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Ramapo College Policies, Procedures, Statements

Policy

Policy Statement

Ramapo College of New Jersey (hereinafter referred to as the “College”) is committed to supporting research, scholarship, creative work, and other institutional activities through the procurement of external funding, including those from government agencies and private organizations.

Purpose of Policy

The purpose of this policy is to ensure that all sponsored programs for which external funding or internal funding is provided support the College mission and strategic plan, enhance the College’s reputation and standing, and comply with applicable federal, state, and institutional regulations, as well as those of the sponsoring agency.

To Whom Does the Policy Apply

This policy applies to all College employees engaged in sponsored program activities, whether they are externally funded or not. This includes faculty (full-time, part-time/adjunct, lecturers, professional staff who teach), administrators, staff, and persons/parties contracted by the College.

Supplemental Resources

Contact

Office of Grants & Sponsored Programs

Procedure

Procedures to ensure the proper conduct and controls associated with sponsored programs are detailed in the Grants & Sponsored Programs Compliance Manual.

The Grants and Sponsored Programs Compliance Manual shall include, at minimum, the following subjects:

  • Introduction
  • About Sponsored Programs
  • Award Management
  • Award Closeout
  • Audit
  • Regulatory Compliance
  • Appendices

The Manual shall be reviewed annually by the Office of Grants and Sponsored Programs, and shall be made available to all College employees engaged in sponsored program activities.

Grants & Sponsored Programs Compliance Manual

 

Policy

Policy Statement

Ramapo College of New Jersey (hereinafter referred to as the “College”) is committed to uphold the highest ethical standards in research. This policy is based on the U.S. Department of Health and Human Services Public Health Service Policies on Research Misconduct – Final Rule, Code of Federal Regulations, Vol. 42, Part 93 (Federal Register, Vol. 70, p. 28370 (May 17, 2005, amended Jan. 17, 2025).

Further, for the purposes of research activities that are not sponsored by Health & Human Services, this policy shall be applied and its procedures may only be adjusted as required by the sponsoring agency.

This policy shall be reviewed annually to ensure compliance with governmental regulations.

Purpose of Policy

The purpose of this policy is to communicate the standards expected of faculty, staff, administrators, and academic professionals who participate in sponsored research at or for the College.

The purpose of the procedure is to describe the process followed in those instances in which research misconduct is suspected to have occurred. To the extent permissible, this policy and procedure applies to all sponsored research activity stewarded by the College.

To Whom Does the Policy Apply

This policy applies to all College employees engaged in research activities, whether they are externally funded or not. This includes faculty (full-time, part-time/adjunct, lecturers, professional staff who teach), administrators, staff, as well as individuals contracted by the College to engage in research that is supported by federal, private, or College funds.

Supplemental Resources

Contact

Vice Provost for Academic and Faculty Affairs (in capacity as the Research Integrity Officer at the College)

Procedure

I. Overview & Principles

Allegations of research misconduct are taken very seriously, as are the needs to protect the rights of those who make such complaints in good faith and the rights of those who are accused of research misconduct.

The purpose of this policy and the following procedures are to achieve these goals and to comply with federal regulations including but not limited to:

  • the Department of HHS and the National Science Foundation (NSF) regulationswhich define the responsibilities of PHS and NSF research grant awardees fordealing with and reporting possible misconduct in research efforts (42CFR, Part50, Subpart A and 45CFR, Part 689);
  • the PHS Act, which requires that each agreement for a grant, contract, or cooperative arrangement for the conduct of biomedical or behavioral research must have, as part of it, assurances that the institution has established an administrative process to review reports of scientific misconduct in connection with biomedical and behavioral research conducted at or sponsored by the institution.

In addition, the NSF has similar regulations governing the conduct of researchers supported by NSF grants. Implicit in these requirements is an understanding that the institution reports any investigation of scientific misconduct that appears to be substantiated. The process described below will be followed when an allegation of research misconduct is received by an institutional official. This process is intended to carry out the College’s responsibilities under the PHS Policies on Research Misconduct, 42 CFR Part 93. It does not apply to authorship or collaboration disputes and applies only to allegations of research misconduct that occurred within six (6) years of the date the institution or HHS received the allegation, subject to the subsequent use, health or safety of the public, and grandfather exceptions in 42 CFR § 93.104(b).

Further, for the purposes of research activities that are not sponsored by HHS, these procedures may be adjusted but only as required by the sponsoring agency.

Principle 1. Responsibility

  1. All College employees and students (hereinafter referred to as “institutionalmembers”), are responsible for reporting suspected research misconduct. Institutional members will cooperate with the RIO and other institutional officials in the review of allegations and the conduct of inquiries and investigations.
  2. If an individual is unsure whether a suspected incident falls within the definition of research misconduct, the individual may contact the RIO to discuss a hypothetical scenario without naming individuals. Should the hypothetical scenario fall within the definition of research misconduct, the RIO will counsel the individual to follow the process for alleging research misconduct. Should the hypothetical scenario fall outside the purview of research misconduct yet merits further inquiry, the RIO will refer the individual to the appropriate office or entity on campus, which may include but is not limited to: Provost’s Office/Teaching and Learning Core; Equity, Diversity, Inclusion & Compliance (EDIC); People Operations & Employee Resources (POER); the College Ombudsperson; the Institutional Review Board (IRB); and/or the School Dean care of the Institutional Animal Care & Use Committee (IACUC).
  3. The individual making the allegation is expected to maintain confidentiality of the report, and to cooperate with the entirety of the assessment, inquiry, and/or investigation processes.
  4. If an individual deliberately and knowingly files a false accusation of research misconduct, they will be subject to disciplinary review and possible sanction, in accordance with applicable law/regulation, College policy and/or collective bargaining agreement.

Further, for the purposes of research activities that are not sponsored by HHS, these responsibilities may be adjusted but only as required by the sponsoring agency.

Principle 2. Protections

  1. No institutional member may retaliate against individuals bringing forth allegations, witnesses, or others involved in the allegation or investigation.
  2. Allegations of research misconduct are handled confidentially in accordance with42 CFR § 93.108 as follows: The College will limit disclosure of the identity ofrespondents and complainants to those who need to know in order to carry out acomprehensive, competent, objective, and fair research misconduct proceeding; and the College, except as otherwise prescribed by law, will limit the disclosure of any records or evidence from which research subjects might be identified to those who need to know in order to carry out a research misconduct proceeding.
  3. In accordance with 42 CFR Part 93, respondents may consult with legal counselor a non-attorney personal adviser (who is not a principal or witness in the case) to seek advice, and may bring the legal counsel or personal adviser to interviews or meetings on the case. The College may permit a legal counsel/personal adviser to be present at interviews and meetings; however, the College restricts the legal counsel/personal adviser’s role to advising (as opposed to representing) the respondent.
  4. Throughout the research misconduct proceeding, the RIO will review thematter to determine if there is any threat of harm to public health, federal funds and equipment, or the integrity of the research process. The RIO shall, at any time during a research misconduct proceeding, notify ORI immediately if they have a reason to believe that any of the following conditions exist:
    • Health or safety of the public is at risk, including an immediate need to protect human or animal subjects;
    • HHS resources or interests are threatened;
    • Research activities should be suspended;
    • There is a reasonable indication of possible violations of civil or criminal law;
    • Federal action is required to protect the interests of those involved in the research misconduct proceeding;
    • The research misconduct proceeding may be made public prematurely and HHS action may be necessary to safeguard evidence and protect the rights of those involved; or
    • The research community or public should be informed. In the event of such a threat, the RIO will, in consultation with other College officials and ORI, take appropriate interim action to protect against any such threat.

Further, for the purposes of research activities that are not sponsored by HHS, these protections may be adjusted but only as required by the sponsoring agency.

II. Procedures

Generally, all inquiries and investigations will be carried through to completion and all significant issues will be pursued diligently. The RIO must notify ORI in advance if there are plans to close a case at the inquiry, investigation, or appeal stage on the basis that respondent has admitted responsibility, a settlement with the respondent has been reached, or for any other reason, except:

  • closing of a case at the inquiry stage on the basis that an investigation is not warranted; or
  • a finding of no misconduct at the investigation stage, which must be reported to ORI, as prescribed in this policy and 42 CFR § 93.316.

A. Assessment and Inquiry 
Individuals with concerns regarding potential research misconduct by an institutional member should contact the RIO. Allegations of research misconduct are to be submitted in writing, along with any evidence they have related to the incident, to the RIO.

