Click to return to the FGCU Home Page Florida Gulf Coast University
SACS Self Study Report

Preface | Introduction | Section I | Section II | Section III | Section IV | Section V | Section VI | Summary


Section VI Administrative Processes

Introduction
The Commission on Colleges expects a member institution to have governance and administrative structures appropriate to higher education and have financial and physical assets adequate to support the purpose of the institution. Stability and security are crucial to institutional well being, as are effective resource procurement, deployment, and accountability. Academic self-governance, a time-honored value, implies broad participation in policy-making and implementation. Planning for and garnering necessary support are also integral to the accomplishment of institutional purpose.

The principles of institutional effectiveness as outlined in Section III pertain to the governance, organization, administration and financial/physical management of the institution. It is expected that each office, function, or unit will establish goals which derive from and support the purpose of the institution, evaluate its success in achieving these goals, and demonstrate the use of the evaluation in making appropriate modifications in resources, programs and services.

It is implicit in every requirement in the Criteria for Accreditation mandating a policy or procedure that the policy or procedure be in writing, be approved through appropriate institutional processes, be published in appropriate institutional documents accessible to those affected by the policy or procedure, and be implemented and enforced by the institution.

6.1 Organization and Administration

The administration of an institution of higher education has the responsibility for bringing together its various resources and allocating them effectively to accomplish institutional goals. Although the organizational pattern is important to an institution's development and affects the morale of its faculty, an identical pattern of organization for all member institutions is neither required nor expected.

Florida Gulf Coast University (FGCU) was established by the Florida legislature in 1991 to serve Southwest Florida. As part of the State University System of Florida, FGCU is governed, regulated, and coordinated by the Florida Board of Regents, subject to the general supervision of the State Board of Education. Authority is delegated by the governor of Florida and the State Board of Education through the commissioner of education and the Florida Department of Education. The Board of Regents is appointed by the governor and confirmed by the legislature. Although the Board of Regents acts independently, its primary responsibility is to implement state statutes relative to higher education in the state universities. The chancellor of the State University System serves as the chief administrative officer, is appointed by the Board of Regents, and works directly with the Board of Regents as a non-voting officer to implement Board of Regents decisions relative to the operation of the State University System. From time to time, Chancellor's Memoranda (CM) are issued as interpretations of such laws, rules, and decisions. For financial and budget reporting purposes, the State University System is a part of the primary government of the State of Florida.

Florida Gulf Coast University is organized into three divisions: Academic Affairs, Administrative Services, and University Development. Each division is administered by a vice president reporting to the president of university. The organizational structure and administrative processes for the university are well defined, published, and made accessible through a series of written procedures. The procedures are based upon mission statements and state and federal regulations. The academic components of the institution are organized largely by programs of study, while the administrative units are organized on a functional basis.

6.1.1 Descriptive Titles and Terms

Description

The name of an institution, the titles of chief administrators, the designations of administrative and academic divisions, the terms used to describe academic offerings and programs, and the names of the degrees awarded must be accurate, descriptive and appropriate.

Institution Name

Chapter 240.2011, Florida Statutes, defines the State University System as the Board of Regents and ten state universities, including Florida Gulf Coast University, with a main campus located in Fort Myers. Rule 6C-10, Florida Administrative Code, identifies the public business practices in the university's rules.

Titles of Administrative Heads

Section 240.227, Florida Statutes, empowers the president as the chief administrative officer of the university. The president, who is appointed by the Board of Regents for an indefinite term, is responsible for the operation and administration of the university and for the development and adoption of the rules and policies by which it is governed in accordance with the rules and polices of the Board of Regents and the laws of the State of Florida. The chancellor and Board of Regents conduct an annual evaluation of each university president. This evaluation is based on program goals that have been set jointly by the board, the chancellor, and the president pursuant to Rule 6C-4.002, Florida Administrative Code. The staff of the president consists of three vice presidents, a director of special programs and assistant to the president for distance learning, an assistant to the president for university and government relations, a director of academic support services and EEO programs, an inspector general, a director of special programs, an executive assistant, a senior administrative assistant, and two executive secretaries.

Rule 6C10-5.002, F.A.C., states that the president delegates to the vice president of academic affairs, the vice president of administrative services, and the vice president of university development the authority to make all appointments and decisions within the area for which he/she is responsible. The Executive Staff is composed of the president and vice presidents and acts as the governing body and decision making structure for the university.

The vice president of academic affairs is the chief academic officer of the university and advises the president on academic and other matters related to the academic mission of the university. The chief academic officer is responsible for coordinating and directing programs related to the academic affairs functions including, but not limited to, College of Arts and Sciences, College of Health Professions, College of Professional Studies, College of Business, Division of Student Services, Library Services, Office of Instructional Technology, Office of Planning and Evaluation, WGCU-TV/FM, Office of Environmental Education, and Contracts and Grants. The vice president of academic affairs is assisted by the Deans Council which encompasses four college deans (Arts and Sciences, Business, Health Professions, and Professional Studies), dean of student services, dean of instructional technology, dean of library services, and dean of planning and evaluation.

The vice president of administrative services is the chief financial officer of the university and advises the president on all financial and business affairs of the university. The chief financial officer is responsible for coordinating and directing departments related to the administrative services functions including, but not limited to, purchasing, human resources, facilities planning, physical plant, campus police and safety, administrative computing, budget, and finance and accounting.

The vice president of university development advises the president on all matters relating to fundraising. The chief development officer is responsible for coordinating and directing the functions related to fundraising for the university, including but not limited to, cultivation of private support from alumni, friends, foundations, corporations, and other sources.

Terms Used to Describe Academic Offerings and Programs

The titles of administrative and academic divisions, terms for academic offerings and programs, and the degrees awarded are published in the Schedule of Classes. The Schedule of Classes contains a brief description of the academic offerings and programs of each school, college, and unit of the university. The Schedule of Classes is verified and/or updated each term. The first university catalog was published in fall 1998 and there are plans to make it available on Florida Gulf Coast University's Web site. The initial curriculum offered by Florida Gulf Coast University received an extensive review and approval by the Board of Regents. General course content and prerequisites are standardized across the State University System for all courses identified with the same course number in compliance with the Statewide Course Numbering System.

Names of the Degrees Awarded

The Board of Regents has authorized Florida Gulf Coast University to offer the following degrees:

Bachelor of Arts (BA) Master of Business Administration (MBA)

Bachelor of Science (BS) Master of Education (MEd)

Master of Arts (MA) Master of Social Work (MSW)

Master of Science (MS) Master of Public Administration (MPA)

The university is also authorized by the BOR to begin planning for a specialist in education degree.

Analysis

All of the titles and terms used to describe designations are accurate and descriptive titles for the functions being performed. The Human Resources Department maintains position descriptions for all administrative personnel and organizational charts for each department. New employees attending the New Employee Orientation Program are provided with the names, titles, and brief biographies of the top university administrators.

The terms used to describe academic offerings and programs and the names of degrees awarded are accurate, descriptive, and appropriate within the State University System; and the Board of Regents has properly approved the curriculum and degree titles. The university has relied on fact sheets, which are distributed through student services and admissions, to disseminate descriptive information concerning program offerings and requirements for degrees. Course listing and course descriptions are available in the catalog and on the university's Web site.

Recommendations

None.

Suggestions

S6.1.1-1 The Steering Committee suggests the university's catalog be published electronically as scheduled during the fall of 1998.

6.1.2 Governing Board

Description

Although titles and functions vary, the governing board is the legal body responsible for the institution and for policy making. A military institution authorized and operated by the federal government to award degrees and prohibited by authorizing legislation from having a board with ultimate legal authority must have a public board which, in policy and practice, carries out the normal functions of a board as described in these criteria. Except under clearly defined circumstances, board action must result from a decision of the whole, and no individual member or committee can take official action for the board unless authorized to do so.

The duties and responsibilities of the governing board must be clearly defined in an official document. This document must also specify the following: the number of members, length of service, rotation policies, organization and committee structure, and frequency of meetings. There must be appropriate continuity in the board membership, usually provided by staggered terms of adequate length. In addition, the document should include provisions governing the removal of a board member from office. A board member may be dismissed only for cause and by procedures involving due process.

The responsibilities of the governing board must include the following functions: establishing broad institutional policies, securing financial resources to support adequately the institutional goals, and selecting the chief executive officer. In addition, the governing board must have in place proper procedures to ensure that it is adequately informed about the financial condition and stability of the institution. The board must not be subject to undue pressure from political, religious or other external bodies. Furthermore, it should protect the administration from similar pressures.

There must be a clear distinction, in writing and in practice, between the policy-making functions of the governing board and the responsibility of the administration and faculty to administer and implement policy. General institutional policies should originate within the board or should be approved by the board upon recommendation of the administration. Once these have become official policies, the administration should implement them within a broad framework established by the board.

The governing board for Florida Gulf Coast University is the Board of Regents. The authority and responsibilities of the Board of Regents are specified in Chapter 240, Florida Statutes, and in Rules 6C-1 through 6C-10, F.A.C. The Board of Regents consists of the commissioner of education and 12 citizens (one of whom shall be a member registered as a full-time student in the State University System). The terms of office for 11 of the members of the Board of Regents are for six-year periods. The twelfth member, the student representative to the board, is selected on an annual basis. The governor selects members of the board; however, no appointee shall take office until three members of the cabinet of the State of Florida have approved appointment. Pursuant to Section 240.207, F.S., board members' terms are staggered to provide continuity of membership. Removal from the board, for cause, may occur at any time upon the concurrence of a majority of the members of the State Board of Education.

The Board of Regents meets approximately bi-monthly in public session at various locations throughout the state, a practice that affords access to university constituencies and to the public at large. Board actions result from a decision of the whole, not an individual member or committee. The public is welcome to make its views known to the board members. The regulations under which the Board of Regents operates require that decisions be made by an affirmative vote of a majority of all members of the board, Rule 6C-1.005, F.A.C. The chair of the Board of Regents appoints committees of the board. All actions of committees are recommendations to the board, unless otherwise authorized by the board.

The Board of Regents assists in maintaining appropriate relationships with the governor's office, the legislature, the State Board of Education, the commissioner of education, the Department of Education and various other state agencies. Further, the Board of Regents assists in requesting and obtaining appropriate legislation, including funding, from the legislature, which supports individual missions and goals of each university. The Board of Regents is primarily responsible for adopting system-wide rules and policies; planning for the future needs of the State University System; monitoring and controlling the financial and physical development of the university system; reviewing and evaluating instructional, research, and service programs; and selecting the chief executive officer of the institution. Rules adopted by the Board of Regents are forwarded to the State Board of Education, which exercises general oversight supervision.

The Board of Regents has oversight and approval responsibility for all matters relating to the financial condition and stability of the State University System. In addition, it prepares the legislative budget request, including fixed capital outlay request pursuant to Chapter 216, F.S., used to define future system resource needs. However, the Board of Regents is not directly involved in matters relating to the administration of university business without prior consultation with the president of Florida Gulf Coast University. University level policy-making authority and the implementation of university programs are recognized by law and can be located in the Florida Statutes and Florida Administrative Code, particularly Section 240.227, F.S., and Rule 6C-4.001, F.A.C., respectively.

The Board of Regents maintains state comptroller's audit staff on nine of the ten universities. Florida Gulf Coast University is the only university in the state that does not have a state comptroller's field office on campus. Therefore, the university must utilize the University of South Florida state comptroller's field office located in Tampa, Florida. The inspector general, who reports directly to the president and indirectly to the Board of Regents, is responsible for the internal audit program of the university and also participates in audits for the State University System. The state auditor general also conducts audits of financial aid and other financial and institutional practices.

Analysis

In the state of Florida, the Board of Regents is the governing board of all the universities in the State University System. The duties and the organizational and membership structure of the BOR are clearly defined. The BOR, through internal auditing and reporting systems established in its governing regulation, has in place proper procedures to be adequately informed about the financial condition and stability of the university, Rule 6C-1.014, F.A.C. The board is appointed and operated in such a manner as to protect it from undue influence. The duties and powers of university presidents are specified in Rule 6C4.001, F.A.C. The role of the faculty is specified in the Faculty Handbook and the Faculty Governance Structure and Process which was adopted May 3, 1998.

The function of the governing board of the State University System is well documented in Florida Statutes and the Florida Administrative Code. A clear distinction exists between the policy-making function of the Board of Regents and the responsibilities of the administration and faculty to implement those policies. The roles of administrators and faculty are embodied in state statute and administrative code. These policies are understood, observed, and implemented. The annual audit conducted by the auditor general's office can be used as a barometer of the effectiveness and efficiency of the university operations. This audit can be used not only as an internal indicator of operations, but also as basis to compare FGCU's performance with the performance of other state universities. With only two audit criticisms, the most recent report (for FY 1996-97) indicates a strong trend toward compliance by the university. The two issues mentioned in the audit concerned the need to ensure that all employees receive annual evaluations of personnel performance according to timelines prescribed in BOR rule and the need to deal with the year 2000 problem. The university has taken steps to ensure compliance in both areas.

Recommendations

None.

Suggestions

S6.1.2-1 The Steering Committee suggests the university continue to encourage the establishment of a state comptroller's field office on the campus of Florida Gulf Coast University.

6.1.3 Advisory Committees

Description

Whenever lay advisory committees are used by institutions, these committees should be active and their role and function clearly defined.

In fulfilling FGCU's mission and guiding principles, the university's administration and academic units have established numerous advisory committees. Many of the members of the advisory committees are lay persons in the university's five-county service region. These individuals provide special expertise and insights regarding the institution's programs and activities. Following is a list of the advisory committees, the frequency that they meet, and the current status of the committee.

UNIT COMMITTEE FREQUENCY STATUS

I. Academic

College of Health Professions

Physical Therapy Program Advisory Committee Quarterly Current

Nursing Program Advisory Board Three times/annually Current

Community Curriculum Bi-annual Current

Interdisciplinary Studies Gerontology Bi-annual Current

Health Professions Practice Bi-annual Current

Health Administration Bi-annual Current

Allied Health Education Bi-annual Current

Clinical Laboratory Science Advisory Council Quarterly Current

Occupational Therapy Advisory Council Bi-annual Current

College of Professional Studies

School of Education Advisory Council As needed Current

School of Public and Social Services

Criminal Justice Executive Committee Monthly Current

Advisory Board Quarterly Current

Communication Network As needed Current

Social Work/Human Services Advisory Committee Quarterly Current

Public Administration Advisory Committee Bi-annual Current

College of Business

College Advisory Board To be determined Developing

Computer Information Systems Advisory Committee To be determined Developing

Accounting Advisory Committee To be determined Developing

Finance Advisory Committee To be determined Developing

Management and Decision Science Advisory Committee To be determined Developing

Marketing Advisory Committee To be determined Developing

College of Arts and Sciences

None

II. Administrative

President Advisory Board As needed Current

Distance Learning Advisory Committee As needed Current

Purchasing Advisory Committee Quarterly Current

Analysis

The university has established advisory committees as a method of communication and linkage between the university and the external community. Program improvement and new program development efforts are also supported by these committees. Many advisory committees are currently under development. Although the general role and function of the advisory committee for most of the academic programs and administrative areas is to provide advice and input on program activities and serve as a liaison between the program and the community, specific guidelines and recommended activities are generally not clearly stated.

Recommendations

None.

Suggestions

S6.1.3-1 The Steering Committee suggests that advisory committees for academic programs and administrative units develop clear and concise written policies regarding their specific roles and functions.

