Academic Guidelines and Policies

Introduction

The administration of Senate Policies 60-00, 62-00, and related policies governing Simultaneous [Concurrent] and Multiple Majors [AAPPM Policy M-3] was changed by the Administrative Council on Undergraduate Education [ACUE] at its January 10, 2003 meeting. The policy change is available at the ACUE web page.

Capital College Policy

The following procedures will be used at Capital College.

Student’s Responsibilities

1. The student must submit a request to the appropriate Program Coordinator[s] through the student’s faculty adviser.
2. The student must await approval of the academic plan and the majors before enrolling in the second major.
3. Students will schedule the appropriate classes in consultation with the faculty adviser and with the concurrence of the appropriate Program Coordinator[s] in accordance with the academic plan file with the Application for Approval of Concurrent Majors.

Faculty/School Director Responsibilities

1. Faculty advisers and Program Coordinators should read the Senate Policies carefully to determine whether the student qualifies for the second degree and for the definitions/terms used to describe the concurrent major[s]. Faculty can find an example of these policies at the following web site.
2. School Director or Designate should submit a fully completed form [Application for Approval for Concurrent Majors] with the appropriate signatures to the Senior Associate Dean.
3. A “fully completed form” includes:
   1. the total number of credits required for each degree in the total credits summary on the lower right side of the form,
   2. a list of those courses the student needs to take to meet the requirements for each degree,
   3. the number of semesters required to complete the program, and,
   4. any other information useful for the Senior Associate Dean’s evaluation,
   5. copies of the degree audits for each of the majors the student wishes to pursue.
4. The form(s) must be typed or word-processed. No handwritten forms will be considered by the Dean’s Office.
5. If the School Director or Department Head adopts the practice suggested by the Senate policy, namely, gathering all the appropriate information for the Senior Associate Dean’s office, the faculty advisers and program coordinators must follow the guidelines established by the School Director.
6. If changes are required in the Degree Audit, especially in the Electives categories, please indicate that such changes have been authorized by the Program Coordinator and the School Director.

Senior Associate Dean’s Responsibilities

1. Per the instructions on the Application for Approval of Concurrent Majors, the Senior Associate Dean “will reproduce and distribute copies of the approved form as follows: one copy to each concurrent college Dean [School Director], one copy to the Registrar’s office, and one copy to the student.”

Policy Adopted: February 10, 2003

Revised: June 3, 2005

Revised: Academic Council April 8, 2009

Purpose

This guideline establishes procedures for seeking approval to offer non-Capital College majors, minors, and/or options at all Capital College locations.

The applicable University policy is P-3 from the Academic Administrative Policies and Procedures, which can be found on the Office of Undergraduate Education’s web page.

The P-3 policy has been adapted to provide procedures for Capital College. Provisions of the University policy are indicated in italics; procedures specific to Capital College are in plain text. All actions and approvals related to the sharing of majors, minors, and options must be consistent with the University Faculty Senate curricular policies.

Capital College Procedures

1. The faculty proposing the new major and/or minor should read the provisions of P-3.  Early consultation with the School Director and Senior Associate Dean for Academic Affairs is recommended.
2. The School seeking the major, minor, and/or option should prepare a proposal responding to the queries and concerns identified in P-3. Such proposals will normally be the responsibility of the program coordinator or a designated representative of the program faculty.
3. Early consultation with the sponsoring department is critical and must be demonstrated. The communications required for the consultative process will normally be between the Program Coordinator and the Department Head/Chair of the sponsoring college. The School Director and/or the Senior Associate Dean for Academic Affairs should facilitate such communications if necessary.
4. An eight-semester plan should be submitted to the Senior Associate Dean for Academic Affairs demonstrating that the requirements of the proposed major and/or minor can be met at one or both Capital College location.
5. The School must demonstrate that it has a plan to provide any General Education courses required for the specific major and/or minor. The School must show that the majority of the lower division courses required for the major will be taught by faculty on standing appointments preferably tenured or tenure-track faculty.
6. The School or program must also demonstrate that the local library resources are adequate to support the academic program.
7. The proposal must be approved by the School Director, the Senior Associate Dean for Academic Affairs, and the Chancellor of the College.
8. When all the requirements mentioned above are met, the Senior Associate Dean will submit the proposal to members of the Administrative Council on Undergraduate Education (ACUE) and the appropriate academic administrative offices.

Approved: Academic Leadership Council June 29, 2004

Approved: Dean June 29, 2004

Revised: Academic Council April 8, 2009

Note: This policy is currently under review. (Summer 2011)

Purpose

To establish a policy consistent with University Faculty Senate legislation requiring that each college implement an administrative policy for addressing situations when students do not complete the First Year Seminar (FYS).

Part I

Introduction

In December 1997, the University Faculty Senate passed legislation (Academic Administrative Policies Manual Policy: L-9, which is available at: http://www.psu.edu/oue/aappm) mandating a first-year seminar requirement for all incoming first-year baccalaureate students who were admitted to the University after spring semester 1999.