  1. Upon receipt of the allegation, the RIO will initiate an assessment to determinethe validity of the allegation. The initial assessment should be completed within seven (7) days from the receipt of the allegation and associated evidence. The RIO need not interview the complainant, respondent, or other witnesses, or gather data beyond any that may have been submitted with the allegation, except as necessary to determine whether the allegation is sufficiently credible and specific so that potential evidence of research misconduct may be identified. The RIO shall, on or before the date on which the respondent is notified of the allegation, obtain custody of, inventory, and sequester all research records and evidence needed to conduct the research misconduct proceeding.
  2. If the RIO determines that the criteria for an inquiry are met, they will immediately initiate the inquiry process. The purpose of the inquiry is to conduct an initial review of the available evidence to determine whether to conduct an investigation. An inquiry does not require a full review of all the evidence related to the allegation. Should the inquiry result in no findings or insufficient evidence to substantiate the allegation, the RIO will keep all materials related to the allegation confidentially for six (6) years. Should the inquiry support the allegation, the RIO will proceed to the next step in the process.
  3. Prior to commencing an inquiry, the RIO must make a good faith effort to notifythe respondent in writing. If the inquiry subsequently identifies additional respondents, they must also be notified in writing. On or before the date on which the respondent is notified, or the inquiry begins, whichever is earlier, the RIO must take all reasonable and practicable steps to obtain custody of all the research records and evidence needed to conduct the research misconduct proceeding, inventory the records and evidence and sequester them in a secure manner. Except in instances where the research records or evidence encompass scientific instruments are shared by a number of users, custody may be limited to copies of the data or evidence on such instruments, so long as those copies are substantially equivalent to the evidentiary value of the instruments. The RIO may consult with ORI for advice and assistance in this regard.
  4. The RIO, in consultation with the College Provost/VP for Teaching, Learning, andGrowth, will appoint an inquiry committee and chair as soon after the initiation of the inquiry as is practicable. While the membership of the committee may vary depending on the nature of the allegation, the committee, at minimum, will consist of: a.) the RIO, and b.) three (3) individuals from the College, of which two must have the background related to the allegation.
  5. No member of the committee should have unresolved personal, professional, or financial conflicts of interest with those involved with the inquiry. The respondent may request that the RIO not appoint specific individuals from the College to serve on the committee on the grounds of a conflict of interest.
  6. At the committee’s first meeting, the RIO will review the charge with the committee, discuss the allegations, any related issues, the appropriate procedures for conducting the inquiry, assist the committee with organizing plans for the inquiry, and answer any questions raised by the committee. Specifically, the charge for the inquiry committee:
    • sets forth the time for completion of the inquiry;
    • describes the allegations and any related issues identified during the allegation assessment;
    • states that the purpose of the inquiry is to conduct an initial review of the evidence, including the testimony of the respondent, complainant and key witnesses, to determine whether an investigation is warranted, not to determine whether research misconduct definitely occurred or who was responsible;
    • states that an investigation is warranted if the committee determines:

a. there is a reasonable basis for concluding that the allegation falls within the definition of research misconduct and is within the jurisdictional criteria of 42 CFR § 93.102; and

b.the allegation may have substance, based on the committee’s review during the inquiry.

    • Informs the inquiry committee that they are responsible for preparing or directing the preparation of a written report of the inquiry that meets the requirements of this policy and 42 CFR § 93.309(a).

7. The inquiry committee will normally interview the complainant, the respondent, and key witnesses as well as examining relevant research records and materials. Then the inquiry committee will evaluate the evidence, including the testimony obtained during the inquiry, and submit a draft inquiry report. A written inquiry report must be prepared that includes the following information:

    • the name and position of the respondent;
    • a description of the allegations of research misconduct;
    • the funding support for the research in question, including, for example, grant numbers, grant applications, contracts and publications listing said support; and
    • the basis for recommending or not recommending that the allegations warrant an investigation.

The College’s legal counsel should review the report for legal sufficiency. Modifications should be made as appropriate in consultation with the RIO and the inquiry committee. After consultation with the RIO, the committee members will decide whether an investigation is warranted based on the criteria in this policy and 42 CFR § 93.307.

8. The RIO shall notify the respondent whether the inquiry found an investigation to be warranted, include a copy of the draft inquiry report for comment within 10 calendar days, and include a copy of or refer to 42 CFRPart 93 and the College’s policies and procedures on research misconduct. Any comments that are submitted by the respondent or complainant will be attached to the final inquiry report. Based on the comments, the inquiry committee may revise the draft report as appropriate and prepare it in finalform. The committee will deliver the final report to the RIO, who will then deliver it to the College Provost. The Provost, in consultation with the RIO, will make a decision whether an investigation is warranted.

9. Within 30 calendar days of the Provost’s decision that an investigation iswarranted, the RIO will provide ORI with the Provost’s written decision and acopy of the final inquiry report. The RIO must provide the following information to ORI upon request:

    • the institutional policies and procedures under which the inquiry was conducted;
    • the research records and evidence reviewed, transcripts or recordings of any interviews (if applicable);
    • copies of all relevant documents; and
    • the charges to be considered in the investigation.

10. The inquiry, including preparation of the final inquiry report and the decision of the Provost on whether an investigation is warranted, must be completed within 60 calendar days of initiation of the inquiry, unless the RIO determines that circumstances clearly warrant a longer period.

If the RIO approves an extension, the inquiry record must include documentation of the reasons for exceeding the 60-day period.

If the Provost decides that an investigation is not warranted, the RIO shall secure and maintain for 7 years after the termination of the inquiry sufficiently detailed documentation of the inquiry to permit a later assessment by ORI of the reasons why an investigation was not conducted. These documents must be provided to ORI or other authorized HHS personnel upon request.

Further, for the purposes of research activities that are not sponsored by HHS, these procedures may be adjusted but only as required by the sponsoring agency.

B. Investigation

  1. The investigation must begin within 30 calendar days after the determination by the Provost that an investigation is warranted. The purpose of the investigation is to explore and examine the allegation and evidence to determine whether research misconduct has occurred, by whom, and to what extent. While the investigation will focus on the initial allegation made, should evidence reveal that additional instances of research misconduct may have occurred, the committee may justify broadening the scope of the investigation. If at any point the evidence points to potential harm to human subjects, College students, or the public, the committee must broaden their scope beyond the initial allegation to further investigate this evidence. Under 42CFR § 93.313 the findings of the investigation must be set forth in an investigation report.
  2. On or before the date on which the investigation begins, the RIO must:
    • notify the ORI Director of the decision to begin the investigation and provide ORIa copy of the inquiry report; and
    • notify the respondent in writing of the allegations to be investigated.

The RIO must also give the respondent written notice of any new allegations of research misconduct within a reasonable amount of time of deciding to pursue allegations not addressed during the inquiry or in the initial notice of the investigation. The RIO will, prior to notifying the respondent of the allegations, take all reasonable and practicable steps to obtain custody of and sequester in a secure manner all research records and evidence needed to conduct the research misconduct proceedings that were not previously sequestered during the inquiry.

3. The investigation committee will convene, with members appointed by the RIO in consultation with the Provost. The investigation committee must consist of individuals who do not have unresolved personal, professional, or financial conflicts of interest with those involved with the investigation and should include individuals with the appropriate scientific expertise to evaluate the evidence and issues related to the allegation, interview the respondent and complainant and conduct the investigation. Individuals appointed to the investigation committee may also have served on the inquiry committee.

4. At the first meeting of the investigation committee, the RIO will define the subject matter of the investigation in a written charge to the committee that:

    • Describes the allegations and related issues identified during the inquiry;
    • Identifies the respondent;
    • Informs the committee that it must conduct the investigation;
    • Defines research misconduct;
    • Informs the committee that it must evaluate the evidence and testimony to determine whether, based on a preponderance of the evidence, research misconduct occurred and, if so, the type and extent of it and who was responsible;
    • Informs the committee that in order to determine that the respondent committed research misconduct it must find that a preponderance of the evidence establishes that:

a. research misconduct, as defined in this policy, occurred (respondent hasthe burden of proving by a preponderance of the evidence any affirmativedefenses raised, including honest error or a difference of opinion);

b. the research misconduct is a departure from accepted practices of the relevant research community; and

c. the respondent committed the research misconduct intentionally, knowingly, or recklessly; and

    • Informs the committee that it must prepare or direct the preparation of a written investigation report that meets the requirements of this policy and 42CFR §93.313.

5. The RIO will convene the first meeting of the investigation committee to review the charge, the inquiry report, and the prescribed procedures and standards for the conduct of the investigation, including the necessity for confidentiality and for developing a specific investigation plan. The investigation committee will be provided with a copy of this statement of policy and procedures and 42 CFR Part 93. The RIO will be present or available throughout the investigation to advise the committee as needed.

6. The investigation committee and the RIO must:

    • Use diligent efforts to ensure that the investigation is thorough and sufficiently documented and includes examination of all research records and evidence relevant to reaching a decision on the merits of each allegation;
    • Take reasonable steps to ensure an impartial and unbiased investigation to the maximum extent practicable;
    • Interview each respondent, complainant, and any other available person who has been identified as having information regarding any relevant aspects of the investigation, including witnesses identified by the respondent; record or transcribe each interview; provide the recording or transcript to the interviewee for correction, and include the recording or transcript in the record of the investigation; and
    • pursue diligently all issues and leads discovered that are determined relevant to the investigation, including any evidence of any additional instances of possible research misconduct, and continue the investigation to completion.

7. The investigation is to be completed within 120 days after its commencement, including conducting the investigation, preparing the report of findings, providing the draft report for comment and sending the final report to ORI. However, if the RIO determines that the investigation will not be completed within this 120-day period, they will submit to ORI a written request for an extension, setting forth the reasons for the delay. The RIO will ensure that periodic progress reports are filed with ORI, if ORI grants the request for an extension and directs the filing of such reports.