6.1.4 Official Policies

Description

The institution must publish official documents which contain, but are not limited to, the following information: the duties and responsibilities of administrative officers, the patterns of institutional organization, the role of faculty in institutional governance, statements governing tenure or employment security, statements governing due process, and other institutional policies and procedures that affect the faculty and other personnel.

One of the major challenges to the establishment of a new university is the development of policies and procedures to govern the wide spectrum of responsibilities and activities required of an institution of higher education. It was incumbent upon FGCU to begin developing policies immediately after its founding in order for the university to begin operation. Initially, the process of policy development was hampered by the fact that most faculty and staff were not yet in place. However, as an institution within the State University System of Florida, FGCU partakes of an extensive network of policies and regulations prescribed by the state. Thus, the development of policy has involved both implementation of state mandates and creation of procedures unique to FGCU.

As an SUS institution, policy at FGCU is founded, to a large extent, upon Chapter 240 of the Florida Statutes; the rules, bylaws, and policy statements of the Board of Regents and the Florida Department of Education; and rules promulgated by the university and incorporated within Rule 6C-10, Florida Administrative Code. The Board of Regents adopts Chancellor's Memoranda and standard practices as the official uniform procedures for the State University System. The Chancellor's Memoranda and standard practices are filed in the office of the Board of Regents corporate secretary and sent to the presidents of the university.

The university's published organizational charts identify the duties and responsibilities of administrative areas. The Collective Bargaining Agreement, which the Florida Board of Regents negotiates each year with the United Faculty of Florida, contains clear official statements regarding tenure, employment security, due process, and other policies and procedures affecting faculty. The Collective Bargaining Agreement between the Board of Regents and United Faculty of Florida is available and distributed to all deans, department chairs, and covered faculty members. The faculty also created a Faculty Performance Evaluation Document, which clearly defines the FGCU process for faculty evaluation, employment security, and due process.

In addition, the faculty created a governance structure, a description of which has been widely disseminated. Finally, the university has established a wide range of academic policies as well as policies in the areas of student services and administrative services.

Analysis

In its inaugural year, FGCU published official documents regarding the duties and responsibilities of the administrative officers and the organizational structure of the institution. In addition, the faculty created and voted to accept governance and performance evaluation documents. Nevertheless, while university-wide and divisional publications document specific policies and procedures, many are in draft form. Given the amount of effort it has taken to develop a new university, it would be expected that many of the publications and policies would be in developmental stages.

Some policies have been developed without university-wide input. To deal with this issue and to ensure that all future policies have the necessary approvals, the university has recently approved an "official policy process." The policy details the review process and assigns responsibility for approvals. In addition, the policy affirms that "employees and students must have access to all official policies and receive notification of changes to existing policies." Further, a Policy Review Committee has been appointed to facilitate the development of new policies, the revision of existing policies, or the deletion of policies that are obsolete.

In the Division of Academic Affairs, a large array of policies has been developed, although some remain in draft. A Faculty Handbook contains many policies, and the Student Guidebook contains state-approved policies relating to students. In June 1998, the Assistant/Associate Deans Council was given the responsibility to serve as a procedure and strategic planning advisory group on matters related to the development of policies in the Division of Academic Affairs.

In the Division of Administrative Services, a comprehensive policies and procedures manual is maintained which includes the areas of human resources, finance and accounting, purchasing, security, and facilities. The policies and procedures recently were revised and are available on the university's Web site (http://www.fgcu.edu). However, a staff handbook has not yet been developed.

In order to gain additional data about the effectiveness of the university's institutional policies and procedures, in May 1998 the Office of Planning and Evaluation administered the FGCU annual survey. Results of the survey indicate that there is concern on the part of faculty and staff regarding the effectiveness of certain university policies and procedures. For example, with respect to whether FGCU has clear administrative policies, staff gave an importance rating of 5.20 and a performance rating of only 3.65.

It should be noted that in order to begin operating, the university needed to establish basic policies and procedures early in its development, before many faculty and staff were hired. Many survey respondents may have expressed concern because, having joined the university subsequent to the establishment of certain policies and procedures, they did not participate in the development of the initial policies and procedures.

Recommendations

R6.1.4-1 The Steering Committee recommends that the policies and procedures related to academic affairs not yet finalized be submitted for approval in accordance with the university's official policy process.

R6.1.4-2 The Steering Committee recommends that the Division of Administrative Services develop an employee handbook.

Suggestions

S6.1.4-1 The Steering Committee suggests that, based upon the FGCU annual survey findings and in the spirit of better communication, the university further analyze data collected from the FGCU annual survey relating to the effectiveness of FGCU's institutional policies and procedures to determine why responses from the faculty and staff indicated a substantial gap between expectations and institutional performance.

6.1.5 Administrative Organization

Description

The administrative organization must reflect the purpose and philosophy of the institution and enable each functional unit to perform its particular responsibilities as defined by the stated purpose of the institution.

Administrative responsibility and authority for all educational offerings and functions of the institution must be clearly identified, and each institution must develop, publish, and make available an organizational chart clearly delineating the lines of responsibility and authority.

The duties of the chief executive officer, and of other administrative officials directly responsible to the chief executive, must be clearly defined and made known to faculty and staff. Administrative officers must possess credentials, experience and/or demonstrated competence appropriate to their areas of responsibility. The effectiveness of all administrators, including the chief executive officer, must be evaluated periodically.

Florida Gulf Coast University has a clear mission statement, which is published in major university publications, and a ten-year plan, which has guided the university toward achieving its mission. The organization and administration of Florida Gulf Coast University is consistent with the university's mission and the rules and regulations promulgated in Rule 6C10, F.A.C. The responsibilities and authority of major divisional units are clearly articulated and reflect institutional philosophy.

The chief executive officer of Florida Gulf Coast University is the president. The duties and major responsibilities are specifically delineated in Chapter 240 of the Florida Statutes. The president delegates specific responsibilities to the vice presidents for the purpose of achieving the university's objectives. The duties and responsibilities of the key administrative officials directly responsible to the chief executive officer are delineated in the Rule 6C10, F.A.C, and in position descriptions and job announcements. Organizational charts are annually published and submitted to the Board of Regents. Complete copies of the detailed organizational charts, though not widely circulated, are available upon request from the Human Resources Department. These organizational charts identify the lines of responsibility and authority within the institution.

The effectiveness of administrative officers is evaluated annually. The president is evaluated by the Board of Regents, and the vice presidents by the president. All other administrators are evaluated by their supervisors, and those administrators in certain key positions are also evaluated by their faculty and/or staff. Between spring 1998 and fall 1998, the academic deans; deans of library services, instructional technology, and planning and evaluation; and the directors of the School of Education and the School of Public and Social Services were evaluated with respect to commitment to the university's mission and guiding principles and with respect to leadership activities. In addition, all administrators, including the dean, in student services were evaluated by the entire staff in that division. Finally, departmental chairs/team leaders are evaluated annually by their respective faculty and deans or directors.

The university's Search and Screen Guidelines require that all executive, administrative, and faculty positions use the search and screen committee practice. Florida Gulf Coast University includes a three-tier review of the applicant's credentials, experience, and demonstrated competence. The first tier is the search committee review of the applicant pool, selection of candidates for interviews, and recommendation for hiring to the hiring official. The second tier is a review of the process by the Equal Opportunity Office and confirmation that the credentials of the applicants were verified. The third tier in the hiring process is the approval of the candidate by the administrative level above the level of the prospective hire. The university is currently developing an affirmative action plan. Such a hiring process ensures that the administrative officers, like all other employees, have the credentials to fulfill their duties.

Analysis

A review of the vitas of the president, vice president of academic affairs, vice president of administrative services, and vice president of university development indicates that their individual academic preparation through attainment of advanced degrees and experience in previous roles is appropriate for their respective positions. The Office of Human Resources maintains current organizational charts for all functional units, including colleges and departments. The experience and competence of all university administrative officers provided the planning needed to meet the challenge of starting a new university. Although there will be inevitable changes during the next few years as the university matures, the overall organization of the university is appropriately structured to support the goals and objectives of the university. The Ten Year Development Plan for a New University in Southwest Florida guided the early development of the university; however, there will be a need for new strategic initiatives as the environment changes.

Members of the Board of Regents formally evaluate the president annually; however, the process for this evaluation is not widely known. The president evaluates the three vice presidents and annually evaluates his administrative staff, then has a conference with each to discuss the evaluation. The process for the evaluation of the vice presidents is also not widely known. All other university administrators are evaluated by their supervisors. In addition, within academic affairs, all deans and school directors are evaluated by their faculty and/or staff, and the evaluations are public and available for review within the respective units. Finally, all chairs/team leaders are evaluated annually by faculty and deans/directors.

Recommendations

None.

Suggestions

S6.1.5-1 The Steering Committee suggests that the university continue to develop and conduct a comprehensive evaluation program for administrative officers that includes broad-based participation.

S6.1.5-2 The Steering Committee suggests that the findings from the evaluations of administrators be made available to all faculty and staff.

6.2 Institutional Advancement

Description

Each institution should have a program of institutional advancement, which may include development and fund raising, institutional relations and alumni affairs. If there is an advancement program, it must be directly related to the purpose of the institution. Qualified persons should be responsible for the administration of these programs.

The institutional advancement strategy of Florida Gulf Coast University has been designed to support and meet the expectations of the State University System of Florida, as outlined in the Ten Year Development Plan for a New University in Southwest Florida, published November 20, 1992. This plan defined the direction of the tenth and newest university in the state system, and institutional advancement is an integral element of that effort.

Institutional advancement at FGCU includes the professional specialties of educational fund raising, alumni relations, public relations and publications, student recruitment and marketing, and government relations. While virtually all of the major academic and support units of the university have a role to play in institutional advancement, the Division of University Development, the Office of University and Government Relations, and the Florida Gulf Coast University Foundation, Inc., the university's not-for-profit fund-raising arm, hold primary responsibility. The recently successful capital campaign is evidence of a unified and campus-wide effort to assure the university has a strong beginning.

The vice president of university development, who reports to the president of the university, is responsible for the staff and project initiatives for fund raising and alumni relations within the Division of University Development. The vice president has experience at the senior level and in the field of institutional advancement from other universities. Similarly, the assistant to the president for university and government relations is responsible for the staff and project initiatives for public relations, publications, media relations, and government relations. The assistant to the president has experience in the public relations field from previous positions held in the private sector. Key members of both staffs also have significant experience in their respective fields, including managerial positions of a similar nature in other organizations. Both offices are shown on the institution's organizational chart.

At this early stage in the creation of Florida Gulf Coast University there are two elements within the Division of University Development and the Office of University and Government Relations whose development is well advanced. Fund-raising and public relations have been the most active elements of institutional advancement over this inaugural period of the new university. These units have accomplished a great deal in a short amount of time and, further, have created a base for future efforts. Alumni affairs is an emerging element of the Division of University Development and is described in Section 6.2.1 Alumni Affairs. Student recruitment and marketing is the responsibility of the Division of Student Services and is described in another section of this document.

Institutional advancement at FGCU, which has been led by qualified persons, has been directly related to the mission of the university. The following represents some of the most significant work and representation of the university accomplished by these offices:

1. FGCU concluded a successful initial fund raising campaign in 1998 raising over $20 million in contributions of cash and real property.

2. FGCU was featured in over 1,400 different newspaper articles and 100 TV broadcasts in 1997.

3. FGCU issued over 136 press releases during 1997.

4. FGCU produced over 60 segments of its PBS weekly television show FGCU Reports, which featured both faculty and staff activity as the university was being launched.

5. The president issued a series of communications to over 1,000 area community leaders. This communication was labeled the "100 Day Letter" and was issued on four different occasions.

6. Four major community events were organized and took place during 1997 to present the new university to the general public. They included: Community Day (February 2nd), with over 7,000 people in attendance; FGCU Opening Day Ceremony (August 2nd), which was featured in the Associated Press announcements and in USA Today; FGCU University Gala (November 14th), with 900 special invited guests who have shown their support through donations and time to the university; and finally, FGCU Open House (November 15th), with over 4,000 people in attendance.

7. A total of 16 university newsletters have been published since October 1996, first under the title of FGCU/USF Ft. Myers Newsletter and eventually under its new name of ACCESS.

Analysis

FGCU's institutional advancement efforts relate to and support the university's mission. Much of the early institutional advancement activity has been focused on presenting broad and universal messages to the community regarding the university's role in the community and program opportunities. While this effort should be continued, there is also a new opportunity to place even greater emphasis on showcasing select programs and unique strengths of the university now that these efforts have been further developed. Consistent public relations efforts directed at select messages will enhance the university's ability to develop a niche market in academic areas in which it can claim superior performance. One example of this would be the university's intense focus and concern for creative instructional design and effective teaching.

Recommendations

None.

Suggestions

S6.2-1 The Steering Committee suggests that the Division of University Development and the Office of University and Government Relations work together closely to link future strategies for outreach to the community more directly with the program development and delivery of the academic units.

S6.2-2 In order to link institutional advancement efforts to academic priorities, the Steering Committee suggests that the Division of University Development and the Office of University and Government Relations would benefit from developing multiple points of contact in each academic unit for periodic updates on program activities. This effort would provide greater assurance that important developments in academic programming are being presented to the public.

6.2.1 Alumni Affairs

Description

The relationship between the institution and its alumni should be one that encourages former students to continue to participate in the development of the institution. It should also assist in the evaluation of institutional effectiveness. Institutions are encouraged to maintain uptodate records on the location of former students and to employ periodic studies.

Alumni affairs at Florida Gulf Coast University are the responsibility of the Office of University Development. The university held its first commencement ceremony on May 2, 1998 at which 49 FGCU degrees were awarded. Starting with this base, the Office of University Development will begin a program to build a mutually beneficial relationship between these initial and future alumni and the university. In the future, the Office of Planning and Evaluation will survey graduating seniors to gain information useful in the development of the university. In addition to on-campus student surveys and alumni mailings, plans are underway to provide graduates with periodic news about the university via the World Wide Web as another method to solicit participation in the advancement of the institution and to evaluate institutional effectiveness.

The Office of University Development has invested in a comprehensive development and alumni tracking software system, Raiser's Edge, developed by Blackbaud Corporation. The advanced software will facilitate the communication process between the university and its alumni and will be updated regularly to track alumni and determine individual interests in the university and recommendations.

Analysis

The Office of University Development has software systems in place to maintain alumni records and conduct outreach initiatives to former students. With the small alumni base only recently established, formal alumni development programs are understandably in the planning stages at this time. Involvement of former students in the assessment of institutional effectiveness has not yet been addressed.

Recommendations

None.

Suggestions

S6.2.1-1 The Steering Committee suggests that the Office of Planning and Evaluation and the Division of University Development formalize a process designed to survey graduating students regarding FGCU institutional effectiveness as well as interest levels in participating in university advancement efforts.

S6.2.1-2 The Steering Committee suggests that the Division of University Development develop and implement an outreach program that includes formal recognition of FGCU graduates as alumni and creation of an FGCU alumni organization as a means of encouraging continued interest in the university.

6.2.2. Fund Raising

Description

All fund raising must be related to the purpose of the institution. All aspects of fund raising must be incorporated into the planning process and evaluated regularly. An institution must develop policies and procedures for fund raising and ensure that such policies are appropriately disseminated and followed.

The Division of University Development and the Florida Gulf Coast University Foundation, Inc., have the responsibility for institutional fund raising at FGCU. The foundation is a direct support organization to the university incorporated as a private, not-for-profit corporation. Its primary purpose is to meet the projected financial needs of the university that are not provided through state funding in order to advance the mission of the university.