Expectations

It is expected that all baccalaureate degree candidates will include a first-year seminar as part of their first 27 credits scheduled in residence at Penn State. Students are encouraged to complete this requirement in their first two periods of enrollment.

Exemptions

The following students are exempt from the FYS requirement: provisional and nondegree (regular and conditional) students who have completed 18 or more credits in that status, advanced standing admits (18 or more transfer credits), admits with 18 or more credits in another status at Penn State (e.g., associate degree), and associate degree candidates.

Exceptions

Students who do not successfully complete an FYS must fulfill the requirement in an alternative activity.

Administrative Procedures

Students enrolled at Penn State Harrisburg will be expected to schedule the first year seminar during their first semester. The Division of Undergraduate Studies will be responsible for monitoring student schedules during the First Year Testing Counseling and Advising Program (FTCAP) to ensure compliance.

The Office of Enrollment Services and the Division of Undergraduate Studies will identify students who did not complete the FYS in their first semester and coordinate a mailing directing students to schedule the seminar in semester two. This will include students enrolled at Penn State Harrisburg and all students enrolled in CACOM at other campus locations. The mailing will include a statement explaining the FYS requirement and the College's policy for compliance.

Failure to register for a FYS by the end of the second semester of enrollment will require the student to:

1. Schedule a FYS in the third semester, or

2. Petition for an exception as outlined in Part II of this document.

Part II

Petitions for Exceptions

Although the current Capital College FYS is 1 credit, a substitute course may be 1-3 credits. To be eligible for substitution, the course must be a small class and must fulfill at least 3 of the 5 active learning elements listed below:

1. Active use of writing, speaking and other forms of self-expression

2. Opportunity for information gathering, synthesis and analysis in solving problems, including the use of library and computer/electronic resources and the application of quantitative reasoning and interpretation

3. Engagement in collaborative learning and teamwork

4. Application of intercultural and international competence

5. Dialogue pertaining to social behavior, community and scholarly conduct

Students enrolled in other Colleges will be required to follow the first year seminar compliance policy of their college.

Proposal

To have a course reviewed for substitution, the student must submit the proposal form (attached) for substitution to the Assistant Dean for Academic Affairs that includes the following:

1. The students name and number

2. The proposed course and description

3. Details regarding how the course satisfies at least three of the active learning elements above. The proposal should clearly identify these elements as well as include specific examples illustrating the class activities that support them. NOTE: Courses currently in progress or completed are not eligible for substitution. English 015, English 030, English 202, and CAS 100 may not be used as a substitution for a First-year Seminar.

4. Signature of the student's Academic Adviser

Review of Proposals

The Assistant Dean for Academic Affairs will review proposals and forward notification of approval to the student, the student's academic adviser and the Office of Enrollment Services. The Office of Enrollment Services will be responsible for noting the appropriate substitution on the student's audit.

Approved: Academic Leadership Council (11-18-03)

Approved: Provost and Dean (11-18-03)

Purpose
To deliver administratively approved “hybrid courses” that facilitate instruction in which structured on-line experiences through course management software and other media reinforce campus-based learning.

Introduction

Hybrid courses utilize digital technology to enhance learning with multimedia sources; allow for multiple learning strategies; comply with University policies concerning access; include flexible scheduling; integrate campus-based, off-campus, technology-based learning, and student-faculty interaction; and broaden the concept of learning communities. Because of the integrative function of hybrid courses, they typically require more advance planning for the instructor than in a course solely devoted to on-campus or online instruction. 

Guidelines

Defining a hybrid course: “Hybrid courses are specific packages of online and face-to-face content and processes organized to reduce or replace the number of required class sessions in order to improve effectiveness and flexibility for instructors and students and/or to achieve other efficiencies. Hybrid courses reduce by approximately 40% or more of the number of required classroom sessions, although some classroom sessions are required” (source: University Registrar–ARUAC). These courses might also be called blended courses. The schedule of courses designates hybrid courses by listing the in-class meeting time (e.g. T 9-10:15AM) on the first line of the course listing and AND WEB on the second line of the course listing. To inform students fully of the structure of the hybrid course, a hot link from the course schedule would allow for students to see the syllabus.

Consultation and Approval: To begin, the proposer is strongly encouraged to take a self-assessment to determine if a hybrid course would be compatible with the instructor’s style.

The proposer should formally consult with the Program Coordinator to inform that person of the interest in hybrid course development. The proposer should complete the Request for Proposal for Hybrid Course Development Form, gain the Program Coordinator’s signature, and submit the proposal to the School Director. The School Director will share all approved proposals with the Faculty Center to arrange for an initial consultation and the development of an action plan. This would facilitate labeling the course properly in the course schedule (important information for both students and advisors); it would also allow for referral of the proposer to experts who would assist with development of the hybrid course, to ensure that the course meets its educational goals.

