately:
(http://www.ohio.edu/instres/retention/grad_reten.html).
Figure 1 presents the first-year student retention rates after one year of
enrollment for the last 35 years. The retention rate for the 2011 class decreased .7
percent from the previous year with 794 (20.8 percent) of the students leaving during or
after their first year and 79.3 percent returning for their second year. The long-term
change in retention is tracked from 1977 when the first-year student class had a
retention rate of only 66.9 percent.
4 Figure 1 Ohio University Retention Rate of Each First-Year Student Class Since 1977
100
90
80
70
60
50 Percent
40
30
20
10
0 77 78 79 80 81 82 83 84 85 86 87 88 89 90 91 92 93 94 95 96 97 98 99 00 01 02 03 04 05 06 07 08 09 10 11 Percent 66.9 70.4 70.4 70.4 71.9 72.0 71.2 74.2 75.0 78.7 82.5 82.0 85.3 83.5 83.2 86.1 84.0 83.1 83.2 84.4 84.8 84.3 84.8 84.9 84.1 83.3 82.3 81.1 79.8 78.4 80.4 81.5 81.4 80.1 79.3
Year of Entry
5
Attrition occurs most frequently following the first year. In 2011 the retention rate
from fall quarter to winter quarter was 93 percent. The retention rate from fall quarter to spring quarter was 90 percent. The retention rate from fall quarter to the following fall quarter was 79 percent. From fall to winter, 261 students left. From winter to spring,
140 students left. From spring to fall, 393 students left.
Ohio University’s first-year student retention rate compares favorably with
comparable institutions’. A 2011 survey of administrators on attrition, done by ACT,
National Collegiate Retention and Persistence to Degree Rates, revealed average
retention rates between 65.6 percent and 77.9 percent for four-year public universities.
Open-admission doctoral-granting public institutions reported an average first-year
student retention rate of 75.6 percent. Selective admission doctoral-granting public institutions reported an average first-year student retention rate of 82.9 percent. This was similar to a finding from the 2011 retention survey of selective admissions institutions by the Consortium for Student Retention Data Exchange, of which Ohio
University is a participant.
Figure 2 presents first-year student retention information from the Ohio Board of
Regents and revealed an average state-wide retention rate (persistence at the same institution) of 68 percent in 2009 for public colleges and universities in Ohio. The 2009 state-wide average first-year student retention (persistence at the same institution) for
selective admissions public universities in Ohio was 84 percent.
Different racial/ethnic groups have been studied to identify significant differences
in attrition. A number of national studies have found that Caucasian students had lower
attrition rates than African-American students. Retention data at Ohio University
6
presented in Figure 3 shows that of the 2011 class, 76 percent of African-American first- year students returned for their second year, compared to 82 percent in the previous year. Eighty percent of the Hispanic first-year students returned for their second year, compared to 78 percent the previous year. In order to provide individuals the ability to more accurately reflect their racial and ethnic backgrounds, a change was mandated in the federal reporting of race and ethnicity categories. Starting in 2010, the new federal reporting enabled students to select more than one race and/or ethnicity and expanded reporting options to seven categories. Figure 3 now includes retention rates for all seven race/ethnicity categories as well as two other categories: nonresident alien
(international) and unknown for the 2011 freshmen cohort.
There have been mixed results comparing the retention rates of males and females (Figure 4). Some researchers have found higher retention rates for males, while others have found higher retention rates for females. These mixed findings indicate that gender alone is not a significant factor in predicting retention. At Ohio
University, males had higher retention rates than females in 2005 and 2007. In 2006,
2008, and 2009 more females than males returned. In 2010 and 2011, the retention
rate for males and females was the same. In 2011, the retention rate for both males
and females was 79 percent.
In 2010 Ohio University began asking for parental educational attainment levels
on the undergraduate admissions application. Comparisons can now be made between
the retention rate of first generation college students and non-first generation college
students. As Figure 5 shows, first year retention rates for first generation college
students, 73%, is lower than that of non-first generation college students, 81 percent.
7
High school performance has been found to be related to academic persistence and success in first-year university students. Figure 6 presents the retention rate in 20 percent intervals (quintiles) of each first-year student class at Ohio University. Students with higher high school percentile ranks had higher retention rates, especially in the top quintile. The number of students in the lowest quintile is quite small (45 in 2011) due to
Ohio University’s selective admissions guidelines. Another measure of high performance is high school GPA. Figure 7 compares the retention of students with 3.0 or greater high school cumulative GPA with the retention of students with less than a
3.0 cumulative high school GPA. In 2011, those with a cumulative high school GPA of
3.0 or greater had a retention rate of 80%, while those with a cumulative high school
GPA of less than 3.0 had a retention rate of 73%.
Measures of academic aptitude (SAT and ACT) have been used in predicting academic success and retention. National studies have shown that students who withdraw voluntarily (and those who persist) had significantly higher test scores than students who were academically dismissed. Figure 8 presents the retention rate by performance on ACT. In this figure ACT quartiles were based on national norms
(Q1=ACT 14 & below; Q2=ACT 15-18; Q3=ACT 19-23, Q4=ACT 24 & above). Ohio
University students in the bottom quartiles have had consistently higher attrition rates than students in the top quartiles of ACT scores. Students in the upper quartiles have higher retention rates. There was 1 student in the first quartile; he/she returned.
Figure 9 compares retention of students on two different measures of academic ability – ACT quartiles and first year GPA. Looking at just the three of four ACT quartiles and first quarter GPA, there appears to be a positive correlation. That is, Ohio
8
University student retention increases as ACT and GPA increase. Prior academic aptitude and college performance are both related to retention.
9
Figure 2
First Year State Wide Comparative Retention 100%
90% 84% 84% 82% 82% 82% 82% 82% 81% 81% 80% 81% 80% 81% 80% 78%
69% 69% 69% 69% 70% 70% 68% 68%
60%
50% Percent
40%
30%
20%
10%
0% 2003 2004 2005 2006 2007 2008 2009
Ohio University All Ohio Public Selective Public
10
Figure 3
FIRST-YEAR RETENTION BY RACE/ETHNICITY BY YEAR
100 100 100
90 90 89 88 88 87 88 80 84 82 81 81 82 81 81 82 75 80 80 79 80 74 78 77 78 77 76 76 75 76 76 76 75 70 70 71 68 67 67 60
50 Percent
40
30
20
10
0 2005 2006 2007 2008 2009 2010 2011 White Black or African American Hispanic of Any Race Nonresident Alien Two or More Races Asian Hawaiian/Other Pacific Islander Unknown American Indian/Alaska Native
11
Figure 4
FIRST-YEAR RETENTION BY GENDER BY YEAR
100%
90% 81% 81% 82% 81% 82% 80% 79% 79% 79% 80% 80% 79% 79% 80% 77%
70%
60%
50% Percent
40%
30%
20%
10%
0% 2005 2006 2007 2008 2009 2010 2011
Male Female
12
Figure 5
FIRST-YEAR RETENTION BY FIRST GENERATION COLLEGE STUDENT STATUS 100%
90%
82% 81% 80% 73% 73% 70%
60%
50% Percent
40%
30%
20%
10%
0% 2010 2011
First Generation Non-First Generation
13
Figure 6
FIRST-YEAR RETENTION BY H.S. PERCENTILE RANK BY YEAR
100%
90% 88% 87% 86% 86% 85% 83% 83% 80% 80% 80% 80% 78% 78%79% 79% 79% 80% 76%76% 76% 77% 77% 76% 77% 74% 75% 74%74% 75% 73% 72%
70% 67% 66%
59% 60% 60% 56%
50% Percent
40%
30%
20%
10%
0% 2005 2006 2007 2008 2009 2010 2011
BOT 20% 21%- 40% 41%-60% 61%-80% TOP 20%
14
Figure 7
FIRST-YEAR RETENTION BY HIGH SCHOOL GPA
100%
90% 84% 83% 82% 81% 81% 80% 80% 78% 75% 73% 71% 71% 71% 70%
60%
50% Percent
40%
30%
20%
10%
0% 2006 2007 2008 2009 2010 2011
HS GPA >= 3.0 HS GPA < 3.0
15
Figure 8
FIRST-YEAR RETENTION BY ACT SCORE BY YEAR 100% 100% 100% 100%
90% 84% 85% 83% 82% 82% 82% 83% 83% 79% 79% 80% 79% 80% 78% 77% 75% 76% 73% 74% 73% 72% 71% 69% 70% 68% 65%
60%
50% Percent
40%
30%
20%
10%
0% 0% 2005 2006 2007 2008 2009 2010 2011
BOT QUARTILE 2ND QUARTILE 3RD QUARTILE TOP QUARTILE
16
Figure 9
FIRST YEAR RETENTION BY FIRST YEAR GPA AND ACT 100% 100%
89% 90% 87% 88% 85% 86% 83% 83% 81% 82% 79% 80% 77%
70%
60% 60% 60% 52%
Percent 50%
40%
30%
20%
10% 10% 8% 8%
0% < 1.5 1.5-1.9 2.0-2.4 2.5-2.9 3.0-3.4 >=3.5 ACT 15-18 8% 52% 83% 79% 86% 100% ACT 19-23 10% 60% 81% 83% 87% 77% ACT >= 24 8% 60% 82% 85% 88% 89%
17
About 88 percent of this matriculating first-year class were Ohio residents; the remaining 12 percent were nonresidents. Figure 10 presents the retention rates for these two groups of students. In 2011 the retention rate for Ohio residents was 79 percent and nonresidents was 82 percent. International students were included in the nonresident (out-of-state) percentage (retention rates for international students can be found in figure 3).
Nearly all first-year students live on campus in a residence hall. A small percentage of first-year students (157 or four percent) do not live on campus. Figure 11 presents the retention rates for students living on campus and students living off campus. Students living off campus have lower retention rates than students living on campus. Most of these off-campus students are “local admits.” New first-year students matriculating at the Athens campus are admitted under two different criteria. Students residing in Athens and surrounding counties are admitted under an open admissions policy; they are referred to as “local admits.” About 150 of these students matriculate each year. Other students are admitted according to selective admissions guidelines; these students are referred to as “selective admits.”
Retention rates of first-year students by academic college (major) enrollment have varied over the last several years. Figure 12 shows the retention rates by academic college (last college in which the student enrolled). Students in University
College have had the lowest retention rate over the seven-year period. In 2011, the colleges of Honors Tutorial , Communication, Business, and Education had the highest retention rates. Retention rates increased from 2010 to 2011 in the colleges of Arts &
Sciences, Business, Fine Arts, and Honors Tutorial. Retention rates decreased from
18
2010 to 2011 in Communication, Engineering, Health Sciences & Professions and
University College. The combined retention rate of all the “professional” colleges,
Business, Communication, Education, Engineering, Fine Arts, and Health Sciences &
Professions, was 84 percent in 2011. The combined retention rate of Arts and Sciences and University College was 71 percent. In Communication only 57 of 483 students did not return in fall 2012 for an 88 percent retention rate.
Figure 13 also shows at the first year retention rate by academic college, however it shows at the retention rate by first college enrolled. Regardless of what college they were enrolled in when they returned for their second year of college, these retention rates are presented to reflect the academic college where the student was first enrolled and in most cases what college the student was enrolled in for most of their first year at Ohio University. This most affects University College. Because their mission is to have students successfully select a degree-seeking major and matriculate into other colleges the retention rate by first college enrolled is a more accurate reflection of the retention rate of the students they serve during the first year of college.
In the fall of 2005 Ohio University introduced the Gateway Award Program, a new scholarship program, designed to blend merit and need-based aid to eligible students. There are currently (Residence Hall & Dining Discount has been discontinued) five possible award categories: Gateway Excellence Scholarship
(renewable full in-state merit-based tuition scholarship), Gateway Scholars (renewable award of varying amounts based on academic merit), Gateway Grant (renewable grant based on sliding scale of both merit and need), Gateway Trustee Award (renewable merit-based discount applied to the non-Ohio resident surcharge), and the Ohio
19
University Bobcat Grant (awarded to students with the highest need as demonstrated by
the FAFSA). Figure 14 presents the retention rates for the students receiving each of
the five award categories as well as the retention rate of the scholarship students combined, receiving at least one of the five awards. The Gateway Excellence had the
highest retention rate of the five programs at 89%. The Ohio University Bobcat Grant had the lowest retention rate (70%) of the five awards. The retention rate for the combined Gateway Award Program is 80%, one percentage point higher than the university’s overall retention rate of 79%.
Figure 15 provides some further analysis of the Gateway Award Program by
breaking down the retention rates by type of Gateway Award and Ohio University GPA.
With only a couple of exceptions students with higher grades have higher retention
regardless of the type of Gateway Program Award. Students with a GPA of 2.50 or
higher that received any Gateway Award in 2011 had a retention rate of at least 80%,
whereas students with GPAs below 2.0 for the most part had retention rates at or below
60%. Students with a GPA of 3.0 and above who received Gateway Excellence,
Gateway Scholars and Gateway Grant awards tended to have higher retention rates
than students receiving other awards.
Further analysis of the Gateway Award Program is presented in Figure 16 with a
comparison of Gateway Grant recipients and non-recipients by Expected Family
Contribution (EFC). With the exception of an EFC of $2001-$4000 and $8,001-
$10,000, the retention rates of Gateway Grant recipients is higher than non-recipients.
20
Figure 10 FIRST-YEAR RETENTION BY RESIDENCY BY YEAR
100%
90% 83% 82% 81% 82% 82% 81% 81% 82% 80% 80% 80% 79% 80% 78% 78%
70%
60%
50% Percent
40%
30%
20%
10%
0% 2005 2006 2007 2008 2009 2010 2011
In State Out of State (includes international students)
21
Figure 11 FIRST-YEAR RETENTION BY LIVING ARRANGEMENT
100%
90%
81% 82% 82% 80% 79% 79% 80% 80% 80% 73% 72% 72% 70% 69% 70% 70%
60%
50% Percent
40%
30%
20%
10%
0% 2005 2006 2007 2008 2009 2010 2011
ON CAMPUS OFF CAMPUS
22
Figure 12 FIRST-YEAR RETENTION BY LAST COLLEGE ENROLLED BY YEAR
98% 98% 100% 97% 96% 97% 94% 92% 91% 91% 91% 89% 90% 88% 88% 87% 88% 83% 89% 83% 89% 83% 84% 84% 88% 82% 87% 82% 87% 80% 80% 86% 80% 81% 86% 86% 80% 85% 84% 84% 80% 83% 82% 83% 82% 83% 77% 81% 81% 81% 80% 79% 78% 78% 76% 71% 71% 76% 77% 69% 75% 75% 70% 70% 66% 63% 63%
60%
50% Percent
40%
30%
20%
10%
0% 2005 2006 2007 2008 2009 2010 2011
A&S BUS COM EDU ENT FAR HSP HTC UNC
23
Figure 13 FIRST-YEAR RETENTION BY FIRST COLLEGE ENROLLED
100% 97% 94% 89% 88% 90% 85% 82% 82% 82% 82% 80% 80% 79% 80% 77% 77% 77% 75% 76% 76%
70%
60%
50% Percent
40%
30%
20%
10%
0% 2010 2011
A&S BUS COM EDU ENT FAR HSP HTC UNC
24
Figure 14 1 First Year Retention by Type of Gateway Scholarship 0.9
0.8
0.7
0.6
0.5 Percent 0.4
0.3
0.2
0.1
0 Gateway Trustee Ohio University Bobcat Combined Gateway Gateway Excellence Gateway Scholars Gateway Grant Non-Recipient Award Grant Awards 2005 84% 82% 83% 75% 82% 78% 2006 92% 84% 77% 89% 77% 83% 76% 2007 87% 84% 82% 80% 75% 82% 80% 2008 93% 85% 86% 89% 82% 85% 79% 2009 91% 86% 85% 83% 77% 84% 80% 2010 92% 85% 89% 79% 73% 82% 78% 2011 89% 85% 87% 82% 70% 80% 79%
25
Figure 15
First Year Retention of Gateway Scholarship Recipients by Ohio University GPA 100% (n=1) 100% 95% 93% 94% 91% 88% 89% 88% 89% 90% 86% 89% 83% 84% 88% 82% 81% 82% 82% 80% 86% 80% 85% 88% 80% 84% 78% 75% 76% 74% 79%
70% 64% 62% 62% 60% 52% 50% 50% 50% Percent
40%
30% 28%
20% 14% 11% 10% 10%
0% 0% 0% Gateway Excellence Gateway Scholars Gateway Trustee Award Gateway Grant Ohio University Bobcat Combined Gateway Non-Recipient Grant Awards Below 1.50 1.50-1.99 2.00-2.49 2.50-2.99 3.00-3.49 Above 3.50
26
Figure 16
First Year Retention of Gateway Grant Awardees by Expected Family Contribution
100%
90% 87% 88% 83% 80% 80% 81% 80% 77% 75% 73% 73% 73%
70% 65%
60%
50% Percent
40%
30%
20%
10%
0% 0-$2,000 $2,001-$4,000 $4,001-$6,000 $6,001-$8,000 $8,001-$10,000 > $10,001
Gateway Grant Recipient Non-Recipient
27
Table 1 shows the retention rates of Ohio University colleges and majors. They
are sorted in descending order (seven-year average) within each college. Seven-year average retention rates above 90 percent (including only those with seven years of retention rates) were found in 6 majors: management information systems; finance;
marketing; accounting; journalism; and engineering technology & management.
Undecided majors in each college usually had the lowest retention rates. Majors with
five or fewer first-year students in 2011 were the following: classics & world religions,
philosophy, undecided education, film, bachelor of specialized studies, public health,
environmental health, women and gender studies, and African American studies.
In 2011, 42 percent of the first-year students with under a 2.00 accumulated GPA
returned to Ohio University. From 2010 to 2011, the retention rate for all first-year
students with a GPA under 2.00 increased. (Figure 17). In the 2011 class, 85 percent of
all first-year students with a GPA of 2.00 or higher returned to Ohio University. From
2009-2011, the retention rate of students with a GPA of 2.00 or higher decreased steadily.
Students’ accumulated GPA’s and attrition rates are presented in Table 2.
Students with lower Ohio University grades have higher attrition. In the 2011 class,
78.2 percent of students with a GPA of 1.49 or lower left Ohio University. The attrition
rate for students who had grade point averages between 1.99 and 1.50 was 40.5
percent. These rates are higher than the attrition rates for students with GPA’s of over
2.00. In 2011, 13.8 percent of the students whose GPA was 3.5 and above left Ohio
University.
28
Retention data from before 1982 would indicate that student involvement
intervention programs targeted at first-year students with over a 2.00 GPA have been successful. In 1982, before the intervention program began, 19 percent of all first-year students with a GPA of 2.00 or higher left Ohio University, and 81 percent returned.
This dropped to 15 percent in 2011. There were 504 first-year students in the 2011
class who earned a GPA of over 2.00 and did not return. This group continues to be a
potential target for further retention intervention efforts.
Characteristics of students who left Ohio University, broken down by various
subgroups, are presented in Table 3. As in previous years, in 2011 more females with
over a 2.00 GPA left than males with over a 2.00 GPA. Fifty-four percent of the males
who left had over a 2.00 GPA, compared to 74 percent of the females.
