When faced with a potential breach of academic honesty, the faculty member:

1. reviews this policy and procedures statement
2. documents the concern to the extent possible
3. consults student academic services, or equivalent, to ascertain if there were previous incidents
4. raises the concern quickly and directly with the student in writing, outlining how the student has breached the academic honesty standards, and copying the student’s primary mentor/advisor and student academic services, or equivalent.  This should typically occur within 20 business days.
5. determines the appropriate response, which may include responding to the breach while continuing to work with the student in the course, assigning an F grade, or not providing a credit recommendation for a PLA component.

If the faculty member continues to work with the student in the course, s/he may also do one or more of the following:

1. provide developmental advice to the student on academic expectations
2. require that the student consult specific research writing or other academic skills development re-sources
3. require that the student rewrite the assignment(s), meeting standards for academic honesty
4. require that the student complete additional assignment(s) that meet standards for academic honesty
5. deduct points or fail the student on the assignment

Having provided guidance to the student, the faculty member remains alert to the possibility of further breaches.

If the faculty member determines that the appropriate response is to assign an F for the course, the student loses access to academic services related to the course including the online learning site for the course. A student who is denied a credit recommendation for dishonesty for a PLA may not resubmit the same or similar component for evaluation. A student who receives a grade of F for a course or does not receive PLA credit may appeal that decision through the university's Student Academic Appeals Policy and Procedures.

Serious Acts of Dishonesty

Serious acts of dishonesty include but are not limited to plagiarism, stealing, selling, or buying of an examination or paper; the presentation of the work of another as one’s own, copying examination answers from another source or individual, having someone else do your work either on or off-line, and repeated acts of plagiarism, cheating, misrepresentation and misappropriation.

Possible Penalties.

Serious or continued breaches of academic honesty may constitute grounds for academic warning or dismissal from the university. The following penalties may apply:

Academic Warning: An academic warning for academic dishonesty is a formal written notice from the dean to the student providing conditions for continued enrollment in the university. It describes the nature of the breach of academic honesty standards, expectations for future behavior and any specific educational requirements. The academic warning for academic dishonesty is included in the student’s official university record. A breach of academic honesty expectations after an academic warning for academic dishonesty normally leads to dismissal.

An academic warning for academic dishonesty remains active on the student’s academic record until graduation. While the university retains information internally about the academic warning after graduation, the university clears the official record. If the student pursues additional study with the university, the information is available to university personnel who may consider it if the student breaches academic honesty expectations again.

Academic Dismissal: An academic dismissal for academic dishonesty is an indefinite separation from the university. The formal written notice describes the nature of the breach of academic honesty expectations. The academic dismissal for academic dishonesty is included in the student’s official university record.

Review of Serious Cases of Dishonesty.

If a breach of academic honesty is reported, and if the faculty member, primary mentor/advisor, or dean or designee believes that it is serious enough to warrant an academic warning or dismissal, s/he refers the case to the dean or designee of the student’s home school or program. He/she may:

1. refer the case to the academic appeals and honesty committee (AAHC) for a recommendation on academic warning or academic dismissal
2. recommend, in consultation with the student’s primary mentor/advisor, additional educational activities and/or provide developmental advice.

Academic Appeals and Honesty Committee Procedures.

AAHC procedures are as follows:

1. When the dean or designee refers the case to the AAHC, he/she notifies the student in writing within 10 business days of receiving the copy of the notice to the student from the faculty member. The dean’s notice provides the student the opportunity to respond in writing to the AAHC.
2. The student has 10 business days to submit any written response to the AAHC.
3. The AAHC considers the student’s response in its review. The AAHC may obtain additional relevant information before or after the committee meets to review the case.
4. The AHC should schedule a meeting to consider relevant information within 20 business days of receiving an academic dishonesty case. A meeting may take the form of a face-to face meeting, conference call or videoconference, at the discretion of the AAHC.
5. The chair of the AAHC ensures a fair and timely consideration of the information and provides an accurate record of the meeting to the dean.
6. The student may participate in the meeting and present his or her case directly to the AAHC. Likewise, the individual(s) referring the case also may participate in the meeting and present relevant information. The student and the individual referring the case meet separately with the committee.
7. A student may have an advisor at the meeting; however, the advisor may not participate in the meeting.
8. Following the meeting, the AAHC deliberates in closed session. Decisions are made by majority vote. The AAHC may:
   • decide that a penalty is unwarranted
   • recommend that the dean or designee issue an academic warning
   • recommend that the dean or designee dismiss the student from the university.
9. Within 5 business days of the hearing, the AAHC transmits its recommendation and brief rationale in writing to the dean or designee.
10. After reviewing the AAHC’s recommendation the dean or designee may decide to issue an academic warning or dismissal as appropriate to the situation, or may issue another decision.
11. The dean or designee provides to the student a written notice of her/his decision in the case within 5 business days of receiving the AAHC recommendation, copying the primary mentor/academic advisor. The written notice specifies the effective date of the action and a copy is retained.

Reinstatement after Dismissal for Academic Dishonesty

For the dean or designee to consider reinstatement, a student must present convincing written evidence that s/he has come to value the standards for academic honesty and a written affirmation that s/he agrees to follow the university's Academic Honesty Policy.

The dean or designee of the student’s school or program is responsible for acting on requests for reinstatement after academic dismissal. Students are not eligible for reinstatement for at least 16 weeks or one term, whichever is longer, after an academic dismissal.

Students who are academically dismissed a second time for academic dishonesty are not eligible for reinstatement.

• If the dean or designee reinstates a student, he/she places the student in warning status. The dean or designee also may establish terms and conditions for re-enrollment.

Written Notice. The dean or designee sends a copy of any written notice of reinstatement to the student’s primary mentor/advisor and retains a copy.

Student Appeals

Students may appeal any decision made about academic honesty as outlined in the academic appeals policy and procedures.

Students must maintain an overall Grade Point Average (GPA) of a 2.0 on a 4.0 scale

Students who fail to meet the above criteria will be placed on Academic Probation for a period of one term. While on Academic Probation, students should access all available resources to help them to return to good academic standing such as Academic Support Services, Disability Services, support from mentor, or other university services. Students who fail to return to good academic standing within the time period required will be academically dismissed from SUNY Empire.

Removal of Academic Probation Status

Students who achieve a minimum 2.0 overall GPA after being placed on Academic Probation will be returned to good academic standing.

Continuing enrollment while on Academic Probation

A student who is on academic probation is expected to maintain a minimum term GPA of a 2.0. Students who achieve this threshold will be granted an additional term of Academic Probation even if their overall GPA remains below a 2.0.

Academic Dismissal

Students who fail to achieve a minimum 2.0 term GPA while on Academic Probation will be academically dismissed.

Enrollment Conditions while on Academic Probation

While on Academic Probation, students will be restricted to no more than 12 credits of enrollment in a term until such time as they demonstrate an ability to be successful in coursework. Additional conditions or exceptions to this can be made at the discretion of the student's Dean or Associate Dean in consultation with the mentor and should be made on the basis of consistent academic achievement.

Reinstatement after Academic Dismissal

Students may appeal to the Dean or designee of their school for reinstatement to SUNY Empire after a period of one academic term of dismissal. Students should include information and documentation related to why they were not successful during the Academic Probation period and what has changed to allow the student to be successful should their request for reinstatement be granted. Appeals should be sent to the Dean or designee of the student's school. 

Financial Aid Eligibility

This policy does not direct a student's eligibility for Federal or State Financial Aid. Students should refer to the applicable financial aid policies and direct questions about financial aid to the Office of Financial Aid.

The student must submit a withdrawal request in writing to the center or program office. The effective date is the date the student transmits the request.

Effect on Enrollment Status

The effective date of the withdrawal may affect the full- or part-time enrollment status of the student. For the purpose of establishing enrollment status, enrolled credits are the number of registered credits after day 28 of the enrollment term. For example, a student who first enrolls for 12 credits and withdraws from one 4-credit study on or before day 28 remains enrolled for only 8 credits and is no longer considered full time. If the student withdraws after day 28, he or she is considered full time.

A withdrawal that results in a change from full- to part-time enrollment status can jeopardize the student’s financial aid eligibility. See the Empire State University statements on Eligibility for New York State Financial Aid and Eligibility for Federal Financial Aid.

For information on the effect on financial aid eligibility, see the statements on Eligibility for New York State Financial Aid and Eligibility for Federal Financial Aid.

1. The University will inform current students no less than annually of their rights under the Act and its implementing regulations by such means and at such times as are reasonably likely to inform them of those rights.

2. Students may request to examine their education records by submitting in person or a written request to University Registrar. Proper photo identification is required for in-person requests (e.g., Empire State University identification card). Written requests must be notarized. The University will comply with such requests within a reasonable time not to exceed 45 calendar days from receipt of the request.

3. If the student requests copies of their education records, the following fee schedule will apply: unofficial or official transcript $10, all other education records $.50/page.

While the University may not generally deny access to the records, under certain circumstances it may have cause to deny a request for a copy of a student's education records. For example, the University will not issue an official transcript to a student who has an outstanding balance on their student account.

Types and locations of education records routinely maintained by the University, and the officials responsible for some or all of them are as follows:

a. Admissions Records: Admissions Office; Note: FERPA protection does not apply to applicants. However upon official enrollment of student, admissions records are transferred to the Office of the Registrar.

b. Academic Records: Office of the Registrar -- the University Registrar

c. Official Empire State University Transcripts: Office of the Registrar – the University Registrar

d. Financial Aid Records: Financial Aid -- Director of Financial Aid

e. Billing Records: Student Accounts – Senior Director of Student Accounts

f. Graduate and Inactive Academic Student Records: Office of the Registrar – the Registrar

4. The University will not disclose personally identifiable information from a student's education records without prior written consent of the student except as permitted by the Act or as may otherwise be required by law.

When Student Consent is not Required for Disclosure of Education Records:

Under FERPA, prior consent by the student is not required when disclosure is (one or more of the following):

1. To other school officials, including teachers, within the University whom the school has determined to have legitimate educational interests. This includes contractors, consultants, volunteers, or other parties to whom the University has outsourced institutional services or functions, provided that the conditions listed in § 99.31(a)(1)(i)(B)(1) - (a)(1)(i)(B)(3) are met. (§ 99.31(a)(1))
2. To officials of another school where the student seeks or intends to enroll, or where the student is already enrolled if the disclosure is for purposes related to the student’s enrollment or transfer, subject to the requirements of § 99.34. (§ 99.31(a)(2))
3. To authorized representatives of the U.S. Comptroller General, the U.S. Attorney General, the U.S. Secretary of Education, or State and local educational authorities, such as a State postsecondary authority that is responsible for supervising the university’s State-supported education programs. Disclosures under this provision may be made, subject to the requirements of §99.35, in connection with an audit or evaluation of Federal- or State-supported education programs, or for the enforcement of or compliance with Federal legal requirements that relate to those programs. These entities may make further disclosures of PII to outside entities that are designated by them as their authorized representatives to conduct any audit, evaluation, or enforcement or compliance activity on their behalf. (§§ 99.31(a)(3) and 99.35)
4. In connection with financial aid for which the student has applied or which the student has received, if the information is necessary to determine eligibility for the aid, determine the amount of the aid, determine the conditions of the aid, or enforce the terms and conditions of the aid. (§ 99.31(a)(4))
5. To organizations conducting studies for, or on behalf of, the school, in order to: (a) develop, validate, or administer predictive tests; (b) administer student aid programs; or (c) improve instruction. (§ 99.31(a)(6))
6. To accrediting organizations to carry out their accrediting functions. (§ 99.31(a)(7))
7. To parents of an eligible student if the student is a dependent for IRS tax purposes. (§ 99.31(a)(8))
8. To comply with a judicial order or lawfully issued subpoena. (§ 99.31(a)(9))
9. To appropriate officials in connection with a health or safety emergency, subject to § 99.36. (§ 99.31(a)(10))
10. Information the school has designated as "directory information" under § 99.37. (§ 99.31(a)(11))
11. To a victim of an alleged perpetrator of a crime of violence or a non-forcible sex offense, subject to the requirements of § 99.39. The disclosure may only include the final results of the disciplinary proceeding with respect to that alleged crime or offense, regardless of the finding. (§ 99.31(a)(13))
12. To the general public, the final results of a disciplinary proceeding, subject to the requirements of § 99.39, if the school determines the student is an alleged perpetrator of a crime of violence or non-forcible sex offense and the student has committed a violation of the school’s rules or policies with respect to the allegation made against him or her. (§ 99.31(a)(14))
13. To parents of a student regarding the student’s violation of any Federal, State, or local law, or of any rule or policy of the school, governing the use or possession of alcohol or a controlled substance if the school determines the student committed a disciplinary violation and the student is under the age of 21. (§99.31(a)(15))

Disclosure of Directory Information

Institutions may disclose “directory information” about a student without violating FERPA. At the University, directory information is defined as:

a.name

b.address

c.phone number

d.dates of attendance

e.most recent previous educational institution attended

f.major area of concentration

g.degree and awards earned

h.participation in officially recognized university activities

i.date and place of birth

j.email address

k.enrollment status

The student may restrict the release of all or part of the directory information by following the procedures specified in the University’s annual FERPA notice.  

Procedures for Requests for Information

All units of the University will operate under the following procedures with regard to requests for information:

1. Incoming Phone Requests: Only directory information items d, f, and g will be released over the phone to persons outside the University.
2. Written Requests: Directory information will be released by the university registrar in response to requests on official letterhead to persons having legitimate reason(s) for requesting the information. If additional information is requested, the student will be notified and release requested.
3. In-Person Requests: Directory information will be released to those who have proper photo identification and legitimate reason for requesting the information.
4. All other non-directory information will be released only by the Office of the Registrar with the prior consent of the student unless as otherwise may be allowed by the Act.
5. The Office of the Registrar will maintain a record in the student's file of all requests for, and disclosure of, personally identifiable information (other than directory information) from a student's education records as specified in the Act. This record may be inspected by the student.
6. Students may request to amend their education records if they believe information contained therein is inaccurate, misleading, and/or violates their privacy or other rights. If such a request is refused, the University will so inform the student and advise the student of the right to a hearing to be held within a reasonable time as described in the Act.
7. All units of the University will endeavor to maintain printed student education records in lockable file cabinets, preferably in lockable rooms. Similarly, electronic files will be maintained in such a way as to ensure maximum security and to provide access only to duly authorized personnel. The length of storage and destruction of education records will be in accordance with State University of New York policy and procedures.
8. Copies of this policy and of the Act will be available online and paper copies will be on file in all physical locations of the University and will be made available to eligible students upon request.

Canadian students who wish to maintain their residence in Canada and travel to the U.S. for required residencies or meetings with their mentors are considered part-time border commuter students. These students are required to show their I-20 each time they enter the U.S. A new I-20 is issued each term.

Canadian border commuter students are not eligible for financial aid, university-sponsored scholarships or employment while studying in the U. S. International students must demonstrate that they have sufficient financial resources to fund their first year of study at Empire State University before they are issued an I-20, and that they have insurance coverage equivalent to SUNY insurance plan.

Border commuter students, F-1 international students that have their I-20s from other institutions, or students on other kinds of visas who have learned English as a second language must demonstrate proficiency in English.   Students may take any version of the TOEFL exam that suits their needs. Undergraduate students must achieve a score of 550 on the paper-based exam (PBT), 213 on the computer-based exam or 80 on the TOEFL (iBT) Internet-based exam.

Graduate students must achieve a score of 600 on the paper-based exam or 250 on the computer-based exam and 100 on the TOEFL iBT internet based exam.

Score reports must be sent from ETS directly to the university and are valid for two years. Photocopies of a score report sent to the university from the student will not be accepted.

“bans inducements to any individual or entity (other than salaries paid to employees or fees
paid to contractors in conformity with all applicable laws) for the purpose of securing
enrollments of Service members or obtaining access to TA funds as part of efforts to eliminate
aggressive marketing aimed at Service members.

Additionally, SUNY Empire will refrain from high-pressure recruitment tactics as part of efforts
to eliminate aggressive marketing aimed at Service members. Such tactics include making
multiple unsolicited contacts (3 or more) including contacts by phone, email, or in-person, and
engaging in same-day recruitment and registration for the purpose of securing Service member
enrollments.

And finally, SUNY Empire will refrain from providing any commission, bonus, or other incentive
payment based directly or indirectly on securing enrollments or Federal financial aid (including
TA funds) to any persons or entities engaged in any student recruiting, admission activities, or
making decisions regarding the award of student financial assistance. These tactics are
discouraged as part of efforts to eliminate aggressive marketing aimed at Service members.”

Per Executive Order 13607, the same aggressive marketing policy to ban predatory recruitment tactics will be implemented to support and protect student veterans and their family members using federal education benefits.

With the ratification of the Isakson and Roe Act of 2020, the University will abide by the amended recruitment policy, which prohibits the University from making three or more unsolicited contacts to covered [by VA education benefits] individuals, including by phone, email, or in-person, during any one-month period. Covered individuals are those who are eligible to receive federal educations benefits through the U.S. Department of Veterans Affairs.

Empire State University policy prohibits the unlawful possession, use or distribution of illicit drugs and the abuse of alcohol by employees on university property or as part of the university’s activities.

Compliance with the provisions of this policy is a condition of employment with the Empire State University

Legal Sanctions

Articles 220 and 221 of the New York State Penal Law set criminal penalties for possession or sale of drugs considered harmful or subject to abuse. The seriousness of the offense and penalty imposed upon conviction depend on the individual drug and amount held or sold.  Penalties range from fines to prison terms of 15 years to life, depending upon the nature of the substance, the criminal act and the character of the crime. A summary of NY State drug possession and sale crimes and penalties can be found on a websearch (https://statelaws.findlaw.com/new-york-law/new-york-drug-possession-laws.html)

New York State prohibits on-the-job use of, or impairment from, alcohol and controlled substances. The State of New York Policy on Alcohol and Controlled Substances in the Workplace provides that upon “reasonable suspicion” a supervisor may require an employee to undergo a medical examination, which could include a drug and alcohol test.

Federal Trafficking Law convictions also carry a variety of penalties which range from five to 30 years in prison and substantial fines. A summary of possible federal laws and sanctions can be found in Appendix A and Appendix B.  

Health Risks

There are significant psychological and physiological health risks associated with the use of illicit drugs and alcohol. Physical addiction, loss of control and withdrawal syndrome as well as serious damage to vital organs of the body can result from drug and alcohol abuse. A description of specific health risks is found in Appendix B.

Alcohol and substance abuse are serious problems and diminish the quality of services the university delivers. Additionally, the personal toll to individuals, families and communities is staggering.

Drug and Alcohol Program

Employees may be referred to the New York State Employee Assistance Program (EAP). EAP is a joint labor-management committee program open to all State employees and their families. The program is a confidential information, assessment and referral program that provides employee requested services including assessment for referral to the most appropriate community resource provider for services related to emotional or physical illnesses, alcohol and other drug-related problems.

Any state employee may contact the New York State Employee Assistance Program at 1-800-822-0244. Employees may seek additional information on the Office of Human Resources website (www.esc.edu/HR).

Disciplinary Sanctions – Employees

State of New York employees who unlawfully manufacture, distribute, sell, dispense, possess, purchase or use a controlled substance while at the workplace or while performing a university activity, will be subject to disciplinary procedures consistent with applicable criminal or civil laws, rules, regulations and collective bargaining agreements including termination of employment or referral for prosecution. Other corrective action may include satisfactory participation in an approved drug or alcohol rehabilitation program.

 Any employee convicted of a violation of a criminal drug statute for a violation occurring in the workplace or at a work site must notify in writing the Office of Human Resources no later than five (5) calendar days following the conviction. The university will notify appropriate federal agencies of such a conviction within ten (10) days of receiving notice of the conviction.

An employee may be directed to undergo medical examination and/or testing under Section 72 of the NYS Civil Service Law at the expense of SUNY Empire, if the supervisor suspects that the employee is not able to perform their duties as a result of alcohol or controlled substance related disabilities.

In compliance with the rules and regulations of the Research Foundation and the State University of New York (SUNY), the EM at SUNY Empire maintains records for certain owned and leased assets. For this purpose, state-owned equipment that cost $5,000 and more (including installation costs) that have a life expectancy of one or more years is tracked in the SUNY controlled Real Asset Management System (RAM) as well as an internal asset database, and asset tags are assigned to them. Though not required by SUNY, SUNY Empire also tracks and tags owned and leased assets that cost $5,000 or less that have a life expectancy of one or more years and are considered high-theft risk. Items valued at less than $5,000 are not typically tracked in RAM, but they are tracked in the internal asset database. The assistant vice president of operations has the authority to make a final determination if an asset should be tagged and tracked. Questions about tagging should be directed to the PCC. Examples of high-theft items tracked and tagged by SUNY Empire include but are not limited to:

• Laptops
• Desktops
• Tablets/iPads
• Cell phones
• Televisions
• Printers
• Grounds Equipment
  • Snow blowers
  • Lawnmowers
  • Gas-powered equipment

Tags are not assigned to building equipment, such as plumbing and electrical systems. 

Information tracked—in the internal asset database and RAM—includes the date an asset is purchased, the date the asset is physically present at a SUNY Empire location, the item location and date of any change of location, the title of the employee the item is assigned to, the final disposition of the item, and the reason it is no longer a university asset. Items in RAM are accessible to SUNY for auditing purposes.

Assets that will be removed for use away from a SUNY Empire location (laptops, iPads, etc.) must have an OCU form signed and submitted annually by the employee responsible for the asset (Appendix A). This form confirms responsibility for the item by the person it is assigned to, including the return of the item upon leaving SUNY Empire. The EM will remind each off-campus user to renew the OCU form annually.

When an asset is no longer needed by SUNY Empire or is no longer functional, it is disposed of following SUNY policy and OGS guidelines. The custodian of an asset will inform the PCC that an asset is no longer needed and the reason. The PCC determines the most appropriate form of disposal.

Responsibilities

The EM is responsible for tracking and providing tags for assets at all SUNY Empire locations. Annual physical inventories are performed at all locations to verify accuracy of records.

The PCC is responsible for developing a process so departments can notify the EM if an asset has been purchased that requires tracking and tagging. The PCC must communicate this process and ensure it is clear and easy to follow. This includes coordination of the OCU process and managing the final disposition of all tracked and tagged assets. The PCC is responsible for ensuring physical inventories are performed and that SUNY policy and state regulations are complied with.  

The procurement office is responsible for providing the PCC with a report that provides information about purchases of $5,000 and more or other items tracked and tagged as described in this policy. The report can be general, such as an overall report of the total amounts spent through purchase orders and credit cards, or it can be a copy of a purchase order. However, further details must be provided by the procurement office when requested by the PCC. Reports must be provided to the PCC on a regular basis, no less than quarterly.  

Access to RAM and the Internal Asset Database

The PCC and assistant vice president of operations must have access to RAM. The PCC may designate one additional equipment management employee to have access to RAM. Access to the internal asset database is dependent on the role of the employee. The PCC, assistant vice president of operations and one employee designated by the PCC shall have full control to enter data, create reports, dispose of equipment, create new data fields, and create and delete asset records. Technical support specialists, facilities administrators, and other department representatives shall have access to the internal asset database to view reports and update locations with the approval of the PCC.

Lost or Stolen Items

Employees who suspect an asset is lost or stolen must notify the Office of Safety and Security and the PCC. The PCC will report any suspected theft or loss of equipment more than $1,000 to the Office of the State Comptroller (OSC) and SUNY System Administration (university controller's office) and document the issue in the internal asset database and RAM, if applicable.

Those reporting Bias Incidents should submit the University’s Bias Incident Reporting Form.

Upon receipt of a Bias Incident report, the chief diversity officer will:

• Promptly review the report and assign a designated reviewer to contact the Complainant and/or person impacted, if requested, for follow-up measures. This may include:
  • Determining how to assist the Complainant, including identifying all available support resources, such counseling services.
  • Contacting other involved parties and/or University departments to reach a resolution.
• Develop educational opportunities in response to Bias Incidents to foster inclusivity and awareness of University support systems.

Campus security authorities, designated in Appendix A, are required to report, at a minimum, anonymized statistical data regarding Bias Crimes to the director of safety and security for publication in the annual security report.

Any employee found in violation of this policy shall be subject to discipline up to and including termination of his/her employment, consistent with the terms and conditions of the applicable Collective Bargaining Agreement, if any.

Retaliatory action against anyone who has, in good faith, reported bullying, or who has been involved in reporting, investigating, or responding to bullying, will not be tolerated and is also a violation of this policy.  Those found responsible for any retaliatory action will be subject to discipline up to and including termination consistent with the terms and conditions of any applicable Collective Bargaining Agreement, if any.

Civility Standards

Expected and acceptable communications/behaviors include, without limitation:

• Holding yourself and other accountable to the University's mission, vision, and core values.
• Interacting with others in a considerate, patient and courteous manner.
• Promoting equality and acceptance of people from diverse backgrounds.
• Demonstrating a caring and positive attitude: greet and acknowledge others, make eye contact, say please and thank you; give recognition and praise.
• Respecting confidentiality and privacy whenever possible.
• Working together by promoting cooperation, participation and sharing of ideas, and information to promote team success.
• Fostering open, honest communication and being honest and truthful at all times.
• Actively listening to the perspective of others and seeking to resolve conflicts promptly.
• Apologizing when mistakes are made and/or misunderstandings have occurred.
• Using proper and appropriate channels to express dissatisfaction.
• Promoting an environment that includes respect for differences that are valued and/or protected. These include: age, race, creed, religion, color, national origin, ethnicity, sexual orientation, predisposing genetic characteristics, marital status, sex, disability, familial status, pregnancy, arrest record, conviction record, genetic disposition, gender identity, workers with care-giving responsibilities, military status (including Vietnam-era veterans, special disabled veterans and other eligible veterans), and any other legally-protected category.
• Being knowledgeable of other related and applicable University and/or SUNY-wide policies and procedures including, without limitation, Affirmative Action, Service Standard Guidelines, Non-Discrimination/Anti-Harassment Policy, and the SUNY Workplace Violence Policy.

This policy does not apply to cameras used covertly by the Office of Safety and Security or law enforcement agencies for criminal surveillance as governed by applicable local, state and federal laws.

Video surveillance cameras are to be operated by employees of the Office of Safety and Security, or others authorized to do so, only for reasons directly connected to their employment.

Applicability of Policy: All members of the campus community shall be aware of this policy including students, faculty, staff and third parties.

Camera Usage

Empire State University will utilize the University Security Camera System in public areas of the campuses to enhance the safety, security and quality of life for the University community in a manner consistent with applicable local, state and federal laws.

A. Intended/Authorized Use

1. Investigations – To assist in the investigation of potential criminal acts and violations and enforcement of local, state and federal laws including State University of New York and Empire State University policies, procedures, rules, regulations and other applicable oversight requirements.
2. Critical incident response – To assist responders in the safe and effective deployment of resources during a critical incident or other applicable event.
3. Alarm verification – To assist responders in determining the nature of intrusion alarms, exit door controls, hold-up and panic alarms.
4. Crowd management – To assist in determining crowd activity and volume during events or in areas of high pedestrian or vehicle traffic. These areas can include: campus grounds, parking lots, roadways, bus stops and recreational areas.
5. Verification of building access – To assist in verifying the condition of building access points as well as identification of individuals gaining access to the University.
6. Property protection – To verify the security of building perimeters, entrances, lobbies, corridors, receiving docks, special storage areas, laboratories, cashier locations, ATM/CVC machines and emergency telephones.

Real-time monitoring of cameras within the Empire State University Security Camera System is neither implied nor guaranteed.

B. Prohibited Use

1. Profiling – The practice of targeting individuals based on characteristics including, but not limited to: race, gender, ethnicity, sexual orientation, disability, religion or other protected classifications is prohibited.
2. Personal interest – The Empire State University Security Camera System shall not be used to serve private interests, nor to satisfy personal curiosity.
3. Privacy – The Empire State University Security Camera System shall not be used to interfere with an individual’s reasonable expectation of privacy without legitimate cause and appropriate authorization as required by law.

C. Cameras Exempt from this Policy

1. The following are not part of the Empire State University Security Camera System and are therefore not governed by this policy.
1. Police use of in-car video or body-worn cameras while on University property.
2. Cameras used covertly by Empire State University Office of Safety & Security or other law enforcement agency for criminal surveillance as governed by applicable local, state and federal laws.
3. Academic use of video cameras for educational purposes, video cameras used for journalism or private video cameras owned and operated by individual members of the University community.
4. Video cameras or webcams established temporarily or permanently by the University for reasons unrelated to surveillance activity, such as remote monitoring of facility construction to ascertain project progress, campus marketing, public relations initiatives, or fundraising activities.
5. Surveillance cameras that are owned by vendors or contractors of the University or University-related organizations that are installed within their equipment.

D. Installation and Placement of Cameras

1. The University reserves the right to place video cameras on its campuses in public areas where necessary and appropriate for the purposes outlined in Section A. Intended/Authorized Use.
2. All video cameras on campus, other than those specifically described in Section C. Cameras Exempt from this Policy, may only be installed with the written authorization of the Office of Safety & Security and shall be installed as part of the University Security Camera System.
3. The process and guidelines for decisions regarding installation of new video cameras in the University Security Camera System is included in the Requesting Camera Installation section of this policy below.
4. Prior to the approval of any plan for new construction or renovation, the Office of Safety & Security, in conjunction with the Office of Facilities and the Office of Information Technology, shall review the project and determine if cameras are required.

 E. Notification of University Community

1. This policy shall be made available to students, faculty, staff and visitors and be referenced in appropriate publications to inform the University community that cameras may be utilized on University properties.

F. Camera System Access 

1. Only members of the Empire State University Office of Safety & Security, or others authorized to do so as part of their job duties shall have access to the University Security Camera System for use consistent with Section A. Intended/Authorized Use.

G. Security Camera Material

1. The security camera material produced by the University Security Camera System are records of Empire State University Office of Safety & Security.
2. Authorization for use, duplication or release of records shall be obtain through the University’s process for Freedom of Information Law (FOIL) requests. The Records Access Officer will respond to requests with consultation from counsel and the Director of Safety & Security. 
3. The Office of Safety & Security shall oversee the storage and maintenance of all security camera material, making all reasonable efforts to ensure the integrity of the material obtained through the University Security Camera System. All reasonable efforts will be made to maintain security camera material for a minimum of thirty (30) days. 
4. Any activity observed by a person reviewing security camera material that is, or may reasonably be, criminal in nature shall be immediately reported to the Office of Safety & Security. 
5. No alterations of any recorded material by the University Security Camera System shall be made, with the exception of those permitted in the procedures promulgated in this policy.

Requesting Camera Installation

1. All requests to install a camera in or on a SUNY Empire owned, rented, or leased property, must be made to the Office of Safety & Security utilizing the Request for Camera Installation Form (Appendix A).

1. All inquiries shall include specific security concerns regarding the requested location.
2. Requests for camera services will result in a security review which will be conducted by the Office of Safety & Security to determine the needs of that location and a recommended remediation strategy, if necessary.
3. The Office of Facilities shall request a security review during the planning stage of all new construction and renovation projects for the purpose of determining camera placement during construction.
4. In assessing requests, the Office of Safety & Security shall consult the Office of Information Technology Services and additional departments, as necessary.
5. The Office of Safety & Security will respond in writing to all requests for the placement of a camera within thirty (30) days of receipt of such request, barring extenuating circumstances.
6. If the Office of Safety & Security denies a camera placement request, a written appeal can be directed to the Director of Operations.
7. All appeals must include the original written request as well as the written response by the Office of Safety & Security, in addition to any additional justification for the placement request.

2. If camera placement is a component of a recommended remediation strategy, the Office of Safety & Security will evaluate and determine the exact placement of such camera or cameras in accordance with the following guidelines. 

1. Cameras will be installed in locations which contribute to the safety and security of the University community.
2. Cameras may not be installed in private areas of the campus that don’t meet the criteria described in Section C. Cameras Exempt from this Policy.
3. Cameras shall not be intentionally directed in a manner to infringe on an individual’s reasonable expectation of privacy.
4. If a camera is mistakenly directed in such a manner, a request shall be made by the affected party or other University official to the Office of Safety & Security to review and evaluate the camera placement. 
5. Empty, dummy, or placebo cameras are prohibited.

If any staff or student observes a camera location infringing on the reasonable expectation of privacy of any member of the University community, the Office of Safety & Security shall be immediately notified so the camera placement can be evaluated.

Requesting User Access to the University Security Camera System

1. All requests to receive user access to the University Security Camera System must be made to the Office of Safety & Security utilizing the Security Camera System Access and Compliance Form (Appendix B).
2. All appeals must include the original written request as well as the written response by the Office of Safety & Security in addition to any additional justification for the access request.
3. The Office of Safety & Security shall ensure that all persons who receive user access to the University Security Camera System review this policy and receive training in the effective, legal, and ethical use accessing the system.
4. Each person granted user access to the University Security Camera System must comply with the terms contained in the Security Camera System Access and Compliance Form (Appendix B). Such agreement shall be maintained by the Office of Safety & Security and will remain in effect and enforceable throughout such person’s employment by or relationship with the University, or until such authorization is terminated prior to the end of that person’s employment/relationship with the University. It is the responsibility of the authorized user to review authorization with the Director of Safety & Security if their title within the University changes, or the scope of their work is amended in their current position. The Director of Safety & Security will maintain a log of all employees with approved access, and the details of access as provided on the Security Camera System Access and Compliance Form (Appendix B).
5. The Office of Safety & Security shall assess requests for user access to the University Security Camera System based on Section A. Intended/Authorized Use.
6. The Office of Safety & Security shall respond to all requests for user access within thirty (30) days of receipt of the request.
7. If the Office of Safety & Security denies a Security Camera System access request, a written appeal can be directed to the Senior Director of Operations.

Video/Storage Media of Security Camera Material

To protect the integrity of Security Camera Footage derived from the University Security Camera System, alterations require approval by the Office of Safety & Security and are limited to those intended to protect the privacy of non-participants in an incident, or to produce a still image for a lawful purpose.

The University Security Camera System Footage shall be maintained and stored by the Office of Safety & Security, in conjunction with the Office of Information Technology.

Maintenance and Testing of Cameras and Equipment

The Office of Safety & Security, in conjunction with the Office of Information Technology, shall ensure the University Security Camera System is maintained in proper working order.

All maintenance and repairs will be performed by technicians with a demonstrated expertise in video surveillance systems.

The Office of Safety & Security, in conjunction with the Office of Information Technology, shall ensure that tests of all cameras are conducted and repairs made, as required.

The university will register only one certificate at each level (graduate and undergraduate) with the same purpose and title. Undergraduate certificates are available university-wide, with the exception of those related to the Labor Studies AOS or to the B.S. in Nursing. Consequently, the team developing an undergraduate certificate proposal related to the remaining AOSs must work across centers and with relevant AOS groups. Graduate certificate proposals are developed by SGS, according to their curricular review process.

There is no prescribed number of credits for a certificate, but the number must be reasonable. Normally a certificate program at the undergraduate level will contain no more than 24 credits and at the graduate level will contain no more than 12. Studies or courses included in a certificate program must be applicable to a degree program. The credits must be accepted into the DP in the identified program AOS/concentration, should the student choose to matriculate. For an undergraduate certificate, the proposal must describe the link between AOS and concentration guidelines. For graduate programs, the proposal must define the placement of the credits within existing programs.

The studies or courses that comprise a certificate must make a coherent whole that can stand on its own. The certificate program is integrated and not simply a collection of courses or studies. Thus, certificate programs include overall learning objectives. The proposal makes integration methods explicit, identifies the learning objectives for the certificate and describes how the studies or courses within the program meet those objectives

Certificates are generally structured programs, but need not be lock-step. It is possible to offer students course/study options within a certificate as long as the linkage can be made between the options and overall program goals. Where appropriate, the certificate program can be designed to meet external standards.

Certificate Program Development Procedures

A certificate is a credential issued by SUNY in recognition of the completion of a credit-bearing curriculum other than one leading to a degree. The certificate award appears on the university transcript. The university must receive authorization from SUNY and the New York State Education Department (SED) to award a certificate. The SUNY and SED requirements for program proposals are specified in detail. Hence, the university reviews and approves certificate proposals through the relevant university governance structures. A sponsoring dean or designee normally takes the responsibility for moving a certificate proposal forward and ensuring appropriate consultation. Early consultation with colleagues, relevant deans and the Assistant Vice President for Academic Program Development (AVPAPD) is strongly encouraged.

As there are a number of approval steps, both internally and externally, the standard lead time is six months for review and consideration of certificate program proposals. Bear in mind the university's governance cycle.

Please review the appropriate steps and procedures for developing undergraduate and graduate certificate program concept papers and proposals found in the Handbook for the Review and Approval of New Academic Programs on the Academic Affairs website.

http://www.sunyempire.edu/academic-affairs/new-academic-program-development/handbook-forms/

The Chosen Name policy applies to students and employees.

Prohibited uses of a Chosen Name  

1. A chosen name shall not be used for the purpose of misidentification, misrepresentation, fraud, to avoid legal obligations, or in any other manner that violates SUNY Empire, SUNY, local, state, or federal policy, law, rules or regulations, including the student conduct policy and all employee-related rules and policies. Violations of such policies, laws, rules, or regulations shall be addressed through established procedures. 
2. A chosen name may not include words, symbols or numbers or be otherwise prohibited under the law and/or SUNY Empire policy or procedure, including the student code of conduct.
3. SUNY Empire reserves the right to reject the use of or remove from administrative systems or documents any chosen name that it deems in its sole judgment to be in violation of this policy.

For employees, requests will be reviewed by the Office of Human Resources. For students, requests will be reviewed by the Office of the Registrar.

SUNY Empire is obligated to use the legal name for many official records and reports, including, but not limited to, payroll records, billing records, tax forms, financial aid documents, official transcripts, medical records, enrollment reporting, and federal immigration documents. 

This policy is consistent with current values and policies of SUNY Empire that protect students and employees against discrimination based on gender identity and expression, and aligns with state and federal regulations. This policy is drafted as a best practice for supporting transgender and gender non-conforming members of campus communities. The ability to use one’s chosen name is not limited to use by transgender and gender non-conforming students and employees, however, and is available to anyone who uses a chosen name other than their legal/primary first name, on a daily basis.

• Active Learning: Assess and build upon previous learning and experiences to pursue new learning, independently and in collaboration with others. 
• Breadth and Depth of Knowledge: Cultivate a broad, interdisciplinary understanding in the liberal arts and sciences, as well as expertise in a particular field. 
• Social Responsibility: Engage in ethical reasoning, and reflect on issues such as democratic citizenship, diversity, social justice and environmental sustainability, both locally and globally. 
• Communication: Express and receive ideas effectively, in multiple contexts and through multiple strategies. 
• Critical Thinking and Problem Solving: Evaluate, analyze, synthesize and critique key concepts and experiences, and apply diverse perspectives to find creative solutions to problems concerning human behavior, society and the natural world. 
• Quantitative Literacy: Read, interpret, use and present quantitative information effectively. 
• Information and Digital Media Literacy: Critically access, evaluate, understand, create and share information using a range of collaborative technologies to advance learning, as well as personal and professional development.

• Use of University facilities for instruction, research and public service take priority over the commercial use of University facilities.

• Commercial use shall not be in conflict with, and shall advance the mission of, the campus, and shall not infringe upon, delay or conflict with the normal operation of the campus.

• Commercial use shall not be in conflict with and shall advance the University’s strategic plan.

• Commercial use shall not have a significant potential for material adverse effect on the reputation of the campus for academic integrity and independence.

• Commercial use shall not compete with or replicate activities of the campus auxiliary services corporation, campus foundation, or other campus-related entities.

• Commercial use shall not violate existing agreements between the campus, its auxiliary services corporation, foundation or other campus-related entities and vendors providing goods or services on campus.

• Commercial use shall conform to federal tax law restrictions on private use of facilities financed by tax-exempt bonds.

• Commercial use shall comply with Federal research guidelines, to the extent applicable.

The Executive Vice President for Administration (EVPA) shall be responsible for authorizing commercial use of the University’s state-owned facilities.