Development of hybrid courses: Faculty will work with the Faculty Center. The benefit of working with instructional designers is that they do course design work every day, are current with the latest instructional technologies, are familiar with best practices, and can connect faculty to University and external teaching and learning resources.  The length of time needed for a hybrid course redesign varies based on the faculty member’s prior experience in online teaching, learning, and course design, the amount of time the faculty member can devote to the redesign effort, the amount of revision required, the number of online sessions to be designed, and the need for multimedia development.

All online course development completed in the Faculty Center (see Redesign Guide for Hybrid Courses), including the online components of hybrid courses, follows the design standards set by the Penn State Quality Assurance Standards. The standards are intended to provide a measure of quality assurance for online courses to serve the e-learning needs of Penn State students.

The faculty member is the subject matter expert who provides the course content. The faculty member teams with the instructional designers in the Faculty Center to schedule meetings, set course deliverable deadlines, and make pedagogical decisions related to the course. The instructional designer lends expertise in implementing the course in a professional and pedagogically sound manner.

Intellectual property rights: Faculty should read and understand the University’s policy regarding intellectual property rights by referring to the University’s Policy RA-17: Courseware. Additionally, school directors will present faculty with the Courseware Copyright Agreement to be completed for each course prior to the start of its hybrid development.

Assessing hybrid courses: Hybrid courses should be available for peer review as any other class offered at the College. Once the hybrid course is developed, either the Program Coordinator or School Director will preview the proposed course, as is currently done with fully online World Campus courses, to ensure that it meets School and College standards of quality. For this review, faculty peers or administrators should use an instrument adapted from the assessment of fully online classes (available soon).

Presented to College Faculty Senate: April 21, 2011
Approved by Academic Council: April 27, 2011

Purpose

To establish policies for Capital College's commencement ceremonies.

Introduction

The Capital College follows the general principles adopted by the University for the Commencement Ceremonies. The appropriate policies and guidelines are available at http://harrisburg.psu.edu/commencement/.

Guidelines

These Guidelines apply to all cords, scarves, stoles, and/or other attire not associated with the official recognition accorded to the approved Schreyer Honors College or the Capital College's Honors programs in the commencement ceremony.

One of the key provisions in the University's Academic Costume statement informs degree candidates that "ornamentation representing honorary societies or nationalities is not approved attire for Penn State academic ceremonies." It is impossible to recognize the various regalia associated with an honorary society or organization because doing so requires an explanation to our commencement guests many of whom will not be able to see the regalia from their seating locations or will not understand the role of the honorary societies in the academic process.

These Guidelines should in no way diminish the academic accomplishments of Capital College students.

Approved: March 1, 2002

Revised: Academic Council April 8, 2009

Purpose

To establish a policy governing the cancellation of classes unrelated to weather.  (For the College weather policy, see C-5.)

Guidelines

Except in unusual circumstances, instructors are expected to meet all classes on the days and times assigned.  Illness is usually the only reason for a last-minute cancellation. 

• Faculty members who must miss a class for any reason must seek prior approval from the School Director.  Cancellations incorporated into syllabi must also be approved by the School Director prior to the cancellation date.
• Arrangements for coverage cannot be informally arranged by faculty. All arrangements must be communicated to the staff assistants in sufficient time to make plans to cope with any potential problems.
• In case of emergency, notification should be made to the School Director, Administrative Assistant or other staff member and all students.
• Responsibility for notifying students of class cancellation rests with the faculty.

Approved: Academic Council September 30, 2004

Provost and Dean September 30, 2004

Revised: Academic Council April 8, 2009

Purpose

To establish a common procedure for inviting and hosting international scholars and/or creative artists visiting Penn State Capital College

Introduction

The Capital College welcomes international guests to enrich the intellectual and cultural life of the college and its many communities. Such visits can contribute significantly to the college and university goals of increasing international understanding, fostering the appreciation of creativity and artistic expression, facilitating the exploration of the social/political history of other nations, and encouraging respect for the culture of other countries.

These guidelines establish the basic procedures all Schools and administrative units must use before, during, and after the visit of an international guest.

The Provost and Dean has the primary responsibility for ensuring that all university policies and applicable federal laws are observed.

Guidelines

The following actions must be initiated by the academic or administrative unit serving as the host for an international scholar or creative artist. No invitation will be processed without the written approval of the School Director or supervisor of an administrative unit and the Office of the Chancellor.