The distribution of students above and below a 2.00 GPA differed by racial
group. Fifty-five percent of the African-American students who left had a 2.00 or higher
GPA. Sixty-five percent of the Caucasian students who left had a 2.00 or higher GPA.
Table 3 also includes the percentage of leavers with over a 2.00 GPA broken
down by academic college. The range varied from 50 percent in Engineering to 100
percent in Honors Tutorial.
Table 4 lists the percentage and number of leavers who had over a 2.00 GPA,
broken down by major. Undecided University College had the largest number of leavers
with over a 2.00 GPA at 137 (65 percent), followed by biological sciences (36 leavers or
56 percent), psychology (26 leavers or 65 percent) and nursing (20 leavers or 80%) .
Another variable that has been studied at Ohio University is the course(s) in
which students enroll. Is there a relationship between enrollment in particular courses
29
and attrition/retention? Programs to link retention efforts exist at Indiana University
Purdue University Indianapolis and at the University of Akron. Large-enrollment fall
quarter freshman courses were identified, and their enrollees were tracked to determine
whether or not they returned for their second year. Fall quarter courses with large
freshman enrollments over the last seven years were identified and are presented in
Table 5. The freshman retention rate for each of the seven years is presented, along with the most recent enrollment numbers for each course. About 51% of the courses in the list have retention rates above the total university-wide (baseline) rate for each class, and about 49% of the courses in this table have retention rates at or below the total baseline rate. Courses below the total baseline rate present a new opportunity for increasing retention at Ohio University. Many student development studies have found that students benefit from increased engagement and involvement with faculty.
Courses provide a natural opportunity for increasing student and faculty engagement and involvement. Further analysis of retention rates by type of instructor (figure 18) shows that retention rates were mixed.
After studying academic reasons for leaving, Ohio University, beginning with the fall 2003 freshman cohort, began surveying non-returning students to identify possible non-academic reasons students chose to leave after their freshmen year. Students were asked to select from a list of 48 possible reasons, the major and minor reasons for leaving the university. The major and minor reasons for leaving the university were combined to create a “total reason” percentage for each potential reason item. Figure
19 shows the 25 total reasons with which leavers from the 2003 freshmen cohort not returning fall 2004, 2004 freshmen cohort not returning fall 2005, 2005 freshmen cohort
30
not returning in the fall 2006, 2006 freshman cohort not returning in the fall 2007, 2007 freshman cohort not returning in the fall 2008, the fall 2008 freshmen cohort not returning fall 2009 and the fall 2009 freshmen cohort not returning fall 2010 most frequently responded. For the 2009-10 cohort the top total reason (major and minor combined) for leaving OU was the cost of attending OU. While this particular reason has been in the top ten for the entire seven cohort years, this is the second consecutive year it was the highest total reason. Furthermore, two of the top ten reasons were related to cost and financial aid. Three of the top ten (major and minor combined) total reasons for leaving were personal adjustment-related reasons. Three others were overall related issues to location and residence halls. The ninth and tenth highest reason were “Disappointment with the quality of teaching by OU professors” and “Drug and alcohol abuse on campus ,” respectively. Over the seven cohorts (2003-04, 2004-
05, 2005-06, 2006-07 2007-08, 2008-09 and 2009-10) the reasons for leaving were moderately consistent.
Students who leave Ohio University attend other institutions. Data from the
National Student Clearing House identifies how many of the fall 2010 leavers were enrolled at other institutions and at which institutions. Of the 791 leavers from the fall
2010 entering cohort, 161 leavers were dismissed due to academic or judicial reasons.
Of the 630 leavers that were not dismissed from Ohio University, we were able to determine the transfer institution of 452 (72%) leavers. Figure 20 shows the institution percent of Ohio University leavers currently enrolled this fall at that institution. Nineteen percent (19%) of the 452 leavers were enrolled at Ohio State University, while 10% were enrolled at Columbus State Community College.
31
If Ohio University could retain 20 to 40 more of its leavers, increasing retention by about 0.5% to 1%, in one year they would generate about $250,000 to $500,000 in additional revenue (estimated subsidy and tuition). The long-term impact from the sophomore year to graduation would be even greater, between $750,000 and
$1,500,000.
32 Table 1 Retention Rates of Ohio University Colleges and Majors 2005 2006 2007 2008 2009 2010 2011 AVERAGE -2006 -2007 -2008 -2009 -2010 -2011 -2012 PERCENT
COLLEGE OF ARTS & SCIENCES African American Studies ------100% --- 100% --- 100% Women & Gender Studies --- 100% --- 100% 100% ------100% Classical Languages & World Religions 75% 100% 100% 80% 100% 100% 67% 89% Geography 91% 82% 76% 85% 97% 94% 96% 89% Environmental & Plant Biology 78% 93% 92% 77% 82% 100% 93% 88% Physics/Astronomy 86% 80% 79% 90% 90% 87% 100% 87% Modern Languages 77% 88% 88% 91% 96% 75% 91% 87% Geological Sciences 67% 92% 90% 75% 100% 90% 86% 86% International Affairs 88% 84% 83% 88% 79% 84% 82% 84% Anthropology 90% 73% 88% 81% 88% 89% 77% 84% Political Science 89% 80% 80% 76% 82% 89% 83% 83% Linguistics 100% 88% 70% 71% 80% 78% 91% 83% Mathematics 86% 77% 82% 85% 81% 76% 88% 82% English 74% 81% 85% 82% 80% 87% 69% 80% History 75% 76% 77% 79% 88% 76% 83% 79% Sociology 82% 77% 71% 86% 66% 81% 81% 78% Economics 82% 67% 69% 88% 80% 56% 87% 76% Psychology 72% 68% 75% 78% 81% 79% 73% 75% Chemistry 75% 83% 69% 72% 75% 69% 71% 73% Biological Sciences 70% 70% 73% 75% 77% 71% 73% 73% Philosophy 86% 79% 82% 86% 71% 44% 40% 70% Undecided Arts & Sciences 67% 64% 62% 65% 58% 59% 73% 64% Arts & Sciences Total 76% 75% 75% 78% 78% 76% 77% 76%
COLLEGE OF BUSINESS Management Information Systems 100% 100% 100% 94% 100% 100% 93% 98% Marketing 93% 87% 95% 95% 89% 97% 88% 92% Finance 93% 91% 91% 90% 90% 90% 94% 91% Accounting 91% 89% 88% 91% 96% 87% 93% 91% Business Economics 80% 80% 100% 82% 93% 89% 75% 86% Sports Administration ------82% 86% 84% Management 86% 85% 79% 74% 85% 87% 86% 83% General Business 81% 89% 81% 70% 88% 84% 89% 83% Undecided Business 69% 73% 81% 84% 55% 40% 40% 63% Business Total 88% 87% 89% 86% 89% 86% 87% 87%
COLLEGE OF COMMUNICATION Journalism 90% 90% 92% 91% 93% 90% 92% 91% Visual Communication 90% 86% 95% 94% 89% 90% 86% 90% Media Arts & Studies 87% 86% 85% 92% 91% 90% 89% 89% Communication Studies 83% 89% 92% 87% 95% 85% 85% 88% Information & Telecommunication Systems 83% 89% 100% 100% 64% 82% 63% 83%
Communication Total 88% 88% 91% 91% 91% 89% 88% 89%
33 2005 2006 2007 2008 2009 2010 2011 AVERAGE -2006 -2007 -2008 -2009 -2010 -2011 -2012 PERCENT COLLEGE OF EDUCATION & HUMAN SERVICES Human & Consumer Sciences Education ------87% 91% 89% Recreation & Sport Pedagogy ------100% 75% 88% Secondary Education 83% 88% 84% 90% 86% 83% 83% 85% Special Education 83% 84% 86% 84% 76% 91% 87% 84% Middle Childhood Education 79% 86% 82% 92% 89% 83% 74% 84% Early Childhood Education 90% 72% 83% 83% 81% 84% 88% 83% Undecided Education & Human Services 83% 56% 70% 50% 38% 36% 0% 48% Education & Human Services Total 83% 82% 83% 87% 83% 84% 84% 84%
COLLEGE OF ENGINEERING & TECHNOLOGY Engineering Technology & Management 97% 81% 100% 88% 100% 86% 88% 91% Chemical & Biomolecular Engineering 92% 96% 96% 74% 90% 97% 86% 90% Industrial & Systems Engineering 100% 90% 70% 74% 88% 93% 100% 88% Civil Engineering 89% 88% 75% 93% 80% 84% 86% 85% Mechanical Engineering 90% 80% 79% 81% 87% 92% 86% 85% Electrical Engineering 78% 88% 85% 86% 89% 95% 72% 85% Aviation 81% 78% 83% 95% 93% 71% 75% 82% Computer Science 78% 69% 68% 78% 92% 82% 70% 77% Undecided Engineering 71% 59% 59% 57% 38% 50% 33% 52% Engineering & Technology Total 85% 81% 79% 83% 84% 86% 81% 83%
COLLEGE OF FINE ARTS Film 33% 100% 50% 100% 100% 100% 100% 83% Music 93% 80% 83% 81% 85% 76% 84% 83% Theater 90% 86% 80% 80% 84% 85% 73% 83% Dance 80% 73% 79% 93% 80% 64% 84% 79% Art 76% 79% 79% 79% 80% 79% 81% 79% Undecided Fine Arts 69% ------69% Fine Arts Total 82% 80% 80% 80% 81% 77% 80% 80%
COLLEGE OF HEALTH SCIENCES & PROFESSIONS Public Health ------100% 100% 100% Health Administration ------97% 92% 95% Child & Family Studies ------94% 85% 90% Communication Sciences & Disorders 90% 89% 89% 89% 89% 90% 87% 89% Public Health Sciences & Professions 86% 98% 84% 85% 91% ------89% Exercise Physiology ------87% 83% 85% Recreation & Sport Sciences 84% 83% 83% 81% 84% ------83% Nursing ------95% 77% 78% 80% 83% Nutrition ------88% 77% 83% Human & Consumer Sciences 80% 79% 81% 83% 87% ------82% Social Work 74% 88% 79% 93% 67% 81% 91% 82% Early Childhood - HHS 67% 86% 78% 86% 0%* ------79% Environmental Health ------80% 75% 78% Athletic Training ------69% 70% 70% Undecided Health Sciences & Professions 63% 61% 55% 38% 61% 65% 52% 56% Health Sciences & Professions Total 81% 83% 82% 82% 83% 84% 80% 82%
34 2005 2006 2007 2008 2009 2010 2011 AVERAGE -2006 -2007 -2008 -2009 -2010 -2011 -2012 PERCENT UNIVERSITY COLLEGE Bachelor Special Studies ------100% 100% 100% Pre-Professional ------61% 68% 83% 71% Undecided - University College 69% 63% 71% 71% 70% 66% 63% 68% University College Total 69% 63% 71% 71% 70% 66% 63% 68%
HONORS TUTORIAL TOTAL 97% 92% 96% 98% 98% 94% 97% 96%
OHIO UNIVERSITY TOTAL 80% 78% 80% 82% 81% 80% 79% 80%
35 Figure 17
FIRST-YEAR RETENTION RATE BY GPA BY YEAR
100%
90% 87% 85% 85% 86% 86% 85% 83% 80%
70%
60%
50%
Percent 42% 42% 42% 40% 40% 37% 38% 33% 30%
20%
10%
0% 2005 2006 2007 2008 2009 2010 2011 Year of Entry
Over 2.00 Under 2.00
36 Table 2
Attrition Rate by Ohio University Accumulated GPA
GPA 2005 2006 2007 2008 2009 2010 2011 No. Pct. No. Pct. No. Pct. No. Pct. No. Pct. No. Pct. No. Pct.
4.00 - 3.50 88 11.6% 83 11.5% 97 12.2% 86 10.2% 73 9.9% 79 9.4% 102 13.8%
3.49 - 3.00 172 14.9% 197 17.4% 150 12.6% 151 12.4% 133 11.3% 129 12.1% 142 12.9%
2.99 - 2.50 165 14.6% 178 16.8% 153 14.7% 153 14.9% 138 13.6% 141 14.2% 157 16.5%
2.49 - 2.00 129 19.8% 132 20.2% 128 23.1% 119 22.9% 137 20.7% 126 21.5% 103 18.9%
1.99 - 1.50 110 43.1% 99 35.5% 101 45.5% 85 46.5% 121 47.8% 114 49.8% 102 40.5%
1.49 - 0.00 174 90.6% 188 86.6% 152 80.9% 140 73.3% 152 70.7% 202 83.5% 176 78.2%
37 Table 3
Comparisons of 2011 Leavers with Above and Below 2.00 GPA
Above 2.00 GPA Below 2.00 GPA Number Percent Number Percent SEX: Males 202 54% 170 46% Females 302 74% 108 26%
RACE: White/Caucasian 435 65% 232 35% African American 23 55% 19 45% Hispanic 10 56% 8 44% International 2 33% 4 67% Asian American 6 86% 1 14% Native American ------Hawaiian/Pacific Isle 2 100% ------Two or More Races 20 67% 10 33% Unknown 6 60% 4 40%
FIRST GENERATION COLLEGE STUDENT STATUS: First Generation 111 55% 92 45% Non-First Generation 336 68% 158 32%
COLLEGE: Arts & Sciences 125 61% 80 39% Business 42 75% 14 25% Communication 36 67% 18 33% Education & Human Services 33 65% 18 35% Engineering 32 50% 32 50% Fine Arts 27 75% 9 25% Health Sciences & Professions 70 68% 33 32% Honors Tutorial College 2 100% 0 0% University College 137 65% 74 35%
TOTAL: 504 64% 278 36%
38 Table 4
Percentage & Number of Leavers with Higher than a 2.00 GPA by Major
Number of Leavers Percentage of with Leavers MAJOR: Higher Than 2.00 GPA for Majors Political Science 12 100% Accounting 5 100% Engineering Technology & Management 4 100% Human & Consumer Sciences Education 4 100% Anthropology 3 100% Finance 3 100% International Studies 3 100% Philosophy 3 100% Social Work 3 100% Dance 2 100% Modern Languages 2 100% Classics & World Religions 1 100% Geography 1 100% Linguistics 1 100% Management Info Systems 1 100% Marketing 10 91% Nutrition 7 88% Aviation 5 83% Undecided Business 5 83% Nursing 20 80% Communication Sciences & Disorders 8 80% Management 4 80% Communication Studies 7 78% Early Childhood Education 7 78% Visual Communication 7 78% Journalism 13 76% Art 15 75% Middle Childhood Education 6 75% General Business 3 75% History 3 75% Mechanical Engineering 8 73% Music 5 71% Theater 5 71% Exercise Physiology 13 68% Electrical Engineering 6 67% Child & Family Studies 2 67% Health Administration 2 67% Undecided University College 137 65% Psychology 26 65% Secondary Education 11 65% Special Education 3 60% Chemical & Biomolecular Engineering 4 57%
39 Number of Leavers Percentage of with Leavers MAJOR: Higher Than 2.00 GPA for Majors Biological Sciences 36 56% English 9 56% Sports Administration 10 53% Undecided Arts & Sciences 9 53% Undecided Health Sciences & Professions 12 50% Chemistry 9 50% Information & Telecommunication Systems 3 50% Business Economics 1 50% Geological Sciences 1 50% Undecided Education 1 50% Sociology 7 47% Media Arts & Studies 6 46% Athletic Training 3 43% Mathematics 1 33% Computer Science 3 30% Civil Engineering 2 29% Recreation & Sport Pedagogy 1 17% Economics 0 0% Environmental Health 0 0% Plant Biology 0 0 PreProfessional University College 0 0% Undecided Engineering 0 0% African American Studies ------Bachelor Specialized Studies University College ------Film ------Industrial Systems Engineering ------Physics ------Public Health ------Women's Studies ------
40 Table 5
First-Year Course Retention Rates Fall Quarter Courses with Largest Enrollment
Fall 2011 Fall 2005 Fall 2006 Fall 2007 Fall 2008 Fall 2009 Fall 2010 Fall 2011 Number to Fall to Fall to Fall to Fall to Fall to Fall to Fall of Fall 2011 2006 2007 2008 2009 2010 2011 2012 Freshman Freshman Retention Retention Retention Retention Retention Retention Retention Sections Enrollment COMM 190 ------96% 96% 98% 92% 93% 3 72 JOUR 101 89% 90% 92% 91% 91% 92% 4 91% 221 PSY 120 89% 82% 85% 89% 87% 87% 91% 4 133 P SC 100 78% 79% 84% 90% 77% 63% 91% 1 45 SPAN 211 86% 85% 77% 88% 83% 87% 87% 16 168 VICO 120 86% 84% 93% 94% 86% 88% 86% 1 76 MATH 263A 89% 88% 83% 92% 84% 89% 86% 5 73 COMS 103 83% 84% 87% 87% 85% 85% 84% 38 658 MATH 163A 86% 84% 87% 80% 88% 83% 84% 14 257 IART 117 77% 79% 80% 80% 81% 77% 84% 3 207 EDTE 150 --- 90% 84% 82% 82% 83% 84% 6 119 SOC 101 78% 81% 80% 84% 82% 82% 83% 9 615 MIS 201B 88% 81% 95% 80% 86% 85% 83% 16 144 B A 100A 84% 84% 86% 85% 87% --- 82% 4 202 PHIL 101 77% 76% 78% 82% 86% 79% 82% 4 132 HIST 122 77% 74% 76% 83% 77% 80% 82% 7 88 UC 190 ------80% 91 82% 82% 83% 81% 1,290 COMS 101 79% 82% 86% 81% 84% 79% 81% 4 213 EDEC 160 75% 82% 85% 76% 76% 81% 81% 1 137 ET 280 88% 72% 81% 76% 80% 76% 81% 2 73 ECON 103 83% 78% 85% 82% 85% 82% 80% 5 343 CHEM 151 84% 81% 82% 82% 83% 84% 80% 5/4**** 261 POLS 101 81% 75% 84% 79% 78% 83% 80% 6 246 CHEM 100D 83% 86% 85% 80% 82% 83% 80% 2 173 BIOS 110A 80% 80% 79% 82% 80% 78% 80% 2 154 NRSE 101 ------72% 78% 80% 4 123 IART 118 72% 78% 75% 76% 80% 79% 80% 4 111 BIOS 103 66% 70% 79% 81% 78% 76% 80% 3 89 BIOS 170 82% 77% 77% 83% 80% 80% 79% 2/27* 246 EXPH 228 81% 80% 80% 80% 74% 79% 6 83% 141 PHIL 130 88% 79% 88% 85% 77% 71% 79% 3 77 MDIA 105 76% 77% 89% 89% 79% 78% 79% 1 52 PSY 101 77% 76% 79% 78% 79% 78% 78% 6 651 ART 110 74% 78% 79% 83% 78% --- 78% 2 244 GEOG 121 75% 80% 77% 79% 85% 72% 78% 2 194 HIST 102 81% 78% 77% 80% 65% 77% 78% 7 98 UC 115 78% 79% 79% 79% 78% 77% 77% 55 915 CHEM 121 75% 81% 86% 82% 78% 79% 77% 4/6** 281 SPAN 111 85% 84% 75% 77% 81% 78% 76% 13 112 GLC 100 85% 84% 88% 84% 81% 87% 76% 2 76 GEOL 101 71% 76% 80% 87% 79% 86% 76% 1/4***** 17 ENG 151 79% 73% 78% 79% 76% 80% 75% 60 1,015 MATH 115 82% 78% 77% 77% 80% 79% 75% 9 269 UC 110 76% 76% 75% 79% 75% 72% 75% 9 122
41 Fall 2011 Fall 2005 Fall 2006 Fall 2007 Fall 2008 Fall 2009 Fall 2010 Fall 2011 Number to Fall to Fall to Fall to Fall to Fall to Fall to Fall of Fall 2011 2006 2007 2008 2009 2010 2011 2012 Freshman Freshman Retention Retention Retention Retention Retention Retention Retention Sections Enrollment HLTH 202 78% 76% 81% 79% 76% 81% 74% 4 182 NUTR 128 79% 76% 74% 78% 80% 80% 74% 4 133 CSD 108 82% 83% 82% 88% 72% 80% 74% 3 100 POLS 150 80% 83% 82% 85% 82% 74% 3 85% 96 EXPH 227 84% 84% 87% 77% 83% 79% 71% 8 169 MATH 102 ------71% 74% 71% 1 72% 126 MUS 120 85% 67% 72% 71% 86% 85% 71% 4 14 MATH 113 81% 74% 74% 78% 80% 77% 70% 23 545 CHEM 150 74% 69% 71% 76% 71% 70% 4/4*** 71% 215 CHEM 150A --- 75% 70% 72% 76% 70% 70% 2 128 MDIA 101 --- 85% 85% 92% 90% 88% --- 0 0 Total Retention(baseline) 80% 78% 80% 82% 81% 80% 79%
*2 lecture sections and 27 lab subsections **4 lecture sections and 6 lab subsections *** 4 lecture sections and 4 lab subsections **** 5 lecture sections and 4 lab subsections ***** 1 lecture sections and 4 lab subsections
42 Figure 18
FIRST-YEAR RETENTION BY TYPE OF INSTRUCTOR
100%
90% 84% 82% 83% 82% 82% 82% 81% 81% 81% 82% 81% 81% 80% 81% 80% 80% 80% 80% 79% 78% 79% 79% 79% 80% 83% 82% 82% 77% 82% 82% 80% 81% 81% 81% 81% 80% 79% 79% 78% 79% 79% 78% 79% 70%
60%
50% Percent
40%
30%
20%
10%
0% TA Group I Group II Group III Group IV Early Retired
2005 2006 2007 2008 2009 2010 2011
43 Figure 19
Non Returning Freshmen Survey
I had trouble adjusting personally to OU
I did not feel like I fit in at OU
Disappointed in the quality of the residence hall experience at …
OU is too far from home
The cost of attending OU
Disappointed with the rural/small town location of OU
Homesick
Drug and alcohol abuse on campus
Academic advising at OU was inadequate
My financial aid in general was not sufficient
Other personal problems
OU is too large and impersonal
Disappointed with the quality of teaching by OU professors
Inadequate social life at OU
Could not obtain a major/degree in preferred field at OU
Excessive social life at OU
Disappointed in the on-campus activities for students outside of …
Disappointed with the quality of teaching by OU teaching …
The pressure of school and stress
I had trouble adjusting academically to OU
Other students at OU were not friendly or supportive
Lack of on-campus or off-campus job opportunities at OU
Disappointed with the quality of the program in my major
0% 10% 20% 30% 40% 50% 60%
2007-08 2006-07 2005-06 2004-05 2003-04
44 Figure 18 Fall 2010 First-Year Leavers Enrolled Elsewhere Fall 2011 LORAIN UNIV OF WEST VA U CLEVELAND SINCLAIR U OF TOLEDO CCC RIO GRD 1.10% ST U CC 1.76% YOUNGSTOWN 1.76% 1.32% 1.10% 1.76% 1.76%
MIAMI UNIV 2.20% OHIO STATE BOWLING GREEN 18.68% 2.42%
LAKELAND CC 2.86% U OF AKRON 3.30%
WRIGHT STATE COLUMBUS ST 3.52% 9.23%
CUYAHOGA CC 3.74%
HOCKING TECH KENT STATE 3.74% U OF CINCINNATI 6.81% 6.37%
Interoffice Communication
Date: October 31, 2012
To: The President and Board of Trustees
From: Pamela J. Benoit, Executive Vice President and Provost
Re: Fall 2012 Enrollment Update
Student-based revenue from tuition and subsidy drives the budget of the institution. This semi- annual presentation updates the Board on how we are meeting the goals of the Strategic Enrollment Management Plan.