8. At the conclusion of the investigation, the committee will submit a draft writtenreport to the Provost. This report must include:

a. The individual(s) accused of research misconduct.
b. The nature of the allegation of research misconduct and the specific allegations considered in the investigation. This will include any allegations that were investigated that were beyond the committee’s original scope, as well as the justification for investigating those additional allegations.
c. Identification and summary of research records and evidence reviewed, including any items that were gathered but not reviewed.
d. A statement of the findings for each specific allegation, to include:

      • the type of research misconduct (falsification, fabrication, plagiarism, etc.);
      • the individual(s) who committed it and the time frame;
      • the committee’s assessment of whether the misconduct was committed intentionally, knowingly, or recklessly;
      • the accused individual(s)’ explanations, which may include an argument that the alleged research misconduct is honest error or difference of opinion;
      • any research related to the misconduct, and whether or not it was published/exhibited and if so, when and where;
      • the identification of any and all financial support of the scholarship related to the misconduct, be it federal, private, or College funds; and
      • the identification of any pending applications or proposals for supportrelated to the misconduct.

e. Recommended sanctions to be imposed by the College.

9. The RIO must give the respondent a copy of the draft investigation report for comment and, concurrently, a copy of, or supervised access to, the evidence on which the report is based. The respondent will be allowed 30 days from the date they receive the draft report to submit comments to the RIO. The respondent’s comments must be included and considered in the final report. In distributing the draft report, or portions thereof, to the respondent, the RIO will inform the recipient of the confidentiality under which the draft report is made available.

10. The RIO will assist the investigation committee in completing the final investigation report, including ensuring that the respondent’s comments are included and considered, and transmit the final investigation report to the Provost, who will determine whether or not the finding(s) support the allegation(s) of research misconduct.

Should the report conclude there was no support to the allegations, the Provost will notify the respondent in writing of the results of the committee’s investigation, and keep all materials related to the allegation in the respondent’s confidential personnel file for seven (7) years.

Should the report support the allegations, the Provost will notify the respondent in writing of the finding(s) by sharing the committee’s report less the committee’s recommended sanctions.

The Provost will also notify the respondent in writing that, unless an appeal (see section E below) with evidence is made within 10 days:

    • a report of the finding(s) will be submitted to the granting agencies, journal editors, publishers, or other agencies in receipt of any research related to the allegations,
    • the Committee’s report without the committee’s recommended sanctions will be submitted to the College President or their designee.

The Provost will also submit their recommended sanctions, taking into consideration pertinent institutional policy and/or collectively negotiated agreements, and the committee’s recommendations which may be further developed in consultation with the College’s General Counsel.

The RIO is responsible for ensuring compliance with all notification requirements of funding or sponsoring agencies.

Further, for the purposes of research activities that are not sponsored by HHS, these investigation protocols may be adjusted as required by the sponsoring agency.

C. Appeals

The accused individual(s) have the right to appeal the report and may do so in writing to the Provost within the 10-day period. The appeal must include evidence that disproves the findings of the report.

If an appeal with evidence is filed, the Provost must supply it to the investigation committee for review.

If no appeal is filed; an appeal is filed without evidence; or an appeal with evidence is filed and the evidence is found to be unsubstantiated, the Provost will inform all granting agencies, journal editors, publishers, or other agencies in receipt of any scholarship of the findings.

Further, for the purposes of research activities that are not sponsored by HHS, these appeal procedures may be adjusted but only as required by the sponsoring agency.

D. Final Decision

The Provost will notify the College President or their designee in a report that contains the committee’s report, a copy of the notification to granting agencies, etc., and any recommended sanctions to be imposed by the College.
Upon receipt and review of the Provost’s report, if:

  • no appeal is filed,
  • an appeal is filed without evidence, or
  • an appeal with evidence is filed and the evidence is found to be unsubstantiated,

the President or their designee will issue the sanctions in writing to the accusedindividual(s), and notify the appropriate offices or entities on which the sanctions may have an impact (e.g., Academic Dean for course scheduling; People Operations and Employee Resources Department; etc.).

The investigation concludes with the issuance of sanctions by the President or their designee; there are no further appeals.

Further, for the purposes of research activities that are not sponsored by HHS, this final decision making process may be adjusted but only as required by the sponsoring agency.

III. Reporting of Findings and Actions to ORI

Unless an extension has been granted, the RIO must, within the 120-day period for completing the investigation, submit the following to ORI:

  • a copy of the final investigation report with all attachments, along with any documentation related to an appeal;
  • a statement of whether the College accepts the findings of the investigation report and appeal, if appropriate;
  • a statement of whether the College found misconduct and, if so, who committed the misconduct; and
  • a description of any pending or completed administrative actions against the respondent.

Further, for the purposes of research activities that are not sponsored by HHS, this reporting may be adjusted but only as required by the sponsoring agency.

IV. Records Retention

The RIO must maintain and provide to ORI, upon request, “records of research misconduct proceedings” as that term is defined by 42 CFR § 93.318. Unless custody has been transferred to HHS or ORI has advised in writing that the records no longer need to be retained, records of research misconduct proceedings must be maintained in a secure manner for seven years after completion of the proceeding involving the research misconduct allegation. The RIO is also responsible for providing any information, documentation, research records, evidence or clarification requested by ORI to carry out its review of an allegation of research misconduct or of the institution’s handling of such an allegation. The entirety of the investigation will be kept within the individual’s confidential personnel file.

Further, for the purposes of research activities that are not sponsored by HHS, these retention practices may be adjusted but only as required by the sponsoring agency.

Appendix 301A: Definitions
  • Allegation means a statement or indication of possible research misconductmade to a College official.
  • Authorship means the definition of authorship that varies across academicdisciplines. In general, authorship means the mechanism for allocation of credit tothe individuals for their contribution to the intellectual value of any research orrelated material that is being presented to an audience. Authorship has important academic, social, intellectual property, and financial implications. Authorship also implies responsibility and accountability for the material that is being presented. Disputes of authorship are not considered research misconduct, however, plagiarism (defined below) is considered research misconduct.
  • College means Ramapo College of New Jersey.
  • Complainant means the individual(s) who submits an allegation of research misconduct.
  • Conflict of Interest means the real or apparent interference of an individual’s interest with the interests of another person, where potential bias may occur due to prior or existing personal or professional relationships.
  • Employee means, for the purpose of this policy and procedure only, any individual under the employ of the College, including faculty (full-time, part-time/adjunct, lecturers, professional staff who teach), administrators, and staff, as well as individuals contracted by the College to engage in research that is supported by federal, private, or College funds.
  • Fabrication means the invention/making up of data or results and recording or reporting them.
  • Falsification means the manipulation of research materials, equipment, or processes; the change or omission of data or results such that the research is not accurately represented in the research record.
  • HHS means the U.S. Department of Health and Human Services, the parent agency of the Public Health Service and the National Institutes of Health.
  • Inquiry means the gathering of information and initial fact-finding to determine whether an allegation or apparent reported or observed instance of research misconduct warrants an investigation.
  • Institutional members means employees (staff, faculty, and administrators) of the College.
  • Investigation means the formal examination and evaluation of all relevant facts to determine if research misconduct has occurred and, if so, to determine the responsible individual and the seriousness of the misconduct.
  • ORI means the Office of Research Integrity that oversees research misconduct inquiries and investigations on behalf of the Secretary of Health and Human Services. For the purposes of research activities that are not sponsored by HHS, ORI shall refer to the relevant parent agency’s entity with whom responsibility over research misconduct and investigations is vested.
  • Plagiarism means the appropriation of another person’s ideas, processes, results, or words without acknowledgement of the original author, or assigning appropriate credit.
  • PHS means the U.S. Public Health Service, an operating component of the Department of Health & Human Services.
  • PHS regulation means the Public Health Service regulation establishing standards for institutional inquiries – and investigations into allegations of scientific misconduct, which is set forth at 42 C.F.R. Part 50, Subpart A, entitled “Responsibility of PHS Awardee and Applicant Institutions for Dealing with and Reporting Possible Misconduct in Science.”
  • PHS support means PHS grants, contracts, or cooperative agreements or applications therefor.
  • Research for the purposes of this policy and procedure only, is defined as, according to federal regulations, a systematic investigation, including research development, testing, and evaluation, designed to develop or contribute to generalizable knowledge. The terms scholarship and creative work may also be considered research.
  • RIO means the Research Integrity Officer, whose role is designated in this policy, namely, the Vice Provost for Academic and Faculty Affairs, who will act as the College’s RIO.
  • Research Misconduct means fabrication, falsification, plagiarism, or other practices that seriously deviate from those that are commonly accepted within the scientific community for proposing, performing, or reviewing research or in reporting research results. Research Misconduct does not include honest error or differences of opinion (§93.103, 42 CFR Part 93- June 2005). It also does not include authorship disputes. The College reserves the right to require adherence to other definitions of research misconduct as required by contractual obligations with external sponsors of research. To be considered research misconduct, the action must represent a “significant departure from acceptable practices;” have been “committed intentionally or knowingly or recklessly;” and be “proven by preponderance of evidence.” These are the minimum standards for establishing irresponsible behavior.
  • Research record means any data, document, computer file, or other written or non-written account or object that reasonably may be expected to provide evidence or information regarding the proposed, conducted, or reported research that constitutes the subject of an allegation of research misconduct. A research record includes, but is not limited to, grant or contract applications, whether funded or unfunded; grant or contract progress and other reports; laboratory notebooks; notes; correspondence; videos; photographs; X-ray film; slides; biological materials; computer files and printouts; manuscripts and publications; equipment use logs; laboratory procurement records; animal facility records; human and animal subject protocols; surveys and collected survey responses; consent forms; medical charts; and patient research files.
  • Respondent means the person against whom an allegation of Research Misconduct is directed or who is the subject of a Research Misconduct proceeding.
  • Retaliation means any action that adversely affects the employment or other institutional status of an individual that is taken by an institution or an employee because the individual has, in good faith, made an allegation of research misconduct or of inadequate institutional response thereto or has cooperated in good faith with an investigation of such allegation.
  • Sponsored Research is research activity that is supported by internal or external funding.
Policy

Policy Statement
Ramapo College is committed to protecting the privacy and confidentiality of personal information, including sensitive Personally Identifiable Information (PII), in compliance with applicable laws and regulations such as the Family Educational Rights and Privacy Act (FERPA), New Jersey statute 56:8-161 and Identity Theft Prevention Act, and the Federal Bureau of Investigation (FBI) classifications of PII.

