All-College Policies

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Letter to the Gustavus Community


To the Gustavus Community

We are pleased to share with you our All-College policies. These policies were developed as a guide for members of the campus community.

As members of the College, we play an extremely important role in supporting the goals of the institution. These policies are not intended to be an implied or expressed contract but an informative document. The College may add to the policies or revoke or modify them from time to time. Administration will try to keep this material current, but there may be times when policy will change before this handbook can be revised.

The academic excellence of Gustavus comes about because of a concerted effort on the part of students, faculty and staff to maintain the highest standards and goals in all of our activities. Together we can nourish a campus environment that is respectful to all and is one that ensures that our commitment to the search for excellence will continue long into the future.

Sincerely,
The Office of the Provost

Access to Student Records

Federal law generally prohibits release of student academic records without prior written consent of the student. Without prior consent, however, access is permitted to employees in the same institution who have "a legitimate educational interest." This is interpreted at Gustavus Adolphus College to mean that employees may access personally identifiable information in student education records in order to fulfill their institutionally assigned professional responsibilities.

Employees seeking such access make application to the Registrar of the College, stating the need for and scope of access and the security procedures in place to protect against unauthorized internal or external use after release. Employees granted access are responsible for treating the information with confidentiality.

Approved by the Gustavus Adolphus College Board of Trustees: June 28, 1993.

Alcohol Serving Policy

The College seeks to discourage alcohol abuse and to model the responsible use of alcohol beverages. To this end, alcoholic beverages are served at College-sponsored events only in designated locations and at designated functions.

Alcohol provided for on-campus events (and for off-campus events, whenever possible) will be purchased and supplied by the College Dining Service. Non-alcoholic beverages will generally also be available in sufficient amounts at such events, and care will be taken to ensure that applicable state, federal and local laws and regulations concerning the serving of alcohol are observed. Functions and locations at which alcoholic beverages are served must be approved at least two weeks in advance by the Director of Dining Service and the appropriate divisional vice president. Final approval by the Vice President for Finance is required for all events. Alcohol serving application forms are available from the Dining Service.

Approved by the Administrative Council: February 17, 2004.


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Bereavement Policy

When a death occurs in an employee’s immediate family, all regular full-time and part-time employees may take up to three (3) days off with pay, commensurate and prorated with the employee’s work schedule, to attend the funeral or make funeral arrangements. Please make arrangements with your supervisor regarding days off. Immediate family members are defined as an employee’s spouse, domestic partner, parents, stepparents, sisters, brothers, children, stepchildren, grandparents, father-in-law, mother-in-law, brother-in-law, sister-in-law, son-in-law, daughter-in-law, legal guardian, or grandchild. Gustavus understands the deep impact that death can have on an individual or a family, therefore additional non-paid time off may be granted upon supervisor approval.

Approved by the President's Cabinet: September 5, 2017.


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Cancellation/Delay/Closure Policy

Purpose of Policy

This policy pertains to the decision making process prior to the potential canceling or delaying of college related activities due to threat of inclement weather or other catastrophic event. It also addresses cancellation of ongoing college activities when a potential threat is anticipated or discovered.

Owner(s)

Provost (owner), VP for Student Life and Dean of Students (backup), CFO and VP for Finance and Treasurer (backup), Director of Campus Safety and Associate VP of Facilities Management, Director of Environmental Health, Safety and Risk Management, Associate VP Auxiliary Services, and President’s Cabinet.

Scope

Over 2200 students reside in residential facilities on campus at Gustavus Adolphus College. Therefore, the campus is de facto always “open” even when certain extreme circumstances may force the College administration to cancel or delay College activities such as;

  • Teaching conducted by faculty
  • Work conducted by staff
  • Other activities such as Church service, sporting events, concerts, performing arts or civic events

This policy applies to all on-campus events, including those that are not included on the on-campus calendar and those arranged by on- and off-campus entities.

Process

Information Gathering Phase1: On-campus Campus Safety Staff will initiate the process of considering campus conditions. On-campus Facilities Management and Campus Safety staff shall report details of current campus environmental conditions to their respective department leaders (Associate VP of Facilities Management and Campus Safety Director and/or Assistant Directors). Department leaders shall discuss conditions and communicate a common recommendation to the Director of Environmental Health, Safety and Risk Management. The Director of Environmental Health, Safety and Risk Management shall take this on-campus recommendation, along with information from external sources (i.e., weather radar, road conditions, etc.) and make a recommendation to the Provost, VP for Student Life and Dean of Students and CFO and VP for Finance and Treasurer.

Decision Making Phase: The Provost2 will consider the final recommendation of the Director of Environmental Health, Safety and Risk Management and discuss the recommendation with the VP for Student Life and Dean of Students and the CFO and VP for Finance and Treasurer. In the event of a cancellation/delay/closing recommendation, the Provost shall take into account mandatory functions on campus, weather forecast and DOT recommendations. The Provost will discuss the deliberations with the President prior to issuing a final decision.

Dissemination of Information Phase: Once a decision has been made, the Provost will notify the President’s Cabinet, including the VP for Marketing and Communication and the Associate VP of Auxiliary Services. The Office of Marketing and Communications shall broadcast the final decision within the Gustavus community and to other appropriate external media.

1 This process will begin approximately 4:00 a.m. and conclude with decision and communication, either way, by approximately 5:00 a.m., or as needed to monitor conditions throughout the day.

2 If the Provost is off-campus or unavailable, the VP for Student Life and Dean of Students or CFO and VP for Finance and Treasurer will become the primary Cabinet member/s responsible for the decision-making phase of the process. If questions arise about the academic program/faculty, an Academic Dean will be consulted during the decision-making process.

Cancellation Categories

Type 1: Cancellation/Delay/Closing Due to Weather

  1. Certain employees’ presence on campus is mandatory regardless of cancellation or delay of college functions. Each department leader shall maintain and regularly update a list of such individuals to assure timely communication during these circumstances.
  2. Individuals normally scheduled to work during a time of canceled activities, are expected to be paid for regularly scheduled hours. If the College activities are not canceled and individuals choose to leave early due to inclement weather, the time off should be taken as unpaid leave, vacation, or PTO time with supervisor approval.
  3. In the interest of personal safety, with the exception of those individuals whose presence is mandatory or specifically called upon by a department leader, all other Faculty, Staff, and Administrators shall remain off campus until notified that buildings have reopened and classes and activities have resumed.
  4. The target time to finalize weather related decisions will be between 4:00 a.m. and 5:00 a.m., with announcements prior to the start of official college business hours.

Type 2: Cancellation/Closing Due to Catastrophic Event

  1. When College facilities will be closed, classes cancelled or delayed during a work day due to catastrophic circumstances (chemical spill, major fire, widespread flooding, system outages etc.), announcements will be made as outlined above for weather related closings.
  2. Certain departments or individuals may be requested to remain on duty at the college during emergency closures. In the interest of personal safety, with the exception of those individuals whose presence is mandatory or specifically called upon by a department leader, all other Faculty, Staff, and Administrators shall remain off campus until notified that buildings have reopened, classes and activities have resumed.

Policy Implementation Assistance

Contact the Director of Environmental Health, Safety and Risk Management, Finance Office, Provost Office or Dean of Students for questions and comments on this policy.

Policy Authority

The President’s Cabinet has responsibility for this policy and will obtain necessary approvals and changes to this policy.

Related Policies or References

Administrative and Support Staff Handbook; All College Policies.

Attachments: Flow Chart Links

Approved by the President's Cabinet: October 31, 2017.


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Compensation Certification Policy

As a recipient of federal funds, Gustavus Adolphus College must comply with the Office of Management and Budget’s 2 CFR 200 Uniform Guidance. This regulation provides guidance on the allowability of costs on federal awards and sets forth criteria for charging salaries and wages to grants. Under these federal guidelines, Gustavus must certify compensation on externally funded sponsored activities and document committed cost share.

To comply with these federal regulations, it is the policy of Gustavus Adolphus College to conduct compensation certification for all exempt employees participating in externally funded sponsored activities. Non-exempt employees, including students, certify their compensation by completing their payroll time entry and approval process.

Compensation Certification Process

Research and Sponsored Programs (RSP) will distribute compensation certification forms twice per year, once for work that occurred during the academic year and once for work that occurred during the summer. Academic year certification will occur in early summer; summer certification will occur in early fall.

Principal Investigators and Program Directors (PI/PDs) are responsible for ensuring that the salaries charged to their federal awards and other sources are allowable, allocable, and reasonable. An individual’s institutional base salary must be used to calculate salaries charged to sponsored programs unless a sponsor limits salary charges. The Grant Offices can provide guidance to PI/PDs on these matters.

PI/PDs are responsible for communicating compensation certification requirements to all individuals employed on their sponsored projects, and for helping to ensure that compensation certification for all employed on their sponsored projects is completed in a timely manner. If personnel employed on a sponsored project during a given reporting period are no longer employed by Gustavus, the PI/PD must certify the former employee’s compensation.

The first step in the compensation certification process is the completion of a compensation declaration form prior to undertaking externally funded sponsored activities. This form is a planning document used to estimate effort, monitor budgets, and allocate payroll. Payroll will be based on this estimate.

The second step is the completion of a compensation certification form. This compensation certification form is an official document used to certify that each individual worked on sponsored activities at least as much as they were compensated for by the sponsored funding. This form includes all other activities compensated by the College during each reporting period. All grant-funded employees must certify their own compensation, indicating any deviation in actual effort from that for which they were compensated, and sign the form. In addition, PI/PDs sign a form to certify the compensation of all employees who worked on their externally funded project. If necessary, reallocations or adjustments will be made following receipt of the official compensation certification forms.

Consequences of Non-Compliance

Inaccurate or incomplete compensation certification may result in funding disallowances and lead to sanctions against the responsible individuals, including PI/PDs and all others compensated by sponsored funding who are required to complete compensation certification. Consequences for late submissions of compensation certification documents are as follows:

14 Days Late: The PI/PD and relevant individual will receive an email that includes the consequences of further delay. A copy of the email will be sent to the Director of RSP and, as relevant, their Dean or Vice President (VP), or the Provost or President.

30 Days Late: The PI/PD and relevant individual will receive an email from the Director of RSP and a copy will be sent, as relevant, to their Dean or VP, or the Provost or President. This email will formally outline sanctions for non-compliance with Gustavus policy and indicate that sanctions will be in place at 60 days past due.

60 Days Late: The Provost, relevant VP, or President will send the PI/PD or relevant individual formal notification of non-compliance with Gustavus policy that details sanctions effective upon receipt of the letter.

Sanctions for violations of this policy will be:

  • notice of non-compliance with Gustavus policy placed in the employee’s permanent personnel file;
  • employee will be barred from seeking external funding for a period up to 2 years; and
  • employee will be ineligible for internal grants for a period up to 2 years.

Additional sanctions may be imposed, depending upon circumstances.

Approved by the President’s Cabinet: March 20, 2018.

Conflict of Interest Policy for Committee Participation

Gustavus Adolphus College is committed to ensuring that personnel and other institutional decisions affecting present or prospective faculty, staff, administrators, or students be made fairly and impartially. Faculty, staff, administrators, and students frequently participate in personnel and other institutional decisions by serving on advisory committees. With respect to employees, the recommendations of such committees affect such matters as hiring, retention, promotion, and (with respect to faculty) tenure. In the case of students, such recommendations significantly affect admission to, or continued matriculation at, the College.

All members of the Gustavus community participating in such advisory committees must exercise integrity and objectivity when making decisions. Committee members must be certain that conflicts of interest or other biases do not exist which may interfere with their ability to make an impartial decision. A conflict of interest or bias occurs when a committee member has a financial or personal relationship or interest which impairs the member's ability to be fair and impartial. For example, a conflict of interest may well exist where a committee member will receive an individual financial benefit from a decision or where a committee member has a familial or similar relationship with an individual who may be affected by a decision.

A person serving on a committee may conclude that he or she has an actual (or perceived) conflict of interest or bias and may remove himself or herself from involvement in a particular decision to be made by the committee. A committee member who is not certain whether a conflict of interest or bias exists may bring his or her concern about the conflict or bias to the attention of the appropriate dean, committee chair, or supervisor; in this event, the committee member must disclose enough information to enable the dean, committee chair, or supervisor to consider the matter fairly and openly. If the dean, committee chair, or supervisor determines either that a conflict of interest or other bias (or the appearance of a conflict of interest or other bias) may exist, the committee member shall be excused from participating in making that decision.

A member of the committee or an individual who is the subject of a decision to be made by the committee may also raise a question as to whether a committee member has a conflict of interest or bias which may interfere with that committee member's impartiality. The concerned individual shall bring the matter to the attention of the appropriate dean, committee chair, or supervisor. The dean, committee chair, or supervisor shall discuss the matter with the affected committee member; if the dean, committee chair, or supervisor determines that a conflict of interest or other bias (or the appearance of a conflict of interest or other bias) may exist, the member of the committee shall be excused from participating in making the decision at issue.

A member of a committee who is excused from participating in making a decision in accordance with this policy does not forfeit his or her position as a member of the committee. The fact that an individual has been excused from participation pursuant to this policy shall not prejudice any personnel or other institutional decision made with respect to the committee member.

Adopted by the Gustavus Adolphus College Board of Trustees: January 17, 1994.

Policy Regarding the Use of College Funds to Express Condolences at the Time of a Death or to Recognize an Individual

Upon learning of the death of a current or former member of the College community, including a faculty member, staff member, student, Board member, or donor, an employee should, as soon as possible, alert the Human Resources Office. Similar notification should be made when a spouse, child, or parent of members of the community pass away.

The Human Resources Office will alert employees and offices who need to know of the death, including the Marketing and Communication Office for inclusion in appropriate publications. In addition, Campus Safety will be contacted by the Human Resources Office and the Gustavus Flag will be flown at half-staff for a period of three days in memory of deceased faculty and staff (former and present) and current students. An announcement regarding a death should not be sent unless the person affected, or that person’s family or representative, gives permission.

Further, in the case of the death of a current or former member of the College community, including a faculty member, staff member, student, Board member, or donor, the College typically will send flowers or a fruit basket on behalf of the College. Floral arrangements shall be sent to the funeral home or location of the memorial service or a fruit basket will be sent to the immediate family. In some circumstances when a death has occurred, the family may request a donation in lieu of flowers or a fruit basket. College policy prohibits using institutional funds for charitable donations.

Human Resources or the President’s Office will coordinate arrangements except for the death of a student. In that instance, the Student Life Office will coordinate arrangements.

If departments or individuals would like to send a condolence at the time of a death of a faculty or staff member or a member of their family in addition to the condolence being sent by the College, you are encouraged to do so by using funds personally contributed by members and friends of the department. Similarly, expenditures for gifts or flowers that a department would like to make to recognize a colleague or other community friend or family member on any occasion, i.e., birth, retirement, illness, etc., are encouraged and must be paid for by funds personally contributed by members and friends of the department.

Approved by the President's Cabinet: October 15, 2013.

Consensual Relationships Policy

  1. Employee-Student

Due to the inherent risk of favoritism, conflicts of interest, sexual harassment, and coercion, Gustavus Adolphus College employees are prohibited from engaging in any dating, romantic, or sexual relationship with a currently enrolled Gustavus student. This policy applies even to relationships considered to be consensual. This policy does not apply to previously existing employee/student marriages or domestic partnerships, as defined by College policy, or to a student worker in a consensual relationship with another student over whom they exercise no supervisory or evaluative authority.

An employee who violates this all-college policy will be subject to discipline up to and including dismissal. Furthermore, should any legal claims arise out of a relationship violation of this policy, Gustavus Adolphus will not indemnify the offending employee and will seek to recover its legal fees and expenses incurred to defend such claims.

As with other violations of college policies, anyone who becomes aware of such a relationship is expected to use one of the following reporting mechanisms to share this information:

  1. Employee-Employee

To the extent possible, dating, sexual, or romantic relationships between employees working within the same department or unit should be avoided even when the relationship is considered to be consensual.

Consensual dating, romantic, or sexual relationships between Gustavus Adolphus College employees in a supervisory relationship are prohibited. Where an amorous relationship previously exists or develops during the course of employment, the person in the position of greater authority or power will bear the primary burden of accountability. The superior must ensure that he or she does not exercise any supervisory or evaluative function over the other person in the relationship. In such instances, the superior must promptly notify his or her supervisor or dean in writing of the relationship and the dean or supervisor must implement alternative supervisory or evaluative arrangements.

An employee who fails to follow this policy will be subject to discipline up to and including dismissal. Furthermore, should any legal claims arise out of a relationship violation of this policy, Gustavus Adolphus College will not indemnify an employee accused of harassment or other unlawful conduct and will seek to recover its legal fees and expenses incurred to defend against such claims.

Approved by the Gustavus Adolphus College Board of Trustees: April 22, 2016.

Conflict of Interest and Disclosure of Certain Interest Policy

Policy

This conflict of interest policy is designed to help officers and employees of Gustavus Adolphus College (“the College”) identify situations that present potential conflicts of interest and to provide the College with a procedure which, if observed, will allow a transaction to be treated as valid and binding even though an officer or employee has or may have a conflict of interest with respect to the transaction. The policy is intended to comply with the procedure prescribed in Minnesota Statutes, Section 317A.255, governing conflicts of interest for nonprofit corporations. In the event that there is an inconsistency between the requirements and procedures prescribed herein and those in section 317A.255, the statute shall control. All capitalized terms are defined in Part 2 of this policy.

Guidelines

  1. Conflict of Interest Defined. For purposes of this policy, the following circumstances shall be deemed to create Conflicts of Interest:
    1. Outside Interests.
      1. A Contract or Transaction between the College and a Responsible Person or Family Member.
      2. A Contract or Transaction between the College and an entity in which a Responsible Person or Family Member has a Material Financial Interest or of which such person is a trustee, officer, agent, partner, associate, trustee, personal representative, receiver, guardian, custodian, conservator or other legal representative.
    2. Outside Activities.
      1. A Responsible Person competing with the College in the rendering of services or in any other Contract or Transaction with a third party.
      2. Responsible Persons having a Material Financial Interest in; or serving as a trustee, officer, employee, agent, partner, associate, trustee, personal representative, receiver, guardian, custodian, conservator or other legal representative of, or consultant to; an entity or individual that competes with the College in the provision of services or in any other Contract or Transaction with a third party.
    3. Gifts, Gratuities and Entertainment. A Responsible Person accepting gifts, entertainment or other favors from any individual or entity that:
      1. does or is seeking to do business with, or is a competitor of the College; or
      2. has received, is receiving or is seeking to receive a loan or grant, or to secure other financial commitments from the College;
      3. is a charitable organization operating in Minnesota;
      4. under circumstances where it might be inferred that such action was intended to influence or possibly would influence the Responsible Person in the performance of his or her duties. This does not preclude the acceptance of items of nominal or insignificant value or entertainment of nominal or insignificant value that are not related to any particular transaction or activity of the College.
  2. Definitions.
    1. A "Conflict of Interest" is any circumstance described in Part 1 of this Policy.
    2. A "Responsible Person" is any person serving as an officer or employee of the College.
    3. A "Family Member" is a spouse, domestic partner, parent, child or spouse of a child, brother, sister, or spouse of a brother or sister, of a Responsible Person.
    4. A "Material Financial Interest" in an entity is a financial interest of any kind, which, in view of all the circumstances, is substantial enough that it would, or reasonably could, affect a Responsible Person’s or Family Member’s judgment with respect to transactions to which the entity is a party. This includes all forms of compensation.
    5. A "Contract or Transaction" is any agreement or relationship involving the sale or purchase of goods, services, or rights of any kind, the providing or receipt of a loan or grant, the establishment of any other type of pecuniary relationship, or review of a charitable organization by the College. The making of a gift to the College is not a Contract or Transaction.
  3. Procedures.

    Responsible Persons who are not members of the Board of Trustees of the College, or who have a Conflict of Interest with respect to a Contract or Transaction that is not the subject of Board or committee action, shall disclose to the Chair or the Chair’s designee any Conflict of Interest that such Responsible Person has with respect to a Contract or Transaction. Such disclosure shall be made as soon as the Conflict of Interest is known to the Responsible Person. The Responsible Person shall refrain from any action that may affect the College’s participation in such Contract or Transaction. In the event it is not entirely clear that a Conflict of Interest exists, the individual with the potential conflict shall disclose the circumstances to the Chair or the Chair’s designee, who shall determine whether there exists a Conflict of Interest that is subject to this policy.

  4. Confidentiality.

    Each Responsible Person shall exercise care not to disclose confidential information acquired in connection with such status or information the disclosure of which might be adverse to the interests of the College. Furthermore, a Responsible Person shall not disclose or use information relating to the business of the College for the personal profit or advantage of the Responsible Person or a Family Member.

  5. Review of Policy.
    1. Each new Responsible Person shall be required to review a copy of this policy and to acknowledge in writing that he or she has done so.
    2. Each Responsible Person shall annually complete a disclosure form identifying any relationships, positions or circumstances in which the Responsible Person is involved that he or she believes could contribute to a Conflict of Interest arising. Such relationships, positions or circumstances might include service as a trustee of or consultant to a nonprofit organization, or ownership of a business that might provide goods or services to the College. Any such information regarding business interests of a Responsible Person or a Family Member shall be treated as confidential and shall generally be made available only to the Chair, the President, and any committee appointed to address Conflicts of Interest, except to the extent additional disclosure is necessary in connection with the implementation of this Policy.
    3. This policy shall be reviewed annually by the Board of Trustees. Any changes to the policy shall be communicated immediately to all Responsible Persons.

Approved by the Gustavus Adolphus College Board of Trustees: June 21, 2009.

Disclosure of Misconduct (Whistleblower Policy)

Purpose and Applicability

The purpose of this policy is to set forth the policy of Gustavus Adolphus College (“Gustavus” or “the College”) on disclosure of misconduct and to protect individuals from retaliation in the form of an adverse employment action for disclosing what they believe evidences certain unlawful or unethical practices. This policy is applicable to all employees of Gustavus and to applicants for jobs at the Gustavus.

Statement of Policy

It is the policy of Gustavus that employees and applicants shall be free without fear of retaliation to report conduct within the College that they reasonably believe may constitute misconduct including, but not limited, to the following: wire fraud, mail fraud, bank fraud, securities fraud or questionable accounting and internal controls, auditing matters, harassment, discrimination, hostile workplace, safety and security issues, illegal or unethical business practices, wrongful termination, hate messages, faculty manual violations, administrative and staff manual violations, violations of laws, mismanagement, waste of College resources, and abuse of authority.

A representative of Gustavus shall not take or refuse to take any employment action in retaliation against an employee or applicant who reports possible misconduct under this policy in good faith, or who, following such disclosure, seeks a remedy provided under this policy or any law or College policy. However, employees or applicants who knowingly file false or misleading reports, or without a reasonable belief as to truth or accuracy, will not be protected by this policy, and in the case of an employee, may be subject to discipline, including termination of employment.