Article II of the Articles of Incorporation of the FGCU foundation states that: "The general nature of the objects and purposes of the Foundation shall be: To encourage, solicit, receive and administer gifts and bequests of property and funds for scientific, education and charitable purposes, all for the advancement of Florida Gulf Coast University and its objectives" Further support is found in the foundation's Policies and Procedures Manual, Section 1.1: "The Foundation is responsible for receiving, investing, and administering private support for Florida Gulf Coast University. It functions as the legal conduit for the acceptance, investment and distribution of private gifts given for the funding of programs related to the mission of Florida Gulf Coast University"

The FGCU vice president of university development directs the fund raising activities of the university and, as a member of both the FGCU Executive Staff and the executive director of the foundation, further assures that foundation fund raising strategies are consistent with the purpose of the university. In addition, the State of Florida makes available matching funds to leverage the private support raised for endowed chairs and buildings, thus providing another element of consistency with approved academic and capital programs. The major achievements of the recently concluded campaign demonstrate direct correlation with the institution's purpose. They include:

1. $9.8 from the Whitaker Foundation challenge in raised and matched funding to construct a math, science, and technology building.

2. $5.4 million in cash and land for endowed chairs from the Alico Corporation to be used as needed to support the university's academic programs.

3. $1 million from the Whitaker Foundation for a chair in science or technology.

4. $1 million from Moorings Park to fund a chair in health sciences.

5. $1.1 million in support of the Southwest Florida Nursing Chair.

In addition, over $1 million was raised in endowed scholarships.

Strategic planning for fund raising is accomplished through the Development Committee of the foundation. Article 3, Section 3.2.9 of the bylaws of Florida Gulf Coast University Foundation, Inc., states that "The Development Committee shall articulate the vision for the future of the Foundation. It is to formulate long range goals for which the staff generates operational objectives and performance standards. This planning process provides a context within which the Foundation can make its expansion decisions and set its priorities." On September 20, 1995, the president presented to the foundation board of directors a Five Year Fund Raising Proposal reflecting university priorities. The board approved it in concept and sent it to the Development Committee for study and implementation.

The Development Committee, with the vice president of university development, periodically monitors performance of fund raising efforts against the plan. A comparison of the goals of the Five Year Fund Raising Proposal to actual attainment through March 31, 1998, is summarized as follows:

5-Year Goal Attainment (Principal only)

Unrestricted Funds $1,000,000 $795,000

Non-Endowed Scholarships 400,000 51,000

Endowed Scholarships 4,000,000 1,130,000

Endowed Chairs 3,000,000 8,581,000

Capital Funds 9,000,000 9,800,000

Total $17,400,000 $20,357,000

Adding interest earned of $3.8 million and planned giving pledges of $4.6 million, the foundation asset base as of June 30, 1998, is over $35 million, including $9 million in bond proceeds for the student residence halls.

At the June 1998 meeting of the Board of Directors of the foundation, the current fund raising campaign was concluded and a new set of fund-raising goals was adopted for the next five-year period. The new plan totals $60 million and is further defined as follows:

5-Year Goal

Building projects $10 million

Scholarships $20 million

Real Estate $10 million

Faculty/Program Development $10 million

Athletics Programs $10 million

The foundation has developed policies and procedures relating to fund raising that are articulated in the Florida Gulf Coast University Foundation, Inc., Policies and Procedures Manual and are used by university development staff in carrying out their fund raising activities. The Division of University Development has an internal fund raising Policies and Procedures Manual under development with a planned release in early 1999.

Analysis

Fund raising goals, activities, and accomplishments are related to Florida Gulf Coast University's institutional purpose and programs. This is supported by the FGCU foundation's Articles of Incorporation and manual of policies and procedures and is evidenced by the results of the recently concluded campaign.

The president and vice president of university development periodically communicate the university's funding objectives and priorities to the foundation board. The Five Year Fund Raising Proposal submitted by the president on September 20, 1995, is the primary documentation supporting the requirement that fund raising strategies be incorporated into the university planning process. While there is regular communication between the Office of University Development and the colleges, there is not a formal mechanism yet in place to accumulate and prioritize the colleges' needs to the board.

Evaluation of progress toward meeting fund raising objectives is accomplished through the annual foundation budget review process and at quarterly meetings of the foundation development committee.

The FGCU foundation has published policies and procedures. Fund raising policies and procedures are under development at this time.

Recommendations

R6.2.2-1 The Steering Committee recommends that the Division of University Development complete the development and dissemination of fund raising policies and procedures that are compatible with and complement the policies and procedures developed by the foundation.

Suggestions

S6.2.2-1 To ensure foundation fund raising initiatives continue to support the institutional purpose, the Steering Committee recommends that a process be developed that results with the vice president of university development periodically submitting a formal report to the foundation that summarizes the strategic plans of the colleges along with the university's broader goals for capital improvements, endowed chairs and professorships, and scholarships.

6.3 Financial Resources

6.3.1 Financial Resources

Description

Because the financial resources of an institution influence the quality of its educational program, each institution must possess sufficient financial resources to support all of its programs. The recent financial history of the institution must also demonstrate the financial stability essential to its successful operation. The adequacy of financial resources will be judged in relation to the basic purpose of the institution, the scope of its programs, and its number of students.

Florida Gulf Coast University is a comprehensive public university created to address the educational needs of the rapidly growing Southwest Florida population and the increasing number of students who are seeking admittance into the State University System (SUS). FGCU offers a broad range of undergraduate and graduate programs in arts and sciences, business, technology, education, environmental science, nursing/allied health, and public and social services. On-campus offerings, along with distance education and partnerships with public and private organizations, enable FGCU to extend a rich diversity of higher education opportunities to Southwest Florida and beyond. The university seeks to employ innovative ideas and technologies in the development and delivery of programs and services.

The university offers 16 undergraduate degrees and 10 graduate degrees. During its first year of operation the unduplicated student headcount was 3,393 and the annual full time equivalent (FTE) student count was 1,275. The operating budget is predicated on 3,000 FTE students as a beginning level of funding, with consideration given by the Florida Board of Regents (BOR) for the university to grow into its basic level of funding in its first five years.

The enrollment plan projects growth to 4860 full-time equivalent students (FTEs) in seven years. [See Table 6.3.1(1) FGCU Seven-Year Enrollment Plan.]

The university recently formed a Marketing Council to coordinate promotional activities for achieving these enrollment goals. The charge to this council included: defining the FGCU institutional image, developing policies and procedures for promoting FGCU, and developing a long-range strategic plan for institutional marketing.

Prior to the opening of FGCU in the fall of 1997, the State of Florida and private donors provided $61.5 million in land and funds to develop the land and construct the campus; and during FY 1997-98 they funded another $13.3 million of construction. In addition, funding for operating expenditures during the start-up period were $3.9 million, $9.4 million, and $21.9 million for fiscal years (FY) 1994-95, 1995-96, and 1996-97, respectively.

During the first few years of operations, funding will be based on 3,000 FTEs. Once actual enrollment exceeds 3,000 FTE, annual budget allocations will be tied to the level of FTEs. The following tables present Budgets and Statements of Changes in Fund Balances for FY 1997-98 and 1998-99. [See Table 6.3.1(2) 1997-1998 Education & General (E & G) Budget; Table 6.3.1(3) 1998-1999 Education & General (E & G) Budget; Table 6.3.1(4) Statement of Changes in Student Activity Fee Fund Balance; and Table 6.3.1(5) Statement of Changes in Auxiliary Fund Balance.]

The current inventory of nine buildings and over 250,000 square feet met the initial demands of a newly formed campus adequately. During FY 1998-99 FGCU will receive approximately $12.3 million from the Florida Public Education Capital Outlay (PECO) program, and $4.9 million in general appropriation funds to match the $2.5 million donated by the Whitaker Foundation and the $2.4 million raised by the FGCU Foundation, Inc. These funds will be used for loop road completion, additional parking, central energy plant expansion, and the construction of additional classrooms and office buildings. A number of projects are scheduled for FGCU over the next five years, plus other projects will be funded with student fees. [See Table 6.3.1(6) Five-year Capital Improvement Plan.]

SUS funding has been consistent over time in Florida. For the past 20 plus years education has received the same percentage of the state's budget, and the base has grown as the population of Florida continues to increase. [See Table 6.3.1(7) Summary of Appropriations, State University System of Florida.]

Florida Gulf Coast University Foundation, Inc., is a strong financial supporter of the university. The foundation has provided for the funding of phase I of the student housing project, which has an estimated cost of seven million dollars. In fall 1998, the university will begin construction on a new math, science, and technology building with an estimated cost of $10 million. The foundation was instrumental in raising the funding for this building ($2.4 million FGCU foundation, $2.5 million private foundation match, and $4.9 million from the State of Florida challenge grant program). The foundation annually provides funding for five endowed professorships and tens of thousands of dollars for student scholarships through their endowed gifts program.

FGCU operates WGCU TV and WGCU FM from studios located on campus. These facilities receive limited operating funds from the state 5 percent and 4 percent of total receipts in fiscal year 1997-98 for the TV and radio stations, respectively. During fiscal year 1997-98 the majority of funding came from grants (47 percent and 31 percent, respectively) and from donations (48 percent and 65 percent, respectively). Both facilities and their funds are subject to university/state accounting and administrative controls. [See Table 6.3.1(8) Statement of Changes in WGCU TV Fund Balance and Table 6.3.1(9) Statement of Changes in WGCU FM Fund Balance.]

Analysis

The State of Florida and the FGCU foundation have made a major commitment to the founding of the tenth state university. Sufficient financial resources were provided to build the campus and to hire the faculty and staff necessary to open. Funding for the first year of operations was based on 3,000 FTEs, as opposed to the 1,275 FTEs actually enrolled. This level of funding would have been more than adequate if FGCU were a steady-state organization. However, given the number of extra activities associated with a start-up, as well as the number of courses that had to be staffed in spite of small class sizes, faculty and staff were somewhat over-extended during the inaugural year. Over the next five years substantial state and private funds will be available to build the residence halls, classroom buildings, and other facilities needed to accommodate a rapidly growing student population.

Recommendations

None.

Suggestions

None.

6.3.2 Organization for the Administration of Financial Resources

Description

All business and financial functions of the institution should be centralized under a chief business officer reporting to the chief executive officer. The organization of the business office must be consistent with the purpose of the institution, the size of the institution, and the volume of transactions of a business or financial nature. The most important functions typically performed by the business office include assistance to the chief executive officer in the preparation and control of the institutional budget; establishment and operation of an appropriate system of accounting and financial reporting; supervision of the operation and maintenance of the physical plant; procurement of supplies and equipment; control of inventories; financial oversight of auxiliary enterprises; receipt, custody and disbursement of institutional funds; maintenance of personnel records, and administration of personnel policies governing the staff.

The chief executive officer must report regularly to the governing board on the financial and business operations of the institution.

The chief business officer should have experience or training in handling educational business affairs sufficient to enable the business office to serve the educational goals of the institution and assist in furthering its stated purpose.

The mission statement for the Division of Administrative Services states that their unit "links to and supports the university's mission statement by providing the necessary human, fiscal (or financial), technological, and physical resources in support of a student-centered educational environment promoting safety and security conducive to learning. The Division of Administrative Services is committed to provide quality productive support services to the university community in the areas of finance and accounting, purchasing, computing, human resources, budget, physical plant, facilities, and public safety with integrity, productivity, dignity, accuracy and civility through effective communication, cooperation and team work."

All university business and financial functions are centralized under the vice president of administrative services, who reports to the chief executive officer the university president. The Division of Administrative Services includes the following areas:

1. budget office

2. controller's office

financial reporting

control of inventories and receipts

custody and disbursement of institutional funds

3. plant operations and management

4. purchasing

5. auxiliary services

6. human resources

personnel records

administration of personnel policies

7. data administration

8. facilities planning

9. university police and safety

The chief executive officer (the university president) reports to the BOR audit committee bi-monthly at regularly scheduled meetings. At these meetings, the governing board of the SUS reviews all internal, state-level, and statewide audits of universities. Audits include both financial and operational compliance.

The vice president of administrative services has training and experience sufficient to manage the business office of the university in a positive, professional, and progressive manner. He earned both a BS in computer science (1970) and an MBA (1973) from the University of West Florida. He has been employed within the SUS since 1969 in various capacities. Prior to coming to FGCU he was employed at the University of North Florida and participated in its start-up. Administrative positions held at UNF included: director of the university computer center (1972-74), director of university planning and analysis (1974-81), executive assistant to the president (1981-82), assistant to the president for institutional research and planning (1982-86), and vice president for administration and finance (1986-94). In 1994 he became the vice president of administrative services at FGCU. He has in excess of eleven years of experience as a vice president in charge of administrative/business affairs at a university. He is a member of the Southern Association of College and University Business Officers (SACUBO) and the National Association of College and Business Officers (NACUBO).

Analysis

The financial functions at FGCU are centralized under the chief business officer, who has sufficient training and experience in handling educational business affairs. Each of the business functions is adequately staffed with experienced and knowledgeable personnel. The mission statement and objectives of the Division of Administrative Services are consistent with the mission and institutional purpose of the university as a whole.

Recommendations

None.

Suggestions

None.

6.3.3 Budget Planning

Description

The budget is a statement of estimated income and expenditures for a fixed period of time, usually the fiscal year of the institution. An institution must prepare an appropriately detailed annual budget. Its preparation and execution must be preceded by sound educational planning. It follows that the instructional budget should be substantively developed by academic officers or deans, working cooperatively with department heads, appropriate members of the faculty and administration, and representatives of the business office. Procedures for budget planning must be evaluated regularly.

Similarly, budgets for other areas should be developed after consultation with appropriate officers of the institution. The business officer may assist in assembling and compiling the budget requests, preparing income estimates, and advising the chief executive officer in the determination of budgetary allocations. The budget is presented by the chief executive officer through proper channels to the governing board for final approval. In reviewing the budget, the governing board should focus on matters of broad policy and normally should not concern itself with details.

As one of ten universities in the State University System, FGCU derives most of its funding from state appropriations, as determined by the governor and the legislature through the Board of Regents. Once these funds are appropriated, it is the responsibility of the university to allocate and maximize the use of those resources to meet its mission and goals.

In accordance with the formulas established by the BOR and in conjunction with instructions from the governor's office, the university prepares the legislative budget request annually. The budget is developed in six functional areas:

1. Instruction and Research

2. Administrative Support

3. Plant Operation and Maintenance

4. Library Services

5. Student Services

6. Institutes and Centers

Each of the ten universities submits its budget request for review and approval by the BOR. The BOR compiles the ten university requests and its own request into one SUS budget request, which is then submitted to the Department of Education where it becomes a part of the larger education budget request. The budget request is then submitted to the governor's office for review and revision where it becomes part of the state's budget request to the legislature for approval. The legislature reserves the right to make its own adjustments to the budget before approving final appropriations.

After final appropriations are made, the funds must be allocated to the individual budget units of the SUS. This allocation is documented and distributed in the Allocation and Summary Work Papers issued by the BOR. Once this process is completed, it is the responsibility of each university to allocate funds internally.

The internal budget process begins in early spring when the university budget office sends a memorandum to the Executive Staff (the president and vice presidents). This memorandum includes preliminary allocations of the total budget, detailed estimates of salary costs, and a list of issues to be resolved during the budget process. Each department and/or college is then asked to submit an operating budget request to their respective vice president. Once individual budget requests have been negotiated and compiled, the Executive Staff gives final approval for the operating budget of the next fiscal year.

