Introduction

Because of the scope of Section VI, two separate committees were assigned to study the section's complex issues. Members of the Committee on Organization, Administration, and Corporate Entities researched and wrote the report for Sections 6.1, 6.2, 6.5, and 6.6. The Committee on Financial and Physical Resources researched and wrote report Sections 6.3 and 6.4.

The Committee on Organization, Administration, and Corporate Entities interviewed College administrators and examined organizational charts, job descriptions, and official documents of the College and the governing board in carrying out their duties. The Committee was charged with reviewing governance and administrative structures and documenting their appropriateness to higher education, exploring the College's use of advisory committees, studying official policies, examining institutional advancement efforts, and analyzing relationships with corporate entities. Minutes of Committee meetings are available as Exhibit 6.1\66:2a.

The Financial and Physical Resources Committee held monthly meetings from February through August 2001, during which the Committee developed a plan of action, discussed the College's financial and physical resources, and established work assignments. Once the writing process was under way, the Committee communicated via e-mail. The Committee first defined issues to address in evaluating the College's financial and physical resources, then identified specific documents to include in the study, such as the College's budget, safety plan, and maintenance plan. Finally, the Committee determined which criteria required analysis and developed methods for assessing the adequacy of both financial and physical resources. Generally, the Committee determined adequacy by contrasting the College with comparable institutions; other technical colleges in the state of Georgia served as primary benchmarks, though averages derived from colleges across the nation were also used for comparison. The Committee focused on information from Fall 2001 to perform most analyses; these data appear in the charts and tables that accompany this report. The minutes of the Committee's meetings and evidence of other communications are available as Exhibit 6.3.1\69:9a.

Findings

6.1 Organization and Administration

6.1 The administration of an institution of higher education has the responsibility for bringing together its various resources and allocating them effectively to accomplish institutional goals.   Compliance

The President and vice presidents comprise the administration that is responsible for bringing together human, physical, and financial resources and then allocating them effectively to accomplish institutional goals. The Organizational Staffing Plans and Job Descriptions document (GEN-005) identifies the President as executive head of the College and all of its departments, campuses, and centers. The organizational chart illustrates how the President is assisted by the vice presidents of each functional area of the College, and of the Elbert County Campus. A vice president is responsible for Academic Affairs, Administrative Services, Economic Development Services, Student Development Services, and the Elbert County Campus, respectively.

The College's Strategic Planning Goals and Objectives describe the 12 institutional goals and 35 objectives that guide the formal planning process (GEN-006). These goals and objectives are updated annually following input from the faculty and staff, the administration, the local Board of Directors, advisory committees, and recent graduates (Exhibit 6.1\66:2b; Exhibit 6.1\66:2c; Exhibit 6.1\66:2d; Exhibit 6.1\66:2e; Exhibit 6.1\66:2f).

Each year, vice presidents develop business plans and individual goals, all of which must relate to one or more of the College's Strategic Planning Goals and Objectives. The plans are presented to the President, evaluated periodically during the year, and amended when necessary. The President, vice presidents, and Board of Directors also attend an annual retreat, at which time the Board develops its program of work for the year (Exhibit 6.1\66:2g).

Although the President has overall responsibility for gathering and allocating financial resources, the budget planning process is informed by input from vice presidents, the Business Manager, the Director of Institutional Research and Planning (DIRP), deans, and program directors (Exhibit 6.1\66:2h). To initiate the program improvement budget process, the DIRP distributes Institutional Effectiveness System/Performance Accountability System (IES/PAS) packages to the President, Vice President for Academic Affairs, and program directors. Program directors make budget requests, which must directly relate to the College's Strategic Planning Goals and Objectives (Exhibit 6.1\66:2i). The Vice President for Academic Affairs then prioritizes program budgets. After receiving IES/PAS information, the President sets the priorities for the College.

The Business Manager initiates the operational budget planning process by distributing planning packets to vice presidents, deans, and program directors. Program directors forward their requests to the deans, who develop a division budgetary request, and then forward it to the Vice President for Academic Affairs. Each vice president also sets priorities and forwards these to the Business Manager, who presents requests to the President. After considering IES/PAS requests and other budget items, the President sets institutional priorities. Lastly, the President, vice presidents, and Business Manger reconcile discrepancies between total funding requests and available financial resources. The budget request is then sent to the Department of Technical and Adult Education (DTAE).

Following allocation of the operating budget by DTAE, the budget must be reviewed and approved by the Board of Directors (Exhibit 6.1\66:2j). While the President is responsible for monitoring purchase and payment procedures according to the approved operational budget, the local Board must review the College's fiscal report of receipts, expenditures, and fund balances. This process is explained further in section 6.3 (Financial Resources) of this document.

6.1.1 Descriptive Titles and Terms

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

During its 2000 session, the Georgia General Assembly passed House Bill 1187, the A+ Education Reform Act, which authorized a name change for technical institutes accredited to award associate degrees. Accordingly, at a ceremony on July 6, 2000, the name of Athens Area Technical Institute was changed to Athens Technical College (Exhibit 6.1.1\66:13a). The Committee determined that this title, which confirms our institution's status as a college and as a unit of DTAE, is accurate, descriptive, and appropriate.

Both the President Responsibilities and Authority document, which is included in the State Board of Technical and Adult Education (SBTAE) Policy Manual (available online at www.dtae.org), and the Organizational Staffing Plans and Job Descriptions document completely describe responsibilities of the President (Exhibit 6.1.1\66:13b; GEN-005). The President is responsible for overall administration of the College and for developing goals, objectives, and plans for its operation.

Five vice presidents are responsible for major functions of the institution. Their titles and responsibilities are included in the Organizational Staffing Plans and Job Descriptions document. Following a review of the SBTAE Policy Manual and the Organizational Staffing Plans and Job Descriptions document, the Committee determined that the titles of the College's chief administrators reflect their responsibilities and are, therefore, accurate and appropriate. The Commission on Colleges of the Southern Association of Colleges and Schools accredited Athens Technical College to award diplomas and associate degrees as described in the 2001-2003 Catalog and Student Handbook (GEN-001). Diplomas are issued to graduates of diploma programs. The Associate of Applied Technology (AAT) degree is conferred on graduates of associate degree programs, except nursing graduates, who receive the Associate Degree in Nursing (ADN).

Though information concerning courses and programs of study can be accessed through the College's web site, the Catalog and Student Handbook is the official document of the College (GEN-001). The Catalog describes career opportunities, admission requirements, and curriculum outlines for all currently offered diploma and associate degree programs. Based on the 2001-2003 Catalog and Student Handbook and input from academic deans and the Director of Teaching Support, the Committee determined that names of programs of study and credentials awarded for program completion are accurate, descriptive, and reflect program content appropriately. The Committee comments, however, that changes to College documents and publications are not always reflected in a timely manner on the College web site and that confusion over which source is accurate can occur. The Committee also noted that employing a permanent Webmaster will undoubtedly improve this situation.

Committee members also noted that several programs of study have recently been renamed in response to changes in corresponding career fields. For example, Secretarial Science was renamed Administrative Office Technology, Business Equipment Technology was renamed Automated Office Systems Technology, and Industrial Maintenance Technology was renamed Industrial Systems Technology. Program names are thus updated to reflect changes in terminology or changes in direction and focus of the careers for which students are preparing.

6.1.2 Governing Board

6.1.2 Although titles and functions vary, the governing board is the legal body responsible for the institution and for policy making.   Compliance

Governance of technical colleges in Georgia is outlined in the SBTAE Policy Manual, available online at DTAE's web site (www.dtae.org). Although this web site continues to be revised, the new policy manual provides guidance for the operation of SBTAE and local boards of directors.

The State Board Responsibilities and Authority document (Code Section 01-01-01) gives SBTAE responsibility for governing and managing all state-supported technical colleges and adult literacy programs (Exhibit 6.1.2\66:15a). As outlined in Georgia Code 20-4-11, SBTAE is authorized to establish local boards of directors to support its mission and carry out certain duties on its behalf (Exhibit 6.1.2\66:15b). Local boards support the mission by assisting in delivery of programs, services, and activities under the direction of SBTAE. The SBTAE provides each member of the local Board of Directors with the Statewide Handbook for Local Board Members of Technical Institutes in Georgia, a comprehensive document detailing all facets of their responsibilities (Exhibit 6.1.2\66:15c).

6.1.2 Except under clearly defined circumstances, board action must result from a decision of the whole, and no individual member or committee can take official action for the board unless authorized to do so.   Compliance

Bylaws authorize SBTAE to amend and/or adopt policies by acting collectively at any regular meeting, subject to SBTAE Bylaws (Exhibit 6.1.2\66:23a). There are no provisions for any member to act independently in policy or other decisions. Article 3, Section 6 of the SBTAE Bylaws states that "at all meetings of the Board, a majority of the members appointed shall constitute a quorum for the transaction of business. The action of a majority of the members of the Board present at any meeting shall be the action of the Board, except as may be otherwise provided by these bylaws."

6.1.2 The duties and responsibilities of the governing board must be clearly defined in an official document.   Compliance

The governing board's duties and responsibilities are stated in detail in the State Board Responsibilities and Authority document (Code 01-01-01) (Exhibit 6.1.2\66:27a). SBTAE duties and responsibilities include providing policy guidance to the Commissioner; approving goals, objectives, and long-range plans; approving changes in organization structure or functional assignments; employing, dismissing, and establishing the salary of the Commissioner; authorizing the Commissioner to hire, fire, and establish salaries of DTAE employees; approving, deleting, or modifying technical education programs; reviewing staff recommendations on budget requests; reviewing and approving policies; considering and acting on legislation, proposals, contracts, and amendments to contracts; representing the State with other postsecondary technical and adult education agencies; and making recommendations for the improvement of public postsecondary technical and adult education programs. The Powers of the Board document is available online at DTAE's web site (www.dtae.org/Board/boardpowers.html) (Exhibit 6.1.2\66:27b).

6.1.2 This document must also specify the following: the number of members, length of service, rotation policies, organization and committee structure, and frequency of meetings. There must be appropriate continuity in the board membership, usually provided by staggered terms of adequate length. In addition, the document should include provisions governing the removal of a board member from office.   Compliance

According to Georgia Code Section 20-4-10, SBTAE must consist of at least one member from each of the state's 11 congressional districts and nine at-large members (Exhibit 6.1.2\66:28a). The Governor appoints and the Senate confirms SBTAE members. SBTAE members serve staggered five-year terms and may serve indefinitely until a successor is named. Members represent business, industry, or economic development. SBTAE Bylaws (Code 01-01-02) authorize election of a chairperson and vice chairperson who serve two-year terms, while the Commissioner serves as the executive secretary (Exhibit 6.1.2\66:28b). The chairperson is authorized to appoint members of committees deemed necessary for the Board to perform its assigned duties. The chairperson is an ex-officio member of all committees, with authority to vote. Georgia Code Section 20-4-13 directs SBTAE to meet monthly, but additional meetings may be called by the chairperson or at the request of three or more members (Exhibit 6.1.2\66:28c).

Members of SBTAE are identified online at www.dtae.org and in documents such as the Catalog and Student Handbook and the Facilities Master Plan (Exhibit 6.1.2\66:28d; GEN-007). In the event of a vacancy due to death, disability, or removal for cause, the Governor appoints a replacement, also subject to Senate confirmation, to complete the term. Officers may be removed by a majority vote if a quorum is present.

6.1.2 A board member may be dismissed only for cause and procedures involving due process.   Compliance

The Ethical Responsibilities document, Code Section 01-01-10, addresses definitions and penalties for abuse of office, but there is no discussion in either the Georgia Code or SBTAE Policy Manual of behaviors that would result in the removal of SBTAE members for any cause other than violation of the oath of office or bribery (Exhibit 6.1.2\67:2a).

