Compliance Certification
Library & Other Learning Resources 3.8
C.S. 3.8.1
C.S. 3.8.2
C.S. 3.8.3
Student Affairs and
Services 3.9
C.S. 3.9.1
C.S. 3.9.2
C.S. 3.9.3
Financial & Physical
Resources 3.10
C.S. 3.10.1
C.S. 3.10.2
C.S. 3.10.3
C.S. 3.10.4
C.S. 3.10.5
C.S. 3.10.6
C.S. 3.10.7
Internet Access Required:
Comprehensive Standards
Library and Other Learning Resources 3.8
3.8.1 The institution provides facilities, services, and learning/information resources that are appropriate to support its teaching, research, and service mission.
Compliance Certification
Compliance Partial Compliance Non-Compliance
Narrative
Library Facilities
-
The Earl K. Long Library is situated in the heart of the campus and serves as the central resource for research and learning. The four-story building
has approximately 258,500 square feet of space and houses over one million volumes of print material and other
collections
in a variety of formats, as well as group and individual study spaces,
electronic classrooms,
and
computer facilities.
-
The library's departments include Technical Services,
which acquires and processes material,
Access Services,
which makes research material available to students and faculty,
Reference Services,
which instructs users in the use and evaluation of resources, and Louisiana and
Special Collections,
which houses and provides assistance in the use of specialized local and rare materials. -
Other facilities housed in the library include the Honors Program office,
the
Women’s Center,
Student Support Services, the
Accommodative Testing and Adaptive Technology Center,
and a
Student Computer Lab.
The presence of these important student services and resources in the library fosters collaboration between the library and these units, ultimately enhancing the campus experience for the students. For example, the library works with the Women’s Center to catalog material included in the Center’s collection and circulates it through the library's online catalog. Plans are in place to renovate the library’s fourth floor and bring in other academic service units on campus, including the
Learning Resource Center
and
University Success
(a freshman orientation program), which will offer even more opportunities for the library to collaborate in providing a range of academic services to students. In addition, WWNO, the public radio station, is housed on the 4th floor.
Other Learning Facilities
A variety of learning facilities in addition to the library serves University students. Many such sites are described in the responses to other standards. These include:
- Student computer labs
in common areas, colleges, departments and other campus locations serve student instructional and informational technology needs. All labs are connected to the Internet and the campus network.
- The
Learning Resource Center
has two locations to provide assistance to students in fulfillment of its basic mission: "to help UNO students succeed."
Library Services
- The library continues to provide its own services to our students and faculty, increasingly delivering these services electronically and in person.
- Reference librarians provide research assistance in person at the
Reference Desk (Adobe p. 9),
by phone, and through the reference
e-mail service (Adobe p. 29).
Students are encouraged to make appointments with
subject specialists (Adobe p. 2)
for in-depth research consultations.
- The library's
Instruction Services
provide more structured learning opportunities for students in collaboration with other teaching faculty in various disciplines across campus.
- Students are given access to materials through the library's
Circulation Desk
and
Course Reserves
services. Increasingly, reserve material is made available in electronic form, and the library staff works with faculty in digitizing material for this purpose. The staff of the library’s
Multimedia Collection
helps students identify and use appropriate resources in non-print formats such as microfilm and microfiche, videos, DVDs, compact disks, audiocassettes, and even vinyl recordings.
InterLibrary Loan (Adobe p. 12)
obtains materials not available in the library for students and faculty, using an interactive electronic form that facilitates speedy processing.
- The library’s Federal Documents
collection is substantial. The library is a designated as a depository library, and, as such, collects and makes available approximately 90% of federal government publications, most of which can be checked out by the university's students and faculty.
- The Louisiana and Special Collections Department
provides research assistance and resources for students, faculty, and outside researchers. Collections include books, city and state documents, maps, local city directories and other material related to Louisiana and New Orleans, as well as
original archive and manuscript collections,
rare books, the UNO Authors Collection, and original copies of all of the university's theses and dissertations. The library has worked closely with the Graduate School to develop the Electronic Theses and Dissertation database. The library is also adding collections to the
Louisiana Digital Library,
one of the resources offered by the LOUIS library consortium.
- Learning Resource Center
The Learning Resource Center,
together with the Writing Center and the Math Tutor Center, supports learning at the university through its varied programming: one-on-one and group tutoring in a variety of subject areas, media support through videotapes and software, peer educator programs in college management, workshops on essential software, and a computer lab with one-on-one tech support. The centers operate in two locations. The Writing Center, the computer lab, and many of the tutoring programs are housed in Liberal Arts. The Math Tutor Center is located on the first floor of the Math Building.
- University Success (Freshman Orientation course) This one-hour, letter graded course
can help freshman students become more successful. University Success instructors stress study skills and strategies to cope with the change from high school to college, and direct students to various campus web sites and locations for assistance as needed.
Supporting Documentation and Evidence
Access Services Department
resources/UNO_library_access.pdf
Accommodative Testing and Adaptive Technology Center
Circulation and Reserves Desk
Course Reserves
Federal Documents Collection
Honors Program
InterLibrary Loan
Learning Resource Center
Library Collections
Library Electronic Classrooms
Library Computer Lab
Library Instruction Services
Louisiana and Special Collections Department
Louisiana Digital Library
Manuscript and Archival Collections by Subject
Multimedia Collection
Reference Desk and Computer Area
Reference E-mail Service
Reference Services Department
Student Computer Lab
Subject Specialist Librarians
Technical Services Department
University Success (Freshman Orientation course)
Women’s Center
3.8.2 The institution ensures that users have access to regular and timely instruction in the use of the library and other learning/information resources.
Compliance Certification
Compliance Partial Compliance Non-Compliance
Narrative
The University of New Orleans Earl K. Long Library ensures that users have access to instruction in the use of the library and information resources through a variety of methods and formats. The library has designed a
virtual tour,
several online tutorials (Adobe p. 27),
pathfinders and
subject guides (Adobe p. 26)
, all available 24/7 via the library’s web site. All of these online services aid users in conducting research and navigating the library through self-paced, on-demand access. Research assistance is available at multiple service points in the library 78 hours a week, and course-related library instruction is available on demand throughout the academic year. E-mail reference is offered from the library's website, which enables users to receive
online assistance from librarians (Adobe p. 29).
