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REPORT TO THE BOARD OF REGENTS

January 21-22, 2016

KENTUCKY STATE UNIVERSITY Regular Meeting of the Board of Regents 9:00 a.m., Friday, January 22, 2016 Cooperative Extension Building, Conference Room Frankfort, Kentucky Regent Karen W. Bearden, Presiding

AGENDA *****

• I.CALL TO ORDER:
• Regent Karen Bearden, Chair
• II.ROLL CALL:
• Gordon Rowe, Secretary
• III.OPENING REMARKS:
• Regent Bearden
• IV.APPROVAL OF MINUTES:

Action Item: Approval of Minutes from the October 23, 2015 Board Meeting

V. COMMITTEE REPORTS:

• A.Academic Affairs Committee: Regent Elaine Farris Academic Affairs Update
• Action Item: Ratification and Approval of Conferral of Degrees
• B.Student Affairs Committee: Regent Ekumene Lysonge Student Affairs Update
• C.Business Affairs Committee: Regent LaVaughn Henry Business Affairs Update
• D.Audit Committee: Regent Mindy Barfield Audit Update
• Action Item: Approve Receipt of FY15 Financial Audit
• VI.TECHNOLOGY UPDATE: Wendy Dixie, Acting Chief Information Officer
• E.External Relations and Development Committee: External Relations and Development Update Regent Charles Whitehead

Regent Charles Whitehead

• Update on Oracle

• VII.UPDATE ON STRATEGIC PLANNING PROCESS Melinda Impellizzeri, Special Assistant to the President for Strategic Planning and Development
• VIII.APPROVAL OF AMENDMENT TO BOARD Regent Bearden BYLAWS TO CREATE GOVERNANCE COMMITTEE
• IX.APPROVAL OF BOARD COMMITTEES Regent Bearden CHARTERS
• X.APPROVAL OF REVISED NON-DISCRIMINATION POLICY President Raymond M. Burse
• XI.APPROVAL OF RESOLUTION President Burse APPROVING HAZARD MITIGATION PLAN
• XII.PRESIDENT'S REPORT: President Burse
• XIII.CLOSED SESSION:
• A.Pending Litigation (KRS 61.810 (1)(c))
• B.Individual Personnel Matters (KRS 61.810 (1)(f))
• C.Property Acquisition (KRS 61.810 (1)(b))
• XIV.OPEN SESSION: Regent Bearden
• XV.CLOSING REMARKS: Regent Bearden
• XVI.ADJOURNMENT

KENTUCKY STATE UNIVERSITY Regular Meeting of the Board of Regents 9:30 a.m., October 23, 2015 Cooperative Extension Building, Conference Room Frankfort, Kentucky Regent Karen Bearden, Presiding

MINUTES *****

1. Call to Order:

Chairperson Karen Bearden called the meeting of the Kentucky State University Board of Regents (the “Board”) to order on Friday, October 23, 2015, at 9:30 a.m.

II. Opening Remarks:

Chairperson Bearden welcomed the attendees to the Board meeting.

III. Roll Call:

Secretary Gordon Rowe conducted the roll call:

Ten regents were in attendance and a quorum was established.

IV. Approval of Minutes:

Action: Regent McFayden made a motion to approve the minutes from the Board of Regents meetings held on July 31, 2015. Motion was seconded by Regent Henry. The motion passed unanimously.

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V. Ratification and Approval of Appointments:

Chairperson Bearden yielded the floor to President Burse to offer recommendations for appointments. President Burse presented the following Presidential appointments for approval and ratification by the Board:

• A.Dr. Deneia Thomas as Assistant Vice President for Academic Affairs for Assessment and Evaluation at the rank of Professor in the College of Arts and Sciences Department of Behavioral and Social Sciences with tenure;
• B.Gregory Rush as Vice President for Business Affairs; and
• C.Dr. Candice Jackson as Chief of Operations with academic rank of Professor in the College of Arts and Sciences Department of Literature, Languages and Philosophy with tenure.

Regent McFayden made a motion to vote on the ratification and approval of the President's appointments. Motion was seconded by Regent Henry. Chairperson Bearden called for a vote on the motion. The appointments were ratified and approved unanimously.

VI. Election of Officer:

President Burse presented Gregory Rush, the newly confirmed Vice President for Business Affairs, and recommended that he be approved to serve as Treasurer for the Board of Regents. He commended Mr. Rush's work as Budget Director and stated that it was customary for the Vice President for Business Affairs to serve as Board Treasurer.

Regent McFayden made a motion to vote on the election of Gregory Rush to serve as Treasurer for the Board. Regent Henry seconded the motion. Chairperson Bearden called for a vote on the motion. Mr. Rush was elected unanimously.

VII. Reports:

Academic Affairs Committee Report:

Regent Farris presented the Academic Affairs Committee report. She began by stating that a quorum was present for the committee meeting. She also stated that Dr. Lynda Brown-Wright had given the Executive Summary at the Committee meeting.

Regent Farris reported that although the 2009 Cohort showed improvement in graduation rates, graduation rates remain unacceptably low. The Committee discussed various methods to improve graduation rates. She stated that faculty, staff, and students must all be accountable. Higher expectations of both students and professors are required early on in each student's academic career. Regent

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Farris stated that retention rates have increased. Academic support programs are being coordinated to be more proactive and to connect with students when they begin their college careers. Regent Bearden and Regent Farris discussed how processes to improve retention and graduation must be part of a strategic plan.

Regent Farris discussed the analysis of online courses and stated that this is an area that requires improvement. Online courses must be clearly identified and limited for students in their first year of study.

Regent Farris gave an update on the SACSCOC review. Most of the review yielded positive comments but three recommendations were given by the review committee:

Transfer of Credit Policy for Undergraduates—the transfer policy for undergraduate students must be clearly stated and readily accessible so that students who transfer, or who are interested in transferring, will understand the University's transfer policy and receive appropriate credit for their prior coursework.

Institutional Credit for Graduate Degree Students- policy was not clear regarding transferable credit at the graduate level. The SACSCOC committee would like the policy to state emphatically that 1/3 of the credits needed for graduation must be earned at Kentucky State University. The committee requested the University rewrite the policy to make it clear at all levels.

Student Learning Outcomes- the University needs to show evidence of a commitment to continuous improvement of educational programs based on evidence from a systematic assessment of student learning. The University must show the history of academic assessment processes and how they continue to evolve and are strengthened as the central practice for informing change in all campus academic programs.

Regent Farris reported that Dr. Brown-Wright provided the Committee with a Calendar of Accreditation for Academic programs (attached as Exhibit A to the Academic Affairs Committee Report), which was reviewed and discussed by the Committee.

Regent Farris also stated that the search for permanent Department Chairs is ongoing.

Chairperson Bearden inquired as to whether Dr. Brown-Wright and the committee discussed accountability of all stakeholders in regard to graduation rates. Regent Farris responded that the committee had a “robust” discussion in

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regard to the responsibilities of all involved to improve the educational process and graduation rates.

President Burse cited a Lexington Herald-Leader article that echoed Regent Farris's statement that retention and graduation are moral imperatives.

No action was taken by the Board in regard to the Academic Affairs report.

Student Affairs Committee Report

Regent Oldham presented the Student Affairs Committee Report. She began by stating that a quorum was present for the Committee meeting. Regent Oldham stated that a report was given to the Committee by Francene Gilmer, the interim Vice President for Student Affairs. She reported that the Committee accepted and approved the minutes from the prior Committee meeting. Regent Oldham stated that the Committee had reviewed enrollment for Fall Semester and was concerned about the low enrollment numbers. Regent Oldham reported that an Enrollment Management Committee has been formed. That committee consists of a cross-section of administrative and professional staff members from the Office of Admissions, Financial Aid, Housing and the Registrar's Office, who will assess and improve student enrollment initiatives. President Burse expressed his concern that based upon current application and acceptance rates, the enrollment for Fall Semester 2016 could be even lower, in the absence of prompt, substantive change in the recruitment and admissions process.

Regent Oldham stated that the Student Handbook is in the process of being revised and should be completed in November 2015. Discussion ensued as to making paper and electronic copies available for easy access.

Regent Oldham reported that the Zero Tolerance Policy in regard to weapons, drugs and fighting has been a success. At the same point in Fall Semester 2014, 48 students were disciplined for drug offenses. At the time of the Committee meeting, only five students had been disciplined for drug offenses. The discipline in all cases was suspension.

Regent Oldham discussed the One Stop Shop. She stated that service in the One Stop Shop is improving based on improved phone service.

Regent Oldham gave an update on Student Life activities and reviewed some of the items on the Student Life calendar. Regent McFayden raised a concern that more effort should be made to ensure that student activities are more global in perspective and have more of a direct impact on the academic lives of students.

No Board action was taken in regard to the Student Affairs report.

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Business Affairs and Audit Committee Report

Regent Henry presented the Finance and Audit Committee Report. Regent Henry stated that there was no quorum during the meeting. Regent Henry stated that Vice President for Business Affairs Gregory Rush presented an update on Business Affairs to the Committee.

Regent Henry gave an update on debt collection stating that 1,408 accounts have been placed with three collection agencies and the Kentucky Department of Revenue. The total amount being sought on those accounts is approximately $7.7 Million. The number of accounts remaining to be placed in collections, particularly with the Kentucky Department of Revenue, is 1,668. Collection efforts on these accounts is expected in the next few months. The total amount being sought on these accounts is approximately $4 Million.

Regent Henry also stated that Mr. Rush presented an overview of the University's surplus declaration process. This process will be used to identify assets that have reached the end of their useful life and require disposal.

Regent Henry also reported that, in response to a previous request by the Board, the University conducted a physical inventory of items with an estimated value of $50,000 or more. All such items were located and verified by physical inspection.

In response to a separate Board request, the University determined that a shortage from the 2015 inventory was due to items with a combined value of $6 Million that were either missing, fully depreciated or unusable. As a result, an adjusting entry of $6 Million will be reflected in the 2014-15 audited financial statements of the University.

Regent Henry stated that the external audit is scheduled to be completed by November 15, 2015.

Regent Henry also gave an update on the general financial developments of the University. The University's Net Asset position has declined by $1.8 Million, mostly due to lower enrollment rates than those projected.

Regent Henry also discussed the treatment of pension allocations under GASB standards. Although there will be no substantive change to the University's asset position, increased pension allocations must now be reported on the balance sheet.

Regent Henry brought before the Board an action item to change meal plan rates as follows:

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• a)All resident students would have a choice between a 19-meal plan with a $200 declining balance or a 15-meal plan with a $300 declining balance, each of which would cost the student $1,675; and
• b)Commuter students could choose from three plans: a plan costing $371 with a $400 declining balance value, a 10 weekly meal plan with a $150 declining balance, which a student can purchase for $905, or a 5 weekly meal plan that would cost the student $492 and have a declining balance of $200.
• Action Item: Motion was made by Regent Guarnieri and seconded by Regent McFayden to approve an expansion of meal plan offerings for the remainder of the 2014-2015 school year. The motion was put to a vote and passed unanimously.

No Board action was taken in regard to the Business Affairs and Audit report, except for the approval of the expanded meal plan, as described above.

External Relations and Development Committee Report

Development Report

Regent Henry delivered the report of the Committee. Regent Henry stated that a quorum was present for the Committee's meeting. He also stated that Interim Vice President for External Relations and Development Max Maxwell had delivered a report to the Committee during its meeting. Regent Henry stated a $10,000 scholarship donation was given to the University by the Brown-Forman Corporation.

Regent Henry also stated that distribution of the University's Onward and Upward newsletter has remained steady but content has increased. The newsletter was sent to over 1,500 alumni electronically and to over 8,000 total alumni during the second quarter of 2015.

Regent Henry also reported on efforts to increase alumni and community support. He stated that alumni can now make contributions to the University online by credit card. Regent Henry stated that efforts are underway to have a two-day telethon to raise money for the University.

Regent Henry gave an overview of the status of social media. He stated that there has been an increase in the number of posts and likes on Facebook and Twitter. The External Relations Department has reached out to other institutions to get more informed on how to increase the University's online and social media presence.

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No Board action was taken in regard to the External Relations and Development report.

Information Technology

Interim Chief Information Officer Wendy Dixie reported that TATA International has been chosen as the Oracle PeopleSoft implementation partner and that the contract for the implementation has been signed. Ms. Dixie also stated that the first phase of the implementation, the project planning phase, was in the beginning stage. Ms. Dixie predicted that it will take approximately 9-18 months to implement the Oracle PeopleSoft system and replace Banner as the University's Enterprise Resource Planning ("ERP") System.

Ms. Dixie reported that the new ERP system should make data easier to access and analyze and provide more informative reports. President Burse added that the new system would be “transformational,” in that it will be more intuitive and more accessible and will provide consistency in reporting across departments. The new ERP system should also improve internal auditing because it will track internal controls and contains improved financial reports.

Ms. Dixie also reported that in January 2016, Blackboard will be moved to a cloud-based system. Data storage will also be moved offsite to the Commonwealth Office of Technology ("COT") in January of 2016.

No Board action was taken in regard to the Information Technology Report.

Internal Audit

Ingram Quick summarized his job duties as Internal Auditor as a dual report to the President and the Board of Regents. This working structure allows him to be more independent. His main objectives are to audit KSU's departments to ensure they are in compliance, to safeguard assets, and to ensure good governance. He will have an audit plan at the beginning of next fiscal year. Thus far, he has tagged high risk areas such as Payroll and Bursar's Office for review. Internal Audit will focus on all University processes.

No Board action was taken in regard to the Internal Audit Report.

Update on Strategic Planning Process

Melinda Impellizzeri stated the Strategic Plan is an important document for the University. A 22-member team made up of faculty, staff, students, alumni, and others in the community have been involved in twelve meetings since mid-April to discuss the development of the plan. They have also held community forums, conducted surveys, and have done extensive research as to where the University

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has been and where we want to be. They have identified 5 core values so far:

1. Integrity
2. Student Center Philosophy
3. Innovation in Scholarly Activities
4. Responsible Citizenship
5. Ethical Leadership
6. In developing the plan, the Committee is focusing on two activities at the current stage of developing the plan:
1. Competitive Benchmark Assessment
2. Institutional Effectiveness

The Strategic Plan is scheduled to be delivered to the Board at the April, 2016 meeting and is currently on track. Regent Bearden requested to see a full draft of the Strategic Plan before the January 2016 Board Meeting.

No Board action was taken in regard to the Strategic Plan report.

VIII. President's Report:

President Burse discussed the Department of Education Report Card and stated that much improvement is needed. The University needs to graduate students and make sure they can find jobs that will pay for their education.

President Burse gave an update on Health Insurance. The University had to consider alternatives to its past health plan because that plan had proposed a 34% increase in premiums due to eight major health cases. Kentucky State University now offers two plans:

1. PPO Plan
2. High Deductible Plan

KSU will help fund HSA and HRA accounts with a $500 contribution and is implementing programs to encourage healthy living. The President stated that the University will seek bids for health insurance coverage again to try to mitigate costs. He will also assess the insurance broker's performance to ensure that the University is receiving the best options and look into how the University can possibly restructure the plan(s) to reduce costs.

President Burse discussed the Tuition Stabilization Plan submitted to the Council on Post-Secondary Education (CPE). CPE asked whether there should be a current year appropriation due to lower enrollment and number of non-returning

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students due to defaulted accounts. Kentucky State University asked for approximately $6 Million in additional funding. President Burse explained the need for the funding:

1. Enhanced Academic Advising System
2. Develop Warning and Probation Program
3. Expanding Academic Support
4. Recruitment Budget to recruit Department Chairs and educational leaders
5. Improve Academic Success Program
6. Special Academic Training – Produce culturally competent teachers
7. Summer Success Academy for at-risk Freshmen
8. Scholarships for Academic Progression
9. 100% matching funds for Land Grant Programs
10. This plan request was for funding $6 Million, recurring over eight years and to be tied to retention and graduation metrics. Recommendations from CPE to the General Assembly will include a $2.7 Million Land Grant match and $3 Million in other funding. If this is approved, there will be a 27% increase in funding for KSU from the state legislature. Regent Farris recommended that the University Administration provide a draft letter for the Board of Regents and the addresses of respective legislators for the Regents to write to the legislators to demonstrate support and facilitate approval.
11. President Burse recommended that the moratorium on Tenure and Promotion be continued for one more year due to:
1. National search for all Chair positions
2. Over/Understaffing in some areas
3. Standards for tenure and promotion need to be evaluated

Action Item: Motion was made by Regent Reddy and seconded by Regent Lysonge to continue the moratorium. The motion passed 7-3.

President Burse asked to address the Board of Regents regarding a recent newspaper article. President Burse denied the accusations that he curses directly at anyone and stated that he has never, at any time, thrown anything at anyone. He also stated that he has not met with a particular former employee without witnesses because he felt this could happen. President Burse stated he has never asked anyone to be loyal to him but to KSU. He will not be deterred in his purpose. He is committed to retention and graduation of students at Kentucky State University. He and his staff are committed to doing what is best for the University.

Chairperson Bearden gave a statement that she is appreciative of President Burse's efforts and everyone else who has contributed to the transformation of

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Kentucky State University. She says that KSU must undergo a transformation of spirit. KSU is going forward and will not be distracted. We will decide our own fate. Regent Bearden wanted to be clear to students that KSU wants to be one of the best institutions of our size and that the Board of Regents supports the President and is committed to the students of KSU.

IX. Closed Session:

Action: Regent Henry made a motion to go into closed session to discuss litigation, personnel matters and property acquisitions. The motion was seconded by Regent Lysonge at 11:30 a.m. The motion passed unanimously and the Board went into closed session at that time.

The Board reconvened in open session at 11:50 a.m. Chairperson Bearden reported at that time that no action was taken by the Board in closed session.

X. Adjournment:

Action: Regent Lysonge made a motion to adjourn the Board meeting. Regent McFayden seconded the motion to adjourn. The motion passed unanimously. Chairperson Bearden adjourned the meeting at 11:55 a.m.

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KENTUCKY STATE UNIVERSITY Board of Regents Executive Committee Meeting 11:30 a.m., December 19, 2015 Julian Carroll Academic Services Building, Board Room Frankfort, Kentucky Regent Karen Bearden, Presiding

MINUTES *****

1. Call to Order:

Chairperson Karen Bearden called the meeting of the Kentucky State University Board of Regents (the “Board”) Executive Committee to order on Saturday, December 19, 2015, at 11:30 a.m.

II. Opening Remarks:

Chairperson Bearden welcomed the attendees to the Committee meeting.

III. Roll Call:

Board Secretary Gordon Rowe conducted the roll call:

Six regents were in attendance and a quorum was established.

IV. Closed Session:

Action: Regent Barfield made a motion to go into closed session to discuss pending litigation, personnel matters and property acquisition. The motion was seconded by Regent Henry at 11:31 a.m. The motion passed on a vote of 6-0, and the Committee went into closed session at that time.

V. Open Session:

The Committee reconvened in open session at 1:45 p.m. Chairperson Bearden reported that the Executive Committee took no action in the closed session.

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VI. Adjournment:

Action: Chairperson Bearden called for a vote to adjourn. Motion to adjourn was made by Regent Henry and seconded by Regent Farris. The motion passed unanimously. Chairperson Bearden adjourned the meeting at 1:46 p.m.

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Kentucky State University

Board of Regents Meeting Academic Affairs Committee

January 21, 2016

Regent Elaine Farris, Chairperson

Regent Mindy Barfield

Regent Elgie McFayden

Regent Syamala Reddy

Regent Diamond Gordon

Lynda Brown-Wright, Ph.D. Vice President for Academic Affairs, Staff

KENTUCKY STATE UNIVERSITY Regular Meeting of the Board of Regents Academic Affairs Committee January 21, 2016 Cooperative Extension Building, Conference Room Frankfort, Kentucky

MEETING INDEX

Page

Page

• Minutes of the October 22, 2015 Meeting

Minutes of the October 22, 2015 Meeting 5

• Executive Summary

Executive Summary 9

Fall Term 2015 Midterm Grade AnalysesFall Term 2015 Final Grade AnalysesAcademic Support UpdateImprovement Plan for Online CurriculumSouthern Association of Colleges and Schools Commission on Colleges UpdateFifth Year ReportSubstantive Change ReportOff-campus/Bridges ProgramUpdate on Textbook SolutionsUpdate on Faculty and Chairs SearchesArticulation Agreements UpdatesUpdate on Graduation CohortsOverview of Karla Hughes Report Findings

Appendices

• Appendices

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KENTUCKY STATE UNIVERSITY Regular Meeting of the Board of Regents Academic Affairs Committee January 21, 2016 1:00 pm to 2:30 pm Cooperative Extension Building, Conference Room Frankfort, Kentucky

AGENDA

• I.CALL TO ORDER:
• Regent Elaine Farris, Chairperson
• II.ROLL CALL:
• Lynda Brown-Wright Vice President for Academic Affairs
• III.OPENING REMARKS:
• Regent Farris
• IV.APPROVAL OF MINUTES:
• Regent Farris
• V.EXECUTIVE SUMMARY REPORT: Lynda Brown-Wright
• VI.ACTION ITEM: Ratification of Conferral of Degrees Lynda Brown-Wright
• Lynda Brown-Wright
• VII.ADJOURNMENT: Regent Farris

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KENTUCKY STATE UNIVERSITY Regular Meeting of the Board of Regents Academic Affairs Committee January 21, 2016 1:00 pm to 2:30 pm Cooperative Extension Building, Conference Room Frankfort, Kentucky

MINUTES *****

Regent Elaine Farris, Chairperson, called the Academic Affairs Committee meeting of the Kentucky State University Board of Regents to order at 10:00 a.m. on October 22, 2015. Regent Farris asked the secretary to call roll:

Elaine Farris Present Mindy Barfield Not Present Elgie McFayden Present

Syamala Reddy Not Present

Syamala Reddy Not Present Diamond Gordon Present

A quorum was declared.

Approval of Minutes

Minutes of the April 23, 2015, meeting were approved. Motion was made by Regent McFayden and seconded by Regent Gordon.

Vice President's Report

Dr. Lynda Brown-Wright began the meeting with an executive summary. She gave an update on 2009 Cohort Final Graduation Rates and reported a six-year graduation rate of 22.4%. She stated graduation rates are low and gave a comparison from past cohorts. She said the Academic Affairs team was working on ways of identifying problems and reaching out to the former students to try and get them back into the classrooms. Dr. Brown-Wright discussed a plan to improve graduation rates and stated that funding had been received from USA Funds to assist with contacting students in default to encourage those students to return to KSU. She further emphasized that in order for the graduation rates to improve, faculty, staff, and students must all be held accountable. Expectations of students and professors need to be established early. More efforts are needed to engage the students to ensure they have a firmer foundation for academic success.

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• Dr. Brown-Wright discussed retention rates. Retention rates have increased and there is a program in place to be proactive with students. Dr. Brown-Wright discussed what is being done to increase retention rates:
• I.UNV 101 – All first year students must enroll in this class. There have been issues in the past with instructors being assigned UNV 101 as an overload and an inconsistent curriculum but that is all being worked out to have dedicated instructors and standardized curriculum.
• II.Assessments – The Office of Academic Affairs is determining a different approach in assessing the course and making adjustments to better the class experience and knowledge-base for the students.
• III.Center for Academic Persistence (CAPS) – Students now have a mandatory six advisor contacts per semester, making sure there is consistency in the meetings and with the Center.
• Dr. Brown-Wright has other ideas regarding UNV 101 classes, and she and Dr. Wheeler will be discussing them, in more detail, with President Burse.