6.1.2 The responsibilities of the governing board must include the following functions: establishing broad institutional policies, securing financial resources to support adequately the institutional goals, and selecting the chief executive officer.   Compliance

The SBTAE Policy Manual empowers the SBTAE to set overall policies for management of state-supported technical colleges and adult literacy programs. Georgia Code Section 20-4-16 authorizes SBTAE to provide funding, appropriated by the Georgia General Assembly, for both technical education programs and adult literacy programs (Exhibit 6.1.2\67:4a). Georgia Code 20-4-11 empowers SBTAE to select and employ a Commissioner of Technical and Adult Education and to fix his compensation, duties, and responsibilities (Exhibit 6.1.2\67:4b).

6.1.2 In addition, the governing board must have in place proper procedures to ensure that it is adequately informed about the financial condition and stability of the institution.   Compliance

Overseeing the financial condition and stability of the College is a responsibility SBTAE has delegated to the local Board of Directors. According to the Local Board Responsibilities and Authority document, Code Section 01-02-01, the Board of Directors must review the monthly fiscal report of receipts, expenditures, and fund balances of a college (Exhibit 6.1\66:2j). The Board of Directors must also approve any proposed amendments to the operating budget and submit them to SBTAE. Thus, the Business Manager presents a financial status report at each meeting of the Board of Directors (Exhibit 6.1.2\67:9a).

SBTAE members participate in developing a Zero-Based Budget each year, and they must approve the priorities for improvement or enhancement funds suggested by DTAE. Additionally, the Assistant Commissioner for Administrative Services presents results of the annual audit to SBTAE.

6.1.2 The board must not be subject to undue pressure from political, religious or other external bodies. Furthermore, it should protect the administration from similar pressures.   Compliance

Having each SBTAE member serve for five years, regardless of the status of the current state government, tends to limit the potential for undue political or other pressures on the Board or the administration.

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

The SBTAE Policy Manual explains policy-making functions of SBTAE and local boards of directors. SBTAE establishes policies for the management of state-supported technical colleges and adult literacy programs, while local boards of directors set policies that must be in accordance with state policies. The President's responsibility is to implement policies developed by both SBTAE and local boards of directors. The job description of the President, as detailed in the Organizational Staffing Plans and Job Descriptions document, gives him responsibility for all activities related to institutional management and administration.

An example of how policies established by the governing board are implemented and administered locally is the process by which new academic programs of study are developed and delivered at the College. New programs must be in keeping with broad standards approved by SBTAE. It is then the responsibility of College faculty and administration to design and deliver programs of study that meet or exceed minimum program standards and that adhere to established SBTAE policies.

6.1.3 Advisory Committees

6.1.3 Whenever lay advisory committees are used by institutions, these committees should be active and their role and function clearly defined.   Compliance, with Suggested Action Item

In its 2001-2003 Catalog and Student Handbook, the College acknowledges contributions of its program advisory committees (GEN-001, p.7). Representatives of area companies and community organizations who serve on program advisory committees provide insight into changes in technology, business, and government and aid in planning and evaluation of programs. Input from committee members ensures that the College's academic programs meet the needs of area employers.

As outlined in the Handbook for Advisory Committee Members, each program director at the College selects professionals with specific occupational knowledge and expertise outside the educational field to serve on the program advisory committee (Exhibit 6.1.3\67:26a). The Handbook recommends that program advisory committees consist of at least six persons who represent the service delivery area and employment markets that the program serves. Program advisory committees meet at least twice a year, and their function is to advise on the development, operation, and evaluation of the program for which it is appointed. Seven functions are stipulated: community surveys, course content advisement, student placement, public relations/recruiting, equipment and facilities, staffing, and program evaluation. Although the Handbook thoroughly defines the function of program advisory committees, it is outdated. Because program advisory committees are so important to the success of our educational programs, it is clear that the Handbook section outlining their function should be revised.

The Committee not only reviewed the Handbook for Advisory Committee Members, it also reviewed minutes of various program advisory committee meetings (Exhibit 6.1.3\67:26b). The Committee found, for example, that the Radiography program advisory committee recommended more training for students on film critique, sequencing of radiographs for patients with multiple exams and trauma patients, and the use of manual techniques and technique charts. These recommendations illustrate the importance of feedback from practitioners who observe how students are translating their classroom experiences into clinical settings. By using this feedback, program directors and instructors are able to deliver a state-of-the-art curriculum that enables students to acquire the skill sets they need to be successful in the workplace.

The Paralegal Studies program advisory committee suggested full-day continuing education seminars in technology for area paralegals and recommended enlisting software providers to showcase the use of technology in a law office. Based on its review of the Handbook and minutes of various program advisory committees, the Committee determined that these committees are active and make a positive contribution to the College.

6.1.4 Official Policies

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

The primary documents that reference organizational patterns, policies, and procedures as related to faculty and other personnel are as follows: Organizational Staffing Plans and Job Descriptions, the Faculty Handbook, and the SBTAE Policy Manual, which is available online at www.dtae.org.

The Organizational Staffing Plans and Job Descriptions document contains organizational charts and detailed position descriptions for those employed in the President's office; Academic Affairs, Administrative Services, Economic Development Services, and Student Development Services; on the Elbert County Campus; and in grant-funded positions. Clearly displaying the lines of responsibility and authority, this document is available in the main campus Library and in administrative offices throughout the College. The Committee noted that this document is dated 1999 and does not reflect recent position additions and changes, such as the College's name change that occurred in 2000.

The Faculty Handbook, which is available on the College web site, describes the role of the faculty in institutional governance. The Handbook subsection, Participation in Academic Affairs, describes the Faculty Council, which is composed of each program director and one faculty member from the General and Related Studies Division. Matters under the jurisdiction of the Faculty Council are institutional academic regulations and areas established by Presidential directive or creation of ad hoc committees. The Council does not make policy, but serves the President by making recommendations on policy and/or procedure.

The Faculty Handbook subsection, Conditions of Employment, states that faculty members are not tenured, with the exception of those employed and tenured at the time of conversion to state governance in 1985. Both tenured and non-tenured employees may have contracts non-renewed or employment terminated only under the specific conditions in the SBTAE Policy Manual.

Institutional grievance procedures specify how and with whom to file complaints, how complaints are adjudicated, and time limits for responding to grievances. These procedures are detailed in the Student Handbook, the Faculty Handbook, and the SBTAE Policy Manual. The SBTAE Policy Manual also provides information on employment and on qualifications and responsibilities of administrators, faculty, and other personnel. These publications also describe the procedure staff and students must follow when filing complaints and grievances.

6.1.5 Administrative Organization

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

The College purpose statement conveys a commitment to prepare graduates to contribute to the state's development by providing a comprehensive educational program. To fulfill this commitment, the College offers programs to provide: the knowledge, skills, and abilities necessary to obtain initial employment; continuing education and training to allow experienced employees to acquire and maintain advanced levels of competency; a general education curriculum to encourage students to develop intellectual, personal, and social values and an understanding of society; co-curricular activities to assist students in the development of leadership, scholarship, and fellowship traits; and public adult education programs to improve general population and workforce literacy skills.

The College's organizational structure reveals clear commitment to establishing administrative support for all activities identified in the purpose statement. The divisions for which vice presidents have been named include Academic Affairs, Administrative Services, Economic Development Services, Student Development Services, and the Elbert County Campus: these division names are descriptive of the functions they serve.

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

The Organizational Staffing Plans and Job Descriptions document describes and documents administrative responsibility and authority for educational offerings and college functions (GEN-005). This document-which delineates lines of responsibility and authority-has been developed, published, and is available, but should be updated to reflect the addition of new positions and other changes as previously suggested.

6.1.5 The duties of the chief executive officer, and of other administrative officials directly responsible to the chief executive must be clearly defined and made known to faculty and staff.   Compliance, with Suggested Action Item

The previously referenced Organizational Staffing Plans and Job Descriptions document provides detailed job descriptions of the President and the five vice presidents who report directly to the President. The President is responsible for activities related to College management and administration, external affairs, and the local Board of Directors.

The Vice President for Academic Affairs is the chief academic officer of the College and dean of the faculty. In the absence of the President, he supervises campus operations and is responsible for developing and managing all academic credit courses and programs of study.

The Vice President for Administrative Services position (currently vacant) is responsible for budget and fiscal affairs, procurement and auxiliary services, personnel administration, facilities and grounds, campus safety and security, and grants and contracts. With the exception of facilities and grounds, the Business Manager has assumed the duties of the Vice President for Administrative Services for the last two years. The Committee noted that the College would be well served if this void in top-level administration were filled.

The Vice President for Economic Development Services supervises business and industry services, adult literacy, continuing education, services to special populations, and operation of the two technical education centers.

The Vice President for Student Development Services coordinates recruitment, retention, career planning and placement, testing, admissions, advising, orientation, counseling, financial aid, services to protected populations, student records, Honors Day and graduation ceremonies, and student activities.

The Vice President for the Elbert County Campus is responsible for operations on that campus and for managing activities and services that are planned at the main campus, but delivered on the distance learning campus. His key focus areas are strategic and operational planning, campus marketing, facilities management, human resources development and management, and community and economic development.

6.1.5 Administrative officers must possess credentials, experience, and/or demonstrated competence appropriate to their areas of responsibility.   Compliance

After reviewing their personnel files, the Committee determined that the President, Vice President for Academic Affairs, Vice President for Economic Development Services, Vice President for Student Development Services, and Vice President for the Elbert County Campus all have credentials, experience, and demonstrated competence relevant to their areas of responsibility. The officers' professional experience as documented on vitae, credentials as documented on educational transcripts, and demonstrated competence in the performance of duties, as documented on annual personnel evaluations, are in personnel files housed in Human Resources (Exhibit 6.1.5\68:13a).

6.1.5 The effectiveness of all administrators, including the chief executive officer, must be evaluated periodically.   Compliance

The Organizational Staffing Plans and Job Descriptions document authorizes the President, or a designee, to evaluate college employees. Using the Annual Performance Review Form, the President evaluates the five vice presidents each year (Exhibit 6.1.5\68:17a). While the form's Institutional Criteria are identical for all College employees, the Performance Criteria reflect the duties and responsibilities of each position. The Commissioner of DTAE evaluates the President each year. Evaluations of all administrators may be found in their respective personnel files in Human Resources.

6.2 Institutional Advancement

The Committee evaluated institutional advancement documents and activities to determine whether they:

• Contribute positively to the overall operations of the College;
• Reflect the overall quality and standards expected and demanded by the College community; and
• Meet standards established by the Commission on Colleges of the Southern Association of Colleges and Schools and by professional organizations such as the National Council for Marketing and Public Relations (NCMPR), an organization for public relations and marketing professionals at two-year colleges, and the Council for the Advancement and Support of Education (CASE)

6.2 Each institution should have a program of institutional advancement, which may include development and fund raising, institutional relations and alumni affairs.   Compliance, with Suggested Action Item

The College has a fledgling program of institutional advancement that originally focused on nurturing relationships between the College and its internal and external constituents, and on recruiting students for its various programs and services. Due to the success of the DTAE Matching Gifts Program, the institutional advancement function was expanded in January 2001 to incorporate development and fund raising. This expansion also incorporated plans to involve alumni in College activities.

Prior to 2001, the Director of Public Relations and Marketing coordinated various components of the College relations function, including media relations, public relations, internal communications, advertising, and publications. In January 2001, the Director's responsibilities expanded to incorporate development, fund raising, and alumni affairs functions. At the same time, the Director became staff liaison to the Athens Tech Foundation, Inc. With these added responsibilities, the Director's title changed to Director of Public Relations and College Advancement and the position of Public Relations Specialist was created to assist with college relations activities. Job descriptions for Director of Public Relations and College Advancement and Public Relations Specialist, found in the Organizational Staffing Plans and Job Descriptions document, detail responsibilities of each position (GEN-005).