Reason for Policy
Sets forth policy to ensure proper stewardship and safeguarding of personally identifiable information in accordance with the law.

To Whom does the Policy Apply
All Ramapo employees

Supplemental Resources

Procedure

PROCEDURE 410: DATA PROTECTION (PII)

I. Personal Information Definitions
a. High-Risk Personal Information
The following types of information are considered high-risk and must be protected with the highest level of security measures:

  • Social Security number (SSN)
  • Driver’s license number or State/Federal identification card number
  • Account number, credit or debit card number, in combination with any required security code, access code, or password that would permit access to an individual’s financial account
  • User name, email address, or any other account holder identifying information, in combination with any password or security question and answer that would permit access to an online account
  • Biometric data (e.g., fingerprints, iris scans)
  • Medical and health information, as outlined by HIPAA
  • Passport numbers
  • Criminal history records

Access to high-risk data is strictly limited to authorized positions on a need-to-know basis.

The college logs and annually reviews systems with access to high-risk data, implements encryption on servers that store sensitive information, and reviews user access controls within those systems and servers to protect this data from unauthorized access, disclosure, or misuse.

b. Moderate-Risk Personal Information
The following types of information are considered moderate-risk and are protected with security controls:

  • Date of birth
  • Place of birth
  • Mother’s maiden name
  • Home address
  • Email address (when not combined with access information)
  • Telephone number
  • Employment information
  • Educational information
  • R Number (employee/student ID)*

Access to moderate-risk data is limited to authorized positions. Additionally, certain combinations of moderate-risk PII may elevate the overall classification to high-risk. Classification determinations regarding these combinations are the responsibility of ITS leadership.

* An R Number is a unique identifier assigned to each student and employee within the institution, and while it is sensitive, it does not directly reveal personal information. On its own, it is considered moderate risk. The risk level of an R number can increase when combined with other sensitive information.

c. Low-Risk Personal Information
The following types of information are considered low-risk data, but should still be handled with care:

  • Religious beliefs
  • Political affiliations
  • Sexual orientation

While these types of information may be less sensitive, measures are taken to protect them from unauthorized access or disclosure.

II. PII Evaluation, Classification, and Authorization
Evaluation. Ramapo College regularly evaluates PII to determine its confidentiality impact level. Factors considered include:

  • Identifiability: How easily the PII can be used to identify specific individuals.
  • Quantity of PII: Number of individuals affected in case of a breach.
  • Data field sensitivity: Sensitivity of individual PII elements.
  • Context of use: How PII is collected, stored, used, processed, and disclosed.
  • Legal obligations: Compliance requirements for protecting PII.
  • Authorized Access: Positions with access to high- and moderate-risk PII
  • Location: Sources and locations from which PII is accessed and stored.

Classification. When multiple pieces of moderate-risk PII are combined in a way that could lead to identification or cause significant harm if breached, the overall classification may be elevated to high-risk. Classification determinations regarding these combinations are the responsibility of ITS leadership.

Authorization. Positions authorized to access high- and moderate-risk PII are determined by unit heads in collaboration with system functional administrators. ITS implements security measures to safeguard against unauthorized access or disclosure. By default, student positions are not permitted access to moderate or high-risk PII on any campus system. Any exceptions must be formally requested through ITS and approved by the Vice President with oversight of People Operations and Employee Resources.

III. Data Handling and Breach Notification
All college records are considered property of Ramapo College and must be handled in accordance with state law, institutional requirements, and Ramapo College Records Retention Policy. In the event of a security breach involving personally identifiable information, the College will follow the applicable notification procedures outlined in the New Jersey Identity Theft Prevention Act.

IV. Compliance
Units within the College that handle or process high- and moderate-risk PII are responsible for ensuring the security, privacy, and proper management of that PII. At minimum, employees should always password protect documents containing personally Identifiable Information (PII) before sending them via email.

Ramapo College complies with the Family Educational Rights and Privacy Act (FERPA), which protects the privacy of student education records. The College’s FERPA policy is overseen by the Office of the Registrar in accordance with regulations set forth by the U.S. Department of Education.

The Responsible Unit shall annually review this policy to ensure compliance with FERPA, New Jersey Identity Theft Prevention Act, and other applicable laws and regulations.

Any breach disclosure will be discussed in conjunction with both Legal Counsel and the College’s cyber insurer.

Violations of this policy may result in disciplinary action, up to and including termination of employment or expulsion from the College.

Exceptions to this policy may apply to students and employees in the European Union (EU) and in the European Economic Area (EEA) under the General Data Protection Regulation (GDPR).

 

Learn more about AI: Spring 2025 Employee Programs

RCNJ STATEMENT (updated March 20, 2025)

Preamble: This statement was created in January 2025 in response to feedback and advice provided by the College’s auditors and external cybersecurity consultants. Having this statement is an important control that the College needs to have in place immediately so as to advise employees of the importance of safeguarding the College’s proprietary data and pre-decisional information when using AI tools. This statement will be converted to formal policy using the College’s policy development and review process, and as such there will be opportunity for public comment and revision. A formal policy is expected to be published prior to the end of calendar year 2025.

Definitions: For the purposes of this statement, the term “employee” refers to all individuals who work for Ramapo College in exchange for financial or other compensation, and the term “employee” includes all part-time and full-time staff, faculty, adjuncts, managers, and student workers. As defined by IBM, “Artificial intelligence (AI) is technology that enables computers and machines to simulate human learning, comprehension, problem solving, decision making, creativity, and autonomy.”

Purpose

To provide clear guidelines for employees regarding the responsible and ethical use of Artificial Intelligence (AI) technologies, including but not limited to generative AI (also known as GenAI) programs such as ChatGPT, within our organization. As AI continues to evolve and integrate into various aspects of work, it is essential to ensure that its use aligns with the College’s organizational values, promotes productivity, and safeguards the integrity of operations. This statement articulates and complies with the security control requirements stated in the National Institute of Standards and Technology (NIST) Cybersecurity Framework (CSF) and its supporting NIST Special Publication (SP) 800-171, and applicable laws, regulations, and best security practices.

Scope

This statement applies to all employees, contractors, and third-party vendors who utilize AI tools and technologies in the course of their work with Ramapo College of New Jersey. Additionally, the statement encompasses all systems and information owned, managed, or processed by RCNJ and its authorized employees for non-instructional, business, or support purposes. It also extends to any external or non-RCNJ systems that interconnect with or exchange data with RCNJ-managed systems.

This statement does NOT apply to, preempt, or supersede any academic policies that apply to faculty or students regarding the educational or instructional use of AI. Exceptions to this statement may be granted under the following circumstances:

  • Activities governed by academic or research policies.
  • Instances where compliance conflicts with principles of academic freedom.
  • Emergency or temporary uses of AI systems.
  • All exceptions must be approved by ITS Leadership and documented accordingly.

References & Controls

This statement is intended to address the requirements of NIST CSF and the security controls contained therein. Specifically, this statement addresses compliance with the following NIST CSF categories and subcategories relevant to the responsible use and governance of artificial intelligence systems:

  • Identify (ID):
    • ID.AM-1: Maintain an inventory of all AI tools and systems used within the institution, documenting ownership, purpose, and associated data.
    • ID.RA-1: Conduct risk assessments to evaluate the potential impact of AI systems on privacy, fairness, and security.
    • ID.BE-4: Ensure alignment of AI system usage with institutional objectives and regulatory requirements.
  • Protect (PR):
    • PR.AT-1: Conduct security and ethical awareness training for personnel managing AI systems.
  • Respond (RS):
    • RS.RP-1: Develop and implement incident response plans specifically for AI systems, including handling ethical or student conduct violations.

Why These Controls Are Relevant

  • Identify (ID): Helps educate on AI use cases and their potential risks, ensuring a clear understanding of system dependencies and compliance.
  • Protect (PR): Ensures the safeguarding of sensitive data and establishes security baselines for AI tools.
  • Respond (RS): Outlines how to mitigate and communicate risks associated with AI use, whether ethical or operational.