In addition, a section of the freshman seminar course, University Success 1001, devoted to introducing students to the library and the basics of conducting research and locating information for their course assignments. In 2002, the English Department began requiring all of its majors to complete a library-skills requirement before graduating.
The library has two computer classrooms available for use in providing instruction, one with 15 computers, the other with 24 wireless laptop computers. Another room is available in the library to accommodate larger groups (the laptops are stored in a mobile cart and can be moved to this room if needed). Fifteen librarians participate in library-instruction activities, both in their subject areas and for freshman-level courses. Each semester, several librarians offer instruction for faculty and staff in cooperation with the University Computing Center and Faculty Staff Resource Center, covering both general information about the library’s electronic resources and subject-specific workshops. In October 2004, an orientation was held for new faculty to welcome them and make them aware of the
variety of resources and services the library offers.
Learning Resource Center
The Learning Resource Center,
Writing Center, and Math Tutor Center offer tutoring in the fall, spring, and summer semesters during all hours of operation. Software workshops are offered at specifically scheduled times during the semesters. In addition, a component of the freshman University Success course comes to the Learning Resource Center for an introduction to using their computer accounts and navigating the Blackboard course management system and an orientation to tutoring and workshop opportunities. Students in BA1000 (an introductory business course) come to the center to take a
software workshop as a course requirement (Adobe p. 11.)
Supporting Documentation and Evidence
E-mail Reference
Learning Resource Center
Pathfinders & Subject Guides
Privileges Just for Faculty Handout
Tutorials
Virtual Tour
3.8.3 The institution provides a sufficient number of qualified staff—with appropriate education or experiences in library and/or other learning/information resources—to accomplish the mission of the institution.
Compliance Certification
Compliance Partial Compliance Non-Compliance
Narrative
Earl K. Long Library
The university library is staffed by 22 librarians, 3 computer professionals, and support staff consisting of 19.5 library associates, 2 non-classified administrative employees, and 4 classified employees, for a total of 50.5 employees, plus approximately 14.1 FTE student assistants. As a qualification for employment, all of the librarians must have earned a Master’s degree in Library and Information Science that is accredited by the American Library Association. A number of the librarians have additional Master’s degrees or doctorates. The minimum qualification for the library associate, non-classified positions is a bachelor’s degree. The computer positions require appropriate professional degrees and training. A
table showing staff credentials
is available online.
For their annual evaluations, library faculty submit a detailed report of activities describing their performance, research, and service. A mentoring program is in place to assist untenured faculty move successfully towards promotion and tenure. Library staff also submit reports of their performance and professional-development activities as the basis for their annual evaluations.
Library faculty and staff are provided with a variety of internal and external opportunities for professional development and for improving their job skills. One of the goals of the Library’s Institutional Effectiveness Plan addresses promoting faculty and staff excellence through professional development and training. The university's library has partnered with two other local university libraries (Tulane and Loyola) in an informal professional-development consortium to provide customized training opportunities and make better use of our funds and other resources. In addition, technical training for the integrated library automation system is provided by LOUIS (The Louisiana Library Network) consortium.
Learning Resource Center
Professional staff consists of a Director for the Learning Resource Center, a Director for the Writing Center, a Coordinator for the Math Tutor Center, and an Administrative Coordinator for all three units. The professional staff is supplemented with graduate and undergraduate students who work as tutors, peer educators, computer lab technicians, and office assistants.
Supporting Documentation and Evidence
Bylaws & Regulations of the LSU System Board of Supervisors (Chapter II Section 2.6: "Academic Ranks")
2B186256CBE007190A5/$File/Complete+Bylaws+Oct.+2003.pdf#page=21Learning Resource Center
Library Departmental Staff List
Library evaluation forms
LOUIS: The Louisiana Library Network
Policies and Procedures for Promotion and Tenure
Promotion and Tenure Document
Staff Credentials
Student Affairs and Services 3.9
3.9.1 The institution publishes a clear and appropriate statement of student rights and responsibilities and disseminates the statement to the campus community
Compliance Certification
Compliance Partial Compliance Non-Compliance
Narrative
The University of New Orleans publishes a comprehensive set of policies that clearly articulates students’ rights and responsibilities. Information about the rights and responsibilities of students is available from multiple sources and is organized under the following broad sections: The
University of New Orleans Student Handbook,
The University of New Orleans Student Policy Manual,
Student Affairs,
and
Academic Services.
In addition to the University of New Orleans Student Policy Manual, other official university publications include policies and procedures that students are responsible for following. Some examples of these publications are the The University of New Orleans Undergraduate/Graduate Catalog, the University of New Orleans Class Bulletin, and the The University of New Orleans Parking and Traffic Regulations. Depending on the activities and programs chosen by the student, more specific frameworks of student responsibilities can also be found in descriptions of individual academic programs, in the student housing and/or Privateer Place policy manual, in the Recreational and Intramural Sports Handbook, the policy manual of the Office of Disability Services, the Student Organization Handbook of the Office of Student Activities, and the policy manual of the office of Student Government.
All students enrolled in the university are expected to be familiar with the contents of these policy manuals and handbooks. This information is provided to students in a number of ways such as New Student Orientations, University Success (first-year seminars), student newspaper kiosks, and the widely-distributed Student Handbook.
Supporting Documentation and Evidence
Academic Services
Computer Policies
Division of Student Affairs
Earl K. Long Library, Library Policies and Guidelines
“Resources for Current Students”
University of New Orleans Student Handbook
University of New Orleans Student Policy Manual
3.9.2 The institution protects the security, confidentiality, and integrity of its student records.
Compliance Certification
Compliance Partial Compliance Non-Compliance
Narrative
The University of New Orleans abides by the Privacy Rights of Students, based on
the federal Family Educational Rights and Privacy Act of 1974, As Amended (FERPA).
