STANDARD #3:  ORGANIZATION AND GOVERNANCE

3.1:

The authority, responsibilities, and relationships among the governing board, administration, faculty, and staff are clearly described in the institution’s by-laws, or an equivalent document, and in a table of organization that displays the working order of the institution. 

A variety of documents - Connecticut General Statutes [LINK], policies and resolutions of the CSUS Board of Trustees (BOT) [LINK]; policies of the CSUS System and the University [LINK]; collective bargaining agreements [LINK]; and University Senate resolutions [LINK]  - provide the framework for the governance structure of CCSU.   The relationships between the layers of governance are outlined by organizational charts [LINK]

The board, administration, staff, and faculty understand and fulfill their respective roles as set forth in the institutions official documents and are provided with the appropriate information to undertake their respective roles. 

Newly appointed BOT members go through a full orientation and make visits to the four CSUS campuses.  The staff of the CSU System Office provides BOT members with all information necessary to fulfill their policy making roles.  BOT members receive staff reports prior to their regular monthly meetings and are provided with information from all monthly Board sub-committee meetings.  

University administrators receive their position descriptions [Document Room], appropriate CSU human resources policies and procedures [LINK], and are oriented to the university at New Employee Orientation.   

The faculty and staff receive copies of position descriptions, appropriate collective bargaining agreements [LINK], appropriate CSUS and CCSU policies and procedures, departmental policies and procedures, and are oriented at New Faculty or New Employee Orientation.  

The institution’s organizational structure, decision-making processes, and policies are clear and consistent with its mission and support institutional effectiveness. 

The CCSU table of organization [LINK] outlines the relationships between the BOT, the CSU System Office, and the administration of CCSU.  The administration of CCSU has stabilized under the leadership of President Jack Miller, and his cabinet is fully constituted with a complement of Vice Presidents and Chief Officers [LINK TO ORG CHART] who oversee one or more administrative or academic areas with distinct missions [LINK] that are tied directly to the overall mission of the University. 

The institution’s system of governance involves the participation of all appropriate constituencies and includes regular communication among them. 

The collective bargaining agreements for teaching and administrative faculty [LINK to Preambles of both SUOAF and AAUP contracts] provide for shared governance.  The Faculty Senate includes voting members of both the teaching and administrative faculty [LINK] and resolutions passed by the Senate are reviewed and approved by the President.  The University Planning and Budgeting Committee (UPBC) acts on behalf of the University Senate in an advisory capacity to the President. [LINK]  (See Section 2.7 for the membership of the UPBC) 

3.2:

The governing board is the legally constituted body ultimately responsible for the institution’s quality and integrity. 

All constituent units of higher education in the State of Connecticut are governed by CGS Title 10a, Sec 10a-1 through 10a-55c. [LINK]  The Board of Governors of Higher Education is the central policy making authority for public higher education in Connecticut.  The Connecticut State University system, the largest public university in the state, is governed by Chapter 185b, Part II, and overseen by a Board of Trustees, whose authority is set forth in CGS Sections 10a-87 through 10a-101 [LINK].

The board demonstrates sufficient independence to ensure it can act in the institution’s best interest. 

The authority of the BOT to oversee the Connecticut State University System (CSUS) and its constituent units is set forth in CGS Sections 10a-87 through 10a-101 [LINK].

The composition of the board includes representation of the public interest and reflects the areas of competence needed to fulfill its responsibilities. 

The BOT, as specified by statute, consists of eighteen members, fourteen of whom are appointed by the Governor and confirmed by the General Assembly for six year terms (Section 10a-88). Four student members are elected for two year terms by the student body at each of the four campuses.  The BOT Chair is appointed by the Governor. 

The BOT’s membership reflects the areas of competencies needed to both carry out their responsibilities, and to represent the public interest. [LINK to BOARD MEMBER BIOS].   BOT members bring a wide range of expertise and interest and a level of competency required to make decisions about the CSUS. 

Fewer than one-half of the board members have any financial interest in the institution, including as employee, stock-holder, or corporate director.

As a public institution, there is no opportunity for BOT members to be stockholders or corporate directors.  None of the BOT members are employed by or have any financial interest in any of the universities in the CSUS.

Members of the governing board understand, accept, and fulfill their responsibilities as fiduciaries to act honestly and in good faith in the best interest of the institution toward the achievement of its purposes in a manner free from conflicts of interest.