Process for Disclosure

  1. An employee or applicant shall disclose all relevant information regarding evidenced misconduct to the President or his/her designee in a signed written document within ninety (90) days of the day on which he or she first knew of the misconduct. If the employee or applicant would rather contact a source outside of the College, he or she may contact the confidential Campus Conduct Hotline service as established by the College (866-943-5787).
  2. The President or his/her designee shall consider the disclosure and take whatever action he or she determines to be appropriate under the law and circumstances of the disclosure.
  3. In the case of disclosure of misconduct involving the President, the disclosure shall be directed to the Chair of the Board of Trustees. The Chair shall consider the disclosure and take whatever action he or she determines to be appropriate under the law and circumstances of the disclosure.
  4. The disclosure recipient will be responsible for:
    1. Ensuring all investigations are carried out in a fair and unbiased manner.
    2. Ensuring that those making complaints and/or reporting compliance concerns are treated fairly, their confidentiality is protected to the extent the law allows, and no retaliation takes place.

Complaints of Retaliation as a Result of Disclosure

  1. If an employee or applicant believes that he or she has been retaliated against in the form of adverse employment action for reporting possible misconduct under this policy, he or she may file a written complaint requesting an appropriate remedy.
  2. For purposes of this policy, an adverse employment action shall be defined as actions including: discharge, demotion, suspension, being threatened or harassed, or in any other manner discriminated against with respect to compensation, terms, conditions or privileges of employment. This policy does not prohibit an employment action that would have been taken regardless of a disclosure of information.

Process for Adjudication of Complaints Stemming from Disclosure

  1. An employee or applicant must file a complaint with the President or his/her designee with ninety (90) days from the effective date of the adverse employment action or from the date on which the employee or applicant should reasonably have had knowledge of the adverse employment action.
  2. Complaints shall be filed in writing and shall include:
    1. Name and address of the complainant;
    2. Name and title of the College’s official(s) against whom the complaint is made;
    3. The specific type(s) of adverse employment action(s) taken;
    4. The specific date(s) on which the adverse employment action(s) were taken;
    5. A clear and concise statement of the facts that form the basis of the complaint;
    6. A clear and concise statement of the complainant’s explanation of how his or her report of possible misconduct is related to the adverse employment actions; and
    7. A clear and concise statement of the remedy sought by the complainant.
  3. Within sixty (60) calendar days of receipt of complaint, the President or his/her designee (or the Chair of the Board of Trustees of Gustavus Adolphus College in the case involving the President) shall consider the written complaint, shall conduct or have conducted an investigation which, in his or her judgment, is consistent with the circumstances of the complaint and disclosure, and shall report to the complainant the conclusions of the investigation absent overriding legal or public interest reasons. The identity of the complainant and the subject of the compliant shall be kept confidential to the extent possible within the legitimate needs of law and the investigation.
  4. The determination shall be in writing and shall include the findings of fact, the conclusions of the investigation, and if applicable, a specific and timely remedy consistent with the findings. The decision of the President or Chair of the Board of Trustees shall be final.

False Allegations of Wrongful Conduct

Any employee who knowingly makes false allegations of alleged wrongful conduct shall be subject to discipline, up to and including termination of employment, in accordance with College rules, policies and procedures.

Policy is Not a Contract

This policy is not a contract and it can be modified at any time, with or without notice. It does not provide greater or lesser rights than applicable law provides.

Approved by the Gustavus Adolphus College Board of Trustees: June 21, 2009.

Drug and Alcohol Policy

Gustavus Adolphus College is concerned for the well-being of all members of its academic community and for the quality of their relationships. One area of that concern involves the use of alcohol and other drugs.

The College does not condone the use of alcohol when prohibited by law. On the contrary, it seeks to foster an atmosphere in which abstinence from alcohol is accepted, respected, and supported. The College also expects individuals and groups to make responsible choices with regard to alcohol use. Careful consideration must be given if alcoholic beverages are to be available at College-sponsored off-campus activities or events where underage individuals are present. While the alcohol and drug policy makes provisions for the consumption of alcohol in conjunction with some special events, participants should be able to participate in all activities planned. Activities with alcohol may segregate those not of legal age from those who are, and this could be counter-productive to the development of community.

The College takes the position that chemical abuse is neither socially nor morally acceptable. It also recognizes the reality of chemical dependency and is aware of its presence in the academic community. We are obliged to help those who could be harmed or inconvenienced as a result of the irresponsible behavior of others. As a part of encouraging responsible lifestyles, Gustavus will strive to provide education about alcohol and other drug use, to encourage responsible choices, and to intervene in situations where it has knowledge of individual misuse and abuse of chemicals.

The College will encourage and provide reasonable help for members of the community who seek treatment for chemical dependency.

The College expresses the following objectives with regard to alcohol and other drugs:

  1. To support and encourage those who choose to abstain from the use of alcohol and other drugs.
  2. To undertake to educate members of the College community regarding the effects of use, misuse, and abuse of alcohol and other drugs.
  3. To formulate and maintain guidelines for appropriate response to the misuse and abuse of alcohol and other drugs.
  4. To expect individuals who use alcohol to act responsibly and respect the rights, needs, and lifestyles of other members of the community.
  5. To sensitize Collegiate Fellows, Head Residents, Peer Assistants, faculty, staff, and students to the implications of chemical use, and especially to the needs of those who misuse or abuse alcohol.
  6. To provide direct assistance and/or referral for those with substance-abuse problems.

Each member of the community is encouraged to support the objectives of this policy. The Dean of Students shall have the primary responsibility for monitoring it for the student body, with primary enforcement provided by Safety and Security and the Residential Life staff. The Dean of Students shall continue to study, develop, and evaluate the program of education for the campus community dealing with the implications of alcohol and drug use. This policy shall be subject to periodic review by the Board of Trustees working together with students, faculty, and administrators for this purpose. Refer also to the Residential Life Policy section on "Alcohol and Other Drugs" for further information on the application of this policy for residence hall living.

Statement of Rules

Any violation of the following rules shall be considered an offense subject to disciplinary action by appropriate authorities. The College reserves the right to request assistance from law enforcement officials where State or local laws are being violated.

  1. Minnesota law and college policy prohibit the possession or consumption of alcoholic beverages by persons under the age of 21. Providing alcohol to a minor, or assisting a minor in any way in obtaining alcohol, is specifically included as inappropriate behavior and is also a violation of State law.
  2. Possession, use, sale or solicitation of illegal substances is prohibited.
  3. State and local laws prohibit the purchase and resale of alcoholic beverages without a license. College policy prohibits the sale of alcoholic beverages on campus.
  4. Promotion on campus (including, but not limited to circulars, posters, campus publications) of consumption of large amounts of alcohol, or of events where drinking is the primary focus, is prohibited.
  5. Consuming or possessing alcohol in an open container in any public campus location is not permitted. The Gustavus Alcohol and Drug Policy allows the serving of alcoholic beverages on campus only under the following conditions:
    1. Designated areas shall be determined and reviewed by the appropriate Vice President or Dean, subject to approval by the President.
    2. The sponsor(s) must sign a request form detailing their event and indicating that they have received the statement: "Responsibilities of a Sponsor of a Social Event at which Alcoholic Beverages are Served."
    3. The request for use of a designated area must be submitted to the appropriate Vice President or Dean at least seven (7) days prior to the event.
    4. The event must be confined to the designated area.
    5. The event must be confined to the times listed on the application, and the type and amount of alcoholic beverage limited to what is specified beforehand. Non-alcoholic beverages must be continuously available in a similar manner as the specified alcoholic beverage for underage guests and those wishing to abstain.
    6. Serving of alcoholic beverages must be in conjunction with a reasonable amount of food.
    7. Those sponsoring the event are responsible for insuring that only those of legal age consume alcohol, and that consumption takes place in the designated area only.
    8. The sponsors will be responsible for returning the area to its prior condition.

For application forms or more information about the designated area policy, contact the Dean of Students Office.

Alcohol Policy revised and approved by the Board of Trustees, June 28, 1985; revised July 2, 1986, and July 21, 1987, to comply with changes in State law; revised and approved by the Board of Trustees, June 27, 1994.

Drug-Free Workplace Policy

In accordance with the "Drug-Free Workplace Act of 1988" (Public Law No. 100-690, 5151-5160), effective March 18, 1989, Gustavus Adolphus College is hereby notifying its employees that the unlawful manufacture, distribution, dispensing, possession or use of a controlled substance is prohibited at Gustavus Adolphus College and in the course of any activities performed in conjunction with the employee's work-related responsibilities. Although the "Drug-Free Workplace Act" requires that only those employees "Directly engaged in the performance of work pursuant to the provisions of the federal grant or contract" abide by this policy, Gustavus Adolphus College has elected to include all employees under this policy.

(Controlled substances are defined in schedules I through V. of section 202 of the Controlled Substances Act (21 U.S.C. 812) and are further defined by the regulation at 21 DFR1300.11 through 1300.15). It is important to note that not only is the use of illegal drugs unlawful, but also the illegal dispensing of legal (prescription) drugs. Alcohol and tobacco are not included in this law.

As a condition of employment at Gustavus Adolphus College, all employees will abide by the terms of the College's "Drug-Free Workplace Policy" and will notify the College of any criminal drug statute conviction for a violation occurring in the workplace no later than five days after such conviction. Employees found in violation of the prohibitions set forth in the policy will be subject to disciplinary actions which may include suspension or dismissal.

Employees who are convicted of a violation in the workplace or while engaged in work-related responsibilities may be required to participate in a drug abuse assistance or rehabilitation program approved for such purposes by a federal, state, or local health, law enforcement, or other appropriate agency. Appropriate personnel action shall be taken against such convicted employee up to and including termination of employment within 30 days of receiving notice of conviction.

Employees are also urged to attend one of the drug-free awareness programs which will be available at different times throughout the year. Other parts of the drug-free program may include drug counseling and employee assistance programs.

Implemented: March 18, 1989. Reviewed by the Gustavus Adolphus College Board of Trustees: June 28, 1993.


Employee Technology Use Policy

Purpose of Policy

Computers and other information technology resources are essential tools in accomplishing the work of the College. Information technology resources are valuable community assets to be used and managed responsibly to ensure their integrity, confidentiality, and availability for appropriate research, education, outreach, and administrative objectives of Gustavus. College employees are granted access to these resources in support of advancing the College’s mission. This policy is constructed in a way to allow for complete academic freedom to exist, as outlined in the Faculty Manual Appendix A, while maintaining the integrity of the college’s technology resources. In the use of technology resources, College employees must follow College policies and federal, state and local laws. These include but are not limited to policies and laws related to information security, data privacy, commercial use, and those that prohibit harassment, theft, copyright and licensing infringement, and unlawful intrusion and unethical conduct.

Owner(s)

Director of Gustavus Technology Services and CFO, VP of Finance and Treasurer, Provost and faculty, staff and students employed by Gustavus Adolphus College.

Scope

The purpose of this policy is to outline the acceptable use of technology resources at the College in order to comply with legal and contractual requirements, safeguard these resources, and protect the College against damaging legal consequences that could result from unacceptable use.

1.0 Acceptable Use

Technology resources provided by Gustavus Adolphus College are intended to be used for the work and activities directly associated with employment. In their use of technology resources, employees should respect the rights of other users, avoid actions that jeopardize the integrity and security of information technology resources, and comply with all pertinent licensing and legal requirements.

Employees must comply with applicable contractual agreements and licensing agreements.

Gustavus Technology Services will determine and authorize use of technology resources in collaboration with Gustavus Vice Presidents or designees. Employees must use only technology resources they are authorized to use and only in the manner and to the extent authorized. Ability to access information technology resources does not, by itself, imply authorization to do so.

Users are responsible for protecting their College-assigned accounts and authentication (e.g., password) from unauthorized use. User passwords should be unique, secure, and never shared with others, including other Gustavus Adolphus College users.

Employees are responsible for the content of their personal communications and may be subject to liability resulting from those communications. The College accepts no responsibility or liability for any personal or unauthorized use of its resources by employees. Employees should be aware that communications sent from Gustavus Adolphus College-owned devices or accounts could be construed as representing a College position.

Copyright

Copyright is a form of protection provided by the laws of the United States (title 17, U.S. Code) to the authors of original works of authorship including literary, dramatic, musical, artistic, and certain other intellectual works. This protection is available to both published and unpublished works. Employees should assume materials found on the Internet are copyrighted unless a disclaimer or waiver is expressly stated or the material that is clearly in the public domain (e.g. published before 1923 or a U.S. federal 43 document).

Some examples of copyright violations would include:

  • Displaying pictures or graphics you have not created yourself.
  • Offering sound recordings you have not produced yourself.
  • Using programs to distribute copyrighted files.
  • Placing any materials owned by others on your web page (or any other medium) without the expressed permission of the original owner.
Fair Use

In some circumstances the use of a copyrighted work may be considered a 'fair use.' For more information see:

2.0 Unacceptable Use

Employees are not permitted to share authentication details or provide access to their College accounts to anyone else.

Employees must not circumvent, attempt to circumvent, or assist another in circumventing the security controls in place to protect information technology resources and data.

Employees must not knowingly download or install software onto College information technology resources which may interfere with or disrupt service, or does not have a clear business or academic use.

Employees are prohibited from willingly engaging in activities that interfere with or disrupt network users, equipment or service; intentionally distribute viruses or other malicious code; or install software, applications, or hardware that permits unauthorized access to information technology resources.

Employees must not engage in inappropriate use, including but not limited to:

  • Activities that violate state or federal laws, regulations or College policies.
  • Widespread dissemination of unsolicited and unauthorized electronic communications.

Employees must avoid excessive use of system information technology, including but not limited to network capacity.

Excessive use means use that is disproportionate to that of other users, or is unrelated to academic or employment-related needs, or that interferes with other authorized uses. Individual divisions within the College (e.g., academic affairs) may require employees to limit or refrain from certain activities in accordance with this provision.

Gustavus discourages the installation of personal software and files on College technology resources that are not directly associated with the work and activities of the College. Gustavus Technology Services is unable to support any personally installed software unrelated to work and activities of the College. Gustavus Technology Services assumes no obligation to transfer or retain any personally licensed software, personal files, or other non-college information or materials.

3.0 Privacy and Security Measures

Employees must not violate the privacy of other technology users. Technical ability to access others’ accounts does not by itself imply authorization to do so.

The College takes reasonable measures to protect the privacy of its information technology resources and accounts assigned to individuals. However, the College does not guarantee absolute security and privacy. Users should be aware that any activity on information technology resources may be monitored, logged and reviewed by College-approved personnel, or may be discovered in legal proceedings. Circumstances under which such review and discovery may occur are described immediately below.

Responsibility for protecting the College's resources and data is a shared responsibility by all employees and Gustavus Technology Services. Gustavus Technology Services treats the contents of individual assigned accounts and personal communications as private and does not examine or disclose the content except:

  • as required for system maintenance, including security measures;
  • when there exists reason to believe an individual is violating the law or College policy; and/or
  • as permitted by applicable policy or law.

Before disclosing the contents of individual files or reassigning the ownership of a user’s account, GTS is required to receive authorization from two Gustavus Vice Presidents that a credible reason exists to take this action.

Employees may add additional measures for protection of information if required by grants or research agreements. If additional protection is added to College technology resources, system administrators must be given access to those resources upon request.

Employees should ensure the security and confidentiality of Gustavus’ data and student information. Student records are subject to heightened confidentiality requirements through legislation such as the Family Educational Rights and Privacy Act (FERPA). College-owned computers are issued with software tools that encrypt data stored on the machines; employees should not disable these tools. When sharing confidential and protected data, all employees should do so using a secure method approved by the College. Confidential Gustavus data or student records should not be created, downloaded or saved to any device in an unprotected format.

The College reserves the right to employ security measures. When it becomes aware of violations, either through routine system administration activities or from a complaint, it is the College's responsibility to investigate as needed or directed, and to take necessary actions to protect its resources and/or to provide information relevant to an investigation.

4.0 Enforcement

Individuals who use information technology resources to violate a College policy, law(s), contractual agreement(s), or violate an individual’s rights, may be subject to limitation or termination of user privileges and appropriate disciplinary action, legal action, or both. Alleged violations will be referred to the appropriate College office or law enforcement agency.

The College may temporarily deny access to information technology resources if it appears necessary to protect the integrity, security, or continued operation of these resources, or to protect itself from liability.

Help with this Policy

Contact the Director of Gustavus Technology Services for questions and comments on this policy.

Policy Authority

The Director of Gustavus Technology Services has responsibility for this policy and will obtain necessary approvals and changes to this policy.

Related Policies or References

Administrative and Support Staff Handbook; All College Policies.

Approved by the President's Cabinet: August 29, 2017.

Facilities and Administrative Costs Recovery Policy

  1. Policy
    This policy sets forth guidelines for requesting facilities and administrative costs reimbursement on externally funded projects and programs.
  2. Purpose
    Externally funded research, scholarship, and creative activities enhance the reputation of the College, benefitting both the careers of faculty and staff and the education of students who participate or are impacted by the externally funded work. These projects and programs incur both direct and indirect costs, the latter of which are recovered by applying a rate to the budget request portion of a funding proposal.
  3. Scope
    This policy applies to all faculty, staff, and students who apply for and receive external funds for research or other sponsored projects including grants, service agreements, contracts and other similar agreements.
  4. Definitions and Rates
    Facilities and Administrative Costs (F&A) are real costs incurred by the College. These indirect costs represent the expenses of doing business that are not readily identified with a particular grant, contract, project function or activity, but are necessary for the general operation of the College and the conduct of activities it performs. The Facilities portion of F&A includes costs such as those associated with facility operation and maintenance costs, depreciation, and library expenses. The Administrative portion of F&A includes costs such as those associated with campus safety, human resources, finance, sponsored programs administration, and offices of the Provost and President.

    The US Office of Management and Budget – 2 CFR 200 – outlines the cost principles under which institutions recover indirect costs incurred from sponsored projects. Gustavus Adolphus College’s F&A rate is periodically negotiated with our cognizant Federal agency, the Department of Health and Human Services.

    The College’s F&A rate agreement specifies salaries and wages (excluding benefits) as the base on which the rate is charged. There are two rates, one for on campus programs and another for off campus programs. The off campus rate is reserved for instances in which more than 50% of a project is performed off campus in facilities not owned by the institution and to which rent is directly allocated to the project.

  5. Guidelines
    It is the expectation of the College that all externally funded sponsored program budgets will include a request for reimbursement of F&A costs regardless of whether or not the sponsor is a federal entity. Some exceptions apply (see section VI). Any request for a reduction in the rate or a waiver must be approved in advance by the Provost and the Vice President for Finance and Treasurer. The Principal Investigator or Project Director (PI/PD) should submit and Facilities and Administrative Cost Recovery Reduction Request form to the Grants Office no later than 10 business days prior to the submission deadline. Requests will not be granted for the following reasons:
    • the award does not provide adequate direct costs for the scope of work;
    • failure to include F&A in a proposal budget without obtaining required prior approval;
    • to make the College’s application more competitive.
    In instances where prior approval was not received and an award includes a reduced F&A rate the PI/PD will be responsible for the unrecovered indirect costs. These may be covered by a via a department budget, an unrestricted endowed line associated with the PI/PD, or other means. If being paid by a Gustavus restricted or unrestricted fund, approval by the Provost’s Office or supervisor is required and should be submitted to the Grants Office prior to spending any grant funds.

  6. Exceptions
    The following are exceptions for which the federally negotiated F&A rate does not apply. In these cases, a base other than salaries and wages may be used based on sponsor guidance, for example total direct costs, or modified total direct costs.
    • The sponsor has a published rate that is either lower than the College’s rate or a rate that is applied to an alternative base, for example 15% of total direct costs. This rate must appear in the sponsor’s written guidelines, published on their website, or confirmed in a letter from an authorized official. This rate must be uniformly applied to all entities seeking funding from that agency for the relevant funding opportunity.
    • The program limits the F&A. A common example would be training grants issued by the US Department of Education.
    • When an award is transferred to Gustavus Adolphus College from another institution and Gustavus’ F&A rate is higher, the College will adjust the rate, as needed, so funds designated for direct costs in the original budget remain available to the project.

Approved by the President’s Cabinet: October 11, 2016.

The Family Educational Rights and Privacy Act

Gustavus Adolphus College accords its students all rights under The Family Educational Rights and Privacy Act (FERPA) of 1974, and will annually notify students and their parents of their rights pursuant to FERPA through notifications in the College Catalog, Gustavus Guide, and Information Please. The College will not disclose information from students' education records without the written consent of students except to personnel within the institution, to officials of other institutions in which students seek to enroll, to persons or organizations providing students financial aid, to accrediting agencies carrying out their accreditation function, to persons in compliance with a judicial order, and to persons in an emergency in order to protect the health or safety of students or other persons.

At Gustavus only those persons acting in the students' educational interest are allowed access to student education records. These include personnel in the offices of the Dean of Students, Dean of the Faculty, Registrar, Admissions, Academic Advising, Student Financial Assistance, Career Services, and to faculty members within the limitations of their need to know.

At its discretion, the institution may provide directory information in accordance with the provisions of the Act to include: student name, address, telephone number, date and place of birth, major field of study, dates of attendance, degrees and awards received, the most recent previous educational institution attended, participation in officially recognized activities and sports, and weight and height of members of athletic teams.

Students may withhold directory information by filing the appropriate form with the Registrar within two weeks after the first day of classes for the fall semester. Request for nondisclosure will be honored by the institution for only one academic year; therefore, authorization to withhold directory information must be filed annually.

Students may inspect their education records, challenge any contents, have hearing if the outcome of the challenge is unsatisfactory, and submit explanatory statements for inclusion in their files if they feel the decisions of the hearing panel are unsatisfactory.

Student education records at Gustavus are maintained in the offices of the Dean of Students, Registrar, Student Financial Assistance, and Career Services.

Students wishing to examine their education records must make written requests to the appropriate office listing the item or items of interest. Only records covered by the Act will be made available, within thirty days of the requests. Students may have copies made of their records, except for an academic record for which a financial "hold" exists, or a transcript of an original or source document. Copies will be made at the student's expense at prevailing rates.

Education records do not include records of instructional, administrative, and educational personnel which are the sole possession of the maker and are not accessible or revealed to any individual except a temporary substitute, records of the security department, student health records, employment records, or alumni records. Health records, however, may be reviewed by physicians of the students' choosing.

Students may not inspect the following as outlined by the Act: financial information submitted by their parents; confidential letters and recommendations associated with admissions, employment, job placement, or honors to which they have waived their rights of inspection; or education records containing information about more than one student, in which case the College will permit access only to that part of the record which pertains to the inquiring student.

The College is not required to permit students to inspect and review confidential letters and recommendations placed in their files prior to January 1, 1975.