AP 51.1
governs the rights to privacy of all the university's students as well as the confidentiality of academic records. The policy statement outlines students' rights to review their academic records, the limitations of their rights, a process for challenging information in their records, and the release of information to third parties.
Authorized users of the university database are reminded about their responsibility for maintaining the confidentiality of student records. The first time the database is accessed each day, users view a security overlay screen. In addition, they see a special overlay screen when accessing the records of students who requested that the university not release their directory information. The Office of the Registrar provides the university community with regular presentations on students’ rights. Information about FERPA is disseminated to students and faculty in various avenues such as print brochures, University Success (first-year seminars), new faculty orientations, and the Student Handbook.
All supporting documentation for each student such as admissions information, grade changes, appeals, etc. are maintained by in the Office of the Registrar. Microfilm and microfiche were used until the mid 1990s when optical disk storage was introduced. Backup copies are stored in the Earl K. Long Library. The Office of Admissions maintains the hard-copy files of students who do not enroll for one year and then destroys the records. As stated before, the records of those students who do enroll are transferred to the Office of the Registrar for conversion to the optical-disk format.
Other student records are maintained by the relevant organization units. The Student Financial Aid Office maintains records for five years in accordance with federal regulations. The Office of Student Life maintains the disciplinary records of students in accordance with FERPA, as do Student Health services (health records) and Human Resource Management (employment information).
Electronic records are secured by a sophisticated password-protected security system that limits access and update capability to authorized users while allowing faculty, staff, and students with a “need to know” viewing capability of certain records. Access to the system is granted only by recommendation of department heads and is granted based on the need of the employee in accordance with university and department policies.
Supporting Documentation and Evidence
Administrative Policy (AP) 51.1: "Educational Privacy Rights of Students"
The Family Educational Rights and Privacy Act of 1974
University of New Orleans Undergraduate/Graduate Catalog 2003-2005
3.9.3 The institution provides services supporting its mission with qualified personnel to ensure the quality and effectiveness of its student affairs programs.
Compliance Certification
Compliance Partial Compliance Non-Compliance
Narrative
The Division of Student Affairs is composed of the Offices of Career Development, the Children's Center, Counseling Services, Disability Services, Greek Life, International Students & Scholars, Judicial Affairs, Multicultural Affairs, Student Campus Activities, Student Government, Student Health Education, and Student Health Services. The professional and administrative staff of these offices are managed by Associate Deans or Directors holding the appropriate degrees and having the appropriate experience, whether professional or academic, including Bachelor's degrees, Master's degrees, or doctorates. Other Administrative/Professional Staff of the University of New Orleans holding similar degrees include advisors or directors of the Women's Center, the Campus Police, the Athletics Department, the campus newspaper (The Driftwood), and Intercollegiate Athletics (See
Table 1).
These university officers serve in leadership roles in a variety of professional organizations on in National, Regional, and State Associations, Boards, Councils, and Organizations (See
Table 2).
Qualifications of Administrative/Professional Staff
Student Affairs Personnel qualifications are outlined in
Table 1.
Leadership in Professional Organizations
Numerous staff members serve in leadership roles in a variety of professional organizations as well as in national, regional, and state associations, boards, and commissions (see
Table 2).
Performance Evaluation
All non-classified staff are evaluated via appraisal forms with performance criteria and added comments. Classified employees are evaluated by means of a comprehensive state-civil-service performance-appraisal form.
A new and improved appraisal form for non-classified employees is in the final stages of development. It is expected to be available in September 2004.
Supporting Documentation and Evidence
Table 1. Qualifications of Administrative/Professional Staff
Table 2. Student Affairs Leadership in professional organizations (National, Regional, and State Associations, Boards, Commissions, and Organizations)
Financial and Physical Resources 3.10
3.10.1 The institution’s recent financial history demonstrates financial stability.
Compliance Certification
Compliance Partial Compliance Non-Compliance
Narrative
The University of New Orleans has ensured that its financial operations complement its role as an urban university serving the state’s largest metropolitan area. Financial results reflect stability and an effective use of available resources. The LSU System – Independent Auditor’s Report for the years ended June 30, 2003, 2002, and 2001 are available on the University of New Orleans - Finances -
Financial Services Department website.
The two primary sources of revenues to fund the day-to-day operations of the university are unrestricted State Appropriations and tuition and fees. During the period 1998-1999 through 2003-2004, total revenues increased from $86,580,758 to $114,047,822, or 31.7%. Unrestricted self-generated revenues have shown a dramatic change in the last six fiscal years in the amount of $16,717,696 (60.9%), while state support for the same period reflected an increase of $10,749,368 (39.1%). Student tuition and fees constitute approximately 90% of unrestricted self-generated revenues. Between 1998-1999 and 2003-2004, there were three general fee increases. Specific details regarding unrestricted revenues for the 6-year period are provided in Attachment A.
Spending patterns for the period 1998-1999 through 2003-2004 parallel realized revenues. Total unrestricted educational and general expenditures increased steadily each year. Educational and general expenditures totaled the sum of $85,395,478 in 1998-1999, and $114,022,622 in 2003-2004, an increase of 33.5%. Specific details regarding a breakdown of unrestricted educational and general expenditures by function are provided in Attachment B.
The university’s endowment-fund balance for the year ended June 30, 2003 was $12,372,825. The University of New Orleans participates in the Louisiana Board of Regents Eminent Scholars and Endowed Professorships Program. This Program provides state funds to colleges and universities for the purpose of matching private donations. On July 1, 1999 the University of New Orleans and the University of New Orleans Foundation entered into a Funds Management Agreement. Under this Agreement, the Foundation renders management and investment services to the university and also acts as the depository for these state-matching funds. Funds received by the university through this Program are invested by the Foundation in accordance with guidelines promulgated by the Louisiana Board of Regents. Endowments managed through the Foundation at June 30, 2003, represent 84% of the total portfolio, or $10,540,844.