Requirements

Note that this statement supports all applicable information protection policies, including but not limited to:

  • RCNJ Policy/Procedure 410: Data Protection (PII) (under development)

The following requirements must be followed when using AI on College systems or networks:

  • Verify that any response from a GenAI tool that you intend to rely on or use is accurate, appropriate, not biased, not a violation of any other individual or entity’s intellectual property or privacy, and consistent with RCNJ policies and applicable laws.
  • Do not use GenAI tools to make or help you make personnel decisions about applicants or employees, including recruitment, hiring, retention, promotions, transfers, performance monitoring, discipline, demotion, or terminations.
  • Do not upload or input any confidential, proprietary, or sensitive College or student information into any GenAI tool. Examples include passwords and other credentials, Protected Health Information (PHI), data outlined as moderate or high risk in the RCNJ Policy/Procedure 410: Data Protection (PII), personnel material, information from documents marked Confidential, Sensitive, or Proprietary, or any other nonpublic College information that might be of use to malicious entities or harmful to the College if disclosed. Failure to comply with this statement may breach your or the College’s obligations to keep certain information confidential and secure, risks widespread disclosure, and may cause the College’s rights to that information to be challenged.
  • Do not upload or input any personal information (names, addresses, likenesses, etc.) about any person into any GenAI tool.
  • Do not represent work generated by a GenAI tool as being your own original work.
  • Do not integrate any GenAI tool with internal College software without first receiving specific written permission from your supervisor and the ITS Department.
  • If you are unsure if a tool is GenAI, seek the counsel of ITS prior to using it.

Guidelines

Appropriate Use of AI: GenAI tools can be valuable for enhancing productivity, streamlining processes, and supporting decision-making; however, they are not a substitute for human judgment and creativity. The output from these tools is often prone to inaccuracies, outdated information, or false responses, making careful human verification essential. Employees must critically evaluate AI-generated suggestions or plans using their knowledge of the College’s values, policies, procedures, and strategies, while also collaborating with colleagues to gain different perspectives and reduce the risk of errors. AI tools should be used to supplement, not replace, traditional methods of problem-solving and decision-making, with appropriate validation such as cross-referencing information, performing tests when feasible, or consulting experts. Additionally, employees must treat any information shared with AI tools as if it could go viral on the Internet and be attributed to them or the College, regardless of tool settings or assurances from its creators. By using AI responsibly and maintaining human oversight, we can optimize its benefits while minimizing risks.

Data Privacy and Security: Employees must adhere to all data privacy and security protocols when using AI technologies. This includes ensuring that any data input into AI systems complies with our data protection policies and relevant legal regulations. Sensitive or confidential information, including student data, pre-decisional work, negotiations, or personal details, or any data classified as moderate- to high-risk as outlined in RCNJ Policy/Procedure 410: Data Protection (PII), must never be shared with AI tools,as these tools learn and generate content based on the input data. Users should ensure that any data input complies with College policies and legal regulations, preserving data security, intellectual property, and confidentiality. If unsure whether specific information is appropriate to use with the AI tool, employees should consult their supervisor, the ITS department, the College’s internal auditor, or the legal department. Violations of data protection policies and legal regulations may result in disciplinary action.

Risk Assessments for AI Usage: In the course of using AI tools, employees should always be aware of the inherent risks these technologies pose. These may include potential inaccuracies or misinterpretations in AI-generated content due to lack of context, legal ambiguities concerning content ownership, and possible breaches of data privacy. As such, a critical attitude towards AI outputs is required at all times. To ensure that risks associated with AI usage are effectively managed, it is the responsibility of management to incorporate AI-specific risk assessments into the College’s broader risk management procedures. This includes continually evaluating and updating protocols to identify, assess, and mitigate potential risks, with considerations for changes in AI technology, its application, and the external risk environment. This also necessitates periodic training and awareness sessions for employees to ensure they stay informed about these risks and the steps needed to mitigate them.

Use of Third-Party AI Platforms: Employees should exercise caution when using third-party AI platforms due to the potential for security vulnerabilities and data breaches. Before using any third-party AI tool, employees are required to verify the security of the platform. This can be done by checking for appropriate security certifications, reviewing the vendor’s data handling and privacy policies, and consulting with the College’s ITS cybersecurity team if necessary. Moreover, data shared with third-party platforms must comply with the guidelines outlined in the section on Data Privacy and Security. In situations where employees are unsure about the use of a third-party platform, they should seek guidance from their supervisors or the ITS security team. Employees should not integrate any AI tool with software provided by or maintained by the College without first receiving specific written permission from their supervisor and the ITS Department.

Use in Communications: AI tools, when used appropriately, can aid in facilitating efficient internal communication within Ramapo College. This includes drafting emails, automating responses, or creating internal announcements. However, while using AI for these purposes, it is crucial that employees adhere strictly to the College’s policies on ethics, harassment, discrimination, and professional conduct. AI-generated communication should be respectful, professional, and considerate, mirroring the high standards of interpersonal communication expected at Ramapo College. Any misuse of AI tools for communication, including any language or behavior that violates College policies, may lead to disciplinary action.

Transparency and Accountability: Employees should maintain transparency in their use of AI tools. When AI-generated outputs are utilized in decision-making processes, employees should not represent work generated by an AI tool as being their own original work. Rather, employees should include a footnote in their work indicating which AI tool was used and when it was used. Also, employees must be prepared to explain the rationale behind these decisions and the role AI played in them. Accountability for decisions made with the assistance of AI remains with the employee.

Training and Support: The organization will provide training and resources to help employees understand how to effectively and responsibly use AI tools. Employees are encouraged to seek assistance from their supervisors or the ITS department if they have questions or require support regarding AI technologies.

Ethical Considerations: Employees must consider the ethical implications of using AI in their work. This includes assessing AI outputs to detect and avoid bias, considering whether AI outputs would have a negative impact on institutional reputation or integrity, ensuring fairness in decision-making, and being mindful of the potential impact on employees, students, stakeholders (i.e., board members, alumni, etc.), and vendors with whom the College has contractual relationships. Any concerns regarding ethical use should be reported to management.

Compliance with Regulations: Employees must comply with all applicable laws and regulations governing the use of AI technologies. This includes intellectual property rights, data protection laws, and industry-specific regulations.

Non-Personal Use: AI tools provided by Ramapo College are for business use only and should not be used for personal use. This statement is in place to ensure the maintenance of a professional and productive environment, the preservation of institutional resources, and to prevent potential legal and security risks. Personal use of these tools could potentially involve sharing of inappropriate or sensitive content, misuse of time and resources, and potential breach of data privacy regulations.

Monitoring: Ramapo College reserves the right to monitor all employee interactions with AI tools for the purpose of ensuring compliance with this statement.

Violations: Violations of this statement may result in disciplinary action.

Exceptions: Any exceptions to this statement must be documented by RCNJ ITS with the reason for the exception, and mitigations to reduce risk associated with not fully implementing this statement . Exceptions may include, but are not limited to, legacy systems or applications that do not permit configuration to the extent required by this statement, and systems that are not under the direct control of RCNJ, for example.

Conclusion: The responsible use of AI can significantly enhance organizational capabilities and improve efficiency. By adhering to this statement, employees can contribute to a positive and innovative workplace culture while ensuring that our use of AI aligns with our core values and ethical standards. Any questions or clarifications regarding this statement may be directed to the Chief Information Officer.

Note: The typli AI Text Generator (see https://typli.ai/ai-text-generator) was used on 1/27/2025 to generate an initial draft of this statement.

Supplemental Resources

Policy

Policy Statement
Ramapo College of New Jersey is committed to conducting research that is without bias and that conforms to the highest scientific and ethical standards.

Reason for Policy
This policy establishes standards that ensure that design, conduct, and reporting of research performed at the College will be free from bias resulting from financial conflicts of interest.

These guidelines are specific to federal research funded by agencies of the United States federal government. This policy promotes and enforces compliance with requirements of 42 CFR 50, Subpart F, Promoting Objectivity in Research (FCOI Regulation), as implemented in the 2011 Final Rule for grants and cooperative agreements.

To Whom Does the Policy Apply
This policy applies to all faculty, staff, students, and any other members of the College who are responsible for the design, conduct, stewardship, and reporting of research.

Supplemental Resources

Contacts
Office of Grants and Sponsored Programs
(201) 684-7374

Procedure

Procedure 649: Financial Conflict of Interest – Sponsored Research
Date Adopted: June 7, 2022
Date Revised:

A. Definition of Terms
For purposes of this policy, the following terms shall have the following meanings:

  • “College” shall mean Ramapo College of New Jersey.
  • “Animal Use Committee” shall mean the body that oversees and ensures the appropriate review of the use of vertebrate animals in teaching, testing, and research.
  • “College General Counsel” shall mean the College’s General Counsel who serves as the chief legal officer as well as the Ethics Liaison Officer.
  • “FCOI” or “Financial conflict of interest” shall mean any instance when an investigator’s significant financial interest could directly and significantly affect the design, conduct, or reporting of the research.
  • “FCOI Committee” shall mean a committee convened by the Grants Director to evaluate financial conflict of interest. The members of the committee will include the Grants Director, the Investigator’s Dean, the Provost, a representative from the Institutional Review Board (if applicable), and a representative from the Animal Care and Use Committee (if applicable). The College General Counsel shall serve in an advisory capacity to the FCOI Committee.
  • “Institutional Responsibilities” shall mean an Investigator’s professional responsibilities on behalf of the College, which may include for example, activities such as research, research consultation, teaching, professional practice, and institutional committee and panel memberships.
  • “Institutional Review Board” (IRB) shall mean the College’s Institutional Review Board that assures the upholding of the highest ethical standards in research involving human subjects.
  • “Investigator” shall mean the Project Director or Principal Investigator and any other person, regardless of title or position, who is responsible for the design, conduct, or reporting of research including collaborators, consultants and sub awardees. For purposes of the regulatory requirements relating to financial interests, the term “Investigator” includes the Investigator’s family including spouse, dependent children and other individuals and relationships that may create, or may be perceived to create a conflict of interest.
  • “Management plan (FCOI)” shall mean a written plan instituted by the College to manage, reduce, or eliminate to the fullest extent possible any financial conflict of interest.
  • “NIH” shall mean the National Institutes of Health.
  • “NSF” shall mean the National Science Foundation.
  • “OGSP” shall mean the College’s Office of Grants and Sponsored Programs.
  • “PHS” shall mean Public Health Service.
  • “HHS” shall mean the United States Department of Health and Human Services, which oversees 11 operating divisions that offer competitive grants, including: the National Institutes of Health; the Health Resources and Services Administration; the Substance Abuse and Mental Health Services Administration, and eight (8) others.
  • “SFI” or “significant financial interest” shall mean anything of monetary value that reasonably appears to be related to an Investigator’s institutional responsibilities. Additional guidance can be found in the NIH FCOI regulation and FAQs.