Craig Cornell, Vice Provost for Enrollment Management, will provide the Fall 2012 Enrollment Update.
This presentation will highlight the following:
In light of a challenging and competitive environment, Ohio University has been successful in meeting the goals of the Strategic Enrollment Management Plan with record enrollments.
Last year, Ohio University had the largest increase in headcount enrollment of the large Ohio four-year public universities.
The environment in the near and long term continues to remain quite competitive with a variety of factors affecting student choice behaviors.
Ohio University’s Enrollment Management Division continually adjusts for these competitive pressures, and will preview plans for the 2013 recruitment cycle.
Enrollment Update
Tab Freshmen, Fall 2012
Due to our efforts in reaching new markets and focusing our enrollment planning –we saw a significant shift in the student enrollment “funnel”
SUSPECTS
PROSPECTS
APPLICANTS
ADMITS
DEPOSITS
ENROLLED Fall 2012 Campus Enrollments University Overall Enrollment Metrics, Fall 2012 Overall Campus Headcount Enrollment • All Ohio University Enrollments ‐ 37,140, an increase of 1,014 –a new record! • SEMP GOAL‐ 35,219 • Athens Headcount‐ 21,514, a decrease of 165 due to increased degree conferrals • SEMP GOAL – 21,683 • Athens Undergraduate – 16,981, a decrease of 290 due to increased degree conferrals • SEMP GOAL – 17,512 • Athens Graduate and Graduate Outreach ‐ 4,158, an increase of 104 –a new record! • SEMP GOAL‐ 3,805 • E‐learning‐ 5,380, an increase of 1,027 –a new record! • SEMP GOAL‐ 3,100 • Regional Higher Education‐ 10,077, an increase of 152 • SEMP GOAL – 10,335 • Osteopathic Medicine‐ 513, an increase of 21 • SEMP GOAL – 467 • Some issues of concern: • FTE looks to be down by approximately 1,600 students • 17% increase in bachelor degrees conferred last year • Retention down by 1% to 79% University Overall Enrollment Metrics, Fall 2012
How we did competitively with enrollments (large 4 year publics):
15th Day Headcount Enrollment –Ohio Public Colleges and Universities, Fall 2012*
15th day 15th day Change in Change in Headcount 2011 Headcount 2012 Headcount (#) Headcount (%) Bowling Green State 17,581 17,298 (283) ‐1.61% Cleveland State 17,446 17,529 83 0.48% Kent State 26,983 27,706 768 2.85% Miami Univ. 16,730 16,924 194 1.16% Ohio State 56,867 56,387 (480) ‐0.84% Ohio University 23,865 25,223 1,358 5.69%
Univ. of Akron 27,551 26,666 (885) ‐3.21% Univ. of Cincinnati 33,329 33,347 18 0.05% Univ. of Toledo 22,610 21,500 (1,110) ‐4.91%
*15th Day Headcount, Fall 2012 Term, October 2012, Ohio Board of Regents Fall 2012 Freshman Enrollments Enrollment Update, 2012 ‐ Freshman
How we did competitively with applications: • Freshmen • 1st in state with growth of apps (+4,253, 32%), followed by Cleveland State (19.1%), Kent (15.3%), Miami (9.9%), Cincinnati (2.5%), the rest declined • Transfers • 6th in state (+47, 3.3%), top‐ Cincinnati (21.5%), Cleveland (16.8%), Toledo (14.1%) • Targeted • International –7th (36.4%) • African American ‐1st (85.9%) • Hispanic –1st (77.9%) • Native American –1st (42.9%) • Asian American‐ 1st (86.5%) • Native American –10th (‐23.5%) • Bi‐Racial –1st (55.8%) New Student Enrollment Highlights, Fall 2012 Total Enrollment • 3,888, an increase of 5 over last year • SEMP Goal – 4,025
Targeted Enrollments • Out‐of‐State Students • 596‐ Up over 107‐ a 22% increase from previous year –a new record! • SEMP GOAL‐ 440 • International Students: • 149 ‐ a 69% increase –a new record! • SEMP GOAL –included in above out‐of‐state numbers • Transfer Students: • 582‐ a 7% growth –a new record! • SEMP GOAL ‐540 • Multicultural Students: • 504 – a 14% growth – a new record! • SEMP GOAL ‐ 410 • Quality: • ACT – 24.0 –up 0.4 –a new record! • SEMP GOAL ‐ 24.1
• GPA 3.40 –up by 0.7 – 7 year high; Record since we started keeping track • SEMP GOAL –3.39 Enrollment Challenges: Inside the Numbers Shifting issues and priorities facing colleges and universities
Competition for College Costs students
Decreasing Limited scholarship Purchasing power dollars to meet of Federal Aid institutional needs
Students State budgets applying to and priorities multiple universities
Shifting Declining yield rates demographics Future of Enrollment in Ohio and the Region State of Ohio high school graduating class projection, public and private Source: .Knocking at the College Door, Projections of High School Graduates by State, Income and Race/Ethnicity; WICHE, ACT and The College Board, March 2008
140,000
Decline 2008‐2012 =7.6%
135,000 OU decline 2008‐2012= 6.0%
130,000
125,000
120,000 Ohio School Cost Comparison ‐ Total Tuition/Fees + Room/Board Combined Costs –2011‐12 $23,720 $24,000
$20,199 $21,000 $19,689 $19,400 $19,172 $19,113 $18,848 $18,176 $18,000 $17,738 $16,581
$10,640 $15,351 $14,774 $15,000 $14,156
$12,000 $8,830 $7,694 $9,753 $9,378 $9,780 $9,922 $10,398 $8,511 $9,586 $7,900
$9,000 $8,012 $8,484
$6,000 $8,926 $13,080 $10,419 $9,936 $9,586 $9,735 $9,002 $9,346 $10,044 $3,000 $8,070 $7,450 $5,672 $6,762 $0 Miami UC OU CSU UA OSU UT KSU BGSU WSU YSU SSU Central Room/Board $10,640 $9,780 $9,753 $10,398 $9,586 $9,378 $9,922 $8,830 $7,694 $8,511 $7,900 $8,012 $8,484 Tuition/Fees $13,080 $10,419 $9,936 $9,002 $9,586 $9,735 $8,926 $9,346 $10,044 $8,070 $7,450 $6,762 $5,672 Tuition/Fees Room/Board * http://www.ohiohighered.org/node/384 NACUBO and College Board Definition of Discount Rate: Total Institutional Grant Aid Total Discount Rate = Total Gross Tuition and required fee revenue http://www.collegeboard.com/prod_downloads/press/tuition‐discounting.pdf
DATA SHARED WITH BOARD OF TRUSTEES IN THE DASHBOARD ‐ provided by Finance and Administration:*
Total Institutional Scholarship Discount Rate for Total Undergraduate Gross Tuition and Year and Grant Aid for Undergraduate Athens Required Fee Revenue* Undergraduate Students ** Students
2006‐7$ 240,990,636 $ 39,543,722 16.4%
2007‐8$ 257,254,813 $ 39,514,236 15.4%
2008‐9$ 262,264,797 $ 46,280,584 17.6%
2009‐10 $ 277,553,921 $ 47,959,272 17.3%
2010‐11 $ 303,352,545 $ 57,466,229 18.9%
2011‐12 $ 331,064,132 $ 63,729,790 19.2% * Ohio University Consolidated Statement of Activities; Includes all tuition and fees and what is called "scholarship allowance" Moving Forward for 2012‐13 Task‐Forces and Efforts for 2012
• Student Scholarship Task Force – • Evaluate and recommend changes to Gateway Scholarship Program • Will be presenting to BOT findings in the Spring
• Relocate Task Force – • Determine ways to effectively handle our Regional campus relocating students Task‐Forces and Efforts for 2012
• Admissions Marketing • Annual base budget now set allowing for multi‐year planning • Covers media buy, creative development, targeted enrollment pieces, etc.
• Brand development and OU marketing analysis
• Targeted publications and communications plans for departments/colleges/interests Task‐Forces and Efforts for 2012
• Outside marketing efforts‐ • Continuation due to success in freshman student cohort • Finishing creative development for 2012‐13 • Reach out to earlier and larger inquiry pool as part of pilot program this past year • Plan to launch a junior initiative this year and sophomore/junior next year
• Developing targeted city‐based events with two colleges with strong alumni support in that region Discussion and Q & A APPOINTMENT TO REGIONAL COORDINATING COUNCILS 2012--
BE IT RESOLVED BY the Board of Trustees of Ohio University that the following persons be appointed to membership on the Coordinating Council at the Regional Campuses of Ohio University - Chillicothe and Zanesville.
Ohio University - Chillicothe
Timothy G. Nusbaum For a two-year term beginning July 1, 2012, and ending at the close of business June 30, 2014, vice Linda Brown, who resigned.
Ohio University - Zanesville
Bryan Chandler For a three-year term beginning July 1, 2012, and ending at the close of business June 30, 2015, vice David Evans, who resigned.
Interoffice Communication
Date: October 31, 2012
To: The President and Board of Trustees
From: Pamela J. Benoit, Executive Vice President and Provost
Re: Regional Coordinating Council Members
Enclosed are resumes for Timothy G. Nusbaum and Bryan E. Chandler for appointment to membership on the Coordinating Councils at the Regional Campuses of Chillicothe and Zanesville.
REVIEW OF CENTERS AND INSTITUTES
RESOLUTION 2012 --
WHEREAS, the continued review of academic programs is essential to the maintenance of quality within an educational institution, and
WHEREAS, Ohio University has had for many years a rigorous program of internal review, and
WHEREAS, the reviews are conducted in accordance with the provisions of University Policy 01.015 Establishment and Review of Centers and Institutes.
NOW, THEREFORE, BE IT RESOLVED that the Board of Trustees of Ohio University accepts the 2011-2012 Reviews of Centers and Institutes, which recommends the following fifteen (15) centers and institutes be continued, and one (1) be discontinued:
Institute of Nuclear and Particle Physics - Continued Center for Ring Theory and its Applications - Continued Center for Advanced Software Systems Integration - Continued Center for Advanced Materials Processing - Continued Avionics Engineering Center - Continued Institute for Corrosion and Multiphase Technology and the Center for Corrosion in Multi-Phase System Research - Continued T. Richard and Eleanora K. Robe Leadership Institute - Continued Tropical Disease Institute - Continued Institute for Applied and Professional Ethics - Continued Edison Biotechnology Institute - Continued Institute for the Empirical Study of Language - Continued Nanoscale and Quantum Phenomena Institute - Continued George Hill Center for Counseling and Research - One-year extension Appalachian Rural Health Institute- One-year extension Ohio Center for Professional Accountancy - Discontinued
Interoffice Communication
Date: October 31, 2012
To: The President and Board of Trustees
From: Pamela J. Benoit, Executive Vice President and Provost
Re: Review of Centers and Institutes
The five year review was conducted for fifteen Centers and Institutes in accordance with the provisions of University Policy 01.015 Establishment and Review of Centers and Institutes.
Included with the materials are a memo from the Vice President for Research and Creative Activity and Dean of the Graduate College, Dr. Joe Shields, concurring with the recommendations of the reviews, the report containing brief summaries of the reviewed centers/institutes, and a resolution to continue twelve and discontinue one of the centers/institutes. Two centers received a one year extension.
A second resolution requests a center name change.
REVIEW OF CENTERS AND INSTITUTES 2011‐2012
Two centers are recommended for continuation with a one‐year extension as noted below.
Appalachian Rural Health Institute: The activities of ARHI underwent a period of dislocation from 2009‐2011 as personnel focused on other initiatives, notably the development of the Health Sciences Center. ARHI subsequently acquired new leadership and entered a phase of restructuring and strategic planning that was incomplete at the time the current review cycle was initiated. After consultation with Deans Leite and Brose, Director Jane Hamel‐Lambert submitted a request for a one‐year extension since it appeared that the Institute would be in a clearer position to define its track record and goals going forward after that time. I found Dr. Hamel‐Lambert’s rationale persuasive and therefore recommend a one‐year extension for ARHI.
George Hill Center for Counseling and Research: Dean Middleton requested a one‐year extension for the Center since its director and staff were deeply engaged in accreditation work, thereby making it difficult to generate an appropriate self‐study in the required timeframe for the current review cycle. In light of this request I am recommending a one‐year extension for the George Hill Center.
One center is recommended for discontinuation as noted below.
Ohio Center for Professional Accountancy: Dean Sherman indicates that the Center is inactive and recommends that it be discontinued. I concur with this recommendation.
Twelve centers are recommended for continuation as noted below.
COLLEGE OF ARTS AND SCIENCES
Institute of Nuclear and Particle Physics
Since 1991, the Institute of Nuclear and Particle Physics (INPP) has brought coherence to research in these two areas by using lab experiment data, astronomical observations, and theoretical studies. INPP promotes research by educating students, sponsoring seminars and conferences, hosting visiting scientists, and supporting new research initiatives. The Edwards Accelerator Laboratory is the highest‐energy particle accelerator in Ohio, and its unique capacity has made it a key site for experiments for over 40 years. INPP has 14 affiliated faculty and 4 emeritus faculty organized into 3 groups: 1) Low energy experimental; 2) Medium/high energy experimental; and 3) Nuclear theory.
1
During the review period, INPP faculty, along with post‐docs and graduate students, published over 300 refereed journal articles. The Institute also secured nearly $10 million in external funding, primarily from the National Science Foundation and the U.S. Department of Energy, and the indirect returns on these awards constitutes INPP’s sole funding source. Also, faculty prominence over the review period has been enhanced by two INPP‐affiliated faculty promoted to full professor, two faculty named Fellows of the American Physical Society, and all Group I faculty currently holding a significant research grant and advising at least 1 PhD student.
The review committee recognizes that INPP has met its mission by enhancing education, promoting the Institute’s visibility, and bringing positive attention to the University. The current and future viability of INPP is excellent due to its strong, stable funding base, along with the participation of a broad base of faculty (including Group II, regional campus, research faculty, and emeriti representation).
The committee makes 4 recommendations, which include: Maintaining INPP’s Group I faculty headcount at or above present levels; Providing matching funds for Edwards Accelerator maintenance and upgrades; Restoring funds to the Physics and Astronomy department budget to resume paying the 2 technical staff salaries currently being paid by INPP; and Maintaining the indirect return rate at or above current levels.
