2019 06 19-20 Board of Trustees Meeting Materials

CASTLETON UNIVERSITY OFFICE OF THE CHANCELLOR COMMUNITY COLLEGE OF VERMONT PO BOX 7 NORTHERN VERMONT UNIVERSITY MONTPELIER, VT 05601 VERMONT TECHNICAL COLLEGE P (802) 224-3000

June 13, 2019

MEMORANDUM

TO: Board of Trustees, Vermont State Colleges

FROM: J. Churchill Hindes, Chair Jeb Spaulding, Chancellor

SUBJECT: Materials for Board of Trustees Meeting June 19-20, 2019

Attached are the agenda and supporting materials for the upcoming regular Board meeting, Wednesday and Thursday, June 19th and 20th.

Wednesday will begin with arrival at 12:00 p.m. for those staying at Hoff Hall (for check in) or 12:30 p.m. to grab a light lunch at Campus Center and board the bus to the nearby CU Archaeological Dig site. The LRPC Committee Meeting will begin promptly at 3:00 p.m. followed by dinner. On Thursday breakfast will be served at 7:00 a.m. followed by assorted meetings and CU presentations sta,rting at 10:00 a.m. and going through lunch. The Board meeting will begin at 1:00 p.m. Materials for the Committee and Board meetings are available for viewing now.

Meetings will take place at Castleton University in the 1787 Room at 62 Alumni Drive, Castleton, VT. Here is a link for directions: https://www.castleton.edu/admissions/visit/maps- directions/#campus

Cc:

AcademicVSC Board D ofeans Trustees BusinessCouncil of A Presidentsffairs Council Student Affairs Council

WWW.VSC.EDU [email protected] Directions to Castleton University

If you plan to locate the campus by GPS, use the following address for the Admissions Office & Main Entrance: 86 Seminary Street Castleton, VT 05735.

Points East

• Take I-93 North to I-89 North. Take exit 1, Rt. 4 West to Rutland. Follow Rt. 4 (approximately 55 miles on secondary road) to exit 5, Castleton. Follow signs to campus.

Points West

• Take NY State Thruway I-87 to the Northway. Follow to exit 20, Rt. 149. Follow Rt. 149 East to Rt. 4 North, to Rt. 4 East. Follow Rt. 4 East until exit 4, Castleton. Take Rt. 30 South, then turn left on Rt. 4A East to campus.

Points South

• Take I-91 North to exit 6 (Rt. 103). Follow Rt. 103 North to Rt. 7 North. Take Rt. 4 West to exit 5, Castleton. Follow signs to campus.

Points North

• From the Burlington area - Take Rt. 7 South to Rt. 30 South to Castleton Corners. Turn left onto RT. 4A East. Follow signs to campus. • From the St. Johnsbury area - Take I-91 South to I-89 North to exit 1, Rt. 4 West. Follow approximately 55 miles to exit 5, Castleton. Follow signs to campus.

GUIDE TO THE CASTLETON CAMPUS 11. Greenhouse 20. Outdoor Classrooms PARKING 12. Public Safety 21. Castleton Pavilion 35. Chapel Lot 1. Wright House 5. Leavenworth Hall 13. Campus Center 22. Facilities Barn Admissions Communication 36. Fine Arts Center Lot Castleton Store 23. Tennis Courts 2. Old Chapel Languages 37. Admissions/Leavenworth Lot Fireside Café 24. Spartan Arena 3. Fine Arts Center Social Sciences 38. Woodruff Lot Admissions Office: Mailroom 25. Castleton Downtown Galleries Art 6. Moriarty House 39. Stafford Lot 86 Seminary Street, Castleton Student Government Assoc. Casella Theater Coffee Cottage (800)639-8521 (802)468-1213 Student Life RESIDENCE HALLS 40. Observatory Lot Christine Price Gallery International Student Office TDD Relay: 800-253-0191 Wellness Center 26. Hoff Hall 41. Jeffords Lot - Charging Station Music 7. Calvin Coolidge Library [email protected] Radio Station Conferences & Events 42. Hope Lot Theater Arts 8. President’s Home 14. Huden Dining Hall 27. Castleton Hall 43. Hoff Lot Conference and Events Office: Soundings Office 9. Stafford Academic Center 15. Spartan Athletic Complex 28. Ellis Hall 44. South Street Lot 802-468-6039 3a. Art Annex Information Technology Athletic Training 29. Wheeler Hall 45. Athletic Complex Lot 4. Woodruff Hall Education [email protected] Glenbrook Gymnasium 30. Morrill Hall Academic Deans’ Office Mathematics 46. Campus Center Lot castleton.edu/conferences Physical Education 31. Haskell Hall Alumni/Development Office Media Services 47. Castleton Lot 16. Fitness Center 32. Adams Hall Business Administration Nursing 17. Running/Fitness Trail 33. Babcock Hall Marketing/Communications 10. Jeffords Center 18. Athletic Fields 34. North, Audet, South Houses Parking President’s Office Psychology 19. Dave Wolk Stadium Financial and Registration Services Sciences Residence Halls 22 Accessible parking spaces

23 19 44 21 18 43 17 40 26 20 28 42 29 8 30 45 41 9 12 14 15 39 31 32 7 16 11 10 33 13 38 4 27 3a 5 6 3 20 46 36 47 34 1 2 35 37 South Street

Elm Street

Seminary Street

24, 25 Spartan Arena, Castleton Galleries (Rutland, 12 miles) Main Street, Castleton

Vermont State Colleges Board of Trustees Meeting

June 19-20, 2019

Castleton University Castleton, VT

BOARD OF TRUSTEES J. Churchill Hindes, Chair (2/28/21)

Janette Bombardier Karen Luneau, Secretary (2/28/21) (2/28/21) Megan Cluver Jim Masland (3/1/23) (2/28/22) Rep. Eileen “Lynn” Dickinson, Vice Chair Linda Milne, Treasurer (2/28/20) (2/28/21) Margaret “Peg” Flory Michael Pieciak (3/1/23) (2/28/21) Rep. Dylan Giambatista David Silverman (3/1/22) (2/23/22) Adam Grinold Governor Phil Scott (3/1/23) (ex officio) Rep. Bill Lippert, Jr. Jesse Streeter (2/28/20) (5/30/19) Board Committees

Education, Personnel Audit & Student Life Executive Linda Milne, Chair Jim Masland, Chair Church Hindes, Chair Lynn Dickinson, Vice-Chair Karen Luneau, Vice Chair Lynn Dickinson, VC Megan Cluver Janette Bombardier Karen Luneau Karen Luneau Megan Cluver Linda Milne David Silverman Peg Flory Jesse Streeter Finance & Facilities Long Range Planning Church Hindes, Chair Michael Pieciak, Chair David Silverman, Vice Chair Janette Bombardier, Vice Chair Lynn Dickinson Megan Cluver Peg Flory Lynn Dickinson Adam Grinold Dylan Giambatista Linda Milne Adam Grinold Michael Pieciak Bill Lippert

Board Meeting Dates

June 19-20, 2019 Castleton University September 17-18, 2019 Lake Morey Resort December 2, 2019 Northern Vermont University-Lyndon

VSC Chancellor’s Office Jeb Spaulding, Chancellor

Director of External and Governmental Affairs Tricia Coates Chief Information Officer Kevin Conroy Associate General Counsel Todd Daloz System Controller/Senior Director of Financial Operations Sheilah Evans Administrative Director Jen Porrier Chief Financial Officer Steve Wisloski General Counsel Sophie Zdatny Chief Academic Officer Yasmine Ziesler

May 23,, 2019 Vermont State Colleges System

Board of Trustees June 19-20, 2019 Castleton University, Castleton, Vermont

SCHEDULE

Day 1: Wednesday, June 19 – Campus Center

12:00-12:45 Arrival, light lunch, prep for 1:00 p.m. departure to Archaeological Site

1:00 – 2:45 Travel to and tour of Buckner Preserve

3:00-5:00 Long Range Planning Committee

6:00 Cocktails and Dinner

9:00 Star gazing

Day 2: Thursday, June 20th -Campus Center 1787 Room & Fireside Cafe

7:00 - 8:00 Breakfast 8:00-10:00 Board of Trustees Executive Session for the purpose of discussing public officials 10:00 - 11:00 The Value of International Recruitment, President Karen Scolforo 11:00 - 12:00 Castleton University Fundraising Strategies: Scholarships for Spartans, Courtney Widli ’13, Director of Alumni and University Relations 12:00 - 12:45 Lunch 1:00 – 3:00 Board of Trustees Business Meeting Vermont State Colleges System Board of Trustees Business Meeting June 20, 2019 at 1:00 pm Castleton University, Castleton, Vermont

AGENDA

1. Approval of Meeting Minutes a. March 23, 2019 b. May 29, 2019

2. Discussion: Human Crisis/Disaster Response Planning at our Campuses

3. Report of the Finance & Facilities Committee a. Approval of Annual Banking and Investment Resolution b. Approval of FY 2020 System Annual Operating Budget c. Approval of amendments to Policies 408, 423, 424, and 503, and new Policy 435 d. Approval of waiver of Policy 410 for FY2019

4. Report of the Long Range Planning Committee a. Approval of Amendments to the LRPC Committee Charge b. Securing the Future of the Vermont State Colleges System Initiative

5. Report of the EPSL Committee a. Approval of proposed new A.A. in Psychology program at NVU b. Approval of Policy 102 revision c. Approval of new Chosen Name Policy 315 d. Approval of administrative revisions to FERPA Compliance Policy 312

6. Report of the Audit Committee a. Election of fifth member to Audit Committee

7. Legislative Report and Planning

8. Probable Executive Session for the purpose of discussing the appointment of public officials

9. Report of the Executive Committee a. Reappointment recommendations for presidents and chancellor b. Hall of Fame review and recommendation; approval of 2020 event c. Approval of proposed Board of Trustee 2019-2020 meeting schedule and committee meeting schedule

10. Report of the VSCSA 11. Presidents’ Updates

12. Chancellor’s Updates

13. Comments from the Public

14. Date of Next Meeting: Board of Trustees Annual Retreat Tuesday & Wednesday, September 17-18, 2019 Lake Morey Resort, Fairlee, VT MATERIALS Item 1: March 23, 2019 Meeting Minutes May 29, 2019 Meeting Minutes Item 2: Annual Banking and Investment Resolution FY2020 System Annual Operating Budget Resolution Policies 408, 423, 424, 435, 503 Resolution Waiving Policy 410 Item 3: Amendments to LRPC Committee Charge Securing the Future of the Vermont State Colleges System Item 4: A.A. in Psychology program proposal at NVU Policy 102 revisions Policy 315 Chosen Name Policy 312 FERPA Compliance revisions Item 5: Article: The Audit Committee’s role in Disaster Recovery, Crisis Management and Resilience Information Technology and Business Continuity: Disaster Recovery Plan Goals and Objectives Item 6: 2019-2020 proposed meeting schedule VSCS Board of Trustees Meeting June 19-20, 2019

Item 1a: Minutes of the March 23, 201 9 Meeting

10 VSCS Board of Trustees Meeting June 19-20, 2019

Minutes of the VSCS Board of Trustees Meeting held Saturday, March 23, 2019 at The Stearns Performance Center, Northern Vermont University-Johnson, Johnson, VT- UNAPPROVED

Note: These are unapproved minutes, subject to amendment and/or approval at the subsequent meeting.

The Vermont State Colleges Board of Trustees met on Saturday, March 23, 2019 at NVU- Johnson.

Board members present: Church Hindes (Chair), Janette Bombardier (via phone), Megan Cluver, Lynn Dickinson (Vice Chair), Peg Flory (via phone), Bill Lippert (via phone), Linda Milne (Treasurer), Michael Pieciak, David Silverman, Adam Grinold (via phone)

Absent: Dylan Giambatista, Karen Luneau, Jim Masland, Jesse Streeter

Presidents: Elaine Collins, Joyce Judy, Pat Moulton, Karen Scolforo (via phone)

Chancellor’s Office Staff: Jeb Spaulding, Chancellor Tricia Coates, Director of External & Governmental Affairs (via phone) Todd Daloz, Associate General Counsel Kevin Conroy, Chief Information Officer Sheilah Evans, System Controller & Senior Director of Financial Operations Jen Porrier, Administrative Director Steve Wisloski, Chief Financial Officer Sophie Zdatny, General Counsel Yasmine Ziesler, Chief Academic Officer

From the Colleges: Nolan Atkins, Provost, Northern Vermont University Rebecca Bingham, student, NVU-Johnson Michael Carter, Instructional Technology Specialist, Northern Vermont University Mike Dente, Chief Technology Officer, Northern Vermont University Barbara Flathers, Dean of Student Office, Northern Vermont University Rebecca Flieder, student, NVU-Johnson Mike Fox, Dean of Enrollment & Marketing, Northern Vermont University Emily Grant, Student, NVU-Johnson Laura Jakubowski, Chief Budget and Finance Officer, Castleton University Grace McGee, student, NVU-Johnson Darcie Miles, Executive Assistant to the President’s Office, Northern Vermont University Maurice Ouimet, Dean of Enrollment, Castleton University (via phone) Sylvia Plumb, Director of Marketing and Communications, Northern Vermont University Allan Rodgers, Dean of Academic Affairs, Vermont Technical College Patrick Rogers, Director of Admissions, Northern Vermont University Sharron Scott, Dean of Administration, Northern Vermont University

11 VSCS Board of Trustees Meeting June 19-20, 2019 Vermont State Colleges Board of Trustees Page 2 Board of Trustees Committee Meeting Minutes March 23, 2019 UNAPPROVED

Tyrone Shaw, Associate Professor, Northern Vermont University Jonathan Spiro, Chief Academic Officer, Castleton University (via phone) Dannielle Spring, Director of Conference and Events Planning, Northern Vermont University Mike Stevens, Director of Facilities, Northern Vermont University Toby Stewart, Controller, Northern Vermont University Alexandre Strokanov, Professor, Northern Vermont University Beth Walsh, Director of Career Development, Northern Vermont University Margo Warden, Director of First-Year Experience, Northern Vermont University

Guests: Peggy Williams Cathy DeLeo John DeLeo Barry Hertz Richard Moye Bill Crangle David Williams (via webcast) Casey Romero

Chair Hindes called the meeting to order at 1:12 p.m.

Chair Hindes recognized and welcomed the three new board members: Megan Cluver, Peg Flory and Adam Grinold.

1. Board consideration of candidates for Emeritus Status, Faculty Fellowships and Honorary Degrees

Due to time and travel constraints for the candidate, the Board took up the nomination for emeritus status immediately. Northern Vermont University President Elaine Collins introduced Dr. Peggy Williams and described the ways in which Dr. Williams meets and exceeds the qualifications for emeritus status.

Trustee Dickinson moved and Trustee Pieciak seconded the approval of the emeritus status resolution for Dr. Peggy Williams. The Board approved the resolution unanimously.

At this time the Board enjoyed a presentation by NVU discussing the Accreditation Update and Study Away Opportunities. President Collins spoke about the upcoming unification follow-up accreditation visit for NVU. Provost Nolan Atkins and Dean Jonathan Davis presented the student panel to discuss the different opportunities students have to engage in study and travel away. Each student discussed their individual experiences and benefits of their trip.

2. Approval of Minutes a. December 12, 2018 b. January 3, 2019 c. January 14, 2019 d. February 25, 2019

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Trustee Pieciak moved and Trustee Dickinson seconded the approval of the minutes. The minutes were approved with one abstention (Trustee Grinold).

3. Report and possible action from the Nominating Committee

Chancellor Spaulding gave an overview of the actions of the Nominating Committee who completed their nominations prior to the expiration of Trustee Diamond’s term. This year the Committee is required to recommend officers as well as nominate one new trustee while the remaining two trustee openings are gubernatorial nominations. The committee is recommending the following actions to the board: Recommendation of Officers: Vice-Chair, Lynn Dickinson Secretary, Karen Luneau Treasurer, Linda Milne Recommendation of New Board Member: Megan Cluver Recommendation of Five Trustees to the Audit Committee: Linda Milne, Lynn Dickinson, Karen Luneau, Mike Pieciak, and David Silverman Recommendation of Three Trustees to the Nominating Committee: Lynn Dickinson, Bill Lippert, and Janette Bombardier

Trustee Dickinson moved and Trustee Silverman seconded the motion to approve the appointment of Megan Cluver to the Board. The motion passed unanimously.

Trustee Pieciak moved and Trustee Dickinson seconded the motion to approve the recommendations of the Nominating Committee for officers and committee appointments. The motion passed unanimously.

4. Board Member IT Device and Clinic and Protocol

Chief Information Officer Kevin Conroy gave an overview of the security reasons to utilize VSC email and user-IDs. It was noted that, while the aim is to communicate solely using these avenues, assistance and education would be provided to all trustees during the shift. Jen Porrier stated that she would continue to copy personal emails during this transition period.

5. Report of the EPSL Committee

Trustee Dickinson gave a synopsis of the nominees for emeritus status and faculty fellowships and honorary degrees that were recommended by the EPSL committee. NVU President Elaine Collins discussed the Faculty Fellow nomination of Professor Katie Bouley and the Honorary Degree nomination for Cyndi Lauper. CU Chief Academic Officer Jonathan Spiro discussed the Faculty Fellow nomination of Professor Reese Boucher and the Emeritus nomination of Joyce Thomas. VTC President Pat Moulton discussed the Honorary Degree nomination of Patricia Menchini.

13 VSCS Board of Trustees Meeting June 19-20, 2019 Vermont State Colleges Board of Trustees Page 4 Board of Trustees Committee Meeting Minutes March 23, 2019 UNAPPROVED

Trustee Dickinson moved and Trustee Pieciak seconded the motion to approve all nominees for Emeritus Status, Faculty Fellowships and Honorary Degrees. The motion and relevant resolutions were approved unanimously.

Trustee Dickinson reviewed for the Board the recommendations of the EPSL Committee to approve the Programs for Review in 2019 per Policy 101, the closures of the Equine Studies and Fire Science programs at Vermont Tech, the addition of a B.S. in Radiologic Science at Vermont Tech, and the revisions to Policy 109.

Trustee Dickinson moved and Trustee Pieciak seconded the motion to approve the recommendations of the EPSL committee. The motion, including the addition of the Radiologic Science B.S. and the revisions to Policy 109, including closure of the Equine Studies and Fire Science programs was approved unanimously.

Dr. Ziesler described the proposal of Castleton University to relinquish the Castleton University radio license and requested that the Board act without prior approval of the EPSL committee. The EPSL committee discussed the relinquishment at its January 14, 2019 informational meeting with Castleton University Dean of Students Dennis Proulx but did not take action at the time as there was no quorum.

Trustee Dickinson moved and Trustee Milne seconded the motion to relinquish the Castleton University radio license. The motion was approved unanimously.

Dr. Ziesler shared a news video with the Board on the EMC² program, or “Essential Math for College and Careers”. VSAC, VSCS and VEA have partnered to create a course aimed at preparing students for life after graduation. https://www.wcax.com/content/news/New-program- aims-to-help-Vt-students-struggling-with-math-506997121.html

6. Report of the Finance and Facilities Committee

VSCS CFO Steve Wisloski shared information on a memorial endowment for Board approval. NVU President Collins shared that the endowment will fund the Lisa M. Korth memorial Scholarship with gifts from family and friends of Lisa Korth, class of 2012.

Trustee Milne moved and Trustee Dickinson seconded the motion to approve the Lisa M. Korth Memorial Scholarship Endowment. The motion was approved unanimously.

Chair Hindes reviewed with the Board the proposal to eliminate Trustee stipends.

Trustee Dickinson moved to terminate payment of annual stipends and/or per diems to the members of the Vermont State Colleges System Board of Trustees. This action is with the understanding that the Trustees may continue to be reimbursed for mileage and other expenses necessary for their service. Trustee Milne seconded the motion. The motion was approved unanimously.

14 VSCS Board of Trustees Meeting June 19-20, 2019 Vermont State Colleges Board of Trustees Page 5 Board of Trustees Committee Meeting Minutes March 23, 2019 UNAPPROVED

System Controller and Senior Director of Financial Operations Sheilah Evans shared that the process for the submission and reimbursement of mileage accrued by trustees is through the VSC portal. Assistance on this can be obtained through Administrative Director Jen Porrier.

7. Report of the Audit Committee

Trustee Milne shared information from the Audit Committee’s most recent meeting on February 11, 2019. The Committee heard from the members of the business teams who are part of the internal audit program. They identified the internal audit subject of the purchase card system. The Audit Committee will also be reviewing the VSCS’s disaster and recovery plan.

8. Legislative Update

Director of External & Governmental Affairs Tricia Coates shared that the Vermont House Appropriations Committee approved $3 Million in ongoing funds for the VSCS and eliminated the budget language referring to a tuition freeze. The House Institutions Committee approved $2 Million in capital funds for the VSCS for each of two years of the bill. The House Appropriations Committee approved and additional $200k to VTC to explore the delivery of associates degree programs in CTE centers. The State is looking for a solution surrounding student record management for colleges that are closing. The House passed a workforce development bill to identify a new structure and focus for the delivery of adult technical education in the state. The Senate Education Committee passed a bill that creates a task force to look at campus sexual harassment; VSCS will be represented on that task force. 9. Report of Hall of Fame Planning Committee

Chancellor Spaulding recapped the success of the 2019 VSCS Hall of Fame event. The student speaker and master of ceremonies Governor Jim Douglas were praised, and several members commented on the honor of having four governors present and onstage. The VSCS brand was showcased and our mission was shared with attending legislators.

10. Tentative Board and Committee Meeting Dates

Chair Hindes shared the proposed Board and Committee meeting dates for 2019-2020 and encouraged feedback from the Board prior to final approval at the June 19th meeting. 11. Reports from Presidents and VSCSA

CCV President Judy encouraged everyone to follow CCV Now. VTC President Moulton shared that the VTC Knights basketball team made it to the semi-finals in their athletic conference tournament. A new Apprenticeship Program with Global Foundries is in the works, and a new Academic Dean was announced and will be starting in mid-May. NVU President Collins shared that applications are up by 35% over last year and both acceptances and deposits are also up. NVU has also hired a new Development and External Affairs Officer. Jonathan Spiro spoke on behalf of CU and shared that they are eager to start the programs recently approved by the Board.

15 VSCS Board of Trustees Meeting June 19-20, 2019 Vermont State Colleges Board of Trustees Page 6 Board of Trustees Committee Meeting Minutes March 23, 2019 UNAPPROVED

They have a campaign for campus naming underway now. They are receiving a number of applications from former students of Green Mountain College, Southern Vermont College and the College of St. Joseph.

12. Comments from the Public

Dr. Dickinson expressed his appreciation for the Hall of Fame event and congratulations on its success. Next meeting: Wednesday June 19, 2019, Castleton University

13. Other Business:

Chair Hindes passed out the new committee assignments. He also mentioned the upcoming commencement dates of the VSCS institutions and encouraged the trustees to attend and ensure attendance at each commencement.

Chair Hindes adjourned the meeting at 3:52 p.m.

16 VSCS Board of Trustees Meeting June 19-20, 2019

Item 1b: Minutes of the May 29, 2019 Meeting

17 VSCS Board of Trustees Meeting June 19-20, 2019

Minutes of the VSCS Board of Trustees Special Meeting held Wednesday, May 29, 2019, in Room 101 of the Chancellor’s Office, Montpelier, VT. - UNAPPROVED

Note: These are unapproved minutes, subject to amendment and/or approval at the subsequent meeting.

The Vermont State Colleges Board of Trustees met for a special meeting on Wednesday, May 29, 2019, at the Chancellors Office.

Board members present: Church Hindes (Chair), Janette Bombardier, Lynn Dickinson (Vice Chair), Megan Cluver, Dylan Giambatista (by phone), Adam Grinold, Bill Lippert, Karen Luneau (Secretary), Jim Masland, Linda Milne (Treasurer), Michael Pieciak and David Silverman.

Absent: Peg Flory and Jesse Streeter.

Presidents: Elaine Collins, Joyce Judy, Pat Moulton, and Karen Scolforo

Chancellor’s Office Staff: Jeb Spaulding, Chancellor Tricia Coates, Director of External & Governmental Affairs Todd Daloz, Associate General Counsel Steve Wisloski, Chief Financial Officer Sophie Zdatny, General Counsel Yasmine Ziesler, Chief Academic Officer

From the Colleges: Nolan Atkins, Provost, Northern Vermont University Kate Gold, Director of Advising Resources, VSCUP President, Northern Vermont University Laura Jakubowski, Chief Budget & Finance Officer, Castleton University Maurice Ouimet, Dean of Administration, Castleton University Andy Pallito, Dean of Administration, Community College of Vermont Sharron Scott, Dean of Administration, Northern Vermont University Littleton Tyler, Dean of Administration, Vermont Technical College

Chair Hindes called the meeting to order at 12:47 p.m. and noted his appreciation for the Trustees being present at this special meeting of the Board.

Chancellor Jeb Spaulding provided a brief review of the process leading to the Board’s prior approval of a tuition increase of 2.9% for fall 2019, as well as the later agreement with the Governor that if the VSCS received a $3 million increase to its base appropriation, the VSCS would reverse the tuition increase for undergraduate Vermonters. After the Legislature passed a lower base appropriation increase of $2.5 million, the Governor requested that the VSCS not go forward with the previously approved 2.9% increase and only increase Vermont undergraduate

18 VSCS Board of Trustees Meeting June 19-20, 2019 Vermont State Colleges Board of Trustees Page 2 Board of Trustees Special Meeting Minutes May 29, 2019—UNAPPROVED

tuition by 1% for the upcoming year. The Governor also indicated his comfort with a $100 increase to the previously approved FY2020 room rates, understanding that even with annual increases, the current room rates are significantly below market.

Governmental and External Affairs Director Tricia Coates gave a final legislative update for FY2019. She shared that the VSCS base appropriation increased by $2.5 million with an additional $500,000 of one-time funds. Ms. Coates indicated that there is a strong interest among legislators in retention and graduation rates, and VSCS will work in conjunction with UVM to produce a report to the Legislature addressing this topic. VSCS also received a modest additional increase to its capital appropriation of $100,000 for total of $2.1 million for FY2020.

Chief Financial Officer Steve Wisloski shared resolution 2019-001 and 2019-002, addressing FY2020 undergraduate Vermonter tuition and room rates, respectively. Resolution 2019-001 serves to mitigate the effective tuition increase for FY2020 from 2.9% to 1.0% by providing a “2019-20 Undergraduate Vermont Tuition Waiver” for undergraduate Vermonters attending existing programs at Castleton University, Northern Vermont University, Vermont Technical College and the Community College of Vermont for the dollar amounts shown in attachment.

Trustee Silverman moved and Trustee Dickinson seconded the motion to approve Resolution 2019-001. The motion passed unanimously.

Because the average room rates from a representative sample of the System’s competitor colleges are almost $1,500 higher than the System’s room rates, resolution 2019-002 increases FY2020 room rates by $100.

Trustee Silverman moved and Trustee Masland seconded the motion to approve Resolution 2019-002. The motion passed unanimously.