SFI may include:

    • Salary or other payments for services (e.g., consulting fees, honoraria)
    • Equity interests (e.g. stock, stock options, ownership interests)
    • Intellectual property rights (e.g., patents, copyrights and royalties from such rights)
    • Certain travel related to the sponsored research

SFI does not include:

    • Salary, royalties, or other remuneration from the applicant institution
    • Income from investment vehicles in which the Investigator does not directly control the investment decisions made in these vehicles
    • Income from seminars, lectures, or teaching engagements
    • Income from service on advisory committees or review panels
  • “Sponsored research” shall mean activities funded by an external agency such as one of the divisions of the HHS, or the National Science Foundation.

B. Training
OGSP has established the following process to train investigators on financial conflict of interest.

The OGSP will hold a financial conflict of interest information session with each Investigator before grant approvals are sought from the Dean and Provost. The OGSP will hold the session within two weeks of a grant proposal being submitted for Dean’s approval. Any Investigator recently hired to work on sponsored research will also be required to attend the FCOI information session. For Investigators whose research is funded, the information session will be held every four years.

Investigators will undergo training again when a change has been made to FCOI policy or procedures, or when the Investigator has been found to be noncompliant with an FCOI management plan or College FCOI policy.

The information session will train Investigators on the federal FCOI regulation, inform the Investigator of Ramapo College’s FCOI policy, the Investigator’s responsibility to disclose significant financial interests, and actions that may be taken when noncompliance is found.

The OGSP will indicate that an Investigator has completed the financial conflict of interest information session by checking the box on the grant approval form, which is completed before a proposal is submitted. The checked box indicates that the Investigator(s) and any applicable subawardees and contractors have completed a significant financial interest disclosure form.

C. Disclosure, Review, and Monitoring
During the grant period, existing Investigators or Investigators who are new participants to the research project must complete the significant financial interest disclosure form annually. The SFI disclosure form must also be completed within 30 days of any change in an SFI (e.g., through purchase, marriage, or inheritance), or within 30 days of discovery of an incidence of SFI.

The form will be reviewed by the Investigator’s Dean, the Institutional Review Board (as appropriate), the Institutional Animal Care and Use Committee (as appropriate), and the Director of the Office of Grants and Sponsored Programs (“OGSP Director”), in consultation with the College General Counsel.

If no significant financial interest is disclosed, no further action is required.

If a significant financial interest that is related to PHS-funded research is found to violate this policy, or that biases the design, conduct, or reporting of the sponsored research, the OGSP Director will take the following actions:

  • Immediately inform the Investigator’s Dean, the Provost, and the College General Counsel, and begin gathering further information and supporting documentation from the Investigator and others as applicable. All such documentation and subsequent discussions will be confidential to the extent permitted by applicable law.
  • The OGSP Director, Dean, and Provost, in consultation with the College General Counsel, will review the documentation and within 60 days determine if corrective action is necessary.
  • The OGSP will notify the funding agency within 60 days if corrective action is necessary.
  • Corrective action may include a FCOI management plan that specifies the actions to be taken to manage a financial conflict of interest. Compliance with any corrective actions/management plan will be under the direction of the Investigator’s Dean and the Provost.
  • The Director of Grants will promptly notify the funding agency and submit a mitigation report that includes the impact of the bias on the research project and the plan to eliminate or mitigate the bias.

In the event the College identifies an SFI that was not disclosed or managed in a timely manner, the Director of Grants will complete a retrospective review (see section F.iii.).

D. Reporting to NIH
The OGSP Director will submit significant financial interest disclosure forms to the NIH:

  • Prior to the expenditure of funds.
  • Annually during the grant period.
  • Within 60 days of the addition of a new Investigator.
  • In the case of the discovery of a new financial conflict of interest, within 60 days of the creation of a FCOI management plan; when corrective action is implemented; and annually until the matter is resolved, or the grant period ends.
  • Following a retrospective review to update a previously submitted report.

The College will notify the funding agency and take corrective action if an Investigator fails to comply with this policy or a FCOI management plan appears to have biased the design, conduct, or reporting of the research.

E. Maintenance of Records
All records of FCOI disclosure and the College’s review, response, and action related to the disclosure will be maintained in the OGSP. These records will be maintained for three (3) years from the date of submission of the final expenditures report, or where applicable, from other dates specified in 45 C.F.R. 75.361 (see FAQ A.11) for different situations.

F. Enforcement Mechanisms, Remedies, and Noncompliance

i. Corrective Actions
If a financial conflict of interest is found, actions will be taken to manage, reduce, or eliminate the conflict. These corrective actions will be determined by the FCOI Committee. Corrective actions may include:

  • Public disclosure of the significant financial interest (e.g. when presenting or publishing research, to staff working on the project, to the College’s IRB or Animal Use Committee. etc.)
  • Removal of an investigator from the portion of the research affected by the SFI
  • Disclosure of the significant financial interest to research participants
  • Appointment of an independent monitor capable of protecting the research from bias resulting from the FCOI
  • Modification of the research plan
  • Change of personnel or personnel responsibilities
  • Reduction or elimination of the financial interest
  • Severance of relationships that create financial conflicts
  • Other actions as appropriate

If HHS determines that a clinical research project evaluating the safety or effectiveness of a drug, medical device, or treatment is managed by an Investigator in violation of this policy or related regulations, the Investigator will be required to 1) disclose the financial conflict of interest in each public presentation of the results of the research, and 2) request an addendum to previously published presentations.

The OGSP Director will notify the Investigator of the committee’s decision and of any corrective action, including a FCOI Management Plan.

ii. Appeal Process
If the Investigator does not agree with the committee’s corrective actions, the Investigator can appeal in writing to the OGSP Director within ten (10) days after receipt of notification. The appeal must describe why such conditions and restrictions are inappropriate. The OGSP Director will consult with the President to determine whether a modification is necessary, and their decision will be final.

iii. Retrospective Reviews
If FCOI is not identified or managed in a timely manner, the Director of Grants will convene the FCOI Committee and complete a retrospective review. Retrospective reviews will be completed within 120 days of the determination of non-compliance. The documentation for the retrospective review shall include:

  • The funding agency project number and project title,
  • Project PD/PI contact information,
  • Name of the Investigator with the FCOI,
  • Name of the entity with which the Investigator has an FCOI,
  • Reason(s) for the retrospective review,
  • Methodology used for the retrospective review,
  • Findings of the review, and
  • Conclusions of the review.

If bias is found, the Director of Grants will notify the funding agency and promptly submit a mitigation report. This report will include information from the retrospective review and FCOI management plan. The report will be submitted annually.

iv. FCOI Management Plan
The FCOI Committee may conduct factual inquiries, consultations, and recommendations as appropriate in order to formulate a financial conflict of interest management plan. The terms of the plan shall be consistent with all applicable legal and regulatory requirements, and the requirements of this policy.

The Management Plan will include at a minimum:

  • The role and principal duties of the conflicted Investigator in the research project;
  • Conditions of the Management Plan, which may include one or more of the actions described under section F.i. Corrective Actions above;
  • How the Management Plan is designed to safeguard objectivity in the research project;
  • Confirmation of the Investigator’s agreement to the Management Plan, and
  • How the Management Plan will be monitored to insure Investigator compliance.

G. Subrecipients
Before a research proposal is submitted, or a subaward agreement is issued, the College shall secure written assurance that the proposed subrecipient agrees to comply with all applicable PHS, NIH, and/or NSF policies on financial conflict of interest. If the proposed subrecipient has a publicly posted FCOI policy in compliance with PHS, NIH, and/or NSF policy, the subrecipient will provide a certification to the College that such FCOI policy complies with all applicable regulations. To the extent that the subrecipient does not have a compliant FCOI policy, the subrecipient will be required to comply with the College’s FCOI policy.

Subrecipients will be required to report FCOI to the College’s Director of Grants, prior to the expenditure of any funds, and within 45 days of discovering any FCOI. FCOI reported by a subrecipient Investigator will be reported to the PHS and/or NSF by the College on the subrecipient’s behalf.