Dr. Brown-Wright gave an analysis of Online Courses at KSU. There has been much confusion with online courses, and how to determine which courses are and should continue to be defined as online and not traditional, face-to-face classes. Several first year and residential students were enrolled in online courses and should not have been. Discussion ensued on ways to clearly designate courses as online as well as course quality and development. In addition, Dr. Brown-Wright discussed not allowing first year students to enroll in online courses. Regent Farris asked that an improvement plan be presented at the next meeting and a timeline be established.

Dr. Brown-Wright discussed the Southern Association of Colleges and Schools Commission on Colleges (SACSCOC) site visit. The purpose of the visit was to determine if Kentucky State as a Level V institution continued to meet the standards for Level V institutions with its new Doctorate of Nursing Practice (DNP) program. They found that there is a need to more clearly state the transfer policy, so that students who transfer, or who are interested in transferring, will be clearly informed about transfer credits. The SACSCOC committee would like the policy to state emphatically that 1/3 of the credits must be earned at Kentucky State University. The SACSCOC committee requested that the University rewrite the policy to make it clear at all degree levels. The committee found that as part of the core mission, the University needs to show evidence of a commitment to continuous improvement of educational programs based on evidence from a systematic assessment of student learning. The University must show that it has a history of assessment processes at all levels and how they continue to evolve and are strengthened as the central practice for informing change in all campus programs.

Dr. Brown-Wright discussed the Accreditation Calendar.

Dr. Brown-Wright updated the Committee on the Department Chairs search. The goal is to have search committees in place by October 30. Dr. Brown-Wright's office will be

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very involved in the search process and will make recommendations to the President. Dr. Brown-Wright discussed advertising and publishing an advertisement that speaks to the KSU transformation and the changes that President Burse is making. She stated that Kentucky State University would be recruiting for ten Chair positions and would be looking for mechanisms and outlets to get more candidates to apply. She emphasized that it is a great time to bring on more faculty to accomplish our goals.

Adjournment

Motion for adjournment of the Academic Affairs Committee meeting was made by Regent McFayden and seconded by Regent Gordon. The meeting was adjourned at 11:57 a.m.

Approved by:

Lynda Brown-Wright, Ph.D. | Regent Elaine Farris,

Vice President for Academic Affairs Regent Elaine Farris,

Chairperson

Academic Affairs Committee

Approved with no corrections

Approved with corrections

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Agenda Item Background

Background:

The Academic Affairs Report submitted by Lynda Brown-Wright, Ph.D., Vice President for Academic Affairs is presented on the following pages.

Recommendation:

Informational Item

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KENTUCKY STATE UNIVERSITY Regular Meeting of the Board of Regents Academic Affairs Committee January 21, 2016 Cooperative Extension Building, Conference Room Frankfort, Kentucky

I. Fall Term 2015 Midterm Grades Analysis

The primary purpose for examining the midterm course grades is to provide a checkpoint for students, faculty, and University support units to assess student academic strengths and areas of need.

This report provides an overview of the fall 2015 midterm grades describing overall students' midterm grades for 2015, specifically highlighting the 2015 first-year cohort. In addition, there are comparisons with the fall 2014 midterm grades.

The Office of Institutional Research provided the total raw data counts by grade, instructor, student class, and course. The Office of Academic Assessment and Evaluation conducted further analyses using a simple t-Test for independent means to determine if there were significant differences of midterm grade outcomes between 2015 and 2014 fall undergraduate students.

Overall results for the 2015 midterm grade analyses reveal significant progress, compared to the 2014 midterm earned grades. However, a deeper exploration to inform pedagogical techniques and student behavioral correlations with earned grades is suggested. The Office of Assessment and Evaluation explored the following questions:

• is there an increase in satisfactory grades earned (C or better);
• is there a decrease in the number of earned Ds, Fs, and Ws;
• is there an increase in satisfactory grades for the 2015 first-year cohort compared to the 2014 first-year cohort;
• what are the courses with students earning the majority of Ds, Fs and Ws, and
• is there an increase in satisfactory midterm grades for fall 2015 compared to fall 2014?

The total data counts reveal that for the fall 2015 midterm grades, there were more A grades earned (n=2228; 37%) overall, than Ds, Fs, and W grades combined (n=1205; 20%) (Table 1).

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Table 1: 2015 Midterm Data Count

Likewise, overall, there were more As (n= 521; 33%) for the fall 2015 first-year cohort than Ds, Fs and Ws combined (n= 480; 28%) (Table 2).

Table 2: 2015 First Year Cohort Grades

Results show that there is an overall increase in satisfactory undergraduate grades earned (C or better) and a decrease in D, F, and W midterm grades earned for students in the fall 2015 (Chart 1).

Chart 1: 2015 Total Grades

Total Grades Earned by Class

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Chart 2: 2015 Undergraduate Grades by Percent

The total data count of satisfactory grades (C or better) for the fall 2015 first-year cohort was 1261 (72%) (Table 3).

Table 3: 2015 First Year Satisfactory Grades

Further analyses determined that there is a significant increase in satisfactory midterm grades (C or better) for fall 2015 compared to fall 2014 midterm grades at .05 confidence level (t=-11.206, df=12 (m=3.69, sd 1.33 and 3.42, sd=1.40).

The data count of midterm grades by course demonstrate that the first-year cohort received the majority of Ds, Fs, and Ws in 100 level courses, particularly BIO, BUA, CHE, CJE, ENG, HIS, UNV as well as IGS at the 200 level.

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While this increase in satisfactory grades is a commendable high point in our overall academic progression; the best overall indicator of student performance for this midterm report is in the decrease in earned Fs overall, particularly, for the 2015 first-year cohort compared to the 2014 first-year cohort (Chart 3).

Chart 3: 2015 and 2014 First Year Cohort Grades by Percent

*It is important to note that results are based on 96% of the population (I, IP, NA, NG, P, W or blank counts were excluded from analyses).

An investigation of student behavioral correlations with Ds and Fs (e.g. absenteeism, academic deficiencies, study skills) could also provide meaningful insight for students who did not make satisfactory progress, especially in the core courses.

Fall Term 2015 Final Grades Analysis

The final grades assigned by instructors are intended to convey the achievement for each student in the class. This report provides an overview of the fall 2015 final grades. In addition, there are comparisons with the fall 2014 final grades.

The Office of Institutional Research provided the total raw data counts and percent by grade, instructor, and course. In addition, a further analysis conducting a simple t-Test for independent means determined that there was significant progress between the 2015 and the 2014 fall final grades for students .05 confidence level (t=-7.827, df=13 (m=1.22, sd=.32 and 1.17, sd=.37).

Analogous to the 2015 midterm earned grades, overall results of course grades reveal there is progress compared to the 2014 final grades. The following questions were explored:

• is there an increase in satisfactory grades earned (C or better);
• is there a decrease in the number of earned Ds, Fs, and Ws;

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• how do the 2015 end of course analyses compare to midterm course analyses?
• is there an increase in satisfactory the end of course grades for fall 2015 compared to fall 2014?

The total data counts reveal that for the fall 2015 final course grades, there are more A grades earned (n=2658; 42%) overall, than Ds, Fs, and W grades combined (n=731; 12%). These results show that there is an overall increase in satisfactory grades earned (C or better) and a decrease in D, F, and W for the end of course grades earned for students in the fall 2015 (Table 4).

Table 4: 2015 Final Grade Data Count

Midterm results revealed there were more As earned overall than Ds, Fs, and Ws. The successful final grades show a 5% increase in the total As earned and a substantial 8% decrease in Ds, Fs, and Ws combined, compared to the 2015 midterm findings (Chart 4).

Chart 4: 2015 Midterm and Final Grades

Final Grades

Mid-term Grades

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Further analysis determined that there is a significant increase in satisfactory final grades (C or better) for fall 2015 compared to fall 2014. However, most commendable is the decrease in overall Ds, Fs and W's from 2014 to 2015 (Chart 5)

Table 5: 2015 and 2014 Final Grades by Total and Percent

Fall 2015

Fall 2014

It is important to note that results are based on 96% of the population (I, IP, NA, NG, P, W or blank counts were excluded from analyses).

A deeper exploration is recommended to gain insight into the correlation among student support usage, student behavior, and earned grades, in an effort to inform decision-making for academic support.

II. Academic Support Update

A. Retention Efforts for First-Year Students

1. Midterm Preparation Workshop

Center for Academic Persistence and Success (CAPS) and the Academic Center for Excellence held four pre-midterm workshops on October 13, 2015, and October 15, 2015, which were attended by 94 first-year students. Based on qualitative surveys, 95% of students believed that the workshop was helpful in improving their academic success. The participants identified three topics as most helpful: study tips, time-management, and advice from peers. Students suggested making the presentations more interactive as a way to improve the workshop.

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2. Fall Exit Surveys for First-Year Students

CAPS Advisors, in collaboration with University Orientation Instructors, administered exit surveys to gather information that would provide insight into retention. Questions explored overall experience, factors that contributed to their experiences, suggestions for university improvement, their UNV 101 experience, factors that impacted their academic ability, and enrollment plans for spring semester. Upon preliminary analysis, most students had a favorable experience overall at KSU. Some students have indicated they are planning to not return to KSU to join the military or to transfer to other universities.

Fall Exit Survey Update: Highlights of Survey

• Survey confirmed direction of restructuring UNV to be more project-based with more work completed in class than out of class. Students want more hands-on activities with more community service and group projects.
• Top things student enjoyed about UNV were the topics and the connections with professors
• Top suggested improvements for the University were housing and campus activities.
• Top possible reasons for students not returning for the spring semester were family and finances.

See Appendix A for detailed results.

3. Race to the Finish Mid-term Intervention

The Race to the Finish Project was sponsored by the Academic Center for Excellence. The project consisted of mandatory study skills workshops presented by Dr. Wheeler, attendance at residential academic support sessions and the tutorial center, and an opportunity to take advantage of an academic make-up assignment in math or English. Students opted into the program and committed to attending the workshop, attending class and attending help sessions in order to receive the opportunity to make-up/re-submit an assignment.

• An email requiring students to attend a “Race to the Finish” Workshop was sent to 497 students (383 upperclassmen and 114 first year students). Posters and flyers invited the entire campus. Sixty-nine students attended the workshops.
• o25 students volunteered to attend
• o44 students were required to attend
• Students who earned a “D” or “F” at midterm in Accelerated English or Math courses totaled 114 and were eligible to participate in the additional make-up opportunity.

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• o34 students registered for the make-up opportunity
• oAll students received a personal call to remind them of their requirements to attend class, turn in attendance sheets, attend 2 additional evening study sessions per week and attend a workshop
• o8 of the registered students did not attend a workshop
• o16 attended the study sessions
• o10 turned in attendance forms signed by professors each day to indicate their attendance in class

Race to the Finish Results

Forty-three percent of the students experienced an improvement in Accelerated Math and forty-eight of the students experienced improvement in English. Results were inconclusive as to whether or not the initiative was truly successful. While no student completed all of the requirements (attending study sessions and workshops and submitting attendance sheets), the grades of the students who completed a portion of the program have varied outcomes. The only consistent variable was attendance at the study skills workshop.

Academic support staff will implement the initiative again in the spring with the following changes:

• announce the initiative before mid-term grades;
• discontinue additional study sessions in the residence halls but encourage more attendance in ACE; and,
• streamline registration process and requirements

4. Academic Probation Program

Amp! is a retention initiative designed for first-year students on academic probation at the end of the fall semester. The initiative will feature four, 2-hour workshops on January 14-15, 2016, personalized academic plans, small group check-ins and individual coaching. Students received letters informing them of

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their required obligations to attend before Christmas break and phone calls to students began January 5, 2016.

The letter states that:

“Failure to attend a session will cause a hold to be placed on your account and your campus services will be interrupted. If you choose not to attend and your GPA falls below a 2.0, your opportunity to appeal will be jeopardized.”

Midterm grades, semester GPA, and academic standing will be used to evaluate the impact of the program.

B. Retention Efforts For Continuing Students

1. Student Success Collaborative

KSU has secured a retention management system, the Student Success Collaborative (SSC). It is a comprehensive retention solution that combines data, research, technology, and consultation to improve retention and graduation rates. Over 150 institutions have implemented the software. Features include:

• Predicative analytics and risk assessment dashboard – Provides likelihood for success each student has in current major based on historical trends. Useful reports provide insight into high risk courses, majors, and degrees. Data allows administrators to strategically direct resources to students and academic programs.
• Support for proactive interventions and early alerts – Allows effective management and tracking of at-risk student populations. Advanced filters allow advisors to customize intervention campaigns based on various factors and track outreach goals and progress.
• Comprehensive view of key student information – Student profile interface gives a comprehensive view of all academic information for students in one place. Shared notes and documentation of interactions allows faculty, advisors, and staff to assist the students more effectively.
• Campus-wide case management – Centralized communication, scheduling and documentation help to track academic support use and referrals. Built in two-way communication system allows advisors to communicate through email and text with students. Students can schedule appointments with tutors and advisors.

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• Major and career guidance tailored to each student – The “major explorer” interface provides advisors with guidance on a student’s likelihood to succeed in a range of majors at KSU. This feature also provides real-time career trend data that gives hiring demand, starting salaries, education and experience requirements.
• Central reporting to enable continuous improvement – The platform tracks and analyzes support services usage. Accessible reports show how student engagement with these services affect student outcomes.
• Integration of existing systems – The platform imports data from Oracle PeopleSoft Campus Solutions and Blackboard.

2. Student Support Services New Leadership

A new director for Student Support Services, Joseph Goodman, was hired on November 23, 2015. He has worked to recruit 66 new students for the program with a focus on first-year students and seniors in the 2010 and 2011 cohorts.

III. Improvement Plan for Online Curriculum

There is currently no policy that covers the study, teaching, and delivery of online courses at Kentucky State University. In an attempt to improve the current situation, the Vice President of Academic Affairs charged the Academic Policy Committee (APC) of the Faculty Senate to research best practices and provide recommendations to Academic Affairs on the most salient issues emerging from that study in order to develop a policy.

Nine (9) items emerged from the Committee’s study as salient to online instruction. They are detailed below. These were presented to the Faculty Senate on Monday December 14, 2015, for discussion and possible approval. They were presented to the Office of Academic Affairs as formal recommendations on 12/15/15. Upon minor changes, Senate and Presidential approval, these recommendations are expected to take effect for the fall 2016 term.

In addition to the issues detailed below, the report notes that there was no previous online classification or description, no named point person in charge of the online course review process, no named process by which the courses should be developed, and no mechanism for distinguishing or separating those students who should not take online courses from those who should not.

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Proposed Recommendations

1. Definitions of Course Modalities:

Traditional courses: Courses that meet face-to-face at a particular meeting time and location. This includes lecture, laboratory, seminar, performance, and studio courses with regular face-to-face meetings each week where those meetings are the primary method of delivering course content and assessing student learning. The number of face-to-face meetings is based upon course credit hours, SACSCOC Guidelines (See Appendix B). Traditional courses may be supplemented by announcements, notes, or assignments distributed through an online learning management system, such as Blackboard.

Hybrid courses: Courses that meet a reduced number of times at a particular time and location during the semester compared to traditional courses. The number of face-to-face meetings may vary according to the course design and objectives, but hybrid courses will require at least one on-campus meeting (such as for a final examination). Academic Affairs does not believe one on-campus meeting is appropriate and advises at least 3 or more on-campus meetings. The number of meetings, their days, and times should be published on WIRED/Banner or any other appropriate course registration system used by the University. Face-to-face meetings for hybrid courses may include, but are not limited to, presentations, performance-based assessments, discussion sessions, individual or group meetings with the instructor, or examinations. A significant portion of the course content will be distributed through an online learning management system, such as Blackboard, or over email. Hybrid courses should be designated on the course schedule with an H beside the section number. For example, “English Comp II – English 102 – H1.”

Virtual courses: Courses that have no face-to-face meetings. The entire delivery of course content and assessment of student learning is distributed through an online learning management system, such as Blackboard. Instructors of virtual courses should set aside time to communicate with students via discussion boards, email, chat, Skype, or some other method. Such virtual courses should continue to be designated on the course schedule with a V beside the section number. For example, “English Comp II – Eng 102 – V1.”

2. Changes in Course Modality

Once students have begun enrolling in a course, an instructor shall not alter the modality of the course—that is, change an on-campus course into hybrid or virtual course, or vice versa—except under extenuating circumstances and as recommended by the respective Divisional Chair of the department offering the course in consultation with the Director of Online Programs. Such changes must be approved by the Vice President of Academic Affairs.

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3. First Day of Classes for Hybrid and Virtual Courses

Hybrid and virtual courses will begin on the first day of classes for the appropriate semester or summer session.

4. Reporting Non-Attendance for Hybrid and Virtual Courses

In order for a student in a hybrid or virtual course to be considered attending for federal financial aid reporting purposes, the student must either: 1) attend a designated hybrid course meeting that occurs prior to the reporting date and complete and sign the acknowledgement page from the course syllabus or 2) log onto the online course management system, such as Blackboard, and complete the acknowledgment page from the syllabus as directed, or complete a course assignment. Note: Logging into the course by itself does not confirm attendance.

Students who have not verified their attendance by either method above by the reporting deadline will be designated as non-attending and will be removed from the course.

5. Director of Online Programs

A Director of Online Programs should be appointed. This person need not be a new hire but rather could be a staff or faculty member with extended experience or at least five years in online education, including developing and conducting online courses. If a faculty member, the Director should receive a course load reduction each semester.

Duties of the Director include, but are not limited to, serving as a go-to person for questions regarding hybrid and virtual courses; offering training and professional development opportunities for faculty interested in online teaching; working with the Divisional Chairs to identify areas of growth for online courses or programming; and reviewing courses for completeness before the semester begins, including sharing the results of the review with each instructor.

6. University-wide Distance Education Committee

A University-wide Distance Education Committee should be formed with the Director of Online Programs serving as Chair. It should be a standing committee added to the University Committee Book. The committee should have faculty representation from each College and appropriate administrative representation. The Distance Education Committee would be charged with formulating guidelines for implementing best practices in virtual courses, determining the minimal training necessary for faculty to offer a hybrid or virtual course, and reviewing assessment data for continuous improvement of virtual and hybrid courses.

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7. Procedure for Hybrid and Virtual Course Development

The faculty member should consult with the Divisional Chair to identify the need for a hybrid or virtual course. The faculty member should have completed any required training for teaching online at least one semester in advance.

Once the Chair and faculty member agree that a hybrid or virtual course will be offered online for the first time, the faculty member should develop the necessary materials (syllabus, assignments, grading rubrics, etc.), which are then reviewed by the Chair. The Division's Curriculum Committee should be notified of the development of the course. If the course is new, and meets the Chair's approval, it is then presented to the Curriculum Committee of Faculty Senate for review and approval. If the course is approved through the Faculty Senate process, the faculty member begins developing the course.

If the proposed hybrid or virtual course is an adaptation of an existing course and the Chair approves the materials, the faculty member should develop the course.

The course is then reviewed, according to the guidelines used for implementing best practices in hybrid and virtual courses by the Director of Online Programs. Any necessary changes should be communicated to the faculty member and Chair prior to the beginning of the semester, and these changes should be implemented as soon as possible upon receipt. When the course is added to the semester schedule, the Registrar should be certain to mark it with the appropriate “H” or “V” designation.

8. First-Year Students and Virtual Courses

Traditional first-year students will not take virtual courses except under extenuating circumstances as approved by the Chair of the student's major as well as the Director of Online Programs, or in cases in which an online course is required by a degree program. Extenuating circumstances might include, but are not limited to, an inability to take on-campus courses, prior success in online courses, justifiable family commitments, inflexible work schedule, medical issues, or a composite ACT score of 23 and above. Students must produce documentation to verify extenuating circumstances. First-year students seeking to enroll in a virtual course should complete a form and deliver it to the Chair who will forward it upon approval to the Director of Online Programs (See Appendix C). Academic Affairs believes the decision regarding whether a first year student can enroll in a virtual course under extenuating circumstances should be made by the VPAA.

9. Evaluation Form for Virtual Classes

This evaluation form is intended to be a component of the peer evaluation process that is already established. Instead of making a classroom observation, which is not possible for a virtual class, a peer evaluation team comprised of those experienced in teaching virtual classes will be temporarily added to the roster of the Blackboard

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shell as teaching assistants to give them access to all areas of the course. Should a division lack a sufficient number of faculty experienced in teaching virtual classes, the Chair can ask members of another division to serve, as is often done for division tenure and promotion committees. While the faculty member can request evaluation of a virtual class as part of an annual review, it is a mandatory part of the pre-tenure review process. Faculty who teach virtual classes will also be encouraged to have their classes reviewed as evidence of teaching effectiveness as part of the post-tenure review process. In the case of a class being offered as a virtual class for the first time, this review should be used to help guide the faculty member toward more effective delivery of course materials rather than as part of the formal evaluation process. Each item should be rated as “does not meet expectations,” “meets expectations,” or “exceeds expectations,” as is the case with annual review. (See Appendix D).

Explanation and Justification for Requested Change: The recommendations proposed above are driven by a need to define what the University means by virtual and hybrid courses. The Committee determined that the best way to create a consistency of quality in online instruction is to ensure courses are developed and reviewed by a defined process. The proposed Director of Online Programs would work as a “quality assurance” individual who would review courses and make suggestions for revisions according to best practices.

In identifying these best practices, the Director would be aided by the Distance Education Committee. In general, the Director would be facilitating online courses; the actual content of the courses would be evaluated within the department or division when a course is being offered virtually or as a hybrid course for the first time. The Director would oversee the training of faculty for teaching online as well as provide ongoing professional development opportunities for online faculty.

IV. Southern Association of Colleges and Schools Commission on Colleges (SACSCOC) Update

1. Fifth Year Report – The core committee has been formed and has met three times to discuss approaches to address questions for the Fifth Year Report. Other committee members have been recommended and solicited for participation. Currently, there are nine persons who comprise the group. A final calendar is being developed; however, tentative dates to submit the first and second drafts are February 1, 2016, and February 15, 2016, respectively, with a final copy due to President Burse February 22, 2016. The report is due to SACSCOC on April 1, 2016.
2. Substantive Change Report -- A final report has not been received; however, efforts to address the preliminary findings have begun. Transfer policies have been more clearly articulated on the website and will also be articulated in the upcoming Catalogue. The processes by which the University engages in

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continuous assessment is also being evaluated to address the SACSCOC concerns.

• 3. OFF Campus/ Bridges Program – Since Kentucky State University is not issuing a certificate, but only offering a course that leads to a certificate, it has been determined that no site visit from SACSCOC will be needed as previously thought. A letter explaining KSU's involvement with the program will be drafted by February 1, 2016, and upon the President's approval will be sent to SACSCOC.

V. Update on Textbook Solutions

The Office of Academic Affairs has explored alternatives to the rising cost of textbooks. Several alternatives have been discussed including the adoption of free textbooks where appropriate, and establishing a textbook rental system funded by a flat student fee. Meetings have been held with Department Chairs. Math and Science has adopted free textbooks since 2013 for several selected courses. For Math 111, 115 and 172, open source textbooks are used; a PDF version is free and can be downloaded from a site. For Math115 and 176, an inexpensive book, about $30.00, can be used for a year. If the students buy access for the homework, they can access the text and other supplemental texts online. For Biology 111, the textbook is available in a wide variety of free online formats via the website. For PHY 211 and 212, an open access text is used.

VI. Update on Faculty and Chair Searches

The original search plan was designed with 16 faculty lines across the academic departments. These included needed lines which emerged from an initial data-driven exercise counting and measuring credit hours, enrollment numbers, and number of majors to Advisors. The search plan also accounted for four retirements from the Whitney Young School of Honors and Liberal Studies, and one faculty vacancy from Public Administration.