Restricted and auxiliary revenues have also contributed to the financial well-being of the university and lend support to its overall mission. Specific details regarding restricted and auxiliary revenues for the period 1998-1999 through 2003-2004 are provided in Attachment C.
Every member campus of the LSU System produces an annual published budget document in a format prescribed by the Louisiana Board of Regents and the LSU System Office. The 2003-2004 budget document for the University of New Orleans campus is available in hard-copy format in the university’s Earl K. Long Library.
In conjunction with budget planning, the university has in place a budget committee which consists of the Chancellor, Vice Chancellor for Academic Affairs and Provost, Vice Chancellor for Strategic Planning and Budget, and the Vice Chancellor for Financial Services. This group meets regularly to review the university’s net budget position and to assess what impact, if any, the external operating environment, e.g., State Budget Office, might have on the budget-planning process. Its purpose is to screen departmental budget requests and to evaluate such requests for funding in light of Strategic Initiatives and Institutional Effectiveness Plans for quality improvement. The Budget Committee then brings to the university’s Executive Committee those requests deemed appropriate for consideration. The Executive Committee, of which the Budget Committee is a part, also includes Academic Deans and all other Vice Chancellors. It meets twice a month.
The university’s operating budget is subject to sound fiscal procedures. The Office of Financial Services is responsible for monitoring spending within the operating budget. It is also required to prepare and submit to the Budget Committee, on a routine basis, a report of the university’s net budget position.
The annual operating budget for the university is approved by the LSU System Board of Supervisors. Board approvals are noted in the Board meeting minutes of August 24, 2001, for the 2001-2002 operating budget; in the August 22-23, 2002 minutes, for the fiscal year 2003-2003 operating budget; and in the August 21-22, 2003 minutes, for the fiscal year 2003-2004 operating budget. The minutes of the Board meetings are available on the
LSU System website.
Supporting Documentation and Evidence
Attachment A: Details of Unrestricted Revenues for the 6-year Period
Attachment B: Breakdown of Unrestricted Educational and General Expenditures by Function
Attachment C: Auxiliary Revenues for the Period 1998-1999
through 2003-2004
LSU System
University of New Orleans Financial Services Department
3.10.2 The institution provides financial statements and related documents, including multiple measures for determining financial health as requested by the Commission, which accurately and appropriately represent the total operation of the institution.
Compliance Certification
Compliance Partial Compliance Non-Compliance
Narrative
The audited LSU System financial statements, of which the university‘s accounts and its management letters are an integral part, including multiple measures for determining financial health as requested by the Commission, are provided below.
Financial Statement Presentation
In order to satisfy the requirements for reaffirmation under the new SACS Commission on Colleges Principles of Accreditation, a separate “institutional” Standard Review Report and a written institutional management letter for the University of New Orleans campus applicable to fiscal year 2003-2004 were requested of the Legislative Auditor by President William L. Jenkins on April 4, 2004. Because the fiscal year for the LSU System ends on June 30, the Standard Review Report and related management letter cannot be ready before February 7, 2005. This information will be made available as soon as it is received.
The University of New Orleans is regularly included in the system-wide audit conducted each year by the Legislative Auditor. LSU System Financial Statements for the fiscal year ended June 30, 2001, to June 30, 2003, and the Supplement to Financial Report, which provides data specific to the University of New Orleans, are available on the
LSU System website.
LSU System Basic Financial Statements and Independent Auditor’s Reports for the prior three fiscal years, including management’s discussion and analysis, can be found at the
Legislative Auditor’s website
by date of issue (June 30, 2001, issued January 2, 2002; June 30, 2002, issued January 15, 2003; and June 30, 2003, issued January 14, 2004).
In conjunction with the audit of the LSU System at June 30, 2003, the Legislative Auditor issued a separate Management Letter dated December 19, 2003, for the University of New Orleans. This document brings to management’s attention issues relevant to the university's campus which are not necessarily significant to the system as a whole and can be found at the
Legislative Auditor’s website
by date of issue (June 30, 2003, issued February 11, 2004).
The 2003-2004 schedule of changes in unrestricted net assets, exclusive of plant assets and plant-related debt, will be available as soon as the university Standard Review Report is completed by the Legislative Auditor on February 7, 2005. A link to the electronic version of this supplemental schedule will be made available then. LSU System institutions are not required to prepare this schedule as part of their reporting package to the State of Louisiana Division of Administration, Office of Statewide Reporting and Accounting Policy. However, a Statement of Revenues, Expenses, and Changes in Net Assets (SRECNA) is prepared by the University of New Orleans on June 30th of each fiscal year and included in the consolidated LSU System audit report. The SRECNA, which is one of three core financial statements currently required by the Governmental Accounting Standards Board (GASB) for all public institutions of higher education, provides the details of all operating and non-operating activity and the resulting changes in (total) net assets. This Statement for the University of New Orleans campus was prepared at June 30, 2003, and is provided in the Supplement to Financial which is available on the
LSU System website.
Other Documents Requested by the Commission on Colleges
On July 6, 2004, the university submitted to the Commission on Colleges its 2004 Financial Profile and Financial Indicators Report and a copy of the Fiscal Year 2003 Integrated Postsecondary Education Data System Finance Survey. Copies of these documents have been retained in the university's Office of Data Management, Analysis and Reporting for future reference.
Annual Operating Budget
Every member campus of the LSU System produces an annual published budget document in a format prescribed by the Louisiana Board of Regents and the LSU System Office. The 2003-2004 budget document for the University of New Orleans campus is available in hard-copy format in the university's Earl K. Long Library.
In conjunction with budget planning, the university has in place a budget committee which consists of the Chancellor, Vice Chancellor for Academic Affairs and Provost, Vice Chancellor for Strategic Planning and Budget, and the Vice Chancellor for Financial Services. This group meets regularly to review the university's net budget position and to assess what impact, if any, the external operating environment, e.g., State Budget Office, might have on the budget-planning process. Its purpose is to screen departmental budget requests and to evaluate such requests for funding in light of Strategic Initiatives and Institutional Effectiveness Plans for quality improvement. The Budget Committee then brings to the university's Executive Committee those requests deemed appropriate for consideration. The Executive Committee, of which the Budget Committee is a part, also includes Academic Deans and all other Vice Chancellors. It meets twice a month.