Students who believe that their education records contain information that is inaccurate or misleading may discuss the matter with the chief administrator of the office involved. If that person is in agreement with the students' requests, the appropriate records will be amended. If not, the students will be notified within a reasonable period of time that the records will not be amended and be informed of their rights to a formal hearing.

Requests for a formal hearing must be made in writing to the Dean of Students who, within a reasonable period, will inform students of the date, place, and the time of the hearing. Students may present evidence relevant to the issues raised and may be assisted or represented at the hearing by one or more persons of their choice, including attorneys, at the students' expense. The hearing panel will be comprised of the students' faculty adviser, a representative of the Dean of Students, and the Dean of the Faculty/Vice President of Academic Affairs.

Decisions of the hearing panel will be based solely on the evidence presented at the hearing, will consist of written statements summarizing the evidence and stating the reasons for the decisions, and will be delivered to all parties concerned. The education records will be corrected or amended in accordance with the decisions of the hearing panels, if the decisions are in favor of the students. If the decisions are unsatisfactory to the students, the students may place with the education records statements commenting on the information in the records, or statements setting forth any reasons for disagreeing with decisions of the hearing panels. The statements will be released whenever the records in question are disclosed.

Students who believe that the adjudications of their challenges were not in keeping with the provisions of the Act may request, in writing, assistance from the President of the College. Further, students who believe that their rights have been abridged, may file complaints with The Family Educational Rights Privacy Act Office (FERPA), Department of Health, Education, and Welfare, Washington, D.C. 20201, concerning the alleged failures of Gustavus to comply with the Act.

Approved by the Gustavus Adolphus College Board of Trustees: June 28, 1993.

The Family and Medical Leave Act

(See also the Parental Leave Policy)

Under the provisions of the Family and Medical Leave Act (FMLA) the College provides eligible employees with up to twelve weeks of unpaid leave in a twelve-month period for the purpose of birth, adoption, or foster care placement; medical care of a child, spouse, or parent, or when the employee has a serious health problem.

For purposes of calculating FMLA leave, the College uses a rolling twelve-month period looking backward. For example, if an employee used four weeks of FMLA leave beginning February 1, four weeks beginning June 1, and four weeks beginning December 1, the employee would not be entitled to any additional FMLA leave until the following February 1, at which time the employee would be entitled to four weeks of FMLA leave. On the subsequent June 1, the employee would be entitled to another four weeks of FMLA leave, and so on.

To be eligible for a FMLA leave, an employee must have been employed for a total of twelve months and must have worked at least 1250 hours during the twelve-month period preceding the commencement of the leave. Employees exempt from overtime requirements of the Fair Labor Standards Act are presumed to have worked the required hours unless the College clearly demonstrates that the employee did not work the required amount during the preceding twelve months.

The College will require a medical certification to support requests for a medical leave. For an employee's own medical leave, the certification must include a statement that the employee is unable to perform the functions of his or her position. In cases of illness, the employee may be required to report periodically on his or her leave status and intention to return to work, and may require periodic recertification of the medical condition. An employee taking leave due to the employee's serious health condition is required to obtain certification that the employee is able to resume work prior to the return from the medical leave. For leave to care for the medical needs of a child, spouse, or parent, the certification must include an estimate of the amount of time the employee is needed to provide care.

If leave is requested on an intermittent basis, the College may require the employee to transfer temporarily to an alternative position which better accommodates recurring periods of absence or a part-time schedule, provided that the position has equivalent pay and benefits.

Employees who have vacation, sick leave, or paid parental leave available may be required to use their paid leave during a FMLA leave.

Any employee who is granted a FMLA leave is advised to provide for the retention of his or her group insurance coverage by arranging to pay the premium contributions during the period of unpaid absence. In the event that an employee elects not to return to work upon completion of an approved unpaid leave of absence, the College may recover from the employee the cost of any payments made to maintain the employee's coverage, unless the failure to return to work was for reasons beyond the employee's control. Vacation and sick leave accruals will be calculated as of the last paid work day prior to the start of the unpaid leave of absence.

A request for Family and Medical Leave of Absence should be originated and signed by the employee, submitted to the immediate supervisor, and forwarded through the appropriate Vice President or Dean to the Human Resources department. If possible, the form should be submitted thirty days in advance of the effective date of the leave. All agreements on the leave, including extensions, should be in writing. Upon return to work at the end of the leave, the employee will be reinstated to the same or a comparable position without loss of status, pay, or accrued benefits.

Approved by the Gustavus Adolphus College Board of Trustees: October 17, 1994.


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Financial Conflict of Interest Policy

1. Introduction

Federal regulations require the disclosure of Significant Financial Interests (SFI) from all Investigators upon submission of a proposal for funding to any Public Health Service (PHS) entity, which includes the National Institutes of Health (NIH), and prior to expenditure of any funds under an award from the National Science Foundation (NSF). Gustavus Adolphus College (the College) is responsible for determining whether any SFI represents a Financial Conflict of Interest (FCOI) and managing such conflicts.

It is the policy of the College to require Investigators seeking external funding from any government entity, or any other entity that has implemented these federal standards, to disclose SFI that reasonably appear to be related to their institutional responsibilities when applying for grant funds, as well as during the award period.

2. Definitions

Investigator refers to any person who is responsible for the design, conduct or reporting of research or educational activities funded or proposed for funding. In this context the term “Investigator” includes the Investigator’s spouse and dependent children.

A significant financial interest consists of financial interests that reasonably appear to be related to the investigator’s institutional responsibilities:

a) with regard to any publicly traded entity, a SFI exists if the remuneration received in the 12 months preceding the disclosure, and the value of any equity interest as of the date of disclosure, exceeds $5,000. “Remuneration” includes (i) salary, and any payments for services such as consulting fees or honoraria, paid authorship, reimbursed or sponsored travel and (ii) equity interest includes any stock, stock option, or other ownership interest.
b) with regard to any non-publicly traded entity, a SFI exists if the value of any remuneration received in the 12 months preceding the disclosure, and the value of any equity interest as of the date of disclosure, exceeds $5,000, or when the investigator holds any equity interest.
c) intellectual property rights and interests such as patents or copyrights, upon receipt of income related to such rights and interests.

An investigator also must disclose the occurrence of any reimbursed or sponsored travel (i.e., that which is paid on behalf of and not reimbursed to the investigator so that the exact monetary value may not be readily available) related to their institutional responsibilities, provided, however, that this disclosure requirement does not apply to travel that is reimbursed or sponsored by excluded sources provided in the federal regulation.

Significant financial interest does not include:

  1. salary, royalties, or other remuneration paid by the institution to the investigator if the investigator is currently employed or appointed by the Institution;
  2. intellectual property rights assigned to the institution and agreements to share in royalties related to such rights;
  3. income from seminars, lectures, teaching engagements, or service on advisory committees or review panels sponsored by a governmental agency, an Institution of higher education, or a research institute affiliated with a higher education Institution.

A Financial Conflict of Interest exists if SFI could directly and significantly affect the design, conduct, or reporting on federally-funded research.

3. Policy

Disclosure of Significant Financial Interests

Each Investigator who is planning to participate in a federally funded project must complete the Disclosure of Significant Financial Interests form and attach required supporting documentation. This form must be completed and submitted to Research and Sponsored Programs by the time a proposal is submitted. Investigators are required to update their financial disclosures within thirty (30) days of discovering or acquiring (e.g., through purchase, marriage, or inheritance) any new Significant Financial Interest; and, if awarded, annually by the anniversary date of any identified FCOI.

Collaborators

Any collaborator who can be defined as Investigator must either comply with Gustavus policies or certify to the College that their institution has policies that are in compliance with applicable regulations and agree to provide associated documentation.

Review of Financial Disclosures and Management of Financial Conflicts of Interest

The Director of Research and Sponsored Programs will review all financial disclosures reported by each Investigator and, in consultation with the External Funding Advisory Council and, as needed, others with relevant expertise, determine whether a conflict of interest exists. If a determination is made that a conflict of interest exists, the Director of Research and Sponsored Programs, in consultation with the External Funding Advisory Council, other experts as needed, and the Investigator, will determine what actions should be taken by the College to manage, reduce or eliminate any identified conflict of interest.

Conditions or restrictions that might be imposed by the College to manage, reduce or eliminate actual or potential conflicts of interest include:

  • Public disclosure of Significant Financial Interests;
  • Monitoring of research by independent reviewers;
  • Modification of the research plan;
  • Disqualification from participation in the portion of the funded research that would be affected by the Significant Financial Interests;
  • Divestiture of Significant Financial Interests; or
  • Severance of the relationships that create actual or potential conflicts.

To address complex situations, oversight committees may be established by the Director of Research and Sponsored Programs to periodically review the ongoing activity, to monitor the conduct of the activity, to ensure open and timely dissemination of the research results, and otherwise oversee compliance with the College’s imposed management plan.

Training

Investigators funded by PHS entities must complete training related to this policy:

  • prior to engaging in research;
  • at least every four years thereafter; and
  • immediately, if:
    o the College amends the policy,
    o an Investigator is new to the College, or
    o an Investigator is not in compliance with the policy or management plan.

Investigators should consult with the Director of Research and Sponsored Programs about training options accepted by the College.

Reporting

The College will follow reporting guidelines set forth in the regulations of the federal funding agency. For example, all FCOI will be reported to the PHS sponsoring agency within 60 days of the original disclosure. The College will make information concerning FCOIs held by Investigators publically accessible as required by federal regulations.

Non-Compliance

Sanctions for non-compliance with the requirement to disclose Significant Financial Interests will be:

  • notice of non-compliance with Gustavus policy placed in the employee’s permanent personnel file;
  • employee will be barred from seeking external funding for a period up to 2 years; and
  • employee will be ineligible for internal grants for a period up to 2 years.

Additional sanctions may be imposed, depending upon circumstances.

Sanctions for non-compliance with any management plan put in place for a Financial Conflict of Interest will be:

  • notice of non-compliance with Gustavus policy placed in the employee’s permanent personnel file;
  • employee will be barred from seeking external funding for a period up to 2 years;
  • employee will be ineligible for internal grants for a period up to 2 years;
  • notification of non-compliance sent to the sponsoring agency as required; and
  • termination of the award.

Additional sanctions may be imposed, depending upon circumstances. In such cases, the Director of Research and Sponsored Programs and the External Funding Advisory Council will submit recommended sanctions to appropriate members of Cabinet for approval.

Records

Research and Sponsored Programs shall maintain records of all financial disclosures, completed trainings, and of all actions to resolve conflicts of interest for at least three years beyond the close of the grant, or until the resolution of any action involving those records, whichever is longer.

Approved by the President's Cabinet: November 27, 2018.

Fundraising Guidelines for Faculty, Staff and Campus Organizations

      1. Purposes

        1. To distinguish between (a) fundraising efforts in which Gustavus Adolphus College (hereafter “the College”) is an intended beneficiary and (b) fundraising activities in which the College is not a beneficiary but members of the College community may be participants,
        2. To set limits and offer assistance for members of the Gustavus Adolphus College community who wish to engage in fundraising activities outside those conducted in support of the College’s established priorities for philanthropic support,
        3. To clarify the College’s legal, fiduciary and moral responsibilities for acknowledging and stewarding the gifts it receives, and
        4. To provide education and guidance that will help prevent actions that could jeopardize Gustavus Adolphus College’s tax-exempt status.
      2. Background

        1. The Office of Institutional Advancement

          The purpose of the Office of Institutional Advancement is to enable Gustavus Adolphus College to fulfill its mission by communicating its distinctiveness, facilitating life-long relationships and securing human and financial resources. Accordingly, the Office of Institutional Advancement must strive at all times to ensure that its policies and procedures are in compliance with local, state and federal regulations in regard to the solicitation and acceptance of gifts. Any deviation from the Internal Revenue Code could result in fines, public embarrassment and/or the loss of the College’s tax-exempt status.

          For these and many other reasons, all fundraising requests made in the name of Gustavus Adolphus College must be approved in advance by the Vice President for Institutional Advancement or the Vice President’s designate.

        2. Gustavus Adolphus College’s Tax-Exempt Status

          The ability of Gustavus Adolphus College to seek and receive philanthropic gifts and grants is dependent upon the continuing recognition of its tax-exempt status by the IRS. The College must protect this status by abiding by all relevant laws and regulations, including using its tax-exempt status solely for its own benefit and by not sharing it with other organizations. The Office of Institutional Advancement is charged by the College with responsibility for monitoring and protecting its tax-exempt status.

      3. Policy

        This Policy shall apply to any and all members of the Gustavus Adolphus College community, as well as to any other individuals or organizations who may represent themselves to be members of the College community or who claim to be acting on behalf the College. This Policy does not apply to members of the College community when they are engaged in fundraising activities for other organizations and/or when they have explicitly stated that their fundraising activities are unrelated to the College.

        1. Definition of “College Fundraising” Activities

          A College fundraising activity is one that employs the name, image or reputation of Gustavus Adolphus College in an effort to secure financial contributions and also meets at least one of the following criteria:

          • The activity claims to be for the benefit of Gustavus Adolphus College,
          • The activity does in fact benefit the College,
          • Checks will be made payable to Gustavus Adolphus College,
          • Donors will expect gift receipt for tax purposes or will be promised a gift receipt.
        2. Advance Approval of Fundraising Activities

          All fundraising activities meeting the definition of “College fundraising activity” (see Section C1 above) must be approved in advance by the Vice President for Institutional Advancement or the Vice President’s designate.

        3. Gift Receipting

          The only College office authorized to issue an official gift receipt on behalf of Gustavus Adolphus College is the Office of Institutional Advancement. Such receipts will be issued only when a donor’s gift has been given for a purpose consistent with the College’s mission and when the donor has not retained any control over the gift’s use or demanded goods or services in consideration for their gift.

        4. Process for Seeking Approval

          Any potential fundraising activities on behalf of a College program or initiative must first be formally communicated to the appropriate divisional director or vice president before a request for assistance is directed to the Office of Institutional Advancement. Examples of proposed fundraising activities might include, but are not limited to: departmental grants, underwriting of conference participation, sponsorship of an on-campus symposium, student or faculty travel, equipment, or departmental awards and banquets.

          If a divisional director or vice president, or their designate, endorses a proposed fundraising project, it may then proceed to the Office of Institutional Advancement.

        5. Appeal Process

          Any fundraising activity or solicitation that is not approved by the Office of Institutional Advancement may be appealed, in writing, to the Vice President for Institutional Advancement.

        6. Counsel and Training

          The Institutional Advancement staff will offer assistance to members of the College community interested in advancing the College through fundraising techniques; however, no formal planning for specific fundraising projects will be conducted without the approval of the appropriate vice president(s). Once approval for a fundraising activity is received, the Institutional Advancement team is available to consult with faculty, staff and student leaders on strategies and tactics for their College-endorsed initiatives. Responsibilities for follow through will also be assigned and an appropriate Institutional Advancement contact person may be identified.

        7. Lists of Donors and Potential Donors

          The Office of Institutional Advancement will not share lists of donors or other constituents with individuals and organizations. The lists will be processed and sent directly to the mailroom for completion. The College will honor the wishes of donors who ask that their giving to the College be anonymous.

        8. Processing of Gifts

          Contributions received in response to an approved fundraising initiative must be submitted to the Office of Institutional Advancement within 48 hours. Cash contributions must be accompanied by the original envelope in which they are received. The donor’s name and address must be clearly written on the envelope.

      4. The College and Non-College Fundraising Initiatives

        The College is aware that students and employees often engage in fundraising activities for which the College is not the intended beneficiary. These activities may range from campus-based efforts to raise funds for groups such as the Susan G. Komen Breast Cancer Foundation or Habitat for Humanity to employee or student participation in their local churches or clubs.

        As stated above, when the activities are intended to benefit Gustavus Adolphus College, they must be approved in advance by the Vice President for Institutional Advancement or the Vice President’s designate. When an activity is not intended to benefit Gustavus Adolphus College, administrative approval is not required, but the utmost care must be taken to make that distinction clear and to not lead outsiders to believe the activity is a College-supported effort.

        1. Actions that suggest College participation and support:
          • Asking that checks be made payable to Gustavus Adolphus College
          • Employing the College’s name or logo in promotions or solicitations
          • Using College stationery
          • A volunteer stating, “As a Gustavus Adolphus College student/faculty/staff member, I am asking you….”
        2. Actions that avoid confusion:
          • Stating that “This is an event that will benefit [Name of Charity]”
          • Asking that checks “Be made payable to [Name of Charity]”
          • Stating that “This event is not affiliated with Gustavus Adolphus College”
        3. When is College Approval Needed?

          Here is a simple test to determine if College approval is needed: If it appears that the contemplated fundraising activity cannot be conducted without making contribution checks payable to Gustavus Adolphus College, then the activity is one that will require prior approval by the Vice President for Institutional Advancement or the Vice President’s designate and organizers should follow the process outlined in Section C.4. above.

        4. Prohibited Activities

          Even when a fundraising activity is not one that benefits the College directly or is sanctioned by the College, members of the College community are prohibited from engaging in the following tactics and activities:

          • Using home addresses from the College telephone directory to compile calling or mailing lists*
          • Using the Gustavus Adolphus College Alumni Directory to compile calling or mailing lists*
          • Using one’s status as a Gustavus Adolphus College employee or student to secure a gift commitment
          • Using “blast e-mails” on the campus intranet system to solicit gifts
          • Conducting lotteries or similar games of chance, which the State of Minnesota defines as gambling.

          * Note: The publishers of these directories also consider these activities to be violations of their copyrights.

Approved by the President’s Cabinet: November 10, 2010.

Policy Against Harassment

I. Introduction

Gustavus Adolphus College aspires to be a community of persons from diverse backgrounds who respect and affirm the dignity of all people. As such, and consistent with our core values and civic responsibilities, respect for each individual is central to how we conduct our work and build relationships within our community. Therefore, harassment, discrimination, and behavior that fails to respect the dignity of another are not compatible with this shared vision of our identity and mission as a liberal arts, residential, Lutheran college.

The policy of Gustavus Adolphus College is that every employee has the right to work and every student has the right to study in an environment free from harassment. Harassment based on race, religion, sexual orientation (in accordance with provision of the Minnesota Human Rights Act), natural origin, disability, age or any other protected class status, may violate state and federal law; it also subverts the educational mission and undermines the sense of community of Gustavus Adolphus College. The College will not tolerate harassment of any member of the College community. Any person who violates this policy will be subject to disciplinary action, up to and including termination/dismissal.

This policy applies to all complaints of harassment, whether brought against or by faculty members, staff members, or students.
Complaints of sexual harassment or sexual misconduct brought against faculty or staff or student will be addressed by the Sexual Harassment and Sexual Misconduct Policy.

Once a complaint is investigated under one policy, it cannot be re-investigated under a different policy.

II. Definitions

“Harassment” consists of unwelcome or offensive conduct, whether verbal, physical, or visual, that is based on a protected group status. The College will not tolerate harassing conduct that:

1. Affects tangible job or academic benefits;
2. Interferes unreasonably with an employee’s work performance or a student’s academic progress or success;
3. Creates an intimidating, hostile, or offensive environment.

Such harassment may include, for example:

1. Epithets, slurs, or negative stereotypes;
2. Intimidating or hostile acts based upon protected classification;
3. Written or graphic material that denigrates or shows hostility or aversion to persons of a protected classification and that is posted or circulated on College property.

III. Resources for Addressing Harassment Concerns

The College designates Harassment Advisers and Harassment Grievance Officers. Harassment Advisers are trained to provide advice and personal support to any person who believes she or he may have either experienced or witnessed harassment or been accused of harassment. Harassment Grievance Officers are trained to conduct a fair and impartial investigation of the reported situation or incident and to either mediate an informal resolution satisfactory to all parties, or to present a recommendation for action to an appropriate College officer. To locate the names of Harassment Advisers and Harassment Grievance Officers, interested parties should contact:

Human Resources Department, 507-933-6075
Office of the Provost, 507-933-7541
Office of the Dean of Students, 507-933-7526

Any member of the College community who believes that she or he has experienced or witnessed harassment or who has been accused of harassment is encouraged to contact a Harassment Adviser. In all circumstances, the Adviser will explain the procedure for contacting a Harassment Grievance Officer and filing a complaint of harassment. A person who believes that she or he has experienced harassment may, at his or her choice, take the concern directly to a Harassment Grievance Officer.

A. Immunity

The College community encourages the reporting of incidents of harassment. Sometimes, victims or witnesses are hesitant to report to College officials or participate in grievance processes because they fear that they themselves may be accused of policy violations, such as underage drinking at the time of the incident. It is in the best interests of this community that as many victims as possible choose to report to College officials and that witnesses come forward to share what they know. To encourage reporting, the College may offer victims and witnesses who are students immunity from policy violations related to the reported incident. While serious violations cannot be overlooked, the College reserves the right to waive lesser charges (such as violations of the alcohol policy) in cases that involve harassment.

B. Retaliation

No person who makes a complaint or cooperates in the investigation shall be subject to any form of retaliation. It is a separate violation of this policy to retaliate against a person who files a complaint or cooperates in an investigation. Any person engaging in such reprisals will be subject to sanctions. Cooperating with an investigation, however, will not prevent discipline as appropriate for an individual who is found to have violated this policy.

IV. Procedure for Harassment Complaints

A. Interim Accommodations

Upon hearing of a complaint or concern regarding harassment, a Harassment Adviser will speak with the complaining party to discuss any interim accommodations that might need to be made concerning the complaining party’s classroom, living or employment arrangements.

A complainant may request that the College provide relief from intimidating work, classroom, or living situations which relate specifically to the alleged harassment during the period when the allegations are being addressed. The College reserves the right to determine what kind of relief is reasonable.

B. Possible Steps

The Harassment Adviser then will take one of three actions.

1. In certain circumstances the Harassment Adviser may seek to facilitate an informal resolution between the parties involved without moving the process to a Harassment Grievance Officer. This will only be done, however, if both parties to the complaint find this resolution acceptable. If an informal resolution is reached, the Harassment Adviser will file a summary report with the Director of Human Resources. If this informal resolution cannot be reached, either the complainant or the Harassment Adviser will refer the case to the Harassment Grievance Officer.

2. The Harassment Adviser will refer the case to a Harassment Grievance Officer. The person making the complaint will meet the Harassment Grievance Officer to provide a detailed description of the alleged harassment. The complainant may wish to be accompanied by a Harassment Adviser or another support person during these preliminary discussions with the Harassment Grievance Officer.