In addition to the list of needed faculty, the search plan includes announcements for ten chair positions. Descriptions for all positions have been completed. The final set of search announcements are the four Endowed Chairs: Endowed Chair of Humanities, Endowed Chair of Math and Science, Endowed Chair of Education, and Endowed Chair of Business.

Over the course of several weeks, we have heavily scrutinized the plan and reduced the faculty search to 12, redesigned the chair profiles, requiring proficiencies in subject areas from the chairs of the departments that were originally needed by the four faculty lines being advertised. For example, the faculty originally required in Computer Science to teach Cybersecurity was deleted and the chair description for Computer Science was modified to include a proficiency in cybersecurity. Supply Chain Management and Operations were treated similarly in the School of Business as were Spanish in the

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Division of Language, Literature, and Philosophy, and Public Administration in the School of Public Administration, Social Work, and Criminal Justice.

A final review of the search plan further reduced the number, removing Mathematics and English, after carefully concluding that there were sufficient numbers of faculty in Math and sufficient numbers of English faculty, who could be staffed for the Accelerated program.

In December, 2015 the searches were submitted to Chronicle of Higher Education, paper and online, HigherEDjobs.com, and Diverse Issues, paper and online. Additionally, the job descriptions have been sent to the Academic Network and the Southern Regional Education Board databases. There is no formal closing date for faculty searches, but initial applicants are asked to apply by January 29, 2016 for all searches and the searches will remain open until filled. Academic Affairs will guide the establishment of Search Committees for all searches. Screening of the applications will begin January 15, 2016 and the final two or three candidates coming to campus by February 15, 2016. Appointments will be made on a rolling basis until searches are closed out.

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VII. Agreement Updates – Below are the current articulation agreements with status and effective dates.

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VIII. Update on Cohorts

1. 2010 Cohort Update

There are 34 students who are currently enrolled for Spring 2016 who have 94+ credit hours earned:

• Student Support Services (SSS) has been tasked with monitoring these students as over half are registered with the department. The other students are being recruited so that staff can provide intense services to ensure graduation. $50 book store cards are being used as incentives to get students to come in for a face-to-face meeting with SSS Director.
• Seven graduating seniors had Ds or Fs at midterm. Dr. Wheeler followed up with instructors and advisors on their progress. Five students had a passing grade as of December 4, 2015, and passed their courses. Two remaining students failed to take advantage of assignment extensions and re-submissions. One of these students passed the course and graduated. The other student passed one course and failed one course.

There are five students who are enrolled for Spring 2016 but have less than 91 credit hours earned but could still potentially graduate by the end of summer 2016.

There are 12 students who were not enrolled Fall 2015, but had earned between 91-154 credit hours.

• One student is in the 3 + 2 Engineering Program and is now enrolled in UK. He graduated from Kentucky State, Fall 2015.
• One student has one class left to take towards her degree completion. She is enrolled for spring 2016.
• One student did not complete the process for a grade appeal for his last course. Student will enroll spring 2016 to complete last course.
• One student received a grade appeal on December 1, 2015 and is waiting for his grade to change in the system and degree to be conferred.
• One student needs to complete the grade appeal process.
• Seven students' contact information was outdated. Student Support Services Staff will continue to find updated information through social media and current students.

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Semester Survey

Q9a) Professors

Q9b) Staff

Q9c) Academic Support

Q9d) Involvement in extracurricular activities

Q9) Rank how the following contributed to your 1st semester.

Q8) Rank the experience you had 1st semester.

OVERALL EXPERIENCE

DEMOGRAPHICS

Q1) ID# Q7) WHAT IS YOUR HOME STATE?

Q2) NAME Q7a) Kentucky

Q3) GENDER Q7b) Indiana

Q3a) Male 55% Q7c) Ohio

Q3b) Female 45% Q7d) Michigan

Q4) RACE/ETHNICITY Q7e) Illinois

Q4a) Caucasian 7% Q7f) Tennessee

Q4b) Afr. American 88% Q7g) Other - Alabama

Q4c) Hispanic 2% Q7g) Other - California

Q4d) Asian 1% Q7g) Other - Florida

Q4e) OTH - Nat. Am 1% Q7g) Other - Georgia

Q4e) OTH - Unknown 1% Q7g) Other - N. Car.

Q5) STUDENT STATUS Q7g) Other- Nebraska

Q5a) Full-time 97% Q7g) Other - New York

Q5b) Part-time 0%

Q6) DO YOU WORK?

Q6a) Yes 24%

Q6b) No 59%

Q6c) Full-time 5%

Q6d) Part-time 25%

Fall 2015 FRESHMAN END OF SEMESTER SURVEY 91 surveys completed

Appendix A

Semester Survey

Q10) Is there anything the university can do to improve the school year? 48 of 91 students (53%) responded to this question. Percentages below are based on number of respondents.

Q10)

Semester Survey

Q13) Specifically discuss things that you enjoyed about the class. 70 of 91 students (77%) responded to this question. Percentages below are based on number of respondents.

Semester Survey

Topics TOTAL 19 27% The history. 2 3% Working on building a resume/making it more professional. 2 3% Was challenged to think more thoroughly about things. 2 3% I enjoyed learning some things about the school and how it works; getting an understanding of what college is really about. 2 3% How to manage time and money. 1 1% Discussing African-American Studies. 1 1% The generality of the class, i.e. the variety of topics. 1 1% Real-life experiences and lessons learned. 1 1% Interesting topics. 1 1% Learning all things I can do with my major. 1 1% Tapping into skills on how to debate. 1 1% Learning how to manage myself through college. 1 1% Helpful tips. 1 1% Learning about technology needed to be successful within the school. 1 1% Learning how to be a leader. 1 1% Professor reactions. Based on survey responses, these comments could also refer to classes other than UNV 101. 18 26% Ms. Houston's enthusiasm and drive for us to succeed. 2 3% Professors worked with me. 1 1% They (professors) helped me plenty of times I've needed it. 1 1% Being able to work at your pace. 1 1% Professors able to work hands-on with me. 1 1% Getting to know your teacher inside and outside of class. 1 1% The involvement and teachers willing to work with you. 1 1% Loved the student/teacher relationship; very oriented with group work. 1 1% The one-on-one advising; the connection and honesty. 1 1% Connection with the teachers. 1 1% Good professors. 1 1% Teachers really were helpful. 1 1% Good professor; learned a lot. 1 1% How the teacher teaches. 1 1%

Semester Survey

How Mr. Haskins interacts with us. 1 1% How much the teacher talked. 1 1% Teachers. 1 1% Class Discussions 13 19% Class Discussions. 6 9% Talking. 3 4% Opening discussion; truth about school. 2 3% Group discussions. 1 1% I particularly enjoyed the intellectual discussions we would have as a whole class. 1 1% Although the class is the largest class I'm in I really enjoy discussions and feel comfortable in my coursework as well as among my peers. 1 1% Talks that we had about real-life situations. Instead of keeping everything so close-minded, we really compared our discussions to how it could be after college. 1 1% Class interaction 11 16% Class interaction. 2 3% We had fun learning. 1 1% I enjoyed my classes and my professors. 1 1% Enjoyed meeting new people. 1 1% The involvement within the class. 1 1% I like how we interacted with each other. 1 1% The people around me. 1 1% The people and friends. 1 1% Getting to know each other. 1 1% Enjoyed my classmates and what we did. 1 1% Size 7 10% Having a small class size. 3 4% How many students we had. 2 3% The small class sizes and the fact the teacher knows you. 1 1% Most of the classroom is small and more one-on-one with teacher. 1 1% Activities 6 9% The fun things we did. 2 3% Enjoyed the activities we did in the class this semester. 1 1% The hands on activities and different environments. 1 1% I enjoyed doing hands-on and teamwork things. 1 1%

Semester Survey

Semester Survey

Maybe more worksheets. 1 2% Overall class reactions 19 33% Nothing, great as it is. 5 9% Organization. 3 5% Have a set schedule. 2 3% Not having to do study hall/ACE hours if it isn't needed. 1 2% More online resources. 1 2% Classes more exciting. 1 2% Different location. 1 2% Make attendance mandatory. 1 2% For it not to be so early. 1 2% Do more things. 1 2% Make more interactive. 1 2% More diversity for out-of-country students. 1 2% Professor reactions. Based on survey responses, these comments could also refer to classes other than UNV 101. 7 12% Better teachers; teachers that know what's going on. 1 2% Teachers should listen a little more. 1 2% Get rid of Professor Gafford (English). 1 2% Teachers who are actually teachers and not content experts. 1 2% Having a set teacher; it was very stressful getting a new teacher out of nowhere. 1 2% Professors stay on topic. 1 2% One thing is not having teachers leave suddenly but other than that I believe this class achieved its purpose throughout the course of the semester. 1 2% Unclear answers 5 9% That I don't know because everyone learns different. 1 2% Snacks. 1 2% Unclear. 1 2% Being able to focus a little bit more studying wise. 1 2% Opening question. 1 2% Student Participation 2 3% If everyone attended class and participated. 1 2% The more people in the class the better; it is a good class. The more students in

Semester Survey

Q18) If you are coming back, rank the things you could do to ensure great academic performance?

Q17) If you are not coming back, what do you plan to do? Q17a) Work Q17b) Attend another school Q17c) Write-in (list below) Survey #32 I plan to attend Ivy Tech Community College in Indianapolis, Indiana. Then in a year or two I plan to attend the Air Force.

Q16) What reasons may cause you not to come back (list all that apply)? Q16a) Family 5% Q16b) Finances 15% Q16c) Health 2% Q16d) Grades 3% Q16e) Write-in 2% Survey #1 Change of major Survey #61 How I adjust to school

Q15) Do you plan to return to for Spring 2016 (If yes, skip #14 & 15)? Q15a) Yes 89% Q15b) No 4%

here the better you can make a good impact on students. Community service Actually spending time to go out and do community service. Having more group/volunteer work that way students can become more familiar with classmates. Mentoring Have more students who are upperclassmen mentor the freshmen.

Semester Survey

Q18e) Monitor my time with study, personal, and social activities

Southern Association of Colleges and Schools Commission on Colleges 1866 Southern Lane Decatur, Georgia 30033-4097

CREDIT HOURS

Policy Statement

As part of its review of an institution seeking initial or continuing accreditation, the Southern Association of Colleges and Schools Commission on Colleges (SACSCOC) conducts reviews of an institution's assignment of credit hours. Academic credit has provided the basis for measuring the amount of engaged learning time expected of a typical student enrolled not only in traditional classroom settings but also laboratories, studios, internships and other experiential learning, and distance and correspondence education. Students, institutions, employers, and others rely on the common currency of academic credit to support a wide range of activities, including the transfer of students from one institution to another. For several decades, the federal government has relied on credits as a measure of student academic engagement as a basis of awarding financial aid.

The purpose of this policy is to provide guidance to institutions and evaluation committees on the Commission's expectations regarding credits and to set forth the federal regulations regarding the award of credit.

Federal Definition of the Credit Hour. For purposes of the application of this policy and in accord with federal regulations, a credit hour is an amount of work represented in intended learning outcomes and verified by evidence of student achievement that is an institutionally established equivalency that reasonably approximates

1. Not less than one hour of classroom or direct faculty instruction and a minimum of two hours out of class student work each week for approximately fifteen weeks for one semester or trimester hour of credit, or ten to twelve weeks for one quarter hour of credit, or the equivalent amount of work over a different amount of time, or
2. At least an equivalent amount of work as required outlined in item 1 above for other academic activities as established by the institution including laboratory work, internships, practice, studio work, and other academic work leading to the award of credit hours.

Guidelines for Flexibility in Interpretation. An institution is responsible for determining the credit hours awarded for coursework in its programs in accordance with the definition of a credit hour for Federal program purposes. The definition does provide some flexibility for institutions in determining the appropriate amount of credit hours for student coursework.

• The institution determines the amount of credit for student work.
• A credit hour is expected to be a reasonable approximation of a minimum amount of student work in a Carnegie unit in accordance with commonly accepted practice in higher education.
• The credit hour definition is a minimum standard that does not restrict an institution from setting a higher standard that requires more student work per credit hour.

The definition does not dictate particular amounts of classroom time versus out-of-class student work.

In determining the amount of work the institution's learning outcomes will entail, the institution may take into consideration alternative delivery methods, measurements of student work, academic calendars, disciplines, and degree levels.

To the extent an institution believes that complying with the Federal definition of a credit hour would not be appropriate for academic and other institutional needs, it may adopt a separate measure for those purposes.

Credits may be awarded on the basis of documentation of the amount of work a typical student is expected to complete within a specified amount of academically engaged time, or on the basis of documented student learning calibrated to that amount of academically engaged time for a typical student.

The intent of the above flexibility as provided by Federal guidance is to recognize the differences across institutions, fields of study, types of coursework, and delivery methods, while providing a consistent measure of student work for purposes of Federal programs.

Commission Obligations in the Review of the Credit Hour. The Commission reviews the institution's (1) policies and procedures for determining credit hours, including clock to credit hour conversions, that the institution awards for coursework and (2) the application of its policies and procedures to its programs and coursework. Following the evaluation, the Commission is obligated to make a reasonable determination regarding the institution's assignment of credit hours and whether it conforms to commonly accepted practice in higher education. In doing so, the Commission may use sampling or other methods in its evaluation. As with the identification of non-compliance with other standards, the Commission is obligated to take action in accordance with that used in relation to other standards of non-compliance. If the Commission finds systemic non-compliance with this policy or significant non-compliance regarding one or more programs at the institution, the Commission is required to notify the U.S. Secretary of Education.

Procedures

1. Institutions preparing Compliance Certifications in anticipation of reaffirmation of accreditation (accredited institutions) or initial membership (candidate institutions). The institution will be required to document compliance with Federal Requirement 4.9 (Definition of Credit Hours) as relates to credit hours. If the Board imposes a public sanction or takes adverse action in part or in full for continuing non-compliance with FR 4.9 as applies to the credit hour, the Commission will notify the U.S. Secretary of Education. The institution will be informed of such action.
2. Institutions undergoing substantive change review related to an academic program review in anticipation of continuing accreditation.
3. The institution will be required to address Federal Requirement 4.9 (Definition of Credit Hours) as part of its prospectus (program expansion) or application (degree level change). Following review of the prospectus, Commission staff will refer the substantive change case to the Commission's Board of Trustees if there is evidence of non-compliance with FR 4.9. For substantive change cases involving level change, the application will automatically be forwarded to the Commission's Board of Trustees.
4. As a result of Board review that may include a site visit, if the Board imposes a public sanction or takes adverse action in part or in full for continuing non-compliance with FR 4.9 as applies to the credit hour, the Commission will notify the U.S. Secretary of Education. The institution will be informed of such action.
3. The Commission is not responsible for reviewing every course and related documentation of learning outcomes; rather, the Commission will review the policies and procedures that the institution uses to assign credit hours, with the application verified by a sampling of the institution's degrees and nondegree programs to include a variety of academic activities, disciplines, and delivery modes. The review process for sampling encompasses a varied sample of the institution's degree and nondegree programs in terms of academic discipline, level, delivery modes, and types of academic activities. In reviewing academic activities other than classroom or direct faculty instruction accompanied by out-of-class work, the Commission will determine whether an institution's processes and procedures result in the establishment of reasonable equivalencies for

2

the amount of academic work described in paragraph one of the credit hour definition within the framework of acceptable institutional practices at comparable institutions of higher education for similar programs.

4. The Commission will notify the U.S. Secretary of Education of its findings of systemic non-compliance with this policy or FR 4.9 or of significant non-compliance regarding one or more programs at the institution only after the Commission follows its review process that includes notification to the institution of non-compliance and a reasonable time period for the institution to respond to the citations and provide documentation of compliance.
5. Comprehensive Standard 3.4.6 reads as follows: “The institution employs sound and acceptable practices for determining the amount and level of credit awarded for courses, regardless of format or mode of delivery.” It is to be reviewed in conjunction with FR 4.9.

Document History Approved: Board of Trustees, June 2011 Edited: January 2012

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Appendix C

Request for First-Year Student to Enroll in Virtual Course

Instructions: Please complete the information below. This form should be signed by the Chair of the student's major, who, upon approval, will forward it to the Director of Online Programs.

Virtual courses are those with no face-to-face meetings. The entire delivery of course content and assessment of student learning is distributed through an online learning management system, such as Blackboard.

Student Name: ___ CWID: ___

The quick brown fox jumps over the lazy dog.

Home Address:

___

Street City State Zip

Home Phone: (___) ___ Advisor: ___

Course Requested: _____ Semester: _____

Reason for Requesting to Enroll in a Virtual Course (be sure to attach relevant documentation):

Explain any Prior Success in Virtual Courses:

By signing below, the student acknowledges that since there are no on-campus meetings for a virtual course, he or she recognizes the importance of the discipline required for successfully completing a virtual course, including logging on regularly and submitting assignments according to due dates.

Student's Signature: ___

Date: ___

Chair's Signature: ___ Date: ___

Appendix D

Evaluation Form for Virtual Classes

This evaluation form is intended to be a component of the peer evaluation process that is already established. Instead of making a classroom observation, which is not possible for a virtual class, a peer evaluation team comprised of those experienced in teaching virtual classes will be temporarily added to the roster of the Blackboard shell as teaching assistants to give them access to all areas of the course. Should a division lack a sufficient number of faculty experienced in teaching virtual classes, the chair can ask members of another division to serve, as is often done for division tenure and promotion committees. While the faculty member can request evaluation of a virtual class as part of an annual review, it is a mandatory part of the pre-tenure review process. Faculty who teach virtual classes will also be encouraged to have their classes reviewed as evidence of teaching effectiveness as part of the post-tenure review process. In the case of a class being offered as a virtual class for the first time, this review should be used to help guide the faculty member toward more effective delivery of course materials rather than as part of the formal evaluation process.

Each item should be rated as “does not meet expectations,” “meets expectations,” or “exceeds expectations,” as is the case with annual review.

1. Syllabus is easily accessible on website through button menu.
2. Syllabus explains the purpose and structure of the course.
3. Syllabus explains and/or links to relevant institutional policies.
4. Syllabus describes the course's objectives and suitable learning outcomes.
5. Syllabus describes and quantifies how objectives/assignments will be assessed.
6. Syllabus states the instructor's response time for e-mail inquiries and for assessment of assignments.
7. Syllabus states instructor's academic honesty/plagiarism policy, including penalty for violation.
8. Syllabus, or course link, contain a listing of assignments and deadlines.
9. Syllabus states instructor's policy regarding deadlines and (non-)acceptance of late assignments, including penalties for late assignments.
10. Course navigation facilitates ease of use.
11. All assignments and supporting documentation are clearly linked to on button menu.
12. Any grading rubric used to evaluate assignments is accessible to students.

13. The tools used in the course support the learning objectives.
14. The course site is structured to promote learner engagement.
15. The student's grades are accessible and progress in class easy is to understand.
16. The course contains a link for Course Signals to keep students aware of their progress.
17. The overall design of the course site conforms to best practices.

Agenda Item Background

Background:

According to the Board of Regents of Kentucky State University Bylaws, Article V, Section 1, one of the duties of the Board of Regents is to "...grant diplomas and confer degrees upon the recommendation of the President and faculty."

Recommendation:

Therefore, upon recommendation of the President and University Faculty, the Board is requested at this time to ratify, approve, and confer the appropriate degrees upon students who completed degree requirements and graduated on December 19, 2015.

Approval

Kentucky State University

Board of Regents Meeting Student Affairs Committee

January 21, 2016

Regent Ekumene Lysonge, Chairperson Regent David Guarnieri Regent Hettie Oldham Regent Elaine Farris Regent Diamond Gordon

Francene Gilmer, Interim Vice President for Student Affairs

KENTUCKY STATE UNIVERSITY Regular Meeting of the Board of Regents Student Affairs Committee Report January 21, 2016 4:00 p.m. Operative Extension Building Conference Room Frankfort, Kentucky

Meeting Index

PAGE

• 1. Agenda
• 4. FY 16 Recruitment Plan
• 6. Student One Stop Center Update
• 8. Scannell & Kurz Report

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KENTUCKY STATE UNIVERSITY Regular Meeting of the Board of Regents Student Affairs Committee Report January 21, 2016 4:00 p.m. Cooperative Extension Building Conference Room Frankfort, Kentucky

AGENDA

• III.OPENING REMARKS Regent Lysonge
• I.CALL TO ORDER II. ROLL CALL Regent Lysonge, Chairperson
• IV.APPROVAL OF MINUTES Regent Lysonge
• II.ROLL CALL
• Francene Gilmer, Interim Vice President for Student Affairs
• V.ADMISSIONS UPDATE Francene Gilmer
• VI.FY 16 RECRUITMENT PLAN Francene Gilmer
• VII.FINANCIAL AID UPDATE Francene Gilmer
• VIII.STUDENT ONE STOP CENTER UPDATE Francene Gilmer
• IX.SPRING 2016 CONVOCATION SCHEDULE Francene Gilmer
• AND KURZ REPORT Raymond Burse
• X.SCANNELL AND KURZ REPORT
• XI.ADJOURNMENT Regent Lysonge

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KENTUCKY STATE UNIVERSITY Regular Meeting of the Board of Regents Student Affairs Committee October 22, 2015 2:00 p.m. to 3:00 p.m. Cooperative Extension Building Conference Room Frankfort, Kentucky

MINUTES *****

Regent Hettie Oldham, acting as the Committee Chairperson, called the Student Affairs Committee meeting of the Kentucky State University Board of Regents to order at 2:00 p.m. on October 22, 2015. Regent Oldham asked the secretary to call roll:

Hettie Oldham Diamond Gordon Ekumene Lysonge

Present Present Not Present David Guarnieri Elaine Farris

David Guarnieri Elaine Farris Not Present Present

A quorum was declared.

I. Approval of Minutes

Minutes of the April 23, 2015, meeting were approved. Motion was made by Regent Farris and seconded by Regent Gordon.

II. Vice President's Report

The Office for Student Affairs report was given by Interim Vice President Ms. Francene Gilmer. As the Interim Vice President for Student Affairs, she stated that it was Student Affairs' goal to promote collaborative programming, encourage hands-on guidance for student programs and leadership development, and inspire a renewed spirit in staff members to participate in recruiting students to Kentucky State University.

The analysis of Fall 2015 enrollment charts provided by the Office of Institutional Research and Effectiveness was shared. The Office of Institutional Research also provided a report on applications for admissions in 2016 received by the Office of Admissions. As of October 8, 2015, 536 applications had been received and 81 applications were complete.

The Office of Admissions has also created an implementation plan outlining recruitment strategies. The recruitment strategies are designed to strengthen relationships and outcomes with counselors, parents, and students.

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A Student Handbook update was provided. Mr. Christopher Cribbs, Assistant Vice President for Student Affairs, has forwarded his student conduct recommendations and updates to General Counsel Gordon Rowe. Ms. Rochelle Owsley, Director of Student Life, has forwarded recommendations and updates with the exception of the Student Government Association section. Ms. Dionna McDonald, Residence Life Director, has forwarded her recommendations for updates.

Updates on the 2015 Fall Semester Zero Tolerance Policy. The difference between suspension (first offense) and expulsion (two offenses) was discussed. Between August 22, 2015, and October 22, 2015, there were four residential students suspended and two residential students expelled under the Zero Tolerance Policy (possession and/or use of marijuana).

Prior to the start of Fall 2015 classes, one student was suspended under the Zero Tolerance Policy (possession of marijuana) while visiting campus on August 10, 2015. Therefore, the total was five students suspended and two students expelled under the Zero Tolerance Policy.