BOT members must fill out an extensive background information questionnaire [Document Room] that is sent to the Governor’s Office.  Nominations are sent to the Legislature’s Committee on Executive and Legislative Nominations.  When sworn in, all Board members are required to take an oath administered by the Board Chair. [LINK TO CSUS BOARD OF TRUSTEES OATH OF OFFICE].[Document Room]  All new Board members are provided with Resolution BR#06-54 CSU Ethics Statement [LINK] when they first take office, and it is reissued annually to all Board members.

3.3

The board has a clear understanding of the institution’s distinctive mission and purposes. 

CGS Section 10a-149 vests the authority and responsibility for the operation of the state’s public institutions of higher education in the BOT, “which shall have special responsibility for the preparation of personnel for the public schools of the state including master’s degree programs, education doctoral degree programs and other graduate study in education, and authority for providing liberal arts and career programs at the bachelor’s, masters and sixth year levels.” [LINK to 10a-149]

The CSU Strategic Plan and the CCSU Strategic Plan provide the BOT with a unique understanding of CCSU’s distinctive mission among the four universities.  [LINK] The CSU Strategic Plan, currently under review and revision, will contain specific missions for each of the four universities in the system.

It exercises the authority to ensure the realization of institutional mission and purposes. 

In accordance with their statutory authority, the BOT plans for the expansion and development of the four Universities, and submits such plans to the Board of Governors for Higher Education and the Commission of Public Works.

The board sets and reviews institutional policies; monitors the institution’s fiscal solvency; and approves major new initiatives, assuring that they are compatible with institutional mission and capacity. 

All major new initiatives are proposed by the university to the BOT for their approval.  

These policies are developed in consultation with appropriate constituencies.

System-wide councils, made up of representatives from all four campuses, advise the Chancellor and the system office staff regarding issues affecting the various campuses and the system as a whole: the Council of Presidents, Council on Academic Affairs, Council on Finance and Administration, Council on Student Affairs, Council on Employee Relations, Council on Information Technology, and the Institutional Research Council. [LINK]  The Chancellor may also establish system-wide advisory committees on a standing or ad-hoc basis.  The councils meet monthly and make recommendations to the Board for new initiatives and policy changes.  These committees also hold one meeting per year at each of the four campuses. 

The board assures that the institution periodically reviews its success in fulfilling its mission and achieving its purposes.

Annually, the Board holds one of their regular meetings at the CCSU campus, at which the President presents the university’s annual report to the Board.  The Annual Report provides an overview of the accomplishments of the university over the past year.  [LINK TO CCSU ANNUAL REPORT TO THE BOT FROM 2006 and 2007]  

3.4

The board systematically develops and ensures its own effectiveness.  The board enhances its effectiveness through periodic evaluation.

The BOT examines its effectiveness on an ongoing basis through discussions and deliberations that occur at the committee level of the Board, as well as through discussions that take place in the meetings of the BOT Executive Committee. 

BOT members attend workshops and conferences to remain current on issues affecting their positions and their fiduciary responsibilities.  Periodically, experts on various topics make presentations to the BOT to ensure that BOT members are fully versed in all areas in which they are expected to make decisions.  Board members also participate in periodic retreats to undertake self-assessment. 

3.5

Utilizing the institutional governance structure, the board establishes and maintains appropriate and productive channels of communication among its members and with the institutional community. 

Communication between BOT members is carried out through a well established and extensive subcommittee structure.  Per BOT by-laws, the BOT is required to meet no less than eight times per academic year, and within that schedule, is required to meet at each of the four campuses once per academic year.  All meetings are open to the public.  The campus meetings allow for open forum where members of the public, faculty, staff, and students are invited to speak directly to the Board.  All BOT Resolutions are distributed throughout the university system and published on the CSUS website. 

Its roles and functions are effectively carried out through appropriate committees and meetings.

The BOT convenes the following Standing Committees: Academic Affairs; Development; Executive; Finance and Administration; and Student Life, in addition to an Audit Subcommittee of the Executive Committee, as well as special committees appointed by the Chair of the BOT to address special topics or problems, and various advisory committees for presidential and chancellor candidate searches.  The detailed work of the Board is carried out in the monthly committee meetings, and great care is taken to provide for maximum transparency of committee deliberations.  Every Board member receives copies of the informational packets provided to each committee, so they are aware of what issues the committees are addressing.

3.6

The Board appoints and periodically reviews the performance of the chief executive officer whose full-time or major responsibility is to the institution. 