The College utilizes the Legislative Strategy Plan and the Public Relations Plan to outline institutional advancement activities (Exhibit 6.2\68:18a; Exhibit 6.2\68:18b). The Legislative Strategy Plan, developed annually, includes an extensive program to communicate the College's funding needs to Georgia General Assembly members who represent counties in the service area. This plan is designed to engage support of local legislators for funding and other legislative issues that have an impact on this College and on the state system of technical colleges. It gives detailed instructions on responsibilities of the President and staff, members of the local Board of Directors and Executive Advisory Board, and members of the Athens Tech Foundation Inc. Board of Trustees.

The Public Relations Plan describes internal and external public relations activities and strategies undertaken on an annual basis to communicate information about the College's programs and services, annual accomplishments, and goals. This plan also incorporates recruitment strategies designed to increase student enrollment in College programs and services. When the Director's duties expanded to include development, fund raising, and alumni affairs, it was determined that the Public Relations Plan needed revision to incorporate activities tied to these functions. The Director spent several months researching successful activities employed by other two-year colleges to establish and grow development, fund raising, and alumni affairs functions. Before a new Public Relations Plan (subsequently renamed the Public Relations and College Advancement Plan) could be finalized, the Director was appointed to serve as Interim Vice President for Student Development Services. Because of this staffing change, the revision has not been completed. When the position of Director of Public Relations and College Advancement is filled, the Vice President for Student Development Services will work with that person and with the Public Relations Specialist to complete the Public Relations and College Advancement Plan.

6.2 If there is an advancement program, it must be directly related to the purpose of the institution.   Compliance

Strategic Planning Goals and Objectives are keyed to our purpose statement. The introduction states that the goals and objectives "are framed for use by all facets of the College and are designed to provide direction and focus to annual planning" (GEN-006). Goal 11 addresses the institutional relations function by focusing on the need to "enhance our stature among constituents." The institution will achieve this strategic goal by:

• Enhancing its image through organizational communication strategies, marketing and public relations techniques, and recruiting functions;
• Developing assessment practices that enable us to gauge and respond appropriately to relevant external forces; and
• Improving communication of goals, purposes, outcomes, benefits, and accreditation status.

6.2 Qualified persons should be responsible for administration of the program.   Compliance, with Suggested Action Item

A staff member employed in September 1987 served as Director of Public Relations (later Public Relations and College Advancement) until August 2001, when the President appointed him to serve as interim Vice President for Student Development Services. He continued to oversee the public relations and college advancement activities during this period, but when he was named Vice President for Student Development Services in January 2002, a search for a new Director of Public Relations and College Advancement was initiated (Exhibit 6.2\68:23a). As of this writing, the position remains vacant, however, the Vice President for Student Development Services continues to assist the Public Relations Specialist with college advancement activities.

6.2.1 Alumni Affairs

6.2.1 The relationship between the institution and its alumni should be one that encourages former students to continue to participate in the development of the institution. It should also assist in the evaluation of institutional effectiveness.   Compliance, with Suggested Action Items

In January 2001, the Director of Public Relations and College Advancement accepted responsibility for creating and managing relationships with College alumni. In March 2001, the Director participated in a workshop sponsored by the Council for the Advancement and Support of Education to learn more about these responsibilities (Exhibit 6.2.1\68:25a). Components of the three-day workshop addressed alumni involvement in the institutional advancement program of a college. The information garnered from presentations provided a basis for establishing objectives that specifically address alumni issues. These objectives will be addressed in the Public Relations and College Advancement Plan that will be developed when a new Director of Public Relations and College Advancement is hired. It has already been suggested that this Plan, which will detail how to foster alumni involvement in the College's development, be completed and implemented.

Graduates of the College are inducted into the Alumni Association as part of the annual graduation ceremony. Though no formal process currently exists to keep alumni engaged in development activities, graduates are entitled to utilize campus services such as the Library and career placement.

Alumni are asked to contribute to overall growth of the College and to evaluate the quality of programs and services by serving on program advisory committees and by responding to surveys. Through service on program advisory committees, former students help evaluate program facilities, curricula, faculty credentials, and quality of instruction and assist in formulating plans for program growth and improvement. Participation on program advisory committees also lets alumni provide feedback on trends occurring in their occupations, which helps faculty determine whether programs reflect the skills and knowledge needed in today's workplace.

Follow-up surveys, which are mailed to graduates approximately 12 months after they complete their programs of study, give graduates and completers a chance to evaluate their program's effectiveness and the College in general (GEN-008). Data gathered from former students are summarized and shared with the President, vice presidents, Board of Directors, and program directors. Program directors utilize results of these surveys in program planning, as evidenced in IES/PAS documents (Exhibit 6.2.1\68:27a). Although the Committee found evidence that alumni participate in the development of the institution, there are currently no stated policies and procedures for evaluating the effectiveness of alumni affairs and fund raising.

6.2.1 Institutions are encouraged to maintain up-to-date records on the location of former students and to employ periodic surveys.   Compliance, with Suggested Action Item

As previously mentioned, the College uses surveys regularly to obtain opinions of alumni and to query employers about the quality of the graduates they hire (Exhibit 6.2.1\68:28a). This job is difficult because up-to-date records on the location of both current and former students are such a challenge to maintain; however, an outside resource may assist us in updating alumni records. A recently implemented process requires returning students to update their personal information each term as they register online. As students enter the registration module, a pop-up window appears, requiring them to enter current directory information before proceeding to the next screen. Although a data clerk must, in turn, enter this new information into the SCT/Banner ® system, there is now a mechanism in place to update addresses and telephone numbers of current students so the database can be better than ever before. Requiring frequent updates will convey to students the importance of keeping their records current and encourage them to continue to update information even after they graduate.

Once directory information for current and former students is as accurate as possible, a quarterly communications program can be established to reorient alumni, inform them about activities on campus, and about goals of the College. This communication will focus on accomplishments of successful alumni, and on various activities faculty and staff members undertake to improve instruction and the learning experience. A communications program must be in place for a period of time before a challenge is issued to alumni, asking them to contribute to fund raising and college advancement.

6.2.2 Fund Raising

6.2.2 All fund raising must be related to the purpose of the institution.   Compliance

Fund raising activities are related to the College purpose and are conducted under the umbrella of the Athens Tech Foundation, Inc., a nonprofit 501-C-3 corporation established in January 1988 (see also section on Related Corporate entities). Page 6 of the 2001-2003 Catalog and Student Handbook states the Foundation's purpose as: "to provide academic institutional support, scholarship, endowments, and in various ways to promote the mission of the college" (GEN-001).

In January 2001, the College increased its emphasis on fund raising because of a growing endowment and the introduction of the DTAE Matching Gifts Program. The underlying principles for fund raising are stated in the Development Activities section on page 6 of the 2001-2003 Catalog and Student Handbook. Though this section focuses specifically on the relationship between the Athens Tech Foundation, Inc. and the College, it also explains that the purpose of the Foundation's fund raising is to seek out "funds, property, and other types of financial assistance-primarily from business, industry, corporations, other foundations, and individuals-[to be] channeled to the College for support and development of educational, cultural, social, civic, and professional endeavors."

The Strategic Planning Goals and Objectives also address the need for and importance of fund raising in two of its 12 goals (GEN-006). Goal 6 focuses on "develop[ing] and implement[ing] initiatives which demonstrate fiscal responsibility and cost effectiveness." To accomplish this task, the Strategic Planning Goals and Objectives establish a specific objective to "cultivate traditional sources and seek alternative sources for funding." The call for alternative funding sources directly relates to the need for a College fund raising program. Goal 5 involves area business and industry in generating money to meet funding needs by focusing on "expand[ing] business, industry, and educational partnerships to assist in accomplishing our mission." Collaborating to share resources and expertise is one objective established in the Strategic Planning Goals and Objectives to achieve this fifth goal.

6.2.2 All aspects of fund raising must be incorporated into the planning process and evaluated regularly.   Compliance

Because the College does not yet have an active alumni organization, its fund raising efforts primarily relate to the DTAE Matching Gifts program (Exhibit 6.2.2\69:2a). The purpose of Matching Gifts is to involve business, industry, and private citizens in generating money for funding needs. DTAE sets a target amount for each technical college to match through cash or equipment donations. When a college reaches its target amount, DTAE releases matching funds. Guidelines specify that matching gifts funds must be used to purchase equipment as determined, prioritized, and evaluated in the IES/PAS processes (Exhibit 6.2.2\69:2b). During FY 2002, the College received $154,684 in matching gifts funds, which purchased equipment for the Automotive Collision Repair, Biotechnology, Cosmetology, Dental Hygiene, Nursing (ADN), Physical Therapist Assistant, and Respiratory Therapy programs. Information on companies that participated in the FY 2002 Matching Gifts Program, their donations, and the equipment purchased with matching funds is available as Exhibit 6.2.2\69:2c.

6.2.2 An institution must develop policies and procedures for fund raising and ensure that such policies are appropriate, disseminated, and followed.   Non-Compliance, with Required Action Item

As noted in Section 6.2, the Director of Public Relations and College Advancement is responsible for institutional development activities, including fund raising. Because of staff changes since August 2001, specific policies and procedures for fund raising and an evaluation process and schedule have not been finalized. These issues will be addressed when a new Director is hired.

6.3 Financial Resources

6.3.1 Financial Resources

6.3.1 Because the financial resources of an institution influence the quality of its educational program, each institution must possess sufficient financial resources to support all of its programs.   Compliance

The College receives funding from three principal sources: State of Georgia budget appropriations, tuition and fees, and grants and contracts. Support for the College's credit and non-credit courses, programs, and services comes from these funding sources. The sufficiency of the College's financial resources is explained below.

Approximately 60 percent of the College's revenue comes from state appropriations. Since 2001, the Department of Technical and Adult Education (DTAE) has used formula funding, which ties state appropriations to performance factors such as student enrollment, graduation rates, and retention rates. In the absence of budget cuts due to economic downturns or other factors, formula funding ensures the College a somewhat predictable and consistent level of state funding. In FY 2001, state appropriations totaled $ 8,526,028.

The College charges tuition and fees for both credit and non-credit programs. Tuition and mandatory fees for credit programs are capped by DTAE. Traditionally, tuition and fees for credit programs are charged at or near the limit that DTAE establishes. Starting Fall 2002, tuition for part-time students is $26 per credit hour. Full-time students (those enrolling for at least 12 quarter hours of credit) pay tuition and fees totaling $356; there is no charge for credit hours in excess of 12. Fixed fees currently amount to $44 per student for credit enrollment. During FY 2001, tuition and fees received by the College totaled $1,575,000. Because most funding comes from state appropriations, tuition for credit-based courses is extremely low, which increases access for area residents who wish to pursue higher education.

Fees for live work conducted in the College's learning laboratories and profits that entrepreneurial program directors make by offering continuing education classes further supplement the budgets of some credit programs. The Automotive Collision Repair, Automotive Technology, Cosmetology, and Dental Hygiene programs all charge fees for live work; these funds enable program directors to purchase additional program materials and supplies. The Cosmetology program purchases most of its materials and supplies and the Dental Hygiene program partially funds its clinic secretary with live work proceeds.

Approximately 13 of the College's 35 program directors offer continuing education classes, in addition to regular credit classes. The Accounting, Air Conditioning Technology, Administrative Office Technology, Early Childhood Care and Education, Computer Programming, Cosmetology, Drafting, Electrical Construction and Maintenance, Electronics Technology, Machine Tool Technology, Marketing Management, and Medical Assisting programs all offer continuing education courses routinely. Fifteen percent of the tuition collected for these continuing education courses covers College overhead for costs such as advertising and staffing during evening hours. The remaining 85 percent goes to the program operating the continuing education course to pay for the instructor and instructional materials. Program directors may use proceeds from continuing education courses for supplies, equipment, travel, or anything else allowed by law.