Following approval by the Executive Staff, the operating budget is sent to the university budget officer to be reconciled with the budget allocation and entered into the State Automated Management Accounting Subsystem (SAMAS) for submission to the BOR budget office. The BOR budget office reviews the data for accuracy and compliance before approving. The BOR submission is used to generate a detailed report referred to as the University Operating Budget. While the allocations to specific colleges and/or units at FGCU is explicitly communicated to the budget officer in the form of an email or a spreadsheet, some budget parameters are only communicated verbally or not explicitly addressed in advance.

FGCU currently uses zero-base budgeting techniques for the development of the overall operating budget. Given the lack of historical data upon which to base most expenditures, the university will utilize this method until such time that operational expenditure data will no longer reflect a start-up operation, but rather that of a steady-state institution. [Note: Approximately half of the first-year enrollment consisted of students who "transitioned" from the Fort Myers campus of the University of South Florida. Those departments or programs that absorbed substantial numbers of "transitioning" students were able to use some historical budget and enrollment data to assist in budget preparation.]

The process of budget development varies considerably at the college/division/unit level. As part of the SACS self-study process the administrators of various segments of the university were asked to summarize budget processes used for the first year of operations and to explain what changes would be made in the budget processes for future years.

In the College of Health Professions, the dean distributed the university's budget guidelines to each department chair. Chairs prepared department budgets and then discussed these with the dean. In addition to the chairs, the dean also consulted with the administrative assistant and the advisor/counselors. The dean then prepared a collated college budget for the vice president of academic affairs. Faculty input varied by department, but all faculty were included in determining instructional equipment needs. A similar process will be used in future years and faculty will also be consulted concerning vicinity travel for clinical supervision and consulting needs.

In the College of Professional Studies, the budget was developed by the dean, the two school directors, and the assistant to the dean. Faculty who were present were asked what kinds of special program or agency support dollars they needed. In future years department chairs and program leaders will be included in the budget process. Faculty input will come at the unit or program level and be incorporated at the college level by the chairs and program leaders.

In the College of Arts and Sciences, for fiscal year 1997-98 the dean solicited budget requests for program specific needs from the cluster coordinators, assistant dean, and administrative assistant. Program-specific needs included equipment, instructional materials, and technology. The operational budget was developed using a formula from the office of the vice president of academic affairs. For fiscal year 1998-99 the budget process will include both the arts and sciences leadership team and program leaders, as well as the administrative assistant. The process will include analysis of the previous year's expenditures and identification of new and additional funding needs. In addition to program-specific needs, the budget process will also address professional development and college-wide activities, such as speakers, symposium, conferences, and forums.

During the start-up the College of Business budget was developed in segments. Initially, much of the operating budget was based on formulas provided by the vice president of academic affairs. These numbers were then adjusted for special needs, such as travel associated with accreditation and international programs. During the year certain budget line items were further adjusted based on actual needs and costs. Departmental budgets for faculty development and instructional support were developed through discussions with the associate dean and, through him, department chairs. The first year required change and flexibility, rather than tight adherence to normal budget practices. In May/June 1998 final adjustments were made to rectify differences between actual costs incurred and budget estimates. At the end of the first fiscal year, department chairs were canvassed to identify unmet needs. Plans were made to prepare for centrally funded activities like recruiting to be managed within the college. It is anticipated that the 1998-99 budget year will be the first year for an accurate tracking of planned expenses against a more stable instructional environment. Each academic department and other program units will be provided an operating budget in discussion with the dean's office. Other funds will be retained centrally to provide for college program initiatives and departmental contingencies. It is anticipated that the college will refine this internal budget process during the 1998-99 fiscal year.

The budget process for Division of Administrative Services and Physical Plant included the vice president of administrative services, the associate vice president, and the directors. Staff input was not particularly tracked, but it was expected that each director would draw upon the combined expertise of their staff to generate a budget that was complete and logical. Due to a lack of base budget operational data, a mix of budget methodologies was used. These included formula based allocations; comparisons to department and divisional budgets at the University of West Florida; and estimates based on bids, quotes, or experience. The budget director reconciled and adjusted the sum total of budget requests for administrative functions so as not to exceed the program component base budget. In future years administrative services will use a similar budget process, but there will be more reliance on historical and base line data.

The budget for Library Services is developed to ensure resources are available to support BOR approved program areas. The expense and other personal services (OPS) portions of the library budget are developed to ensure that services are provided over a 90 hour per week period while classes are in session. For fiscal year 1997-98, library faculty, library administration, and line supervisors all had input into the OPS and expense portions of the budget. The university library committee and the library faculty had input into the library resources portion of the budget to ensure equity across colleges. In future years, the development of the Library Services budget will be linked to a strategic planning process that identifies service and management priorities. Once priorities are identified, the budget will be built to deploy resources in support of those priorities. The planning process will initially include all levels of library staff and the university library committee. Once a working model is established, the library administration plans to expand the planning process to include input from other library users. Input will be sought from the library faculty in terms of setting priorities for all aspects of the budget. The materials budget will be apportioned collaboratively among the faculty and the dean.

The primary factor in developing the budget for the Division of University Relations and Development was the fund raising goals established by the university and the foundation. Fund-raising goals for FY 1997-98 were $1.5 million in annual gifts, $7 million in endowed gifts, $9 million in gifts for special projects, and $2.4 for the Whitaker Challenge Grant. Fund-raising goals for the five-year period beginning with FY 1998-99 will be $60 million, including $20 million for scholarships, $10 million for capital projects, $10 million in real estate gifts, $10 million for athletics, and $10 million for faculty development. For FY 1997-98 the budget process included the vice president of university relations and development, the director of communications, and the director of development. For FY 1998-99 the individuals involved in budget development will be the vice president of university development and the newly hired director of finances.

Due to an administrative organization, for fiscal year 1998-99, the budget for the Division of University Development will be developed by the vice president of university development, and the budget for the Office of University and Government Relations will be developed by the assistant to the president for university and government relations.

Prior to the opening of FGCU, the dean of the Division of Student Services designated the associate dean of student services to accumulate data and develop expenditure estimates for various operational activities with the directors in each area within the division. These estimates were to be based on established benchmarks and each director was encouraged to meet with his/her staff members who were affected by the budgetary process. Staff members were to provide information on future events, programs, functions, and needs. Specifically, staff had input in the areas of publications, travel, office supplies, conferences, and membership activities. The directors then developed departmental budgets and submitted them to the dean for review and further development. Budget expenditures in future years will be based on historical data. Each department will be responsible for developing its own budget. These budgets will be created using projected activities and functions. Most line items will begin at a zero base with staff members projecting activities and the activities' costs. Budget reductions will be handled in collaboration with each director with the benefit of the entire division being the major decision-making factor. All staff members who have an interest or who participate in the function/activity will be part of the process. Staff will have input on line items, such as publications, travel, office supplies, memberships, and conferences, and any capital items required by the division.

Recognized student organizations may request a budget that is funded by student activity fees. In order to submit a budget request, a student organization must be officially recognized by the Office of Student Activities at least eight weeks prior to submitting the request and must currently be in good standing under FGCU rules. The student senate budget committee reviews each request and then forwards a recommendation to the full senate for action. Budget appropriations approved by the senate are then forwarded to the senate president and the dean of student services for final approval and signatures. Student organization accounts are subject to the same accounting procedures as other university accounts.

The FGCU annual survey, distributed in the spring of 1998, asked whether faculty and staff had "sufficient input in the budget" for their units. The results from the agree/disagree instrument indicate that staff somewhat agree with this statement and that faculty somewhat disagree. (Average agreement or disagreement scores of 3.53 and 2.81, respectively.) The results from the importance/performance instrument indicate a substantial expectations gap in certain colleges and operational units. (Average importance/performance differences of 1.82 and 1.63 for faculty and staff, respectively.) Largest differences were reported by the faculty of the College of Arts and Sciences (2.45), the faculty and staff of the College of Business (2.43 and 2.2, respectively) and the staff of Library Services (2.0).

The Division of Administrative Services distributed an e-mail survey to faculty and staff in the fall of 1997. This instrument included seven questions concerning the operations of the budget office and used a 5-point satisfaction scale, where 1 denoted not satisfied and 5 meant extremely satisfied. Results of this survey indicate general satisfaction. (Average satisfaction scores ranged from a low of 3.17 to a high of 4.3.)

Analysis

The creation of a budget at FGCU is an extensive process. The specific people involved in the budget process and the budget items for which they have input varies considerably from one college or department to another. The Executive Staff has the ultimate authority for planning and developing the operating budget. Controls built into the SAMAS system and regular monitoring by the BOR and university budget officer assures that budget allocations are not exceeded.

Some operating budget parameters are communicated to the budget office verbally, rather than in writing, or not adequately addressed in advance. As a result, there is some confusion as to what level or segment of the university is responsible for bearing certain costs.

During the first year of operations some members of the faculty and staff felt that they were not given adequate input in the budget process. However, it should be noted that many people responding to the FGCU annual survey had not yet been hired at the time the budget for this year was developed.

As with most governmental/not-for-profit organizations, the foci of the budget process at FGCU have been short-term operating needs and long-term capital investment in facilities and equipment. Given the technological mission of FGCU, there should also be an intermediate-term budget process that focuses on technology and software upgrades.

Recommendations

None.

Suggestions

S6.3.3­1 The Steering Committee suggests that a procedure be implemented to formally communicate to the budget office the operating budget parameters (area responsibilities and expectations) approved by the Executive Staff.

S6.3.3­2 The Steering Committee suggests that a written plan be developed for the replacement of equipment and technology that may become obsolete in the next few years.

6.3.4 Budget Control

Description

After the budget has been approved by the chief executive officer and adopted by the governing board, a system of control must be established. This ensures that the budgetary plans of the governing board and the chief executive officer will be implemented. The business officer must render interim budget statements on a periodic basis to department heads for their guidance in staying within budgetary allocations. Budgetary control is an administrative function, not a board function.

Necessary budget revisions must be made when actual conditions require such change and must be communicated to those affected within the institution.

The mission statement of the budget office states that the unit "supports the mission of administrative services, and the university, by providing operational management of appropriated resources and analytical review of fiscal issues impacting the institution. The university budget office is charged with the oversight of the entire university budget, and therefore will interact through teamwork at all levels of the administration. It is through this interaction the budget office provides its greatest service, supporting individual units in completion of their mission through effective communication and guidance on the utilization of resources."

After the approval of the president and Board of Regents, the university budget director records the departmental budgets. When conditions require a budget revision, the account managers may request the amendment by completing a budget transfer form. The budget director must approve the amendment. After obtaining the appropriate approvals, the amendments are recorded in the departmental ledgers by the budget director's staff. Major budget revisions, such as those which might occur because of a state shortfall, would first be neutralized by adjustments to the university reserves held as part of the initially approved operating budget. If the reserves were inadequate to meet the required budget adjustment, a series of meetings with all account managers would be used to determine and communicate the necessary budget reductions.

The university budget office and the Department of Finance and Accounting follow generally accepted accounting practices and procedures in the processing of budgets, receipts, and expenditures. These procedures are tested by the university's inspector general (internal auditor) and state auditors to confirm compliance with state rules and regulations in addition to the university's internal controls relating to the budget process.

Budget control is aided by the SAMAS financial system. It is a comprehensive financial, accounting, and reporting system that is used by all the universities in the SUS. The accounting system will not allow departments to issue purchase orders (encumbrances) unless there are sufficient funds budgeted.

Budget officers in each college or unit are required to maintain their budgets and to control their spending. They are aided by an on-line system that provides monthly budget transactions and the current budget status of each account. In addition, at the close of each month, the Department of Finance and Accounting distributes a computerized report showing monthly transactions and year-to-date balances to each budget officer. Upon request, the university budget office provides college or unit budget officers and executive managers with special budgetary reports and analyses to assist in the allocation of financial resources. In some colleges or units there is a concern that complete and timely budget data does not always filter down from the college or unit budget officer to individual department managers, who must make resource allocation decisions.

Analysis

The university has established adequate budget control procedures including appropriate documented approval of budget revisions, generally accepted accounting practices and procedures, and use of SAMAS. The budget office has implemented an effective method of disseminating interim budget reports. Account managers can access up-to-date computerized information and they also receive monthly hard copy statements. Budget revisions are made when conditions require such changes and are documented with appropriate approval through a budget transfer form, which communicates the revision to college or unit budget officers. Procedures for communicating changes in budget allocations are not always adequate within colleges or units.

Recommendations

None.

Suggestions

S6.3.4-1 The Steering Committee suggests that procedures for communicating relevant budget information within colleges or units be improved and formalized.

6.3.5 The Relation of an Institution to External Budgetary Control

Description

No outside or superimposed agency should exercise specific and detailed control over the financial affairs of an institution. Once funds have been appropriated, creating a budget, establishing priorities and controlling expenditures become the responsibility of the institution operating under the jurisdiction of the governing board and subject to its policies. Enforcement of budgetary law is imperative; however, the educational function of an institution must not be controlled through the use of budgetary techniques or controls by financial officials outside the institution.

Florida Statutes and the policies and regulations of the executive office of the governor, the Department of Education, and the Board of Regents direct the university's budget and appropriation procedures. These offices often provide broad guidelines but do not exert influence on budgetary management. Once the appropriations are enacted into law by the legislature, the university has exclusive control over the expenditures of these resources. The internal distribution of resources is dictated by the university's educational mission.

Analysis

The university has control and responsibility for the operating budget once the funds have been appropriated. Financial officials outside the institution do not control the educational function of the institution. The university has exclusive control over expenditures and allows the university's educational mission to direct the distribution of resources.

Recommendations

None.

Suggestions

None.

6.3.6 Accounting, Reporting and Auditing

Description

An institution must adopt an accounting system that follows the generally accepted principles of institutional accounting as they appear in College and University Business Administration, published by the National Association of College and University Business Officers. Proprietary institutions and certain public institutions mandated by law to follow a different system are exceptions to the requirement. Institutions exempted from use of the required accounting system must arrange to provide comparable information. All proprietary institutions must provide revenue/expenditure reports consistent with NACUBO/AICPA publications, either independently certified in the audit report or included as supplemental data in the audit report. Balance sheets may continue to follow the conventional for-profit format, if desired.

The mission statement of the Department of Finance and Accounting states that the unit "recognizes its role of providing support for the university's mission through the efficient execution of its responsibilities. Therefore, it is the mission of finance and accounting to provide timely and reliable student and departmental financial information. Although finance and accounting directly supports university administration to link objectives to financial resource requirements, it is equally important to support the educational needs of the student."

FGCU is a state-funded, rather than a "proprietary," institution. As a state agency, FGCU is required by Section 216.102, F.S., to file statements "in accordance with generally accepted accounting principles" with the state comptroller on or before September 30 of each year. Section 216.111, F.S., further requires every state agency to submit "balance sheets, financial statements and schedules, program performance reports and other reports required for planning and programming in accordance with the state development plan."

The accounting policies and procedures used by the SUS and FGCU are essentially structured according to the recommendations of NACUBO. These principles require the use of fund accounting principles. Required statements include a balance sheet; a statement of changes in fund balances; and a statement of current fund revenues, expenditures, and other changes, as well as appropriate notes to each of these statements. In general, financial statements are prepared using the accrual method of accounting. Revenues are recognized when earned and expenditures are recognized when goods or services are received. Restricted current funds are reported as revenues when received and as expenditures when expended for current operational purposes; however, plant assets are not depreciated. The statement of current funds, revenues, expenditures, and other changes is a statement of financial activities of current funds related to the current reporting period. It does not purport to represent the results of operations or the net income or loss for the period.