C. Referral of a Complaint to a Harassment Grievance Officer

Upon receipt of a complaint, the Harassment Grievance Officer will provide the accused with written notification detailing the specific charges. The writing need not be created by the complaining party but may be created by the Harassment Grievance Officer after ascertaining the nature of the complaint. The accused has the right to respond in writing. The ability of the accused to respond in writing, however, does not relieve the accused of the responsibility to meet with the Harassment Grievance Officer and to provide oral information. If a written response is submitted, it will be shared with the complaining party. After the written notification has been delivered, the Grievance Officer will investigate the complaint as follows:

1. The Grievance Officer, working whenever possible with another College Grievance Officer, will investigate the complaint by collecting evidence and interviewing witnesses as necessary. The investigators are neutral information gatherers in this process.
2. The investigation may be terminated whenever a resolution is found that is acceptable to both the person bringing the complaint and the person against whom the allegations were made.
3. Upon concluding the investigation, the Harassment Grievance Officer will prepare a written report including the written statement of charges, the written response of the accused, if any, a summary of the investigation, and the Harassment Grievance Officer’s conclusions. In reaching these conclusions, the Harassment Grievance Officer will be guided by the “preponderance of the evidence” rather than the standard of “reasonable doubt.”
4. The Harassment Grievance Officer will forward the written report and a recommendation for action to the appropriate College officer (usually the Provost or a Vice President) for implementation.
5. All reasonable efforts will be made to complete the written report and recommendation for action within 60 days of receipt of the complaint by a Harassment Adviser or other responsible employee of the College.
6. The Harassment Grievance Officer will file a copy of the report with the Director of Human Resources if the incident involves staff as either a complainant or a responding party. The Harassment Grievance Officer will file a copy of the report with the Provost’s Office if the incident involves faculty as either a complainant or a responding party. If the incident involves a student as either the complainant or the responding party, the Harassment Grievance Officer will file a copy of the report with the Vice President for Student Life.

D. College Officer’s Response to the Complaint

The College officer receiving the Harassment Grievance Officer’s report will determine what disciplinary action, if any, is warranted.

1. If the Dean of Students concludes that disciplinary action is warranted against a student, appeal will be coordinated within the Student Conduct System. In the case of expulsion, a final appeal is available to the President.
2. If a supervising Vice President concludes that disciplinary action is warranted against a member of the staff, a recommendation will be made to the President.
3. If the Provost concludes that the conduct of a faculty member justifies a major or minor sanction, s/he will follow appropriate sections of the faculty manual regarding disciplinary and appeal procedures.

While these disciplinary and appeal proceedings are active, the administration may take whatever actions regarding the faculty member required by law or by the need to ensure the welfare of students or other members of the Gustavus Adolphus College.

If no action is warranted, the College officer will write a summary report for the Harassment Grievance Officer.
Individuals bringing forth complaints of harassment will be informed in writing of the outcome of their complaint, essential findings, and any sanctions.

Every effort will be made to deal with harassment complaints in a sensitive, discreet, and timely manner that respects the rights of both the complainant and the accused and that observes the legal and moral obligations of the institution.

E. Complaints against a Vice-President or the President

When a concern arising under this policy relates to conduct by a Vice President or the President of the College, the complaining party should contact the Chair of the Board of Trustees. Alternatively, an individual may contact a Harassment Adviser, who will then contact the Board Chair. The Board Chair will convene the Board’s Executive Committee, which will take appropriate action to ensure that an impartial investigation is conducted. This may involve retaining a party from outside of the College to investigate the complaint. Upon completion of the investigation, the Executive Committee will determine whether further action, including disciplinary action, is warranted.

V. Harassment Advisers and Confidentiality

A person who wishes that a complaint or concern regarding harassment be investigated is encouraged to contact a Harassment Adviser. A person who believes that she or he has experienced harassment may also, at his or her choice, take the concern directly to a Harassment Grievance Officer. To locate the names of Harassment Advisers and/or Harassment Grievance Officers, interested parties may contact:

Human Resources Department, 507-933-6075
Office of the Provost, 507-933-7541

An individual who talks with a Harassment Grievance Officer, a Harassment Adviser, or any other “responsible employee” of the College about harassment which he or she may have experienced or witnessed, must understand that under some circumstances the individual receiving the report may be required by state and federal law as well as by College policy, to pursue a complaint by the process described in this policy even if the person making the allegation does not wish to do so.

Harassment Advisers are not confidential resources. There is no confidentiality in cases of employee on employee harassment.

The College takes incidents of harassment seriously when formally reported, and will investigate and resolve incidents through administrative procedures. Formal reporting means that only people who need to know will be told, and information will be shared only as necessary with investigators, witnesses, and the accused individual.

A. Other Reporting Options – Law Enforcement and Office for Civil Rights

Harassment incidents may always be reported to the Saint Peter Police Department by the victim. The College reserves the right in certain circumstances to report the incident to the Saint Peter Police Department.

Individuals with complaints of harassment also have the right to file a formal complaint with the United States Department of Education, Office for Civil Rights (OCR).

A complaint of discrimination can be filed by anyone who believes that an education institution that receives Federal financial assistance has discriminated against someone on the basis of race, color, national origin, disability, or age. The person or organization filing the complaint need not be a victim of the alleged discrimination, but may complain on behalf of another person or group. Generally, a complaint must be filed with OCR within 180 calendar days of the last act that the complainant believes was discriminatory. More information can be obtained regarding filing a complaint with OCR at the following link: http://www2.ed.gov/about/offices/list/ocr/complaints-how.html

Approved by the President's Cabinet: April 16, 2013; updated August 14, 2018.

Sexual Harassment and Sexual Misconduct Policy

I. Introduction

Members of Gustavus Adolphus College community (“Gustavus” or the “College”), guests and visitors have the right to be free from all forms of sex/gender harassment, discrimination and misconduct, examples of which can include: acts of sexual violence, sexual harassment, intimate partner violence (IPV), and stalking. All members of the campus community are expected to conduct themselves in a manner that does not infringe upon the rights of others. The College will not tolerate any violation of this policy. When an allegation of sexual misconduct or sexual harassment is brought to the Title IX Coordinator’s attention, and the accused is found to have violated this policy, sanctions will be used to reasonably ensure that such actions are not repeated. This policy has been developed to reaffirm these principles and to provide recourse for those individuals who believe their rights have been violated.

Not all violations of the Sexual Harassment and Sexual Misconduct Policy (“Policy”) will be deemed equally serious offenses and the College reserves the right to impose sanctions accordingly. Any member of the community found responsible for violating this policy will be subject to disciplinary action, up to and including termination/dismissal. The College will consider the concerns and rights of both the person bringing forth the complaint and the accused. Gustavus Adolphus College does not discriminate on the basis of sex in its work place, education programs or activities and is required by Title IX not to discriminate.

II. Non-discrimination

Within the limits of its facilities, the College shall be open to all applicants who are qualified according to its admission requirements. The College shall make clear to all applicants the characteristics and expectations of students that it considers relevant to its program.
Under no circumstances may an applicant be denied admission or financial aid because of race, color, creed, religion, age, sex, sexual orientation, national origin, marital status, disability, veteran status, status with regard to public assistance or other categories protected by federal, state or local anti-discrimination laws. Financial aid administered by the College shall be disbursed on the basis of financial need and academic promise and/or academic ability.

III. Scope

This policy applies to all members of the College community, including but not limited to, students, faculty, staff, and Board of Trustee members, and covers prohibited conduct that occurs on campus or other College property, and conduct which occurs in connection with College programs or activities (whether on or off campus and whether online or via other electronic/social media). This policy may also apply to prohibited conduct that occurs off-campus, when the Title IX coordinator or deputy coordinator determines that the alleged conduct could reasonably create a hostile environment. In certain instances, this Policy applies to third parties, such as visitors, volunteers, vendors and contractors while on College property, participating in a College-sponsored activity, or providing or receiving services to or from the College, as well as applicants for admission to or employment with the College. The College's disciplinary response may be limited if the accused is a visitor or other third-party.

IV. Title IX Coordinator

The Title IX Coordinator is responsible for the administration of this Policy and oversees the College’s response to, and investigation and resolution of, all reports of prohibited conduct. Questions regarding this policy should be directed to the Title IX Coordinator. The Deputy Title IX Coordinators assist with case management, training, and prevention. Anyone wishing to make a report relating to an alleged violation of this policy may do so by reporting to the Title IX Coordinator. Additionally, individuals always have the right to file a formal grievance with the Office of Civil Rights.

Title IX Coordinator
Patty Dawson
507-933-6360
pdawson@gustavus.edu

Deputy Coordinator
Julie Bartley
507-933-7541
jbartley@gustavus.edu

Deputy Coordinator
Tommy Valentini
507-933-6446
tvalentini@gustavus.edu

Department of Education
Office of Civil Rights
312-730-1560
OCR.Chicago@ed.gov

V. Consensual Relationships

In light of the power differential inherent in the relationship between faculty and students and between a supervisor and subordinate, and in light of the potential for either intentional or unintentional misuse of that professional power differential, College employees (faculty and staff) are prohibited from engaging in any dating, romantic, or sexual relationship with a currently enrolled Gustavus student. Similarly, consensual dating, romantic, or sexual relationships between College employees who are in a supervisory relationship are also prohibited. It should be noted that in such cases "consent" may not constitute a defense if a Title IX issue arose. Even if the prohibited relationship does not implicate a Title IX issue, the relationship itself may violate other College policies including, but not limited to, the College's Consensual Relationships Policy. Such relationships pose a risk of real or perceived favoritism among other potential issues.

VI. Sexual Misconduct Offenses include, but are not limited to:

  • Sexual Harassment
  • Non-Consensual Sexual Contact
  • Non-Consensual Sexual Intercourse
  • Sexual Exploitation
  • Intimate Partner Violence
  • Stalking

VII. Sexual Misconduct Offenses – Defined

Following is a list of definitions of each of the above-referenced sexual misconduct offenses, followed by a list of additional helpful definitions under this policy.

A. Sexual Harassment

In the employment context, sexual harassment is unwelcome sex- or gender-based verbal, written, visual, or physical conduct that denigrates or shows hostility or aversion toward an individual because of that person's protected status, and that (a) has the purpose or effect of creating an intimidating, hostile, or offensive work/academic environment; (b) has the purpose or effect of unreasonably interfering with an individual's work performance; or (c) otherwise adversely affects an individual's ability to perform their job.

In the education context, sexual harassment of students can be a form of discrimination prohibited by Title IX. Sexual harassment is unwelcome, conduct of a sexual nature that is sufficiently severe, persistent, or pervasive that it interferes with, denies, or limits an individual’s ability to participate in or benefit from educational programs and activities.

Sexual harassment may be disciplined when it takes the form of quid pro quo harassment, retaliatory harassment and/or creates a hostile environment.

1. Quid Quo Pro Harassment exists when:
There are unwelcome sexual advances, requests for sexual favors, and other verbal or physical conduct of a sexual nature
Submission to or rejection of such conduct by an individual is used as the basis for employment or academic decisions adversely affecting such individual
Submission to such sexual conduct is made either explicitly or implicitly a term or condition of rating or evaluating an individual’s educational or employment progress, development, or performance.

2. Hostile Environment
Hostile environment in the employment context includes any situation in which there is harassing conduct that is sufficiently severe, persistent, or pervasive that it unreasonably interferes with an individual’s work performance or creates an intimidating, hostile, or offensive work environment. Hostile environment in the education context includes any situation in which there is harassing conduct that limits, interferes with, or denies educational benefits or opportunities, from both a subjective (the complainant’s) and an objective (reasonable person’s) viewpoint.

B. Non-Consensual Sexual Contact

Any intentional sexual touching, however slight, with any object or body part, by an individual upon another individual that is without consent and/or by force or coercion.

Sexual contact includes, but is not limited to intentional sexual contact with the breasts, buttock, groin, genitals, mouth, or other orifice, or touching another with any of these body parts, or making another touch another or themselves with or on any of these body parts; any intentional bodily contact in a sexual manner, though not involving contact with/of/by breasts, buttocks, groin, genitals, mouth or other orifice.

C. Non-Consensual Sexual Intercourse

Any sexual intercourse (vaginal, anal, or oral), however slight, with any object or body party, by an individual upon another individual that is without consent and/or by force.

Intercourse includes, but is not limited to vaginal penetration by a penis, object, tongue or finger, anal penetration by a penis, object, tongue or finger and oral copulation (mouth to genital contact or genital to mouth contact), no matter how slight the penetration or contact.

D. Sexual Exploitation

Occurs when an individual takes non-consensual or abusive sexual advantage of another for that individual's own advantage or benefit, or to benefit or advantage anyone other than the individual being exploited, and that behavior does not otherwise constitute sexual assault.

Examples may include but are not limited to:

  • Intentional and repeated invasion of sexual privacy (e.g. walking into the other person’s room or private space)
  • Non-consensual video or audio-recording or electronically broadcasting of sexual activity
  • Intentionally allowing others to view/hear a sexual encounter without consent
  • Engaging in voyeurism
  • Exposing one’s genital or inducing another to expose his or her genitals
  • Prostituting another person
E. Intimate Partner Violence (IPV)

Sometimes referred to as dating or relationship violence, IPV can vary in frequency and intensity and is defined as physical, sexual, or psychological harm by a current or former partner or spouse, including casual or serious romantic involvements. The main types of abuse include:

  • Physical violence, which involves the intentional use of physical force with the potential for causing injury, harm and even death. This can include scratching, pushing, shoving, throwing, grabbing, biting, choking, slapping, or use of restraints or one’s body size or strength against you.
  • Sexual violence, which includes attempted or completed sexual contact or intercourse through the use of physical force to compel a person to participate or as a result of incapacitation (see definition) or any other form of abusive sexual contact.
  • Threats of physical or sexual violence, which include the use of words, gestures, or weapons to communicate intent to cause death, disability, injury, or physical harm.
  • Psychological or emotional violence, which includes causing trauma to the victim by acts, threats of acts, or coercive tactics. It can also include humiliating the victim, controlling what the victim can do and cannot do, withholding information from the victim, deliberately doing something to make the victim feel diminished or embarrassed, isolating the victim from friends and family, and denying the victim access to money or other basic resources. Stalking is also a form of emotion abuse.
F. Stalking

Engaging in a course of conduct directed at a specific person that would cause a reasonable person to fear for their safety or the safety of others, or to suffer substantial emotional distress. (See complete Stalking Policy for more information).

Additional Applicable Definitions:
G. Coercion

Refers to intimidation that would compel an individual to do something against their will by the use of psychological pressure, physical force, or threats of severely damaging consequences. Coercion is more than an effort to persuade or attract another person to engage in sexual activity. Coercive behavior differs from seductive behavior based on the degree and type of pressure someone uses to get consent from another.

H. Complainant

The person bringing forth a complaint. Can be the victim, a third party, or the College.

I. Confidential Resources

Employees that do not have a responsibility to report identifying information, but do contribute to College statistical reporting requirements (i.e. SART, Chaplains, Counselors, Health Service professional staff).

J. Consent

Consent is clear, knowing and voluntary. Consent is active, not passive. Silence, in and of itself, cannot be interpreted as consent. Consent can be given by words or actions, as long as those words or actions create clear and mutually understandable permission regarding willingness to engage in (and the conditions of) sexual activity. Consent to any one form of sexual activity cannot automatically imply consent to any other forms of sexual activity. Previous relationships or prior consent cannot imply consent to futures sexual acts. In order to give consent, one must be of legal age (18). Physical resistance is a clear demonstration of non-consent (e.g., pushing someone away). The lack of physical resistance does not imply the individual consented to the sexual activity or event. In some instances, because of a person’s power/authority, or the perception thereof, one individual may not be able to give consent to a given sexual encounter. For example, one individual who supervises another may not be able to obtain consent in an intimate encounter because the other person fears they might lose their job or status if they object to some or all aspects of the encounter. Power and authority may arise from a variety of areas including one’s size, strength, or reputation within the College.

K. Force

The use of physical violence and/or imposing on someone physically to gain sexual access. Force also includes threats, intimidation (implied threats) and coercion that overcome resistance or produce consent.

L. Incapacitation

An individual’s physical and/or mental inability to make informed, rational judgments that is known or reasonably should have been known to the individual initiating sexual contact. An individual who is incapacitated is unable to give consent to sexual contact. States of incapacitation include sleep, unconsciousness, intermittent consciousness, or any other state where the individual is unaware that sexual contact is occurring. Incapacitation may also exist because of a mental or developmental disability that impairs the ability to consent to sexual contact.

Regardless of their own level of intoxication, individuals who are initiating sexual contact are always responsible for obtaining consent before proceeding. Intoxication is never an excuse for or a defense to committing sexual assault or any other prohibited conduct. Use of drugs or alcohol does not diminish the responsibility to obtain consent. The issue is whether the individual initiating sexual contact knew, or a reasonable sober person in the position of the individual initiating sexual contact should have known, that the other person was incapacitated.

Alcohol or drug use is a common cause of incapacitation. The mere use of drugs or alcohol, or even intoxication from drugs or alcohol is not by itself proof of incapacitation. Where alcohol or drug use is involved, incapacitation is a state beyond intoxication, impairment in judgment, or drunkenness. Because the impact of alcohol or other drugs varies from person to person, evaluating whether an individual is incapacitated, and therefore unable to give consent, requires an assessment of whether the consumption of alcohol or other drugs has rendered the individual physically helpless or substantially incapable of:

  • Making decisions about the potential consequences of sexual contact;
  • Appraising the nature of one’s own conduct; or
  • Ability to communicate consent or lack of consent to engage in sexual contact.

There are common signs that should alert a reasonable sober person as to whether an individual might be incapacitated. Typical signs include but are not limited to slurred or incomprehensible speech, clumsiness, difficulty walking, combativeness, emotional volatility, vomiting, or incontinence. A person who is incapacitated may not be able to understand some or all of the following questions: “Do you know where you are?” “Do you know how you got here?” “Do you know what is happening?” “Do you know who I am?” If there is any doubt as to the level or extent of one’s own or the other individual’s intoxication or incapacitation, the safest course of action is to forgo or cease any sexual contact.

M. Mandated Reporter

All employees of the College are mandated reporters and are required to take action by immediately referring any potential/alleged Title IX violations to the Title IX Coordinator (excluding confidential resources). See Reporting Options below for more information.

N. Preponderance of the Evidence

The evidentiary standard used in adjudication to determine whether it is more likely than not that a policy violation occurred.

O. Respondent

The person alleged to have engaged in or committed the prohibited conduct.

P. Retaliation

Intimidation, threats, harassment and other adverse action threatened or taken against any individual because that individual asserted rights protected under Title IX or any individual cooperating (including Respondent or any witness) in the investigation or resolution of a complaint in any way.

Q. Sex and Gender-Based Discrimination

Unfairly treating an individual or group of individuals differently than others on the basis of sex or gender. Sexual misconduct is a form of sex- and gender-based discrimination.

R. Sexual Assault

Non-consensual sexual contact, non-consensual sexual intercourse and all forms of sexual violence that occurs without consent. All such acts of sexual assault are sexual misconduct offenses under this policy.

VIII. Reporting Options

Gustavus Adolphus College takes all reports seriously and will work to investigate and resolve them in a prompt, thorough and impartial manner. The College recognizes that if it knows or reasonably should know about sexual misconduct that creates a hostile environment, its legal and moral obligation is to eliminate it, prevent its recurrence and address its effects on both direct and indirect victims.

Regardless of whether any legal time limits have run, the College does not impose a time limit for reporting an incident of Sexual Misconduct. However, individuals are strongly encouraged to report the incident as soon as possible in order to maximize the College’s ability to respond promptly and effectively. The College does not impose a statute of limitations for reporting and will investigate and adjudicate allegations against any individual who is a member of the community at the time of the report. Individuals who experience Sexual Misconduct are encouraged to report the incident to law enforcement. The reporting of a violation of this policy is independent of any criminal investigation or proceeding, and the College may not wait for the conclusion of any criminal proceedings to commence its own investigation and take interim measures to protect the College community.

Individuals that desire the details of the incident be kept confidential should contact any of the following confidential resources:

  • Advocates with the Gustavus Sexual Assault Response team (SART/CADA) 507-933-6868
  • Counselors with the Gustavus Counseling Center 507-933-7027 (students only)
  • Health professionals with the Gustavus Health Service 507-933-7630
  • Campus Chaplains 507-933-7446
  • Committee Against Domestic Abuse (CADA) 800-630-1425

An individual who wishes that a complaint or concern regarding sexual misconduct be investigated by the College should make a direct report to the Title IX Coordinator, Patty Dawson, phone 507-933-6360, email pdawson@gustavus.edu.

Reports of incidents of sexual misconduct can also be made to other College employees. Gustavus Adolphus College employees are mandated reporters and are required to share all details known about any alleged violation of this policy with the Title IX Coordinator upon notice of the incident. Mandated reporters must report;

  • Incidents personally observed;
  • Incidents that are reported to the mandated reporter; and
  • Incidents of which the mandated reporter otherwise becomes aware

Information will be kept private and only shared with individuals that need to know in order to investigate and adjudicate the incident, including investigators, witnesses and the accused individual. In some instances, individuals may request that their name not be shared with the Respondent or that no formal action be taken. The Title IX Coordinator will take this information to the Title IX team and balance the request with the College’s obligation to provide a safe and non-discriminatory environment to the campus community and the Complainant. If the College is not able to honor the Complainants request, the Title IX Coordinator will notify the Complainant prior to starting the formal investigation process. The Complainant may choose to not participate in the investigation but, in those cases, the College’s ability to pursue disciplinary action may be limited.

The College will accept anonymous reports of conduct alleged to violate this policy. The individual making the report is encouraged to provide as much detailed information as possible to allow the College to investigate and respond as appropriate. The reporter should recognize that the College may be limited in its ability to investigate an anonymous report. Mandated reporters cannot remain anonymous when filing a report nor can they protect the identity of their source/victim. The Title IX Coordinator will receive all anonymous reports and meet with the Title IX team to determine the best way to respond.

When certain crimes, as defined by the Clery Act, are reported on campus, Campus Safety will issue a timely warning (Crime Alert) to the campus. The criteria for the issuance of timely warnings would include crimes that are considered to represent a serious and/or continuing threat to the community.

Individuals also have the right to file a formal complaint with the United States Department of Education, Office for Civil Rights, 500 West Madison St., Suite 1475 Chicago, IL 60661-4544; 312-730-1560; OCR.Chicago@ed.gov. Individuals should consult with the Office for Civil Rights as to any time limits that may apply to file a formal complaint.

IX. Amnesty

The College community encourages the reporting of conduct code violations and crimes by victims and witnesses. The integrity of the process is dependent upon the honesty of all involved in the case for adequate investigation. Sometimes, parties are hesitant to report to College officials or participate in grievance processes because they fear that they themselves may be accused of policy violations, such as underage drinking, that may have been occurring at the time of the incident. It is in the best interests of this community that as many victims as possible choose to report to College officials, and that all parties in the process share what they know. To encourage transparency, the College offers parties involved with the alleged incident immunity from policy violations related to the reported incident. While serious violations cannot be overlooked, the College reserves the right to waive lesser charges (such as violations of the alcohol policy) in cases that involve sexual misconduct.

