Guidelines for Resource Managers

MANAGER’S QUICK GUIDE

Provided by: DIVISION OF UNIVERSITY OPERATIONS

Business and Financial Services Office of Equal Opportunity

Central Receiving/Mail Service Office of Policy and Compliance

Contracting Services Office of Risk Management and Insurance

Environmental Health Services Ombuds and Employee Assistance Program

Facilities Management Parking Services

Financial System Services Police Department

Human Resource Services Purchasing Department

Office of Budgets Training & Organizational Development WELCOME

So, you are new to Colorado State University, or perhaps you are a seasoned veteran who suddenly has new responsibilities. Let’s say an assistant stops by with this request. "I’m taking a new research associate to lunch to discuss access to the lab, use of the Student Rec Center, and some other stuff she needs to know. I’ll charge the lunch on my PCARD, but, I have a couple questions. Is it okay for that to be paid out of the grant she’s working on? Do I need an IMO or a JE to move the funds? Also, that new post-doc and I will pick up that monitor for the computer lab on the way back. It'll run a little more than $400. Can I purchase that with my PCARD too or do I have to do that online?" OK, you realize there are some issues here, but you’re not sure what the rules are for buying meals with University funds, let alone grant funds, and you know there’s something out there about preferred suppliers of computer equipment, but you don’t know exactly where to look for that—and, you’re busy! You don’t want to have to start searching the web to figure this stuff out every time it comes up.

Instead of reaching for an aspirin, try this guide. It is designed to provide Colorado State University managers with an easy-to-use reference for general overviews of financial information, human resources, purchasing procedures, and other information.

If you don’t find the answer to what you need in this guide, you will find references to the laws, regulations, and policies that guide the University’s business practices. These principle resources, which include the Academic Faculty and Administrative Professional Manual (“AF/AP Manual”), Human Resources Manual (“HRS Manual”), and Purchasing Manual, to name just a few, are all online and easy to find. You will find current versions of these documents in the CSU Policy Library and on various Colorado State University web pages. These manuals provide full details on the procedures briefly outlined in this guide, as well as the proper forms and rules for correct handling of all appointments, fund groups, and purchases. The purpose of this Guide is to provide quick answers to some of the more frequently asked questions, and to guide the reader to more detailed authorities when needed.

As managers of University resources, we have special responsibilities. These include: making sure the money we control is spent properly; watching out for any conflicts of interest; assuring that University resources are not used for private or personal purposes; protecting equipment and other institutional assets against loss, theft, or damage; and placing the overall interests of Colorado State University above those of a particular program, office, or individual. We also owe our colleagues support and encouragement to help them develop to their full potential. We should support shared governance by encouraging openness and participation in decision-making. If we do these things, we will help the University achieve excellence in all of its endeavors, avoid unnecessary conflicts in the workplace, and help create a happier and more productive work environment. These aims are outlined in more detail in the General Resource Management section of this guide.

Manager’s Quick Guide Page i ABOUT THE DIVISION OF UNIVERSITY OPERATIONS

The Division of University Operations was created in 2009 as the outgrowth of the former Division of Administrative Services. DUO is headed by the Vice President for University Operations (VPUO). DUO provides infrastructure, systems and services to support the University’s instructional, research, and engagement missions. The Division includes University departments responsible for meeting essential institutional needs such as safety and security, policy development and compliance, budgeting and finances, personnel, procurement, contracting, buildings and infrastructure planning, construction, and maintenance, insurance and risk management, and staff support and development.

The departments within DUO are listed on the cover page of this Guide. Several of these departments—Purchasing, Business & Financial Services, Financial System Services, and the Office of Budgets—are further organized under the Associate Vice President for Finance and Budget.

DUO’s mission, and that of its respective departments, is first and foremost to support and assist the institution’s academic core. This means that the institution itself, including its academic departments agencies, centers and institutes,—and of course, its students and employees—are our customers. Customer service is central to our identity and all that we do. As the operational arm of a world-class educational institution, DUO must deliver world-class service. When we fail to do so, we want to know about it; so, any question, problem, or concern about any of the services that DUO provides, or anything in this Manual, is important to us. The contact information and resources provided in this Guide are there for you, the reader, to use to support and advance your own department’s mission and success.

HOW TO USE THIS GUIDE

This guide book is designed to be accessed primarily online. It contains numerous hyperlinks to reference materials, CSU websites, and contacts. For those who prefer to use a printed version, these hyperlinks are listed in the Index at the end of the guide.

Manager’s Quick Guide Page ii TABLE OF CONTENTS

TABLE OF CONTENTS...... iii Chapter 1 INTRODUCTION...... 1 Section 1.1 What is a Resource Manager?...... 1 Section 1.2 Principles that Apply to All Resources...... 1 1.2.1 Protection of Resources...... 1 1.2.2 Signature Authorization...... 2 Section 1.3 Conflicts of Interest and Personal Use of Resources...... 2 1.3.1 Use of University Resources...... 2 1.3.2 Conflicts of Interest...... 3 Section 1.4 Governmental Immunity and Limits on Liability...... 4 Section 1.5 University Records...... 5 1.5.1 Requests for Disclosure of University Records and Information (Open Records Act). .5 1.5.2 Retention of Records...... 5 1.5.3 Privacy and Security of University Records...... 6 Chapter 2 HUMAN RESOURCES, TRAINING AND DEVELOPMENT...... 8 Section 2.1 Introduction...... 8 Section 2.2 Classification of Employees...... 8 2.2.1 Academic Faculty...... 9 2.2.2 Administrative Professional Staff...... 11 2.2.3 State Classified Personnel...... 12 2.2.4 Graduate Assistants...... 13 2.2.5 Post-Doctoral Fellows...... 13 2.2.6 Student Employees...... 13 2.2.7 Non-Student Hourly Employees...... 14 Section 2.3 Independent Contractors...... 14 Section 2.4 Volunteer Services...... 15 Section 2.5 Overtime...... 15 Section 2.6 Supplemental Pay...... 15 Section 2.7 Annual Performance Evaluations...... 16 Section 2.8 Training and Organizational Development...... 16 Chapter 3 CAMPUS COMMUNITY, EQUITY AND NON-DISCRIMINATION...... 18 Section 3.1 Equal Opportunity...... 19 Section 3.2 University Ombuds and Employee Assistance Program...... 20 Section 3.3 CSU’s Commitment to Campus...... 21 3.3.1 Employee Appreciation Benefits...... 21 3.3.2 Accommodations for Nursing Mothers...... 21 Chapter 4 FINANCIAL RESOURCES AND CONTROLS...... 22 Section 4.1 Budget Management...... 22 Section 4.2 The Purchasing Process...... 23 4.2.1 Purchasing Procedures...... 23 4.2.2 Purchasing Documents...... 26 4.2.3 Price Agreements...... 27 4.2.4 Delivery of Materials/Payment of Invoices...... 27 4.2.5 Public Purchasing Records and Confidentiality Considerations...... 27 Section 4.3 Contracts...... 28 4.3.1 What is a Contract?...... 28 4.3.2 Procurement of Personal Services...... 29 Section 4.4 Cash Receipts and Management...... 30 4.4.1 Cash and Negotiable Instruments...... 30 4.4.2 Fiscal Rules, Policies and Procedures...... 31 Section 4.5 Fund and Account Structure...... 31 Section 4.6 Importance of Accurate Financial Information...... 33 Manager’s Quick Guide Page iii Section 4.7 Travel...... 34 Section 4.8 Expenses for University Promotion and Development (Official Functions)...... 35 Section 4.9 Payments to Students or Nonresident Aliens...... 35 Section 4.10 Property and Equipment Management and Accounting...... 36 4.10.1 Property Management...... 36 4.10.2 Disposition of Property...... 37 4.10.3 Damage to or Loss of CSU Property...... 37 Chapter 5 FACILITIES, BUILDINGS, GROUNDS, CENTRAL RECEIVING, AND PARKING...... 38 Section 5.1 Building Proctors...... 38 Section 5.2 General Information about University Facilities...... 38 5.2.1 Capital Improvements, Remodeling, and Equipment Installation or Relocation...... 39 5.2.2 University Space Allocation...... 39 5.2.3 Building Access and Security...... 40 5.2.4 Transportation Services/Motor Pool...... 40 Section 5.3 University Parking Services...... 41 Section 5.4 Central Receiving, Mail Services, and Surplus Property...... 42 5.4.1 Central Receiving and Mail Services...... 42 5.4.2 Surplus Property...... 42 Chapter 6 PUBLIC HEALTH AND SAFETY...... 43 Section 6.1 Public Safety Team...... 43 Section 6.2 CSU Police...... 43 Section 6.3 Environmental Health Services (EHS)...... 45 6.3.1 Hazardous Materials...... 45 Chapter 7 POLICY AND COMPLIANCE AND RISK MANAGEMENT...... 47 Section 7.1 Policy & Compliance...... 47 7.1.1 Mission and Goals...... 47 7.1.2 Policy Development Process...... 48 7.1.3 Compliance Matters and the CSU Compliance Reporting Hotline...... 49 Section 7.2 Risk Management and Insurance...... 50 Chapter 8 USEFUL INFORMATION ABOUT CSU...... 51 Section 8.1 Land-Grant Mission...... 51 Section 8.2 UNIVERSITY ORGANIZATION...... 51 Section 8.3 University Logo, Trade and Service Marks...... 51 Section 8.4 AFFILIATED FOUNDATIONS...... 52 8.4.1 Colorado State University Foundation (CSUF)...... 52 8.4.2 Colorado State University Research Foundation (CSURF)...... 52

APPENDIX A: DEFINITIONS AND ACRONYMS…...... A-1

APPENDIX B: NEW FACULTY/STAFF ORIENTATION RECOMMENDATIONS…………………………….. B-1

APPENDIX C: COUNCILS AND COMMITTEES…………………………………………………………………………… C-1

Manager’s Quick Guide Page iv Chapter 1 INTRODUCTION

SECTION 1.1 WHAT IS A RESOURCE MANAGER?

In order for Colorado State University to achieve its land-grant mission of excellence by balancing activities in teaching, research, and public service, all resources, including University assets, must be carefully allocated and protected. All faculty and staff with budgetary, fiscal, or supervisory responsibilities are University resource managers. Resource managers are critically important to the overall success of CSU and have many important responsibilities.

In the University’s organizational structure, there are many different positions that involve resource management. Academic department heads and administrative directors manage both human and financial resources. Most departments also have Account Techs, Administrative Assistants, and General Professionals who, even if they don’t supervise other positions, certainly manage physical and financial resources. In the University’s financial reporting system (Kuali, or KFS), designations such as “Fiscal Officer” and “Account Approver” also denote resource management responsibilities. In fact, it’s the rare CSU employee (if there is any at all) who does not share the responsibilities of protecting, accounting for, and making the best use of the assets of the institution.

SECTION 1.2 PRINCIPLES THAT APPLY TO ALL RESOURCES

1.2.1 Protection of Resources

Resource managers are expected to protect the resources under their control, and are held accountable for this responsibility. These resources can include cash, equipment, supplies, inventories, the use of facilities, and even the efforts of their staff. They are responsible for the ongoing evaluation and audit of controls, practices, and effectiveness of program operations. This requires a level of direct involvement in the program by each resource manager. One traditional and universally-practiced method of protecting physical resources is to segregate employee duties so that, at the various levels of the organization, no one individual has access to both the resource AND the resource records, for example:

 cash and the bank records  paychecks and the payroll records  supplies and the purchasing records  equipment and the equipment records

Manager’s Quick Guide Page 1 Of course, these distinct separations are not always practical, especially when staffing resources are stressed and employees must do many different kinds of tasks. In those instances, internal controls such as periodic reviews by a supervisor or account tech, careful recordkeeping, and shared responsibilities among department staff may be needed to assure that assets are adequately protected. The resources and records must be periodically reconciled under the direction of a supervisory employee. A properly designed system establishes individual accountability while protecting both the individual and the University’s resources, and would require unlikely collusion among employees to circumvent protections and controls. Advice on internal controls is available from Business & Financial Services at 491-6023, college business officers, and the Internal Auditing Department at 491-6176.

1.2.2 Signature Authorization

The designation of individuals authorized to sign various payroll, purchasing, and other documents for each University account is a method the University employs to prevent unauthorized actions. All legal authority to expend the funds of the University begins with the Board of Governors and is then delegated, in the Board’s discretion ,to the University President. The President, in turn, has sub-delegated some of that authority. Managers must exercise care that they have the requisite sub- delegation and authority to expend funds, and that any requested further sub-delegation of that authority is commensurate with the programmatic authority of such individuals. Such sub- delegation does not relieve the manager of the responsibility for any action taken. Detailed information is available in the Financial Policy and Procedure Instructions Manual (FPI), and from Business & Financial Services at 491-6023. Authorized signatures for university contracts and agreements are also shown in the CSU Signature Delegation Memo, which is available on the Contracting Services website . See Section 4.3 of this Guide for further information.

SECTION 1.3 CONFLICTS OF INTEREST AND PERSONAL USE OF RESOURCES

1.3.1 Use of University Resources

Use of University resources for private or personal purposes is permitted only as delineated in the University Consulting Policy set forth in the Academic Faculty/Administrative Professional Staff Manual, section D.7.6.2, and the Acceptable Use Policy (AUP) for IT resources. Prohibited activities range from converting supplies to personal use and unauthorized personal use of equipment, including telephones, copy machines, and computers to conduct personal business on University time and in University facilities. Improper use may subject the employee to both disciplinary sanctions and civil or criminal liability. Sources of information on this issue include the Vice President for University Operations at 491-5257, the University Controller at 491-7007. the University Police Department at 491-6425, Office of the General Counsel at 491-6270, and the CSUS Internal Auditing Department at 491-6176.