No student or employee shall promote sale of goods or services for personal profit on University property unless approved by the EVPA.

All property owned by University is available for commercial use. Use is generally limited to first floor common areas and conference rooms. Property leased by University is not available for commercial use.

Commercial use of University property shall be subject to the terms of this policy and shall require a written agreement for such use that identifies the facilities to be used and the duration of such use, and shall further require the commercial user to:

• comply with the regulations and policies of the University and campus

• indemnify the University from liability arising out of the entity’s use

• provide evidence of appropriate insurance protection

• reimburse the University for damage or destruction to University facilities

• provide appropriate compensation to the campus

Fees

Fees are assessed according to building, length of use and equipment used.  

Fair market appraisals will be assessed when proposed use of facilities

• is to exceed 30 or more full-time equivalent days during a state fiscal year
• proposed use will involve any construction upon, or modification of, University facilities
• proposed use is expected to exceed $25,000.

No officer or employee should have any interest, financial or otherwise, direct or indirect, or engage in any business or transaction or professional activity or incur any obligation of any nature, which is in substantial conflict with the proper discharge of his/her duties in the best interests of the Research Foundation.

No officer or employee should have any financial interest that will, or may be reasonably expected to, bias the design, conduct, or reporting of sponsored programs.

Standards:

1. No officer or employee should accept other employment, which will impair his/her independence of judgment in the exercise of his/her duties and responsibilities.
2. No officer or employee should accept employment or engage in any business or professional activity, which will require him/her to disclose confidential information, which he/she has gained by reason of his/her position or authority.
3. No officer or employee should disclose confidential information acquired by him/her in the course of his/her duties except as required by law nor use such information to further his/her personal interests, unless such information has previously been made public.
4. No officer or employee should use or attempt to use his/her position to secure privileges or exemptions for himself or herself or others.
5. No officer or employee should engage in any transaction with any business entity in which he/she has a direct or indirect financial interest that might reasonably tend to conflict with the proper discharge of his/her duties or responsibilities.
6. An officer or employee should not by his/her conduct give reasonable basis for the impression that any person can improperly influence him/her or unduly employ his/her favor in the performance of his/her duties, or that he/she is affected by the kinship rank, position or influence of any party or person.
7. An officer or employee should abstain from making personal investments in enterprises which he/she has reason to believe may be directly involved in decisions to be made by him/her or which will otherwise create conflict between his/her duties in the best interests of the Research Foundation and his/her private interest.
8. An officer or employee should pursue a course of conduct which will not raise suspicion that he/she is likely to be engaged in acts that are in violation of his/her trust. 

Disclosure:

An Annual Disclosure of Financial Interests must be completed by project directors who receive federal funds. The Disclosure must be on file at the time the proposal is submitted and must be completed at least annually for as long as project remains active or sooner if there is a significant change in the project director’s financial interests. Annual disclosures must be completed by October 1.

Disclosure Review:

The completed Annual Disclosure of Financial Interests must be submitted to the Director of Sponsored Programs for a preliminary review. All apparent conflicts of interest must be disclosed to the university's President or designee for review and determination of whether a violation of this policy exists. Any determination by the university President or designee of a violation shall be forwarded to the President of the Research Foundation.

Because inherent power differentials exist, professional staff or other university personnel are prohibited from entering romantic relationships with students for whom such staff or personnel have current supervisory, instructional or other professional responsibility. Consensual romantic relationships between professional staff or other university personnel and any students for whom such staff or personnel have no current supervisory, instructional or other professional responsibility are strongly discouraged. It is understood that any intimate activity between SUNY professional staff/other university personnel and another employee or a student/graduate student shall never take place while the SUNY professional staff/other university personnel is on duty or on campus. In regard to SUNY Police, such relations shall also never occur while the officer is in uniform.

In the case of pre-existing relationships, professional staff or other university personnel shall be required to recuse themselves from any evaluation of the student and from any activity or decision which may appear to reward, penalize, or otherwise affect the student or student employee and to otherwise take appropriate action to minimize any potential preferential or adverse consequences to the student or other members of the university community. In the employment context, there is a presumption against romantic relationships between employees where there is a current supervisory or authority imbalance. In cases where there is or has been a consensual romantic relationship between two individuals employed by the university, it is important that any sphere of influence or authority by one such employee over another be removed. Where one person is in the direct line of supervision over the other, the supervisor must notify university administration so that alternative arrangements for supervision can be made. Where neither individual is in the direct line of supervision over the other, but authority exists wherein one individual could impact any employment related decision regarding the other, such as participating in decisions regarding hiring, termination, appointment, reappointment, promotion, assignment of duties, evaluation or changes in compensation or benefits for the other individual, such person must either recuse themselves from the decision-making process or, in the alternative, notify university administration so that they can be removed from the decision making process. Non-consensual relationships are always prohibited and may implicate other policies or laws.

Undergraduate Students: SUNY professional staff or other university personnel, are prohibited from entering romantic relationships with any undergraduate students for whom such staff or personnel have current supervisory, instructional, or other professional responsibility.

Graduate or Professional Students: SUNY professional staff or other university personnel are prohibited from entering romantic relationships with any graduate or professional student in their academic department or unit or over whom they have current supervisory, instructional or other professional responsibility.

Employees in a Supervisory Role: SUNY professional staff or other university personnel are prohibited from supervising any employee with whom they are currently engaged or in the past have been engaged in a romantic relationship. Professional staff or other university personnel who enter a romantic relationship with any employee for whom they provide direct line supervision must notify their direct supervisor or department/unit head, and Assistant Vice President (AVP) of Human Resources or designee. The employee’s supervisor or department/unit head, in concert with the AVP of Human Resources or designee, shall determine whether an alternative supervisory structure is possible and, if so, shall direct the employees to the alternative supervisory structure. The conclusion of the relationship (whether amicably or not), does not change the prohibition stated herein. There is no prohibition or reporting requirement for SUNY professional staff or other university personnel who enter, are currently engaged in, or in the past have been engaged in romantic relationships with other SUNY professional staff or other university personnel where there is no direct line supervisory relationship. However, where a romantic relationship exists or has existed, professional staff or other university personnel shall recuse themselves from any personnel decisions regarding the other individual including hiring, termination, appointment, reappointment, promotion, assignment of duties, evaluation or changes in compensation or benefits for the other individual or, in the alternative, notify university administration so that they can removed from the decision-making process. There are no prohibitions or reporting requirements for consensual social interactions between SUNY professional staff or other university personnel, regardless of supervisory relationships, that are not romantic in nature.

Pre-Existing Relationships: Relationships between professional staff or other university personnel and an undergraduate, graduate/professional student, or employee for whom the employee will have supervisory, instructional, or other professional responsibility that pre-date enrollment as a student, the existence of a supervisory, instructional or professional responsibility, or hire as staff are permissible provided that employee notifies their direct supervisor or department/unit head and the AVP of Human Resources or designee. The supervisor or department/unit head and the AVP of Human Resources or designee will work with the covered individuals to ensure that they are not in a direct supervisory or instructional relationship (and, if so, will develop a management plan for the employee), but there is no prohibition on maintaining the relationship. Individuals with hiring or admission authority may not be directly responsible for hiring or admitting an employee or student of any level, with whom they are currently engaged or have in the past been engaged in a romantic, intimate, and/or sexual relationship.

Reports and Investigation

While the primary reporting office for violations of this policy is the Office of Human Resources, reports of violations of this policy may be brought to the campus Title IX Coordinator, the AVP of Human Resources or their designee, or the Office of the Provost.

Monitoring the status of alternative supervision is the responsibility of the AVP of Human Resources or designee. All documentation under this policy shall be maintained in the Office of Human Resources. Retaliation for making a report or participating in a process under this policy is prohibited. The University prohibits an individual from knowingly filing a false complaint or making misrepresentations of sexual misconduct. A complaint made in good faith is not considered false merely because the evidence does not ultimately support the allegation of sexual misconduct. If an investigation results in a finding that a person who has accused another of sexual misconduct has acted maliciously or has recklessly made false accusations, the reporting party will be subject to appropriate sanctions. It is important to note that due process considerations may limit the ability to investigate or resolve anonymous complaints.

Discipline

Violations of this policy may result in disciplinary charges up to and including termination. Any disciplinary action shall be taken pursuant to the applicable collective bargaining agreement.

Procedures

Professional staff or other university personnel who enter a romantic relationship with any employee for whom they provide direct line supervision must notify their direct supervisor or department/unit head, and Assistant Vice President (AVP) of Human Resources or designee. The employee’s supervisor or department/unit head, in concert with the AVP of Human Resources or designee, shall determine whether an alternative supervisory structure is possible and, if so, shall direct the employees to the alternative supervisory structure.

Where a romantic relationship exists or has existed, professional staff or other university personnel shall recuse themselves from any personnel decisions regarding the other individual including hiring, termination, appointment, reappointment, promotion, assignment of duties, evaluation or changes in compensation or benefits for the other individual or, in the alternative, notify university administration so that they can removed from the decision-making process.

In the case of a pre-existing relationship either party shall notify their direct supervisor or department/unit head and the AVP of Human Resources or designee. The supervisor or department/unit head and the AVP of Human Resources or designee will work with the covered individuals to ensure that they are not in a direct supervisory or instructional relationship (and, if so, will develop a management plan for the employee).

While the primary reporting office for violations of this policy is the Office of Human Resources, reports of violations of this policy may be brought to the campus Title IX Coordinator, the AVP of Human Resources or their designee, or the Office of the Provost.

Monitoring the status of alternative supervision is the responsibility of the AVP of Human Resources or designee.

“Institutions of higher education are conducted for the common good and not to further the interest of either the individual teacher or the institution as a whole. The common good depends upon the free search for truth and its free expression.”

The Vice President for Information Technology Services is registered with the U.S. Copyright Office as the University’s Copyright Officer. The Vice President or their designee has the authority and responsibility to enforce this policy, originate and promulgate procedures and develop training materials and documents to support compliance with this policy.

Empire State University faculty, staff and students must comply with all provisions of United States Copyright Law. Empire State University faculty, staff and students living and working in other countries must also comply with the copyright laws of those countries but shall not violate U.S. copyright law even if local law permits it. Empire State University faculty, staff and students shall be familiar with copyright topics including Fair Use, which are posted on the University’s Copyright Information Resource Center web page. All faculty, staff and students must comply with Federal copyright laws. Illegal (that is, not covered under an exemption or a license) copying, distribution and remixing of copyrighted materials, including peer-to-peer file sharing of infringing materials, is prohibited and may be subject to civil and criminal liabilities. Students found in violation of Federal copyright laws, including unauthorized peer-to-peer file sharing are subject to the student conduct process. Any disciplinary action assigned to an employee shall be taken pursuant to the applicable collective bargaining agreement.

Empire State University is compliant with the Digital Millennium Copyright Act. Takedown requests should be routed to the University’s Copyright Officer, whose identification and contact information are provided on the College’s Reporting Copyright Infringement page.The University’s Copyright Officer will follow the takedown procedure outlined in the Digital Millennium Copyright Act – US Copyright Law, Chapter 5, section 512(c)(3). The University’s Copyright Officer will notify the individual responsible for the content that the takedown has taken place, and inform them of their rights regarding counter-notice and putback procedures, which are outlined in the Digital Millennium Copyright Act – US Copyright Law, Chapter 5, section 512(g). For more information about the Digital Millennium Copyright Act’s requirements and DMCA takedown proceedings, refer to the DMCA page of the University’s Copyright Information Web Site.

Empire State University is compliant with all institutional requirements of the TEACH Act. Faculty and Staff are required to comply with all restrictions and requirements set forth in The TEACH Act – US Copyright Law, Chapter 1, section 110(2) - and within these restrictions and requirements faculty and staff are encouraged to take advantage of its allowances. Faculty, staff and students are to avail themselves of copyright informational and educational resources provided for them.

As stated in The State University of New York Policies of the Board of Trustees, “generally the members of the staff of the university shall retain all rights to copyright and publish written works produced by them.  However, in cases where persons are employed or directed within the scope of their employment to produce specific work subject to copyright, the university shall have the right to publish such work without copyright or to copyright it in its own name.  The copyright will also be subject to any contractual arrangements by the university for work in the course of which the writing was done.  Staff members will be expected not to allow the privilege to write and retain the right to their work to interfere with their university duties.  In those cases where an author desires the help of university facilities, arrangements should be made through the administrative staff of the author’s institution in advance with respect to the assistance which may be appropriately given and the equity of the university in the finished work.” 

The Vice President of the University’s Office of Community and Government Relations is empowered to grant licenses for the use of non-academic content that is the intellectual property of the University. Decisions regarding the licensing of University intellectual property shall be made in consultation with key stakeholders and take into consideration applicable laws, regulations and policies of SUNY and the University.   

All copyrighted content created by students for their courses or studies is the intellectual property of the students who create it and neither the instructor, the course developer nor the University has any claim to it.

Faculty, staff and students may license their own copyrighted content under Creative Commons licenses. Faculty and staff may request permission in writing from their supervisor to release particular works for hire under Creative Commons licenses. For more information about types of open content, what uses may be made of open content under what conditions, and how one can license one’s own work as open content (i.e., with a Creative Commons license) see the Open Content page of the University’s Copyright Information Web Site.

• Course title.
• Course level/Course number.
  • The proposal will designate the level in accordance with the course numbering taxonomy; the Office of the Registrar assigns a specific number to be published in the catalog.
• Offerings with the same title cannot be submitted with different levels, excepting internships, which may be listed with variable credit.
• Number of credits:
  • Course listings carry only one credit value as opposed to a range of credits; courses with more than one credit value have separate, distinctive listings for each.
• Liberal designation.
• SUNY General Education designation, if applicable.
• Course description.
• At least three common learning outcomes: overarching learning outcomes common to all courses with the same title.
• Prerequisites if necessary or suitable.
• The responsible academic unit with primary responsibility for the course.
• Up to two additional departments or programs with which the course should be cross-listed, if any.

The Office of the Registrar may request additional information to facilitate searching, sorting and filtering of course offerings and generally support ease of use.

The responsible academic unit will recommend to the Office of the Registrar the primary subject code (or prefix) to be assigned to the course for the university catalog. If a particular course is relevant to multiple departments or divisions, cross listing should be considered. Designation of a responsible academic unit facilitates maintenance of an accurate catalog by indicating the provenance of a course.
This designation should not be used in any way to determine or prioritize teaching assignments, nor to preclude sharing of studies amongst mentors when such sharing is appropriately acknowledged in accordance with the SUNY Board of Trustees Policy on Intellectual Property.

Course listings are entered in the catalog only once they are complete.

Relationship Between Catalog Listing and Learning Contract

Catalog course listing information is to be stated verbatim in learning contracts designed for respective courses with the same title however, faculty may customize their specific offering as they see fit so long as their course aligns with the learning outcomes of that study’s title. See Learning Contract Policy.

Proposing New Courses for Listing in the University Catalog or Revisions to Courses in the Catalog

The main work of reviewing a new course proposal happens within the responsible academic unit, and schools and departments shall establish procedures for review of proposed courses or substantive course revisions.

Proposals that are not approved by a curriculum committee may be sent back to their originators for additional consideration and revision prior to resubmitting.

Department chairs and associate deans may have specific roles and responsibilities that vary depending on the nature of a proposal. Department chairs or associate deans should distribute proposals to the relevant curriculum committee(s). For proposals whose content may span departmental or divisional boundaries, either department chairs or associate deans should assume some responsibility for facilitation of communication across the involved departments or divisions so that all stakeholders may be informed and may contribute to the proposal development appropriately and conflicts may thus be minimized.

In addition to facilitating cross-divisional communications when appropriate, associate deans are responsible for assessing the resources needed to develop and run a course. Associate deans may overturn faculty approval of a new course proposal, which is final and recorded in the relevant academic unit’s minutes, only in the event that adequate resources are unavailable.

New courses included in new program proposals must be approved by these same procedures before the program itself is submitted for review. The requisite course information must be provided before the course can be listed.

Cross Listing

As an institution that values interdisciplinary studies, Empire State University encourages the appropriate cross-listing of courses. Cross-listing allows students to see available courses that might fit their needs, maintains a flexible, student-centered approach to curriculum, and fosters breadth in degree programs. Finally, it allows faculty to reach a wider range of students while integrating their own diverse teaching and research interests.

In consultation with their mentors, students design their degrees as part of their required course, or courses, in Educational Planning. All decisions about what courses will fit any particular degree should be made there, following the historical policies and practices of the university, including review and approval by an Assessment Committee. No catalog or term guide entry can guarantee that a student's degree needs will be met by any particular course, so cross-listing should be used to inform students and ease their navigation of the catalog and term guide, not to take the place of effective degree planning.

The catalog and term guide are not the places to advertise courses. A single course can be listed in no more than three locations in the catalog and term guide.

A course can be cross-listed only when all relevant departments/programs’ curriculum committees agree to do so.

All credits for enrollments in a cross-listed course go to the department/program funding the instructor. If a course is team-taught, the participating departments must determine how the credits are to be assigned or split.

Repetition of Special Topics Courses

On a term-by-term basis, faculty may request that a special topics course not listed in the catalog be included in the forthcoming term guide. These may be nonrecurring or experimental offerings. A special topics course, that is taught three or more times within two years with at least nine students cumulatively completing it, must be submitted as a new course through the course proposal process
prior to being offered again.

Prerequisites

Faculty design advanced-level courses in the expectation that students will come into the courses with the foundational knowledge that is necessary to progress, and one way to express that expectation is in the form of stated pre-requisite courses and/or knowledge. Such statements allow students to understand what is necessary and to create their educational plans commensurate with that understanding. However, since many SUNY Empire students are adults with expertise in the fields they have come to study, they can and do have knowledge without credentials. Prerequisites are used judiciously, but once stated should be attended to and enforced as necessary.

When prerequisites are used at Empire State University their purposes are:

• To incite a discussion between student and (primary) mentor and/or instructor about the background knowledge and/or skill needed to succeed in a course.
• To meet the requirements of professional licensing or similar regulatory bodies.

Where specific background knowledge is necessary for student success in a course, students may demonstrate that knowledge in one of two ways:

• Through successful completion of courses or prior learning that have been designated as prerequisites.
• By discussion with the instructor of record, who has the authority to override a pre-requisite. If the instructor of record is not available, the department chair or designee may override a prerequisite.

Delisting of Courses

Courses should be delisted from the catalog when they become outdated or obsolete, therefore courses listed in the catalog that have not generated student enrollments for three academic years will be reviewed for delisting. The Office of the Registrar is responsible for identifying such courses and for notifying the appropriate academic unit.

The academic unit responsible for the course will review it and notify the registrar of their determination within six months.

1. registration of on-campus credit card marketers
2. limiting credit card marketers to specific dates and specific areas of the campus as designated by the college
3. prohibiting credit card marketers from offering gifts to a student in exchange for completing a credit card application
4. informing students about good credit management practices through programs which may include workshops, seminars, discussion groups and media presentations.

This policy does not pertain to acts of discrimination, or harassment, including sexual harassment. For such matters, the Discrimination Complaint Procedures should be referenced.  

In all the below scenarios, when the SUNY Empire Office of Safety & Security is informed of an incident anonymity of the reporter, victim and accused can be preserved. Names and details are not necessary to report incidents.

Anyone who witnesses, is the victim of, or involved in any violation of the law such as assault, robbery, theft, or acts of sexual violence, that could conceivably pose a threat to the health and safety of any person(s) on university owned or leased property or any during any university sponsored activity should contact the local police agency (911) and follow their directions.

In addition, the individual should immediately report the incident to the Office of Safety & Security at 518-580-2900 or ext. 2900, who will inform additional university employees, as applicable.

Offenses or incidents of a lesser nature including, but not limited to: property crimes and larceny shall be immediately reported to the Office of Safety & Security who will inform additional university employees, as applicable.

If an individual notices a person(s) acting suspiciously at a Saratoga location, she/he should contact the Office of Safety and Security at 518-580-2900 or ext. 2900 or the local police agency (911), based on the situation. In all other locations, individuals should contact the local police agency (911), then contact the Office of Safety and Security at 518-580-2900 or ext. 2900

Incidents requiring medical attention should be reported to local police agency (911) center. In addition, the individual should immediately report the incident to the Office of Safety & Security at 518-580-2900 or ext. 2900 who will inform additional university employees, as applicable. The Office of Safety and Security will complete an incident report.

All Empire State university locations on other SUNY university campuses are required to adhere to that respective university emergency notification protocols. Please contact the SUNY Empire State university Office of Safety and Security if you need information regarding the protocols of partnering institutions.

If an Empire State university employee is made aware of a non-emergent incident that occurred on another SUNY university campus, the Empire State university Office of Safety and Security shall be notified at 518-580-2900 or ext. 2900.

Compliance with the Jeanine Clery Act 34 CFR § 668.46

Timely Warnings and Emergency Notifications

If there is an immediate threat to the health or safety of students or employees occurring on campus, SUNY Empire will immediately issue an emergency notification to the campus community in the geographical area effected by the emergency, upon confirmation of the significant emergency or dangerous situation. The entire university community will receive adequate follow-up information as needed.

SUNY Empire will provide information to the entire university community regarding crimes that are considered by the institution to represent a threat to students and employees. Notifications such as this are considered timely warnings and are aimed at the prevention of similar crimes occurring.

Identification of university Campus Security Authorities

As required under, (34 CFR 668.46a), the university must designate certain personnel as “Campus Security Authorities” (CSA). A CSA must report to the Director of Safety and Security, any allegations of Clery Act crimes that are “made in good faith.” A CSA must report the statistic (i.e., “1 Robbery at Rochester”, or “1 Motor Vehicle Theft at Corning”, etc.) regardless of whether the victim wants to speak to the police. Anonymity of the victim and the accused can be preserved.  The Office of Safety and Security, with assistance from the Office of Human Resources, provides training to CSA’s annually to notify them of their status and explain what is expected of them.

The following persons are recognized as university Security Authorities. The Office of Human Resources maintains an updated list of individuals.

• President’s Council members
• Associate Vice Presidents
• Assistant Vice Presidents
• Provost’s Council members
• Provost
• Vice Provosts
• Deans
• Associate Deans
• Department Chairs
• Associate Department Chairs
• Programs Coordinators
• Chief Diversity Officer
• Financial Aid professionals/employees
• Student Accounts professionals/employees
• Student Information Center (SIC) professionals/ 1 Stop Student Services
• Student Success and Development Coordinators (SSDC)
• Academic Support professionals/employees
• Library professionals/employees
• Student Life professionals/employees
• Accessibility Resources and Services professionals/employees
• Office of Enrollment Management (OEM) professionals/employees
• Student Academic Services (SAS) professionals/employees
• Office of the Registrar professionals/employees
• Mentors - all faculty

Students seeking to enroll for a second bachelor's at SUNY Empire should first consider that they might
be better served by enrolling in an appropriate certificate program, master's program, or taking courses
as non-matriculated SUNY Empire students.

Degree Designations

Associate Degree

• Associate degrees require a minimum of 60 credits.
• The Associate in Arts designation requires a minimum of 45 liberal arts and sciences credits.
• The Associate in Science designation requires a minimum of 30 liberal arts and sciences credits.

Bachelor’s Degree

• Bachelor’s degrees require a minimum of 120 credits.
• The Bachelor of Arts degree designation requires a minimum of 90 liberal arts and sciences credits.
• The Bachelor of Science and Bachelor of Science in Nursing degrees require a minimum of 60 liberal arts and sciences credits.
• Specialized baccalaureate degrees, such as the Bachelor of Professional Studies (B.P.S.) and the Bachelor of Business Administration (B.B.A.) must contain at least 30 credits of liberal arts and sciences.
• All bachelor’s degrees require at least 45 credits of advanced-level studies.
• Bachelor’s degrees with a double concentration within the single degree will not receive two degrees.

Second Bachelor’s Degree

• Students with a completed SUNY Empire bachelor's degree must reapply for admission to pursue a second bachelor's degree.
• Second bachelor’s degrees require a minimum of 120 credits with at least 30 new credits of learning.
• Previous credit from Empire State University, from other accredited degree granting institutions, and awarded individualized prior learning may be credited toward a second bachelor's degree up to a limit of 90 credits.
• A second bachelor's degree must meet a significantly different educational objective from the first degree.

Residency Requirements

• For an associate degree, a minimum of 24 credits must be taken at SUNY Empire unless stated otherwise in the program requirements in the university catalog
• For a bachelor’s degree, a minimum of 30 credits must be taken at SUNY Empire
• Assessed prior learning (including PLA and PLE) does not count toward the residency requirement.

The discontinuation of a program may have significant consequences for faculty and staff, as well as current and prospective students. Consideration of faculty, professional staff and classified staff interests related to such a decision must be consistent with contractual obligations, particularly Article 35 Retrenchment of the UUP contract and Article 22 Employment Security of the CSEA contract. Consideration of student interests is consistent with the SUNY and New York State Education rules requiring the university to provide an orderly, phased transition for students. The university must carefully consider proposals to end a program at the university.

The following criteria are considered in review of programs considered for discontinuation:

• the need for the program, program quality and effectiveness: data for effectiveness may include trends in numbers of applications, enrollment and graduation rates, and information about the range and quality of studies delivered. Other standard reports or evidence may be considered, such as routine program outcomes, alumni or student surveys, faculty/staffing plan, or other specific reviews. Evidence may include quality-improvement efforts and any evidence of program-renewal strategies
• the availability of resources to sustain the program at an acceptable level of academic quality: evidence may include areas such as faculty availability, cost effectiveness, the length of time a program has been offered
• the student and societal needs that the program meets, especially needs that cannot otherwise be met
• the centrality and contribution of the program to the university. evidence of how the program contributes to a university-wide role beyond student degrees, such as general education or special academic area of emphasis
• the program’s relationship to the mission of the university.
• factors and dynamics impacting enrollment and retention of students in the program such as persisting students and graduates: if students leave the program, whether they go to other programs in the university or to other institutions
• the effect of deactivation or deregistration on overall cost and institutional effectiveness.

Procedures

The proposal to discontinue a program may originate from an academic administrator and involves input from all levels. A request for discontinuance may come from the faculty of the academic area offering the program, if requested by a majority vote of voting membership of the faculty in the academic area eligible to vote. The academic area is defined as the area of study or the graduate program group led by a program chair or associate dean.

The administrator considering the discontinuance of an academic program will raise the issue with the provost, sharing evidence of previous actions related to the program, and the potential plan for notification of affected faculty and staff and their supervisors of the possibility that the program might be discontinued.

The formal consideration of the discontinuance of an academic program requires a written recommendation to the program faculty, containing information and data to constitute a reasonable rationale for discontinuing the program. It also identifies whether the action should be a deactivation or deregistration. The recommendation includes the following information, except when information is unavailable or inappropriate:

1. a description of the program and its stakeholders
2. steps taken by faculty or administrators up to this point to address any of the program continuance issues
3. student enrollments and head counts in the program and the numbers of students receiving the degree(s) granted in the program in each of the preceding five years. Other data showing enrollment trends and migration of matriculated students to and from the program, or the support role played by the program in other programs or general education.
4. relevant information from program evaluation material drawn from routine program assessments, accrediting agencies or external consultants. The document may refer to materials readily available or may include copies of other reports or documents, such as program exit materials or employer surveys.
5. identification of resources required to sustain the program at an acceptable level of quality. This information should include faculty and staff needs as well as facilities, equipment and supplies, and any other financial circumstances and/or issues that need consideration.
6. identification of the faculty and staff directly affected by the action, including title, tenure/permanency status and location and a detailed plan for the consultation process and the future role of all faculty or other employees currently considered to be part of the program
7. a detailed plan of the orderly phase-out for students following the SUNY and New York State Education Department Regulations
8. discussion of the societal and economic needs or lack thereof for the coming decade, supported by available, demographic or economic information, including employment outlook for students with the preparation and the market saturation for similar programs
9. analysis of the effect on general education or on other programs of the university if discontinued.

The dean, vice provost or provost, after notifying relevant academic administrators, convenes the faculty group directly affected and discuss the recommendation with that group, gathering information that may support or refute the information included in the recommendation. The program faculty have the opportunity to respond in writing to the recommendation, if they so desire.

The recommendation for discontinuation and the response of the program faculty, if provided, is sent to the appropriate standing committee of the Senate for review and concurrence or non-concurrence. The initiating administrator will provide a summary of the factors leading to the recommendation to discontinue the program and will be present at the committee meeting when the final recommendation is discussed. The administrator of the affected program and all members of the program being reviewed for discontinuation will be invited to participate and to provide information and answer questions about the recommendation.

Once the standing committee has responded to the recommendation, the initiating administrator will make a final recommendation. This will be sent to the provost along with the response from the standing committee and the program response.

The provost will review the initiating administrator’s recommendation, along with the program’s response and the response from the standing committee. The provost then makes a recommendation to the president.

Should the provost recommend the discontinuation of any program, the president will review this recommendation. If the president concurs, the Office of Academic Affairs will begin formal notification to SUNY and SED and accrediting agencies as appropriate.

The Office of Academic Affairs identifies and notifies those campus constituents and operational offices.

Guidelines

I. Employee Awareness

1. Empire State University shall take all reasonable actions to educate employees regarding the effects of domestic violence, ways to prevent and curtail violence and methods to report such violence to authorities.
2. It is the policy of Empire State University that information on domestic violence and available resources shall be posted and, if necessary, replaced or reposted annually in areas where other employment policies and information are traditionally posted.

II. Non-Discriminatory and Responsive Personnel Policies for Victimized Employees

Empire State University shall ensure that personnel policies and procedures do not discriminate against victims of domestic violence and are responsive to the needs of victims of domestic violence.

1. New York state law makes it a crime for employers to penalize an employee who, as a victim or witness of a criminal offense, is appearing as a witness, consulting with a district attorney, or exercising his/her rights as provided in the Criminal Procedure Law, the Family Court Act, and the Executive Law. This law requires employers, with prior-day notification, to allow time off for victims or subpoenaed witnesses to exercise his/her rights as provided in the Criminal Procedure Law, the Family Court Act, and the Executive Law [Penal Law §215.14].
   

   Contact the Office of Human Resources for questions regarding leave that must be granted to victims or subpoenaed witnesses.

2. The Office of Human Resources will assist the employee in determining the best use of his/her attendance and leave benefits when an employee needs to be absent as a result of being a victim of domestic violence. If an employee requests time off to care for and/or assist a family member who has been a victim of domestic violence, Empire State University will evaluate the employee’s request for leave for eligibility under existing law and collective bargaining agreements applicable to the employee and the attendance rules.
3. Empire State University understands that victims of domestic violence may lack the required documentation or have difficulty obtaining the required documentation to justify absences without compromising their safety. In these cases, the Office of Human Resources will consult with the employee to identify what documentation she/he might have, or be able to obtain that will not compromise his/her safety-related needs and will satisfactorily meet the documentation requirement of the employer. Due to confidentiality issues associated with the submission of documentation in these instances, the Office of Human Resources may choose to consult with the Attendance and Leave Unit at the Department of Civil Service when questions arise.
4. Employees who are victims of domestic violence and who separate from a spouse (or terminate a relationship with a domestic partner, if covered), shall be allowed to make reasonable changes in benefits at any time during the calendar year where possible, in accordance with statute, regulation, contract and policy.
5. Empire State University will not make inquiries about a job applicant's current or past domestic violence victimization, and employment decisions will not be based on any assumptions about or knowledge of such exposure herein.
6. In 2010, New York state established that victims of domestic violence are now a protected class in the employment provisions of the NYS human rights law. This law prevents an employer from firing or refusing to hire any individual based on their status as a victim of domestic violence and prevents discrimination in compensation or in the terms, conditions or privileges of employment. The University will not make inquiries about a job applicant's current or past domestic violence victimization, and employment decisions will not be based on any assumptions about or knowledge of such exposure.
7. In cases in which it is identified that an employee's work performance difficulties are a result of being a victim of domestic violence, said employee shall be afforded all of the proactive measures outlined in this policy, and shall be provided clear information about performance expectations, priorities, and performance evaluation. If a disciplinary process is initiated, special care will be taken to consider all aspects of the victimized employee's situation. Empire State University shall utilize all reasonable available options to resolve work-related performance problems, and may make a referral to the Employee Assistance Program, consistent with existing collective bargaining unit agreements, statute, regulations and agency policy.
8. If reasonable measures have been taken to resolve domestic violence-related work performance problems of victimized employees, but the performance problems persist and the employee is terminated or voluntarily separates from employment due to these domestic violence-related issues, and the employee conveys to Empire State University that the separation is due to these domestic-violence issues, Empire State University shall inform the employee of his or her potential eligibility for unemployment insurance and respond quickly to any requests for information that may be needed in the claims process.New York state law provides that a victim of domestic violence who voluntarily separates from employment may, under certain circumstances, be eligible for unemployment insurance benefits. [§593 of NYS Labor Law.]

III. Workplace Safety Plans

By means of a domestic violence workplace-safety response plan, Empire State University shall make employees aware of their options and available resources and help employees safeguard each other and report domestic violence to designated officials.

1. The designated liaison between Empire State University and SUNY system administration is the affirmative action/Title IX officer, who will ensure universitywide implementation of this policy, and serve as the primary liaison with system administration regarding it. The system administration-designated liaison will communicate with designated government agencies as necessary, on behalf of campuses, as it relates to reporting. The affirmative action/title IX officer provides backup to support those in need of assistance concerning domestic violence and works closely with the director of campus security and the threat assessment team as necessary.
2. Empire State University complies and assists with enforcement of all known court orders of protection, particularly orders in which abusers have been ordered to stay away from the work site. If requested by the victim of domestic violence or law enforcement, the university shall provide information in its possession concerning an alleged violation of an order of protection. Employees/students are encouraged to bring their orders of protection (OP) to the attention of the director of campus safety, or affirmative action/title IX officer. Once the OP has been brought forward, the OP will be retained in a locked file cabinet in the Office of Campus Safety and accessible only to the director of campus safety. In the case of a workplace emergency, if the director of campus safety is unavailable to obtain the document, the affirmative action/title IX officer will have access to the cabinet where the document is locked.
3. The director of campus safety or the affirmative action/Title IX officer will discuss with the employee/student a plan on how to best proceed to ensure that the safest possible work environment for the employee/student and the university community. With permission of the employee/student information may be shared, examples include: sharing the perpetrator’s photo with supervisors and/or front desk personnel or with university administrators/colleagues who could assist by preventing the perpetrator from entering the workplace; providing notification to a union representative; temporary or permanent relocation to a new work site; make changes in work schedule; provide an escort for entry into and exit from university buildings).
4. The Empire State University Campus Safety Office maintains an emergency security response plan, which includes procedures for contacting campus safety and possibly other appropriate law enforcement agencies, and which provides employees with clear instructions about what to do and who to contact if they observe anyone engaging in threatening behavior.
5. Empire State University will respect the victim’s requests for confidentiality, to the extent legally possible. Should a victim of domestic violence request to remain anonymous, the university will act within the parameters and limitations under New York State Law (See Section VII [H]; NYS Agencies Responsibility D – G).
6. As part of an emergency security response plan, Empire State University shall take actions to assist in mitigating reoccurrence of domestic violence in an effort to protect all employees including the victim. These actions may include, but are not limited to, advising co-workers and, upon request, the employee's bargaining representative, of the situation; setting up procedures for alerting campus safety; temporary relocation of the victim to a secure area; options for voluntary transfer or permanent relocation to a new work site; change of work schedule, reassignment of parking space; escort for entry to and exit from the building; responding to telephone, fax, email or mail harassment; and keeping a photograph of the abuser and/or a copy of any existing court orders of protection in a confidential onsite location and providing copies to campus safety. Empire State University will address any additional concerns raised by a situation in which both the victim and offender are employed by Empire State University.
7. This policy shall be reviewed annually. Any substantive policy revisions and updates shall be forwarded to the SUNY systemwide affirmative action officer .

IV. Accountability for Employees Who Are Offenders

Empire State University will hold employees accountable for engaging in the following behavior: (1) using state resources to commit an act of domestic violence; (2) committing an act of domestic violence from or at the workplace or from any other location while on official state business; or (3) using their job-related authority and/or state resources in order to negatively affect victims and/or assist perpetrators in locating a victim and/or in perpetrating an act of domestic violence.

1. In cases in which Empire State University has found that an employee has threatened, harassed, or abused an intimate partner at the workplace using state resources such as work time, workplace telephones, fax machines, mail, email or other means, said employee may be subject to corrective or disciplinary action in accordance with existing collective bargaining unit agreements, statutes and regulations.
2. In cases in which Empire State University has verification that an employee is responsible for a domestic violence-related offense, or is the subject of any order of protection, including temporary, final or out-of-state order, as a result of domestic violence, and said employee has job functions that include the authority to take actions that directly impact victims of domestic violence and/or actions that may protect abusers from appropriate consequences for their behavior, Empire State University shall determine if corrective action is warranted, in accordance with existing collective bargaining unit agreements, statutes and regulations.
3. In cases in which any employee intentionally uses his/her job-related authority and/or intentionally uses state resources in order to negatively impact a victim of domestic violence, assist an abuser in locating a victim, assist an abuser in perpetrating acts of domestic violence, or protect an abuser from appropriate consequences for his behavior, said employee may be subject to corrective or disciplinary action, in accordance with existing collective bargaining unit agreements, statutes and regulations.

V. Firearms

Pursuant to New York state and federal law, a person convicted of a domestic violence-related crime or subject to an order of protection, under certain circumstances, forfeits the right to legally possess a firearm or long gun. Additionally, federal law contains prohibitions relating to shipping, transportation, or receiving firearms or ammunition.

1. In addition to complying with the law, employees who are authorized to carry a firearm as part of their job responsibilities are required to notify the campus if they are arrested on a domestic violence-related offense and/or served with an order of protection.
2. Should an employee fail to comply with the requirements set forth in V-A, said employee may be subject to corrective or disciplinary action, in accordance with existing collective bargaining unit agreements, statute or regulations. In addition, the appropriate law enforcement agency shall be notified for possible criminal action.

VI. Training

The OPDV’s one-day training on domestic violence and the workplace will be completed by the affirmative action officer and campus safety liaisons who provide support for those in need of assistance. All other appropriate administrators, supervisors, human resources personnel, union representatives and security personnel are encouraged to attend OPVD’s 90-minute training on Domestic Violence and the workplace. Additionally, the university will provide staff training on domestic violence and its impact on the workplace with materials provided by OPDV through the campus, OPDV and/or a local domestic violence service provider.

Online training on domestic violence in the workplace has been created for state employees. The one-hour program is accessed through the New York state learning management system (SLMS) [login required].