Chair Hindes adjourned the meeting at 1:27 p.m.

19 VSCS Board of Trustees Meeting June 19-20, 2019 CASTLETON UNIVERSITY OFFICE OF THE CHANCELLOR COMMUNITY COLLEGE OF VERMONT PO BOX 7 NORTHERN VERMONT UNIVERSITY MONTPELIER, VT 05601 VERMONT TECHNICAL COLLEGE P (802) 224-3000

MEMORANDUM

TO: Vermont State Colleges System Board of Trustees

FROM: Steve Wisloski

DATE: June 12, 2019

SUBJ: Finance and Facilities Committee Agenda Items for June 20 Board Meeting

At its meeting on May 29, the Finance and Facilities Committee moved to recommend the following four (4) items for approval by the full Board of Trustees:

1. The Annual Banking and Investment Resolution, which prescribes financial activities empowered to the Chancellor, Presidents, Chief Financial Officer and Deans of Administration;

2. Fiscal Year 2020 System Annual Operating Budget Resolution, which approves budgeted expenses of $182.544 million and an operating deficit of $2.138 million or 1.2%;

3. Amendments to Policies 408, 423, 424 and 508, as well as a new Policy 435, which are described in more detail in a memorandum accompanying these changes;

4. Approval of a Resolution waiving Policy 410, Financial Aid and Other Financial Awards, for fiscal year 2019, in anticipation that an amendment updating this Policy, which was last revised in January 1999, will be presented for the Board’s consideration at its September meeting.

Materials related to each of these four items are attached hereto. Should you have any questions regarding these materials, please contact me at [email protected] or (802) 224-3022. Thank you.

Attachments: 1. Annual Banking and Investment Resolution 2. Fiscal Year 2020 System Annual Operating Budget and Resolution 3. Memorandum and clean and redlined policies 4. Resolution waiving Policy 410, Financial Aid and Other Financial Awards

WWW.VSC.EDU [email protected] 20 VSCS Board of Trustees Meeting June 19-20, 2019

Item 2a: Attachment 1: Annual Banking and Investment Resolution

21 VSCS Board of Trustees Meeting June 19-20, 2019

Annual Banking and Investment Resolution

The Vermont State Colleges System’s Banking and Investment Resolution prescribes what financial activities are empowered to the Chancellor and/or Chief Financial Officer on behalf of the System, and what are empowered to the Presidents and/or Deans of Administration on behalf of the individual Institutions. Financial institutions with which we deal desire to see such a document endorsed periodically by the Trustees, to assure the Board is currently comfortable with its implications. To accommodate this desire, now presented for review and approval is the following resolution, which is unchanged from the one passed by the Board last year.

While resolution wording is in necessary legal language, essentially it: (a) empowers the Chancellor and/or Chief Financial Officer to establish bank or other accounts for System operations as well as System cash management and investment activities; to secure financing consistent with applicable Board or legislative authority; to pledge collateral as may be necessary for certain financing; and to handle virtually all other aspects relevant to financial matters of the System; and (b) empowers Institution Presidents and/or Deans of Administration to administer bank or other accounts for respective Institution operations as well as Institution cash management activities.

22 VSCS Board of Trustees Meeting June 19-20, 2019

VERMONT STATE COLLEGES SYSTEM

BOARD OF TRUSTEES

RESOLUTION 2019-003

Banking and Investment

WHEREAS, The conduct of the business affairs of the Vermont State Colleges System and each of its constituent member Institutions requires the establishment of banking relations and investment of funds; and

WHEREAS, The selected officials of the System should be empowered to conduct banking and investment affairs in keeping with the organization of System; and

WHEREAS, The term “bank” throughout this resolution also refers to credit unions and other depository or lending institutions that are licensed by the state of Vermont or the federal government; therefore, be it

RESOLVED, That the Chancellor and/or Chief Financial Officer are authorized to do the following:

1. Establish accounts with banks and authorized brokers/dealers (safekeeping, trust, checking, savings, money market, time or demand deposit) through which to transact the cash management and investment business of the System, and delegate authority for initiation of related wire transfers;

2. Borrow money and obtain credit from banks, authorized brokers/dealers, or other lending agencies in conformity with Board of Trustees approved budgets: and execute and deliver notes, draft acceptances, instruments of guaranty, and any other legal obligations of System, therefore, in form satisfactory to the lending agency;

3. Pledge or assign and deliver, as security for money borrowed or credit obtained, stocks, bonds, bills receivable, accounts, mortgages, merchandise, bills of lading or other shipping documents, warehouse receipts, insurance policies, certificates and any other property held by, or belonging to, this corporation, with full authority to endorse, assign,

23 VSCS Board of Trustees Meeting June 19-20, 2019

transfer or guarantee the same in the name of this corporation, except as restricted by Vermont Statute;

4. Discount any bills receivable or any paper held by this corporation, with full authority to endorse the same in the name of this corporation;

5. Withdraw from banks or authorized brokers/dealers and give receipt for, or authorize banks or authorized brokers/dealers to deliver to bearer or to one or more designated persons, all or any documents and securities or other property held by it, whether held as collateral security or for safekeeping or for any other purpose;

6. Invest funds of System in legal investments as established by Board of Trustees policy;

7. Sell or authorize and request banks, or authorized brokers/dealers to purchase or sell, for the account of this corporation, foreign exchange, stocks, bonds, and other securities;

8. Apply for and receive letters of credit, and execute and deliver all necessary or proper documents for that purpose;

9. Execute and deliver all instruments and documents required in connection with any of the foregoing matters, and to affix the seal of this corporation; and, be it further

RESOLVED, That the President, Dean of Administration, Chief Budget and Finance Officer or designee of each Institution of the System (Community College of Vermont, Castleton University, Northern Vermont University, Johnson State College, Lyndon State College, and Vermont Technical College) are authorized to do the following:

1. Administer bank or accounts (safekeeping, trust, checking, savings, money market, time or demand deposit) through which to transact the banking business of the Institution in which they are officers.

Approved: June 20, 2019

______J. Churchill Hindes, Chair of the Board of Trustees

24 VSCS Board of Trustees Meeting June 19-20, 2019

Item 2b: Attachment 2: FY2020 System Annual Operating Budget Resolution

25 VSCS Board of Trustees Meeting June 19-20, 2019

Unrestricted Revenues and Expenses Final FY2020 Budgets Vermont State Colleges System (Amounts rounded to $1,000)

EXECUTIVE SUMMARY

FY2019 FY2019 FY2020 Var Budget Projection Budget $ Variance > +3%

REVENUES Castleton University 50,906 50,934 56,958 6,052 * Community College of Vermont 27,624 28,038 27,504 (120) Northern Vermont University 56,169 55,090 56,730 561 Vermont Technical College* 37,030 37,605 38,714 1,685 * Chancellor's Office 250 250 500 250 TOTAL REVENUES 171,978 171,917 180,406 8,428 *

EXPENSES Castleton University 51,915 50,965 56,952 5,037 * Community College of Vermont 27,624 28,081 27,754 130 Northern Vermont University 57,169 57,402 58,496 1,327 Vermont Technical College* 37,004 37,831 38,842 1,838 * Chancellor's Office 250 250 500 250 TOTAL EXPENSES 173,962 174,529 182,544 8,582 *

NET REVENUES/(DEFICIT) Castleton University (1,009) (31) 6 1,015 * Community College of Vermont (0) (43) (250) (250) * Northern Vermont University (1,000) (2,312) (1,766) (766) * Vermont Technical College* 25 (226) (128) (153) * Chancellor's Office ‐‐ ‐ ‐ NET REVENUES/(DEFICIT) (1,984) (2,612) (2,138) (154) * ‐1.1% ‐1.5% ‐1.2% * Includes Workforce Development

26 VSCS Board of Trustees Meeting June 19-20, 2019

Unrestricted Revenues and Expenses Final FY2020 Budgets Vermont State Colleges System (Amounts rounded to $1,000)

FY2019 FY2020 Var Projection Budget Variance > +3% Notes

REVENUES Tuition and Fees 112,548 115,907 3,359 FY2020 System‐average increase of 1.0% for undergraduate Vermonters, 2.9% all others State Appropriation 28,934 31,938 3,004 * Base appropriation increase by $2.5 million, allocated per Policy 403 and tuition make‐whole Room and Board 24,186 25,969 1,783 * FY2020 increase of 3%, plus $100 increase to fall 2019 room rate Sales and Services 3,965 4,027 62 Provided by College Gifts 1,166 1,223 56 * Provided by College Other Revenue 1,118 1,344 226 * Provided by College TOTAL REVENUES 171,917 180,406 8,489 *

EXPENSES Salaries and Benefits 110,549 112,614 2,065 Increases of 3.25% PAT‐SUP, 3.5% Staff, 1% FTFF, 0‐3% NBU and 2% to medical premiums Services, Supplies, Travel 34,749 35,710 961 Provided by College Scholarships 17,446 19,948 2,502 * Provided by College Utilities 6,500 6,760 259 * Provided by College Other Expenses 437 810 373 * Provided by College Debt Service 8,589 9,162 573 * Provided by OC, 3rd of 4 years of debt relief from FY2017 restructuring Chancellor's Office ‐ ‐ ‐ Split by Policy 403 Allocation Formula, $8.1mm total, increase of 6% or $460k Other Transfers (3,740) (2,461) 1,279 * Includes return of health insurance budget surplus of $4.25mm (~42% increase over FY18 amount) TOTAL EXPENSES 174,530 182,544 8,012 *

NET REVENUES/(DEFICIT) (2,613) (2,137) 477 * ‐1.5% ‐1.2% ONE‐TIME FUNDS Carried Over Funds 1,178 250 (928) * Provided by College Strategic Reserve 226 128 (98) * Provided by College All Other 1,208 1,760 552 * Provided by College TOTAL ONE‐TIME FUNDS 2,612 2,138 (474) *

TOTAL OPERATING RESULT ‐‐ ‐ (must sum to zero; postive net revenue must be absorbed by one or more one‐time fund lines)

27 VSCS Board of Trustees Meeting June 19-20, 2019

Unrestricted Revenues and Expenses Final FY2020 Budgets Chancellor's Office (Amounts rounded to $1,000)

FY2019 FY2020 Var Projection Budget Variance > +3% Notes

REVENUES Tuition and Fees ‐ ‐ ‐ State Appropriation 250 500 250 * One‐time funds per H.542 Sec. C.100(a)(24) to develop strategies to improve retention and graduation rates Room and Board ‐ ‐ ‐ Sales and Services ‐ ‐ ‐ Gifts ‐ ‐ ‐ Other Revenue ‐ ‐ ‐ TOTAL REVENUES 250 500 250 *

EXPENSES Salaries and Benefits 4,302 4,438 136 * Services, Supplies, Travel 3,300 3,621 321 * Scholarships ‐ ‐ Utilities 38 41 3 * Other Expenses 250 500 250 * Debt Service ‐ ‐ Chancellor's Office (7,640) (8,100) (460) * Increase of 6% Other Transfers ‐ ‐ ‐ TOTAL EXPENSES 250 500 250 *

NET REVENUES/(DEFICIT) ‐‐ ‐

ONE‐TIME FUNDS Carried Over Funds ‐ ‐ ‐ Strategic Reserve ‐ ‐ ‐ All Other ‐‐ ‐ TOTAL ONE‐TIME FUNDS ‐ ‐ ‐

TOTAL OPERATING RESULT ‐‐ ‐ (must sum to zero; postive net revenue must be absorbed by one or more one‐time fund lines)

28 VSCS Board of Trustees Meeting June 19-20, 2019

Unrestricted Revenues and Expenses Final FY2020 Budgets Castleton University (Amounts rounded to $1,000)

FY2019 FY2020 Var Projection Budget Variance > +3% Notes

REVENUES Based on current registration of current students and anticipated new student enrollment we are Tuition and Fees 33,120 36,580 3,460 * projecting 2,001 FTE for Fall in this budget. Includes 1% rate increase for VT undergrad & 2.9% O/S State Appropriation 5,464 6,418 954 * $2.5 million increase to State appropriation, adjusted by tuition make‐whole Room and Board 10,375 11,830 1,455 * Assumes +100 residential students, plus 28 Killington housed students, 3% plus $100 increases Sales and Services 1,200 1,155 (45) * Assumes $150,000 additional gifts from new Fund Raising Campaign: unrestricted for scholarships Gifts 450 650 200 * Other Revenue 325 325 ‐ TOTAL REVENUES 50,934 56,958 6,024 *

EXPENSES Includes contract agreement salary increases, Health insurance rate increase, new positions for new Salaries and Benefits 27,350 29,025 1,675 * programs such as Resort Management, Nursing for Bennington site, MBA, Special Ed, Director of Music Services, Supplies, Travel 9,250 10,600 1,350 * Includes annual increases & Resort Management Program budget & Bennington site. Scholarships 8,450 10,040 1,590 * Increased competition. This is based on actual known awards of returning and new students. Utilities 2,050 2,200 150 * Estimated annual increases additional site for Resort Management program Other Expenses ‐ ‐ ‐ Debt Service 3,177 3,483 306 * Bond debt service provided by OC, plus $291,000 System loan repayment Chancellor's Office 1,528 1,729 201 * 6% increase plus Policy 403 Allocation Formula change Other Transfers (840) (125) 715 * Includes $1.53M from medical surplus reserve TOTAL EXPENSES 50,965 56,952 5,987 *

NET REVENUES/(DEFICIT) 6(31) 37 * ‐0.1% 0.0% ONE‐TIME FUNDS Carried Over Funds ‐ ‐ ‐ Strategic Reserve ‐ ‐ ‐ All Other 31 (6) (37) * Board Approved System Loan TOTAL ONE‐TIME FUNDS 31 (6) (37) *

TOTAL OPERATING RESULT ‐‐ ‐ (must sum to zero; postive net revenue must be absorbed by one or more one‐time fund lines)

29 VSCS Board of Trustees Meeting June 19-20, 2019

Unrestricted Revenues and Expenses Final FY2020 Budgets Community College of Vermont (Amounts rounded to $1,000)

FY2019 FY2020 Var Projection Budget Variance > +3% Notes

REVENUES Tuition and Fees 22,320 21,118 (1,202) * Tuition increase 1.00%, enrollment reduced 5% from 2019 budgeted enrollment State Appropriation 5,465 6,119 654 * $2.5 million increase to State appropriation, adjusted by tuition make‐whole Room and Board ‐ ‐ ‐ Sales and Services 25 50 25 * Increase from projection based on actual expected Gifts 50 50 ‐ Other Revenue 178 167 (11) * Decrease due to new unrestricted contracts for non‐credit services TOTAL REVENUES 28,038 27,504 (534)

EXPENSES Salaries and Benefits 21,859 20,791 (1,068) * Decrease consistent with enrollment Services, Supplies, Travel 4,177 4,290 113 Scholarships 180 200 20 * Increase from projection based on actual expected expenditures Utilities 319 317 (2) Other Expenses 187 310 123 * Increase is due to the budgeted use of previously approved carry forward Debt Service 1,439 1,399 (40) Chancellor's Office 1,528 1,621 93 * 6% increase plus Policy 403 Allocation Formula change Other Transfers (1,608) (1,174) 434 * Decrease due to change in one time funds change in FY19 TOTAL EXPENSES 28,081 27,754 (327)

NET REVENUES/(DEFICIT) (43) (250) (207) * Decrease due to change in one time funds in FY19 ‐0.2% ‐0.9% ONE‐TIME FUNDS Carried Over Funds 193 250 57 * We are budgeting the use of one time funds in FY20 ‐ $250k for previously BOT approved projects Strategic Reserve ‐ ‐ ‐ All Other ‐(150) 150 * IT improvements, etc. TOTAL ONE‐TIME FUNDS 43 250 207 *

TOTAL OPERATING RESULT ‐‐ ‐ (must sum to zero; postive net revenue must be absorbed by one or more one‐time fund lines)

30 VSCS Board of Trustees Meeting June 19-20, 2019

Unrestricted Revenues and Expenses Final FY2020 Budgets Northern Vermont University (Amounts rounded to $1,000)

FY2019 FY2020 Var Projection Budget Variance > +3% Notes

REVENUES Tuition and Fees 32,636 33,303 667 Rate increase = 1% VT UG tuition and 2.9% other T&F State Appropriation 10,930 11,331 401 * $2.5 million increase to State appropriation, adjusted by tuition make‐whole Room and Board 9,502 9,685 183 Sales and Services 1,229 1,329 100 * Adjusted revenue for camps and conferences Gifts 395 450 55 * Other Revenue 398 632 234 * Entrepreneurial revenue TOTAL REVENUES 55,090 56,730 1,640

EXPENSES Salaries and Benefits 32,977 33,777 800 Health Insurance and Bargaining Unit wage increases Services, Supplies, Travel 9,783 9,497 (286) Scholarships 6,746 7,478 732 * Adjustments due to revised NVU packaging guidelines Utilities 2,649 2,600 (49) Other Expenses ‐ ‐ ‐ Debt Service 2,376 2,357 (19) Chancellor's Office 3,056 3,102 46 6% increase plus Policy 403 Allocation Formula change Other Transfers (185) (315) (130) * TOTAL EXPENSES 57,402 58,496 1,094

NET REVENUES/(DEFICIT) (2,312) (1,766) 546 * ‐4.0% ‐3.0% ONE‐TIME FUNDS Carried Over Funds 985 ‐ (985) * Strategic Reserve ‐ ‐ ‐ All Other 1,327 1,766 439 * TOTAL ONE‐TIME FUNDS 2,312 1,766 (546) *

TOTAL OPERATING RESULT ‐‐ ‐ (must sum to zero; postive net revenue must be absorbed by one or more one‐time fund lines)

31 VSCS Board of Trustees Meeting June 19-20, 2019

Unrestricted Revenues and Expenses Final FY2020 Budgets Vermont Technical College (Amounts rounded to $1,000)

FY2019 FY2020 Var Projection Budget Variance > +3% Notes

REVENUES 2.9% rate increase. 1.9% waiver I/S. Increased NAH enrollment offset by anticipated declines elsewhere, Tuition and Fees 24,472 24,906 434 including O/S, NEBHE. State Appropriation 6,397 7,142 745 * $2.5 million increase to State appropriation, adjusted by tuition make‐whole Room and Board 4,309 4,454 145 * +3.0% board rate. +4.5% room rate. 0% residential enrollment change. Sales and Services 1,033 924 (109) * Gifts 271 73 (199) * Other Revenue 207 212 5 TOTAL REVENUES 36,689 37,710 1,021

EXPENSES Salaries and Benefits 23,021 23,635 614 rate increases per contracts, health care +2.0% Services, Supplies, Travel 7,893 7,408 (485) * reflecting cuts to operational budgets Scholarships 2,070 2,230 160 * increasing utilization of new initiatives, including transfer and vertical marketing scholarships, offset by rollback Utilities 1,444 1,602 157 * anticipating substantial increases in fuel cost Other Expenses ‐ ‐ ‐ Debt Service 1,597 1,923 326 * Bond debt service provided by OC, plus $453,000 System loan repayment Chancellor's Office 1,527 1,650 123 * 6% increase plus Policy 403 Allocation Formula change Other Transfers (637) (609) 28 * TOTAL EXPENSES 36,915 37,838 923

NET REVENUES/(DEFICIT) (226) 9(128) 8* ‐0.6% ‐0.3% ONE‐TIME FUNDS Carried Over Funds ‐ ‐ ‐ Strategic Reserve 226 128 (98) * All Other ‐‐ ‐ TOTAL ONE‐TIME FUNDS 226 128 (98) *

TOTAL OPERATING RESULT ‐‐ ‐ (must sum to zero; postive net revenue must be absorbed by one or more one‐time fund lines)

32 VSCS Board of Trustees Meeting June 19-20, 2019

Unrestricted Revenues and Expenses Final FY2020 Budgets Workforce Development (Amounts rounded to $1,000)

FY2019 FY2020 Var Projection Budget Variance > +3% Notes

REVENUES Tuition and Fees ‐ ‐ ‐ State Appropriation 428 428 (0) Room and Board ‐ ‐ ‐ Sales and Services 478 568 90 * Gifts ‐ ‐ ‐ Other Revenue 10 8 (2) * TOTAL REVENUES 916 1,004 88 *

EXPENSES Salaries and Benefits 1,040 949 (91) * Services, Supplies, Travel 346 294 (52) * Scholarships ‐ ‐ ‐ Utilities ‐ ‐ ‐ Other Expenses ‐ ‐ ‐ Debt Service ‐ ‐ ‐ Chancellor's Office ‐ ‐ ‐ Other Transfers (470) (239) 231 * TOTAL EXPENSES 916 1,004 88 *

NET REVENUES/(DEFICIT) ‐ (0) (0) 0.0% 0.0% ONE‐TIME FUNDS Carried Over Funds ‐ ‐ ‐ Strategic Reserve ‐ ‐ ‐ All Other ‐‐ ‐ TOTAL ONE‐TIME FUNDS ‐ ‐ ‐

TOTAL OPERATING RESULT ‐‐ ‐ (must sum to zero; postive net revenue must be absorbed by one or more one‐time fund lines)

33 VSCS Board of Trustees Meeting June 19-20, 2019

VERMONT STATE COLLEGES SYSTEM

BOARD OF TRUSTEES

RESOLUTION 2019-004

FY2020 Vermont State Colleges System Annual Operating Budget

WHEREAS, The Finance & Facilities Committee of the Board of Trustees has reviewed the FY2020 budget information presented for the Vermont State Colleges System, has discussed individual aspects of the proposals with Chancellor and the Presidents of the individual institutions, and endorses approval of the Chancellor’s recommendation by the full Board; therefore, be it

RESOLVED, That the Board of Trustees of the Vermont State Colleges System hereby approves the System Annual Operating Budget of $182.544 million, including a projected operating deficit of $2.138 million, consistent with the attached materials.

Approved: June 20, 2019

______J. Churchill Hindes, Chair of the Board of Trustees

34 VSCS Board of Trustees Meeting June 19-20, 2019

Item 2c: Attachment 3: Amendments to Policies 408, 423, 424 and 503, and new Policy 435

35 VSCS Board of Trustees Meeting June 19-20, 2019 CASTLETON UNIVERSITY OFFICE OF THE CHANCELLOR COMMUNITY COLLEGE OF VERMONT PO BOX 7 NORTHERN VERMONT UNIVERSITY MONTPELIER, VT 05601 VERMONT TECHNICAL COLLEGE P (802) 224-3000

MEMORANDUM

TO: Vermont State Colleges System Board of Trustees

FROM: Steve Wisloski

DATE: June 12, 2019

SUBJ: Five (5) Policy-Related Approvals

Enclosed you will find five (5) policies for the Committee’s review and recommendation for approval to the full Board of Trustees as follows:

1. Policy 408, Policy on Grants and External Funding (amendment) – this amendment significantly updates the existing policy to conform to new federal uniform guidance requirements, and to create standardized and consistently-implemented processes and procedures System-wide to ensure compliance. To mitigate the risk of bottlenecks, the policy specifies that Chancellor’s Office review is limited to external federal or state funding, or other grants over $100,000, and further that the Chancellor may waive this review for just cause at a President’s request.

2. Policy 423, Credit Card/Purchasing Card Policy (amendment) – this amendment identifies System-issued purchasing cards as the official mode of purchase for business-related expenses, and requires a receipt for all expenses, eliminating the $25 minimum for receipts.

3. Policy 424, Travel Policy (amendment) – this amendment clarifies that travel expenses are due within 10 days after the close of the month in which travel occurred, eliminates the per diem for travel reimbursements, and allows actual meals and incidental expenses up to the Vermont GSA rate unless another GSA is pre-approved by a supervisor.

4. Policy 435, Financial Conflict of Interest in Research (new policy) – this new policy includes mandatory language designed to comply with the research-related requirements of the Department of Health and Human Services regulation 42 CFR Part 50. Applies to “Public Health Services” or PHS components, which includes National Institutes of Health (NIH). As a practical matter this policy applies to only nine (9) faculty currently.

WWW.VSC.EDU [email protected] 36 VSCS Board of Trustees Meeting June 19-20, 2019

5. Policy 503, General Definitions (amendment) – this amendment includes the addition of “Northern Vermont University” and defines “Institutions” as one or more colleges in Policies 101 through 505.

In the case of amended policies, both redlined and clean versions are included.

Should you have any questions regarding these policies, please contact me at [email protected] or (802) 224-3022. Thank you.

Attachments

VSCS Board of Trustees Meeting June 19-20, 2019

Item 2c: Amendment to Policy 408, Policy on Grants and External Funding

38 VSCS Board of Trustees Meeting June 19-20, 2019

Manual of Policy and Procedures

Title Number Page

POLICY ON GRANTS AND EXTERNAL FUNDING 408 1 of 5 Date 6/20/19

PURPOSE Consistent with the Board of Trustees’ responsibility for oversight of all VSC finances, the purpose of this policy is to define and establish application, approval, acceptance, and monitoring processes for grant funding from public or private sources by the Vermont State Colleges. This policy identifies the steps in each stage of the grant cycle and details how grant funds received by the VSC are administered.

STATEMENT OF POLICY The Board of Trustees encourages the submission of grant proposals that are expected to be of benefit to the VSC and/or the member Institutions. All use of grant funds shall be in accordance with VSC policies, the terms of the grant awarded, and any applicable state or federal laws. Any activity or expense related to federal grants or contracts must comply with 2 CFR 200 – Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards. This Policy is to be read consistent with federal and state law. If there is any conflict between this Policy and federal or state law, this Policy is to be interpreted consistent with federal or state law.

I. APPROVAL AND SUBMISSION OF GRANT PROPOSALS

Any employee of a VSC Institution or the VSC Chancellor’s Office may apply for grants provided that all provisions of the grant are in conformance with this and other VSC policies. Student organizations may apply for grants under the supervision of an advisor.

All proposals submitted for external funding, regardless of size, require approval of the President for member Institutions and of the Chancellor for System-wide requests prior to submission.

39 VSCS Board of Trustees Meeting June 19-20, 2019 Page 2

The Chancellor or president of an Institution may require revision or withdrawal of a grant proposal at any time prior to its award (in the event of a proposal not requiring approval of the Board of Trustees), or at any time before it is submitted to the Board of Trustees (in the event of a proposal requiring Board approval).

A grant proposal shall require review and approval by the Finance and Facilities Committee and the Board of Trustees if it:

1. Requests $750,000 or more per fiscal year, or 2. Involves annual matching or cost sharing of $375,000 or more even though budget changes are not required.

The Finance and Facilities Committee and the Board of Trustees shall be notified of all other grant proposals and grant renewals which are submitted but do not require individual review and shall be updated on a regular basis as to the outcome of the proposals and, if successful, their implementation.

In the event the Board of Trustees votes not to approve a grant proposal, the Chancellor or his/her designee shall direct the appropriate VSC official or the president to notify the granting agency, in writing, and withdraw the proposal from consideration.