X. Procedure

Students and employees who wish to bring a sexual misconduct grievance forward should follow the procedure outlined below. This policy outlines the procedures associated with sexual misconduct grievances.

A. Notice of Complaint

Notice of a formal complaint can be made orally, in writing, or in person to the Title IX Coordinator.

The filing of a complaint of sexual misconduct under this policy is independent of any criminal investigation or proceeding, and the College may not wait for the conclusion of any criminal proceedings to commence its own investigation and take interim measures to protect the Complainant and the College community.

Upon receipt of the complaint, the Title IX Coordinator (or their designee) will meet with the Complainant to discuss the policy, procedures, the Complainant's rights and available resources. Based on the policy, charges will be established by the Title IX Coordinator.

B. Options for Resolution

Options range from not pursuing resolution of any kind to pursuing Formal Resolution. If the individual bringing forth the complaint elects to pursue a Formal Resolution the Title IX Coordinator will meet with the Respondent to review the allegations against him or her and discuss the policy, procedures, and the Respondents rights and available resources.

In certain circumstances the College may place a student or employee on interim suspension. Pending the resolution of the incident, individuals may be denied access to campus, campus facilities and/or all College activities or privileges. Both parties will receive written notification of the charges.

The Title IX Coordinator will notify the Complainant and the Respondent, in writing, of the commencement of an investigation. Such notice will include at least the following:

  • The identity of the Complainant and the Respondent;
  • The date, time (if known), location, and nature of the alleged Prohibited Conduct;
  • The type(s) of Prohibited Conduct alleged to have occurred;
  • The identity of the investigator
  • An explanation of the prohibition against retaliation;
  • Instructions to the parties to preserve any potentially relevant evidence in any format;
  • A link to a copy of the Policy and this procedure.

1. Students
In cases of emergency, where the wellbeing of students or the College may be endangered, or in cases where the Respondent demonstrates a pattern of disruptive behavior, the Dean of Students and/or Title IX Coordinator may take appropriate interim measures including but not limited to alteration of privileges, temporary removal of the Respondent from College housing, and/or temporary suspension of the Respondent pending campus disciplinary proceedings. Such a temporary suspension becomes effective immediately without prior notice; however, a student suspended on a temporary basis shall be given an opportunity to appear personally before the Dean of Students within five (5) business Days from the effective date of the temporary suspension in order to discuss the following issues only:

  • The reliability of the information concerning the Student’s conduct.
  • Whether the conduct and surrounding circumstances reasonably indicate that the continued presence of the Student on the College campus poses a substantial threat to self and others or the stability and continuance of normal College functions.

2. Employees
The Title IX Coordinator may request that an employee be suspended or assigned other duties pending the outcome of the investigation. Such requests shall be made to the Provost and Dean of Faculty for faculty members or Associate Vice President of Human Resources for all other employees of the College and proceed in accordance with the appropriate policies and procedures.

C. Informal Resolution Process

If the Complainant and Respondent agree, certain cases may be resolved informally, including in appropriate cases, through mediation. Cases involving allegations of non-consensual sexual contact or non-consensual sexual intercourse are not suitable for mediation. Cases involving a student complaint of Sexual Harassment made against an employee are not suitable for the informal resolution process.

The Title IX team will determine if the case is appropriate for the informal resolution process based on the facts and circumstances of the particular case. Under no circumstances will a Complainant be asked to resolve a matter directly with the Respondent.

XI. Rights of the Parties

This Policy and the procedures described herein provide for the prompt, equitable, and impartial investigation and resolution of incidents of Sexual Misconduct reported to the College. Throughout this process, the Complainant and Respondent have the following rights:

A. Rights of the Complainant
  • The right to be treated with dignity and respect by College employees.
  • The right to experience a safe living, educational, and/or work environment.
  • The right to be informed of available on- and off-campus counseling and support services.
  • The right to reasonable working, housing, and academic accommodations as necessary.
  • The right to have an advisor of one’s choice present at any meeting or proceeding held as part of the process to resolve a complaint of prohibited conduct (see Conduct Advisor and Support Person).
  • The right to coverage under the College's amnesty policy, which means that students who report alleged misconduct or other Title IX incident under this policy will not be disciplined for drug or alcohol use associated with the incident.
  • The right to be free from retaliation.
  • The right to have complaints investigated and/or resolved in substantial accordance with these procedures.
  • The right to refuse to have a complaint resolved through Informal Resolution.
  • The right to challenge an individual designated by the College to investigate and/or resolve the complaint based upon a conflict of interest.
  • The right to have a complaint adjudicated by individuals who receive annual training on Sexual Misconduct.
  • The right to be promptly notified in writing of the outcome of a complaint. The College will comply with all disclosure requirements under the Violence Against Women Act, or other applicable law, including but not limited to providing access to information that will be used during informal and formal disciplinary meetings and hearings for cases of alleged dating violence, domestic violence, sexual assault, or stalking.
  • The right not to be discouraged by College officials from reporting an incident to law enforcement.
  • The right to request a “no contact” order/directive be put in place and enforced even while a complaint is still under investigation.
  • The right to review all evidence and witness statements collected as part of the investigation of a complaint.
  • The right to be free from direct questioning by the Respondent during any part of the resolution process.
    • The right to review the Investigative Report as described in this Policy.
  • The right to respond in writing to the Investigative report.
  • The right not to have irrelevant prior sexual history discussed during the investigation and resolution process.
  • The right to submit an impact statement and have that statement considered in determining sanction if Respondent is found in violation of policy(s).
  • The right to appeal the board's determination and/or sanctions imposed upon the Respondent.
  • The right to meet with the Title IX Coordinator at any point in the process.
B. Rights of the Respondent
  • The right to be treated with dignity and respect by College officials.
  • The right to be presumed not responsible for violating the Policy and for an outcome based solely on the evidence presented during the investigation and resolution of a complaint.
  • The right to be informed of available on- and off-campus counseling and support services.
  • The right to a written summary of the allegations, the range of potential Policy violations (as known based on the initial allegations), and the range of potential disciplinary sanctions.
  • The right to have an advisor of one’s choice present at any meeting or proceeding as part of the process to resolve a complaint (see Conduct Advisor and Support Person).
  • The right to have complaints investigated and/or resolved in substantial accordance with these procedures.
  • The right to refuse to have a complaint resolved through Informal Resolution.
  • The right to be free from retaliation and/or harassment within the College’s scope of control.
  • The right to a prompt, fair, and impartial investigation and resolution of all complaints.
  • The right to be free from direct questioning by the Complainant during any part of the resolution process.
  • The right to review the Investigative Report as described in this Policy.
  • The right to respond in writing to the Investigative report.
  • The right not to have irrelevant prior sexual history discussed during the investigation and resolution process.
  • The right to be promptly notified in writing of the outcome of a complaint. The College will comply with all disclosure requirements under the Violence Against Women Act, or other applicable law, including but not limited to providing access to information that will be used during informal and formal disciplinary meetings and hearings for cases of alleged dating violence, domestic violence, sexual assault, or stalking.
  • The right to submit a mitigation statement and to have that statement considered in determining sanction if found in violation of the policy(s).
  • The right to challenge an individual designated by the College to investigate and/or resolve the complaint based on conflict of interest.
  • The right to promptly notified in writing of the outcome of the complaint. The College will comply with all disclosure requirements under the Violence Against Women Act, or other applicable law, including but not limited to providing access to information that will be used during informal and formal disciplinary meetings and hearings for cases of alleged dating violence, domestic violence, sexual assault, or stalking.
  • The right to have the complaint investigated by individuals who receive annual training on Sexual Misconduct, Relationship Violence, and Stalking.
  • The right to appeal the boards determination and/or sanctions imposed.
  • The right to meet with the Title IX Coordinator at any point during the process.

XII. Conduct Advisor and Support Person

Complainants, Respondents, or the victim, in the case where the victim was not the Complainant, have the option to have both one advisor and no more than two supportive resources present during any meeting connected with the case. Individuals can be recommended and provided by the College or the complainant/respondent can seek out their own from on or off campus. The role of the advisor shall be limited to advising the Respondent or Complainant. The advisor may not appear in lieu of the Respondent or Complainant or speak on their behalf, nor may the advisor address the investigator(s) or adjudicator(s). The College will make reasonable attempts to include the advisor and support person(s) when scheduling meetings related to the case, and include options for attendance via conference call by telephone or computer. In order to keep the process timely, the College reserves the right to move forward in the process in the absence of a preferred advisor and/or support person if they are unavailable for an extended period of time. In this case, a proxy may be used.

XIII. Legal Counsel

Legal Counsel may serve as an advisor to either party. See above for a description of the role of and considerations for advisors in the process. Such counsel may not examine witnesses or otherwise directly participate on behalf of either party.

XIV. Past Sexual History

The past sexual history or sexual character of a person involved in the case will not be admissible in the investigation or adjudication unless such information is determined to be highly relevant by the Title IX Coordinator and the Investigator(s). All such information sought to be admitted will be presumed irrelevant, and any request to overcome this presumption by either party must be made in writing to the Title IX Coordinator prior to the close of evidence portion of the investigation. The request will be reviewed by the aforementioned individuals for potential inclusion in the investigation report.

While previous conduct violations by the accused individual are not generally admissible as information about the present alleged violation, the aforementioned individuals may supply previous complaint information to the Sexual Misconduct Board only if;

  • The accused was previously found to be responsible, and
  • The previous incident was substantially similar to the present allegation; and
  • Information indicates a pattern of behavior and substantial conformity with that pattern by the accused party.

XV. Investigation

When an investigation is initiated, the Title IX Coordinator will forward the case to the investigator. The investigator is a neutral fact finder who conducts interviews with the individual bringing forth the complaint, the accused individual and any relevant third-party witnesses (including expert witnesses, when needed and relevant) and gather evidence as they deem necessary to the case. Interviews may be audio-recorded by the investigator. Character witnesses will not be interviewed in any part of the process unless they are relevant to the situation being investigated. Decisions about interviewees, the collection and evaluation of information are at the discretion of the investigator. The investigation will be adequate, reliable and impartial. The investigator will complete an Investigative Report, which summarizes the interviews and any relevant evidence, and present this report to the Title IX Coordinator at the conclusion of the investigation.

Upon receipt of the Investigative Report the Title IX Coordinator (or designee) will arrange for both parties to separately review the Investigative Report. To comply with privacy obligations, the parties will not receive a written or electronic copy of the report and may not photograph or copy the document. When a party is unable to review the Investigative Report in-person, at the Title IX Coordinators’ discretion, the party may be granted electronic access of the report in a redacted format.

The parties will have five (5) business days from the date of notice to review the Investigative Report and submit their response (if they choose to do so) to the Title IX Coordinator in writing. The response from both parties will be shared with the investigator for review and if there are significant additional investigative steps, the investigator may request additional time and both parties will be notified of the delay.

The Complainant may choose to submit an impact statement for consideration in determining sanction(s). The Respondent may choose to submit a mitigation statement and to have that statement considered in determining sanction(s). These statements will only be shared if the Respondent is found in violation of the policy. If the Respondent is not found in violation of the policy, the impact and/or mitigation statements will be destroyed and removed from any permanent record after any and all appeals have been concluded.

The contents of the Investigative Report and submission of responses (if submitted) by both parties will be forwarded to the Sexual Misconduct Board to determine if there is a violation of policy. Determination will be based on the preponderance of evidence standard, “more likely than not”. Actual names will be redacted or replaced with pseudonyms in all written documents to protect the identities of parties and witnesses in the matter. Sexual Misconduct cases are considered by a Sexual Misconduct Board on the basis of this written information and are closed proceedings.

Upon review of the Investigative Report, the Board may, at their discretion, request additional investigation by the investigator. If found responsible, based on the preponderance of evidence standard, appropriate sanctions will be assigned.

The Sexual Misconduct Board is a three-person board composed of a standing group of faculty and staff appointed by the Title IX Coordinator. The Title IX Coordinator will ensure that all Board members receive annual, sufficient and specialized training to carry out their duties on the Board. When convened for a hearing, this Board will consist of at least one faculty member and at least one staff member. Proceedings will be conducted by officials that do not have a conflict of interest or bias for or against the complainant or respondent. Both parties will be informed in advance of the names of board members and have an opportunity to state a concern about conflict/bias and request removal of a board member. The request will be reviewed by the Title IX Coordinator who will make a decision whether or not it should be honored.

XVI. Sanction Statement

The imposition of sanctions is designed to eliminate prohibited conduct, prevent its recurrence, and remedy its effects, while supporting the College’s educational mission and legal obligations.

Any sanctions that are imposed will be:

  • reflective of the seriousness of gender-based misconduct;
  • adequate to protect the safety of the campus community and equitable access to education;
  • fair and appropriate given the facts of the particular case; and
  • consistent with the College’s handling of similar cases.

Sanctions will be determined by the Sexual Misconduct Board in accordance with the following factors:

  • the nature of the misconduct (sexual exploitation, contact, intercourse, stalking, intimate partner violence or harassment);
  • the severity of the incident;
  • the expressed wishes of the Complainant;
  • other previous violations of College policies;
  • the potential ongoing risk to the Complainant or campus community;
  • the impact of the violation on the campus community, its members, or its property;
  • any aggravating factors (overt bias, coercion, incapacitation, etc.);
  • any mitigating factors (disability or mental health diagnoses, actions taken to prevent reoccurrence, restorative actions, etc.); and
  • sanctions imposed in similar cases by the College.
A. Student Sanctions

Any student found responsible for violating the Policy on sexual exploitation will likely receive a sanction ranging from admonition to expulsion.

Any student found responsible for violating the Policy on non-consensual or forced sexual contact, will likely receive a sanction ranging from disciplinary probation to expulsion.

Any student found responsible for violating the Policy on non-consensual or forced sexual intercourse will likely face a sanction of suspension or expulsion.

Any student found responsible for violating the Policy on stalking or intimate partner violence will likely receive a sanction ranging from admonition to expulsion.

Any student found responsible for violating the Policy on sexual harassment will likely receive a sanction ranging from disciplinary censure to expulsion.

The chart below is a visual display of the sanctions listed above.

  Admonition Disciplinary
Censure
Disciplinary
Probation
Suspension Expulsion
Sexual Exploitation X X X X X
Non-Consensual or Forced Sexual Contact     X X X
Non-Consensual or Forced Sexual Intercourse       X X
Stalking X X X X X
Intimate Partner Violence X X X X X
Sexual Harassment   X X X X
B. Faculty/Employee Sanctions

The College reserves the discretion to determine appropriate disciplinary sanctions. Appropriate sanctions for staff or faculty members deemed to have violated the Policy include, but are not limited to a disciplinary warning, unpaid suspensions, suspension of promotion and salary increments, loss of benefits, reduction in salary, suspension from service, suspension or withdrawal of privileges, demotion, termination of employment, and any other available sanctions.

XVII. Notice of Determination

Within two (2) business days following a decision of the Board, the Title IX Coordinator will draft a Notice of Determination and deliver the contents to both parties simultaneously.

In most cases, sanctions are held in abeyance pending appeal. Sanctions will be imposed unless appealed or removed by appellate decision. In cases where Suspension or Expulsion are sanctioned, an immediate restriction may be placed on the Respondent.

XVIII. Appeals

Complainants, Respondents, or the victim, in the case where the victim was not the Complainant, may file an appeal of the decision made by the Sexual Misconduct Board. The appellate authority will render a written decision on the appeal request to all parties within a reasonable time frame after receipt of the appeal.

Any sanctions imposed by the original hearing body in the matter are deferred pending the ruling of the appropriate appellate authority unless otherwise stated.

Appeals must be filed with the Title IX Coordinator within five (5) business days of receipt of the original written decision. (Receipt is defined as the day following the date of the decision letter.)

Appeal process application can be found online.

Grounds for appeal must be clearly stated in the application and are limited to:

  1. Denial or irregularities of due process that had a material impact on the fairness of the complaint resolution process
  2. The sanction is substantially disproportionate to the charges and findings
  3. The introduction of previously unavailable relevant information that could significantly alter the original outcome.

Upon receipt of the appeal, the Title IX team shall review the claim and, if determined worthy of consideration, will forward the Appeal form with attachment(s) to the other party and/or original hearing body within three (3) Business Days. Those parties shall then have three (3) Business Days to provide a written response to the Title IX Coordinator for consideration by the appropriate appellate authority.

Appellate authorities shall begin consideration of appeals as soon as possible after their submission. Sexual Misconduct Board Appeals are considered by the College Sexual Misconduct Appeals Board on the basis of record and are closed proceedings.

New information not previously available may result in a remand of the matter to the original authority. The appellate authority may uphold the original decision, change the original ruling, or refer the matter to the authority of original jurisdiction with instruction.

Appellate authorities may, at their discretion, seek clarification from any parties involved in the matter under appeal.

Appeals are limited to review by one appellate authority except in decisions involving expulsion or termination from the College (see sections below).

College Appeals system decisions are final except in cases involving expulsion or termination from the College, which may be appealed to the President of the College.

If for any reason the Sexual Misconduct Appeals Board cannot be convened (e.g., summer, finals, etc.), the Associate Provost shall consider the appeal, rule upon its validity, and assign sanctions where appropriate. In cases of conflict of interest an alternative, trained Chair will be appointed.

The Sexual Misconduct Appeals Board shall be composed of an Associate Provost (or in cases of conflict of interest an alternative, trained Chair will be appointed), and two employees from the College. The Associate Provost convenes and chairs the Sexual Misconduct Appeals Board.

XIX. Presidential Appeal (Expulsion or Termination only)

The President of the College or their designee considers Appeals from the College Appeals Board in decisions involving expulsion or termination from the College only.

Appeals must be filed in writing with the Title IX Coordinator within five (5) business days of receipt of the College appeals system decision. (Receipt is defined as the day following the date of the College Appeals Board decision letter).

Appeals to the President will be considered on the basis of the record.

XX. Timeframes for Process

The length of the investigation depends on the circumstances of each case, but the College will make every effort to complete an investigation in a timely manner. In typical cases, the timeframe for the complaint resolution process (starting with the filing of a formal complaint and ending with the notice of the Sexual Misconduct Board’s determination of whether a policy violation occurred), not including any appeals, will not exceed sixty (60) calendar days. In some circumstances – including, but not limited to, cases involving a parallel criminal process; cases involving multiple alleged policy violations, Complainants, and/or Respondents; and when the complaint resolution process has to accommodate periods of time when the College is not in session – the timeframe for the complaint resolution process may exceed sixty (60) calendar days. In these circumstances, the College will send written notification to both parties of the delay.

XXI. Other Related Misconduct

In the event of non-Title IX policy violations implicated either with the initial Complaint or identified throughout the course of the Title IX investigation conducted pursuant to this policy, the College retains the right to adjudicate all related claims under the same procedure outlined in this policy even for non-Title IX violations. Alternatively, the College may choose to separate the non-Title IX allegations and follow College procedure as appropriate for the subject matter of the non-Title IX allegations (which may be a different process depending on whether the involved parties are students or employees).

XXII. Retaliation

It is a violation of College policy to retaliate against any person making a complaint of Sexual Misconduct and/or against a person cooperating in the investigation of an allegation of (including testifying as a witness to) any allegation of Sexual Misconduct. For these purposes, “retaliation” includes intimidation, threats, harassment, and other adverse action threatened or taken against any such Complainant or third party. Retaliation should be reported promptly to the Title IX Coordinator and may result in disciplinary action independent of the sanction or interim measures imposed in response to the underlying allegations of Sexual Harassment or Sexual Misconduct.

For inquiries about this Policy or other Title IX questions, contact the Title IX Coordinator, Patty Dawson, at pdawson@gustavus.edu or 507-933-6360.

Approved by the President's Cabinet: April 16, 2013. Updated and approved by the Board of Trustees: April 20, 2018.

Hazing Policy

Minnesota Statute

Subdivision 1. Definitions. (a) “Hazing” means committing an act against a student, or coercing a student into committing an act, that creates a substantial risk of harm to a person in order for the student to be initiated into or affiliated with a student organization.

(b) “Student organization” means a group, club, or organization having students as its primary members or participants.

Introduction

From a legal perspective, hazing is a crime. From an individual student’s perspective, hazing damages the self-esteem of those being hazed. From an organizational perspective, hazing degrades the values of the organization. From a campus community perspective, hazing creates an environment of disrespect that contradicts the College’s values of excellence, community, justice, service, and faith in our community. For all these reasons, the College takes a strong position against any and all forms of hazing.

Hazing is typically understood to be activity in which high-status group members require or suggest that members engage to join or continue affiliation with the group. Individuals, organizations and groups affected by this policy are expected to take primary responsibility for implementing the policy and for periodically reviewing their activities with respect to compliance with it. Officers and members of the organization may be held individually responsible for violation.

College Policy

Gustavus Adolphus College does not tolerate hazing in any form by any individual, group, or organization. Hazing is defined as any action taken or situation created, intentionally or unintentionally, whether on or off campus premises, to produce mental or physical discomfort, fatigue, humiliation, intimidation, embarrassment, harassment or ridicule or that disrupts community life or academic commitments regardless of the intent or end result. Such actions may be perpetrated by an individual, group, or organization against an individual or individuals.

This list of examples is not exhaustive because many things can be hazing or non-hazing activities depending upon the context and many other factors.

  • Break laws or college policies
  • Compromise personal morals or values
  • Endure physical abuse or harm
  • Endure psychological abuse or harm, such as deception of members which is designed to convince a member that s/he will not be accepted to the organization or that s/he will be hurt during the activity
  • Submit to abuse of power or power differential
  • Undergo branding, tattooing, or any mutilation of the skin
  • Have substances thrown at, poured on, or otherwise applied to the body
  • Consume alcohol, drugs, food or beverages
  • Undergo exposure to the environment without appropriate dress
  • Exercise that serves no purpose (e.g. calisthenics)
  • Undergo physical detention, kidnapping, being held against one’s will, or abandonment
  • Perform or participate in dangerous, degrading, or embarrassing public stunts, dares, displays, games, or activities
  • Undergo prevention or deprivation of sleep, normal amounts of food or water, or adequate study time
  • Perform an excessive number of tasks such that they encroach upon time needed for sleeping, studying, and attending to personal matters
  • Participate in activities that interfere with scheduled class meetings, study sessions, or school-sponsored extracurricular activities
  • Wear uncomfortable or inappropriate apparel or otherwise alter appearance which is conspicuous and/or atypical
  • Experience public degradation
  • Experience verbal harassment (such as degrading nicknames, derogatory references, yelling or screaming)
  • Create or use explicit songs or perform sexist or racist acts
  • Assume a submissive role
  • Perform acts of personal servitude (such as cleaning, buying gifts, or making meals)
  • Make excessive purchases (such as gifts, food, and clothing)
  • Implementing ambiguous rules that serve no purpose, including but not limited to:
    • Keep silent or refrain from visiting non-group members
    • Not permitting members to talk for extended amounts of time
    • Carrying items for any period of time
  • Having members line up to report facts, count off, or perform other unnecessary acts
  • Learn trivia about members and about the group; ask members to learn chapter history or information if such a request interferes with academic study

Hazing can take place with or without the consent of the hazed. The consent of those hazed will not be accepted as a justification for hazing activities. Apathy or acquiescence in the presence of hazing are not neutral acts.