VII. Empire State University Responsibility

1. Domestic violence is behavior that cannot be tolerated. To that end the university will actively provide information and support to employees who are victims of such abuse.
2. The Office of Human Resources will disseminate copies of this policy: Domestic Violence and the Workplace, to all employees upon implementation and to all new employees upon hiring or appointment.
3. Empire State University encourages all employees to review and follow this policy and the procedures therein.
4. All incidents of domestic violence in the workplace will be documented; such documents will be provided to the designated liaison to system administration, as practicable. All documents will be kept confidential to the extent permitted by law and campus policy and the provisions of section G detailed below.
5. All Empire State University employees providing domestic violence information and support services shall document, consistent with applicable law and agency policy, the number of employees who report domestic violence, the number of employees that request information/services, and the number of referrals made to domestic violence service providers. All information about employees who seek assistance shall be kept confidential to the extent permitted by law and campus policy and the provisions of section G detailed below, and documentation should not include any personal information. The number of employees seeking assistance as outlined above shall be reported to the designated liaison to system administration.
6. The designated liaison to system administration shall, consistent with applicable law and Empire State University policy, provide information about the number and general nature of domestic violence incidents that happen in the workplace, the number of employees who report domestic violence, the number of employees that request information/services and the number of referrals made to domestic violence service providers, with no personally identifying information, to OPDV at the time and in a manner determined by OPDV.
7. Information related to an employee being a victim of domestic violence shall be kept confidential, to the extent permitted by law and campus policy, and shall not be divulged without the written consent of the victimized employee, unless the campus determines that maintaining said confidentiality puts the victim or other employees at risk of physical harm, is required by law, or is deemed necessary to enforce an order of protection. In such circumstances where a determination has been made that maintaining confidentiality puts the victim or other employees at risk of physical harm, only those individuals deemed necessary by the campus to protect the safety of the victim and/or other employees or to enforce an order of protection shall be given such information. Empire State University shall disclose only the minimum amount of information necessary to protect the safety of the victim and/or other employees or enforce an order of protection. Where possible, Empire State University will provide to the victim of domestic violence notice of the intent to provide information to other employees and/or safety personnel. Nothing herein shall prevent Empire State University from investigating an act or acts of domestic violence occurring in the workplace. Some examples of situations where confidentiality cannot be maintained include the following:
   1. Supervisors/managers may be informed about a domestic violence incident in the workplace, or a report of domestic violence, if it is necessary to protect the safety of the employee or the employee’s co-workers.
   2. First aid and safety personnel may be informed about a domestic violence incident in the workplace, or a report of domestic violence, if it is necessary to protect the safety of the employee or the employee’s co-workers.
   3. Government officials investigating a domestic violence incident that occurs in the workplace, or a report of domestic violence, shall be provided relevant information upon request and in accordance with legal requirements.
8. While reported information is kept private to the greatest extent possible by federal law, state law and campus policy, New York state law includes clear limitations on legal confidentiality. Information reported to anyone not in a position listed below may have to be disclosed pursuant to a subpoena, where otherwise required by law or in accordance with Section VII, paragraph G above. Such confidentiality exists in certain (but not all) instances for certain medical personnel and counselors, social workers, clergy, attorneys and rape crisis counselors, and may be required to be turned over in these cases through a subpoena or court order. Where medical information is received from an employee who is the victim of domestic violence, such medical information shall be kept confidential to the extent required by and permitted by New York state and federal laws including, but not limited to, the Americans with Disabilities Act and the Family and Medical Leave Act, if they apply to the employee’s situation.

Appendix

Information to be Included in campus postings regarding domestic violence and the workplace

At a minimum, the following information shall be provided to current employees and new employees and included in posters posted in areas where employment information is ordinarily posted:

1. Information regarding domestic violence and available resources in the work site. Such information shall include available sources of assistance such as Employee Assistance Program, local domestic violence service providers, the NYS Domestic Violence and Sexual Assault hotline, and/or human resources personnel who are trained and available to serve as confidential sources of information, support, and referral. Additionally, the posters may include information regarding domestic violence programs located on the OPDV website at
   
   
2. A statement informing employees that New York state law prohibits insurance companies and health-maintenance organizations from discriminating against domestic violence victims or designation of domestic violence as a pre-existing condition [§2612 of the Insurance Law].

Additionally, Empire State University shall integrate information on domestic violence and this policy: Domestic Violence and the Workplace, into existing materials and literature, policies, protocols and procedures, including the Public Employer Workplace Violence Prevention Programs 12 NYCRR pt. 800.16 Public Employer Workplace Violence Prevention Programs as appropriate.

Policy applicable for: All members of the Empire State University community

• Federal Pell Grants
• Federal University Work/Study
• Federal Supplemental Educational Opportunity Grants (SEOG)
• Federal Direct Loan Program; includes: subsidized and unsubsidized, the Parent Loan for Undergraduate Students (PLUS) and the Graduate PLUS loan
• Federal TEACH (Teach grant is for graduate students only)

Satisfactory Academic Progress

In order to be eligible for federal student aid funds, a student must meet the three federally required Satisfactory Academic Progress (SAP) standards.   These standards consist of a Quantitative Standard (successful completion rate), Qualitative Standard (minimum GPA), and a Maximum Time Frame to complete your degree.   Your SAP status is reviewed at the end of each term of enrollment at ESC.   Students who do not meet the minimum GPA and/or Completion Rate standard will be placed on SAP Warning.  While on SAP Warning you may still receive federal aid.  However, if you do not meet theses minimum standards at the end of the next period of enrollment you will lose federal eligibility for aid.  Students who exceed the Maximum Time Frame allowed to complete the degree will lose aid without a Warning Period.  

A student who is failing to meet the required SAP standards are not eligible for federal aid even if they are permitted to reenroll.  However, if there are mitigating circumstances, the student may appeal as described in the mitigating circumstance section below.

Quantitative Standard

The Quantitative Measure requires that you are successfully completing at least 67% of all credits attempted.  Credits attempted include standard credits, repeated courses, and withdrawn courses with a ZW or WD status.    

Qualitative Standard (Grade Point Average)

Students are required to maintain a grade point average (G.P.A.).  The grade point average calculation is determined through the Academic Grading Policy.  Undergraduate students who opt to receive grades must maintain a minimum G.P.A. of 2.0.  Graduate students must maintain a minimum G.P.A. of 3.0.

Maximum Timeframe

Students must progress through their program to ensure that they will graduate within the maximum time frame.  The maximum time frame is a period no longer than 150% of the published length of the program as determined by federal regulations.  Students are eligible for financial aid up to the maximum of 150% of their program of study, assuming they are also meeting the required Quantitative and Qualitative standards. For example, the maximum timeframe for a student in a bachelor’s degree program consisting of 124 credits would be 186 credits attempted (124 X 150% = 186).  For transfer students, the maximum is based on the number of transcript credits accepted by Empire State University plus the number of credits attempted at Empire State University.

Federal guidelines do not allow waivers for mitigating circumstances that would extend a student’s aid past the 150% limit.

The Effect of Partial Withdrawal

If a student withdraws or is withdrawn from a course of study, his/her enrollment status (full or part time) and/or SAP rate may be affected, depending on the effective date of the withdrawal. Each of these may in turn affect federal aid eligibility.

In calculating enrollment status, “credits attempted” is the number of registered credits after add/drop period ends. Thus, the date of withdrawal affects whether the credits are counted in the number of credits attempted. For example, if a student first enrolls for 12 credits and then withdraws from one 4-credit study during the add/drop period, the enrollment status for the term changes to part time and the progress rate is calculated on 8 credits attempted. If the student withdraws after the add/drop period has ended, the enrollment status for the term is still full time and the progress rate is calculated on 12 credits attempted.

If a student remains in any course past the end of the add/drop period, that course will be considered “credits attempted” in terms of the quantitative standard 67% rate of progress.

Withdrawal at any point in the term may reduce the student’s award or require the student to pay back some of the federal financial aid already received. The Office of Financial Aid calculates such award adjustments individually using federal formulas. Further information may be obtained from the Financial Aid Office.

Appeal for Title IV Federal Financial Aid Eligibility

Occasionally, students do not meet the good academic standards for reasons beyond their control or because of "mitigating circumstances" such as serious family problems or extended illness. Under such circumstances, a student may appeal for continued eligibility for federal financial aid.

Approval of a federal financial aid appeal is not automatic. Usually students may only appeal for his/her most recent enrollment. Approval of an appeal occurs in two parts:

1. The dean or dean’s designee of the center or program verifies the student’s academic eligibility.
2. The mitigating circumstance committee determines if the request meets federal requirements for continued eligibility for federal financial aid and if the student can meet all good academic standard requirements within the maximum timeframe for completing the degree.

The mitigating circumstance committee approves the appeal only if both parts of the process are complete and the academic and federal requirements are met. Students must submit the information required for both parts to Student Academic Services, using the required form.

The mitigating circumstance committee has the authority to approve a financial aid appeal request. However, that approval is dependent on the verification of the student’s academic eligibility. The dean or dean’s designee is responsible for determining the student’s academic eligibility. If the dean or dean’s designee determines that a student does not meet academic eligibility requirements, the mitigating circumstance committee cannot approve the appeal. If the appeal is approved and you can meet SAP standards by the end of the subsequent term, you will be placed on probation.  Probation is only for one payment period.  If the appeal is approved and it is determined that you cannot meet SAP standards by the end of the subsequent term you will be placed on probation with an academic plan that you must adhere to in order to maintain financial aid eligibility. Failure to do so will result in loss of federal financial aid.

Students are rarely granted more than one appeal for mitigating circumstances.

Note: The appeal has no direct effect on enrollment eligibility, which is an academic determination upon which the appeal approval is contingent.

Courses not required to complete your Degree

Federal regulations do not allow a student to receive financial aid for credits that are not required to complete their degree.  Credits for courses not required by your degree will not be counted when determining course load and eligibility for disbursement of federal aid each term.

Repeat of Studies with Credit Awarded

A student may repeat a passed course once to earn a better grade if required for their academic program and still receive financial aid. The student must complete the Request to Repeat a Study request form. If this is done, both studies count as credit attempted in calculating SAP, but the study with the highest grade will count in the calculation of credits earned toward the degree and in the GPA calculation and only one attempt may be counted as successfully earned when determining the Quantitative 67% rule.

Pell Grant Maximum Duration of Eligibility

Effective with the Summer 2012 term, students are limited to 12 full time semesters or the equivalent. Therefore, students who have already used 12 full time terms of the Pell grant will no longer qualify.

Notification of Ineligibility for Federal Financial Aid

The Financial Aid office notifies students regarding their ineligibility for further federal financial aid. Students may obtain information on their financial aid status by reviewing the financial aid eligibility pages on the web or by contacting the Financial Aid office.

The Effect of Withdrawal from All Studies

All financial aid will be adjusted using federal and state guidelines for the cycle in which you withdraw or are withdrawn. The liability for tuition and fees is not dependent on the federal aid eligibility. Information about tuition and fee liability may be found online at www.esc.edu/studentaccounts.

In accordance with rules established by the U.S. Department of Education, schools must adhere to provisions regarding the treatment of Federal title IV Financial Aid for students that withdraw from school completely for any term. These rules govern all federal loan and grant programs, including Direct Subsidized and Unsubsidized Loans, PLUS Loans, Pell, Iraq and Afghanistan Service Grant, SEOG, and TEACH grants.

In general, the law assumes that a student must earn federal financial aid awards directly in proportion to the number of days of the term attended. In other words, a student earns financial assistance as they complete their studies throughout a term. If a student completely withdraws from all studies during a term, the university must calculate the portion of the total scheduled financial assistance earned. If the student received (or the university received on behalf of the student) more assistance than was earned, the unearned excess funds must be returned to the federal programs.

The portion of federal loans and grants the student earned is calculated on a percentage basis comparing the total number of calendar days in the term to the number of days completed before withdrawal. (Scheduled breaks of five consecutive days or longer are excluded from the calculation.) The calculation for unearned aid is required for students attending classes less than 60 percent period of that term.

For example: a student enrolls with an enrollment period of 09/11/17-12/22/17. The enrollment period is 103 days. The student withdraws from all coursework on 10/30/17 – which is the 50^th day of the enrollment period. The student has earned 49 percent of the Title IV aid awarded (days attended/enrollment period, or 50/103, which equals 49 percent). Whatever percentage of the term the student attends is the percentage of Title IV that is earned. Once the student exceeds the 60 percent point of the enrollment period, the student has earned 100 percent of the Title IV aid. In the above example, if the student withdrew as of 11/14/17, 100 percent of the aid would be earned and no return calculation is required (11/14/17 would be day 65 of the term, so 65/103 equals 63 percent – which is beyond the 60 percent point of the term).

Unearned federal financial assistance must be returned to program funds up to the amount of assistance that the student has received from the program in the priority order established by regulation: Federal Unsubsidized Direct Loan, Federal Subsidized Direct Loan, Federal PLUS Loan and Federal Graduate PLUS, Federal Pell Grant, Iraq and Afghanistan Service Grant, Federal SEOG and TEACH. The school takes the responsibility on behalf of the student to return unearned federal financial aid assistance funds that were applied directly to institutional charges. Institutional charges at the university that are no longer covered by financial assistance immediately become the responsibility of the student. The student is also responsible for return of unearned federal financial funds that were disbursed directly to him/her. To prevent undue hardship, allowances have been made if the unearned assistance repayment owed by the student is due to a loan program. Funds due for repayment to a loan program permit the student to repay according to the terms of the promissory note. In addition, if the student is directly responsible for repayments of unearned assistance to a federal grant program, only one-half (50 percent) of the calculated repayment is required.

• Tuition Assistance Program (TAP)
• Regents Award - Child of Veteran (CV)
• Regents Award - Child of Corrections Officer Award
• Persian Gulf Veterans Award and Vietnam Veterans Tuition Assistance (VVTA)
• State University Supplemental Tuition Assistance Program (SUSTA)
• Aid for Part-time Study (APTS)

Good Academic Standing

Students who receive any NYS financial awards are required to maintain good academic standing as defined by the regulations of the NYS Commissioner of Education in order to remain eligible for state financial aid. The regulations define a student in good academic standing as one who: pursues the program of study in which s/he is enrolled (pursuit of program), makes satisfactory academic progress toward the completion of his/her program's requirements, and meets the Grade Point Average (G.P.A.) expectations.

Students who do not meet the requirements for pursuit of program, satisfactory academic progress and/or grade point average lose their eligibility for NYS financial aid. To remain eligible for NYS financial aid, a student must satisfy all three criteria.

Please note that the Academic Policies for continued enrollment have different standards for G.P.A. and satisfactory academic progress and therefore it is possible that a student may be meeting the academic standards but not meeting the state standards for aid purposes.

Pursuit of Program

The first criterion for maintaining good academic standing for eligibility for NYS financial aid is pursuit of program.

To be in pursuit of program, a student must receive either a passing or a failing outcome in a certain percentage of studies each term, depending on the number of state aid payments the student has received (which may be different from the number of enrollment terms at the university). The required percentage is illustrated in the Pursuit of Program Table for full-time students who have received funds under the Tuition Assistance Program (TAP).

An outcome that indicates that the student substantively engaged in a study or course through the enrollment term is necessary to satisfy the pursuit of program requirement. Both passing and failing outcomes are acceptable. However, a withdrawal (WD or ZW) or drop (DR) outcome does not meet the requirement for pursuit of program, because it indicates no substantial engagement in a study or course over the full enrollment term. The progression is based on only the terms a student receives state aid.

Empire State University Pursuit of Program Table*

*The table illustrates expectations for full-time (12 or more credits) enrollment. A student who enrolls on a less than full-time basis must make progress proportionate to what is illustrated in the table. For example, two payments for part-time enrollments (e.g. through APTS) equal one payment for a full-time enrollment (e.g. through TAP). Program or center staff can advise individual students regarding these calculations.

**The number of terms refers to the number of state aid payments the student has received, which may be different from the number of enrollments at Empire State University.

A student must earn a passing or failing letter grade, FC, NC, P, NP or IN outcome for the percentage of study designated in the table for each term of enrollment, to be eligible for NYS aid in the next term. For example, a student who has received two TAP payments must have outcomes that meet the pursuit of program standard for at least 6 credits in the second enrollment (i.e. 50% of the 12 credit minimum for full-time enrollment status), to be eligible for any NYS state aid in the next enrollment.

Satisfactory Academic Progress

The second criterion for maintaining good academic standing for eligibility for NYS financial aid is satisfactory academic progress (SAP).

To achieve and maintain satisfactory academic progress status, a student must accumulate a minimum number of credits per enrollment. The New York state Satisfactory Academic Progress Table specifies the minimum number of credits the student must accumulate to maintain satisfactory academic progress.

Students who do not meet the minimum academic progress requirements (on academic warning for unsatisfactory academic progress) are not eligible for NYS financial aid.

New York state Satisfactory Academic Progress Table*

*Effective at the end of Spring 2011 for non-remedial students receiving first NYS award payment in 2010-2011 and thereafter.

Students who are half time may contact the TAP Certifying officer for details on level of progress expected for New York State SAP. Students who first received a NYS award prior to Summer 2010 are reviewed by a different SAP standard. Likewise, during the 2010-2011 school year, students receiving a NYS award for the first time during the 2010-2011 year were held to a different SAP standard. ADA TAP students also have a different standard. Please contact the TAP Certifying officer for details.

Grade Point Average

The third criterion for maintaining good academic standing for eligibility for NYS financial aid is the grade point average (G.P.A.).

Students must maintain a 2.0 or better after receiving four full-time New York State financial aid payments. All NYS aid payments are counted regardless of when they were made or what institution the student attended. A student who is new to Empire State University is assumed to meet the minimum G.P.A. requirement. The university uses only Empire State University studies to compute the G.P.A. thereafter. Therefore, a student who comes to Empire State University after attending another university and receiving three full-time NYS financial aid payments must earn a minimum of a 2.0 at the end of the first term of enrollment at Empire State University to remain eligible for subsequent NYS financial aid payments. The table below provides the minimum G.P.A. required to maintain eligibility for New York State financial eligibility after each payment.

Minimum G.P.A.*

*Effective at the end of Spring 2011 for Bachelor’s degree seeking students receiving first NYS award payment in 2010-2011 and thereafter. Associate degree students are required to meet a different standard, please contact the Financial Aid office for details.

*NC counts as a failing grade in this calculation

Students who first received a NYS award prior to Summer 2010 are reviewed by a different G.P.A. standard. Likewise, during the 2010-2011 school year, students receiving a NYS award for the first time during the 2010-2011 year were held to a different G.P.A. standard. ADA TAP students also have a different standard. Please contact the TAP Certifying officer for details.

The Effect of Withdrawal

If a student withdraws from a course or study, his/her enrollment status, SAP rate, and/or state aid eligibility may be affected, depending on the effective date of the withdrawal and the number of state aid payments the student has already received (see Pursuit of Program Table). A withdrawal is not included in the calculation of the G.P.A. Therefore, it does not affect a student's G.P.A.

In calculating enrollment status and rate of progress, "credit attempted" is the number of registered credits as of Certification Status date of the enrollment term- this is day 29 for the 15 week term and Day 22 for the summer 8 week term . Thus, the date of withdrawal affects whether the credits are counted in the number of credits attempted. For example, for a student enrolled in a 15 week term who first enrolls for 12 credits and then withdraws from one 4-credit study on or before day 28, the enrollment status for the term changes to part-time and the progress rate is calculated on 8 credits attempted. If the student withdraws after day 28, the enrollment status for the term is still full-time and the progress rate is calculated on 12 credits attempted.

If a full-time student enrolled in a 15 week term withdraws after day 28 and incurs full tuition liability, s/he will lose TAP for the next term if s/he does not meet the pursuit of program standard for the current term. If a student enrolled in a 15 week term withdraws/drops before day 28 and tuition falls below the full-time rate, the student’s TAP award for the current term is cancelled. Further information may be obtained from the Financial Aid office.

The Effect of Administrative Withdrawals

NYS regulations for financial aid establish course completion expectations. If a student receives an outcome of administrative withdrawal (ZW) for a study or course, his/ her SAP rate and/or state aid eligibility may be affected depending on the effective date of the withdrawal and the number of state aid payments the student has already received (see Pursuit of Program Table). A ZW outcome is not included in the calculation of the G.P.A. Therefore, it does not affect a student’s G.P.A.

A ZW outcome may mean the amount of the student's financial aid award is reduced or the student is required to pay back some or all of the NYS financial aid awarded. The amount depends on the last date of substantive engagement in the course. Further information may be obtained from the Financial Aid office.

Eligibility Assessment

The university assesses student eligibility for New York State financial aid at two points in each enrollment:

1. On the date the enrollment officially starts:

-the student must meet citizenship, residency, high school graduation and good academic standing requirements. If the student fails to meet any of these requirements on the first day of the enrollment, s/he is not eligible for New York State financial aid for that enrollment term.

2. As of the Certification Status Date (defined as the date that the student incurs full tuition liability for the term):

-For students in a 15 week term: By the 28th day of the enrollment term, the student must meet the full-time or part-time study requirements and must be fully matriculated (admitted as a degree seeking student) at the university. A student who fails to meet enrollment requirements by day 28 is not eligible for NYS financial aid. A student who is not matriculated by day 28 is not eligible for NYS financial aid.

- For students in the 8 week summer term: By the 22nd day of the enrollment term, the student must meet the full-time or part-time study requirements and must be fully matriculated (admitted as a degree seeking student) at the university. A student who fails to meet enrollment requirements by day 22 is not eligible for NYS financial aid. A student who is not matriculated by day 22 is not eligible for NYS financial aid.

Regaining Eligibility for New York State Financial Aid

A student may regain eligibility for NYS financial aid through one of the following four methods:

1. Meeting the standard the student failed to meet previously, during an enrollment term in which no state award is paid.

• A student who failed to meet the pursuit of program standard may regain eligibility by meeting the pursuit of program standard in a subsequent term in which the student receives no state aid.
• A student who failed to meet the satisfactory academic progress standard may regain eligibility by accumulating the number of credits required to make satisfactory academic progress, through additional enrollment(s) for which the student receives no state aid.
• A student who failed to meet the grade point average standard may regain eligibility by earning the minimum required grade point average through enrollment(s) for which the student receives no aid.

2. Being readmitted and/or reinstated at ESC after an absence of at least one calendar year and after the student provides evidence in writing to the center or program administrator of his/her ability to successfully complete a degree program.
   • A student who is readmitted and/or reinstated after failure to make satisfactory progress must meet the credit accrual requirement the student failed to meet prior to losing eligibility by the end of the next enrollment.
3. Transferring to another institution.
4. Applying for and receiving a one-time waiver.

Eligibility Waivers

One-Time Waiver of Eligibility Standards for New York State Awards

A student who fails to meet the state standards for pursuit of program and/or satisfactory academic progress may request a one-time waiver of these standards. A waiver enables the student to receive NYS aid for one additional enrollment term.

New York state permits only one waiver at the undergraduate level and one at the graduate level. This applies across all institutions attended. The mitigating circumstance committee may grant a waiver when the student fails to meet the pursuit of program standard, fails to meet the satisfactory academic progress, or fails to meet both standards in the same term. However, failure to meet the pursuit of program and satisfactory academic progress may not result in two separate waivers.

The one-time waiver is not automatic. The student request for a waiver for his/her most recent enrollment. Approval of a request for a one-time waiver occurs in two parts:

1. The dean of the student's center for program for program verifies the student's academic eligibility.
2. The mitigating circumstance committee determines that the request meets New York state requirements for a waiver of financial aid regulations.

The mitigating circumstance committee approves the waiver only if both parts of the process are complete and the academic and New York state requirements are met. Students must submit the information required for both parts to the dean, using the required form.

When a one-time waiver is granted for failure to make satisfactory academic progress, the last term of enrollment does not count negatively in determining satisfactory academic progress. The student must meet the credit accrual requirement s/he failed to meet before losing eligibility by the end of the next enrollment.

Note: The one-time waiver has no direct effect on enrollment eligibility, which is an academic determination upon which the waiver is contingent.

C-Average Waiver

A student in the narrative evaluation with grading option who fails to meet the state standards for grade point average may request a waiver of the G.P.A. standard. A waiver is possible only in extraordinary or unusual situations. A waiver enables the student to receive NYS aid for one additional enrollment term. The C average waiver is separate from the New York State one-time waiver. The mitigating circumstance committee may grant a C average waiver more than once.

The C average waiver is not automatic. The student may request a waiver for his/her most recent enrollment. The C average waiver request is made following the procedure described above for the one-time waiver.

Repeat of Studies with Credit Awarded

Repeat of any study for which credit has been awarded may not be considered part of that student's course load for state aid purposes. Both studies count as credit attempted in calculating SAP, but only the latest study grade will count in the calculation of credits earned toward the degree and in the G.P.A. calculation. A repeated course in which a passing grade was previously earned cannot be used to meet the pursuit of program requirement (completing a certain percentage of the minimum full-time or part-time course load in each term an award is received) to maintain good academic standing. The student must complete the Request to Repeat a Study request form. This is required for financial aid purposes.

Students can receive state aid to repeat studies for which they earned no credit.

Maximum Number of Payments

An undergraduate student may receive NYS financial aid payments for no more than the equivalent of eight full-time enrollment terms.

Final Enrollment Term

In the final term only, NYS financial aid regulations permit studies to count toward financial aid eligibility standards related to full- or part-time enrollment status, even if some of the credit is not necessary to complete degree requirements. The enrollment must include some credit that is required to complete the student’s degree.

Empire State University permits such credit beyond the degree to count for financial aid eligibility in the final term, only if all of the following criteria are met:

• The student has an approved degree program,
• The enrollment term is identified as the final enrollment for the degree, and
• The enrollment includes one or more studies or courses that apply toward the student’s degree requirements.

The TAP Certifying Officer disallows any NYS aid award if any one of these criteria is not met.

Notification of Ineligibility for State Financial Aid Awards

The Financial Aid office notifies students regarding their ineligibility for further NYS financial aid. Students may obtain information on their financial aid status by contacting the Financial Aid office.

Job Applicant

A job applicant may request an accommodation from the Office of Human Resources (OHR) by completing an Application for and Report of a Reasonable Accommodation form (Section A) and submitting the same to OHR. The responsibility for requesting or initiating a request for a reasonable accommodation lies with the applicant with a disability. Upon receipt of the Application, OHR will determine whether an accommodation is appropriate, and if so, the accommodation. If there is an expense to the accommodation, it will work with the hiring department for that department to cover the expense, or at the University’s discretion, for the expense to be paid from another budget line at the University.

Employee

The employee requesting an accommodation obtains, completes, and forwards Section A of the Application for and Report of a Reasonable Accommodation form (Section A) with any supporting documentation to his or her supervisor. The responsibility for requesting or initiating a request for a reasonable accommodation lies with the employee with a disability.

The supervisor completes Section B of the Application for and Report of a Reasonable Accommodation form (Section B) and recommends review and consideration for approval or states the request has insufficient information for making a decision at this time or recommends denial.

The supervisor forwards the completed form and any supporting documentation to the OHR for review.

Based on all documentation, if the ADA Coordinator agrees that the requested accommodation is reasonable, the employee will receive written confirmation (Accommodation Approval Letter). If it is determined that the accommodation is not justified, or the accommodation is not reasonable given the disability, then the employee will receive notification of the denial of her or his request for a reasonable accommodation (Accommodation Denial Letter). If it is determined additional information is needed, the Notification of Need for Additional Information Supporting Request for a Reasonable Accommodation will be sent to the applicant.

Further, OHR determines if the employee is entitled to an accommodation and that the proposed accommodation is reasonable as defined by the ADA and other applicable laws, regulations, rules and Executive Orders, as the case may be, then OHR will consult with the employee and the employee’s supervisor about the appropriate methods of implementing the requested accommodation or some variation thereof. OHR will conduct a job audit of the duties and responsibilities of the position in instances where the essential duties are an issue.

Undue Hardship, Budgetary Considerations and Assistance

If the supervisor states on the Application for and Report of a Reasonable Accommodation that the department or unit is prevented from directly accommodating the request due solely to budgetary considerations, and if it is subsequently determined by OHR that the request or some mutually agreed upon variation thereof may be accommodated without undue financial hardship to the institution as a whole, then OHR will contact the appropriate Vice President, Assistant Vice President, or Dean who will be asked to assist in locating funds through channels within his or her own division.

It is expected that required job accommodations will typically be funded directly by the employee's department or division. Unresolved questions regarding undue financial hardship should be addressed through the usual reporting structure, and will ultimately be decided by the President.

In determining whether an accommodation would cause an undue hardship, the department head or supervisor may consider the impact of an accommodation on the ability of other employees to do their jobs. However, a supervisor or department head may not claim undue hardship solely because providing an accommodation has a negative impact on the morale of other employees; nor can an employer claim undue hardship because of "disruption" due to employee’s fears about, or prejudices toward, a person's disability. For example: If restructuring a job to accommodate an individual with a disability creates a heavier workload for other employees, this may constitute an undue hardship. But if other employees complain because an individual with a disability is allowed to take additional unpaid leave or to have a special flexible work schedule as a reasonable accommodation such complaints or other negative reactions would not constitute an undue hardship.

Medical Documentation

If a review of the request and supporting documentation is inconclusive, or if it is determined that medical documentation is inadequate or otherwise problematic, then OHR will inform the applicant as to why the documentation is unacceptable, and the applicant will be allowed to submit additional supporting documentation. If, after this additional documentation has been submitted and the need for an accommodation is still not clearly established, then the employee may be asked to submit to a medical examination or see an appropriate medical professional designated and paid for by the University. If the department asks that an evaluation be performed, then the cost associated with an evaluation (if any) will be paid for by the department.

Technical Assistance

The University may seek technical assistance from a medical professional, State or local rehabilitation agencies or disability constituent organizations in determining how best to address an individual's specific request. In addition, the department may wish to have an employee's disability needs evaluated by an outside agency to determine what type of accommodation, including equipment, is best suited for a particular type of disability.

Confidentiality, Use and Storage of Documentation

All documentation will be held in the strictest of confidence and kept separate from personnel records by OHR.

Documentation and reports from medical exams will be used solely to assist OHR in making an informed decision about the employee's request for an accommodation.

Notification

After a decision is made by OHR as to what is and is not an appropriate accommodation, then the employee will receive a written notification from OHR. OHR notifies the employee of the disposition of the request for an accommodation within two weeks of receiving all necessary information including medical documentation if appropriate.

Appeal Rights

The employee has the opportunity to appeal a decision regarding a reasonable accommodation by submitting a written complaint to the Office of Diversity and Inclusion. The Office of Diversity and Inclusion shall first mediate to try to resolve the issues informally between the employee and the University to find an acceptable accommodation. If a mutually acceptable accommodation cannot be determined, then the Chief Diversity Officer for Institutional Equity and Inclusion shall investigate the complaint and will make the decision on the appeal following consultation with the ADA Coordinator and the Office of the President.

If the individual requesting an accommodation believes that a decision to deny the request was based on illegal discrimination, then a complaint may be filed with the NYS Division of Human Rights by contacting 1-888-392-3644 or go to https://dhr.ny.gov/complaint, or with the United States Department of Justice, Civil Rights Division by contacting 1-800-514-0301 or go to http://www.ada.gov/fact_on_complaint.htm.

For assistance with this Policy, Applications, Accommodations and Appeals, please contact the university’s ADA Coordinator, Laura Decker, at 518-580-4099 or Laura.Decker@sunyempire.edu.

The following is information regarding several tuition assistance and tuition reimbursement programs available to university employees, including Research Foundation employees, to assist in the continuation of their education. Information on these programs can be obtained by contacting those offices noted with each of the program descriptions or the appropriate website listed. Information on available financial aid can be obtained by contacting the Student Financial Services office at the Coordinating Center.

SUNY Employee Tuition Programs

SUNY Employee Tuition Assistance Program
Assistance through state appropriation is provided for part or all of the tuition at a state-operated campus (payment of fees is not covered through this program). A specified allocation is provided each fiscal year to the university for this program. The waiver is prorated based upon the amount of allocation available and the applications received per term. Application is made through submission of form B-140W, available from the office of the vice president for administration or on the human resources website.

SUNY Employee Tuition Reimbursement Program:
A reimbursement of tuition paid by the employee to other than a state-operated campus (e.g., community universities, private universities and universities). Reimbursement is based upon the applicable SUNY undergraduate or graduate rate for New York state residents, up to a maximum of 4 credits per course. Funding is available from a limited central allocation established each fiscal year for this purpose. Application is made through submission of form B-140R, available from the office of the vice president for administration or on the human resources website.

Eligibility requirements for the SUNY Employee Tuition Assistance Program and the SUNY Employee Tuition Reimbursement Program listed above are:

• employee must be employed by the university in a permanent position for at least six months, must be working half-time or more and must be an employee at course completion
• part-time (50 percent or more) employee’s tuition assistance will be pro-rated to the full-time rate
• union-sponsored funds must be used prior to applying for SUNY employee tuition assistance/reimbursement, as well as other federal and state tuition grant programs
• proof of satisfactory completion of course must be provided in order to be eligible for future assistance
• employees must apply for tuition assistance for the current term during the announced application acceptance period; reimbursements for previous terms will not be considered. 

There is a maximum allowance of three courses per year (up to 4 credits per course), one course per term, and a maximum of 12 credits per fiscal year, and this may be prorated based upon funding availability.

1. Office of Employee Relations
   

   Management/Confidential Employees

   • employee is required to use OER (Office of Employee Relations) tuition reimbursement program which covers up to $2,000 per year prior to applying for the SUNY Employee Tuition Assistance/Reimbursement Program. Complete program guidelines and applications are available at https://goer.ny.gov/managementconfidential-mc-training-programs
   • after using GOER, the employee is eligible for tuition assistance/reimbursement through the SUNY Employee Tuition Program (B140) up to a maximum of three courses per year (4 credits or less per course), one course per term, and a maximum of 12 credits per year.
     
     
2. Union Sponsored Tuition Programs
   

   Professional Service Employees (UUP Represented)

   • employee is required to use UUP tuition waiver prior to applying for the SUNY Employee Tuition Program (B140). This is a “space available” tuition assistance program and generally covers one course per semester up to three courses per year. Contact human resources for additional information and an application or go to UUP Tuition Waiver (PDF 46kB).
   • after using the UUP tuition waiver (one waiver per term), the employee is eligible for tuition assistance/reimbursement through the SUNY Employee Tuition Program (B140), as previously noted.

3. Classified Service Employees (CSEA Represented)

   • employee is required to use CSEA tuition vouchers (2 per year) prior to applying for the SUNY Employee Tuition Program (B140). The application for this voucher and other information is at https://nyscseapartnership.org/tuition-vouchers-and-reimbursements
   • after using CSEA tuition vouchers, the employee is eligible for tuition assistance/reimbursement through the SUNY Employee Tuition Program (B140), as previously noted.
     
     
4. Miscellaneous Fees
   

   Books and other fees may be eligible for separate reimbursement through the university’s professional and support staff development funds. The links to these applications are at http://www.esc.edu/escnet under “Other.”

Enterprise Data Classification and Security Controls Requirements

All enterprise data stored on university systems, or non-university owned resources where university business is transacted, must be classified into one of the three categories defined by this policy and detailed below in the classification matrix. Based on this matrix, data stewards, data custodians, and data consumers/users are required to implement appropriate administrative, technical, and physical controls to protect the data in keeping with the classification of that data.

When information from multiple classifications is co-located on the same system without effective means of isolation, or within the same repository, database, archive, or record, the minimum-security controls of the category representing the highest risk must be applied. As an example, if names and social security numbers were included in meeting minutes, then Category I protections would be required for that document.

These requirements exist in addition to all other university policies and federal and state regulations governing the protection of enterprise data. Compliance with this requirement alone will not ensure that data will be properly secured. Rather, data classification should be considered an integral part of a comprehensive information security plan.

Note: Consistent with the notion of incidental use (use of university resources such as email not directly related to job duties), personal data belonging to employees stored on a university resource is not considered enterprise data.

Classification Matrix

(Examples are not an exhaustive list of the classification’s data.)

Information Security Roles and Responsibilities

The Data Governance committee will be responsible for reviewing and updating this policy as necessary. This committee shall be composed of the appropriate people from Enterprise Systems and Infrastructure (ESI), as well as from compliance, and data governance.

Enterprise Systems and Infrastructure (ESI)

A team from ESI will approve how enterprise data is stored, processed and transmitted by the university and by third-party agents of the university. This approval will be handled through review of data flow documentation maintained by a data custodian. In situations where enterprise data is being managed by a third party, the contract or service level agreement should require documentation of how enterprise data is or will be stored, processed and transmitted.

Data Steward

Data stewards are university administrators whose areas have responsibility for managing a segment of the university's enterprise data resources. Responsibilities of a data steward include the following:

• Determining the appropriate criteria for obtaining access to enterprise data - A data steward is accountable for who has access to enterprise data. This does not imply that a data steward is responsible for day-to-day provisioning of access. Provisioning access is the responsibility of a data custodian in conjunction with Information Technology Services (ITS). A data steward may decide to review and authorize each access request individually or a data steward may define a set of rules that determine who is eligible for access based on business function, support role, etc. These rules should be documented in a manner that allows little or no room for interpretation by a data custodian. If no rule is present for a data set, the data custodian must consult the steward of the data before granting access or releasing data.
• Understanding how enterprise data is stored, processed and transmitted by the university and by third party agents of the university - While the ESI team is responsible for approving how enterprise data is stored, processed and transmitted based on SUNY's Information Security policy, it is important for the data steward to understand these important standards in order to ensure reasonable and appropriate security controls are implemented. This can be accomplished through review of data flow documentation maintained by a data custodian. In situations where enterprise data is being managed by a third party, the contract or service level agreement should require documentation of how data is or will be stored, processed and transmitted.
• Understanding risk tolerance and accepting or rejecting risk related to security threats that impact the confidentiality, integrity and availability of enterprise data - Information security requires a balance between security, usability and available resources. Risk management plays an important role in establishing this balance. Understanding what classifications of data are being stored, processed and transmitted will allow data stewards to better assess risks. Understanding legal obligations and the cost of non-compliance will also play a role in this decision-making. Both the information security team and SUNY counsel can assist data stewards in understanding risks and weighing options related to data protection.
• Understanding how enterprise data is governed by university policies, state and federal regulations, contracts and other legally binding agreements - Data stewards should understand whether or not any university policies govern their enterprise data. Data stewards are responsible for having a general understanding of legal and contractual obligations surrounding enterprise data. SUNY counsel and the SUNY Information Security policy can assist data stewards in gaining a better understanding of legal obligations.

Data Custodian

A data custodian is an employee of the university who has operational responsibility over enterprise data. In many cases, there will be multiple data custodians. An enterprise application may have teams of data custodians, each responsible for varying functions. A data custodian is responsible for the following:

• Understanding and reporting on how enterprise data is stored, processed and transmitted by the university and by third-party agents of the university - Understanding and documenting how enterprise data is being stored, processed and transmitted is the first step toward safeguarding that data. Without this knowledge, it is difficult to implement or validate safeguards in an effective manner. One method of performing this assessment is to create a data flow diagram for a subset of data that illustrates the system(s) storing the data, how the data is being processed and how the data traverses the network. Data flow diagrams can also illustrate security controls as they are implemented. Regardless of approach, documentation should exist and be made available to the appropriate data steward. Transmitting, storing and processing of data should be in conjunction with ITS.
• Implementing appropriate physical and technical safeguards to protect the confidentiality, integrity and availability of enterprise data - ESI will implement reasonable and appropriate security controls for the classifications of data. Contractual obligations, regulatory requirements and industry standards also play in important role in implementing appropriate safeguards. Data custodians should work with data stewards to gain a better understanding of these requirements. Data custodians should also document what security controls have been implemented and where gaps may exist in current controls. This documentation should be made available to the appropriate data steward.
• Documenting and disseminating administrative and operational procedures to ensure consistent storage, processing and transmission of enterprise data - Documenting operational procedures goes hand in hand with understanding how data is stored, processed and transmitted. Data custodians should document as many repeatable processes as possible. This will help ensure that university data is handled in a consistent manner. This will also help ensure that safeguards are being effectively leveraged.
• Provisioning and de-provisioning access to enterprise data as authorized by the data steward - Data custodians are responsible for provisioning and de-provisioning access based on criteria established by the appropriate data steward. As specified above, standard procedures for provisioning and de-provisioning access should be documented and made available to the appropriate data steward.
• Understanding and reporting on security risks and how they impact the confidentiality, integrity and availability of enterprise data - Data custodians should have a thorough understanding of security risks impacting their enterprise data. Security risks should be documented and reviewed with the appropriate data steward so that the steward can determine whether greater resources need to be devoted to mitigating these risks. The ESI team can assist data custodians with gaining a better understanding of their security risks.

Data Consumer/User

A data consumer/user is a person that has been authorized access to specific enterprise data. Data consumers/users are required to abide by all data classification rules defined by both this policy the data custodian.

In the Event of a Breach

If a data steward, data custodian or data consumer/user discovers a security breach of any kind it must be immediately reported to the technology service desk in ITS. The ESI team will take immediate action to mitigate the breach and begin forensic discovery to determine its cause.

Violation of this Policy

Violations of this policy by employees or students may result in immediate suspension or revocation of information technology resources privileges and/or disciplinary action. Additionally, violations of state and/or federal laws in the use of the enterprise data may also result in criminal prosecution and/or civil liability.

Keys for desks, file cabinets, display cases and other similar items are not covered by this policy. They should be requested by submitting a work order directly to the Facilities department.