I agree with the review committee that the Institute should be continued, and I echo the College’s assessment of INPP as one of the strongest research institutes in the College, with a solid base of faculty support and research. I also endorse the College’s efforts to continue working with INPP on issues related to personnel and infrastructure funding, as they are discussed within the context of the College’s and University’s needs. Center for Ring Theory and its Applications
The Center for Ring Theory and its Applications (CRA) promotes both fundamental research and application of Ring Theory by promoting research collaborations, facilitating post‐doc visits, and acting as a convergence point for scholars and students throughout the region and around the world. At its start in 2001, CRA established the Journal of Algebra and its Applications, which currently publishes 6 issues annually. CRA’s international efforts include hosting and organizing scholarly conferences, as well as collaborating with universities in Russia, Spain, and Saudi Arabia.
During the review period, CRA’s focus shifted from open educational opportunities to an increased emphasis on promoting collaborative research amongst Ohio University faculty and visiting scholars. CRA also has become self‐sustaining by utilizing Foundation funds and post‐ doc sponsor support to cover operating expenses. Activities include: Hosting 150‐plus short‐term visitors (1‐3 weeks) and several long‐term visitors (3‐18 months);
2
Publishing 2 official Proceedings Volumes from CRA‐organized conferences and having 8 articles published by CRA post‐docs; and Piloting a professional development program that brought additional revenue to the University via tuition for a post‐doc to enroll in OPIE coursework.
The review committee affirms that CRA has met its mission, albeit while making the applied aspect less central to its activities. The review committee considers CRA to be viable in the short‐term (less than 5 years), due to adequate facilities, engaged faculty, and its ability to cover current expenses. For the long term, the committee is concerned about CRA’s prospects based on a funding model that relies heavily on donations, the lack of external awards, and the potential challenge of securing a new director since there is no director salary or course reduction support offered currently.
The committee makes 4 recommendations, which include: Reviewing CRA comprehensively to determine what (if anything) should be done to ensure long‐term viability; Broadening CRA’s scope to potentially attract more faculty participation; Applying for external funding in pure mathematics research; and Adopting performance metrics, specifically including a measure for external funding proposal submissions.
I agree with the committee that the Center should be continued, based in part on the fact that CRA has become self‐sufficient, added funding streams, and grown somewhat in both membership and productivity. Additionally, the College adequately addresses the committee’s recommendations by pointing out that CRA is a unique entity, based on its focus area, journal editing role, its administration primarily residing with the director, and funding relying on internal support and private donations. RUSS COLLEGE OF ENGINEERING AND TECHNOLOGY
Center for Advanced Software Systems Integration The Center for Advanced Software Systems Integration (CASSI) is dedicated to solving fundamental problems and disseminating results in the areas of cost estimations, transportation logistics, and systems engineering. CASSI was established in 1995 and has built a successful funding track record with federal agencies, industry, and other organizations. Currently, there are 9 CASSI‐affiliated faculty.
During the review period, external grants and contracts totaled $3.1 million, and over the past 5 years emphasis has shifted away from software integration projects and towards cost estimation. Funding in this area has increased from approximately $200,000 per year to $750,000 per year. Current CASSI‐designed cost models accurately estimate the costs for all of or portions of aircraft engines, gas and steam power generation turbines, and wind turbines; and there is the potential to develop models with additional types of industries. Another growth area is in modeling, optimization, scheduling, process planning, reliability, human
3
factors, data mining and transportation logistics. By 2010, funding in these areas totaled approximately 20%, and growth is expected to continue. Dean Irwin notes that CASSI’s funding track record has made it self‐sufficient.
The review committee recognizes that the Center’s mission is aligned with both the University’s strategic plan and Russ College strategic focus areas (energy system cost estimation and transportation logistics). External funding over the past 5 years increased an impressive 35% since the previous review, and the Center’s strong record of publications, commercialization of software products, and high level of student involvement are to be recognized.
I agree with the College and the review committee that the Center should be continued in light of its plans which will result in greater visibility of the Center’s contributions to manufacturing in Ohio and nationally, as well its research record and funding growth.
The Center and its review committee recommend that the center name be changed to better reflect its current profile and intended direction, such that going forward the center would be known as the Center for Advanced Systems and Transportation Logistics Engineering (CASTLE). The Dean has indicated that this change is supported by the College. I am happy to endorse this change.
Center for Advanced Materials Processing
For nearly 30 years, faculty from both the Russ College of Engineering and Technology and the College of Arts and Sciences have researched advanced materials processing. While initially focused on aerospace materials for the U.S. Air Force, these activities were formalized as the Center for Advanced Materials Processing (CAMP) in 1992 to both continue this research and particularly to develop advanced computer models. Over the years, CAMP has diversified its research to include commercial applications such as polymer composites, carbon filters, nanofibers, metal alloys, and the niche research area of processing composites for electrostatic precipitators.
Its 8 affiliated faculty and associated graduate students utilize facilities that are unique to this region of the country, and CAMP’s funders include the Air Force Research Laboratory, Environmental Protection Agency, Department of Energy, Ohio Department of Development, and the Ohio Air Quality Development Authority. CAMP also pursues funding via joint proposals with universities, institutes, and companies, as well as via ownership and commercialization of
4
intellectual property based on successful patent applications. During the review period, CAMP secured $2.1 million in external funds. Looking forward, CAMP is deploying a strategic partnership approach to enhance funding on 2 distinct levels: 1) with large affiliates such as GrafTech and the Ohio Aerospace Institute, and 2) with small companies, such as Athens‐based Sunpower, to pursue Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) grants.
During the review period, 3 CAMP‐based patents were awarded (2 in the U.S. and one in the E.U.), and another 3 are pending. Commercialization of intellectual property based on awarded and pending patents will be a strong focus for future Center activities. Even with the limitations that may affect publishing intellectual property‐related research, CAMP‐affiliated faculty reported 38 publications.
The review committee notes that CAMP’s mission and activities align internally with the University’s strategic plan and externally with U.S. economic needs, which gives CAMP ample opportunity to grow. The committee supports further collaboration by CAMP with small industries in Ohio via SBIR/STTR opportunities, and unanimously recommends that it remain a Center.
I agree with the College and the review committee that the Center should be continued. The Dean states that CAMP aligns with Russ College strategic priorities, and he notes that external funding enabled CAMP to be self‐sufficient over the past 5 years. Also, the focus on entrepreneurship and commercialization in terms of securing patents, licensing, and revenue for the Center, College, and University has been successful and I anticipate this will continue to be the case.
Avionics Engineering Center
Established in 1963, the Avionics Engineering Center (AEC) is the only facility of its kind in the United States, and its mission is to advance the art and science of navigation, landing, surveillance, communication, and flight controls through education, research, and service. With 7 associated faculty, 25 staff, 40 students, and approximately $5 million in funding per year, AEC occupies a unique niche in supporting Federal Aviation Administration (FAA), National Aeronautics and Space Administration (NASA), and Department of Defense (DOD) efforts. Threaded through these activities is AEC’s commitment to act as an honest broker of avionics technology, a stance respected by both government and industry.
During the review period, AEC was active in navigation expertise and support, communication systems development, surveillance systems work for the FAA, and sensors and systems engineering. Students working at the Center participated as part of the FAA Joint University Program with Stanford and MIT. AEC researchers published over 125 technical memoranda, and 6 individuals submitted 16 invention disclosures, with one patent granted in the U.K. and 2
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more expected in the U.S. During the review period, AEC’s average funding per year was $5.81 million, and 79% was from federal sources (FAA, NASA and DOD), with the remaining funds coming from airports and industry. The average number of projects per year was 77.8, and the average value of each project was $60,011.
The review committee strongly recommends AEC’s center status be renewed and calls the Center one of the most effective and successful research organizations on campus. Its current viability is evidenced by external funding volume, funding source diversification, a strong reputation, and intellectual property success. The committee is encouraged by AEC’s strategic campaign to increase visibility with sponsors and pursue varied funding streams.
The committee makes a number of recommendations and believes that while some may be challenging to implement, they are important for both AEC and other University research centers: Exploring new systems and measures to lessen the need for large business staff; Restructuring the McFarland Avionics Building mortgage; Extending debt relief for the King Air aircraft for an additional 2 years; Offering additional support to the Technology Transfer Office; and Developing a sick/vacation leave rotary account for research center employees.
I agree with the College and the review committee that the Center has an excellent track record and reputation, and that it should be continued. Its funding success has allowed the Center to remain self‐sufficient. The Dean affirms that AEC aligns with the College’s strategic focus areas, and he also states he will address the review committee’s recommendations. In the past year the Technology Transfer Office has significantly increased its interaction with AEC researchers, with the goal of increasing commercialization of intellectual property.
Institute for Corrosion and Multiphase Technology
The Institute for Corrosion and Multiphase Technology (ICMT) is the largest research facility of its kind in the world, and its mission is to advance scientific knowledge and practical understanding of corrosion in multiphase flow systems by a) conducting cutting‐edge research driven by industrial needs; and b) educating and training students who will work in corrosion engineering. Oil and gas infrastructure is ICMT’s main focus area, and its work is supported by the world’s leading oil and gas, chemical, and engineering companies.
ICMT’s 7 primary project areas include Corrosion Center, Water Wetting, Top‐of‐the‐Line Corrosion, Naphthenic Acid Corrosion, Microbiologically Induced Corrosion, Proprietary Projects, and Ohio Coal Development Office/Weyburn Projects. During the review period, ICMT typically had 4‐5 major, long‐term projects underway and numerous smaller, shorter projects in progress. Companies sponsor these activities, and a sponsor‐based advisory board meets with ICMT to review results and provide feedback.
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The Institute’s personnel count (staff, faculty, and students) has grown steadily since its first project in 1989, and there have been efforts to recruit more PhD students to both support long‐ term projects and to achieve higher academic standards. Also, the average number of peer‐ reviewed journal publications almost doubled from the previous review period to include 37 refereed publications and 4 articles in books and monographs. Conference papers and presentations remained high as well, totaling 72 over the review period. ICMT experienced rapid growth in funding from 2002‐2008, followed by relatively stable funding over the past 5 years. During the review period, ICMT external funding totaled $13.4 million, with an average of $2.2 million per year.
The review committee unanimously recommends continuation of the Center, and the committee expects funding to continue to trend upward, due to a) continued needs of the oil and gas industry, b) new areas of research such as shale oil and gas, and c) its unique facilities and expertise. ICMT demonstrates academic strength with the majority of students earning PhDs, and the students being in high demand in industry.
The committee makes 2 recommendations: Hiring an additional faculty member to support the director in Center management and growth; and Examining current and future office space needs for ICMT personnel.
I agree with the College and the review committee’s assessment that the Institute is an international leader in the field of oil and gas corrosion research. The committee and College also note the Institute’s growth and progress throughout the review period. The Dean strongly recommends ICMT’s continuation for another 5 years and acknowledges the recommendations regarding the hiring of an additional faculty member and exploring additional space options.
T. Richard and Eleanora K. Robe Leadership Institute
The T. Richard and Eleanora K. Robe Leadership Institute (RLI) is the Russ College’s focal point for understanding and promoting effective leadership with students, faculty, and administrators. Students learn the fundamentals and importance of effective leadership in order to better serve their professions and society. RLI also reaches beyond Ohio University to foster leadership education within the American Society of Engineering Education (ASEE). RLI is staffed by a Director and Assistant Director, and there is an advisory board of faculty from Russ College departments as well as 2 outside representatives.
Current RLI activities include: Leadership Seminar for students to understand leadership and learn from leaders; Senior Leadership Award presented annually by RLI to outstanding seniors; Leadership/Service award to faculty and staff to recognize distinctive contributions; and Loehr Leadership Resource Center that provides materials and space for RLI students.
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RLI is supported by interest income from endowments and the Ohio University Foundation, and it anticipates that this income should be adequate to support current activities into the future. With additional goals for RLI, a special endowment is being sought to cover these new costs.
The review committee endorses RLI’s continuation and calls it a national model that impacts both the RLI scholars and the Russ College. The committee also affirms RLI’s future goals, noting the potential of the mentoring program to expand students’ opportunities to meet leaders, network, and deepen their understanding of leadership and its applications.
The committee makes the following 7 recommendations: Continuing to support the RLI student‐formed organization; Continuing community and field outreach opportunities; Connecting RLI with other leadership programs on campus; Increasing efforts to gather post‐graduation outcomes from RLI participants; Continuing to explore the potential of a mentor/protégé program; Increasing RLI awareness amongst faculty, staff, and students; and Encouraging the College to take the following actions: o setting an endowment growth target; o increasing the diversity of majors represented through consideration of elective status for the program; and o improving education and outreach to faculty and students on RLI’s activities.
I agree with the College and the review committee that the Institute should be continued. The RLI is a unique and effective program that enhances engineering education. The Institute has put forth a specific plan that demonstrates responsiveness to scholar needs and offers opportunities to engage with companies and alumni to enhance its programs and the students’ experience. The Dean also concurs with the committee’s recommendations.
HERITAGE COLLEGE OF OSTEOPATHIC MEDICINE
Tropical Disease Institute The Tropical Disease Institute’s (TDI) mission is to improve the health status of underserved populations through research, service, and education initiatives related to tropical diseases. Established in 1989, TDI includes 24 affiliated faculty from both Ohio University and other institutions. TDI partners with the Catholic University of Ecuador’s Center for Infectious Disease Research (CIDR), and the 2 organizations play a prominent role in Ecuador’s health care system on the issues of blood supply safety and Chagas disease awareness. During the review period, TDI secured over $4 million in funding, and this amount is approximately 4 times higher than the previous review period.
Institute activity areas include: Promoting blood safety via research and programs in Ecuador; Researching Chagas disease to determine its prevalence and seriousness;
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Collaborating with organizations such as the World Health Organization (WHO), Carter Center, Chagas Epinet (E.U.‐sponsored), and others; Performing research on topics such as HIV, mosquito biology, and other areas; and Educating and training Ohio University students and students from around the world via annual workshops, clinical rotations, and field research experiences.
The review committee notes that TDI contributes significantly to both the University’s international medical research productivity and its education abroad offerings. Also, the Institute is a model for international collaboration through its many partnerships. The committee sees potential funding growth from NIH and other sources for both research and education programs to continue its work. The committee also suggests that TDI has additional potential to be explored, and it makes the following 7 recommendations: Promoting joint activities amongst institutions within Ecuador; Recruiting a TDI‐based faculty member to be a protégé for the current director; Consolidating teaching activities to ensure that resources are not duplicative; Reevaluating TDI’s rationales for its work in Kenya and Sudan; Developing a 5‐year research plan that includes a focused series of high priority projects; Recruiting additional HCOM faculty who have TDI‐aligned interests; and Involving the College of Health Sciences and Professions’ School of Public and Social Health in the management of TDI’s research, teaching, and service.
I agree with the College and the review committee that the Institute should be continued. TDI’s record in Ecuador is notable both for its impact on Ohio University, as well as on TDI’s partners and Ecuador’s health care system. I agree with the College’s assessment that TDI could play a pivotal role in expanded global programs and research via the Health Sciences Center, and that greater participation from additional University partners will encourage TDI to flourish into the future. VICE PRESIDENT FOR RESEARCH AND CREATIVE ACTIVITY
Institute for Applied and Professional Ethics
The Institute for Applied and Professional Ethics (IAPE) began as a program in 1988 with an Ohio Board of Regents’ Academic Challenge Grant, and was designated a University Institute in 1995. IAPE’s mission is to advance practical, ethical, and moral understanding and judgment among Ohio University students and faculty, professionals, the wider academic community, and the general public. IAPE does this through research and educational activities, such as public lectures, panel discussions, seminars, and workshops. The Institute’s sole funding source throughout the review period was the Office of the Vice President for Research and Creative Activity (VPRCA), and this support has declined from approximately $115,000 in 2007 to $7,000 in 2011.
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During the review period, IAPE brought in 18 guest speakers covering topics such as morality in the marketplace, measuring biodiversity, climate change, criminal justice, and shale gas development. In partnership with the Environmental Studies Program, IAPE hosted a panel discussion on hydraulic fracturing in November 2011. The panel included elected representatives, researchers, and faculty.
The committee unanimously recommends IAPE’s continuation and concludes that despite its funding reduction, IAPE continues to meet its mission. This is evidenced by the director’s efforts to orchestrate panel discussions with visiting scholars and speakers. The Committee believes that IAPE is important and has tremendous potential for Ohio University to distinguish itself as an institution that highlights ethical training and discourse.
The committee makes the following 2 recommendations: Increasing funding to $24,000 annually in order for IAPE to bring in 6 speakers per year for lectures or panel discussions, as well as to as to allow a course reduction for the director to devote more time to the Institute; and Creating an advisory board for the Institute.
I agree with the review committee that the Institute should be continued. The reduction in funding for the Institute reflects the global reduction in budgets across the University in recent years, and that situation has not changed. As the University moves to responsibility centered management for budgeting, the Institute will have the opportunity to secure funding commitments from the academic colleges if they are convinced that the Institute is beneficial to their students and faculty. I have encouraged the current Director to move forward with creating an advisory board and more generally enlisting other faculty to assist in the Institute’s activities, in order to increase its impact and visibility while keeping the Director’s workload at a sustainable level.
Edison Biotechnology Institute
The Edison Biotechnology Institute (EBI) conducts interdisciplinary biomedical research with the dual mission of 1) advancing basic understanding of the cellular and molecular basis of disease; and 2) developing and transferring new technology to the private sector. Based in the state‐of‐ the‐art Konneker Research Center, EBI personnel include 5 faculty, and over 56 administrative and classified employees, post‐doc and international fellows, graduate students, and student employees.
EBI’s metrics over the review period include the following: Over $1.1 million per year in external funding; Over 110 authored or co‐authored peer‐reviewed publications; 92 undergraduate student employees, 31 masters and doctoral student advisees, and 7 post‐doc fellows or visiting scholars;
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Public health benefits, including the successful drug Somavert and promising work on cancer treatment drugs; Over $70 million in royalty revenue from Somavert; 9 companies founded on EBI‐developed technologies; 32 U.S. patents, 12 pending patent applications, and 15 invention disclosures; $12.6 million to EBI‐assisted companies for corporate and research development; Collaborative efforts that yielded a $1.65 million pre‐seed fund and nearly $13 million from the Third Frontier Entrepreneurial Signature Program.
The review committee unanimously recommends EBI continuation, based on its track record of education, funding, scholarly activity, and commercialization success. EBI’s current viability is outstanding, especially in light of its successful navigation of a challenging state and federal budget environment.
The committee recommendations include: Completing a successful leadership transition to a new director; Increasing the number of productive scientists affiliated with EBI; Adopting a rigorous strategic plan for enhancing self‐sustainability, and possibly budgetarily separating EBI's efforts in innovation and commercialization from the basic research arm, in order to determine each area’s sustainability and level of University support; and Determining whether EBI’s mission should be clarified or differentiated from the other health‐related entities on campus.