Prior to submitting a proposal for external funding, applicants are required to disclose any potential conflicts of interest to their appropriate administrator, following the procedures outlined in VSC Policy 207: Trustee and Executive Conflict of Interest and VSC Policy 210: Employee Conflict of Interest. If the proposal involves federal funds, the administrator shall disclose this potential conflict of interest, in writing, to the awarding agency or, in the case of pass-through funds, to the entity that is providing the federal sub-award.

Proposals that involve research require additional approvals prior to submission. To comply with 42 CFR Part 50, Subpart F – Responsibility of Applicants for Promoting Objectivity in Research, applicants proposing to conduct research using federal funding are required to identify significant financial interests. (See VSC Policy 435: Financial Conflict of Interest in Research). Any proposals that involve research on human subjects must receive Institutional Review Board (IRB) approval before they are submitted for funding. Each VSC institution maintains its own IRB processes. (See VSC Policy TBD: Research Standards).

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II. GRANT ACCEPTANCE

All grant agreements shall be signed by Presidents on behalf of their institutions. The Chancellor shall sign agreements for grants awarded to the Chancellor’s Office. Authorizing officials bear responsibility for reviewing the terms and conditions of awards before they are accepted.

After the President or Chancellor has signed a grant agreement, it must be forwarded to the VSC Office of Sponsored Projects along with any applicable forms. Work may not begin on a grant- funded project until the Office of Sponsored Projects has received the formal award documentation. The VSC Office of Sponsored Projects shall review awards for consistency with initial proposals and to ensure compliance.

The VSC Office of Sponsored Projects shall provide grant compliance training to the grant’s principal investigator (PI), which is the term used to refer to the person who is primarily responsible for overseeing the implementation of the grant.

III. GRANT MONITORING AND REPORTING

To ensure that grant funds are spent according to the requirements of the funding organization, the VSC shall maintain and follow documented procedures for the areas outlined below.

A. Internal Controls In accordance with VSC Policy 431: Internal Controls, the VSC shall implement internal controls over all grants so as to provide reasonable assurance that the VSC is compliant with conditions and requirements of each award. The VSC shall follow an established system to evaluate and monitor its compliance with grant requirements and will take prompt action when instances of noncompliance are identified in audit findings. The VSC shall take reasonable measures to safeguard personally identifiable information and other information designated as sensitive. (See VSC Policy 312: Compliance with the Family Educational Rights and Privacy Act and VSC Policy 627: VSC Information Sensitivity.)

B. Procurement Standards The VSC shall follow VSC Policy 429’s Standards and Procedures” Contracting for Purchases or Leases of Goods, services and Equipment for procuring goods and services, in accordance with federal requirements. Additionally, the VSC shall avoid conflicts of interest for employees engaged in selecting, awarding, and administering contracts.

41 VSCS Board of Trustees Meeting June 19-20, 2019 Page 4

management procedures shall ensure that the following requirements are met for monitoring federal funds, as outlined in 2 CFR 200.302(b):

1. Identification: The VSC financial management system will identify in its accounts all federal awards received and expended and the federal programs under which they were received. This includes the CFDA title and number, the federal award identification number and year, name of the federal agency, and the name of the pass- through entity, if applicable.

2. Reporting: The financial management system will provide accurate, current, and complete disclosure of the financial results of each federal award.

3. Financial Records: The VSC shall maintain records that identify the source and application of funds for federally-funded activities.

4. Accountability: The VSC shall provide effective control over, and accountability for, all federal funds, property, and other assets to ensure funds are used solely for authorized purposes. Accounting records shall be supported by documentation.

5. Budget Control: The VSC shall compare actual expenditures with budgeted amounts for each federal award.

6. Cash Management: The VSC shall follow a reimbursement method of payment for federal awards, unless specifically directed otherwise by the granting agency. Whenever advance payment procedures are required, the VSC shall minimize the time elapsing between the transfer of funds from the U.S. Treasury and disbursement. Cash advances shall be limited to the minimum amounts needed and be timed to be in accordance with the actual, immediate cash requirements of the VSC in carrying out the purpose of the approved program or project. The timing and amount of advance payments shall be as close as administratively feasible to the actual disbursements by the VSC for direct program costs and the proportionate share of any allowable indirect costs. 7. Mandatory Disclosures: The VSC shall maintain procedures to identify and disclose in writing, in a timely manner, to the federal awarding agency or pass-through agency any violations of federal criminal law involving fraud, bribery, or gratuity. D. Determining Direct and Indirect (F & A) Costs for Federal Awards Direct and indirect costs shall be determined in compliance with federal regulations, the terms and conditions of the grant, and each VSC institution’s federally-negotiated indirect rate. Costs incurred for the same purpose in like circumstances shall be treated consistently as either direct or indirect.

42 VSCS Board of Trustees Meeting June 19-20, 2019 Page 5

E. Allowability of Costs for Federal Awards: To ensure that expenses charged to federal awards are allowable, the VSC shall follow the standards outlined in 2 CFR 200, Subpart E.

1. Factors Affecting Allowability: To be considered allowable, costs that involve federal funding must:

a) Be necessary and reasonable for the performance of the federal award. This means the purchase must meet an important program objective and that sound business practices are followed in expending the funds. A cost is reasonable if, in its nature and amount, it does not exceed that which would be incurred by a prudent person under the circumstances prevailing at the time the decision was made to incur the cost. b) Be allocable to the federal award. A cost is allocable to the federal award if the goods or services involved are chargeable to the federal award in accordance with the relative benefits received. c) Conform to any limitations or exclusions set forth as cost principles in CFR Part 200, Subpart E or in the terms and conditions of the award. d) Be consistent with policies and procedures that apply uniformly to both federally-financed and other funded activities. e) Be accorded consistent treatment. A cost may not be assigned to a federal award as a direct cost if any other cost incurred for the same purpose in like circumstances has been allocated as an indirect cost under another award. f) Be determined in accordance with generally accepted accounting principles. g) Not be included as a match or cost-share for other federally-financed programs, unless the specific federal program authorizes federal costs to be treated as such. h) Be adequately documented.

2. Allowability of Selected Items of Cost: 2 CFR Sections 200.421 through 200.475 establish principles to be applied in determining the allowability of 55 specific cost items. These principles are in addition to the other general allowability standards and apply whether or not a particular item of cost is properly treated as a direct or indirect cost. Principal investigators are required to be familiar with these selected items of cost. (See Appendix A, Selected Items of Cost for more information.)

43 VSCS Board of Trustees Meeting June 19-20, 2019 Page 6

The reasonableness and allocability of certain items of cost may be difficult to determine in some cases. To avoid subsequent disallowance or dispute based on unreasonableness or non-allocability, the VSC may require principal investigators to seek written approval from the federal awarding agency in advance of the incurrence of special or unusual costs. Prior written approval should include the time frame or scope of the agreement.

F. Time and Effort Reporting Employees paid with external funds shall document the time they spend working on grant-related activities, as required by 2 CFR 200.430. Charges for salaries and wages shall be based on records that accurately reflect the work performed. The VSC shall maintain a system of internal control which provides reasonable assurance that the charges are accurate, allowable, and properly allocated. Record of this will be incorporated into the official records of the VSC system.

G. Subrecipient Management and Monitoring When VSC passes federal funds through to another institution or organization, the VSC shall comply with 2 CFR 200.330 and make a case-by-case determination whether a party receiving pass-through grant funds is a subrecipient or a contractor, and whether the agreement is a sub-award or a procurement contract. The VSC will retain records to support decisions made about subrecipients and contractors.

The VSC shall perform risk assessments of subrecipients and monitor grant subrecipients to ensure their compliance with federal, state, and local laws and VSC Board of Trustees’ policies and procedures. Subrecipient agreements shall clearly identify the funding as a sub-award and include information required by the funder.

H. Contract Provisions Contracts issued by the VSC that involve grant funding will contain applicable provisions as described in Appendix II to Part 200 – Contract Provisions for Non-Federal Entity Contracts Under Federal Awards.

I. Record Retention Records relating to federal awards shall be maintained for three years from the final expenditure report’s submission date. (See VSC Policy 209: Records Retention.)

J. Grant-Funded Research In addition to following the requirements of this policy, individuals conducting research with external funds are required to comply with VSC Policy 435: Financial Conflict of Interest in Research and VSC Policy TBD: Research Standards.

44 VSCS Board of Trustees Meeting June 19-20, 2019 Page 7

The Chancellor shall adopt and from time to time update procedures for the administration of grants. Such procedures shall accompany this policy and shall include the specific forms to be used.

Signed by: ______Jeb Spaulding Chancellor

Date Version Revision Approved By 10/25/2001 1.0 Adopted VSCS Board of Trustees 3/13/2008 2.0 Update VSCS Board of Trustees 12/11/2014 3.0 Update VSCS Board of Trustees 5/26/2016 3.5 Temporary Update for Uniform VSCS Board of Trustees Guidance 6/20/2019 4.0 Revised for Uniform Guidance VSCS Board of Trustees

45 VSCS Board of Trustees Meeting June 19-20, 2019

Manual of Policy and Procedures

Title Number Page

POLICY ON GRANTS AND EXTERNAL 408 1 of 5 FUNDINGEXTERNAL FUNDING: PROPOSALS FOR Date 12/11/14 GRANTS 6/20/19

PURPOSE Consistent with the Board of Trustees' responsibility for oversight of all VSC finances, the purpose of this policy is to define and establish the application, approval, acceptance, and monitoring processes for reviewing and acting upon requests/ proposals/ applications/renewals for grant funding from public or private sources by the Vermont State Colleges. This policy identifies the steps in each stage of the grant cycle and details how grant funds received by the VSC are administered. through which funding proposals must be processed up to and including approval by the Board of Trustees.

STATEMENT OF POLICY The Board of Trustees encourages the submission of grant proposals that are expected to be of benefit to the VSC and/or the member Institutions college. All use of grant funds shall be in accordance with VSC policies, the terms of the grant awarded, and any applicable state or federal laws. Any activity or expense related to federal grants or contracts must comply with 2 CFR 200 – Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards. This Policy is to be read consistent with federal and state law. If there is any conflict between this Policy and federal or state law, this Policy is to be interpreted consistent with federal or state law.

I. APPROVAL AND SUBMISSION OF GRANT PROPOSALS

Any employee of a VSC Institutionmember college or the VSC Chancellor’s Office The Chancellor, a member college president, or their designees may apply for grants provided that all provisions of the grant are in conformance with this and other VSC policies. Student organizations may apply for grants under the supervision of an advisor.

46 VSCS Board of Trustees Meeting June 19-20, 2019 Page 2

All proposals submitted for external funding, regardless of size, require approval of the President for member Institutions and of the Chancellor for System-wide requests prior to submission.

All proposals submitted for external federal or state funding and all proposals for other grants requesting $100,000 or more in funding require approval by the Chancellor’s Office prior to submission. At the request of the President, the Chancellor may approve a waiver of this requirement, upon a showing of just cause. The request for and grant of a waiver must be in writing and be retained in the grant file. Wherever possible, draft grant proposals shall be submitted to the Vice President for Finance and Administration, in the Office of the Chancellor, for review before submission to the granting agency but in no event not later than the time grant proposals are forwarded to the granting agency. The Chancellor or member college president of an Institution may require revision or withdrawal of a grant proposal at any time prior to its award (in the event of a proposal not requiring approval of the Board of Trustees approval), or at any time before it is submitted to the Board of Trustees (in the event of a proposal requiring Board approval).

A grant proposal shall require review and approval by the Finance and Facilities Committee and the Board of Trustees if it:

1. Requests $750,000 or more per fiscal year, or 2. Involves annual matching or cost sharing of $375,000 or more even though budget changes are not required.

In the event the Board of Trustees votes not to approve a grant proposal, the Chancellor or his/her designee shall direct the appropriate VSC official or the college president to notify in writing the granting agency, in writing, and withdraw the proposal from consideration.

The Chancellor or his/her designee(s) shall review proposal awards for consistency with initial proposals and take any action which might be indicated to assure compliance.

CRITERIA FOR REVIEW AND ENDORSEMENT

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In determining whether to approve a grant proposal, the Board of Trustees shall consider, among other factors, whether and to what degree the award of the grant would:

1. Contribute to the VSC mission and the college mission;

2. Be susceptible to successful implementation fiscally and/or operationally in light of the following considerations: a) Indirect Costs This includes contributions of staff, space, equipment, administrative services (purchasing, accounting, security) custodial services and maintenance. b) Matching Funds This includes salaries, fringe benefits, operating expenses, and some indirect costs associated with the conduct of the project. c) Adequacy of facilities, equipment and administrative services needed to support proposed grant activities. d) Adequacy of personnel needed to support proposed grant activities.

3. Requires the VSC to continue activities beyond the period for which external support is provided;

4. Commit the VSC to maintain personnel funded under the proposal beyond the grant period for which external support is provided;

5. Require alteration of an approved program or establishment of a new program; and

6. Contribute to student support services, faculty research and development, institutional development, development or enhancement of approved programs, and which at the same time present no significant residual financial burdens, and/or adequately identify the source for such continued financial support from either new funds or redistribution of existing funds.

Prior to submitting a proposal for external funding, applicants are required to disclose any potential conflicts of interest to their appropriate administrator, following the procedures outlined in VSC Policy 207: Trustee and Executive Conflict of Interest and VSC Policy 210: Employee Conflict of Interest. If the proposal involves federal funds, the administrator shall disclose in writing this potential conflict of interest, in writing, to the awarding agency or, in the case of pass-through funds, to the entity that is providing the federal sub-award.

Proposals that involve research require additional approvals prior to submission. To comply with 42 CFR Part 50, Subpart F – Responsibility of Applicants for Promoting Objectivity in Research,

48 VSCS Board of Trustees Meeting June 19-20, 2019 Page 4 applicants proposing to conduct research using federal funding are required to identify significant financial interests. (See VSC Policy #435: Financial Conflict of Interest in Research). Any proposals that involve research on human subjects must receive Institutional Review Board (IRB) approval before they are submitted for funding. Each VSC institution maintains its own IRB processes. (See VSC Policy #TBD: Research Standards).

II. GRANT ACCEPTANCE

III. GRANT MONITORING AND REPORTING

To ensure that grant funds are spent according to the requirements of the funding organization, the VSC shall maintain and follow documented procedures for the areas outlined below.

A. Internal Controls In accordance withFollowing VSC Policy 431: Internal Controls, the VSC shall implementutilize effective internal controls over all grants so as to provide reasonable assurance that the VSC is compliant with conditions and requirements of each award. The VSC shall follow an established system to evaluate and monitor its compliance with grant requirements and willis required to take prompt action when instances of noncompliance are identified in audit findings. The VSC shall take reasonable measures to safeguard personally identifiable information and other information designated as sensitive. (See VSC Policy 312: Compliance with the Family Educational Rights and Privacy Act and VSC Policy 627: VSC Information Sensitivity.)

B. Procurement Standards

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The VSC shall follow the procedures of VSC Policy 429’s: Purchasing Standards and Procedures” Contracting for Purchases or Leases of Goods, services and Equipment for procuring goods and services, in accordance with federal requirements. Additionally, the VSC shall avoidmaintain standards of conduct covering conflicts of interest for employees engaged in selecting, awarding, and administering contracts.

C. Financial Management for Federal Awards The VSC shall expend and account for federal awards in compliance with federal statutes, regulations, and the terms and conditions of the grant award. Financial management procedures shall ensure that the following requirements are met for monitoring federal funds, as outlined in 2 CFR 200.302(b):

2. Reporting: The financial management system will provide accurate, current, and complete disclosure of the financial results of each federal award.

3. Financial Records: The VSC shall maintain records that identify the source and application of funds for federally-funded activities.

5. Budget Control: The VSC shall compare actual expenditures with budgeted amounts for each federal award.

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7. Mandatory Disclosures: The VSC shall maintain procedures to identify and disclose in writing, in a timely manner, to the federal awarding agency or pass-through agency any violations of federal criminal law involving fraud, bribery, or gratuity. D. Determining Direct and Indirect (F & A) Costs for Federal Awards Direct and indirect costs shall be determined in compliance with federal regulations, the terms and conditions of the grant, and each VSC institution’s federally-negotiated indirect rate. Costs incurred for the same purpose in like circumstances shall be treated consistently as either direct or indirect.

E. Allowability of Costs for Federal Awards: To ensure that expenses charged to federal awards are allowable, the VSC shall follow the standards outlined in 2 CFR 200, Subpart E.

1. Factors Affecting Allowability: To be considered allowable, costs that involve federal funding must:

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h) Be adequately documented.

G. Subrecipient Management and Monitoring When VSC passes federal funds through to another institution or organization, the VSC shall comply with 2 CFR 200.330 and make a case-by-case determination whether a party receiving pass-through grant funds is a subrecipient or a contractor, and whether the agreement is a sub-award or a procurement contract. The VSC will retain records to support any questionable decisions made about subrecipients and contractors.

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I. Record Retention Records relating to federal awards shall be maintained for three years from the final expenditure report’s submission date. (See VSC Policy 209: Records Retention.)

J. Grant-Funded Research In addition to following the requirements of this policy, individuals conducting research with external funds are required to comply with VSC Policy #435: Financial Conflict of Interest in Research and VSC Policy #TBD: Research Standards.

The Chancellor shall adopt and from time to time update procedures for processing the administration of grantsgrant applications. Such procedures shall accompany this policy and shall include the specific forms to be used.

All use of grant funds shall be in accordance with VSC policies, the terms of the grant awarded, and any applicable state or federal laws.

Signed by:

Timothy J. Donovan Jeb Spaulding Chancellor

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VERMONT STATE COLLEGES MANUAL OF POLICY AND PROCEDURES

POLICY 408 – ATTACHMENT A PROCEDURES 12-19-06

EXTERNAL FUNDING: PROPOSALS FOR GRANTS

PURPOSE The purpose of ATTACHMENT A (Procedures) to POLICY 408 is to ensure consistent implementation of the Policy throughout the VSC.

REPORTING PROCEDURES

Proposal Submission At the time of submission of a grant proposal to the funding agency, the submitter shall furnish to the Office of the Chancellor a completed VSC "Grant Proposal Budget Analysis" form. The specific information and format of this form may be updated from time to time to enable meaningful evaluation by the Board and Chancellor's Office.

Grant Notification Report Copies of a grant award or rejection letter shall be submitted to the Office of the Chancellor within thirty days of receipt of such notice. In the event of a grant award, the college shall provide: A revised Grant Proposal Budget Analysis form, if changes occurred, and A copy of the completed VSC “New Funding Source Document”.

Report of Grant Proposals The Chancellor shall provide a summary report of grant proposals for each Finance and Facilities Committee and Board of Trustees meeting. The report shall contain the following: Unit submitting the proposal, Organization to which submitted, Brief description of purpose of the proposal, Period(s) of the grant,, including any residual requirements, Amounts requested and any proposed match for each year of the proposal,

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Catalog of Domestic Federal Assistance (CFDA) # Number, State Revenue # Number (if applicable), Person responsible for the proposal of grant, Title of the grant, and Additional sources of funding, if any, anticipated for the lifetime of the grant, including funding to pay for any residual requirements.

The Monthly Summary Grant Report shall include notice of any awards, renewals, or denials for previously reviewed proposals as they are received. This will provide timely awareness of status of proposals

Monthly Grants Report Verification/Changes Monthly, the Office of the Chancellor shall require each grant applicant or recipient to verify the information on the Monthly Summary Grant Report. Corrections and changes shall be sent to the Chancellor’s Office within the time frame specified by the Chancellor.

55 VSCS Board of Trustees Meeting June 19-20, 2019

Amendment to Policy 423, Credit Card/Purchasing Card Policy

VSCS Board of Trustees Meeting June 19-20, 2019

Manual of Policy and Procedures

Title Number Page

CREDIT CARD/PURCHASING CARD POLICY 423 1 of 2 Date 6/20/2019

PURPOSE

The Vermont State Colleges System Credit Card policy is designed to efficiently and effectively manage both VSCS cash flow and authorized business-related expenses while complying with all other VSCS policies and regulations.

STATEMENT OF POLICY This policy applies to all VSCS eligible personnel who are issued either a credit card or procurement card (p-card) for job-related expenses. Cards shall be issued to an individual employee but not to an office, department or group. The employee listed on the card has sole responsibility for the control and use of the card, subject to oversight and supervision by the VSCS. Any employee issued a p-card must use this card as the official mode of purchase for business-related expenses.

I. GENERAL POLICY PROVISIONS a. An eligible employee is an employee who is authorized by his or her immediate supervisor to purchase supplies or services or travel on college business. b. An eligible employee shall complete all required applications and agree to all conditions imposed by the issuing credit card company. c. The named cardholder is the only individual authorized to use the card for transactions. Usage by other personnel or non-VSCS individuals is strictly prohibited. d. If a credit card/purchasing card is to be used in conjunction with a grant then the grant requirements, or federal Uniform Guidance, supersede this policy where in conflict therewith. e. Where the VSCS has approved preferred vendor contracts, card purchases must be made from those contracted vendors. f. The cardholder shall immediately notify the issuing credit card company, and the p- card administrator at the Office of the Chancellor when a card is lost or stolen.

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g. The cardholder will immediately surrender the card to Human Resources or the Business Office upon request by the Dean or termination of employment at the VSCS institution. In the case of an employee facing potential discipline, Human Resources or the Dean of Administration will immediately contact the p-card administrator at the Office of the Chancellor to suspend the employee’s p-card until further notice by Human Resources or the Dean.

II. PURCHASES Credit cards or Procurement Cards may be used for authorized purchases only within applicable institutional and pursuant to VSCS policy. Cards may not be used for personal purchases, personnel services (e.g., paying an independent contractor) or cash advances.

III. VSC PROCUREMENT CARD When using a VSCS procurement card, it is the responsibility of the cardholder to know and follow both this policy as well as the procurement card program manual.

IV. MONTHLY AUTHORIZATION PROCESS a. All charges on the employee’s monthly credit or purchase card statement shall be verified by the employee as representing proper and legitimate job-related expenses. b. All charges on the monthly statement shall be supported by proper receipts, showing the nature, date and amount of expenditure. c. Monthly statements with necessary receipts attached shall be signed by the cardholder and then forwarded to his/her immediate supervisor for review and signed approval in accordance with written procedures. d. The properly authorized monthly statement shall be forwarded to [email protected] for processing.

V. AUDIT REVIEW OF CARDHOLDER ACTIVITY All cardholder activity is subject to review by appropriate administrators, the VSCS’s internal and external auditors.

VI. COMPLIANCE Any failure to comply with this policy may result in the suspension or termination from the credit card program, and also may include disciplinary actions up to and including termination in accordance with the terms of any applicable personnel handbook or collective bargaining agreement. Any activity or expense related to the federal grants of contracts must comply with 2 CFR 200- Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, in addition to the provisions above.

Signed by: Jeb Spaulding Chancellor

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Date Version Revision Approved By 1/28/2010 1.0 Adopted VSCS Board of Trustees 6/20/2019 2.0 Update following VSCS Board internal audit of Trustees

59 VSCS Board of Trustees Meeting June 19-20, 2019

Manual of Policy and Procedures

Title Number Page

CREDIT CARD/PURCHASING CARD POLICY 423 1 of 2 Date 1/28/20106/20/2019

PURPOSE

The Vermont State Colleges System VSC Credit Card policy is designed to efficiently and effectively manage both VSCS cash flow and authorized business relatedbusiness-related expenses while complying with all other VSCS policies and regulations.

STATEMENT OF POLICY This policy applies to all VSCS eligible personnel that who are issued either a credit card or procurement card (p-card) for job-related expenses. Cards shall be issued to an individual employee but not to an office, department or group. The employee listed on the card has sole responsibility for the control and use of the card, subject to oversight and supervision by the VSCS. Any employee issued a p-card must use this card as the official mode of purchase for business-related expenses.

I. GENERAL POLICY PROVISIONS a. An eligible employee is an employee who is authorized by his or her immediate supervisor to purchase supplies or services or travel on college business. b. An eligible employee shall complete all required applications and agree to all conditions imposed by the issuing credit card company. b.c. The named cardholder is the only individual authorized to use the card for transactions. Usage by other personnel or non-VSCS individuals is strictly prohibited. c.d. If a credit card/purchasing card is to be used in conjunction with a grant then the grant requirements, or federal Uniform Guidance, supersede this policy where in conflict therewith. Only the named cardholder is authorized to use the card for transactions unless such usage is under direction of named cardholder. Usage by other personnel is strictly prohibited. d.e. Where the VSCS has approved preferred vendor contracts, card purchases must be made from those contracted suppliersvendors.

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e.f. The cardholder shall immediately notify the issuing credit card company, and the p- card administrator or at the Office of the Chancellor OC the Dean of Administration and the immediate supervisor when a card is lost or stolen. g. The cardholder will immediately surrender the credit card to Human Resources or the Business Office the Dean of Administration upon request by the Dean or termination of employment at the collegeVSCS institution. In the case of an employee facing potential discipline, Human Resources or the Dean of Administration will immediately contact the p-card administrator at the Office of the Chancellor to suspend the employee’s p-card until further notice by Human Resources or the Dean.

II. PURCHASES Credit cards or Procurement Cards may be used only for authorized purchases only within applicable institutional and pursuant to VSCS policy. Cards may not be used for personal purchases, personnel services (e.g., paying an independent contractor) or cash advances.

III. VSC PROCUREMENT CARD When using a VSCS procurement card, it is the responsibility of the cardholder to know and follow both this policy as well as the procurement card program manual.

IV. MONTHLY AUTHORIZATION PROCESS a. All charges on the employee’s monthly credit or purchase card statement shall be verified by the employee as representing proper and legitimate job-related expenses. b. All charges over $25 on the monthly statement shall be supported by proper receipts, showing the nature, date and amount of expenditure. c. Generally, receipts under $25 will not be required to be submitted with expense reports. However, a supervisor may, at his or her discretion, in advance of card use, require all receipts to be submitted. Monthly statements with necessary receipts attached shall be signed by the cardholder and then forwarded to his/her immediate supervisor for review and signed approval in accordance with written procedures. d. The properly authorized monthly statement shall be forwarded to [email protected] accounts payable for processing.

V. AUDIT REVIEW OF CARDHOLDER ACTIVITY All cardholder activity is subject to review by appropriate administrators, the VSCS’s internal and external auditors.

VI. COMPLIANCE Any failure to comply with this policy may result in the suspension or termination from the credit card program, and also may include disciplinary actions up to and including

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termination in accordance with the terms of any applicable personnel handbook or collective bargaining agreement. Any activity or expense related to the federal grants of contracts must comply with 2 CFR 200- Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, in addition to the provisions above.

Signed by: Jeb Spaulding Chancellor Timothy J. Donovan

Date Version Revision Approved By 1/28/2010 1.0 Adopted VSCS Board of Trustees 6/20/2019 2.0 Update following VSCS Board internal audit of Trustees

62 VSCS Board of Trustees Meeting June 19-20, 2019

Amendment to Policy 424, Travel Policy

63 VSCS Board of Trustees Meeting June 19-20, 2019

Manual Of Policies And Procedures

Title Number Page 424 1 of 5 TRAVEL POLICY Date 6/20/2019

PURPOSE The Vermont State Colleges System Travel Policy is designed to ensure the effective and efficient management of VSCS resources, fair and equitable payment for business travel and related expense, and compliance with all applicable laws and regulations.