All personnel issued Empire State University entry items must safeguard those items at all times. If an entry item is lost or stolen, the Office of Safety & Security shall be immediately notified so appropriate security issues can be addressed and an Incident Report can be completed. (campus.safety@esc.edu)

Entry items to an ESC property may be requested for full-time, part-time, adjunct and temporary personnel for the duration of their employment at the University.

The temporary assignment of keys for special circumstances must be arranged with the Office of Safety and Security and approved by the Director of Safety and Security or their designee.

Construction projects, janitorial services, or repairs of campus facilities which require the issuance of a key to a contractor must be approved by the Director of Safety and Security, or their designee. Prior to receiving keys, a release must be signed by the contractor agreeing to deduct funds from their fee if a key is lost, forcing doors to be rekeyed. Each contractor will also be required to sign for keys prior to being issued keys from the Office of Safety and Security.  All issued keys keys shall be returned as soon as the work is completed, or the contractor leaves campus.

General Entry Item and Building Security

Entry items issued to campus personnel are the property of Empire State University. As such, unauthorized fabrication, duplication, possession or use of entry items to Empire State University facilities is prohibited.

All entry items are required to be returned to the Office of Safety & Security prior to an employee’s departure from the University or reassignment within the university. If an employee is reassigned to another department, a new entry item will be issued upon the return of the previously assigned one.

Entry item holders shall not lend their entry items to anyone.

Entry item holders are responsible for their entry items until returned to the Office of Safety & Security (i.e., until employment at ESC ends or if new entry items are required based on an employee’s reassignment).

Entry item holders shall not unlock buildings or rooms for other person(s) unless the other person(s) has/have permission to access those areas. Questions related to permissions shall be directed to the Office of Safety & Security.

In the event of lost or stolen entry items, the holder shall immediately notify Safety & Security.

The Office of Safety & Security will conduct regular assessments and examinations of each University department’s entry items distribution in comparison to the needs of the University community.

An inventory of keys must be completed at least once on an annual basis. Any discrepancies in the database (i.e. lost, stolen or broken keys) must be reported to the Safety and Security Department.

Master and Sub-Master Keys

All requests for Master or Sub-Master Keys will be reviewed and authorized by the Office of Safety & Security.

Approval is based upon the requestor’s need for accessibility to those areas of the campus. In an attempt to make the campus more secure it is Empire State University’s policy to limit the number of Master and Sub-Master Keys distributed.

In compliance with fire and safety regulations, personal locks are prohibited on all doors and will be removed accordingly.

Note: personal cabinets, lockers, files, or university cabinets meant to maintain personal items may be secured with personal locks.

• Equal Opportunity: Access, Employment and Fair Treatment in the State University of New York Document Number 6502
• Equal Employment Opportunity (Federal)

As an institution of higher education the university is committed both to increasing the representation of protected groups throughout the workforce and promoting diversity among its administration, faculty and staff.

It is the goal of the university Equal Employment Opportunity Affirmative Action Policy to provide equal employment opportunity, address unlawful discrimination and harassment and contribute to the diversity of the university’s workforce. The university's affirmative action policy applies to all persons identified in federal and New York state laws as protected groups, including minorities, women, individuals with disabilities, protected veterans, or any other characteristic protected by law.

It is the university’s obligation to take appropriate action under this policy should it be determined that applicable federal and state equal employment opportunity laws and regulations have been violated. Employees and applicants are protected from coercion, intimidation and interference or discrimination for filing a complaint or assisting in an investigation under Executive Order 11246, as amended.

The university's affirmative action plan prepared in accordance with State University of New York policy and the regulations promulgated by the Office of Federal Contract Compliance Programs (OFCCP), U.S. Department of Labor, 41 CFR Chapter 60. Inquiries regarding the plan may be directed to the Affirmative Action Officer at 2 Union Avenue, Saratoga Springs, New York 12866; or affirmativeaction@esc.edu, (518) 587-2100, ext. 2240.

Employment decisions at Empire State University are based on legitimate job related criteria. All personnel actions or programs that affect qualified individuals, such as employment, promotion, demotion, transfer, recruitment, advertising, termination, rate of pay or other forms of compensation, and selection for training, are made without discrimination based upon the individual’s sex, gender identity, sexual orientation, race, color, religious creed, national origin, physical or mental disability, protected veteran status, or any other characteristics protected by law.

Employees may choose to voluntarily disclose their sex, race, national origin, disability and protected veteran status at any time by contacting the Office of Human Resources. Such information will be maintained in a confidential manner and will not be used against an individual when making any employment decisions. Employees and applicants with disabilities and disabled veterans are encouraged to inform Affirmative Action Officer if they need a reasonable accommodation to perform a job for which they are otherwise qualified. The university makes, and will continue to make, reasonable accommodations to the known physical or mental limitations of an otherwise qualified applicant or employee to promote the employment of qualified individuals with disabilities and disabled veterans, unless such accommodations would impose an undue hardship on the operations of the university.

First priority for the use of the facilities must be given to University programs offered as part of its instructional, community and/or public meetings/programs. Preference will be given to alumni groups, local nonprofits and other educational organizations.

Individuals or groups may not bring alcoholic beverages into the facility except in the case of catered events and accordance with the SUNY Empire State University Alcohol Beverage Guidelines (Appendix B).

Rental of all equipment (tables, table covers, audio-visual equipment, etc.) should include making arrangements for delivery, set up and removal of said equipment.

Facilities must be left in the condition in which they were found including the removal of trash from tables and placing it in trash receptacles; otherwise security deposit will be forfeited.

Approval for events must be granted from the Vice President of Administration using the procedures listed below.

The University president, or his/her designee, shall issue a revocable permit to each non-commercial organization authorized to use University facilities in accordance with this policy.

Use of University facilities for political purposes will be granted in accordance with the SUNY Empire State University Guidelines for Political Activity at University Facilities (Appendix C).

Student Financial Services Policies

This policy does not apply to law enforcement officials who are performing official duties as authorized by state or federal law.

Procedures 

Any employee, student, or vendor that wishes to request special authorization from the president or designee to carry a firearm on SUNY Empire property may request such authorization by emailing the director of safety and security at campus.security@esc.edu . These procedures apply to law enforcement officials entering SUNY Empire property who are not performing official duties.

The final product of the program review process will be a report drafted by the program faculty that documents the review process and identifies specific action plans for program improvement. These action plans should be based on the findings of the review and include assessable outcomes or benchmarks of success or completion. After program faculty have approved this report it will be forwarded to the Graduate Policy and Planning Committee (PPC), SGS Dean, Provost, President, and other university-wide committees and constituencies as appropriate.

The program coordinator or chair, working with program faculty, is responsible for ensuring that the identified action plans are implemented, outcomes are documented, and the results are evaluated during interim annual re-views and/or at the next program review. The SGS Dean’s Office will work with the program faculty and university-wide offices to identify and acquire the available resources needed to support action plan implementation.

Full program reviews occur at least every five years. Programs may opt for more frequent program reviews in consultation with the SGS Dean. In addition, programs will annually review a rotating sample of their program learning outcomes and the program’s progress in implementing the action plans identified in the previous program review. A report of these activities will be forwarded to the Graduate Policy and Planning Committee (PPC) and the SGS Dean’s Office.

For programs that also undergo external accreditation, a program self-study, site visit, and accreditation report that includes learning outcomes assessment will meet the requirements of full program review. The schedule of these reviews will be determined by the external accrediting body. If the program accreditor requires annual reports that include learning outcomes assessment, these reports may fulfill the annual review component. Externally accredited programs forward their accreditation reports to the Graduate Policy and Planning Committee (PPC) and the SGS Dean’s Office.

Program Review Framework

Full Program Review

A full graduate program review involves the following elements, which serve the purpose of supporting a culture of continuous improvement. These elements will be completed by program faculty with support from the SGS Dean’s Office, Decision Support Services, and other university-wide offices.

1. Assessment of student learning outcomes – The outcomes assessment process begins with program-wide learning outcomes. All programs should have a documented list of program-wide student learning outcomes that express the program’s goals for all graduates. Programs and individual courses may have additional learning outcomes that apply to subsets of students. Additionally, all programs should document the courses or learning experience in which these outcomes are addressed and assessed in a curriculum map. Finally, programs should have common documented methods (e.g. common assignments that are assessed with com-mon rubrics) for assessing all students’ progress in achieving each of the program-wide learning outcomes. Data and/or artifacts from these course/learning experience embedded assessments should be documented and stored in a database for use during full and annual program reviews.
   • During the full program review, program faculty will evaluate the data and artifacts, if applicable, that have been collected since the previous program review, or the program’s founding for new programs, to determine the extent to which students have achieved these outcomes. In addition, program faculty will evaluate the quality of each method of assessment. While each program should design an assessment method that specifically addresses its needs, every method should include some kind of norming session in which faculty come to a consensus as to what it means to achieve individual learning outcomes and/or programmatic learning outcomes.
2. Review of a sample of student graduation files (if appropriate) – Program faculty will select a sample of individual students’ curricula and assess the curricula’s alignment to the program curriculum and expectations and assess the quality of program documentation of student performance related to the students’ individualized program goals and outcomes.
3. Student/alumni surveys – Programs will gather and analyze data on student and alumni opinions of the pro-gram and outcomes through university-wide and/or program specific surveys. Programs should coordinate their efforts to gather feedback with Decisions Support Services and the Office of Alumni Affairs to prevent du-plication of efforts.
4. Review of program guidelines, curriculum, standards, and delivery modes, including integration of and institutional support for learning technologies.
5. Summary of any actions taken as a result of the prior review and analysis of the impact of those changes.
6. Review of expectations of program accreditation bodies, employers and other external stakeholders relevant to the program.
   • In addition, this may include a review by external evaluators from an appropriate external constituency (e.g. accreditation body, professional organization, or comparable programs). To the extent possible, reviews should be independent (i.e. reviewers should not have a known bias for or against the program).
7. Review of institutional data on 5-year trends in program applications, enrollment, retention, degree completion, time to degree and projection of future trends in these areas.
8. Review of faculty resources, workload, and credentials and qualifications.
9. Review of current program descriptions, materials, and marketing and recruitment methodologies.
10. Based on an analysis of the data generated in the program review process, program faculty will formulate an action plan for addressing areas identified as in need of improvement or areas of potential growth and development.
11. The program faculty disseminate their results, interpretations, and recommendations to the Graduate Policy and Planning Committee (PPC), the SGS Dean, the Provost, President, and other university-wide constituencies as appropriate.
12. The program faculty are responsible for implementing and assessing the outcomes of the action plan during annual program reviews.

Annual Program Review

In order to ensure closing of the loop on programs’ action plans and continuous improvement, programs will conduct annual reviews. The annual reviews will consist of the following elements:

1. Assessment of a sample of learning outcomes – Each year program faculty will select one or more student learning outcomes to evaluate. This evaluation may generally focus on the extent to which students have achieve the programs desired learning outcome and/or specifically focus on the impact of specific instructional or curricular modifications on students’ performance. Outcomes may be reviewed on a specific schedule to ensure each outcome is reviewed at least once between full program reviews or specific outcomes may be selected each year based on the areas targeted in program’s last action plan.
2. Action plan implementation – Programs will report on the implementation of their action plans, included the actions that have been taken over the past year, the current status of each action, and any data that has been collected on the impact of each action.
3. The program faculty disseminates their results to the Graduate Policy and Planning Committee (PPC), the SGS Dean, the Provost, President, and other university-wide constituencies as appropriate.

• Volunteering of time or service.
• Any service learning or experiential learning that occurs as part of an academic activity.
• Employees or students looking to work on community fundraising that involves regional, student or school- focused communication. 

Support through charitable giving provides substantial financial resources for SUNY Empire’s students, faculty, staff and university programs and strategic initiatives.  Support of student activities provides a sense of community and attachment to the university that may persist past graduation. Coordinated and planned solicitations to alumni, faculty/staff, and any friends of the university are necessary for successful fundraising and successful student activities. Cultivating donors and prioritizing donating to the university is critical for the sustainability of the university’s fundraising program.

All fundraising efforts on behalf of the university must be consistent with the following:

• Maximize effectiveness of the university’s overall fundraising program
• Meet IRS standards for tax deductibility
• Meet PCI (Payment Card Industry) standards (when appropriate)
• Adhere to SUNY’s policy and procedures on gift acceptance
• Coordinate efforts between the Office for Advancement, Student Affairs and Office of Communications and Marketing to maximize success of fundraising/charitable request efforts, ensure compliance, prevent or eliminate over-solicitation of any demographic (alumni, faculty/staff, friends of the university, etc.) and avoid the possibility of perceived favoritism or endorsement.

The Office for Advancement welcomes interest from employees and student organizations who are interested in implementing fundraising and charitable activities that benefit the SUNY Empire student population and complement current resources (e.g., student emergency funds, Fund for SUNY Empire scholarships).

As a state agency, SUNY Empire operates in accordance with all New York State rules and regulations regarding use of state resources and conflict of interests. This policy does not apply to requests for the SEFA campaign. Requests for leave donations are not within the scope of this policy. Individuals and organizations who wish to use SUNY Empire property for solicitation or activities leading to personal gain are directed to the SUNY Empire Commercial Use Policy.

Members of the university community, including students and student organizations, who are interested in fundraising and/or charitable activities which will involve use of universitywide communication, should first obtain workgroup support (e.g., Academic School, University Department) Once that support is received, the Fundraising Planning Document (Appendix A) serves as a key resource to help guide the implementation of the fundraising and/or charitable activity. 

This Policy shall extend to all full, part-time, and temporary employees, volunteers, and interns engaged by SUNY Empire State University in any official work capacity. Whenever possible, this Policy shall be extended to consultants, contractors, and other on-site providers.

The Director of Human Resources shall be the SUNY Empire Domestic Violence Agency Liaison (Campus DVAL). The Campus DVAL is responsible for managing reports on the campus level, working with employees who make reports under this Policy and providing periodic reports to the SUNY System Administration DVAL (System DVAL). Additionally, the Campus DVAL will fulfill responsibilities as listed in section C of the SUNY policy and ensure all required activities have been met.

SUNY Empire State University (SUNY Empire) collects Personal Information in order to fulfill its mission as a public institution of higher education. SUNY Empire requires Personal Information only when necessary.

In addition to this, SUNY Empire may process some information about an individual that is classed as "sensitive" or "special category" personal data, which requires additional protections. This includes information concerning ethnicity, sexual orientation, religious beliefs or health/disability that we use for planning and monitoring purposes, or in order to provide care, help, or suitable adjustments. For certain courses of study, other sensitive information may be processed, such as information about past criminal convictions, working with children or vulnerable adults, and your fitness to practice in certain regulated professions.

Access to, and the sharing of, your "sensitive" personal data are carefully controlled. You will normally be given further details about our use of any such data when we collect it from you.

Applicability of this GDPR Privacy Notice

This GDPR Privacy Notice applies to you if all of the following factors are met:

• You are a natural person-not a corporation, partnership, or other legal entity-who is physically present in the EEA;
• "Personal Information" (any information that relates to or identifies you as an individual as is further described below) is provided while you are physically present in the EEA;
• Such Personal Information is not earlier or later provided to SUNY Empire while you are physically outside the EEA; and,
• Such Personal Information is provided to SUNY Empire:
  • During the course of SUNY Empire offering you goods or services;
  • While SUNY Empire is monitoring your behavior or health;
  • While you are associated with any of SUNY Empire's programs;
  • While you are participating in clinical research programs; or
  • While you are receiving health treatment.

Please note that information pertaining to current, former, or prospective employment with SUNY Empire within the United States is not considered "Personal Information" and is excluded from this GDPR Privacy Notice.

Legal Basis for Processing Your Personal Information

SUNY Empire's processing activities of your Personal Information may rely on different lawful grounds depending on the circumstances. Generally speaking, we typically rely upon one or more of the following lawful bases to process your Personal Information under the GDPR:

• Necessity to enter or for the performance of a contract ( e.g., online applications, information provided when enrolling, or for payment information to pay tuition)
• Necessity of SUNY Empire's legitimate interests or those of third parties ( e.g., evaluation of candidates for admissions, financial aid, and/or maintain a community for alumni)
• Necessity of SUNY Empire's compliance with legal requirements imposed by state or federal law
• Consent (e.g., for the research projects you may participate in; for processing of special categories of personal data)

We consider the processing of your Personal Information to be either necessary for the performance of our contractual obligations with you (e.g. to manage your education, student experience and welfare while studying at SUNY Empire's), necessary for compliance with a legal obligation ( e.g., visa monitoring), necessary for the performance of tasks we carry out in the public interest ( e.g., teaching and research), or necessary for the pursuit of the legitimate interests of SUNY Empire's or an external organization (e.g., to enable your access to external services). SUNY Empire requires you to provide us with any information we reasonably ask for to enable us to administer our relationship with you. If we require your consent for any specific use of your personal information, we will collect it at the appropriate time, and you can withdraw this at any time. Where we ask for any "sensitive" information, such as that concerning your ethnicity, sexual orientation, religious beliefs or health/disability, you will normally have the option to refuse your consent by not supplying it.

How SUNY Empire Obtains Personal Information

SUNY Empire obtains your Personal Information:

• From You, the Data Subject: SUNY Empire may receive your Personal Information when you visit SUNY ESC' s websites, apply for or attend classes or programs, apply for or take online courses, travel with SUNY Empire to a location in the EEA, attend events sponsored by SUNY Empire in the EEA, participate in clinical research, voluntarily or involuntarily receive medical treatment or services, or otherwise interact with SUNY Empire in the EEA.
• From Third Parties: SUNY Empire may also receive your Personal Information from third parties. Examples include, without limitation, exam scores received from testing agencies, and registration information received from third parties that administer online courses. SUNY Empire also may receive information from other individuals or institutions who provide treatment and services, from public health services, from law enforcement, and from other clinical researchers, as well as from those who process the information provided on behalf of these entities.
• Prospective Students - SUNY Empire uses your Personal Information in order to consider you for admission to a campus or a particular program, to award financial aid and merit-based scholarships, and to track the effectiveness of our communications and programs.
• Students - SUNY Empire uses your Personal Information to provide you higher education services, comply with our legal obligations, enforce SUNY Empire policies and procedures, and to improve the overall student experience on our campuses and effectiveness of our programs. Some examples of these include registering you for classes, tracking attendance, evaluating your academic performance, submitting required reports to federal and state regulatory authorities and our accrediting bodies, providing you with academic and career advising, providing housing and food services, evaluating student organizations, evaluating academic programs, and providing letters of recommendation and transcripts to prospective employers or other institutions.
• Alumni and Friends - SUNY Empire uses your Personal Information to track, maintain, and evaluate our relationship with you, provide you with communications and invitations to campus events, assist you with obtaining employment or admission to another educational institution or program, and to evaluate academic and employment outcomes.
• Prospective Employees - SUNY Empire uses your Personal Information to consider you for employment, evaluate the effectiveness of our recruitment programs, establish minimum requirements for position’s, and to improve the attractiveness of SUNY Empire as an employer
• Current Employees - SUNY Empire uses your Personal Information to perform necessary tasks related to your status as an employee, to contact the appropriate person in the event of an emergency, to investigate violations of SUNY Empire policy, to improve the overall employment experience at SUNY Empire.
• Research Participants - SUNY Empire uses your Personal Information to fulfill the objectives of a particular research project, and to provide any promised compensation or other incentives.

Certain Personal Information collected by SUNY Empire is required for SUNY Empire to be able to provide you with educational services, employment, or treatment as a patient. In the event you do not provide such information, SUNY Empire may be unable to provide you with the requested services.

Use of Personal Information

How SUNY Empire uses your Personal Information depends upon the context in which it was provided:

SUNY Empire may use your Personal Information for other purposes and will provide you with specific information at the time such alternate use arises.

Sharing of Your Personal Information

SUNY Empire does not sell your Personal Information and only shares your Personal Information with third parties if there is a legitimate institutional need to do so. SUNY Empire may share your Personal Information with the following recipients:

• With SUNY System Administration and other campuses within the SUNY System in order to govern, administer, and improve the SUNY system.
• With SUNY Empire's affiliated entities including the Research Foundation for the State University of New York, individual campus foundations, campus faculty student associations, and other affiliated entities in order to provide ancillary services.
• With SUNY Empire's service providers that need access to your Personal Information in order to provide SUNY Empire with services necessary to fulfill SUNY Empire's mission or improve the SUNY Empire student or employee experience.
• With accrediting agencies in order to obtain or maintain accreditations for SUNY Empire's and its affiliates various programs.
• With the Federal, State, and local governments or regulatory authorities as required by law or as necessary to fulfill the mission of SUNY Empire.

Please note that the University may provide anonymized data developed from Personal Information to third parties, such as government entities and research collaborators, and that such anonymized data is outside the scope of this GDPR Privacy Notice.

Your Rights Regarding your Personal Information

SUNY Empire is committed to facilitating the exercise of the rights granted to you by the GDPR in a timely manner. In the context of our processing activities that are subject to the GDPR, you have the following rights regarding your personal information:

• Access, correction and other requests - You have the right to obtain confirmation of whether we process your personal data, as well as the right to obtain information about the personal data we process about you. You also have a right to obtain a copy of this data. Additionally, and under certain circumstances, you may have the right to obtain erasure, correction, restriction and portability of your personal data.
• Right to object - You have the right to object to receiving marketing materials from us by following the opt-out instructions in our marketing emails, as well as the right to object to any processing of your personal data based on your specific situation. In the latter case, we will assess your request and provide a reply in a timely manner, according to our legal obligations.
• Right to withdrawal consent - For all the processing operations that are based on your consent, you have the right to withdraw your consent at any time, and we will stop those processing operations as allowable by law.

In addition to the rights provided by the GDPR, you may also have rights with respect to your Personal Information pursuant to U.S. federal law, state law, and/or SUNY Empire policy. These include, without limitation, policies pertaining to student education records and policies pertaining to certain health records that SUNY Empire maintains.

In order to exercise any of these rights, except the right to file a complaint with an EU supervisory authority, you should submit your request to the identified GDPR SUNY Empire contact listed at the bottom of this Notice.

Please note that when you make requests based on these rights, if we are not certain of your identity, we may need to ask you for further personal information to be used only for the purposes of replying to your request.

Security of your Personal Information

SUNY Empire implements appropriate physical, technical, and organizational security measures to protect your Personal Information consistent with the requirements of law and the policies of the SUNY Empire Board of Trustees.

Retention and Destruction of Your Personal Information

SUNY Empire will retain your Personal Information for as long as there is a legitimate need to do so and in accordance with the SUNY Empire Records Retention and Disposition Policy, and applicable federal and state law. Retention periods vary and are established considering our legitimate interests and all applicable legal requirements.

Data Transfer Outside of the EEA

SUNY Empire is based in the United States and is subject to U.S. and New York State law. Personal Information that you provide to SUNY Empire will generally be hosted on U.S.-based servers. To the extent that SUNY Empire needs to transfer your information either (a) from the EEA to the U.S. or another country or (b) from the U.S. to another country, SUNY Empire will do so on the basis of either (i) an "adequacy decision" by the European Commission; (ii) EU-sanctioned "appropriate safeguards" for transfer such as model clauses, a copy of which you may request, if applicable, by contacting SUNY Empire as set forth below; (iii) your explicit and informed consent; or (iv) it being necessary for the performance of a contract or the implementation of pre-contractual measures with SUNY Empire measures generally taken at your request (e.g., for the transfer of personal data necessary for your application for admission). Please note that the U.S. is not currently considered a safe harbor country under the GDPR.

OAA is responsible for issuing a call for volunteers to serve on GEECs, maintaining a roster of faculty eligible to serve on a GEEC, and for publishing a timeline of necessary approvals for inclusion in the next year’s university catalog. 

The GEEC’s only responsibility is to ensure that the course fulfills the SUNY general education requirements. Academic quality is the responsibility of the Chair and the Department. Each GEEC should have three to five members, except for DEISJ which may have up to seven. Faculty who have taught in the general education subject area, regardless of department affiliation(s), are eligible to serve on a GEEC, and GEECs should be multi-disciplinary as appropriate. Department Chairs shall not serve on GEECs. Faculty submitting courses to a GEEC for review must include the course description and the full set of learning outcomes for the course, and if seeking general education status in two Knowledge Areas for a single course, must submit it to both GEECs. A single course cannot meet more than two General Education areas. SUNY General Education learning outcomes must comply with SUNY policy on these learning outcomes. Partial general education designations are not permitted. SUNY policy requires that a course that partially meets a general education requirement identify any remaining components to complete that general education area and SUNY Empire courses in the university catalog do not meet this standard. 

Once the GEEC agrees that a course fulfills the general education requirements the course author and their Chair will be informed, and the course document is sent to the Registrar’s Office for entry into the university catalog. In the instance that a GEEC does not agree that a proposed course fulfills the general education requirement, the course is returned to its author with an explicit written explanation of the way(s) it does not address the requirements. The author may revise and resubmit or may appeal, and any resubmission shall go through the curriculum procedures of the Department/School.  The course author, in conjunction with their Department/School and GEEC, should attempt to reach agreement through a dialog about changes and edits before an appeal is issued.

Appeals of General Education Evaluation Committee Decisions

The Department Chair Council or sub-group of the Council will hear appeals from the author within 30 calendar days of receiving the written appeal and provide a written explanation of its decision. It shall weigh evidence from the GEEC and the course author and make a decision on whether or not the GEEC appropriately reviewed the proposal and the decision was sound. They will provide a written explanation of their decision to either uphold the GEECs decision or send it back to the GEEC to re-review the course. The Council or sub-group will notify the course author and their department chair, and the original GEEC of their decision. This decision is final.

Revisions to General Education Courses

Any substantial revision to a course description or learning outcomes requires re-submission to the appropriate GEEC for approval. 

Individualized Prior Learning (iPLA) 

IPLA evaluators may designate one or two general education areas according to their assessment of student learning. The evaluator’s credit recommendation must include a description of how the student’s learning addresses the learning outcomes for the General Education area(s). The evaluator assessment is subject to faculty review and approval in the academic review process.

Totally Individualized Studies (TISs)

General Education may not be met through courses that are TISs. 

Students matriculated at Empire State University before July 1, 2004, may request the assignment of a letter grade to the relevant narrative evaluations. The university will continue to respond to these student requests. For students who matriculated after that date, there will be no later assignment of letter grades to narrative evaluations.

The instructor who wrote the narrative evaluation should assign the grade. If this instructor is not available, another qualified faculty member may be enlisted to assign the grade.

Assignment of Grades by a Faculty Member Other Than the Instructor of Record

In accordance with SUNY faculty guidelines on grading, another qualified and discipline- specific faculty member may assign a grade when the instructor of record is not available to do so in a reasonable timeframe. The faculty member acting in the place of the instructor should base the grade on review of the student’s work in the course or study in comparison to the learning objectives for the course or study.

Grade Changes

An award of a grade is normally final. However, if the instructor of record for a course makes an error in computing or entering a student’s grade, that instructor may correct the erroneous grade.

Appeal of Grades

If a student feels that a grade was assigned based on impermissible factors, such as bias, discrimination, or retaliation, that student may appeal that grade as provided in the Academic Appeals Policy.

Grades

The following outcomes are not included in the grade point average:

• IN (Incomplete)
• WD (Withdrawal- student initiated)
• ZW (Administrative Withdrawal)
• NP (No Pass)
• P (Pass)
• NG (No Grade)

Grade Point Average (G.P.A.) Calculation

The registrar calculates the grade point average and includes the G.P.A. in the student transcript. The G.P.A. calculation at Empire State University is:

• Based only on SUNY Empire courses for which a letter grade is assigned. This includes courses for which a student cross registers at another institution.
• Not based on prior transfer credit or prior learning assessment components included as part of the student’s official transcript.

Minimum Grade Point Average Requirement

SUNY Empire undergraduate students must maintain an overall 2.00 G.P.A. A cumulative 2.00 GPA is a requirement for graduation.

These and other criteria apply to eligibility to receive financial aid. See the Policy on Satisfactory Academic Progress and the statements on Eligibility for NYS and Federal Financial Aid.

Assignment of Grades to Credit by Evaluation/Prior Learning Assessment Components

SUNY Empire does not assign grades to Credit by Evaluation/Prior Learning Assessment components.

Repeated Courses

When a course is repeated, the highest grade and associated credits are included in the student’s credits attempted, credits completed, and grade point average (G.P.A.).

All courses taken and all grades earned are included in the student’s SUNY Empire transcript. Repeated courses appear on the SUNY Empire transcript with a note indicating they have been repeated.

A repeated course grade does not replace the original grade:

• If a student withdraws from the repeated course or
• If a student is administratively withdrawn from the repeated course or
• Until a grade A through F or Pass/No Pass is awarded for the repeated course.

If the student took the first enrollment of the course prior to fall 2018 term, the student must initiate the Request to Repeat a Study request form. Submission of this form should be done at the time of registration. If the student took the first enrollment beginning on or after the fall 2018 term, the system will be automatically updated with the repeated course designated with the end of term processing.

Financial aid may not be available for a repeated course.

Status of C and D Grades

• SUNY Empire learning contracts and courses: a grade of D- or better is required for SUNY Empire to award credit.
• For students engaged in Empire State University combined Bachelor’s/Master’s programs, grades of D-, D, D+, or C- in a graduate course will count towards the Bachelor’s degree, but not toward the Master’s degree. See the Grading Policy for Graduate Studies.

F Grade

The course instructor submits an F grade when a student engages in a course throughout the term of enrollment and fails to complete it in a satisfactory and sufficient manner.

Pass/No Pass Option

A student may select a Pass/No Pass (P/NP) option for a course. Students may not exceed 12 credits graded as Pass/No Pass. Under this option, receiving a grade of Pass (P) implies that the student’s work is completed at the C- level or better. The student selects the Pass/No Pass option at the time of enrollment. The university does not later award letter grades for such courses, nor are the results of such courses included in the student’s G.P.A.

Pass (P): Ordinarily, a course instructor submits a letter grade when the student successfully completes a course. When a student successfully completes (at a C- or better) a course taken on a Pass/No Pass basis, a Pass (P) grade is recorded.

No Pass (NP): The course instructor submits a No Pass (NP) when a student engages in a course throughout the term of enrollment and fails to complete it in a satisfactory and sufficient manner or fails to complete (at a C- or better) a course taken on a Pass/No Pass basis, a No Pass (NP) grade is recorded.

Incomplete (IN)

Students are expected to engage with their course work throughout the term, submitting work for evaluation on a regular basis. However, when extenuating circumstances arise such that a student’s work is delayed, a student may request an outcome of incomplete (IN) from the course instructor by submitting the incomplete request form. No course instructor is obligated to grant an incomplete, nor should any instructor submit an outcome of incomplete unless the student has requested one. 

The course instructor submits an IN outcome only when the student has consistently engaged in learning activities and has successfully completed at least 50 percent of the assigned work before the end of the term for the course. Individual instructors are free to set higher standards for proportions of work submitted before considering a request for an incomplete on a course-by-course basis. Course-specific policies for consideration of an incomplete should be specified in the learning contract or syllabus, which should also refer students to this policy.

A student who is awarded an IN outcome is allowed no more than 15 weeks after the course end date to complete the course. The course instructor may establish an earlier completion date. Upon agreeing to issue an IN, the instructor is to submit an Incomplete Form prior to the end of the grading period. The instructor has the ability to enter a default grade when an incomplete is requested. The Incomplete outcome will automatically convert to the default grade entered by the instructor at the end of the Incomplete period if another grade is not entered. If no default grade was entered and a grade is not entered by the instructor at the end of the incomplete period, the Incomplete outcome will convert to an F or NP.

After the deadline to submit the final work for the incomplete course, the instructor has seven days to evaluate the work and submit a grade.

If a new grade is not issued by the end of the evaluation period, an IN outcome automatically converts to the default grade entered by the instructor.  If the instructor has not issued a default grade, the IN outcome converts to an F or NP depending on the grading type.

Administrative Withdrawal (ZW)

The course instructor submits an outcome of administrative withdrawal (ZW) if a student registers for a course and either does not engage in course work at all or initiates participation in the activities of the course, but then ceases to participate and does not officially withdraw. See definition of substantive engagement for acceptable participation. The ZW outcome must include the last date of substantive contact in an academically related activity by the student. As a guideline, instructors should evaluate at the 20% point of their course if any students have a lack of substantive engagement. If they meet this definition, a ZW should be entered. If at any point a student stops engaging, a ZW should be entered. It is not appropriate to enter a ZW during the grading period if the student never engaged or stopped engaging early in the term.

Faculty have the authority to institute their own course attendance requirements. 

Withdrawal (WD): A student may withdraw from a course until the last day of the course. A student must withdraw using the stated procedures from the Office of the Registrar. The effective date is the date the student transmits the request. The actual date of withdrawal may affect enrollment status, satisfactory academic process, and financial aid eligibility. See SUNY Empire policy on Academic Withdrawal.

Implications of Outcomes

Outcomes of IN, ZW, NP, and WD have specific implications for financial aid eligibility. For an explanation, see the Empire State University statements on Eligibility for New York State Financial Aid and Eligibility for Federal Financial Aid.

Grading Deadlines

Student work is due as specified in the learning contract or course syllabus.  As soon as possible after receiving it, instructors should strive to return student work with feedback, so that the cycle of regular and substantive effort, feedback, and development continues unabated.
 

The final grade/outcome for each course should be prepared as soon as possible after the student has completed the course, so that the student has timely evaluative information as well as an official transcript for the course.  Grades/outcomes are due within seven calendar days after the last day of each term, or in the case of an incomplete, within seven calendar days after the deadline to submit the final work for the incomplete.

This policy defines whether a student is in good academic standing. It does not determine if a student is eligible for financial aid.

The cumulative grade point average is the criterion that establishes the student's academic standing with the university. A student who meets this criterion is in good academic standing and therefore maintains her/his eligibility to reenroll. Cumulative GPA and other criteria apply to eligibility to receive financial aid. See the Graduate Satisfactory Academic Progress policy and the statements on Eligibility for NYS and Federal Financial Aid. Sometimes a student's cumulative GPA falls below the minimum satisfactory cumulative GPA. When this occurs, the university notifies the student with an academic warning or dismissal.

Academic Warning
A student is placed on academic warning when s/he has a cumulative GPA below 3.00.

•    A student on academic warning has 6 additional credits of enrollment to return to a cumulative GPA of 3.00 or higher
•    An academic warning is in effect until it is rescinded or the student is academically dismissed

Rescinding an Academic Warning.

An academic warning is rescinded if a student's cumulative GPA raised to 3.00 or greater within the additional 6 credits coursework allowed under academic warning.

Academic Dismissal

•    A student is academically dismissed if they are on academic warning and do not achieve a cumulative GPA of 3.00 or greater after attempting 6 additional credits of applicable coursework at Empire State University.
•    A student concurrently enrolled in two or more graduate programs at the time of dismissal, is dismissed from all active graduate programs when they meet the criteria for dismissal.
•    An undergraduate student enrolled in a combined bachelor's degree and master's degree program is dismissed from the combined program when they meet the criteria for dismissal. The student may continue in the bachelor's degree program provided that they meet the requirements for that program.

Reinstatement after Academic Dismissal.

In order to be reinstated, a student must present written evidence to the dean or designee of the appropriate school, that the student is ready and able to make satisfactory progress. The student should address the problems that led to the dismissal and what s/he has done to correct those problems. The dean consults with program faculty in making this determination.

The dean or designee, of the appropriate school considers requests for reinstatement after academic dismissal, and grants reinstatement at his or her discretion. If the dean, or designee, reinstates a student, s/he may establish terms and conditions that promote future academic success. For example, the dean may impose specific conditions for subsequent enrollments, such as requiring a reduced academic load or requiring enrollment in courses to build academic skills.

If the student is dismissed from her/his program and wishes to apply to a different program, the student must complete a new application. The student should address the problems that led to the dismissal, what s/he has done to correct those problems, and how s/he expects to achieve success in the new program.

Students are not eligible for reinstatement or readmission for at least one term after an academic dismissal. Students who are academically dismissed for a second time are not eligible for reinstatement or readmission.

A student dismissed from a combined bachelor's degree and master's degree program may not request reinstatement to the combined program, but may apply to the master's program directly following the standard master's admissions process.

Other Reasons for Academic Dismissal

Students may also be academically dismissed when they fail to meet the expectations of other academic policies. For example, students may be dismissed when they are unable to retake a required program course after two unsuccessful attempts under the Graduate Evaluation and Grading Policy or when teacher education students fail to meet the professional expectations described in the Teacher Professional Expectations Policy.

Appeals

A student may appeal a grade, an academic warning or dismissal, or other academic judgment, as provided in the Student Academic Appeals Policy.

Admission to the graduate degree programs at Empire State University is selective. Criteria for admission includes:

Documented completion of a bachelor’s degree from a regionally accredited institution.

• Documented completion of a master’s degree from a regionally accredited institution for doctoral degree consideration.
• An appropriate correlation between the candidate's objectives and the particular graduate program to which they are applying.
• Evidence of the candidate’s preparation to pursue the subject matter and the ability to meet the academic demands of the program to which they are applying, including completion of any required prerequisites, entrance exams, and licenses.

The dean of the appropriate school, upon the recommendation of the graduate faculty, makes the final decision regarding admission.

B. Advanced Certificates

Criteria for admission includes:

• Documented completion of a bachelor’s degree from a regionally accredited institution.
• Applicants to the advanced certificate programs will be admitted once all required application materials are submitted.

C. Certificates of Advanced Study

Criteria for admission includes:

• Documented completion of a master’s degree from a regionally accredited institution.
• Additional documentation including any required licenses or entrance exams.
• Applicants to the certificate of advanced study programs will be admitted once all required application materials are submitted.

It is the policy of Empire State University, State University of New York, to provide equal opportunity in education and employment for all qualified persons and prohibit discrimination on the basis of race, color, national origin, religion, age, sex, sexual orientation, disability, veteran status or marital status.

Applicants must complete the admissions process within one year of submitting an application. After one year, any application materials received by the Admissions Office will be purged.

Applications must be completed and submitted by the published deadline in order to be considered for admission to an upcoming term unless extended by the appropriate school. All graduate programs are term based. Term options for initial enrollment are specific to the degree or certificate to which a student has been accepted (fall, spring, summer).

An applicant who is denied admission may apply again (to any Empire State University graduate degree program) after a period of one year from the prior date of application. Applicants who wish to appeal denial of admission may do so in a letter to the dean or designee of the appropriate school.

For most programs, admitted applicants may enroll initially in the graduate program within three calendar years from the date of admission. Those who wish to initiate enrollment after this time must reapply for admission.

In some cohort-based or limited-seat enrollment programs, applicants must enroll in the program within one year, otherwise they must reapply. These programs are identified in the graduate catalog, on the website and by the admission letter.

For programs with one-year acceptance polices, one-year deferrals are granted on a case-by-case basis for extenuating circumstances. Deferral requests must be submitted in writing to the appropriate graduate dean by July 15. There is no guarantee that the deferral request will be approved. Applicants whose requests are denied may reapply for admission. Students approved for a one-year deferral are required to confirm intention for fall enrollment by January 31 of the following year.

• Course title 
• Course level/Course number
  • The proposal will designate the level in accordance with the course numbering taxonomy; the office of the registrar assigns numbers that are published in the catalog.
  • Offerings with the same title, but different levels, need to be submitted as separate and distinct courses.

• Number of credits 
  • Each course listing carries only one credit value as opposed to a range of credits; courses with more than one credit value have separate, distinctive listings for each.
• Course description
• 3-4 Learning high level outcomes 
• Prerequisites and or co-requisites (if applicable) 
• The proposed academic unit which assumes primary responsibility for the course.     

The Office of the Registrar may request additional information to facilitate searching, sorting and filtering of course offerings and generally support ease of use.  

Each course listed in the university catalog must be associated with a responsible academic unit.  The responsible academic unit will recommend to the Office of the Registrar the primary subject code or prefix assigned to the course in the university catalog.   