H. Public Accessibility
Information concerning any FCOI related to an externally-funded research project that has been disclosed to the OGSP will be made publicly accessible. The OGSP web site will list the contact information where the public may request this information, and will respond to any request within five (5) business days. The response will include:

  • The Investigator’s name, title, and role in the research project,
  • The name of the entity giving rise to the SFI and FCOI,
  • The nature of the FCOI, and
  • The approximate dollar value of the FCOI.

Policy

Policy Statement

This policy advances standards for the awarding and administration of graduate assistantships at Ramapo College of New Jersey (“Ramapo College” or “College”). It is intended that this policy adhere to other relevant policies of the College, some of which are referenced below.

Reason for Policy

To promulgate standards for the awarding and administration of graduate assistantships at Ramapo College of New Jersey.

To Whom Does the Policy Apply

All Hiring Managers

Related Resources

Procedure 481: Graduate Assistants

Appendix 481A: Graduate Assistant Template Contract

Contacts

People Operations and Employee Resources Department

(201) 684-7500

Procedure

Adopted: June 30, 2021

Revised: January 4, 2023

 I. Purpose

The purpose of this procedure is to promulgate standards for the awarding and administration of graduate assistantships at Ramapo College of New Jersey (“Ramapo College” or “College”).

Graduate assistantships are positions where Ramapo Graduate students work a set number of hours in exchange for tuition reimbursement. These positions are intended to compliment the students’ academic growth.

Positions not fitting these requirements are not considered for Graduate Assistantships.  Please contact the Cahill Center for hourly student aides (for Ramapo students) or Human Resources for part-time positions (non-Ramapo Students).

II. Categories of Employment Status

A. Graduate Assistant (Academic)

A graduate student whose primary focus is assisting in an Academic program and performing such functions as research and/or teaching. An academic graduate assistant works a maximum of 20 hours per week, is paid a stipend consistent with College guidelines, and is eligible for tuition remission.

B. Graduate Assistant (Administrative)

A graduate student whose primary focus is assisting with administrative support functions within the needs of a department, including student facing units. An administrative graduate assistant works a maximum of 20 hours per week, is paid a stipend consistent with College guidelines, and is eligible for tuition remission.

C. Graduate Assistant (Residence Life)

A graduate student who assists with the administrative support functions for the Office of Residence Life. The Graduate Residence Assistant works maximum of 20 hours per week plus On-Call Administrator rotation, is paid a stipend consistent with College guidelines, and is eligible for tuition remission.  As part of the On-Call Administrator rotation, Graduate Assistant receives campus housing and food allowance. These positions are usually awarded to students who have had previous residence life employment experience.

III. Requirements for Graduate Assistantships

The following Academic requirements apply to all graduate assistantships at the College:

  • Graduate Assistant must be matriculated and enrolled in a graduate program at Ramapo College, and make satisfactory academic progress towards degree completion.
  • If after advertising the position, no Ramapo College student is identified for the graduate assistantship, a student from another university/college may be selected.
  • Enrollment in a minimum of six (6) credit hours per semester or two (2) courses per semester, whichever is greater, during the academic year (fall and spring semesters).
  • Graduate Assistant shall maintain a minimum grade point average of 3.0 or higher and be in good academic standing as defined by the College or other college/university in which the Graduate Assistant is enrolled.

No person will be permitted to apply and keep a Graduate Assistantship at the College if these criteria are not met.

IV. Compensation:

  • Academic and Administrative Graduate Assistants
    • Tuition: Tuition remission of up to $4,000 per semester or up to $8,000 per academic year (spring and fall semesters), towards their Ramapo College graduate student tuition or graduate student tuition at another university/college; and
    • Stipend: $10,000.00 for an academic year (10 months – September 1st to June 30th).
  • Residence Life Graduate Assistants
    • Tuition: Tuition remission of up to $4,000 per semester or up to $8,000.00 per academic year (spring and fall semesters), towards their Ramapo College graduate student tuition or graduate student tuition at another university/college; and,
    • Stipend: $8,000 for an academic year (10 months – September 1st to June 30th); and
    • Room & Board: Paid housing and food allowance as part of the GAs On-Call Administrator duties.
  • Taxable Income on Tuition Remission
    • Administrative and Residence Life Graduate Assistant tuition remission is taxable under the Internal Revenue Service (IRS) Code §127. $5,250 per calendar year in tuition remission associated with Graduate Assistants are excluded from taxable income. If the annual (January to December) amount of remission exceeds $5,250, the excess is deemed taxable income under IRS Code and is taxed accordingly.
    • Academic Graduate Assistant tuition remission is exempt under IRS Code §117.

V. Proof of Academic Progress

  • Graduate Assistants must achieve active and satisfactory academic progress towards the completion of a graduate degree in an approved graduate (Master’s) program.
  • Proof of class enrollment and good academic standing must be provided each semester to the Graduate Assistant’s Supervisors must then forward such proof to Human Resources for final review and recordkeeping.
  • Students who do not maintain the minimum grade point average and/or provide proof of academic progress may be terminated from their Graduate Assistant position.

VI. Payment Terms

  • Tuition remission is eligible only for graduate level courses as part of the Ramapo College student graduate program requirements.
  • Tuition for non-Ramapo College students will be paid at the beginning of each semester once a bill has been provided to the College with proper supporting documentation. An Accounts Payable (A/P) voucher must be prepared by the Graduate Assistant’s supervisor along with a copy of the tuition invoice and be provided to Accounts Payable for direct payment to the institution. If payment was made by the Graduate Assistant directly to the institution a copy of the paid tuition invoice must be provided along with the A/P voucher for reimbursement to the Graduate Assistant.
  • Stipends are paid in bi-weekly installments for the term of the contract. Applicable federal and state taxes will be withheld.
  • The stipend terminates effective the date of resignation. In addition, any housing privileges will be revoked as of the date of resignation.
  • While tuition benefits are paid on behalf of the Graduate Assistant up front, if the Graduate Assistant’s contract is not completed as noted, the Graduate Assistant will owe a pro-rated portion of the tuition benefit to the College.
  • If a Graduate Assistant withdraws from a course and this generates a refund, such refund must be paid back to the College.
  • Tuition remission is to be posted to the student account as a financial aid award and will reduce the balance due on the account. The Graduate Assistant’s supervisor must provide information to both the Financial Aid Office and Office of Student including the student name, ID number, amount of the award, semester of the award, and the FOAP requested to be charged. Supervisors must submit this information upon receiving the signed contract to ensure timely posting to the student account. Any overpayment on the account resulting from the tuition remission award will reduce the award accordingly.
  • Once the financial aid award is disbursed to the student account, if the total amount awarded for the calendar year (January to December) exceeds $5,250, the Payroll Office is notified and the amount above $5,250 will be included in your taxable income. The tax withholding will begin on the next pay period.

VII. Available Benefits/Limitation on Benefits

  • Graduate Assistants are not eligible to travel and/or receive travel reimbursements, except when the Graduate Assistant’s job description requires the Graduate Assistant to accompany undergraduate students as part of a College program.
  • Graduate Assistants are entitled to Workers’ Compensation benefits in the event of a workplace injury.
  • All students follow the medical insurance requirements as set forth by the College.
  • Graduate Assistants are not eligible for pension benefits.
  • There is no accrual of leave time or pay for time not worked.
  • There are no entitlements to benefits or pay for hours not worked with exception of paid sick entitlements.

VIII. Employment Requirements:

  • All graduate assistant appointments terminate at the end of the appointment period (September 1st – June 30th) and there is no commitment to reappoint the same student at a later time.
  • Units requiring additional weeks of service beyond the 10 month graduate assistant contract, must contact Human Resources. Students will be paid hourly, up to 20 hours per week for any work outside of the 10 month contract.  No student will be allowed to work during the 2 additional months at hourly pay without a separate contract.
  • Since the Graduate Assistant is in a part-time, temporary position, the Graduate Assistant is an at-will employee who can be terminated by the College at any time without notice or severance pay.
  • Ongoing employment is contingent upon satisfactory performance as well as availability of funding and other policy considerations.
  • Graduate Assistants may need to be absent for personal reasons or illness; while every effort will be made to accommodate occasional absences, such absences must not interfere with or cause neglect of duties, and must not exceed reasonable limits.
  • Graduate Assistants who are not able to fulfill the requirements of their assistantship due to illness or other reason will be terminated, and a pro-rated portion of the stipend will be paid up to the date of termination. A pro-rated bill for the tuition benefit will be issued by the College and the Graduate Assistant shall pay such amount to the College.
  • Graduate Assistants who must resign during or prior to their period of appointment must provide written notice to the College. Every effort shall be made for the Graduate Assistant to provide adequate notice for a replacement to be hired.  If the resignation takes place at the end of a semester, the tuition benefit for that semester remains in place; if the resignation takes effect during a semester, a pro-rated bill will be issued to the Graduate Assistant who shall pay the amount owed to the College.  The stipend terminates effective the date of resignation.  In addition, any housing privileges will be revoked as of the date of resignation.

IX. Contracts

  • Graduate Assistants must be provided with contracts detailing the terms and conditions of the graduate assistantship.
  • A template contract is attached hereto as Appendix A. Any changes to the template contract must be approved by the College’s Office of General Counsel.