1. Faculty/staff seeking to invite an international scholar to Penn State Harrisburg must discuss the invitation with the School Director before contacting the Capital College's Office of International Programs. The faculty/staff member must submit a written proposal, which must contain the following information:
   • A memo from the School or administrative director indicating approval of the proposal;
   • The name of the exempt staff or faculty member who will serve as the scholar's "Responsible Person." Since the scholar is being invited by Penn State Capital College, the "host" School/department has a responsibility to ensure that someone is assigned as the "Responsible Person" to coordinate the scholar's arrival, housing and orientation to Penn State Capital College;
   • Scholar's name and short vita;
   • Dates of proposed visit;
   • Scholar's activities and duties (lectures, classes, community meeting, workshops, etc.);
   • Source(s) of funding;
   • Payment of an honorarium (yes, no) and the amount;
   • Reimbursement of expenses (up to what limit);
   • Travel and lodging arrangements;
   • Identification of spouse/companion and/or children accompanying the scholar. If the visitor is accompanied by other guests, the School or administrative unit must indicate who is paying the expenses for spouse and/or children;
   • Determination of whether the scholar has a U.S. Social Security Number. If yes, what is the SSN?; and
   • Availability of health insurance for the scholar (and family). Health insurance is mandatory for invited international guests of the Capital College
2. The Capital College Office of Human Resources will review the proposal, make a preliminary determination of the proposed scholar's visa eligibility and forward a recommendation concerning the proposal to the Office of the Chancellor.
3. Upon approval of the proposal by the Office of the Chancellor, the Capital College Office of International Programs will send personal correspondence to the scholar.
   • The correspondence will explicitly state the terms of the visit (e.g., dates, travel arrangements, activities, honorarium, reimbursement of expenses, and a statement of health insurance requirement);
   • The correspondence will explain the Visa requirements and process, including a notation to the scholar to pay particular attention to the type of Visa he/she is issued when entering the United States as well as any conditions related to the scholar's visit, e.g., lectures, public appearances, press contacts, or other obligations;
   • The correspondence will indicate the name and contact information of the scholar's "responsible person;"
   • The correspondence will be cosigned by the School or unit director and the director of international programs;
   • Two attachments will be included with the letter:
     • Attachment A: Visitor's Information Sheet for Income and Travel. This document must be signed and returned to the Office of International Programs by the scholar.
     • Attachment B: Handout titled "Important Information for J1 and B1/B2 Visa holders visiting Penn State Capital College; and
     • The letter will be copied to: (1) the "responsible individual; (2) the director of the Office of Human Resources; (3) the School Director; and, (4) the Office of the Chancellor.
4. If appropriate, a IAP-66 Application for a J1 short-term scholar's visa will be completed by the Office of International Programs and processed through the University's International Scholars and Faculty Services office:
   • Application Form to be completed and signed by Capital College Office of International Programs;
   • Signed by Office of Human Resources;
   • Signed by the Chancellor;
   • The names and titles of each signatory will be forwarded to the Office of International Programs at University Park so that office can provide a final check of the review process;
   • Forwarded to the International Scholars and Faculty Services (ISFS) at UP; and
   • Approved J1 Certificate of Eligibility is sent by ISFS to the scholar and copied to the Office of International Programs

Note: It is the general practice of the Capital College's Office of International Programs to apply for a J1 Short-term Scholars Visa for international scholars invited to the College. The J1 Visa is the most appropriate and flexible means to facilitate a rewarding and satisfying experience for our guests and the college community. The host unit must plan ahead because the visa application process can take up to eight weeks to complete.

1. Receiving the scholar
   • Upon the scholar's arrival, the "Responsible Person" is responsible for meeting and transporting the Scholar to their lodging and to and from the campus;
   • During the first business day following the scholar's arrival, the scholar and the "Responsible Person" must present themselves to the Capital College Office of International Programs for a "Check-In" session to discuss the scholar's arrangements and schedule, to provide copies of Visa, passport, and documentation of health insurance, to complete Penn State's Alien Information Request Form (GF5.1) and to review the handout titled, "Important Information for J1 and B1/B2 Visa holders visiting Penn State Harrisburg"; and,
   • Within the same time period, the scholar and the "Responsible Person" must visit the Office of Human Resources to complete the I-9 form, and, if necessary, other appropriate forms, such as Form 8233 (Exemption for Withholding).

Approved: Academic Council July 9, 2002

Approved: Dean July 9, 2002

Revised: Academic Council April 8, 2009

Purpose

To establish uniform Guidelines for Capital College administrators charged with conducting the extended reviews of faculty mandated by University Policy HR-40.

Introduction

University Policy HR-40 states, "Performance reviews are not only necessary for the process of determining merit salary increases; they also provide occasions for self-evaluation and reassessment of the role a faculty member is playing, which may evolve significantly during the course of a career. Reviews offer an opportunity to acknowledge and recognize good work, point out areas for improvement, and, in a few cases, identify productive new uses of a faculty member's talents. They are a means of ensuring that the diverse talents of the entire faculty are productively applied to the many responsibilities of the University. In addition, performance reviews can help identify resource targets -- places where additional resources could re-energize a faculty member whose energy or morale has run low or could lift an already productive member to new levels of achievement."