STATEMENT OF POLICY This policy applies to all official VSCS travel, regardless of the funding source. If the travel policies and procedures for federal grants and contracts are more restrictive than this VSCS Policy, they will supersede this policy. If the terms imposed for grants and contracts are less restrictive than the VSCS policy, VSCS policy applies.

Travel expenses paid by the VSCS must be properly authorized, appropriately documented with a clear business purpose, and otherwise comply with this policy. The VSCS does not compensate travelers for personal expenses incurred during travel.

Employee travel may be authorized when the travel is related to VSCS business and is pre- approved by the appropriate supervisor. Employees shall travel in an efficient and cost effective manner allowing for the purpose of the trip to be accomplished.

Travelers may not authorize their own travel nor approve the reimbursement of their own travel expenses. The traveler’s immediate supervisor or his/her designee must authorize the travel expense reimbursement.

Nothing herein requires the VSCS to, or prohibits the VSCS from, paying for costs of an employee’s travel in advance. Such advance payment is a matter of discretion for the VSCS. Regardless of whether such payments are made by the VSCS, the provisions of this policy on authorization of travel, cost allowance, and cost restrictions apply.

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I. GENERAL TRAVEL POLICY PROVISIONS A. Purchasing cards (p-cards) are the preferable method of payment for all travel expenses. Cardholders are required to use their p-cards. Others may request a travel advance and submit receipts based on the procedures set herein. B. A request for reimbursement of mileage and travel expenses must be submitted on a monthly basis within 10 business daysafter the close of the month in which the travel occurred (or concluded, if the period of travel extended beyond the last day of the month). Any reimbursements submitted after 60 days from the date of travel will be taxable to the employee and paid through the VSCS payroll system for inclusion in the employee’s paycheck. C. With permission from the traveler’s supervisor, and at the supervisor’s sole discretion, a travel advance may be authorized. Advances will be issued via direct deposit no earlier than one week prior to the traveler's departure date. Advances will be deducted from the traveler's next submitted expense report. The reconciliation of the travel advance shall follow the same time line as travel reimbursement submission from Section I(B) of this policy. D. The supervisor approving the traveler’s reimbursement form is responsible for reviewing the adequacy and accuracy of the receipts and other supporting documentation, and the reasonableness and appropriateness of all expenditures. E. Reimbursement of any added expense due to a spouse/guest joining the employee while traveling is strictly prohibited. F. Reimbursement for alcoholic beverages is strictly prohibited. G. Receipts are required for all transactions for which the traveler is seeking reimbursement except for the following: daily amounts under $5 that are for tolls, hotel tips, etc. F. Electronic receipts are acceptable provided that the necessary detail they contain is equivalent to that required in an acceptable paper record. G. Employee use of private aircraft, boats and other non-traditional modes of travel in carrying out the performance of official college duties must first receive written authorization in advance from the Chancellor.

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D. Personal Automobiles 1. The VSCS will pay the standard rate per mile as set forth in subparagraph (D)(2), below, for official travel by private automobile for: a. the difference between miles ordinarily traveled for daily commutation and miles traveled on college business unless traveling from campus; or b. if the employee is traveling from his or her campus, the miles traveled on college business from the campus to another location and for return to the campus or home location, whichever is less. 2. Use of personal automobiles will be reimbursed on a per mile basis according to the current IRS reimbursement rate. This takes into account all actual automobile expenses such as fuel, insurance, normal wear on the vehicle, etc. 3. In addition to the standard mileage allowance, necessary and reasonable charges for the following automobile-related expenses are allowed: tolls, ferries, parking, bridges and tunnels for which receipts are required for daily amounts over $5. 4. The owner of the vehicle is responsible for complying with state insurance requirements. The VSCS’s insurance does not apply to privately owned vehicles. 5. Mileage between an employee’s residence and place of work is not reimbursed. 6. Traffic ticket, parking ticket and any moving violation (e.g., speeding tickets) expenses will not be reimbursed. E. Rental Cars 1. An employee may rent a vehicle when advantageous to the VSCS and approved in advance. 2. The traveler is responsible for obtaining the best available rate commensurate with the requirements of the trip. 3. The VSCS’s insurance policy provides liability protection for a rental vehicle; however, the collision damage waiver shall be purchased unless otherwise directed by the Dean of Administration, or designee. 4. Renters must abide by the terms and conditions of the rental agency contract or rental agreement. 5. In the event an employee’s use of a rental vehicle incurs costs or expenses not covered by the collision damage waiver or VSCS’s insurance policy, the employee will be responsible for any and all such costs or expenses. F. Airfare. Coach airfare only is allowable. Business and first class are not allowable expenses. G. Ground Transportation. Travelers should select the most reasonable means of

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ground transportation, whether shuttle, taxi, rail or bus, as needed to travel between business locations.

III. LODGING EXPENSES A. The VSCS reimburses travelers for the single occupancy cost of a standard room. Travelers should select a hotel that is appropriate for their business purposes and is as economical as possible. B. Employees should always ask for corporate or educational discount rates before renting a room. C. No paid TV or other personal entertainment items will be paid for or reimbursed. D. Travelers will be reimbursed for telephone, fax and computer connection costs that are reasonable and necessary for conducting VSCS business.

Date Version Revision Approved By 1/28/2010 1.0 Adopted VSCS Board of Trustees

6/20/2019 2.0 Update of policy and VSCS Board of Trustees elimination of per diems

67 VSCS Board of Trustees Meeting June 19-20, 2019

Manual Of Policies And Procedures Title Number Page 424 1 of 5 TRAVEL POLICY Date 1-28-20106/20/2019

PURPOSE The VSCVermont State Colleges System Travel Policy is designed to ensure the effective and efficient management of VSCS resources, fair and equitable payment for business travel and related expense, and compliance with all applicable laws and regulations.

STATEMENT OF POLICY This policy applies to all official VSCS travel, regardless of the funding source. If the travel policies and procedures for federal grants and contracts are more restrictive than thise VSCS Policy, they will supersede this policy. If the terms imposed for grants and contracts are less restrictive than the VSCS policy, VSCS policy applies.

Nothing herein requires the VSCS to, or prohibits the VSCS from, paying for costs of an employee’s travel in advance. Such advance payment is a matter of discretion for the VSCS. If Regardless of whether such payments are made by the VSCS, the provisions of this policy on authorization of travel, cost allowance, and cost restrictions apply.

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I. GENERAL TRAVEL POLICY PROVISIONS A. Purchasing- cards (p-cards) are the preferable method of payment for all travel expenses. Cardholders are required to use their p-cards. Others may request a travel advance and submit receipts based on the procedures set herein. B. A request for reimbursement of mileage and travel expenses must be submitted on a monthly basis within 10 business dayswithin 10 business days after the close of the month in which the travel occurred (or concluded, if the period of travel extended beyond the last day of the month). return from a trip, or in accordance with college procedure. Any reimbursements submitted after 60 days from the date of travel will be taxable to the employee and paid through the VSCS payroll system for inclusion in the employee’s paycheck. C. With permission from the traveler’s supervisor, and at the supervisor’s sole discretion, a travel advance may be authorized. Advances will be issued via direct deposit no earlier than one week prior to the traveler's departure date. Advances will be deducted from the traveler's next submitted expense report. The reconciliation of the travel advance shall follow the same time line as travel reimbursement submission from Section I(AB.) of this policy. A.D. The supervisor approving the traveler’s reimbursement form is responsible for reviewing the adequacy and accuracy of the receipts and other supporting documentation, and the reasonableness and appropriateness of all expenditures. B.E. Reimbursement of any added expense for due to a spouse/guest joining the employee while traveling is strictly prohibited. C.F. Reimbursement for alcoholic beverages is strictly prohibited. D.G. Receipts are required for all transactions for which the traveler is seeking reimbursement except for the following: daily amounts under $5 that are for tolls, hotel tips, etc.  Direct billing arrangements that have been approved in advance  Meals and Incidentals per diem  Exact Meals and Incidentals expenses that are reimbursed at less than the per diem rate  P-Card purchases less than $25.00 F. With permission from the traveler’s supervisor, a travel advance may be authorized. Advances will be issued no earlier than one week prior to the traveler's departure date. Advances will be deducted from the traveler's next submitted expense report. G.F. Electronic receipts are acceptable provided that the necessary detail they contain is equivalent to that required in an acceptable paper record. H.G. Employee use of private aircraft, boats and other non-traditional modes of travel

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in carrying out the performance of official college duties must first receive written authorization in advance from the Chancellor.

II. TRANSPORTATION EXPENSES A. Transportation expenses shall be reimbursed based on an economical mode of transportation and a commonly traveled route consistent with the authorized purpose of the trip. B. Transportation tickets should be procured in advance in order to obtain the best price offered by the carrier or negotiated by the VSCS. C. Driving for the VSCS is only permitted in accordance with Tthe VSCS Fleet Safety Program. D. Personal Automobiles 1. The VSCS will pay the standard rate per mile as set forth in subparagraph (D)(2), below, for official travel by private automobile for: a. the difference between miles ordinarily traveled for daily commutation and miles traveled on college business unless traveling from campus; or b. if the employee is traveling from his or her campus, the miles traveled on college business from the campus to another location and for return to the campus or home location, whichever is less. 2. Use of personal automobiles will be reimbursed on a per mile basis according to the current IRS reimbursement rate. This takes into account all actual automobile expenses such as fuel, insurance, normal wear on the vehicle, etc. 3. In addition to the standard mileage allowance, necessary and reasonable charges for the following automobile-related expenses are allowed: tolls, ferries, parking, bridges and tunnels – for which receipts are required for which receipts are required for daily amounts over $5. 4. The owner of the vehicle is responsible for complying with state insurance requirements. The VSCS’s insurance does not apply to privately owned vehicles. 5. Mileage between an employee’s residence and place of work is not reimbursed. 6. Traffic ticket and, parking ticket and any moving violation (e.g., speeding tickets) expenses will not be reimbursed. E. Rental Cars 1. An employee may rent a vehicle when advantageous to the VSCS and approved in advance. 2. The traveler is responsible for obtaining the best available rate commensurate with the requirements of the trip.

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3. The VSCS’s insurance policy provides liability protection for a rental vehicle;: however, the collision damage waiver shall be purchased unless otherwise directed by the Dean of Administration, or designee. 4. Renters must abide by the terms and conditions of the rental agency contract or rental agreement. 4.5. In the event an employee’s use of a rental vehicle incurs costs or expenses not covered by the collision damage waiver or VSCS’s insurance policy, the employee will be responsible for any and all such costs or expenses. F. Airfare. Coach airfare only is allowable. Business and first class are not allowable expenses. G. Ground Transportation. Travelers should select the most reasonable means of ground transportation, whether shuttle, taxi, rail or bus, as needed to travel between business locations.

IV. MEALS AND INCIDENTAL EXPENSES A. Actual meals and incidental expenses will be allowed up to the GSA rate for Vermont. With prior authorization by the Dean of Administration or designee, an employee may operate under another state or country GSA rate – approval documentation required with reconciliation submission. Receipts are required for all meal expenditures. B. Meals will be reimbursed only when a clear VSCS business need is demonstrated and the employeey hasve supervisor approval A.C. If meals are covered in the cost of a conference or otherwise, additional meal charges will not be allowed. Employees attending conferences must submit conference agenda and applicable conference materials regarding meals provided. B. There are two ways that the VSC will reimburse a traveler for allowable meals and incidental expenses incurred during VSC related travel. The option to be used must be approved by the traveler’s supervisor in advance of travel. 1. Using the default rate for the VSC as set out on the VSC Travel Reimbursement Form, or, in the case of a particularly expensive region and

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with authorization, the per-diem rate for the geographical region where the expenses were incurred. 2. Using the exact expense incurred for meals and incidental expenses as long as they do not exceed the per diem reimbursement rates. C. Per-diem rates presented in this policy represent the maximum per-diem reimbursable by the VSC. D. Incidental expenses include fees and tips for persons providing services, such as food servers, hotel housekeeping and luggage handlers. E. Receipts and detailed documentation are not required when requesting reimbursement of meals and incidentals unless otherwise required by grants. F. The Chancellor annually shall set a default per-diem rate for domestic Meals and Incidental Expenses. The rate shall be set forth on the VSC Travel Reimbursement Form. Per-diem expenses for particularly expensive regions will be based on the General Services Administration rates as available on the following web site: Domestic Per-diem Rates (if in Word press keyboard Control button & click on left mouse button) or type http://www.gsa.gov and click on Per Diem Rates. G. The VSC’s per diem rate for foreign Meals and Incidental Expenses is based on the U.S. Department of State maintained web site of per diems by country and locality, at: Foreign Per-diem Rates (if in Word press keyboard Control button & click on left mouse button) or type http://aoprals.state.gov and click on Foreign Per Diem Rates H. Meals and Incidental Expenses Per-diem Meal Reductions 1. On the days of travel to or from the destination, the per-diem shall be reduced for the individual's departure and return times to exclude any meals not incurred during the time of travel using the reduction schedule set forth on the VSC Travel Reimbursement Form. 2. The VSC’s per-diem will also be reduced to account for meals furnished at no cost or nominal cost to the traveler while away on official business. If meals are covered in the cost of a conference or otherwise, additional meal charge will not be allowed. those meals should be deducted from the per-diem rate following the schedule on the VSC Travel Reimbursement Form.

Signed by: Timothy J. Donovan Jeb Spaulding Chancellor

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Date Version Revision Approved By 1/28/2010 1.0 Adopted VSCS Board of Trustees

6/20/2019 2.0 Update of policy and VSCS Board of Trustees elimination of per diems

73 VSCS Board of Trustees Meeting June 19-20, 2019

New Policy 435, Financial Conflict of Interest in Research

74 VSCS Board of Trustees Meeting June 19-20, 2019

Manual of Policy and Procedures

Title Number Page

FINANCIAL CONFLICT OF INTEREST IN RESEARCH 435 1 of 4 Date 6/20/2019

PURPOSE The purpose of this policy is to promote objectivity in research by ensuring, to the extent possible, that the design, conduct, or reporting of research is not compromised by a researcher’s conflicting financial interests. The policy establishes the steps that the Vermont State Colleges System should take to mitigate real or perceived financial conflicts of interest associated with externally-funded research. SCOPE This policy applies to all VSCS faculty and staff involved in applying for or carrying out externally-funded research. This policy is meant to comply with the requirements of the Department of Health and Human Services regulation 42 CFR Part 50. Following federal regulations, the policy does not apply to Phase I Small Business Innovative Research (SBIR) and Small Business Technology Transfer (STTR) programs. The policy does apply, however, to Phase II SBIR/STTR programs. STATEMENT OF POLICY Individuals at VSCS Institutions who conduct research are required to disclose whether they, their spouse or partner, and/or their dependent children hold any significant financial interests that might bias their research. Designated officials at each Institution shall review financial disclosure statements and determine whether a financial conflict of interest exists. If a financial conflict of interest is identified, the VSCS shall appropriately manage, reduce, or eliminate the conflict. DEFINITIONS As used in this policy: “Designated Institutional Official” means the person(s) that the VSCS has designated to review disclosures of significant financial interests. Unless otherwise elsewhere stated, this term

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shall mean the President, or designee, for each member Institution, and the Chancellor, or designee, for the VSCS. “Financial Conflict of Interest” means a significant financial interest that could directly and significantly affect the design, conduct, or reporting of research funded by non-Institutional sources. “Financial Interest” means anything of monetary value, whether or not the value is readily ascertainable, including, but not limited to: salary or other payments for services (e.g., consulting fees, honoraria, or paid authorships for other than scholarly works); any equity interests (e.g., stocks, stock options, or other ownership interests); and intellectual property rights and interests (e.g., patents, trademarks, service marks, and copyrights), upon receipt of royalties or other income related to such intellectual property rights and interests. “Institutional Responsibilities” means an investigators’ professional responsibilities on behalf of their VSCS Institution. Examples include activities such as research, research consultation, teaching, professional practice, institutional committee memberships, and service on panels such as Institutional Review Boards. “Investigator” means the project director or principal investigator and any other person, regardless of title or position, who is responsible for the design, conduct, or reporting of research. “Manage” means taking action to address a financial conflict of interest, which can include reducing or eliminating the financial conflict of interest, to ensure, to the extent possible, that the design, conduct, and reporting of research will be free from bias. “PHS” means the Public Health Service, the primary division of the U.S. Department of Health and Human Services.

“PHS Awarding Component” means the organizational unit of the PHS that provides funding for research. The following agencies award PHS funds: National Institutes of Health (NIH), Food and Drug Administration (FDA), Substance Abuse and Mental Health Services Administration (SAMHSA), Agency for Healthcare Research & Quality (AHRQ), Agency for Toxic Substances and Disease Registry (ATSDR), Centers for Disease Control and Prevention (CDC), Health Resources and Services Administration (HRSA), Indian Health Service (IHS), Office of Global Affairs (OGA), Office of the Assistant Secretary for Preparedness and Response (OASPR), and Office of the Assistant Secretary for Health (ASH).

“PHS-Funded Investigator” refers to a researcher receiving funding from any federal agencies that award PHS funds.

“Principal Investigator” means the person in charge of a research grant.

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“Research” means a systematic investigation, study, or experiment designed to develop or contribute to generalizable knowledge. The term encompasses basic and applied research (e.g., a published article, book or book chapter) and product development (e.g., a diagnostic test or drug).

“Significant Financial Interest” means a financial interest consisting of one or more of the following interests of the investigator, the investigator’s spouse or partner, and/or dependent children that reasonably appears to be related to the investigator's institutional responsibilities: a) With regard to any publicly traded entity, a significant financial interest exists if the value of any remuneration received from the entity in the twelve months preceding the disclosure and the value of any equity interest in the entity as of the date of disclosure, when aggregated, exceeds $5,000. For purposes of this definition, remuneration includes salary and any payment for services not otherwise identified as salary (e.g., consulting fees, honoraria, paid authorship); equity interest includes any stock, stock option, or other ownership interest, as determined through reference to public prices or other reasonable measures of fair market value;

b) With regard to any non-publicly traded entity, a significant financial interest exists if the value of any remuneration received from the entity in the twelve months preceding the disclosure, when aggregated, exceeds $5,000, or when the investigator (or the investigator's spouse or dependent children) holds any equity interest (e.g., stock, stock option, or other ownership interest); or

c) Intellectual property rights and interests (e.g., patents, copyrights), upon receipt of income related to such rights and interests;

d) For PHS-funded investigators only: any travel expenses reimbursed directly to an investigator or paid directly on the investigator’s behalf, regardless of amount of value, that is related to the investigator’s institutional responsibilities, excluding travel that is reimbursed or paid by a federal, state, or local government agency, an institution of higher education, an academic teaching hospital, a medical center, or a research institute that is affiliated with an institution of higher education. This requirement only applies to investigators using PHS funding. The term Significant Financial Interest does not include the following types of financial interests: a) Salary, royalties (including intellectual property rights and agreements to share in royalties related to those rights), or other renumeration paid by the VSCS to the investigator if the investigator is currently employed or appointed by the VSC;

b) Income from investment vehicles, such as mutual funds and retirement accounts, as long as the investigator does not directly control the investment decisions made in these vehicles;

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c) Income from seminars, lectures, or teaching engagements sponsored by a federal, state, or local government agency, a domestic institution of higher, an academic teaching hospital, a medical center, or a research institute that is affiliated with an institution of higher education;

d) Income from service on advisory committees or review panels for a federal, state, or local government agency, an institution of higher education, an academic teaching hospital, a medical center, or a research institute that is affiliated with an institution of higher education. PROCEDURES The Chancellor shall establish and periodically update the procedures for identifying, managing and excluding financial conflicts of interest in externally funded research at all VSCS Institutions. Such procedures shall be consistent with federal legal requirements and any collective bargaining agreements governing the rights and responsibilities of the VSCS, its member Institutions and employees. The procedures established by the Chancellor may be modified as necessary to comply with federal and state law and to ensure compliance with research funding requirements, as applicable.

Signed by:

Jeb Spaulding, Chancellor

Date Version Revision Approved By 6/20/2019 1.0 Adopted VSCS Board of Trustees

78 VSCS Board of Trustees Meeting June 19-20, 2019 Effective July 1, 2019

VERMONT STATE COLLEGES SYSTEM Chancellor’s Procedures for Implementation of Policy 435: Financial Conflict of Interest in Research

PURPOSE

The following procedures are adopted pursuant to Vermont State Colleges System Policy 435, and outline the steps for identifying and responding to a financial conflict of interest in externally funded research. These procedures are to be read to comply with all federal and state legal requirements, VSCS Policy 435 and other applicable VSCS policies. Terms defined in Policy 435 carry the same definition in these procedures.

PROCEDURE

I. Training The VSCS shall inform each principal investigator (PI) of the VSCS’s policy on financial conflicts of interest and the PI’s responsibilities regarding disclosure of significant financial interests. The VSCS shall require all investigators conducting research to complete training on this policy prior to engaging in research and at least every four years after that. The VSCS shall also require investigators to complete the training if the VSCS materially revises its financial conflict of interest policies or procedures, if a PI is new to a VSCS Institution, or if the VSCS finds that a PI is not in compliance with the financial conflict of interest policy or a management plan implemented to mitigate a conflict. II. Disclosures Investigators submitting a proposal to conduct research are required to submit a disclosure form to the VSCS Office of Sponsored Projects that lists any known significant financial interests (and those of the investigator’s spouse or partner and dependent children) that would reasonably appear to be affected by the research for which funding is sought. The disclosure form shall be submitted no later than at the time the proposal is submitted. In addition, investigators are required to submit disclosures at the following times: a) Annually during the period of award;

b) Within 30 days of discovering or acquiring (e.g., through purchase, marriage, or inheritance) a new significant financial interest;

c) When a new investigator joins an ongoing research project; or

79 VSCS Board of Trustees Meeting June 19-20, 2019 Effective July 1, 2019

d) If the VSCS finds that an investigator is not in compliance with the financial conflict of interest policy or management plan. III. Travel Disclosures For PHS-funded investigators only: Investigators conducting research with PHS funds are also required to disclose any travel expenses reimbursed directly to them (not through the VSCS), or paid directly on their behalf, related to their institutional responsibilities. The disclosure shall be submitted to the Office of Sponsored Projects within 30 days of travel and include, at a minimum, the purpose of the trip, the identity of the sponsor/organizer, the destination, the duration, and, if known, the monetary value. This requirement does not apply to travel that is reimbursed or paid by a federal, state, or local government agency, an institution of higher education, an academic teaching hospital, a medical center, or a research institute that is affiliated with an institution of higher education. IV. Review and Determination If the disclosure form indicates a significant financial interest, the Office of Sponsored Projects will forward the form to each Institution’sappropriate designated institutional official, who will review the disclosure. If the designated official reasonably determines that the investigator’s significant financial interest could directly and significantly affect the design, conduct, or reporting of research, this shall constitute a financial conflict of interest. Any financial conflicts of interest will require a plan to eliminate, reduce, or manage the conflict. V. Management of Financial Conflict of Interests The investigator, after consulting with the designated institutional official, shall write and submit a management plan that specifies the actions to be taken to manage the financial conflict of interest. Management plans may include but are not limited to the following: a) Public disclosure of financial conflicts of interest (e.g., such as when presenting or publishing the research);

b) For research involving human subjects, disclosure of financial conflicts of interest directly to participants;

c) Appointment of an independent monitor capable of taking measures to protect the design, conduct, and reporting of the research against bias resulting from the financial conflict of interest;

d) Modification of the research plan;

80 VSCS Board of Trustees Meeting June 19-20, 2019 Effective July 1, 2019

e) Change of personnel or personnel responsibilities, or disqualification from participation in all or a portion of the research;

f) Reduction or elimination of the financial interests (e.g., sale of an equity interest); or

g) Severance of relationships that create financial conflicts. The management plan shall include how the plan will be monitored for compliance on an ongoing basis until the completion of the research project. It shall also include confirmation of the investigator’s agreement to the plan and the designated institutional official’s approval. VI. Compliance If an investigator fails to disclose a significant financial interest or to comply with the financial conflict of interest management plan, the designated institutional official shall consult with appropriate administrators at the investigator’s Institution to determine what disciplinary action to take. This may include the suspension of the research project or other disciplinary sanctions, up to and including termination. The decision shall be documented in writing and shall include information about the right of the individual to appeal the decision. The procedures and mutual obligations of the VSCS and the employee under any collective bargaining agreement, or the VSC personnel handbook, will apply to any resulting disciplinary action or appeal. VII. Reporting Financial Conflicts of Interest to the Sponsor In the event that a financial conflict of interest is determined to exist for a research project funded by non-PHS sources, the VSCS shall follow the reporting requirements established by the funder. For PHS-funded investigators only: Within 6o days of determining a financial conflict of interest exists for any PHS-funded project, the VSCS is required to report this conflict to the PHS awarding component providing the funding. This report shall be submitted before any further funds are expended for the project and shall include the following: a) Sufficient information to enable the PHS awarding agency to understand the nature and extent of the financial conflict and assess the appropriateness of the management plan;

b) Project number, principal investigator, name of the investigator with a financial conflict of interest, name of the entity with which the investigator has a financial conflict of interest, and nature of the financial interest;

81 VSCS Board of Trustees Meeting June 19-20, 2019 Effective July 1, 2019

c) Value of the financial interest (dollar ranges are permissible: $0-$4,999; $5,000-$9,999; $10,000-$19,999; amounts between $20,000-$100,000 by increments of $20,000; amounts above $100,000 by increments of $50,000), or a statement that the interest is one whose value cannot be readily determined through reference to public prices or other reasonable measures of fair market value;

d) A description of how the financial interest relates to the PHS-funded research and the basis for the VSCS’s determination that the financial interest conflicts with such research; and

e) A description of the key elements of the management plan, including the role and principal duties of the conflicted investigator in the research project, the conditions of the management plan, how the management plan is designed to safeguard objectivity in the research project, confirmation of the investigator’s agreement to the management plan, and how the management plan will be monitored to ensure investigator compliance. If, in the course of an ongoing PHS-funded research project, an investigator who is new to participating in the research project discloses a significant financial interest or an existing investigator discloses a new significant financial interest, the VSCS shall do the following within 60 days: a) Review the disclosure of the significant financial interest;

b) Determine whether it is related to the PHS-funded research; and

c) Determine whether a financial conflict of interest exists; and, if so, implement, on at least an interim basis, a management plan that shall specify the actions that have been, and will be, taken to manage such financial conflict of interest. For any financial conflict of interest reported by the VSCS, the VSCS shall provide the PHS awarding component an annual financial conflict of interest report that addresses the status of the financial conflict and any changes to the management plan. The annual report, which shall be submitted for the duration of the PHS-funded research project, shall specify whether the financial conflict is still being managed or explain why it no longer exists. VIII. Retrospective Review In cases where a financial conflict of interest is not identified or managed in a timely manner, a retrospective review may be required to determine whether any funded research conducted prior to the identification and management of the financial conflict of interest was biased in the design, conduct, or reporting of such research. Examples of noncompliance include but are not limited to the following:

82 VSCS Board of Trustees Meeting June 19-20, 2019 Effective July 1, 2019

a) An investigator fails to disclose a significant financial interest that is determined to be a financial conflict of interest;

b) The VSCS fails to review or manage a reported financial conflict of interest; or

c) An investigator fails to comply with a financial management plan. For PHS-funded investigators only: PHS regulations require the VSCS to complete a retrospective review of the investigator’s activities within 120 days after noncompliance is determined. Documentation of the retrospective review shall include the project number, project title, principal investigator for the grant, the name of the investigator with the financial conflict of interest, name of the entity with which the investigator has the financial conflict of interest, reason(s) for the retrospective review, detailed methodology used for the retrospective review, and the findings and conclusions of the review. If a failure of the investigator to comply with VSCS’s financial conflict of interest policy is found to have biased the research project, the VSCS is required to notify the PHS awarding component promptly and submit a mitigation report. IX. Subrecipients For PHS-funded research only: If a VSCS Institution conducts research by passing through funding to a subrecipient, the VSCS is required to take reasonable steps to ensure that any subrecipient investigator complies with federal regulations on financial conflicts of interest in research. The VSCS shall incorporate as part of its written agreement with the subrecipient terms that establish whether the VSCS policy or that of the subrecipient will apply to the subrecipient’s investigators. The written agreement shall also specify time periods for the subrecipient to report all identified financial conflicts of interest to the VSCS. Such time periods shall be sufficient to enable the VSCS to provide timely financial conflict of interest reports as necessary. X. Record Retention

The VSCS shall maintain records relating to all investigator disclosures of financial interests and the VSCS’s review of, and response to, such disclosures for at least three years from the date the final expenditure report is submitted. (See Policy 209: Records Retention.)