Consequences

Gustavus Adolphus College takes violations against the college hazing policy very seriously. Individuals, groups, and organizations are held accountable for acts of hazing. Furthermore, the College will treat the hazing action of even one member of a group as constituting hazing by the group. Those found responsible for hazing may be subject to severe sanctions including suspension or expulsion of the individual, group, or organization from the College.

Additionally, anyone who knew or who reasonably should have known of the hazing and did not make an attempt to prevent it may be adjudicated through the College’s conduct system. Every member of the campus community is required to report any incidents of hazing or suspicions of hazing that come to their attention.

Reporting

Campus community members are expected to report any practice or action believed to constitute hazing immediately. Reports may be made 24 hours a day to the Dean of Students (507-933-7526) or Campus Safety (507-933-8888). In addition, online reporting capabilities are available at gustavus.edu/safety/silentwitness/. The college will not tolerate harassment of or retaliation towards individuals who have reported hazing incidents and will investigate any allegations of hazing that are reported.

Adopted Fall 2005; Revised Spring 2014.

Identity Theft Prevention Program

Program Adoption

Gustavus Adolphus College (the “College”) developed this Identity Theft Prevention Program (the “Program”) pursuant to the Federal Trade Commission’s Red Flags Rule (the “Rule”), which implements Section 114 of the Fair and Accurate Credit Transactions Act of 2003. This program was developed with oversight and approval of the Finance Committee of the Board of Trustees. In addition, the Board of Trustees determined that the Program was appropriate for the College, and approved this Program on April 24, 2009.

Purpose

The purpose of this policy is to establish a Program designed to detect, prevent and mitigate identity theft in connection with the opening of a covered account (defined below) or an existing covered account and to provide for continued administration of the Program. The Program shall include reasonable policies and procedures to:

  1. Identify relevant red flags (defined below) for covered accounts it offers or maintains and incorporate those red flags into the program;
  2. Detect red flags that have been incorporated into the Program;
  3. Respond appropriately to any red flags that are detected to prevent and mitigate identity theft; and
  4. Ensure the Program is updated periodically to reflect changes in risks to students and to the safety and soundness of the creditor from identity theft.

The Program shall, as appropriate, incorporate existing policies and procedures that control reasonably foreseeable risks.

Definitions

Identity theft means fraud committed or attempted using the identifying information of another person without authority.

A covered account means:

  1. An account that a creditor offers or maintains, primarily used for personal, family, or household purposes that involves or is designed to permit multiple payments or transactions.
  2. A red flagmeans a pattern, practice or specific activity that indicates the possible existence of identity theft.

Covered Accounts

A covered account includes all student accounts or loans that are administered by the College or administered by a service provider.

Identification of Relevant Red Flags

The Program considers the following risk factors in identifying relevant red flags for covered accounts:

      1. The types of covered accounts as noted above;
      2. The methods provided to open covered accounts—acceptance to the College and enrollment in classes require some or all of the following information:
        1. Common application with personally identifying information
        2. High School Transcript
        3. Official ACT or SAT scores (required or optional)
        4. Two letters of recommendation
        5. Medical and insurance information
      3. The methods provided to access covered accounts:
        1. Disbursement obtained in person requires picture identification
        2. Disbursement obtained by mail can only be mailed to an address on file
      4. The College's previous history of identity theft.

The Program identifies the following red flags:

  1. Documents provided for identification appear to have been altered or forged;
  2. The photograph or physical description on the identification is not consistent with the appearance of the student presenting the identification;
  3. A request made from a non-College issued E-mail account;
  4. A request to mail something to an address not listed on file; and
  5. Notice from customers, victims of identity theft, law enforcement authorities, or other persons regarding possible identity theft in connection with covered accounts.

Detecting Red Flags

In order to detect red flags in connection with the opening of covered accounts and existing covered accounts, it is the policy of the College to:

  1. Obtain identifying information about, and verify the identity of, a person opening a covered account, and
  2. Authenticate covered account holders, monitor transactions, and verify the validity of change of address requests, in the case of existing covered accounts.

Responding to Detected Red Flags

The Program shall provide for appropriate responses to detected red flags to prevent and mitigate identity theft. The appropriate responses to the relevant red flags may include the following:

  1. Deny access to the covered account until other information is available to eliminate the red flag;
  2. Contact the student;
  3. Change any passwords, security codes or other security devices that permit access to covered accounts;
  4. Notify law enforcement; or
  5. Determine no response is warranted under the particular circumstances.

Oversight of the Program

Responsibility for developing, implementing and updating this Program lies with the Vice President for Finance and Treasurer (the “Program Administrator”). The Program Administrator will be responsible for Program administration, for ensuring appropriate program-related training of College staff, and for reviewing any reports regarding the detection of Red Flags and the steps for preventing and mitigating Identity Theft, determining which steps of prevention and mitigation should be taken in particular circumstances and considering periodic changes to the Program.

Updating the Program

This Program will be periodically reviewed and updated to reflect changes in risks to students and the security of the College from identity theft. At least once per year in April, the Program Administrator will consider the College’s experiences with identity theft, changes in identity theft methods, changes in identity theft detection and prevention methods, changes in types of accounts the College maintains and changes in the College’s business arrangements with other entities. After considering these factors, the Program Administrator will determine whether changes to the Program, including the listing of Red flags, are warranted. If warranted, the Program Administrator will update the Program.

Staff Training

College staff responsible for implementing the Program shall be trained by the Program Administrator in the detection of Red Flags, and the responsible steps to be taken when a Red Flag is detected.

Oversight of Service Provider Arrangements

The College shall take steps to ensure that the activity of service providers is conducted in accordance with reasonable policies and procedures designed to detect, prevent and mitigate the risk of identity theft whenever the College engages a service provider to perform an activity in connection with one or more covered accounts.

Currently, the College uses Tuition Management Systems (a member of KeyBank National Association) to administer a tuition payment plan, and University Accounting Service LLC to administer the Perkins Loan program.

Approved by the Gustavus Adolphus College Board of Trustees: April 24, 2009.

Policy for Including Faculty Time and Reassignment Requests in Proposals for External Grants and Contracts

Background

Percentage of Time per Duties Assigned

As a matter of policy, Gustavus Adolphus has not historically established faculty contracts based on a percentage of work per duties assigned, while many other schools publish how much of a faculty’s member’s time should be spent on teaching, research, advising, service to the institution, and so forth. Instead, when faculty are evaluated and/or reappointed, the following are considered-in order of importance:

  1. Excellence as a teacher
  2. Emerging pattern of excellence in scholarship and/or creative pursuits
  3. Emerging pattern of involvement with the college and its activities
  4. Continuing evidence of sympathy with aim and purpose of the college
  5. (Gustavus Adolphus College Faculty Manual)
Faculty Time and External Funding

Gustavus has a strong tradition of seeking and being awarded external funding through grants and contracts, whether that funding comes through government, private, or corporate sources. However, the college has not had a standard policy for charging faculty time for these grants. To compensate, individual faculty members have been devising formulas-based on their employment contracts-to charge for their time. This system is flawed in that it demands impeccable record keeping in order to understand budgets-and, by default, it accepts that some people’s time is “worth more” than others’.

As external compliance demands grow, it is essential that the College both adopt and follow a policy for charging for faculty time. This policy will help ensure that the process of applying for a grant is systematized, in that each faculty member’s time is considered of equal value relative to base salary. More importantly, a policy will ensure that all future grant and contract budgets can easily pass external audits.

It is important to note that no policy for charging faculty time is a perfect representation of how all faculty actually spend their time. Rather, a policy for charging faculty time is meant to be a representation across the institution: one that is reasonable and fair to both faculty and to external funders. Having taken these factors into consideration, the External Funding Advisory Council has created this aspirational policy that recognizes the College’s increasing emphasis on intellectual engagement, research, scholarship, creativity and dialogue as part of the new Gustavus Acts Strategic Plan (2016). This policy is but one representation of the value among Gustavus faculty to be active scholars who are committed to submitting highly competitive proposals for external funding.

Policy

Policy Understanding
  • This policy covers all 9-month faculty contracts.
  • This policy uses base salary in its calculations. Benefits must also be charged.
  • This policy accounts for: 1) the variety of ways in which faculty actually use their time; 2) funders’ expectation that faculty are using a portion of their academic year time toward research and scholarship; and 3) the possibility of using this academic year time as a portion of any required match on external grant applications.
  • Externally funded research, scholarship, and creative activities sometimes require a level of effort that does not fit within a faculty member’s typical academic year time allocations. All faculty requests for reassignment time as part of an application for external funds for research or other sponsored projects including grants, service agreements, contracts, and other similar agreements must follow this policy.
Policy for Charging for Faculty Time during the Academic Year - 70/20/10

When charging for faculty time on external grants and/or contracts, the College agrees to the following relative to how faculty time is spent:

  • 70%: teaching and teaching–related activities. Percentage based on contractual six-course load per academic year.
  • 20%: research, scholarship, and creative pursuits. This percentage is in line with the 8 hours per week that may be set aside on faculty schedules (May 2016 faculty meeting).
  • 10%: service to the college. This percentage acknowledges that all faculty dedicate time to the institution through committee work and other service via their contract each year.

Since faculty load is six courses per academic year, reassignment time for one course is equivalent to 11.67% of a faculty member’s time, or base salary, for those on a nine-month contract (70%/6).

Examples:

  • Faculty member A earns $60,000/year. The cost to buy out the salary portion of one course, then, is $7,002 (60,000 x .1167 (11.67%)) plus benefits.
  • Faculty member B earns $80,000/year. The cost to buy out the salary portion of one course, then, is $9,336 (80,000 x .1167) plus benefits.
Policy for Charging Faculty Time during Summer

Summer appointments will be charged at a rate commensurate with the faculty member’s institutional base salary plus benefits.

Example:

  • One summer month is equivalent to 1/9 of a faculty member’s academic year salary. Faculty member A earns $60,000/year. The cost for one summer month, then, is $6,667 (60,000/9) plus benefits.

Consult a Grants Office Director for release time equivalencies for faculty on appointments other than the 9-month term.

Procedure for Requesting Reassignment Time

Check sponsor guidelines to determine whether reassignment time is allowed. In some instances, a sponsor may need to approve a reassignment time prior to submission of a proposal. The Grants Offices can assist with interpreting sponsor guidelines prior to requesting reassignment time.

  1. Discuss the proposed reassignment time with relevant Dean and Department Chair.
  2. The Dean must approve the reassignment time by signing the Reassignment/Course Release Approval Form.
  3. The Department Chair or designee must acknowledge the reassignment time, provide information regarding which course(s) would be removed from the faculty member’s load, and whether the department plans to remove the course(s) or offer the course(s) as an internal overload or external hire during the period of the grant. This information should be provided on the Reassignment/Course Release Approval Form and sent to the appropriate Grants Office no later than 7 business days prior to the submission deadline.
  4. The grant budget must include a line item associated with the reassignment time, based on the faculty member’s salary and benefits, equivalent to the percentage of reassignment time requested. This budget must be reviewed by either the Director of Faculty Grants or the Director of Government, Corporate and Foundation Relations prior to submission of the package to the Provost’s Office for final approval.
  5. The appropriate Grants Office will forward the Reassignment/Course Release Request Form, the proposal summary or abstract, and the budget to the Provost’s Office no later than 7 business days prior to the submission deadline.
  6. Approval from the Provost’s Office, via signed Reassignment/Course Release Approval Form, must be submitted to the Grants Office no later than 3 business days prior to the sponsor’s submission deadline.

Approval is made on condition that the reassignment time is properly budgeted for and will only be granted if an award is made.

Salary Distribution Guidelines

Salary savings will be distributed as follows:

  1. The Provost Office will receive funds to cover the costs for instruction of course(s) that will be offered during the faculty member’s release time, including salary and benefits (if applicable).
  2. 15% of any remaining funds will be distributed to the College's unrestricted budget.

85% of any remaining funds will be distributed to the Provost’s Office to be used for activities related to strategic efforts to support research, scholarship and creative activities on campus, for example toward Presidential Faculty-Student Collaboration Grants or Capacity Building Grants. A faculty member may submit a proposal to the Provost’s Office requesting a portion of these funds be reallocated to their sponsored project or program.

Approved by the President’s Cabinet: March 28, 2017.

Institutional Complaint Policy and Procedure

A Gustavus Adolphus College student, parent, employee or guest may feel the need to lodge a formal complaint with the College, which they wish to have addressed.

To be considered a formal complaint, the complaint must meet the following criteria:

  1. Be Written; (Complaints received via email would qualify as written)
  2. Be received by the College President, Provost, or one of the Vice Presidents; and
  3. Include a complainant’s name and signature.

All formal complaints will be reviewed by the senior administrator to whom it was sent for credibility. Senior administrators may respond to the complaint or forward it on to appropriate parties within the College for response. All formal complaints will be responded to by written answer to the complaining party within one week. If the response to the complaint takes longer to answer than one week, a written timeline will be sent to the complaining party outlining when they could expect a response. All answers shall be deemed final and shall have no appeal process.

When applicable, responses to formal complaints will inform the complaining party of how the institution will integrate the complainant’s concerns into plans for college process and/or improvement.

All formal complaints and documentation of responses will be maintained within the Office of the Provost for a period of ten years.

This Institutional Complaint Policy is not a substitute for the more specific grievance and appeal processes maintained by college offices (such as the Office of the Registrar, Academic Affairs, Human Resources, etc.), Faculty Personnel Files policy 2.1.3 in the Faculty Handbook or the Student Conduct Policies and Procedures.

Cabinet Approved: January 8, 2013.

Nondiscrimination Policy

Within the limits of its facilities, the College shall be open to all applicants who are qualified according to its admission requirements.

  1. The College shall make clear to all applicants the characteristics and expectations of students that it considers relevant to its program.
  2. Under no circumstances may an applicant be denied admission or financial aid because of race, color, creed, religion, age, sex, sexual orientation, national origin, marital status, disability, veteran status, status with regard to public assistance or other categories protected by federal, state or local anti-discrimination laws.
  3. Financial aid administered by the College shall be disbursed on the basis of financial need and academic promise and/or academic ability.

Approved by the Gustavus Adolphus College Board of Trustees: June 21, 2009.

Pet Policy (Effective June 1, 2016)

Purpose: The purpose of this policy is to promote the wellbeing and safety of Gustavus Adolphus College students, faculty, staff, and visitors and to protect the College’s property/assets. This policy is intended to provide clear guidelines for the allowance of pet/service animals on campus.

Scope: This policy applies to all on-campus, College-controlled properties, including the arboretum and all athletic facilities. This policy standardizes the College’s position on the management of animals on Gustavus property. Campus Safety is charged with enforcement of this policy.

Rationale: Pets can pose various health and safety risks to the campus community including allergic reactions to animal dander, excessive noise, discomfort around animals, fear of animal bites, and disease transmission. Individuals that require the use of a service animal are at particular risk. For example, a dog running at large poses a hazard to an individual using a service dog, should there be a confrontation between the two animals.

Definitions

  1. College-Controlled Property: Property that is owned, operated, and/or maintained by the College.
  2. Service Animal: A guide dog, signal dog, or other animal individually trained to do work or perform tasks for the benefit of an individual with a disability. St. Peter Police K-9s are also considered service animals as well as other animals that work for emergency personnel. Comfort animal use prescribed and documented through a healthcare professional will also be considered service animals for the purpose of this policy.
  3. Research and Teaching Animals: Approved animals used directly in support of the College’s mission of teaching, research, and/or clinical programs as used in accordance with guidelines established by the Office of the Provost and the Institutional Animal Care and Use Committee.
  4. Pets at Large: An animal that is either unattended and/or unrestrained by its owner.

Inside/Outside Facility Guidelines

It is prohibited to bring dogs, cats, or other pets inside any College-controlled buildings, except for the animals listed in the exemption section of this policy. While on College-controlled properties, pets must be maintained on a leash of six feet or shorter, on a restraining harness, or in a caged enclosure. With the exception of the animals listed in the exemption section, pets are not allowed in the arboretum, or at/on any indoor or outdoor athletic facilities. Pets will not be allowed (leashed or unleashed) at any special events or College functions (e.g., Nobel Conference, Homecoming, athletic venues) with the exception of any specific event that has been approved 45 days in advance by the Vice President for Finance and Treasurer, who serves as the college’s officer for risk management issues.

Pet owners are responsible for cleaning up any messes made by their pet. Anyone who brings a pet on College-controlled property assumes all financial responsibility for any damages to property or injury to individuals caused by the animal.

Pets may not be tethered to College buildings, structures, motor vehicles, trees, railings, light poles, benches, posts, or other structures.

Prohibited Animals (Non-Service)

Animals such as poisonous reptiles, constricting snakes (e.g., Boas, Pythons, and Anacondas) and other potentially dangerous or aggressive animals are prohibited from all College-controlled property (inside and outside) at all times, except those used for approved academic or experimental purposes.

Failure to Comply

  1. Prohibited Animals on College-Controlled Property: Any prohibited animals on a College-controlled property must be removed immediately. If a prohibited animal is observed on a College-controlled property, the owner may face disciplinary measures by appropriate authorities, which may include Campus Safety, Residential Life, Provost or Human Resources.
  2. Unattended or Unrestrained Animals: If an unrestrained/unattended animal is observed, a reasonable attempt will be made to locate the animal’s owner. If the owner is located, he/she may face disciplinary measures by the appropriate disciplinary authorities (see above). If attempts to find the animal’s owner are unsuccessful, the City of St. Peter Community Service /Animal Control Officer will be contacted and will be asked to remove the animal from College property.
  3. Property Damage: The College will seek restitution for any animal-related damage to College-controlled property, facilities, or grounds. The repair or replacement cost of damaged property is the sole responsibility of the owner of the animal that caused the damage.

Exempted Pets and Other Animals

The animals listed below are permitted inside College-controlled property:

  1. Service / prescribed comfort animals.
  2. Research and testing animals.
  3. Fish in containers of fifteen (15) gallons or less.
  4. Pets at/in the President’s House or residence hall professional staff apartments.

Although these animals are permitted within the buildings and facilities, these animals must remain under the control of the owner at all times. The care or supervision of an exempted animal is solely the responsibility of its owner. The College reserves the right to exclude an exempted animal whose behavior poses a threat to the wellbeing or safety of others.

Cabinet Approved: February 2016.

Parental Leave

Gustavus Adolphus College is committed to supporting faculty and staff in managing their professional and parental responsibilities. A primary goal of the parental leave policy is to allow both the faculty or staff member and the College the opportunity to maintain the integrity of the classroom and supporting services while avoiding an undue burden on either the individual or the department. All provisions and applications of this policy are meant to be consistent with federal and state law and the Family and Medical Leave Act (FMLA).

Eligibility

Full-time employees, part-time employees who have worked an average of 20 hours or more per week for 12 months, and part-time faculty employed for at least 12 months preceding the commencement of a parental leave, are eligible for six weeks of paid parental leave for maternity, paternity, or adoption. If a female employee needs a leave longer than six weeks due to medical complications of pregnancy and/or childbirth, she has the right to additional paid leave on the same basis as others with temporary health-related disabilities.

Terms and Conditions

Under the provisions of the Family and Medical Leave Act (FMLA), the College provides eligible employees with up to six weeks of paid leave and an additional six weeks of unpaid leave for the purpose of birth, adoption, or foster care placement; medical care of a child, spouse, or parent, or when the employee has a serious health problem.

Parental Leave may be completed anytime within a twelve-month period following the birth or adoption. Parental Leave will run concurrently with leaves available under the FMLA and Minnesota Parental Leave Law. An employee who has already used FMLA leave for purposes other than birth or adoption may be eligible for up to six weeks of unpaid leave.

Parental leave shall count as time in service toward salary determination and eligibility for sabbatical leave. The College’s contribution for health, disability and life insurance premiums shall be paid in full during all parental leave arrangements. Retirement benefits will be proportionate to salary or wages earned.

Application Process

A request for Parental Leave of Absence should be originated and signed by the employee as soon as the need for a leave is identified, submitted to the immediate supervisor or chair, and forwarded through the appropriate Vice President or Dean to the Human Resources Department. All agreements on the leave, including extensions, should be in writing. Upon return to work at the end of the leave, the employee will be reinstated to the same or a comparable position without loss of status, pay, or accrued benefits.

Faculty members should refer to the additional policies below.

Terms and Conditions

Eligible faculty members who welcome a child in the summer may take leave anytime within nine months of the resumption of their contract period to be arranged with the department and the Provost’s Office. Parental Leave will run concurrently with leaves available under the FMLA and Minnesota Parental Leave Law. A faculty member, who has used FMLA leave for purposes other than birth or adoption, may be eligible for up to six weeks of unpaid leave.

The Faculty Manual governs the timing of tenure decisions.

Menu of Possible Options

The following is a sample of several past parental leave arrangements with full benefits. This list is not comprehensive, nor is it guaranteed that all of these past arrangements will be possible in every instance. The Provost’s Office recognizes that circumstances may necessitate arrangements not covered by this list; faculty should work with their Department Chair and Dean to develop a mutually agreeable leave plan.

  • six weeks paid and an additional 6 weeks unpaid
  • one semester leave at 2/3 salary
  • one course release at full salary
  • combination of one course release and shifting remaining course load to January or a different semester at full salary
  • teaching courses on an accelerated schedule at full salary (must be approved by the AOC)
  • co-teaching courses that will allow the faculty member going on leave to be absent for a portion of those courses
  • six weeks paid leave and administrative duties for the remainder of the semester
  • intermittent leave arrangements

Adopted by the Gustavus Adolphus College Board of Trustees: April 24, 2015.

Post-Employment Medical Benefits Plan

Article I. Establishment and Purpose of Plan

Section 1.1 Establishment. Gustavus Adolphus College (hereinafter the "College"), established, effective as of June 1, 1990, a. plan of medical benefits for the benefit of eligible long-term employees of the College, known as the GUSTAVUS ADOLPHUS COLLEGE POST-EMPLOYMENT MEDICAL BENEFITS PLAN (the "Plan"). The Plan is hereby restated effective January 1, 2010. The Plan is administered by the Benefits Committee of the College as required for a plan to have the status of "church plan" under the Internal Revenue Code.

Section 1.2 Purpose. The purpose of the Plan is to provide eligible long-term employees with a plan of medical benefits following employment.