The FGCU annual survey, distributed in the spring of 1998, asked faculty and staff whether there is "an adequate accounting system for their college." The survey provided mixed results on this question. The results from the agree/disagree instrument indicate a general satisfaction with accounting systems in the individual colleges. (Average agreement scores of 3.51 and 3.78 for faculty and staff, respectively.) The importance/performance instrument, however, suggests a problem, with average importance/performance differences of 1.65 and 1.27 for faculty and staff, respectively. The faculty in the College of Business perceive a somewhat wider importance/performance gap (2.07).

The chief business officer is responsible for preparing financial reports for appropriate institutional officials, board officers and outside agencies. Periodic written reports to the chief executive officer of the institution are essential.

The university controller and the vice president of administrative services submit annual financial reports to the president and to the BOR

The FGCU budget office monitors university budgetary accounts on a daily basis. SAMAS produces FS195, reports of budget position. This report details the budget, encumbrances, expenditures, available balance, and percent of budget expended/obligated for each budgetary account and expenditure category. The FGCU budget office notifies the budget officer in the individual colleges, departments or units if budgetary constraints are exceeded. Data from the FS195 report are also available online at the BOR.

The FGCU budget office periodically reports to the vice president of administrative services (chief business officer) on university-wide fiscal matters.

An annual fiscal year audit must be made by independent certified public accountants, or an appropriate governmental auditing agency, employing as a guide for institutions under the jurisdiction of the Financial Accounting Standards Board (FASB), Audits of Not-For-Profit Organizations, published by the American Institute of Certified Public Accountants (AICPA), or, for institutions under the jurisdiction of the Government Accounting Standards Board (GASB), Audits of Colleges and Universities, also published by the American Institute of Certified Accountants (AICPA), or in the case of for-profit institutions, conducted in accordance with generally accepted accounting principles.

In accordance with Section 11.45, F.S., the auditor general of the state of Florida conducts an annual audit of FGCU. The auditor general reports the results of this audit to the legislative audit committee. Due to timing considerations, the audit for fiscal year 1994-95 was done by the independent accounting firm of Coopers & Lybrand. The auditor general has performed all subsequent audits. Audit reports for the last four fiscal years indicate that FGCU's financial statements "present fairly, in all material respects, the financial position of the university, the changes in fund balances, and the current funds revenue, expenditures and other changes for each fiscal year." Audit tests required by Governmental Auditing Standards disclosed no instances of reportable noncompliance.

If an institution is subject to Statement of Financial Accounting Standards (SFAS) No. 117 and elects to use the single column "Corporate" Statement of Financial Position in its report, it must provide an additional Statement of Financial Position using one of the four highest levels of disaggregation illustrated in the Financial Accounting and Reporting Manual (F. A. R. M.)., published by the National Association of College and University Business Officers. These levels are the Financial Accounting Standards Board (FASB) Net Asset Class Disaggregation, Operating/Capital Disaggregation, Managed Asset Group Disaggregation, and AICPA Audit Guide Funds Group Disaggregation. The additional statement must be included either in the audit report as an audited supplemental schedule or independently certified if not included in the audit report.

FGCU and the SUS prepare statements in accordance with Governmental Accounting Standards and hence are not subject to the provisions of SFAS No. 117.

A for-profit institution and its corporate parent, if any, must add to their audit report a separate schedule indicating the disposition of profits, including detailed information on corporate income taxes paid, both state and federal, and on dividends distributed to stockholders.

Not applicable. FGCU is a public, state-funded university.

A public institution included in a statewide or systemwide audited financial report, for which a separate institutional audit report is not available for the fiscal year ending immediately prior to the committee visit, must have available, in lieu of audited financial statements, a Standard Review Report in accordance with AICPA Professional Standards AR 100.35 to include current funds expenditure classifications and amounts in accordance with generally accepted principles of institutional accounting, and the institution's current fund balance sheet. Institutions in this category must provide either a separate or a consolidated balance sheet.

The SUS publishes audited financial statements for each fiscal year. These reports include system-wide totals, as well as detailed data for each of the ten state universities and the BOR. In order to facilitate the SACS accreditation process, a separate set of financial statements and an audit report were prepared for FGCU for the fiscal year ended June 30, 1997. This audit indicated that the university's financial statements presented fairly, in all material respects, the financial position; the changes in fund balances; and the current funds revenues, expenditures, and other changes for the fiscal year. The results of tests disclosed no instances of noncompliance that are required to be reported under Governmental Auditing Standards. Also, the auditor general noted no matters involving the university's internal control over financial reporting and its operation that were considered to be material weaknesses.

The auditors must not be directly connected with the institution either personally or professionally.

Pursuant to Section 11.45, F.S., all state agencies are audited by the auditor general. The auditor general reports to the legislative audit committee.

A for-profit institution and its corporate parent, if any, must add to their audit report a separate schedule indicating the disposition of profits, including detailed information on corporate income taxes paid, both state and federal, and on dividends distributed to stockholders.

Not applicable. FGCU is a public state-funded institution.

An effective program of internal auditing and financial control must be maintained to complement the accounting system and the annual external audit. However, in those cases in which a public institution's financial report is included as a part of a comprehensive certified state or system financial report and a separate annual audited report is not available, the institution must have an established procedure to ensure the effectiveness of internal controls.

In accordance with Section 20.055, F.S., FGCU has an inspector general (IG) who reports to the president and to the chief inspector general of the SUS. One of the duties of the inspector general is to review and evaluate internal controls necessary to ensure fiscal accountability. The inspector general must have professional accounting credentials and audits must be consistent with the current Standards for Professional Practice of Internal Auditing. The first inspector general for FGCU was appointed May 1, 1997. She received a bachelor of science in accounting from Virginia State University, has several years of internal audit experience in governmental and educational institutions and holds both Certified Internal Auditor and Certified Fraud Examiner certifications.

Rule 6C-1.014, Florida Administrative Code, specifically requires the inspector general to develop a three-year audit plan to be approved by the president. Because this is a new university with a newly appointed inspector general, there was no internal audit plan in place prior to fiscal year 1997-98. However, in the audit reports for prior fiscal year, the auditor general noted no material weaknesses in FGCU's internal control over financial reporting and operations.

Analysis

Accounting, reporting, and auditing procedures at FGCU meet the myriad of rules promulgated by the State of Florida and the BOR. Furthermore, reporting and auditing standards imposed by various professional organizations are consistently observed. Internal and external audit reports issued for the start-up years of the university noted no instances of noncompliance with relevant standards and no material weaknesses in internal controls. This indicates efficient and competent operation of accounting functions.

Recommendations

None.

Suggestions

None.

6.3.7 Purchasing and Inventory Control

Description

An institution must maintain proper control over purchasing and inventory management. The administration and governing board should protect responsible purchasing officials from improper pressures from external political or business interests. A logical adjunct of the purchasing function is a system of wellorganized storerooms such as those for physical plant, library and office and laboratory supplies, as well as an inventory system appropriate to safeguard the institution from loss of equipment.

The mission statement of the Purchasing Department states that the unit "is dedicated to providing professional and efficient procurement services and supports the activities of the university through contracting for all commodities, services, and lease of space; by maintaining procedures which foster fair and open competition, inspiring public confidence that all contracts are awarded equitably and economically; and by acquiring the greatest possible value and quality in the services and products purchased, with timely delivery."

Pursuant to Rule 6C10-6, Florida Administrative Code, the Purchasing Department is responsible for the acquisition of all commodities, services, and minor construction required by the university. The purchasing director has been delegated the responsibility and authority for purchasing in accordance with Florida Statutes, the Florida Administrative Code, state controller rules, and university policies and procedures regarding the purchasing process.

The purchasing department utilizes both formal and informal quotation/bid processes to purchase items not covered by university, BOR, or state contracts. Exceptions to the formal bid process for items/services costing in excess of $15,000 may be granted for sole source acquisition, sponsored research, or emergency purchases. These exceptions are published in the Administrative Services Policies and Procedures Manual.

Commodities available on state contracts, as established by the Florida Department of Management Services, must be purchased from state-approved vendors. Departments that are able to document that the product supplied by the approved vendor does not meet their needs are able to submit a justification to the purchasing director seeking approval to purchase the desired product from another source. Exceptions may also be granted if justified by lower cost, delivery time frame, quality, and/or functionality.

The Purchasing Department, in recognition of individual expertise, has organized its purchasing agents along commodity or service groups. These agents are assigned the task to review assigned requisitions for compliance with applicable rules, regulations, and laws as well as determining the most feasible means of acquiring the goods/services given the desired delivery date, the quality, and the price. Each agent has sufficient knowledge in each other's area of specialization to step in and assume their duties in their absence.

The FGCU annual survey, distributed in the spring of 1998, asked about the "adequacy of purchasing procedures." Results from both the agree/disagree and importance/performance instruments indicate adequate purchasing procedures. (Average agreement scores 3.71 and 3.61 and average importance/performance differences of 0.89 and 0.91 for faculty and staff, respectively.)

The Division of Administrative Services distributed an e-mail survey to faculty and staff in the fall of 1997. This survey included eight questions concerning the operations of the purchasing office and used a 5-point satisfaction scale. Results of this survey indicate general satisfaction. (Average satisfaction scores ranged from a low of 3.12 to a high of 3.9.)

The university has established a central receiving and postal service unit within the Physical Plant Department. All U.S. Postal Service, UPS, Fed-Ex, and other delivery services and commodities purchased by the university are sent to this unit. The unit is responsible for insuring that the items are received in good condition, that items received match those indicated on the purchase order, and that the cartons and contents are not damaged. Any capital items received are also tagged for inventory control purposes. This unit then delivers packages and commodities to the requesting department.

The senior property manager working under the direction of the department of finance and accounting is, by university policy, responsible for conducting an annual inventory of all capital assets owned by the university. A capital asset is an item with a life expectancy of at least one year and a value in excess of $500. These assets are placed on the inventory control list by department, date of purchase, and purchase cost. The university has further established a property survey board whose duty is to process requests from university departments to dispose of capital assets in their possession. Capital assets may be disposed of through transfer to another department, public sale, trade-in, scrapped, or through other acceptable methods.

Each university unit has assigned an employee the duties of property custodian. These employees verify the annual capital asset inventory and maintain management over items not meeting the definition of capital asset. Individual departments are responsible for maintaining their own storerooms. There is no provision for a "central stores" type operation within the university structure. Most purchases for storable supplies (i.e., laboratory, office, and housekeeping) are "as needed."

Analysis

The Purchasing Department has well-defined policies and procedures for purchasing goods and services. The department conducts periodic training programs open to any university employee who is involved in the purchasing process. In recognition of the expected growth of the university, changes in the warehousing of bulk items purchased by the university are under discussion. Within the next two to three years, the purchasing department will be operating a warehousing service/central stores for many bulk purchases. The department will be housed in the campus support facility building currently in the design stages.

The current process of purchasing and inventory control works well for high unit cost items that must be inventoried and for bulk items; however, there is another distinct class of property, which has received little attention and for which limited directions are given to individual departments. This class of property consists of non-consumable items (office equipment, televisions, videocassette recorders, etc.) with a value of under $500. A review of reports filed with the university police indicates that between August 1997 and March 1998, two items (VCR and CD Writer) valued under $500 were stolen. While this represents a small number of thefts with a limited dollar value, the absence of documented serial numbers on the items has hindered the investigation into the thefts.

Recommendations

None.

Suggestions

S6.3.7­1 The Steering Committee suggests that units develop a mechanism to safeguard certain non-consumable items not currently covered by the university inventory system.

6.3.8 Refund Policy

Description

The institution must adhere to a published policy and procedure for refunding fees and charges to students who withdraw from enrollment. The policy and procedure must be in keeping with generally accepted refund practices in the higher education community, applicable to all students, and clearly stated in appropriate official publications.

Pursuant to Rule 6C10-7.001(12), Florida Administrative Code, students are entitled to a full refund of tuition and course related fees if notice of complete withdrawal or course withdrawal from the university occurs prior to the end of drop/add period with written documentation from the student. The drop/add period is published in the Schedule of Classes.

According to published policy, students are entitled to a 25 percent refund of tuition and course related fees if notice of withdrawal from all (university emphasis) courses from the university occurs prior to the end of the fourth week of classes, with written documentation from the student. Currently students are able to withdraw from courses via the Internet and/or phone. Refunds for withdrawals of this type are automatically sent to the student's last known address as filed with the registrar. No "written notice" is actually required.

The university will automatically refund any overpayments shown on a student's fee account. This refund will be processed and mailed to the student's address as shown on the registrar's files after the published last day to pay fees.

Any student attending the university for the first time who completely withdraws from all of his/her classes is entitled to a prorated refund of tuition and course related fees, and room and board charges, if any. The first year student refund is based on federal statute regarding financial aid under Title IV, USC. It is mandated for first- year students receiving financial aid. The university has chosen to extend this provision to all first year students as an issue of fairness.

The university has also promulgated in this rule a mechanism for the refund of tuition and course-related fees due to circumstances, which are exceptional and beyond the control of the student.

Analysis

University refund policies are adequately advertised in the Schedule of Classes, the catalog, and on the Internet. However, there seems to be some discrepancies between published policy and actual practice, with respect to requests for students withdrawing via the Internet and/or telephone.

Recommendations

None.

Suggestions

S6.3.8­1 The Steering Committee suggests that the university amend the published policy on refunds to include a provision for withdrawing via Internet and/or telephone.

6.3.9 Cashiering

Description

There must be a suitable organization and adequate procedures for the management of all funds belonging to the institution.

The cashiering function should be centralized in the business office, and there must be a carefully developed system for the receipt, deposit and safeguarding of institutional funds.

All persons handling institutional funds must be adequately bonded.

The cashiering function at FGCU is under the direction of the bursar's office, which is a division of the Department of Finance and Accounting. The finance and accounting department is under the supervision of the university controller. The organizational structure is depicted in an organizational chart.

The policies and procedures pertaining to the cashiering function at the university are found in the Administrative Services Policies and Procedures Manual. This section of the manual sets out the cashiering functions, the duties and responsibilities of both unit personnel and other departments, and the conditions under which university departments, other then the cashier's office, may receive cash deposits.

All funds received by the university are receipted and deposited through the cashier's office, which is centrally located on campus and operated from the bursar's office. All deposits made through the cashier's office are placed into university bank accounts. Accountability over cash collection begins immediately upon the receipt of funds.

Other university departments desiring to collect funds must submit a written request to the controller's office describing the activity to be conducted. The controller would then identify the appropriate fund in which the activity would operate and approve collection of funds by the requesting department. Departments so authorized are required to issue temporary cash receipts to all individuals remitting payment. The cashier's office reconciles the documentation submitted by the department and inputs the data into Banner or the cashiering system. All documentation is maintained by the controller's office and is subject to periodic auditing.

Pursuant to Section 240.213, Florida Statutes, the BOR is authorized to purchase liability insurance for any of the universities in the SUS or subdivisions thereof. Individual universities purchase insurance through a blanket agreement maintained by the Florida Department of Management Services. All persons handling cash are bonded under the state public employees fidelity blanket bond in accordance with the financial risk involved with each position.

Analysis

University cashiering procedures are specified in writing and are provided to the accountable officer for each university department. Cashiering is centralized with a system for overseeing institutional funds. All persons handling cash are bonded.

Recommendations

None.

Suggestions

None.

6.3.10 Investment Management

Description

The institution must have a written statement of its investment policies and guidelines approved by the board. The policies and guidelines should set forth the investment goals of the institution, conditions governing the granting or withholding of investment discretion, a description of authorized and prohibited transactions, and the criteria to be used for performance measurement of both short and longterm investments.

Members of the governing board should be aware of their fiduciary responsibility for the institution and their responsibility for securing maximum investment returns consistent with the approved investment policy. They should avoid involvement in conflict of interest situations. Investment policies and guidelines must be evaluated regularly.