As a comparison, the total Fall 2014 Zero Tolerance Policy Conduct Cases included 12 suspensions for illegal drugs, 1 warning for illegal drugs, 11 suspensions for physical abuse/fighting, and 1 expulsion for physical abuse/fighting.

The One-Stop-Shop activity report from July-September 2015 was as follows:

Suggested ideas for the redesign was to implement a One-Stop-Shop process that will expedite the processes and procedure to monitor students' financial status. A redesign of steps/timeline would require an Enrollment Management Committee to evaluate and assess the processes and procedures. The process will incorporate functions for which the Offices of Admissions, Financial Aid, Residence Life, and the Registrar are responsible.

The 2015-16 Student Life Activities Calendar was presented. This calendar included activities planned by student groups and did not include events planned by the University. The next convocation will be the Veterans Day Convocation on November 11, 2015, at 11 a.m. with Major General Peggy Combs, Commanding Officer at Ft. Knox, as the speaker.

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Regent LaVaughn Henry suggested that a survey be administered to the student body to access the current morale of the student population. He suggested that a systematic survey be in place before the January University Address.

III. Adjournment

The meeting was adjourned at 2:45 p.m. Motion made by Regent Farris and seconded by Regent Gordon.

Approved by:

Francene Gilmer, Interim Vice President for Student Affairs Regent Ekumene Lysonge, ChairpersonStudent Affairs Committee

Approved with no corrections

Approved with corrections

[5]

KENTUCKY STATE UNIVERSITY Regular Meeting of the Board of Regents Student Affairs Committee Report January 21, 2016 Cooperative Extension Building Conference Room Frankfort, Kentucky

I. Office of Admissions

The Office of Admissions is conducting a search for a Director and Assistant Director. The positions have been advertised and applications are under review. The search is open until a qualified candidate is hired. President Burse has established the Enrollment Management Task Force to manage day-to-day operations until a Director is hired.

The staff members in the Office of Admissions have re-examined the outcomes of the 2015 Spring Open House. The national ACT test date was the same date as this event, which may have been the primary reason for the low attendance. With a renewed sense of commitment for a successful 2016 event, several changes are taking place.

The following compares the previous year's Open House:

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4. Work orders to be submitted to the Office of Facilities. Date: January 15, 2016. February: Begin Media blitz. Blitz in Frankfort and service counties newspapers, radio ads, Channel 10. Date: February 1, 2016
5. Response to Registrants Response time was slow or not at all Confirmation of registration will be sent within 24 hours of receipt. Registration is submitted through the website. A form is generated once the registration is completed. Reminder emails will be sent every 14 days prior to the event. Prior to invitations being sent, a spreadsheet will be generated to track attendees. The spreadsheet will be updated daily.

University Involvement Most departments Planning meetings will include faculty, staff, and students. Prospective student engagement may include game room activities, a Greek step show, and performances by Music Department groups. January/February: The Open House Committee will convene on January 19, 2016, with assignments and subcommittees formed. Students will be involved with each subcommittee. Minutes will be taken at the meetings and agendas distributed for each meeting.

Bradford Hall and the Student Center Ballroom and Courtyard have been reserved and confirmed. Work requests will be submitted by January 29, 2016. The event has been placed on the campus-wide calendar. All arrangements for the March 26, 2016, Open House will be completed by March 11, 2016.

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The program will be drafted in detail, which includes speakers, entertainment, and activities, by February 28, 2016, to allow for adequate proofing and quality printing. The on-campus tours and other activities will be planned and scheduled to ensure that guests are able to tour the campus and participate in other activities.

II. FY 16 Recruitment Plan

Ruffalo Noel Levitz partnered with Scannell & Kurz has proposed a recruitment plan which encompasses goals, strategies, and a marketing campaign. Royall Company conducted a presentation about their marketing services.

III. The Office of Financial Aid

The Office of Financial Aid is conducting a search for a Director and Assistant Director. The positions have been advertised. Financial Aid Services, a staffing company, is being considered to provide management of the day-to-day operations.

Financial Aid reports the following information for activities conducted from October 2015 through December 2015.

Statistics for 2015-16 AY - Financial Aid Processing

Overall Statistics as of January 5, 2016

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*incomplete verification, in default, or other database problems

Overall Statistics as of January 5, 2016

Financial Aid:

Number of students currently enrolled and awarded 1292

Number of students currently enrolled but still incomplete or missing documents 34

Number of students currently enrolled but on SAP 43

Percentage of Students Receiving Institutional, Federal, and State Financial Aid 1292/1557 = 82.98%

Number of students placed in Federal Work Study 106 Awarded 99 Accepted 83 Earning Funds

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Other Projects:

Working on reconciliation of state and federal funds received

Working on clean-up for students who were packaged and did not attend

Submission of the annual Fiscal Operations Report for 2014-15 and Application to Participate for 2016-17 (FISAP) – with FISAP edit corrections due December 15, 2015

Processing all withdrawn students for possible return to Title IV Aid programs

Reviewing new 2016-2017 federal aid processing requirements and updating all KSU Financial Aid publications with necessary changes

IV. Student One Stop Center Update

One Stop Shop will return to its original name, Student One Stop (SOS) Center, and purpose as defined in the Title III grant which funds the Center. The original purpose was for the SOS enrollment services model to represent an opportunity to provide friendlier, faster, easier, and more efficient services to students with enrollment services concerns. The SOS enrollment services model evolved out of the former Office of Enrollment Management's work to fully consider (1) the most central location and optimum characteristics for such a Center, (2) what frontline services should be provided, (3) the optimum staffing of the Center, (4) requisite training and cross training mechanisms, and (5) the peak times of student needs. The Student One Stop Center is transitioning back to an enrollment services model providing efficient services to students with enrollment concerns. All enrollment issues will be filtered through the Center and a Counselor. If the Counselor is unable to resolve the issues, it will be referred to the appropriate office. The Counselor will be responsible for ensuring the issue is resolved by the office to which the student was referred within 12 hours. The resolution confirmation step has already been implemented. Revisions to the process flow will be changed as needed.

V. Spring 2016 Convocation Schedule

Thursday, January 21, 2016 State of the University – Speaker: President Raymond M. Burse

Thursday, January 28, 2016 The KSU Culture and Thorobred Student Workers – Speaker: Christopher Cribbs, Assistant Vice President for Student Affairs. The importance of learning, embracing, and exemplifying the KSU Creed and Alma Mater; student worker responsibilities,

The KSU Culture and Thorobred Student Workers – Speaker: Christopher Cribbs, Assistant Vice President for Student Affairs. The importance of learning, embracing, and exemplifying the KSU Creed and Alma Mater; student worker responsibilities,

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opportunities, and benefits. Campus Spotlight on faculty and staff members to foster a nurturing environment

Thursday, February 4, 2016 African American Living Legends – Speaker: Donald Hylton, Research Scientist at Clark Atlanta University and Thermoforming Consultant Campus Spotlight on faculty and staff members to foster a nurturing environment

Thursday, February 11, 2016 African American Living Legends – Speaker: Samuel Meaux, Principal, Tates Creek High School, Lexington, Kentucky Campus Spotlight on faculty and staff members to foster a nurturing environment

Thursday, February 18, 2016 African American Living Legends – Speaker: Regent LaVaughn Henry, Ph.D., Vice President and Sr. Regional Officer, Cincinnati Branch of Federal Reserve Bank of Cleveland Campus Spotlight on faculty and staff members to foster a nurturing environment

Tuesday, February 23, 2016 African American Living Legends – Speaker:

Tuesday, February 23, 2016 American American Living Legends Speaker. Charles J. Ogletree, Professor of Law, Harvard Law School Campus Spotlight on faculty and staff members to foster a nurturing environment

Thursday, February 25, 2016 African American Living Legends – Speaker:

Thursday, February 25, 2016 Afri Ruth Brinkley, President and CEO, KentuckyOne Health Campus Spotlight on faculty and staff members to foster a nurturing environment peaker:

March, 2016 Women's Month Celebration – In collaboration with Regent Karen Bearden, a symposium will be held highlighting prominent African American women and will serve as role models to Kentucky State University female students. Campus Spotlight on faculty and staff members to foster a nurturing environment

Thursday, March 10, 2016 Students' Choice – Speaker TBD; Diamond Gordon, SGA President, will confirm details by January 22, 2016

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Campus Spotlight on faculty and staff members to foster a nurturing environment

Thursday, March 24, 2016 What it takes to be a KSU Student Leader – Speaker: Francene Gilmer, Interim Vice President for Student Affairs. A discussion of academic and non-academic requirements, including completion of a leadership training program. Attendance mandatory for students running for or planning to hold any student organization leadership position. Campus Spotlight on faculty and staff members to foster a nurturing environment

Thursday, March 31, 2016 Interview and Career Fair Etiquette – Speaker (unconfirmed): Anthony Howard, Director of Diversity and Recruiting, Coca-Cola. Focus on appropriate attire, introduction, elevator speech, interview preparation, meeting follow-up, and Office of Career Counseling and Placement Services. Campus Spotlight on faculty and staff members to foster a nurturing environment

Thursday, April 7, 2016 53rd Annual Honors Convocation –

Thursday, April 7, 2016 Office of Academic Affairs Speaker: Dr. Leonard A. Slade, Professor, State University of New York at Albany.

Thursday, April 21, 2016 Student Mental Health and Substance Abuse – Speakers: Patricia Isenstein, Health Services Counselor, and Stefan Turner, Coordinator, Substance Abuse, Drug, and Alcohol Prevention. Recognizing signs and symptoms of mental health concerns, importance of seeking assistance, and on- and off-campus services and resources. Campus Spotlight on faculty and staff members to foster a nurturing environment

Thursday, April 28, 2016 Make the Most of Your Summer – Speaker: TBD

Saturday, May 14, 2016 Commencement Convocation – 9:00 AM Frankfort Convention Center

Spring 2016 Convocation Notes:

Generally, Convocations are held on Thursdays at 11:00 a.m. in Bradford Auditorium. There are a few exceptions. The general purpose of the program is to serve as an educational experience for students, provide pertinent, timely information, and introduce employees to students through the five minute KSU Campus Spotlight. The Campus

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Spotlight will introduce a faculty and staff member to the students in attendance. Relevant, timely announcements from the Registrar, Academic Affairs, Bursar, and Financial Aid offices to highlight deadlines, reminders, and announcements related to major University events and programs can be expected.

VI. Scannell & Kurz Report

This report will be presented by President Raymond M. Burse.

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Kentucky State University

Board of Regents Meeting Business Affairs Committee

January 21, 2016

Regent LaVaughn Henry, Chairperson Regent Elaine Farris

Regent David Guarnieri

Regent Syamala Reddy

Gregory Rush,

Vice President of Business Affairs, Staff

KENTUCKY STATE UNIVERSITY Regular Meeting of the Board of Regents Business Affairs Committee January 21, 2016 Cooperative Extension Building Conference Room Frankfort, Kentucky

MEETING INDEX

Page

• Minutes of April 23, 2015 and October 22, 2015
• Executive Summary
• Human Resources Report
• Second Quarter 2016 Financial Statements

[1]

KENTUCKY STATE UNIVERSITY Regular Meeting of the Board of Regents Business Affairs Committee January 21, 2016 2:30 pm to 4:00 pm Cooperative Extension Building Conference Room Frankfort, Kentucky

AGENDA

• I.Call to Order
• Regent LaVaughn Henry, Chairperson
• II.Roll Call
• Gregory Rush, Vice President of Business Affairs
• III.Opening Remarks Regent Henry
• IV.Approval of Minutes Regent Henry
• V.Executive Summary Report Gregory Rush
• VI.Human Resources Report Gregory Rush
• VII.Second Quarter 2016 Financial Report Gregory Rush
• VIII.Discussion Gregory Rush
• IX.Adjournment

[2]

Agenda Item Background

Background:

The minutes of the Business Affairs and Audit Committees meetings for April 23, 2015 and October 22, 2015, require approval in order to become an official part of the committee records.

Recommendation:

It is recommended that the Business Affairs Committee approve the minutes of the April 23, 2015 and October 22, 2015, joint meetings.

Approval

[3]

KENTUCKY STATE UNIVERSITY Regular Meeting of the Board of Regents Finance Committee and Audit Committee April 23, 2015 10:30 am to 12:00 pm Julian M. Carroll Academic Services Building, Board Room Frankfort, Kentucky

MINUTES *****

Regent LaVaughn Henry, Chairperson, called the Finance Committee and Audit Committee meeting of the Kentucky State University Board of Regents to order at 10:30 a.m. on April 23, 2015. Regent Henry asked the secretary to call roll:

Charles Whitehead Present

LaVaughn Henry Present David Guarnieri Present Syamala Reddy Not Present Mindy Barfield Not Present

Karen Bearden Present

Travis Haskins Present

Elaine Farris Not Present

A quorum was not declared.

I. Approval of Minutes

Action: Motion to approve the minutes from the October 24, 2014 and January 22, 2015 Finance and Audit Committee meeting was made by Regent Bearden and seconded by Regent Guarnieri. The minutes stand approved as submitted.

Regent Henry recognized Mr. Pinkard to carry the discussion forward.

II. Vice President's Report

Inventory

Vice President Pinkard reported physical inventory would be done per schedule. Regent Guarnieri and Regent Henry asked Vice President Pinkard to give notice of anything missing over $50,000 in June. Regent Whitehead asked about a depreciation budget. President Burse stated we do not fund depreciation. Regent Bearden inquired about cameras for security purposes. Vice President Pinkard confirmed we have cameras.

Student Enrollment and Account Management

Vice President Pinkard reported visiting EKU Bursar's office as a Best Practice sharing and training for all KSU Bursar office personnel. Our Standard Processes are being evaluated. He stated the office is focused on weekly monitoring of all customer

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delinquencies, consistent communication to the customer and a monthly accountability cycle.

Vice President Pinkard stated we are now using the Kentucky Department of Revenue in collections and have transferred 177 Kentucky resident accounts totaling Two Million Dollars.

Regents Whitehead and Henry asked about the One Stop Shop effectiveness and measuring success in the Bursar's office. President Burse stated that the One Stop Shop will be reevaluated for improvements and finalized by September. Vice President Pinkard will also report on success metrics at the next meeting.

Perkins Loans were discussed with concerns about the university's cohort default rate. Vice President Pinkard spoke to collections improvement processes and Dr. Bennett, per President Burse's request, spoke to the relative position of KSU compared to other institutions noting that our cohort default rate was about average at 21%. Regent Bearden asked about account holds being lifted for students with balances. Dr. Bennett and Dr. Downing confirmed that this had happened, but now only 2 people have the authority and ability to lift holds.

Financials

Vice President Pinkard stated that operations revenue is still our biggest issue. He spoke to vendor contract rationalization and focus to reduce service frequencies. He noted that Mel Jones, a retired GE Purchasing agent, was now on board to help.

Unaudited Financial Statements and Banking Update

Mr. Paul Edwards, Director of Accounting gave the financial overview. He highlighted the following:

The 51% accounts receivables decrease from $12.2MM to under $6.0MM is primarily due to a $5.1MM in student accounts receivables reduction in August and September 2014. This reduction in student accounts receivables was due to an increase in the allowance for doubtful accounts by that amount. Accrued Liabilities increased from $2.0MM to $5.3MM or by 92%. This increase over the prior year was primarily Accounts Payable ($225K) and Payroll Liabilities ($2.3MM). Tuition and fees were down to $16.1MM vs. $20.2MM last year due to student enrollment.

Mr. Edwards then covered our banking arrangements and highlighted all accounts, their usage and status.

III. Adjournment

Motion for adjournment of the Finance and Audit Committees was made by Regent Bearden and seconded by Regent Guarneri. The meeting adjourned at 11:50 am.

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Submitted by: ___ Approved by: ___

Gregory Rush, Vice President of Business Affairs Regent LaVaughn Henry and Regent Mindy Barfield, Chairpersons Finance and Audit Committees

Approved with no corrections Approved with corrections

[6]

KENTUCKY STATE UNIVERSITY Regular Meeting of the Board of Regents Business Affairs and Audit Committees October 22, 2015 1:00 pm to 2:30 pm Cooperative Extension Building Conference Room Frankfort, Kentucky

MINUTES *****

Regent LaVaughn Henry, Chairperson, called the joint meeting of the Business Affairs Committee and Audit Committee of the Kentucky State University Board of Regents to order at 1:00 p.m. on October 23, 2015. Regent Henry asked the secretary to call the roll:

LaVaughn Henry David Guarnieri Syamala Reddy Mindy Barfield

Present Not Present Present

A quorum was not declared.

I. Approval of Minutes

Action: Due to not having a quorum the minutes of April 23, 2015, could not be approved.

Regent Henry recognized Mr. Rush to carry the discussion forward.

II. Vice President's Report

New Employees

Acting Vice President Rush introduced four new members of the Business Affairs team - Rayla Smoot, Director of Human Resources Services; Mary Smith, Grants Accountant II; Oliver Heyn, Grants Accountant II, and Langhao Tang, Accountant I.

Debt Collections

Acting Vice President Rush stated that the University had 1,408 accounts placed with three collections agencies and the Department of Revenue in the amount of $7.7MM. He stated that we were currently attempting to get more accounts to the Department of Revenue before tax season by the end of this month or early November. He stated that collections with the three agencies were very low, less than one percent a month.

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Mr. Rush stated that we will review our current collection agencies and other opportunities and options available to the University. He stated that we have only been submitting collection amounts with the Department of Revenue for two months and have not had a chance to fully evaluate the efficacy of this approach.

Accounting Surplus Declaration Process

Acting Vice President Rush reported the University's process to dispose of assets that have reached the end of their useful life. He stated that this process takes two weeks from initiation until the item is moved to the holding area by Facilities and Maintenance Operations.

1. Department completes Property Disposition Form and obtains supervisor approval.
2. Department routes Property Disposition Form to Purchasing Department to log for tracking purposes.
3. Purchasing Department will then send Property Disposition Form to Accounting Department to update Fixed Assets system.
4. Accounting Department routes Property Disposition Form to Facilities and Maintenance Operations to pick-up surplus item.
5. Facilities and Maintenance Operations picks up the item from the department and takes it to the holding area. The items will accumulate until there are enough to make it worthwhile for pick-up from E-Scrap. Typically the items are computers and electronics.
6. Dependent on condition and the type of surplus, item is redistributed, recycled, sold, discarded, or disposed of according to State guidelines (KRS 45A.425). For instance, E-Scrap vendor is a State vendor used for electronic/computer equipment; additionally, a bid process is used for the disposal of larger items, i.e. vehicles.
7. The University is initiating a process to dispose of all items in the holding area annually in March and October. Items in the holding area may also be disposed of on an ad-hoc basis, if necessary.

Inventory Update

Acting Vice President Rush stated that the physical inventory was difficult and took longer than expected. He stated that a lot of items were out of place and hard to locate; items were either not tagged or not tagged properly. More important was that there was no inventory list from which to begin. Outside help was enlisted to assist with the inventory.

Acting Vice President Rush stated that at a previous Board meeting several Regents had requested a notice of anything missing valued over $50,000. He informed the

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Board of Regents that, by the end of the process, all of the items the University had in the accounting system valued over $50,000 were identified.

Shortages from 2015 Inventory

Acting Vice President Rush reported that through the physical inventory process, assets with a combined value of approximately $6MM were either missing or fully depreciated and unusable. He stated that an adjusting entry was made last year of $6MM to recognize that and will be reflected in the 2014-2015 audited financial statements of the University. He stated that while the adjustment ensures that the financial statements are correct, the related items will also be removed from the fixed asset system within the next few months, which will complete the adjustments necessary as a result of the physical inventory. Acting Vice President Rush stated that going forward, we have an initial schedule to look at inventory that he and Paul Edwards, Assistant Vice President for Business Affairs, will discuss with the auditors.

External Financial Audit Update

Acting Vice President Rush stated that, upon entrance, the auditors established a schedule with proposed timelines detailing dates and activities to be performed but the schedule has not been met for a number of reasons.

He stated that the field work and testing were completed last week, and the auditors are down to a couple of footnotes for the Management Discussion and Analysis report that will be completed soon. Regent Henry inquired if the University was sanctioned due to not having the report in on time, Acting Vice President Rush stated that we were not and President Burse stated there was no sanction other than embarrassment. Acting Vice President Rush stated that the auditors are projecting the report to be completed and ready for review by the University by the end of October. The Commonwealth of Kentucky Office of the Controller has granted Kentucky State University an extension to November 15, 2015, for submittal to the Commonwealth. He stated that we should meet the deadline from the conversation we have had with the auditors.

Financials

Assistant Vice President Paul Edwards stated that an item of high interest is that the financial statements will look very different once the effects of GASB 68 are quantified and recorded. He stated Accounts Receivables has decreased $4.6MM since this time last year primarily due to two different items. First, the change in the allowance for doubtful accounts from this time last year to now is an increase of $3MM which reduces overall A/R and also, there have been reductions in student accounts receivable over the same time period of $1.6MM. Accounts payables and accrued liabilities have increased $1.8MM since this time last year and accounts payables rose $261K from this time last year. The change in this line was primarily due to payroll accruals which began in October of 2014 that were not captured this time last year, but are now reflective in the financial statements.

[9]

Mr. Edwards stated that student tuition and fees, residence halls and dining revenue are less than the prior year due to a decrease in enrollment and dining expenses are up over this time last year, which is unexpected given our reduction in student enrollment. He stated that we had paid Aramark $254K at this point last year and we have paid Perkins $368K up to this point this year which is due to contractual differences. The University pays an advance of 14 days of estimated charges at the beginning of each semester. Those funds are used by Perkins to make purchases and stage operations for the beginning of each semester.

Assistant Vice President Edwards stated investment income was much lower than this time last year and was a reflection of unrealized losses as a result in shifts in market values of KSU's currently held investments. Mr. Edwards stated that interest on capital asset-related debt will need to be changed by $265K due to an incorrect presentation of a year-ending adjusting entry for compensated absences. While the entry was acceptable, the effect was presented on the incorrect financial statement line. This should have been shown in Institutional Support in the expenses section and not in this line. This will be corrected.

III. Adjournment

Motion for adjournment of the Business Affairs and Audit Committees discussion was made by Regent Henry. The discussion adjourned at 1:45 pm.

Submitted by: ___ Approved by: ___

Gregory Rush, Vice President of Business Affairs Regent LaVaughn Henry and Regent Mindy Barfield, Chairpersons Business Affairs and Audit Committees

Approved with no corrections Approved with corrections

[10]

Agenda Item Background

Background:

Please see attached.

Recommendation:

Informational Item

[11]

KENTUCKY STATE UNIVERSITY BOARD OF REGENTS

Report to the Business Affairs Committee

Gregory Rush Vice President of Business Affairs January 21, 2016

[12]

KENTUCKY STATE UNIVERSITY Regular Meeting of the Board of Regents Business Affairs Committee January 21, 2016 2:30 pm to 4:00 pm Cooperative Extension Building Conference Room Frankfort, Kentucky

Debt Collections Update

After a review of collections activity, it has been determined that the prior collections data that has been reported to the Board was inaccurate. A review of all accounts in collections was begun in December as a result. Previous data reported to the Board was compiled as a “running total” of the number of accounts that had been submitted for collections and was not adjusted for returned and closed accounts. The Bursar’s Office staff is now working directly with the collections agencies used by the University to reconcile the accounts.

As of December 10, 2015, data reconciliation was completed for accounts placed with the Department of Revenue (DOR). The University has 181 accounts with balances totaling $2,147,384.04 with the DOR.