XI. Public Accessibility

The VSCS shall ensure public access to disclosed financial conflicts of interest by following the accessibility requirements outlined by external sponsors, which may vary depending on the funder.

83 VSCS Board of Trustees Meeting June 19-20, 2019 Effective July 1, 2019

For PHS-funded research only: Within five business days of receiving a request for information about financial conflicts of interest, the VSCS shall provide a written response to the requestor if it meets the following criteria:

a) The significant financial interest was disclosed and is still held by the investigator;

b) The VSCS determines that the significant financial interest is related to the PHS-funded research; and

c) The VSCS determines that the significant financial interest is a financial conflict of interest. The information provided shall include, at a minimum, the investigator's name; the investigator's title and role with respect to the research project; the name of the entity in which the significant financial interest is held; the nature of the significant financial interest; and the approximate dollar value of the significant financial interest using dollar ranges, or a statement that the interest is one whose value cannot be readily determined through reference to public prices or other reasonable measures of fair market value. XII. Updates The Chancellor shall periodically update these procedures consistent with federal and state law and general industry practice. Such updates will generally be developed in consultation with the Office of Sponsored Projects and the VSCS member Institutions.

Adopted: July 1, 2019

84 VSCS Board of Trustees Meeting June 19-20, 2019

Amendment to Policy 503, General Definitions

85 VSCS Board of Trustees Meeting June 19-20, 2019

Manual of Policy and Procedures

Title Number Page

GENERAL DEFINITIONS 503 1 of 1 Date 6/20/2019

1. Unless the context clearly requires otherwise, “Vermont State Colleges,” “Vermont State Colleges System,” “Institutions,” or the “Colleges,” when used in Policies 101 through 505, refers to the Corporation known as the Vermont State Colleges and all or any number of its constituent parts including but not limited to Castleton University, Community College of Vermont, Northern Vermont University, and Vermont Technical College. References in Policies 101 through 505 to a “College” or “Institution” in the singular, unless the context clearly requires otherwise, means a member institution of the Vermont State Colleges including Castleton University, Community College of Vermont, Northern Vermont University, and Vermont Technical College.

Signed by: ______Jeb Spaulding, Chancellor

Date Version Revision Approved By 9/23/15 1.0 Adopted VSCS Board of Trustees 6/20/19 2.0 Updated for NVU VSCS Board of Trustees

86 VSCS Board of Trustees Meeting June 19-20, 2019

Manual of Policy and Procedures

Title Number Page

GENERAL DEFINITIONS 503 1 of 1 Date 9/23/2015 6/20/2019

1. Unless the context clearly requires otherwise, “Vermont State Colleges,” “Vermont State Colleges System,” “Institutions,” or the “Colleges,” when used in Policies 101 through 503505, refers to the Corporation known as the Vermont State Colleges and all or any number of its constituent parts including but not limited to Castleton University, Community College of Vermont, Johnson State College, Lyndon State College, Northern Vermont University, and Vermont Technical College. References in Policies 101 through 503505 to a “college” or “Institution” in the singular, unless the context clearly requires otherwise, means a member institution of the Vermont State Colleges including Castleton University, Community College of Vermont, Johnson State College, Lyndon State College,Northern Vermont University, and Vermont Technical College.

Signed by: ______Jeb Spaulding, Chancellor

Date Version Revision Approved By 9/23/15 1.0 Adopted VSCS Board of Trustees 6/20/19 2.0 Updated for NVU VSCS Board of Trustees

87 VSCS Board of Trustees Meeting June 19-20, 2019

Item 2d:

Attachment 4: Resolution Waiving Policy 410, Financial Aid and Other Financial Awards, for FY2019

88 VSCS Board of Trustees Meeting June 19-20, 2019

VERMONT STATE COLLEGES SYSTEM

BOARD OF TRUSTEES

RESOLUTION 2019-005

Waiver of Policy 410, Financial Aid and Other Financial Awards for Fiscal Year 2019

WHEREAS, Policy 410 limits overall financial aid to 5% of general operating budgets; and requires both that no more than 50% of an Institution’s institutional aid be allocated to non-residents, and no more than 50% of financial aid be non-need-based; and WHEREAS, Several Institutions are not anticipated to meet these limitations as of June 30, 2019; and WHEREAS, Since the last revision to Policy 410 on January 29, 1999, tuition discounting practices have changed considerably, and explicit limitations on both overall aid and the allocation of aid can be counterproductive to providing the lowest overall cost to Vermont residents; and WHEREAS, The Chancellor, in consultation with the Institutions’ Presidents, intends to propose an amendment updating Policy 410 for the Board’s consideration at its September 2019 meeting; therefore, be it RESOLVED, That Policy 410, Financial Aid and Other Financial Awards, is hereby waived for fiscal year 2019.

Approved: June 20, 2019

______J. Churchill Hindes, Chair of the Board of Trustees

89 VSCS Board of Trustees Meeting June 19-20, 2019

Manual of Policy and Procedures

Title Number Page

FINANCIAL AID AND OTHER FINANCIAL AWARDS 410 1 of 2 Date 1/29/99

PURPOSE Colleges administer need-based financial aid and non-need-based financial award programs with funds from various sources. Financial Aid includes allocations from federal, state, institutional and other sources to students with demonstrated financial need. Financial awards include allocations to students in recognition of special attributes, skills or accomplishments. The purpose of this policy is to guide the colleges' administration of all financial aid and financial awards supported through revenues from the college's general fund and the federal campus-based aid programs.

STATEMENT OF POLICY In keeping with the legislated missions of the Vermont State Colleges to provide public higher education in Vermont and of the Vermont Student Assistance Corporation and the federal government to provide financial assistance to students, this policy provides direction for the colleges' administration of need-based financial aid and non-need-based financial award programs to: 1. assist financially-needy students to attend college and to complete their college education; 2. increase diversity among the colleges' student population; 3. provide financial incentives to promote student interest in higher education; 4. acknowledge and reward student achievements and skills.

Need-Based and Non-Need Based Financial Awards

Colleges may budget and expend up to 5% of their general operating budgets for the combination of need-based aid and non-need-based financial awards, as defined in this policy. VSC endowment funds and other externally generated funds including federal financial aid program expenditures, NEBHE waivers, and VSAC awards are not counted toward the 5% limit.

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These funds will be expended to meet the dual goals of providing access to education for needy students and for maximizing the enrollment goals of the Vermont State Colleges.

Colleges may allocate no more than 50% of their institutional aid funds for meeting the needs of non-residents. In addition, no more than 50% of these funds shall be allocated for non-need- based financial aid.

Signed by: Charles I. Bunting Chancellor

91 VSCS Board of Trustees Meeting June 19-20, 2019

Item 3a: Amendments to LRPC Committee Charge

92 VSCS Board of Trustees Meeting June 19-20, 2019 PROPOSED CHANGE TO LRPC CHARGE June 20, 2019 Long Range Planning Committee Charge

The Long Range Planning Committee is a Standing Committee of the Board of Trustees of the Vermont State Colleges System.

Purpose The Long Range Planning Committee plays a significant role in charting the future course of the Vermont State Colleges System. It serves as an advisory committee to the Board of Trustees, Chancellor, and college presidents on strategic long term planning in general and on specific proposals to change the governance and/or structure of the system, as well as on alternative approaches for administration and program delivery at a system level which require Board approval.

Responsibilities Specifically, the Long Range Planning Committee shall: • Periodically assess the mission statements of the VSCS and its individual colleges to ensure that overall strategic direction is consistent with the goals and objectives of the system. • Monitor and assess the Vermont State Colleges System strategic planning process, making appropriate recommendations to the Board for adjustment from time to time. • Undertake long range planning and coordination for the VSCS, consistent with its goals, objectives, priorities, roles, and responsibilities, making appropriate recommendations for adjustment to the Board as warranted. • Consider alternative approaches to system governance and structure, and VSCS relationships with external entities, making recommendations to the Board on potential structural, operational, governance, and marketing changes that should be expected to improve long term prospects for the VSCS. • Monitor and review governmental or other developments and initiatives that may impact the VSCS to assure that management and the Board are responding appropriately.

Adopted 4/9/2015 Updated 6/20/2019 93 VSCS Board of Trustees Meeting June 19-20, 2019 PROPOSED CHANGE TO LRPC CHARGE June 20, 2019 • Involve and consult with college leadership in the development of any recommendations, prior to bringing them to the Board of Trustees for action. • Coordinate with any other committees of the Board, particularly when overlapping jurisdictions may come into play.

Composition The Committee shall be composed of no fewer than six Board members appointed by the Chair of the Board, who shall also appoint the Chair of the Committee.

Approved: June 20, 2019

Adopted 4/9/2015 Updated 6/20/2019 94 VSCS Board of Trustees Meeting June 19-20, 2019 PROPOSED CHANGE TO LRPC CHARGE June 20, 2019 Long Range Planning Committee Charge

The Long Range Planning Committee is a Standing Committee of the Board of Trustees of the Vermont State Colleges System. The Committee shall sunset on June 30, 2019, unless reauthorized by the Board.

Adopted 4/9/2015 Updated 6/20/2019 95 VSCS Board of Trustees Meeting June 19-20, 2019 PROPOSED CHANGE TO LRPC CHARGE June 20, 2019 • Monitor and review governmental or other developments and initiatives that may impact the VSCS to assure that management and the Board are responding appropriately. • Involve and consult with college leadership in the development of any recommendations, prior to bringing them to the Board of Trustees for action. • Coordinate with any other committees of the Board, particularly when overlapping jurisdictions may come into play.

Composition The Committee shall be composed of no more fewer than six Board members appointed by the Chair of the Board, who shall also appoint the Chair of the Committee.

Approved: June 20, 2019

Adopted 4/9/2015 Updated 6/20/2019 96 VSCS Board of Trustees Meeting June 19-20, 2019

Item 3b: Securing the Future of the Vermont State Colleges System

97 VSCS Board of Trustees Meeting June 19-20, 2019

Version 1.0, June 19, 2019

Serving Vermont’s Students by Securing the Future of the Vermont State Colleges System

Office of the Chancellor

This white paper is intended to set the stage for consideration of concrete, strategic actions that the Vermont State Colleges System can take to secure its mission in an increasingly challenging and rapidly changing higher education environment. The first step is to gain a clear understanding of the forces affecting our colleges and universities.

Introduction: Planning a Bright Future for the Vermont State Colleges System

The future of the State of Vermont, and the State’s capacity to realize the potential of generations of future students, will depend upon a thriving Vermont State Colleges System (VSCS or System).

And yet significant challenges to colleges and universities bear down upon our region and much of the United States and threaten access to the affordable, high quality, student-centered education our member institutions provide. Significant demographic and market pressures are undeniable. In this environment, cost controls and innovation must quickly be coupled so that our colleges and universities – and their missions -- will thrive, not merely survive.

A vision for the future must encompass our enduring mission for Vermont and elements essential to public higher education systems elsewhere that are succeeding in this environment. Those systems are strategically and rapidly focusing resources on new delivery platforms and flexibly delivered credentials that reach traditional-age and adult students. They are creating opportunities distributed across a lifetime. Those who thrive will reduce the cost of delivery and will be the most entrepreneurial.

DRAFT -- 1

98 VSCS Board of Trustees Meeting June 19-20, 2019

The Vermont State Colleges System must adapt, innovate, and leverage its strengths in order to secure a bright future. To that end, the Board of Trustees is embarking on a strategic initiative first to clarify and communicate the urgent challenges facing higher education and then to develop responses to allow the System to meet its critical mission of service to the State into the future.

As a statewide entity with strong regional presence and a long and proud history of educating Vermonters, the VSCS brings significant strengths to its work that will help it confront external forces. Because of our partnerships, our colleges and the System have the unique ability to respond to local, regional and state needs. Our State appropriation provides a predictable supplementary revenue source. As a System, the VSCS is capable of achieving necessary financial efficiencies. Significantly, strong leaders at the System and college level are guiding their institutions well through very challenging waters.

Challenges to the industry are facing nearly every college and university in the nation, but are hitting the Northeast and Vermont especially hard. Declining numbers of traditional college- age students and increased competition among colleges for those students are pressuring budgets. Student preferences and attitudes toward higher education are changing. Our traditional physical infrastructure and personnel processes do not always support timely responses to challenges. Vermont’s ranking at the bottom of the nation in state support is a significant factor in our inability to compete on price, to innovate, and to keep up with basic infrastructure.

These challenges require fully leveraging our strengths. Areas with the greatest opportunity for solutions demand change: new delivery methods, new credential offerings, and strategically focusing resources as a system to efficiently and effectively deliver educational opportunities.

As the Board of Trustees develops plans for the future of the VSCS, a thorough exploration of the forces affecting our colleges and universities is a necessary first step. It will gather input from the VSCS community and others about these challenges and about possible solutions to build a strong system that serves the needs of our students and our State into the future.

If the System’s colleges and universities are to remain relevant and viable, leadership and stakeholders must have the foresight to recognize the forces upon us and the fortitude to make tough and timely decisions about what, how, and where to deliver relevant public postsecondary education to Vermonters.

This paper will first detail what the Chancellor believes are the forces negatively affecting the System. It will also review steps the VSCS has taken thus far to adjust to them. To gain consensus on the changing environment, this document is intended to evolve, reflecting vigorous and constructive dialogue with many constituencies.

The next step will be for the VSCS to identify a range of specific actions the System could take to secure its future for the benefit of Vermont. You are welcome to visit

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www.vsc.edu/securethefuture over the coming months to view revisions to this paper, find out about participating in input sessions, and other information about this strategic process.

The Vermont State Colleges System’s Deeply Integrated Role

The Vermont State Colleges System, which includes Castleton University, Northern Vermont University, Vermont Technical College, and the Community College of Vermont, acts as the State of Vermont’s public system of higher education.

The System’s mission begins, “For the benefit of Vermont,” and its colleges and universities serve over 11,000 students and employ over 2,000 Vermonters in 20 locations in thirteen of Vermont’s fourteen counties. In addition, close to 9,000 adults are served in workforce and professional education programs offered at every institution. Over 80% of the System’s students are Vermonters, and the vast majority its graduates stay and work in Vermont. These graduates, in turn, comprise a major input into Vermont’s workforce pipeline and become the entrepreneurs and workers powering Vermont’s economy.

The VSCS is the extension of the State of Vermont’s public education system into the postsecondary years. This means that the System’s colleges and universities are, by design, a logical continuation of the State’s pre-kindergarten through 12th grade primary and secondary schools and are accessible to almost all Vermonters. In addition to providing traditional four- year, residential, bachelor’s degree programs to 18 - 22 year-old students, they also provide a wide range of graduate, associate degree and certificate programs, serve commuter and online students, and provide continuing education opportunities for Vermonters of all ages. This broad accessibility and wide range of offerings enables the System’s colleges and universities to confer more bachelor’s and associate’s degrees and non-degree certificates to Vermonters than all of the other colleges and universities in the state combined.

In their role as the State of Vermont’s “access institutions,” the System’s colleges and universities also provide upward mobility for Vermont’s citizens, which results in attendant benefits for the State. The Lumina Foundation’s study, “It’s Not Just the Money” demonstrates that on any number of human services measures, whether rates of poverty, incarceration, mental illness, poor health, or overall difficulty in life are inversely correlated with education levels. The System is one of the State’s most cost-effective investments both to improve Vermonters’ quality of life and to reduce dependency on State services.

Finally, the System’s colleges and universities serve as the economic and cultural foundation of many rural parts of Vermont. The System spends almost $170 million each year on employee salaries and benefits, paid almost entirely to Vermonters, and purchases of goods and services from Vermont based businesses. Its students and employees eat at local restaurants, shop in

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local stores, and flock to Vermont recreation areas. Additionally, the colleges and universities are centers of music, fine arts, theatre, athletic events, public lectures, summer youth camps, and innumerable other life-enriching activities that otherwise would be unavailable to Vermont’s rural communities and regions.

Strengths of the Vermont State Colleges System

The VSCS is a sizable statewide public entity, which sets us apart from the many small, tuition- dependent, private colleges across the region that face significant pressures on their own. As a college system with a statewide footprint, the strengths inherent to a system are more valuable to our member institutions than ever before. Shared services, joint purchasing and systemwide contracts all provide financial efficiencies unavailable to independent colleges. In the past few years, several of our colleges have accessed timely financial support from the System when taking on a bank loan would not have been feasible. Additional strengths can be leveraged when academic policies are aligned at the system level to provide more opportunities for VSCS students (ie. Direct Admissions).

Our statewide presence makes us a valuable state asset. The map of VSCS campuses, academic centers, and workforce resources reveals a statewide presence and illustrates our mission: to provide access to educational opportunities for all Vermonters. Taken together, our four colleges and universities, spread out over thirteen counties, serve a majority of Vermont students attending college from those counties. Our statewide presence has fostered well- rooted connections with our host communities. Our partnerships with employers, local agencies, alumni, and friends are not confined to one region, but are statewide. Because of our established partnerships, the VSCS can respond quickly to regional employment or educational needs. Because we are a system, the VSCS can deliver programs for the State of Vermont in every county.

The State of Vermont’s stake in the success of our colleges is enormous. The State is dependent on our member institutions as regional economic engines, workforce pipelines, and as access institutions for the majority of Vermonters remaining in state to go to college. While State funding accounts for only 17% of our budget, one of the lowest levels of funding in the nation, the VSCS annual appropriation does provide a predictable, annual source of revenue. Any independent college would be envious of a $30 million annual disbursement from an endowment.

Another key strength is our strong system and college-level leadership. Squaring off against the challenges listed in this report, our presidents, with the support of their leadership teams, staff and faculty, are making bold decisions about the future of their institutions, all while offering innovations to better serve students and to remain competitive. The Chancellor’s Office is supporting this work and pushing forward with significant business process redesign, systemwide academic policy and program changes, and transformation of our information

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technology. A highly knowledgeable and diversely talented Board of Trustees also provides invaluable guidance and engaged oversight of in this timely and urgent work.

Despite significant challenges, and because of them, the VSCS colleges and universities continue to innovate. New programs, including non-degree credentials and apprenticeships, are being developed faster than ever. Employer partnerships are flowering. New technologies, more convenient scheduling, and improved student support services abound.

“A clear view of the complexities opens the way to constructive action” --- John W. Gardner

Challenges we face

The recent closures of Green Mountain College in Poultney, Southern Vermont College in Bennington, and the College of St. Joseph in Rutland make clear that Vermont is about to experience – in rapid sequence and without precedent in the history of the State, and quite possibly the country – the devastating impact of losing the economic and cultural anchors for several rural communities and their surrounding regions.

These closures provide stark evidence of the negative and powerful external forces that continue to bear down on almost all colleges and universities generally, but that are particularly acute in Vermont. Many observers and analysts predict the pace of college closures will escalate, and that small, rural, tuition-dependent, and less selective colleges are the most vulnerable.

While the System’s institutions face many of the same problems and difficulties confronting other colleges and universities in Vermont and the Northeast, a few key challenges stand out in terms of financial magnitude and immediacy, and therefore in potential impact to the System’s strategic outlook. These challenges include:

1. Historically weak demographics

2. Bottom-ranked State support

3. Accelerating pricing pressures

4. Barriers to adaptability

5. Changing student preferences and attitudes

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6. Disruptive technology and delivery

Challenge 1: Historically Weak Demographics

Downward demographic trends are serious and will continue to intensify indefinitely.

While the System’s institutions serve students of all ages, the primary student cohort, other than for Community College of Vermont, is still traditional-age high school graduates. The number of Vermont high school graduates has decreased by 25% over the past ten years and, given record-low birthrates, this trend is expected to continue indefinitely. The long-term outlook for other New England and the Northeastern states is similarly dire. This very likely means that the System’s capacity, physical footprint, and cost of operations already likely is, or soon likely will be, “over built” relative to future demand.

12th Grade Enrollment in Vermont Public Schools 7,500

7,000

6,500

6,000

5,500

5,000

4,500

4,000

3,500

3,000

2,500 2007-08 2008-09 2009-10 2010-11 2011-12 2012-13 2013-14 2014-15 2015-16 2016-17 2017-18

Source: Vermont Agency of Education School Enrollment Reports

http://edw.vermont.gov/REPORTSERVER/Pages/ReportViewer.aspx?%2fPublic%2fEnrollment+Report

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Source: Western Interstate Commission for Higher Education as reported in VTDigger, May 5, 2019.

The number of births in Vermont in 2015 was the lowest since before the Civil War and that number has continued shrinking each year since then. In the late 1980s there were approximately 8,500 births a year in Vermont, a sharp increase from the 1970s, but starting in the 1990s, births have been declining and we now have closer to 5,500 births each year. That is more than a 25% decline.

State of Vermont Live Births by Year, 1989 to 2018

Source: Vermont Agency of Human Services

State of Vermont population projections indicate the number of 15-19 year-olds will decline by 21.8% between 2010 and 2030 and the number of 20-24 year-olds will decline by 19.9%.

The rest of northern New England and the rural Northeast face these same trends.

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Carleton College Professor Nathan Grawe, in his 2017 book Demographics and the Demand for Higher Education, predicts beginning in 2026 that the number of college-aged students in the Northeast and Midwest will drop almost 15 percent in just five years.

Bottom line conclusion: As Vermont’s access institutions with Vermonters representing over 80% of our student body, with the remainder of our traditional campus-based students primarily coming from New England and mid-Atlantic states, we must adapt to a significantly smaller traditional student population.

Challenge 2: Bottom-Ranked State Support

Vermont has seriously underfunded public higher education for decades to the detriment of its citizens and economy.

A definitional characteristic of a public college system is state funding, the fundamental purpose of which is to enable lower tuition prices. Even with recent large percentage increases to the System’s base appropriation, and strong support from both the Governor and the Legislature, Vermont’s State support still ranks at or near the bottom of the 50 U.S. states by any measure. In addition, the System’s State funding remains just above half of what similar New England and New York public colleges receive as a percentage of overall revenues, with the exception of New Hampshire. This lack of State support has had, and continues to have, two pronounced effects on the System: very high tuition prices, and inability to invest in academic programming, innovation, and appropriate maintenance of facilities and basic infrastructure to remain competitive with other regional public colleges. Unfortunately, as evidenced by Vermont’s recent bond rating downgrade from Moody’s Investors’ Service, the State’s own poor demographic outlook and increasing pension and retirement benefit liabilities challenge the State’s ability to provide consistent, meaningful future increases to the System’s base appropriation.

For decades, chancellors, trustees, faculty members, students, and individual legislators have implored Vermont governors and the Legislature to reverse the State’s trend of disinvestment in its public higher education system. But inadequate funding has continued, with predictable results: The 1989 Vermont Higher Education Study Commission reported that Vermont ranked 3rd in the nation in spending on higher education as a percentage of personal income. The most recent State Higher Education Executive Officers report (FY 2018) shows Vermont now ranks 49th in the country.

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Source: State Higher Education Executive Officers, State Higher Education Funding Report, 2018

History of State Support, 1980 through 2018 90% 83% 85% 81% 83% 80% 70% 69% 70% 60% 60% 54% 51% All Other Revenue 50% State Appropriation 49% 40% 46% 40% 30% 30% 31% 20% 19% 17% 17% 10% 15%

0% 1980 1985 1990 1995 2000 2005 2010 2015

Source: VSCS

In Fall 2018, we requested that the State commit to a multi-year plan to increase funding for the VSCS to the average of its New England public college peers, or approximately 30%. This would have required an infusion of $25 million this coming year to the current base appropriation of $28 million. Our proposal included transitional $5 million dollar increases annually until the New England average was reached. This level of funding would not only provide the System with positive operating results, but would support current campus footprints, the ability to innovate, provide appropriate student supports, and ameliorate tuition rates. Although not what we requested, the Governor proposed a $3 million, 11% increase in

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State support for FY 2020. The Legislature settled on a $2.5 million, 9% increase. While this increase is most appreciated and a tangible sign of support from the Governor and Legislature, it does not change the overall dynamics outlined in this paper.

Expectations for further meaningful increases of State financial support must be tempered. Even our most ardent supporters in the State House have warned significant increases in the coming years are unlikely. The General Fund is increasingly stressed to support an array of chronically underfunded programs and services. Available capital dollars for buildings and facilities are actually shrinking. The economy, and expected downturn in state revenues in FY 2021, is likely to increase pressure on the state budget and make appropriation increases more challenging.

Bottom line conclusion: Despite all our efforts and modest recent successes, pinning the System’s future on consistent and meaningful increases in State funding would be imprudent.

Challenge 3: Accelerating Pricing Pressure and New Competitors

Our prices, historically an advantage as public access institutions, are becoming a significant competitive disadvantage in the new era of declining traditional student populations and associated tuition discounting by other institutions. Competing institutions are discounting their higher “sticker prices” to levels that are often less than VSCS published tuition prices and often below our own discounted prices. In addition, new innovative providers are competing hard for non-traditional students.