In accordance with Sections 215.49 and 215.515, Florida Statutes, FGCU deposits cash receipts each business day with the state treasury for investment by the State Board of Administration. Certain deposits, fees and receipts described in Section 240.281, F.S., are exempt from this requirement and are deposited in local accounts at Barnett/Nations Bank. These accounts bear interest at the current not-for-profit rate (i.e., one-quarter percent below the federal short-term rate). Sufficient funds are kept in these local accounts to meet target balances and minimize service charges. Pursuant to Section 240.287, F.S., FGCU is authorized to invest local funds and to use the earnings from such investments for student scholarships and loans.

The Florida Gulf Coast University Foundation, Inc., was incorporated on April 29, 1993, as a Florida not-for-profit foundation under the provisions of Chapter 617, Florida Statutes. The foundation is a direct support organization as certified by the BOR on June 14, 1993. The purpose of the foundation is to "encourage, solicit, collect, receive and administer gifts and bequests of property and funds for scientific, educational and charitable purposes, all for the advancement of FGCU and its objectives."

A Board of Directors develops policies and oversees the foundation. This board appoints a Finance Committee that regularly evaluates investment policies and performance and directs financial/investment activities. In order to assure independent decision making, there is a formal policy regarding conflict of interest that applies to all members of the board. The current FGCU foundation Finance Committee includes the following members:

James McFadden, Chair, Northern Trust Bank

T. Wainwright Miller, The Price Foundation

Richard C. Ackert, SouthTrust Bank

Edward A. Morton, Naples Community Hospital

Curtis D. Bullock, FGCU Vice President of Administrative Services

G. Dave Powell, Port Charlotte

Jeffrey D. Fridkin, Grank, Fridkin & Pearson

Linda K. Taylor, Fort Myers

Charles K. Idelson, SunTrust Bank

The foundation maintains a short-term cash fund to cover current liabilities and operating expenses. Other gifts and contributions are invested in either fixed-income bond funds or equity funds. The foundation's policies and procedures manual provides explicit guidelines for expenditures and for the allocation of funds to cash equivalents, bonds and equities. Periodically, investments are re-balanced to achieve conformity with investment percentage guidelines.

The foundation uses the services of the Common Fund, which specializes in investment management for educational institutions. Quarterly, the Finance Committee meets with foundation staff to review portfolio performance. At least once a year, the finance committee also meets with individual fund managers to review investment performance and to discuss strategies for the future.

The independent accounting firm of Schultz, Chaipel & Co. performs an annual audit of foundation records in accordance with Governmental Auditing Standards.

Analysis

FGCU has appropriate procedures and written policies to assure that the fiduciary responsibilities imposed by Florida Statutes are met in a timely and responsible manner.

Recommendations

None.

Suggestions

None.

6.3.11 Risk Management and Insurance

Description

The institution should have a comprehensive risk management program which includes risk evaluation, risk avoidance and insurance.

Adequate replacement protection for all physical facilities should be covered by appropriate levels of insurance or appropriate provisions for obtaining funds.

Pursuant to Chapter 284, Florida Statutes, the university is eligible to and does participate in the Florida Fire Insurance Trust Fund and the Florida Casualty Insurance Risk Management Trust Fund. The university is in the process of developing a safety program to comply with Chapter 284, F.S., Part III (Safety Programs).

Insurance is purchased through a central insurance program operated by the State of Florida Department of Management Services. Additionally, the university participates in the state's self-insurance programs for hazard insurance (property) and casualty insurance (worker's compensation, general liability, federal civil rights, and fleet automotive liability).

The university participates in the statewide Crime Insurance Program that is made available to any state agency through the Florida Department of Management Services. This program covers employee dishonesty; theft, disappearance, and destruction (of money and securities); faithful performance of duty; and excess employee dishonesty.

The university is in the process of developing a university-wide environmental health and safety program to meet the requirements of Section 284.50, F.S. The university has sought funding from the legislature to fund a director's position to run this program under the direction of the vice president of administrative services. Currently, these duties are shared by a number of directors including purchasing, plant operations and maintenance, and campus police and safety.

Analysis

While the university has adequate insurance coverage for its buildings, equipment, and personnel, the oversight for university-wide environmental health and safety is shared among several directors.

Recommendations

None.

Suggestions

S6.3.11-1 The Steering Committee suggests that the university continue its efforts to obtain funding for a director of environmental health and safety, whose duties would entail monitoring the insurance and risk management programs, general safety issues on campus, and the environmental health and safety of all university community members.

6.3.12 Auxiliary Enterprises

Description

The institution may operate, or have contracted for operation, activities that may have a significant impact on the operation of the institution. These activities may include, but are not limited to, the following: bookstores, residence facilities, food service, operations, printing/ duplication services, child care and transportation services. These activities, when operated by or for the institution, must be documented and operated in a fiscally responsible manner.

Section 240.2803, F.S., provides the authority of the university to establish, fund, and monitor auxiliary enterprises. Pursuant to this statute, auxiliary enterprises are activities that directly or indirectly provide a service to the university or its students, faculty, or staff and for which is charged a fee related to but not necessarily in an amount that will cover the cost of the service. Auxiliary enterprises are generally self-sufficient operations for which the funds are deposited with the state treasury.

The university has contracted with a number of corporations to provide some auxiliary services to the students, faculty, and staff. These contractual service providers are Demko Vending Inc. (vending and food service) and Follett (university store and copy center). These contracts are maintained in the purchasing department. Vendors are required to obtain and maintain their own insurance policies; post performance bonds equal to the minimum annual commission; allow the university the right to inspect all records; maintain accounts and records according to nationally accepted industry standards; and provide the university with an audit report at the end of the fiscal year.

Many of the university departments have established other auxiliary enterprises. Such enterprises include, but are not limited to, parking decals, parking fines, transcript fees, student ID cards, TV tower lease rentals, radio and television production services, etc. Accounts for these enterprise activities must be established through the budget and finance and accounting departments. These accounts, once approved, are operated pursuant to the rules, regulations, policies and procedures applicable to all university accounts.

The university has completed the construction of student residential housing, which was open for occupancy in fall 1998. Housing is departmentally operated in the same manner as other auxiliary enterprises maintained by the university.

The Family Resource Center was opened in fall 1998. As with the housing auxiliary, the Family Resource Center is departmentally operated and meets all of the rules, regulations, policies, and procedures set forth.

The College of Business has established an auxiliary enterprise entitled the Center for Leadership and Innovation. This center is located off campus in leased facilities and serves local business interests in developing the management and leadership abilities of employees. As with other university auxiliary functions, the Center for Leadership and Innovation must follow university purchasing guidelines as well as route all revenues received through the university's cashier's office. The center has published written guidelines, which it maintains at its offices.

Analysis

The university has, in accordance with state statute and university policies and procedures, established auxiliary accounts to serve the needs of the students, faculty and staff. These accounts are well documented and operated in a fiscally responsible manner.

Recommendations

None.

Suggestions

None.

Tables for Section 6.3 Financial Resources

Table 6.3.1(1)

FGCU Seven-Year Enrollment Plan

1997-98 1998-99 1999-00 2000-01 2001-02 2002-03 2003-04

Lower Level 200 400 600 800 1,000 1,200 1,400

Upper Level 875 1,000 1,250 1,550 1,900 2,300 2,800

Grad Class 225 325 400 450 497 578 660

Total 1,300 1,725 2,250 2,800 3,397 4,078 4,860

Actual (FTE) 1,275 (see below)

Table 6.3.1(2)

1997 ­ 1998 Educational & General Budget (E & G)

1997-98

Salary OPS Expense OCO Special Actual Budget

Instruction & Research $15,905,612 $1,310,162 $1,922,807 $150,000 $0 $19,288,581

Administrative Services 3,881,700 115,720 898,186 8,276 62,736 4,966,618

Student Services 1,545,338 154,544 243,853 0 418,730 2,362,465

Library 1,108,920 96,626 164,833 110,000 1,200,000 2,680,379

Plant Op. & Maintenance 727,302 122,253 1,130,421 0 0 1,979,976

Column Totals $23,168,872 $1,799,305 $4,360,100 $268,276 $1,681,466 $31,278,019

Notes:

OPS = Other Personal Services

OCO = Other Capital Outlay

Special = Library Resources, Financial Aid, SUS Data Charges, etc.

Table 6.3.1(3)

1998 ­ 1999 Educational & General Budget (E & G)

1998-99

Budget

Salary OPS Expense OCO Special (as of 8/6/98)

Instruction & Research $16,777,974 $1,403,750 $1,768,947 $50,000 $0 $20,000,671

Administrative Services 4,287,230 202,397 883,939 8,276 50,393 5,432,234

Student Services 1,668,499 133,580 265,614 0 505,066 2,572,759

Library 1,167,953 107,740 117,344 146,878 1,200,000 2,739,915

Plant Op. & Maintenance 790,649 57,918 1,199,055 0 0 2,047,622

Column Totals $24,692,305 $19,905,385 $4,234,899 $205,154 $1,755,459 $32,793,202

Notes:

OPS = Other Personal Services

OCO = Other Capital Outlay

Special = Library Resources, Financial Aid, SUS Data Charges, etc.

Table 6.3.1(4)

Statement of Changes in Student Activity Fee Fund Balance

Actual Budgeted

FY 1997 - 1998 FY 1998 - 1999

Beginning Balance $99,332 $211,650

Receipts 424,533 420,000

Expenditures 312,215 399,939

Year-end Balance $211,650 $231,711

Table 6.3.1(5)

Statement of Changes in Auxiliary Fund Balance

Actual Actual Budgeted

FY 1996 - 1997 FY 1997 - 1998 FY 1998 ­ 1999

Beginning Balance $68,258 $202,537 $813,975

Receipts 143,758 1,016,414 3,043,955

Expenditures 9,479 404,976 2,661,586

Year-end Balance $202,537 $813,975 $1,196,344

Table 6.3.1(6)

Five-year Capital Improvement Plan (CIP-2)

Table 6.3.1(7)

Summary of Appropriations

State University System of Florida

1993 - 1994 1994 ­ 1995 1995 - 1996 1996 - 1997 1997 - 1998

General Revenue $1,006,653,042 $1,079,858,838 $1,166,495,482 $1,292,523,198 $1,423,333,531

Incidental/Student Fees 308,606,927 276,310,047 286,575,320 310,037,877 357,999,316

Educational Enhancement 120,500,000 139,924,840 124,400,000 132,210,000 111,229,348

Other Trust Funds 104,001,314 81,794,118 93,202,761 65,817,313 79,153,304

Total SUS $1,539,761,283 $1,577,887,843 $1,670,673,563 $1,800,588,388 $1,971,715,499

General Revenue: Revenue allocated by the legislature for general operations.

Incidental/Student Fees: Tuition and fees collected from students.

Educational Enhancement: Revenue allocated by the legislature from lottery sales.

Other Trust Funds: Revenue allocated by the legislature for special purposes.

Table 6.3.1(8)

Statement of Changes in WGCU TV Fund Balance

Actual Budgeted

FY 1997-1998 FY 1998-1999

Beginning Balance $567,240 $465,659

Receipts 2,088,554 2,146,356

Expenditures 2,190,135 2,097,114

Year-end Balance $465,659 $514,901

Table 6.3.1(9)

Statement of Changes in WGCU FM Fund Balance

Actual Budgeted

FY 1997-1998 FY 1998-1999

Beginning Balance $302,706 $375,850

Receipts 885,917 890,340

Expenditures 812,764 878,507

Year-end Balance $375,859 $387,692

6.4 Physical Resources

Description

Physical resources, including buildings and equipment both on campus and off campus, must be adequate to serve the needs of the institution in relation to its stated purpose, programs and activities. The physical environment of the institution should contribute to an atmosphere for effective learning.

The university site contains 760 acres with a central academic core area of approximately 150 acres, surrounded by approximately 400 acres of jurisdictional wetlands and upland buffers that are being restored and preserved as open space. The initial phase of the campus construction included nine buildings: Library/University Administration, Howard Hall (university store/administrative services), Student Services, Wellness Center, Ben Hill Griffin III Hall (Academic I), Academic 2, Family Resource Center, Broadcast Building, and Central Energy Plant. This first phase of construction includes approximately 250,000 gross square feet. There are also two clusters of temporary modular units.

Student residences on a lake front to the north of the academic core were completed for the fall 1998 semester. Future proposed construction includes buildings both within the academic core area and on sites within the remaining 210 acres not designated for preservation (see Section 6.4.4 Facilities Master Plan). Faculty and staff are participating in planning and design teams for each of the new facilities.

FGCU's Center for Leadership and Innovation is located in an off-campus facility. In addition, classroom space at Edison Community College facilities, public schools, hospitals and other local agencies is being used.

The guiding principles states that FGCU "strives to make available its knowledge, resources, services, and educational offerings at times, places, in forms and by methods that will meet the needs of all its constituents." The campus buildings, along with the off-site locations for classes, make the resources of FGCU readily available to the public. In addition, the American Disabilities Act (ADA) of 1990 sets guidelines for access to FGCU facilities for faculty, staff, and students. Currently, compliance with this guiding principle and the related legislation is divided between the Office of Educational Services and Equal Opportunity Programs (for faculty and staff) and the Office of Multi Access Services (for students). The latter office has developed a Disabilities Accommodation Plan in response to continuing feedback regarding problems with access to facilities by disabled students. Compliance with ADA regulations has implications for instructional technology, parking policy, office and classroom furniture, and building design.

Faculty and staff participate in planning teams; this broad-based participation increases awareness about issues relating to physical resource. In the FGCU annual survey, the statement, "Physical resources, including equipment and office space, adequately meet my needs," had an average score of 3.65 from the faculty and 3.85 from staff. The difference between performance and importance exceeded 1.0 in both groups (faculty 1.9, staff 1.5). A high percentage of both faculty and staff scored a 5 or 6 on the importance scale for this issue (85 percent and 87 percent, respectively), and no faculty or staff scored a 1 or 2.

Analysis

In 1997-98, the university's physical resources were adequate to fulfill its mission. The FGCU annual survey results indicated a gap between performance and importance in the area of physical resources. This may be due to a heightened awareness of the importance of physical resources as faculty and staff moved onto the new campus. The use of temporary modular units, to be replaced by a new building in the fall of 1999, may have also created problems of perception regarding adequacy of facilities. In addition, there is concern that space for classrooms and library may not be sufficient given anticipated 1998-99 enrollments. FGCU will continue to meet the new and expanding needs with additional construction.

Currently at FGCU, the Office of Educational Services and Equal Opportunity Programs and the Office of Multi Access Services are responsible for compliance with the American Disabilities Act (ADA) regulations. The president has appointed an ADA Committee comprised of students, staff, and faculty whose charge is to monitor university efforts in planning and maintaining accessibility and accommodation for all in the university community. This division of responsibility may cause problems with tracking compliance. The goal of providing adequate access may be better served through centralizing the authority and responsibility for this compliance.

Recommendations

None.

Suggestions

S6.4-1 The Steering Committee suggests that faculty, staff, and students continue to be included in planning committees for each new facility.

S6.4-2 The Steering Committee suggests that the university appoint a disabilities officer and establish a disabilities advisory committee to include representation from the Office of Educational Services and Equal Opportunity Programs, the Human Resources Department, the Facilities Planning Department, the Office of Multi Access Services, the Student Government Association, and the Office of Instructional Technology.

6.4.1 Space Management

Description

Space allocated to any institutional function must be adequate for the effective conduct of that function.