The BOT appointed John W. Miller as President of CCSU on June 15, 2005.  [LINK]  The President reports to the Board through the Chancellor of the CSU System.  Annually, the Chancellor issues a Letter of Priority to the President, identifying the areas where he should focus attention, in accordance with BOT priorities.  The President submits his annual report to the Chancellor by September 30 each year. The Chancellor writes an annual performance evaluation of the President, which he reviews with the BOT.  The President signs the assessment and may append comments.  Every four years, the BOT Committee on Presidential Assessment conducts an in-depth review on campus to assess the President’s effectiveness, meeting with all university constituencies.

The board delegates to the chief executive officer and, as appropriate, to other constituencies the requisite authority and autonomy to manage the institution compatible with the board’s intentions and the institutional mission.

The BOT delegates broad authority to the President, who is expected to meet the stated missions of the University, oversee the executive management of the University, and promote its development and effectiveness within approved Board policy.  The President is also responsible for the safety, health and welfare of all students and employees.  [LINK]

The President is authorized by statute (Sections 10a-151(a-c) and 10a-154b) to approve expenditures in such areas as commodities and equipment purchases, not subject to the approval of any other state agency [LINK]. 

3.7    

The chief executive officer through an appropriate administrative structure effectively manages the institution so as to fulfill its purposes and objectives and establishes the means to assess the effectiveness of the institution. 

The administration of the University is delegated by the President to members of the Executive Committee, vice-presidents and chief officers who report directly to the President.  Bi-weekly meetings between the President and all members of the Executive Committee are held, as well as numerous ad-hoc meetings with individual administrators as needed. [LINK TO ORG CHART FOR OFFICE OF THE PRESIDENT.   Each Vice-President or Chief Officer oversees an assigned area of responsibility [LINK TO ORG CHARTS].  The Provost and Vice President for Academic Affairs is the Chief Academic Officer and meets bi-weekly with the Council of Deans [LINK TO ORG CHART].

The chief executive officer manages and allocates resources in keeping with institutional purpose and objectives and assesses the effectiveness of the institution.

Allocation of resources is undertaken in keeping with requirements of the collective bargaining agreements [LINK TO AAUP CONTRACT ARTICLE], and sound fiscal practices, while attempting to meet the needs of students in keeping with the CCSU mission.  Under the direction of President Miller and the Chief Financial Officer, and in consultation with the UPBC, the process by which funds were allocated throughout the university was re-designed for the 2007-2008 budget year, giving broad authority to the Vice Presidents and Chief Officers to manage their own budgets.  Requests for annual budget allocations are presented to the President, and reviewed by the UPBC.   

The President provides full disclosure to the University community regarding the budget process, both at the University Opening meeting each fall, in meetings with constituent groups, and through e-mail communications. 

In accordance with established institutional mechanisms and procedures, the chief executive officer and the administration consult with faculty, students, other administrators and staff, and are appropriately responsive to their concerns, needs, and initiatives.

A variety of communication vehicles are utilized to ensure that there is maximum communication between the administration and the various constituencies on campus.

The President meets regularly with the leadership of AAUP, SUOAF, and the University Senate.  The Presidents of the Senate and the AAUP also meet periodically with the Council of Deans. 

In the fall of 2006, the President established Classified and Unclassified Labor Councils, which meet twice per semester and include the leadership of all seven employee unions and members of the Executive Committee. These meetings provide for the exchange of relevant information and concerns between the parties in a more formalized setting. 

The President and his executive staff regularly attend University Senate meetings.  Open Forums for different constituent groups (faculty, staff, and students) are held throughout the academic year [LINK TO AUGUST 20, 2007 OPEN FORUM].  The President attends academic departmental meetings biennially, holds coffee hours with groups of faculty, and meets with students on an ad-hoc basis.  He communicates with faculty and staff on issues of University-wide importance via e-mail regularly.  Web-based vehicles for campus-wide communication were instituted in the fall of 2007, including CCSU Now, a description of institutional initiatives and programs that is continually updated, and 360 Degree Communication, which describes the latest accomplishments of faculty and staff.   The administrative structure of the University also provides for significant contribution from students (see section 3.11). 

Examples of other collaborative efforts include the AAUP Shared Governance conference held in March 2007, at which university administrators served on a joint panel with representative of AAUP; and the President’s ad hoc committee on Promotion and Tenure (P&T), made up of faculty and administrators, to review the promotion and tenure process.  The resulting report recommending changes to the P&T process was passed by the University Senate in May 2007.