General Guidelines

Capital College will follow the practices described in HR-40 and the provisions for the Extended Review described herein. The procedures adopted by the University Faculty Senate, the College Senate, and the office of the Chancellor will govern the Extended Reviews within each School.

A. Faculty Covered Under these Guidelines

1. Extended reviews apply to all tenured faculty employed by the University for a minimum of six years.

2. Faculty members who have submitted a letter indicating a decision to retire or to resign within a two-year period of the projected date of an extended review will be excused.

3. Faculty who volunteer for the extended review should notify the School Director of their intent to request a review during the spring semester preceding the actual review.

4. Faculty members who maintain their tenure homes with University Park colleges are covered by these Guidelines. For faculty who maintain their tenure homes at University Park, there are two additional provisions:

   1. The School Director must seek input in writing from faculty member's Department Head; and,

   2. The School Director will forward a copy of the review to the Dean of the academic college at University Park.

5. Library faculty will be reviewed on a seven-year cycle by the Director of Capital College Libraries, in consultation with the Associate Dean for Campus College Libraries. The "Administrative Guidelines" approved by the University Libraries will be used to review Library faculty. Copies of all evaluative materials will be shared with the Associate Dean for Campus College Libraries.

6. Faculty members on leave during the year of a scheduled review will be reviewed during the year following the leave.
7. Tenured faculty members whose promotion cases were submitted and approved during the scheduled extended review period will not be reviewed. The School Director will counsel faculty members who received a negative promotion review during the extended review period.
8. The extended review should assist faculty members who wish to seek promotion during the next five-year period.

B. Review Procedures

1. The reviews will occur in five-year cycles based on the year tenure was granted.
2. The School Director will present to the Senior Associate Dean of the College a list of the review cycles for all tenured faculty within the School by the end of the spring semester before the review cycle.
3. Faculty to be reviewed will be notified during the annual HR-40 [Green Sheets] evaluation in the spring semester prior to the extended review.
4. The School Director will meet with the faculty member during October of the academic year to discuss the review process, the documentation required, and the applicability of the HR-40 policies adopted by the University, the College, and the School.
5. All materials must be submitted to the School Director by January 31 of the review year.
6. The actual review, which will be similar in format to the annual review, will take place before March 31.
7. The review letter will be completed by April 30.
8. The School Director will discuss the contents of the letter with the faculty member, who will sign an acknowledgment that the review has been completed.

C. Required Documents

1. The School Director will assemble the Green Sheets from the previous five years. Those materials will provide the basis for the review. To ensure that the materials are available, each School should preserve the original copies of the Green Sheets.
2. Faculty members should submit supplemental material to provide the School Director with a complete record of accomplishments during the five-year period. School Directors may also request additional information as needed.
3. A current curriculum vitae should be submitted to the School Director by January 31 of the review year.
4. Each faculty member must submit a statement explaining her/his accomplishments with respect to teaching, research, and service during the last five years. That statement, which cannot exceed five pages, should respond to the following questions:
   1. What is your understanding of your role within your School?
   2. What is your assessment of your current and future roles as a faculty member of this College?
   3. What is your assessment of your current and future roles as a member of your discipline or profession?
   4. What progress/improvements have you made with respect to teaching, research/scholarship, and service in the last five years?
   5. What are your goals in those three areas for the next five years? Please outline your plans for achieving those goals by preparing a career/professional plan for yourself.
   6. How can the School/College assist you in meeting the goals outlined in your plan?
   7. What would you like your legacy in the School/College to be?

D. Review Outcomes

1. The School Director will meet with the faculty member for a discussion of all the materials submitted for review.
2. The School Director will prepare a written summary of the discussion and a review statement for the faculty member.
3. The faculty member will acknowledge receipt of the review letter by signing the original.
4. Any faculty member who disagrees with the outcome of the review should address those matters in a letter to the School Director.
5. The School Director will forward the review letter [with the signed acknowledgment of receipt] to the Chancellor along with any appropriate post-review correspondence.
6. The Chancellor will respond appropriately within a reasonable period after the receipt of the review material from the School Director.
7. The Chancellor's letter will conclude the extended review process.
8. All correspondence related to the extended review will be maintained in the School.

Adopted: School Directors September 25, 2001

Approved: Dean September 26, 2001

Revised: Senior Associate Dean July 28, 2003

Revised: Academic Council April 8, 2009 (Renamed F-1; Old 1)

Introduction

The College acknowledges the importance of maintaining a critical level of service to undergraduate and graduate students during the summer. Some faculty members, such as Program Coordinators and others on 36-week contracts, may be asked to perform certain non-teaching duties during that period.