I agree with the review committee that the Institute should be continued. EBI has achieved a high level of success in both its basic research and technology commercialization functions. Since the completion of the review, I have appointed a new director for the Institute, Dr. Shiyong Wu, who is moving expeditiously to address the other recommendations of the report and more generally enhance the vitality of EBI. Institute for the Empirical Study of Language
Established in 1996, the Institute for the Empirical Study of Language (IESL) conducts interdisciplinary research on the comprehension, production, and acquisition of language. The 12 affiliated faculty work collaboratively by sharing laboratory equipment, space, and expertise. This approach has made research more productive, helps attract new faculty, and provides a training ground for both new faculty and its nearly 2 dozen undergraduate and graduate students. In 2001, IESL began offering a certificate program for undergraduates interested in pursuing graduate training in one of the language sciences. Students take courses, conduct independent research projects, and carry out a year‐long thesis project their senior year. IESL also hosts external speakers on language use, and the speakers consult with faculty while on campus.
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During the review period, IESL‐affiliated faculty obtained $5.1 million in external grants and contracts and $8.1 million in internal awards. There are efforts underway to secure funding for collaborative research on behalf of the Institute, with 3 promising pilot projects underway. In terms of publications, IESL‐affiliated faculty continue to maintain Ohio University’s visibility in language research, with an average of 24 publications and 46 presentations per year.
The review committee notes that IESL’s current operational model is viable and its future financial viability is adequate, given that it requires no institutional support. However, there are 2 concerns that should be explored regarding 1) Faculty capacity, given that 2 of the more active members and the director are approaching retirement; and 2) No grants to date have been awarded through the Institute, with awards to IESL‐affiliated faculty often exhibiting a more tangential relationship to the Institute's mission.
The committee makes recommendations for IESL as follows: Defining a leadership transition plan for the director and prominent faculty; Submitting applicable grant transmittals through the Institute; Enhancing the Institute's web presence; Recruiting faculty from new areas of the University; Exploring the potential of education abroad programs; Considering activities such as colloquia and student engagements; Engaging graduate students in IESL projects as early as possible in their programs; Exploring collaborations with other Ohio institutions; and Attracting junior faculty while clarifying that interdisciplinary activities are valued and consistent with promotion and tenure policies for their respective units.
I agree with the review committee that the Institute should be continued. Although no grant funding has been secured through the Institute per se, IESL clearly benefits the University as a vehicle for fostering collaboration, interdisciplinary discourse, and intellectual engagement for faculty researchers as well as students.
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Nanoscale and Quantum Phenomena Institute
With 25 members from 2 colleges and 7 departments, the Nanoscale and Quantum Phenomena Institute is an interdisciplinary entity that fosters cross‐campus collaborations. Established in 2001, NQPI’s mission is to 1) promote research excellence; 2) foster cross‐disciplinary research and education; and 3) facilitate international collaborations, conferences, and workshops. NQPI’s research emphasis includes nanoscale science applied to biology and living tissue, as well as more traditional surface science and condensed matter.
During the review period, NQPI noted success in the following areas: With 79 current graduate students, the 25 NQPI‐affiliated faculty members advise an average of 3 students. There also are 31 undergraduates and 13 post‐doctoral researchers working within the Institute. With over $7 million in external funding, NQPI grants include prestigious awards from NSF and the Department of Energy. NQPI researchers produce scholarship which frequently appears in high visibility journals, and they regularly give invited talks and media interviews.
The committee agreed that NQPI should be renewed, and that it fosters a collaborative environment that enables optimal utilization of personnel and equipment resources devoted to nanoscience research. The committee considers it a substantial achievement that despite recent hiring freezes and turnover in membership, NQPI has been able to roughly maintain its size. However, it was also noted there is substantial variability in NQPI involvement among its membership, with a core group of 10 members, and others playing a more peripheral role. NQPI’s funding diversity is impressive, and this demonstrates both nanoscience’s potential as well as NQPI’s competitiveness for funding.
The committee makes the following recommendations: Emphasizing greater involvement from individual NQPI members and greater Institute cohesion versus a focus on increasing overall NQPI membership; Encouraging NQPI researchers to submit proposals through the Institute; Pursuing funding for the nanoscience facility at the earliest opportunity; Formalizing the Institute’s financial plan; and Obtaining University support for a) retaining prominent researchers, and b) patent and commercial ventures.
I agree with the review committee that the Institute should be continued. NQPI is a very successful example of the institute model for fostering interdisciplinary research and intellectual discourse. The federal program that could be used to provide funding for a nanoscience facility is inactive, and as a result nanoscience infrastructure needs will be considered in the planning for an accelerated augmentation and renovation of Clippinger Labs. The Technology Transfer Office is in the process of expanding its staff to provide more proactive engagement with faculty researchers, including those in nanoscience.
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CHANGING THE NAME OF THE CENTER FOR ADVANCED SOFTWARE SYSTEMS INTEGRATION
RESOLUTION 2012 --
WHEREAS, the Center has developed research foci that includes modeling, optimization, scheduling, process planning, reliability, human factors, data mining and transportation logistics, and
WHEREAS, advanced software systems integration is no longer the Center’s primary research area, and
WHEREAS, the Center has earned a reputation for high-quality research and applications that positively impacts manufacturing in Ohio and throughout the nation.
NOW, THEREFORE, BE IT RESOLVED that the Ohio University Board of Trustees does hereby approve the renaming of the Center for Advanced Software Systems Integration to the Center for Advanced Systems and Transportation Logistics Engineering to more accurately describe the intended direction and research activities conducted within the Center.
Interoffice Communication
Date: October 31, 2012
To: The President and Board of Trustees
From: Pamela J. Benoit, Executive Vice President and Provost
Re: Parental Leave Implementation
In June President McDavis announced the establishment of a pilot program for parental leave for benefits-eligible faculty, administrators, and classified employees. The pilot program grew out of the work of a university-wide Parental Leave Task Force.
The pilot phase is being funded from the Health Benefits Surplus. The pilot will gauge employee interest and provide cost data for which full funding must be secured. Successfully developing such a program could strengthen our faculty and staff recruitment and retention efforts.
The presentation included in your materials details the work of the Implementation Team to develop processes, policies, tracking, and communication strategies for the pilot.
Parental Leave Implementation Report
Tab
Charge to Task Force
• Create and implement • Application process for employee • Website • Resource application process for departments • Tracking mechanism Employee Application Process
• Eligibility issues: • Benefits eligible employee who meets FMLA guidelines (1,250 hours / 1 year) • Both parents are eligible • Employees as of 12/31/2012 will be grandfathered in • Triggering event: birth or placement for adoption • Application form on HR website: • Link on parental leave website • Must submit paper copy • Requires supervisor/department head signature • Need certification of triggering event per FMLA guidelines
Website
• Contains information for all constituent groups: • Faculty • Administrative staff • Classified staff • Students • Undergraduates • Graduates – research programs • Graduates ‐ professional programs Website ‐ sections
• Letter of support from President McDavis • FAQ section • Links to all necessary forms (HR) • Links to pertinent resources such as documents and offices • Section on flexible work schedule templates • Application for departments affected by leave to apply for resources • Website will go live in November
Tracking system
• HR and the VP for Finance Office have developed tracking system that will: • Record the number of employees taking leave – single and double • Track the number of days taken by employees • Monitor the resources utilized by departments
• Data will be used to: • calculate the average yearly cost to the university • evaluate the program Dissemination of Information
• Presentations will be provided for constituent groups: • Chairs and Directors Council • College Chairs/Directors meetings • Classified Senate • Administrative Senate • Faculty Senate • Graduate and Undergraduate Student Senates • Articles for Compass and Compass Points
Interoffice Communication
Date: October 31, 2012
To: The President and Board of Trustees
From: Pamela J. Benoit, Executive Vice President and Provost
Re: Peer Institution Report
In 2004, the university leadership identified ten Presidential peers. Those aspirational peers were used in a variety of ways to compare Ohio University’s standing and progress over much of the past decade.
In updating this list, academic criteria were used to select universities that were comparable or +1 standard deviation. The selection process, data about these peer universities, and the function of peer universities will be discussed at the upcoming November meeting.
University peers are one benchmark for assessing best practices, averages, and trends among institutions. It is difficult to find institutions that match Ohio University on all important characteristics because the university has a unique niche. The academic matching criteria are graduation rate, ACT, freshman retention, freshmen top ten percent of high school class, freshmen acceptance rate, undergraduate FTE, and graduate FTE. Resources at these peers are considerably larger. The average difference in total revenues is $491 million and the difference in institutional instructional expenditures is over $18 million. Resource expenditures in strategic priorities are necessary to sustain and make progress relative to academic peers.
Peer Institutional Report
Tab Ohio University Peer Study
• Currently, 10 university peers • Auburn, Clemson, Indiana U., UNC‐Chapel Hill, etc. • “Aspirational” peers • List was created in 2004 • List is now out of date • Not comparable financially • Need to update the list of peers • Need a list of aspirational and true peers Selection Method
• Considerations in selection process • Availability of data • Reliability/accuracy of data • How current are the data? • 72 Variables • Used in selecting current peers • Sources: US News, IPEDS • Pool of available Universities • 172 US News Best Colleges’ Tier I & Tier II public universities Selection Criteria
• President’s Council & Academic Leadership ranked most important variables • 6 “most important” academic variables used to select: • Six‐year graduation rate • Average new freshman ACT • First‐year freshman retention rate • % freshmen in top 10 percent of HS class • Freshman acceptance rate • Undergraduate & graduate FTE enrollment • Variables +/‐ 1 standard deviation from Ohio University’s score Results
• Selection method initially produced 28 public universities • Matching on all 6 variables • “Academic” criteria only • Equally weighted on all 6 variables • List was sorted by “average” of 6 scores • “Normalized” score average—all 6 combined • High and low values—above and below Ohio U. Results
• Narrowed the list from 28 universities to 10 universities • Restricted to universities +1 or equivalent S.D. • Missing values outside the range • Interpreting the results • Academic variables used to generate the list • Other data provided; Finances are still lower for Ohio University • Using the peers as one benchmark Results
• Universities that are on both lists • University of Missouri • University of New Hampshire
• Universities that are no longer on the peer list • University of North Carolina, Chapel Hill • Indiana University • University of Tennessee, Knoxville Universities No Longer on the Peer List
Freshmen Freshman Graduation ACT Freshman Top 10% Acceptance Rate Median Retention HS Class Rate FTE University of North Carolina, Chapel Hill 96% 30 96% 80% 32% 28,916 Indiana University 74% 26 89% 34% 73% 42,347
University of Tennessee, Knoxville 84% 27 84% 39% 73% 29,934 Ohio University Peer Study 2012 Matching Academic Criteria* Only
Freshmen Six-Year ACT Top Ten Freshman Normalized Graduation Estimated Freshman Percent Acceptance Undergraduate Graduate Score* Rate Median Retention HS Class Rate FTE FTE
Ohio University-Main Campus 1.0 65% 23.5 80% 14% 85% 17,212 3,332
University of South Carolina-Columbia 1.5 68% 26.0 87% 28% 70% 19,485 5,988
Iowa State University 1.3 70% 25.0 85% 29% 81% 21,770 4,037
University of Missouri-Columbia 1.3 69% 25.5 85% 25% 84% 22,847 5,267
University of Utah 1.2 57% 24.0 83% 26% 83% 17,509 5,942
Colorado State University 1.2 64% 24.5 83% 23% 81% 20,696 4,194
University of New Hampshire-Main Campus 1.1 75% 24.5 88% 22% 73% 12,217 1,727
West Virginia University 1.1 59% 23.5 80% 19% 86% 20,747 5,485
Oklahoma State University-Main Campus 1.1 59% 25.0 79% 26% 81% 16,229 3,034
Oregon State University 1.1 60% 24.5 82% 22% 81% 16,164 3,058
University of Rhode Island 1.0 63% 22.5 80% 14% 78% 12,261 2,161
Average 64% 24.5 83% 23% 80% 17,992 4,089
Ohio University - Average Difference 1% -1.0 -3% -9% 5% -781 -757
*Normalized average of graduation rate, ACT scores, retention, freshmen in top 10% of HS class, freshman acceptance rate, undergraduate FTE, and graduate FTE.
Office of Institutional Research Ohio University Peer Study 2012 Matching Academic Criteria* Only
Freshmen Receiving Freshmen In-State Out-of-State Any Freshmen Receiving Student Undergraduate Undergraduate Multicultural Financial Receiving Institutional Faculty Tuition Tuition Enrollment Aid Federal Aid Aid Ratio (to 1) Rate Rate
Ohio University-Main Campus 15% 81% 18% 51% 19 $9,603 $18,567
University of South Carolina-Columbia 20% 91% 14% 65% 19 $9,786 $25,362
Iowa State University 14% 88% 19% 69% 17 $6,997 $18,563
University of Missouri-Columbia 13% 80% 14% 60% 20 $8,501 $20,516
University of Utah 14% 55% 14% 35% 15 $6,272 $19,840
Colorado State University 17% 66% 16% 46% 18 $6,985 $23,095
University of New Hampshire-Main Campus 8% 75% 14% 51% 18 $13,672 $27,642
West Virginia University 10% 84% 21% 51% 23 $5,406 $17,002
Oklahoma State University-Main Campus 21% 84% 22% 31% 19 $6,779 $17,601
Oregon State University 21% 74% 27% 54% 19 $7,115 $20,435
University of Rhode Island 14% 89% 21% 64% 16 $10,476 $27,182
Average 15% 79% 18% 53% 18 $8,199 $21,724
Ohio University - Average Difference 0% 2% 0% -2% 1 $1,404 -$3,157
*Normalized average of graduation rate, ACT scores, retention, freshmen in top 10% of HS class, freshman acceptance rate, undergraduate FTE, and graduate FTE.
Office of Institutional Research Ohio University Peer Study 2012 Matching Academic Criteria* Only
Average Average Average Associate Assistant Institutional Institutional Institutional Instructional Professor Professor Professor Total Instructional E & G Expenditures Research Compensation Compensation Compensation Revenues Expenditures Expenditures per FTE Expenditures Endowment (Salary) (Salary) (Salary)
$133,800 $102,800 $90,000 Ohio University-Main Campus $520,957,089 $184,182,199 $498,346,521 $8,965 $33,458,052 $253,259,000 ($103,100) ($76,100) ($65,000)
$148,500 $104,100 $93,700 University of South Carolina-Columbia $797,131,180 $245,553,256 $722,957,692 $9,640 $105,851,351 $309,699,155 ($116,900) ($80,600) ($72,100)
$146,900 $109,500 $99,700 Iowa State University $961,338,862 $209,555,886 $919,059,347 $8,120 $159,741,670 $433,379,141 ($115,900) ($83,500) ($75,100)
$139,600 $95,900 $77,800 University of Missouri-Columbia $1,652,679,074 $277,045,292 $1,641,980,498 $9,854 $171,907,552 $469,885,193 ($113,900) ($75,900) ($61,700)
$156,900 $111,500 $100,300 University of Utah $2,662,587,000 $289,396,000 $2,485,491,000 $12,341 $244,757,000 $444,021,000 ($118,800) ($84,000) ($75,400)
$137,500 $100,800 $90,200 Colorado State University $827,386,103 $198,989,784 $782,396,720 $7,995 $173,974,741 $160,851,402 ($108,900) ($79,800) ($71,300)
University of New Hampshire-Main Campus $461,251,492 $142,919,927 $471,918,514 $10,249 $106,569,998 $180,868,828 N/A N/A N/A
$128,900 $97,600 $79,300 West Virginia University $858,905,165 $234,929,961 $834,561,921 $8,956 $129,224,902 $318,527,184 ($107,400) ($79,700) ($64,400)
$132,500 $99,800 $88,000 Oklahoma State University-Main Campus $723,978,919 $167,935,600 $684,681,298 $8,718 $116,712,377 $239,754,087 ($99,200) ($74,500) ($68,100)
$141,200 $112,500 $99,900 Oregon State University $715,615,932 $169,897,532 $704,933,093 $8,839 $192,394,598 $469,192,573 ($99,900) ($77,800) ($71,600)
$143,900 $111,600 $93,100 University of Rhode Island $461,874,031 $94,337,934 $409,366,840 $6,541 $65,013,694 $71,346,161 ($105,200) ($78,900) ($65,800)
$141,767 $104,811 $91,333 Average $1,012,274,776 $203,056,117 $965,734,692 $9,125 $146,614,788 $309,752,472 ($109,567) ($79,411) ($69,500)
-$7,967 -$2,011 -$1,333 Ohio University - Average Difference -$491,317,687 -$18,873,918 -$467,388,171 -$160 -$113,156,736 -$56,493,472 ($6,467) (-$3,311) (-$4,500)
*Normalized average of graduation rate, ACT scores, retention, freshmen in top 10% of HS class, freshman acceptance rate, undergraduate FTE, and graduate FTE.
Office of Institutional Research Ohio University Peer Study 2012 Matching Academic Criteria* Only
Carnegie Classification Carnegie--Undergraduate Program Classification Carnegie--Graduate Program Classification
Ohio University-Main Campus Research Universities (high research activity) Professions plus arts & sciences- high graduate coexistence Comprehensive doctoral with medical/veterinary
University of South Carolina-Columbia Research Universities (very high research activity) Professions plus arts & sciences- high graduate coexistence Comprehensive doctoral with medical/veterinary
Iowa State University Research Universities (very high research activity) Professions plus arts & sciences- high graduate coexistence Comprehensive doctoral with medical/veterinary
University of Missouri-Columbia Research Universities (very high research activity) Balanced arts & sciences/professions- high graduate coexistence Comprehensive doctoral with medical/veterinary
University of Utah Research Universities (very high research activity) Balanced arts & sciences/professions- high graduate coexistence Comprehensive doctoral with medical/veterinary
Colorado State University Research Universities (very high research activity) Balanced arts & sciences/professions- high graduate coexistence STEM dominant
University of New Hampshire-Main Campus Research Universities (high research activity) Balanced arts & sciences/professions- high graduate coexistence Comprehensive doctoral (no medical/veterinary)
West Virginia University Research Universities (high research activity) Balanced arts & sciences/professions- high graduate coexistence Comprehensive doctoral with medical/veterinary
Oklahoma State University-Main Campus Research Universities (high research activity) Professions plus arts & sciences- high graduate coexistence Comprehensive doctoral with medical/veterinary
Oregon State University Research Universities (very high research activity) Professions plus arts & sciences- high graduate coexistence Comprehensive doctoral with medical/veterinary
University of Rhode Island Research Universities (high research activity) Balanced arts & sciences/professions- some graduate coexistence Comprehensive doctoral (no medical/veterinary)
Average
Ohio University - Average Difference
*Normalized average of graduation rate, ACT scores, retention, freshmen in top 10% of HS class, freshman acceptance rate, undergraduate FTE, and graduate FTE.