Article II. Definitions

Section 2.1 Definitions. Whenever used in the Plan, the following words and phrases shall have the meanings set forth below unless the context plainly requires a different meaning, and when the defined meaning is intended, the term is capitalized:

"College" means Gustavus Adolphus College, a Minnesota nonprofit corporation, located in Saint Peter, Minnesota.

"Effective Date" means the date on which the Plan became effective, i.e. June 1, 1990. The Effective Date of this restatement of the Plan is January 1, 2010.

"Eligibility Date" means the date an Eligible Employee terminates employment from the College or if earlier, the date the Eligible Employee no longer works in service described in the definition of "Eligible Employee."

"Eligible Employee" means an employee of the College who is a full-time member of the faculty, a faculty member serving with a joint appointment, a librarian working three-fourths or more of a full-time assignment, an administrator working three-fourths or more of a full-time assignment, or a member of the noncontract working staff working thirty or more hours per week for nine or more months, provided, however, that the term Eligible Employee shall not include (i) student employees; (ii) temporary employees; (iii) part-time employees including limited part-time faculty members; or (iv) any person employed by the College who is a part of a unit of employees covered by a collective bargaining agreement, unless such collective bargaining agreement expressly provides for the inclusion of such person. In the case of spouses employed by the College under a joint faculty appointment, such spouses jointly shall be entitled to the benefits of one (1) Eligible Employee under this Plan.

"Plan" means the "Gustavus Adolphus College Post-Employment Medical Benefits Plan" as set forth herein and as may be amended or restated from time to time.

Section 2.2 Gender and Number. Except as otherwise indicated by context, masculine terminology used herein also includes the feminine and neuter, and terms used in the singular may also include the plural.

Article III. Plan Benefit

Section 3.1 Plan Benefit. Each participant (and eligible spouse, if any) shall be entitled to medical coverage under a group medical arrangement of the College. The Plan may be fully insured or self-funded or fully insured in part and self funded in part. It is intended that the Plan benefits be of the type commonly referred to as a comprehensive major medical plan, which can include a Medicare supplement arrangement that coordinates with Medicare, but the College reserves the right to change the plan benefits in accordance with Article VI of this document. The documents describing the medical benefits are incorporated by reference into this Plan.

Article IV. Participation

Section 4.1 Participation Requirements. An Eligible Employee must meet the following participation requirements in order to participate in the Plan:

  1. The Eligible Employee must be covered by the College’s medical plan as of the Eligibility Date;
  2. The Eligible Employee must complete an application for Plan benefits;
  3. The Eligible Employee must be at least 60 years of age as of the Eligibility Date (65 years of age for Eligible Employees whose Eligibility Date occurred before June 1, 1996);
  4. The Eligible Employee must have accumulated at least 20 years of satisfactory service to the College as an Eligible Employee as of the Eligibility Date (25 years of satisfactory service to the College as an Eligible Employee for Eligible Employees whose Eligibility Date occurred before June 1, 1996);
  5. An Eligible Employee who has attained age 65 must provide evidence of acceptance that Plan benefits will be coordinated with Medicare, whereby Medicare is the primary coverage, and must agree to apply for Part B Medicare benefits when eligible for such benefits.
  6. An Eligible Employee who has not attained age 65 must agree to provide evidence of acceptance as set forth in the previous subsection at such time as the Eligible Employee attains age 65, and must agree to apply for Part B Medicare benefits when eligible for such benefits.
  7. An eligible spouse who has attained age 65 must provide evidence of acceptance that Plan benefits for the spouse will be coordinated with Medicare, whereby Medicare is the primary coverage, and must agree to apply for Part B Medicare benefits when eligible for such benefits.
  8. An eligible spouse who has not attained age 65 must agree to provide evidence of acceptance as set forth in the previous subsection at such time as the eligible spouse attains age 65, and must agree to apply for Part B Medicare benefits when eligible for such benefits.
  9. The Eligible Employee must agree that spousal coverage will be limited to the spouse of the Eligible Employee at the time the Eligible Employee first becomes a Participant in the Plan.
  10. The Eligible Employee and any eligible spouse must agree to pay any portion of the premiums for the coverage required to be paid by the Eligible Employee and eligible spouse through an automatic payment directly to the College from a checking, savings or other financial institution account.

Section 4.2 Commencement of Participation. Eligible Employees who meet the Participation Requirements may enter on the entry date after first becoming eligible. Entry dates shall be the first day of each month, and such other dates that the College may establish.

Section 4.3 Delayed Participation. Each Eligible Employee shall have the option of delaying participation in the Plan by electing to continue their current plan of medical benefits to the extent permitted by the College under the College’s medical plan. Plan entry following such continuation coverage shall be subject to the same rules of eligibility that would have applied if the employee had not elected continuation coverage.

Section 4.4 Termination of Participation

      1. A Participant shall terminate participation in the Plan on the first to occur of the following events:
        1. The Participant’s death;
        2. The Participant’s failure timely to pay the Participant’s portion of contributions required under the Plan, including a failure to establish or maintain automatic payment of premiums as required under Section 4.1.j;
        3. The Participant’s failure to provide satisfactory evidence of Medicare Parts A and B coverage at age 65;
        4. The effective date of an Amendment to the Plan that eliminates coverage for the Participant;
        5. The effective date of the termination of the Plan.
      2. The spouse of a Participant shall terminate participation in the Plan on the first to occur of the following events:
        1. The effective date of the Participant’s termination of participation in the Plan, except that termination of the spouse’s coverage shall not occur under this subsection if the Participant’s coverage terminated because of the Participant’s death;
        2. The spouse’s death;
        3. The spouse’s divorce or legal separation from the Participant;
        4. The spouse’s remarriage after the death of the Participant;
        5. The spouse’s failure to pay the spouse’s portion of contributions required under the Plan, including a failure to establish or maintain automatic payment of premiums as required under Section 4.1.j;
        6. The spouse’s failure to provide satisfactory evidence of Medicare Parts A and B coverage at age 65;
        7. The effective date of an Amendment to the Plan that eliminates coverage for the spouse;
        8. The effective date of the termination of the Plan.

Article V. Contributions

Section 5.1 College Contributions. The amount of the College contribution to the Plan shall be determined by the Benefits Committee of the College on an annual basis for the Plan year, and such determination shall be made prior to June 1 of each year.

Section 5.2 Employee Contributions. The amount and frequency of the contribution to the Plan shall be determined by the Benefits Committee of the College on an annual basis for the Plan year, and such determination shall be made prior to June 1 of each year.

Article VI. Amendment, Modification and Termination of the Plan

Section 6.1 Amendment, Modification and Termination of the Plan. The College expects to continue the Plan indefinitely; however, the College reserves the right to amend or terminate the Plan at any time and for any reason. If the Plan is amended or terminated, retired employees may not receive benefits as described in the Plan. It is possible that all benefit coverage under the Plan could terminate for any or all retirees. There is no vesting of benefits under the Plan. Unless and until changed by the College, the College delegates to the Finance Committee the authority to amend or terminate the Plan, concurrent with the authority of the College also to amend or terminate the Plan.

Article VII. Administrative Provisions

Section 7.1 Plan Administrator. The administration of the Plan shall be under the supervision of the Benefits Committee of the College. It shall be a principal duty of the Benefits Committee to see that the Plan is carried out, in accordance with its terms, for the benefit of persons entitled to participate in the Plan. The Benefits Committee will have full power to administer the Plan. For this purpose, the Benefits Committee’s powers will include, but will not be limited to, the following authority, in addition to all other powers provided by this Plan:

  1. To make and enforce such rules and regulations as it deems necessary or proper for the efficient administration of the Plan, including the establishment of any claims procedures for the Plan;
  2. To interpret the Plan, which interpretation will be final and conclusive on all persons claiming benefits under the Plan;
  3. To decide all questions concerning the Plan and the eligibility of any person to participate in the Plan;
  4. To compute the amount of benefits which will be payable to a Participant or other person in accordance with the provisions of the Plan and any benefits payable thereunder, and to determine the person or persons to whom benefits will be paid;
  5. To authorize the payment of benefits;
  6. To determine contribution levels for the College and Plan participants;
  7. To appoint such agents, counsel, accountants, consultants, actuaries, and other persons as may be required to assist in administering the Plan; and
  8. To allocate and delegate its responsibilities under the Plan and to designate other persons to carry out any of its responsibilities under the Plan.

Section 7.2 Examination of Records. The Benefits Committee will make available to each Participant such of its records under the Plan as pertain to the Participant, for examination at reasonable times during normal business hours.

Section 7.3 Reliance on Tables, etc. In administering the Plan, the Benefits Committee will be entitled to the extent permitted by law to rely conclusively on all tables, valuations, certificates, opinions and reports which are furnished by accountants, counsel or other experts employed or engaged by the Benefits Committee.

Section 7.4 Indemnification of Benefits Committee. The College agrees to indemnify and to defend to the fullest extent permitted by law any employee assisting or serving as a member of the Benefits Committee (including any employee or former employee who formerly assisted or served as a member of such Committee) against all liabilities, damages, costs and expenses (including attorney’s fees and amounts paid in settlement of any claims approved by the College) occasioned by any act or omission to act in connection with the Plan, if such act or omission is in good faith.

Section 7.5 Plan Year. The Plan Year shall be the period from June 1 to May 31 each year.

Article VIII. Claims and Review Procedure

Section 8.1 Applicability. Claims for medical benefits shall be determined under the certificate of coverage or other benefit document applicable to the participant’s claim. Other claims for benefits shall be determined under this claims procedure.

Section 8.2 Initial Claim for Benefit. If any person believes he or she is being denied any rights or benefits under the Plan, such person may file a claim in writing with the Benefits Committee. If any such claim is wholly or partially denied, the Benefits Committee will notify such person of its decision in writing. Such notification will be written in a manner calculated to be understood by such person and will contain (i) specific reasons for the denial, (ii) specific reference to pertinent Plan provisions, (iii) a description of any additional material or information necessary for such person to perfect such claim and an explanation of why such material or information is necessary and (iv) information as to the steps to be taken if the person wishes to submit a request for review. Such notification will be given within 90 days, after the claim is received by the Benefits Committee (or within 180 days, if special circumstances require an extension of time for processing the claim, and if written notice of such extension and circumstances is given to such person within the initial 90-day period).

Section 8.3 Appeal of Claim Denial. If the Benefits Committee determines that the participant is not eligible for benefits, or if the participant believes that the participant is entitled to greater or different benefits, the participant may have the claim reviewed by following the claims review procedure of this paragraph. A participant who wishes to have a claim reviewed must file a written petition for review with the Benefits Committee within 60 days after the participant has been given the notice of claim denial from the Benefits Committee. The petition shall state the specific reasons the participant believes that the participant is entitled to benefits or greater or different benefits and should include any information that the participant believes relevant to the petition. The Benefits Committee shall give notice to the participant of its decision in writing within 60 days after receipt of the petition for review, stating specifically the basis of the decision written in a manner calculated to be understood by the participant and the specific provisions of the plan on which the decision is based. If because of special circumstances, the 60-day period is not sufficient, the decision may be deferred for up to another 60-day period at the election of the Benefits Committee but notice of this deferral must be given to the participant.

Section 8.4 Claims Generally. The Benefits Committee has full discretion to determine benefit claims under the plan. Any interpretation, determination or other action of the Benefits Committee shall be subject to review only if it is arbitrary or capricious or otherwise an abuse of discretion. Any review of a final decision or action of the Benefits Committee shall be based only on such evidence presented to or considered by the Benefits Committee at the time it made the decision that is the subject of review. If a participant wishes to seek review of the Benefits Committee’s decision in court, the participant must first exhaust the administrative reviews and appeals procedures under the plan before bringing a lawsuit in state or federal court. Such a lawsuit must be brought before the earlier of 30 months after the claimant knew or reasonably should have known of the principal facts on which the claim is based or six months after the claimant has exhausted the claims procedure under the plan.

Approved by the Gustavus Adolphus College Board of Trustees: October 9, 2009.

Retaliation Policy

Gustavus Adolphus College expressly prohibits retaliation against any individuals who make complaints (e.g. discrimination) against the College, their witnesses, supporters, and any advisors regardless of the outcome of the complaint. If a member of the campus community believes that he or she is experiencing retaliation, the individual may pursue a grievance through the Office of the Ombudsperson, Human Resources, Dean of Students, Academic Dean, or other appropriate senior supervisor, as appropriate.

Approved by the Administrative Council July 15, 1999.

Record Retention and Destruction Policy

Gustavus Adolphus College (“the College”) takes seriously its obligations to preserve information relating to litigation, audits, and investigations. The information listed in the retention schedule below is intended as a guideline and may not contain all the records the College may be required to keep in the future. Questions regarding the retention of documents not listed in this chart should be directed to the President. From time to time, the President may issue a notice, known as a “legal hold,” suspending the destruction of records due to pending, threatened, or otherwise reasonably foreseeable litigation, audits, government investigations, or similar proceedings. No records specified in any legal hold may be destroyed, even if the scheduled destruction date has passed, until the legal hold is withdrawn in writing by the President.

File Category Item Retention Period
Corporate Records By-laws and Articles of Incorporation Permanent
  Corporate resolutions Permanent
  Board and committee meeting agendas and minutes Permanent
  All-College Policies Permanent
  Conflict-of-interest disclosure forms 4 years
Finance and Administration Financial statements (audited) Permanent
  Auditor management letters 7 years
  Payroll records 7 years
  Check register and checks 7 years
  Bank deposits and statements 7 years
  Chart of accounts 7 years
  General ledgers and journals (includes bank reconciliations) 7 years
  Investment performance reports 7 years
  Equipment files and maintenance records 7 years after disposition
  Contracts and agreements 7 years after all
obligations end
  Correspondence — general 3 years
Insurance Records Policies — occurrence type Permanent
  Policies — claims-made type Permanent
  Accident reports 7 years
  Safety (OSHA) reports 7 years
  Claims (after settlement) 7 years
  Group disability records 7 years after end
of benefits
Real Estate Deeds Permanent
  Leases (expired) 7 years after all
obligations end
  Mortgages, security agreements 7 years after all
obligations end
Tax IRS exemption determination and related correspondence Permanent
  IRS Form 990s Permanent
  Charitable Organizations Registration Statements (filed with Minnesota Attorney General) Permanent
Human Resources Employee personnel files Permanent
  Retirement plan benefits (plan descriptions, plan documents) Permanent
  Employee handbooks and faculty manuals Permanent
  Workers compensation claims (after settlement) 7 years
  Employee orientation and training materials 7 years after use ends
  Employment applications 3 years
  IRS Form I-9 (store separate from personnel file) Greater of 1 year
after end of service,
or three years
  Withholding tax statements 7 years
  Timecards, including electronic time reports 3 years
Technology Software licenses and support agreements 7 years after all
obligations end

Electronic Documents and Records

Electronic documents will be retained as if they were paper documents. Therefore, any electronic files that fall into one of the document types on the above schedule will be maintained for the appropriate amount of time. If a user has sufficient reason to keep an e-mail message, the message should be printed in hard copy and kept in the appropriate file or moved to an “archive” computer file folder. Backup and recovery methods will be tested on a regular basis.

Emergency Planning

The College’s records will be stored in a safe, secure, and accessible manner. Documents and financial files that are essential to keeping the College operating in an emergency will be duplicated or backed up.

Document Destruction

The President is responsible for the forgoing process of identifying College records, that have met the required retention period, and overseeing their destruction. Destruction of financial and personnel-related documents will be accomplished by shredding.

Document destruction will be suspended immediately, upon any indication of an official investigation or when a lawsuit is filed or appears imminent. Destruction will be reinstated upon conclusion of the investigation.

Compliance

Failure on the part of employees to follow this policy can result in civil and criminal sanctions against the College and its employees and disciplinary action against responsible individuals. The Vice President for Finance and the Audit Committee will periodically review these procedures with legal counsel or the College’s certified public accountant to ensure that they are in compliance with new or revised regulations.

Approved by the Gustavus Adolphus College Board of Trustees: June 21, 2009.

Responsible Conduct of Research (RCR) Policy

Policy

Gustavus Adolphus College requires all students, as well as those with post-baccalaureate and post-doctoral research positions, who are conducting research paid for by local, state, or federal grant funds to complete training in the responsible conduct of research (RCR). Principal Investigators and Project Directors (PI/PD) are responsible for ensuring that these researchers who are working on their government funded projects complete all required trainings on time. The Director of the Office of Government Grants and Sponsored Programs serves as the RCR Administrator for Gustavus.

As part of the America Creating Opportunities to Meaningfully Promote Excellence in Technology, Education, and Science (COMPETES) Act, the National Science Foundation introduced RCR training requirements in 2010. Subsequently the United States Department of Agriculture and the National Institutes of Health have implemented training requirements. Though this Gustavus RCR policy meets and exceeds the standards of many government agencies, it does not meet the requirements of the National Institutes of Health. If a researcher is participating in NIH funded work, please consult the Director of Government Grants and Sponsored Programs to develop a compliant training plan.

Areas of training at Gustavus will include authorship, collaborative research, conflicts of interest, data management, mentoring, peer review, research misconduct, and plagiarism. Training for research involving animal care and use, and research involving human subjects is also required as relevant. Training is valid for four years, however refresher courses are recommended after three years. This training, as well as other trainings required by Gustavus such as lab safety training, are in place to protect the College, PI/PDs, students, and other employees conducting research at Gustavus.

Requirements

  1. All relevant web-based training requirements must be met prior to beginning work on the government-funded project.
  • Online RCR Course: All student, post-bac and post-doc researchers must complete an online Responsible Conduct of Research course. Instructions for completing this training can be found at https://gustavus.edu/grants/policies/.
  • Human Subjects: Those conducting research involving human subjects must complete the supplemental online training module. Consult the Gustavus Institutional Review Board regarding any additional training requirements.
  • Animal Subjects: Those conducting research with animals must complete the supplemental online training module. Consult Gustavus Institutional Animal Care and Use Committee regarding any additional training requirements.
  1. In-person training must be completed either before the employment start date, or within the term the researcher begins work (January or spring semester, summer, fall semester). This training will be offered at least three times each calendar year. A training schedule can be found at https://gustavus.edu/grants/policies/.
  2. Certificates or other documentation of training completion shall be provided to the PI/PD and the Director of Government Grants and Sponsored Programs within 7 days of finishing each training requirement.

Non-Compliance

If it is determined that a researcher has been working without completing the required trainings, the researcher faces possible suspension or termination of employment at Gustavus, and the PI/PD faces possible funding disallowances and sanctions. Notification of and sanctions associated with non-compliance will follow the timeline outlined below:

Within seven days of determination of Non-Compliance, the researcher and PI/PD will receive an email notification that proof of training has not been received, including the consequences of continued non-compliance with College policy.

If a researcher has been out of compliance for 14 days, the researcher and PI/PD will receive a warning email that formally outlines the sanctions associated with non-compliance with Gustavus policy. The relevant Dean or VP will be copied.

After 30 days or more of non-compliance, employment of the researcher will be suspended until the researcher is in compliance with College policy. The PI/PD will be required to discuss the circumstances surrounding the non-compliance with the relevant Dean/VP and the Director of Government Grants and Sponsored Programs. Within the subsequent seven days, the PI/PD will receive formal notification that details any funding disallowances and sanctions in effect upon receipt of the letter.

Sanctions will include:

  • notice of non-compliance with Gustavus policy will be placed in the permanent personnel file of the PI/PD;
  • the PI/PD will be barred from seeking external funding for a period up to 2 years; and
  • the PI/PD will be ineligible for internal grants for a period up to 2 years.

Approved by the President’s Cabinet: August 21, 2017.

Smoking and Tobacco Policy

As of July 1, 2018 Gustavus Adolphus College is a tobacco free college. Tobacco use is prohibited within all college campus grounds, college owned or leased properties, and in campus-owned, leased, or rented vehicles even when used outside campus grounds.

Tobacco products include but are not limited to cigarettes, cigars, pipes, water pipes (hookah), bidis, kreteks, smokeless tobacco, chewing tobacco, snus, snuff, electronic cigarettes and any non-FDA approved nicotine delivery device.

Approved by the Administrative Council: September 14, 1993. Reviewed by the Gustavus Adolphus College Board of Trustees: June 27, 1994. Revised by the President’s Cabinet: March 6, 2018.

Policy for Submission of Proposals for External Funding

At Gustavus Adolphus College, the Director of Corporate and Foundation Relations in Advancement (CFR) and the Director of Faculty Grants in the Office of Government Grants and Sponsored Programs (GGSP) are the College’s authorized representatives for the submission of proposals for external funding. The offices of GGSP and CFR are committed to facilitating the submission of highly competitive proposals that conform to government regulations, agency guidelines, and College policies. They work closely with Principal Investigators and Project Directors (PI/PD), assisting throughout the process of seeking and managing external funding – from the point of having an idea through to closing out the grant and submitting final reports. As part of this process, they review and submit proposals on behalf of the College, and facilitate the acceptance and management of awards for sponsored projects on behalf of the College in collaboration with the Offices of Finance, the Provost, Advancement, and the President.

All external funding proposals must be reviewed and approved by GGSP or CFR before submission to the external sponsor, or before submission of Gustavus’ materials to a collaborating institution for inclusion in their proposal to an external sponsor. This includes applications, pre-proposals, letters of intent, concept papers, contracts, subcontracts, and fellowships, regardless of funding source or whether funds are awarded to the College or to the individual. Prior to approving a submission, GGSP or CFR will review all proposal materials and assist with collecting internal approvals. At times GGSP or CFR may request changes to bring a proposal into compliance with guidelines and policies, or suggest changes that will enhance competitiveness. The signature of either the Director of GGSP or CFR on the required External Funding Approval Form certifies that commitments made on grants, contracts, and agreements can be honored, verifies the accuracy of information provided on grant proposals or contract agreements, and ensures that all sponsored agreements conform to relevant policies. When the proposal is complete and all approvals have been secured, GGSP or CFR submits the proposal or authorizes the PI/PD to submit the proposal to the sponsor.

Internal Deadlines for Proposal Review

The offices of GGSP and CFR can provide the highest level of service to faculty and staff when adequate lead time is given to review and approve a proposal prior to submission. The following timeline represents a minimum for GGSP or CFR to provide feedback and a thorough review of an application. A more detailed list of steps, along with other resources, can be found at www.gustavus.edu/grants. Remember your submission date might be the day your materials are due to a collaborator, not necessarily the grant deadline.

  1. Discuss your idea with GGSP or CFR. Some projects will require internal vetting which will be required at least one month prior to the submission deadline. Longer lead times will be necessary if your project involves collaborators, institutional commitments or course reassignments, or is a limited submission opportunity, for example.
  1. As soon as possible, at least 12 full working days prior to the planned submission date – Confirm timeline and plan upcoming submission with GGSP or CFR. This allows staff to allocate time for providing feedback and reviewing proposal components.
  1. At least 7 full working days prior to the submission date – Provide GGSP or CFR with a project budget and budget justification, along with a draft version of the narrative that is suitable for review.
  1. At least 3 full working days prior to the submission date – Provide GGSP or CFR with all final proposal documents and a completed External Funding Approval Form. Following a final review of the proposal GGSP or CFR will then submit the application or authorize the PI/PD to do so.