Weak demographics and very low State support drive a third challenge: the System’s high tuition and increasing inability to compete on price. Declining numbers of high school graduates regionally mean that colleges compete more aggressively both to keep their students in-state, and to recruit out-of-state students. In addition to providing higher levels of support for their public colleges, several states, most notably New York and Rhode Island, offer free college programs, resulting in more students staying in their home states. Online education also continues to expand rapidly, providing a low-cost alternative to traditional residential or in- person college programs. The largest online programs, of which Southern New Hampshire University (SNHU) is the most local example, enroll approximately 120,000 students and offer very low tuition prices.

The College Board in 2018 proclaimed that Vermont has the highest tuition for public colleges in the nation, a dubious point of distinction.

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Source: IPEDS, 2018

The amount of discounting (scholarship assistance, including non-need based and out-of-state) has escalated very significantly, putting downward pressure on net student revenues.

The VSCS used to have a meaningful pricing advantage over private colleges, but the combination of low State support, consistent (if modest) tuition and fee increases, and dramatic price cutting by competitors means it is increasingly common to hear from Vermont families that it is less expensive for their children to go to college out of state, at private or public institutions, than to go to their own public colleges. Out-of-staters are increasingly balking about paying non-resident tuition. Here at home, the University of Vermont is tuition free for all accepted Pell-eligible students.

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Vermont State Colleges System Scholarship Expenses (Actuals from FY2015-2018, Projected as of FY2019 Q3)

ACTUALS PROJECTED Institution FY2015 FY2016 FY2017 FY2018 FY2019 Q3 CCV 184,990 137,819 183,459 223,141 185,000 Castleton 2,470,654 3,590,458 4,438,251 5,492,793 8,700,000 NVU-Johnson 2,002,492 2,212,756 2,812,971 2,591,705 3,433,461 NVU-Lyndon 1,878,286 1,802,724 2,256,240 2,713,293 3,594,539 VT Tech 818,417 918,523 1,190,411 1,627,708 2,070,000 System

Scholarship Expense 7028000 10,000,000 9,000,000 8,000,000 7,000,000 6,000,000 5,000,000 4,000,000 3,000,000 2,000,000 1,000,000 - CCV Castleton NVU-Johnson NVU-Lyndon VT Tech

FY2015 FY2016 FY2017 FY2018 FY2019 Q3

Source: VSCS

At the same time, the number of institutions serving non-traditional and post-traditional students in different ways and at lower prices has grown. There were 1,000 more degree- granting colleges and universities in 2015 than there were in 1996 (McGee, Breakpoint, 2015). Online enrollment at Southern New Hampshire University grew from 8,600 degree-seeking students in 2008 to more than 122,000 in 2018. Straighterline, a company founded in 2009, offers students a $99/month course subscription option, with guaranteed credit pathways to

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accredited degree programs, and served more than 25,000 students last year. Moody’s Investors Service states that this trend of growth and investment in online education will lead to intensified competition and changing key players (Moody’s Investor’s Service “U.S. higher education outlook remains negative on low tuition growth,” December 18.).

Fall Headcount Enrollment - CU, NVU-J, NVU-L, VTC 2,342 2,246 2,194 2,156 2,175 2,183 2,141

1,783 1,766 1,692 1,645 1,613 1,559 1,616 1,645 1,543 1,542 1,638 1,525 1,552 1,508 1,519 1,514 1,430 1,266 1,256 1,092 1,147 2012 2013 2014 2015 2016 2017 2018

CU NVU-J NVU-L VTC

Fall Headcount Enrollment - CCV

6,194 6,311 6,019 5,983 5,863

5,504 5,378

2012 2013 2014 2015 2016 2017 2018

Source: VSCS

The 40% of Vermont high school graduates not immediately going on to college and other post- traditional populations do need postsecondary education, but they are less likely to be looking for a four year residential experience. They simply cannot afford it. Bricks and mortar will play a less important role in the future. In the 2018-19 academic year, there were approximately 540 empty beds throughout the Vermont State Colleges System, representing about a 20 percent vacancy rate.

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Source: VSCS

Employers are investing in talent development strategies to attract young employees with a job-first pathway to a college degree. A recent Kaplan University Partners-Quest Research study indicates that a major shift is underway whereby a substantial number of students, including many of the most talented, will go straight to work for employers that offer a good job along with a college degree. That study predicts that as many as one-third of all traditional students in the next decade will choose to go to a job to earn their degree, instead of going to college to get a job (Busteed, Forbes, 2019). The recently announced partnership between Global Foundries and Vermont Technical College is one close-to-home example of this evolving model. Global Foundries will hire students right out of high school at $18-20 per hour and pay for 34 credits of college education delivered by Vermont Technical College.

Bottom line conclusion: The days when our colleges could rely on increasing enrollment, tuition, and fees are over. New technologies and competitors will continue to split up the declining customer base of traditional college students. Increasingly, the delivery of education beyond high school for all learners, inclusive of post-traditional students, will involve bringing education to the people, not bringing people to the institution.

Challenge 4: Barriers to Adaptability

Our campus cultures, mature union contracts, and aging physical infrastructure do not lend themselves to rapid adaptation.

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The System’s physical and personnel infrastructure is increasingly ill-suited to respond to accelerating pricing pressure and the attendant demands for rapid innovation in response. The System’s four institutions own 145 buildings comprising 2.34 million square feet of space on over 1,350 acres of land, and the average building is almost 50 years old. The buildings and land are also concentrated on five major campuses in mostly rural parts of Vermont, making piecemeal property sales difficult. VSCS employees are organized into six labor unions, in addition to non-union employees. Almost any initiative or change that affects “working conditions” broadly defined is subject to collective bargaining by State statute.

Across the country as well as within our System, there is much discussion of innovation. We must continue the hard, incremental work we already know how to do: innovation in our teaching practices, innovation in design and delivery of our degree programs, innovation in the ways we engage, advise, and support our students.

However, the trends are clear that incremental improvement will not be sufficient. To fulfill our mission, we must be able to develop, deliver, and validate postsecondary education in units, timeframes, and locations not currently aligned with our academic cycles, processes, or infrastructure. We must achieve significant flexibility and integration with external partnership networks and not just across academic divisions within our individual institutions or System. We must serve student populations we are not yet, or not yet robustly, serving, and whom we may not yet know how to serve well, and we must do so with rapidly evolving technology.

Our ability to maintain and improve our physical infrastructure is questionable and our risks of systems failures are increasing. The total system-wide deferred maintenance level for the last several years has hovered at approximately $55 million. Our major campuses are aging, all about the same vintage, and our fundraising and borrowing capacity to renovate or replace infrastructure is very limited. At some point it is likely that we will have multiple major infrastructure (boilers, HVAC, etc.) failures occur close to concurrently. The conditions at some of our residential campuses is already a negative factor for student recruitment.

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Source: VSCS

Bottom line conclusion: The future of the VSCS requires overcoming barriers that impede a significant degree of institutional adaptation in a short timeframe.

Challenge 5: Changing Student Attitudes and Preferences

The value and return on investment for a college degree is being questioned, resulting in significantly different enrollment patterns.

A number of generational changes are impacting the higher education industry, including students and parents questioning the value of college and wishing to avoid student loans, employers providing training and increasingly not requiring a college degree, and a preference among younger people for urban or suburban locations.

“Confidence in higher education in the US has decreased significantly since 2015, more than any other U.S. institution that Gallup measures.” (Marken, “A crisis of confidence in higher education,” Gallup 2019).

One third of Americans no longer believe a four-year degree prepares graduates to succeed in a job (Pew Research Center, 2017, The State of American Jobs). Increasingly, companies are rethinking whether a degree is mandatory in the employee selection process. Many large companies in the tech sector are no longer requiring applicants to have a college degree.

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Members of Generation Z have observed the massive amounts of student debt accumulated by the generations before them–particularly by Millennials, who will find themselves struggling to pay off their student loans for many years to come. As a result, members of Generation Z are carefully evaluating whether or not a traditional college path is really for them–and in many cases, college isn’t making the cut. (Busteed, Forbes, 2019/Chronicle of Higher Education, 2018).

The “College for All” mantra that for decades has dominated the advice from guidance counselors to politicians is increasingly being called into question. Evidence suggests that in recent decades too many Vermont high school graduates have been encouraged to enroll in four year programs. 2018 Data from the Vermont Student Assistance Corporation indicates that while Vermont is below the New England and National averages when it comes to our high school graduates continuing on to college, when it comes to the percentage going onto four year schools, Vermont significantly outpaces New England and the nation (VT 53%, NE 47%, nation 37%) and, at the same time sends a much, much smaller, percentage of high school students on to two year institutions (VT 7%, NE 15%, nation 29%).

At best, only half of the students who start at our four year residential colleges ever actually graduate, a stubborn fact that despite our efforts, contributes to student and public doubt about the value of a degree.

Six Year Graduation Rate of Full-Time First Time Cohort, Fall 2011-18

2011 2012 2013 2014 2015 2016 2017 2018 CU 50% 41% 51% 49% 52% 48% 54% 55% NVU – J 33% 33% 37% 36% 35% 35% 29% 39% NVU – L 33% 31% 35% 37% 37% 38% 43% VTC 47% 50% 48% 55% 48% 48% 52% 51%

Higher education should be about more than getting a job. It is a societal good. But our customers are speaking. They have more and more accessible choices to pursue education beyond high school. Further, forward thinking employers are able to instill in their employees elements such as critical thinking, collaborative skills, and cultural understanding as well (Busteed, Forbes, 2019), which have, up to now, been the traditional responsibility of higher education.

There are many good paying jobs that do not require a four-year degree (Georgetown Center for Education and Workforce, 2017; McClure Foundation, Pathways to Promising Careers). As more apprenticeships and professional certificates leading to good paying jobs are developed, it seems reasonable to assume that students who in the past would have gone to a four-year college will chose an alternative route. Certainly, the majority of the 40% of high school students not going onto college do need some type of education post high school, but it is likely most of them will not pursue a traditional four-year program.

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Bottom line conclusion: To maintain our mission for the benefit of Vermont and good service to our students, we must provide education in a variety of credentialed segments students can successfully complete at relevant moments over a lifetime of learning.

Challenge 6: Pace of Technological Change and Disruption

From data analytics and artificial intelligence tools to increasingly sophisticated virtual reality interfaces, the pace and scope of technological change is or will soon be disrupting entire industries, including higher education. The challenges for us are twofold: we risk near-obsolescence if we do not keep pace with our higher education competitors and, at the same time, the costs of doing so will exacerbate an already growing divide between “have” and “have not” institutions.

As during the Industrial Revolution, those enterprises which did not or could not adapt and deploy such technologies as steam engines and telegraph communication were soon eclipsed by those that did, albeit in a timeframe that spanned a century, not a decade or less.

We are fortunate to be able to leverage our system structure to implement high-quality technologies, including in just the past few years our Slate CRM platform for admissions, identity management, Zoom videoconferencing, Canvas learning management system, and in the coming year, a predictive analytics advising platform. However, all of these tools require us to improve our own skills and practices to

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make best use of them. A failure to do so would result in our competitors seeing more robust admissions and retention rates than ours.

Outside of higher education, many of these same core information technologies, together with their industrial applications, are transforming the work environments our graduates will enter. Additive manufacturing, blockchain technology, virtual reality, and artificial intelligence applications in everything from cancer diagnosis to legal services and cybersecurity will define the work available to, and the entry- level skills required of, our graduates. It is imperative we find ways to introduce our students to these technologies as part of their undergraduate learning, but the resources we have to outfit our institutions with such technologies are virtually nil.

(Source: Educause Horizon Report: 2019 Higher Education Edition)

Bottom line conclusion: Adoption and deployment of new technologies is an essential ingredient to our future and we must place a priority on these investments, both in terms of budgets and in full adoption by faculty, staff, and students.

The System’s Response to These Challenges

In 2015, the Board of Trustees adopted Six Priorities to support the mission of the Vermont State Colleges System. Much has been accomplished in the past several years.

Strategy 1: Increase the continuation rate of high school students on to postsecondary education.

The VSCS spearheaded the creation of Advance Vermont, a statewide partnership of leaders from business, education, government, non-profits, and philanthropy with a unified goal to increase educational attainment in Vermont for the benefit of our citizens, communities and economy. This past year, VSCS mathematics faculty have worked in partnership with VSAC and the Agency of Education to develop EMC2, a college math readiness course that will be piloted in three high schools this fall. All VSCS institutions now provide dual enrollment and early

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college opportunities, which national evidence shows to be effective in increasing college-going among underrepresented student populations. Our system emphasizes access to these opportunities, particularly for first-generation and low-income students.

Strategy 2: Improve the retention and graduation rates at our colleges.

In September 2017 the Chancellor and Board endorsed Start to Finish, an initiative to align and advance efforts across the system to increase academic success and retention in the first year, on-time completion of a VSCS degree or other credential of value, and progression within the System to further learning. Among these efforts, the System has focused the 2018 and 2019 academic retreats on national best practices for increasing student success and momentum. In 2018, the Council of Presidents approved a project to implement a new generation of digital tools and predictive analytics to achieve gains in student retention. For Fall 2019 we are implementing Canvas, a user-friendly learning management system, and in 2020 we will be implementing a new advising platform that leverages real-time data on students’ assignment grades from Canvas.

Strategy 3: Be recognized as an attractive destination for Vermont high school graduates.

Visibility and marketing efforts by the colleges and Chancellor’s Office have been ramped up. In 2018, the system implemented a new statewide jobs and internships posting site to increase visibility of VSCS students to employers and vice versa. Advocacy among statewide opinion leaders and legislators continues via our fourth annual Hall of Fame and second annual Student Research Symposium events.

Strategy 4: Serve well more working age Vermonters.

The System is currently recognized as a go-to partner for statewide workforce development efforts, including Talent Pipeline Management, career and technical education connections, and healthcare workforce. State and national funders are supporting VSCS faculty innovation of competency-based pathways designed to recognize and accelerate learning pathways. Our colleges are innovating with new degree and professional certificate programs, and expanding the use of online and telepresence modalities of instruction. We are experimenting with scheduling the delivery of programs and courses in condensed seven week semesters.

Strategy 5: Operate as a more integrated system to expand student opportunities and achieve operational efficiencies.

Operational integration has occurred with such significant accomplishments as the unification of Northern Vermont University; strengthened IT governance and implementation of single, hosted solutions such as identity management; consolidation of accounting, accounts payable, and grants compliance functions; and the current payroll and benefits (UltiPro) software implementation. These steps are providing more academic and co-curricular opportunities for

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students, higher-quality technologies, and savings from our non-student-facing operations that allow us to reinvest precious resources elsewhere.

Strategy 6: Increase state financial support and other supplemental revenues.

While our appropriations history illustrates nearly stagnant State support, and our state funding rank remains at 49th or 50th annually (SHEEO), the State has increased our base appropriation by 25% between FY16 through FY20. This is due to the support of key legislative leaders who represent our colleges’ districts, especially Caledonia and Rutland. The support of the current Governor has also been essential to the success of recent funding increases. The VSCS has changed the narrative in the State House about the connection between our colleges and the future workforce, the college continuation rate, and out-migration.

State Appropriation by Fiscal Year, 2010-2020 $35,000,000

$30,000,000

$25,000,000

$20,000,000

$15,000,000

$10,000,000 2010 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020 Source: VSCS

Unfortunately, recent appropriation increases have not gone far enough to support our annual cost increases, or to make up for decades of underfunding. As a result, we continue to squeeze operating budgets and reduce personnel. There are over 200 fewer people working for the VSCS than five years ago. Salaries and benefits declined from $125.3 million in FY 2014 to $121.9 million in FY 2018.

Bottom line imperative: While the steps we have taken towards our strategic priorities are significant and have been helpful, they are not yet enough to ensure the viability and “thrive- ability” of VSCS member institutions as a whole.

With a clear view of the complexities, continued rigorous focus on our strategic priorities, and wise leveraging of our key strengths, we can, and will, secure our future and our mission. But we must act.

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What’s Next?

The Board of Trustees Long Range Planning Committee and Chancellor will seek input on and will refine this document in the coming weeks, as it also seeks input on potential strategic and responsive actions. Next steps will include sharing this document with VSCS constituencies and engaging in constructive dialogue, with the goal of refining the document and, more importantly, elevating our collective understanding of the inexorable forces upon us. The VSCS community at large, Long Range Planning Committee, and Trustees will identify, consider, and act on a range of specific actions to ensure the Vermont State Colleges System will be strong and secure in its ability to serve Vermont students for the benefit of Vermont for decades to come.

To get the conversation started, the Chancellor poses the following questions:

1. What forces and trends are missing in this white paper? What do you agree with? What seems off the mark?

2. How can we operate better as a responsive, relevant, and thriving system of unique and dynamic institutions without significant new resources?

3. How do we reduce the cost of delivery across the system to support the VSCS’s long- term sustainability, ability to innovate, and for greater affordability for students?

4. How will we align our physical infrastructure to ensure vibrant student living and learning experiences within limited resources?

5. How can we offer programs and delivery models that support quicker degree and credential completion?

6. How can we focus more on pathways into programs that align with Vermont’s high- wage, high-growth occupations?

7. What new strategic alliances among our colleges would support expanded student access, opportunities and cost savings?

DRAFT -- 22

119 VSCS Board of Trustees Meeting June 19-20, 2019

Item 4a: A.A. in Psychology program Proposal for NVU

120 VSCS Board of Trustees Meeting June 19-20, 2019 NVU-J 1 AA Psychology

VERMONT STATE COLLEGES POLICY 102 NEW PROGRAM PROPOSAL TEMPLATE

Part I: General Information

1. Institution: Northern Vermont University-Johnson

2. Name of new program: Associates Degree in Psychology

a) Individual(s) with responsibility for program development: G. Mireault, Ph.D. & L. Johnson, Ph.D. b) Academic Department(s): Behavioral Sciences

3. Proposed start date of program: Fall, 2019

4. Title of degree to be conferred (if applicable): Associates Degree in Psychology

5. Brief description of proposed program (150 words or less):

Using existing courses and resources, students will be able to complete a 60-credit Associate’s Degree in Psychology. Students will complete the NVU requirements for an Associates Degree shown below, as well as an additional 28 credits in psychology (see page 2), most of which are derived from the core. Thus the AA is comprised of a subset of the BA courses, and provides an accessible credential for students who exit the college prior to reaching the BA.

Requirements for an Associates Degree from NVU •Completion of at least 60 credit hours of course work (not including basic skills credits). •A minimum cumulative GPA of 2.00 (on a scale where A equals 4.00). •At least 15 credits applying toward the degree must be from NVU •Of the General Ed Core Curriculum: -Creative Audience (1 credit) -First Year Seminar (3 credits) -Communicating in the World: Written Expression (6 credits) -Mathematics & Computing in the World (6 credits) -Natural & Physical Worlds (4 credits) -Being in the World: Society & Behavior (3 credits) -Creativity in the World: Art & Aesthetics (3 credits) -Diversity in the World: History & Culture (3 credits) -Enriched course in Climate Change, Sustainability, or Social Justice (3 credits)

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•Completion of Associate-level Graduation Standards.

Complete the Following Psychology Courses: The Psychology Major (1 credit) Introduction to Psychology (3 credits) Social Psychology (3 credits) Developmental Psychology (3 credits) Research Methods (3 credits) Personality Theories (3 credits) Abnormal Psychology (3 credits) Three Psychology electives (can include 3 credit internship) (9 credits)

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Part II: Rationale

1. How the program will strengthen the institution (refer to institutional mission, institutional priorities and existing institutional programs) and how the perceived interest in the program at the institution was determined:

The program is intended to a) provide a more accessible, affordable credential in psychology, which is currently the largest program at NVU-J, and b) help address retention issues, particularly from the first to the second year. As the largest program at NVU-J, increasing retention stands to have a major impact on the strength of the institution.

With regard to accessibility, this credential is in keeping with the VSC mission to provide affordable and accessible higher education, particularly to Vermonters. The credential is not currently available in the VSC system or in the state of Vermont or, it appears, anywhere except for two online universities. With regard to retention, students may correctly perceive an Associates Degree as a more tangible credential, either for it’s own merit or en route to the Bachelor’s Degree.

An associate’s degree will allow psychology students who might otherwise exit with debt but without a credential to exit with a credential that may assist them in securing higher-paying work in a variety of sectors.

Perceived interest was gaged informally from conversations with groups of current B.A. psychology students at NVU-J. Since these were students seeking a BA, their interest in an AA is not necessarily a valid metric. However, they were generally enthusiastic regarding the usefulness of the option.

2. Specific student, educational and/ or employment need(s) to be addressed, including in- person, hybrid, low-residency, or distance mode(s) of program delivery, and whether these needs are local, state, regional, national or global (attach documentation of need in the form of supporting data from external or internal sources such as professional organizations, feedback from corporate partners, or market research):

Retention continues to be an issue in the VSC’s 4-year institutions. Many students do not persist because of financial, academic, personal, and other obstacles. Thus they exit the college with debt, but with no credential to show for it. An associate’s degree is a lower cost credential for all students that may be especially appealing to first-generation students, and to Early College students who are already on an accelerated path toward the B.A. Thus, an Associates Degree in Psychology will allow more students to persist toward earning a degree that will have economic advantages of securing better employment and accruing less debt.

Because of NVU-J’s relationship with NVU-Online (i.e., NVU-Online delivers the entire NVU-J psychology program), students earning an Associates Degree will have additional

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access to most of the required coursework in an online format year-round. This allows them to take courses in the summers, for example, or to enroll in online courses that may be difficult to fit into their campus schedule (i.e., given family or employment circumstances) through the regular semester. Since NVU-Online serves a different demographic of students, they may offer the AA in psychology without directly competing with the campus-based program.

3. How the program will strengthen the System. If the program approximates existing programs within the System, describe why the development of an additional program will serve particular need(s). If it is a distinct program that expands System offerings, please describe what value it offers, any intended collaboration with other VSC colleges or organizations in planning or delivering this program, and, if appropriate, indicate specific benefits to the State of Vermont):

As stated above, retention continues to be a major challenge in the VSC’s 4-year institutions. Many students do not persist because of financial, academic, personal, and other obstacles. An associate’s degree may increase retention from the 1st to 2nd year as it is a valid and accessible benchmark for students for whom the four-year degree represents an obstacle to short-term retention, particularly low-income and first-generation college students. Further, an associate’s degree may increase retention from the 2nd year to the 3rd and 4th years as students who reach the Associates benchmark by the second year may be encouraged to continue toward the BA benchmark two years later.

This degree in psychology does not currently exist in the marketplace (except for two online universities: U of Phoenix & Ashworth College) so the option doesn’t currently exist for VSC students.

Additionally, this program requires no additional resources. It is comprised of courses currently in regular rotation, and typically completed by psychology majors within their first 60-credits. It simply provides students who otherwise might not persist with the option of exiting with a credential &/or the motivation to continue to the Bachelor’s degree.

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Part III: Program Description

1. Specific program objectives, including career and learning outcomes for students:

The Associate’s degree in psychology will primarily be distinguished from the baccalaureate degree by program length and credential, thus the program objectives, learning outcomes and assessments are the same as specified for the NVU-J baccalaureate psychology program, with the potential exception of Professional Development. We have adopted the undergraduate LO’s that are recommended by the American Psychological Association for BA psychology majors. The NVU-J LO’s are specified online at: http://catalog.northernvermont.edu/preview_program.php?catoid=29&poid=1835&returnto =615

Specifically, from our upcoming PReCIP report: NVU-J PROGRAM Learning Outcomes Adopted from the APA & aligned with the 3 outcomes above as follows: 1. Knowledge in psychology. 2a. Scientific Inquiry & Critical Thinking. 2b. Ethical & Social Responsibility in a Diverse World 2c. Communication 3. Professional Development

Our recent developmental program assessments have found that specific core courses (e.g., PSY 2410: Research Methods) appear to be most closely associated with specific LO’s (e.g., scientific inquiry and critical thinking), so that LO’s tend to be reached within the core, and do not require a full 4-year experience.

Arguably, it may be more difficult for AA students to achieve the final LO of Professional Development as most of this occurs within our BA’s capstone internship experience. For an AA liberal arts program, professional development is likely not an appropriate or achievable LO given the length of the program and the developmental differences between students after their 2nd year vs. 4th year of undergraduate study. However, students in the Associate’s Degree program can elect to complete an internship as part of their 9 elective credits in psychology, so may make progress toward this LO.

2. How the program will integrate professional, liberal and career study:

As with the NVU-J baccalaureate degree in psychology, this Associate’s degree will be based firmly in a liberal arts program and is not a “professional studies” or vocational degree. Congruent with the liberal arts mission, students pursuing the Associates degree will earn

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more than half of their credits (32) in the GE (as required for an NVU Associate’s degree), and the rest of their credits (28) in the psychology core. (NOTE: They will not complete all of the psychology core as this would exceed the 60 credit requirement for an Associate’s degree and would greatly diminish their ability to complete the degree in two years, which undermines its purpose.) Students in the baccalaureate psychology program are required to do an internship as part of their capstone experience and career preparation. As stated above, students in the Associate’s Degree program can elect to complete an internship as part of their 9 elective credits in psychology.

3. What peer programs or model curricula served as a basis for the proposal:

There are no peer programs upon which this program is based. Outside of the VSC, the U of Pheonix and Ashworth College (Georgia) offer online Associate’s degrees in psychology.

Within the VSC system, CCV offers an Associate’s Degree in Human Services. Note that Human Services is not the same as psychology, either in recognizability, popularity, nor curriculum. Psychology is an empirical discipline recognized by all major universities as one of the Liberal Arts & Sciences (i.e., “social science”) that is the scientific study of behavior and mental processes. Human Services is a vocational field that is directly related to Social Work, and specifically to assisting individuals to access resources (e.g., food stamps, WIC) via &/or navigate social systems (e.g., EEE preschool, Probation & Parole), etc. This is best illustrated by the Human Services and Psychology curricular at NVU-L and NVU-J, respectively, which barely overlap despite the number of courses each program offers.

In designing this degree, the faculty have used the NVU AA requirements (32 credits) and have included the key core courses in psychology (28 credits) to remain within the 60 credit boundary. The only core psychology courses not required for this degree are PSY 4010: Biological Psychology (3 credits), PSY 4810: Internship in Psychology (3 credits), and PSY 4710: Senior Seminar in Psychology. Biological Psychology is a challenging upper level course only offered in the fall semester, thus AA students would be required to take it in their 3rd semester, while most BA students enroll in their 7th semester. This would likely serve as an impediment to degree completion for AA students. Some material from Biological Psychology is also covered in Intro Psychology and Developmental Psychology, so students do get some exposure to those concepts.

4. How the program will assess its effectiveness in achieving student learning outcomes:

Within the baccalaureate psychology program, we currently employ systematic assessments at the course-level, at the program exit level, at the capstone level, and across the program (e.g., developmental comparisons). Capstone and developmental assessments are made using

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assessment tools published and made available by the American Psychological Association. The Associate’s level psychology program will be assessed the same way, with the exception of capstone and developmental assessments as students will not reach the 4th year capstone, and will spend only half of the time in the program compared to baccalaureate students, making developmental assessments less sensitive. However, we will assess retention and persistence rates for students in the Associates vs. baccalaureate programs, as this is one major purpose of introducing this new program.