Bear in mind as well that, in addition to the conflict of interest that is created by an employee who uses University resources for personal gain, there is also a conflict of commitment. A conflict of Manager’s Quick Guide Page 2 commitment arises when the employee’s compensated time is taken up by activities that are outside the scope of his or her duties and are not for the direct benefit of the institution. For more information about how to evaluate a potential conflict of commitment, see Academic Faculty and Administrative Professional Manual (AF/AP Manual) , §D.7.6.1 .

Finally, be aware that a donative intent on the part of a University official or any other person to permit the use of University resources for personal gain may not constitute a defense. Colorado voters enacted Amendment 41 to the Colorado Constitution in 2006. Amendment 41 prohibits any person—including a University official—from gifting almost anything of value to a state employee (with some very limited, trivial exceptions) for private or personal financial gain. The consequences of violating this provision include all of the above, as well as possible charges before an Independent Ethics Commission of the state. It goes without saying that defending one’s actions before the Committee is probably not the ideal way to spend a day in Denver.

1.3.2 Conflicts of Interest

Conflicts which should concern resource managers involve an employee’s affiliations with other organizations and the potential, or even the appearance of the potential of a conflict of interest. A conflict exists whenever a University employee uses his or her position, authority or responsibility in a manner that benefits the employee or an immediate family member or business entity of the employee, or makes self-serving decisions. Such situations are defined in the CSU Conflict of Interest policy, which is set forth in the AF/AP Manual, Section D.

An example of a conflict of interest is the situation where a University faculty member has a substantial equity interest in a small business that is competing for a University subcontract, and also has influence over the University’s contracting decision. Another example would be use of University resources such as lab space, supplies, or employees in furtherance of a private business. Oversight is accomplished in such situations by requiring employee disclosure of affiliations which could lead to such conflicts - and removal from University decisions involving them or oversight of use of University resources.

The resource manager is expected to comply with this policy and to protect persons reporting to them by the same means (require disclosure, and take affirmative management action as needed). Employees should complete the Annual Role and Responsibility Survey form on an annual basis. For more information see the Academic Faculty and Administrative Professional Manual, section D.7.6 , and the Sponsored Programs Principal Investigator’s Manual, or contact the Provost/Academic Vice President’s Office at 491-6614, or the Office of Sponsored Programs at 491- 6355.

Manager’s Quick Guide Page 3 SECTION 1.4 GOVERNMENTAL IMMUNITY AND LIMITS ON LIABILITY

Governments provide basic services to the public. Since unlimited liability for government actions could disrupt or make these services prohibitively expensive, with the taxpayers ultimately bearing these costs, governments recognize and incorporate in statute the doctrine of sovereign immunity. Under this doctrine, as applied by statute to the state of Colorado (C.R.S. §§24-1-101, et seq., referred to as the “Colorado Governmental Immunity Act” or CGIA), the state and its agencies, institutions and political subdivisions cannot be sued in tort (that is, for injuries caused by the negligence of the state or its employees), unless the government has consented to be sued by creating a statutory exception. Examples of such exceptions, also called “waivers”, include (among other things) injuries arising from the operation of a motor vehicle by a state employee within the course of the employment; a dangerous condition of a public building; or failure to perform a required background check on an educational employee. (See C.R.S. §24-10-106 for these and other waived claims). Even when a waiver applies, certain restrictions on the timing of the suit, amount of damages, and state of mind of the person who causes the injuries, all affect the outcome. As a University employee, you may also be afforded protection from legal costs and judgments in civil actions covered by the Immunity Act, provided you were acting within the scope of your assigned duties and responsibilities, and not in a “willful and wanton” manner.

The most important points to remember about governmental immunity are:

 It only applies to certain kinds of claims, and it does not apply to claims arising from a breach of contract. So, if the University enters into a contract and gets sued in connection with that contract, in all likelihood the University (and its employees) will not be immune from that suit.

 Because of the above, it is extremely important that the University not agree by contract to be responsible for damages or costs from which it would otherwise have been immune under the Act. This is why promises by the University to “indemnify, defend, and/or hold harmless” the other party to a University contract, are strictly forbidden. These types of clauses can be hidden in “legalese” and therefore contracts should be reviewed by a trained professional before approval.

 Governmental immunity is only a defense; it doesn’t necessarily prevent a lawsuit from being filed against CSU or any individual, including CSU employees. Legal costs can be substantial even when a suit is ultimately terminated on the grounds of governmental immunity. So, it’s important that all claims for damages and injuries, even those that might be subject to the Immunity Act, be promptly reported, investigated, and acted upon.

 All questions about governmental immunity should be directed to the University Risk Manager. If any member of the public or student who wishes to file a claim for damage to property or bodily injury, either against CSU or CSU’s insurance, please have them contact the Office of Risk Management at 491-1432. CSU employees should not attempt to explain the University’s position re: governmental immunity or insurance to a potential claimant.

Manager’s Quick Guide Page 4 SECTION 1.5 UNIVERSITY RECORDS

All documents and records of the University, including electronic records, are generally considered “public records” and are subject to certain requirements for disclosure, retention and security.

1.5.1 Requests for Disclosure of University Records and Information (Open Records Act)

The Colorado Open Records Act (“CORA”), C.R.S. §24-72-200.1, et seq., defines “public records” as including all writings made, maintained, or kept by the state or any agency, institution, or political subdivision thereof, for use in the exercise of functions required, or authorized by law or administrative rule, or involving the receipt or expenditure of public funds. Under this Act, electronic files are treated the same as paper files and, like paper files, are considered to be public records and may be subject to inspection under the Act, unless they are covered by a specific exemption.

CORA also provides that inspection of certain records may be denied in appropriate circumstances, and inspection of some other types of records (such as personnel files) must be denied (except to the person to whom they pertain). Where inspection is permitted, such records may also be copied, provided that the University may impose copying plus cost of manipulating data if that is required.

Requests for disclosure of records received by CSU must be handled expeditiously by a person knowledgeable about the records and about proper procedures under CORA. Different types of records are maintained in different areas at CSU and there is more than one records custodian. Since a disclosure request may be quite informal, and may require both sensitive handling and an immediate response, it is imperative that all such requests be forwarded to the responsible records custodian and the Office of the General Counsel as soon as received.

Contact: Office of the General Counsel (970) 491-6270

1.5.2 Retention of Records

To comply with the State Archives and Public Records Act, and certain regulations that apply to CSU, it is necessary that all documents pertaining to the business of the university - paper or electronic - be retained, archived or destroyed, as appropriate. This decision must be made at the individual and unit level, being cognizant of the above definition of public records, and mindful of the applicable laws, regulations, university policies and procedures such as described in the Financial Policy and Procedure Instructions Manual, CSU Policy on Records Management and Retention , and Colorado State Archives Records Management Manual. Questions about records retention involving federal grants, contracts, or programs should be directed to the Office of Sponsored Programs at 491-6355. Questions about retention of copyrighted works, historical works, and other academic materials should be directed to the University Archivist at 491-1844.

Manager’s Quick Guide Page 5 All other questions regarding retention of records, especially business, financial and legal documents, should be directed to the Office of the General Counsel, 491-6270.

The most important points to remember about University records are:

 Official University records containing substantive data, historical information, or original, copyrighted works should generally be preserved.

 Personal emails, correspondence, and notes generally may be disposed of by their author without concern about retention requirements, but, once those materials become part of a record of an official University program, transaction, or record, retention requirements probably do apply. Consult with the above authorities for assistance.

 Certain records, such as those maintained by Environmental Health Services or other units that relate directly to regulatory compliance, must be maintained for very long periods of time. If your department has custody of specialized records, you should consult with the Office of General Counsel regarding specific retention requirements before disposing of records and when making arrangements for security and storage.

 Other specific retention requirements can be reviewed online through the Department of Personnel and Administration’s website, Colorado State Archives Records Management Manual .

1.5.3 Privacy and Security of University Records

The Colorado State Archives & Public Records Act governs the retention, archiving and destruction of University documents. To comply with the State Archives and Public Records Act, it is necessary that all documents pertaining to the business of the University - paper and electronic - be retained, archived or destroyed, as appropriate.

Some types of records are subject to special laws and regulations regarding privacy and security. Such records include, but are not limited to:

 The education records of any student (FERPA, or the Family Educational Rights and Privacy Act), including any information recorded in any way that directly relates to a student and is maintained by CSU or an agent for CSU, except for “directory information” and disclosures subject to certain legal exceptions. Students may also “opt out” of allowing the release of directory information.

 Records containing personally identifiable health information of any person (HIPAA, or Health Insurance Portability and Accountability Act).

 Personally identifiable nonpublic financial information of any person obtained about a customer in connection with a financial transaction including financial information (GLBA, or Gramm-Leach-Bliley Act). (Note that compliance with FERPA constitutes compliance with GLBA privacy obligations--security obligations remain).

Manager’s Quick Guide Page 6  Records not required or allowed to be disclosed under the Colorado Open Records Act (CORA), including (but not limited to) details of ongoing research projects, real estate appraisals, details of security arrangements, tests, answers and keys, personnel files (other than application materials, employment and separation agreements, performance rating and compensation), medical, sociological and scholastic data on a person, and veterinary records.

 Genetic information about individual or family member's genetic tests, manifestation of disease or disorder. Also includes requests for such tests or genetic services or participation in research involving genetic services. (Genetic Privacy Act).

 Cardholder data contained on a payment card’s magnetic strip which includes cardholder name, primary account number, expiration date and service code (Payment Card Industry Data Security Standard Requirements and Security Assessment Procedures, or PCI DSS).

 Information related to student credit accounts, possible instances of identity theft and student address changes (FACT Act/Red Flags Rules).

 Social Security number of any person (several regulatory sources, including C.R.S. §23-5- 127).

Because each applicable law has different, sometimes complex rules for disclosure of protected information and for security measures required to be taken, further details cannot be provided here. Contact the Office of General Counsel for assistance with records privacy and security issues.

In addition, CSU has policies in place that require certain privacy and security measures to be observed, particularly with respect to electronically stored data. The Information Technology (IT) Security Policy is the starting place for learning about these policies.

Manager’s Quick Guide Page 7 Chapter 2 HUMAN RESOURCES, TRAINING AND DEVELOPMENT

SECTION 2.1 INTRODUCTION

University policies governing general conditions of employment, rights, benefits, and responsibilities of the Academic Faculty and Administrative Professional staff, grievance procedures, termination, and tenure are contained in the Academic Faculty and Administrative Professional Manual. Additional polices, and those applicable to other employee categories are contained in the Human Resources Manual, and in the rules of the State Personnel Board and the State Personnel Department. Do not assume you have the authority to hire or fire employees. This authority is delegated by the Board of Governors (BOG) only to the President, with limited re- delegation to the Vice Presidents, and you must obtain approval of all such recommendations prior to implementation. Approvals are obtained through processes managed by HRS - contact them for more information. Questions should be directed to the Human Resource Services Department at 491-5793, or to the administrative officer or business manager of your college or division.

Sources:

Academic Faculty and Administrative Professional Manual

Human Resources Manual

SECTION 2.2 CLASSIFICATION OF EMPLOYEES

Every individual performing work for the University, excluding independent contractors and authorized volunteers, must be employed in one of the following categories. All University employees belong to one of these groups:

 Academic Faculty  Administrative Professional Staff  State Classified Personnel  Graduate Assistant  Post-Doctoral Fellow  Student Employee

Manager’s Quick Guide Page 8  Non-Student Hourly Every individual performing work for the University, except for independent contractors and authorized volunteers, must be appointed in one of the above categories. The appointment of Academic Faculty and Administrative Professionals is coordinated by the Office of Equal Opportunity (OEO). State Classified Personnel positions are handled by the Human Resource Services Office of Employment. Procedures for establishing and filling positions in all the above categories are defined in the Human Resources Manual. These procedures are designed to assure compliance with applicable laws and BOG policies, and must be followed.

2.2.1 Academic Faculty

The academic faculty includes all personnel who carry an academic rank (professor, associate professor, assistant professor, lecturer, instructor, faculty affiliate), and other personnel as defined by C.R.S. §23-31-113.

2.2.1.1 Types of Appointments

Five basic types of appointments are used for academic faculty - all may be 9 or 12 months:

1) Regular Full-Time Appointment

This is the “tenure-track” or tenured appointment at the rank of assistant professor, associate professor, or professor. Persons with a regular appointment who serve satisfactorily for a specified period and who meet the criteria established for teaching, service, and research/scholarly activity are eligible for tenure (see Academic Faculty and Administrative Professional Manual). These appointments require compliance with the affirmative action program.

2) Regular Part-Time Appointment

Regular part-time appointments may be made if they satisfy all of the following conditions:

 Regular part-time positions may be established by departments at any percentage equal to or greater than 50% of a regular full-time appointment established for the position.

 Criteria, procedures, and regulations for promotion, tenure, and salary must be subject to the rules governing regular full-time appointments, with appropriate scaling of responsibilities and salaries commensurate with the proportion of time worked.

 A part-time regular position can be tenured only for one-half time service, although additional employment short of full-time may be arranged each year between the faculty member and the department. These appointments require compliance with the affirmative action program.

3) Special Appointment

Manager’s Quick Guide Page 9 A special appointment may be either full-time or part-time. Appointments with a specific ending date may be of this type and are given in the following situations:

 The position will have responsibilities pertaining primarily to research dependent upon the University obtaining outside financial resources essential for continuance of the particular type of research involved.