Office of Institutional Research Ohio University Peer Study 2012 Matching Academic Criteria* Only
Land US News Grant Medical Public Carnegie--Undergraduate Profile Carnegie--Enrollment Profile Carnegie--Size & Setting Classification Status Calendar School Rank
Ohio University-Main Campus Full-time four-year- selective- lower transfer-in High undergraduate Large four-year- primarily residential No Quarter Yes 59
University of South Carolina-Columbia Full-time four-year- more selective- higher transfer-in High undergraduate Large four-year- primarily residential No Semester Yes 54
Iowa State University Full-time four-year- more selective- higher transfer-in High undergraduate Large four-year- primarily residential Yes Semester Yes 44
University of Missouri-Columbia Full-time four-year- more selective- higher transfer-in High undergraduate Large four-year- primarily residential Yes Semester Yes 39
University of Utah Medium full-time four-year- selective- higher transfer-in Majority undergraduate Large four-year- primarily nonresidential No Semester Yes 59
Colorado State University Full-time four-year- selective- higher transfer-in High undergraduate Large four-year- primarily residential Yes Semester Yes 63
University of New Hampshire-Main Campus Full-time four-year- more selective- lower transfer-in High undergraduate Large four-year- highly residential Yes Semester 46
West Virginia University Full-time four-year- selective- lower transfer-in High undergraduate Large four-year- primarily residential Yes Semester Yes 89
Oklahoma State University-Main Campus Full-time four-year- selective- higher transfer-in High undergraduate Large four-year- primarily residential Yes Semester Yes 65
Oregon State University Full-time four-year- selective- higher transfer-in High undergraduate Large four-year- primarily nonresidential Yes Quarter Yes 69
University of Rhode Island Full-time four-year- selective- higher transfer-in High undergraduate Large four-year- primarily residential Yes Semester 85
Average
Ohio University - Average Difference
*Normalized average of graduation rate, ACT scores, retention, freshmen in top 10% of HS class, freshman acceptance rate, undergraduate FTE, and graduate FTE.
Office of Institutional Research
Interoffice Communication
Date: October 31, 2012
To: The President and Board of Trustees
From: Pamela J. Benoit, Executive Vice President and Provost
Re: Three Year Degree Pathways
There has been much public discussion regarding three year degree pathways. Included in these materials is a look at the Ohio legislation pertaining to the topic and Ohio University’s response to the mandate of the Ohio Board of Regents.
The statute requires that each institution of higher education offering baccalaureate degree programs provide a statement by October 15, 2012, that at least 10% of the eligible programs can be completed within three academic years - Ohio University reported 50%.
I look forward to discussing this with you at the November meeting.
School of Communication Studies Bachelors of Science in Communication
The Ohio University School of Communication Studies (COMS) offers a rigorous liberal arts education, emphasizing the scientific and artistic basis of communication. Using theory and practice, students develop critical thinking, strong written and oral communication skills, effective interpersonal and group communication capabilities, and problem-solving skills that lead to success in any profession.
The curriculum outlined below is a semester-by-semester plan of study for the COMS major in adherence to section 3333.71 of the Revised Code for three-year baccalaureate degrees. Please review this document and the following endnotes to gain a better understanding of program requirements.
Course Subject and Title (Or General Tier/Major Requirement) Credit Upper Min. Total Hours Division Grade Hours Post-Secondary Coursework or Transfer/Advanced Placement Credit: 15 Credit Hours Minimum Ohio Tier I and/or Tier II Requirement Options1 Quantitative Skills – Tier I 3 Freshman Composition – Tier I 3 Applied Science & Mathematics – Tier II 3 Cross-Culture Perspectives – Tier II 3 Fine Arts – Tier II 3 Humanities and Literature – Tier II 3 Natural Sciences – Tier II 3 Social Sciences – Tier II 3 152 Semester One : 15 Credit Hours Ohio Tier I and/or Tier II Requirement (6 of 12 remaining 6 hours) COMS CORE: COMS 1030 Public Speaking3 3 C COMS CORE: COMS 1100 Communication Between Cultures 3 C Related Area Requisite4 3 15 Semester Two: 15 Credit Hours Ohio Tier I and/or Tier II Requirement (6 of 6 remaining 6 hours) COMS CORE: Take Two of Three COMS 2050 Techniques in Group Communication 3 C COMS 2060 Communication and Interpersonal Relationships 3 C COMS 2150 Argumentation Analysis & Advocacy 3 C Related Area Requisite 3 15 Summer A: 12 Credit Hours COMS Elective #15 3 Related Area #1 3 Related Area #2 3 12 Semester Three: 15 Credit Hours THEORY: COMS 2350 Introduction to Communication Theory 3 C COMS RESEARCH: Take One of Three COMS 3420 Field Research Methods in Communication 3 YES COMS 3520 Empirical Research Applications in 3 YES Communication Rhetorical Analysis & Criticism 3 YES Related Area #3 3 General Elective6 3 YES General Elective 3 YES 15 Semester Four: 15 Credit Hours COMS THEORY: Take one of Three (or two of three if both are to count for JE requirement) COMS 3400 Introduction to Health Communication 3 YES COMS 3500 Introduction to Organization Communication 3 YES COMS 3600 Introduction to Communication & Public 3 YES Advocacy Related Area #4 3 YES Related Area #5 3 YES General Elective 3 15 Summer B: 6 Credit Hours Related Area #6 3 YES General Elective 3 6 Semester Five: 15 Credit Hours COMS Elective #2 3 YES COMS Elective #3 3 YES COMS Elective #4 3 Related Area #7 3 General Elective 3 15 Semester Six: 15 Credit Hours COMS 4800 Capstone Seminar in Communication 3 YES COMS Elective #5 3 COMS Elective #6 3 General Elective 3 12 Total 120
1 All Tier I and Tier II Courses can be taken at any time. Since most of the general education courses (Tier courses at OU) easily transfer from institution to institution, we recommend that student plan to take these courses BEFORE taking courses within a major. 2 The estimated number of hours transferred or taken as AP is set at 15. Students with additional AP credits would be allowed to count them (as appropriate) to the 3-year degree pathway. 3 Public Speaking could be taken at another institution or as a Post-Secondary course. 4 Although COMS requires a minimum of six courses for a related area (which can be completed with the completion of a minor or certificate program), many courses of great interest have requisites that must be completed prior to enrollment in upper level courses. Not all minors or certificate programs require 18 hours. Most students complete this requirement with more than the minimum. 5 Although COMS requires three COMS Electives, it is likely that academic advisors will encourage more than the three course minimum. 6 General Electives can come from any department. Academic advisors often encourage an expanded related area and/or a minor/certificate program that will complement the COMS major. Three Year Degree Pathways
Tab Three Year Degree Pathways Ohio Legislation • 3333.43 Statements for three‐year baccalaureate degrees. • This section does not apply to any baccalaureate degree program that is a cooperative education program, as defined in section 3333.71 of the Revised Code. • (A) The chancellor of the Ohio board of regents shall require all state institutions of higher education that offer baccalaureate degrees, as a condition of reauthorization for certification of each baccalaureate program offered by the institution, to submit a statement describing how each major for which the school offers a baccalaureate degree may be completed within three academic years. The chronology of the statement shall begin with the fall semester of a student’s first year of the baccalaureate program. • (B) The statement required under this section may include, but not be limited to, any of the following methods to contribute to earning a baccalaureate degree in three years: • (1) Advanced placement credit; • (2) International baccalaureate program credit; • (3) A waiver of degree and credit‐hour requirements by completion of courses that are widely available at community colleges in the state or through online programs offered by state institutions of higher education or private nonprofit institutions of higher education holding certificates of authorization under Chapter 1713. of the Revised Code, and through courses taken by the student through the post‐secondary enrollment options program under Chapter 3365. of the Revised Code; • (4) Completion of coursework during summer sessions; • (5) A waiver of foreign‐language degree requirements based on a proficiency examination specified by the institution. • (C)(1) Not later than October 15, 2012, each state institution of higher education shall provide statements required under this section for ten per cent of all baccalaureate degree programs offered by the institution. Three Year Degree Pathways Ohio University Program Status
• Total Number of Baccalaureate Programs: 92
• Number of Exempted Baccalaureate Programs (cooperative education programs as defined in section 3333.71 of the Ohio Revised Code): 6
• Number of Eligible Baccalaureate Programs: 86
• Number of Programs that have a posted plan showing how they can be completed within three academic years: 43
• Percentage of eligible programs that can be completed within three years: 50%
• Web address where plans are posted: http://www.ohio.edu/admissions/Three‐Year‐Pathways.cfm
Interoffice Communication
Date: October 31, 2012
To: The President and Board of Trustees
From: Ryan Lombardi, Vice President for Student Affairs (Interim) David Descutner, Executive Vice Provost and Dean
Re: Living Learning Update
Attached please find a narrative update and vision for the living-learning environment at Ohio University. The purpose of this information is to provide background on OHIO’s first-year student experience and the charge to develop an equally robust second-year experience.
First-year Experience Highlights: Learning communities in which 67% of our student population participate Peer education networks that include programs such as orientation, tutoring, and Supplemental Instruction Majors Fair that consists of a broad representation of faculty from every college
Vision for Expanding the Second-year Experience: Programming initiatives for both first and second year students that focus on: Education Abroad, undergraduate research and internships Community service and service-learning initiatives Career planning and post-graduate opportunities
Implementation Plan: Programming can begin during the spring semester while facility transformation will occur throughout the Housing Master Plan Ensure that all future residential housing facilities are conducive to the academic success and personal development of students All residential space should be flexible to meet diverse academic and programmatic needs Building on Strengths: Enhancing Ohio University’s Learning-Living Environments through an Integration of the First-Year and Second-Year Experience
Background Ohio University’s vision is to become the nation’s best transformative learning community where students realize their promise, faculty advance knowledge, staff achieve excellence, and alumni become global leaders. Central to realizing this vision is the university’s continuing progress on the Four Fundamentals, which are (1) Inspired teaching and research; (2) Innovative academic programs; (3) Exemplary student support services; and (4) Integrative co-curricular activities. A core institutional principle is that all of Ohio University’s initiatives, investments, and planning align with and support this mission and the Four Fundamentals, and this principle guides Ohio University’s exploration of how to improve its learning-living environments in preparation for a transformation of the student experience in the residence halls.
Students spend their first two years on the Athens campus in the residence halls. Developing a plan for seamlessly integrating the first and second year experience in ways that create optimal conditions for student success has become an institutional imperative. The University has a good start on addressing this imperative for it has worked effectively over the last eight years to create a coherent, engaging first-year undergraduate experience.
The efforts to improve the first-year have been guided by a commitment to continuous improvement and informed by the national literature on student success. Effective continuous improvement depends on rigorous assessment and using what is learned from such assessment as evidence to drive change and adaptation. Regular and varied assessments of first-year programs and activities conducted by the Office of Institutional Research confirm that progress has been made in the quality of the first-year experience. Furthermore, recent results from the National Survey of Student Engagement show that Ohio University’s gains in first-year student engagement over the last six years are among the most significant for public research universities.
Among the proven high-impact practices for the first-year experience that Ohio University has implemented are the following:
An enhanced, academically-centered orientation where academic and civic expectations for new students are clearly articulated. A robust learning communities program in which 67% of first-year students participate; first- year seminars associated with every learning community, many of which are taught by the participating students’ advisor. A comprehensive peer education network that spans orientation, learning communities, multicultural student retention initiatives, residence halls, tutoring, and Supplemental Instruction. A common intellectual experience aligned with the university’s commitment to sustainability. A Majors Fair involving more than a hundred faculty from nearly every academic program in all of the colleges. Abundant, diverse cultural programming sponsored by the College of Fine Arts and linked to learning communities. Incorporation in Fall 2011 of Map-Works, a software product designed to help advisors identify at-risk students and then intervene early. Initiation of a faculty-based First Year Council with the responsibility to sponsor new first- year initiatives and support ongoing work.
The challenge now is to create a similarly excellent second-year experience that continues the essential partnerships among the colleges and Student Affairs and provides a second year of exemplary support for sophomores’ academic achievement, campus involvement, personal development, and ultimately graduation. The aim of this briefing paper is to demonstrate how Ohio University can build on the strengths of its first-year experience toward the end of meeting this significant challenge. The national literature on student success, and specifically on those high-impact practices with proven efficacy, has driven the university’s decisions on which programs and activities to initiate, and this same approach should guide the effort to improve the second-year experience.
Vision The national literature on student success reports that sophomores encounter different transition and adjustment issues and different academic and social stressors. Sophomores report feeling less connected and valued because the novelty and excitement of the first-year and the dedicated programming and attention focused on first-year students are no longer present. The distinctive transition issues that sophomores face include learning how to link academic progress with career planning, which suggests a pivotal role for the Career and Leadership Development Center, and learning how to take advantage of value-added opportunities such as Education Abroad, undergraduate research, internships, relationships with alumni, community service and service-learning. Among the academic stressors for sophomores are choosing a major, whether they are in the right major and whether they will be able to meet the higher academic standards of advanced courses in their majors. Among the social stressors are whether they will be able to deepen relationships formed in their first year and continue their progress toward individual independence and preparing for increased autonomy in their living environment during junior year.
Central to the efficacy of a more intentionally planned and integrated second-year experience is, where possible, placing new initiatives responsive to sophomore-specific issues and stressors in the residence halls. The results and lessons learned from this approach should influence decisions on the design of renovated and new residence halls. A comprehensive second-year experience, based on recommendations from the national literature and consultations with Student Senate, Assistant Deans, the Living-Learning Planning Committee and other groups, requires a sophomore-specific communication strategy that would use conventional media and social media to create tailored messages and information campaigns. That communication strategy would be responsible for creating awareness of the following initiatives, many of which could be implemented during 2013-14:
Programs each semester in the residence halls for first-year and second-year students centered on Education Abroad and opportunities for undergraduate research and internships. Programs each semester to facilitate first-year and second-year students becoming involved in community service and service-learning. Programs each semester in the residence halls for first-year and second-year students entered on career planning and post-graduate opportunities such as graduate school, Teach for America, the Peace Corps, etc. Programs each semester through which second-year students would be trained to serve as mentors for first-year students. Programs each semester to help first-year and second-year students to develop their emotional intelligence, sense of social and individual responsibility, and understanding of global citizenship. Programs each semester to encourage first-year and second-year students to engage in a process of self-discovery through refining their ability to think critically and reflectively about their beliefs, values, and anticipated career paths. Programs designed to welcome back sophomores and affirm that they are valued members of the university community and residence life system.
Implementation The above recommendations for an integrated first-year and second-year experience could begin to be implemented over the next year, but the long-term potential for truly transforming the student experience in the residence halls resides in the Residential Housing Master Plan. Systematic research into best practices for living-learning environments is underway, and intensive consultation with key campus stakeholders and groups has begun. Among the long- term recommendations already proposed include the following:
All renovation and new construction should be done with a commitment to facilitate community and support student success defined as academic achievement and personal development. Space should be created in a flexible manner to allow for multi-purpose use on each Green that would bring essential services such as academic advising and career advising closer to where students spend most of their time. Conference rooms suitable for first-year and second-year seminars and for diverse forms of advising should be created in residence hall space. Residence halls with themes of specific interest to sophomores such as global education, sustainability, and diversity could be options. Emphasis should be given to community-building opportunities, including common spaces for learning communities to meet and common areas for student interaction. Consideration should be given to increasing the number of professional advisors to ensure that all first-year students meet individually with either a professional advisor or a faculty advisor during their first two semesters. Consideration should be given to expand learning communities so that every first-year student has the opportunity to participate in the program. Living & Learning Update
Two areas of focus in 10‐year Housing Master Plan: facilities and programming 1. How can we be sure our new and/or renovated residence halls support an integrated living and learning environment? 2. What programs will help facilitate continuous growth and transformative learning during the first two years of the OHIO experience?
Living & Learning Update
1. Intentional and inclusive design of interior and exterior of residence halls. • Flexible space (multipurpose) • Seminar and advising space • Themed housing • Common spaces for learning communities 2. Academic and student affairs staff developing operational recommendations and associated costs for specific programs. • What exists vs. what needs to be created? • Increasing professional advisors • Expanding learning communities COLLEGE OF FINE ARTS SCHOOL OF DANCE, FILM AND THEATER
RESOLUTION 2012 --
WHEREAS, the College of Fine Arts seeks to merge the School of Dance, the School of Film and the School of Theater into a single, merged School of Dance, Film and Theater, and
WHEREAS, the proposed merger was recommended by the College of Fine Arts Task Force for the Future of the College and was approved by the University Curricular Council in March, 2012, and
WHEREAS, the merged School will create more flexibility and currency in the curriculum and degree offerings, enhance interdisciplinary curriculum and collaborative projects, and achieve efficiencies across the merged schools.
NOW THEREFORE, BE IT RESOLVED, that the Board of Trustees of Ohio University hereby approves the merged School of Dance, Film and Theater in the College of Fine Arts.
Interoffice Communication
Date: October 31, 2012
To: The President and Board of Trustees
From: Pamela J. Benoit, Executive Vice President and Provost
Re: Proposed Merger of the Schools of Dance, Film and Theater
A resolution and a letter from the Interim Dean of the College of Fine Arts, Madeleine Scott, are attached seeking board approval for merging the individual schools of Dance, Film and Theater into a single School of Dance, Film and Theater. The letter provides information on the rationale for the merger which was approved by the University Curricular Council in March, 2012.
Subject: Proposed Merger of the Schools of Dance, Film and Theater Date: Nov. 15, 2012 To: Provost Pam Benoit From: Madeleine Scott, Interim Dean, College of Fine Arts
The College of Fine Arts seeks Board approval for the merger of the School of Dance, the School of Film and the School of Theater into a single merged School of Dance, Film and Theater. This merger originated as a recommendation of a College of Fine Arts Task Force on the Future of the College instituted by previous dean, Charles McWeeny, and was approved by the University Curricular Council, March 2012. As Interim Dean and former director of Dance and Theater, I concur with the decision to merge these schools.
Our vision places the School of Dance, Film and Theater at the cutting edge in the field with a unique model offering cross‐disciplinary collaboration possibilities for faculty, staff and students, curricular integration and enhanced skill development for graduates to prepare for employment
The merger will create more flexibility and currency in the curriculum and degree offerings in dance, film and theater. We anticipate an energized interdisciplinary curriculum, increased enrollment and enhanced collaborative projects among students and faculty. More innovative sharing of faculty and staff expertise and enhanced use of shared spaces and performances through centralized scheduling are possible through the merger.
We project the merger to be cost neutral in its early stages with projected cost savings in the near future. Cost savings will be realized through multi‐discipline faculty hires that are key to achieving efficiency and to further the evolving identity of the new school. We plan to realize additional efficiencies in staffing through consolidation of school administration and staff, reconfigurations in office management, student services and other administrative functions.
School administrative matters including leadership, shared governance, committee membership, and scheduling will be in place Fall 2013.
Curricular changes to programs and individual courses will be phased in and will pass through the UCC approval process as they are developed. Students and alumni will be involved and informed regarding projected changes throughout the merger process.