5. How the program incorporates current standards and/or emerging directions in the field, and what the program will require to maintain licensure, certification, or accreditation standards with external entities, if any.

The program is based on the new NVU GE and the current (but recently revised in 2016- 2019 according to APA recommendations) NVU-J psychology program. There is no licensure or certification. The program will undergo regular PReCIP and program review as part of internal VSC and external (NECHE) accreditation processes.

6. Program outline; include brief descriptions of all new courses

There are no new courses. The AA is comprised of a subset of the BA course as well as the NVU GE requirements for an AA as follows:

Complete the Following Psychology Courses: The Psychology Major (1 credit) Introduction to Psychology (3 credits)

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Social Psychology (3 credits) Developmental Psychology (3 credits) Research Methods (3 credits) Personality Theories (3 credits) Abnormal Psychology (3 credits) Three Psychology electives (can include 3 credit internship) (9 credits)

New or Course Name & Number Credits Existing? N/A; existing courses will provide the entire basis for this degree

7. TOTAL CREDITS in proposed program: 28

8. TOTAL GENERAL EDUCATION CREDITS beyond those in the program: 32

9. TOTAL CREDITS for the degree: 60

10. For associate and baccalaureate degree programs, provide a 2- or 4-year degree map showing intended semester-by-semester sequence of courses including program courses, general education requirements, and electives. For graduate degree programs, describe the intended timeframe and sequence for completion of the degree.

SEMESTER 1 (13.5 credits) PSY 1010: Introduction to Psychology (GE: Being in the World) (3) PSY 1035: The Psychology Major (1) GE: Communicating in the World) (3) GE: Mathematics & Computing in the World) (3) GE: First Year Seminar (3) INT 1001: Creative Audience (.5) GRS: TILT (0)

SEMESTER 2 (16.5 credits) PSY 2070: Developmental Psychology (GE: Being in the World) (3) PSY 2040: Social Psychology (GE: Being in the World) (3) GE: Communicating in the World) (3)

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MAT 2021: Stats 1 (rec’d) (GE: Mathematics & Computing in the World) (3) GE: Natural & Physical Worlds (4 credits) INT 1001: Creative Audience (.5)

SEMESTER 3 (15 credits) GE: Creativity in the World: Art & Aesthetics (3 credits) GE: Diversity in the World: History & Culture (3 credits) PSY 2410: Research Methods (3 credits) PSY 3010: Personality Theories (3 credits) Psychology Elective (3 credits)

SEMESTER 4 (15 credits) GE: Enriched course in Climate Change, Sustainability, or Social Justice (3 credits) PSY 3070: Abnormal Psychology (3 credits) Psychology Elective (3 credits) Psychology Elective (3 credits) Any elective (3 credits)

129 VSCS Board of Trustees Meeting June 19-20, 2019

Part IV: Budget Considerations

1. Expenditures for the proposed program:

N/A. The program consists of existing courses already delivered in a sequence that makes them easily available for completion within a two-year time frame. Thus, the program can be run under the existing budget.

Year One Year Two Faculty

Admin/Other Staff

Facilities/Equipment

Library/Other Materials

Other Costs (e.g. accreditation/licensure expenses)

TOTAL COSTS: $0 $0

2. Revenue/sources to meet new expenditures

N/A. There are no new expenditures. However, there may be new revenue from attracting students interested in an Associates Degree in Psychology, and/or in retention of students in the baccalaureate program who exit prior to graduating with a B.A., i.e., those students may decide to stay to complete their AA degree.

Year One Year Two Tuition $48,000 $144,000

Reallocation

Other Sources

TOTAL REVENUES: $48,000 $144,000

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Part V: Enrollment, Marketing and Public Relations Considerations a. Projected enrollment for new program:

Year One Three Years Out Full-Time (97) 4 12

Part-Time (4) <1 0

In-State (89) 3 9

Out-of-State (12) <1 3

2. Describe how you arrived at these projections:

It is difficult to calculate these projections, and these are thus conservative. The projections are based on a percentage of current FT psychology student enrollments, which are indicated in parentheses (N=101). These figures are based on the reasonable estimate that we may attract 4% more students, across the breakdown of categories.

3. Describe the marketing strategies for the new program.

The program will be marketed by the NVU Admissions and Marketing departments, highlighting several attractive features including: -affordability -exclusivity to NVU-J -usefulness of the credential for employment -accessible benchmark toward the BA in psychology – or another AA degree given the shared GE

It will also be used as a retention tool in advising students who are exiting the program and/or considering exiting.

4. Competition: a. In state and region: None. CCV offers an AA in Human Services, as noted above, but this is not a similar degree to NVU-J’s proposed AA in psychology. In addition, the NVU-J affiliation may be more attractive to students seeking an AA, particularly as they can use it as a benchmark toward the BA in psychology should they decide to continue.

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b. Web-based: Two programs offer the AA in psychology: U of Pheonix and Ashworth College. NVU-J’s AA in psychology could potentially compete with those programs via NVU-Online which currently delivers the same BA as NVU-J (i.e., should NVU-Online decide to offer the AA). Our program will be more affordable than the two existing online programs for Vermont students.

5. How the program will impact enrollments in existing programs at the College:

This degree program is not expected to impact other, existing programs at the College. However, it may increase the overall retention rate in psychology, which is NVU-J’s largest program. By default, it would increase enrollments in the GE, although not beyond levels that can be sustained.

This degree is expected to primarily impact the existing psychology program. Specifically, it may increase retention in the psychology program from the 1st to 2nd year, as it is a valid and accessible benchmark for students for whom the four-year degree represents an obstacle to short-term retention.

An associate’s degree may also increase retention in the existing psychology program from the 2nd to the 3rd and 4th years as students who reach the Associates benchmark by the second year may be encouraged to reach the BA benchmark two years later.

Since all Associates degrees at NVU share a common GE core, students who earn the AA in psychology may decide to earn an additional AA in another program at NVU.

Since the associate’s degree in psychology can be offered using no additional resources, it will not detract from other programs by placing additional financial demands on the College.

6. How the program will impact enrollments in existing programs at other VSC colleges:

An associate’s degree in psychology is not offered by CCV (or any of the other VSC institutions), and therefore may encourage students toward NVU-J, but it will not compete directly with other VSC programs.

As stated above, the NVU-J affiliation may be more attractive to students seeking an AA, particularly as they can use it as a benchmark toward the BA in psychology should they decide to continue.

7. How the program will impact existing and/ or future external relations:

It remains unclear as to how or if the AA will impact external relations, although it should play a role in credentialing more Vermonters for the work force.

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Thank you for considering this proposal.

rev. 7/21/2016

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Item 4b: Policy 102

134 VSCS Board of Trustees Meeting June 19-20, 2019

Manual of Policy and Procedures

Title Number Page

APPROVAL OF NEW DEGREES AND MAJORS 102 1 of 6 Date 6/20/2019

PURPOSE The overall purpose of the policy is to support the mission of the VSC: for the benefit of Vermont, to provide affordable, high quality, student-centered and accessible education, fully integrating professional, liberal, and career study consistent with student aspirations and local, state, regional, national, and global needs. In addition, the policy: 1. links the development of new programs directly to institutional and system priorities and strategic planning, 2. encourages early program planning collaboration across VSC colleges, 3. requires proposed new programs to identify student learning outcomes and begin to plan for their assessment, 4. maintains flexibility for colleges to respond to market demands, and 5. streamlines and accelerates the program approval process.

The VSC supports the development of new academic programs that meet the changing educational needs of students and the State. This policy affects proposals for new degrees, new majors, and new fully online, distance-delivery, or low-residency programs.

CRITERIA FOR REVIEW At a minimum, a new academic program will: 1. align with and support the mission of the VSC and the college, 2. support institutional and system strategic planning directions, 3. assist in meeting State needs and/ or serve a new student market, 4. provide a clear and viable career path for program completers, and 5. strengthen the fiscal stability/ health of the college.

In addition, a new academic program will complement, extend and/ or diversify the educational offerings of the VSC, as well as contribute to the fiscal stability of the system.

135 VSCS Board of Trustees Meeting June 19-20, 2019 Page 2

PROPOSAL AND REVIEW PROCESS

Step 1: Preliminary Review • The President of the college initiating the program idea sends an electronic message to the Council of Presidents. • The message provides a brief summary of the program planning idea, an initial assessment based on the Policy 102 Step 1 Rubric, and an invitation to collaborate across colleges. • The message also provides an opportunity for other VSC presidents and/or the Chancellor’s Office to voice reservations or endorse the program idea. • The Chancellor, in collaboration with the presidents, will use the Policy 102 Step 1 Rubric to determine whether or not the proposal is endorsed for further development.

Step 2: Proposal Development • Proposals for the delivery of existing degree programs via new online, low-residency, or telepresence models, if approved by the Chancellor, will be presented to EPSL in a summary update by the President. • For all other new program proposals, the President will inform the Board via electronic message or informational update with the anticipated submission date of the completed New Program Proposal (see attached template) to the EPSL Committee for review.

Step 3: Proposal Review

• The President submits a New Program Proposal to EPSL for review and recommendation to the Board of Trustees. EPSL may identify specific issues/questions for the college to address in a proposal revision before considering whether to recommend the proposal for approval by the Board. • If forwarded by EPSL, the full Board of Trustees reviews the New Program Proposal and makes a final decision about whether or not to approve the new program.

Signed by:

136 VSCS Board of Trustees Meeting June 19-20, 2019

Manual of Policy and Procedures

Title Number Page

APPROVAL OF NEW DEGREES AND MAJORS 102 1 of 6 Date XX/XX/2019

In addition, a new academic program will complement, extend and/ or diversify the educational offerings of the VSC, as well as contribute to the fiscal stability of the system.

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PROPOSAL AND REVIEW PROCESS

Step 1: Early Notification Preliminary Review • The President of the college initiating the program idea sends an electronic message to the Council of Presidents. • The message provides a brief notification summary of the program planning idea, an initial assessment based on the Policy 102 Step 1 Rubric, and an invitation to collaborate across colleges. • The message also provides an opportunity for other VSC presidents and/or the Chancellor’s Office to voice reservations or endorse the program idea. • The Chancellor, in collaboration with the presidents, will use the Policy 102 Step 1 Rubric to determine whether or not the proposal is endorsed for further development.

Step 2: Proposal Development • The Chancellor, in collaboration with the presidents, will determine whether or not the proposal is endorsed for further development. • Proposals for the delivery of existing degree programs via new online, low-residency, or telepresence models, if approved by the Chancellor, will be presented to EPSL in a summary update by the President. • For all other new program proposals, the President will inform the Board via electronic message or informational update with the anticipated submission date of the completed New Program Proposal (see attached template) to the EPSL Committee for review.

Step 3: Proposal Review

Signed by:

138 VSCS Board of Trustees Meeting June 19-20, 2019

POLICY 102 RUBRIC FOR STEP 1 PRELIMINARY REVIEW OF NEW PROGRAM PROPOSALS

CONTRA-INDICATION CONCERN / STRENGTH FOR FURTHER DEVELOPMENT 1. What are the regional Unclear, unsubstantiated, Information doesn’t exist Identified regional market market needs and or anecdotal. to support robust partners with concrete, grounded initial enrollment projection. projections. projections for the program?

2. How likely is the Not likely based on Enrollment yield Clear demand from early analyses program to achieve enrollments in dependent on multiple, or experience in comparable enrollment of 25+ comparable programs. uncontrollable, or programs. students within five unknown factors. years?

3. Does the enrollment Program’s impact on Potential for impact No evidence of potential impact, projection include any other programs within the recognized but not or any potential impacts are anticipated internal institution likely and/or discussed. recognized and program enrollment shifts and not evaluated. implementation planning academic program addresses them. restructuring at the institution?

4. Is the program serving No, and the program The program defines a Yes, there is a clear need and any unmet state or would not be recognized potential need that is not strong support from stakeholders regional needs? as adding any other yet, or not widely for the proposed program to meet value/benefit for recognized. the need. Vermont or the region.

5. Is the curriculum and No, the curriculum The program anticipates The program anticipates transfer delivery model in design or other factors transfer pathways, but pathways and delivery modalities alignment with other would preclude transfer these do not maximize that maximize access for all programs in the VSCS opportunities within the access for a diverse students, including low-income to maximize system. population of potential students and working adults. enrollment and transfer students. opportunities for all types of students, including low-income dual enrollment/early college students and working adults?

6. What are the likely There is a similar The program is likely to No competition risk or risk not enrollment competition program in the system result in some significant enough to threaten risks within the serving a similar competition, with other programs sustaining a system? population of students students able to exercise minimum size. currently at risk of not choice (i.e. based on sustaining minimum size. location, cost, delivery modality, campus culture), but overall enrollments likely to be sustained above

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minimum size for both programs. 7. Is the program the best The program appears to Best fit is unclear, or The institution proposing the fit (mission, scope, have potential stronger fit there are multiple program is the clear best fit. capacity to deliver) with a different VSC institutions within the within the system for institution, or a similar system with potential fit. the institution that is program already exists proposing it? where there is a clear best fit.

8. What are the likely There are no clear Benefits to the system are The program is likely to elevate corollary benefits to benefits, as the program unclear and may be offset the profile of the system as a the institution and raises external relations by other risks. whole, attract new funding, system (e.g., new concerns or is not and/or generate net new sources of external projected to generate net enrollments at the system level. funding, enhanced new enrollments at the external relations) of system level. adopting the program?

9. What is the scope of The program requires The program requires The program requires minimal or institutional immediate institutional moderate or substantial discretionary investment. investment risk investment, regardless of investment but is associated with initial revenue supported by launching the projections, that is conservative revenue program? substantial (total cost, projections. multi-year commitment needed, etc.)

10. What is the scope of The program will require The level of ongoing Conservatively projected institutional a high level of ongoing resource commitment revenues will be sufficient to commitment necessary resource commitment needed is sustainable generate a net contribution to sustain the program? that cannot be sustained with conservative margin for the institution, based on conservative revenue projections. inclusive of direct and indirect case revenue projections. expenses.

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Item 4c: Policy 315

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Manual of Policies and Procedures Title Number Page

Chosen Name Policy 315 1 of 2 Date 6/20/19

PURPOSE It is the purpose of this Policy that any student, faculty, or staff in the Vermont State Colleges System may choose to be identified within the VSCS community with a chosen first (or given) name that may differ from the individual’s legal name. SCOPE This policy applies to all VSCS students, faculty, and staff. A VSCS community member’s use of a chosen first name will be recognized and applied across as many VSCS systems as practicable, wherever an individual’s legal name is not required by law or VSCS business process, and as long as it is not used for the purposes of misrepresentation or fraud, as determined by the VSCS. STATEMENT OF POLICY The mission of the VSCS is to provide affordable, high-quality, student-centered, accessible education for the benefit of Vermont. The VSCS is committed to an environment that is inclusive and that encourages self-expression. The VSCS recognizes that faculty, staff and students may use first names other than their legal name to identify themselves (Chosen Name). These may include, but are not limited to, people who use their middle name instead of their first name, people who use nicknames, people who use an anglicized name, or people who use a name that affirms their gender identity. IMPLEMENTATION Students who would like to use a Chosen Name should initiate this process through the registrar’s office at their home campus, and employees through their human resources director. A person’s Chosen Name will appear instead of, or in addition to, the person’s legal first name in VSCS-related systems and documents where it is technically feasible and where the use of the legal first name is not required or necessary by VSCS business processes or any legal need, such as payroll records, financial aid records, or student transcripts.

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Individuals should give serious consideration to the request to use a Chosen Name, as this choice will be reflected on a number of internal and external VSCS systems such as the Portal, web services, learning management system, email. Inappropriate use of the preferred name policy (including but not limited to avoiding a legal obligation or misrepresentation) may be cause for denying the request and possibly grounds for further discipline. The VSCS reserves the right to deny or revoke a Chosen Name if the VSCS determines the name or request was used inappropriately or for inappropriate reasons. Under VSCS Policy 312: Compliance with the Family Educational Rights and Privacy Act (FERPA), both Chosen Names and legal names are identified, along with other items, as directory information and may be disclosed to the public without the student’s consent unless the student opts not to permit the disclosure of directory information.

Signed by:

Jeb Spaulding, Chancellor

Date Version Revision Approved By 6/20/2019 1.0 Adopted VSCS Board of Trustees

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Manual of Policies and Procedures Title Number Page

Chosen Name Policy 315 1 of 2 Date 6/20/19

PURPOSE It is the purpose of this Policy that any student, faculty, or staff in the Vermont State Colleges System may choose to be identified within the VSCS community with a chosen first (or given) name that may differ from the individual’s legal first name. SCOPE This policy applies to all VSCS students, faculty, and staff. A VSCS community member’s use of a chosen first name will be recognized and applied across as many VSCS systems as practicable, wherever an individual’s legal name is not required by law or VSCS business process, and as long as it is not used for the purposes of misrepresentation or fraud, as determined by the VSCS. STATEMENT OF POLICY The mission of the VSCS is to provide affordable, high-quality, student-centered, accessible education for the benefit of Vermont. The VSCS is committed to an environment that is inclusive and that encourages self-expression. The VSCS recognizes that faculty, staff and students may use first names other than their legal name to identify themselves (Chosen Name). These may include, but are not limited to, people who use their middle name instead of their first name, people who use nicknames, people who use an anglicized name, or people who use a name that affirms their gender identity. IMPLEMENTATION Students who would like to use a Chosen Name should initiate this process through the registrar’s office at their home campus, and employees through their human resources director. A person’s Chosen Name will appear instead of, or in addition to, the person’s legal first name in VSCS-related systems and documents where it is technically feasible and where the use of the legal first name is not required or necessary by VSCS business processes or any legal need, such as payroll records, financial aid records, or student transcripts.

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Signed by:

Jeb Spaulding, Chancellor

Date Version Revision Approved By 6/20/2019 1.0 Adopted VSCS Board of Trustees

145 VSCS Board of Trustees Meeting June 19-20, 2019

Item 4c: Policy 312

146 VSCS Board of Trustees Meeting June 19-20, 2019

Manual of Policy and Procedures

Title Number Page

COMPLIANCE WITH THE FAMILY EDUCATIONAL 312 1 of 7 RIGHTS AND PRIVACY ACT (FERPA) Date 6/20/19

PURPOSE The Family Educational Rights and Privacy Act of 1974 (“FERPA”) affords students certain rights with respect to their educational records. The primary rights afforded to each student include, but are not limited to, the right to inspect and review their education records, the right to request amendment of records, and the right to limit disclosure of information from the records.

In accordance with federal law and regulations issued by the U.S. Department of Education, the Vermont State Colleges System (“VSCS”) has adopted the following policies and procedures for each of its Institutions. The purpose of this VSCS policy is to set forth the rights of inspection and requesting amendment, and the prohibitions against unauthorized dissemination of educational information. This Policy incorporates and is to be read consistent with, and not in addition to, all the definitions, rights and requirements contained in 20 U.S.C. §1232g and 34 C.F.R. Part 99.

POLICY

I. STUDENT ACCESS TO EDUCATION RECORDS

A. Students have the right to inspect and review their education records.

“Student” means any individual who is or has been in attendance at one of the VSCS Institutions and whose educational records are maintained thereby.

“Education records” means records maintained by the VSCS that are directly related to a student. Education records may be found in papers, files, tapes, machine readable materials, documents, computer databases or any other written or recorded matters, regardless of physical form or characteristics. Education records DO NOT include: notes or records which are not accessible or revealed to other personnel and are in the sole possession of the maker; law

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enforcement or campus security records that are solely for law enforcement purposes; employment records relating to employment by the institution (unless employment is contingent on student status); records relating to treatment provided by a physician, psychiatrist, psychologist, or other recognized professional or paraprofessional and disclosed only to individuals providing treatment, and records of alumni created after they are no longer a student at a member college.

Parents’ financial statements (including FAFSA) are also education records. Under FERPA, however, the VSC need not allow the student to review them.

B. Procedure for Student Inspection and Review of Their Education Records

1. Students shall submit to the Institution’s Registrar a written request identifying as precisely as possible the record(s) to be inspected.

2. The registrar or other appropriate record custodian will make the needed arrangements for student access as promptly as possible and will notify the student of the time and place where the record(s) may be inspected. Access will be provided within 45 days or less from the receipt of the written request.

3. The following documents shall be removed from an education record before the student views the record unless the sensitive information contained therein can be cloaked or otherwise kept from viewing: (a) information that pertains to another student, (b) financial records of the student’s parents, and (c) confidential letters of recommendation and confidential statements of recommendation in accordance with 34 C.F.R. §99.12 (b) and (c).

II. PUBLIC ACCESS TO STUDENT INFORMATION

A. The VSC may NOT disclose Personally Identifiable Information from education records unless the disclosure meets one or more of the requirements of subsections B or C of this section. “Personally Identifiable Information” (PII) includes but is not limited to the student’s name, address, student identification numbers, social security number, other personal identifiers, ethnicity, race, nationality, and gender;

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name and address of student’s parent or other family members; and a list of personal characteristics or other information that would make the student’s identity easily traceable.

B. The VSC may disclose Directory Information without prior written consent of the student. 1. “Directory information” means information which would not generally be considered harmful to the student or an invasion of privacy, if disclosed. For the purposes of this policy, directory information includes the following: name, Chosen Name, home and college address, telephone listing, email address, date of birth, major, enrollment status (full-time or part-time), enrollment level (undergraduate or graduate), dates of attendance, degrees and awards received, weight and height of athletic team members, photographs, most recent and previous educational institutions attended, and participation in officially recognized activities and sports.

2. Release of directory information is permitted but not required under FERPA. The decision to disclose directory information will be made at the discretion of the appropriate school official.

3. Students may opt out of the release of all directory information by submitting a Request to Withhold Directory Information form. Upon receipt of this form, the VSCS shall release no directory information to any external third party without prior student consent except as may be otherwise permitted by law.

C. VSCS may choose to release PII from education records to the student and, under the following circumstances and consistent with FERPA, to third parties:

1. Where the student consents to the release by signing and dating a written statement of consent before disclosing protected information. The written consent must specify: the record(s) to be disclosed, the purpose of the disclosure, and the party or class of parties to whom the disclosure must be made.

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unit personnel and health staff). “School officials” also include persons, companies or agencies with whom the VSCS has contracted to provide services (i.e., attorney, auditor, collection agent, educational service provider etc.), a person serving on the board of trustees, and a student serving on an official committee or assisting another school official in performing his or her own tasks. For the purposes of this section, “Legitimate Educational Interest” means: (a) the record or information requested is relevant and necessary to the accomplishment of some task or determination; (b) the task or determination is an employment or contractual responsibility for the inquirer or is properly assigned subject matter for the inquirer’s task or determination; and (c) the task or determination is consistent with the purpose for which the record or information is maintained.

3. Where special circumstances are present including the following as well as any other circumstances permitted under 34 C.F.R. §99.31(a):

a. Upon request by officials of another school in which a student seeks or intends to enroll. A member Institution may, at its discretion, forward education records to other agencies or institutions that have requested the records and in which the student seeks or intends to enroll or is already enrolled so long as the disclosure is for the purposes related to the student’s enrollment or transfer or to the student’s dual enrollment; b. To certain federal, state, or local education officials in connection with state or federally supported educational programs; c. To authorized representatives of the Comptroller General of the United States, the Secretary of Education or State educational authorities, or authorized representatives of the Attorney General for law enforcement purposes; d. To organizations conducting certain studies/research for or on behalf of the VSCS; e. To comply with a judicial order or a lawfully issued subpoena or IRS summons after making a reasonable effort to notify student in advance; f. To appropriate parties in a health and/or safety emergency; g. When an Institution has found, in the event of disciplinary proceedings against a student who is an alleged perpetrator of a violent crime (18 USC section 16) or non-forcible sex offense, that the student committed a violation of Institution rules or policies,

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the final results of such disciplinary proceedings may be released. However, the Institution may only release the name of the student, violation committed, sanction imposed, and the name(s) of other student(s) involved, such as the victim or witness, but only with the prior written consent of the other student(s). h. To the parents of a student under the age of 21 where the VSCS has determined that the student has committed a disciplinary violation with respect to use or possession of alcohol or a controlled substance; i. To the parents of dependent students, as defined in Section 152 of the Internal Revenue Code of 1986; j. To accrediting organizations in order to conduct accrediting functions; k. To an authorized representative of institutions from which a student has received financial aid or the student had applied for financial aid. l. In accordance with the Solomon Amendment. The Solomon Amendment (32 CFR 216) requires institutions to provide specified information about individual students to representatives of the U.S. Department of Defense for military recruiting purposes unless the student has formally requested the school to withhold directory information from all third parties under B above. The specified “student recruiting information” includes student name, address, telephone listing, date and place of birth, level of education, academic major, degrees received, and the most recent previous education institution attended.

With the exception of the mandatory reporting of student recruiting information under Solomon, disclosure without consent in these special circumstances is permitted but not required. The decision to disclose any information in these special circumstances will be made at the discretion of the appropriate school official. The VSC shall maintain records of requests and disclosure of non- directory information under this section C3 above. Generally, the person or agency making a request for disclosure must submit a letter stating: the name of the student, name of the person making the request, the names of the parties to whom the information may be disclosed, the legitimate interest of the party making the request and the legitimate interest of the party who may receive the information. All requests for

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disclosure should be submitted to the Registrar of the student’s Institution.

III. AMENDMENT OF EDUCATION RECORDS

Students have the right to ask to have record(s) corrected that they believe are inaccurate, misleading, or in violation of their privacy rights.

A. Procedure to Amend Education Record(s) 1. A student must submit a written request to the Institution Registrar to amend a record. In so doing, the student should identify the part of the record she/he wants changed and specify why she/he believes it is inaccurate, misleading or in violation of his/her privacy rights. 2. VSCS member Institutions have the authority to accept or reject any requests. If a member Institution decides not to comply, the VSCS will notify the student of the decision and advise him/her of his/her right to a hearing to challenge the information believed to be inaccurate, misleading, or in violation of the student’s privacy rights. 3. Upon request for a hearing, the VSCS member institution will arrange for a hearing and notify the student of the date, time, and place of the hearing. 4. The hearing will be conducted by a hearing officer who is a disinterested party; however, the hearing officer may be an official of the VSCS member Institution. The student shall be afforded a full and fair opportunity to present evidence relevant to the issues raised in the original request to amend his/her education record(s). 5. The VSCS member institution will prepare a written decision based solely on the evidence presented at the hearing. The decision will include a summary of the evidence presented and the reason for the decision. 6. If the VSCS member institution decides that the challenged information is not inaccurate, misleading, or in violation if the student’s privacy rights, it will notify the student that she/he has a right to place in the record a statement commenting on the challenged information and/or a statement setting forth reasons for disagreeing with the decision. 7. The student’s statement will be maintained as part of the student’s education records as long as the contested portion of the educational record is maintained. If the VSCS member Institution discloses the contested portions of the records, it must also disclose the statement. 8. If the VSCS member Institution decides that the information is

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inaccurate, misleading or in violation of his/her privacy rights, it will amend the record and notify the student, in writing, that the record has been amended.