 The position will have responsibilities pertaining primarily to instruction (a) as a member of the staff of an overseas project, (b) as a replacement for someone assigned to an overseas project, or (c) as a member of the staff of any other instructional program dependent upon the University obtaining outside financial resources essential for continuance of the instructional programs involved.

4) Temporary Appointment

A temporary appointment may be either full-time or part-time. Part-time appointments maybe for any percentage less than 100%. Temporary appointments are used when one or more of the following situations are encountered:

 The person is appointed for a specific period of time, at the end of which it is anticipated that employment at the University will not be renewed for the foreseeable future.

 The person is appointed for less than an academic year or for part-time employment throughout an academic year.

5) Transitional Appointment

This type of appointment is an interim step in the retirement process, and is available only to tenure-track and tenured academic faculty members who meet the eligibility criteria for retirement under the provisions of their University retirement plan and upon specific approval by the Provost. See the Academic Faculty and Administrative Professional Manual and the Human Resources Manual, for some of the more important features including specific limitations applicable to faculty members covered by PERA.

2.2.1.2 Sub-Classifications

Within the five major appointment types, these sub-classifications also may apply:

1) Department Head/Chair (AF/AP Manual §C.2.6.2)

Department heads/chairs usually hold twelve-month appointments while in office. When their service as department head ends, they return to nine-month faculty status and salaries are adjusted. The designation of Department Head and Chair are “at will,” and such appointments may be terminated at the requests of either the Department Head or the Dean at any time.

2) Joint Appointments (AF/AP Manual §§E.3.1, E.3.2)

Manager’s Quick Guide Page 10 Joint appointments are sometimes made when the professional activities of the person concerned normally fall within the purview of two departments.

3) Affiliate Faculty (AF/AP Manual §E.3.3)

Departments may recommend for appointment to the academic faculty persons who possess training and experience useful to the University’s teaching and research program and who are employed outside the University. They receive a Faculty Affiliate title, but no stipend. See the AF/AP Manual , section E.3.3, for more information.

4) Visiting Faculty(AF/AP Manual §E.3.4)

Faculty members on leave from another university may be given a visiting appointment with or without salary from CSU. Such appointments are always temporary.

5) Emeritus Faculty (AF/AP Manual §E.2.3, E.3.7)

Academic appointees who have completed 10 or more years of regular full-time service on the faculty of Colorado State University are eligible at retirement for an emeritus title at their highest professorial rank. Academic personnel who have held administrative positions (including departmental chairmanships) for five years or more are eligible for the emeritus title for both positions.

2.2.2 Administrative Professional Staff

The Administrative Professional Staff includes personnel who have administrative and/or professional assignments and whose positions have been exempted from the State’s Personnel System by the University’s Director of Human Resources, under delegation from the President, and in accordance with statutory provisions. Examples of positions in this category are Research Scientist or Scholar, Research Associate, Forester, and Extension Agent.

Administrative professional appointments may be regular, special, or temporary and may either be 9 or 12 months. Compliance with the affirmative action recruitment and screening guidelines is required on regular and special appointments. Administrative professionals do not acquire tenure, nor are they eligible for sabbatical leaves. Pursuant to state law, Administrative Professionals are “at will” employees and such employment may be terminated by either party (the University or the appointee) at any time, with or without cause. However, the authority to terminate “at-will” appointments may only be exercised by the President, or in certain instances, the Board. Guidelines concerning termination of an “at-will” appointment are set forth in the AF/AP Manual §D.5.6). For further guidance and information, and in any case where potential termination of an administrative professional employee is being considered, the supervisor or department head must contact the Office of the General Counsel at 491-6270.

2.2.2.1 Types of Appointments

Manager’s Quick Guide Page 11 1) Regular appointments are used for full-time appointments and for part-time appointments of at least 50% with no termination date indicated. Individuals receive the same fringe benefits as the regular academic faculty appointees except they do not acquire tenure. Appointments such as research associates, research scientists (or scholars), and senior research scientists (or scholars) may not be of this type.

2) Special appointments may be from 50 to 100 percent time appointments, with a termination date indicated. This type of appointment is normally used when funds are available for a limited time period. Individuals receive the same fringe benefits as special academic faculty appointees.

3) Temporary appointments are used for full-time appointments of short duration, and for all part-time appointments, except for those covered by Regular or Special part-time appointments. Temporary appointments must indicate a termination date no more than two years from the effective date. Temporary appointees receive limited fringe benefits.

2.2.2.2 Joint Administrative Professional and Academic Faculty Appointments (AF/AP Manual §E.3.2, D.5.3.4)

Members of the administrative professional staff who may be invited by academic departments to become members of the academic faculty may do so provided certain conditions are met as set forth in the AF/AP Manual, §E.3.2, D.5.3.4. Members of the Academic Faculty who hold administrative positions, such as dean or department chair, hold such positions on an at-will basis.

2.2.3 State Classified Personnel

Approximately half of the University’s 5,000+ permanent staff are covered by the provisions of the State’s Personnel System. The State Classified staff includes personnel with varied assignments in clerical, maintenance, service, technical, and professional areas. Positions in this category include Administrative Assistant, Electrical Trades, Police Officer, General Professional, Accountant, etc.

These employees are classified according to, and are governed by, State Personnel Rules and Regulations and University policies. All appointments of Classified Staff require the approval of the Director of Human Resource Services or his/her designee. State classified personnel may either be salaried or hourly. Pay rates are established by the State Department of Personnel. See the Human Resources Manual for details.

Permanent positions within this personnel system are of the following types:

 Regular full-time positions which are established for a full-time schedule.

 Regular part-time positions which are established for less than a full-time schedule.

 State classified hourly positions which are established to staff "on call" or irregular work schedules.

Manager’s Quick Guide Page 12 Positions within the classified system are precisely defined within the classification scheme developed by the State Personnel Department. Each position is described in a Position Description Questionnaire (PDQ). The information in that document is used by the University’s Human Resource Services Department, or in some cases by the State Personnel Department, to assign the position to one of the available job categories in the State’s Classification System. Each job category is assigned to a pay grade, which defines the pay range appropriate to all positions in the designated job category.

2.2.4 Graduate Assistants

Graduate Assistants assist with the academic programs, student affairs, and research programs. See the HRS Manual, Chapter 6, for further information.

Graduate Assistants are, first and foremost, students. Assistantship should aid in the orderly progression toward degree goals and not delay or hinder this progression.

2.2.5 Post-Doctoral Fellows

Post-doctoral fellows are usually individuals who have recently completed their Ph.D. Post- doctoral fellows are engaged to work primarily on research projects. They are not required to enroll as students, and their appointments are intended to last no more than three years. They receive certain benefits and are eligible for the same insurance plans as Academic Faculty and Administrative Professional staff from the date of hire and the University match to the retirement plan after one continuous year of service. See the HRS Manual, Chapter 7, for further information.

2.2.6 Student Employees

Student employees perform duties such as assisting in academic program or performing routine general labor. These employees are treated as hourly personnel for payroll purposes. Students may be hired as student hourly or work-study employees. Special eligibility criteria and maximum hours of work apply. Processing is handled by the Student Employment Office of the Office of Financial Aid. See the HRS Manual, Chapter 5, for details.

A student for employment purposes is either an undergraduate or graduate who has been accepted for enrollment at Colorado State University as a regular (resident instruction), certificate/degree- seeking student, and who is carrying at least one credit.

Enrollment of less than ½-time requires that the student employee participate in the Student Employment Retirement Plan (SERP), and pay Medicare taxes on earnings.

Work-Study is another type of part-time job opportunity for students, with the wages being used to help pay for college expenses. Students are awarded a work-study allocation which is the amount that they are able to earn throughout the academic year. Students are paid every other week by

Manager’s Quick Guide Page 13 direct deposit to their personal bank accounts. For more information, contact Student Employment Services at 491-5714.

2.2.7 Non-Student Hourly Employees

Non-student hourly employees are employed in jobs where the work usually is of short duration or intermittent in nature. Personnel and payroll documents are forwarded directly by the department to the Human Resource Services Department. Generally, non-student hourly employees are restricted to 6 months of employment in any 12-month time frame. See the HRS Manual, Chapter 4, for details.

SECTION 2.3 INDEPENDENT CONTRACTORS

In addition to the foregoing types of employment, the University may acquire services through use of independent contractors. An independent contractor is an individual or firm who performs personal services for the University and who generally:

• Retains the right to decide the way in which final results are achieved and the details of when, where, and how the work is to be done;

• Provides the necessary tools, equipment, and materials;

• Is free to provide services to other clients, and;

• Receives no benefits, directly or indirectly, that apply to University employees. For example, the individual(s) is not covered by the University for workers’ compensation covering personal injury, for public liability covering injury to others, or for unemployment compensation.

University employees may not have a simultaneous independent contractor relationship with the University except under certain limited circumstances. Special approvals are required. Contact the Department of Human Resource Services for additional information.

See the HRS Manual , Chapter 1, §1-5 for more detailed information on the differences between employees and independent contractors, and contact the CSU Contracting Services Office for assistance when engaging independent contractors.

SECTION 2.4 VOLUNTEER SERVICES

Generally, the use of volunteer services without compensation by individuals performing functions for

Manager’s Quick Guide Page 14 which compensation normally would be paid is discouraged. However, this is not intended to apply to University students who perform services to the University as part of their educational experience, nor to affiliate faculty, guest speakers and lecturers, performers and artists, members of advisory committees and boards, 4-H club volunteer fund raisers, boosters, and the like.

Questions concerning interpretation of this policy in specific cases should be directed to the Director of Human Resource Services. See the HRS Manual, Chapter 1, §1-5 for details. Questions regarding workers’ compensation or other insurance or liability matters related to volunteers should be directed to the University Risk Manager at 491-6745.

SECTION 2.5 OVERTIME

Overtime is considered time worked beyond 40 hours in an established work week. Work over eight hours on a single work day may be balanced by time off in the same work week at a time mutually agreeable to the employee and supervisor. Overtime does not accrue until forty hours are worked in a single work week, and overtime must be authorized in advance by the supervisor. Authorized paid leave and holidays count as time worked in calculating overtime.

Overtime may be paid in cash or in the form of time-off (compensatory time). State regulations set strict limits on accrual of compensatory time. Departments with seasonal or other cyclical work patterns may be granted permission to exceed those limits by the Executive Director of the State Department of Personnel. Not every employee is eligible for payment for overtime worked. For example, many state classified job categories, academic faculty, administrative professional staff, and all graduate assistants are not eligible. See the HRS Manual, Chapter 1, §1-10 for details.

SECTION 2.6 SUPPLEMENTAL PAY

Supplemental pay, as defined in the Supplemental Pay Policy, AF/AP Manual, §D.7.2, is payment for work done for the University outside the scope of one’s employment or in addition to an employee’s regular duties. All requests for supplemental pay must be approved, in advance of the work being undertaken, by the Department Head, College Dean (or administrative department director), and the appropriate Vice President (which, for faculty applications, is the Senior Executive VP/Provost). Decisions made to allocate supplemental pay should include careful review and evaluation of the individual’s position description and effort distribution. The rate of payment will ultimately require approval by the President, so it is prudent to seek that approval prior to commencement of the activity, as well. Contact the Provost’s Office for assistance.

Faculty members on 9-month contracts who teach Division of Continuing Education (DCE) courses on a recurring basis will customarily receive their supplemental compensation during the summer months. Although this principle does not preclude the granting of supplemental pay during the

Manager’s Quick Guide Page 15 regular 9-month appointment period, the procedure intends, over time, to integrate DEO courses into the assignments of faculty over a 12-month period.

Up to 20% of the 9-month base, or a maximum of $12,000, (whichever is greater) can be earned as supplemental pay during any fiscal year. Should that total amount exceed this threshold in any fiscal year, a special request must be forwarded to the Provost or cognizant vice-president for approval.

Supplemental pay of less than $100.00 will not be approved. Additional information on Supplemental Pay may be found in the Operating Procedures for Academic Faculty and Administrative Professional Staff Salaries.

SECTION 2.7 ANNUAL PERFORMANCE EVALUATIONS

Regular performance evaluations are an effective way of ensuring that the efforts of the University’s faculty and staff are consistent with its mission and with the expectations of the appropriate academic, academic support or administrative assignments. Annual evaluations are required for all faculty and staff members and must be based upon the quality and quantity of performance as defined in the academic and/or support assignments for the periods under review. Specific process requirements for Academic Faculty and Administrative Professional staff are contained in the Academic Faculty and Administrative Professional Manual. Questions may be directed to the office of the Provost/Academic Vice-President at 491-6614, or to Human Resource Services at 491-5793. Specific process requirements for State Classified Staff are contained in the CSU Performance Management Program User Guide. Questions may be directed to the Employee Relations unit of the Human Resource Services Department at 491-7259.

SECTION 2.8 TRAINING AND ORGANIZATIONAL DEVELOPMENT

Contact: 491-7259 Office of Training and Organizational Development

The Office of Training and Organizational Development (TOD) designs and coordinates training and development opportunities for personal and professional growth for Colorado State University employees -- academic faculty, administrative professional staff, and state classified personnel. Customized training and organizational development consulting services are also available. Trainings and services are free of charge. TOD can help you develop a strategic plan, learn how to handle conflicts and “difficult people,” and plug your department in to great management tools— often at little or no cost.