In the FGCU annual survey, staff were asked two questions that relate directly to issues of space: "Adequate work space is allocated for my unit's functions," and "Adequate storage space is available to maintain necessary supplies." In response to a request to agree or disagree with those two statements, average staff scores were 3.45 and 3.15 respectively. The difference between importance and performance was scored as 2.0 and 1.2, respectively. The large difference in perception of importance and performance for the statement regarding adequate work space is in part due to an extremely high average score for importance (5.56). Average scores for performance are greater than 3.5 (3.54 and 3.68, respectively).

The Instructional Space Utilization Report for fall 1997 indicates an average overall classroom utilization of 71.6 percent. For the spring semester, this average was 66.2 percent. Eleven of 32 on-campus classrooms had over 100 percent utilization in the fall; in the spring, six classrooms had this same level of utilization. When these data are examined by time slots and percent utilization of available seats, peak utilization is consistently between 5:00 pm and 7:00 pm during the week and from 9:00 am to 11:00 am Saturday. In the 1997-98 academic year, the utilization of available seats never exceeded 81 percent. While the increased enrollment in the 1998-99 academic year will strain space usage, additional classroom and office space will be available with the opening of new facilities in the fall of 1999.

According to the SUS formula of 22 hours per week equating to 100 percent usage of laboratories, all three science laboratories had over 100 percent utilization. The average utilization for the laboratories was 195 percent during fall 1997 and 192 percent during spring 1998. FGCU received an $87,171 award from the National Science Foundation Instrumentation and Laboratory Improvement Program. This money will be matched by FGCU for the purchase of laboratory analytical equipment, much of which will be housed in a trailer (1,620 gross square feet). This trailer was installed on campus in June 1998. The equipment will be moved to the Whitaker Building when that facility is completed in August of 2001.

Analysis

In the 1997-98 academic year, FGCU allotted space in adequate and appropriate ways. The results of the Instructional Space Utilization Reports must be used with care since they do not provide a totally accurate picture of classroom utilization. The overall utilization of 71.6 percent in the fall included three classrooms in the Broadcast Building that did not open in time to schedule classes for the fall semester and one classroom that was used as an open computer laboratory and so had no classes scheduled in the space. On the other hand, this overall average excludes the rooms not designated as classrooms, but used for scheduling classes, such as department conference rooms. Greater than 100 percent utilization for some classes and laboratories is the result of the formulas designated by the State University System using an expected 40-hour week for classrooms and 22-hour week for laboratories. Efforts to more effectively utilize space and serve students' needs with classes scheduled for the evenings and on weekends resulted in greater than 100 percent utilization based on this formula; however, seat capacity has never exceeded 81 percent. Although increased enrollment in the 1998-99 academic year will fully utilize existing space, the new buildings set to come on line in the fall of 1999 and fall of 2000 will alleviate future capacity issues.

Again, there are large differences in the importance and performance scores on the staff portion of the FGCU annual survey. The Physical Resources Self-Study Committee believes that the reported differences are due to people's expectations of a new work place. No new office space will be available until fall of 1999, but no new full-time faculty positions will be available until the university reaches 3,000 full-time equivalent students. Twenty-one faculty positions were unfilled in the first year. These positions should be filled for the 1998-99 academic year, but adequate office space is available for these new faculty members.

Recommendations

None.

Suggestions

None.

6.4.2 Buildings, Grounds and Equipment Maintenance

Description

An institution must have a plan for the upkeep of its property. At a minimum, the plan must address routine, preventive and deferred maintenance of buildings, equipment and grounds. Where appropriate, it should verify the estimated costs of maintenance as well as when and how it is to be performed. There should be a written schedule of regular maintenance activities and a written record of projects completed. The plan must be operational and evaluated annually.

The Physical Plant Department at FGCU is responsible for all buildings, grounds, and equipment maintenance for the campus. The director of physical plant reports to the vice president of administrative services. The Physical Plant Department is organized into two functional units: facilities services and operations, and maintenance operations. The organizational chart is located in the Physical Plant Procedures Manual ( http://admin.fgcu.edu/phyplant/contents.html ).

The operations and maintenance section is a team comprised of HVAC (heating, ventilation, and air conditioning) and electrical operators, general maintenance personnel, and personnel from the sign shop and lock and key area. The campus is less than one year old, allowing for most maintenance and repairs to be performed under warranty. Currently, university departments can request work through forms on the university's computer network (/fgcu-marlin/share/forms/Physical Plant/Work Request). A completed work request form is required for all tasks. The task is then assigned and tracked through completion.

The Department of Physical Plant's preventive maintenance plan includes a planned and controlled program of periodic inspection, adjustment, lubrication, replacement of components, and performance testing and analysis. The Department of Physical Plant is currently developing a maintenance management software program that incorporates all aspects of the operations and maintenance plan. This plan will provide a mechanism for the physical plant staff to regularly evaluate its services.

The university has a contractual agreement with a landscape maintenance firm to provide the necessary services to the grounds. The university has made a commitment to protect the local environment and to become environmentally friendly. The university is in the process of preserving and restoring hundreds of acres through the removal of exotic invasive plants, the re-planting of native species, and the use of controlled burns to reestablish ecological processes. Where appropriate, these preservation and restoration activities are connected to the curriculum, and, where safety concerns can be adequately addressed, are used to enrich the learning experiences for our students.

Analysis

Because FGCU is a new institution with all new property, maintenance in the first few years of operation is minimal. While specific policies and procedures are in place for the upkeep of buildings, equipment, and grounds, the Physical Plant Department has not yet completed the maintenance plan, which includes an evaluation process.

Recommendations

R6.4.2-1 The Steering Committee recommends that the Physical Plant Department complete the maintenance plan, including an evaluation process.

Suggestions

None.

6.4.3 Safety and Security

Description

The institution must take reasonable steps to provide a healthful, safe and secure environment for all members of the campus community. Administrative responsibility for environmental health and safety programs must be assigned. A comprehensive safety plan must be developed, implemented, and regularly evaluated. The plan should give special attention to the adequate provision and use of safety equipment in laboratories and other hazardous areas; to the modification of buildings, if necessary, for easy egress in the event of fire or other emergency; and to familiarize all building occupants with emergency evacuation procedures.

The University Police and Safety Department at Florida Gulf Coast University has the responsibility for campus safety and security. This department also has the responsibility for identification, evaluation, control, and correction of hazards in the core areas of fire protection engineering, occupational safety, accident prevention and investigation, environmental hygiene, environmental sanitation and water quality analysis, biohazard safety, hazardous waste management, and pesticide management. Specifically, the responsibilities of the University Police and Safety Department include the following:

1. Develop and maintain safety standards and procedures necessary to protect the health and safety of the university community. These procedures are based on applicable federal and state laws, codes, standards, and regulations.

2. Develop and conduct training seminars aimed at promoting safety consciousness, increasing proficiency in safe practices, and explaining FGCU's safety standards and procedures. A handbook guide was developed and disseminated explaining campus safety and security.

3. Review and approve all plans for new construction, modification, and/or renovation to ensure compliance with appropriate safety standards and codes.

4. Regularly inspect university facilities to detect existing or potential fire, accident and health hazards; and develop corrective or preventive measures where indicated. These facilities include library, classrooms, administrative buildings, food services, and student activity areas.

5. Administer an industrial hygiene program. This includes biological hazard control, chemical safety, air quality analysis, laboratory safety, shop safety, and occupational health and safety.

6. Maintain accident, injury, and occupational health/safety records. Develop programs to prevent accidents and injuries.

7. Coordinate corrective health and safety actions with designated college or department safety representatives and college deans as required.

8. Coordinate the university-wide hurricane and disaster evacuation plan, working with the local Bureau of Emergency Management and the American Red Cross.

9. Establish a university-wide environmental health and safety committee for evaluation of current programs and development of new programs to ensure the health and safety of students, faculty, staff, and visitors.

10. Prepare monthly status reports for the vice president of administrative services indicating the status of environmental health and safety projects for the university.

The University Police and Safety Department provides programs of an educational nature on topics such as car theft safety, rape aggression, crime prevention, and safe vacations. In the FGCU annual survey, students were asked to respond to the statement, "FGCU provides a safe environment." The average agree/disagree score for was 4.86. In the importance/performance survey, this item was perceived as both important (average 5.30) and having been performed well (average 4.91).

Analysis

Florida Gulf Coast University recognizes that a complete environmental health and safety program adequately funded and staffed with professional personnel is an essential ingredient in maintaining a safe environment at the university. The University Police and Safety Department is an effective and visible presence on the campus. Student perceptions of safety on campus are very high.

All responsibilities within the University Police and Safety Department are being met with the exception of items 7 and 10 (above), which are still under development. In addition, the State University System recommends the establishment of two separate positions: an environmental health and safety officer and a chemical hygiene officer. These two positions would help the University Police and Safety Department meet its goals.

Recommendations

R6.4.3-1 The Steering Committee recommends that the University Police and Safety Department develop an action plan and a timeline for finalizing two areas currently under development: (1) The coordination of corrective health and safety actions with designated college or department safety representatives and college, and (2) the preparation of monthly status reports for the vice president of administrative services indicating the status of environmental health and safety projects for the university.

Suggestions

S6.4.3-1 The Steering Committee suggests that the state-mandated responsibilities for an environmental health and safety officer and a chemical hygiene officer be appropriately assigned.

6.4.4 Facilities Master Plan

Description

The institution must maintain a current written physical facilities master plan that provides for orderly development of the institution and relates it to other institutional planning efforts.

The current FGCU Comprehensive Campus Master Plan was developed during the initial planning for the university (1993-94) and approved by the BOR in July 1995. The Facilities Planning Department updates this plan every five years.

The process used for updating the Comprehensive Campus Master Plan coincides with the request submitted to the BOR for annual construction or major capital projects via the Capital Improvement Program (CIP). CIP is a five-year plan for facility needs that includes new construction, major renovation/remodeling, major site improvements, and major maintenance projects. The projects are prioritized and submitted to the BOR for approval along with requests of the other nine state universities. The BOR establishes a three-year list of prioritized projects for the system, which is presented to the legislature for funding.

All projects shown on the Capital Improvement Plan, and subsequently considered by the legislature, must be from approved master plans and included in the annual facility survey performed by the university. Therefore, the FGCU planning process must coordinate with the education plan (Element 1.0 Academic Mission and Element 2.0 Academic Program in the FGCU Comprehensive Campus Master Plan).

FGCU has rigorously adhered to the Comprehensive Campus Master Plan. The facility requests for the near future are consistent with past practice and the university's emphasis on undergraduate education. The next three of the five facilities scheduled for planning and construction are a Classroom/Office Building (Academic III), the third classroom and faculty office building; the Whitaker Building, a math, science, and technology building; and Academic IV, a fine arts facility for instruction in the arts.

A listing of the existing facilities and those planned for in the next three years is shown below (areas are reported as gross square feet; figures as of July 1998).

EXISTING

On-Campus Sq. Ft. Opened

Ben Hill Griffin Hall 53,076 8/97

Academic II 40,871 8/97

Library/University Administration 51,309 11/97

Howard Hall 33,276 10/97

Student Services 24,088 8/97

Wellness Center 6,725 8/97

Central Energy Plant 4,946 8/97

WGCU-TV and FM Public Broadcasting 32, 261 1/98

Family Resource Center 5,000 7/98

Modular Village I 5,760 6/97

Modular Village II 11,731 *8/97

Wet Laboratory Trailer 1620 6/98

Student housing complex: seven buildings 75,000 8/98

Off-Campus

Center for Leadership and Innovation 7,152 10/97

PLANNED (areas are approximate) Target Date

Campus Support Services Facility 46,000 10/99

Classroom/Office Building (Academic III) 54,000 8/99

Whitaker Center for Math, Science,

and Technology Education 58,000 1/01

Academic IV (Fine Arts Classroom Facility) 72,000 8/00

*One trailer in Modular Village II required remodeling and was not available for use until 12/97.

Analysis

FGCU has a current written physical facilities master plan that provides for the development of the institution and that meets all State University System guidelines. While the plan is comprehensive in scope, faculty, staff, and students have not had substantial input in the process of developing the plan.

Recommendations

None.

Suggestions

S6.4.4-1 The Steering Committee suggests that a facilities master plan review committee be established to (1) review facilities usage on- and off-campus, (2) coordinate planning for specific facilities, (3) review the Facilities Master Plan, and (4) have input into the development of each capital improvement plan. This committee should include, at a minimum, participation from the physical plant staff, the faculty from each academic unit, and students.

6.5 Externally Funded Grants and Contracts

Description

Externally funded grants and contracts must be related to the stated purposes of the institution.

Florida Gulf Coast University encourages research, scholarly activity, collaboration with various constituencies, and entrepreneurial activity as integral parts of the intellectual and professional enrichment of the faculty, staff, and students in the furtherance of the mission of the university. Such activity enables FGCU to be a learning-centered university, which meets the educational needs of its students, prepares informed and engaged citizens, and forges partnerships with the community. All requests to or from outside agencies for funding of sponsored programs (or to perform a funded project) are required to be reviewed by the Office of Contracts and Grants (C & G).

The institution's policy on such grants and contracts must provide an appropriate balance between grant and contract activity and instruction, and guarantee institutional control of the administration of research projects.

Faculty and staff who desire to work on sponsored contracts or grants are required to submit a Contracts and Grants Internal Review Form that has been approved by the appropriate department chair and college dean. Time and effort commitments proposed for the externally funded activity must meet the requirements of the department and college and not interfere with instructional commitments. Section 240.243, Florida Statutes, and Chancellor's Memorandum CM-87-17.2 establish the standard practice for preparing and presenting academic activity data. All faculty are required to submit a Faculty Activity Report (FAR) approved by their supervisor reflecting time commitments to credit generating and non-credit generating activity, such as contract and grant projects.

Florida Statutes and Board of Regents rules provide that the president is the chief administrative officer for the operation and administration of the university. The president has delegated to the vice president of academic affairs and designee(s) the authority to sign research contracts, solicitations and acceptances of research grants and contracts. The president has further delegated to the vice president of administrative services and designee(s) the authority to sign all contracts and agreements related to the purchase or acquisition of materials, goods, and services, and the lease of space. Grants and contracts are generally subject to the same purchasing, accounting and reporting standards applied to other university operations. However, Section 240.241(9), F.S., does exempt certain purchases for funded research from state purchasing procedures if the director of research certifies to the president that it is "necessary for the efficient and expeditious prosecution of the research project."

The researcher's freedom to investigate and report results must be preserved. Research support from outside agencies should not undermine these basic research principles.

It is FGCU's policy, consistent with the policies of the BOR and the United Faculty of Florida (UFF), to maintain and encourage academic freedom and responsibility, which apply to teaching, research, and creative activities. All members of the university community shall be free to engage in scholarly and creative activity and publish the results in a manner consistent with their professional obligations (Collective Bargaining Agreement 1998-2001, Article 5).

One of the FGCU guiding principles is that "the university vigorously protects freedom of inquiry and expression and categorically expects civility and mutual respects to be practiced in all deliberations."

The Contracts and Grants Intellectual Property Policy states that FGCU:

1. Encourages inventions, discoveries, and the production of copyrightable materials by members of the university community.

2. Facilitates the utilization of such discoveries and materials to the benefit of the public, the university, and the members of the university community.

3. Provides for the equitable sharing of any proceeds derived from the commercial exploitation of inventions, discoveries, and copyrightable materials in which, pursuant to this policy, the university is determined to have an interest.

In fostering academic freedom, it is the policy of FGCU to uphold the highest standards of integrity in research and scholarly activity.