The university's operating budget is subject to sound fiscal procedures. The Office of Financial Services is responsible for monitoring spending within the operating budget. It is also required to prepare and submit to the Budget Committee on a routine basis a report of the university's net budget position.
The annual operating budget for the University is approved by the LSU System Board of Supervisors. Board approvals are noted in the Board meeting minutes of August 24, 2001, for the 2001-2002 operating budget; in the August 22-23, 2002 minutes, for the fiscal year 2003-2003 operating budget; and in the August 21-22, 2003 minutes, for the fiscal year 2003-2004 operating budget. The minutes of the Board meetings are available on the
LSU System website.
Supporting Documentation and Evidence
Legislative Auditor
LSU System
3.10.3 The institution audits financial aid programs as required by federal and state regulations.
Compliance Certification
Compliance Partial Compliance Non-Compliance
Narrative
The Office of Internal Audit
periodically performs audits on various aspects of financial aid to ensure compliance with federal and state requirements and with university policies and procedures. All internal audits are performed in accordance with the Standards for the Professional Practice of Internal Auditing, promulgated by the
Institute of Internal Auditors.
In compliance with those standards, the results of internal audits conducted are published in a written report. The report includes a statement of audit scope, audit results, and, if necessary, audit recommendations.
The Louisiana State University System Internal Audit’s Charter
can be found on the Office of Internal Audit’s website.
The State Legislative Auditors
conduct audits annually in accordance with
OMB Circular A-133.
The overall purpose of these audits is to determine whether or not the programs were properly administered with adequate internal controls. The scope of the audits includes (1) an evaluation of the procedures used in determining eligible award recipients, (2) a sampling of recipients to determine if they were awarded according to compliance, and (3) a sampling of entrance and exit counseling to determine if they were performed according to compliance. These audits cover all major federally funded student-aid programs, and an audit opinion is issued at the statewide level in the Louisiana Single Audit. These audits also include tests of compliance with applicable federal laws and
regulations.
In 2002, the
Office of Louisiana Student Financial Assistance (LOSFA)
conducted a program review that determined the extent to which the University of New Orleans complied with federal and state regulations and LOSFA policies in administering student loans and state scholarship and grant programs. The
Closure Memo
is also available in the Office of Student Financial Aid.
Supporting Documentation and Evidence
Institute of Internal Auditing website contains auditors standards
Louisiana State University System Internal Audit’s Charter
Office of Louisiana Student Financial Assistance (LOSFA)
OMB Circular A-133 from the Federal Office of Management and Budget (Executive Office of the President)
State of Louisiana Compliance Review Report Memo, dated 4/30/02
(Closure memo available Office of Student Financial Aid)
State Legislative Auditors website
University of New Orleans Internal Auditor website references Policies and Procedures for the university and state.
3.10.4 The institution exercises appropriate control over all its financial and physical resources.
Compliance Certification
Compliance Partial Compliance Non-Compliance
Narrative
The Division of Financial Services manages the financial assets of the University in a manner that will enable it to fulfill its mission of teaching, research, and service to the Greater New Orleans community. Financial Services designs, operates, and maintains the university’s business systems to provide maximum flexibility in serving the many and varied needs of the campus in accordance with state law and LSU System Board regulations. It is also responsible for ensuring the financial solvency of the university by observing sound business and budgetary practices that promote good fiscal management. Financial Services compiles the university’s annual operating budget and monitors spending levels throughout the fiscal year. It also has day-to-day oversight of the accounting and purchasing functions.
The Vice Chancellor for Financial Services, Comptroller and Chief Financial Officer is the senior administrator responsible for the Division of Financial Services. This position reports directly to the Chancellor. The specific lines of authority for the Division of Financial Services are shown in Attachment A.
Control of Financial Resources:
Every member campus of the LSU System produces an annual published budget document in a format prescribed by the Louisiana Board of Regents and the LSU System Office. The 2003-2004 budget document for the University of New Orleans campus is available in hard-copy format in the University’s Earl K. Long Library.
In conjunction with budget planning, the university has in place a budget committee which consists of the Chancellor, Vice Chancellor for Academic Affairs and Provost, Vice Chancellor for Strategic Planning and Budget, and the Vice Chancellor for Financial Services. This group meets regularly to review the university’s net budget position and to assess what impact, if any, the external operating environment, e.g., State Budget Office, might have on the budget-planning process. Its purpose is to screen departmental budget requests and to evaluate such requests for funding in light of Strategic Initiatives and Institutional Effectiveness Plans for quality improvement. The Budget Committee then brings to the university’s Executive Committee those requests deemed appropriate for consideration. The Executive Committee, of which the Budget Committee is a part, also includes Academic Deans and all other Vice Chancellors. It meets twice a month.
The university’s operating budget is subject to sound fiscal procedures. The Office of Financial Services is responsible for monitoring spending within the operating budget. It is also required to prepare and submit to the Budget Committee on a routine basis a report of the university’s net budget position.
The annual operating budget for the university is approved by the LSU System Board of Supervisors. Board approvals are noted in the Board meeting minutes of August 24, 2001, for the 2001-2002 operating budget; in the August 22-23, 2002 minutes, for the fiscal year 2003-2003 operating budget; and in the August 21-22, 2003 minutes, for the fiscal year 2003-2004 operating budget. The minutes of the Board meetings are available on the
LSU System website.
Within the Division of Financial Services, there are two Associate Comptrollers. The Associate Comptroller – Finance is responsible through subordinates for overseeing the day-to-day analyses associated with budgetary control over unrestricted, restricted, auxiliary, and plant fund commitments; coordinating preparation of the university’s Space Inventory in conjunction with submission of its Administrative Rate Proposal to the U.S. Department of Health and Human Services; preparing and managing professional services and other contracts; ensuring university compliance with Federal tax laws, Immigration and Naturalization Service laws, and other applicable IRS requirements as they relate to the taxation of employees, students, and vendors; coordinating the fiscal year end closing routine; and monitoring the university’s cash position and invest excess funds pursuant to state statutes and LSU System policy.