The Committee finds evidence to indicate that current tuition and fees represent a reasonable balance of financial responsibility between students and the state and that sources and levels of funding are sufficient to support all college programs.

During FY 2001 the College was awarded grants and contracts totaling $1,507,250 to fund programs and services for customers with a specific, targeted educational need. Table 6.5/1 lists FY 2001 grants/contracts, which are categorized as academically related, student development related, and workforce development related.

The state matches the dollar value of equipment donated to the College up to a target amount set by DTAE. Matching funds are used to purchase equipment identified through the Institutional Effectiveness System/Performance Accountability System (IES/PAS) process as needed but not funded through state equipment appropriations. The College received $165,775 in matching funds from the state during FY 2001 (Exhibit 6.3.1\69:9b; Exhibit 6.3.1\69:9c).

To demonstrate adequate financial resources and support for credit programs, Committee members analyzed data from the 32 technical colleges in the state system for the years 1997-2000. State audit reports and DTAE records of credit enrollment for all Georgia technical colleges demonstrate that the College's expenditures per student were above the state median as documented in Table 6.3.1/1. Data for specific institutions are shown in Exhibit 6.3.1\69:9d. Table 6.3.1/2 and Table 6.3.1/3 show departmental equipment requests vs. actual equipment procurement for 1999-2002. These two tables document consistent financial support for formal equipment requests.

Continuing education classes are self-funding in that fees charged for each class cover the cost of offering it. For this reason alone, continuing education funding is inherently adequate; if course enrollment is insufficient to cover the cost of offering a course, the course is not taught. The Business and Industry Services unit in the Economic Development Services Division also operates on a cost-recovery basis through user fees. Programs are only offered if they are economically self-supporting. Adult education and community service programs are funded through state and federal grants. These programs target specific populations (identified by state or federal government entities) that are eligible for such services. Funding is typically in place before any services are delivered.

6.3.1 The recent financial history of the institution must also demonstrate the financial stability essential to its successful operation.   Compliance

In most years, the College budgets expenditures based on state appropriations and conservative projections of funds from tuition and fees; however, in the past five years, the College has experienced record increases in enrollment. The fact that enrollment has far exceeded projections has resulted in increased financial resources. Enrollment increases not only generate increased revenue from tuition and fees, but also increased state funding from the funding formula. State audit reports and DTAE records of credit enrollment for all technical colleges in Georgia show that the College's expenditures per student increased from $3734 per student in FY 1997 to $3830 per student in FY 2000, despite the 43 percent enrollment increase as documented in Table 6.3.1/1. The Committee believes that the College's ability to increase expenditures per student over a period of five years, while experiencing rapid growth, demonstrates more than adequate financial stability.

6.3.2 Organization for the Administration of Financial Resources

6.3.2 All business and financial functions of the institution should be centralized under a chief business officer reporting to the chief executive officer. The organization of the business office must be consistent with the purpose of the institution, the size of the institution, and the volume of transactions of a business or financial nature.   Compliance, with Suggested Action Items

The Division of Administrative Services is responsible for organizing and administering the College's financial resources. Until 2001, a Vice President headed the Division. A search to fill the position of Vice President was conducted early in 2001, but was unsuccessful. With his own retirement pending, the President elected not to fill the position of Vice President so the incoming President would be able to make the selection. The Director of Accounting was subsequently named Business Manager, and is currently fulfilling most of the Vice President's duties until the new President is named and can fill the position. The Business Manager oversees financial affairs of the College and reports directly to the President. A new Director of Accounting was named after that position was vacated by the new Business Manager.

To report on the organization of the Business Office, the Committee reviewed the 1999 Organizational Staffing Plans and Job Descriptions document and interviewed incumbent staff. Committee members noted that the Organizational Staffing Plan is not accurate, since several positions have been added to Administrative Services since 1999. In addition to the Business Manager, the main campus business office has the following positions:

• Director of Accounting
• Budget /Grants Accountant
• Accounts Receivable Clerk
• Accounts Payable Clerks (2)
• Division Secretary
• Personnel Clerk
• Purchasing Clerk
• Receiving Clerk
• Receiving/Shipping/Property Control Clerk
• Cashier
• Courier

The Elbert County Campus employs only a cashier. Secretaries perform all business transactions at the Greene and Walton County Centers. All employees handling funds are permanent employees, and all are bonded. The Courier takes funds received at the outlying campuses to the main campus for processing. In FY 2001, the Business Office managed an $11,000,000 budget. Staff members processed 2,000 purchase orders, cut 4,900 checks, and made 1,030 deposits.

The Committee compared the staffing level of the Administrative Services Division to that of other technical colleges in the state, and found the College's Administrative Services Division to be among the best staffed. According to the most recently published personnel lists of administrative services divisions in the state system, levels range from five positions in the smaller colleges to thirteen positions in the larger colleges. Our staffing level is currently listed at thirteen positions, with the addition of a Director of Human Resources planned. Of the thirty-three DTAE institutions, one has a larger Administrative Services Division staff, three colleges' staffs are the same size, and the rest have smaller staffs. Therefore, the Committee believes and the Business Manager concurs that the Administrative Services Division is adequately staffed to fulfill all functions necessary to support the College.

The Committee noted that a Vice President operates the Administrative Services Division in the other thirty-two technical colleges in the state system. While the Committee is certain that the College's financial affairs have been handled effectively and competently, it is the Committee's opinion that the officer in charge of an $11,000,000 budget, who also operates one of the largest administrative services divisions in the state system, should be a Vice President. Furthermore, the financial officer's administrative and supervisory responsibilities require the title and authority associated with the position of Vice President.

6.3.2 The chief executive officer must report regularly to the governing board on the financial and business operations of the institution. The chief business officer should have experience or training in handling educational business affairs sufficient to enable the business office to serve the educational goals of the institution and assist in furthering its stated purpose.   Compliance

The State Board of Technical and Adult Education (SBTAE) has delegated responsibility for regular review of member colleges' financial and business affairs to local Boards of Directors (Exhibit 6.3.2\70:1a). Financial data for the College are maintained on a statewide management information system to which the DTAE has ready access. The President of the College reports nine times a year to the local Board of Directors during meetings that take place throughout the regular academic year (Exhibit 6.3.2\70:1b). As part of this report, the President asks the Business Manager to report on the College's financial status and business operations and to request the Board's approval of budget amendments and similar transactions. Among the items included in these reports are:

• Monthly income;
• Total income to date;
• Projected income to date;
• Monthly expenditures;
• Projected expenditures to date; and
• Total expenditures to date.

6.3.3 Budget Planning

6.3.3 An institution must prepare an appropriately detailed annual budget. Its preparation and execution must be preceded by sound educational planning. It follows that the instructional budget should be substantively developed by academic officers or deans, working cooperatively with department heads, appropriate members of the faculty and administration, and representatives of the business office.   Compliance, with Suggested Action Items

The Business Manager prepares a detailed annual budget. Two parallel budgetary planning processes are used-one for departmental operational budgets and one for improvement. The operational budget addresses minor building repair and maintenance, equipment repair, furniture, materials, supplies, and travel. The improvement budget addresses new equipment purchases, capital outlay, and major renovations and repairs.

The Business Manager coordinates annual operational budget planning. Business Office staff members distribute budget planning packets to all program directors, deans, and vice presidents. Program directors request funds for instructional materials, supplies, and travel for the coming year. Requests for budget increases of up to ten percent are considered standard; requests for larger increases must be justified in writing. This information is forwarded to the appropriate dean or vice president. Each dean compiles a division request that is forwarded to the Vice President for Academic Affairs (VPAA). Other directors submit requests to their respective vice presidents for compilation. Vice presidents set priorities for their areas of responsibility and forward these budget requests to the Business Office. Chart 6.3.3/1 presents a flowchart of the reporting and decision-making process used for the operational budget.

Priority for funding program improvement, such as major equipment purchases, is determined through the College's ongoing program planning and evaluation system, IES/PAS. This process is administered by the Director of Institutional Research and Planning (DIRP) to assess program effectiveness by tracking measurable performance goals and objectives. One component of this process identifies resources required for program improvement.

The DIRP distributes IES/PAS packages to all program heads, vice presidents, and to the President. Program Directors request improvement expenditures as part of the IES/PAS process. All requests are directly linked to specific Strategic Planning Goals and Objectives listed in the IES/PAS package. The VPAA ranks program budgets by priority. The DIRP summarizes the IES/PAS information and forwards the information to the President, who considers IES/PAS requests when setting budget priorities for the College. The Committee noted that no mechanism currently exists to inform the DIRP when items identified through IES/PAS are actually purchased and that the planning cycle is incomplete without this information. Logically, planning for the coming year should start with identified needs that were not met the previous year.

Chart 6.3.3/2 illustrates how the IES/PAS process is integrated into the overall budgeting process of the Academic Affairs Division. Table 6.3.1/2 and Table 6.3.1/3 provide an overview of IES/PAS requests and corresponding expenditures from 1999 to present. Exhibit 3.1\18:20a presents the IES/PAS documents from 1999 to present. It is the opinion of the Committee that consistent administration and application of the IES/PAS planning and evaluation instrument is one of the College's major strengths.

Validity of the budgeting process is bolstered by tight integration into a system that monitors program effectiveness, although the Committee noted that the IES/PAS process addresses only academic programs of study. The General and Related Studies Division, for example, does not include any programs of study except for Biotechnology, so that division is only minimally included in the planning and evaluation process. The Vice President for Academic Affairs can request improvement funds for the division, but there is no direct mechanism for participation of the Dean of General and Related Studies or faculty, except for the Biotechnology Program Director. Also, new and developing programs do not participate in the IES/PAS process until they have graduated students. Health Science and General Business are specifically exempt from IES/PAS participation by prior agreement. These two programs are composed of courses from general education and from other programs of study; they do not have courses unique to their curricula as other programs do.

The Business Manager estimates tuition income for the coming year based on previous enrollment history and current tuition levels. By adding this amount to the amount allocated by the state, total income is estimated. Salary expenses are estimated using state salary information and current staffing level. This expense is deducted from the total projected income to arrive at the funding available for allocation.

The President and Business Manager confer with each of the vice presidents. During these conferences, the vice presidents justify their respective budget requests. Discrepancies between total requested funding and available financial resources are reconciled in additional conferences between the Business Manager, the President, and the vice presidents. The President then determines institutional priorities and sets funding for each division. The vice presidents are responsible for allocating all funds in their divisions. Once the budget for the College has been established, the Business Manager enters it into the state's management information system. The Committee notes that the current system for setting budget priorities effectively stops at the level of vice president; allocation decisions are typically made by the President and vice presidents.

6.3.3 Procedures for budget planning must be evaluated regularly. Similarly, budgets for other areas should be developed after consultation with appropriate officers of the institution.   Non-Compliance, with Required Action Item and Suggested Action Item

All budget units have the opportunity to evaluate the operational budget planning process. Business Office staff members provide evaluation forms with the budget request forms used by directors, deans, and vice presidents to build their operational budget requests. Exhibit 6.3.3\70:19a shows a typical budget survey form. Unfortunately, the Committee finds that participation in the evaluation process has been inconsistent; return rates for FY 2001-2003 were 28%, 40%, and 30%, respectively. Results of the evaluations that were completed were not compiled for any of the three years, so the scant information available is not useful for evaluating budget planning procedures or for making improvements in the process. The Committee discussed whether the DIRP should conduct the budget survey instead of the Business Office. The Director could forward the tabulated information to all appropriate budgetary officers for use in an annual review of budgetary procedures.