Purpose

These guidelines establish the conditions and the practices governing appropriate compensation for administrative or non-teaching services performed during the summer.¹

General Guidelines

1. Teaching and administrative duties will remain distinct areas for compensation purposes. Since administrative costs must be calculated separately, faculty members on administrative or non-teaching assignments will receive a separate contract for those services.
2. Compensation for summer employment will be provided only for those services actually performed during the summer.
3. Performing non-teaching and/or administrative duties during the summer is not a condition of employment for Program Coordinators.
4. Summer employment must be approved in advance and under specific conditions by the School Director and the Chancellor.
5. The School Director must determine the specific duties to be performed and establish the dates when the services will be delivered. Program Coordinators will be required to provide a list of services for the Director to evaluate before any Memorandum of Service or Letter of Employment is prepared.
6. The employment letter must outline the specific administrative duties and the delivery date[s] of all services.
7. Coordinators performing such functions as supervising internships will be compensated according to the formulae in the Guideline 18: "Compensation Practices for Summer Internship Supervisors."
8. The quality of the performance must be evaluated by the School Director at the end of the summer employment period in accordance with the written description of duties or anticipated outcomes agreed to prior to the beginning of the summer session.

Approved: Academic Council

Revised: Academic Council September 16, 2003

Revised: Academic Council April 8, 2009

¹Summer teaching is covered by F-2 entitled "Summer Compensation for Teaching Faculty."

Purpose

To establish guidelines for the disbursement and management of the so-called Global Funds, that is, those funds provided for the development of international education initiatives by Capital College faculty.

Guidelines for the Distribution of the Global Funds

The Global Funds are distributed by the University as block grants to the colleges, including Capital College to underwrite some of the costs associated with the development of international educational experiences for undergraduate and graduate students.

Global funds will not be used to support international travel unless those initiatives are directly related to the criteria governing the use of such funds. The Global Funds will support only the travel portion of the research initiative and only when such travel meets the University's international education and research goals described below under Award Criteria.

Award Criteria

The disbursement of funds will be in the form of small travel or support grants in the $300-$1000 range. Proposals must meet the following criteria:

1. To develop international study tour programs for Capital College students,

2. To develop and maintain international exchange programs for Capital College students and/or faculty,

3. To support a visit by an international scholar or creative artist to Capital College,
4. To foster collaborative research projects with international scholars and universities on projects related to key Penn State research initiatives, such as global warming, sustainable engineering, environmental pollution, and international communication.
5. To encourage new partnerships emerging from Schools and/or individual faculty members,
6. To support teaching or research collaborations with faculty members from other countries that will involve undergraduate students,
7. To stimulate participation in international teaching or education initiatives from federal and state agencies,
8. To assist faculty members who want to develop course materials that have an international component,
9. To provide seed monies to enable a faculty member to attract funding from other sources for international education programs.

Application Process

Applicants should follow the steps outlined below when preparing applications requesting support from the Global Funds.

1. Applicants must consult with the college's Office of International Programs before submitting an application.
2. Applicants must use the Global Fund Application Form, which is available from the Office of the Chancellor.
3. The application form must be accompanied by a proposal not to exceed three pages, which should include a Cover Sheet and Narrative Description outlining the reasons for the request, the nature of the international program initiatives, the connections between the curriculum of the faculty member's academic unit, and any documentation, which could help the evaluation team judge the potential success of the project. The application form should be sent through the School Director.

Eligibility Criteria and Distribution Decisions

The Senior Associate Dean when delegated will apply the following criteria for evaluating the quality of Global Fund applications and for making decisions about the disbursements from the Global Fund:

1. Applicants must be a tenured or tenure-track Penn State Capital College faculty member. Fixed-term, multi-year faculty will also be considered if they have been employed by the University for at least three years.
2. Only one grant per faculty member will be awarded in a two-year period.
3. Applications must be approved and endorsed in writing by the applicant's School Director.
4. The sources of any matching funds or other support must be fully disclosed in the applicant's funding request. Matches might include departmental funds, gift funds from appropriate external organizations, or grants from other university units.

Accountability

Since the Global Fund is intended to advance the college's international education goals, faculty receiving such support are required to report the results of their activities in writing to the Senior Associate Dean, the Office of International Programs, Academic Council, and other organizations as deemed appropriate by the Council.

A copy of the report must also be included in any subsequent applications for use of the Global Fund.

Approved: Academic Leadership Council March 2, 2004

Revised: Academic Council April 8, 2009

Introduction

Penn State Harrisburg will abide by the established University policies and procedures available below.

Policies

The Penn State policies and procedures relating to faculty consulting activities are available in

• RAG15  http://guru.psu.edu/policies/rag15.html

Additional information can also be found in the following:

• RA05— Significant Financial Interest Disclosure for Sponsored Project's Investigators
• RA12— Technology Transfer and Entrepreneurial Activities (Faculty Research)
• FN14— Use of Tangible Assets, Equipment, Supplies and Services
• HR80— Private Consulting Practice
• HR91— Conflict of Interest

All of these policies are available online.

Approved: Academic Council May 2003

Revisions: Academic Council April 8, 2009

Any courses releases permitted under these guidelines must be approved by the Chancellor in consultation with the School Director and the Executive Council of the Faculty Senate. A record of these guidelines and any related policies must be confirmed in writing and filed in the Senate Office.