Designation of a responsible academic unit is only for the purposes of maintaining an accurate catalog.  This designation shall not be used in any way to determine or prioritize teaching assignments nor to establish any claims regarding academic expertise or unit “ownership” of a course.   

A course listing is incomplete if at least one of the above components is missing.  Incomplete course listings are ineligible for entry into the Catalog. 

Catalog course listing information shall be re-stated verbatim in learning contracts designed for respective courses. 

Repetition of Individualized Studies 

Individualized studies that are offered three (3) or more times effectively become de facto courses and, therefore, must be submitted as new course proposals prior to being offered again.   

Repetition of Special Topics Courses 

On a term-by-term basis, faculty may request that a special topics course that is not listed in the catalog be included in the forthcoming term guide.  These may be nonrecurring or experimental offerings.   Special topics courses that are offered three (3) or more times effectively become de facto courses and, therefore, must be submitted as new course proposals prior to being offered again.   

Proposing New Courses for Listing in the University Catalog or Revisions to Courses in the Catalog 

Each recognized academic unit at the university shall, according to its own established procedures, provide for a review of proposed courses or substantive course revisions.  Proposals for new or revised courses shall include the following: 

1. A public announcement of a proposed course or course revision, including preliminary description and learning outcomes, in an appropriate graduate venue.  
2. An opportunity for substantive review by academic unit faculty. 
3. Direct notification to the Office of the Registrar, the relevant dean, all associate deans (and designees) of the academic unit in which the course will be listed or sponsored.                                            
4. A mechanism for indicating formal approval of the course proposal by the faculty of the responsible academic unit. 

Approval from the responsible academic unit will constitute a final decision and will be recorded in the minutes of that unit.   

Upon approval, the course information and notification of responsible academic unit approval will be transmitted to the relevant academic administrator and to the Office of the Registrar so that the course can be assigned a number and entered into the university’s records.  

Individual academic units may establish additional review criteria as appropriate to their academic disciplines.   

Course proposals submitted as part of a proposal for a new or revised academic program are subject to the policy governing new program proposals.  New courses included in such proposals are considered approved when the program proposal is approved by the relevant faculty body for the program proposal.  The proper course information must be provided before the course can be listed.   

Prerequisites and Co-Requisites 

Many SUNY Empire students are adults with expertise in the fields they have come to study and their needs do not always conform to the scaffolding of course work.  However, some courses presume that a student possesses a body of prior knowledge or certain level of academic literacy or numeracy.  Prerequisites and/or co-requisites are therefore used judiciously. ? 

When prerequisites and/or co-requisites are used at Empire State University, their purposes are: 

• to support the development of viable educational pathways for individual students  
• to identify and help students understand the background knowledge and/or skill needed to succeed in a course 
• to meet the requirements of professional licensing or similar regulatory bodies   

Where specific background knowledge is needed for student success in a course, students demonstrate that knowledge in one of two ways: 

• Through successful completion of courses that have been designated as prerequisites or concurrent enrollment in courses that are designate as co-requisites. 
• Through commensurate prior learning regardless of where it was acquired or whether it was formally documented. 

Delisting of Courses 

Courses may be delisted from the catalog when they become outdated, obsolete, or fail to generate student enrollment.  Courses listed in the catalog that have not generated student enrollments for two consecutive academic years should be considered for delisting.  The Office of the Registrar is responsible for identifying such courses and for notifying the Dean, Associate Dean and designees of the appropriate academic unit.                         

The academic unit responsible for the course should formally initiate and review proposals for delisting courses.  If the academic unit determines that the course should be delisted, a course delisting form, including a summary of the reasons for retiring the course, must be generated.  

The course delisting form is sent to the dean, associate dean and/or designee for the academic unit. The dean, associate dean and/or designee will forward the course delisting form to the Office of the Registrar.

If a matriculated graduate student wants to enroll in an undergraduate-level course after the start term of the graduate program, the student should discuss this with their academic advisor. Permission is granted by the academic advisor. If permission is given for a graduate student to enroll in an undergraduate-level course, the following applies:

• Undergraduate-level courses cannot be used to meet the requirements of a graduate program.
• Graduate students who enroll in undergraduate-level courses are charged the graduate tuition/fee rate for those courses.
• Financial aid awarded for a graduate program cannot be used to pay for undergraduate-level courses.
• Undergraduate-level courses cannot be used to meet the enrollment requirements to maintain active status.
• Undergraduate-level courses are excluded from the graduate GPA calculation.

If a nonmatriculated graduate student wants to enroll in an undergraduate-level course, the student should apply to be a nonmatriculated undergraduate student.

Empire State University features student-centered, mentored learning in all of its modes of study, from guided independent study to residency-based courses and online or blended courses. Regardless of the method of study:

• The learning experience effectively supports the student's active engagement with the subject of study.
• The course instructor guides, responds to and evaluates students throughout the learning experience.
• In independent studies, evaluation procedures_ are targeted to the needs of the particular individualized study.

Learning Contract/Syllabus

The learning contract or syllabus defines the learning objectives of the course, the learning activities to be completed, and the methods and criteria for evaluating the student's performance. A well-designed learning contract /syllabus lays the foundation for effective student evaluation by clearly outlining learning objectives and activities and methods and criteria for evaluation. The course instructor evaluates the student's work in light of these elements throughout the learning experience. Thus, the course instructor's feedback to the student is rooted in the learning contract /syllabus itself and occurs throughout the course.

Evaluation

Grades issued at Empire State University document students' academic growth. At the same time, students need to meet the minimum performance standards established for each course for credit to be awarded. To support student achievement, SUNY Empire faculty may afford students opportunities to revise work during a course in order to meet performance standards at the minimum or a higher level. Nevertheless, a student who works hard and shows progress, and is still not able to meet the stated criteria for evaluation, does not earn graduate credit.

Grades

The university uses a 4.00 grading scale. The grade assigned to a graduate course completed at Empire State University may be any of the following:

Pass (P) - This grade is awarded for specific courses in which the student has performed at the B or better level. 

No Pass (NP) - This grade is awarded for specific courses in which the student has performed at the 8- or lower level. 

NP does not count as credit earned and therefore may negatively impact satisfactory academic progress. Please refer to the Graduate Satisfactory Academic Progress Policy.

Incomplete (IN) - When extenuating circumstances arise, a student may request an outcome of incomplete (IN) from the course instructor. The course instructor may submit an incomplete only when the student has consistently engaged in ,learning activities and has successfully completed at least 50 percent of the work before the end of the term. The course instructor is not obligated to grant_an incomplete. 

A student who receives an IN grade must complete the course within 15 weeks of the end date of the term, or earlier if the course instructor has specified an earlier completion date.

If the course is not completed within the incomplete period, the IN automatically converts to F.

IN does not count as credit earned and therefore may negatively impact satisfactory academic progress. Please refer to the Graduate Satisfactory Academic Progress policy.

Administrative Withdrawal (ZW) - If a student registers for a course, does not withdraw, and does not engage in significant learning activities throughout the term, the course instructor may submit a grade of administrative withdrawal (ZW). 

ZW does not count as credit earned and therefore may negatively impact satisfactory academic progress. Please refer to the Graduate Satisfactory Academic Progress policy.

Withdrawal (WD) - A withdrawal (WD) is initiated by the student status. 

A student may withdraw form a course on or before the end of the 10th week of a 15-week term or the end of the 5th week of an 8-week term.

Evaluated Credit (EV) - In master's programs that provide an opportunity for assessment, an EV denotes credit awarded through the assessment process. 

Grades of NP, IN, ZW, WD and F have specific implications for financial aid eligibility. For an explanation, see the Empire State University Statements on Eligibility for New York State Financial Aid and Federal Financial Aid.

Grade Point Average (GPA) Calculation

Graduate Cumulative GPA

• is based on graduate level courses enrolled in at Empire State University;
• includes courses regardless of program and matriculation status;
• does not include transfer credit or credit awarded through assessment;
• based only on Empire State University courses in which a letter grade is assigned; and

Graduate Program GPA

• is based on courses in the active academic program(s) and calculated by active program (e.g. advanced certificate or degree);
• based only on courses enrolled in at Empire State University that are a part of the active academic program(s);
• does not include transfer credit or credit awarded through assessment;
• based only on Empire State University courses in which a letter grade is assigned; and
• is used to determine recommendation for graduation.

The following letter grades are included in the GPA:

Repeated Courses

A student may repeat a graduate course only once. When a student repeats a course, the highest grade will be used for purposes of the calculation of a grade point average. Grades of IN, ZW, and WO do not replace the original grade in the calculation of the grade point average. The original course remains a part of the transcript . Note that both the original and the repeated course must still be included in the satisfactory academic progress calculation. Since a course can only be repeated once, if a student is not successful when attempting to repeat a required course, the student is dismissed from her/his academic program.

Minimum Grade Point Average Requirement

Empire State University graduate students must maintain a program GPA of at least 3.00. A program GPA of at least 3.00 is a requirement for graduation.

Master of Arts in Teaching students must maintain a program GPA of at least 3.00 in order to be recommended for and maintain NYS transitional B certification.

Please refer to the Graduate Academic Standing Policy for details regarding warning and dismissal.

Procedure for Retroactive Assignment of Grades

Prior to July 1, 2007 the university provided narrative evaluations without grades. On occasion, a student who received narrative evaluations would later request that the university assign grades to the narratives. When such a request was received, the university, where possible, added grades to the narratives.

For students matriculated in a graduate program at Empire State University before July 1, 2007, the university will continue to respond to student requests, consistent with the procedure detailed below. For students who re-matriculate after that date, there will be no later assignment of letter grades to narrative evaluations.

The procedure for retroactive assignment of grades is as follows:

• For each Empire State University course for which the original course instructor is available, the course instructor is responsible for assigning a grade based on the contract evaluation and the instructor's records and recollection of the student's work in the course. If the course instructor is no longer available, or if the course instructor is not able to make a letter grade judgment, no grade is assigned. In exceptional circumstances, this procedure cannot fully meet a student's needs. In such a case, the dean of the appropriate school consults the provost on appropriate alternatives.
• The dean of the appropriate school forwards the grades to the university registrar.
• The registrar adds the grades to the narrative evaluations, and thereby includes them in the student's official transcript.

Appeal of Grades

A student may appeal a grade as provided in the Student Academic Appeals Policy.

A student is expected to complete courses, accumulate credit in proportion to the credit attempted (i.e. meet academic progress expectations), and meet the grade point average (GPA) requirement to make progress toward a degree/certificate.

Sometimes a student makes less academic progress than expected. When this occurs, the university notifies the student with a satisfactory progress or GPA warning or dismissal.

Satisfactory Academic Progress Determination

1.    A student is making good satisfactory academic progress when s/he maintains a cumulative GPA of at least 3.00 and consistently earns credit toward the degree or certificate sought, which is defined as successfully completing 67% of attempted credits.
2.    Academic progress is monitored at the end of each term.
3.    Academic progress is cumulative across graduate programs at the university.
4.    Completion of prerequisite/deficiency requirements for admission to a master's program does not count toward the credit required to earn a master's degree. Therefore, these credits do not count toward meeting satisfactory academic progress expectations.

5.    Academic progress advances only when a student earns credit toward the degree or certificate sought. A student earns no graduate-level credit and makes no progress academically when the student receives any of the following grades for a graduate course:
•    Incomplete (IN)
•    F

•    No Pass (NP)
•    Administrative Withdrawal (ZW)
•    Withdrawal (WD)

These grades count in the determination of credits attempted, and thus affect the calculation of the student's cumulative rate of progress and GPA.

Financial Aid Warning

A student is placed on financial aid warning after the student earns credit for less than 67% of the student's attempted credits, or falls below the minimum required 3.0 GPA.

Rescinding a Financial Aid Warning

A financial aid warning is in effect for one term until it is rescinded or financial aid eligibility is lost. A financial aid warning is rescinded when the student's progress rate or GPA returns to a satisfactory level.

Financial Aid Suspension

1.    A student loses their financial aid eligibility when after one subsequent term of enrollment after being placed on financial aid warning, the student's progress rate or GPA does not return to a satisfactory level.
2.    A student who has lost financial aid eligibility may continue to take coursework without financial aid as long as s/he maintains satisfactory academic standing

Appeal of Financial Aid Suspension

A student may appeal the loss of financial aid eligibility by submitting a written appeal to the Financial Aid Office. Appeals are granted at the discretion of the dean, or designee, of the student's school and the Financial Aid Office. If approved, the Financial Aid Office, in conference with an appropriate representative of the student's school, will grant a specific number of terms by which a student must return to good satisfactory academic progress or the required minimum GPA, detailed in an individualized Academic Plan or Probation Agreement. If the student meets the terms of the Academic Plan or Probation Agreement signed upon approval of the appeal and thus returns to the minimum 67% successful completion rate or 3.0 cumulative GPA by the end of the designated number of terms, the student restores his/her good satisfactory academic progress. If the student does not meet the terms, the student will once again lose financial aid eligibility.

A student who has lost financial aid eligibility for a second time is not eligible to receive financial aid for graduate study at Empire State University in the future.

Appeals

An explanation of the appeals process is in the Academic Appeals Policy and Procedures

Appeals

An explanation of the appeals process is in the Academic Appeals Policy and Procedures.

Appeals
An explanation of the appeals process is in the Academic Appeals Policy and Procedures.  

Micro-credentials can be used to highlight competencies earned as part of a credit-bearing program; serve as an introduction or entry point to a degree program; or be issued as a stand-alone credential and/or complement to a degree program. Micro-credentials will not be registered as a certificate program although they could be applied to an existing certificate program. 

Micro-credentials do not need to be credit bearing. For those that are, there is no prescribed number of credits, although they will be smaller than certificates.

The award of a micro-credential will appear on the university transcript.

Development and approval of a micro-credential must take place through the appropriate academic unit/school.  The academic unit/school will determine the requirements for each micro-credential including any residency requirements, evaluation processes or other applicable academic requisites. Approval of the micro-credential will follow governance processes including review and approval by GSPC and the Senate.  

Students can also be administratively withdrawn for failure to pay the tuition and/or fees required by the program or academically dismissed for failure to meet the expectations of the Graduate Evaluation and Grading Policy, Graduate Academic Standing Policy, or Teacher Professional Expectations Policy.

Policy

1. The following applies to nonmatriculated study:
   1. Study is limited to two graduate courses in the School of Nursing and Allied Health if the student is in good academic and financial standing.
   2. Students may complete as many courses as they wish in the School for Graduate Studies. However, the number of courses taken as a non-matriculated student that can later be applied to a degree or advanced certificate program is limited by the Graduate Transfer, Cross-Registration, Nonmatriculated, & Evaluated Credit Policy.
   3. The student may enroll in a limited selection of courses offered each term.
   4. An official transcript must be provided verifying completion of a bachelor’s degree or higher level degree from a regionally accredited institution prior to registration as a nonmatriculated student.
2. If a student begins as nonmatriculated and is later admitted to a degree or certificate program, only those courses appropriate to the degree or certificate program are eligible to be counted toward degree or certificate program.
3. Although successful completion of courses as a nonmatriculated student will be considered in admissions decisions, it does not automatically qualify an individual for admission.
4. Nonmatriculated students are not eligible for financial aid.
5. Active status is determined by the Graduate Minimum Study Policy.

A student is expected to complete courses, to accumulate credit in proportion to the credit attempted (i.e. meet academic progress expectations), and to make progress toward a
degree/ certificate.

Sometimes a student makes less academic progress than expected. When this occurs, the university notifies the student satisfactory progress warning or dismissal.

Satisfactory Academic Progress Determination

1. A student is making satisfactory academic progress when s/he consistently earns credit toward the degree or certificate sought, which is defined as earning 67% of attempted credits.
2. Academic progress is monitored at the end of each term.
3. Academic progress is cumulative across graduate programs at the university.
4. Completion of prerequisite/deficiency requirements for admission to a master's program does not count toward the credit required to earn a master's degree. Therefore, these credits do not count toward meeting satisfactory academic progress expectations.
5. Academic progress advances only when a student earns credit toward the degree or certificate sought. A student earns no graduate-level credit and makes no progress academically when the student receives any of the following grades for a graduate course:
   • Incomplete (IN)
   • F
   • No Pass (NP)
   • Administrative Withdrawal (ZW)
   • Withdrawal issued on or after 29th day of term (WD)

These grades count in the determination of credits attempted, and thus affect the calculation of the student's cumulative rate of progress.

Financial Aid Warning

A student is placed on financial aid warning the student earns credit for less than 67% of the student's attempted credits.

Rescinding an Financial Aid Warning

A financial aid warning is in effect until it is rescinded or financial aid is suspended. A financial aid warning is rescinded when the student's progress rate returns to a satisfactory level.

Financial Aid Suspension

1. A student receives a financial aid suspension when after one subsequent term of enrollment after being placed on financial aid warning the student's progress rate does not return to a satisfactory level.
2. A student who is on financial aid suspension may continue to take coursework without financial aid as long as s/he maintains satisfactory academic standing.

Appeal of Financial Aid Suspension

A student may appeal Financial Aid Suspension to the dean, or designee, of the appropriate school. An appeal of a Financial Aid Suspension must present written evidence that the student is ready and able to make satisfactory progress and include an academic plan co-developed with the student's academic advisor, which includes the number of terms within which the student will return to satisfactory academic progress. Appeals of financial aid suspension are granted at the discretion of the dean, or designee. If approved, the dean, or designee, will grant a specific number of terms by which a student must return to satisfactory academic progress. If the student returns to satisfactory academic progress by the end of the designated number of terms, the student returns to good standing. If the student does not return to satisfactory academic progress by the end of the designated number of terms, the student will be placed on Financial Aid Suspension.

A student placed on Financial Aid Suspension for a second time, is not eligible to receive financial aid for graduate study at Empire State University in the future.

Appeals

An explanation of the appeals process is in the Academic Appeals Policy and Procedures.

• Students can only be active in one program at the same credential type at a time. The completion of a subsequent program at the same type must be done sequentially, not concurrently.
• No more than 50% of the credits toward a subsequent program at the same credential type may have been used to fulfill the requirements of the first program at the same credential type. Schools and individual programs may set lower limits. See the graduate catalog for individual program limits.
• Students cannot use credits older than 6 years in the subsequent program. The age of the credit is determined by the term of enrollment.
• Evaluated credit earned in the any prior program may not be used in any subsequent programs.
• Transfer credit used in the any prior program may not be used in any subsequent programs.

Students may appeal any decision made about the use of credit in a subsequent graduate program in accordance with the Student Academic Appeals Policy and Procedure.

See the Graduate Transfer, Cross-Registration, and Evaluated Credit Policy for specific rules on the use of transfer, cross-registration, and evaluated credit to meet advanced certificate, degree program, and certificate of advanced study requirements.

A waiver of the completion rule is granted by the dean or designee of the appropriate school. The student needs to make this request in writing and in consultation with their academic advisor and the head of the student’s program. While waivers are rare, the dean or designee will consider the request based upon factors such as special hardship, excellence of work and closeness to completion.

To be eligible for consideration, transfer or cross-registration credits must:

• be graduate level, and 7000-level or above for doctoral programs;
• be from a regionally accredited college or university;
• have a final grade of B or better;
• be related to the student's program/content area; and
• be no more than six years old at the time of the student's admission to the graduate program.

A student begins the transfer request process by having an official transcript sent to the university and course syllabus of all credit they wish to be considered sent to the appropriate school:

• For master's programs that require an approved formal degree program (DP), the student discusses transfer credit during degree planning with their advisor. Transfer credit approval is at the discretion of the program faculty.
• For all other programs, requests for transfer credit must be discussed with the student’s advisor. Transfer credit approval is at the discretion of the program faculty per the procedures of the relevant school.

Before cross-registering for a course, students should receive approval. Approval is at the discretion of the student's advisor in the School of Nursing and Allied Health. In the School for Graduate Studies, approval varies by division:

• Business, Management and Leadership – At the discretion of the program coordinator, or division chair for programs without a coordinator, in consultation with the advisor.
• Education – At the discretion of the advisor.
• Graduate Liberal Arts and Science – At the discretion of the advisor.

The ability to earn credit by evaluation is determined at the program level. Individual programs that allow for credit by evaluation are identified in the graduate catalog.

See the Graduate Subsequent Programs at the Same Credential Level Policy for specific rules on the use of shared credits from a previously awarded graduate credential.

Schools and individual programs may set lower limits for transfer, cross registration, nonmatriculated, and evaluated credit. See the graduate catalog for individual program limits.

Students may appeal any decision made about transfer credit as outlined in the academic appeals policy and procedures.

Intentional refusal to present a SUNY Empire identification card or government-issued identification card upon request by a University official; alteration or falsification of data on a SUNY Empire identification card; creation and/or distribution of falsified SUNY Empire identification cards; using a SUNY Empire identification card to impersonate others; or refusal to reveal one’s face to confirm identity; are violations of this policy and may result in disciplinary action.

It is the student’s responsibility to replace their SUNY Empire identification card if it is stolen, lost, bent, broken, or worn beyond the point of readability. Replacement cards may be obtained through the Office of Emergency Management and Public Safety in accordance with fees labeled on the card.

SUNY Empire identification cards are provided for appropriate identification purposes and access to University buildings. The cards are not transferable and are valid as long as the holder continues their specific affiliation with the University unless otherwise noted on the card. Lost or stolen cards should be reported immediately to the Office of Emergency Management and Public Safety.

The University is not liable for damages incurred if an ID is lost and used by another individual.

NYS Public Health Law 2165 requires that all students born on or after Jan. 1, 1957, registered for 6 or more credits of coursework such as independent study, study group or residency, provide the university with proof of immunization against measles, mumps and rubella, or obtain an exemption for religious or medical reasons.

NYS Public Health Law 2167 requires colleges and universities to distribute information about meningococcal disease and vaccination to all students, regardless of age, and maintain a meningitis vaccination record and/or response for each student.

Empire State University student enrollment records are subject to audit each term for immunization non-compliance. All students who meet this requirement in any given term will be notified by email and will not be able to register for future courses without proof of immunization.

Associate degrees require a minimum of 60 credits.

• The Associate in Arts designation requires a minimum of 45 liberal arts and sciences credits.
• The Associate in Science designation requires a minimum of 30 liberal arts and sciences credits.

Bachelor’s Degree Designations

• Bachelor’s degrees require a minimum of 120 credits.
• The Bachelor of Arts degree designation requires a minimum of 90 liberal arts and sciences credits.
• The Bachelor of Science and Bachelor of Science in Nursing degrees require a minimum of 60 liberal arts and sciences credits.
• Specialized baccalaureate degrees, such as the Bachelor of Professional Studies (B.P.S.) and the Bachelor of Business Administration (B.B.A.) must contain at least 30 credits of liberal arts and sciences.
• For bachelor’s degrees, at least 45 credits must be in advanced-level studies

Educational Planning Course Credit Requirement

Individualized degree programs require educational planning course credits. A minimum of 4 credits are required for bachelor’s programs and 2 for associate degree programs. For both associate and bachelor’s degrees, an educational planning course of at least two credits that results in a rationale essay and completed degree plan is required. No more than 8 credits from courses with the EDPL prefix may be counted toward the degree.

When dual degrees or concentrations are sought that include both Individualized and Structured Programs, educational planning must be satisfied for the Individualized Degree portion of the program. A returning student seeking a second bachelor’s individualized degree must include 2 additional credits from an educational planning course that results in a rationale essay and completed degree plan.

Rationale Essay

Individualized Degree Programs are submitted for review with a rationale essay written by the student that explains the purpose and design of the degree.

When two degree programs are submitted for review at the same time, one essay may be submitted that provides the required information for both.

Academic Review

Individualized degree programs are submitted with a degree program and rationale essay.
Students must submit individualized degree programs to Offices of Academic Review before they have earned 24 credits at SUNY Empire.

Exceptions

Requests for reduced or eliminated educational planning or rationale essay requirements (i.e. International Education and equivalent partnerships) must be approved by the Committee for Undergraduate Programs (CUP).

Area of Study Guidelines

Students design individualized degree programs that meet the expectations outlined in area of study guidelines. See the area of study guidelines section of the undergraduate catalog for specific information.

Concentration

Every degree program has two main sections: concentration and general learning. Concentration identifies the central focus of the degree program and consists of a series of related studies building on each other and forming a coherent whole. General learning provides an opportunity to explore new areas, add breadth to degree programs, and develop new competencies.

Students develop a concentration for their individualized degree program in consultation with their mentor. Students may select a concentration with specific guidelines that identify knowledge expectations or propose an individualized concentration title, and the title should be supported and accurately reflected through multiple studies and in multiple ways. Some concentration titles are restricted, please refer to the undergraduate catalog for more information.

For bachelor’s degrees, concentrations must include at least 24 credits at the advanced level. Concentrations that are larger than 50 percent of the degree should be examined carefully to be sure the learning is appropriately integrated. Large concentrations are acceptable if the degree program satisfies the educational objectives for undergraduate degrees and meet stated expectations regarding liberal arts content.

As the central focus of the student's individualized degree program, the concentration must be qualitatively strong. The learning components in a concentration should be related, should include advanced and complex study, and should come together as a coherent whole. Therefore, in addition to serving individual educational goals, the concentration should meet the criteria of progression and integration. Appropriate advanced standing may be used toward the concentration. Progression emphasizes development from introductory toward increasingly advanced learning in the concentration.

Degree Program Rationale Essay

The rationale essay is written to explain the purpose, design, and significance of individualized degree programs. Through a rationale essay the student discusses:

• their educational background and professional experience
• how the proposed degree plan meets their academic goals and learning needs
• how the learning in the degree plan reflects the SUNY Empire area of study learning outcomes and concentration guidelines for the degree when applicable, or in rare instances how their learning deviates from the learning outcomes to meet a specific educational need.
• awareness of external professional expectations, where applicable.

The rationale essay accompanies the individualized degree plan and is a key outcome of the required study in educational planning. The final draft that accompanies the individualized degree program when it goes for academic review should meet college-level writing expectations in terms of substance, presentation, and academic integrity.

Elements of the Degree Program Proposal

All degree program proposals include:

• Degree program plan
• Degree program rationale essay
• General education document
• Individualized prior learning assessment (iPLA) evaluations if applicable
• For planned PLA, a memo outlining the attributes of each request including whether the PLA will address/meet requirements such as general education or an area of study guideline if applicable

Official copies of college transcripts for all completed advanced standing must be received by the Admission Office prior to degree program proposal submission.

Programs may be approved with:

• up to 16 outstanding PLA credits
• other planned or in-progress advanced standing, including directly transferable college credits, credit by examination, and Professional Learning Evaluation (PLE)

Timing of Submission of Degree Program Proposal

Active students may submit a degree program for approval as early as their first term of matriculation into an undergraduate degree program.

Students must submit their degree program for approval no later than the end of the term in which they will have earned their 24th SUNY Empire credit.

Students Earning More Than One Degree at SUNY Empire

Students who plan to earn two individualized degrees from SUNY Empire (e.g., both an associate and a bachelor's degree) must submit a proposal for each degree program.

Students planning to continue on to an individualized bachelor’s degree program after completing an individualized associate degree at SUNY Empire are encouraged to plan and submit the bachelor’s degree program concurrently with the associate degree program. Students must submit the bachelor’s degree program for review and approval prior to their second term of enrollment after the award of the associate degree program.

For students wishing to earn a second bachelor’s degree, see the Degree Credit and Residency Policy.

Completion of the Approved Degree Program

The student is responsible for making enrollment choices each term, in consultation with their mentor, which are consistent with their approved degree program.

Failure to complete the approval process in the timeframe outlined above, or failure to complete the program as approved, may mean that the student must earn additional credit to graduate.

Substitutions in Approved Degree Programs

Students may make substitutions for degree components so long as they do not change the substance of the degree and still meet all degree requirements. Requests for substitutions to the approved degree program must be initiated by the student and mentor and approved and applied by a designee of academic affairs.

Degree Program Amendments

Changes to area of study and/or concentration title require a formal degree program amendment re- reviewed by committee.

The Middle States Commission (the university’s regional accreditation body) and the Council for Adult and Experiential Learning (CAEL) recommend that each institution make explicit and public its approach to prior-learning assessment. Together, these bodies have identified a number of elements of prior learning assessment for which the institution should define specific principles and standards (see SUNY Empire's website for their statements).

The university’s principles support institutional integrity by ensuring that credit awards are credible and reflect student learning. Empire State University:

Scope of Learning

1. recognizes students’ college-level learning, however it is acquired
2. awards credit only for college-level learning, not for experience per se
3. awards credit only once for the same learning within a student’s overall degree
4. allows prior-learning credit to apply toward any part of a student’s degree (e.g., components that are introductory or advanced level, in the liberal arts and sciences or not, in the concentration or in general learning, meet general education requirements or not)
5. recognizes emergent knowledge areas and perspectives, as well as experience-based learning by adults, which may not be represented in standard college curricula. Other institutions may limit prior-learning credit requests to course equivalents. Empire State University does not use course equivalents to automatically allow or exclude consideration of a request for prior-learning credit.

Award of Credit

6. expects prior learning recommendations to meet the university's quality criteria, as outlined in prior-learning procedures
7. relies on the Empire State University faculty, acting through center portfolio-review committees, to approve the award of credit appropriate to the overall context of the student’s degree, and to determine the nature of the credit (e.g., level, liberal arts and sciences status, general education status, placement under concentration/general learning), consistent with university policies.
8. awards credit for prior-learning credit in the context of the student’s overall degree program. This principle promotes an integrative approach to the award of prior learning credit.
9. clearly advises students in official publications that prior-learning credit awarded by the university may or may not transfer to other institutions.

Student Responsibilities

10. recognizes that the process of identifying, articulating and evaluating prior college-level learning is itself a significant learning experience for students
11. expects students to articulate and demonstrate their college-level learning and to participate actively in the evaluation process.

University

12. provides for fair, consistent and timely treatment of students. Center assessment office staff, faculty, deans, and the Office of Collegewide Academic Review (OCAR) are responsible for monitoring these elements of prior learning assessment
13. fully discloses to students the university’s policies and procedures for prior-learning assessment, including associated fees
14. relies on subject matter experts, with at least a master’s degree or the equivalent, and expertise relevant to a prior-learning request, to evaluate student learning using appropriate methodologies and to make recommendations regarding college credit
15. provides systematic, periodic training to prior-learning evaluators, as well as staff and faculty responsible for quality review. Center assessment office staff and the Office of Collegewide Academic Review (OCAR) are responsible for training resources and activities, in collaboration with center faculty and academic administrators, the Mentoring Institute and/or the Office of Academic Affairs.
16. supports institutional integrity in prior-learning assessment through such means as ensuring that there is no conflict of interest on the part of an evaluator who conducts a prior-learning assessment and that an evaluator does not assess too much credit for one student.

Quality Review

17. periodically evaluates available resources and the quality and effectiveness of prior-learning assessment. Every three years, the Office of Academic Affairs conducts a review of policies, procedures and results related to prior-learning assessment, in collaboration with the Undergraduate Studies and Policies Committee, center faculty and academic administrators, and the Office of Collegewide Academic Review.

Individualized degree programs require educational planning course credits. A minimum of 4 credits are required for bachelor’s programs and 2 for associate degree programs, with a minimum of 2 credits required from an educational planning course that results in a rationale essay and completed degree plan. No more than 8 credits from courses with the EDPL prefix may be counted toward the degree.
When dual degrees or concentrations are sought that include both Individualized and Structured Programs, educational planning must be satisfied for the Individualized Degree portion of the program.
A returning student seeking a second bachelor’s individualized degree must include 2 additional credits from an educational planning course that results in a rationale essay and completed degree plan.

Rationale Essay

Individualized Degrees are submitted for review with a rationale essay written by the student that explains the design and purpose of the degree.
 
When two degrees are submitted for review at the same time, one essay may be submitted that provides the required information for both.

Academic Review

Individualized degree programs are submitted with a degree program and rationale essay.
Students must submit individualized degree programs to Offices of Academic Review before they have earned 24 credits at SUNY Empire.

Exceptions

Requests for reduced or eliminated educational planning or rationale essay requirements (i.e. International Education and equivalent partnerships) must be approved by the Committee for Undergraduate Programs (CUP).

The ISO or designee will determine if the incident is a high risk. If the incident is high risk, the ISO or designee will respond in accordance with the SUNY Cyber Security Incident Notification Contacts and Procedures, which includes notification to the proper NYS entity. The president, or officer in charge of the university, executive vice president of administration and chief information officer will also be notified.

The ISO or designee, in consultation with SUNY counsel, will determine if the incident is considered a personal data breach in relationship to GDPR. If the incident is considered a personal data breach in relationship to GDPR the ISO or designee will respond in accordance with GDPR Articles 33 and 34. The president of the university, executive vice president of administration, chief information officer and GDPR executive committee will also be notified.

If it is determined by NYS, SUNY, and/or the ISO, that communications about the incident are necessary the ISO will work with SUNY counsel, the SUNY Empire chief information officer, the SUNY Empire chief of staff and director of government relations, and the SUNY Empire director of communications to communicate with the people affected by the incident in accordance with NYS regulations and GDPR Article 34.

The ISO will investigate all information security incidents and implement corrective actions to reduce the risk of reoccurrence.

Every employee will receive cyber security training annually.

The SUNY Empire Security Program is based on NIST Special Publication 800-171. This publication is structured into 14 control groupings, herein referred to as Information Security Standards. These Standards must meet all statutory and contractual requirements.

Access Control (AC)

SUNY Empire must limit information system access to:

• Third parties if there is a legitimate institutional need to do so. SUNY Empire may share your Personal Information with the following recipients:

• With SUNY System Administration and other campuses within the SUNY System in order to govern, administer, and improve the SUNY system.
• With SUNY Empire's affiliated entities including the Research Foundation for the State University of New York, individual campus foundations, campus faculty student associations, and other affiliated entities in order to provide ancillary services.
• With SUNY Empire's service providers that need access to your Personal Information in order to provide SUNY Empire with services necessary to fulfill SUNY Empire's mission or improve the SUNY Empire student or employee experience.
• With accrediting agencies in order to obtain or maintain accreditations for SUNY Empire's and its affiliates various programs.
• With the Federal, State, and local governments or regulatory authorities as required by law or as necessary to fulfill the mission of SUNY Empire.
• Please note that the University may provide anonymized data developed from Personal Information to third parties, such as government entities and research collaborators,

Awareness and Training (AT)

SUNY Empire must:

• ensure that supervisors and users of information systems are required to complete annual training of the security risks associated with their activities and of the applicable laws, directives, policies, standards, instructions, regulations, or procedures related to the security of organization information systems; and
• ensure that personnel are adequately trained to carry out their assigned information security-related duties and responsibilities.

Audit and Accountability (AU)

SUNY Empire must:

•  create, protect, and retain system audit records to the extent needed to enable the monitoring, analysis, investigation, and reporting of unlawful, unauthorized, or inappropriate information system activity on protective enclave systems, specific to confidential data and confidential networks, at a minimum; and
• ensure that the actions of individual information system users can be uniquely traced for all restricted systems.

Assessment and Authorization (CA)

SUNY Empire must:

• periodically assess the security controls in organization information systems to determine if the controls are effective in their application;
• develop and implement plans of action designed to correct deficiencies and reduce or eliminate vulnerabilities in organization information systems;
• authorize the operation of the organization’s information systems and any associated information system connections; and
• monitor information system security controls on an ongoing basis to ensure the continued effectiveness of the controls.

Configuration Management (CM)

SUNY Empire must:

• establish and maintain baseline configurations and inventories of organizational information systems (including hardware, software, supported firmware, and documentation) throughout the respective system development life cycles; and
• establish and enforce security configuration settings for information technology products employed in organizational information systems.

Contingency Planning (CP)

SUNY Empire must establish, maintain, and effectively implement plans for emergency response, backup operations, and post-disaster recovery for the organization’s information systems to ensure the availability of critical information resources and continuity of operations in emergency situations.

Identification and Authentication (IA)

SUNY Empire must identify information system users, processes acting on behalf of users, or devices and authenticate (or verify) the identities of those users, processes, or devices, as a prerequisite to allowing access to SUNY Empire information systems.

Incident Response (IR)

SUNY Empire must:

• establish an operational incident handling capability for organization information systems that includes adequate preparation, detection, analysis, containment, recovery, and user response activities; and
• track, document, and report incidents to appropriate organization officials and/or authorities.

Governance Plan (GP)

The Information Security Program is led by an Information Security Officer (ISO). The Information Security Program is governed by the Information Security Advisory Group.

Cabinet Responsibilities

• Ensures the Information Security Program’s continuing adequacy, effectiveness, and efficiency.
• Responsible for the final determination of risk acceptance or mitigation, should there be conflict of opinions between the Information Security Program, the Information Security Advisory Group.

Information Security Advisory Group Responsibilities

SUNY Empire shall institute an Information Security Advisory Group. The Information Security Advisory Group is a cross-functional, management committee. The responsibilities of the Information Security Advisory Group are as follows:

1. Report the status and direction of the Information Security Program to the Cabinet.
2. Review and recommend strategies related to the Information Security Program.
3. Review and approve information security policies and standards, and other supporting documentation.
4. Approve and maintain oversight of the risk management process, including risk assessment methodology, risk acceptance criteria, residual and accepted risks;
5. Review the Business Continuity Plan;
6. Perform a full review of the Written Information Security Program (WISP);
7. Approve actions to resolve issues identified during reviews in an effective and timely manner;
8. Advise on year-over-year goals and priorities for the Information Security Program.
9. Ensure compliance with all Information Security Program requirements, policies, standards, and procedures; and
10. Review findings results from various audits and assessments
11. Oversee implementation of remediation plans to ensure high priority risks have been resolved.

Core members will include the following campus titles:

• Chief Information Officer
• Information Security Officer
• Director for Student Accounts
• Director of Compliance
• University Registrar

Additional members will include:

• Director of Enterprise Systems and Infrastructure
• Managing Director University-wide Project Management
• Director of Financial Aid
• Controller
• Director of Business Analytics
• Director of Administrative Applications
• Director of Human Resources or designee
• Representation from Student Success

Membership will be reviewed annually and is subject to change.

Information Security Officer (ISO) Responsibilities

To establish and maintain the Information Security Program, the ISO will assure that the following responsibilities are carried out:

Measurement and Effectiveness, Including:

1. Vulnerability management.
2. Security incident management team leadership.
3. As requested, provide consulting services.
4. Establish physical security parameters, in collaboration with the Safety & Security Office (SSO).
5. Change Management
6. Provide end users with the tools, resources, and communication necessary to protect SUNY Empire information technology services assets, including annual training as outlined in the Information Security Program.
7. Ensure compliance with SUNY policy and guidelines related to Information Security, Internal Controls, and Risk Management as related to information technology.

Authorized User Responsibilities

1. Understand and conform with the Acceptable Use Policy and all other applicable policies, standards, procedures, and guidance instructions.
2. Protect and properly use all SUNY Empire assets made available to the End User; and
3. Immediately communicate any detected security incident or anomaly through the respective channels and in accordance with the Information Technology Incident Response Policy.

Maintenance (MA)

SUNY Empire must:

• perform periodic and timely maintenance on organization information systems; and
• provide effective controls on the tools, techniques, mechanisms, and personnel used to conduct information system maintenance.

Media Protection (MP)

SUNY Empire must:

• protect information system media, both paper and digital;
• limit access to information-on-information system media to authorized users; and
• encryption, where applicable,
• sanitize or destroy information system media before disposal or release for reuse.

Physical and Environmental Protection (PE)

SUNY Empire must:

• limit physical access to information systems, equipment, and the respective operating environments to authorized individuals;
• protect the physical plant and support infrastructure for information systems;
• provide supporting utilities for information systems;
• protect information systems against environmental hazards; and
• provide appropriate environmental controls in facilities containing information systems.

Planning (PL)

SUNY Empire must develop, document, periodically update, and implement security plans for organization information systems that describe the security controls in place or planned for the information systems. The college shall establish rules of behavior for individuals accessing the information systems.

Personnel Security (PS)

SUNY Empire must:

• ensure that individuals who occupy positions of responsibility within the organization are trustworthy;
• ensure that organization information and information systems are protected during and after personnel actions such as terminations and transfers; and
• employ formal sanctions for personnel failing to comply with SUNY Empire security policies and procedures.