Trustee Kevin Lake Audit Committee Chair November 15, 2012
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Jeffrey Davis, CPA, CIA, CISA, CFE
2 Audit Plan Completion FY13 Audit Schedule Ohio Ethics Hotline External Audit RFP
3 Audit Auditor Status Report Date Airport Ennis Completed 7/06/12 Legal Affairs Ries Completed 7/13/12 OIT – Lifecycle Management Ries/Ennis Completed 10/5/12 Chapter 7 Compliance Testing All Completed N/A ICA Compliance Ries/Ennis Completed 9/4/12 OIT Applications – On Base Tong Completed Draft 10/19/12 Communications and Marketing Ennis Completed Draft 10/31/12 University Libraries Ries/Tong Started University College Ennis Not Started Graduate College Ennis/Tong Not Started Undergraduate Admissions Ries/Tong Not Started OIT Applications - SIS Tong Not Started 4 Report Follow-Up Audit Auditor Status Date Procurement Services/Accounts Payable Ries/Ennis Started President’s Office Ries Not Started Printing Resources Ennis Not Started Provost’s Office Davis Not Started Airport Ennis Not Started Legal Affairs Ries Not Started OIT Lifecycle Management Tong Not Started Human Resources Davis Not Started Payroll and Tax Compliance Ries Not Started
5 6 7 Ethics Hotline implemented in February 2006 Contract with Ethics Point located in Portland, Oregon • Ohio higher education clients include Ohio State, Miami, Toledo and Cincinnati Allows for anonymous reporting of concerns Deterrent to fraud Tips are three times more successful than other methods of detecting fraud (43% of study results - 2012 Global Fraud Study)
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No hotline reports were received in FY11 or FY13 Two reports made in FY12 • Both were unsubstantiated 46 reports received from February 2006 through October 31, 2012 • 2 reports resulted in prosecution • 21 unsubstantiated reports • Remaining reports resulted in training or other management action
10 Human Resources • Reports of human resource issues are reported directly to Human Resources Institutional Equity • Reports of discrimination, harassment or disability accessibility are reported directly to Institutional Equity Academic Affairs • Academic inquiries are directed to the relevant Department Chair/School Director or College Dean Student Affairs • Student concerns are reported to specific offices or directly to the Dean of Students 11
Initial evaluation of the report Discuss with Legal Affairs Contact College/Department Inform President’s Office Determine course of action Gather audit documentation Discuss preliminary conclusions with College/Department
12 Inform others who may have a need to know (VP Finance, Dean, CIO, UHR) Determine if IT equipment need to be obtained by OIT security If evidence of criminal activity, contact OUPD Review other areas for which the employee had responsibility (cash collection, Pcard, etc.)
13 Wrap up audit work Propose recommendations to address control weaknesses (if any)
14 15 Plante Moran has completed the last year of our contract University will be going through the process to select an external auditor over the next few months Ohio Auditor of State (AOS) directs the process AOS added University to bid list effective October 1st University will complete the request for proposal once received from AOS
16 AOS provides University a list of independent public accounting (IPA) firms to receive the RFP; we will have the opportunity to add up to two firms to the list Pre-proposal conference will be held with AOS, the University and IPA firms to address questions IPA firms will submit completed proposals to AOS
17 AOS scores the proposals and allocates 95 of the 100 points in the scoring system University may award up to 5 points using our own criteria IPA firms may be asked to provide oral presentations Firm with the highest number of points will be awarded contract by AOS Audit committee will be kept informed of progress with the process
18 Questions?
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Date: October 31, 2012
To: The President and Board of Trustees
From: Chief Audit Executive Jeff Davis, CPA, CIA, CISA, CFE
Subject: Internal Audit Update
Internal Audit will present an update of progress in completing the FY13 work plan at the November 15, 2012 Audit Committee Meeting. Audit plan completion, audit schedule, the Ohio Ethics Hotline and the external audit RFP process will be addressed.
I will be pleased to answer any questions you might have prior to or during the meeting. {The Ohio University}
Audit Committee November 15, 2012 Agenda
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• Ohio University Audit Team Leaders
• Required Communications
• Summary of Audit Differences
• New Pronouncements
• AICPA Clarity Standards
• Appendix – Definitions
PLANTE MORAN Audit Team
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Robert Shenton Audit Partner 614.222.9064 (Columbus) [email protected]
Keith Martinez Manager 614.222.9086 (Columbus) [email protected]
Danny Sklenicka In-Charge 614.222.9133 (Columbus) [email protected]
PLANTE MORAN Required Communications
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• Plante Moran Report • Opinion on FY 2012 financial statements. • Foundation presented as a component unit. • Issued an “unqualified opinion” on the financial statements. • Our second report addresses internal control over financial reporting and compliance and other matters as required by Generally Accepted Governmental Auditing Standards (GAGAS).
• Plante Moran Responsibilities under GAAS and GAGAS • To gain a basic understanding of the internal controls, policies and procedures in order to design an effective and efficient audit approach, not for the purpose of providing assurance on the internal control structure. • To test compliance with certain provisions of laws, regulations, contracts, and grants that have a direct and material effect. • To gain an understanding of internal control over financial reporting. • To express an opinion on the University’s financial statements. • To provide reasonable, not absolute, assurance of detecting material misstatement.
PLANTE MORAN Required Communications (continued)
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• Significant Accounting Policies • The significant accounting policies used by Ohio University are described in the notes, specifically footnote 1, to the financial statements. These existing policies were consistently applied and there were no changes in significant accounting policies to report for fiscal year 2012.
PLANTE MORAN Required Communications (continued)
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• Management Judgments and Accounting Estimates • We are required to report to you amounts in the financial statements that are subject to management’s judgment in what is recorded as well as items, that by their nature, are significant accounting estimates. • Significant estimates made by management include: • The fair value of alternative investments (hedge funds, limited partnerships, etc.), footnote 2. • The allowance for doubtful accounts receivables, footnote 3. • The allowance for doubtful student loan notes receivable, footnote 4. • Accrued self-insurance liabilities including healthcare and dental, footnote 13. • Liability for pollution remediation, footnote 16. • Significant Auditing Adjustments • Management has taken responsibility for passed adjustments as immaterial to the overall financial statements both individually and in the aggregate. We have concurred. Details of passed adjustments are presented on page 10.
PLANTE MORAN Required Communications (continued)
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• Quality of Accounting Policies • Ohio University’s accounting policies are consistent in their application and the information presented in the financial statements and related disclosures is complete and presented clearly. • Disagreements with Management • There were no disagreements with Management on financial accounting and reporting matters. • Consultation with Other Accountants • To the best of our knowledge, Management has had no consultations with other independent accountants regarding accounting or auditing matters or alternative presentations. • Discussion Prior to Retention • All discussions with Management occurred in the normal course of our professional relationship and the responses were not a condition of our retention. This is our fourth year as Ohio University’s auditors. • Management Cooperation • Management cooperated with us and provided us with complete access to the books and records of Ohio University.
PLANTE MORAN Required Communications (continued)
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• Communications with Management • There were no communications with Management other than our engagement letter, Management’s representation letter to us and a management letter. In the course of our audit, the University’s Internal Counsel provided us a schedule of current litigation and similar matters of a significant nature for our review. • Significant Additions to Management’s Representations • There were no significant additions to management’s representations. • Independence • The Plante & Moran audit team was involved with Ohio University throughout the year in the performance of the audits. • Internal Audit • We have received and have reviewed the reports issued throughout fiscal year 2012. • As part of the external audit, Internal Audit staff completed a portion of the Chapter 7 testing of the Ohio Compliance Supplement.
PLANTE MORAN Required Communications (continued)
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• Other Services • Plante Moran completed audits for: • The Ohio University Foundation • Housing for Ohio, Inc. • Inn-Ohio of Athens, Inc. • Russ Research Center LLC • WOUB • NCAA Agreed-upon Procedures • Review of income tax entries, preparation of income tax returns and maintenance of tax and AMT depreciation schedules for Inn-Ohio of Athens, Inc. • Related Party Transactions • Related organizations include The Ohio University Foundation and its subsidiaries.
PLANTE MORAN Summary of Audit Differences
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Client: Ohio University Y/E: 6/30/2012 SUMMARY OF UNRECORDED POSSIBLE ADJUSTMENTS
The effect of misstatements and classification errors identified would be to increase (decrease) the reported nancialamounts statement in the fi categories identified below:
Long-term Impact to Net Ref. # Description of Misstatement Current Assets Long-term AssetsCurrent Liabilities Liabilities Net Assets Revenue Expenses Assets KNOWN MISSTATEMENTS:
A1 To record the interest rate swap in accordance with GASB No. 53$ 1,790,254 $ 1,790,254 A2 To record the amounts for University Medical Associates $ 1,076,568 64,052$ 1,957,393 $ 485,552$ 11,195,168$ 12,497,493$ (1,302,325)
ESTIMATE ADJUSTMENTS:
B1 To record A/P invoices received subsequent to year end that should have been recorded in accounts payable as of June 30, 2012 4,832,600 4,832,600 (4,832,600)
IMPLIED ADJUSTMENTS:
C1 None ------
Total $ 1,076,568 $ 1,854,306$ 6,789,993$ 1,790,254$ 485,552$ 11,195,168$ 17,330,093$ (6,134,925)
PLANTE MORAN New Pronouncements
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Current Year’s Impact – Reporting Changes • GASB 64 – Derivative Instruments: Application of Hedge Accounting Termination Provisions – an amendment of GASB Statement No. 53 • Effective with the fiscal year ending June 30, 2012 • Clarifies whether an effective hedging relationship continues after the replacement of a swap counterparty or a swap counterparty’s credit support provider and sets forth criteria that establish when the effective hedging relationship continues and hedge accounting should continue to be applied
Future Years’ Impact – Reporting Changes • GASB 60 – Accounting and Financial Reporting for Service Concession Arrangements • Effective with the fiscal year ending June 30, 2013. • Required to address financial reporting related to service concession agreements.
PLANTE MORAN New Pronouncements (continued)
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Future Years’ Impact – Reporting Changes (continued) • GASB 61 – The Financial Reporting Entity Omnibus • Effective with the fiscal year ending June 30, 2013. • Required to address modifications to certain requirements for inclusion of component units in the financial reporting entity.
• GASB 62 – Codification of Accounting and Financial Guidance Contained in Pre-November 30, 1989 FASB and AICPA Pronouncements • Effective with the fiscal year ending June 30, 2013. • Certain FASB Statements and Interpretations, APB Opinions, and Accounting Research Bulletins of the AICPA Committee on Accounting Procedure will now be incorporated into GASB literature.
PLANTE MORAN New Pronouncements (continued)
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Future Years’ Impact – Reporting Changes (continued) • GASB 63 – Financial Reporting of Deferred Outflows of Resources, Deferred Inflows of Resources, and Net Position • Effective with the fiscal year ending June 30, 2013. • Defines deferred outflows and inflows of resources as elements of consuming or acquiring net assets by the University that is applicable to a future reporting period. • Incorporates deferred outflows and inflows of resources into the definition of the required components of the residual measure and by renaming that measure as net position. • GASB 65 – Items Previously Reported as Assets and Liabilities • Establishes accounting and financial reporting standards that reclassify, as deferred outflows and inflows of resources, certain items that were previously reported as assets and liabilities. • Provides other financial reporting guidance related to the impact of the financial statement elements deferred outflows of resources and deferred inflows of resources. • Effective for financial statements for the fiscal year ended June 30, 2013.
PLANTE MORAN New Pronouncements (continued)
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Future Years’ Impact – Reporting Changes (continued) • GASB 68 – Accounting and Financial Reporting for Pensions • Requires entities providing defined benefit pensions to recognize their unfunded pension benefit obligation as a liability for the first time, and to more comprehensively and comparably measure the annual costs of pension benefits. The Statement also enhances accountability and transparency through revised note disclosures and required supplementary information (RSI). • Effective for financial statements for the fiscal year ended June 30, 2015.
PLANTE MORAN AICPA Clarity Standards
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Clarity Standards – Change in Auditing Standards • The Auditing Standards Board of the American Institute of Certified Public Accountants undertook its Clarity Project to make existing U.S. auditing standards easier to understand and apply, and to converge, to the extent possible, U.S. generally accepted auditing standards with International Standards on Auditing issued by the International Auditing and Assurance Standards Board. • So far, 47 sections of the new auditing standards have been issued, with 3 more sections anticipated to be finalized in the next few months. • Expect additional time meeting the new Group Audit standards, requiring Plante Moran input into the audit planning and testing of component units and joint ventures – including meeting with the auditors of related entities. • These additional requirements will increase the time required to complete future audit engagements. • Effective for financial statements for the fiscal year ended June 30, 2013.
PLANTE MORAN Appendix- Definitions
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• Control Deficiency • A deficiency in internal control exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect and correct misstatements on a timely basis. Control deficiencies may involve one or more of the five interrelated components of internal control. • Significant Deficiency • A significant deficiency is a deficiency, or combination of deficiencies, in internal control that is less severe than a material weakness, yet important enough to merit attention by those charged with governance.
• Material Weakness • A material weakness is a deficiency, or a combination of deficiencies, in internal control such that there is a reasonable possibility that a material misstatement of the entity’s financial statements will not be prevented or detected and corrected on a timely basis. • FASB • Financial Accounting Standards Board is the governing accounting body that issues reporting pronouncements for private sector organizations. The Foundation prepares its financial statements in accordance with these pronouncements and guidance.
• Fraud • The term “fraud” includes “misstatements” arising from fraudulent financial reporting and misstatements arising from misappropriation of assets. • “Misstatements” arising from “fraudulent financial reporting” are intentional misstatements, or omissions of amounts or disclosures in financial statements intended to deceive financial statement users. • “Misstatements” arising from “misappropriation of assets” involve the theft of assets where the effect of the theft causes the financial statements not to be presented in conformity with GAAP. • The University is responsible for the design and implementation of programs and controls to prevent and detect fraud.
PLANTE MORAN Appendix- Definitions
17 • GAAP • Generally Accepted Accounting Principles. Used by almost all entities in the USA to prepare periodic financial statements.
• GAAS • Generally Accepted Auditing Standards. The standards that govern the conduct of independent audits of non-public companies, as determined by the Auditing Standards Board (ASB) of the AICPA.
• GAGAS • Generally Accepted Governmental Auditing Standards. Informally known as “Yellow Book”, these standards guide all audits of governmental units.
• Unqualified Opinion • A signed representation by an auditor as to the reliability and fairness of a set of financial statements. The opinion could be qualified, unqualified, except for or adverse. For the Foundation, the opinion is unqualified which is the best opinion to have from an auditor.
• Auditor Opinion Date • The date the audit is completed and the auditor can provide their opinion. This is defined as the date the audit fieldwork and reviews are completed and the date management has reviewed the financial statements and provided a signed representation letter to the auditors.
• Material Misstatement • To present accidental or intentional untrue financial statement information that influences a company’s value and such.
• Significant Adjustments • A material error in financial reporting discovered by the auditor during performance of their audit fieldwork which was large enough that it was required to be booked to the financial statements and disclosed to the audit committee or board.
• Passed Adjustments • A summary of proposed account adjustments not recorded by management and reviewed by auditors and determined, individually or in the aggregate, not to have a significant effect on the financial reporting process and therefore they are not recorded in the financial statements. PLANTE MORAN Appendix- Definitions
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• Allowance • An estimate determined by management, for instance, of the amount of pledges receivables at June 30 not expected to be received.
• 990T • Corporate income tax form for exempt organization unrelated income. This primarily relates to income earned on limited partnerships that is considered taxable by the IRS (real estate and natural resources), and non-educational use of institutional property.
• Uniform Prudent Management of Institutional Funds Act (UPMIFA) • UPMIFA provides guidance and authority to charitable organizations concerning the management and investment of funds held by those organizations and imposes additional duties on those who manage and invest charitable funds. The objective is these duties will provide additional protections for charities and also protect the interests of donors who want to see their contributions used wisely.
• Statement on Auditing Standards No. 115 (SAS 115) – Communicating Internal Control-Related Matters Identified in an Audit (Formerly SAS 112) • Establishes requirements and provides guidance on communicating matters related to the Foundation’s internal control over financial reporting identified during the audit of the financial statements. Depending on the severity of the issue, the internal control matter can be classified as a control deficiency, a significant deficiency or a material weakness. The revised definitions of these items per SAS 115 are included on page 14.
• Statement on Auditing Standards No. 114 (SAS 114) – The Auditor’s Communication with Those Charged with Governance • Requires two-way communications with those charged with governance (The Ohio University Audit Committee) before and after the audit. • Defines primary subjects required to be communicated.
PLANTE MORAN {Thank you}
We appreciate the opportunity to serve Ohio University.
Date: October 31, 2012
To: The President and Board of Trustees
From: Chief Audit Executive Jeff Davis, CPA, CIA, CISA, CFE
Subject: Internal Audit Update
Plante Moran, the University’s external auditor, will present on the recently completed FY12 external audit. Robert Shenton and Keith Martinez from Plante Moran will be available to answer questions.
I will be pleased to answer any questions you might have prior to or during the meeting.
Interoffice Communication
Date: October 31, 2012
To: The President and Board of Trustees
From: Stephen T. Golding, Vice President for Finance and Administration, CFO and Treasurer
Re: Ohio University’s Fiscal Cliff
In his 2007 article Risk and Rewards of Academic Capitalism and the Effects of Presidential Leadership in the Entrepreneurial University, Ira Rubins reports that “Today public higher education is caught on the horns of a dilemma, for, although the public expects – indeed, demands–broad access to high-quality public education, it is unwilling to pay for this benefit either through taxes or tuition.
This reality in Rubins’ view means that “(A)merican Universities are currently facing a multitude of new, critical issues that impact core structures, threaten their traditional missions, and could affect their very existence, as they are known. Rubins believes there are four key converging trends that are leading to profound changes in higher education. These key trends are:
Demands for participation which are changing student entry from elite to mass to universal – higher education is becoming an entitlement Increasing demands from business and industry for “exact” requirements of knowledge and skills not provided by post-secondary education – workforce readiness competencies Government and private sector increasingly looking to higher education to assist in solving societal problems – with a special emphasis on economic development and technological progress The accelerating growth of knowledge and its globalization – challenging universities to remain relevant and meet the needs of its students, region and state
As we think about these challenges and the impact that they have on higher education nationally, it is becoming clearer that we are facing a new set of realities. The attached PowerPoint presentation is intended to initiate a dialogue around some of these new realities and to engage the Board of Trustees in a discussion as to how might we better position Ohio University to withstand the forces of change in the coming years. As you review the attached presentation and prepare for the discussion it is hoped to engender, you may want to consider the following questions. What is the most significant obstacle that you see to providing the most affordable quality education to the unique subset of students seeking an OHIO education? How long do you believe a tuition driven business model for Ohio University is sustainable? What is the alternative? If the State of Ohio cannot provide the historical operating and capital support to its public universities, are there strategies you believe Ohio University should be developing to protect core academic programs and services while maintaining institutional affordability and insuring student accessibility? Do you believe students and their families should pay for a portion of their university education going forward? At what level? How does a smart growth strategy move the university toward an alternative business model?
We look forward to discussing these and other question at the November 15th meeting.