6.3.3 The budget is presented by the chief executive officer through proper channels to the governing board for final approval. In reviewing the budget, the governing board should focus on matters of broad policy and normally should not concern itself with details.   Compliance

As outlined in section 6.3.2, the SBTAE has delegated responsibility for regular review of the College's financial and business affairs to the local Board of Directors. In the SBTAE Policy Manual, the document that specifies responsibilities of the local Board states further, "following allocation of the annual state budget by the Department, the proposed annual 'operating budget' for the Technical College shall be reviewed and approved by the Board".

6.3.4 Budget Control

6.3.4 After the budget has been approved by the chief executive officer and adopted by the governing board, a system of control must be established. The business officer must render interim budget statements on a periodic basis to department heads for their guidance in staying within budgetary allocations. Budgetary control IS an administrative function, not a board function. Necessary budget revisions must be made when actual conditions require such change and must be communicated to those affected within the institution.   Compliance, with Suggested Action Items

Historically, the VPAS maintained control of the budget. At present, budget control is the responsibility of the Business Manager, who projects income and expenses for the year at the beginning of the budget process. Actual income and expenditures are compared monthly to projections. Monthly budget reports are provided to all budget units, including the President, vice presidents, deans, and directors. Additionally, the President and vice presidents receive a monthly income statement (Exhibit 6.3.4\70:33a). When actual income or expenditures vary significantly from projections, the President meets with the Business Manager and vice presidents to prepare a budget amendment. Since budget amendments require approval by the Board of Directors, budget amendments are proposed at monthly meetings of the Board. After the Board approves the amended budget, changes are loaded into the statewide accounting system and shared with affected personnel (Exhibit 6.3.4\70:33b).

During its review of budgetary policies and procedures, the Committee observed that all costs incurred for routine maintenance are included in the regular operating budget and that there is only one Maintenance and Operations (M&O) budget for the entire institution. There is thus no differentiation between campuses, or between different functions related to M&O, such as computer repair vs. building maintenance. Because of this lack of differentiation, at least two different budget heads (Vice President for the Elbert County Campus and the Facilities Director, specifically) are currently drawing from the same M&O budget. The Business Manager controls this budget, but does not supervise all the individuals who access it. The Committee noted that this arrangement makes planning for M&O related spending difficult due to uncertainty regarding available funds. Having multiple people draw from one budget requires the Business Manager to make decisions regarding the appropriateness of expenditures from competing areas of the College. Because the budget process does not recognize the Elbert County Campus as a separate budget unit, except for administrative functions (academic programs are operated and funded from the main campus and maintenance and operations are funded from the main campus M&O fund), the Committee suggests that this discrepancy be rectified.

The Committee also observed and researched the fact that the College operates its Walton County Center and Greene County Center entirely with revenue generated from short-term classes held at the two centers. Any shortfall that might occur at year end is made up with surplus funds. The Committee reasoned that, in the event of an economic downturn, there would be no funds remaining to operate the Centers and that this arrangement obviously handicaps operation of the Centers and places a premium on classes with the potential for generating revenue. With these exceptions, however, the Committee concurs that the College's current system of policies, procedures, and responsible personnel has proven adequate for monitoring income and expenditures.

6.3.5 The Relation of an Institution to External Budgetary Control

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

The College is not an independent institution, but a member of a state system of technical colleges governed by the SBTAE. SBTAE is the only organization outside the College with any potential influence over the budget; that influence is exerted only in ensuring compliance with broad policies for expenditures of funds. SBTAE has the power and authority to monitor the College's financial affairs via the statewide accounting system. An annual audit, performed by the State Department of Audits, ensures that the College adheres to state budgeting laws and follows procedures established for state agencies in recording financial information (Exhibit 6.3.5\71:6a).

6.3.6 Accounting, Reporting and Auditing

6.3.6 An institution must adopt an accounting system that follows generally accepted principles of institutional accounting as they appear in College and University Business Administration, published by the National Association of College and University Business Officers. The auditors must not be directly connected with the institution either personally or professionally. An annual fiscal year audit must be made by independent certified public accountants, or an appropriate government auditing agency.   Compliance

The College follows the State of Georgia accounting system guidelines that are administered by the Georgia Technology Authority (GTA) under the guidance of the Department of Audits. The accounting system and business procedures follow principles published in College and University Business Administration, a publication of the National Association of College and University Business Officers. An annual audit is conducted by the Department of Audits and is included in the state's Comprehensive Annual Financial Report (CAFR, Exhibit 6.3.6\71:17a).

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

The Business Manager prepares monthly financial reports for the President and vice presidents; financial reports are presented to the local Board of Directors nine times a year. These reports are described in detail in section 6.3.2.

6.3.6 A public institution included in a statewide or system wide audited financial report must have available a Standard Review Report. Institutions in this category must provide either a separate or consolidated balance sheet.   Compliance

The Department of Audits recently completed an audit of the College for FY 2002. The Standard Review Report and the Comprehensive Annual Financial Report dated December 10, 2002, are on file in the Business Manager's office.

6.3.6 An effective program of internal auditing and financial control must be maintained to complement the accounting system and the annual external audit.   Compliance

Internal financial control is assured by separation of duties. The clerks and accountants responsible for specific system functions are listed in Section 6.3.2. No one clerk or accountant may complete a financial transaction independently. For example, to place new employees on payroll and pay them requires both the Personnel Clerk and her supervisor. The supervisor places employees on the payroll, but cannot produce paychecks; the Personnel Clerk can prepare paychecks, but cannot place employee names on the payroll.

6.3.7 Purchasing and Inventory Control

6.3.7 An institution must maintain proper control over purchasing and inventory management. The administration and governing board should protect responsible purchasing officials from the improper pressures of external political or business interests.   Compliance

The College uses a multilevel purchasing control system that allows individual departments to authorize routine purchases up to a specified amount. Oversight and cost controls increase as the monetary value of purchases increases. Purchasing is integrally tied to budgeting through the same accounting software used in the budgeting process. The Business Manager monitors all purchasing activity and ensures compliance with policies and procedures set forth by DTAE and the State of Georgia.

Purchases may be made with a purchasing card or a purchase order. Purchasing cards are institutional credit cards that can be used to buy small items without requiring a purchase order. The spending limit on these cards is relatively low and varies depending upon a program's budget. Purchasing cards are typically the responsibility of the Program Director. Purchasing cardholders are issued a set of rules governing their use that are strictly enforced (Exhibit 6.3.7\73:15a). Monthly reports are forwarded to the Business Manager detailing all purchases made using the purchasing cards. The Business Office reviews all such purchases to ensure that items qualify for purchase in this manner. The Business Manager notifies purchasing cardholders in writing if minor infractions of purchasing card policy occur. The specific problem is explained and ways to avoid the problem in the future are recommended. Repeated violations of purchasing card policy result in revocation of purchasing card privileges.

The Business Manager approves purchase orders. Personnel in the Business Office check for adequacy of funds, accuracy of account distribution, and departmental approval for the amount of each purchase. Chart 6.3.7/1 illustrates the chain of administrative approval required to make a purchase, the spending levels that trigger additional transaction supervision, and checkpoints used at each level.

The total asset inventory is managed by the Receiving, Shipping, and Property Control Clerk and the Accounts Receivable Clerk, according to the process outlined in the Administrative Procedures Manual (Exhibit 6.3.7\73:15b; Exhibit 6.3.7\73:15c). All items valued over $1,000 are listed on the College's inventory system. A total inventory audit is done each spring, and each program or functional area is responsible for its own inventory. New inventory items are added as they arrive on campus and final payment is made. Items to be removed from inventory are sent to the Receiving, Shipping, and Property Control Clerk.

6.3.8 Refund Policy

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

The refund policy for the College is published in the Catalog and Student Handbook, in the quarterly Academic Schedule, and on the College web site (GEN-001; GEN-010; GEN-002). A survey of other technical colleges in Georgia revealed refund policies in keeping with that of the College, which, in turn, reflect policies of SBTAE. In particular, most technical colleges in Georgia will:

1. Refund 75 percent of tuition paid for withdrawal within seven days of the first day of class.
2. Not refund fixed fees such as application fees or student activity fees.
3. Not refund any tuition/fees after more than seven days after the first day of class.

The Committee found that care must be taken to differentiate between withdrawing from the College prior to the first day of classes for the term, altering the class schedule during the published drop/add period on the first two days of class for the term, withdrawing from classes within the first seven consecutive days of the term, and withdrawing after the first seven consecutive days of the term. The date of withdrawal and whether the student withdraws from the College or withdraws from one or more courses determines the refund to which the student is entitled. Policies pertaining to each of these specific instances are stated in different parts of the same document, but not all documents state the policies in precisely the same way. To avoid confusion about refund policies, the Committee recommends that the refund policy be stated in exactly the same format in all publications and on the College web site, and expressly state specific procedures, forms, or timelines necessary in the same locations.

6.3.9 Cashiering

6.3.9 There must be a suitable organization and adequate procedures for the management of all funds belonging to the institution. The cashiering function should be centralized in the business office, and there must be a carefully developed system for the receipt, deposit and safeguarding of institutional funds.   Compliance

College funds are handled through three checking accounts:

1. An operating account for general expenditures;
2. A payroll account for employee payroll; and
3. A restricted account for federal grant payments.

These accounts are currently with Athens First Bank & Trust and are insured through the Federal Deposit Insurance Corporation (Exhibit 6.3.9\73:32a).

Except for direct wire transfers, the College's cashiers handle all funds. Both the main campus and the Elbert County Campus have a Business Office and a cashier who accepts payments during regular business hours. Business Offices on the Athens and Elbert County Campuses accept cash, checks, money orders, or credit card payments; issue receipts; and enter the transaction into the SCT/Banner ® system. The Greene and Walton County Centers accept only checks and money orders and issue handwritten receipts. The cashier in Athens enters all payments from the Greene and Walton County Centers into the SCT/Banner ® system. Payments from the Elbert County Campus and the Greene and Walton County Centers are forwarded to the Athens campus via a bonded courier employed by the College. The Business Office at the main campus deposits all funds received daily.

Students who make payments after regular business hours on the Athens campus are allowed to use the drop box at the Cashier's window. These payments are entered into the SCT/Banner ® system the next business day, and receipts generated by the system are mailed to the payee upon request. The specific hours of business for each campus, forms of payment accepted, and applicable procedures are printed in the Academic Schedules that are published quarterly (GEN-010).

6.3.9 All persons handling institutional funds must be adequately bonded.   Compliance

Except for direct wire transfers, the College's cashiers handle all funds. All employees working as cashiers are permanent employees, and all are bonded (Exhibit 6.3.9\74:5a).

6.3.10 Investment Management

6.3.10 The institution must have a written statement of its investment policies and guidelines approved by the board. The policies and guidelines should set forth the investment goals of the institution, conditions governing the granting or withholding of investment discretion, a description of authorized and prohibited transactions, and the criteria to be used for performance measurement of both short- and long-term investments. Members of the governing board should be aware of their fiduciary responsibility for the institution and their responsibility for securing maximum investment returns consistent with the approved investment policy. They should avoid involvement in conflict of interest situations. Investment policies and guidelines must be evaluated regularly.   Compliance

College funds are not used for investment purposes, but are handled through the three previously mentioned checking accounts. These accounts are currently with Athens First Bank & Trust and are insured through the Federal Deposit Insurance Corporation (Exhibit 6.3.9\73:32a).

6.3.11 Risk Management and Insurance

6.3.11 The institution should have a comprehensive risk management program which includes risk evaluation, risk avoidance and insurance. Adequate replacement protection for all physical facilities should be covered by appropriate levels of insurance or appropriate provisions for obtaining funds.   Compliance

The State of Georgia Department of Administrative Services (DOAS) Risk Management Division operates the College's risk management program. This state department handles all insurance-related issues such as worker's compensation, bonding, and unemployment insurance. Documentation is located in the Business Office, Building 300, on the main campus (Exhibit 6.3.11\74:22a).