Risk Assessment (RA)

SUNY Empire must periodically assess the risk to organizational operations (including mission, functions, image, or reputation), organizational assets, and individuals, resulting from the operation of organizational information systems and the associated processing, storage, or transmission of organizational information.

System and Services Acquisition (SA)

SUNY Empire must:

• allocate sufficient resources to adequately protect organization information systems;
• employ system development life cycle processes that incorporate information security considerations;
• employ software usage and installation restrictions; and
• ensure that third-party providers employ adequate security measures, as defined by federal and state law and contract, to protect information, applications, and/or services outsourced from SUNY Empire.

System and Communications Protection (SC)

SUNY Empire must:

• monitor, control, and protect organization communications (i.e., information transmitted or received by organization information systems) at the external boundaries and key internal boundaries of the information systems for confidential data transmissions; and
• employ architectural designs, software development techniques, encryption, and systems engineering principles that promote effective information security within organization information systems.

System and Information Integrity (SI)

SUNY Empire must:

• identify, report and correct information and information system flaws in a timely manner;
• provide protection from malicious code at appropriate locations within organization information systems; and
• monitor information system security alerts and advisories and take appropriate actions in response.

Program management (PM)

SUNY Empire must implement security program management controls to provide a foundation for the organizational Information Security Program.  

Enforcement

Enforcement is the responsibility of the institution’s President or Chief Information Officer (CIO). Users who violate this policy may be subject to discipline up to and including termination consistent with the terms and conditions of any applicable Collective Bargaining Agreement, if any. The institution may temporarily suspend an account when it reasonably appears necessary to do so in order to protect the integrity, security, or functionality of the institution or other computing resources or to protect SUNY Empire from liability.

Exceptions to the policy may be granted by the Chief Information Officer (CIO), or by his or her designee.  All exceptions must be reviewed annually.

• Total employee compensation conforms to established and consistently applied policies of the institution and
• Such charges are for work in direct performance of the sponsored award.

Failure to comply with federal requirements or Empire State University policies when proposing or charging salaries could result in expenditure disallowances, financial penalties, or damage to the university’s reputation.

Unless otherwise specified, the annual salary stated in the appointment or reappointment letter fully compensates the individual for all professional obligations required by their primary university appointment. Additional salary provided to Empire State University employees for work performed as part of a research project funded grant is calculated based on the Institutional Base Salary (IBS).

Institutional Base Salary is defined as the annual compensation paid for an individual's appointment, whether that individual's time is spent on research, instruction, administration, or other activities. It may include one or more of the following components: Annual Salary, including academic, calendar and college year appointments; Temporary Salary Increases; or Endowed Supplements.

IBS is paid at the direction and on behalf of Empire State University by the New York State (NYS) Comptroller or by the Research Foundation of the State University of New York (RF).

IBS excludes any income that an individual earns outside of duties performed for the Institution of Higher Education (IHE). IBS also excludes any income that an individual is permitted to earn outside of duties performed as part of their primary appointment, including Also Receives, Extra Service, or grant funded projects other than those funded by the IHE.

IBS must be associated with and in proportion to the effort obligated by an individual’s appointment. An externally funded grant or contract administered by the RF may only be charged for the portion of IBS attributed to actual effort expended on that grant or contract. Unless there is prior approval by the Federal awarding agency, charges of a faculty member's salary to a federal award must not exceed the proportionate share of the IBS for the period during which the faculty member worked on the award.

IBS is set prospectively either for an indefinite period or for a specified term. IBS may not be increased or decreased based on availability of salary support from sponsored agreements or other revenue sources.

Calculation Details

Salary costs included in a sponsored project proposal or charged to a sponsored project are calculated by multiplying the IBS times the percent of effort expended on the particular sponsored project. In cases where the IBS exceeds the applicable federal salary cap or sponsor limitation, the salary cap or limit amount is used instead of the IBS to calculate salary costs. The amount of annual salary above the salary cap or limit may only be paid from non-sponsored sources. When preparing proposals for multiple years, future years’ IBS will be estimated based on salary increases in applicable collective bargaining agreements or the RF’s Salary Plan.

Charging a sponsored agreement for less than the committed effort is permitted, subject to the limitations in the RF’s Cost Sharing Policy.

Summer salary may be paid to an individual on an academic or college year appointment for their research obligations performed during the summer months. Summer salary is calculated based on the IBS of the preceding academic or college year and can only be charged to a sponsored project in proportion to the effort expended on the particular project during the summer months.

All State-Operated Campuses will be required to adopt this policy and prominently display it on their individual campus websites. All State-Operated Campuses will also be required to ensure that this is displayed with all other leaves on their websites and provide any links to local policies that may be implicated by taking a leave of absence.

The President must designate an appropriate official or a group of appropriate officials who may evaluate situations that arise under this policy. Some examples of appropriate individuals include but are not limited to the Vice President of Student Affairs, Dean of Students, and Provost.

II.    Involuntary Leave of Absence

Requiring a student to take a leave of absence is rare and only happens when current medical knowledge and/or the best available objective evidence indicates to the President’s designee(s) at the specific College or University that there is a significant risk to the student’s health or safety, or the health or safety of others in the Campus community, or the student’s behavior severely disrupts the College or University environment, where no reasonable accommodations can adequately reduce that risk or disruption.

Consistent with SUNY’s Nondiscrimination Policy, SUNY prohibits unlawful discrimination on the basis of any type of disability or any other characteristic protected by applicable Federal and/or State law in the administration of SUNY’s programs and activities.

SUNY institutions offer a range of resources, support services, and accommodations to address the physical and mental health needs of students. However, on rare occasions, a student’s needs may require a level of care that exceeds the care that the institution can appropriately provide. Where current knowledge about the individual’s medical condition and/or the best available objective evidence indicates that a student poses a significant risk to their own safety not based on mere speculation, stereotypes, or generalizations, or the health and safety of others in the Campus community, or where a student’s behavior severely disrupts the College or University environment and the student does not take a voluntary leave of absence, the President’s designee(s) has the authority to place a student on an involuntary leave of absence, after appropriate procedural due process has occurred according to this policy.

Before placing any student on an involuntary leave of absence, the institution will conduct an individualized assessment, consulting with the appropriate Campus Office for Disability or Accessibility Services to determine if there are reasonable accommodations that would permit the student to continue to participate in the College or University environment without taking a leave of absence.

The President’s designee(s) may be notified about a student who may meet the criteria for an involuntary leave of absence from a variety of sources, including, but not limited to, the student, the student’s academic advisor, Residential Life staff, an academic department, or a member of the College’s or University’s behavioral intervention team. If the President’s designee(s) deems it appropriate, the procedures under this policy can be initiated.

III.    Process for Placing a Student on an Involuntary Leave of Absence

1.    The President’s designee(s) at the Campus will consult with the appropriate office that provides disability or accessibility services at the Campus prior to making a decision to impose an involuntary leave of absence.

2.    The President’s designee(s) will issue a notice to the student in writing that an involuntary leave of absence is under consideration. The written notice will include the reason(s) why the student is being considered for an involuntary leave of absence, contact information for the appropriate office that provides disability or accessibility services on Campus to students which can provide information about potential accommodations, and a copy of this policy. Campuses must provide clear information about their Campus-level disability or accessibility services office, including location of office, whom to contact, services provided, information about how to request reasonable accommodations and supports, and any other pertinent information the campus deems necessary. The notice will also provide contact information (including the name and position) for a neutral or impartial advisor outside of the decision-making process under this policy (the “Advisor”), with knowledge of the Campus’s involuntary leave of absence process who will serve as a resource to answer any student questions about the process from referral to return to the Campus. The Advisor will work with the student throughout the involuntary leave of absence process and any appeals. The Advisor shall be copied on all notices to the student after the student provides consent to have the Advisor as part of their process. In the written notice, the student will be encouraged to respond, and to contact the Advisor before a decision regarding an involuntary leave of absence is made and will be given a specified time period within which to do so. A Campus may train one or more employees to serve as an Advisor for when this policy is initiated. If a student utilizes an Advisor as part of this process, the Advisor cannot speak for the student and all administrative procedural rules apply. The student is responsible for self-advocacy and consults with the Advisor.

3.    To the extent required by applicable law, the President’s designee(s) must consider potential reasonable accommodations and/or modifications that could eliminate the necessity for an involuntary leave of absence. These may include, without limitation, a voluntary leave of absence and/or academic/housing/dining accommodation(s). The Campus must document all such considerations, accommodations, and related decisions.

4.    The student may be asked to execute an Exchange of Confidential Information Consent Form providing certain Campus personnel with temporary authority to obtain information from the student’s health care provider(s) regarding issues relevant and appropriate to the consideration of an involuntary leave of absence when there is a need for the Campus to have access to that information as part of the interactive process and individualized assessment. Any direct communication with a student’s medical provider shall be done through the appropriate medical office on Campus, which will relay that information to the designee(s) responsible for assessing all information regarding a potential involuntary leave of absence. Access to these records, if the Campus is given authority, shall be limited to personnel directly involved in the deliberation and decision-making process under this policy. Campuses shall establish procedures for the secure storage of this confidential health information that is received at any point in the leave and return processes. If a student refuses to execute this document or to respond within the timeframe set by the President’s designee(s), the President’s designee(s) may proceed with assessment based on the information in the President’s designee’s possession at that time.

5.    The President’s designee(s) may also confer, as feasible and when appropriate depending upon the matter, with individuals regarding the need for an involuntary leave of absence. Each case may vary, but conferring individuals can include:

• Representatives from Residence Life;
• Faculty members;
• Academic advisors;
• Department head for programs that lead to professional licensure, as appropriate;
• Representatives from the Campus’s Health Center (with appropriate authorization for any providers who have provided services to the student);
• The student’s treatment provider(s) or other health care professionals (with appropriate authorization for any providers who have provided services to the student);
• Representatives from the Campus’s Psychological Counseling Center or equivalent office (with appropriate authorization for any providers who have provided services to the student);
• Member(s) of the Campus’s behavioral intervention team or equivalent team that serves the function of assessing and monitoring students of concern; and/or
• Other individuals who may be appropriate in an individual matter.

6.    When evaluating whether an involuntary leave of absence is appropriate, the Campus will consider specific criteria, such as:

• Whether current knowledge about the individual’s medical condition and/or the best available objective evidence indicates that a student poses a significant risk to the health or safety of a member of the Campus community.
• Whether a student is unable or unwilling to carry out substantial self- care obligations and poses a significant risk to their own safety, not based on mere speculation, stereotypes, or generalizations; and/or
• Whether a student’s behavior severely disrupts the Campus environment.
  The individualized assessment for each factor, based on reasonable judgment that relies on current medical knowledge to the extent that information is available, or the best available objective evidence, should capture:
   
  •    the nature, duration, and severity of the risk or disruption;
  •    the probability that the risk or disruption will actually occur; and
  •    whether reasonable modifications of policies, practices, or procedures will appropriately mitigate risk or disruption, thereby eliminating the need for an involuntary leave of absence.

7.    The President’s designee(s) for the Campus will give significant weight to the opinion of the student’s treatment provider(s) identified by the student (with appropriate authorization) regarding the student’s ability to function academically and safely at the campus with or without reasonable accommodations. If the President’s designee(s) determines that the information provided by the treatment provider(s) is incomplete, requires further explanation or clarification, or is inconsistent with the other information in the student’s record, the President’s designee(s) for the Campus (with appropriate authorization) may contact the treatment provider(s) to obtain additional information. In certain circumstances, the Campus may request the student to undergo an additional evaluation by an independent and objective professional designated by the Campus, if the President’s designee(s) believes it will facilitate a more informed decision. The Campus should appropriately document the reasoning for such a decision, if warranted.

8.    Following the President’s designee(s)’ consultations and review of the relevant documentation and information available, the President’s designee(s) shall make a decision regarding whether the student should be placed on an involuntary leave of absence, and shall provide written notice of the decision to the student. This written notice of decision shall include information about the student’s right to appeal the decision and information about reasonable accommodations available during the appeal process. The review and notice of decision shall be performed in a reasonable and timely manner.

9.    In emergency situations involving an imminent threat of harm to the student or any other member of the Campus community, the President’s designee(s), in the exercise of his or her reasonable judgment, may require a student to be immediately prohibited from entering the campus or facilities utilized for Campus programs or activities while such individualized assessment and review under this policy is taking place. Such students shall receive written notice to this effect as quickly as possible and/or practicable. While this individualized assessment and review is being conducted, every effort shall be made by the President’s designee(s) to reach a decision within seven (7) calendar days, provided that the student responds in a timely manner to requests for information, and if appropriate, evaluation. If there are delays, the Campus shall document the reason for such delays in writing.

IV.    Decisions on Involuntary Leaves of Absence

1.    If an Involuntary Leave of Absence is Imposed: The written notice of any decision concerning the student shall set forth the basis for the decision; a timeframe for when the student must leave the Campus; the student’s right to appeal the decision; and information about reasonable accommodations available during the appeal process. This notice shall also set forth when the student may be eligible to return to the Campus and the conditions and/or requirements the student will need to satisfy to be eligible for return. This written notice shall also inform the student of their right to reasonable accommodations in the return process and will provide contact information for the appropriate office at the Campus that provides disability or accessibility services for students requiring reasonable accommodations. The length of the student’s leave will be determined on an individualized basis. The student’s Advisor shall be copied on all notices concerning all decisions related to the student if the student so designates and consents.

2.    If An Involuntary Leave of Absence is Not Imposed: The President’s designee(s) may impose conditions and/or requirements under which the student is allowed to remain at the Campus using the least restrictive appropriate means possible.

V.    Appeals

1.    Within seven (7) calendar days of receiving the written notice of a decision from the President’s designee(s) at the Campus, the student may submit an appeal of the decision in writing to the appropriate President’s designee(s) for appeals under this policy. The appeal shall be heard by a three (3) person Board of Appeals. The decisionmaker who imposes an involuntary leave of absence shall not hear appeals or render decisions on appeals. The individuals chosen to oversee appeals cannot have been involved in the original decision-making process. The written request for appeal must specify the particular substantive and/or procedural basis for the appeal, and must be made on grounds other than general dissatisfaction with the decision of the President’s designee(s). While the appeal is pending and being heard by the Board of Appeals, the original decision will remain in place. All appeals decisions will be issued within seven (7) calendar days of submission.

2.    The criteria for appeal will be limited to the following:

• Disproportionate Findings or New Information: if there is any information not previously considered that would allow the student to remain with a reasonable accommodation or if there is any new information not previously available to the student that may change the outcome of the decision-making process;
• Procedural irregularities: if there were any procedural irregularities that materially affected the outcome of the matter to the detriment of the student who appealed the decision.

3.    After reviewing the matter fully, the Board of Appeals will issue a written decision affirming, modifying, or reversing the decision to place the student on an involuntary leave of absence. The Board of Appeals’ decision shall be final, and no other appeals or grievance procedures are available at the Campus level.

VI.    Implications of an Involuntary Leave of Absence

1.    Student status: Students on a leave of absence generally retain their admitted student status during the period of the student’s leave based on the Campus’s local enrollment policies; however, they are not registered and therefore, do not have the rights and privileges of registered students. Note: a Campus may have a local policy regarding how many consecutive semesters a student may be allowed to be away from the Campus without enrolling in coursework. A Campus also has discretion to set the minimum period of time that a student may not enroll in coursework, which includes online, arranged classes, and internships.

2.    Housing: Consistent with the Campus policies and procedures, students assigned to a Campus residence are subject to the terms and conditions of the Housing License at their Campus. Students who leave the Campus before the end of a term may be eligible to receive refunds of portions of their housing charges, per SUNY Policy. Campuses shall identify on their website where eligibility criteria are for housing refunds for students in accordance with Campus policy.

3.    Effective date(s) of leave: A student must leave the Campus within the timeframe set forth by the President’s designee(s) or Board of Appeals, as applicable, in the decision to impose an involuntary leave of absence. The leave will remain in effect until:

• The President’s designee(s) has determined after an individualized assessment the parameters of which shall be set forth in the written decision of the President’s designee(s) or the Board of Appeals, as applicable, that the student is able to return to the campus with or without reasonable accommodations, and
• The student has complied with any Campus requirements applicable to all students returning from a leave and all conditions mandated by the President’s designee(s) or Board of Appeals, as applicable.
  The Campus must clearly and prominently display the requirements applicable to all students returning from a leave on the same page as this policy.
   

Students are not permitted to return mid-semester if placed on a leave of absence. Campuses shall clearly identify and state deadlines for all requests to return, which will align with the start of each academic term per year. This includes short, sprint, and late start sessions within the semester. This also includes online, arranged classes, and internships.

4.    Notification: At any time while the student is on leave, the President’s designee(s) may notify a student’s parent, guardian, emergency contact, or other individual, consistent with the law, if notification is deemed appropriate under the circumstances.

5.    Association with the Campus while on leave: Unless expressly permitted by the President’s designee(s) in writing, or Board of Appeals, as applicable, students on an involuntary leave of absence are not permitted to be present at the Campus and are not permitted to engage in any Campus-related activities, including on- Campus and/or remote employment opportunities.

6.    Coursework taken while on leave: Consistent with the Campus’s policies and procedures, academic credit for work done elsewhere may be allowed toward a Campus degree. However, students must consult with the Registrar’s Office or other appropriate office that handles leaves of absence and their academic department prior to taking any coursework while on an involuntary leave of absence. Campuses shall designate the office that students should consult when taking coursework at another institution while on leave.

7.    Access to Student Accounts while on leave: Unless expressly prohibited in writing by the President’s designee(s), students on leave generally may retain their student ID privileges, which will be explicitly defined per Campus policy, including their Campus email account.

8.    Tuition and Fees: Consistent with SUNY’s and the Campus’s local policies and procedures, students who leave the Campus before the end of a term may be eligible to receive refunds of portions of their tuition. See the SUNY Tuition Refunds Policy for a schedule of refunds.

9.    Financial Aid: Campuses shall provide information on any effect an involuntary leave of absence decision may have on that student’s financial aid.

10.    Meal Plan: Campuses shall provide information on what refunds may be available on meal plans within the context of this policy.
 
11.    Visa Status: International students (F-1 and J-1 Visa holders) placed on an involuntary leave of absence must speak with the appropriate person at the Campus who works with international students regarding their Visa status and the effect an involuntary leave of absence may have on that status.

VII.    Request for Return

1.    In addition to the general requirements all students must meet when returning to the Campus after a leave of absence, as well as any conditions imposed by the President’s designee(s) or Board of Appeals, as applicable, for return from an involuntary leave of absence as outlined in the decision, students seeking to return from an involuntary leave of absence imposed for reasons of personal or community health and safety may be required to submit additional documentation related to the factors set forth in Section III.6 as part of an individualized assessment. The appropriate Campus office for disability or accessibility services will work with students to provide reasonable accommodations in the return process as appropriate.

2.    A student must make a written request to the President’s designee(s) to return to the Campus. Generally, a student shall not be allowed to return until one full semester has elapsed or until the leave period in the involuntary leave of absence notification has elapsed, and all conditions and/or requirements have been met.

3.    The President’s designee(s) may require the student to provide evidence that the student, with or without reasonable accommodations, has sufficiently addressed the issues that previously established the criteria for imposing an involuntary leave of absence as set forth in Section III.6, above. The President’s designee(s) may also ask, confer with, or seek information from others to assist in making this determination. The information sought may include:

• At the student’s discretion, documentation of efforts by the student to address the issues that led to the leave;
• Release of academic records to inform treating clinicians (with appropriate authorization);
• Release of treatment information to the extent necessary to determine if the student has sufficiently reduced the risk or disruption that led to the leave (with appropriate authorization);
• Consultation with the Campus’s student health center and/or psychological counseling center to the extent necessary to determine if the student has sufficiently reduced the risk or disruption that led to the leave (with appropriate authorization); and/or
• Consultation with the Campus’s office for disability or accessibility services.
   

4.    All returning students must meet the essential eligibility requirements and any technical standards of the Campus and, if applicable, the relevant school or department, with or without reasonable accommodations. If the President’s designee(s) determines that the student is ready to return to the Campus, the student will be notified in writing of the decision, including the reason for the decision, within a reasonable time after the student has submitted a request for return and required documentation per this policy.

5.    A student not permitted to return may appeal the decision to the Board of Appeals under this policy, following the procedures in Section V.

6.    Based on the Campus’s enrollment policies, a student may be disenrolled after a certain period of inactivity. All campuses must ensure that this information is clearly articulated on their website.

VIII.    Scope of the Policy and Relationship to Other College Policies

A leave of absence is an administrative process; it is not a disciplinary process.
This policy is not intended to be punitive and does not take the place of disciplinary actions that are in response to violations of the Campus’s Student Code of Conduct, or other policies and directives, nor does it preclude the removal or dismissal of students from the Campus or Campus-related programs as a result of violations of other Campus policies or school or department protocols.

This policy does not limit the Campus’s ability to place enrollment holds on students for reasons beyond the scope of this policy.

This policy does not relieve a student of any financial obligations to the Campus that were incurred prior to the time the involuntary leave of absence was imposed.
Campuses are required to notify students if there might be an affect on the student’s financial aid, including returning aid, outstanding balances, potential affects on future aid, and any affects on the New York State Tuition Assistance Program (TAP), the Excelsior Scholarship Program, and any other scholarship, if applicable.

Nothing in this policy limits the power of the Campus to take administrative action to ensure the safety of the Campus community in accordance with all appropriate laws and policies.

Nothing in this policy prevents the Campus from engaging in a temporary suspension under its policies if necessary under the circumstances. Any such cases shall be appropriately reviewed per Campus policy.
 
All Campuses are required to abide by the Family Educational Rights and Privacy Act (FERPA) and comply with its requirements regarding student privacy.

Nothing in this policy prevents the Campus from following the Rules of Maintenance of Public Order, as necessary.

IX.    Requests for Reasonable Accommodations

SUNY is committed to providing equal access to all participants in Campus processes, including students with disabilities. Students with disabilities should contact the appropriate office at their Campus to request accommodations, and campuses shall prominently display this information on their website with this policy.

Latin honors is reserved for students earning a bachelor's degree.

The cumulative GPA needed to achieve Latin honors at the university is based on the 70th/80th/90th percentiles of baccalaureate graduate GPAs over a five-year period: Cum Laude (3.81), Magna Cum Laude (3.88), and Summa Cum Laude (3.96). The cumulative GPA totals used to establish thresholds for this policy are based on a breakdown of baccalaureate graduates from 2014-15 to 2018-19.

Only graded credits at ESC will be counted. Students at the bachelor's level must earn at least 27 graded credits to qualify.

Ungraded credits (e.g. pass/no pass) do not count toward Latin honors.

Grade changes that take effect before graduation and affect a student's qualifications for Latin honors will be applied to the student's cumulative average at graduation.

• Effective learning derives from expected outcomes and needs that are important to the student.
• Learning occurs in varied ways, places, and modes.
• Individual learning preferences may differ from person to person.

The learning information document communicates an individual faculty member’s academic judgment regarding the particular texts, assignments, methods of evaluation, and content that are appropriate in order to address the learning outcomes. A well?designed learning information document lays the foundation for student success by clearly outlining expectations and methods/criteria for evaluation.  

Depending on a student’s academic program and/or approved degree program, a student may have the option of enrolling in an individualized study, an individualized group seminar, or a course. Regardless of the mode of delivery, if a student is enrolled in an individualized study or an individualized group seminar, the learning information document is a learning contract and if a student is enrolled in a course, the learning information document is a syllabus.  

Learning information documents contain the following elements:

• Dates – the beginning and end dates of the term.
• Definition – study/seminar/course title, amount of credit to be earned if successfully completed, and the instructor information.
• Purpose – description of the scope and objectives of the study/seminar/course.
• Learning outcome – a collection of measurable goals that specify the knowledge, skills, and/or competencies that the student can expect to attain as a result of engaging in the learning activities of the study/seminar/course.
• Learning activities– a description of the activities and modes of learning to be pursued during the study/seminar/course. This description normally includes an outline of specific learning activities such as readings, writing assignments, paintings, research, laboratory study, etc. as well as a bibliography of texts or required readings.
• Methods and criteria for evaluation – an explicit statement of the methods and criteria for evaluation to be employed by the instructor that informs the student about how he/she will be evaluated in relation to the expected learning outcomes. The criteria for evaluation are the standards by which the student's performance will be judged. The criteria should establish the minimum standard for the award of credit.
• Plan for formative and/or summative assessment – a description of the expected period for completion of learning activities throughout the study/seminar/course and for developmental feedback on learning activities from the instructor. The plan outlines the mutual commitments of student and instructor with regard to communication and engagement.

While there are many similarities between learning contracts and syllabi, the following are important distinctions:

• Learning contract ? students are expected to participate in the design of a learning contract. The learning contract should be prepared as early as possible so that the student has a study guide and a clear record of the academic expectations. The learning contract is provided to the student no more than four weeks after the start date of the term. Learning contracts can be amended to reflect changing student goals and learning needs throughout the individualized study/seminar. Changes to the learning contract are documented and entered into the university records through the learning contract amendment process. For courses attempted through cross registration at another institution, a learning contract must be completed to document:
  • The name of the other institution;
  • The course title and number; and
  • The minimum acceptable grade for credit to be award by Empire State University. (See the Empire State University policy on cross registration at other institutions for additional information.)
• Syllabus – the syllabus is developed by the course instructor and is provided to the student before the end of the first week of the term. If the course is part of a structured academic program, other faculty members in that program may have input on how that course meets program and/or accreditation requirements. The course description listed in the university catalog represents agreement among faculty members who have exercised their academic judgment regarding the high-level course description, expected learning outcomes, number of credits, grade distribution, and other related information.

While created by faculty, learning information documents are reviewed to ensure currency in the field, consistency with new policies and guidelines, promote collaboration, and continue to enrich the learning experience of students. During development and revision, learning information documents will commonly benefit from peer review for alignment as well as clarity. The course information document is reviewed and approved according to university procedures for academic soundness and conformity with university policies, and then submitted according to university procedures. The review takes a variety of forms:

• Administrative review ? Administrative review by an associate dean ensures that each of the required elements of the course information document is included and that information is clear. Associate deans should also review learning information documents for Family Educational Rights and Privacy Act (FERPA) and Americans with Disabilities Act (ADA) compliance. Additionally, associate deans are responsible for ensuring the timely submission of course information documents.
• Curriculum review – Policies for programmatic curriculum review are laid out in a curriculum review policy.

Upon receiving a report, the director of safety and security shall immediately notify the office of the president. Additionally, the office of the president/designee will notify the SUNY Chancellor’s Office.

In addition to this policy, the university shall, on an annual basis notify all employees and students of the existence of this policy and provide training on the mandatory reporting obligations. Also, the university shall provide vendors or others who are authorized to use university facilities for events training on the procedures and implementation of applicable pre-employment screening requirements and mandatory reporting of child sexual abuse.

Any employee found in violation of the provisions of this policy shall be subject to discipline consistent with the terms and conditions of specific provisions of the collective bargaining agreement and any other applicable university policies and may be subject to criminal prosecution. Nothing contained in this policy precludes mandated reporters from completing their obligation to report suspected child sexual abuse.

Note: It is a violation of the policy for any member of the university community to address a case of sexual abuse “in house,” or within a department. All reports must be brought to the attention of safety and security for further investigation and handling as a possible criminal matter.

No Retaliation Clause: Retaliation against a person acting in good faith, in accordance with this policy, who reports an incident or suspicion of child sexual abuse, is strictly prohibited. Any reports of retaliation should be directed to the Title IX Coordinator at 518-587-2100 Ext. 2389.

Micro-credentials can be used to highlight competencies earned as part of a credit-bearing program; serve as an introduction or entry point to a degree program; or be issued as a stand-alone credential and/or complement to a degree program. Micro-credentials will not be registered as a certificate program although they could be applied to an existing certificate program. 

Micro-credentials do not need to be credit bearing. For those that are, there is no prescribed number of credits, although they will be smaller than certificates.

The award of a micro-credential will appear on the university transcript.

Development and approval of a micro-credential must take place through the appropriate academic unit/school.  The academic unit/school will determine the requirements for each micro-credential including any residency requirements, evaluation processes or other applicable academic requisites. Approval of the micro-credential will follow governance processes including review and approval by CUP and/or GSPC and the Senate.  

Authorization for the issuance of mobile devices is the responsibility the Chief Financial Officer (CFO), in conjunction with the Office of the President. The issuance of a university-owned mobile devices is based on the actual job requirements of faculty and staff, and not based on a particular title or position. Eligible employees must meet at least one of the following criteria:

1. Frequent mobility: The job requires considerable time outside the office during working hours and it is imperative to the functioning of the university that the employee be immediately accessible to receive and/or make frequent business calls during those times.
2. After hours availability: The job requires the employee to be immediately accessible to receive and/or make frequent business calls outside of working hours. Employee must be readily accessible due to the specific nature of their duties and must be available for emergency responses or time sensitive consultation after normal office hours.

The Finance Office will review employee usage of university-owned mobile devices on a quarterly basis.

The university reserves the right to discontinue the issuance of university-owned mobile devices for any reason, including financial necessity.

Use of Device While Driving

SUNY Empire State University requires employees to comply with all applicable laws while driving.

Security and Privacy

Employees using personal mobile devices to conduct Empire State University business must comply with applicable state and federal laws related to the protection of student and employee personal information and identity. All devices must be protected from loss and/or theft by utilizing passwords, encryption, two-step authentication, or other similar means of protection. State and federal laws indicate that personal mobile devices can be impounded in the case of legal action involving information that can potentially be stored on the device. 

This policy incorporates and appends the provisions, definitions, and requirements of SUNY Policy #8200 “Moving expenses, Payment of.” The SUNY policy should be referenced when determining what positions, situations, and expenses are eligible for reimbursement, as well as information regarding repayments and exceptions.

Maximum rates by distance traveled are recommended by the vice president for administration and finance (VPAF) or designee and are agreed upon by Cabinet annually. The current agreed-upon rates can be found in Appendix A of this policy. Reimbursement of eligible expenses at a rate higher than the current rates requires authorization of the president. Payment is subject to budget availability. Total amount to be reimbursed will not exceed the SUNY and state guidelines.

This policy is established to assist in the recruitment of qualified candidates; it is not expected that every appointee will be authorized payment of relocation expenses.

The determination of who receives an offer of relocation reimbursement — and the amount of such reimbursement — is discretionary and determined by the VPAF (or designee), in consultation with the senior hiring manager, using the table in Appendix A. No offers of reimbursement should be made prior to such consultation.

Selected faculty, directors, and management/confidential employees may be eligible for moving reimbursement as follows (education law https://codes.findlaw.com/ny/education-law/edn-sect-355-a.htmlhttps://www.budget.ny.gov/guide/bprm/g/g-0205.html):

• Domestic employees relocating to New York state or within New York state to work in person
• Domestic employees relocating to an international location at the request of the institution
• Overseas employees relocating to another international location

Hiring managers must receive approval from the VPAF (or designee) in advance to determine an employee’s eligibility for moving expense reimbursement. The maximum rate allowed to be provided to each specific request is determined by the VPAF or designee and noted in writing.

Reimbursement is for actual and necessary moving and travel expenses incurred.

Any employee who resigns their assignment within the first year of their appointment effective date must reimburse the institution for moving expenses issued and forfeit the return moving expense reimbursement. Appointees must sign an agreement stating such.

The Federal Tax Cuts and Jobs Act signed into law on December 22, 2017, requires that reimbursement of moving expenses must be included in the employee's federal taxable gross income and that applicable taxes must be withheld.

Guidelines for the Center for International Education

The Center for International Education (CIE) is to pay moving expenses from its available Income Fund Reimbursable (IFR) or foundation funds consistent with the SUNY policy.

Moving expenses are reimbursed in United States dollars. Justification for reimbursement increases and decreases based upon the exchange rate should be included in the Moving Expense Offer Authorization form (Appendix B). See procedures below. Individual amounts are determined by the VPAF or designee in consultation with the hiring manager.    

Procedure

The process for requesting reimbursement is initiated by the hiring manager to the VPAF or designee in the initial request to fill a position. When filling out the “Search Request Form” in Interview Exchange, the hiring manager will indicate, in the notes field, that they would like to offer the candidate moving expenses. The request will be acknowledged by an email to the hiring manager and the search chair including this policy. During the final steps of the search process, the hiring manager will indicate on Form F, in Interview Exchange, confirmation that they would like to offer the preferred candidate moving expenses. The Moving Expense Offer Authorization (Appendix B) must be uploaded and attached to Form F before submitting. No offer of reimbursement is to be made until the Moving Expense Offer Authorization is signed and approved by the VPAF or designee and a maximum amount is authorized.

Reimbursement is for actual and necessary moving and travel expenses incurred, and the VPAF or designee will contact the preferred candidate to review reimbursement requirements. The new hire arranges moving activities, keeping all receipts and proof of payment (this may be a bill of weight, a freight bill from the carrier, or a receipt for a rental truck). If the appointee does not use a commercial carrier or a rental establishment, the VPAF or designee should be consulted to determine appropriate receipts and documentation to submit.

Additionally, if the president authorized the rate of reimbursement to be higher than the maximum amount listed on Appendix A, additional documentation may be required to support vendor selection; the hiring manager should consult with the VPAF or designee.

A Request/Agreement for Moving Expense Reimbursement (Form AC-1099-S) must be completed by the new hire and submitted to the hiring manager along with all receipts.

The hiring manager will forward all documentation to the office of the VPAF or designee for approval. The VPAF or designee will then forward the completed forms and all documentation to the payroll office for submission to the Office of the State Comptroller for payment to the employee.

A complete package includes the following documents:

• Standard Voucher
• AC 1099-S Request/Agreement for Moving Expense Reimbursement
• Bill of weight or freight bill from carrier
• Receipts from rental truck (if applicable)
• Other documents as described above

• Physical harm or threat of physical harm such as physical abuse, coercion, harassment and intimidations, whether physical, verbal (oral or written) or non-verbal.
• A student requesting a NCO does not have to file formal charges. The NCO can be issued if there is reason to believe the order will be in the best interest of all parties and the university community. The NCO may also be imposed during the course of an investigation or as a possible resolution following a complaint. Upon imposition of a NCO, any contact will demonstrate a violation of the NCO and may result in further administrative action (or criminal action, if applicable). If the petitioner/reporting person and respondent/accused observe each other in a public place, it shall be the responsibility of the respondent/accused to leave the area immediately and without contacting the petitioner/reporting person.

The duration of a NCO is determined by the director of safety & security, Title IX coordinator, or the student conduct administrator. Although university imposed NCOs may provide a petitioner/reporting person with a sense of security, it is important the reporting person maintain vigilance as it relates to their surroundings. Unlike Court Orders of Protection, university issued NCOs are not punishable by arrest, conviction, or incarceration. Rather, they are used for university administrative purposes only. Neither university NCOs or Court Orders of Protection guarantee the safety of the parties involved.

Forms of prohibited contact may include but are not limited to the following:

• In-person contact
• Stalking
• Cyber-stalking
• Phone calls
• In writing
• Email
• Text messaging
• Social media sources (to include Facebook, Twitter, etc.)
• Any 3^rd party communication.

The university will make every effort to facilitate a schedule for the covered persons to access applicable university buildings or properties at different times.

Individuals and Conduct Covered

This policy applies to faculty, staff and students, and prohibits harassment, discrimination and retaliation with respect to applicants, employment, programs or activities at the university whether engaged in by fellow employees, faculty, supervisors or administrators, or by someone not directly connected to the university (e.g., an outside vendor, consultant or customer).

Conduct prohibited by these policies is unacceptable in the workplace/academic class and in any university-related setting, including business trips, meetings and university-related social events.

Retaliation is Prohibited

It is unlawful to retaliate against an individual when it comes to any aspect of employment, including hiring, firing, pay, job assignments, promotions, layoff, training, fringe benefits and any other term or condition of employment.  In addition, it is illegal to retaliate against any individual who reports acts of discrimination or harassment or participates in an investigation of such reports. Retaliation against an individual for reporting harassment or discrimination or for participating in an investigation of a claim of harassment or discrimination is a serious violation of this policy and, like harassment or discrimination itself, will be the subject of disciplinary action.

Information and Reporting

Employee questions regarding harassment, sexual harassment or discrimination may be addressed to the Office of Human Resources, 2 Union Avenue, Saratoga Springs, NY 12866-4391 (518) 587-2100, ext. 2240 or (800) 847-3000, ext. 2240 or TitleIX@esc.edu

Student questions can be directed to Lindsay Holcomb, Director of Human Resources and Interim Title IX Director, 518-581-2239 or TitleIX@sunyempire.edu

All allegations of harassment or discrimination are taken very seriously. The university will act positively to investigate allegen harassment and to affect remedy when an allegation is substantiated. Supervisors and other university officials are required to report any known or perceived incidences of harassment or discrimination to the affirmative action officer. 

• Employees are required to give advance notice and make arrangements with their supervisor.  Such notice should be given prior to the employee’s return to work following the birth of a child in order to allow the employer an opportunity to establish a location. 
• The amount of time needed to express breast milk may vary, and there is no set limit on the number of breaks per day.
• The amount of time required to express breast milk includes the time required to reach and return from the location for expressing milk.
• If supervisors have a complicated situation or need additional advice, they are encouraged to contact the Office of Human Resources.

Each author retains his/her copyright and grants to Empire State University a non-exclusive license
(limited to the purpose of making the work openly available) to works, in any medium.

Users of the repository can access selected works in situ freely without any restrictions. The author's copyright remains in effect. Users may not copy, distribute, remix, resell, or create derivative works, except under exemptions made clear under copyright law, such as fair use.

Authors as owners of their copyright are entitled to place their works under a Creative Commons license. The terms of the Creative Commons license supersede limitations of Open Access. Placing work within a Creative Commons environment is at the discretion of the author and subject to agreement from any other publisher.

In instances where a scholarly or creative work has multiple authors, all authors must agree to the terms of Open Access and licensing.

The policy applies to works authored or co-authored while the person is a member of the faculty, a student, or a staff member. The policy recognizes the value of and supports authors to maintain legal control over their work while making their work freely and widely available to the public.

The decision to make scholarly and creative works available through the repository is voluntary. It is up to the author to ensure compliance with the respective publisher(s)' requirements and/or restrictions for submission. Authors who do not wish to make their work available in the repository are not required to do so and there will be no negative repercuss;ons should they choose not to make their work available through this means.

Material published within the repository must adhere to federal and state laws as well as Empire State University policies, including policies on academic integrity, web publishing, and conduct.

Scholarly work in the repository is held there permanently unless authors choose to remove it. Authors have the opportunity to modify the content of their work.

Access to Customer Credit Card Data is only allowed for authorized personnel who are responsible for processing or facilitating credit card transactions.

Unsecured (unencrypted) transmission of cardholder data is prohibited. 

The electronic storage of personally identifiable credit card or payment information on University computers and severs is expressly prohibited under any circumstances.

All third party vendors that have access to credit card information on behalf of SUNY Empire State University must be PCI compliant.

Employees who work directly with credit card processing and documentation are required to sign this policy and complete annual data security awareness training.

Wheeled vehicles or devices powered by non-UL-listed power sources are prohibited.

Wheeled vehicles shall not be parked in pedestrian walkways, doorways, handicap ramps, or any area where the devices obstruct mobility of others.

No wheeled vehicle or device for personal transportation may be used/operated in any university building.

No wheeled vehicle or device (or their batteries) may be stored overnight in university buildings.

Only vehicles that can fold or are collapsible may be stored with the owner in the classroom or office or outside of egress.

Wheeled and electric vehicles must always be in the possession of the owner.

Charging these vehicles in any university location is prohibited.

Vehicle or device usenot adhering to these policies is subject to student conduct or discipline consistent with the terms and conditions of applicable collective bargaining agreements.