In late October, the Bursar's Office began the process of submitting another 201 accounts to the DOR. During this process, a number of issues in the procedures used by the Bursar's Office were identified. These issues relate to the procedures used to select appropriate accounts for collection, verifying the accuracy of the accounts, and resolving protested balances. Additionally, the University has been notified by the DOR that the ten day notice letters sent to debtors are insufficient and must be revised to set out the debtor's right to a hearing.

To address these and other issues, there have been staffing changes in the Bursar's Office and a reorganization is in process. The following activities are underway to resolve these issues:

• Detailed conversations with all collections agencies used by the University to insure that the Bursar's Office staff understand the collections account reports and how to reconcile the number of accounts placed with each agency;
• Development of a clear process for resolving issues with disputed balances, including a protest resolution process and a hearing process with a newly created financial appeals committee;
• Process mapping of the billing and collections procedures to include a “day one to day 180” collections timeline; and,
• Updating of procedures manuals and training all staff on proper procedures.

The targeted completion date for these activities is February 1, 2016.

[13]

Building Contents Insurance Update

At the October committee meeting, Regent Farris raised a question about the connection between the fixed assets inventory report and the insurance coverage the University has in place.

University buildings are valued annually for insurance purposes by adjusting the recorded value of the buildings for current construction costs. This adjustment is made by the State Risk Management Office in the Commonwealth of Kentucky's Finance Cabinet.

Contents are valued for insurance purposes based on reports provided to State Risk Management by the University. After an internal search for valuation reports failed to locate any reports, State Risk Management was contacted. That office indicated that they had not received a comprehensive contents report from the University in at least eight years.

A review of the contents coverage in place compared to the fixed asset values is now underway. As discrepancies are discovered, State Risk Management will be notified and the coverage amounts updated. When the review is complete, a comprehensive report will be provided to State Risk Management.

Governmental Accounting Standards Board – Statement Number 68

A number of state universities have now released their financial statements for the 2014-2015 fiscal year. Below is a comparison of how the unrestricted net assets position of these universities has been affected by the implementation of this accounting change.

(amounts in millions)

Business Affairs Effectiveness

The administrative areas of a university should be able to provide information that is on time and accurate. Measured by this standard, the Business Affairs organization at Kentucky State University is not effective.

In addition to the issues outlined earlier in this report:

• A debt service payment due in October was paid approximately two weeks late;
• General ledger accounts are not being reconciled in a timely manner (audit finding);
• Drawdowns of federal funds are not timely;

[14]

• Finance reports due to the Council on Postsecondary Education are over six weeks late;
• Procedures are not clearly documented;
• Staff are not properly trained; and
• A multitude of issues in Human Resources that are highlighted in a later section of the committee report.

A number of actions have been taken to address these issues and improve effectiveness. The Finance and Administration Assessment and Evaluation Committee is a University committee established to recommend means of increasing effectiveness within Business Affairs. This committee met on December 10, 2015 and will continue meeting twice a month to assist in identifying issues and solutions.

There have been a number of staffing changes and these will continue as needed. The organizational structure is being reviewed for opportunities to increase cross-training and support. For example, the payroll function has been incorporated with Human Resources to provide more direction and staff support for payroll.

Process mapping and updating procedures manuals are a priority to ensure that staff understand their jobs and are properly trained. This is an ongoing process and will assist in the transition to the use of Oracle/PeopleSoft.

To keep the Board informed, metrics focused on the standard of “On time and Accurate” are being developed. These metrics will help the department and the Board track progress and improvement. Initial metrics will be available for the Board to review at the April meeting.

[15]

Agenda Item Background

Background:

Please see attached.

Recommendation:

Informational Item

[16]

Human Resources Report January 21, 2016

2015 Year End Review

With a new Human Resources Director in place, the University began a review of the human resources operation to identify issues that need to be corrected, processes that need to be reviewed and improved, and structural changes that need to be implemented.

The most significant immediate issues identified as a part of the Human Resources department review are related to employee retirement accounts and timely payments to vendors.

• Reconciliations of employee retirement accounts have not been accurately completed since 2012.
• Past due invoices from the retirement systems related to these inaccuracies have totaled over $83,000 to date with a potential liability of up to $350,000.
• Payments for Unemployment Insurance have been late multiple times.
• Payments for employee health insurance, life insurance, and other benefits have not been timely.
• Approximately $500,000 in past due invoices have been identified and paid since October of 2015.

As a result, the Human Resources department began a number of initiatives to address some long-term problems.

• Began an audit and review of all contributions and reports to the Kentucky Employees Retirement System and the Kentucky Teachers' Retirement System. This review also includes contributions to optional retirement plans. This review will cover the period from 2012 to the present. It is expected to take approximately six to eight weeks to complete.
• Issued a Request for Proposals for a new broker for employee health insurance and other employment benefits. The contract will be in place by February 8, 2015 so a new broker will be in place to assist the University with the plan development process for the plan beginning July 1, 2017.
• Began mapping the hiring process, onboarding and orientation process, and the payroll process.
• Anecdotal information from University employees is that customer service has improved. A survey will be developed to evaluate customer service and to determine other service deficiencies.
• Developed a calendar for all payments and insure that payments are made on time.

[17]

Workers Compensation Overview Calendar Year 2015

[18]

Calendar Year 2015

Staffing Statistics

[19]

Leave Statistics

July 2015 - December 2015

[20]

Agenda Item Background

Background:

Please see attached.

Recommendation:

Informational Item

[21]

Kentucky State University Budget vs. Actual Six months ending December 31, 2015 (Amounts shown in dollars)

YTD ACTUAL BY FUND GROUP

[22]

Kentucky State University

Statement of Revenues, Expenses and Changes in Net Position (By Function) Periods Ending December 31, 2015 and 2014 (Unaudited)

[23]

Kentucky State University Statement of Revenues, Expenses and Changes in Net Position (By Function) Periods Ending December 31, 2015 and 2014 (Unaudited)

[24]

Kentucky State University

Statement of Net Position December 31, 2015 (Unaudited)

[25]

Kentucky State University

Statement of Net Position December 31, 2015 (Unaudited)

[26]

Kentucky State University Statement of Cash Flows Periods Ending December 31, 2015 and 2014 (Unaudited)

[27]

Kentucky State University Statement of Cash Flows Periods Ending December 31, 2015 and 2014 (Unaudited)

[28]

Kentucky State University

Board of Regents Meeting Audit Committee

January 21, 2016

Regent Mindy Barfield, Chairperson Regent Karen Bearden

Regent David Guarnieri

Regent Hettie Oldham

Gregory Rush,

Vice President of Business Affairs, Staff

KENTUCKY STATE UNIVERSITY Regular Meeting of the Board of Regents Audit Committee January 21, 2016 Cooperative Extension Building Conference Room Frankfort, Kentucky

MEETING INDEX

Page

2014-2015 Financial Statements and Report of External Auditors 3

Internal Audit Report 4

[1]

KENTUCKY STATE UNIVERSITY Regular Meeting of the Board of Regents Audit Committee January 21, 2016 9:00 am to 10:00 am Cooperative Extension Building Conference Room Frankfort, Kentucky

AGENDA

• I.Call to Order
• Regent Mindy Barfield, Chairperson
• II.Roll Call
• Gregory Rush, Vice President of Business Affairs
• III.Opening Remarks Regent Barfield
• IV.Action Item Gregory Rush
• Approval of 2014-2015 Financial Statements and Report of External Auditors Gregory Rush
• V.Internal Audit Report
• Ingram Quick, Internal Auditor
• VI.Discussion Gregory Rush
• VII.Adjournment

[2]

Agenda Item Background

Background:

Please see attached separately.

External Financial Audit Update

The external financial audit was completed on December 3, 2015, approximately two and a half weeks after the extension deadline. The University was able to submit the closing package to the State Controller's Office on November 20, 2015, as the financial statement portion of the audit was complete at that point.

Recommendation:

It is recommended that the Audit Committee accept the Audit of the Financial Statements for the 2014-15 fiscal year.

Approval

[3]

Agenda Item Background

Background:

Please see attached.

Recommendation:

It is recommended that the Audit Committee accept the Internal Audit Report.

Approval

[4]

Kentucky State University Office of Internal Audit Bursar Office Review

January 2016

Table of Contents

Executive Summary ..... 2 Transmittal Letter ..... 3 Introduction ..... 3 Scope ..... 4 Opinion ..... 4 Corrective Action Plan ..... 5 Internal Control Rating ..... 6 Background ..... 7 Summary of Audit Results ..... 7 Observations and Recommendations ..... 9

1. Cash Management ..... 10
2. Tuition and Fee Compliance ..... 14
3. General Administration ..... 16

Finance and Business Affairs Bursar Office Review January 2016

Executive Summary

PROJECT TITLE

Finance and Business Affairs Bursar Office Review

OBJECTIVE AND SCOPE

An Assurance – Operational review of the Kentucky State University Bursar Office was performed. The Bursar Office is a division of Finance and Business Affairs. The objective was to perform a review of the Bursar Office Student Billing and Collections activity, which includes the collection and recording of student and departmental deposits. The operating policies, procedures and records specific to the Bursar Office student billing and collections were reviewed. The primary focus was the operational and fiscal administration of the activity. This includes how activity is processed, recorded, and monitored. This audit was performed to obtain assurance that potential risks are adequately mitigated through internal controls in the process.

This was an assurance review based on best practices and existing policies and procedures for the operational and fiscal administration of the Bursar Office. The review included billing and collections activity during Fiscal Year 2015 and the first quarter of Fiscal Year 2016 (July 1, 2014 through September 30, 2015). The details of the scope and methodology of the review are addressed in the Observations and Recommendations section of the report.

INTERNAL CONTROL ASSESSMENT Inadequate

RESULTS

Opportunities exist for improving the internal control structure for the Bursar Office. Examples include the following.

• Cash Management. There were issues noted regarding cash management activity of the Bursar Office.
• There were instances in which cash, check, and credit card receipts were not deposited in the bank in a timely manner.
• There were instances in which student payments were not applied to students' accounts within the Banner system in a timely manner.
• Tuition and Fee Schedule. There were issues noted regarding the accuracy, completeness and appropriateness of the tuition and fees charged to students.
• There were instances in which students were charged tuition and fees that were not in compliance with the applicable Tuition and Fee Schedule for the semester.
• General Administration. There were issues noted regarding the general administration of Bursar Office billing and collection activity.

Finance and Business Affairs Bursar Office Review January 2016

OFFICE OF INTERNAL AUDIT KENTUCKY STATE UNIVERSITY

RAYMOND M. BURSE PRESIDENT

INGRAM QUICK, INTERNAL AUDITOR

KAREN BEARDEN BOARD OF REGENTS CHAIR

Transmittal Letter

January 4, 2016

Raymond M. Burse President Kentucky State University Hume Hall Frankfort, KY 40601

Subject: Audit of the Finance and Business Affairs Bursar Office

Introduction

An audit of the Finance and Business Affairs' Bursar Office was performed. The operating policies, procedures and records specific to the Bursar Office student billing and collections were reviewed. The primary focus was the operational and fiscal administration of student billing and collection activity. This includes how activity is processed, recorded, and monitored. The objective was to obtain assurance that potential risks are adequately mitigated through internal controls in the process.

The audit was conducted in accordance with the International Standards for the Professional Practice of Internal Auditing issued by the Institute of Internal Auditors.

As a part of the audit, the internal control structure was evaluated. The objective of internal control is to provide reasonable, but not absolute, assurance regarding the achievement of objectives in the following categories:

• Achievement of business objectives and goals
• Effectiveness and efficiency of operations
• Reliability of information reported
• Compliance with applicable laws and regulations
• Safeguarding of assets

Finance and Business Affairs Bursar Office Review January 2016

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WWW.KYSU.EDU 400 EAST MAIN STREET FRANKFORT, KENTUCKY 40601 502.597.6976

There are inherent limitations in any system of internal control. Errors may result from misunderstanding of instructions, mistakes of judgment, carelessness, or other personnel factors. Some controls may be circumvented by collusion. Similarly, management may circumvent control procedures by administrative oversight.

Scope

A thorough understanding of the Bursar Office student billing and collection activity was obtained in order to evaluate the internal control structure. This was achieved through interviews of key personnel and examination of supporting documentation. This included obtaining an understanding of the policies and procedures for processing, recording, monitoring, reconciling, and reporting of student tuition/fee charges and the collection of student payments and departmental deposits. Testing of activity was also performed to determine the effectiveness of the controls.

The operational and fiscal administration of the Bursar Office was reviewed. The review included student billing and collection activity during Fiscal Year 2015 and the first quarter of Fiscal Year 2016 (July 1, 2014 through September 30, 2015). The review included assessing whether activity was processed, recorded, and monitored accurately, appropriately and in accordance with applicable policies and procedures. The details of the scope and methodology of the review will be addressed in the Observations and Recommendations section of this report. The examination would not identify all weaknesses because it was based on selective review of data.

Opinion

It is my opinion that the internal control structure for the Bursar Office student billing and collection activity is inadequate. The internal control rating is on page 6 of this report. The rating quantifies my opinion regarding the internal controls, and identifies areas requiring corrective action. Opportunities to strengthen the internal control structure were noted. Examples include the following.

• Cash Management. There were issues noted regarding the cash management activity of the Bursar Office.
• There were instances in which cash, check, and credit card receipts were not deposited in the bank in a timely manner.
• There were instances in which student payments were not applied to the student's account within the Banner system in a timely manner.
• There is no enterprise wide policy instructing departments and programs on when cash and check receipts on hand need to be taken to the Bursar Office for deposit.
• Tuition and Fee Compliance. There were issues noted regarding the accuracy, completeness and appropriateness of the tuition and fees charged to students.
• There were instances in which students were charged tuition and fees that were not in compliance with the Tuition and Fee Schedule approved by the Board of Regents.

Finance and Business Affairs Bursar Office Review January 2016

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• General Administration. There were issues noted regarding the general administration of the Bursar Office billing and collection activity.
• There is a lack of detailed policies and procedures to guide Bursar Office personnel in the performance of their job duties.
• There is a lack of monitoring to ensure vendors' invoices related to debt recovery services are accurate, complete, and charging Kentucky State University a collection fee in accordance with contractual terms.

Corrective Action Plan

Representatives from the Bursar Office have reviewed the results and are committed to addressing the issues noted. Corrective action plans are included in this report in the Observations and Recommendations section. We will continue to work with Bursar Office to ensure the actions taken are effective to address the issues noted.

Sincerely,

Ingram Zuck

Ingram Quick, CIA, CFE

Internal Auditor

cc: Kentucky State University Board of Regents Vice President of Business Affairs Kentucky State University External Auditors

Finance and Business Affairs Bursar Office Review January 2016

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Internal Control Rating

Significance ____

Bursar Office

Finance and Business Affairs Bursar Office Review January 2016

Page 6 of 17

Background

The Kentucky State University Bursar Office is a division of Finance and Business Affairs. The Bursar Office provides accurate and timely billing and account services to students, faculty and staff, alumni and others in the Kentucky State University community. Their functions include the assessment of student tuition and fees. They are also responsible for the issuance of student refund checks and the collection and recording of student payments and departmental deposits.

The audit was a result of a special request from the President of Kentucky State University, Raymond M. Burse.

Summary of Audit Results

I. Current Audit Results

See Observations and Recommendations section of this report.

II. Prior Audit Issues

The Office of Internal Audit has not performed a previous review of the Bursar Office.

III. Statement of Auditing Standards

The audit was performed in accordance with the International Standards for the Professional Practice of Internal Auditing issued by the Institute of Internal Auditors.

IV. Statement of Internal Control

An understanding of the internal control structure was obtained in order to support the final opinion.

V. Statement of Irregularities, Illegal Acts, and Other Noncompliance

The review did not disclose any instances of irregularities, any indications of illegal acts, and nothing was detected during the review that would indicate evidence of such. Any significant instances of noncompliance with laws and regulations are reported in the Observations and Recommendations section of this report.

Finance and Business Affairs Bursar Office Review January 2016

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VI. Views of Responsible Officials / Action Plan

A draft report was issued to the Bursar Office on 12/21/2015. The views of the Bursar Office officials were received on 1/5/16 and are included as corrective action plans in the Observations and Recommendations section of the report. The plans indicate a commitment to addressing the issues noted.

The Office of Internal Audit Charter states that departments need to respond to draft audit reports in a timely manner. It specifically states that

“The response must be forwarded to the Office of Internal Audit within 15 days of the receipt of the draft report.”

The Bursar Office response was provided within this required timeframe.

Finance and Business Affairs Bursar Office Review January 2016

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Observations and Recommendations

Scope and Methodology

A review of the Bursar Office student billing and collection activity was performed. The operating policies, procedures and records specific to the Bursar Office were reviewed. The primary focus was the operational and fiscal administration of the activity. This included how activity was processed, recorded, and monitored. The objective was to obtain assurance that potential risks were adequately mitigated through internal controls in the process.

Bursar Office activity was tested using a sampling approach. A review of the Bursar Office tuition/fee compliance and cash management activity was performed. The review included student billing and collection activity during Fiscal Year 2015 and the first quarter of Fiscal Year 2016 (July 1, 2014 through September 30, 2015). Samples of transactions were selected for testing accuracy, completeness, and timeliness as follows.

• A sample of 25 students, including 170 tuition and fee charges, was judgmentally selected for review. The students were selected from each of the semesters included in the audit period to review the validity and accuracy of their tuition and fee charges.
• A sample of 18 transactions, including 17 deposits, was judgmentally selected for review. Student payments and departmental deposits were selected from each of the semesters included in the audit period to review the accuracy, completeness and timeliness of receipts.
• A sample of two reconciliations was judgmentally selected for review. Reconciliations were selected from dates within the audit period to verify accuracy, completeness, approval and timeliness of the reconciliations.
• A sample of five returned payments (check, online payments) was judgmentally selected for review. The returned payments were reviewed to verify the appropriate fees were charged and the returned payment was recorded on the student's account in a timely manner.
• The total population of students (60) who met the requirements to receive the residential rate for tuition/fees per the Choice Act of 2014 was reviewed to determine compliance with federal regulations.

The examination would not reveal all non-compliance issues because it was based on selective review of data.

Observations

Issues were noted with the Bursar Office Billing and Collections activity. As a result, the effectiveness of the internal control structure is inadequate and needs improvement. Opportunities to strengthen the controls include the following.

1. Cash Management
2. Tuition and Fee Compliance
3. General Administration

Details of these begin on the following page.

Finance and Business Affairs Bursar Office Review January 2016

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1) Cash Management

There were issues noted regarding the cash management activity of the Bursar Office.

• Timeliness. The Bursar Office is responsible for the timely deposit and posting of cash and check receipts. According to policy, cash and check receipts are to be deposited daily in the bank and posted to the appropriate account in the Banner system upon receipt.
• There were 6 of 18 instances in which cash and check receipts were not deposited in the bank in a timely manner. The number of days between the transaction date and the date the receipts were deposited in the bank ranged from two to six days.
• During a surprise audit of the cash vault (November 5, 2015), the Internal Auditor discovered cash and check receipts, totaling $13,015, from the previous three days had not been deposited in the bank. The vault was unlocked with the cash and checks placed in a tub on top of the safe. One of the bank deposits bags had been tampered with and the cash inside the bag did not agree to the total amount of cash/currency noted on the bag. The Internal Auditor was able to reconcile the cash and checks on hand to system report totals. It appears cash was taken out of the bag to provide change to a student.
• There is no documented policy instructing departments and programs on when cash and check receipts on hand need to be taken to the Bursar Office for deposit.
• During the audit (September 1, 2015), the Internal Auditor was made aware of ten checks dated March, April and May 2015 which had not been taken to the Bursar Office for deposit. The checks, totaling $2,602, were kept in an unlocked desk drawer in the Department of Facilities Services (Jordan Hall).
• There were 8 of 18 instances in which check payments and tuition waivers were not applied to the student's account within the Banner system in a timely manner.
• There were four instances in which checks were not posted to the Banner system in a timely manner. The number of days between the check date and the date the funds posted to the Banner system ranged from 2 to 54 days.
• KSU full-time employees or their eligible dependents are eligible to receive a tuition waiver for a maximum of six credit hours. There were four instances where completed tuition waiver forms were not posted to the Banner system in a timely manner. The number of days between the date the form was signed by the appropriate Cabinet official (or designee) and the date the tuition waiver posted to the student's account ranged from 11 to 21 days.
• Monthly Reconciliations. On a monthly basis, the Accounting Department which is a division of Finance and Business Affairs performs a documented reconciliation of student payments and departmental deposits received during the month, the related Banner system account, and the related bank account.
• For both of the monthly reconciliations reviewed, a cumulative difference of $5,510 was identified. The transactions in question dated back to September 2014. The monthly reconciliations were signed by the Assistant Vice President of Business Affairs to acknowledge his review. Although the Accounting Department was in the process of researching, there was no documented evidence the differences had been resolved at the time of his review. The lack of a documented resolution

Finance and Business Affairs Bursar Office Review January 2016

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increases the risk that systemic issues, fraud, or errors may not be detected and as a result would not be prevented in the future.

• Both monthly reconciliations reviewed were not performed until at least two months after the cash, check and credit card receipts were deposited in the bank.
• Returned Payments (Check/Online Payments). There were issues noted with fees charged and the timeliness of recording returned payments in the Banner system.
• There were two of five instances in which the returned payment was not recorded in the Banner system in a timely manner. The number of days between the date the bank notified the Accounting Department and the date the returned payment was recorded in the Banner system was 7 to 39 days.
• There were three of five instances where the returned payment did not result in a return check fee being applied to the student's account as required by the Tuition and Fee Schedule approved by the Board of Regents.
• Although the risk is similar, the Internal Auditor was made aware that payments made through the online payment service provider (Touchnet) are not subject to a fee if returned for insufficient funds.
• Deposit Summary Reports. At the end of each work day, Bursar Office Cashiers reconcile transactions recorded on their cashier detail reports to the cash, check and credit card payments they collected. This reconciliation is required to be documented using a Cashier Check-Out Form. The Cashier Supervisor reviews and consolidates the cashier reports to prepare the daily deposit. This review is required to be documented using a Deposit Recap Form.
• The daily reconciliation of the cashier's register is not performed in the presence of two individuals.
• There were 16 of 17 instances in which the Cashier Check-Out Forms were not reviewed or approved by the Cashier Supervisor as evidenced by way of a signature and date.
• Cashiers have the ability to view and adjust system receipt information and activity reports from the Banner system prior to and during their daily checkout process without supervisor review. This allows the cashier to be aware of revenue receipt balances prior to closing their register. This increases the risk that funds could be diverted for personal use without detection.
• There were 6 of 17 instances in which the cash, credit card, check and/or electronic fund transfer amounts recorded on the Cashier Check-Out Form were not in agreement with the cashier detail report. The researching and resolution of the differences was not documented on the form.
• There were 3 of 17 instances in which the cash, credit card, check and/or electronic fund transfer amounts recorded on the Deposit Recap Form were not in agreement with the Cashier Check-Out Form. The researching and resolution of the differences was not documented on the form.
• There were also issues with the completeness and accuracy of the Deposit Recap and Cashier Check-Out Forms.

Finance and Business Affairs Bursar Office Review January 2016

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• There were 4 instances in which the grand total of cash, check, credit card and electronic fund transfers recorded on the Cashier Check-Out and/or the Deposit Recap Forms were either non-existent or calculated incorrectly.
• There were 17 instances in which the Cashier Check-Out and Deposit Recap Forms were not fully completed.

Recommendations

Appropriate personnel should consider the following recommendations concerning Bursar Office cash management activity.