OHIO UNIVERSITY’S FISCAL CLIFF – PART 1
Board of Trustees Presentation November 15, 2012 Pan Benoit, Executive Vice President and Provost Steve Golding, Vice President for Finance and Administration Overview
• Introduction • National Trends • Ohio University Historical Comparisons • Ohio University Economic Reality • Defining the Problem • Tuition Concepts • General Discussion Introduction
This side of calamities of war, fire and earthquakes, and representative governmental tyranny, the future of universities rests in their self-reliance. The study of modern academic entrepreneurialism teaches, and teaches well, that one by one, as the twenty-first century unfolds, universities will largely get what they deserve. The lucky ones will have built the institutional habits of change. B.R. Clark Delineating the Character of the Entrepreneurial University National Trends
• The College Board Advocacy & Policy Center 2011 “Trends in College Pricing” Report found that: • Increases in college prices for 2011-12 academic year reflect the influences of a weak economy and state funding that has not kept pace with the growth in college enrollments • State appropriations per full-time equivalent (FTE) student declined by 9% in constant dollars in 2008-09, by another 6% in 2009-10, and by 4% in 2010-11 • Over the past decade from 2001-02 to 2011-12, published tuition and fees for in-state students at public four-year colleges and universities increased at an average rate of 5.6% per year beyond the rate of general inflation. This rate of increase compares to 4.5% per year in the 1980’s and 3.2% per year in the 1990’s • Over the past five years, in-state tuition and fees at Ohio’s public universities rose an average of 3 percent, the second lowest increase in the country National Trends
• The College Board Advocacy & Policy Center 2011 “Trends in College Pricing” Report further found that: • Half of all full-time students at public and private nonprofit four year colleges attend institutions charging tuition and fees of $9,936 or less • In 2011-12, full-time undergraduates received an estimated average of about $5,750 in grant aid from all sources and federal tax benefits at public four-year institutions leaving them with an average net tuition and fee price of $2,900 • Ohio students graduate with an average debt burden of $28,683 National Trends • The article, “State Funding: A Race to the Bottom”, found: • Despite steadily growing student demand for higher education since the mid-1970’s, state fiscal investments in higher education have been in retreat since about 1980 • State support for higher education totaled $76.4 billion in 2011 – or on average $6.30 per $1000 of state personal income – down from a peak of $10.58 in FY1976 – a decline of approximately 40.2% • Based on the trends since 1980 - on average – state fiscal support for higher education will reach zero by 2059 • The Report projects that support for higher education in Ohio would be at zero in 2090, but if one adjusts the trend line to reflect actual data from FY 2000 – zero would be reached in 2039 OU’s FY 2012 & 2013 Comparative Summary
• Instate Tuition and Fees – $10,216 • Total Cost of Attendance – $23,528 • Average Financial Aid Grant – $5,192 • Average Financial Aid Grant & Loan – $8,247 • Average Out-of-Pocket Expense – $1,689 • Average Debt Burden – $26,909 • Ohio’s Tuition & Fee Five-Year Average – 2.8% • Percentage of Students Receiving Aid – 71% • Percentage of Students with Loans – 69% 8 Student Financial Aid Tuition and Fees “Out of Pocket” Costs - 2011-12 Undergraduate Students with Need
Published Tuition and * Includes Federal Grants, State Fees- Grants, Federal Stafford Loans and “Sticker Price” Institutional Grants/Scholarships $9,936 Ohio Schools Comparison Average Indebtedness for Students Who Borrow– 2011 Graduates
$32,000
$28,000
$24,000
$20,000
$16,000
$12,000
$8,000
$4,000
$0 BGSU KSU UT UC Miami OU OSU UA Indebtedness $33,083 $29,842 $28,438 $27,593 $27,178 $26,909 $24,840 $22,096 Ohio Schools Comparison Average Indebtedness for Students Who Borrow – 2010-11
$32,000
$28,000
$24,000
$20,000
$16,000
$12,000
$8,000
$4,000
$0 BGSU KSU UT Miami UC OU OSU UA Indebtedness $31,515 $28,186 $27,378 $27,315 $26,462 $25,330 $22,830 $19,000 OHIO’s E&G Budget Reality
• Sixty-six percent of OHIO’s budget revenues come from the State Share of Instruction (SSI) and tuition • Ninety-five percent of OHIO’s E&G budget revenues come from SSI and tuition • Over the past decade OHIO’s SSI subsidy has declined both on a per student basis and in total • The combination of SSI and tuition in constant dollars today on a per student basis equates to what OHIO received in FY 2001 • SSI revenues would have declined even further if not for an increase in students and the development of new programs such as Distance Education and E-Learning
OU’s SSI and Tuition Trend Lines
Subsidy Per Tuition Per Total Per Student – Student – Student – Nominal $ Nominal $ Nominal $ Inflation Fiscal Year 2001 $5,551 $6,194 $12,793 Fiscal Year 2002 $5,223 $6,714 $13,133 2.66% Fiscal Year 2003 $4,952 $7,635 $13,671 4.09% Fiscal Year 2004 $4,988 $8,606 $14,881 8.85% Fiscal Year 2005 $4,921 $9,272 $15,494 4.12% Fiscal Year 2006 $4,809 $9,646 $15,945 2.92% Fiscal Year 2007 $4,642 $10,314 $16,572 3.93% Fiscal Year 2008 $4,759 $10,404 $16,722 0.90% Fiscal Year 2009 $5,551 $10,754 $17,203 2.88% Fiscal Year 2010 $5,380 $10,554 $17,127 -0.44% Fiscal Year 2011 $4,766 $11,064 $17,057 -0.40% Fiscal Year 2012 $4,539 $11,444 $16,760 -1.74% Total Change ($1,012) $5,250 $3,967 31.0% OU’s SSI and Tuition Buying Power
Subsidy Per Tuition Per Total Per Student – Student – Student – Inflation – Constant $ Constant $ Constant $ Constant $ Fiscal Year 2001 $5,551 $6,194 $12,793 Fiscal Year 2002 $5,140 $6,608 $12,904 0.87% Fiscal Year 2003 $4,765 $7,346 $13,144 1.86% Fiscal Year 2004 $4,673 $8,062 $14,004 6.54% Fiscal Year 2005 $4,458 $8,401 $14,152 1.06% Fiscal Year 2006 $4,222 $8,469 $14,030 -0.86% Fiscal Year 2007 $3,964 $8,809 $14,214 1.31% Fiscal Year 2008 $3,916 $8,560 $13,831 -2.70% Fiscal Year 2009 $4,221 $8,883 $14,032 1.45% Fiscal Year 2010 $4,374 $8,581 $13,824 -1.48% Fiscal Year 2011 $3,755 $8,717 $13,367 -3.30% Fiscal Year 2012 $3,465 $8,736 $12,795 -4.28% Total Change ($2,086) $2,542 $2 0.00% OU’s Model Tuition Driven Business Subsidy – Tuition – Other – Total – % % Tuition % Other Nominal $ Nominal $ Nominal $ Nominal $ Subsidy
FY2001 $104,973 $117,139 $19,818 $241,930 43% 48% 8%
FY2002 $100,467 $129,160 $23,010 $252,637 40% 51% 9%
FY2003 $96,696 $149,084 $21,151 $266,931 36% 56% 8%
FY2004 $97,453 $168,136 $25,137 $290,726 34% 58% 9%
FY2005 $94,844 $178,734 $25,075 $298,657 32% 60% 8%
FY2006 $92,792 $186,127 $28,747 $307,666 30% 60% 9%
FY2007 $91,596 $203,324 $31,858 $326,688 28% 62% 10%
FY2008 $94,773 $207,165 $31,042 $332,980 28% 62% 9%
FY2009 $102,661 $216,056 $26,902 $345,619 30% 63% 8%
FY2010 $111,472 $218,668, $24,705 $354,845 31% 62% 7%
FY2011 $98,815 $229,418 $25,453 $353,686 28% 65% 7%
FY2012 $94,536 $238,351 $16,118 $349,057 27% 68% 5%
Total ($10,437) $121,212 ($3,700) $107,127 (10%) 103.4% (18.7%) Change OU’s E&G Decade Revenue Trend Line Subsidy – Tuition – Other – Total – % % Tuition % Other Constant Constant Constant Constant Subsidy $ $ $ $ FY2001 $104,973 $117,139 $19,818 $241,930 43% 48% 8%
FY2002 $98,885 $127,126 $22,648 $248,242 40% 51% 9%
FY2003 $93,033 $143,437 $20,350 $256,646 36% 56% 8%
FY2004 $91,297 $157,515 $23,549 $273,588 34% 58% 9%
FY2005 $85,935 $161,937 $22,719 $272,794 32% 60% 8%
FY2006 $81,465 $163,407 $25,238 $270,714 30% 60% 9%
FY2007 $78,148 $173,642 $27,207 $280,205 28% 62% 10%
FY2008 $77,975 $170,446 $25,540 $275,411 28% 62% 9%
FY2009 $84,804 $178,475 $22,223 $281,915 30% 63% 8%
FY2010 $90,632 $177,788 $20,086 $286,421 31% 62% 7%
FY2011 $77,850 $180,744 $20,053 $277,170 28% 65% 7%
FY2012 $72,170 $181,959 $12,358 $266,487 31% 62% 7%
Total ($32,803) $64,820 ($7,460) $24,557 (31.3%) 55.3% (37.7%) Change
OHIO’s Economic Reality
• OHIO is becoming a tuition driven business model • Historically no one revenue source has been able to cover the University’s operating costs by itself • OHIO needs multiple stable revenue streams to preserve and protect academic quality, meet annual operating costs and maintain its physical infrastructure
Ohio’s Economic Reality • One Percent Increase in Financial Aid – $262K • One Percent Salary Increase – $2.1M • One Percent Health Care Increase – $381K • One Percent Non-Health care Benefit Increase – $342K • Biannual Debt Service Increase – $8M • Heating Plant Increase – $1.5M • One Percent Utility Increase – $175K • One Percent Inflationary Increase – $1.2M • Over the past decade – even with $75 million in budget cuts – the University has required on average budgetary increases of approximately 2.5% - 3.0% or $10 – $12 million in order to fund its E&G Budget OHIO’s Challenge • Ohio University leadership believes a tuition driven business model is unsustainable • Leadership believes this model is unsustainable because: • Tuition by itself cannot generate sufficient dollars to cover both the family share and the state share of the future cost of a higher education degree • A tuition growth model fueled by future increases in personal debt will be constrained by the availability of capital to support increases in student and family debt • A tuition growth model fueled by future increases in personal debt will be constrained by the strength of labor markets and the earning power of university graduates • Current economic data shows that families disposable income is declining, putting more pressure on universities to offer financial aid packages to offset tuition increases which are unaffordable and unsustainable over time OHIO’s Fiscal Cliff • Ohio cannot grow its way out of the economic constraints we are experiencing today • OHIO cannot cut its way out of the economic constraints we are experiencing today • A fundamental question facing OHIO University today regarding future tuition revenue streams therefore is: • What proportion of the cost of an OHIO education should students and their families bear going forward? • Are there alternative tuition concepts that OHIO should be considering to reduce the financial impact on students and their families? Tuition Pricing
• In-state tuition and fees at Ohio’s 4 year publics increased an average of 3% in the last 5 years. Second lowest increase in the country after Maryland. (Columbus Dispatch, October 24, 2012) • Factors Influencing Tuition Pricing: • State appropriations • Prior Year’s Tuition • Institutional mission • Tuition charged by peer institutions • Financial Aid • Cost of instruction (SHEEO, February 2011) Differential Tuition
• What is it? • Variable tuition based on major, program, college, or class standing • Factors Used in Determining Differential Tuition • Graduate Starting Salaries • Average Student Debt Load • Tuition rates at peer institutions • Existing student demand • Program costs Differential Tuition
• Benefits • Provide new services • Support new majors • Address program costs • Respond to market demand for new degrees Differential Tuition
• Concerns • Students would choose majors based on cost • Financial impact to students and their families • Concern about how this relates to the value placed on access • Requires a culture change Differential Tuition
• Who has implemented this model? • Business, Engineering most common • 143 public academic institutions offer some form of differential tuition (CHERI Study) • 41% of all doctoral institutions have differential tuition • Typically by college or major • Most common majors: Business, Engineering, Nursing • Significant increase in the number of institutions implementing differential tuition • UVA McIntire School of Commerce; University of Tennessee (Business); University of Nebraska (Engineering and Business); Miami University (Business) Guaranteed Tuition
• What is it? • Guaranteed tuition rate for undergraduate students for 4 years that remains the same • Fees, room and board, and other non-tuition expenses are often not included • Some universities limit the guarantee to particular groups of students (e.g., Non-resident) • Tuition rate set for 4 years makes revenue projections as well as savings that would be likely to accrue to students Guaranteed Tuition
• Benefits • Predictability • Total costs below compounded costs over 4 years • Immunity from tuition increases for 4 years • Incentive to graduate in 4 years (tuition goes up to that of next cohort in year 5) Guaranteed Tuition
• Concerns • Size of the initial rate-overestimation of costs • To keep revenue consistent-higher than normal increase needed in early years • Doesn’t work in an environment with no tuition increases each year • Communication essential to explain to students and families • Some universities have abandoned guaranteed tuition programs (Georgia, Pace University, Central Michigan University) • Requires state approval Guaranteed Tuition
• Who has implemented this model? • University of Colorado • George Washington University • University of Texas at Dallas • University of Kansas Discussion OHIO UNIVERSITY’S FISCAL CLIFF – PART 2
Board of Trustees Presentation November 15, 2012 Pan Benoit, Executive Vice President and Provost Steve Golding, Vice President for Finance and Administration Overview
• Smart Growth Example • General Discussion
Space Planning Principles Ohio University has had a long-standing philosophy of preserving our core Athens campus space for academic activities and initiatives. Recently as part of our overall space planning efforts, principles were established to support this philosophy: Instructional facilities and other direct academic support activities will be given highest priority at the center of campus. Space associated with service and non-academic administrative activities that do not require easy access for students shall be located on the perimeter of campus. The University will develop strategies to help maximize the overall efficiency of space used for administrative activities.
These principles will help us meet increasing academic space needs and will create the opportunity to reduce operating expenses by: Freeing-up core campus space for academic programs and student services. Reducing our administrative footprint. Improving customer service and process efficiency.
Space Planning Principles
Reference 3.2: The university will maximize the efficiency of administrative space: The users and occupants of centrally owned administrative spaces are expected to use their spaces in a most efficient manner to reduce the fiscal burden on those units who bring in revenue to ultimately support these space costs.
Reference 6.2: Space associated with service and non-academic administrative activities shall be located on the perimeter of campus. Offices with high interaction with external public and requiring community parking shall also be on the perimeter of campus. (i.e. child care, clinics, recreation facilities)
Administrative Space Strategy
PERIMETER CAMPUS & COMMUNITY
SERVICE CENTER AREA
CORE CAMPUS Open up space on campus for Academic and Student Focused Activities
Summary of Academic Space Needs
• Number and size of Academic Programs have expanded over the past several years.
• Increase in demand for research and collaboration spaces.
• Today’s academic teaching models require more space than the standard classroom model.
• Lack of move-in ready space for immediate program expansion needs.
• Problem solving applications-Team project work spaces for students. College of Business: College of Fine Arts: 45,000+ GSF need: Consolidate programs from spaces across Increase in graduate and entrepreneurial campus: Interior Architecture, Graduate centers/programs Art Studios, Etc.: Increased program needs:
College of Education 50,000+ additional GSF identified.
College of Engineering: Enrollment: Admissions: Research space needed. 40,000+GSF need in multiple disciplines
College of Arts and Sciences: OPIE 16,000 additional GSF need. College of Health Sciences and Professions: Approximately 30,000 GSF consolidated space need. 40,000+GSF need in multiple disciplines
College of Arts and Sciences: Research 80,000+GSF of modern laboratory/research space needed.
Voinovich School of Leadership and Public Affairs: Development of undergraduate programming. Integrated and immersive learning spaces needed.
Academic and Student Space Needs across the Campus Administrative Space Strategy
Project Goals:
Free-up core campus for academic programs and student services: Viable solutions to growth needs of COB, Voinovich, OPIE Pursue enhanced student service presence (e.g. admissions)
Reduce administrative footprint: Operating expense savings Capital cost avoidance
Create administrative service complex, improving customer service & process efficiency: Front-door service center OIT/Finance/HR “One-Stop Shop” area APD/OUPD police center
Administrative Space Strategy DRAFT: 10-05-12
Project Goals: Savings on core campus: Free-up core campus for academic programs and student services: Examples of core campus administrative locations Viable solutions to growth needs of COB, Voinovich, OPIE and capital cost avoidance: Pursue enhanced student service presence (e.g. admissions)
Building Department NASF Annual Savings Reduce administrative footprint: Scott Quad OUPD 4,969 $ 181,208 Operating expense savings Scott Quad Univ. Comm Marketing 8,442 $ 307,861 Capital cost avoidance CSC OIT 18,233 $ 664,917 Ridges Design & Construction 7,800 $ 284,449 McGuffey Advancement 4,919 $ 179,385 Create administrative service complex, improving customer service & process McKee House Advancement 4,114 $ 150,028 efficiency: WUSOC Loss of Rents $ (221,854) Front-door service center 48,477 $ 1,545,994 OIT/Finance/HR “One-Stop Shop” area APD/OUPD police center Debt Supported by Savings $ 25,182,532
Preliminary Project Estimate: Academic space needs across the campus are abundant. Administrative units are WUSOC Renovation: $23MM occupying valuable space that can be made available for academic functions. HRTC Repurpose: $.5MM We have opportunity to revitalize inefficiently utilized space within an existing Moving Expenses: $.5MM resource: West Union Street Office Center and surrounding facilities by Total Cost: $24MM consolidation of, and efficient space design for administrative units. We can then begin leveraging space on our campus’s core to begin meeting changing academic needs.
Requested Next Steps: CF&PC approval to consider moving WUSOC Renovation up in the 6 Year CIP; Approval and Leadership support to study administrative consolidation and space reduction; Consideration of our financial model and review of ability to leverage existing University resources West Union Street Office Center: GSF: 110,000 NASF: 83,000 Bromley: Student Affairs-Capital Planning Current Occupants: OIT, Finance, and Residential Housing 2,000 GSF University Advancement, Internal Audit, Non-University Tenants Chubb Hall: Student Affairs-- Residential Housing NASF: 3,000
McKee House: 6,495 GSF 4,114 NASF
Konneker Alumni: 6,495 GSF 4,114 NASF
Scott Quad: OUPD 5,000 NASF Computer Service Center GSF: 44,495 NASF: 25,060
Current Occupants: • OIT 1st and 3rd floors: 10,569 NASF • OIT Data Center: 6,827 NASF • Institutional Research: 1,500 NASF • College of Business: 4,500 NASF Scott Quad: University Communications and Marketing NASF: 8,442
McGuffey Hall: University Advancement GSF: 7,838 NASF: 4,919 Non-academic administrative units that may be relocated off of core campus: • Legal Affairs from Lindley • OIT from CSC • University Advancement from several locations • OUPD from Scott Quad • University Communications and Marketing from Scott Quad
Administrative Unit Locations on Campus Administrative Service Center Complex
Non-OHIO property-Residential & Commercial
West Union Street Office Center
H.R. Training Center
University Service Center: Facilities and Risk Management & Safety Discussion