The Associate Comptroller – Budget is responsible through subordinates for overseeing the processing, recording, and monitoring of personnel appointments to ensure compliance with budgetary constraints; investigating budget checking errors through administrative software (PeopleSoft) and preparing budget adjustments as required; preparing the university’s Annual Operating Budget Request to the LSU System; compilation of the university’s Annual Operating Budget and preparing supporting schedules; administering the State’s Travel Corporate Card Program and the Division of Financial Services website; and interacting as necessary with university’s outside legal counsel in garnishment matters.
The Office of Accounting Services provides business services to students, faculty, and staff through payroll, accounts-payable, bursar, and reporting functions. The units comprising the Office of Accounting Services include the Bursar’s Office, Accounts Receivable, Accounts Payable, and General Accounting & Financial Reporting. The Bursar’s Office is responsible for the receiving, safekeeping and depositing of university funds. Operating procedures for the Bursar are provided in
Attachment B
(and Appendix)
Accounts Receivable is responsible for the collection of monies due the university. The University of New Orleans campus observes the collection policies and procedures developed by the Office of Statewide Reporting and Accounting Policy as codified in the
Louisiana Register, Volume 28, Number 11, dated November 20, 2002, pages 2346-2349.
The Payroll Office is responsible for the preparation of the payrolls for student, academic, non classified, wage (intermittent), and classified employees. The Payroll Manager’s job description, provided in
Attachment C,
will give insight into the scope of this operation. There are several payroll-procedures manuals, which contain hundreds of pages of material that document in detail the current payroll system. These manuals are available for review in the Payroll Office. Accounts Payable is responsible for payment of university obligations. This area adheres to general policies promulgated by the LSU System in the form of Permanent Memoranda (PMs) and to Administrative Policy and Procedure (AP) documents issued by the Office of the Chancellor. PMs and APs can be found on the
University of New Orleans website.
The General Accounting & Financial Reporting unit prepares financial reports as required by the university, the LSU System, and the Statewide Office of Reporting and Accounting Policy; it reconciles all bank accounts and other accounts in the general ledger and ensures that all journal transactions are posted to the accounting system.
The Purchasing Office provides procurement services to the faculty and staff of the University of New Orleans. The mission of the Purchasing Office is to procure high-quality goods and services at competitive prices in order to sustain, foster, and support the University of New Orleans in its overall mission.
The Purchasing Office is responsible for procuring all equipment, supplies and operating services in accordance with the following:
1. Louisiana Revised Statutes 39:1551 et seq., The Procurement Code
2. Louisiana Revised Statutes 38:2211 et seq., The Public Bid Law
3. Title 34 of the Louisiana Administrative Code, Purchasing Rules and Regulations
4. The State of Louisiana Small Purchases Executive Order
5. UNO Purchasing Procedures,
The university uses the PeopleSoft Higher Education Administrative Software to create, record and maintain all financial, statistical, personal, technical, and other pertinent data. The administrative software includes three major components: Human Resource/Payroll; Financials; and Student Administration with their respective sub modules. These modules afford all university users online viewing capability of accounting transactions as they are posted and improved delivery of services through workflow and web-enabled processes such as PeopleSoft Tools, PeopleSoft Query, PeopleSoft n/Vision, SQL, SQR, and Crystal Reports.
PeopleSoft internal controls rely on our “operator security classes,” which define the type of access and the level of functionality given to certain individuals designated by the Division/Department Head.
The Office of Internal Audit is responsible for the university’s internal audit function. Pursuant to the Standards for the Professional Practice of Internal Auditing, Internal Audit evaluates and contributes to the improvement of risk management. In addition, the Internal Audit function should also evaluate risk exposures relating to organizational governance, operations, and information systems with respect to the following: reliability and integrity of financial information; effectiveness and efficiency of operations; safeguarding of assets, and compliance with laws, regulations, and contracts.
Every member campus of the Louisiana State University System is required to prepare and submit for approval to the LSU System Board of Supervisors an annual audit plan. Once approved, these various plans are implemented at each campus. Internal audit reports are provided on a quarterly basis by each campus to the System Office inclusive of management’s response.
The Director of Internal Audit on the University of New Orleans campus reports directly to the Chancellor. This office operates independently and has no direct authority over those departments reviewed.
Control of Physical Resources:
The university’s Office of Facility Services is primarily responsible for all areas of operation and maintenance of facilities. Please see the related narrative for Comprehensive Standard 3.10.7.
The Purchasing Office through its Property Control Office is responsible for tagging and managing the university’s inventory of moveable equipment in accordance with the following:
Although each department is responsible for all property purchased, items costing $1,000 or more are accounted for each fiscal year by Property Control. Property Control scans (with a barcode reader) all items controlled by each department. A list of missing items is delivered to each department, and the departmental equipment custodians work with Property Control personnel to locate all missing items. For equipment disposal, whether surplus, scrap, stolen, trade-in, or dismantled for parts, the State of Louisiana has implemented the Protégé System to track the disposition of the university’s moveable assets on-line. Only the university’s Property Manager has access to the system. Additionally, Property Control forwards this information to Accounting Services to record the financial transaction in the university’s system, PeopleSoft Asset Management.