6.3.12 Auxiliary Enterprise

6.3.12 These activities, when operated by or for the institution, must be documented and operated in a fiscally responsible manner.   Compliance, with Suggested Action Item

Two enterprises on the Athens campus are "contracted out," using auxiliary sources for daily operations. These enterprises are the campus bookstore and the cafeteria. The College contracts with Interstate Textbook to operate the bookstore and maintain the space. In return, the College receives a small commission from sales. A copy of the contract appears as Exhibit 6.3.12\74:34a. Plantation Buffet currently operates the cafeteria, though the Committee discovered there is no formal contract with Plantation Buffet for services. The Committee recommends that, for the protection of all parties involved, the Business Office secure a written contract for operation of the cafeteria that specifies each party's obligations, the term of the obligation, and the procedure for terminating the contract.

One enterprise on the Elbert County Campus is "contracted out," using auxiliary service for daily operation. The childcare facility associated with the Early Childhood Care and Education program is operated by Action, Incorporated (Exhibit 6.3.12\74:34b).

6.4 Physical Resources

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

The College is currently designated to serve a ten-county area in Northeast Georgia. In response to continuing increased demands for programs and services during the past two decades, the College has extended its physical presence into each of those counties. In addition to our main campus in Athens-Clarke County, the College has a distance learning campus in Elbert County; technical education centers in Greene and Walton counties; and career opportunity centers in Hart, Madison, Oconee, Oglethorpe, Wilkes, and Taliaferro counties. Programs leading to diplomas or associate degrees are offered at the Athens and Elbert County campuses. Continuing education classes are offered at the Athens and Elbert County campuses and at the Greene and Walton County Centers. Adult education is offered at all campuses and centers. Table 6.4/1 details the 12 facilities that comprise Athens Technical College, including the types of programs offered at each facility, the average number of students served by each facility, and the size of each facility.

DTAE currently publishes standards for physical facilities in institutional standards documents. Unfortunately, the evaluative criteria found in this document are very general and almost useless in determining adequacy of the physical facilities. For example, one criterion states, "Space allocations for instructional areas are appropriate for the number of students enrolled and the type of learning activity taking place." The Committee looked at a number of publications in an attempt to find criteria that were both quantifiable and measurable. Two articles in Facilities Manager, Space Standards: Some Recent Lessons by Harvey H. Kaiser and Eva Klein published in the November/December 1998 issue, and Classroom Use and Utilization by Ira Fink from the May 2002 issue offered some parameters. Kaiser and Klein offer ranges of assignable square feet per FTE for determining the space required for any particular room, while Fink suggests analyzing the total station count per FTE for determining the overall institutional capacity in relation to enrollment. The Committee applied both of these criteria using class scheduling and enrollment figures from Fall 2001. The Committee also applied two other measures, the percentage of occupied seats over the course of the day and the percentage of rooms in use over the course of the day.

An analysis of the College's capacity and enrollment for Fall 2001 shows that average space per station in classrooms, labs, and combined classrooms/labs for both campuses exceeds the averages stated in the article by Kaiser and Klein. They suggest a range of 18-28 ASF/FTE for a traditional classroom and 20-28 ASF/FTE for a collaborative seminar space. The average ASF/FTE figures for the College are 28 for classrooms, 72 for labs, and 100 for classroom/lab combinations.

Fink suggests comparing the College's total seating capacity to the total FTE. He states that a ratio of 0.75 is an appropriate target for the seats:students ratio. Ratios larger than 1.0 indicate excess capacity while ratios less than 0.5 indicate a seating deficit. Our ratio of available stations versus FTE is essentially 1.0, indicating that we have ample seating capacity.

The Committee calculated the percentage of seats in use throughout the day from 7:30 a.m. until 9:30 p.m. Monday-Friday for all classrooms and laboratories. The average of available seats in use for the main campus was 36 percent for classrooms, 25 percent for labs, and 36 percent for the combined classrooms/labs. The numbers for the Elbert County Campus were lower, with the overall average seat use at 11 percent and the average room use at 31 percent. These figures would also suggest that we have excess seating capacity. Tables 6.4/2, 6.4/3, 6.4/4, and 6.4/5 show the results of this study.

The Committee noted that these percentages are based on filling all classes to 100 percent capacity for 100 percent of a 75-hour week. The percentages make no distinction between open seats in a room that is being used vs. non-use of a room for one or more periods a day. Furthermore, the College is limited in assigning classes to space in relation to number of students enrolled in the class due to the fact that there are six or fewer classrooms that hold less than 24 students and eight or fewer classrooms that hold more than 24 students. All remaining classrooms accommodate an average of 24 students, so classes cannot always be scheduled based on "best fit." The relatively large number of seats available appears to contrast with recent scheduling experience. Finding space for classes at prime times (8:30-2:30 daily) has become increasingly difficult during the last year. Therefore, we looked at one last measure: the percentage of classrooms and labs in use throughout the day.

On the Athens Campus, the overall percentage of rooms in use exceeds 75 percent from 8:30 a.m. until 2:30 p.m. daily. About one third of available classrooms are in use for the early (7:30 a.m.) classes and about one fourth are in use for the late (beginning at 8:00 p.m.) evening classes. Even on Saturday morning, approximately one-third of the total classrooms and labs are in use. These data appear to contradict the other three measures. A look at the room schedules from which these data were extracted reveals that much of the unscheduled time is in odd hours between traditionally scheduled class times. Another reason for the discrepancy is that empty seats in a classroom that is being used are not indicated when taking the percentage of rooms in use. Tables 6.4/2, 6.4/3, 6.4/4, and 6.4/5 show the percentage of rooms in use throughout the day.

One result of offering field-specific programs of study is that the lab environments and equipment for each program are unique. Many of our labs and classroom/lab combinations can only be used by one or two programs of study due to their configuration, equipment, or other unique requirements. These dedicated areas comprise approximately two-thirds of the total assignable space on campus. This dedicated space is not likely to achieve a high percentage seat use when measured over a 75-hour week because the programs using the space do not usually operate 75 hours a week. The Dental Hygiene Lab/Clinic is not in continuous use, but it would not be very useful for any other program. Similarly, the Automotive Technology lab is not used 15 hours a day, but it would be difficult to use that space for something else during down time. The Committee observed that while we might not use all available space as efficiently as possible, we do have adequate classroom and lab space for programs in spite of enrollment increases.

Both the main campus and the Elbert County campus have libraries; the Greene and Walton County Centers do not. The main campus library comprises approximately 17,000 square feet of space, houses approximately 50,000 volumes, has a total seating capacity of 165, and averages 257 users per day. The Elbert County Campus library comprises approximately 1,100 square feet, houses approximately 2600 volumes, has a total seating capacity of 25, and averages 55 users per day.

Since the College is a non-residential, commuter institution, most students drive to campus and need a place to park once they arrive. Until recently, parking on the main campus was more than adequate; however, enrollment increases during the last few years have resulted in fewer and fewer parking spaces being available throughout the day. During peak morning hours, parking lots are completely full and, as a result, students have explored creative alternate parking arrangements, many of which are unacceptable. The College purchased a large tract of land directly across Old Hull Road and cleared and paved a new parking lot in Summer 2002 (as soon as funding was available). Judging by the number of available spaces throughout the day, parking at the Elbert County Campus, at the Greene and Walton County Centers, and at the various Career Opportunity Centers is currently adequate.

The main campus has a 2,400-square-foot cafeteria with seating for approximately 75 people. A subcontractor currently offers breakfast and lunch to students, faculty, and staff. An assortment of vending machines provides snacks and soft drinks during all hours of operation. The cafeteria is very busy at the beginning of Fall quarter, but the number of students using the cafeteria typically declines throughout the year. The Elbert County Campus does not have a cafeteria, but does have a student center equipped with vending machines. The student center is 1,038 square feet and provides seating for 50 people. The Greene County Center has two vending machines located in a general lab area with tables and chairs. The Walton County Center has two vending machines in a separate break area with a table and chairs. All areas appear to be adequate for their function.

The main campus has a 1,000-square-foot bookstore operated by an outside contractor, Interstate Textbooks. The bookstore handles all textbook sales and processes HOPE grant/scholarship book vouchers. As could be expected, waiting times and lines at the beginning of each quarter and at the end of each quarter are very long, particularly during the Fall quarter; however, the rest of the time the space seems adequate. The Committee therefore suggests that College and bookstore personnel explore ways to expedite book sales at the beginning of each quarter.

The Elbert County Campus bookstore is 900 square feet and is observed to meet student needs at this time. The Greene and Walton County Centers do not have bookstores. Books are ordered each quarter based on the classes being taught and student enrollment.

There are handicapped-accessible restrooms for both sexes in all buildings in which classes are held. In recent years, a single seat, unisex, handicapped-accessible restroom was added in the 200 wing of the main campus to further improve accessibility. Anecdotal evidence suggests that there are instances in which restroom locations are not considered particularly convenient. For example, the 100 wing of the main campus has a large restroom for men, but no restroom designated exclusively for women. In the early years of the College, this area housed only manufacturing/technical programs and was almost exclusively male students and faculty. In recent years, some of the space has been converted to large general education classrooms with a mix of male and female students and faculty. There is a handicapped-accessible, unisex restroom located in the 200 wing, and there is a large restroom for women in the 300 wing. There are also restrooms designated for both male and female faculty/staff use in the corridor linking the 200 and 300 buildings. It should be noted that the 100, 200, and 300 wings of the building are very close to each other. Because many female students now attending classes in the 100 and 200 wings have expressed frustration in locating the nearest available facilities, the Committee recommends that better signage be installed to direct people to the nearest available restroom.

A 1999 study of existing buildings on the Athens campus indicated ADA compliance in the area of building accessibility, parking, and curbs; however, some problems were noted with signs, fire alarms, restrooms, and ramps. These findings are summarized in Table 6.4/6. The Georgia Department of Labor's Division of Vocational Rehabilitation began a new study in Spring 2002. Unfortunately, the study was never completed and no results were obtained. The College is currently exploring the possibility of using an outside contractor to assess current ADA compliance. The Committee recommends that the College revisit this issue after obtaining a current ADA compliance report.

6.4.1 Space Management

6.4.1 Space allocated to any institutional function must be adequate for the effective conduct of that function.   Compliance, with Suggested Action Item

During the past decade, the College has introduced new programs and services that have attracted and served a growing number of students. Each change offers increased challenges as well as increased opportunities; space management has been and remains one of our greatest challenges. The primary means for addressing increased demands for space are either to create more space or to reallocate currently available space. In recent years, the College has both expanded its physical facilities and reallocated space in response to increased demands.

Nine programs of study have been added during the past decade: Dental Hygiene; Diagnostic Medical Sonography; General Business; Health Science; Microcomputer Specialist, Microcomputer User Specialist, and Networking Specialist (all of which are subsets of the Computer Programming curriculum); Physical Therapist Assistant; and Veterinary Technology.

The College has renovated and expanded its physical resources many times during this period. The state recently committed funding for the construction of a new 44,000-square-foot academic building, which is scheduled for completion in 2004. The new building will house Business and Information Technology programs and faculty, a faculty instructional development center, and numerous computer laboratories. However, new space is not always available to support program additions. Reallocation of existing space has frequently been necessary to support new commitments, which means that existing programs or departments must close or lose space. The Vice President for Academic Affairs typically determines how space will be reallocated after consulting with the President.

A key factor in decision making is program enrollment; programs with low levels of enrollment that have been targeted for cutbacks or closing are at risk of losing space to new or expanding programs with documented needs. One series of moves several years ago involved closing, moving, or consolidating laboratories for seven different programs: Electronics Technology, Electronics Engineering Technology (now closed), Communications Electronics Technology (now closed), Automated Office Systems Technology, Industrial Maintenance Technology, Electrical Construction and Maintenance, and Networking Specialist. These moves converted 3800 square feet of lab space in the 100 and 200 wings on the main campus into large general classrooms that typically accommodate 40-50 students in general education or health program-related courses. Multi-use rooms are also more prevalent. Labs previously dedicated to specific programs were converted to multi-use lab and lecture space with more than one program using the same lab.