The institution must establish a clear policy concerning a faculty member's division of obligations between research and other academic activities. It must ensure that this policy is published in such documents as the faculty handbook and made known to all faculty members. Where applicable, the institution must develop policies regarding summer salaries paid from grant and contract funds, salary supplements paid from grants during the regular academic year, and fees for consultative services provided by faculty members. These policies must also be published and made known to the faculty.

The Faculty Performance Evaluation Document (August 25, 1998) reads as follows:

FGCU is a comprehensive public university which embraces the tripartite responsibility of teaching, scholarship, and service. While teaching is central to the university's mission, individual faculty members may engage in the activities of teaching, scholarship, and services in different degrees and intensities. The expectations in each of these areas will be documented in the Professional Development Plan, and the faculty member will be evaluated in accordance with how well he or she has fulfilled the objectives agreed upon in the Professional Development Plan.

In addition to the Faculty Performance Evaluation Document there are a number of other policies or procedures that guide the allocation of faculty time and activities.

1. A university employee may undertake outside employment, such as an independent contract for research and/or consultation, only if it "does not interfere with the full performance of the employee's assigned duties and responsibilities, and does not constitute a conflict of interest." Faculty members must obtain approval from the appropriate department chair, the college dean and the vice president of academic affairs plus file the appropriate paperwork with human resources prior to engaging in outside employment. In addition there are restrictions placed on the use of the university's name and/or equipment in such external employment (Administrative Services Policies and Procedures Human Resources).

2. Faculty members must complete a Faculty Activity Report (FAR) at the beginning of each academic term. The FAR allocates the faculty member's time between teaching, administrative duties, scholarship, and service to the university community. The FAR must be signed by the faculty member's supervisor and submitted to the vice president of academic affairs.

3. All FGCU employees paid from contract/grant funds are subject to the same rules, policies, procedures and collective bargaining agreement provisions as other FGCU employees. Rule 6C10-5.013, Florida Administrative Code, provides rules concerning the payment of "additional state compensation." Section 8.4(b)(2) of the collective bargaining agreement between the BOR and UFF specifies the equation to be used in determining compensation for summer employment. Although this equation applies to summer teaching, it has been the practice at FGCU to use this as the basis for determining the appropriate amount for summer grants.

In accepting funds from outside agencies, the institution must ensure that it maintains control over research and instruction. Because many agencies attach stringent regulations directing and limiting the activities for which they provide funding, the institution must safeguard control over its own activities.

The director of contracts and grants oversees award administration and ensures compliance with both university and governmental guidelines. Specific responsibilities of the Office of Contracts and Grants include, but are not limited to, the following:

1. Review proposals and negotiate contracts to ensure compliance with institutional procedures and state and federal guidelines.

2. Initiate account set-up and project implementation by issuing "Notice of Award."

3. Provide institutional liaison with funding agencies.

4. Assist faculty in developing grant proposals.

5. Prepare institutional grant proposals.

6. Assist faculty and staff in administration of external funding.

7. Organize grant-writing workshops.

8. Prepare periodic reports related to grants programs.

9. Inform appropriate administrators, faculty, and staff of changing regulations and sponsor requirements.

10. Communicate with the controller to ensure institutional compliance with OMB Circular A-133 and A-21.

During the start-up period, the Office of Contracts and Grants was not fully staffed. A temporary employee drafted many of the initial policies and procedures and developed a Faculty Orientation Manual. For several months, an administrative assistant was the sole staff member in the office. The first director of contracts and grants was hired in the spring of 1998 and did not assume duties on a full-time basis until June 15.

Continuity of support for general institutional activities must not be endangered by acquisition of research contracts and grants. Grants must be awarded and contracts must be made for specified periods of time. When the institution becomes even partially dependent upon such funds for faculty salaries and/or graduate student stipends, termination of grants and contracts can jeopardize an entire educational program. It is also important that the institution not become dependent upon indirect cost allowances from grants and contracts to support its regular operating budget.

In the last year, approximately 11 percent of the costs of instruction at FGCU were covered by "restricted funds." The SUS average for instructional expenditures from restricted funds is 10 percent.

FGCU is just beginning to build a sponsored research program. The first permanent director for contracts and grants began at FGCU in June 1998. To date, indirect cost recovery has been minimal. FGCU has submitted a request to the chancellor of the SUS to establish a sponsored research trust fund in accordance with Section 240.241 F.S. Funds generated by the recovery of indirect costs for sponsored research and training activities will be deposited in this trust fund. Once a sufficient trust fund balance is achieved FGCU will establish a division of sponsored research.

Analysis

The State of Florida, FGCU, and the FGCU Office of Contracts and Grants have developed adequate policies and procedures for the review of contract and grant proposals and the administration of externally funded projects. These policies and procedures assure that funded research is related to the stated purpose of the institution, that there is an appropriate balance between grant and contract activity and instruction, and that the researcher's academic freedom is protected. These policies and procedures are published in various state and university documents, but at the time this report was drafted, they had not yet been included in the FGCU Faculty Handbook.

FGCU has had some initial success in obtaining external funding from grants and contracts, but there is no excessive reliance on external funding.

Recommendations

None.

Suggestions

S6.5-1 The Steering Committee suggests that the director of contracts and grants and appropriate faculty committees review the contracts and grants policies and procedures and that any deficiencies and/or ambiguities be corrected or clarified. New or amended policies should then be included in the Faculty Handbook as well as the Contracts and Grants Faculty Orientation Manual.

6.6 Related Corporate Entities

Description

Institutions are often associated with related separately-incorporated units such as radio and television stations, athletic foundations, research foundations, scholarship foundations, hospitals, for-profit enterprises, press operations and publications, and insurance trusts. When an institution is reliant upon such an entity, or when a separately-incorporated or related entity is reliant upon the institution, documentation outlining the mutual relationship and benefits must be maintained by the institution.

This documentation must include the following: a description of the separately-incorporated unit's activities; a statement demonstrating the manner in which the activities relate to the purpose of the institution; a current roster of the board members of the unit, including institutional personnel and board members who have responsibilities with both the institution and the incorporated entity, whether they are additionally compensated by the entity or not; a copy of the separately incorporated unit's annual financial audit report for the most recently completed year; and copies of the charter and bylaws of the unit.

If such entities are reliant upon the institution for fulfillment of their purposes, the institution should ensure that they complement, rather than detract from, the institution's purpose, and that they are subject to proper operating controls and risk-liability containment. The institution should demonstrate the manner in which each related entity contributes to its effectiveness.

Florida Gulf Coast University has an operating relationship with one separately incorporated entity, Florida Gulf Coast University Foundation, Inc., which was incorporated on April 29, 1993, as a Florida not-for-profit foundation under the provision of Chapter 617 of the Florida Statutes. The university identifies the corporate entity as a direct support organization according to Section 240.299, Florida Statutes, as certified by the Board of Regents on June 14, 1993. The foundation was established to encourage, solicit, collect, receive, and administer gifts and bequests of property and funds for scientific, educational and charitable purposes for the advancement of Florida Gulf Coast University and its objectives.

The activity of Florida Gulf Coast University Foundation, Inc., may be broadly described as administration of property on behalf of the Florida Gulf Coast University. These activities include acquisition and transfer of real, personal, and intangible property and awards of loans and scholarships for educational purposes. The foundation functions as a fiduciary entity on behalf of the donor of a gift and the university program or activity to be funded by the gift. Its function is analogous to that of a trust department of a bank.

The general objective of the foundation is to provide charitable and educational aid and services to the university consistent with the mission of the university. The Board of Directors for the foundation of Florida Gulf Coast University for the fiscal year 1997-98 included:

Richard C. Ackert Ben Hill Griffin, III

Audrea I. Anderson Barbara Hilliard

William Ausbon, MD Charles K. Idelson

Bernadette Billups Gerald Laboda

Valerie Boyd James McFadden

Curtis D. Bullock Bucky McQueen

James Courtney Roy E. McTarnaghan

John M. Crowley T. Wainwright Miller

Lu Drackett Edward A. Morton

Nelson Fairbanks G. David Powell

Jeffrey D. Fridkin Fred Pezeshkan

James F. Garner Suzanne L. Richter

J. Dudley Goodlette Israel Suarez

Chauncey Goss Leo Wotitzky

A copy of the foundation's annual financial statement for the year ended June 30, 1997, audited by Schultz Chaipel and Company, CPAs, is available for review. The audit report expresses a favorable opinion that the financial statements are presented fairly, in all material respects, and are in conformity with generally accepted accounting principles. The annual report is used to demonstrate fiscal accuracy and document the progress of the foundation. This information is presented to the foundation's board members annually.

A copy of Florida Gulf Coast University Foundation, Inc., articles of incorporation and bylaws are available for review. The foundation mission complements the university's educational purpose by providing the legal conduit for acceptance, investment, and distribution of private gifts for the funding of activities and programs related to the mission, role, and scope of Florida Gulf Coast University.

Analysis

Florida Gulf Coast University Foundation, Inc., contributes to the university's effectiveness by providing an avenue for performance of those services and functions that the Florida Gulf Coast University financial system cannot provide. The foundation provides a means of funding for those programs which, perhaps for budget reasons, cannot be funded through the normal medium. In addition, the foundation contributes to the cultural and academic environment and the well being of the institution.

Recommendations

None.

Suggestions

None.

Supporting Documentation for Section VI

6.1 Organization and Administration

100 Day Letter

Faculty Governance Structure and Process

Faculty Handbook

FGCU Foundation, Inc., Articles of Amendment to Articles of Incorporation

FGCU Foundation, Inc., Financial Statements, June 30, 1997

FGCU/USF Ft. Myers Newsletter/ACCESS

Organizational Chart

Recruitment: Search and Screen Guidelines

Rule 6C-1, F.A.C., Organization, Powers, Duties, and Functions of the Board of Regents; Rules of the Department of Education, Board of Regents

Rule 6C-1.005 Meetings

Rule 6C-1.014 Inspectors General

Rule 6C10, F.A.C., Florida Gulf Coast University

Rule 6C-4, F.A.C., University Presidents; Rules of the Department of Education, Board of Regents

Rule 6C-4.001 Powers and Duties of the University Presidents

Rule 6C-4.002 Presidential Search, Selection, Appointment and Evaluation

Schedule of Classes

Section 240.2011, F.S., State University System defined

Section 240.207, F.S., Board of Regents; appointment of members; qualifications and terms of office

Section 240.227, F.S., University presidents; powers and duties

Ten Year Development Plan for a New University in Southwest Florida

6.2 Institutional Advancement

Biographic Briefs: John M. Crowley, Linda Lehtomaa, Judith M. Cassidy, Susan Evans

FGCU Foundation, Inc., Articles of Amendment to Articles of Incorporation

FGCU Foundation, Inc., Financial Statements, June 30, 1997

FGCU Foundation, Inc., First Amended and Restated Bylaws

FGCU Foundation, Inc., Five Year Fund Raising Proposal, 1995-2000

FGCU Foundation, Inc., Polices and Procedures

Ten Year Development Plan for a New University in Southwest Florida

6.3 Financial Resources

Administration Services Policies and Procedures

Administrative Services Departmental Mission Statements

Auxiliary Services

Budget Department

Purchasing Department

Finance and Accounting Department

Purchasing Department

Administrative Services Organizational Charts

Auditor General's Report on the Financial Statement of Florida Gulf Coast University for Fiscal Year Ended June 30, 1997

Capital Improvement Plan

FGCU Annual Financial Reports, 1996-97 and 1997-98

FGCU Annual Survey

FGCU Foundation, Inc., Financial Statements, June 30, 1996, and June 30, 1997

FGCU Foundation, Inc., Policies and Procedure Manual

Inspector General

Section 20.055, F.S., Agency inspectors general

Resume of FGCU Inspector General

Annual Report 1997-98 and 1996-97

Rule 6C-1, F.A.C., Organization, Powers, Duties, and Functions of the Board of Regents; Rules of the Department of Education, Board of Regents

Rule 6C-1.005 Meetings

Rule 6C-1.014 Inspectors General

Rule 6C10, F.A.C., Florida Gulf Coast University

Rule 6C10-1 Public Business with the University

Rule 6C10-5 Human Resources

Rule 6C10-6 Purchasing

Rule 6C10-7 Finance and Accounting

Section 11.45, F.S., Legislative Organization, Procedures, and Staffing Definitions; duties; audits; reports

Section 20.055 Agency inspectors general

Section 215.49, F.S., Making funds available for investment

Section 215.515, F.S., Investment accounts; charges for services)

Section 216.102, F.S., Recording and filing of financial information; handling by Comptroller, penalty for noncompliance

Section 216.102, F.S., Recording and filing of financial information; handling by Comptroller, penalty for noncompliance

Section 216.111. F.S., Financial statements and schedules and other reports, submission by governmental entities

Section 240.213, F.S., Board authorized to secure liability insurance

Section 240.2803, F.S., Auxiliary enterprises; contracts, grants, and donations; definitions

Section 240.281, F.S., Deposit of funds received by institutions and agencies in the System University System

Section 240.287, F.S., Investment of university agency and activity funds; earnings used for scholarships

Section 284.50, F.S., Loss prevention program; safety coordinators; Interagency Advisory Council on Loss Prevention; employee recognition program

Section 617, F.S., Corporations Not for Profit

State Automated Management Accounting Subsystem Manual (SAMAS)

State University System Financial Statements for FY Ended June 30, 1997

Student Government Association ­ General Rules and Purpose of Activity and Service Fee Funds

Tuition, Fees and Refunds Policies

6.4 Physical Resources

Campus Police and Safety, Chapter 8 Administrative Services Polices and Procedures manual (http://admin.fgcu.edu/police/chapter8.html)

Capital Improvement Plan

Comprehensive Campus Master Plan

Environmental Health and Safety Policy and Procedures Manual

(http://admin.fgcu.edu/EHS/manual.htm)

Instructional Space Utilization Reports

Physical Plant Department, Chapter 7 Administrative Services Policies & Procedures Manual (http://admin.fgcu.edu/phyplant/contents.html)

Physical Plant Work Request Form (fgcu-marlin/share/forms/Physical Plant/)

6.5 Externally Funded Contracts and Grants

Additional State Compensation Under a Contract or Grant

BOR UFF Collective Bargaining Agreement

CM-87-17.2 Chancellor's Memorandum, Standard Practice for I&R Data File and 12 Hour Law

Contracts and Grants Faculty Orientation Manual

Contracts and Grants Office Review and Approval

Contracts and Grants Office, Administration of Subcontracts and Subgrants

Faculty Activity Report (FAR)

Faculty Performance Evaluation Document

Federal Contract and Grant Oversight

Human Subjects Research Policy

Indirect Cost Recovery Policy

Policies and Procedures on Conflict of Interest Regarding Sponsored Programs

Policy and Procedure for Dealing with Allegations of Misconduct in Research and Scholarly Activities

Policy on Intellectual Property

Section 240.241, F.S., Divisions of sponsored research at state universities

Section 240.243, F.S., Required number of classroom teaching hours for university faculty members

Sponsored Research Exemptions from General Accounting and Purchasing

Synopses of PoliciesAdministration of Subcontracts and Subgrants

6.6 Related Corporate Entities

FGCU Foundation, Inc., Articles of Incorporation

FGCU Foundation, Inc., Bylaws

Section 240.299, F.S., Direct-support organizations; use of property; board of directors; audit; facilities




Click to return to the FGCU Home Page

FGCU 1998. This is an official FGCU web page.
Florida Gulf Coast University is an equal opportunity/affirmative action institution.
10501 FGCU Blvd. South, Ft. Myers, FL 33965-6565
webmaster@fgcu.edu