1. The Senate president shall receive a three-course release for each year of service as the elected leader of the College Faculty Senate.
2. Course release(s) cannot be accumulated or banked for the future. The release(s) must be taken during the semester(s) the President is serving. Exceptions to this practice may occur occasionally and must be approved in advance by the Senate President’s School Director and the Chancellor.
3. In normal operations, consultations with the School Director and program faculty should take place as early as possible and all three course releases should not be taken in one semester because of the potentially negative effects on the curricular offerings in the President’s academic unit.
4. The President-Elect does not receive any course release.
5. No other Senate officers, committee chairs, members of joint administrative and Senate task forces are eligible for course release.
6. Penn State Harrisburg faculty elected to the University Faculty Senate, its committees, or related organizations are not eligible for course release.
7. Should this policy conflict with provisions of the constitutions of the College or University Faculty Senate, a joint committee of Academic Council and the Senate leaders will convene to resolve those conflicts. Any recommendations resulting from the deliberations of the two organizations will be presented to the faculty for advice and consent.
8. These guidelines confirm the current practices for promoting faculty governance activities at the Penn State Harrisburg campus as it is constituted in the 2008-2009 academic year.

Approved: Academic Council

Revised: Academic Council April 8, 2009

Purpose

This guideline establishes standard procedures for the preparation, submission, administration, and completion of all grants and contracts at Capital College. 

Introduction

These guidelines are based on general University guidelines and policies as articulated by the Vice President for Research, the Office of Sponsored Programs, the federal Office of Management and Budget, the various Institutional Review Boards, and the Board of Trustees, all of which can be accessed hereand other University websites.

Policies

All Capital College faculty must follow the policies noted below as well as those referred to in Penn State’s research publications as revised, which are available here.

• RA01- Determining the Allowability, Allocability, and Reasonableness of Costs on Sponsored Projects
• RA02- Acceptability and Evaluating of Services, Equipment or Property Donated to Federally Sponsored Projects
• RA04- Making Revisions to Budgets and Program Plans on Federally Sponsored Projects
• RA03- Preparing Budgets (Cost Estimates) For Sponsored Projects
• RA05- Significant Financial Interest Disclosure for Sponsored Project'sInvestigators
• RA06- Cost Recovery for Sponsored Projects
• RA10- Handling Inquiries/Investigations Into Questions in Ethics in Research and in Other Scholarly Activities
• AD 47- General Standards of Professional Ethics
• HR 76- Faculty Rights and Responsibilities
• HR 80- Faculty Consulting PracticeHR 91 - Conflicts of Interest
• RAG02- University Equipment Matching Funds Program
• RAG03- Assistantships / Traineeships Matching Funds Program
• RAG05- Fixed Price Agreements - Residual Balance
• RAG06- Applying Fringe Benefit and Facilities and Administration (F&A) Rates to Sponsored Projects and Other Miscellaneous Funds 

Assignment of Grant Supervision Responsibilities

The Chancellor has given the Senior Associate Dean for Academic Affairs and the Associate Dean for Research and Graduate Studies the responsibility for supervising all grants at Capital College. The Office of the Associate Dean for Research and Graduate Studies works directly with the University’s Office of Sponsored Programs and The Graduate School to further the research goals of the University.

Persons Subject to This Guideline

This guideline applies to all faculty, staff, and students of the Capital College and all grants, contracts, services, or any other externally supported activities related to the College’s research and educational outreach activities including any projects developed jointly through the Office of Development. All faculty must also adhere to the policies governing the use of Human Subjects, which are available at here and other University sites.

Projects Subject to this Guideline

All external grants, contracts, or gifts with conditions or deliverables are covered by this guideline as well as all other applicable University policies.

Responsibility for Administering This Guideline

The primary responsibility for ensuring compliance with all grants, contracts, sponsored programs, and other externally supported activities rests with the Principal Investigator and the Budget Administrator/School Director. The Senior Associate Dean and the Associate Dean for Research and Graduate Studies will supervise all externally sponsored activities and report regularly to the Chancellor on the status of the College’s research enterprise.

Critical Stages of the Grant Process

All grants are subject to several critical review periods. The timetables for these stages will depend on the requirements of the sponsor and the deadlines outlined in the Request for Proposal [RFP] or grant announcement. The stages outlined below will vary depending on the type of grant or project, the requirements of the sponsor, and other criteria established by the Office of Research and Graduate Studies to facilitate the research enterprise of the University.

• Pre-Submission Stage – Consultation with potential faculty and staff participants, the School Directors, and the Office of the Associate Dean for Research and Graduate Studies leading to a draft proposal for review and approval for submission by the Office of Research and Graduate Studies.  During this stage, and as far in advance as practical, the budget is prepared in consultation with the grants management team in the Office of Research and Graduate Studies and must be approved by the Budget Administrator/School Director.  Proposed budgets must list specific personnel, when known.  All course releases, extra compensation plans, and/or related salary issues should be resolved with the Budget Administrator/School Director and Associate Dean for Research and Graduate Studies as early in the proposal process as possible.