Just a few examples of training topics include:

 Faculty & Staff Development

Manager’s Quick Guide Page 16  University Employee Orientation (UEO)  Business Applications at CSU  Building Proctor & Campus Safety  Organizational Development & Consulting

TOD also provides access to numerous sources of reference and information for CSU employees.

Manager’s Quick Guide Page 17 Chapter 3 CAMPUS COMMUNITY, EQUITY AND NON-DISCRIMINATION

The following quote is from a joint statement issued by the chairs of the Faculty Council, Administrative Professional Council, and the Classified Personnel Council on April 17, 1997. This statement summarizes the University’s goal of working together in support of our overall mission.

“Although our primary mission is education, it is not simply the students and faculty who comprise our learning community. Any successful institution requires the efforts and talents of a large number of people. All employees are part of the whole - an essential link for the continued functioning and achievement of our higher education mission. Each of us has a responsibility to contribute to our community by supporting an environment that acknowledges, respects, and rewards the contributions of all.”

To meet our campus community goal of eliminating all discrimination, including racism and sexism, we must support respect of and compassion toward each other. Colorado State remains strongly committed to creating a diverse community where all students, faculty, and staff feel welcome, and are active participants in University life.

Our campus must be a safe and supportive environment for all faculty, staff, and students -- we have to work together to develop and encourage the kind of climate we all want and need to reach our individual and collective potential. Managers and supervisors play a key role in creating the campus climate by helping students and staff to understand and be sensitive to issues surrounding discrimination, harassment, and abuse. University officers and faculty share an even heavier responsibility as they are the leaders who create and maintain a campus environment that supports teaching, learning, and creativity. All those in positions of leadership at Colorado State have a duty to assist employees and students in understanding appropriate standards of behavior for a campus community.

A number of University departments are particularly concerned with the issues of diversity, equal opportunity, and non-discrimination in our campus community, and are dedicated to the support of the principles embodied in the Non-Discrimination Statement. These include:

 The Office of the Vice President for Diversity, 491-7197

 The Office of Equal Opportunity, 491-5836

 Resources for Disabled Students, 491-6385

 The University Ombuds and Employee Assistance Program, 491-1527

 Human Resource Services, 491-5793

Copies of the official University policy statements for non-discrimination/affirmative action and sexual harassment may be found in numerous University publications including: Academic Faculty and Administrative Professional Manual; Human Resources Manual; State Classified Employees Handbook; State Personnel Board Rules; Student Rights and Responsibilities, ASCSU Handbook and

Manager’s Quick Guide Page 18 Planner; University General Catalog; etc. Please consult these resources for the most up-to-date information. The University’s official Non-Discrimination Statement reads:

Colorado State University does not discriminate on the basis of race, age, color, religion, national origin or ancestry, sex, gender, disability, veteran status, genetic information, sexual orientation, or gender identity or expression. The University complies with the Civil Rights Act of 1964, related Executive Orders 11246 and 11375, Title IX of the Education Amendments Act of 1972, Sections 503 and 504 of the Rehabilitation Act of 1973, Section 402 of the Vietnam Era Veterans’ Readjustment Assistance Act of 1974, as amended, the Age Discrimination in Employment Act of 1967, as amended, Americans with Disabilities Act of 1990, the Civil Rights Act of 1991, the ADA Amendments Act of 2008, the Genetic Information Nondiscrimination Act of 2008, and all civil rights laws of the State of Colorado. Accordingly, equal opportunity of employment and admission shall be extended to all persons. The University shall promote equal opportunity and treatment in employment through a positive and continuing affirmative action program for ethnic minorities, women, persons with disabilities, and veterans. The Office of Equal Opportunity is located in 101 Student Services.

SECTION 3.1 EQUAL OPPORTUNITY

Contact: 491-5836 Office of Equal Opportunity (OEO)

Resources: University Diversity Plan Affirmative Action Program Disability Discrimination Grievances & Complaints Sexual Harassment Policy Title IX Guidance

Colorado State University, as a land-grant institution, is committed to enhancing diversity in all its forms to ensure an educational environment that is reflective of all aspects of our society. It is the policy of Colorado State University that no member of the University community may discriminate against another member of the community on any basis for which discrimination is prohibited by state or federal law or University policy, including, but not limited to, race, color, religion, gender, age, national origin, veteran status, sexual orientation, and disability. The OEO is the University office charged with implementing, monitoring and evaluating programs, activities and procedures that support this commitment.

Manager’s Quick Guide Page 19 OEO provides the tools and the training to allow you and your department to navigate the hiring processes for faculty and administrative professional staff. OEO trains search coordinators and search committee chairs in many CSU units; provides recruitment resources, forms and guidelines for conducting searches; and works alongside you throughout the recruitment and hiring process.

In addition, of course, OEO is charged with the responsibility of investigating discrimination grievances and complaints.

OEO’s mission also includes engaging the University community in affirmative action programs, and helping to assure access to University facilities and services. OEO can help you understand and comply with complex laws and regulations such as Title IX and the Americans with Disabilities Act, as well as with CSU policies on non-discrimination and sexual harassment. Click on the Resource links above, or see the OEO website for links and information.

SECTION 3.2 UNIVERSITY OMBUDS AND EMPLOYEE ASSISTANCE PROGRAM

Contact: Office of the Ombuds: 491-1527 Employee Assistance Program (EAP): 800-497-9133 The Office of The Ombuds assists faculty and staff at all levels in resolving complaints or problems involving University policies, procedures and personnel. The Ombuds is a neutral, confidential, informal and independent resource for employees who seek alternatives for resolving conflicts or grievances. The Ombuds is committed to the principles of confidentiality, neutrality, informality and independence in working to ensure all members of the University community are treated equitably and fairly. Anyone can call upon the Ombuds for assistance with resolving issues related to the workplace at CSU.

The Employee Assistance Program (EAP) assists employees and members of their households with personal issues through no-cost counseling services as well as legal and financial planning resources. The EAP is a confidential source of personal support that can be accessed 24 hours a day, 7 days a week. A call to the EAP toll-free number reaches a Guidance Consultant who will quickly refer the caller to an experienced, qualified clinician. EAP even offers referrals for no-cost legal consultations with local attorneys on matters like divorce and family law, debt obligations / bankruptcy, landlord and tenant issues, and real estate transactions.

Many other tools and resources are available from the Office of the Ombuds and Employee Assistance Program.

NOTE: Due to the confidential, neutral, informal and independent function of the Office of the Ombuds, communication with this office does not constitute notice to the University.

SECTION 3.3 CSU’S COMMITMENT TO CAMPUS

Manager’s Quick Guide Page 20 CSU launched its Commitment to Campus program in the fall of 2010 as part of an ongoing drive to improve Colorado State University's status as a model employer in higher education. Amy Parsons, Vice President for University Operations, said the University’s goal with the Commitment to Campus was to invest in employee health and well-being and encourage faculty and staff to engage with the university in new ways. While benefits and programs are constantly being updated and renewed, some of the key features are highlighted below.

3.3.1 Employee Appreciation Benefits

Employees of CSU enjoy new benefits and programs at little or no cost, including:

 An annual Faculty/Staff Day at a CSU Rams Football game at Hughes Stadium, featuring discounts on tickets, free youth tickets with purchase of adult tickets, concessions vouchers, and special prize giveaways;  Free or discounted tickets for other CSU Ram Sports including volleyball and basketball;  Free tickets for cultural events at the University Center for the Arts (UCA);  Discounts on CSU license plates and alumni association memberships;  Significantly reduced membership costs for campus wellness and fitness programs, including programs at the world-class Student Recreation Center;  Discounts on CSU License Plates through the Alumni Association;  Discounts on life, health, auto, home, and long-term care insurance;  Discounts at all kinds of recreational and cultural events and places, like Broadway theater tickets, amusement parks, ski areas, zoos and aquariums;  Online shopping and service discounts with select partners;  GED Preparation and Training classes for free;  Participation in the University’s cutting-edge Heart Disease Prevention Program;  Expanded study privilege opportunities including CSU-Global Campus courses; and  Many more to come.

For information, contact the Office of the Vice President for University Operations.

3.3.2 Accommodations for Nursing Mothers

As part of its Commitment to Campus, CSU has also adopted a new policy extending benefits to employees and students who are nursing their newborn children while at work or school. The policy provides for CSU to create new, comfortable and sanitary lactation rooms where mothers can find privacy to nurse, express milk, and bond with their children. The policy also provides requirements and guidelines for supervisors and department heads to help nursing moms in their departments by allowing for flexible break times and schedules, and by establishing lactation rooms in proximity to the mother’s workplace.

Manager’s Quick Guide Page 21 Chapter 4 FINANCIAL RESOURCES AND CONTROLS

SECTION 4.1 BUDGET MANAGEMENT

Contact: Office of Budgets 318 Administration Building 491-6860

Resources: Budget Construction Training Videos Kuali Transfer of Funds Guide Training and Organizational Development Materials

Many resource managers have been delegated budget preparation responsibility and accountability for managing their budget within authorized limits. The University budget process is intended to be an open, participative extension of the University’s academic and facilities planning process, an expression of the University’s objectives in monetary terms. In addition to its planning function, a budget is a tool for the fiscal control of operations, and requires fiscal accountability of resource managers.

Reports are generated by the financial reporting system (Kuali, or KFS) listing approved budgets, monthly and year-to-date revenues, expenditures according to the University accounting records, that are essential for managing budgets. It is worth noting here that the University is prohibited by law from overspending its legislative appropriation. Further information on the budget process may be obtained from college administrative officers and the University Office of Budgets at 491- 6860, and on revenue and expenditure reports from Business & Financial Services at 491-6023.

Manager’s Quick Guide Page 22 SECTION 4.2 THE PURCHASING PROCESS

Contact: CSU Procurement Services 555 S. Howes St., First Floor N. 491-5105

Resources: CSU Purchasing Manual CSU Procurement Rules CSU PCARD Handbook

The Purchasing Department is responsible for the procurement of all goods and services used by the University for all its campuses and programs. At CSU, limited, decentralized authority to commit funds for the acquisition of goods and services is granted to University departments and officials through programs such as Shop Catalogs, Automatic Purchase Orders (APOs), Disbursement Vouchers (DVs), and the University “PCARD” (procurement card). PCARD may be used when a Shop Catalogs vendor, APO or DV is not viable. Other, special delegations are contained in the Purchasing Manual. Contact the Purchasing Department for more information. All procurement activities for CSU are conducted pursuant to the CSU Procurement Rules, rather than the State’s procurement code and rules (except for construction). Please note: The CSU System Office, CSU-Global Campus, and CSU-Pueblo each have their own separate set of purchasing rules and guidelines, and should be contacted directly for more information pertaining to transactions by or on their behalf.

As a state governmental entity, the University is exempt from many federal taxes, and all state and local sales taxes. The University may also be exempt from state and local sales taxes on purchases made in other states. Further information may be obtained from the University Tax Accountant at 491-6513. The University’s Colorado sales tax exemption number is 98-02381.

4.2.1 Purchasing Procedures

A department determines its needs and details them on a Purchase Requisition sent to the Purchasing Department through the Kuali Financial System (KFS). A Purchasing Agent reviews the requisition for adequacy of the specifications and determines the most appropriate source selection procedure to be followed. The department requesting the purchase is ultimately responsible for assuring that the specifications for the product or service are accurate, complete and clearly stated in the solicitation documents.

4.2.1.1 Dollar Thresholds for Competitive Solicitation

 Goods and Services costing less than $5,000 (“small dollar purchases”) may generally be purchased without any formal solicitation process by using a Shop Catalogs vendor, Automatic Purchase Order (APO) or Disbursement Voucher (DV) via the Kuali Financial

Manager’s Quick Guide Page 23 System, or with a PCARD (generally capped at $3,000 per transaction unless a higher amount, up to $5,000 per single transaction, has been approved for the cardholder) when the use of a Shop Catalogs vendor, APO or DV is not viable. Bear in mind that a purchase is not considered small-dollar if it is recurring in nature, or has been divided into smaller amounts in order to avoid the applicable dollar thresholds. For example, a purchase of one computer for $1,500 is a small-dollar purchase, but if the department knows it will likely purchase ten computers this year, then the purchase must be treated as exceeding the small-dollar threshold.

 Goods under $10,000 and Services under $25,000 do not have to be formally competed in all instances. However, the Purchasing Agent must use professional judgment to insure that the University is receiving maximum value for the money spent. The Purchasing Agent may solicit bids or documented quotes if it is deemed that competition is available and it is in the best interests of the University to do so. Except in certain cases where responsibility for obtaining quotes has been expressly delegated to a department or committee, quotes shall be obtained by the Purchasing Agent. Of course, the Purchasing Agent will benefit from, and rely on the ordering department’s familiarity with the requirements, specifications, and vendors for the product or service, so the important thing is to work together with the PA to reach a satisfactory outcome.

 Goods between $10,000 and $150,000 and Services $25,000-$150,000 must be competitively bid either through a formal bid process (see below), or by securing documented quotations through the State of Colorado "BIDS" system. Documented Quotes (DQs) are posted on “BIDS” for a minimum of three business days, while formal bids are posted for at least 14 calendar days, so a DQ is usually faster and simpler than a formal bid. The lowest quote or bid for acceptable goods or services, delivery and terms considered, generally determines the award. Sealed written bids may also be used for procurement in this dollar range.