3.8

The institution’s academic leadership is directly responsible to the chief executive officer, and in concert with the faculty is responsible for the quality of the academic program.

The Provost/VP for Academic Affairs is the chief academic officer for the University, reporting directly to the President [LINK TO ORG CHART].  The University Senate Constitution spells out the faculty responsibility for academic policies. [LINK TO CCSU University Senate Constitution, 2004-2005]. 

The institution’s organization and governance structure assure the integrity and quality of academic programming however and wherever offered. 

The academic deans, Associate Vice President(s), Library Director, Institutional Research and Assessment Director, and Center for International Education Director report directly to the Provost and meet with him as the Council of Deans on a bi-weekly basis.  This ensures continuing dialogue and coordination of all academic programming decisions.  The academic programming responsibilities of the faculty, through the Faculty Senate [LINK] and the AAUP collective bargaining agreement [LINK] are clearly defined.  The process by which curriculum changes are made in the Senate, with resolutions requiring presidential approval, ensures that academic programming is in keeping with the University’s mission and strategic plan. 

Off-campus, continuing education, distance education, international, evening, and week-end programs are clearly integrated and incorporated into the policy formation, and academic oversight, and evaluation system of the institution.

The Directors of the Continuing Education Office [LINK TO WEBSITE] and the Center for International Education [LINK TO WEBSITE] report to the Provost, to ensure that policies in these areas are well integrated and will serve students in the five schools. 

International education programs are the joint responsibility of the Center for International Education, academic schools, and academic departments.  International education programs mainly fall into two categories:  full-time semester- and year- long study abroad, and short-term courses abroad.  Full time semester abroad programs are developed in cooperation with academic departments, which are responsible for course articulation and approving transfer credit equivalencies.  Course abroad programs, which offer courses that have already been approved through Curriculum Committee of the Faculty Senate are, in addition, vetted and approved by the chair(s) of the sponsoring academic department(s) and the respective dean(s).  Both the study abroad and the course abroad program are also governed by all institutional risk management policies and practices, as well as standard operating procedures relating to procurement and contracting standards.

Continuing Education courses, held on weekends and in the evening, have two levels: CEU classes (non-credit courses, such as reading or character-building credits); and regular classes (developed through the regular curriculum process) for part-time students who register through Continuing Education [LINK TO CE WEBSITE].  Distance or on-line education courses are developed through the regular curriculum process in the Senate, with the delivery, registration and fees process handled by Continuing Education. 

Continuing Education also offers off-campus classes for credit, held by request in various Connecticut school districts.  The curriculum goes through the regular curriculum process of the Senate and including the review by the appropriate Deans.

3.9

In multi-campus systems organized under a single governing board, the division of responsibility and authority between the system office and the institution is clear. 

The division of responsibility and authority is clearly delineated in the Human Resources Policies for the Chancellor and the Presidents, [LINK] approved by the BOT in 2005 and updated on an ongoing basis.  The Chancellor of the CSU System, Dr. David G. Carter, is responsible for implementing all BOT decisions and policies.   He is charged with carrying out the policies of the BOT and keeping the BOT informed regarding all aspects of the CSU System.  The Chancellor is authorized to act for the BOT and represent the BOT, the CSU System, and the universities to other units of state government.  In the absence of BOT policy, the Chancellor is empowered to issue administrative directives, request reports, transfer funds, and create policies [Document Room]. 

The policies clearly state that the President is the chief executive officer of the university and reports to the Chancellor.  The President is responsible for meeting stated missions, the executive management of the university, and promoting its development and effectiveness within approved Board policy.

Where system and campus boards share governance responsibilities or dimensions of authority. system policies and procedures are clearly defined and equitable administered.

CSUS has a single system board; individual campuses do not have their own boards.

3.10

 “Faculty exercise an important role in assuring the academic integrity of the institution’s educational programs. 

Faculty governance at CCSU is coordinated exclusively by the University Senate, which has authority in such areas as curriculum matters, degree requirements, scholastic standards, academic freedom, admission policies, and student behavior.  All bills and resolutions in these areas are approved by the University President. [LINK] 

Faculty have a substantial voice in matters of education programs, faculty personnel, and other aspects of institutional policy that relate to their areas of responsibility and expertise.

The Senate also serves in an advisory capacity in the appointment of administrative officers, budget and planning matters, university organizational structure, promotion and tenure policy, and in other matters affecting the educational quality and mission of the university.

