All-College Policies

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Letter to the Gustavus Community


To the Gustavus Community

I am pleased to share with you this copy of current 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 booklet 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,
Kirk D. Beyer
Director of Human Resources

June 2006

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

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.

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.

Board Approved: 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.
  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.

Board Approved: 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.

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

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.

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

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 accountmeans:

  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.

Board Approved: April 24, 2009

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.

Board Approved: June 21, 2009

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

New parents who are full-time faculty and staff, part-time faculty employed for at least a year, or part-time employees who have worked an average of 20 hours or more per week during the 12 months preceding the commencement of a parental leave, are eligible for six weeks of paid parental leave for maternity, paternity, or adoption if the leave occurs during the employee's work year. If a female faculty or staff member 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 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. Parental Leave will run concurrently with leaves available under the FMLA and Minnesota Parental Leave Law. An employee who has 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. Parental leaves shall also be counted as part of the probationary period prior to a tenure decision unless the individual and the Academic Dean agree in writing to an exception to this rule at the time the leave is granted.

The College's contribution for health, disability and life insurance premiums shall be paid in full during paid parental leaves. 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, 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.

Originally approved by the Gustavus Adolphus College Board of Trustees: October 17, 1994, clarified and reinterpreted in 2006 by the Department of Human Resources.

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 Board of Trustees on 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.

Board Approved: June 21, 2009

Policy Against Harassment and Sexual Harassment

Section 1 - 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 gender, 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 faculty members, staff members, or students.

Complaints of sexual harassment or sexual misconduct brought against faculty or staff will be addressed by this policy.

Complaints of sexual misconduct brought against a student will be addressed by the Student Sexual Misconduct Policy.

Complaints of harassment by a student which are not sexual misconduct will be addressed under this policy.

Complaints of sexual harassment directed toward a student and brought against a student will be addressed by this policy.

Complaints of sexual harassment directed toward a faculty or staff member by a student and where the faculty or staff wishes to pursue a claim against the student will follow the process outlined in this policy.

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

Section 2 - 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.

“Sexual Harassment” is any behavior of a sexual nature that is unwelcome, offensive, or fails to respect the rights and dignity of others whether directed towards a person of the opposite or same sex. Unwelcome sexual advances, requests for sexual favors, and other physical, verbal, or visual conduct based on sex constitute sexual harassment when:

  1. Submission to the conduct is an explicit (clear) or implicit(implied) term or condition of employment or academic progress;
  2. Submission to or rejection of the conduct is used as the basis for an employment or academic decision and the conduct has the purpose or effect of unreasonably interfering with an individual's work performance or academic progress or creates an intimidating, hostile, or offensive working or academic environment.

Examples of sexual harassment might include, but are not limited to:

  1. Use of demeaning terms that draw attention to an individual's sex or sexuality;
  2. Use of words of a sexual nature describing body parts or sexual acts, telling suggestive jokes or stories, and engaging in unwelcome conversations about sexual exploits or sexual desires;
  3. Repeated unwelcome invitations to social engagements or work-or school-related activities;
  4. Any indication that an employee's job security, job assignment, conditions of employment, or opportunities for advancement or a student's academic progress or success depend on the granting of sexual favors to any other employee, supervisor, or faculty member;
  5. Offensive physical conduct or physical closeness;
  6. Displaying sexually suggestive objects, pictures, cartoons, or representations of any action or subject which is sexual in nature and which can be perceived as offensive.

“Sexual misconduct” includes Non-Consensual Sexual Contact (or attempts to commit same) Non-Consensual Sexual Intercourse (or attempts to commit same) and Sexual Exploitation and is defined as follows:

Non-Consensual Sexual Contact is
  • 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.
Non-Consensual Sexual Intercourse is
  • any sexual intercourse (vaginal, anal, or oral)
  • however slight,
  • with any object or body part,
  • 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.
Sexual Exploitation

Occurs when an individual takes non-consensual or abusive sexual advantage of another for his/her own advantage or benefit, or to benefit or advantage anyone other than the one being exploited, and that behavior does not otherwise constitute one of other sexual misconduct offenses.

Sexual Exploitation may include, but is not limited to:
  • intentional and repeated invasion of sexual privacy (e.g., walking into the other person’s room or private space);
  • prostituting another person,
  • non-consensual video or audio-recording or electronically broadcasting (e.g., with a web cam) of sexual activity,
  • intentionally allowing others to view/hear a sexual encounter without consent (such as letting individuals hide in the closet to watch consensual sex),
  • engaging in voyeurism,
  • knowingly transmitting an STI or HIV to another student without their knowledge,
  • exposing one’s genitals or breasts in non-consensual circumstances; inducing another to expose their genitals or breasts,
  • stalking and/or bullying may also be forms of sexual exploitation.

Section 3 - Power Differentials and “consent”

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, the College strongly discourages romantic and/or sexual relationships between faculty and students, between staff and students, or between supervisors and subordinates. It should be noted that in such cases "consent" may not constitute a defense.

Section 4 - Resources for Addressing Harassment and Sexual Harassment Concerns

The College designates Harassment Advisors and Harassment Grievance Officers. Harassment Advisors 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 Advisors 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 Advisor. In all circumstances, the Advisor 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.