 Goods over $150,000 are obtained by Invitation for Bid (IFB) or Requests for Proposals (RFPs) through the State of Colorado "BIDS" system. IFBs allow vendors at least 14 calendar days to respond. An IFB is used when cost alone, specifications being met, will be the determining factor. When equals are bid, the University will be the sole judge of equivalency and it reserves the right to accept such bids and make awards as are deemed to be in the best interest of the University. RFPs are used when it is in the University's best interest to consider other factors as well as cost in order to obtain the best overall value for CSU. RFPs require a minimum of 30 calendar days for vendors to respond. All evaluation factors, including cost, are given a weighted value. A committee will evaluate each proposal submitted. The vendor submitting the proposal most advantageous to the University will be awarded the contract. All competitive "sealed bids" (IFBs or RFPs) are publically opened at the date, time and place specified in the solicitation. Vendor representatives are invited to attend any and all "sealed bid" openings in which they are involved.

 Services over $150,000 are almost always procured through the RFP process described above.

 Sole Source purchases (>$10,000 for goods and >$25,000 for services) must be established as the single vendor or service provider that can meet the reasonable

Manager’s Quick Guide Page 24 requirements and specifications of the University, to the exclusion of all others. If any other vendor can provide services or goods that meet the requirements, then a sole source procurement may not be used. It is the responsibility of the ordering department to establish the basis for a sole source request as required by the CSU Procurement Rules and following the guidelines shown in the “Sole Source” section of the Purchasing Department website. In all cases the Purchasing Agent will post a Notice of Proposed Sole Source on the BIDS notification system for at least three business days; if any vendor other than the intended sole source responds with a challenge or quote, then its offered products and services must be considered before selecting a vendor based on specifications, requirements, other pertinent evaluation criteria, and price, and may result in a competitive solicitation. Low price alone is never the basis for a sole source determination..

 Mixed Goods and Services will generally be treated as services agreements unless it appears to the Purchasing Agent that the services are merely incidental to the procurement of the goods. “Incidental” means that the services are minimal in price or value in comparison to the goods, do not involve a detailed scope of work, and cannot reasonably be separately competed.

The result of these procedures is generally the issuance of a Purchase Order by the Purchasing Agent, or, in some cases, a contract must be negotiated and approved. This is true for all personal services contracts in excess of $100,000, as further explained in Section 4.3 of this chapter.

4.2.1.2 Bid Information and Distribution System (BIDS)

The State of Colorado has developed a central bid notification system, known as “BIDS”, that provides web-based notice of all solicitations being offered by state agencies and institutions of higher education. CSU participates in BIDS. The BIDS system assures that all registered vendors will receive access to all notices pertaining to their business interests based on common commodity groups. Vendors can register for the "BIDS" system on the BIDS website.

Vendors are encouraged to visit the Purchasing Department website or come into the Purchasing Department office and meet with the Purchasing Agent responsible for their specific product. Catalogs and brochures are welcome. The Purchasing Department can help determine which departments on campus may need the goods and services they offer. Vendors can make appointments or reach the responsible Purchasing Agent by calling (970) 491-5105.

4.2.1.3 Trial Acquisitions, Vendor Shows

Equipment and merchandise may be placed in a University department for short-term trial or demonstration after receiving approval from the appropriate Purchasing Agent. For demonstration or display of product lines, again contact the appropriate Purchasing Agent for instructions on the proper procedures to follow. Risk insurance coverage on trial merchandise is solely the responsibility of the vendor. Leaving materials for evaluation in no way obligates the University. Vendor shows may be arranged only through the Purchasing Department. If you are interested in hosting or participating in a vendor show, please contact the Purchasing Department.

4.2.2 Purchasing Documents

Manager’s Quick Guide Page 25 The purchasing process requires issuance of an authorized “commitment voucher,” or documentation of the obligation for expenditure, for all transactions. The types of commitment vouchers that can be used are described below.

 Automatic Purchase Orders are used by departments to make small dollar purchase of goods and/or services totaling $5,000 or less (if no written agreement exists). A department should not issue consecutive or nearly-consecutive APOs to circumvent the $5,000 limitation.

 Disbursement Vouchers are used by departments to authorize payment of invoices for goods and services totaling $5,000 and less. The DV is a check request document only and should not be used in lieu of a contract or purchase order when one is required. A department should not process consecutive or nearly consecutive DVs to circumvent the $5,000 limitation.

 The CSU Procurement Card (PCARD) is a University-issued commercial MasterCard used by authorized University personnel to make small, non-recurring purchases of $3,000 or less (unless a higher amount, up to $5,000 per single transaction, has been authorized for the cardholder) when the use of a Shop Catalogs vendor, APO or DV is not viable. Cardholders are required to follow University all purchasing rules as well as special PCARD program rules and procedures. Questions about PCARD should be directed to the PCARD Administrator in the Purchasing Department.

 A Purchase Order is an order placed by the Purchasing Agent with a vendor for a one-time purchase of goods or services. The order is placed for a specific quantity at a specific price.

 An Open Purchase Order (or “Standing Order”) is issued to a vendor when the ordering department expects to make repeated purchases of goods or services over an extended period of time. Items and prices may be specified on the OPO along with dollar limits for individual transactions and maximum total of the PO. Only individuals specified on the PO are authorized to place orders. The terms of the OPO cannot exceed one year and in any event may not extend beyond the end of the current fiscal year.

 A University Contract (“contract”) is used whenever required by the University’s fiscal rules and procedures, or whenever the responsible Purchasing Agent determines that the transaction cannot be documented with a less formal type of commitment voucher while adequately protecting the University’s interests. Contracts are required for most independent services contracts (also called “personal services contracts”), for construction, and for many other transaction types. See Section 4.3, Contracts.

An authorized purchase order or contract, an APO or DV, or a PCARD are the only official means by which the University can be obligated for payment, other than for payroll transactions. The University will not be responsible for any goods delivered or services performed without proper authorization from one of these procurement/payment methods. Colorado Revised Statutes §24- 30-202 (4) creates personal liability of employees for incurring any state obligation in absence of an approved commitment voucher.

Manager’s Quick Guide Page 26 4.2.3 Price Agreements

The Purchasing Department sometimes establishes University Price Agreements, through the bidding process, with vendors to furnish goods and services commonly used by departments. A listing of these is available on the Purchasing Department web page. In addition, CSU may participate in cooperative buying arrangements which result in a University Price Agreement with one or more vendors. The responsible Purchasing Agent will advise the client department on these agreements.

4.2.4 Delivery of Materials/Payment of Invoices

All materials and supplies should be delivered to the University’s Central Receiving Department, located at 200 West Lake Street, unless otherwise authorized by the Purchasing Department. An original invoice should be sent to the University’s Accounts Payable Department, located at 555 S. Howes Street, 6003 Campus Delivery, Fort Collins, CO 80523-6003. Each invoice must reference the Purchase Order number or the APO number. A packing slip or similar document referencing the PO or APO number should accompany goods delivered to Central Receiving, along with a campus delivery address. In the case of services rendered, the same invoicing procedure should be followed. For items requiring receiving, the PO, receiving and invoice are matched in Accounts Payable and processed for payment. Normal University payment terms are Net 30 days. However, if discounts are offered, every effort is made to take advantage of them. Materials ordered by use of the APO may be picked up by the ordering department or delivered directly to that department. Vendors should send original invoices referencing the APO number to Accounts Payable. All inquiries concerning payment of invoices should be directed to Accounts Payable at 491-7113.

As a reminder, vendors should NEVER deliver materials or perform services without an official University purchasing document. The University will not be liable for payment without the vendor first having this authorization. Further, authorizing delivery of goods or services prior to completion of purchasing documents may prevent the use of normal processes and could result in denial of payment and/or personal liability of the person(s) whose conduct created an unauthorized University obligation.

4.2.5 Public Purchasing Records and Confidentiality Considerations

CSU purchasing records are subject to State of Colorado laws on "Open Public Records” (see Section 1.5). Records containing vendor information may be subject to public disclosure unless disclosure is prohibited by an exception in the Open Records Act. Unrealistic expectations of confidentiality can lead to difficulties with vendors or potential vendors, so it is important to determine what information that the vendor supplies to the University is truly confidential, proprietary, or privileged as a “trade secret,” and therefore may be subject to such an exception. Under no circumstances will the terms of a contract between the vendor and the University, or the price paid for commodities or services, be considered confidential information of the vendor (although certain financial data within such records may be deemed confidential). During the course of a solicitation, all information supplied by a bidder will be held confidential until the award is final. Following

Manager’s Quick Guide Page 27 award, the contractor’s information will no longer be considered confidential (except as described above). Bidders who did not receive an award may request the return of their confidential materials after the award. For further information, review the CSU Procurement Rules sections on confidentiality.

SECTION 4.3 CONTRACTS

Contact: Contracting Services 491-6166

4.3.1 What is a Contract?

A University Contract is any agreement, however titled, that binds the parties to legally enforceable obligations. In most, but not all cases, these obligations include the expenditure of funds. Whether the University is acting as a buyer, a service provider, a cooperator, or a grant recipient, if the agreement requires the University to perform any obligation, pay any amount, or accept any legal responsibility, it is a contract. Contract types include, by way of example:

 Independent Services Contracts: the University is retaining the contractor to provide services for the benefit of the institution (i.e., any campus department or unit), in exchange for payment or return services. These contracts are also known as “personal services contracts.” The Purchasing Department and Contracting Services have administrative authority for review, approval and oversight, while the interested department has the responsibility to monitor and manage contract performance. Limited signature authority may be delegated by the President, or a Vice President, to the interested campus department.

 CSU Service Agreements: the University is agreeing to perform services for a customer or client, in exchange for payment to the University, or return services. Contracting Services has authority for review and approval, while the interested department has the responsibility to perform the contract. Limited signature authority may be delegated by the President, or a Vice President, to the interested campus department.

 Grants: the University is receiving funds from a sponsor to perform research, carry out a program, and/or issue sub-grants to other recipients. The Office of Sponsored Programs has authority to review and approve (beginning at the proposal stage) while the interested Principal Investigator(s) and their department(s) have the responsibility to perform the research and tasks assigned by the grant.

 Cooperative Agreements: the University is agreeing to participate in a project, program or relationship with another institution, government entity, or private party in order to achieve some shared objectives. Cooperative Agreements may be funded like a grant, or

Manager’s Quick Guide Page 28 each party may be committing its own resources (with or without the obligation to pay another party). Depending upon the nature of the activity and funding, Contracting Services or Sponsored Programs may have authority to review, approve, and provide oversight. Signature authority is usually not delegated to departments.

 Memorandum of Understanding (MOU) or Memorandum of Agreement (MOA): similar to a Cooperative Agreement, but usually considered to be less formal. Even if no funds are to be expended, MOUs or MOAs are contracts that require approval, management and oversight. Contact Contracting Services.

 Revenue Contracts: the University is making an opportunity available to a vendor, lessee, or other outside party to conduct activities on campus that generate revenue, in exchange for a share of the revenues or a specified payment. These may include franchises, leases, or vending agreements. An example is the University’s soft drink vending contract. Contracting Services or the Office of General Counsel provides review and approval.

 Sponsorship Agreements: an outside party is providing funding for a program in return for acknowledgement, which may include signage and other promotional considerations. Athletics accounts for most of these types of agreements, but other campus units also accept sponsorships. Contracting Services or the Office of General Counsel provides review and approval.

Certain individuals are delegated the responsibility and authority to sign contracts, MOUs, and other legally- binding written agreements on behalf of the University. These individuals are designated by position in the Signature Authority Memorandum available on the Contracting Services web page. No other University employees are authorized to sign agreements creating legal obligations or commitments on behalf of the University. Any person who signs a contract, purchase order, or any other binding legal commitment without having the requisite authority may be held personally responsible for the obligation, though the University itself has no such liability. (C.R.S. §24-30-202(3), CSUS Fiscal Rule 3.4). Therefore, it is imperative that you, as a resource manager, understand the limits of your authority and avoid creating such obligations, or permitting your staff to do so.

4.3.2 Procurement of Personal Services

Any contract in which CSU agrees to expend funds in exchange for receiving the labor of a person or persons is a “personal services contract.” This is true even if the contractor is a corporation or other form of business entity acting through its principals and employees.

Personal services contracts are subject to a number of requirements imposed by the Colorado constitution and statutes, the CSUS Fiscal Rules, and rules of the Director of the Department of Personnel & Administration. These laws define and shape the contracting process from procurement through the end of the contractor’s performance, and even long after, when contracts are subjected to review, audit and reporting requirements. CSU’s contracting forms, guidelines and processes are designed to assure compliance with all applicable laws and rules while allowing for the efficient use of outside contractors to provide the services required for the University to

Manager’s Quick Guide Page 29 operate its facilities, perform research and outreach, and advance its goals and mission as a state institution.

One particular concern with respect to personal services contracting is the state’s constitutional requirement that services be performed by employees in the state personnel system, when such services are available. While there are exceptions to the rule, the assumption is always that, if a state classified employee can perform the required services and meet the standards and metrics developed for the contract, then the University is obligated to utilize state employees to do the work. For this reason, all personal services contracts in excess of $5,000, total contract value, must be reviewed and approved by Human Resource Services prior to being signed. In practicality, this means that HRS must be given the opportunity to review the solicitation (documented quote, bid, or RFP) before it is issued, to avoid making an award to a contractor, only to have HRS find that the work must be performed by employees.