• ✓✓ All cash, check and credit card receipts should be deposited in the bank daily in accordance with Bursar Office policy. This would help safeguard funds and accurately reflect the information within the Banner system.
• ✓✓ All funds should be posted to the appropriate Banner system account upon receipt. A major component of any reporting system is proper monitoring and reconciliation. It is imperative that Bursar Office staff provide regular review of individual transactions for appropriateness, and completeness. Ultimately, this will help ensure the reliability of information for management analysis and help providing an effective audit trail.
• ✓✓ A university wide policy should be established which instructs departments and programs on when cash and check receipts on hand need to be taken to the Bursar Office for deposit. Consider the following when drafting the policy:
• the dollar threshold amount when cash and check receipts should be brought to the Bursar Office for deposit, and
• information and documentation required when departments bring check and cash receipts for deposit, and
• suggested cash management procedures for departments and programs that may collect cash and checks at special events (i.e., homecoming and sporting events).
• ✓✓ The Bursar Office should coordinate with Human Resources to ensure completion of tuition waiver forms are applied to students' accounts in a timely manner. During registration, appropriate Bursar Office personnel should periodically check with Human Resources to identify any approved tuition waiver forms or any forms awaiting approval.
• ✓✓ The reconciliation of student payments and departmental deposits received during the month, the related Banner system account, and the related bank account should be performed at least monthly to detect unauthorized activity, unexpected payments, and other discrepancies. Consider the following in performing the reconciliation(s):
• reconciliations should be performed on at least a monthly basis, and
• any differences identified should be researched and resolved in a timely manner, and
• the reconciliation preparer should sign and date the reconciliation upon completion, and

Finance and Business Affairs Bursar Office Review January 2016

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• the reconciliation should be subject to a formal review, evidenced by way of the reviewer's signature and the date of review, and
• the completed reconciliation should be submitted to the Vice President of Finance and Business Affairs for a cursory review. Any differences found to be inadequately researched and resolved should be returned to applicable staff for further investigation.
• ✓✓ Returned payments should be recorded on the student's account immediately. This should be done to ensure student account balances are current and accurate for management analysis.
• Appropriate personnel should consider applying a return check fee for returned payments which originated online with our third party service provider (Touchnet). A policy which would prohibit persons to pay with checks that have been identified as repeat offenders regarding returned payments should be explored. This should be done in an attempt to deter students from intentionally making payments from a bank account that has insufficient funds.
• ✓✓ The daily reconciliation of cashier's register should be performed in the presence of two persons (dual control) at the end of each work day. Consider the following in performing the reconciliation:
• any differences identified between the Cashier Check-Out Forms and cashier detail reports should be researched and resolved, and
• the reconciliation preparer should sign and date the reconciliation upon completion, and
• the reconciliation should be subject to a formal review, evidenced by way of the reviewer's signature and the date of review. The reviewer should be ensuring the appropriate documentation is included (e.g., Banner and credit card machine receipts) and the appropriate forms are accurate and complete, and
• any exceptions to the policy and procedures should be documented and included in the support documentation.
• ✓✓ Appropriate personnel should determine whether the Banner system has security features to prohibit cashier access to receipt information / activity reports. If so, these controls should be activated. In the absence of these security features, compensating controls (e.g., unannounced cash counts by supervisor) could be performed to help ensure the accuracy of revenue receipts.

Bursar Office's Corrective Action Plan

The Bursar Office concurs with and will implement the recommendations related to cash management activity.

Finance and Business Affairs Bursar Office Review January 2016

Page 13 of 17

2) Tuition and Fee Compliance

There were noncompliance issues noted with federal regulations and the applicable Tuition / Fee Schedule approved by the Board of Regents for the semester reviewed.

• Tuition and Fee Schedule. Students were charged tuition and fees that were not in compliance with the applicable Tuition and Fee Schedule for the semester.
• There was one instance in which the tuition charged to the student was not in agreement with the applicable Tuition and Fee Schedule for the semester. The student was charged the undergraduate part time rate for tuition although Admissions has the student listed as a resident of Kentucky.
• There were four instances in which the residency status noted on the student's application was not recorded in the student information system, Banner. The student's residency determines whether they receive in state or out of state tuition and fees.
• At the time of the review, only one of the four hard copy applications could be provided to the Internal Auditor to determine the student's residency status.
• There were two instances where bookstore charges applied to the student's account in the Banner system did not agree to the bookstore charges reported in the Blackboard system. The Banner system included the bookstore charge as part of the student's bill while the Blackboard system did not have any record of the book voucher transaction for the student. The result was the students were overbilled a combined $610.
• There were 48 instances in which bookstore charges applied to the student's account in the Banner system did not agree with the bookstore charges reported in the Blackboard system. The bookstore charges applied to the students' accounts was the result of failed attempts by the Bursar Office to electronically upload bookstore charges from Blackboard to Banner. The overall effect of these errors was either a zero balance or a net amount which was then appropriately deducted from the student's refund check.
• Choice Act of 2014. The Choice Act of 2014 requires colleges and universities to provide resident-rate tuition and fee charges to covered veterans and their dependents.
• During the Fall 2015 semester, Kentucky State University had 60 registered students who qualified to receive this benefit. Nine of these students were charged the non-resident rate for tuition and fees.

Finance and Business Affairs Bursar Office Review January 2016

Page 14 of 17

Recommendations

Appropriate personnel should consider the following recommendations regarding the noncompliance issues identified.

• ✓✓ The details of the noncompliance issues identified during this audit were provided to the Bursar Office for review and determination of the extent of any remedial action needed.
• ✓✓ The Bursar Office should ensure that all tuition and fees charged comply with the applicable Tuition and Fee Schedule as approved by the Board of Regents for the semester. Supervisory oversight could help to ensure tuition and fees charged are accurate, appropriate and complete.
• ✓✓ The Bursar Office should work with Information Technology to facilitate the process of recording students' book store charges to their accounts in the Banner financial system. A review should be performed to ensure that the proper amount of bookstore charges were applied to students' accounts.
• ✓✓ The Bursar Office should coordinate with the Registrar's Office. particularly the Veteran Affairs liaison, to ensure that veterans and their dependents covered by federal regulations are receiving the benefits they are entitled to.

Bursar Office's Corrective Action Plan

The Bursar Office concurs with and will implement the recommendations related to tuition and fee compliance.

Finance and Business Affairs Bursar Office Review January 2016

Page 15 of 17

3) General Administration

There were issues noted with the general administration of the Bursar Office billing and collection activity.

• Policies and Procedures. Although the Bursar Office has desktop procedures illustrating how to process payments in the Banner financial system, there are no detailed policies and procedures to guide personnel in the performance of their job duties. This increases the risk of noncompliance with intended policies and procedures. This could also lead to inconsistencies and inefficiencies with activity processing.
• Mailed Payments. The Xerox Solution Center and Mail Room (third party provider) is responsible for the delivery and pick up of mail on campus. Xerox personnel picks up the mail from the post office in the morning and drops off mail in the afternoon. The incoming mail is sorted by department and delivered daily. Any mail that is not addressed to a specific department is put in a “dead file” until the appropriate department for delivery can be determined. Due to the mail initially going to the Mail Room prior to delivery to departments, there is an increased risk that payments or donations to the university may be inappropriately or not specifically addressed which would result in an untimely delivery to the Bursar Office for deposit.
• Debt Collections. Kentucky State University contracts with third party vendors to provide debt recovery services on behalf of the university. The administration of the contract is the responsibility of the Bursar Office. No one in the Bursar Office reviews the invoices to ensure the completeness and accuracy of the student debt collected. Also there is no verification of the collection fee charged by the vendors to ensure accordance with contractual terms.

Recommendations

Appropriate personnel should consider the following recommendations concerning general administration of OMB – Medical Billing and Collections activity.

• ✓✓ A written internal policies and procedures manual should be developed to guide Bursar Office personnel in the administration of activity that includes the timely deposit of funds and the assessment of tuition and fees charged to students. The internal policies and procedures manual should:
• include sufficient detail for each job duty performed, copies of forms used, and the policies followed in the processing of activity, and
• include sufficient detail to guide personnel in the processing of credit card payments over the phone, and
• reflect the most current information and be updated periodically, and
• be distributed to all applicable personnel. In addition, key personnel should be trained to help ensure consistent adherence to the requirements.
• ✓✓ Appropriate personnel should explore the feasibility of centralizing the receipt of incoming mail (e.g., post office box). Centralizing the receipt of incoming mail serves

Finance and Business Affairs Bursar Office Review January 2016

Page 16 of 17

as a control to prevent loss and/ or theft of mail. This is especially relevant for departments like the Bursar Office which receive high volumes of payments through the mail.

• ✓✓ Appropriate personnel should review third party vendor's invoices to ensure that student debt collected is complete and accurate. Personnel should also review all supporting documentation to ensure the collection fee is in compliance with contractual terms prior to approval of payment. If the invoice and supporting documentation do not clearly provide this level of detail, additional explanation should be provided.

Bursar Office's Corrective Action Plan

The Bursar Office concurs with and will implement the recommendations related to the general administration of activity.

Finance and Business Affairs Bursar Office Review January 2016

Page 17 of 17

Kentucky State University

Board of Regents Meeting

External Relations and Development Committee

January 21, 2016

Regent Charles Whitehead, Chairperson Regent LaVaughn Henry Regent Elgie McFayden

Todd Horstmeyer,

Interim Vice President for External Relations and Development, Staff

KENTUCKY STATE UNIVERSITY Regular Meeting of the Board of Regents External Relations and Development Committee January 21, 2016 5:00 p.m. Cooperative Extension Building, Conference Room Frankfort, Kentucky

MEETING INDEX

• Minutes
• Executive Summary Report
• Contributions Report
• Alumni Relations Report
• Communications Report
• Endowment Management Report

[1]

KENTUCKY STATE UNIVERSITY Regular Meeting of the Board of Regents External Relations and Development Committee January 21, 2016 5:00 p.m. Cooperative Extension Building, Conference Room Frankfort, Kentucky

AGENDA *****

• I.CALL TO ORDER:
• Regent Charles Whitehead, Chairperson
• II.ROLL CALL:
• Todd Horstmeyer, Interim Vice President for External Relations and Development
• III.OPENING REMARKS:
• Regent Whitehead
• IV.APPROVAL OF MINUTES:
• Regent Whitehead
• V.EXECUTIVE SUMMARY REPORT: Todd Horstmeyer
• VI.ADJOURNMENT Todd Horstmeyer

[2]

Agenda Item Background

Background:

The minutes of the External Relations and Development Committee meeting of October 22, 2015, require approval in order to become an official part of the committee's records.

Recommendation:

It is recommended that the External Relations and Development Committee approve the Minutes of the October 22, 2015, meeting.

Approval

[3]

KENTUCKY STATE UNIVERSITY Regular Meeting of the Board of Regents External Relations and Development Committee October 22, 2016 3:00 p.m. Cooperative Extension Building, Conference Room Frankfort, Kentucky

MINUTES *****

Regent LaVaughn Henry, Chairperson, called the meeting of the Kentucky State University Board of Regents External Relations and Development Committee to order at 2:55 p.m. on Friday, October 22, 2015. The coordinator was asked to call roll:

Present LaVaughn Henry Not Present

Elgie McFayden Charles Whitehead

Present

A motion was made by Regent Henry to approve the minutes from the April 23, 2015, External Relations and Development Committee, and seconded by Regent McFayden. A vote was taken and the minutes were approved.

Max Maxwell, Interim Vice President for External Relations and Development, presented the Executive Summary. Max Maxwell discussed the President's networking event held in downtown Frankfort and informed the committee the next such event will be held in the spring. The Frankfort Kick-off to Football was held at the Exum Center, and area high schools were present for the event.

The 4^{th} edition of Onward & Upward was published in September and was the largest edition to date. Ten thousand copies were produced and disseminated to alumni, supporters, and friends.

Max Maxwell informed the committee that Kentucky State University had a significant presence at the Lexington Roots and Heritage Festival in September. KSU paid $4,500 for a sponsorship. As a sponsor KSU had an information table, aquaculture display and pawpaw ice cream distribution, and the band also participated in the events.

Thirty-five bricks had been purchased and installed as of September 15, 2015 at Cheaney Plaza. In an effort to boost sluggish sales of the bricks, special pricing was set at $188.60 for the $500.00 brick donation during homecoming weekend. Payroll deduction was offered for all employees interested in purchasing a brick.

Kentucky State University received a $10,000 donation from the Brown-Forman Corporation to sponsor an event of KSU's choosing and to work on future collaborations with the University.

Max Maxwell reported that Alumni giving was at 4%. Regent Henry questioned whether this was satisfactory. Max Maxwell noted that the team was working on ways to

[4]

encourage alumni giving and researching other universities' strategies. Regent Henry asked whether an assessment or survey had been completed to determine why Alumni were not giving at a more substantial rate. No assessment has been done, but Max Maxwell noted that anecdotal concerns listed changes in leadership and lingering uncertainty in the changes at the University. President Burse informed the committee that an external firm has been consulted to assess giving and donor relations and to generate more fundraising opportunities. Regent McFayden noted that the KSU Homecoming Golf Scramble needed much improvement and that he is willing to assist if changes can be made to the format. Max Maxwell noted that planning has begun for next year to address and correct all issues noted during the 2015 homecoming weekend.

Kentucky State University will be taking ten students to participate in the Lexington Legends and KSU Collaboration for the MLB and Minor league Winter Meetings in Nashville, TN December 6-9th. This is an all-expense paid event that will offer students opportunities for interviews to obtain student internships and permanent employment.

The Office of External Relations and Development is currently planning the Alumni Summer Weekend to be held in Detroit on July 24-26, 2016.

Also discussed was whether the Kentucky State University National Alumni Association should charge membership dues. Regent Henry inquired about the benefits of paying alumni dues at other schools? Max Maxwell responded that many schools offer discounted ticket prices, a membership card, and alumni publications. Discussion ensued on the possibility of establishing a multiyear campaign in reference to Tennessee State University's $13 million effort tied to the John Merritt Classic. The use of Alumni Finder may be helpful in updating alumni addresses in order to reach out to more alumni. An external firm is researching potential major activities and what deliverables will be feasible. President also commented regarding the scholarship program in relation to the alumni as well.

Diane Hawkins, Director of Communications, provided an update about the University's efforts to increase positive publicity. The number of stories on the KSU website has tripled, and there has been strategic placement of KSU news in national publications such as HBCU Digest. Kentucky State University was also profiled in the Atlanta Journal-Constitution as the HBCU of the week: September edition. Website sharing tools have also been updated so that everyone can Tweet and Facebook with ease. Regent Henry asked about continued relationships with media. Ms. Hawkins noted that her previous employment supports collaborations and relationships in various media outlets.

Dedra McDowell presented an update regarding Kentucky State University's social media presence. KSU has become more active on social media on all platforms. Facebook likes have increased from 109 in July to 311 in September. The background filter and branding for Snapchat has been approved. Instagram has been updated and is receiving more traffic. Kentucky State University's twitter followers have increased.

[5]

from 1400 to 1700 and has had a significant increase in posts and frequencies. Videos seem to draw more attention and sharing on social media. Updates are regular and Kentucky State University is using all available outlets. Regent Henry asked if we can track the location of the “likes” and if the data was being shared with admissions. The location can be tracked and the office will share that information at a later date. At present, the office had not been sharing the data information and will do so going forward.

The Office of External Relations and Development is also researching a 30-minute public access program for students to participate monthly at no cost. This will be a student-driven project. KSU desires to collaborate with KET for a Lexington outlet to reach more communities and have a statewide presence.

The endowment summary report was presented by James Fereday of Fifth Third Bank.

Regent Whitehead adjourned the meeting at 5:07 p.m.

[6]

Agenda Item Background

Background:

N/A

Recommendation:

Informational

Informational Item

[7]

KENTUCKY STATE UNIVERSITY Regular Meeting of the Board of Regents External Relations and Development Committee January 21, 2016 5:00 p.m. Cooperative Extension Building, Conference Room Frankfort, Kentucky

EXECUTIVE SUMMARY REPORT

Highlights for the quarter from the Office of External Relations and Development include the following: KSU's Homecoming was a success and well attended. The cabaret event was hosted at the KSU farm and received great feedback from a number of alums regarding the location and the caliber of the event. The fifth edition of Onward & Upward was published. KSU has gained positive interaction with the Frankfort community in regards to the community sponsored football tailgates. Tailgates have welcomed members of the Frankfort Chamber of Commerce, KSU alumni, surrounding churches and local businesses. The Bring a Kid to the Game/Touch a Truck tailgate had support from the local area. In attendance were military personnel with military vehicles, a black hawk helicopter, emergency vehicles, KSU bus, and a towing company truck.

On December 12th Kentucky State University through its Office of Student Life and the Frankfort Kiwanis Club sponsored an event referred to as “Sharing Is Caring”. Over 6,000 flyers promoting the event were distributed in Franklin County through the elementary schools, community businesses and area churches. The purpose of the event was to encourage children to come to a Christmas party held at Exum on the KSU campus and to bring a gift to be donated to children participating in KSU’s Angel Tree Program. The event featured lunch, crafts, games and prizes with the children primarily interacting with KSU students regarding these activities. Approximately 200 children participated and the number of gifts contributed during the event allowed the Angel Tree Program to provide gifts to an additional 50 plus children. Numerous positive comments were received following the event regarding the community and the university coming together to hold such a worthwhile activity for the benefit of Frankfort and the surrounding area.

The side of the Jordan Building which faces University Drive has been a topic of discussion for some time due to its unattractive appearance. As a result, a meeting was held with a representative of Lynn Imaging to determine what options are available to cover the four separate concrete areas which are showing signs of wear and tear. The option which is being presently pursued is to have banners erected which will be installed flush to the side of the building. These banners will depict a series of collages consisting of a collection of photos showing the past, present and continuing ongoing events highlighting outstanding historical events, achievements of the university and campus life at KSU. The project is initiated by the first week of January would be completed by March. It will truly be an aesthetically pleasing addition to the KSU campus.

Joanna Hay Productions, a Frankfort based company, has been retained to produce 3

[8]

videos on behalf of Kentucky State University which will be utilized for a number of future purposes. Ms. Hay graduated Summa Cum Laude in 1999 from KSU. The three videos will serve three distinct purposes:

• oVideo 1 will feature various KSU student activities depicting aspects of campus life and be shown on the TVs located throughout the campus. This video can also be used in conjunction with Video 3 described below
• oVideo 2 will be used to promote KSU to the general public in a positive light showing all facets of the university including academics, athletics, music, agriculture research and other areas which can be highlighted. This video will open with an aerial view of the entire KSU campus which video footage has been shot using a drone. The video will be shown to various civic organizations, on the local cable TV channel and generally used at future promotional events conducted on behalf of the university.
• oVideo 3 will be designed to focus on high school student recruitment and will be featured at high school events pertaining to college recruitment. It will have a contemporary theme with music, activities on campus and other aspects of the university depicted in a manner to appeal to the high school-age student.

The length of these videos will be as short as 11/2 minutes to as long as 4 minutes. A completion deadline is set for the first of March

A partnership has been formed with the Lexington Legends Minor League baseball team. The partnership has been a success with our students. Our students received multiple interviews while onsite at the winter meetings in Nashville, TN in early December. Two KSU students have accepted positions and others are still receiving interviews and follow-up call backs as well. KSU has been invited to participate in the December 2016 Winter Meetings as well, which will be hosted in Washington, DC. Also, KSU is in the planning stages of securing a double header baseball game at the Lexington Legends field against Asbury College in early April.

The Cheaney Legacy Plaza 1886 discount idea was very successful. As of December 31, 2015, 50 new bricks have been purchased and will be installed in late spring due to winter weather. Brick prices as of January 1, 2016 is as follows: $250.00, $750.00 and $1,550.00.

The Development Office received from LG&E payment under its initial pledge of $500,000.00 for its support of the STEM program. Additionally KSU received $6,000.00 from Meritor Corp. The Meritor funds are to be used to provide financial aid to a deserving student at KSU for one academic year. A student will receive $2,500.00 for each semester in the form of a scholarship. The remaining $1,000 will be used for various event sponsorships throughout the academic year.

[9]

Agenda Item Background

Background:

N/A

Recommendation:

Informational

Informational Item

[10]

KENTUCKY STATE UNIVERSITY DIVISION OF EXTERNAL RELATIONS AND DEVELOPMENT OFFICE OF DEVELOPMENT SERVICES

CONTRIBUTIONS REPORT FY2016 Second Quarter July 1, 2015– December 31, 2015

[11]

Agenda Item Background

Background:

N/A

Recommendation:

Informational

[12]

KENTUCKY STATE UNIVERSITY Regular Meeting of the Board of Regents External Relations and Development Committee January 21, 2016 5:00 p.m. Cooperative Extension Building, Conference Room Frankfort, Kentucky

ALUMNI RELATIONS REPORT

Alumni Relations ongoing Projects:

• Alumni Relations has been busy planning two important activities.
• oPresently developing a method to enable alumni to participate and play an active role in voting for their national officers via online ballots.
• oA partnership with Ed Poe and the Frankfort Kiwanis Club will conduct in February a two-day phone-a-thon on campus designed to recruit active members of the Frankfort alumni. The number of Frankfort alumni who live in the Frankfort/Franklin County area but are not presently involved with the University is over 2,000.

Alumni Highlights:

• Identified an alumni for the 1890's Legacy Award. (Donald Hylton) attended the award ceremony in Indianapolis, Indiana.
• During homecoming weekend worked with Cornelia Calhoun and Bill Rodgers to post welcome home alumni signs in 50 commercial business windows in downtown Frankfort. This effort generated a positive article in the State Journal newspaper.
• Contacted all alumni chapters asking for financial support for students who needed funds to remain enrolled at KSU. In response, $1,000.00 was donated from the Frankfort Alumni Chapter.
• Attempted to fill all alumni requests regarding homecoming reservations, game tickets and general requests.
• Cleaned and painted exterior of Alumni House. Renovated the kitchen which included new appliances.
• Worked with special recruitment of service area students, including school visitations (Western Hills and Eminence High Schools).
• Provided support in the research of past grant funds given to University by the Council on Higher Education.
• Coordinated a workgroup through IT to design online voting for the National Alumni Association upcoming elections.
• Presently working on an interactive process for providing current KSU information online to the alumni association and general public.

[13]

• Worked closely with Randy Williams with regard to K-Club decorations, Perkins Catering, ordering of dining hall banner, designed and printed the K-Club program.
• Tailgate(s)
• oOct. 17, 2015: Two Detroit High School Bands performed
• oA Latino Cookout in Campbellsburg, KY was held with approximately 75 persons in attendance

Community Engagement:

• 47th Annual Empower Banquet- Urban League of Lexington-Fayette County
• KCTCS Foundation: Celebration of Philanthropy
• Who's Who Louisville: December 17, 2015
• 22nd Annual MLK Unity Breakfast: January 18, 2016
• Sponsorship of reception for Governor Elect Bevin at the Kentucky Historical Center December 08, 2015

[14]

Agenda Item Background

Background:

N/A

Recommendation:

Informational

[15]

KENTUCKY STATE UNIVERSITY Regular Meeting of the Board of Regents External Relations and Development Committee January 21, 2016 5:00 p.m. Cooperative Extension Building, Conference Room Frankfort, Kentucky

Communications Report October 1, 2015 – December 31, 2015

October Highlights:

• 32 campus news items were published on the KSU website.
• Photographed and covered several events on campus and off-campus including Homecoming events. Posted several parade photos to the growing social media sites (Facebook and Twitter).
• Guest speaker in Professor David Shabazz's journalism class; gave a presentation with Communications Specialist Dedra McDowell
• Assisted with organizing the Student Advisory Board, a student panel that assists with writing and developing ideas for the communications office.
• Assisted with a conference for Kentucky Association of Sexual Assault Prevention.
• Photographed editors of the Kentucky African American Encyclopedia event on campus (posted photos on Facebook).
• Interviewed KSU grad and children's author Angela Wilkinson; also interviewed KSU senior Christopher White, the recipient of her scholarship
• Photographed on-campus career fair (posted photos on Facebook).
• Photographed and wrote story about New York Times best-selling author and campus speaker Sharon Draper.