Immunity

The College community encourages the reporting of incidents of harassment and sexual 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 or sexual harassment.

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.

Section 5 - Procedure for Harassment and Sexual Harassment Complaints

Interim Accommodations

Upon hearing of a complaint or concern regarding harassment and/or sexual harassment, a Harassment Advisor 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.

Possible Steps

The Harassment Advisor then will take one of three actions.

  1. In certain circumstances the Harassment Advisor 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 Advisor will file a summary report with the Director of Human Resources. If this informal resolution cannot be reached, either the complainant or the Harassment Advisor will refer the case to the Harassment Grievance Officer.
  2. If the complaint is for sexual harassment and is brought against a faculty or staff member, the complaining party will be directed to this policy. If the complaint is for sexual misconduct including harassment and the complaint is brought against a student, the complainant will be directed to the Student Sexual Misconduct Policy.
  3. The Harassment Advisor 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 Advisor or another support person during these preliminary discussions with the Harassment Grievance Officer.
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 Advisor 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.
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 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 and/or sexual 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 and sexual 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.

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 Advisor, 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.

Section 6 - Harassment Advisors and Confidentiality

A person who wishes that a complaint or concern regarding harassment or sexual harassment be investigated is encouraged to contact a Harassment Advisor. A person who believes that she or he has experienced harassment or sexual harassment may also, at his or her choice, take the concern directly to a Harassment Grievance Officer. To locate the names of Harassment Advisors 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 Advisor, 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.

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. In the alternative, an individual may contact a Harassment Adviser, who will then contact the Board Chair.

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

The College takes incidents of harassment and sexual 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.

Other Reporting Options – Law Enforcement and Office for Civil Rights

Harassment and sexual 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 and/or sexual harassment also have the right to file a formal complaint with the United States Department of Education, Office for Civil Rights (OCR). Discrimination based on sex is prohibited by Title IX of the Education Amendment of 1972 and is enforced by 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 sex, as well as other categories such as 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

Section 7 - Confidentiality, Privacy, and Reporting Policy with respect to Sexual Harassment not covered by the Student Sexual Misconduct Policy

Anyone wishing to report or discuss sexual harassment incidents should be aware that employees on campus have different reporting responsibilities and different abilities to maintain confidentiality or privacy, depending on their roles at the College. Further information on these reporting responsibilities is provided in the Student Sexual Misconduct Policy (https://gustavus.edu/deanofstudents/policies/gustieguide/sexual-assault.php#misconduct).

Approved by the Cabinet – April 16, 2013

Smoking Policy

All indoor areas on the Gustavus Adolphus College campus are designated as tobacco and smoke free.

Approved by the Administrative Council of Gustavus Adolphus College: September 14, 1993. Reviewed by the Gustavus Adolphus College Board of Trustees: June 27, 1994.

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.

December, 2013

Technology Acceptable Use Policy

Approved by the Administrative Council of Gustavus Adolphus College: April 15, 2003.

Policy Statement

Technology resources provided by Gustavus Adolphus College are privileges made available to students, faculty, staff and approved guests of the College to facilitate and enhance their work, teaching, learning, and scholarly research. These resources include college-owned hardware, software, accompanying network resources, and technology support personnel. All constituents are expected to exercise responsibility, use technology resources ethically, respect the rights and privacy of others, and operate within the bounds of state and federal law, as well as the educational mission of the College.

Intended Use of Technology

The intended use of the College's technology resources is to support teaching, learning, research and campus services. Use of technology must be consistent with this purpose. Activities that are not in keeping with the intended use will not be tolerated, and may result in revocation of privileges. Such activities may include, but are not limited to

  • Activities that violate federal and state statutes or copyright laws
  • Activities that interfere with or deny access to other users
  • Activities that jeopardize the security or integrity of the system
  • Activities that are harassing, fraudulent, or threatening
  • Activities that significantly diminish or impede the educational use of these resources or flow of network traffic to other users, such as email spamming, file sharing or game playing
  • Activities that alter the configuration of college owned equipment in campus labs and other public areas, including the installation of software
  • Activities that are commercial in nature
  • Activities that create a hostile or offensive work environment

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. You should assume materials you find on the Internet are copyrighted unless a disclaimer or waiver is expressly stated. 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

Educational institutions enjoy special exemptions from copyright protection called Fair Use, whereby reasonable portions of copyrighted material may be distributed by instructors to students in a class. For further information see the Library of Congress's Copyright Office Circular 21: Reproduction of Copyrighted Works by Educators and Librarians at: http://www.copyright.gov/circs/circ21.pdf

Violations

The College strives to direct its efforts to the enhancement of technology resources and not the policing of the use of those resources. Engaging in any activity that violates the intended use of campus technology will result in the disabling of the offender's technology privileges, and will be referred to the appropriate college judicial organization for review and any disciplinary recourse. Violations of state or federal law may be reported to the appropriate authorities.

Travel Policy

Approved by the President's Council of Gustavus Adolphus College: 10/14/2008

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.

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.


Last modified: November 10, 2010