SECTION 4.4 CASH RECEIPTS AND MANAGEMENT

Contact: Business & Financial Services 491-6023

Resources: CSU System Fiscal Rules CSU Financial Procedure Instructions

4.4.1 Cash and Negotiable Instruments

Care must be taken when a resource manager decides it is necessary to receive cash, checks or other negotiable instruments in his or her department, rather than directing such payments to the Cashier’s Office. This should not be undertaken without first thoroughly exploring alternatives with the Bursar’s Office. If local collections are required to provide the necessary customer service, the funds collected must be promptly deposited with the Cashier’s Office by a properly designated employee. Under no circumstances may such receipts be deposited to a bank account not authorized by the University Bursar. Deposit of University funds to a private bank account is considered prima facie evidence of embezzlement. For more information, please refer to the Financial Policy and Procedure Instructions Manual or contact the University Bursar’s Office at 491- 7131, or Business & Financial Services Bursar’s Office at 491-6023.

4.4.2 Fiscal Rules, Policies and Procedures

Manager’s Quick Guide Page 30 Historically, as a state government entity, CSU was subject to the State of Colorado’s Fiscal Rules, promulgated by the State Controller. Legislation was enacted in 2010 (SB10-003) that authorized the Board of Governors to adopt its own fiscal rules for use by the System and its institutions. The CSUS Fiscal Rules, adopted December of 2010, supersede and replace the State Fiscal Rules as the primary governing regulations for financial transactions for the institutions of the CSU System.

Many references to the State Fiscal Rules can still be found in CSU documentation, online and in department manuals, guides and forms. It’s important to recognize that, while CSU is no longer subject to, and does not follow, the State Fiscal Rules, the CSUS Fiscal Rules have the force of law just as the state’s rules did (and still do for other agencies and institutions that did not “opt out” under applicable legislation). Compliance with the CSUS Fiscal Rules is mandatory. Moreover, when dealing with other state agencies, resource managers will find that agency personnel may not realize that CSU is no longer governed under the same set of rules (although there are similarities), and may have expectations about procedures and documents that must be worked through. For assistance, contact the appropriate Division of Operations department (Contracting Services, Purchasing, Business & Financial Services) for the activity in which these issues arise.

The CSUS Fiscal Rules are fairly high-level; detailed policies and procedures are developed and implemented at the institutional level. Contact Business & Financial Services for information on current fiscal policies and procedures.

SECTION 4.5 FUND AND ACCOUNT STRUCTURE

The accounting code structure at CSU requires that every University account be assigned a seven- digit account code, which may be followed by a four-digit object code. Generally (but not without exceptions), the first two digits of the account number indicate the “fund.”

A fund is a self-balancing accounting entity with assets, liabilities, equity, revenues, expenses, and budgets. CSU management determines what funds are needed based on categories described by generally accepted accounting principles and state law. CSU has over 40 separate funds. A complete list is available in the Financial Policy and Procedure Instructions Manual (FPI). Generally, the first two digits of the account number describe one of the following types of funds:

12 - Educational Outreach. This fund is for the activities of the Division of Educational Outreach (DEO).

13 - Education and General (E&G). State appropriations and tuition revenues and their corresponding expenses are recorded here. The E&G fund is the primary focus for the annual University budget process.

14 - Veterinary Medicine. This fund accounts for activities for Professional Veterinary Medicine Program (PVM). Account numbers beginning with 54 are also within this type of fund.

Manager’s Quick Guide Page 31 15 - Agricultural Experiment Station. This fund accounts for activities for the Agricultural Experiment Station (AES). Account numbers for this fund may also begin 35 or 55.

16 - Research Administration/Research for Scholarly Programs (RA/RSP). Allocations to departments of F&A (facilities and administration indirect costs) recovery monies to encourage and support research and scholarly activities are recorded here.

17 - CSU Extension. This fund accounts for activities for CSU Extension (CE). Account numbers beginning with 17, 37, or 57 are extension funds.

19 - Colorado State Forest Service. This fund is reserved for activities of the Colorado State Forest Service (CSFS). Account numbers may also begin with 39 or 59.

21 - Recharge Centers. This fund tracks costs for support activities for billing to other University accounts. Payments are normally made in the form of an Intramural Order (IMO). A 21-fund account is self-funded, i.e., activities by the fund account owner generate revenues and expenditures, and no other type of funds are expected to be held in the account.

22 - General Operations. This fund tracks costs and revenues for the sale of goods and services to customers outside the University. These are also self-funded accounts.

25 - Student Course Fees and Technology Fees. These types of student fees are recorded in this fund. Activities supported by course fees and technology fees are reviewed annually.

26 - Intercollegiate Athletics. This fund is reserved for the intercollegiate athletics activities of the University.

29 - Enterprise Fund. This set of accounts is reserved for certain non-auxiliary enterprises, such as the Research Building Revolving Fund and the Colorado State Forest Service Seeding Tree Activity.

32 - Departmental Educational Outreach Expenditures. Each department’s share of revenues from their educational outreach programs and the related departmental expenditures are recorded in this fund. Account numbers may begin with 125.

53 - Sponsored Programs. This fund tracks activities sponsored by external parties such as the federal government.

62 - Auxiliary Enterprises. This fund is reserved for activities which provide goods and services primarily to students, as well as to faculty staff and University departments. Some of the areas included are Housing, Food Services, Conference Services, Lory Student Center, Parking Services, and Telecommunications. Auxiliary account numbers may begin with 2602, or above, or 27.

64 - Gift Fund. The University asks donors to make their gifts to the Colorado State University Foundation. The 64 fund receives transfers of gift revenue from the Foundation so the funds can be spent according to the donor’s intent.

7X - Plant/Capital Construction. This group of fund accounts is used for various capital construction, building remodeling, controlled maintenance, as well as capital assets (land,

Manager’s Quick Guide Page 32 equipment, etc.). Account numbers beginning with 7. Plant funds have special rules and restrictions; once funds are deposited into a plant fund, the usual expectation is that they will not be removed or refunded for any other purpose.

99 - Agency Funds. The University acts as a custodian to these funds, but ownership remains with the sponsor.

Account: An account tracks the activities of a program or a cost center. Each account is associated with a particular fund. A department or unit may have more than one account in various funds.

Object codes: Object codes are used to classify different types of revenues and expenses (“line items”) within an account, such as 2011 (faculty salaries) or 3560 (office supplies). A complete list is available on the Business and Financial Services website.

SECTION 4.6 IMPORTANCE OF ACCURATE FINANCIAL INFORMATION

As resource managers, you know the importance of accurate feedback about your program’s activities and operations. Reports that show budgeted versus actual revenues and expenses, or that compare current year’s spending to prior years, are valuable management tools. For these reports to be accurate, the revenues and expenses must be recorded in the correct accounts and in the correct time periods. Said another way, expenses must be recorded in the account that benefitted from the expense. When an expense benefits more than one account, it must be allocated among them based on proportional benefit or effort.

Charging expenditures to whatever account has the largest available budget will not only preclude accurate reporting, it is a violation of University policy and the federal cost accounting standards. Federal, State, and internal auditors routinely test transactions for proper account and and object code classifications.

SECTION 4.7 TRAVEL

University travel policies are governed by rules adopted by the Board of Governors of the University, including the CSU System Fiscal Rules. Please keep the following in mind when planning your trip or when approving the travel plans of your faculty and staff:

Manager’s Quick Guide Page 33  For the purchase of airline tickets, be sure to use only the approved travel agencies. They are aware of CSU’s rules, contracted rates, and billing procedures. A list is available on the Travel website.

 For all international travel, employees are required to register with the Office of Risk Management and Insurance. The purpose of this is to make sure employees have the necessary insurance coverage, and to make sure that we have the necessary information to contact the employee in an emergency. Travel to destinations subject to a travel advisory (alert and/ or warning) are subject to some additional requirements including signature of a travel advisory waiver prior to consent. The Office of International Programs provides detailed explanation of the requirements and guidelines for international travel, e.g., medical insurance, immunizations, travel advisories, visas, travel with students, etc.

 For car rentals, Avis, Budget, Enterprise/National, and Hertz are mandated for use by State contracts, in which the University participates, whenever one of those agencies is located in an awarded city where the rental occurs, and has the class of vehicle necessary. Necessary liability insurance is automatically included with the State of Colorado rate on most domestic rentals when using the State Travel Card. If an awarded vendor is unavailable, the traveler should still use the State Travel card, which provides the free Collision Damage Waiver. Note: Off-road usage is NEVER covered by the standard rental car insurance— contact CSU Transportation Services BEFORE renting a vehicle for off-road use.

 Meal reimbursements are allowed for the actual cost of meals up to the maximum allowable per diem rate without receipts. Employees are allowed 75% of the applicable per diem rate on the first and last day of travel no matter what time the travel begins or ends. The University will use the per diem rates established by the state controller. Day trips (single day travel) which start and end on the same day are not eligible for meal reimbursements.

 Lodging: If you arrange private lodging (e.g., staying with family/friends) you can be reimbursed up to $25/night for associated costs. For all other lodging, use of the Travel Card is highly preferred. Check with the Purchasing Department for hotel chains that offer a special CSU rate.

Employees who travel regularly should obtain and use the state Travel Card (a U.S. Bank Visa card) for travel-related purchases. The Travel Card Visa also provides automatic collision, damage, and loss coverage for rental cars so that it is not necessary to purchase it at the time of the rental. Note: Visa’s program is for damage to the vehicle rented. It is not an auto liability program. Also check the exclusions – e.g., it does not include damage to rented vehicle for off road use. Call the Travel Office at 491-6021 for further information. Applications for the State Travel Card can be found on the Business and Financial Services web page.

All University travel documents are prepared utilizing the CSU Travel System. Please note that final expenses must be submitted within 30 days of completion of travel.

For a quick summary of the rules and procedures for University travel, there is a Travel and Recruitment Quick Guide that is separate from this Guide. For a complete guide to University travel policies and procedures please refer to the Financial Policy and Procedure Instructions Manual

Manager’s Quick Guide Page 34 (FPI), section K-3. Forms, along with several other helpful guides and manuals, are listed on the B&FS Travel website.

SECTION 4.8 EXPENSES FOR UNIVERSITY PROMOTION AND DEVELOPMENT (OFFICIAL FUNCTIONS)

University objectives may require promotion and development activities, and their related expenses, to foster economic and civic responsibilities to students, employees, financial supporters, and communities. These activities include training, awards, and recruiting. In addition, they often involve “official functions” defined by the State as meetings, conferences, meals or other functions attended by guests and/or State employees.

Because some people may perceive such expenses as misuse of public resources, University policy requires a responsible person of authority to objectively evaluate each activity and its related costs to ensure protection of the University’s assets and integrity. Specific documentation is required for all official functions and recruiting costs to denote who attended, what the event was, where and why the event was held, and how the event benefitted the University. Guidelines are contained in the Financial Policy and Procedure Instructions Manual (FPI). It is advisable to familiarize yourself with the forms and rules related to Official Functions, including those related to the purchase or service of alcoholic beverages on campus or at any Official Function.

SECTION 4.9 PAYMENTS TO STUDENTS OR NONRESIDENT ALIENS

Payments to students often have implications for financial aid and/or tax reporting. To ensure that the University complies with the applicable laws and regulations, all payments to students must be properly classified. Payment types include compensation (for services rendered to the University), scholarships, fellowships, awards, grants, and loans. The nature of the payment is the determining factor for proper classification. Guidelines can be found in the Financial Policy and Procedure Instructions Manual (FPI) or contact Business and Financial Services for assistance at 491-6023.

Many complicated tax issues arise when making payments to foreign students, scholars, employees, and international visitors. Contact the University’s foreign national tax specialist at 491-2911 for assistance.

SECTION 4.10 PROPERTY AND EQUIPMENT MANAGEMENT AND ACCOUNTING

Contact:

Property Management

Manager’s Quick Guide Page 35 Mailing Address: 6003 Campus Delivery Physical Address: 555 S Howes St, 3rd Floor 491-2270

4.10.1 Property Management

Property Management records and tracks capital assets; calculates depreciation; and issue reports to management and sponsors. We also manage the physical inventory of capital and sponsor-owned assets, which includes meeting with department personnel and scanning all assets. We are the liaison with property auditors and provide guidance to departments, faculty, and staff regarding issues related to property administration and inventory.

University equipment requires careful protection and attention, not only to avoid accounting nightmares, but also because much equipment is expensive, highly portable, and easily converted to unauthorized use. Therefore, equipment costing $5,000 or more, with a useful life of one year or more, is considered capital equipment, and is recorded in University accounting records and individually tagged and identified. Some less expensive items of equipment may be tracked for proper control upon departmental request. Each department head is assigned responsibility, and is held accountable, for control of such equipment. The Purchasing Department and the Property Management Unit of Business & Financial Services have established procedures for acquiring, managing, and disposing of equipment. Please see Financial Policy and Procedure Instructions Manual (FPI) for more information, and direct questions to the appropriate office. Property Management has developed and staffed an annual inventory process to assist resource managers in accounting for capitalized equipment.

4.10.2 Disposition of Property

When property is no longer usable by the accountable department, it should be disposed of properly and promptly to reduce storage requirements and to permit alternative use or sale. No resource manager may unilaterally dispose of any University property. All proposed property dispositions must be reported to the Property Management unit, which will assist in determining the disposal method which is in the University’s best interests, and will coordinate with the Surplus Property unit within the Department of Central Receiving, Mail Services, and Surplus Property. Possible alternatives include: trade-in on a new item; cannibalization for parts for other items; transfer to another department; transfer to another state agency; donation to educational or charitable institution; sale; or destruction. Policy and procedure details may be found in the Financial Policy and Procedure Instructions Manual. Questions may be directed to the Property Management Unit at 491-2270 or to Surplus Property at 491-1918.

4.10.3 Damage to or Loss of CSU Property

Manager’s Quick Guide Page 36 Damage/ loss to property must be reported to the Office of Risk Management immediately. In the case of theft of CSU property, a police report needs to be filed.