• Award Stage – Once the University and the College receive the notice of award, the Office of Research and Graduate Studies will consult with the PI as the contracting process occurs through the Office of Sponsored Programs at University Park.  At the time the budgets are established (usually after the contract is in place), salary distribution forms for all personnel (including faculty) will be prepared at this time and approved by the Budget Administrator/School Director.
• Pre-Completion Stage – Principal Investigator meets with Office of Research and Graduate Studies [Grants Administrator and Associate Dean as required] and the Financial Officer to begin preparation for the closeout of the grant, determine the final budget details, and arrange for reports to sponsors.
• Completion Stage – All documents and deliverables forwarded to sponsor, and all financial reports completed.

Expectations and Procedures

This guideline cannot specify every exigency arising from a preparation or administration of grant or contract. The procedures and expectations outlined below establish the minimum requirements for meeting the objectives of these guidelines.

Pre-Submission

1. All grants and contracts must identify all personnel involved at every stage of the grant and the percent of effort contributed by each individual.
2. All salary requirements must be specified before any proposal is submitted. Such salary requirements as extra compensation, salary savings, provisions for course release, and all other items related to compensation must be included with the original proposal.  All aspects of the budget must be approved by the Budget Administrator/School Director and the Associate Dean for Research and Graduate Studies.
3. Since “matches” are real monies and must be tracked and accounted for, match budgets must be established prior to submission and as the budget is developed. The match budget must be specifically identified for all grants and contracts. That budget must contain information on the source of funds, all fringes benefits/expenses, and allotment. This requirement, which is mandated by federal and state laws, must be approved in writing by the Budget Administrator and by the Associate Dean for Research and Graduate Studies before any proposal is submitted.
4. The Associate Dean for Research and Graduate Studies must review and approve all agreements before submission of any proposal.

Post-Award

1. If the sponsor delays the grant award, if any personnel are to be hired on grant funds, the Budget Administrator must certify that funds are available to support the position[s], identify the source of the funds, obtain approval from the Chancellor’s office if the funds are not available in the academic or research unit. This also applies to fringe benefit costs.
2. The Budget Administrator/School Director is ultimately responsible to ensure that salary and time commitments for all personnel are properly allocated. Salary distribution forms must be approved by the Budget Administrator/School Director after reviewing the salary distribution, the budget sources to be billed for the salary, the specific dates including fiscal years for grants extending beyond a single year, and any other issues related to salary. An Excel spreadsheet or similar mechanism should be used to track the salary distribution in detail for the entire grant period.  Any extra salary compensation must be approved by the Chancellor in advance.
3. The PI and a representative from the research and/or finance office should meet soon after an agreement is signed to review the budget and ensure that the BARA form is processed properly.
4. All faculty and staff must follow the Penn State policies and guidelines regarding exclusions and restrictions imposed by the sponsor. The College will not support unallowed charges for nay project. Such expenses will be billed to the respective academic units or individuals in accordance with applicable University practices.
5. The practice of issuing advance fund numbers will be monitored carefully by the Associate Dean for Research and Graduate Studies. The Associate Dean for Research and Graduate Studies in cooperation with the appropriate College offices will determine the procedures to be followed whenever there are delays with the award, problems with the grant agreement or contract, and other difficulties related to the distribution of compensation.  The Associate Dean, Financial Officer, and the School Director should agree on how to distribute the funds and/or pay salary obligations.  Any central budget charges must be approved the by the Senior Associate Dean and reported to the Financial Officer or delegate.  No grant should remain in “advance” status after official award notification is made.  The individual budget unit rather than the College will be liable for any expenses incurred but not covered when the contract is in place.
6. The PI and the School Director must identify who and how invoices will be prepared, the invoice frequency, and the detail required for payment. Whenever possible, Capital College will use the standard invoice wording in Penn State contracts to ensure that Research Accounting at University Park will handle the invoicing. The College prefers that, whenever possible, Research Accounting should invoice clients or agencies.
7. No PI or administrator is authorized to sign agreements on behalf of Penn State.
8. The office of the Associate Dean for Research and Graduate Studies will review agreements whenever sponsors suggest or require changes to the original agreement or amendments adding any new restrictions or deliverable requirements.

Given the responsibilities of the principal investigators, budget executives, and academic administrators for fostering the research enterprise at Capital College, the overall administrative goals are to comply with all applicable procedures and policies regardless of whether they are covered in this document. A strict adherence to common and reasonable practices will ensure that the College will exhibit exemplary behavior and remain accountable to all its sponsors and constituents.

Reviewed: The Office of Sponsored Programs

Approved: Academic Leadership Council

Revisions: Academic Council March 25, 2009