Media attention from press releases:

• Kentucky State graduate was the eyes of black America – Oct. 2, Atlanta Journal Constitution/AJC.com
• AJC Sepia HBCU Campus Queens - Oct. 2, AJC.com
• Gubernatorial candidates discuss education at forum – Oct. 3, WTVQ
• KSU hosted debate by Operation Turnout delivers Kentucky political theater – Oct. 3, The State Journal
• Retention up, but enrollment slips at Kentucky State – Oct. 15, The State Journal
• KSU's retention rate climbs 38 percent -- Oct. 20, The Louisville Defender
• Kentucky State University sees a decline in enrollments but a rise in its retention rate -- Oct. 23, The Journal of Blacks in Higher Education

[16]

• Burse says KSU on right path, his door always open – Oct. 25, The State Journal
• Kentucky State University's Burse responds to accusations – Oct. 27, The State Journal (Sent the transcript of the president's announcement to the reporter; coordinated with the Chief of Operations to craft an open letter)
• KSU awarded $990,000 to provide grants to farmers – Oct. 27, State Journal, Hopkinsville Kentucky New Era
• KSU will honor editors of 'The Kentucky African-American Encyclopedia – Oct. 27, Capital Living
• KASAP, NFL promote rape crisis hotline -- Oct. 29, The (Maysville) Ledger Independent

November Highlights:

• 15 stories were posted on the campus news website.
• Crafted a letter on behalf of the Board of Regents; personalized letters to legislators and mailed correspondence to each of the members for the KSU request to CPE.
• Wrote a profile for the President's Gem letter: Dr. Sedlacek.
• Covered several events on campus such as Latino Educational Empowerment Forum. Several events and photos have been posted on Facebook, LinkedIn and Twitter pages.
• Collaborating, writing and editing the alumni magazine, Onward & Upward.
• Submitted Good News to CPE for November.
• Assisted with editing the Priorities: Thorobreds in Transformation publication for CPE
• Coordinated with Matt Montavan and Dr. Shabazz to help a journalism student attend the KSU/UK basketball press conference.
• Edited and posted stories written by communications students.
• Communicated with Black College Today magazine to include Miss KSU Stephanie Durr for the Annual Black College Queens January/February issue (Dedra submitted photographs).

Media attention from press releases:

• Kentucky State to host 'Liberal Arts Symposium' – Nov. 18, The State Journal
• VOLLEYBALL: KSU honoring Thorobrettes Monday – Nov. 28, The State Journal

Media attention liaison with The State Journal

• KSU fires football coaching staff (sent a statement to the reporter) -- Nov. 10
• Downtown event where two persons were shot was allegedly an unsanctioned 'KState Dollar Party' – Nov. 23 (coordinated information with police officers and General Counsel Gordon Rowe).

[17]

December Highlights:

• 13 stories were published on the website.
• In coordination with the Sport Information Director Matt Montavon, sent out media alerts for a press conference on KSU's campus to officially announce John L. Smith's appointment as the football coach. TV stations including WDRB, WLKY, WKYT, WLEX and WAVE arrived to cover the event. Other outlets including the Lexington Herald-Leader, Associated Press and State Journal. Other media picked up the story through wire services and aggregation – Dec. 7
• Produced Onward & Upward with Dedra McDowell and Kim Alsabrook.
• Photographed and posted photos of President Burse with newly elected Gov. Bevin and Lt. Gov. Jenean Hampton (on University's website, Twitter, Facebook and LinkedIn accounts).
• Communicated with TV stations such as Lex18, WKYT and State Journal about off campus shooting – Dec. 16
• Coordinated with Duane Lightfoot for Who's Who Louisville
• Plans are in the works to collaborate with the State Journal with regard to the University's school newspaper and website presence.
• Two graduation stories generated as a result of talking with the editor of the State Journal: KSU graduation follow-up story that mentions Xooker scholarship winner Alexis Ellis. The second graduation story connected the newspaper with graduating senior Rodricka Bryce -- Dec. 21
• Wrote a profile for the President's Gem Letter: Kimberly Sipes.

Media attention from press releases:

• Xooker gaming app awards KSU grad student a $15,000 scholarship – Capital Living (Dec. 1), The State Journal (Dec. 4) (Also, the story received a lot of mileage on Facebook. The story was shared 51 times and reached more than 7,000 viewers on Facebook.)
• KSU receives grant to study fish and plant production in high tunnels (KSU project gets financial boost) -- Dec. 4 (front page) The State Journal
• A musical one-two punch: KSU/CC Chorale performing concert – Dec. 6, State Journal
• John L. Smith, Dec. 7 announcement: The Courier-Journal, Lexington Herald Leader, Lex18, KyForward.com, State Journal, WKYT and Associated Press
• KSU and the Frankfort Kiwanis Club host Sharing is Caring, Capital Living (Dec. 9)
• KSU students score interviews at professional baseball's winter meeting, HBCU Digest (Dec. 11), Capital Living (Dec. 12)
• Cheer for KSU grads at commencement on Saturday – The State Journal, Dec. 18
• –which includes national newspapers that pick up the wire service.

[18]

SOCIAL MEDIA:

Facebook

For this quarter, there has been consistent engagement on the University's FB Page. The quarter saw a total of 492 additional likes as shown in the chart below as well as increased engagement particularly during the month of October. October surge attributed to homecoming efforts as well as buzz generated from the Circle City Classic.

Engagement by Month

[19]

Top Posts:

[20]

Check out the Mighty Marching Thorobred Band at Saturday's halftime show! Link 3090 5091 182

Forty first-year students assisted in setting up and passing out lunches for approximately 200 Veterans during the Veterans Luncheon yesterday. Photo 2988 4656 335

Snapchat

Snapchat is a platform that is used to take video or picture messages that can be shared for a limited time. We've found this platform to be most useful during events such as Commencement, concerts, etc. Prior to homecoming, we submitted three filters to the Snapchat community for approval. One of those designs was selected and was made available for use just in time for homecoming.

Twitter

The @KyStateU twitter feed follower count has risen from 1,696 to 1,863 as of December 31. That number continues to grow. This social media channel is used to communicate news, share new posts to from the website, and to interact with users who mention the University.

This platform lends itself to more frequent updates than others. It is a microblogging site, so multiple posts a day are acceptable, whereas in other platforms, too many post could cause our community to unfollow or unlike the account.

Below, you will find the most popular tweets, their reach and their engagement.

Tweets Top Tweets Tweets and replies Promoted

Impressions Engagements Engagement rate

[21]

Kentucky State U. @KyStateU · Oct 3 Gubernatorial candidates Jack Conway, Matt Bevin and Drew Curtis visit KSU for #OperationTurnout #kygov pic.twitter.com/ETk3XEFJGT View Tweet activity 4,576 189 4.1%

Kentucky State U. @KyStateU · Oct 6 Thorobreds, we won the McDonald's #HBCUBbreakfastContest! Get your breakfast gift cards at the student center! pic.twitter.com/tWpVjXsoeX View Tweet activity 2,228 229 10.3%

Kentucky State U. @KyStateU · Oct 27 .@kyoag, @NoMoreKY to kick off video competition to promote the National Rape Crisis Hotline ish.re/T3VS pic.twitter.com/liN3YdMhSq View Tweet activity 1,880 21 1.1%

Kentucky State U. @KyStateU · Oct 3 Happening now: Gubernatorial candidates Jack Conway (from left), Matt Bevin and Drew Curtis visit KSU for... fb.me/2ky7barZ1 View Tweet activity 1,853 37 2.0%

[22]

Instagram

Our Instagram account (Instagram.com/kentuckystateuniversity) is used to share photos and video clips of campus life and activities including everything from convocations, to athletics events, to students studying around campus. It provides a view of campus life that often goes unseen.

Through our team's commitment to more frequent updates to this highly visual channel, we have grown from about 625 followers since our last report to 743 followers as of December 31, 2015.

[23]

[24]

Background:

The final report regarding the endowment is not available until January 11, 2016. At the time it is furnished to External Relations and Development Office a copy of the report will be furnished via email to each of the Regents and a hard copy provided at the January 21, 2016 committee meeting.

Recommendation:

Informational

Informational Item

[25]

KENTUCKY STATE UNIVERSITY Regular Meeting of the Board of Regents External Relations and Development Committee January 21, 2016 5:00 p.m. Cooperative Extension Building, Conference Room Frankfort, Kentucky

Endowment Management Report

The market value as of 12/31/15 was $14,741,774. This represents an increase of approximately $348,000 (or 2.4%) in the 4th quarter of 2015. For the Calendar Year 2015, the portfolio is down approximately 2%.

2015 was a difficult year for diversified portfolios, where most major equity markets were negative, long bonds were negative, cash at 0%, and commodities down 23%. According to Morningstar the average return of most Moderate Allocation mutual funds was -2%. The China slowdown, a strong dollar and the dramatic decrease in oil prices were the main drivers of down markets.

The big news in the quarter occurred when the Fed finally raised fed funds off zero-bound, by 25 basis points. This represents the first hike in almost 10 years. The Federal Reserve statement used the word “gradual” twice when referencing pace of future rate hikes; appear to want more tangible evidence of progress toward inflation goal before raising again. The Federal Reserve will continue to reinvest maturing QE (Quantitative Easing) proceeds “until normalization of fed funds rate is well under way”.

Geopolitical tensions are on the rise in Europe and the Middle East following terrorist attacks in Paris and the shooting down of a Russian warplane by Turkish fighter jets over Syria. However, global markets appeared to be unfazed by the impassioned headlines that followed, as stocks kept losses to a minimum and the price of West Texas Intermediate (WTI) crude continued to fall into the low $40s.

Data showed that the U.S. economy grew at a faster pace in the third quarter than previously reported. Gross domestic product (GDP), the value of all goods and services produced in the U.S., rose at a 2.1 percent annualized rate, up from an initial estimate of 1.5 percent.

Economic theory would suggest that tighter monetary policy in the U.S., coupled with an easing ECB, would result in a stronger dollar. However, historically this has not been the case. Since 1971, during periods when the Fed tightened and the ECB eased simultaneously, the U.S. dollar weakened 60 percent of the time, usually falling approximately 6 percent over a six-month period.

[26]

KENTUCKY STATE UNIVERSITY Regular Meeting of the Board of Regents Office of Information Technology January 22, 2016 Cooperative Extension Building Conference Room Frankfort, Kentucky

Oracle Update

TCS has defined and discussed high-level business processes with the KSU Project Executive and KSU User teams.

N'Namdi Paskins has been hired as the Oracle Project Manager to drive and manage the project full-time.

The detailed project plan has been reviewed by the KSU Project Executive team. The project plan has not been approved due to additional information needed for data migration, quality assurance, testing, and project go-live strategy.

The go-live date for the project has been tentatively set for the last week of December 2016.

Project Concerns or Issues

The Tata Consultancy Services (TCS) team has not met expectations at this point. Deliverables related to the approval of the detailed project plan have not been provided by TCS. These issues have been escalated to TCS leadership. The KSU Project Executive Team is awaiting formal response from TCS. Based on the response from TCS leadership, the project timeline may be impacted and the project may be delayed.

Oracle Project Organization Structure:

The TCS team has been mobilized and the project teams have been determined.

TCS Implementation Team

The team consists of the TCS technical staff. This team will bring in-depth technical knowledge and will conduct the technical tasks of the project.

KSU Project Executive Team The team consists of: Wendy Dixie, Melinda Impellizzeri, N'Namdi Paskins, Ingram Quick, Gordon Rowe, and Gregory Rush. This team will review and sign off on project deliverables, make recommendations to President Burse on project matters, and act as the escalation point on all concerns related to the project.

The team consists of: Wendy Dixie, Melinda Impellizzeri, N'Namdi Paskins, Ingram Quick, Gordon Rowe, and Gregory Rush. This team will review and sign off on project deliverables, make recommendations to President Burse on project matters, and act as the escalation point on all concerns related to the project.

[1]

Key Upcoming Activities:

1. Evaluation of relationship with TCS
2. Review and signoff on the following:
3. Project Charter
4. Detailed Project Plan
5. Risk Register
6. Mitigation Plan
7. Responsibility Assignment Matrix
3. Completion of detailed business processes
4. Completion of business requirements document
5. Completion of first demonstration

Tentative and High-level Project Schedule as Proposed by TCS

Project Item

Project Planning

Requirements Gathering and Detailed Design

Data Extraction, Cleansing, and Migration

Training

Build and Testing

Campus Solutions and Cloud ERP Go-Live December 2016

Post Implementation Efforts and Transition

[2]

Timeline

October 2015 - December 2015

November 2015 – March 2016

March 2016 - December 2016

March 2016 - October 2016

April 2016 – December 2016

January 2017 - March 2017

Project milestones and deliverables remain the same as previously presented.

Once the detailed project plan is finalized and mutually agreed upon by both KSU and TCS, the project schedule and milestones will be adjusted accordingly.

[3]

KSU STRATEGIC PLAN 2020 Update

January 21-22, 2016

2016-01-04 Strategic Planning 1

KSU Strategic Plan 2020

MISSION STATEMENT - Draft

Kentucky State University offers a rigorous liberal arts education for a diverse student body by fulfilling its mandates of teaching, research, scholarly activities, community engagement, and accessibility as an 1890 Land Grant institution.

Building upon our Historically Black College and University (HBCU) heritage, we are committed to excellence in all of our undergraduate and graduate programs. Through small class sizes and a nurturing campus environment, the University fosters the development of well-rounded, critical thinking citizens with the vision and adaptability to craft solutions that contribute to the wellbeing of their local communities, the Commonwealth, nation, and world.

Version create on7/16/2015-v1

Executive Committee Update 2016-01-04 Strategic Planning

2

KSU Strategic Plan 2020

VISION STATEMENT - Draft

Kentucky State University envisions a community that embodies a culture of excellence as a premier liberal arts university in the Commonwealth of Kentucky.

Version create on7/16/2015-v1

Executive Committee Update 2016-01-04 Strategic Planning 3

KSU Strategic Plan 2020

VALUES (Draft and in-work)

• Student-Centered Philosophy (to be expanded)
• Integrity (to be expanded)
• Innovation in Scholarly Activities (to be expanded)
• Responsible Citizenship (to be expanded)
• Ethical Leadership (to be expanded)

Executive Committee Update 2016-01-04 Strategic Planning 4

KSU Strategic Plan 2020

Goals Drafted in ½ day Off-site Workout on 12/04/15 - Friday

Executive Committee Update 2016-01-04 Strategic Planning 5

KSU Strategic Plan 2020

Opportunity - Provide awareness and opportunities for all qualified student types and groups to attend KSU

Success – Provide academic and non-academic opportunities that enable student success while at KSU

Impact – Prepare graduates with the skills necessary for life success and impact in their communities

Executive Committee Update 2016-01-04 Strategic Planning 6

KSU Strategic Plan 2020 Opportunity (Draft and in-work)

• Increase enrollment (headcount) by 25% by 2020. (Note: this is about 100 total students per year)
• Increase the awareness of scholarship opportunities available at KSU for new and continuing students within the next two years
• Create a professional and cultural development program for new and continuing faculty and staff within the next two years

Executive Committee Update 2016-01-04 Strategic Planning

7

KSU Strategic Plan 2020

Success (Draft and in-work)

Student Success:

• Improve Retention Rate
• Increase first to second year retention rate by 3% to 5% every year. (or to 70% within five years)
• Maintain retention rate at 80% from sophomore to junior and all years there after
• (Tactic: Increase Experiential learning by 10% within five years)

Executive Committee Update 2016-01-04 Strategic Planning

8

KSU Strategic Plan 2020 Success (Draft and in-work)

Student Success:

• Improve Graduation Rate
• Reduce time to degree: Increase number of students completing 30 credit hours per year.
• Graduation Rate:
• a.Double four-year graduation rate within five years;
• b.Increase six-year graduation rate to 40% within five years.

Executive Committee Update 2016-01-04 Strategic Planning

9

KSU Strategic Plan 2020

Success (Draft and in-work)

Operational success:

• Develop and implement enrollment management best practices plan to increase the number of high quality undergraduate and graduate students by 10% each year.
• Create a sustainability plan by using environmentally sustainable methods.

Executive Committee Update 2016-01-04 Strategic Planning

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KSU Strategic Plan 2020 Impact (Draft and in-work)

• Goal 1: Increase our graduation rate by ___% by 2020.
• Goal 2: Increase the percentage of our alumni who are gainfully employed by ___% by 2020.
• Goal 3: Increase the percentage of our alumni who are engaged in graduate study to ___% by 2020.
• Goal 4: Increase our economic impact by increasing the average annual income of our alumni by ___% by 2020.

Executive Committee Update 2016-01-04 Strategic Planning

11

KSU Strategic Plan 2020

Impact (Draft and in-work)

• Goal 5: Add to the body of knowledge/creative works of our local communities, the Commonwealth, the nation, and the world, as verified by student, alumni, staff, faculty, and administrator artifacts.
• Goal 6: Increase continuing education/professional development opportunities for our local communities, the Commonwealth, the nation, and the world by ___% by 2020.
• Goal 7: Increase the community involvement of our students, alumni, staff, faculty, and administrators by ___% by 2020.

Executive Committee Update 2016-01-04 Strategic Planning

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KSU Strategic Plan 2020 Impact (Draft and in-work)

Executive Committee Update 2016-01-04 Strategic Planning 13

KSU Strategic Plan 2020 Impact (Draft and in-work)

Executive Committee Update 2016-01-04 Strategic Planning 14

14

KSU Strategic Plan 2020

Next Steps

Executive Committee Update 2016-01-04 Strategic Planning 15

KSU Strategic Plan 2020

Next Steps

• Expand Student Input by Adding Two Additional KSU Students
• Invite Two Community Members to Join Team
• Continue Progress per Timeline

Executive Committee Update 2016-01-04 Strategic Planning 16

KSU Strategic Plan 2020

Timeline Progress

Executive Committee Update 2016-01-04 Strategic Planning 17

KSU Strategic Plan 2020

Executive Committee Update 2016-01-04 Strategic Planning 18

KSU Strategic Plan 2020

Executive Committee Update 2016-01-04 Strategic Planning 19

KSU Strategic Plan 2020

The Team

Executive Committee Update 2016-01-04 Strategic Planning 20

KSU Strategic Plan 2020 Strategic Planning Team

• The team includes 26 knowledgeable, dedicated, interested students, faculty and staff
• The team came together over a single motive: to create an aspirational and self-sustaining new strategic plan for KSU, that will inspire stakeholders, students and employees to build and strive for a university that exhibits excellence in operations, education and impact to the community

Executive Committee Update 2016-01-04 Strategic Planning

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KSU Strategic Plan 2020

Strategic Planning Team

Executive Committee Update 2016-01-04 Strategic Planning 22

KSU Strategic Plan 2020

Appendix

Executive Committee Update 2016-01-04 Strategic Planning 23

KSU Strategic Plan 2020

Goals – First Brainstorm Draft

Note: This is a brainstorm draft. The goals have not been flushed out. Goals are missing time measurements, amounts and some are strategies. This was a creative exercise of the team. Refinement will happen in upcoming meetings.

Executive Committee Update 2016-01-04 Strategic Planning 24

KSU Strategic Plan 2020 Goals – First Brainstorm Draft

Opportunity

Item Affordability

1 Recruiting Students

2 Have to have this in order to have students

3 Increase enrollment by 25% by 2018

4 Improve enrollment management

5 Increase enrollment from KY

6 Improve customer service

7 Program to get stop out students to return

8 Create an intensive professional development program for new and continuing faculty and staff.

9 Impact, opportunity success, improve community relations

10 Increase market research of local and regional target audiences to meet the needs of students

11 Create 2 niches that make KSU distinctive & competitive among public and private universities in KY

Executive Committee Update 2016-01-04 Strategic Planning 25

KSU Strategic Plan 2020 Goals – First Brainstorm Draft

Success

Item Graduation Rate

1 Increase degree completion

2 Faster hiring of students and personnel

3 Create critical thinkers

4 First-Time Right in Everything

5 Integrity in mapped out procedures and policy

6 Documented policies and procedures for all areas and depts by end of 2016

7 Communication and shared vision and understanding

8 Retention Rate

9 Improve retention rates by 20% each year for 5 years

10 Improve 1st and 2nd year retention

11 Increase retention rate by 20% by 2018

12 Increase enrollment by 1,000 head count students by 2020

13 Progression

14 Retain students (this will help #1)

15 Student Achievement Success

16 Recruitment

17 Retention

18 Graduation

19 Improve graduation rates by 20% each year for 5 years

20 Increase retention of all students by 2% each year for the next 5 years

21 Stop out

22 Immediate recruiting

Executive Committee Update 2016-01-04 Strategic Planning 26

KSU Strategic Plan 2020 Goals – First Brainstorm Draft

Impact

Item Leadership

1 Own it"

2 Task Focus

3 Results oriented

4 25% increase in outreach/recruiting in high schools

5 PR Processes

6 Planning, priority, protocol, 7P's proper, planning, prevents, poor, performance

7 25% increase in undergraduate research and creative works

8 Recruit/retain faculty to reflect the demographic make-up of the student body

9 Improve Kentucky citizen's lives

10 Culture

11 Engaged

12 Open/accepting of excellence

13 Motivational

14 Create (or improve) the academic culture at the university

15 Morale of security, students, faculty, staff/administration

16 Get students into good jobs

17 Provide workers for the Commonwealth

18 Healthcare workers

19 State government

20 Stop Out

Executive Committee Update 2016-01-04 Strategic Planning

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KSU Strategic Plan 2020 End

Executive Committee Update 2016-01-04 Strategic Planning 28

Agenda Item Background

Background:

Article XII of the By-Laws of the Board of Regents (the “Board”) requires a majority vote of Board members to amend the By-Laws. Article IX of the By-Laws, as amended, established the following standing committees: Academic Affairs, Audit, Executive, External Relations and Development (formerly, “Advancement”), Business Affairs (formerly, “Finance and Administration”) and Student Affairs. A standing Governance Committee will establish, evaluate and update governance policies for the Board and the University, including, but not limited to, risk management policies. The work of this Committee will not duplicate the functions of existing standing committees.

The first paragraph of Article IX of the By-Laws currently reads as follows:

• The standing committees of the Board of Regents shall be the Executive Committee, the Academic Affairs Committee, the Finance and Administration Committee, the Audit Committee, the Student Affairs Committee, and the Advancement Committee. Members and chairpersons of the standing committees of the Board shall be determined by the Chairperson of the Board of Regents. Other standing committees of the Board shall be determined by the Board with members appointed by the chairperson.

The first paragraph of Article IX of the By-Laws should be amended as follows to add a Governance Committee to the list of standing committees, to update the names of the current standing committees and reflect prior amendments:

• The standing committees of the Board of Regents shall be the Executive Committee, the Academic Affairs Committee, the Business Affairs Committee, the Audit Committee, the Student Affairs Committee, the External Relations and Development Committee, the By-Laws Committee and the Governance Committee. Members and chairpersons of the standing committees of the Board shall be determined by the Chairperson of the Board. Other standing committees of the Board shall be determined by the Board with members appointed by the chairperson.

[1]

Recommendation:

Approval of the amendment to the By-Laws of the Board for a Governance Committee, which would take effect immediately.

If approved, the revision of this policy would take effect immediately.