Under the operating agreement, the foundation may provide the following services:

1. 1. Philanthropic initiatives and activities to support the university’s mission and strategic priorities, including accepting gifts and donations that result from these efforts.
   2. Allocation of restricted and unrestricted funds to the university, university-related entity, or other service user that are the result of philanthropic revenue and earnings generated from stakeholders, donors, and existing assets.
   3. Fiscal oversight of all owned and non-owned foundation assets or university-related entity for which the foundation serves as fiscal agent.
   4. Responsible investment of funds under the foundation’s control.
   5. Fiscal agent, banking, and accounting services to other university-related entities in need of such services.
   6. Holding of funds in separate agency accounts for university-related entities or other service users in a custodial or fiscal agent capacity for the benefit of university students, faculty, staff, or organizations for use in supporting the university’s mission. Agency accounts shall not be used for any function that personally benefits any individual or member of a university-related entity or other service user or to hold funds of the university, state, foundation, or research foundation. 

Under the operating agreement, the foundation is prohibited from engaging in the following activities:

1. 1. Providing instructional and credit bearing programs
   2. Operating sponsored research programs
   3. Using state property to generate revenue
   4. Activities prohibited by law, regulation, or policy
   5. Any activity or program that is not within the foundation’s stated legal mission, or that would endanger the foundation’s federal or state tax-exempt charitable status

The foundation is an independent legal and financial entity from the university and research foundation.

Service users are required to respect and enforce these legal separations by not intermingling foundation funds with those of the university, research foundation, or university-related entity in foundation accounts, agency accounts, or non-foundation accounts.

1. 1. Neither foundation accounts nor agency accounts may be used to receive, hold, or disburse university, State of New York, or research foundation funds.

Although many of the foundation financial expenditure policies and procedures may mirror those established for the university and research foundation, foundation finances are segregated and accounted for independently from any other entity.

To meet its mission and provide services outlined in this policy, the foundation will use a series of accounts that generally fall under the following categories. The foundation will provide a definition and direction on additional categories that may be added as appropriate business practices dictate:

1. Endowed scholarship accounts
2. Endowed non-scholarship accounts
3. Restricted current use accounts
4. Unrestricted accounts
5. Program accounts
6. Foundation administrative accounts
7. Accounts maintained as a fiscal agent, such as agency accounts, student activity accounts, and Student Alumni Association accounts

The foundation has a fiduciary responsibility to donors to use gifts and any resulting earnings in accordance with restrictions or specific purposes identified by the donor at the time of the gift that do not conflict with federal or state law. To facilitate this requirement, the foundation may segregate funds into accounts with specific purposes. In addition, to ensure abidance to donor or other designations and restrictions, service users are required to follow all account restrictions, guidelines, and foundation instructions in the receipt, management, and expenditure or disbursement of funds from foundation accounts.

The foundation has an obligation to provide careful stewardship of the support it has received from generous donors. As such, the foundation shall have in place a series of policies and accompanying service user procedures and foundation standard operating procedures which outline rules, processes, and steps required to ensure proper stewardship and meet requirements outlined in SUNY policy document 9600. All service users are responsible for knowing and adhering to these policies and procedures.

The foundation shall have proper policies and procedures that include internal controls to provide reasonable assurance of achievement of objectives, reliability of financial reporting, safeguarding of assets, effectiveness and efficiency of operations, proper stewardship of all funds and assets, and compliance with external laws and regulations. All service users and accompanying activities shall comply with such policies, procedures, and internal controls.

In providing services to university-related entities and other service users, the foundation and the university-related entity or other service user shall adhere to all applicable legal requirements and foundation, university, and SUNY policies and procedures.

The foundation shall maintain proper accounting procedures and records, prepare periodic financial statements, and undergo an annual independent external financial audit for itself and any service user or university-related entity as required by SUNY guidelines, the operating agreement between the foundation and university, foundation by-laws, foundation board Audit and Compliance Committee charter, or fiscal agent agreement between the foundation and a service user or university-related entity. All service users and university-related entities shall fully cooperate with the foundation in preparing accounting records, financial statements, and independent external financial audits in a timely manner as directed by the foundation.

The foundation shall develop records retention policies and procedures to ensure proper retention and maintenance of records relating to its governance and fiscal and program operations as required by applicable state and federal law and regulations.

The foundation and university-related entities and other service users utilizing foundation services shall take all standard and proper precautions in collecting, handling, storing, and sharing personally identifiable information or other sensitive personal or financial information including:

1. Minimizing collection or storage of personally identifiable or sensitive information to that absolutely necessary for program or business reasons.
2. Properly securing all personally identifiable/sensitive information whether in hard copy or electronic formats.
3. Adhering to all university, foundation, state, federal, and applicable international data security laws, regulations, and policies including but not limited to SUNY policy documents 6608 and 6900, the New York State Information Security Breach and Notification Act, the Federal Educational Rights and Privacy Act of 1974 (FERPA), the federal Gramm-Leach-Bliley Act, the Federal Trade Commission’s Safeguards Rule, and the General Data Protection Regulation (GDPR).

All service users, individuals acting on behalf of service users or university-related entities, and individuals conducting business on behalf of the foundation shall at all times act in an ethical manner in utilizing foundation services, funds, or assets. These entities and individuals shall avoid conflicts of interest or what would appear to be a conflict of interest to a reasonable person in utilizing any foundation services, funds, or assets or transacting any foundation business.

If a conflict of interest cannot be avoided or the appearance of a conflict of Interest exists, it shall be immediately disclosed to the foundation treasurer and executive director before any services have been rendered or transaction undertaken to determine if and how such conflict of interest may be addressed so the service or transaction may proceed. The treasurer and executive director shall determine if a conflict of interest exists and if and how it can be managed. The foundation shall not allow the service or transaction in question to proceed if the conflict of interest cannot be properly addressed or removed.

If the foundation treasurer or executive director are a party to the conflict of interest, they shall remove themselves from addressing the conflict of interest and the other shall make a sole determination on the conflict of interest. In any case of a conflict of interest, real or apparent, the individual with the conflict of interest shall be removed from any decision-making role regarding the service or transaction in question. 

The executive director shall notify the chairperson of the foundation board of directors regarding any conflict of interest that cannot be removed or managed or was not properly disclosed under this policy and that threatens the operations or reputation of the foundation or could result in future litigation.

University employees whose official duties include interacting with the foundation shall also abide by the requirements of the New York State Public Officer’s Law sections 73, 73-a and 74.    

Application of Policy

This policy sets forth the requirements for all student organizations, University programs, departments, and academic units recognized by SUNY Empire that wish to post items on general-use bulletin boards at SUNY Empire locations. This policy does not apply to virtual spaces, or to bulletin boards on campus that are reserved for specific departments, offices, or organizations whereby posting generally requires permission of that group. Postings or advertisements at SUNY Empire’s leased locations must comply with the policies of each respective lease agreement.

For the policy on entities and individuals who wish to use SUNY Empire’s facilities for other than approved University-sponsored academic, administrative, and extra-curricular activities, please refer to the Facilities Use Policy.

Procedures

Announcements, letters, bulletins, posters, flyers, postcards, sandwich boards, or similar physical advertisements promoting or describing an event, meeting, program, etc., must clearly indicate the sponsoring group/organization and phone number or email address of a contact person, including who students may contact for reasonable accommodations. Only promotional materials from the University and University-sanctioned entities are permitted at a SUNY Empire location.

Prohibited posting activities include without limitation: posting of promotional flyers or leaflets on doors, windows, trees, light poles, vehicles, bus stops, indoor and outdoor walls, and in elevators except when posted by the University in an appropriate manner; promotion of events that advertise alcohol or drugs; any event that violates the law and/or SUNY Empire’s Code of Conduct; chalking of buildings, sidewalks, or roadways at a SUNY Empire location; promotional material not endorsed by a student organization, University program, department, and/or academic unit.

Postings may not be placed over current/valid postings of other organizations, and students are prohibited from removing or tearing down current/valid postings of other organizations. Multiple postings of the same event/activity in the same location are prohibited. Current/valid postings must be removed in a timely manner after the meeting or event by the individual or group who posted them.

Items posted that do not follow the policy guidelines will be removed. Repeated violations will result in a loss of posting privileges and possible disciplinary action.

SCOPE AND AUTHORITY

The scope of this policy does not include devices with a primary purpose other than to support the office printing environment, such as specialty printers like label, barcode, wristband, wide-format, or 3D printers.

Printing by students is out of scope of this policy. However, parts of this policy and the associated procedures may affect students.

Operations and Office of Information Technology Services (ITS) have joint authority to implement, and provide oversight in the implementation of, the procedures corresponding to this policy.

The university will create an Office Print Leadership Team to provide oversight of this policy in concert with Operations and ITS. The team will consist of stakeholders from multiple departments. Membership may change as the focus of the team will shift with the maturity of the overall print program.

AUTHORIZED AND SUPPORTED DEVICES AND SUPPLIES

The university will procure equipment and related supplies (with the exception of paper and staples) only using the SUNY Office Print Services contract. No new print devices will be acquired, installed, or permitted without evaluation and prior approval by the Office Print Leadership Team and must be made from the SUNY standards list for office printing below.

Only university-approved and procured devices and supplies will be used and supported by SUNY Empire State University.  Approved devices are managed by the Department of Operations.

As per SUNY policy, the budget for office printing is centralized through the office of the chief financial officer.  Office printing budget items include the variable cost components to print, such as service or maintenance agreements, and all supplies, including toner, ink, and paper.

All devices must be networked.

Local (non-networked) desktop printers are prohibited.

Employees and authorized users may not bring or purchase their own printers or supplies to use.

MFDs will always be the preferred device of choice with SFPs used to provide increased access when warranted.

Opportunities for the purchase or acquisition of supplies, single function printers (SFP) and multi-function devices (MFDs) using outside funding, through grants or donation, will be reviewed and approved by the Office Print Leadership team and ITS. The University will not support the purchase of equipment, or supplies using outside funding without approval from the Office Print Leadership Team. This includes equipment that is used outside the scope of this policy, in order to ensure compatibility and sustainability of maintenance.

DEVICE DISTRIBUTION AND PLACEMENT

The distribution of print devices (including model and type) will be determined by the Department of Operations based on output volumes and business requirements. Devices will be distributed to ensure:

1. There is a clear understanding of the total cost of the current print environment (devices, consumables, service and support, owned and leased);
2. Appropriate utilization;
3. Business processes and workflows are supported;
4. Availability of secure/private printing where needed;
5. Availability to copy, scan, and fax functionality where needed;
   • Availability of color printing where justified (via exception policy); and
   • Device security settings and standards are implemented.

Location of print device(s) will be determined by the number of users, the appropriate distance of those users to the device(s), the distance between print devices to optimize utilization, as well as building HVAC set ups to optimize air quality and remain compliant with certifications where applicable.

The guidelines in these procedures must be considered in all construction (new or renovation). 

DEFAULT CONFIGURATIONS

1. All university printers will be configured to have duplex (two-sided) printing and mono printing. In addition: Color printing, due to its increased cost, should be restricted to the most essential communications and used as an exception.
2. All printers will be secured and enabled with pull-printing, which requires users to authenticate before using print, scan, copy, or fax at the device.
3. All multi-function printers will be configured for scan-to-email functionality.
4. The manufacturer default ENERGY STAR settings for sleep and powering down will be retained on all imaging equipment to maximize energy savings.

DEVICE OPTIMIZATION           

To optimize device usage and effectively allocate devices throughout the university, preliminary target ratios for cost and the number of users per print device will be determined by the Department of Operations and will align with SUNY requirements.

Employees and authorized users shall report any malfunctioning printer immediately by contacting the vendor.

Employees or authorized users shall not order, buy, or submit payment for supplies.

PRINT PRACTICES

University employees and authorized users should be mindful of the cost of print and shall keep the usage of print and paper to an absolute minimum by adhering to the procedures set forth in this policy.

Personal printing is prohibited.

EXCEPTIONS

Exceptions to this policy and procedures will be extremely limited and only in situations that involve critical business needs, legal requirements (e.g., American Disabilities Act), and instances when the benefits of the exception outweigh the risk of undermining the intent of this policy.

Exceptions will be granted on a case-by-case basis and will require:

1. A business case justification;
2. Careful review by ITS for purposes of sustainable support,
3. Authorization from the requesting vice president or designee; and
4. Approval from the Office Print Leadership Team in accordance with the policy.

Requests for exemption can be submitted through an ITS Service Catalog and will be forwarded to the Office Print Leadership Team: www.esc.edu/service-desk/

Confidentiality, the availability of private/secure print features, or convenience are not valid reasons for requiring a local desktop printer.

RESPONSIBILITY

All employees and authorized users are expected to be active participants and abide by the procedures set forth in this policy as SUNY strives to print “smart” and print less.

After an applicant has been accepted to Empire State University, the university shall inquire if the student has a prior felony conviction only if such student seeks clinical or field experiences, internships, study abroad programs, or other activity covered by SUNY’s Policy on the Admission of Persons with Prior Felony Convictions.

Faculty mentors/advisors/students are required to register all clinical/field experiences, internships, and study abroad programs with the Office of Teacher Education or the Office of Career Services as appropriate by completing form (PFC-001). During this registration process, students will be required to attest to their status as it relates to any felony convictions.

If a student replies “yes” to the question of whether he/she has ever been convicted of a felony in response to an application for a covered activity, a Campus Committee Overseeing Internships (campus committee) shall conduct a review of such an application consistent with the standards articulated in the NYS Corrections Law, Section 753 of Article 23-A, available at https://www.labor.ny.gov/formsdocs/wp/correction-law-article-23a.pdf

Felony convictions may preclude students from participating in required field experience and internships or study abroad opportunities.  Students with felony convictions should consult with their mentor as soon as possible in their degree planning to determine any potential impact a felony conviction may have on degree completion. Empire State University does not retain responsibility for students unable to complete degree programs due to felony convictions.

• maintains the privacy and security of institutional and constituent information.
• ensures records are retained for the required duration set by the governing laws and policies.
• preserves records of historical value.
• requires disposal of outdated and unnecessary records in a manner appropriate for the format.

No records should be retained past the retention period unless they still serve a documented legal, operational or historic value to the institution based on one of the following justifications;

• Discovery: The records are the subject of a litigation discovery request.
• FOIL/ Information Request: The records are the subject of a current, ongoing FOIL or information request that has not yet been resolved or closed.
• Legal Hold: The records are the subject of a legal hold, because a SUNY Counsel member has determined, in accordance with the SUNY Legal Proceeding Preparation (E-Discovery) Procedure Doc. No. 6610 (Appendix D) that the records may have relevance in a future litigation.
• Historic: The records could be considered historic at some point in the future. The SUNY schedule accounts for this history, as many high-level administration records of the campus are permanent. However, there will be circumstances where records may not have originated from the administration, but may still be historically relevant to the SUNY institution.
• Operational Value and Need: The SUNY office has determined that the records serve a necessary operational value to the office, and that the operational value outweighs the risks that come with holding onto the records.

The University will designate one University-wide Records Management Officer who has responsibility to maintain an inventory of records that have been disposed. Any department considering maintaining records beyond their scheduled length of time shall consult with the Records Management Officer to discuss the reasons for retaining the records and document their reasoning. Generally accepted extension to a schedule length will be documented on the SUNY Empire Retention Schedule. Extensions to records held in the Learning Management System(LMS), are accepted using the procedures listed in this policy.

Only an office or person who is the official custodian of a record has an obligation, legal or otherwise, to retain the record. If an office, or an employee, is not considered the official custodian of a particular category of records, they shall not retain the record. Maintaining records that are not the responsibility of the office or person causes redundant sets of records and confusion about which sets of records are accurate and complete.

SUNY Empire State Record Retention Schedule (SUNY Empire schedule) is the most accurate recording of documents across the University that are considered official University records, how long they should be retained for, and who the record custodian is. The SUNY Empire schedule is a living document, it is updated as ambiguity in the State and SUNY schedules are identified.

Record custodians should first look to the SUNY Empire schedule when determining how to manage a record. If the record is not listed there, the SUNY schedule should be referenced to see if the record is covered into one of the subject-matter schedules. If the SUNY Schedule does not cover a particular record, the custodian shall defer to the General Retention and Disposition Schedule for New York State Government Records. As a general rule, the SUNY records schedules outline education records, and other records specific to higher education.

Record Custodians

The University will designate custodians of each type of record as well as a Records Manager to oversee the general retention program at the University. The Records Manger will communicate the importance of following the records retention schedules through periodic training and office outreach and ensure that all employees understand the importance of adhering to the SUNY Schedule.

When determining if a record should be retained and for how long, the record custodian should first be identified. If the person with the record is not the record custodian, the record holder should contact the custodian to verify the custodian has a copy of the record. If a copy is already being retained by the custodian, the record holder should dispose of the record properly.

When any employee leaves the University for any reason it is their responsibility to place all University records in control of the University. Faculty members and instructors can find information specific to student records on Appendix G.

Record Custodians with Limited Access to the Records

Records stored in the LMS, PLA Planner and DP Planner, have limited access by employees other than those in Information Technology Services. In the SUNY Empire schedule, ITS will be listed as the record custodian, however, amendments and/or deletions of records and archives will be done with authorization by the provost or the provost’s designee.

 Records in the Learning Management System

LMS archive file represents the complete backup (database records and file attachments) of the unique course section for the term it is offered.  LMS archive files are permanently deleted (meaning non-recoverable) by ITS, with authorization from the provost or provost designee, seven years from the closing date of the term that the course section was offered.  Any request for an LMS archive file to be retained longer than the seven-year timeframe, must have written authorization from the designated leadership authority from the Office of Academic Affairs and ITS.

Confidentiality

Many records contain confidential and/or regulated private data protected by federal, state, and local regulations. Such data is defined and classified in the Universitys Enterprise Data Classification Policy.  In addition to the statutory requirements, confidential records and regulated private data must be handled in accordance with the University’s privacy and information security policies.

Preservation of Records Relevant to Legal Matters

Disposal of records (regardless of format) relevant to pending or anticipated litigation, claim, audit, agency charge, investigation, or enforcement action must be suspended until final resolution of the matter. Employees who become aware that an investigation or legal proceeding has commenced or is anticipated, must preserve all records with potential relevance.

Digitizing

Destruction of paper records can occur only upon approval by State Archives. Most records in the SUNY Schedule have been pre-authorized for replacement such that paper records which have been scanned or otherwise converted may be destroyed prior to the end of their retention period. If not pre-authorized, approval requests shall be made by the SUNY Records Management Officer upon request. If individuals intending to replace paper records with electronic or imaged copies are required to ensure that:

• the images will accurately and completely reproduce all the information in the records being imaged;
• the imaged records will not be rendered unusable due to changing or proprietary technology before their retention and preservation requirements are met;
• the imaging system will not permit additions, deletions, or changes to the images without leaving a record of such additions, deletions, or changes; and
• designees of the State University of New York will be able to authenticate the imaged records by competent testimony or affidavit which shall include the manner or method by which tampering or degradation of the reproduction is prevented.

After proper digitization, the approved paper records shall be disposed of in the proper manner.

Email (and Instant Message)

Retention periods are tied to the information in a record, not the medium on which it is stored. Emails are one medium in which a record is stored and are subject to the same retention schedule as any other medium. The content of the email will determine what, if any, type (classification) of records the email falls under. Emails that fall into specific categories of records on the two records schedules should be kept in accordance with the corresponding schedule item. Emails that do not fall into a category of records identified on either the SUNY schedule or the State schedule are likely not records, and should be deleted permanently unless they serve an important operational value to the employee or are subject to a legal hold. Any email, or instant message thread, that is kept is subject to a FOIL request or e-Discovery. When a public request for information occurs, the more documents/records/data the University has to sort through, the more expensive and disruptive the request will be to the normal operation of a campus. If an email or instant message is unnecessary, it should be permanently deleted. More information on email records can be found in the SUNY Email Retention Guidance (Appendix E).

Destroying Records

Any record that is past the retention period or is a duplicate should be destroyed. Records containing confidential or sensitive information must be shredded. Any records that are not confidential can be recycled. Digital records should be permanently deleted. It is the responsibility of ITS to initiate the destruction of records in the LMS. Authorization of destruction is given by the provost or the provosts designee as stated above. Any record that is being held short of the retention period requires authorization from the State Archives to do so. This process is facilitated through the SUNY System-wide Records Management Officer to State Archives. Any individual wishing to make these requests at SUNY Empire should contact the Records Manager. The Records Manager will facilitate the request with the SUNY System-wide Records Management Officer.

1. Where the sponsor has a published statement that they do not fund fringe benefits or indirect costs; or
2. Where the exception has been approved by both the Office of Sponsored Programs and a representative of the Office of Administration. Such exceptions may be for elimination of recovery or for use of a lower rate.

Any requests for an exception to this policy should come from the Project Director and must include documentation supporting the request.

Each Identity Theft Prevention Program must include written policies and procedures for: (1) identifying "covered accounts"; (2) identifying relevant patterns, practices, and forms of activity within those accounts that are “red flags” signaling possible identity theft; (3) detecting red flags; (4) responding appropriately to any red flags that are detected in order to prevent and mitigate identity theft; and, (5) administering the program in a manner that ensures proper staff training, implementation, oversight, and updating.

Under FACTA, the FTC may impose civil penalties on institutions that fail to comply with the Red Flags Rule.

This Identity Theft Prevention Program ("Program") was developed pursuant to a SUNY policy adopted by the Board of Trustees on May 12, 2009 in order to comply with the Federal Trade Commission's Red Flags Rule (16 CFR 681.2). The purpose of this Program is to prevent frauds committed by the misuse of identifying information (i.e. identity theft). The Program aims to accomplish this goal by identifying accounts maintained by the University which may be susceptible to fraud (hereinafter "Covered Accounts"), identifying possible indications of identity theft activity associated with those accounts (hereinafter "Red Flags"), devising methods to detect such activity, and responding appropriately when such activity is detected.

Program Administration and Oversight

The President has designated the Vice President for Administration as Program Administrator to oversee administration of this Program. The Program Administrator may designate additional staff of the University to undertake responsibility for training personnel, monitoring service providers, and updating the Program, all under the supervision of the Program Administrator.

The Program Administrator or designees shall identify and train responsible staff, as necessary, to effectively implement and apply the Program. All University personnel are expected to assist the Program Administrator in implementing and maintaining the Program.

The Program Administrator or designees shall review service provider agreements and monitor service providers, where applicable, to ensure that such providers have adequate identity theft prevention programs in place. When the Program Administrator determines that a service provider is not adequately guarding against threats of identity theft, he/she shall have the authority to take necessary corrective action, including termination of the service provider's relationship with the University.

Prior to the beginning of each academic year, the Program Administrator shall evaluate the Program to determine whether it is functioning adequately. This evaluation shall include: a case-by-case assessment of incidents of identity theft or attempted identity theft that occurred during the previous academic year; interviews with Responsible Staff; and a survey of all accounts maintained by the University to identify any additional Covered Accounts. In response to this annual evaluation, the Program Administrator shall recommend amendments to this Program for approval by the President.

The Program Administrator shall maintain records relevant to the Program, including: the Written Program; documentation on training; documentation on instances of identity theft and attempted identity theft; contracts with service providers that perform activities related to Covered Accounts; and updates to the Written Program. From time to time, the University Vice President for Administration, or other designated internal control officer, may perform audits to determine if various segments of the University are in compliance with the Program.

Covered Accounts; Responsible Staff; Red Flags; Responses:

In accordance with these regulations, a qualified person with a disability who meets the academic and technical standards required to enroll in and participate in the Empire State University program shall be provided an equal opportunity to obtain a degree in the most integrated setting appropriate to that person’s needs. Empire State University makes reasonable accommodation to meet the needs of students with disabling conditions. Reasonable accommodation does not include academic adjustments that would fundamentally alter the nature, essential requirements or academic standards of the program.

The university considers each student’s individual needs through consultation with the student’s center or unit and the director of Accessibility Resources and Services.

The director of Accessibility Resources and Services, coordinates the university’s compliance with Section 504, ADA and their implementing regulations with respect to students. Questions concerning the university’s policy should be directed to the director of Accessibility Resources and Services, Empire State University, 113 West Ave., Saratoga Springs, NY 12866-4390, 518-587-2100, ext. 2244 or email Disability.Services@sunyempire.edu.

This policy does not pertain to acts of discrimination, or harassment, including sexual harassment. For such matters, the Discrimination Complaint Procedures should be referenced. 

In all the below scenarios, when the SUNY Empire Office of Safety & Security is informed of an incident anonymity of the reporter, victim and accused can be preserved. Names and details are not necessary to report incidents.

Anyone who witnesses, is the victim of, or involved in any violation of the law such as assault, robbery, theft, or acts of sexual violence, that could conceivably pose a threat to the health and safety of any person(s) on University owned or leased property or any during any University sponsored activity should contact the local police agency (911) and follow their directions. In addition, the individual should immediately report the incident to the Office of Safety & Security at 518-580-2900 or ext. 2900, who will inform additional University employees, as applicable. Offenses or incidents of a lesser nature including, but not limited to: property crimes and larceny shall be immediately reported to the Office of Safety & Security who will inform additional University employees, as applicable.

If an individual notices a person(s) acting suspiciously at a Saratoga location, she/he should contact the Office of Safety and Security at 518-580-2900 or ext. 2900 or the local police agency (911), based on the situation. In all other locations, individuals should contact the local police agency (911), then contact the Office of Safety and Security at 518-580-2900 or ext. 2900

Incidents requiring medical attention should be reported to local police agency (911) center. In addition, the individual should immediately report the incident to the Office of Safety & Security at 518-580-2900 or ext. 2900 who will inform additional University employees, as applicable. The Office of Safety and Security will complete an incident report.

All Empire State University locations on other SUNY University campuses are required to adhere to that respective University emergency notification protocols. Please contact the SUNY Empire State University Office of Safety and Security if you need information regarding the protocols of partnering institutions.

If an Empire State University employee is made aware of a non-emergent incident that occurred on another SUNY University campus, the Empire State University Office of Safety and Security shall be notified at 518-580-2900 or ext. 2900.

Compliance with the Jeanine Clery Act 34 CFR § 668.46

Timely Warnings and Emergency Notifications

If there is an immediate threat to the health or safety of students or employees occurring on campus, SUNY Empire will immediately issue an emergency notification to the campus community in the geographical area effected by the emergency, upon confirmation of the significant emergency or dangerous situation. The entire University community will receive adequate follow-up information as needed.

SUNY Empire will provide information to the entire University community regarding crimes that are considered by the institution to represent a threat to students and employees. Notifications such as this are considered timely warnings and are aimed at the prevention of similar crimes occurring.

Identification of University Campus Security Authorities

As required under, (34 CFR 668.46a), the University must designate certain personnel as “Campus Security Authorities” (CSA). A CSA must report to the Director of Safety and Security, any allegations of Clery Act crimes that are “made in good faith.” A CSA must report the statistic (i.e., “1 Robbery at Rochester”, or “1 Motor Vehicle Theft at Corning”, etc.) regardless of whether the victim wants to speak to the police. Anonymity of the victim and the accused can be preserved.  The Office of Safety and Security, with assistance from the Office of Human Resources, provides training to CSA’s annually to notify them of their status and explain what is expected of them.

The following persons are recognized as Campus Security Authorities. The Office of Human Resources maintains an updated list of individuals.

• President’s Council members
• Associate Vice Presidents
• Assistant Vice Presidents
• Provost’s Council members
• Provost
• Vice Provosts
• Deans
• Associate Deans
• Department Chairs
• Associate Department Chairs
• Programs Coordinators
• Chief Diversity Officer
• Financial Aid professionals/employees
• Student Accounts professionals/employees
• Student Information Center (SIC) professionals/ 1 Stop Student Services
• Student Success and Development Coordinators (SSDC)
• Academic Support professionals/employees
• Library professionals/employees
• Student Life professionals/employees
• Accessibility Resources and Services professionals/employees
• Office of Enrollment Management (OEM) professionals/employees
• Student Academic Services (SAS) professionals/employees
• Office of the Registrar professionals/employees
• Mentors - all faculty

• Submission to such conduct is made either explicitly or implicitly a term or condition of employment or academic benefit; or

• Submission to or rejection of the conduct is used as the basis for an employment or academic decision affecting the person rejecting or submitting to the conduct; or

• The conduct has the purpose or effect of unreasonably interfering with an affected person’s work or academic performance, or creating an intimidating, hostile or offensive work or learning environment.

Sexual harassment can include physical touching, verbal comments, non-verbal conduct such as leering or inappropriate written or electronic communications, or a combination of these things.  Examples of sexual harassment may include, but are not limited to:

• Seeking sexual favors or a sexual relationship in return for the promise of a favorable grade or academic opportunity;
   
•  Conditioning an employment-related action (such as hiring, promotion, salary increase, or performance appraisal) on a sexual favor or relationship; or

• Intentional and undesired physical contact, sexually explicit language or writing, lewd pictures or notes, and other forms of sexually offensive conduct by individuals in positions of authority, co-workers or student peers, that unreasonably interferes with the ability of a person to perform their employment or academic responsibilities.

• Physical acts of a sexual nature, such as:
• Touching, pinching, patting, kissing, hugging, grabbing, brushing against, or poking another person’s body;
• Rape, sexual battery, molestation or attempts to commit these assaults.
   
• Unwanted sexual advances or propositions, such as:
• Requests for sexual favors accompanied by implied or overt threats concerning a target’s job performance evaluation, a promotion or other job benefits or detriments, or an educational benefit or detriment;
• Subtle or obvious pressure for unwelcome sexual activities.
   
• Sexually oriented gestures, noises, remarks, jokes or comments about a person’s sexuality or sexual experience, which create a hostile environment.
• Sex stereotyping occurs when conduct or personality traits are considered inappropriate simply because they may not conform to other people's ideas or perceptions about how individuals of a particular sex should act or look.
   
• Sexual or discriminatory displays or publications, such as:
• Displaying pictures, posters, calendars, graffiti, objects, promotional material, reading materials or other materials that are sexually demeaning or pornographic. This includes such sexual displays on computers or cell phones and sharing such displays while in the workplace or classroom.
   
• Hostile actions taken against an individual because of that individual’s sex, sexual orientation, self-identified or perceived sex, gender expression, gender identity, and the status of being transgender, such as:
• Interfering with, destroying or damaging a person’s workstation, tools or equipment, or otherwise interfering with the individual’s ability to perform his or her employment or academic duties;
• Sabotaging an individual’s work;
• Bullying, yelling, name-calling.

Such behavior can constitute sexual harassment regardless of the sex, gender, sexual orientation, self-identified or perceived sex, gender expression, status of being transgender, or gender identity of any of the persons involved. Sexual harassment is considered a form of employee and student misconduct which may lead to disciplinary action. Further, supervisors and managers will be subject to discipline for failing to report suspected sexual harassment or otherwise knowingly allowing sexual harassment to continue. Employees and students who believe they have been subjected to sexual harassment may use the University’s Discrimination and Sexual Harassment Complaint Procedure for more details on how to have their allegations reviewed, including a link to a complaint form.  
 
Retaliation against a person who files a complaint, serves as a witness, or assists or participates in any manner in this procedure, is unlawful, is strictly prohibited and may result in disciplinary action.  Retaliation is an adverse action taken against an individual as a result of complaining about or provides information regarding unlawful discrimination or harassment, exercising a legal right, and/or participating in a complaint investigation as a third-party witness. Adverse action includes being discharged, disciplined, discriminated against, or otherwise subject to adverse action because the individual reports an incident of sexual harassment, provides information, or otherwise assists in any investigation of a sexual harassment complaint. Participants who experience retaliation should contact the campus AAO, and may file a complaint pursuant to these procedures. The university will act positively to investigate alleged harassment and to affect remedy when an allegation is substantiated.

SUNY campuses and System Administration shall take the necessary steps to ensure that this Sexual Harassment Response and Prevention Policy Statement is distributed, implemented, and enforced in accordance with their respective policies.

The health and safety of every student at the State University of New York and its state-operated and community colleges is of utmost importance. SUNY Empire recognizes that students who have been drinking and/or using drugs, whether voluntarily or involuntarily, at the time that violence, including, but not limited to domestic violence, dating violence, stalking or sexual assault, may be hesitant to report such incidents due to fear of potential consequences for their own conduct. SUNY Empire strongly encourages students to report incidents of domestic violence, dating violence, stalking, or sexual assault to university officials. A bystander or reporting individual acting in good faith, who discloses any incident of domestic violence, dating violence, stalking, or sexual assault to SUNY Empire officials or law enforcement, will not be subject to the university's code of conduct for violations of alcohol and/or drug use policies at or near the time of the commission of the domestic violence, dating violence, stalking, or sexual assault.

STUDENTS’ BILL OF RIGHTS

The State University of New York and SUNY Empire are committed to providing options, support and assistance to victims/survivors of sexual assault, domestic violence, dating violence and/or stalking to ensure that they can continue to participate in university-wide and campus programs, activities and employment. All victims/survivors of these crimes and violations, regardless of race, color, national origin, religion, creed, age, disability, sex, gender identity or expression, sexual orientation, familial status, pregnancy, predisposing genetic characteristics, military status, domestic violence victim status, or criminal conviction, have the following rights, regardless of whether the crime or violation occurs on campus, off campus, or while studying abroad:

ALL STUDENTS HAVE THE RIGHT TO:

• Make a report to campus security, local law enforcement and/or state police;
• Have disclosures of domestic violence, dating violence, stalking, and sexual assault treated seriously;
• Make a decision about whether or not to disclose a crime or violation and participate in the judicial or conduct process and/or criminal justice process free from pressure from the institution;
• Participate in a process that is fair, impartial, and provides adequate notice and a meaningful opportunity to be heard;
• Be treated with dignity and to receive from the institution courteous, fair counseling services, where available;
• Be free from any suggestion that the reporting individual is at fault when these crimes and violations are committed, or should have acted in a different manner to avoid such crimes or violations;
• Describe the incident to as few institutional representatives as practicable and not to be required to unnecessarily repeat a description of the incident;
• Be free from retaliation by the institution, the accused, and/or the respondent, and/or their family, friends and acquaintances within the jurisdiction of the institution;
• Access to at least one level of appeal of a determination;
• Be accompanied by an advisor of choice who may assist and advise a reporting individual, accused, or respondent throughout the judicial or conduct process including during all meetings and hearings related to such process;
• Exercise civil rights and practice of religion without interference by the investigative, criminal justice, or judicial or conduct process of the university.

SEXUAL VIOLENCE RESPONSE POLICY

In accordance with the Students’ Bill of Rights, reporting individuals shall have the right to pursue more than one of the options below at the same time, or to choose not to participate in any of the options below:

I. Reporting:

• Have emergency access to a Title IX Coordinator or other appropriate official trained in interviewing victims of sexual assault who shall be available upon the first instance of disclosure by a reporting individual to provide information regarding options to proceed, and, where applicable, the importance of preserving evidence and obtaining a sexual assault forensic examination as soon as possible, and detailing that the criminal justice process utilizes different standards of proof and evidence and that any questions about whether a specific incident violated the penal law should be addressed to law enforcement or to the district attorney.”
• To disclose the incident and obtain confidential services from New York State, contact New York City or county hotlines at http://www.opdv.ny.gov/help/dvhotlines.html. Additional disclosure and assistance options are catalogued by the Office for the Prevention of Domestic Violence and presented in several languages by calling 800-942-4906 . Assistance is also available through the following organizations:
  
  • Legal Momentum: https://www.legalmomentum.org
  • NYSCASA: http://nyscasa.org/
  • NYSCADV: http://www.nyscadv.org
  • Pandora’s Project: https://pandys.org/forums/
  • GLBTQ Domestic Violence Project: https://www.bwjp.org/resource-center/resource-results/glbtq-domestic-violence-project.html
  • RAINN: https://www.rainn.org/get-help
  • Safe Horizons:  http://www.safehorizon.org
    (Note: These hotlines are for crisis intervention, resources and referrals, and are not reporting mechanisms; disclosure during a call to a hotline does not provide information to the campus. Reporting individuals are encouraged to additionally contact a confidential campus or private resource, so that the university can take appropriate action.)
• To disclose the incident to a university official, who can offer privacy and provide information about remedies, accommodations, evidence preservation and how to obtain resources. Those officials will also provide the information contained in the Students’ Bill of Rights, including the right to choose when and where to report, to be protected by the university from retaliation and to receive assistance and resources from the university. Note, university officials will disclose that they are private and not confidential resources and may still be required by law and university policy to inform one or more university officials about the incident, including but not limited to the Title IX coordinator.  They will notify reporting individuals that the criminal justice process uses different standards of proof and evidence than internal procedures and that questions about the penal law or criminal process should be directed to law enforcement or district attorney:
  • Office of Campus Safety and Security, 518-587-2100, ext. 2800, 2 Union Ave., Saratoga Springs, NY 12866; 8:00AM- 5:00PM, Monday – Friday.
  • Title IX coordinator, email: TitleIX@sunyempire.edu, or call: 800-847-3000 ext. 1009;
  • Local law enforcement office, listed at https://en.wikipedia.org/wiki/List_of_United_States_state_and_local_law_enforcement_agencies
  • State police 24-hour hotline to report sexual assault on a NY college campus, 1-844-845-7269

• To receive assistance from the university Title IX coordinator in initiating legal proceedings in family court or civil court, email: TitleIX@sunyempire.edu, or call: 800-847-3000 ext. 1009.
• To file a report of sexual assault, domestic violence, dating violence and/or stalking, and/or talk to the Title IX coordinator for information and assistance. Reports will be investigated in accordance with university policy and the reporting individual’s identity shall remain private at all times, if said reporting individual wishes to maintain privacy. If a reporting individual wishes to keep his/her identity private, he or she may call the Title IX Coordinator anonymously to discuss the situation and available options at 800-847-3000 ext. 1009 or TitleIX@sunyempire.edu.
• When the accused is an employee, a reporting individual also may report the incident to the Office of Human Resources, or may request that one of the above-referenced private employees assist in reporting to the Office of Human Resources [2 Union Ave., Saratoga Springs, NY 12866; 518-587-2100, ext. 2240]; all incidents will be shared with the Title IX coordinator. Disciplinary proceedings will be conducted in accordance with applicable collective bargaining agreements.
• When the accused is an employee, affiliated entity, or vendor to the university, university officials will, at the request of the reporting individual, assist in reporting to the appropriate office of the vendor or affiliated entity and, if the response of the vendor or affiliated entity is not sufficient, assist in obtaining a persona non grata letter, subject to legal requirements and university policy.
• The reporting individual may withdraw a complaint or involvement from the university process at any time.

II. Resources:

• To obtain effective intervention services
  
  • Sexual contact can transmit sexually transmitted infections and may result in pregnancy. Testing for STIs and emergency contraception is available at various external locations. For confidential, private, affordable same-day STI testing clinics in your local area, call 888-380-5571 (6 a.m.-10 p.m., 7 days a week).
  • Other applicable services are available from local hospitals and clinics. Please refer to resources identified in Section I-Reporting above.
  • Refer to SUNY’s list of off-campus resources at:  http://www.suny.edu/violence-response within 96 hours of an assault, you can get a sexual assault forensic examination (commonly referred to as a rape kit) at a hospital. While there should be no charge for a rape kit, there may be a charge for medical or counseling services off campus and, in some cases, insurance may be billed for services. You are encouraged to let hospital personnel know if you do not want your insurance policyholder to be notified about your access to these services. The New York State Office of Victim Services may be able to assist in compensating victims/survivors for health care and counseling services, including emergency funds. More information is at http://www.ovs.ny.gov or 800-247-8035.
  • To best preserve evidence, victims/survivors should avoid showering, washing, changing clothes, combing hair, drinking, eating, or doing anything to alter physical appearance until after a physical exam has been completed.