Supporting Documentation and Evidence
Louisiana Register, Volume 28, Number 11, dated November 20, 2002, pages 2346-2349
Louisiana Revised Statutes 38:2211 et seq., The Public Bid Law
Louisiana Revised Statutes 39:1551 et seq., The Procurement Code
LSU System website
Property Control Operating Procedures for Departments
The State of Louisiana Small Purchases Executive Order
Title 34 of the Louisiana Administrative Code: "Government Contract, Procurement, and Property Control," Part VII, Chapter 1-9
University of New Orleans Division of Financial Services
Lines of Authority (Attachment A)
University of New Orleans Division of Financial Services
Operating Proceedures for the Bursar (Attachment B)
University of New Orleans Division of Financial Services
Operating Proceedures for the Bursar (Appendix to Attachment B)
University of New Orleans Division of Financial Services
Payroll Manager's Job Description (Attachment C)
University of New Orleans website: PMs and APs
University of New Orleans Purchasing Procedures
3.10.5 The institution maintains financial control over externally funded or sponsored research and programs.
Compliance Certification
Compliance Partial Compliance Non-Compliance
Narrative
The University of New Orleans maintains financial control over externally funded and sponsored research and other restricted fund programs. The
University of New Orleans Office of Research and Sponsored Programs (ORSP)
supervises pre-award proposal preparation, post-award administration, financial management, and various research-compliance issues.
A careful
proposal preparation
process initiates the system of institutional control. All proposals submitted for external/sponsored funding must go through ORSP. A
proposal cover sheet
requests relevant information from the Principal Investigator (PI) and provides a method of approval at the department, college, and ORSP levels. Proposals for over $100,000 are approved by the Chancellor: proposals over $750,000 are reported to the LSU System Office.
ORSP Post Award Administration is responsible for reviewing and negotiating the
awards/contracts approved by external funding entities.
ORSP personnel prepare, monitor all
subcontracts supported by prime federal, state, and private grants and contracts,
negotiate subcontract clauses with subcontractors, and assist PIs with the preparation of statement of work, budget, etc. ORSP personnel adhere to and advise PIs regarding regulations and requirements of the
Louisiana Office of Contractual Review,
the LSU System Office, and the University of New Orleans. ORSP coordinates the compliance with reporting requirements (technical, patent, monitoring). Contracts/Subcontracts that exceed certain thresholds also require the approval of the Chancellor and the LSU System President as shown in the university's "
Signature Authority for Grants and Contracts."
ORSP interacts with the Office of Technology Transfer & Corporate Partnership regarding Intellectual Property (IP) policy during contract negotiations in order to comply with the LSU System,
the University of New Orleans, and federal guidelines (Bayh-Dole Act 37 CFR401).
Financial management is the responsibility of the Office of Grants and Contracts Accounting, which reports to ORSP. All successful proposals are assigned to accounting personnel who monitor revenue and expenditure items. Assistance is provided for initial account numbers, allowable costs, unallowable costs, direct costs, facilities and administrative costs, budget revisions, cost transfers, invoicing deadlines, subcontractor invoice approval, the close-out of sponsored agreements, and
federal (e.g.,OMB procedures) guidelines.
Also, ORSP administers Personnel Activity Reports (PARs) to support charges of salaries and wages to sponsored agreements. Assistance is provided for certification of time-and-effort reporting, certification of departmental expense, and documentation of cost sharing on sponsored agreements. Post-award accounting is fully integrated into the university's financial system, and aggregate performance figures are reported annually as part of the university's financial statements.
ORSP also supports research efforts by monitoring essential
compliance issues, such as human and animal subjects issues,
and possible
conflict-of-interest situations.
Supporting Documentation and Evidence
Award and Contract Administration
Office of Research and Sponsored Programs
Proposal Preparation
Research Compliance – Animal and Human Subjects
Research Compliance – Conflicts of Interest
Signature Authority for Grants and Contract
3.10.6 The institution takes reasonable steps to provide a healthy, safe, and secure environment for all members of the campus community.
Compliance Certification
Compliance Partial Compliance Non-Compliance
Narrative
The University Of New Orleans provides for a full range of services for the safety and security of the university environment. The university has a full-time safety officer and, in addition, every unit has a designated Safety Officer and holds mandatory quarterly safety meetings.
The Facility Services Department
provides emergency services to control dangerous problems and issues that may arise in maintenance/utilities related areas, such as asbestos abatement.
LSU System Permanent Memoranda (PM), University Policy Statements, Administrative Procedures (AP), and
Loss Prevention Procedures
delineate the responsibilities of the institution concerning many aspects of health, safety, and secure environment on the campus. The university’s commitment to safety and security is reflected in the
Chancellor’s Policy Statement.
The University Police Department,
which includes police enforcement and parking, consists of 28 commissioned officers and 12 non-commissioned and office personnel. They provide a wide range of awareness and personal safety/security seminars for the university community. They have a Housing Watch program that places police officers during the various housing units in the overnight hours. Using foot, bicycle, and vehicle patrols, this department provides
24-hour
patrol services.
The university maintains an excellent relationship with state and local law-enforcement agencies and fire/emergency service organizations. It also participates in activities with the local
Office of Emergency Preparedness.
The university’s
Disaster/Emergency Plan
addresses major emergencies or disasters.
The
Environmental Health and Safety Office,
which includes the Risk Management Office and University Pay Parking Department, consists of 2 full-time employees and 3 student workers. This department provides safety inspections throughout the campus and provides information and training on a wide variety of safety topics.
The
Division of Student Affairs
contributes to the safety of students and others in a variety of ways, including a felon-screening program during admissions. Student Health Services medical staff include a full-time M.D., two full-time RNs, two interns, and additional office personnel. Disabled Student Services address American with Disability Act issues.
Student Counseling Services
is alert to self-destructive tendencies or patterns among its clients and provides a variety of student/client-centered interventions and supervisions. Ongoing Student Life programs attempt to limit damage from substance abuse and other injurious lifestyle practices. To this particular end, the university employs a full-time Health Educator.
The
Equal Employment Opportunity (EEO) Office
has a full-time officer and manages procedures for implementing Affirmation Action and Equal Employment Opportunities (AP 2.0) with respect to academic and unclassified appointments. The EEO and Human Resource Management respond to domestic-violence-in-the-workplace as well as student sexual-harassment complaints.