Late Submission to Internal Deadlines and Unauthorized Submissions

Proposals submitted after the internal deadlines will be processed on a first-come-first-served basis. Priority is given to complete proposals that are submitted on time and to proposals components submitted for review based on the agreed upon timelines. The PI/PD assumes the risk that late or incomplete proposals may not be approved for submission, may not meet external submission deadlines, or may be submitted without adequate review. Such a proposal may be withdrawn from funding consideration upon full review should it contain errors or lack internal approvals that would preclude Gustavus Adolphus College’s acceptance of an award.

When a proposal is submitted without review and approval by GGSP or CFR, the following consequences or repercussions may occur:

  • If improperly budgeted, the PI/PD will be responsible for covering required budget components or any over spending that may result. These may be covered by a PI/PD via a department budget, via an unrestricted endowed line associated with the PI/PD, or via other means. If being paid by a Gustavus restricted or unrestricted fund, approval by the Provost’s Office is required for faculty PI/PDs and approval by the primary supervisor is required for staff or administrator PI/PDs.
  • Award terms and conditions may preclude Gustavus from accepting the award.
  • Unauthorized signatures or inadequate negotiation of award terms and conditions may render the award invalid and result in immediate termination of the project.
  • The College and the PI may not be able to negotiate salary, benefits, leaves or other institutional commitments that were included in the proposal, thus resulting in declining or terminating an award.

Approved by the President’s Cabinet: November 8, 2016.

Tax Exempt Bonds Policy

Purpose of Policy

Tax exempt debt used for the benefit of Gustavus Adolphus College (“the College”) by the Minnesota Higher Education Facilities Authority (“MNHEFA”) is a lower cost alternative to taxable debt and a valuable tool for financing capital projects. The interest on the bonds that is paid to bondholders is excluded from Federal and Minnesota income tax if applicable Federal tax laws are satisfied. The requirements fall under two categories – prior to issuance and after issuance. A signed bond counsel opinion at closing is assurance that the requirements that must be satisfied on or prior to issuance have been addressed. In order for the bonds to remain tax exempt through maturity, certain other requirements must be met.

Who Needs to Know This Policy

College staff involved in some aspect of any bond issue who direct or influence the following processes:

  • Pre-issuance processes and decision-making including identification of eligible projects and due diligence on tax aspects of the project(s)
  • The use of bond proceeds and timing of expenditures
  • Investing of bond proceeds and arbitrage yield restriction and rebate processes
  • Private use of property financed by tax-exempt bonds, including leases, and management and services agreements
  • The creation and retention of documentation relating to use of proceeds, investment restrictions and arbitrage rebate calculation, return filings, and private usage
  • Recording and reporting of financial transactions related to tax-exempt bonds and bond financed projects

Definitions

Qualified 501 (c)(3) bonds – Tax-exempt bonds, the proceeds of which are used by a 501 (c)(3) charitable organization in furtherance of its exempt purpose. The bonds are issued by a state or local government agency such as the Minnesota Higher Education Facilities Authority and are supported by a repayment obligation from the charitable organization to the governmental agency.

Private business use – Examples of private business use include: 1). Unrelated trade or business use and 2). Private use by parties other than the charitable organization of the tax-exempt debt-financed property. Generally, no more than 5% of the proceeds of tax exempt bonds may be used for private business use of the tax-exempt financed property. For purposes of the 5% limit on private business use, bond issuance costs financed with bond proceeds (approximately 2%) are included as private business use, so typically, private business use is limited to 3%.

Arbitrage – Investment earnings on bond proceeds in excess of bond interest paid to bondholders during the construction period, adjusted for certain expenses.

Applicable Federal law – Includes the Internal Revenue Code and regulations promulgated thereunder, including IRC sections 145-150 and related regulations. Note: IRS Publication 4077, Tax-Exempt Bonds for 501 (c)(3) Charitable Organizations Compliance Guide provides guidance and explanation for most areas of tax-exempt financing relevant to the College.

Tax certificate – The loan agreement and certificate as to tax matters signed by the College at the closing of the bond issue in which the College makes certain representations, warranties and covenants relating to its 501 (c)(3) status, the tax eligibility of the project(s) and the College’s operations.

Treasurer’s Office – The employee of the College holding the title of Vice President for Finance and Treasurer.

Policy

It is the College’s policy to comply with applicable Federal tax laws to ensure that bonds issued for its benefit maintain their tax exempt status. The College will incorporate the guidelines of the office of Tax-Exempt Bonds of the Internal Revenue Service, Tax Exempt and Governmental Entities division, in Publication 4077 and the Article “TEB Post Issuance Compliance: Some Basic Concepts” to establish post issuance compliance procedures. The procedures will be reviewed annually and updated as needed to reflect changes in requirements or the IRS guidelines for post issuance compliance procedures.

Use of bond proceeds and project eligibility - The College will comply with all applicable Federal, State and contractual restrictions regarding the use and investment of bond proceeds. Bond proceeds shall be disbursed for:

  • Project costs
  • Capitalized interest
  • Bond issuance costs, including arbitrage rebates

To be an eligible project, the property being funded must be owned or, under certain circumstances, leased by the College and the intended use must be consistent with the College’s 501 (c)(3) exempt purposes. In addition, the project’s address must be listed in the TEFRA notice. The Treasurer’s Office will apply additional technical criteria to determine eligibility of the project(s) (e.g. useful life of project(s)).

Timing of the use of bond proceeds – At the time that the bonds are issued, it must be intended and expected that the project(s) will be completed within three years of issuance.

Private business use of tax-exempt financed property – Five percent or less of bond issue proceeds may be used for private business purposes, and such use may only occur if an accordance with tax certificate provisions and in compliance with applicable Federal law. Costs of issuance are counted against the 5% limit. The Treasurer’s Office annually analyzes the status of the tax-exempt financing with regard to the private use limitations.

Change of use – Change of a project’s use or contemplated change of use must be reported to the Treasurer’s Office prior to the implementation of the proposed change in use to ensure compliance with applicable regulations.

Arbitrage – The Internal Revenue Code (Section 148 and the Regulations thereunder) provides that interest on bonds is not exempt from tax if the bonds are arbitrage bonds. To the extent required by applicable laws, regulations and bond covenants, the College will comply with all arbitrage rebate requirements. The Treasurer’s Office will annually determine any accrued rebate liability, record the liability in the financial statements, and make provisions for reserving funds for rebate purposes.

Sale of property involving bond proceeds – Prior to the time that property involving bond proceeds is sold, the Treasurer’s Office will contact the Executive Director of MNHEFA and bond counsel of the College to discuss potential ramifications.

Filing of returns – The Treasurer’s Office works with Springsted Incorporated, the financial advisor for the MNHEFA, to prepare and file returns with the IRS relating to arbitrage.

Annual monitoring – The Treasurer’s Office will monitor for compliance of College debt with bond covenants and Minnesota and Federal laws and regulations. A debt covenant spreadsheet is updated on an annual basis by the Treasurer’s Office.

Education – The Treasurer’s Office will seek education and training on updates to Federal tax law regarding tax-exempt bonds from MNHEFA.

Record retention – The records relating to tax-exempt bonds (use and investment of proceeds) shall be maintained for the entire term of the bonds issue plus three years, or in the case of an issue refunded by one or more subsequent issues, for the combined term of the issues plus three years.

Noncompliance-If discovery that any applicable tax restrictions regarding use of bond proceeds and bond-financed assets may be violated, the College will consult promptly with bond counsel and the Executive Director of MNHEFA to determine a course of action to remediate all non-qualified bonds, if such counsel advises that a remedial action is necessary.

Approved by the President’s Cabinet: December 17, 2013.

Travel Policy

Travel at College expense is allowed for persons who travel on College business as approved by the department chairperson, supervisor or budget officer. Anticipated expenses should be discussed with the chairperson, supervisor or budget officer prior to making arrangements. Expenses incurred outside the parameters of this policy may not be reimbursed.

This travel policy complies with Internal Revenue regulations and requirements of governmental funding agencies. Your help in assisting the College stay in compliance with these agencies, as well as reasonable expectations of our donors, is greatly appreciated.

Airline Travel Policy

  1. Use your Gustavus purchase card to charge your flight. If you purchase your ticket on the internet, please make sure to print a copy of the confirmation to attach to your Wells Fargo statement.
  2. Research different options to obtain a reasonably low-priced ticket.
  3. If you commit to a ticket for which the price seems unusually high, you will be contacted by the Finance Office to discuss the circumstances of this request.
  4. If you purchase tickets using a travel or airline agent, additional surcharges apply.
  5. When a non-employee accompanies a College traveler, the airfare for the non-employee should not be charged to the College.
  6. Employees are strongly encouraged to use travel agents when purchasing tickets for a group. They can provide valuable assistance with securing refunds, changing names on tickets and assisting with emergencies.

Transportation by Private Plane

Commercial aircraft carriers are to be used whenever possible. Transportation by private plane is not authorized. Either the College’s President or Vice President for Finance and Treasurer must give permission to charter an air flight. In the rare event that a chartered flight is authorized, the following measures and steps should be taken, in consultation with the Finance Office:

  1. Only FAA Regulation Part 135 should be used
  2. All chartered flights are with recognized, experienced fixed-base operators
  3. All chartered flights are on multiple engine jet aircraft
  4. The Finance Office will submit the certificate of insurance (from the charter carrier’s insurance company) to EIIA for review. Gustavus will be listed as “an additional insured” on the certificate of insurance
  5. The seating capacity on the aircraft is within the College’s non-owned aircraft liability insurance requirement
  6. The charter company will provide the College with a hold harmless and indemnification agreement.

Allowable Travel Expenses

Reasonable expenses incurred by the employee will be reimbursed and may include:

  1. Accommodations: It is expected that whenever possible, employees will use moderately priced facilities. A detailed listing of these charges must be attached to your Wells Fargo statement. If the listing includes charges other than room and taxes, additional documentation must be attached. Reimbursement will not be given for the purchase of in-room movies or mini-bar purchases. If it is necessary to cancel a reservation, inform the hotel or travel agency immediately. Charges for unused reservations are the employee’s responsibility. Advise the hotel about early departures to avoid penalties.
  2. Ground Transportation: Taxis, shuttles and public transportation are allowed between terminals, hotels, places of business, etc., whenever necessary.
  3. Registration Fees: Registration fees should be processed before the conference begins. If registration is completed using the internet, a copy of the registration should be printed and attached to your Wells Fargo statement.
  4. Rental Vehicles: Use of rental vehicles is restricted to situations where commercial transportation is not available or impractical, or when a rental car is more effective. The original receipt must be attached to your Wells Fargo statement. When an employee is on College-sanctioned business in the U.S., the driver should “decline” the optional insurance coverage. However, when a vehicle is rented in connection with international travel, the optional travel insurance should be purchased. Collision damage waiver and liability insurance supplement are provided through the College’s auto physical damage and auto liability insurance policies.
  5. Use of College Vehicle: College vehicles are available for approved travel by contacting the switchboard. If you are reserving a van, additional guidelines apply. Please contact Safety and Security for specific procedures.
  6. Use of Private Vehicle for Transportation: Mileage will be reimbursed based on miles used for business use, not personal travel using the current standard IRS rate. Expenses for gasoline, repairs, etc. are included in the mileage allowance. Commuting to and from work is not reimbursable mileage. Under the provisions of Minnesota no-fault insurance laws, the owner of a vehicle and the owner’s insurance company are primarily responsible in the event of an accident.
  7. Meals: The College will reimburse for meals, when appropriate. All charges made on your credit card should include a detail of the purchase. In addition to itemized receipts, the business purpose of the entertainment and names of the individuals being entertained must be provided. Good stewardship is expected. Generally, the College considers the maximum meal and incidental allowances established by the IRS to be reasonable. At certain destinations, the College realizes the IRS rate is unreasonable. For additional guidance and clarification on daily thresholds for meals and incidentals at specific locations, please consult the IRS website at www.irs.gov, Publication Number 1542. If you exceed the IRS daily maximum for meals and incidentals, an explanation should be attached to your expense report. When meals are included in the cost of the conference, meals taken elsewhere are not considered valid travel expenses.
  8. Tips: Tips should not exceed 15% of the cost of service, unless automatically charged.
  9. Laundry and Dry Cleaning: Laundry and dry cleaning is only allowed on extended trips when it is not practical to bring enough clothing for the whole trip.
  10. Telephone: Telephone calls for business purposes are allowed. Personal phone calls are only allowed on extended trips, but only at the rate of one personal call per three days of travel.

Unallowable Travel Expenses

Unallowable expenses may include:

  1. When a non-employee accompanies the traveler and is not traveling on College business, expenses should not be charged to the College. In the case of airfare, payment arrangements should be made directly by the employee.
  2. Personal charges such as valet service, entertainment not considered College-related, trip insurance, in-room movies, gifts, souvenirs and personal purchases.
  3. Airline club memberships.
  4. Auto club memberships.
  5. Theft or loss of personal belongings or money.
  6. Gifts to individuals in lieu of payments for lodging unless prior approval by a vice president has been obtained.
  7. Non-business meals and/or transportation.
  8. Undocumented expenses.

General

  1. Your Gustavus purchase card should be used for all your travel-related expenses, if possible. To obtain a card, contact the Finance office.
  2. All expenses must be summarized in an orderly fashion. Please note any expenses not supported by a receipt.
  3. All expenses must be supported by an original receipt. Per federal regulations, we are required to maintain records for a period of seven years so if you need a copy of a receipt, we can provide it for you.

Approved by the President's Council of Gustavus Adolphus College: October 14, 2008.

Unpersoned Aircraft Systems (Drones and Model Aircraft) Policy

I. Scope

This policy applies to:

  • Gustavus Adolphus employees and students operating Unpersoned aircraft systems (UAS) in any location as part of their College employment or as part of College activities;
  • The operation by any person of Unpersoned aircraft system or model aircraft on or above Gustavus Adolphus property;
  • The purchase of Unpersoned aircraft systems with funding through Gustavus Adolphus, including College accounts, grants, or foundation accounts and;
  • The hiring for or contracting for any Unpersoned aircraft services by a Gustavus Adolphus unit.

II. Purpose of Policy

Gustavus Adolphus must comply with Federal Aviation Administration (FAA) requirements, Gustavus Adolphus College policy, and any other locally applicable laws or regulations regarding Unpersoned aircraft systems. Inherent risks in the operation of such equipment require additional insurance provisions and policy considerations..

III. Policy Statement

The operation of Unpersoned aircraft systems including drones and model aircraft is regulated by the FAA and relevant state law. Therefore, all individuals who operate UAV or UAS systems on the Gustavus Adolphus College campus are personally responsible for complying with FAA regulations, state and federal laws, and College policies regarding use of Unpersoned aircraft systems. Gustavus Adolphus has established procedures to ensure compliance with those legal obligations and to reduce risks to safety, security and privacy considerations.

IV. Procedures

A. The operation of a drone, UAV or UAS over and/or inside Gustavus Adolphus College property is prohibited without the written approval of the Gustavus Director of Campus Safety (or his/her designee).

B. Individuals wishing to operate an UAS as part of their College employment or as part of a College program must obtain a 333 exemption or Certification of Waiver or Authorization (COA) issued by the FAA and submit it with an application for UAS use*. Application forms may be obtained at the Campus Safety Office, 035 Norelius Hall.

C. Any College employee, student, or unit purchasing a UAS (or parts to assemble a UAS), or UAS services with College funds or funds being disbursed through a College account, or grant funds, must contact the Director of Campus Safety in order to assess the College’s ability to obtain a COA, other necessary FAA exemptions, or meet local compliance requirements.

D. College owned UAV’s and UAS’s need to be registered with the campus safety office and reported to the College’s insurance carrier. Application forms may be obtained at the Campus Safety Office, 035 Norelius Hall.

E. Any third party or hobbyist wishing to use a UAS or model aircraft over and/or inside Gustavus College property must first receive approval through the Director of Campus Safety. In order to obtain approval, any operator that is not a College employee or student conducting work on behalf of a College program, must file an application and submit a $1,000,000.00 general liability insurance certificate to the Director of Campus Safety at least 72 hours prior to the planned operation.** Application forms may be obtained at the Campus Safety Office, 035 Norelius Hall.

F. Third parties or hobbyists planning the use of UAS must also provide proof of FAA approval. In addition, operation of UAS by a third party or hobbyist over College property must be under a contract which holds the College harmless from any resulting claims or harm to individuals and damage to College property and provides insurance as required by the Director of Campus Safety. In operating a UAS for purposes of recording or transmitting visual images, operators must take all reasonable measures to avoid violations of areas normally considered private. Minnesota law provides that a person who surreptitiously installs or uses any device for observing, photographing, recording, amplifying, or broadcasting sounds or events through the window or other aperture of a sleeping room in a hotel, as defined in section 327.70, subdivision 3, a tanning booth, or other place where a reasonable person would have an expectation of privacy and has exposed or is likely to expose their intimate parts, as defined in section 609.341, subdivision 5, or the clothing covering the immediate area of the intimate parts; and commits a gross misdemeanor.

G. Once approved for the use of a UAS device by the Director of Campus Safety, Campus Safety should ensure proper notification of local law enforcement and aviation agencies.

H. All data collected from a UAS through an agreement between Gustavus Adolphus College and a third party, is the intellectual property of Gustavus Adolphus.

I. Any operator of a UAS (i.e. person actually flying the UAS, whether College employee, student, hobbyist or third party) must be at least 17 years old, passed an aeronautical knowledge test (to be taken every 24 months to maintain certification) and has an FAA UAS operator certificate. In addition,

  1. Flights are limited to daylight hours and in good weather.
  2. Flights are limited to 500 feet altitude and no faster than 100 mph.
  3. UAS must weigh less than 55 pounds.
  4. Operator is responsible for ensuring an aircraft is safe before flying (i.e. perform a preflight inspection that includes checking the communications link between the control station and the UAS, assess weather conditions, location of people, etc.).
  5. Operator must maintain visual line of sight of the UAS with unaided vision (except for eye glasses).
  6. Operator must discontinue the flight when continuing would pose a hazard to other aircraft, people or property.
  7. UAS cannot be flown over people, except for those directly involved in the flight.
  8. Operating the UAS in a careless or reckless manner is prohibited.
  9. Dropping any objects from the UAS is prohibited.
  10. Operator must respect the privacy of others- avoid flying over private property or taking photos or videos without permission.

* The Gustavus Director of Campus Safety is the FAA account holder for COAs for the College; the Director reviews and processes all applications on a case-by-case basis.
** An application may be denied if an individual fails to provide proof of insurance, FAA registration of their device (if required) or proof of a remote pilot certificate.

V. Appropriate and Prohibited Uses

A. UAS shall not be used to monitor or record areas where there is a reasonable expectation of privacy in accordance with accepted social norms. These areas include but are not limited to restrooms, locker rooms, individual residential rooms, changing or dressing rooms, and health treatment rooms.

B. UAS shall not be used to monitor or record residential hallways or residential lounges.

C. UAS shall not be used to monitor or record sensitive institutional or personal information that may be found, for example, on an individual’s workspace, on computer or other electronic displays.

Definitions

Gustavus Adolphus Property – Buildings, grounds, and land that are owned by Gustavus Adolphus College or controlled by Gustavus Adolphus College via leases or other formal contractual arrangements to house ongoing Gustavus operations.

COA – Certificate of Authorization or Waiver. According to the FAA, the COA is an authorization issued by the Air Traffic Organization to a public operator for a specific UA activity. After a complete application is submitted, FAA conducts a comprehensive operational and technical review. If necessary, provisions or limitations may be imposed as part of the approval to ensure the UAS can operate safely with other airspace users. In most cases, FAA will provide a formal response within 60 days from the time a completed application is submitted.

333 Exemption – FAA exemption based on Section 333 of the FAA Modernization and Reform Act of 2012 (FMRA) which grants the Secretary of Transportation the authority to determine whether an airworthiness certificate is required for a UAS to operate safely in the National Airspace System.

Unpersoned Aircraft Systems (UAS) – UAS are also known as or may be characterized as Drones. According to the FAA, a UAS is the Unpersoned aircraft and all of the associated support equipment, control station, data links, telemetry, communications and navigation equipment, etc., necessary to operate the Unpersoned aircraft. UAS may have a variety of names including quadcopter, quadrotor, etc. FAA regulation applies to UAS regardless of size or weight. Model aircraft are not considered by the FAA as UAS and have different regulations.

Model Aircraft – Model aircraft are considered differently by the FAA than other UAS and have different regulations. Model aircraft are not for business purposes, only for hobby and recreation. (Use of UAS related to Gustavus Adolphus College does not qualify as model aircraft regulations.) Model aircraft must be kept within visual sightline of the operator, and should weigh under 55 pounds unless certified by an aeromodeling community-based organization. Model aircraft must be flown a sufficient distance from populated areas.

VI. Sanctions

Any violations of College policies by an individual will be dealt with in accordance with applicable College policies and procedures, which may include disciplinary actions up to and including termination from the College. Students who violate this policy may be subject to discipline through the Gustavus Adolphus College disciplinary conduct system. Disciplinary action for employees who are in violation this policy will be determined by their supervisor, in consultation with the Director of Campus Safety and any other affected parties.

Legal prohibitions regarding physical presence on campus/trespassing and other legal action may also be pursued against third parties that operate UAS in violation of this policy.

Fines or damages incurred by individuals or units that do not comply with this policy will not be paid by Gustavus Adolphus College and will be the responsibility of those persons involved.

Approved by the President’s Cabinet: October 11, 2016.

Weapons

The personal possession of firearms in all campus buildings and on all campus property is strictly prohibited. This prohibition applies to all students, employees, independent contractors, and visitors, including those who have a valid permit to carry a concealed weapon. Individuals who possess a valid permit to carry a firearm may however, keep it locked in the trunk or glove compartment their vehicle in a campus parking lot. This prohibition does not apply to authorized security or law enforcement personnel. Individuals wishing to store firearms and ammunition at Gustavus can do so by bringing them to the Office of Safety and Security, Room 35A, Norelius Hall basement.

Except under circumstances noted above, students and employees are prohibited from using, storing or possessing weapons, fireworks or explosives on property owned or controlled by the College and/or in the course of any College program or employment. Weapons may include, but are not limited to: firearms, pellet guns, air rifles or BB guns, paintball guns, bows and arrows, sling shots, water balloon launchers, martial arts equipment, swords, switchblade and large knives, and clubs.

If you are aware that an individual possesses a firearm, or other weapon or explosives in violation of this policy, please contact Safety and Security (933-8888) immediately.

Approved by the Gustavus Adolphus College Board of Trustees.