Approval

[2]

Agenda Item Background

Background:

In order to define the mission, responsibilities and organization of the Governance Committee, the Board of Regents (the “Board”) should approve a charter for the Committee. The new Committee would be charged with the following general duties:

1. develop and recommend rules and policies for the governance of the Board and Kentucky State University (the “University”);
2. identify and implement best practices in University governance;
3. develop and provide mentoring and orientation for new Board members; and
4. provide oversight for risk management of the University.

The full proposed charter is attached hereto as Exhibit A.

Recommendation:

Approval of charter for the Governance Committee of the Board of Regents, to take effect immediately.

Approval

[1]

Exhibit A

BOARD OF REGENTS GOVERNANCE COMMITTEE CHARTER

Mission

The purpose of the Board of Regents (the “Board”) Governance Committee is to:

1. develop and recommend rules and policies for the governance of the Board of Regents and Kentucky State University (the “University”);
2. identify and implement best practices in University governance;
3. develop and provide mentoring and orientation for new Board members; and
4. provide oversight for risk management of the University.

Authority and Responsibilities

Policies

The Governance Committee shall establish, review, and update governance policies for the University. The Committee shall oversee the adoption of Board governance policies and procedures that are in accord with federal and state laws and ensure that Board members adhere to their fiduciary responsibilities.

Board Committee Charters

At least once annually, the Governance Committee shall review the charters for all Board committees and update and revise such charters as necessary and in accord with best practices. The Committee shall develop guidelines for all Committee charters and for measuring the performance of other Board committees.

Evaluate Performance of the Board

The Governance Committee shall evaluate the performance of all Board committees annually and determine whether such committees are performing in accord with their charters. The Committee shall also assess the performance of individual Board members annually, assessing attendance, contributions to committees, adherence to fiduciary duties and other responsibilities required of individual Board members. The Board may conduct a peer review for individual Board members. The Committee shall also consider and assess potential conflicts of interest for individual Board members and make recommendations to the full Board to prevent and/or minimize conflicts of interest.

Evaluate and Oversee Risk Management

The Governance Committee shall have oversight responsibility for the University's risk management policies. The Committee shall consult with the President or his/her designee regarding the assessment of risk for the University and the implementation of

[1]

risk management strategies. The Committee shall report regularly to the full Board, to the extent possible, its assessment of risk for the University and its evaluation of the University's risk management policies.

Organization

Membership/Structure/Quorum

The Governance Committee shall consist of at least three but no more than five members. The Committee chair and the members of the Committee shall be appointed by the Chair of the Board of Regents. The President of the University shall be a non-voting, ex-officio member of the Committee. Committee members should have business and/or legal expertise. A simple majority of the members of the Committee shall constitute a quorum.

Staff Designee

The Vice President for External Relations and Development shall be staff to the Governance Committee.

Meetings

The Governance Committee shall convene at least two times per year, prior to regularly scheduled full Board meetings, and as may be called by the Committee's chair. Committee members may participate by teleconference.

Agendas, Minutes, and Reports

The chair of the Committee, in collaboration with the staff designee, shall be responsible for establishing the agendas for meetings. An agenda, together with relevant materials, shall be sent to Committee members at least 14 days in advance of the meeting. Minutes for all meetings shall be drafted by the staff designee, reviewed by the Committee chair, and approved by Committee members at the following meeting.

[2]

Agenda Item Background

Background:

Each Board Committee mission, responsibilities and organization needs to be stated and clarified for Board operation. A charter for each standing committee is attached.

Recommendation:

Approval of charters for each standing committee of the Board of Regents, to take effect immediately.

Approval

EXECUTIVE COMMITTEE CHARTER

Mission

The Executive Committee shall have the power to act on behalf of the full Board of Regents (the “Board”) between regularly scheduled meetings of the Board and shall have the same powers as the full Board, with exceptions as described in the Authorities and Responsibilities section below.

Authority and Responsibilities

The Executive Committee shall take action on behalf of the full Board and provide guidance to the President on matters that arise in the interim between regular meetings. The Executive Committee shall have the same powers as the Board of Regents during the interim between meetings of the Board, except that it may not elect or dismiss a president of the University, create a new position in the University, abolish one already existing, nor adopt the annual budget for the University. The Executive Committee shall also serve as the President's Review and Compensation Committee, and shall present recommendations concerning same to the full Board for vote. The Executive Committee shall involve the entire Board in this evaluation process and shall also solicit input from other University stakeholders. The Executive Committee shall be responsible for the planning of the Board's annual retreat. The Executive Committee shall submit to the Board for its ratification at the next full Board meeting a complete record of all actions taken by the Executive Committee.

Organization

Membership/Structure/Quorum

The Executive Committee shall consist of six members. The Committee chair and the members of the Committee shall be appointed by the Chair of the Board of Regents. The President of the University shall be a non-voting, ex officio member of the Committee. Committee members should have legal expertise and/or administrative experience. A simple majority of the members of the Committee shall constitute a quorum.

Staff Designee

The President shall appoint a senior staff member to be staff designee to the Executive Committee. The Secretary of the Board of Regents shall attend all meetings of the Executive Committee and shall serve as its secretary.

[1]

Meetings

The Executive Committee shall convene as may be called by the Committee's chair.

Agendas, Minutes, and Reports

The chair of the Committee, in collaboration with the staff designee, shall be responsible for establishing the agendas for meetings. An agenda, together with relevant materials, shall be sent to Committee members at least 14 days in advance of the meeting. Minutes for all meetings shall be drafted by the staff designee, reviewed by the Committee chair, and approved by Committee members at the following meeting.

[2]

ACADEMIC AFFAIRS COMMITTEE CHARTER

Mission

The Academic Affairs Committee facilitates the Board of Regents' (the “Board”) duty to maintain quality academic programs. The Committee shall be responsible for evaluating all recommendations coming to the Board affecting the academic and intellectual affairs of the University. This Committee shall oversee the University academic programs and ensure that those programs are suitable for appropriate academic development of students.

Authority and Responsibilities

Governance

The Academic Affairs Committee shall ensure that academic programs are established, reviewed, and updated on a regular basis. The Committee shall also ensure that the University administration has metrics in place to regularly and appropriately assess the effectiveness of academic programming. The Committee shall perform periodic academic program reviews and review proposals for new academic programs and proposals to discontinue academic programs. The Committee shall review data to monitor the success of academic programs and shall report its evaluation of that data to the full Board.

Academic Policy

The Committee shall have the responsibility of ensuring that academic policies are in accord with the University's mission and strategic plan. The Committee shall, on a regular basis, review and monitor policies on faculty personnel and procedures and determine whether and when such policies require updates.

Budget

The Academic Affairs Committee must ensure that budget allocations are suitable to meet the needs and priorities of the University's academic goals.

Accreditation

The Academic Affairs Committee must provide oversight of the University accreditation. The Committee shall review, evaluate and address findings and recommendations from the University’s accrediting body, the Southern Association of Colleges and Schools Council on Colleges (“SACSCOC”) and report to the full Board on the status of the University’s accreditation. The Committee must also monitor the University’s compliance with SACSCOC rules.

[3]

Organization

Membership/Structure/Quorum

The Academic Affairs Committee shall consist of five members. The Committee chair and the members of the Committee shall be appointed by the Chair of the Board of Regents. The President of the University shall be a non-voting, ex officio member of the Committee. Committee members should have academic experience and/or expertise. A simple majority of the members of the Committee shall constitute a quorum.

Staff Designee

The Vice President for Academic Affairs shall be staff designee to the Academic Affairs Committee.

Meetings

The Academic Affairs Committee shall convene at least four times per year, prior to regularly scheduled full Board meetings and as may be called by the Committee's chair.

Agendas, Minutes, and Reports

The chair of the Committee, in collaboration with the staff designee, shall be responsible for establishing the agendas for meetings. An agenda, together with relevant materials, shall be sent to Committee members at least 14 days in advance of the meeting. Minutes for all meetings shall be drafted by the staff designee, reviewed by the Committee chair, and approved by Committee members at the following meeting.

[4]

AUDIT COMMITTEE CHARTER

Mission

The Audit Committee is responsible for ensuring that the University has sufficient internal controls to promote financial transparency, enhance accountability and manage risk. This Committee shall recommend to the Board of Regents (the “Board”) the engagement of an external auditor and regularly review the reports of the University’s Internal Auditor.

Authority and Responsibilities

The Audit Committee shall be responsible for monitoring the University's internal controls and financial reporting. To fulfill this function, the Audit Committee shall

• Appoint and oversee an external auditing firm for the University
• Review financial statements audited by the external auditors
• Review the recommendations of the external auditors and present those recommendations to the full board
• Review and evaluate the reports and recommendations of the University's Internal Auditor and present those recommendations to the full Board
• Review, evaluate and oversee the University's internal controls and accounting functions
• Assess strategic risks for the University and make recommendations to the Board as to management and minimization of risk
• Monitor the University's compliance with financial accounting principles and regulations and internal finance policies
• Make recommendations to the full Board as to policies and strategies to safeguard assets

Organization

Membership/Structure/Quorum

The Audit Committee shall consist of four members. The Committee chair and the members of the Committee shall be appointed by the Chair of the Board of Regents. The President of the University shall be a non-voting, ex officio member of the Committee. Committee members should have financial expertise and/or business experience. A simple majority of the members of the Committee shall constitute a quorum.

Staff Designee

The Internal Auditor shall be staff designee to the Audit Committee.

[5]

Meetings

The Audit Committee shall convene at least four times per year, prior to regularly scheduled full Board meetings and as may be called by the Committee's chair.

Agendas, Minutes, and Reports

The chair of the Committee, in collaboration with the staff designee, shall be responsible for establishing the agendas for meetings. An agenda, together with relevant materials, shall be sent to Committee members at least 14 days in advance of the meeting. Minutes for all meetings shall be drafted by the staff designee, reviewed by the Committee chair, and approved by Committee members at the following meeting.

[6]

BY-LAWS COMMITTEE CHARTER

Mission

The By-Laws Committee shall regularly review and update the Board of Regents' (the "Board") By-Laws to make sure that the By-Laws are well-suited to meet the needs of the Board and to make its operations efficient and productive. The Committee shall also be responsible for ensuring that the By-Laws meet the requirements of state law.

Authority and Responsibilities

The By-Laws Committee shall be responsible for reviewing and updating the By-Laws of the Board, as necessary but at least once per year. At least once per year, the By-Laws Committee shall meet to review and evaluate the existing By-Laws. Based upon its evaluation, the Committee shall make recommendations and proposals to the full Board as to any amendments to the By-Laws. The Committee shall also be responsible for assisting the full Board in its interpretation of the By-Laws.

Organization

Membership/Structure/Quorum

The By-Laws Committee shall consist of five members. The Committee chair and the members of the Committee shall be appointed by the Chair of the Board of Regents. The President of the University shall be a non-voting, ex officio member of the Committee. Committee members should have legal expertise and/or administrative experience. A simple majority of the members of the Committee shall constitute a quorum.

Staff Designee

The President shall appoint a senior staff member to be staff designee to the By-Laws Committee.

Meetings

The By-Laws Committee shall convene at least once per year and as may be called by the Committee's chair.

Agendas, Minutes, and Reports

The chair of the Committee, in collaboration with the staff designee, shall be responsible for establishing the agendas for meetings. An agenda, together with relevant materials, shall be sent to Committee members at least 14 days in advance of the meeting. Minutes for all meetings shall be drafted by the staff designee, reviewed by the Committee chair, and approved by Committee members at the following meeting.

[7]

FINANCE COMMITTEE CHARTER

Mission

The Finance Committee is responsible for ensuring that the Board of Regents (the “Board”) meets its fiduciary duties to the University. This Committee shall review, evaluate and provide guidance on all financial and budgetary matters for the University.

Authority and Responsibilities

Budget

The Finance Committee shall be responsible for overseeing the University's budget and all of its financial affairs. The Committee shall review and provide guidance to the Board on biennial budget requests and interim budget requests submitted to the Kentucky Legislature, the annual operating budget of the University and all other budgetary matters. The Committee must also ensure that budget allocations are suitable to meet the needs and priorities of the University.

Policy

The Finance Committee must inform the full Board on short-term and long-term budget issues, financial planning policies and asset allocation and management strategies. The Committee shall also be responsible for overseeing the financial relationship of the University to all of its partner organizations, including the University Foundation.

Evaluation

I he Finance Committee is responsible for oversight and review of appropriate data and metrics to assess the University fiscal condition and its long-term financial health. In order to fulfill this function, the Committee shall review the University's quarterly and annual financial reports, periodic reports on the University's reserves, asset management reports and any other relevant financial reports.

Organization

Membership/Structure/Quorum

The Finance Committee shall consist of four members. The Committee chair and the members of the Committee shall be appointed by the Chair of the Board of Regents. The President of the University shall be a non-voting, ex officio member of the Committee. Committee members should have financial expertise and/or business experience. A simple majority of the members of the Committee shall constitute a quorum.

[8]

Staff Designee

The Vice President for Business Affairs shall be staff designee to the Finance Committee.

Meetings

The Finance Committee shall convene at least four times per year, prior to regularly scheduled full Board meetings and as may be called by the Committee's chair.

Agendas, Minutes, and Reports

The chair of the Committee, in collaboration with the staff designee, shall be responsible for establishing the agendas for meetings. An agenda, together with relevant materials, shall be sent to Committee members at least 14 days in advance of the meeting. Minutes for all meetings shall be drafted by the staff designee, reviewed by the Committee chair, and approved by Committee members at the following meeting.

[9]

STUDENT AFFAIRS COMMITTEE CHARTER

Mission

The Student Affairs Committee is responsible for supporting and enhancing the University's goal of student success. This Committee will have oversight of all policies and practices concerning students and must monitor the University's processes for measuring student success.

Authority and Responsibilities

Governance

The Student Affairs Committee shall ensure that students are engaged in a healthy, productive campus culture that is conducive to positive learning outcomes. The Committee shall monitor all programs related to student life. The Committee shall regularly review data to monitor the success of student affairs programs and shall report its evaluation of that data to the full Board.

Policy

The Student Affairs Committee shall have the responsibility of evaluating University policies regarding the student experience and student success, including but not limited to, recruiting policies, admissions requirements, enrollment management, student services, and financial aid. The Committee shall ensure that student affairs policies are in accord with the University's mission and strategic plan.

Budget

The Student Affairs Committee must ensure that budget allocations are suitable to meet the needs and priorities of the University's goals for student success.

Organization

Membership/Structure/Quorum

The Student Affairs Committee shall consist of five members. The Committee chair and the members of the Committee shall be appointed by the Chair of the Board of Regents. The President of the University shall be a non-voting, ex officio member of the Committee. Committee members should have academic experience and/or expertise. A simple majority of the members of the Committee shall constitute a quorum.

[10]

Staff Designee

The Vice President for Student Affairs shall be staff designee to the Student Affairs Committee.

Meetings

The Student Affairs Committee shall convene at least four times per year, prior to regularly scheduled full Board meetings and as may be called by the Committee's chair.

Agendas, Minutes, and Reports

The chair of the Committee, in collaboration with the staff designee, shall be responsible for establishing the agendas for meetings. An agenda, together with relevant materials, shall be sent to Committee members at least 14 days in advance of the meeting. Minutes for all meetings shall be drafted by the staff designee, reviewed by the Committee chair, and approved by Committee members at the following meeting.

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EXTERNAL RELATIONS AND DEVELOPMENT COMMITTEE CHARTER

Mission

The External Relations and Development Committee is responsible for informing the Board of Regents (the “Board”) on all matters related to fund-raising, development, public relations and alumni matters for the University.

Authority and Responsibilities

Fund-raising and Development

The Committee shall be responsible for overseeing the University's strategy for obtaining the financial support necessary to meet the University's education goals and fiscal responsibilities. The Committee shall review and evaluate annual fundraising goals and make recommendations to the Board as to how those goals can be achieved. The Committee shall provide leadership in contacting potential donors for gifts.

Public Relations and Alumni Affairs

The Committee shall be responsible for developing and recommending to the full Board a public relations/marketing strategy to present the University in its most favorable light. The Committee shall also be responsible for developing and recommending to the Board plans and strategies for engaging alumni and generating support from alumni for the University fund-raising goals and programs.

Organization

Membership/Structure/Quorum

The External Relations and Development Committee shall consist of three members. The Committee chair and the members of the Committee shall be appointed by the Chair of the Board of Regents. The President of the University shall be a non-voting, ex officio member of the Committee. Committee members should have financial expertise and/or business experience. A simple majority of the members of the Committee shall constitute a quorum.

Staff Designee

The Vice President for External Relations and Development shall be staff designee to the External Relations and development Committee.

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Meetings

The External Relations and Development Committee shall convene at least four times per year, prior to regularly scheduled full Board meetings and as may be called by the Committee's chair.

Agendas, Minutes, and Reports

The chair of the Committee, in collaboration with the staff designee, shall be responsible for establishing the agendas for meetings. An agenda, together with relevant materials, shall be sent to Committee members at least 14 days in advance of the meeting. Minutes for all meetings shall be drafted by the staff designee, reviewed by the Committee chair, and approved by Committee members at the following meeting.

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Agenda Item Background

Background:

In order to further the goals of non-discrimination and to protect and extend the diversity of the Kentucky State University (the “University”) campus community, the Board of Regents should approve a revision of the University’s non-discrimination policy to include sexual orientation. If this proposal is accepted, all Kentucky State University documents that include the University’s non-discrimination policy shall also include protection from discrimination for faculty, staff, and students based upon their sexual orientation.

The University's current non-discrimination policy is not consistent across departments and policy statements.

The University Catalogue (back of cover page) states that:

“It is the policy of Kentucky State University not to discriminate against any individual in its educational programs, activities, or employment on the basis of race, color, national origin, sex, disability, veteran status, age, religion or physical or mental disability, or marital status.”

The introduction to the Student Handbook (see p. 3) states that:

“Kentucky State University is an equal opportunity/affirmative action institution. It is the policy of Kentucky State University not to discriminate against any individual in its educational programs, activities, or employment on the basis of race, color, national origin, sex, disabled status, veteran status, age, religion, or marital status.”

Section 2.6.6 of the Faculty Handbook (see p. 2-21) states that:

“All promotion and tenure recommendations are to be objective without regard to race, religion, sex, age, national origin, veteran status, disability, or marital status.”

Section 10.0 (p. 5) of the Human Resources Policy Manual states that:

“Kentucky State University does not discriminate in the administration of any educational services or any employment decisions on the basis of race, color, religion, gender, age (except for minors), national origin, citizenship status (except as required by law), disability, military

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service status, or any other status protected by law, absent a bona fide occupational qualification. Non-discrimination requires compliance with federal, state and local employment laws and regulations, including, but not limited to, the following: Equal Pay Act of 1963, Title VII of the Civil Rights Act of 1964, as amended, the Age Discrimination in Employment Act, and the Americans with Disabilities Act.

All University policies strongly promote equal opportunity and non-discrimination but currently, the only University policy document that includes protection from discrimination based on sexual orientation is the University's Ethical Principles and Code of Conduct (the "Code of Conduct"). The non-discrimination provision of the Code of Conduct provides that:

“Equal opportunity shall be provided for all persons throughout the University in recruitment, appointment, promotion, payment, training, and other employment practices without regard to sex, sexual orientation, race, ethnic origin, national origin, color, creed, religion, age uniform service or veteran status, physical or mental disability, or political belief.”

Although the Code of Conduct is incorporated by reference in other policy documents, the University should adopt a uniform, non-discrimination policy that includes protection from discrimination on the basis of sexual orientation. This policy shall be included in all University policy documents and state as follows:

Equal opportunity shall be provided to all persons throughout the University. Kentucky State University does not discriminate in the administration of or access to any educational services or in regard to any employment decisions on the basis of race, color, religion, gender, sexual orientation, age (except for minors), national origin, ethnicity, citizenship status (except as required by law), disability, military service status, marital status or any other status protected by law, absent a bona fide occupational qualification. Non-discrimination requires compliance with federal, state and local employment laws and regulations, including, but not limited to, the following: Equal Pay Act of 1963, Title VII of the Civil Rights Act of 1964, as amended, the Age Discrimination in Employment Act, and the Americans with Disabilities Act.

Recommendation:

Approval of revision of non-discrimination policy to include sexual orientation, to take effect immediately.

Approval

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Agenda Item Background

To: Board of Regents Date: January 22, 2016

From: Raymond M. Burse

Subject: Hazard Mitigation Plan

Reason for Consideration: Approval Enclosures: Yes

Background:

A Hazard Mitigation Plan has been developed for KSU. Hazard mitigation is any sustained action taken to reduce or eliminate long-term risk to human life and property from a hazard.

Recommendation:

It is recommended the Board of Regents approve the Hazard Mitigation Plan.

Approval

KENTUCKY STATE UNIVERSITY Regular Meeting of the Board of Regents January 22, 2016 Cooperative Extension Building Conference Room Frankfort, Kentucky

Summary: Hazard Mitigation Plan

Definition: Hazard mitigation is any sustained action taken to reduce or eliminate long-term risk to human life and property from hazard (44 CFR 201.2).

The Disaster Mitigation Act of 2000 (DMA 2000) provided revitalized approaches to mitigation planning in Section 322 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act. This section established a new requirement for Local Mitigation Plans following a disaster and authorized up to seven percent (7%) of Hazard Mitigation Grant Program funds available to a state to be used for development of State, Tribal, and Local Mitigation Plans.

The purpose of the KSU Hazard Mitigation Plan is to provide guidance for building a more resilient campus community. Due to the documented risk and exposure to many kinds of natural and man-made hazard events, particularly sinkholes, severe storms, and severe winter storms, KSU understands the need for improved information for decision-making when managing disasters. The plan is the result of a systematic evaluation of the nature and extent of the vulnerability posed by the effects of natural and man-made hazards present (risk assessment). It also includes a five-year action plan to minimize future vulnerability (mitigation strategy), accompanied by a schedule that outlines method for monitoring and evaluating plan progress (plan maintenance). The geography examined for the plan includes KSU's Main Campus, Environmental Education Research Center, the Harold R. Benson Research and Demonstration Farm, and the University's Downtown Annex (Old Federal Building).

Sections of the Plan

1. Planning Process

This section provides a descriptive narrative of how the plan was produced, who was involved, and what other policies and programs were used to develop the plan. To facilitate the planning process, key stakeholders were identified and organized into a steering committee. In addition, several publicly-accessible meetings were held to garner community ownership and input on the plan.

2. Risk Assessment

This section includes developing a hazard profile as well as the identification, compilation, and integration of the existing hazard database throughout KSU into one

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managed University database contained in Geographical Information Systems (GIS). Once the hazards were identified, vulnerability was assessed on a building-by-building basis with extra focus on critical facilities. Mapping past occurrences of hazards, provided the steering committee with the necessary information to assess probabilities, all in order to determine appropriate mitigation strategies to pursue in the future.

3. Mitigation Strategy

This section includes the determination of hazard mitigation goals, objectives, and actions as identified during the public stakeholder and steering committee meetings. The mitigation strategy was based on the review of the risk assessment process and feedback provided during public meetings. The plan developers then worked to access KSU's current capabilities in order to create a viable mitigation strategy containing 39 action items.

4. Plan Maintenance Procedures

This section outlines the plan maintenance steps: implementation, monitoring, evaluating, and updating with particular focus on collaboration with other University departments to allow for better incorporation of existing planning mechanisms.

5. Plan Approval

The draft plan was approved by Kentucky Emergency Management (KYEM) and the Federal Emergency Management Agency (FEMA) contingent on adoption by KSU. Once adopted by KSU's President and the steering committee, the plan is to be resubmitted to KYEM and FEMA for final review and approval.

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