Space management decisions appear to have been made in response to changing enrollment. The Vice President for Academic Affairs stated that low enrollment is a major factor in deciding how to reallocate space; however, neither the College nor SBTAE has published space management policies. Our generous square footage per station, our favorable stations per FTE ratio, and our number of unused seats per section suggest that we should be able to accommodate enrollment shifts and program expansion through better planning. The apparent lack of published standards for classrooms, labs, or offices combined with the absence of any clearly defined space management policy makes space management decisions appear arbitrary, especially to faculty members in dislocated programs. The Committee observed that defining space utilization standards, developing a space management policy, and working to adopt a more efficient class scheduling system would likely foster efficient use of available space, enable the College to adapt more readily to change, and also improve morale by making administrative decisions easier to understand. The Committee concluded that although space is currently adequate for the effective conduct of institutional functions, space allocation and management will be improved when the new Business and Information Technology building is constructed, and if a space management policy is developed and enacted.

6.4.2 Buildings, Grounds and Equipment Maintenance

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

Prior to 2001, buildings and grounds maintenance was the responsibility of the Vice President for Administrative Services, a position that is currently vacant. The Facilities Director was responsible for managing the maintenance staff and overseeing all contracted maintenance work. Since the departure of the VPAS, the Facilities Director has assumed a greater role in the decision-making process regarding operation and maintenance of the physical facilities and now reports directly to the President. The current Facilities Director has been at the College less than a year as of the date of this report.

The College cannot budget locally for deferred maintenance needs (i.e., long-term maintenance and/or upgrading of existing physical resources), however, SBTAE has a deferred maintenance plan. Long-term needs are assessed locally so that funds may be sought to address the needs, but SBTAE makes no guarantees to individual institutions that those needs will be met from year to year. Instead, SBTAE conducts its own study of needs across the state, hears comments from constituents, and determines which institutions in the state system will receive allocations of available monies for deferred maintenance projects.

Currently, the College's maintenance staff services the lighting system, cleans the windows, removes waste from trash receptacles, and performs miscellaneous labor tasks such as moving furniture or loading the scrap metal trailer. The staff cares for plants and shrubs and performs miscellaneous emergency grounds work like controlling the fire ant population or salting walkways during icy weather.

Many routine maintenance services are bid to outside contractors. For example, an outside firm is contracted to provide monthly preventive maintenance for the Athens campus heating and air conditioning systems. All hard surface floors are maintained by outside vendors. Floors are cleaned, stripped, and waxed during quarter breaks. Hallways, foyers, entryways, and common areas are maintained on a weekly basis. All bathrooms are cleaned and restocked once a day by an outside contractor.

Most general grounds upkeep, including grass cutting, mulching, raking, and blowing leaves, is bid to outside vendors. The maintenance staff cares for plants and shrubs and performs emergency-related tasks such as salting walkways during inclement weather.

Any employee may make a request for maintenance or repairs by completing a Request for Maintenance form. Request for Maintenance forms are available in the Facilities Director's office, in each Vice President's office, and in every Dean's office. Request for Maintenance forms are forwarded to the plant supervisor via campus mail. Electronic requests are also honored using either an online form available through the College's web site or a simple e-mail to the Facilities Director. The Facilities Director assesses the request, determines the most effective way to address the maintenance need or repair involved, and informs the person requesting maintenance of the estimated time for completion. The maintenance or repair is then scheduled for the maintenance staff or contracted to an outside vendor. Maintenance requests, action taken, and date completed are kept in a log book in the office of the Facilities Director. Emergency requests are taken in person, over the telephone, or by pager. The Facilities Director can be paged anytime between 7:00 a.m. and 4:00 p.m. After 4:00 p.m., the evening custodial supervisor can be paged.

The Committee was unable to locate a property maintenance plan for the College or to discern whether one ever existed. Obviously, a non-existent plan is neither operational nor evaluated annually. At the time of this report, however, the Facilities Director had already begun to develop a detailed, comprehensive maintenance plan. He has also worked hard to ensure that maintenance requests are handled in a timely manner, that contracted maintenance companies perform to the standards required by the College, and that overall organization of the Maintenance Department continues to improve. As the log book shows, most maintenance requests are now completed within a week.

6.4.3 Safety and Security

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

The Committee identified three areas of safety and security to be addressed by College policies and procedures: facility and employee safety and security, student safety and security, and safety from blood-borne pathogens. The Committee found evidence of policies and procedures, the clear purpose of which is to address the components of a safe and secure environment, including a blood-borne pathogen exposure control plan, an emergency evacuation plan, an emergency call list, and numerous safety issues in the Catalog and Student Handbook. Specific safety issues mentioned in the Handbook include an emergency action plan, emergency messages, hazardous weather, health services, security escort, student code of conduct, disorderly assembly, disruptive behavior, fire safety, dangerous weapons, explosives, harassment, theft, other illegal behavior, and misconduct. The College employs security personnel to patrol the buildings and grounds and to assist students, faculty, and staff members during all hours classes are in session. There are required faculty/staff development activities related to the Exposure Control Plan and required annual updates that supplement the initial training (Exhibit 6.4.3\75:18a).

The Committee found, however, that significant gaps exist in the College's safety program. Although the College has several laboratories that routinely handle hazardous materials, there is no safety plan for dealing with hazardous materials per OSHA HAZCOM guidelines, nor is there an ongoing system of compliance and oversight. There also appears to be no policy that ties all the pieces together into an effective program. Responsibility for implementing existing policies is not always clear, and awareness of the existing policies and procedures is low. For example, each department is required to maintain a copy of the blood-borne pathogen Exposure Control Plan, but only one in three departments could actually find the department's copy when asked.

6.4.3 Administrative responsibility for environmental health and safety programs must be assigned.   Non-Compliance, with Required Action Item

The Vice President for Administrative Services is responsible for overseeing safety and security, however, this position has been vacant since 2001. Most responsibilities of this position were distributed between the Business Manager and the Facilities Director. As of November 2001, no position included specific responsibility for overseeing the safety program. The College does have an Infection Control Coordinator, a member of the Nursing faculty, who oversees and administers the blood-borne pathogen program. While it is certainly logical to have responsibility for separate sections of the safety program assigned to directors or coordinators who have expertise in specific areas of safety, one person must have administrative authority over the entire safety program.

6.4.4 Facilities Master Plan

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

The College maintains a current written Facilities Master Plan that provides for orderly development of the institution and relates it to other institutional planning efforts (GEN-007). The Facilities Master Plan is updated every five years. The most recent plan is dated December 2001. Section III of the Facilities Master Plan states clearly its three goals:

• Expand facilities in keeping with our mission and purpose;
• Give priority to projects that are most efficient and effective in serving our customers; and
• Provide focus for campus expansion and serve as a guide for future capital outlay requests.

These goals are tied to the College's Strategic Planning Goals and Objectives, namely to develop human and physical resources to maximize effectiveness. The five-year Facilities Master Plan is to be completed in three phases. The first phase includes:

1. constructing a new Business/Information Technology Building;
2. renovating the 700 building; and
3. acquiring more land for parking.

We are making steady progress toward completing phase one. Funding for completing item 1, the new Business/Information Technology building, has been allocated and the building should be completed by 2004. Renovation of the 700 building (item 2) has begun, but cannot be completed until the programs currently occupying that space relocate to the new Business/Information Technology building. Land has not only been acquired for parking, but the new lot has been built and is currently in use (item 3).

Although we are behind the projected timeline for completion of the Facilities Master Plan, we have almost completed phase one. More importantly, actual ongoing facilities expansion is consistent with the Facilities Master Plan. The Facilities Master Plan is available for viewing at the following locations:

Office of Institutional Research and Planning (Library Building, Room L-207)
Library (available for viewing in the Library only)
Office of the President (Library Building, Room L-214)
Office of the Vice President for Administrative Services (300 Bldg, Room 301)
Office of the Facilities Director (Glenn Building)

Copies of the Facilities Master Plan have also been distributed to the directors of the technical education centers, members of the Board of Directors, and to the Facilities Director at DTAE.

6.5 Externally Funded Grants and Contracts

The Committee met in the Business Office, where documents pertaining to externally funded grants, contracts, Memoranda of Understanding (MOUs), and other agreements are housed. Based on its review and assessment, Committee members developed Table 6.5/1 that illustrates the extent to which funds from these sources have enhanced the mission of the College during recent years.

6.5 Externally funded grants and contracts must be related to the stated purpose of the institution. The institution's policy on such grants and contracts must provide for an appropriate balance between grant and contract activity and instruction, and guarantee institutional control over the administration of research projects.   Compliance

Our fundamental purpose is to provide educational programs and services that prepare students to obtain jobs and advance in their chosen careers. The Committee examined all externally funded grants, contracts, MOUs, and other agreements and determined that they all relate directly to the purpose in similar ways. They pay salaries of faculty and staff members who provide education or training and education-related services, fund student training in credit-based or skills-based training, or finance development and delivery of education and training.

To provide an appropriate balance between grant and contract activity and instruction, the College has three major categories: grants/contracts related to academic programs, grants/contracts related to student development services, and grants/contracts related to workforce development. A summary of grant/contract activity for FY 1996-2001 is presented as Table 6.5/1.

Academic grants/contracts support or extend our academic programs. Student development grants/contracts promote technical education and assist prospective applicants in preparing for and gaining admission to the College. Workforce development grants/contracts focus first on preparing individuals to enter the workforce, and second on preparing them to succeed in academic programs. Depending upon its nature, the Vice President for Academic Affairs, the Vice President for Student Development Services, or the Vice President for Economic Development Services may oversee the grant or MOU.

The Vice President for Academic Affairs has overall responsibility for grants and contracts related to academic programs, which currently include:

• Contract for Funding Web-Based Procedures Manuals and Forms Management (Department of Family and Children Services)
• Athens Regional Medical Center and St. Mary's Healthcare System contracts, which support nursing, sonography, and radiography programs by funding faculty salaries
• National Science Foundation research grant

The Vice President for Student Development Services oversees the grants that promote technical education and assist potential applicants in gaining admission to and financial assistance for pursuing educational programs as follows:

• Tech-Prep grant for promoting technical career paths to secondary school students
• Workforce Investment Act (WIA) funding for both college entry and workforce retraining

An interview with the Vice President for Economic Development Services revealed that grants related to community economic development are within his purview. These grants support workforce development activities such as preparing individuals to take the Tests of General Educational Development (GED) to enter college, and to enter or reenter the workforce. Economic development grants include:

• Welfare to Work grants for Temporary Aid to Needy Families (TANF) recipients
• Weed and Seed grant to reduce crime in targeted areas
• Grant to fund adult literacy instructors for TANF recipients
• New Connections to Work grant to serve special populations including single pregnant women, single parents, displaced homemakers, and TANF recipients
• Georgia Fatherhood Program grant to provide workforce development services for non-custodial parents
• Department of Labor (DOL) One-Stop Shop grants for building the infrastructure of a delivery system of services throughout the service area
• Department of Labor (DOL) grant to provide adult literacy services to displaced workers

The Vice Presidents for Academic Affairs, Student Development Services, and Economic Development Services ensure that funds accepted further the educational mission of the College. In addition, they ensure that the ability to direct and control grant activities, especially with respect to research, is not limited to what is agreed upon and deemed necessary for the grantor's purposes in the original contract. Requests from the grantor that are in conflict with our administrative needs are listed as concerns in individual grants and are not contractually agreed to by the President.