III. Protection and Accommodations:

• When the accused is a student, they may request to have the university issue a “No Contact Order,” consistent with university policy and procedure, meaning that continuing to contact the protected individual is a violation of university policy, and subject to additional conduct charges. If the accused and a protected person observe each other in a public place, it is the responsibility of the accused to leave the area immediately and without directly contacting the protected person. Both the accused/respondent and the reporting individual may request a prompt review of the need for and terms of a No Contact Order, consistent with university policy. Parties may submit evidence in support of their request.
• To be informed that a victim of any criminal sexual offense has legal recourse outside the university and can commence civil or criminal proceedings against the offending person(s), including but not limited to obtaining an Order of Protection or, outside of New York state, an equivalent protective or restraining order. To initiate legal proceedings, please contact the local police department or District Attorney’s office in the applicable jurisdiction. For more information from the Title IX coordinator, please contact: Title IX coordinator, 800-847-3000 ext. 1009 or TitleIX@sunyempire.edu or the Office of Campus Safety and Security 518-587-2100, ext. 2800
• To receive a copy of the Order of Protection or equivalent and have an opportunity to meet or speak with a university official who can explain the order and answer questions about it, including information from the order about the accused’s responsibility to stay away from the protected person(s); that burden does not rest on the protected person(s).
• To an explanation of the consequences for violating these orders, including but not limited to arrest, additional conduct charges, and interim suspension.
• To have assistance from the Office of Campus Safety and Security when an individual violates an Order of Protection or to call on and assist local law enforcement in facilitating an arrest for violating such an order.
• When the accused is a student and presents a continuing threat to the health and safety of the community, to have the accused subjected to interim suspension, pending the outcome of a conduct process. Parties may request a prompt review of the need for and terms of an interim suspension and to submit evidence in support of such request.
• When the accused is not a student but is a member of the university community and presents a continuing threat to the health and safety of the community, to subject the accused to interim measures in accordance with applicable collective bargaining agreements, employee handbooks and SUNY Empire policies and rules.
• When the accused is not a member of the university community, to have assistance from the Office of Campus Safety and Security or other university officials in obtaining a persona-non-grata letter, subject to legal requirements and university policy.
• To obtain reasonable and available interim measures and accommodations that effect a change in academic, employment or other applicable arrangements, in order to ensure safety, prevent retaliation and avoid an ongoing hostile environment. Parties may request a prompt review of the need for and terms of any interim measures and accommodations that directly affect them. While reporting individuals may request accommodations through any of the offices referenced in this policy, the following office can assist with these measures:
  • Title IX coordinator, 800-847-3000 ext. 1009; or email: TitleIX@sunyempire.edu
  • Director of Student Services, 1 Union Ave., Saratoga Springs, NY 12866; 518-587-2100, ext. 2463, CollegewideStudentServices@sunyempire.edu

IV.  Student Conduct Process:

• Refer to the Student Conduct Policies and Procedures to request that student conduct charges be filed against the accused. Conduct proceedings are governed by the procedures set forth in the SUNY Empire undergraduate and graduate catalogs at http://www.sunyempire.edu/academic-affairs/catalogs-guides, as well as federal and New York state law, including the due process provisions of the United States and New York state constitutions.
• Throughout conduct proceedings, the respondent and the reporting individual will have:
  • The same opportunity to be accompanied by an advisor of their choice, who may assist and advise the parties throughout the conduct process and any related hearings or meetings.  Participation of the advisor in any proceeding is governed by federal law and the Student Code of Conduct.
  • The right to a prompt response to any complaint and to have the complaint investigated and adjudicated in an impartial, timely and thorough manner by individuals who receive annual training in conducting investigations of sexual violence, the effects of trauma, impartiality, the rights of the respondent, including the right to a presumption that the respondent is “not responsible” until a finding of responsibility is made, and other issues related to sexual assault, domestic violence, dating violence and stalking.
  • The right to an investigation and process conducted in a manner that recognizes the legal and policy requirements of due process (including fairness, impartiality and a meaningful opportunity to be heard) and is not conducted by individuals with a conflict of interest.
  • The right to receive advance written or electronic notice of the date, time and location of any meeting or hearing he or she is required or eligible to attend. Accused individuals will be told the date, time, location and factual allegations concerning the violation, a reference to the specific code of conduct provisions alleged to have been violated and possible sanctions.
  • The right to due process concurrent with a criminal justice investigation and proceeding, except for temporary delays, as requested by external municipal entities, while law enforcement gathers evidence. Temporary delays should not last more than 10 days, except when law enforcement specifically requests and justifies a longer delay.
  • The right to offer evidence during an investigation and to review available relevant evidence in the case file, or otherwise held by the university.
  • The right to present evidence and testimony at a hearing, where appropriate.
  • The right to a range of options for providing testimony via alternative arrangements, including telephone/video conferencing, or testifying with a room partition.
  • The right to exclude prior sexual history with persons other than the other party in the conduct process, or their own mental health diagnosis or treatment that may determine responsibility. Past findings of domestic violence, dating violence, stalking or sexual assault may be admissible in the disciplinary stage that determines sanction.
  • The right to ask questions of the decision maker and, via the decision maker, indirectly request responses from other parties and any other witnesses present.
  • The right to make an impact statement during the point of the proceeding, where the decision maker is deliberating on appropriate sanctions.
  • The right to simultaneous (among the parties) written or electronic notification of the outcome of a conduct proceeding, including the decision, any sanctions and the rationale for the decision and sanctions.
  • The right to written or electronic notice about the sanction(s) that may be imposed on the accused, based upon the outcome of the conduct proceeding.  For students found responsible for sexual assault, the available sanctions are suspension with additional requirements and expulsion/dismissal.
  • Access to at least one level of appeal of a determination before a panel, which may include one or more students, that is fair and impartial and does not include individuals with a conflict of interest.
  • The right to access to a full and fair record of a student conduct hearing, which shall be preserved and maintained for at least five years.
    • Office of Student Services, 1 Union Ave., Saratoga Springs, NY 12866; CollegewideStudentServices@sunyempire.edu,518-587-2100, ext. 2463
  • The right to choose whether to disclose or discuss the outcome of a conduct hearing.
  • The right to have all information obtained during the course of the conduct or judicial process be protected from public release, until the appeals panel makes a final determination, unless otherwise required by law.

OPTIONS FOR CONFIDENTIALLY DISCLOSING SEXUAL VIOLENCE

The State University of New York and SUNY Empire want students to get the information and support they need, regardless of whether they move forward with a report of sexual violence to university officials, or to police. Students are encouraged to talk with someone about something they have observed or experienced, even if they are unsure that the behavior constitutes sexual violence. A conversation where questions can be answered is far superior to keeping something to yourself. Confidentiality varies, and this document is aimed at helping you understand how confidentiality applies to different resources that may be available to you.

PRIVILEGED AND CONFIDENTIAL RESOURCES:

Individuals who are confidential resources will not report crimes to law enforcement or university officials without the victims permission, except for extreme circumstances, such as a health and/or safety emergency. At SUNY Empire, a confidential service includes an off-campus professional counseling service: 

Off-campus options to disclose sexual violence confidentially include*:

• Off-campus counselors and advocates**.
  
  Crisis services offices will generally maintain confidentiality unless you request disclosure and sign a consent or waiver form. More information on an agency’s policies on confidentiality may be obtained directly from the agency.
  • New York State Coalition against Sexual Assault at http://nyscasa.org
  • Sexual Assault Nurse Examiner (SANE) at local hospitals and programs
  • Refer to SUNY’s list of off-campus resources at:  http://www.suny.edu/violence-response
  • Off-campus healthcare providers
    • Medical office and insurance billing practices may reveal information to the insurance policyholder, including medication and/or examinations paid for or administered. The New York State Office of Victim Services may be able to assist in compensating victims/survivors for health care and counseling services, including emergency compensation. More information may be found at http://www.ovs.ny.gov/files/ovs_rights_of_cv_booklet.pdf or 800-247-8035. Options are explained at http://www.ovs.ny.gov/helpforcrimevictims.html.

Privacy Versus Confidentiality:

Even SUNY Empire offices and employees who cannot guarantee confidentiality will maintain your privacy to the greatest extent possible. The information you provide to a non-confidential resource will be relayed only as necessary for the Title IX Coordinator to investigate and/or seek a resolution. SUNY Empire will limit the disclosure as much as possible, even if the Title IX coordinator determines that the request for confidentiality cannot be honored.

Requesting Confidentiality:  How SUNY Empire Will Weigh the Request and Respond

If a complainant or reporting individual wants to maintain confidentiality or does not consent to the university's interest in initiating an investigation when consulting with an SUNY Empire employee who is responsible for responding to or reporting sexual violence or sexual harassment, then the Title IX coordinator must weigh any request for confidentiality or inaction against the obligation of SUNY Empire administrators to provide a safe, non-discriminatory environment for all members of the university community, including the complainant or reporting individual.

The university will assist in making academic, employment and other reasonable and available accommodations, regardless of the reporting individuals reporting choices. While reporting individuals may request accommodations through various university offices, the following office serves as a primary point of contact to assist with these measures:

Title IX coordinator: 800-847-3000 ext. 1009

Email: TitleIX@sunyempire.edu

The university may take proactive steps, such as training or awareness efforts, to combat sexual violence in a general way that does not identify the reporting individual or the situation they disclosed.

The university may seek consent from reporting individual prior to conducting an investigation. The reporting individual may decline to consent to an investigation, and that determination will be honored unless the university's failure to act does not adequately mitigate the risk of harm to you or other members of the university community. Honoring such request may limit the university's ability to meaningfully investigate and pursue action against an accused individual. If the university determines that an investigation is required, the reporting individual will be notified and immediate action will be taken, as necessary, to provide protection and assistance.  

When the reporting individual discloses an incident to someone who is responsible for responding to or reporting sexual violence or sexual harassment, but wish to maintain confidentiality, SUNY Empire will consider many factors to determine whether to proceed despite that request. These factors include, but are not limited to:

• whether the accused has a history of violent behavior or is a repeat offender
• whether the incident represents escalation, such as a situation that previously involved sustained stalking
• the increased risk that the accused will commit additional acts of violence
• whether the accused used a weapon or force
• whether the reporting individual is a minor
• whether we possess other means to obtain evidence such as security footage, and whether the report reveals a pattern of perpetration at a given location, or by a particular group.

If the university determines that it must move forward with an investigation, the reporting individual will be notified and the university will take immediate action, as necessary, to protect and assist him, her or them.

Public Awareness/Advocacy Events:

If an individual discloses a situation through a public awareness event, such as “Take Back the Night,” candlelight vigils, protests through a student organization or other event or forum, or other public event, the university is not obligated to begin an investigation. SUNY Empire may use the information provided to inform the need for additional education and prevention efforts.

Anonymous Disclosure:

• New York State Hotline for Sexual Assault and Domestic Violence: 800-942-6906

Institutional Crime Reporting

Reports of certain crimes occurring in certain geographic locations will be included anonymously in the university Clery Act Annual Security Report that neither identifies the specifics of the crime or the identity of the reporting individual. Contact information:

• Director of Campus Safety and Security, 518-587-2300
• Title IX coordinator, 800-847-3000, ext. 1009 or TitleIX@sunyempire.edu.

SUNY Empire is obligated to issue timely warnings of Clery Act crimes occurring within relevant geography that represent a serious or continuing threat to students and employees (subject to exceptions when potentially compromising law enforcement efforts and when the warning itself could potentially identify the reporting individual or victim/survivor). A reporting individual will never be identified in a timely warning.

The Family Educational Rights and Privacy Act allows institutions to share information with parents when (1) there is a health or safety emergency, or (2) when the student is a dependent on either parent’s prior year federal income tax return. Generally, SUNY Empire will not share information about a report of sexual violence with parents without the permission of the reporting individual.

Definitions

• Bystander: a person who observes a crime, impending crime, conflict, potentially violent or violent behavior, or conduct that is in violation of rules or policies of the university.
• Bystander Intervention: involves developing the awareness, skills, and courage needed to intervene in a situation when another individual needs help. Bystander intervention allows individuals to send powerful messages about what is acceptable and expected behavior in our community.
• Code of Conduct: the written policies adopted by the university governing student behavior, rights and responsibilities while at the university.
• Confidentiality: may be offered by an individual who is not required by law to report known incidents of sexual assault or other crimes to university officials, in a manner consistent with state and federal law, including, but not limited to, 20 U.S.C. 1092(f) and 20 U.S.C. 1681(a). Licensed mental health counselors, medical providers and pastoral counselors are examples of individuals who may offer confidentiality.  University faculty and staff are mandated to report known incidences of sexual assault or other crimes to appropriate university officials, but are considered private sources. See definition of “Privacy” below.  
• Dating violence: any act of violence committed by a person who is or has been in a social relationship of a romantic or intimate nature with the victim. The existence of the relationship shall be determined based on victim’s statement with consideration of the type and length of the relationship and the frequency of interactions between the persons involved in the relationship. Such violent act may include, but are not limited to sexual or physical abuse or the threat of such abuse. Two people may be in a romantic or intimate relationship, regardless of whether the relationship is sexual in nature; however, neither a casual acquaintance nor ordinary fraternization between two individuals in a business or social context shall constitute a romantic or intimate relationship. This definition does not include acts covered under domestic violence.
• Domestic violence: any violent felony or misdemeanor crime committed by a current or former spouse or intimate partner of the victim, a person sharing a child with the victim, or a person cohabitating with the victim as a spouse or intimate partner.
• Preponderance of the evidence: the standard of proof in sexual harassment and sexual assault cases, which asks whether it is “more likely than not” that the sexual harassment or sexual violence occurred. If the evidence presented meets this standard, the accused should be found responsible.
• Privacy: may be offered by an individual when he or she is unable to offer confidentiality under the law, but shall not disclose information about a crime or incident learned from a reporting individual or bystander more than is necessary to comply with this and other applicable laws, including informing appropriate university officials.
• Responsible employee: an employee with the authority to redress sexual violence, who has been given the duty of reporting incidents of sexual violence or any other misconduct by students to the Title IX coordinator or other appropriate university official, or whom a student could reasonably believe has this authority or duty. If a responsible employee is aware of sexual violence, then the university is considered on notice of that sexual violence.
• Reporting individual: victim, survivor, complainant, claimant, witness with victim status and any other term used by the university to reference an individual who brings forth a report of a violation.
• Retaliation: adverse action against another person for reporting a violation or for participating in any way in the investigation or conduct process. Retaliation includes harassment and intimidation, including but not limited to violence, threats of violence, property destruction, adverse educational or employment consequences and bullying.
• Sex discrimination: includes all forms of sexual harassment, sexual assault, and other sexual violence by employees, students, or third parties against employees, students or third parties. Students, employees and third parties are prohibited from harassing others, whether or not the harassment occurs on a SUNY campus or during work hours. All acts of sex discrimination, including sexual harassment and sexual violence, are prohibited by Title IX.
• Sexual activity: shall have the same meaning as “sexual act” and/or “sexual contact”, per 18 U.S.C. 2246(2) and 19 U.S.C. 2246(3).
• Sexual assault: physical sexual act(s) committed against another person without consent. Sexual assault is an extreme form of sexual harassment. Sexual assault includes what is commonly known as “rape” (including “date rape” and “acquaintance rape”), fondling, statutory rape and incest. For statutory rape, the age of consent in New York State is 17 years old.
• Sexual harassment: unwelcome, gender-based verbal, non-verbal, or physical conduct that is sexual in nature and sufficiently severe, persistent, or pervasive that it unreasonably interferes with, denies or limits someone’s ability to participate in or benefit from the university's educational program and/or activities, and based on power differentials, the creation of a hostile environment, or retaliation.
• Sexual violence: physical sexual acts perpetrated against a person’s will or perpetrated where a person is incapable of giving consent. A number of different acts fall into the category of sexual violence, including, dating violence, domestic violence and sexual assault (including rape).
• Stalking: intentionally engaging in a course of conduct, directed at a specific person, which is likely to cause a reasonable person to fear for his or her safety, or the safety of others, or causes that person to suffer substantial emotional damage. Examples include: repeatedly following such person(s), repeatedly committing acts that alarm, cause fear, or seriously annoy such person(s), and that serve no legitimate purpose, and repeatedly communicating, by any means, including electronic means, with such person(s) in a manner likely to intimidate, annoy or alarm him or her.
• Title IX coordinator: Title IX of the Education Amendments of 1972 (Title IX), 20 U.S.C. Sec., 1681, et seq., states that all students have equal educational opportunity free from sex discrimination, including sexual harassment and sexual assault. The Title IX coordinator is responsible for the university's compliance with this regulation including, but not limited to systematically monitoring and evaluating policy and procedures that effectively and efficiently respond to complaints of sex discrimination. Individuals with questions or concerns related to Title IX may contact the Title IX coordinator at 800-847-3000 ext. 1009. The Title IX coordinator is either the official coordinator and/or his or her designee or designees.

Smoking and vaping are prohibited in any indoor workplace.

Non-smokers must not be exposed to second hand or side stream smoke without their consent.

All locations that are owned, leased or controlled by SUNY Empire are within the scope of this policy. All employees, students, vendors and visitors must comply with this policy and the policies established by landlords. If a smoking policy exists at a leased location which is less restrictive than the Act, the SUNY Empire occupants must be in compliance with the Act.

The decision to establish designated smoking areas in each SUNY Empire location will be made by a senior administrator. If the decision is to establish a smoking area, implementation must be discussed by the Senior Director of Operations with the CSEA and UUP chapter presidents or their designees. Designated smoking areas must be in compliance with the Act, and with other applicable building regulations and certifications, including but not limited to those buildings recognized by the Leadership in Energy and Environmental Design program.

Any State employee may contact the New York State Employee Assistance Program at 1-800-822-0244.

Compliance with the provisions of this policy is a condition of employment with the Empire State University.

Scope:

Compliance with this policy is necessary for collaboration and recognition by the Office of Communications and Marketing (OCM) as well as SUNY Empire social media leadership, which includes the Assistant Vice President of Communications and Marketing, the Director of Communications, and the Social Media Manager. Its provisions apply to all authorized social media accounts, accounts utilizing the SUNY Empire name, logo, and or torch-in-shield trademark, an official university insignia representing a university unit, program or organization, and/or the university mascot, and any site created for the purpose of conducting official business.

Faculty & Staff Social Media Usage:

Faculty and staff will refrain from posting any identifying information or student work subject to Family Educational Rights and Privacy Act (FERPA) restrictions.

Members of the university community are encouraged to remember that social media activities are, by definition, visible to others and may be shared in unpredictable ways with unintended audiences. In cases where personal and professional boundaries are blurred, university employees are encouraged to exercise discretion.

Do not post confidential or proprietary information about SUNY Empire, its students, its alumni, or your fellow employees. Use good ethical judgment and follow university policies and federal requirements, such as the SUNY Information Security Policy 6900 and FERPA.

Actions or statements over social media with a connection to state employment may be governed by SUNY policy and State Policies.

Personal use of social media on personal time is not governed by this policy. Personal use of social media on state time is governed by the New York State Public Officers Law and other federal, state, and local laws; SUNY Human Resources policies; and the SUNY Empire Computer Use policy. The substance of these policies is that personal use of social media should be reserved for personal time.

Official SUNY Empire Social Media Channel Usage:

Content and information released on social media is equivalent in stature to content and information released to the press and the public in any other format. It is therefore subject to review, revision, or removal at the request of the Office of Communications and Marketing.

Content and information released to the public over social media should be accurate and comply with all applicable laws (including, but not limited to, copyright, trademark, privacy statutes, accessibility standards, and defamation law) and the policies of SUNY Empire and the SUNY System.

On social media platforms that allow only one official presence per institution, the Office of Communications and Marketing will be the campus office charged with ownership and maintenance of the university's presence.

The Office of Communications and Marketing may choose to allow administrative access to social media platforms to other employees as needed, but OCM remains the owner of these platforms and retains responsibility.

The Office of Communications and Marketing utilizes university social media platforms directly under circumstances related to its communications function, including news, emergency, weather, community relations, and similar matters.

The use of social media will adhere to SUNY Empire graphic standards, writing and usage guide, and web standards, which collectively govern proper use of the university logo, seal, name, tag line, and other elements of the university's branding.

Usage of social media is governed by Section 230 of the Communications Decency Act, which provides a safe harbor for Internet Service Providers and Websites for activity that takes place on said sites, provided that the site or domain takes certain actions when legally required.

SUNY Empire social media accounts and administrators are prohibited from:

• Posting content that violates, city, state, or federal laws and regulations.
• Commenting on or posting anything related to existing or potential legal matters or litigation without appropriate approval.
• Using the university’s brand or name to endorse any view, product, private business, particular religious or other belief system (i.e., numerology, astrology), cause, or political candidate.
• Representing personal opinions as university-endorsed views or policies.
• Sharing content that is profane, violates copyrights, or does not properly credit the original content source.

Interacting with Official SUNY Empire Social Media Channels:

By posting content to any SUNY Empire social media page, users understand and acknowledge that this information is available to the public, and that other participants may use posted information beyond the control of the university. Users who do not wish to have information that they have made available via these sites used, published, copied and/or reprinted, should not post on SUNY Empire’s social media pages.

The university reserves the right to submit requests to social media publishers to have any account terminated that appears to be representing the university without authorization. No use of our copyrighted material including logos is allowed unless directly authorized by the Office of Communications and Marketing.

SUNY Empire may review content posted to its official social media pages. Comments and dialogue about SUNY Empire’s social media content are welcome and encouraged. However, the university may filter or hide content that:

• Includes profanity or is obscene (profanity filters employed as provided by, and in accordance with, platform standards).
• Constitutes a true threat or unlawful harassment.
• Violates federal, state, or local laws, or university rules or policies.
• Intentionally misleads, is factually erroneous, or libelous.
• Infringes on the confidentiality, dignity, or privacy of any party.
• Sells, solicits, or advertises products/services that are not affiliated with SUNY Empire.
• Violates the use policies promulgated by the applicable social media provider.

The university will act to protect its intellectual property, including official marks and copyrighted material, from misuse or abuse. In addition, the university will act to prevent any person or group from misrepresenting their affiliation to the university.

Acquisitions, Disposition and Disposal of State Vehicles

Decisions to acquire vehicles shall be made by the Vice President for Administration (VPAF). It is the University’s policy to purchase alternative fuel vehicles where appropriate, in accordance with the Governor’s Executive Order 4. All acquisitions of state vehicles shall be subject to approval by the State University of New York and/or the Division of the Budget, when appropriate.

Vehicles will be acquired upon appropriate budgetary considerations and after a cost/benefit analysis has been performed to determine if purchasing a vehicle is the best alternative given the proposed use of the vehicle and the estimate of annual mileage. Such analysis shall consider alternative solutions, such as car rentals, use of Office of General Services (OGS) fleet vehicles, or reimbursement of employees for personal mileage.

Upon the decision to dispose of a vehicle, the vehicle should be traded-in or surplused through OGS in accordance with state policies.

It is the responsibility of the VPAF, or designee, to inform OGS of additions or subtractions to the University’s fleet. Inventory maintenance and fleet management forms can be found on the OGS webpage for fleet management (https://ogs.ny.gov/fleet-management)

Presidential Assignment of State Vehicles

The University shall purchase and maintain a vehicle for the exclusive and unrestricted use by the University President. The President is responsible for determining the personal use of the vehicle for proper income declaration based upon IRS guidelines. Other vehicles purchased shall be assigned to individuals or departments, as directed through the VPAF.

Maintenance of State Vehicles

Routine vehicle maintenance will be arranged through the Office of Facilities.

Vehicle registration, insurance and inspection will be the responsibility of the Office of Facilities. Users must report any vehicle maintenance concerns to the Office of Facilities.

Driver Eligibility and Authorization

Drivers must be at least 18 years of age, have a valid US driver’s license, or an International Driving Permit (IDP) issued by either the American Automobile Association or American Automobile Touring Alliances National Automobile Club.

Employees or volunteers (as defined by policy) who will operate a University owned, leased or rented motor vehicle as part of their employment, either temporarily or as a part of their regular job requirements will be enrolled in the NYS Department of Motor Vehicles License Event Notification Service (LENS) (Appendix A) at the time of appointment or upon approval of their request to drive a University vehicle. The LENS program allows the Office of Safety & Security to review the driver’s record through the NYS Department of Motor Vehicles covering the most recent three (3) year period. Additionally, LENS notifies the Office of Safety & Security when an enrolled employee receives any license activity (accidents, suspensions, convictions, expirations, etc.) Safety & Security will communicate the approval/denial/revocation of driving privileges, via email, to the requesting employee, their supervisor, and the Office of Human Resources. Verbal suspension/revocation of an employee’s driving privileges is authorized in extenuating circumstances but must be followed-up in writing within 48 hours as described above.

The University reserves the right to deny, suspend or revoke the driving privileges to operate a university owned or leased vehicle based on the initial or subsequent review of an employee’s motor vehicle record per the eligibility requirements listed below. Employees with the following violations are ineligible to operate a university owned, leased or rented vehicle for three (3) years from the date of the most recent violation:

• Leaving the scene of a personal injury or property damage auto accident.
• Reckless Driving
• Driving While Intoxicated (DWI) or Driving While Ability Impaired (DWAI) alcohol or drugs.
• Vehicular homicide or assault.
• Participating in an unlawful speed contest.
• Eluding or attempted eluding of a police officer.
• Operating a vehicle with a suspended or revoked license.
• Using a motor vehicle in the furtherance of committing a crime.
• Unauthorized Use of a Motor Vehicle as defined in section 165 of the NYS Penal Law.
• Permitting unlicensed operator.
• Two (2) or more at fault accidents or moving violations in the preceding 12 months may result in denial or revocation of University vehicle driving privileges.

Other violations not listed above are subject to denial based on incident review.

Note: The listed violations must be convictions.

No employee is authorized to operate a university owned, leased, or rented vehicle with a “probationary”, “court restricted”, or “junior” license.

Even with enrollment in the LENS program, drivers are required to immediately report any change in license status (e.g., convictions, suspensions, revocations, etc.) to the Office of Safety & Security.

Prospective employees who require a driver’s license as part of their University employment may be offered conditional employment contingent upon the results of a Motor Vehicle Records LENS review.

Passengers

All passengers must be participating in university business, sponsored activity, or event at the time they are traveling in a university owned, leased, or rented vehicle. Passengers shall be limited to other employees or students unless authorized by the responsible employee’s supervisor and the Office of Safety and Security.

Personal Use

Personal use of an employer provided vehicle generally includes use of the vehicle for purposes of commuting to and from an employee’s home and his or her official workstation and other trips unrelated to work.

Vehicle Use

Scenario 1: An employee who is required to stay overnight for an out-of-town meeting drives the university vehicle to a restaurant near the overnight lodging in order to have dinner. All vehicle use in this scenario is consistent with this policy because the university vehicle is used for official business and the personal use (driving to and from the restaurant) is incidental to official business.

Scenario 2: An employee has an all-day meeting in a different part of the State. Because it would not be practical to pick up or drop off the vehicle from the official work location on the day of the meeting, the employee takes a State vehicle home the evening prior to the meeting, drives to the meeting early the next morning, drives home that evening, and returns the vehicle the following morning. All vehicle use in this scenario is consistent with this policy because driving from the official work location to home and from home back to the official work location is personal use incidental to official university business. While usage described in Scenario 2 is deemed incidental to official university business, such usage must be authorized by either the Vice-President of Administration or the Senior Director of Operations.

Scenario 3: Same facts as Scenario 2, except that on the trip back to home, the employee stops to pick up a loaf of bread and a gallon of milk at a supermarket that is on the route home. All vehicle use in this example is consistent with this policy because the brief stop at the supermarket, while clearly personal, is a minor deviation from official university business and is considered incidental to official university business.

Scenario 4: Same facts as Scenario 3, except that instead of stopping briefly at a supermarket on the route home, the employee stops at an outlet mall just off the highway to shop for one hour. Even assuming that the employee stops at the outlet mall outside of their regular work hours, using the State vehicle for outlet shopping is in violation of this policy.

Unlike the stop in Scenario 3, the purpose of this detour is not to obtain necessary items of sustenance, such as bread or milk, nor is the detour brief. For these reasons, the personal use of the vehicle is clearly not incidental to official university business.

Scenario 5: An employee takes a vehicle home overnight prior to an all-day meeting in another part of the State and leaves his vehicle at his official work location. He has tickets to a ball game the evening before this trip, and because the only vehicle he has available is the university vehicle, he drives himself and three friends to the ball game. Using the university vehicle to take friends to the ball game is in violation of this policy. First, travel to and from the ball game is clearly personal and not connected in any way to official university business. Second, carrying persons who are not State employees and who are not engaged in official university business violates this policy and creates a potential liability for the university.

Even in cases where personal use is authorized or is incidental to official business, each person operating a state vehicle is expected to exercise good judgment to avoid the appearance of impropriety.

Unauthorized use of University owned, leased, or rented vehicles for non-authorized purposes may result in suspension/revocation of University authorized driving privileges. Drivers must comply with the following when operating a University owned, leased, or rented vehicle:

• Operate vehicles in accordance with all applicable University, local, state and federal laws.
• No smoking or use of tobacco in accordance with NYS Clean Indoor Air Act.
• Assume responsibility for all operator related traffic violations, including parking citations.
• Possession and/or use of alcohol, illegal drugs or other intoxication substances in the vehicle is prohibited.
• Other than special needs, pets are prohibited in the vehicle.

Specific to fleet vehicles:

• Vehicle use must be requested and approved through the Office of Facilities.
• Vehicle operators should inspect the vehicle at the beginning and end of their driving event. Any issues shall be immediately reported to their Office of Facilities.
• Vehicle mileage, gas purchases, passengers, and trip mileage must all be recorded in vehicle logbook.
• Fuel receipts, logbooks, EZ Passes and any other applicable vehicle documentation/items shall be regularly reviewed by the employee’s supervisor, or by the Office of Facilities.
• Scrapers and snow brooms shall be used to avoid damage to wiper units/blades.

Reporting Accidents and Insurance Information

Drivers of a SUNY Empire Fleet Vehicle

The State self-insures for risks associated with fleet vehicles under the Self-Retained Auto Program (SRAP) administered through OGS.

All accidents must be immediately reported to the VPAF and the Office of Safety & Security (518) 580-2900, but no later than 24 hours after the event. If for some reason the operator is unable to report the accident, it is the responsibility of the operator's immediate supervisor to report the accident. Within 10 days of the event, the Direct of Safety and Security will require the driver to complete and sign a SUNY Empire incident report and the Department of Motor Vehicles’ Report of Motor Vehicle Accident Form (MV-104) to be submitted to SUNY Administration, and the VPAF. SUNY Administration will submit the form to OGS within 30 days of the event. SUNY Administration will additionally submit the MV-104 form to the Department of Motor Vehicles if the accident caused death, personal injury, or damage over $1,000. More information about SRAP can be found on the OGS webpage for fleet management https://ogs.ny.gov/fleet-management

Drivers of vehicles rented by SUNY Empire

Procedures for renting vehicles can be found on the University’s internal staff webpages under the heading “Travel Information”. Employees should have the rental direct billed to ensure the most coverage of insurance. The purchase of supplemental liability coverage will not be reimbursed to employees. Only authorized drivers for SUNY Empire are allowed to drive the rental vehicle at any time during the rental agreement. Drivers are authorized by filling out the travel pre-approval forms available on the internal staff webpage under the heading “Finance Office”. If renting a vehicle without using the state contract and/or direct bill or without using the university’s purchase card, the Optional Vehicle Protection (or Collision Damage Waiver [CDW]) should be purchased. This coverage shields both the employee and the State of New York from any liability for theft or damage to the rental car. The cost is typically a reimbursable expense by the State for renting a car. If using direct bill or the university’s purchase card, this protection is not necessary to add on.

All accidents must be immediately reported to the VPAF and the Office of Safety & Security, but no later than 24 hours after the event. If for some reason the operator is unable to report the accident, it is the responsibility of the operator's immediate supervisor to report the accident. Additionally, when there is damage to a rental vehicle the following reporting procedures are required by SUNY; and will be performed by the finance office upon learning of the event from the Office of Safety & Security:

• The bank from which the purchasing card was issued should be notified immediately.
• The rental agency should be notified immediately, coverage with CDW should be verified.
• If the vehicle was rented without direct bill, a purchase card, or CDW, the employee’s own car insurance should be notified immediately. It is the responsibility of the driver to notify their own insurance provider.

Additionally, when there is damage to a rental vehicle and also personal injury, the VPAF will notify SUNY Office of General Counsel immediately.

Employees and volunteers who drive rental vehicles on state business must look first to the mandated liability insurance coverage provided by the rental car company (if the vehicle is rented in NYS), then to their personal auto liability policy (unless business use is excluded) and finally to the State’s self-insurance for coverage. This means that most likely a private auto insurance company will be providing legal representation for the employee or volunteer who is sued for damages arising out of a rental car accident.

Drivers of personal vehicles being reimbursed for mileage by SUNY Empire

When driving a personal vehicle, the driver’s own personal automobile liability insurance provides the first layer of insurance coverage in an accident. All employees and volunteers should confirm their insurance carrier covers business use of their personal vehicles. If the employee’s personal insurance excludes business use, the State’s self-insurance will provide the primary coverage. Reports of accidents to the Attorney General must occur within 30 days of the event, using the following process.

If an accident occurs when driving in a personal vehicle the accident must be reported to the VPAF and the Office of Safety & Security, within 24 hours of the event. If for some reason the operator is unable to report the accident, it is the responsibility of the operator's immediate supervisor to report the accident. The driver should notify their own personal insurance company immediately. The VPAF will notify SUNY Office of General Counsel immediately, for consultation regarding the necessity of reporting to the Attorney General, and/or the Department of Motor Vehicle using form MV-104.

For all accidents

A. All New York State agencies are required to fill out and submit Form (MV-104) if the accident resulted in any of the following:

• An incident involving a fatality;
• An incident which has had or will have a significant negative impact on New York State’s insurance premiums and/or insurance coverages;
• An instance in which the New York State operator has accumulated two (2) or more moving accidents (i.e., a vehicle in motion) within a 24-month period;
• Incident(s) in which a New York State vehicle(s) is deemed to be a “total loss” where frequency and/or cost appear to be factors;
• An incident resulting in $5,000 or more in property damage;
• An incident resulting in $10,000 or more in bodily injury damages;
• Incident raising questions or concerns about fleet policy or procedure from a state risk management perspective; and
• An incident that is a legal violation that is reported through the Department of Motor Vehicles License Event Notification Service (LENS) program.

As stated in the section on fleet vehicles, this form is filled out for every accident and submitted to SUNY. If the accident has occurred in a rental vehicle or in a personal vehicle, the Director of Safety and Security will work with the driver to fill out the form and submit to SUNY within 10 days of the event. SUNY will submit to the Department of Motor Vehicles.

B. 12 NYCRR § 801.39 requires that an employer must, within eight (8) hours, orally report by telephone or in person to the nearest office of the New York State Department of Labor, Division of Safety and Health (DOSH) the in-patient hospitalization of two (2) or more employees as a result of a work-related incident. The Director of Safety and Security will perform this task.

C. Report incidents involving an automobile and a stationary object on a campus to the Office of Safety and Security. The driver will be required to fill out the Motor Vehicle Accident Report form (MV-104A). If there is personal injury involving employees, complete a SUNY Empire Accident/Injury Report Form for completing necessary worker's compensation forms.

Faculty are responsible for establishing methods and criteria for evaluation and evaluating a student’s performance in learning contracts, courses, final projects, exams, prior learning assessments, etc. Evaluations of students, awards of academic credit and other academic judgments are based upon academic performance and the application of relevant academic policies.

Academic judgments made by faculty and other academic professionals are recorded in university documents, such as:

• course outcomes, and grades;
• evaluations of prior learning; and
• written academic decisions made by assessment committees, academic review committees,  or other academic staff.

Students may appeal an academic decision if they believe that an academic judgment was unfair or that the university's academic policies were not followed or were applied incorrectly.  Both student and instructor or decision-maker involved in the appeal have a right to a meaningful opportunity to be heard and to respond to information and documentation presented.

Grades on individual assignments may not be appealed.

Procedures for Appeals of Academic Decisions

The dean or designee for the program where an academic decision was made is responsible for administering the appeals process.

If the relevant administrator made the original academic decision while serving in the role of mentor, instructor, or evaluator, an appropriate administrator will be assigned to the administrative role in the appeals process.

The locus of appeal is with the program or academic unit where the original academic decision was made. For example, if a student enrolls in a Nursing course and appeals the course outcome, the appeal is reviewed by the School of Nursing and Allied Health. Questions about the appropriate locus of an appeal are resolved by the provost or designee.

The university appeals process includes an informal resolution procedure as well as a procedure for formal appeal of an academic decision. The university expects the student to attempt an informal resolution before making a formal appeal.

A. Procedure for Informal Resolution

The informal resolution process includes two possible steps:

1. The student should discuss the matter directly with the party who made or represented the academic decision (instructor, mentor, assessment committee representative, assessment professional, etc.) and make a reasonable effort to resolve the issue. The student must begin such an informal resolution process within 20 business days of receiving the academic decision.
2. If no resolution is reached through the first step, or if the student is uncomfortable trying to resolve the issue directly with the appropriate party, the student should request informal resolution by the relevant dean or associate dean. This step must occur within 30 business days of the student’s receipt of the original academic decision. The dean or associate dean does not play a decision-making role; rather, he or she facilitates a resolution when possible.

B. Procedure for Formal Appeal

1. A student may initiate a formal appeal of an academic decision within 40 business days of receipt of the decision. The student submits a written appeal to the school’s dean or designee or program administrator and includes in it:

• a full description of the academic decision and the basis for the student’s appeal for reconsideration,
• a statement of the remedy the student is seeking,
• any supporting documents, such as
  • learning contract/syllabus, and course outcomes and evaluations;
  • evaluations of prior learning; and
  • written academic decisions made by assessment committees, academic review committees, center or program administrators, or other academic staff.
• information on when and with whom the student attempted an informal resolution.

2.Initial Review

1. Based on its initial review, the school’s dean or designee may return an appeal to the student for further information or clarification. If the appeal is returned for further information or clarification, the student must submit the requested information or revision within 10 business days for the appeal to be heard.
2. Upon review of the initial or resubmitted appeal, the dean or designee may determine that there is no claim of unfairness or incorrect application of university policies is made or information to support such a claim is not included and rejects  the appeal and/or refers the student to more appropriate policies, copying the primary mentor/academic advisor
3. The dean or designee should convey a decision not to hear an appeal within 5 business days of receiving the initial or resubmitted appeal.
4. If the appeal is accepted, the Dean or designee transmits the appeal to the school’s AAHC and provides a copy to any other relevant parties.   The dean or designee should take these steps within 5 business days of receiving a complete appeal.  He or she ensures that the AAHC review takes place in a timely manner

3. AAHC Hearing

1. Each school will ensure a fair and timely hearing of the information and produce an accurate record of the hearing.  AAHC consideration of the appeal focuses only on the student’s claim of unfairness or incorrect application of university policies.
2. The AAHC may obtain additional relevant information before or after a hearing.
3. The AAHC should schedule a hearing within 20 business days of the acceptance r of an appeal to consider information relevant to the appeal. A hearing may take the form of a meeting, conference call or videoconference, at the discretion of the AAHC
4. The chair of the AAHC ensures a fair and timely consideration of the information and provides an accurate record of the hearing to the dean or designee. 
5. The student may participate in the hearing and present his or her case directly to the AAHC. Likewise, the faculty or staff member responsible for the original decision may also participate in the meeting and present relevant information. The student and the faculty/staff member meet separately with the committee.   
6. A student may have an advisor at the meeting; however, the advisor may not participate in the hearing.   

4. Following a hearing, the AAHC deliberates in closed session. Decisions are made by majority vote unless otherwise noted. The AAHC may:

• uphold the original decision,
• refer the decision back to the individual or committee making the original academic decision for reconsideration based upon AAHC findings regarding fairness and/or application of university policy, or
• revise or overturn the original decision, which requires a unanimous vote by the AAHC.
• Refer to an appropriate content expert for evaluation, which require a unanimous vote by the AAHC.

The AAHC should provide a written report to the dean within 5 business days of the hearing.

The dean notifies the student of the decision, copying the primary mentor/academic advisor, and includes a brief explanation. 

5. Reconsideration by original decision-maker. If this is the outcome of the hearing, the dean refers the decision back for reconsideration, the individual or committee making the original decision reviews the situation and may either affirm the original decision or issue a new decision. The individual or committee should convey the result in writing to the student and other relevant parties within 20 business days of the referral.