For more information: Risk Management and Insurance – Incident Reporting

Manager’s Quick Guide Page 37 Chapter 5 FACILITIES, BUILDINGS, GROUNDS, CENTRAL RECEIVING, AND PARKING

SECTION 5.1 BUILDING PROCTORS

Every major building on campus is assigned a Building Proctor whose role is to facilitate the provision of building, street and grounds services needed by building occupants. These services include maintenance, safety, security, emergency planning and preparedness, renovations and constructions, and miscellaneous others. The Building Proctor’s role, effectively performed, will involve all building occupants and department heads and supervisors in emergency preparedness and in calling needs to the attention of such departments as Facilities Management, CSUPD, and Environmental Health Services. Building Proctors heighten the awareness, knowledge and involvement of building occupants in safety, security, and other issues affecting the quality of their work environment and the protection of University resources. This requires a significant time commitment by the Building Proctor. All who are responsible and accountable for University resources are encouraged to support Building Proctors in carrying out their responsibilities. The Building Proctor Manual may be viewed online, along with a list of the current proctors for all University buildings. More information is available by contacting your Building Proctor, or by calling Facilities Management at 491-0077.

SECTION 5.2 GENERAL INFORMATION ABOUT UNIVERSITY FACILITIES

The Facilities Management Department is committed to providing quality services to the campus. Our mission is to anticipate and provide the physical environment, which enables Colorado State University to achieve its objectives in instruction, research, and public service. Many of the services we provide are critical to the daily operation, safety and security of the campus, and we realize that without those services, your department cannot function effectively and efficiently—if at all. Therefore, as a customer service organization, the support of our customer is critical to our success. How we accomplish our mission is as important as the mission itself. If you experience difficulties with building operations, physical conditions on campus, or any of the services that Facilities Management provides, you may contact the Director of Facilities at 491-0006.

In order to assure that Facilities Management can carry out its responsibilities, we ask in turn that all CSU faculty and staff observe some simple rules and precautions, as detailed below.

Manager’s Quick Guide Page 38 5.2.1 Capital Improvements, Remodeling, and Equipment Installation or Relocation

The Department of Facilities Management is responsible for planning, designing, and constructing all new and remodeled buildings; for contracting and delivering all necessary utilities services; for all building maintenance and repairs; and for assisting in securing funding of all these operations. For more information, give us a call or visit the Construction and Planning pages on our website.

Safe and efficient operations of campus facilities depends upon skilled construction, maintenance, and repair by qualified firms and individuals, from architects and engineers to contractors and skilled trades-men and -women. Facilities Management is required to assure that the University complies with applicable building and safety codes, as well as the complex rules and procedures that apply to construction and maintenance of state buildings. The State Architect has sole authority to procure construction and related services; it is unlawful for any person to contract for or perform such services without express authority and approvals. Facilities Management has earned, and maintained over many years, a delegation of this authority from the State Architect (who is also the Director of State Buildings Programs) to carry out most capital construction activities. By exercising this delegation, Facilities Management makes it possible for campus projects to be carried out lawfully, safely, and in a prompt and efficient manner. Keeping this delegation in place is critical to the success of the University as a whole; so, it’s critical that Facilities Management, not individual departments and employees, manage these activities. Many services can be provided by Facilities Management staff, which saves the University money and time. Other services must be contracted out in accordance with the bidding and contracting requirements of the state. In either case, it takes both Facilities Management and the department that will use and benefit from the project, working together, to create high-quality outcomes.

All changes to University structures must have prior approval from Facilities Management. This includes moving of equipment (other than items that are intended to be easily portable and do not require heavy lifting, installation, or utility hookups). It also includes all building trades such as painting, electrical, plumbing, etc., and service or maintenance of building systems. Questions about any of these matters, or about building systems operations and repairs, may be directed to the Director of Facilities Management, at 491-0006.

5.2.2 University Space Allocation

Building space on the campus is a scarce resource which is expensive to build and to maintain. At 2007 cost levels, typical space costs well over $350 per square foot to design and build classroom/office space, $500 to $1200 per square foot to design and build lab space, and a little over $5 per square foot annually to properly maintain, heat and cool, insure, and to provide for safety, security and hazardous waste management support. Not included in the above are the costs of reserves for renewal/replacement as the facility wears out or becomes functionally obsolete. Therefore, all University resource managers must continually ask, and expect to be held accountable for assuring, that all programmatic activities and functions within the space assigned to them represent the highest and best use in support of the University’s goals and objectives. Unused or under-utilized space should be identified and made available for allocation to other University departments/programs.

Manager’s Quick Guide Page 39 Space and facilities are a University resource. They are not “owned” by any individual, department, unit, or faculty member, nor are any such persons or units entitled to use or occupy any specific space. Individuals or units are not allowed to permit occupancy or use by other entities. Questions about the assignment of space on campus may be directed to the Director of Facilities Management, at 491-0006.

5.2.3 Building Access and Security

Contact:

Facilities Management Key Desk Facilities Services North (corner of Pitkin and Mason) 6030 Campus Delivery 491-0056 or 491-0041

Resources: Key Desk Information & Resources Building Security and Access Policy

The Key Desk in Facilities Management is the central point for control of access to all University buildings and facilities. The Key Desk is open from 7:00 a.m. to 5:00 p.m. (7:00 a.m. to 4:30 p.m. during the Summer), Monday through Friday.

Most campus departments have a designated Key Manager who is the liaison with the Key Desk; he or she can take care of reporting lost or stolen keys, changing or installing locks, obtaining keys and key cards, and handling requests for after-hours access. If you don’t know who your Key Manager is, contact the Key Desk staff.

5.2.4 Transportation Services/Motor Pool

Contact:

Parking and Transportation Services Facilities Services Center South (on Pitkin between East Drive and Mason Street) 491-0016

Resources: General Vehicle Use Rental Vehicle Use

The University maintains a fleet of passenger cars for use by University employees in carrying out their official duties, as well as many specialized vehicles such as trucks, buses, and heavy equipment. While many University employees prefer to use their own personal vehicles for official business travel, and seek reimbursement for mileage as permitted under the Travel Rules, there are

Manager’s Quick Guide Page 40 times when it is more convenient or less expensive to use a car or truck from our fleet. Transportation Services is here to serve you for those needs.

Transportation Services operates independently of State Fleet Management, and is responsible for buying or leasing all vehicles to be owned or used by CSU, as well as for the maintenance and repair of those vehicles. Transportation Services also arranges out-of-state vehicle leases (not short-term rentals—see Section 4.7 on Travel), offers Defensive Driver Training for those employees who may operate passenger vans, and provides many other services. We are here to help make sure you can carry out your duties off campus by getting to your destination safely. If you have any questions about arranging for the use of a University vehicle—or any problem with one of our fleet vehicles or the service you received—contact the Director of Transportation Services at 491-0016.

SECTION 5.3 UNIVERSITY PARKING SERVICES

Contact: CSU Parking Services Lake Street Garage 1580 Center Avenue Fort Collins, CO 80523-6012

Resource: http://parking.colostate.edu/

The Department of Parking Services is a self-supporting enterprise operation within the Division of University Operations. Parking Services was established based on a state mandate that those who use campus parking must pay for what they use. So, staff, faculty, students and visitors pay for parking in one of three ways: by buying a permit or paying a meter, or, when those methods are not used, by paying a fine. Permit fees and fine amounts are approved by the Board of Governors, and have remained well below the average costs at CSU’s peer institutions despite rising costs of operations. A new 865-space parking garage, located at the intersection of Prospect Road and Centre Avenue, brought the total number of parking spaces on campus to approximately 13,400. While it may not always be possible to snag that last space close to the building three minutes before your class or meeting, parking is almost always available within a few minutes’ walk of any destination on campus; it helps if you plan ahead. All the money collected from parking operations goes to support the provision of parking facilities and operations. The program does NOT receive tax or tuition money, but uses the money it collects from permit sales, meter collection and fines to pay for all costs. These costs include new construction, maintenance of existing facilities, signage and enforcement. Permit fees for the current year may be found on the Parking Services website, along with parking area maps and information. Permits can be purchased (and fines paid) online, and citations may also be appealed through the website.

SECTION 5.4 CENTRAL RECEIVING, MAIL SERVICES, AND SURPLUS PROPERTY

Contact:

Manager’s Quick Guide Page 41 Central Receiving 491-2736 Mail Production 491-6142 Mail Distribution 491-6709 Surplus Property 491-1918 200 W. Lake St. 6011 Campus Delivery

5.4.1 Central Receiving and Mail Services

The Departments of Central Receiving, Mail Services and Surplus Property (usually referred collectively as Central Receiving, or CR) provides an array of logistics, materials handling and accounting services. All incoming mail and packages, whether from the U.S. Postal Service or any other carrier or courier service, are received at 200 W. Lake Street and distributed to their ultimate campus destinations by CR. CR handles University freight, express mail and parcel receipts and shipments; initiates claims for lost or damaged materials; delivers and picks up at campus locations; performs initial receipt and inspection of purchased materials; manages laboratory-grade alcohol dispensing; and provides packaging and crating services. Similarly, all outgoing campus mail is picked up by Mail Distribution personnel in individual departments and offices, then taken to CR where it is sorted, postage or shipping costs are calculated and paid, and handed over to the responsible courier or delivery service. Dangerous goods are properly prepared for shipping and declared to authorities by CR. CR also assists with the physical transport of export-controlled materials, and even provides large-scale shredding services.

5.4.2 Surplus Property

Surplus Property (SP) operations are housed in the Surplus Property Warehouse, located on the south side of Lake Street across from the main CR facility. Surplus Property is responsible for the handling and disposition of all property for which the University no longer has a use. Our main objective is to provide an opportunity for the reallocation of still-usable items from one area of the University to another area that has a need for them. If a new home cannot be found on campus, we may transfer the items to another state agency, or dispose of it in a suitable manner: through regular walk-in sales to the public, auctions, or advertised sales, or by recycling items that no longer have market value. Surplus Property often has used items in good condition that can be purchased by campus departments for far less than the cost of new, or even used equipment. A simple VGA to DVI connector that might cost $20 or more in a retail store might be found for a dollar or two at SP —check us out!

Manager’s Quick Guide Page 42 Chapter 6 PUBLIC HEALTH AND SAFETY

SECTION 6.1 PUBLIC SAFETY TEAM

Resource: Public Safety Team (http://safety.colostate.edu/public-safety-team.aspx)

Safety and security of the campus community is paramount in all campus operations, and over the last several years, a number of organizational changes have taken place to enhance the operational measures that help protect persons and property at CSU, including the creation of the Public Safety Team, which reports to the President and coordinates prevention strategies, policies, and education, as well as training in crisis prevention and threat-assessment techniques, and disaster preparedness, mitigation, response, and recovery. The Public Safety Team’s organizational structure includes Response Teams to handle specific types of emergencies, as depicted on the following page.

SECTION 6.2 CSU POLICE

Contact:

CSU Police Department 491-6425 Resource: http://police.colostate.edu/

CSUPD’s mission is to support the educational mission of CSU by providing professional, community-based services that enhance the health and safety of all community members. The department is committed to values of honesty, excellence, teamwork, commitment, accountability, dependability, and integrity. CSUPD does much more than responding to emergencies and enforcing the law on campus. CSUPD provides services to campus such as Bike Registration, SafeWalk, Citizen’s Academy, and Building Lockout assistance, to name just a few. CSUPD provides internship opportunities to students, helps conduct background checks, and investigates all criminal violations reported on campus. Any question, problem or concern regarding the CSUPD’s operations may be reported to the Chief of Police, or directly to the Vice President for University Operations.

Manager’s Quick Guide Page 43 Manager’s Quick Guide Page 44 SECTION 6.3 ENVIRONMENTAL HEALTH SERVICES (EHS)

Contact: Environmental Health Services 141 General Services Building Ft. Collins, CO 80523-6021 Ph: 970-491-6745 Fax: 970-491-4804 email: [email protected]

Resources: Colorado State University Health and Safety Policy

The Department of Environmental Health Services (EHS) is a professional multidisciplinary team. We promote environmental, occupational health, and safety services through education, consultation, monitoring and planning in response to present and future needs of CSU. Our many programs and operations include:

 Asbestos Program  Lightning Prediction and Warning  Biosafety  Magnetic Resonance Safety  Building Health and Safety  Materials Safety Data  CSU's DOT Program  Occupational Health & Safety Program  Emergency Response  Pest/Animal Issues  Environmental Quality Lab  Pool Sanitation  Ergonomics  Public Health  Food Sanitation  Radiation Control Office  Fume Hood Certification/Safety  Respiratory Protection  Hazardous Waste  Return to Work  Hearing Protection  Risk Management  Indoor Air Quality  Sanitary Sewer  Industrial/Construction Safety  SPCC Spill Prevention/Control  Lab Caution Signs  Water Quality Testing  Laser Safety

6.3.1 Hazardous Materials

Hazardous materials include biological, chemical and radioactive materials. The active teaching, research and service environment of the University frequently includes the use of hazardous materials and/or the generation of hazardous wastes. Individual faculty and staff members who utilize hazardous and bio-hazardous materials and/or who generate hazardous wastes and their departments and colleges have specific responsibilities concerning the handling and disposal of such materials. The responsibilities for each are outlined briefly below. Further information including written guides on specific materials, individual consultations, and training for

Manager’s Quick Guide Page 45 departmental staff on the proper handling and disposal of hazardous materials is available through Environmental Health Services, 491-6745. The EHS website contains detailed information, including training and forms..