IV. STUDENT COMPLAINTS REGARDING ALLEGED FERPA VIOLATIONS

A student may file a complaint with the Department of Education Family Compliance Office regarding an alleged violation under the Act: Family Compliance Office, U.S. Dept. of Education, 400 Maryland Avenue, S.W. Washington, DC 20202-4605.

V. ANNUAL COLLEGE NOTIFICATION

A. Each VSCS member Institution annually shall notify students currently in attendance, of their rights under the 20 U.S.C. §1232g and 34 C.F.R. Part 99.

B. The notice must inform students that they have the right to: 1. Inspect and review the student’s education records; 2. Seek amendment of the student’s education records that the parent or eligible student believes to be inaccurate, misleading, or otherwise in violation of the student’s privacy rights; 3. Consent to disclosures of personally identifiable information contained in the student’s education records, except to the extent that the 20 U.S.C. §1232g and 34 C.F.R § 99.31 authorize disclosure without consent; and 4. File with the U.S. Department of Education a complaint under 34 C.F.R. §§ 99.63 and 99.64 concerning alleged failures by the member college to comply with the requirements of FERPA and its implementing regulations.

C. The notice shall include all of the following: 1. The procedure for exercising the right to inspect and review education records. 2. The procedure for requesting amendment of records under § 99.20. 3. A specification of criteria for determining who constitutes a school official and what constitutes a legitimate educational interest.

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D. The member Institution may provide this notice by any means that are reasonably likely to inform the students of their rights and shall effectively notify students who are disabled.

Signed by:

Jeb Spaulding, Chancellor

Date Version Revision Approved By 12/9/2005 1.0 Adopted VSCS Board of Trustees 6/7/2007 2.0 Update VSCS Board of Trustees 10/31/2016 3.0 Revision VSCS Board of Trustees 6/20/2019 4.0 General Update VSCS Board of Trustees

154 VSCS Board of Trustees Meeting June 19-20, 2019

Manual of Policy and Procedures

Title Number Page

COMPLIANCE WITH THE FAMILY EDUCATIONAL 312 1 of 7 RIGHTS AND PRIVACY ACT (FERPA) Date 10/31/136/20/19

PURPOSE A federal law, tThe Family Educational Rights and Privacy Act of 1974 (“FERPA”) affords students certain rights with respect to their educational records. The primary rights afforded to each student include, but are not limited to, the right to inspect and review their education records, the right to request amendment of records, and the right to limit disclosure of information from the records.

In accordance with federal law and regulations issued by the U.S. Department of Education, the Vermont State Colleges System (“VSCS”) has adopted the following policies and procedures for each of its CollegesInstitutions. The Colleges within the VSC are: Castleton State College, Lyndon State College, Vermont Technical College, Johnson State College and The Community College of Vermont. The purpose of this VSCS policy is to set forth the rights of inspection and requesting amendment, and the prohibitions against unauthorized dissemination of educational information. This Policy incorporates and is to be read consistent with, and not in addition to, all the definitions, rights and requirements contained in 20 U.S.C. §1232g and 34 C.F.R. Part 99.

POLICY

I. STUDENT ACCESS TO EDUCATION RECORDS

A. Students have the right to inspect and review their education records.

“Student” means any individual who is or has been in attendance at one of the above CollegesVSCS Institutions and whose educational records are maintained thereby.

“Education records” means records maintained by the Colleges VSCS that are directly related to a student. Education records may be found in papers, files,

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tapes, machine readable materials, documents, computer databases or any other written or recorded matters, regardless of physical form or characteristics. Education records DO NOT include: notes or records which are not accessible or revealed to other personnel and are in the sole possession of the maker; law enforcement or campus security records that are solely for law enforcement purposes; employment records relating to employment by the institution (unless employment is contingent on student status); records relating to treatment provided by a physician, psychiatrist, psychologist, or other recognized professional or paraprofessional and disclosed only to individuals providing treatment, and records of alumni created after they are no longer a student at a member college.

Parents’ financial statements (including FAFSA) are also education records. Under FERPA, however, the VSC need not allow the student to review them.

B. Procedure for Student Inspection and Review of Their Education Records

1. Students shall submit to the College Institution’s Registrar a written request identifying as precisely as possible the record(s) to be inspected.

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II. PUBLIC ACCESS TO STUDENT INFORMATION

A. The VSC may NOT disclose pPersonally iIdentifiable iInformation from education records unless the disclosure meets one or more of the requirements of subsections B orand C of this section. “Personally Identifiable Information” (PII) includes but is not limited to the student’s name, address, student identification numbers, social security number, other personal identifiers, ethnicity, race, nationality, and gender; name and address of student’s parent or other family members; and a list of personal characteristics or other information that would make the student’s identity easily traceable.

2. Release of directory information is permitted but not required under FERPA. The decision to disclose directory information will be made at the discretion of the appropriate school official.

C. VSCS may choose to release PII from education records may be released to the student and, under the following circumstances and consistent with FERPA, to third parties:

1. Where the student consents to the release by signing and dating a

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written statement of consent before disclosing protected information. The written consent must specify: the record(s) to be disclosed, the purpose of the disclosure, and the party or class of parties to whom the disclosure must be made.

2. Where the disclosure is to school officials with legitimate educational interest. For the purposes of this section, “school officials” include persons employed by the VSCS in an administrative, supervisory, academic, research, or support staff position (including law enforcement unit personnel and health staff). “School officials” also include persons, companies or agencies with whom the VSCS has contracted to provide services (i.e., attorney, auditor, collection agent, educational service provider etc.), a person serving on the board of trustees, and a student serving on an official committee or assisting another school official in performing his or her own tasks. For the purposes of this section, “Legitimate Educational Interest” means: (a) the record or information requested is relevant and necessary to the accomplishment of some task or determination; (b) the task or determination is an employment or contractual responsibility for the inquirer or is properly assigned subject matter for the inquirer’s task or determination; and (c) the task or determination is consistent with the purpose for which the record or information is maintained.

3. Where special circumstances are present including the following as well as any other circumstances permitted under 34 C.F.R. §99.31(a):

a. Upon request by officials of another school in which a student seeks or intends to enroll. A member College Institution may, at its discretion, forward education records to other agencies or institutions that have requested the records and in which the student seeks or intends to enroll or is already enrolled so long as the disclosure is for the purposes related to the student’s enrollment or transfer or to the student’s dual enrollment; b. To certain federal, state, or local education officials in connection with state or federally supported educational programs; c. To authorized representatives of the Comptroller General of the United States, the Secretary of Education or State educational authorities, or authorized representatives of the Attorney General for law enforcement purposes;

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d. To organizations conducting certain studies/research for or on behalf of the VSCS; e. To comply with a judicial order or a lawfully issued subpoena or IRS summons after making a reasonable effort to notify student in advance; f. To appropriate parties in a health and/or safety emergency; g. When an Institution College has found, in the event of disciplinary proceedings against a student who is an alleged perpetrator of a violent crime (18 USC section 16) or non-forcible sex offense, that the student committed a violation of College Institution rules or policies, the final results of such disciplinary proceedings may be released. However, the iInstitution may only release the name of the student, violation committed, sanction imposed, and the name(s) of other student(s) involved, such as the victim or witness, but only with the prior written consent of the other student(s). h. To the parents of a student under the age of 21 where the VSCS has determined that the student has committed a disciplinary violation with respect to use or possession of alcohol or a controlled substance; i. To the parents of dependent students, as defined in Section 152 of the Internal Revenue Code of 1986; j. To accrediting organizations in order to conduct accrediting functions; k. To an authorized representative of institutions from which a student has received financial aid or the student had applied for financial aid. l. In accordance with the Solomon Amendment. The Solomon Amendment (32 CFR 216) requires institutions to provide specified information about individual students to representatives of the U.S. Department of Defense for military recruiting purposes unless the student has formally requested the school to withhold directory information from all third parties under B above. The specified “student recruiting information” includes student name, address, telephone listing, date and place of birth, level of education, academic major, degrees received, and the most recent previous education institution attended.

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any information in these special circumstances will be made at the discretion of the appropriate school official. The VSC shall maintain records of requests and disclosure of non- directory information under this section C3 above. Generally, Tthe person or agency making a request for disclosure must submit a letter stating: the name of the student, name of the person making the request, the names of the parties to whom the information may be disclosed, the legitimate interest of the party making the request and the legitimate interest of the party who may receive the information. All requests for disclosure should be submitted to College the Registrar of the student’s Institution.

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III. AMENDMENT OF EDUCATION RECORDS

Students have the right to ask to have record(s) corrected that they believe are inaccurate, misleading, or in violation of their privacy rights.

A. Procedure to Amend Education Record(s) 1. A student must submit a written request to the College Institution Registrar to amend a record. In so doing, the student should identify the part of the record she/he wants changed and specify why she/he believes it is inaccurate, misleading or in violation of his/her privacy rights. 2. VSCS member colleges Institutions have the authority to accept or reject any requests. If a member college Institution decides not to comply, the VSCS will notify the student of the decision and advise him/her of his/her right to a hearing to challenge the information believed to be inaccurate, misleading, or in violation of the student’s privacy rights. 3. Upon request for a hearing, the VSCS member college institution will arrange for a hearing and notify the student of the date, time, and place of the hearing. 4. The hearing will be conducted by a hearing officer who is a disinterested party; however, the hearing officer may be an official of the VSCS member collegeInstitution. The student shall be afforded a full and fair opportunity to present evidence relevant to the issues raised in the original request to amend his/her education record(s). 5. The VSCS member college institution will prepare a written decision based solely on the evidence presented at the hearing. The decision will include a summary of the evidence presented and the reason for the decision. 6. If the VSCS member college institution decides that the challenged information is not inaccurate, misleading, or in violation if his/herthe student’s privacy rights, it will notify the student that she/he has a right to place in the record a statement commenting on the challenged information and/or a statement setting forth reasons for disagreeing with the decision. 7. The student’s statement will be maintained as part of the student’s education records as long as the contested portion of the educational record is maintained. If the VSCS member college Institution discloses the contested portions of the records, it must also disclose the statement.

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8. If the VSCS member college Institution decides that the information is inaccurate, misleading or in violation of his/her privacy rights, it will amend the record and notify the student, in writing, that the record has been amended.

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IV. STUDENT COMPLAINTS REGARDING ALLEGED FERPA VIOLATIONS

V. ANNUAL COLLEGE NOTIFICATION

A. Each VSCS member collegeInstitution annually shall notify students currently in attendance, of their rights under the 20 U.S.C. §1232g and 34 C.F.R. Part 99.

D. The member college Institution may provide this notice by any means that are reasonably likely to inform the students of their rights and shall effectively notify students who are disabled.

Signed by:

Jeb Spaulding, Chancellor

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164 VSCS Board of Trustees Meeting June 19-20, 2019

Item 5a: Article: The Audit Committee’s role in Disaster Recovery, Crisis Management and Resilience

165

VSCS Board of Trustees Meeting June 19-20, 2019

The Audit Committee’s role in Disaster Recovery, Crisis Management and Resilience

The Audit Committee’s166 role in Disaster Recovery, Crisis Management and Resilience | 0 VSCS Board of Trustees Meeting June 19-20, 2019

This paper looks at the Audit Committee’s role in Disaster Recovery, Crisis Management and Resilience. It considers some of the potential limitations of current risk management, the nature and frequency of corporate crises and the critical role an Audit Committee can provide in the effective governance before, during and after such events.

With respect to the Audit Committee’s The relationship between Risk role in Disaster Recovery, Crisis Management, Disaster Recovery, Crisis Management and Resilience, there are Management and Resilience three main aspects to consider: The dynamic, global business environment has led to • Its role in seeking assurance over these areas larger and more frequent crisis events. Risk and how it achieves this; management processes are often failing to identify or adequately consider an organisation’s readiness to • Its role in supporting the Board in monitoring risk deal with such events. management and internal controls; and In part, this is because Disaster Recovery (or business • Its role in respect of the UK Corporate continuity), Crisis Management and Resilience are not Governance Code, the Principal Risks and always closely integrated with the risk management longer term Viability Statement. process or function. As a result they often operate in a narrowly defined context and lack agility in dealing with rapidly emerging risks, leaving organisations exposed to ‘real-world’ events.

The Audit Committee’s167 role in Disaster Recovery, Crisis Management and Resilience | 1 VSCS Board of Trustees Meeting June 19-20, 2019

Recently, the term Resilience (usually prefixed with A key principle of Resilience is the ability to anticipate other words such as: Operational, Technology or & assess, protect & control, plan & prepare, and Cyber) has come into increasing use, though often respond & recover in the context of major disruptive or with little clarity or understanding on what is meant by catastrophic risks, whether they are internal or it. At the end of 2014, the British Standards Institution external, known or unknown, in addition to the ability to published a new guidance Standard, BS 65000 – adapt & reform in the light of longer-term strategic risks Organisational Resilience, which has attempted to such as climate change or changing markets. This define the term and the principles and attributes provides a more holistic view of the management and associated with it. In essence this Standard calls for mitigation of high impact risks than is commonly much closer integration and alignment of Risk adopted. Management, Disaster Recovery, Crisis Management and other ‘protective disciplines’ such as Security.

Developing increased resilience to strategic impact risks as the organisations willingness to ‘think the or improving ‘Risk Resilience’ requires risk unthinkable’ management, disaster recovery and other disciplines to  The time horizon over which major disruptive or work together. catastrophic risks are considered The Audit Committee should consider:  Whether the scope of risks or scenarios addressed  Whether risk management and other ‘risk resilience’ under disaster recovery and crisis management is related functions are aligned/integrated, and the appropriate extent to which ‘risk resilience’ is being governed  The robustness of resilience to/planning for major and addressed holistically disruption and catastrophic risks (both internally  How major disruptive or catastrophic risks are caused and external) identified and assessed, for example, the  The extent to which internal audit or external effectiveness of horizon scanning for external risks, expertise is able/required to provide assurance on scenario analysis and near-miss reporting, as well the above

The Audit Committee’s168 role in Disaster Recovery, Crisis Management and Resilience | 2 VSCS Board of Trustees Meeting June 19-20, 2019

Effective Crisis Management is critical now

It is specifically worth considering the importance of Effective response is about much more than just media, effective crisis management in dealing with extraordinary customer and employee communications, vital though situations, since failure to respond well leads to rapid these are. It is also about rapidly establishing a highly and prolonged reputational damage/value loss, as responsive and adaptive organisation and operating illustrated below. mode, deploying the necessary resources, coordinating effectively across all areas of the business and decision making in a situation which will have a high degree of ambiguity, where there is a lack of information and considerable time pressures.

None of this comes easily, and certainly not without preparation and rehearsal. A well-prepared organisation may have multiple action plans to address the wide range of risks that they face

Crisis communications is a particularly challenging and important area. With the global and pervasive availability of mobile technology, information power has shifted from organisations to consumers. This means in dealing with Research from 15 high-profile crises focused on the impact a crisis, organisations must move with speed, full on shareholder value following the crisis transparency and empathy. It must communicate at many levels, internally and externally and it should seek “Reputation Review” (Oxford Metrica and Aon, 2012) to use all channels effectively, including social media.

A complex crisis However, these plans may Business environment requires be ineffective in a large, continuity plan that leaders improvise ------complex, never-before------in real-time to: IT Disaster faced crisis. recovery plan • • Plans are designed for Lead decisively with ------inaccurate information ------routine emergency and predictable scenarios • Rapidly innovate a plan with • Often designed to operate options, under significant in business function silos (potentially survival-altering) stress • May lack integration • across the different plans Facilitate collaboration and and with a corporate-level coordination across teams, crisis plan and potentially even third parties • Could be difficult to • contemplate roles of the Keep in mind a holistic view senior executives and lack of political and strategic specifics for the decision aspects besides just the making process tactical/operational aspects

Functional Silos Lack of Cohesion Desired Future State

An enterprise-wide Crisis Management plan (developed with cross-functional input), practiced often, communicated to key stakeholders, and backed with strong operating principles can help companies manage and respond to large, complex crises

The Audit Committee’s169 role in Disaster Recovery, Crisis Management and Resilience | 3 VSCS Board of Trustees Meeting June 19-20, 2019

Executives express confidence in their key roles to play as part of the Board or Executive, and crisis preparedness the Audit Committee should ensure that independent Our own very recent survey (not yet published), investigations and reviews post-event are undertaken conducted by Forbes Insight of over 300 Board where appropriate. members indicates that:  A solid majority (75%) of board-members surveyed The Audit Committee should ask …. express confidence in their organisations crisis preparedness. Under normal business conditions  However, the study also indicated that this  confidence is not often backed up by tangible Do we have a Crisis Management Plan, with clear EVIDENCE over what the organisation has actually roles and responsibilities, and who in the Executive put in place to be crisis ready. team is responsible for it?  Have our Executive Management Team been  Further, there appears to be a significant adequately trained and have they taken part in vulnerability vs planning gap, with many seeing crisis simulation rehearsals; when was the last time clear vulnerabilities, but far fewer having they did so? undertaken robust preparations for them.  Is there a Crisis Plan for the Board and have key Board members taken part in crisis simulation These findings, and the points made earlier in this rehearsals? paper, indicate that enhanced governance in this area is  Is there a robust crisis communications plan and necessary. The following sections provide some has this been ‘stress tested’ through crisis thoughts on this and the role of the Board and Audit simulation rehearsals, including the how and by Committee. whom?  What’s our perception of the organisation’s The Board and the Audit Committee has vulnerabilities and key risks and our confidence in two main roles relating to Crisis our preparedness to deal with such events should Management they arise?  Has our Crisis Management capability been subject

to internal audit or external validation? Under normal business conditions

To ensure that the organisation, including the executive During and immediately after a crisis team and Board members are ready to deal with a crisis;  Is it clear which members of the Board will be the Audit Committee should be seeking this assurance responsible for what during a crisis? through its oversight of internal audit and related  Is the organisation communicating appropriately activities on behalf of the Board. and transparently to all stakeholders? As ‘guardians of reputation’ the Audit Committee  Do we know who we would call upon to support the should ensure that the organisation has a robust crisis Board and are arrangements to do this already in communications strategy that engages customers, place? employees and other stakeholders as part of the  As a matter of course, do we demand an organisation’s crisis planning and preparations. independent review in the wake of a crisis such that lessons may be learned and improvements During and immediately after crisis made in the spirit of full transparency?

To act in a crisis (often in support of the Executive team, though at times this may include replacing or standing in for key Executives) and to ensure lessons are learnt after the crisis; the Audit Committee members may have

The Audit Committee’s170 role in Disaster Recovery, Crisis Management and Resilience | 4 VSCS Board of Trustees Meeting June 19-20, 2019

FRC and the Updated Code of Practice

The updated code requires a robust assessment of principal risks. This includes:

 Identifying the principal risks, evaluating their likelihood and their impact should they materialise  Assessing the availability and likely effectiveness of actions they might take, either in advance or when a trigger event occurs, to avoid or reduce the impact

 Be aware of those risks (or combination of risks) that could seriously affect the future performance,

solvency or liquidity of the company

It also requires a Viability Statement, which should take account of the organisation’s principal risks. This should consider:

 The timeframe over which such risks should be considered – certainly greater than 12months

 Scenario analysis and modelling of such risks, individually and in aggregate Many of the points discussed above will contribute to this assessment of Principle Risks and the preparation of the Viability Statement.

The Audit Committee’s171 role in Disaster Recovery, Crisis Management and Resilience | 5 VSCS Board of Trustees Meeting June 19-20, 2019 In summary

 There is growing acceptance that major disruption and catastrophic risks, often unforeseen, are leaving organisations vulnerable and poorly prepared to respond

 Risk management processes are often failing to either anticipate such risks or ensure the organisation, including the executive management team and the Board, is adequately prepared

 Disaster recovery, crisis management and resilience arrangements have also been found wanting because they have been too narrowly defined and lack agility in dealing with real-world situations

 The pervasive use of mobile technology has dramatically changed the speed at which organisations need to be able to organise and respond to a crisis situation – this is making pre-planning and preparation more essential than ever

 The Audit Committee should seek assurance over the organisation’s Risk Resilience and Crisis Readiness.

(Principles 1, 4, 5)

REACTIVE

“The Changing World of Risk” (AIRMIC, 2015)

The Audit Committee’s172 role in Disaster Recovery, Crisis Management and Resilience | 6 VSCS Board of Trustees Meeting June 19-20, 2019

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173 VSCS Board of Trustees Meeting June 19-20, 2019

Item 5b: Information Technology and Business Continuity: Disaster Recovery Plan Goals and Objectives

174 VSCS Board of Trustees Meeting June 19-20, 2019

Information Technology and Business Continuity Disaster Recovery Plan Goals and Objectives

175 VSCS Board of Trustees Meeting June 19-20, 2019 Reliance on Technology

• Increasing dependencies on electronic capabilities to do our jobs has shortened the acceptable recovery timeframe for a system outage. Criticality Levels (Expected System Recovery Times) • Category I Must be up in hours (Colleague) • Category II Must be up in days (TouchNet) • Category III Must be up in weeks • Category IV Can wait till operations are normal

176 DisasterVSCS Board of Trustees Meeting Recovery is Foundational to June 19-20, 2019 Business Continuity Planning

The foundation of Business Continuity today is dependent on technology planning for rapid recovery from an outage

177 VSCS Board of Trustees Meeting June 19-20, 2019 Steps taken since 2011 to reduce downtime

• Network(s) • Redundant paths to all areas of business service • Servers • Our main data center is located in South Burlington at TechVault, a hardened facility • Our ERP System, Colleague, now rides on top of a SQL database • SQL allows us to access a data copy directly if Colleague is not available • Alternate Site • We replicate data to servers in Winooski • We are building a new Disaster Recovery Plan – working with students from CCV - to be completed in summer 2019 • Security is a top priority

178 DRVSCS Plan Board of Trustees Meeting – CCV Professional Field Experience June 19-20, 2019 Work

• OC paired with CCV to find interns who desire to complete their Professional Field Experience Work building a DR plan for the VSCS • Interns get credit for the course, and the field experience is required to complete their STEM degree • Site instructor is Mary Knapp, Information Security Officer. She is overseeing the internship program and the DR plan. • DR plan does NOT include TechVault systems or “cloud” systems (Colleague, etc). Techvault has a separate DR plan already in place. • Interns are conducting interviews with local IT departments to assess the current situations at all of the schools. That information will be used to build the DR plans for the rest of the VSCS. • End goal is to have a list of critical systems at each school and steps to recover those systems if they fail or are compromised

179 VSCS Board of Trustees Meeting June 19-20, 2019 Other Cybersecurity Team Data Inventory Project

• The Cybersecurity Team has started their Data Inventory Project, which is an effort to locate the data used by the VSCS to ensure redundancy and security. (Pockets of data exist and must be addressed) • A questionnaire went out VSCS-wide. Results are being analyzed now. • The Cybersecurity Team consists of Mary Knapp, Information Security Officer and Donny Bazluke, Network and Security Analyst. • They can be reached at [email protected] and the website for VSCS Cyber is https://cybersecurity.vsc.edu

180 VSCS Board of Trustees Meeting June 19-20, 2019 Software as a Service (SaaS)

• We have made the decision to look at SaaS for our future software needs. SaaS systems that meet disaster specifications with contractual agreements that limit downtime and shorten recovery times will allow us to keep critical systems up and reduce business continuity stress. • To date we have moved the following systems to SaaS: • Library System • Identity Management System • Admissions (Slate) • We will move the following systems very soon: • Learning Management System (Going live August 2019) • HR/Payroll System (Going live July 2019) • We are still investigating the relocation of Colleague to SaaS

181 VSCS Board of Trustees Meeting June 19-20, 2019 Disaster Recovery – Where we are now

• Disaster Recovery Plans in place at Techvault • Plans to be complete this year in cooperation with the CCV Professional Field Experience Interns • Plan update will be presented by Interns the first week of August

182 VSCS Board of Trustees Meeting June 19-20, 2019

Item 6: 2019-2020 proposed Board and Committee Meeting schedule

183 VSCS Board of Trustees Meeting June 19-20, 2019

REVISED 4/10/19 Proposed Board and Committee Meetings for 2019-2020

Date Location BOT Audit F&F EPSL LRPC

Monday, April 1, 2019 Montpelier √

Monday, April 29, 2019 Montpelier √ √

Wednesday, May 29, 2019 Montpelier √ √ √

Wednesday PM, June 19, 2019 Castleton √

Thursday, June 20, 2019 Castleton √

Monday, August 26, 2019 Montpelier √ √ √

Tuesday, September 17, 2019 Lake Morey √

Wednesday, September 18, 2019 Lake Morey √

Monday, October 21, 2019 Montpelier √ √ √ √

Monday, December 2, 2019 NVU-Lyndon √ √

Monday, February 3, 2020 Montpelier √ √ √ √

Saturday March 28, 2020 CCV √ √

Monday, April 20, 2020 Montpelier √ √

Monday, June 1, 2020 Montpelier √ √ √

Wednesday PM, June 17, 2020 Vermont Tech √

Thursday, June 18, 2020 Vermont Tech

Monday, August 24, 2020 Montpelier √

Tuesday, September 22, 2020 Lake Morey √

Wednesday, September 23, 2020 Lake Morey √

Monday, October 26, 2020 Montpelier √ √ √ √

Monday, December 7, 2020 Castleton √ √

184 VSCS Board of Trustees Meeting June 19-20, 2019

Thank You letter from Pat Menchini to the Board of Trustees

185 VSCS Board of Trustees Meeting June 19-20, 2019

Patricia R. Menchini 89 Tom Wicker Lane Apt. 321 Randolph Center, VT 05061

May 21, 2019

J. Churchill Hindes and Members of the Vermont State Colleges Board of Trustees c/o Patricia Moulton, Vermont Technical College President 124 Admin Drive PO Box 500 Randolph Ctr., VT 05061

Dear Church and Members of the Board of Trustees, The awarding of the honorary doctorate last Sunday was one of the highlights of my life and certainly was the highlight of my career. I appreciate this thoughtful gesture more than you will ever know.

I take great comfort and pride in seeing the Nursing and Health Professions programs continue to grow, evolve and remain current and relevant. This is not easy in an environment that is constantly changing. To me, this is award enough. The degree is icing on the proverbial cake!

Working in the VSC, in the various positions that I had, always felt like such a privilege. From the very beginning I was treated well and fairly. I remember when I first became a faculty member, I was so happy and fulfilled to be earning money while sitting at my desk planning to teach classes in the areas of my special interest. It seemed like a dream come true! Over the years, even though my role changed from time to time, I always felt strongly that the VSC and Vermont Tech in particular, was the best place to work in all of Vermont.

The awarding of the honorary degree and the reading of the resolution were an enormous surprise. Good work to all for keeping this secret so well! I’m sure it wasn’t easy.

Thank you once again, but also want you all to know that I have always felt honored and appreciated by my former colleagues, by the current Vermont Tech leadership team, by the senior leadership of the VSC as well as by you, the BOT members.

Yours very sincerely,

Pat Menchini

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