Relevant policies can be found in the following:
American with Disabilities Act
Assignment of Responsibility
Supporting Documentation and Evidence
AP 2.0: Equal Employment Opportunity
AP 5.2: Smoking Policy
AP 48.2: Disaster/Emergency Plan
Chancellor’s Policy Statement
Environmental Health and Safety
Facility Services
Loss Prevention Manual
Office of Emergency Preparedness
Student Affairs
Student Counseling Services
University of New Orleans Faculty Handbook
University of New Orleans Staff Handbook
University of New Orleans Student Policy Manual
University Police
3.10.7 The institution operates and maintains physical facilities, both on and off campus, that are adequate to serve the needs of the institution's educational programs, support services, and other missionrelated activities.
Compliance Certification
Compliance Partial Compliance Non-Compliance
Narrative
Physical Facilities
The University of New Orleans’ Facility Services operates, maintains, and plans for a wide range of facilities on two campuses a mile apart and three other locations in the New Orleans area. The
Lakefront or Main Campus (Adobe p. 4)
encompasses 240 acres with 32 buildings providing almost three million square feet of space. The replacement value of the buildings is $283.7 million. The nearby
East Campus (Adobe p. 2)
encompasses 100 acres with four buildings providing 347,000 square feet with a replacement value of $62 million. The university possesses 8 miles of surface streets and 65 acres of parking. The university community includes approximately 17,000 students and 1,900 faculty and staff. Utility costs average $11,000 per day and over 15,000 work requests are completed annually.
The majority of academic facilities, core administrative buildings, student housing, and a residence hall, and student services are located on the main campus of the university. About one mile east of the main campus, the East Campus houses the university’s baseball, soccer, and tennis facilities as well as the Kiefer Lakefront Arena. Remaining facilities include the Alumni & Development Center as well as the Central Utilities Plant.
Other campuses include the
Jefferson Center (Adobe p. 3),
the
Downtown Center (Adobe p. 1)
and the
Slidell Campus (Adobe p. 5).
Residential Facilities: Campus housing at the university includes a residence hall,
Bienville Hall,
a family apartment complex,
Lafitte Village,
and a large apartment complex,
Privateer Place.
All units receive 24-hour emergency maintenance coverage and are inspected and renovated as required. Handicap-accessible units are available in residence halls and apartment units.
Recreation Facilities: The
Student Recreation and Fitness Center
offers a variety of activities for students, faculty, and staff. The facility is equipped with an indoor 25-meter pool and a sauna. Indoor recreation includes basketball, racquetball, cardio room, circuit and free-weight training. Tennis courts and soccer fields are located on the East Campus.
Food Service Facilities: Students, faculty, and staff are offered a variety of foods at
two locations
on the main campus. A cafeteria (The Galley), a lunch buffet (The Flambeau Room), and a food court are located at the University Center. The Cove offers a food court and a mini mart.
Maintenance of Facilities
The operation and maintenance of facilities are coordinated through
Facility Services.
Physical facilities are maintained, inspected, and evaluated regularly for functionality, effectiveness, temperature, cleanliness, and safety. The general repair of facilities is continually monitored.
The primary goal of Facility Services is to enable the university to carry out its teaching, research, and public service mission by providing cost-effective and efficient facilities and space planning, design, construction, and maintenance services. To fulfill this mission, Facility Services has responsibility for preparing capital outlay project and budget requests every year for the state’s budget cycle. After capital requests are approved, it oversees detailed project planning and construction in accordance with the state’s review and approval procedures.
Facility Services also assesses the condition of academic, research, administrative, and other space on an on-going basis and develops plans for correcting deficiencies. Project and funding proposals for correcting deficiencies become an integral part of the multi-year development plan and the annual capital-outlay request.
University employees and contract services are used to maintain university facilities. Maintenance performance, benchmark, and customer survey data are evaluated and used to adjust work processes to improve the delivery of services continually. Contractual services are used to execute projects and tasks that are too large, that require special expertise, or that cannot be completed in the requested time frame by the maintenance staff due to other commitments. An automated energy system is coordinated with class schedules and other university functions and events.
Facility Services has broad and comprehensive strategies that focus on detailed operations and maintenance and planning to support the overall university mission.
Policy Statements
and operating instructions in various forms guide personnel in tasks ranging from the planning of new facilities to the operation and maintenance of existing facilities; they are accessible to staff, faculty, students, and the general public.
Renovations and Capital Improvements
The annual Capital Outlay Budget Request, submitted at the direction of the Louisiana Board of Regents, and the Campus Master Plan provide direction for future capital planning and maintenance of university facilities. The master plan and related plans and studies are revised periodically to ensure their conformity with the university’s current mission and strategic plan.
Facility Services’ Capital Planning and Construction and Design and Renovations Departments are responsible for coordinating budget proposals for renovations, new construction, and major maintenance projects. These budget proposals are an annual collaborative effort by faculty, staff, administrators, and other interested parties and form the basis for the university's 5-Year Capital Outlay Plan and annual Capital Outlay Request that is prioritized to support the
university’s mission
and strategic goals. The list of priority projects is reviewed regularly by university officials and submitted annually to the LSU System Board of Supervisors as part of the
capital-budget process.
Requests from all Louisiana Board of Regents institutions are compiled and forwarded to the Governor and the
Legislature;
only a portion is funded each year. When the State Legislature approves capital improvements, an independent design firm works with university personnel to assist in the design process. The needs of the campus users are foremost in design considerations.
The annual university budget process provides a framework for completion of preventive maintenance activities and serves as the basis for budgeting financial resources for specific maintenance activities.
Supporting Documentation and Evidence
Bienville Hall
Campus Dining
Facility Services
Lafitte Village
Louisiana Board of Regents Capital Outlay Budget Requests
FY2005-06.pdfLouisiana State Legislature – House Bill 2 - 2004 Regular Session
(Act 2)
Privateer Place
Recreation and Intramural Sports
University of New Orleans Administrative Policies
University of New Orleans Downtown Center map
University of New Orleans East Campus map
University of New Orleans Jefferson Center map
University of New Orleans Lakefront Campus map
University of New Orleans Mission
University of New Orleans Slidell Campus map