The Senate Constitution and Bylaws mandate responsibility for the Senate in defining the membership of its several reporting committees.[ LINK]   Certain committees include student representation. 

The faculty exercise basic control over curricula, although new degree programs require approval by the University President, the Board of Trustees, and the Board of Governors for Higher Education. The faculty of CCSU design curricula in their departments and in interdisciplinary programs (working closely with the Deans regarding resource and facilities implications and other administrative concerns) and then, with the Dean’s approval, present the proposals to the University Senate Curriculum Committee and finally to the full Senate. All Senate actions are presented to the President for approval. By the time curricular proposals reach that stage, it is likely that any administrative concerns have been addressed, and thus it is customary for the President to approve Senate actions on curriculum. The curriculum approval process for credit-bearing courses and programs to be offered off-campus and in evening and weekend formats is the same as for on-campus, credit-bearing courses offered during the regular academic semesters.

The Senate Committee on Academic Standards is the forum in which residency requirements, course withdrawal policies, and other similar academic policies for undergraduate students are determined. The Graduate Studies Committee performs this function for graduate students.

Faculty personnel matters are regulated by the AAUP collective bargaining agreement [LINK]. The contract provides for extensive faculty involvement in appointment and promotion and tenure actions and sets forth guidelines for reassigned time, sabbatical and other leaves, research funding, outside professional activity, faculty grievances, program discontinuance, retrenchment, and numerous other aspects of faculty professional life.

3.11 

The system of governance makes provisions for consideration of student views and judgments in those matters in which students have a direct and reasonable interest.

The Student Government Association (SGA) is the general organization of undergraduate students and is governed by the Student Senate, an elected representative body. The Constitution of the SGA sets forth roles for student participation in governance of the University. These roles include student membership on the Student Advisory Board to the CSU Board of Trustees, the CSU Board of Trustees itself, the Student Union Board of Governors, the Board of Directors of the CCSU Foundation, Inc., the Board of Directors of the CSU System Foundation (previously known as the Henry Barnard Foundation), and service in various advisory capacities to academic departments.  The SGA President and the University Senate President address each other’s memberships annually to share information and discuss issues of mutual concern. 

Resident students are represented on the Inter-Residence Council. The SGA and the Inter-Residence Council allocate Student Activity Fee revenues to student clubs and organizations for social, cultural, recreational, and educational programs for the student body. By statute, the University administration retains ultimate responsibility for expenditure of all fee revenues, but student leaders enjoy a good working relationship with the administration and exercise wide discretion. The SGA reconsiders and amends its by-laws on an annual basis.

Graduate students are represented in the Graduate Student Association (GSA) that, through its elected Executive Council, articulates the interests of graduate students to the administration and other groups on campus. Sample minutes from major student committees are in the Document Room.

In keeping with state legislation and Trustee policy, the University administration regularly consults the SGA regarding changes in student fees and charges. Students are asked to serve as voting members on the following Presidential Committees: Athletic Board of Control; Academic Standards Committee; Curriculum Committee; Excellence in Teaching Award Committee; Distinguished Service Award Committee; Committee on Concerns of Women; Parking and Traffic Appeals Committee; University Planning and Budget Committee; Advisory Council Against Alcohol, Tobacco, and Other Drug Abuse; Advisory Committee for Students with Disabilities; University Safety and Health Committee.

3.12

The effectiveness of the institution’s organizational structure and system of governance is improved through periodic and systematic review.”

The President, in consultation with the Executive Committee and the Faculty Senate, is empowered to make recommended changes to the organizational structure as the need arises. Reporting relationships may be modified for any number of reasons, including improved communication, additional oversight, strategic alignment, or enhancement of services to students.  These issues are raised throughout the year as a result of ongoing communication between constituent groups, and recommendations may be made through a variety of avenues.  For example, in 2007, discussions among numerous affected groups resulted in a change during the search process for the position of Director of Multicultural Affairs/Director of Affirmative Action to Executive Assistant to the President/Chief Diversity Officer and inclusion on the President’s Executive Committee.  Also in 2007, registration for graduate students was moved from the Office of Continuing Education to the Registrar’s Office in order to improve service to students, and the Learning Center’s reporting relationship was changed from the Vice President for Student Affairs to the Office of the Provost.

Collective bargaining negotiations for teaching and administrative faculty that occur every three to four years provide a formal opportunity for the parties  to discuss any structural or governance issues that may require negotiation.

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