6.5 The researcher's freedom to investigate and report results must be preserved.   Compliance

Like other two-year colleges, Athens Technical College fully supports the notion of freedom to investigate and report research results, but does not include research as a component of its mission; thus it does not allocate staff time specifically for research activities. In fact, the College has received only one research grant in the past ten years. Nevertheless, grant activity is monitored to ensure it neither limits nor jeopardizes the institution's ability to perform research and report results in an unbiased fashion.

6.5 The institution must establish a clear policy concerning a faculty member's division of obligations between research and other academic activities. It must ensure that this policy is published in such documents as the faculty handbook and made known to all faculty members.   Compliance

Research is not a major initiative at this or most other two-year colleges, so a policy concerning division of obligations between research and teaching is not stipulated. The Academic Freedom and Responsibility section of the Faculty Handbook available online at www.aati.edu, does refer to SBTAE policy 04-01-01 for guidance in such matters (Exhibit 6.5\76:15a). This policy states that, "in the development of knowledge, research endeavors, and creative activities, faculty and students must be free to cultivate a spirit of inquiry and scholarly criticism." In the context of a teaching institution, this sentence refers more to academic freedom than to research, but is still applicable in describing an approach to all scholarly activities. In addition, procedures for soliciting, receiving, recording, and administering grants are found variously in SBTAE policy or procedure manuals, and within grant documents (Exhibit 6.5\76:15b).

6.5 Where applicable, the institution must develop policies regarding summer salaries paid from grants during the regular academic year, and fees for consultative services provided by faculty members. These policies must be published and made known to the faculty.   Compliance, with Suggested Action Item

There is neither a state nor institutional policy regarding summer salaries or consultative fees paid from grants during the regular academic year. Due to our purpose and the grants and contracts we receive, the need for such policies is debatable; however, having such policies would be helpful if the need arises. For that reason, the Committee suggests that an institutional policy be developed since there is no state policy for guidance.

6.5 In accepting funds from outside agencies, the institution must ensure that it maintains control over research and instruction.   Compliance

Due to the virtual non-existence of research grants and contracts, control over research and instruction has not been an issue and general institutional activities are not endangered by the receipt of research grants and contracts. In the case of the NSF grant, institutional control over research and instruction is clearly stipulated in the grant itself (Exhibit 6.5\76:27a).

6.5 Because many agencies attach stringent regulations directing and limiting the activities for which they provide funding, the institution must safeguard control over its own activities.   Compliance

The vice presidents for Academic Affairs, Student Development Services, and Economic Development, with authorization of the President, ensure that any funds accepted further the College's mission, while safeguarding control over its own activities. Funds are not accepted from any agency that would have the College compromise control over its own activities.

6.5 Continuity of support for general institutional activities must not be endangered by acquisition of research grants and contracts.   Compliance

Due to the virtual non-existence of research grants and contracts, no institutional activities are at risk if any research grants or contracts should either be acquired or discontinued/withdrawn.

6.5 Grants must be awarded and contracts must be made for specified periods of time.   Compliance

All grants and contracts awarded to and received by the College have specified beginning and ending dates (Exhibit 6.5\76:15b).

It is also important that an institution not become dependent upon indirect cost allowances from grants and contracts to support its regular operating budget.   Compliance

Although the College did receive indirect cost allowances for fiscal years 1999, 2000, and 2001, the total amount received each year was less than 1% of the total budget. It is, therefore, the Committee's belief that the College is not dependent, or likely to become dependent, on indirect cost allowances to support the regular operating budget.

6.6 Related Corporate Entities

6.6 When an institution is reliant upon such an entity, or when a separately-incorporated or related entity is reliant upon the institution, documentation outlining the mutual relationship and benefits must be maintained by the institution.   Compliance

The Athens Tech Foundation Inc. is the only separate, related corporate entity that exists to support the mission of Athens Technical College. The Committee reviewed the documentation that ensures a mutually beneficial relationship between the College and the Foundation. The purposes of the Foundation are outlined generally on page 6 of the 2001-2003 Catalog and Student Handbook and more specifically in the Foundation's Bylaws (GEN-001; Exhibit 6.6\77:18a).

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

The Catalog and Student Handbook states, "The purpose of the foundation is to provide academic and institutional support, scholarships, endowments, and in various ways to promote the mission of the college." Article 1 of the Foundation Bylaws expands on this purpose with the following statement:

The objects and purposes of the corporation are to promote the cause of higher education, to expand educational opportunities, to acquire real estate, and to acquire and administer funds that shall be devoted to these objects and purposes. The corporation shall create scholarships and endowments, assist in the financing of capital improvements, promote programs for the development of Athens Area Technical Institute or its successor, and do any and all things that the directors of the corporation may deem in the best interest of Athens Area Technical Institute, subject to the approval of the school's president and in accordance with the policies of the school. The corporation shall have the power and authority to accept gifts and contributions of any kind and nature from individuals, corporations, or other associations, whether made by will or otherwise, provided that the object specified by the testator or donor is within the objects and purposes of the corporation. The corporation will have such other purposes and powers as may be stated in its Articles of Incorporation and such powers as are now or may be granted hereafter by law.

The Committee observed that the Foundation Bylaws need updating to reflect changes in the name of the institution and in other areas. Once updated, the proposed bylaws must be sent to the Foundation Board of Trustees for its review and approval.

A letter of agreement dated January 15, 1991, further clarifies the relationship of the Foundation to the College (Exhibit 6.6\77:19a). The bylaws, Articles of Incorporation, and letter of agreement are on file in the office of the Director of Public Relations and College Advancement (Exhibit 6.6\77:19b). The Director serves as the staff liaison to the Foundation. Also on file in the Director's office are the membership roster of the Foundation Board of Trustees, minutes of Foundation Board meetings, donations documentation, donor recognition documentation, financial statements, and documentation of the matching gifts programs (Exhibit 6.6\77:19c; Exhibit 6.6\77:19d; Exhibit 6.6\77:19e; Exhibit 6.6\77:19f; Exhibit 6.6\77:19g). A local CPA firm produces the audit report following the annual audit of the Foundation's financial records (Exhibit 6.6\77:19h).

The Committee noted in the course of its study that only one member of the Foundation Board of Trustees also serves on the College's Board of Directors; however, four trustees have served on the Board of Directors of the College in the past. Foundation trustees volunteer time to fulfill their responsibilities and are not compensated for their service. Board members are eligible to be reimbursed for travel expenses incurred in the course of fulfilling their duties. Reimbursements are issued at the rates specified in the State of Georgia travel regulations for employees. The policies associated with such compensation are appropriately documented in the Bylaws of the Foundation Board of Trustees (Exhibit 6.6\77:19i).

Three employees of the College, the President, the Director of Public Relations and College Advancement (position currently vacant), and the Program Director for the Medical Assisting program, have responsibilities to the Foundation. The President serves as the Foundation Board secretary and the Program Director serves as the Foundation Board treasurer. Because of involvement in alumni affairs and fund raising activities, the Director of Public Relations and College Advancement serves as a liaison to the Foundation. These employees do not receive additional compensation from the Foundation for carrying out their Foundation-related responsibilities.

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

As noted earlier, the Foundation serves as a conduit to obtain monetary and equipment donations, the amounts of which are submitted to document qualification for funding via the Matching Gifts program of DTAE. Specific information can be found in Section 6.2.2. The Foundation also funds numerous scholarships for students who have demonstrated excellence in their programs of study (Exhibit 6.6\77:32a). A separate fund has been established to recognize students who earn exceptional scores on the Tests of General Educational Development (GED). Earnings generated from a bequest to the Foundation and College also fund a part-time work-study position, which provides program majors with work experience in areas related to their programs of study. Minutes of meetings of the Athens Tech Foundation, Inc. demonstrate how the Foundation contributes to the effectiveness of the College.

Analysis

Existing governance and administrative structures allow the College to function appropriately and to obtain and allocate resources to accomplish its purpose. Administrative structures are described in the Organizational Staffing Plans and Job Descriptions document, which needs updating, as does the Handbook for Program Advisory Committee Members. The College's program advisory committees are active and contribute to the effectiveness of programs of study.

The College has a fledgling program of institutional advancement that will be improved once a permanent Director of Public Relations and College Advancement is named. Policies and procedures for fund raising need to be developed and distributed at that time. The position of Vice President for Administrative Services is similarly vacant, though the Business Manager has fulfilled the majority of those responsibilities for the past two years. Financial resources continue to be sufficient to support College programs and operations. Budget planning needs to be evaluated, however, and a Safety Plan and Maintenance Plan need to be developed, implemented, and evaluated regularly. The new Facilities Director would be a good choice to administer environmental health and safety programs.

Physical resources are adequate, but not abundant. Buildings and grounds are safe, secure, and well-maintained, and a Facilities Master Plan guides College growth and development. A new Business/Information Technology Building is to be added to the main campus by 2004, which will assist the College in allocating space more effectively.

Contracts and grants support academic programs, student development services, and workforce development. The Athens Tech Foundation, Inc. is the only related corporate entity that is reliant on the College for fulfillment of its purpose; it exists to provide academic and institutional support, scholarships, and endowments, and to promote the mission of the College.

Summary

Required Action Items:

1. Develop policies and procedures for fund raising and ensure that such policies are appropriate, disseminated, and followed.
2. Evaluate the budget planning process regularly and effectively and use the results of the evaluation to improve the budget planning process.
3. Develop a maintenance plan that addresses routine, preventive, and deferred maintenance of buildings, equipment, and grounds. Implement the plan and evaluate it on an annual basis.
4. Develop a comprehensive safety plan that identifies a primary safety officer, meets OSHA standards, provides for regular safety training, and includes means of ensuring compliance. Implement the plan and evaluate it regularly.
5. Assign responsibility for environmental health and safety programs.

Suggested Action Items:

1. Ensure that changes to College documents, policies, and procedures are updated in a timely manner on the College web site.
2. Revise and distribute the Handbook for Program Advisory Committee Members.
3. Update the Organizational Staffing Plans and Job Descriptions document.
4. Fill the position of Vice President for Administrative Services as soon as possible.
5. Complete and distribute the Public Relations and College Advancement Plan.
6. Appoint a qualified person to the position of Director of Public Relations and College Advancement as soon as is practicable.
7. Implement activities to re-involve alumni in the development of the College.
8. Develop policies and procedures for alumni affairs and fund raising that include processes to evaluate the effectiveness of these activities.
9. Determine a method to keep former students' directory information updated.
10. Develop and publish in the Faculty Handbook a policy regarding summer salaries paid from grants during the regular academic year and fees for consultative services provided by faculty members.
11. Complete the search for a Vice President for Administrative Services.
12. Update the Organizational Staffing Plans and Job Descriptions document to reflect recent changes in the organization and structure of the Administrative Services Division.
13. Ensure that the DIRP is informed about items funded and purchased through the IES/PAS process so that the planning cycle is completed.
14. Develop a plan to make the budget planning process more inclusive.
15. Consider asking the DIRP instead of the Business Office to conduct surveys of the budget planning process.
16. In keeping with existing College budgetary policies and procedures, have one individual, the Facilities Director, responsible for the College's M&O budget.
17. Explore ways to fund operation of the Greene and Walton County Centers in the annual budget.
18. Wherever refund policies are stated, use the same format in all publications and state specifically any required procedures, forms, or timelines for requesting a refund.
19. Secure a written contract for the operation of the cafeteria on the main campus.
20. Explore ways to expedite student book sales at the beginning of each term to avoid long lines and waiting times.
21. Improve signage that directs faculty/staff/students to restroom facilities in the 100/200/300 wings of the main campus.
22. Obtain a current and complete ADA compliance study.
23. Direct the facilities manager to develop and implement a plan of action to address any issues noted in the report.
24. Develop a space management policy that includes specific criteria for the minimum acceptable space, furnishings, and resources necessary for classrooms, labs, and offices.
25. Revise Bylaws for the Foundation Board of Trustees to reflect name and other changes that have occurred since they were originally approved.