6.2.1.1 Responsibilities of Individual Faculty and Staff Members

Individual users of hazardous materials have specific duties and responsibilities regarding handling and disposal under state and federal law and University policy. These responsibilities include hazardous waste identification and waste minimization as well as proper handling, use, storage and disposal. Note: Federal and State laws stipulate that each individual who generates hazardous waste is responsible for assuring compliance with regulations and proper hazardous waste management and is personally liable for instances of noncompliance.

6.2.2.2 Responsibilities of the Departments and Colleges

Each department and college within the University must assure that personnel who handle, use, store, or dispose of hazardous materials and/or generate wastes have received training in the safe use of such materials and the CSU hazardous waste handling system. In addition, departments are responsible for ensuring that users of these materials are complying with the University policy regarding hazardous materials acquisition, use, storage and disposal.

Each department that has laboratory facilities for teaching or research must assure that a mechanism is in place for hazardous waste disposal whenever graduate students or faculty and staff members complete their work or when they leave the University. It is the responsibility of the individual department to see that such waste is properly identified and disposed of through the CSU hazardous waste system. Hazardous materials left in laboratories after their users have moved on create a serious burden for faculty or staff moving into vacated facilities. Unknown or improperly labeled hazardous materials can significantly increase the costs to the department for waste identification and to the University for waste disposal. The analysis of such unknown wastes is the responsibility of the department generating the waste.

In addition, each college and department must provide all necessary equipment (containers, spill kits, pH paper, etc.) for proper hazardous materials waste handling and disposal and make available to users relevant information such as the Materials Safety Data Sheet (MSDS).

Manager’s Quick Guide Page 46 Chapter 7 POLICY AND COMPLIANCE AND RISK MANAGEMENT

SECTION 7.1 POLICY & COMPLIANCE

Contact: Office of Policy and Compliance 491-5257

Compliance Reporting Hotline: 491-5552 (see section 7.1.3 below)

7.1.1 Mission and Goals

A large University such as CSU is guided by a myriad of institutional policies, some driven by state or federal laws and regulations, others by health and safety concerns, and still more by the need for sound business practices and effective internal controls. The Office of Policy and Compliance (OPC) is responsible for researching, drafting, and assisting in the approval process for a wide range of University policy documents. Created in 2010, our program’s mission is to meet the policy and compliance needs of the University by facilitating policy development, assisting the campus community in finding, understanding, and applying University policy, and providing compliance tools and guidance. The OPC does not make University policy; we help research, draft, formalize, gain approval, and publicize policy.

In addition, the OPC is responsible for supporting compliance measures taken by University departments and officials in order to assure that applicable laws, regulations, and policies are observed and are reflected in the University's business practices. As part of this effort, the OPC Director leads a Campus Compliance Committee to review compliance issues, and foster business practices that comply with applicable laws and rules and regulations across many administrative and academic areas.

A capstone principle guiding all our services is that University policies, administration and operations should be transparent, fair and equitable, and accessible to all concerned. To foster these goals, OPC maintains the CSU Policy Library . The Policy Library was created as centralized, web-based resource where all CSU policies can be found. While there are still many policies to be added to the collection, hundreds of policy documents are already catalogued, described, and made accessible in the Library.

7.1.2 Policy Development Process

Manager’s Quick Guide Page 47 A University Policy is defined as a governing principle formally approved to provide assistance in the conduct of university affairs. University policies apply across the institution, and have impact on a substantial segment of the campus population; compare this with procedures and guidelines, which are designed to facilitate implementation of or compliance with policies, and may be specifically applicable to only one division, department, unit or business process. University policies authorize or constrain actions to enhance the university mission and operational efficiency; mitigate and manage institutional risk; and help assure compliance with federal, state and local laws and regulations.

University Policy is created when a responsible executive (usually a department head, Vice President, or program director, or a faculty, staff or student council representative) brings forward a proposal advancing the adoption of a new policy, or advocating changes to an existing policy. OPC receives the proposal (which may be submitted electronically using standard forms), reviews and researches the subject matter, and helps ready the proposal for the next stage of the development process. A graphic illustration of the entire policy development process may be viewed on the OPC website.

OPC works closely with the Office of General Counsel to assure that applicable laws and regulations are carefully considered. If the policy can be developed within the law, the proposal must then be evaluated in terms of its projected impact on the institution, community, and campus constituents (i.e., students, faculty and employees, as well as any other stakeholder groups such as students’ families or other members of the public). The proposal and impact assessment are then presented to the President’s Cabinet for consideration. If the Cabinet approves, the proposal can then be developed into a policy statement. OPC assists the proponent and interested stakeholders by drafting the policy, soliciting stakeholder input, further researching and analyzing legal factors, and determining whether other institutional policies will be affected or might conflict with the proposal.

Once this process is nearly complete, the policy goes back to OGC for final legal review. From there, it is heard by the full Cabinet and a recommendation is made to the President to adopt (or not to adopt) the Policy. The President’s signature is the last step in policy development and adoption, but only the beginning of the Policy’s impact.

For a Policy to be effective, it must be made known to the campus (and, specifically, those affected by it), and any required steps for implementation are taken. Once implemented, a responsible department or official, or several of these, must monitor the manner in which it is being applied, identify any unforeseen consequences, and take steps to help assure compliance. Policies are periodically reviewed by OPC and the responsible department(s) to assure their continued validity, necessity and benefit to the institution and campus community.

An alternative process known as “fast-track” policy development is also possible in many instances. Fast-track development is appropriate when the policy change is localized in its scope and impact, affects only a discrete group of people and/or business processes, and can be both fairly and readily implemented without the need for significant stakeholder input. For example, changes to the “Missing Student Notification” policy were required to assure continuing compliance with existing federal laws; very limited stakeholder input was required, because those laws dictated the policy content and manner of implementation, and only a few key administrators needed to be involved in order to correctly modify and implement the policy. A proponent of any new policy or policy revision may request consideration of the fast-track development process; the OPC is responsible

Manager’s Quick Guide Page 48 for consulting with the VPUO and other responsible executives to determine whether or not the method is appropriate.

7.1.3 Compliance Matters and the CSU Compliance Reporting Hotline

The counterpart to policy is compliance. While many campus departments and officials are concerned with legal and regulatory compliance—including the OGC, Internal Audit, Risk Management, EHS, and the Research Integrity and Compliance Review Office (RICRO), just to name a few—the OPC is responsible for assisting campus units with identifying compliance risk and strategizing risk mitigation. This is carried out through a Campus Compliance Committee, which brings many of the officials responsible for monitoring compliance together in a single forum.

Another key compliance tool implemented by OPC is the CSU Compliance Reporting Hotline. The University provides the Compliance Reporting Hotline for employees, students, constituents, and any other interested person to report concerns of non-compliance with laws, regulations, and substantive University policies. Anyone can make a report online, by phone, or by mail, and any of these methods may be used anonymously, if desired. All reports received will be reviewed by the appropriate University officials, beginning with the Director of Internal Audit and the Deputy General Counsel, to determine if further investigation and actions are warranted. The University takes every allegation of illegal or unethical conduct seriously and will pursue investigation and action when warranted.

Matters that may be reported by using the Hotline include, for example:

 Fiscal misconduct by University employees  Abuse of paid employee time  Violations of federal or state law or regulations  Serious or recurring violations of University policy in the performance of University duties  Research or scientific misconduct  Waste of University resources, funds or property  Serious or recurring abuse of University authority  Public safety issues (non-emergencies only!)  Animal Care and Welfare Concerns

To learn more, or to use the Compliance Reporting Hotline, visit the hotline’s home page or call 491-5552. In an emergency, or to report a crime in progress, always call 911 for assistance.

Manager’s Quick Guide Page 49 SECTION 7.2 RISK MANAGEMENT AND INSURANCE

Contact: Office of Risk Management and Insurance 491-6745

The Office of Risk Management and Insurance is a separate department of the Division of University Operations, headed by the University Risk Manager. The Risk Manager works closely with the Public Safety Team as well as the EHS Loss Control programs (see Section 6.3 of this Guide). The Risk Management team is comprised of experts in the fields of insurance, loss prevention and control, ergonomics, liability, workers’ compensation, and return to work.

CSU, as an entity of the State of Colorado, is protected from civil liability in tort pursuant to the Governmental Immunity Act (see Section 1.4 of this Guide), but, unlike most state agencies, CSU is not insured by the State of Colorado’s Risk Management program. Rather, CSU is self-insured, and maintains loss reserve funds to cover most instances of liability. In addition, CSU carries many types of commercially underwritten insurance coverage, including:

 Worker's Compensation Insurance  Crime Insurance  Auto Liability Insurance  Property Insurance  Certificates of Insurance  Field Trips and Other Insurance  Special Needs and Accidental Injury Insurance  Student Interns Insurance  Student Organizations Insurance  Foreign Liability Insurance  General (Excess) Liability Insurance

CSU provides Workers’ Compensation coverage to employees for compensable on the job injuries. Workers’ Compensation covers medical expenses and provides other benefits to workers with compensable claims. Workers’ Compensation rules and regulations are extremely complex, and failure to comply can mean substantial penalties for CSU. Supervisors need to be aware of their responsibilities in accordance with statute. The Office of Risk Management offers regular supervisor training. For more information please contact the Office of Risk Management at 970- 491-6745. For more information please see the “Workers’ Compensation” link on the Risk Management website.

The Risk Manager is also the campus’ advocate for Enterprise Risk Management, a concept that involves examining risks on a holistic basis and coordinating programs and activities to help understand, assess, mitigate and respond to all types of risks.

Manager’s Quick Guide Page 50 Chapter 8 USEFUL INFORMATION ABOUT CSU

SECTION 8.1 LAND-GRANT MISSION

Inspired by its land-grant heritage, Colorado State University is committed to excellence, setting the standard for public research universities in teaching, research, service and extension for the benefit of the citizens of Colorado, the United States, and the world. For more about the Morrill Act of 1862 and CSU’s heritage, check out About Colorado State University online.

SECTION 8.2 UNIVERSITY ORGANIZATION

The Board of Governors (BOG) of the Colorado State University System (CSUS) is the governing organization for the three schools in the Colorado State University System: Colorado State University, Colorado State University – Pueblo, and the non-traditional campus of Colorado State University – Global Campus. The Board consists of 13 members and meets at least eight times a year. The nine voting members on the Board are appointed by the Governor and confirmed by the state senate. There are four advisory members (a student representative and a faculty representative from each of the two traditional institutions).

The University Organization Chart may be found on the website of the Office of the President. Individual Division, College and/or Department Organization Charts (where available) should be requested from the appropriate office.

SECTION 8.3 UNIVERSITY LOGO, TRADE AND SERVICE MARKS

The University’s logo and other symbols commonly used to represent Colorado State University are protected by trademark and copyright laws. CSU employees generally have no authority to grant permission (license) to any other party to use or reproduce the CSU logos, trademarks, wordmarks, or other intellectual property. Requirements for use of the University logo and other registered marks may be found in the CSU Graphic Standards Manual. Contact Communications and Creative Services at 491-6432 for additional information.

Manager’s Quick Guide Page 51 SECTION 8.4 AFFILIATED FOUNDATIONS

8.4.1 Colorado State University Foundation (CSUF)

CSUF is an independent nonprofit corporation separate from Colorado State University, organized to assist in the promotion, development and enhancement of the University's educational, research, and outreach programs, and to enhance the opportunities of its faculty, students and alumni. CSUF receives, manages and invests contributions, gifts, grants, devises or bequests of funds or personal property from donors to use and apply to the scientific, literary, or educational purposes of the University. CSUF disburses funds to the University upon proper authorization. Gifts or contributions to the University must be deposited with CSUF, and not into any other University accounts. Further, donor instructions for expenditure, if any, must be provided to CSUF as well. Payments for University services rendered are not contributions or gifts and may not be deposited with CSUF. Rather, these receipts are revenues from sales and services activities to be deposited to a University enterprise or general operations fund account. CSUF is located in the University Services Center in Ft. Collins. The phone number is 491-7135.

8.4.2 COLORADO STATE UNIVERSITY RESEARCH FOUNDATION (CSURF) Contact:

CSURF 491-2933

CSURF is an independent, nonprofit corporation, separate from Colorado State University, that provides business and administrative support to the research and educational programs at schools within the Colorado State University System. CSURF manages devises or gifts of real property, land acquisition, development and management; patent and licensing management/technology transfer; and debt financing through mortgage debt service, equipment leasing and municipal lease administration. CSURF is responsible for land assets with an estimated market value in excess of $10 million.

Acting as agent for Colorado State University, CSURF pursues patents on technologies developed at the University and funds this entire process. CSURF also licenses and markets these technologies to private industry worldwide. Royalties paid are disbursed to the inventor, the inventor's department or college and the University in a ratio predetermined by the provisions of the operating agreement between the University and CSURF and as outlined in the Academic Faculty and Administrative Professional Manual.

While CSURF is an independent entity, the University President and Vice President for Research both serve as ex-officio, non-voting members of CSURF's Board of Trustees and act as the official liaisons between the Colorado State University System and CSURF. CSURF is located at 410 University Services Center, 601 S. Howes Street, 9100 Campus Delivery, Fort Collins, CO 80523- 9100.

Manager’s Quick Guide Page 52 CSURF also is responsible for managing the University’s real estate interests through the CSURF Real Estate Office (CSURF-REO). Contact REO (491-2625) for assistance with acquisitions of real property interests such as leases and licenses.

Manager’s Quick Guide Page 53