X. Compliance with Applicable College Policies

  • All Graduate Assistants are governed by College Policies as applicable, including but not limited to policies outlined within the Student Code of Conduct and Student Handbook or/and the Employee Handbook.

XI. Hiring Process

  • Human Resources and Vice President/Provost approval of all Graduate Assistant positions is required.
  • Open positions shall have a job description and be advertised in Hiretouch.
  • Positions should be communicated to the Associate Director of Graduate Admissions.
  • Signed Graduate Assistantship contracts must be received by the College prior to work commencement.

XII.  General Procedures for Processing Graduate Assistantships

  • All open graduate assistantship positions for the upcoming academic year shall be posted on the College’s website (Hiretouch).
  • Students shall submit a Graduate Assistantship Application for the academic year or semester in response to a posted position. Applicants must apply through the College’s online job portal.
  • Graduate assistantships are normally awarded for a full academic year, but may be awarded for a semester. Individual units or departments are responsible for the selection of a Graduate Assistant.
  • An offer of a graduate assistantship should be made to the candidate along with a contract and job description for the position.
  • Required documentation for Graduate Assistants includes: Social Security Card; student ID or photo driver’s license; completed W-4 and I-9 forms; written evidence of health insurance coverage; and, other documents/forms as may be required by Human Resources.
  • Reappointments must follow the policy of initial hiring (application, approval and contract signing). The student shall also satisfy all of the criteria for a Graduate Assistant.

Policy

Policy

The College will facilitate the resolution of complaints arising from employment with the College.

Reason for Policy

To provide due process for administrative, professional, supervisory and confidential staff not included in a Collective Bargaining Unit.

To Whom Does the Policy Apply

Administrative, professional, supervisory and confidential staff not included in a Collective Bargaining Unit

Related Documents

  • Procedure

Contacts

Office of Human Resources
(201) 684-7506

Procedure

Employee Complaint Filing Procedures  

The College facilitates the resolution of complaints arising from employment at the College.  Employees (see eligibility below) can use the following procedure to file a complaint about an alleged violation of College policies, the misconduct of a person or persons affiliated with the College (student, employee, contractor of the College, or visitor), administrative regulations or statutes with respect to conditions of employment, or for appealing disciplinary actions.

This policy and procedure shall constitute the full and exclusive right and remedy for any and all such claims by eligible employees at the College.  This procedure may not be used to grieve the reduction or expiration of grants, or the expiration of individually negotiated contracts.

Eligibility

This procedure applies to full-time, permanent managerial or confidential employees and persons appointed under grants and/or contracts if those grants and/or contracts make no alternative provision concerning employment “due process”.  The procedure applies to employees covered by a collective bargaining agreement (American Federation of Teachers (AFT), Communications Workers of America (CWA), International Federation of Professional, Technical Engineers (IFPTE), probationary or temporary employees, in so far as the contract does not take precedence over violations of laws, codes, and policies promulgated at the Federal and State levels.  Student employees are covered by the policy “Student Complaints of a Non-Academic Nature”.

Resolution Processes

Before filing complaints, affected employees should carefully evaluate the nature of their concerns which may fall under separate College policies and procedures and may be adjudicated by different offices.

These concerns may include alleged violations of the:

  1. Laws of the State of New Jersey (i.e. criminal, traffic, domestic violence laws). Employees should file these concerns with the Public Safety Department, which may refer them to the Mahwah Police Department.
  1. State of New Jersey Uniform Ethics Code. Employees should file these concerns in the Office of Employee Relations or the Office of the General Counsel.
  1. State of New Jersey Policy Prohibiting Discrimination in the Workplace. Employees should file these concerns with the Office of Affirmative Action and Workplace Compliance.
  1. Violence in the Workplace. Employees should file these concerns with the People Operations and Employee Resources Department or with the Public Safety Department.
  1. College Policies and Procedures. Employees should file these concerns with the People Operations and Employee Resources Department, the Office of Employee Relations, or the Office of the Ombudsperson.
  1. Misconduct of a person or persons affiliated with the College (student, employee, contractor of the College, or visitor). Employees are encouraged, whenever appropriate and feasible, to resolve those concerns directly with the individuals involved.  If that is not possible, employees should file their complaint with the People Operations and Employee Resources Department (if the complaint involves misconduct of non-AFT professional staff or faculty), with the Office of Employee Relations (if the complaint involves misconduct by AFT professional staff or faculty), Office of the Ombudsperson, or the Public Safety Department (which may forward the complaint to the appropriate department).
  1. Administrative regulations or statutes with respect to conditions of employment. Managerial or confidential employees and persons appointed under grants should file their concerns with the People Operations and Employee Resources Department.  Employees covered by a collective bargaining agreement should file their concerns with their respective union representative.
  1. Concerns about the way offices conduct business that cannot be resolved directly with the individuals involved. Employees should file these complaints with the managers of the relevant units. If employees have cause for not directing their complaints to those managers, they may file their complaints with the People Operations and Employee Resources Department or the Office of the Ombudsperson.
  1. Misuse of College funds or other resources/Whistleblower Policy). Employees should file their concerns with the Office of the Internal Auditor.
  1. Outcomes of disability-related accommodation. Employees should file their concerns with the Office of the Title IX/ADA Coordinator.
  1. Outcomes of Disciplinary actions. Managerial or confidential employees and persons appointed under grants should file their concerns with the Office of Human Resources.  Employees covered by a bargaining agreement should file their concerns with their respective union representative.

Once employees contact these offices, they may be guided to follow separate procedures for filing complaints of an alleged violation cited above.

Tabular View of Alleged Concerns, Complaints, Violations and Responsible Offices

       Alleged Concerns/          Complaints/Violations

                File Complaint with. . .
Laws of the State of New Jersey Public Safety Department
Ethical Misconduct of Employees State of New Jersey Uniform Ethics Code Office of Employee Relations or the Office of the General Counsel
Workplace Violence People Operations and Employee Resources Department or Public Safety Department

 
New Jersey State Policy Prohibiting Discrimination in the Workplace Office of the Director of Affirmative Action and Workplace Compliance
College Policies and Procedures People Operations and Employee Resources Department, the Office of Employee Relations, Office of the Ombudsperson
Misconduct of persons affiliated with the College (student, employee, contractor  of the College, or visitor) Whenever appropriate and feasible, resolve concerns directly with the individual(s) involved.  If not appropriate and feasible, file complaint with the relevant manager, or People Operations and Employee Resources Department (non- AFT faculty/ professional staff), Office of Employee Relations (AFT faculty/professional staff), Office of the Ombudsperson, or  Public Safety Department
Administrative regulations or statutes with respect to conditions of employment People Operations and Employee Resources Department, Union Representative
Concerns about the way offices conduct business Whenever appropriate and feasible, resolve concerns directly with the individual(s) involved.  If not appropriate and feasible, file complaint with the relevant manager, People Operations and Employee Resources Department, or Office of the Ombudsperson
Misuse of College funds or other College resources/Whistleblower Policy) Office of the Internal Auditor
Outcomes of disability-related accommodation requests Office of the Title IX/ADA Coordinator
Outcomes of Disciplinary actions People Operations and Employee Resources Department, Office of Employee Relations, Union Representative

Policy

Policy Statement

The College manages its records and ensures they are retained for the period(s) of time necessary to satisfy the College’s business and legal obligations and are disposed of in accordance with an established records retention and disposition schedule.

Reason for Policy

The purpose of this policy is to establish a process for the consistent and systematic review, retention and disposition of records received or created in the transaction of College business.

To Whom Does the Policy Apply

All College units, administrators, faculty and staff

Related Documents

State of New Jersey Records Manual
State of New Jersey Records Retention Schedule Guide
Records Retention Regulations, N.J.S.A 47:3-15 et seq., administrative rules under N.J.A.C.   Title 15:3 et seq.

Contacts

Office of the Internal Auditor
201-684-7622

Procedure

Records Retention Procedure

A. Purpose

Proper retention of records is essential to conduct the business of the College; to protect the legal interests of the College, students, and employees; to preserve the College’s history; to comply with applicable state and federal laws and regulations, and to preserve records when litigation is threatened or pending.  For the efficiency and management of physical and digital storage resources, it is also important that unneeded records be disposed of in a timely manner.

The records retention and disposition schedules applicable to different categories of College records are promulgated by the State of New Jersey Bureau of Records Management.  The Records Retention State Schedule Guide lists the minimum legal and fiscal time periods records must be retained.  Records retention periods conform to state and federal codes, regulations, and statutes of limitation.

This policy and procedure provides the parameters for records management to ensure that the College complies with federal, state, and other regulatory guidelines. All College offices are responsible for administering, implementing and enforcing this policy with respect to the records generated and maintained by their respective offices.  Employees are required to be familiar with and to adhere to this policy, as it pertains to the types of records/documents in the Records Retention Schedule applicable to their units.

B. Records Defined

College records, for the purposes of this policy, are defined as any record created, produced, executed or received by any College unit, office or employee in the course of College activity. College records may include papers, correspondence, books, plans, microfilm, maps, photographs, sound and moving image recordings, and other documentary materials.

College records may also be created or stored through non-tangible electronic means; such records may encompass both analog and digital information formats. Electronic records may include but not be limited to emails, text messages, word processing documents, digital photographs, video recordings, formatted data, databases, and records existing in a College computing cloud.

Regardless of format or creation, all College records are considered property of Ramapo College. The retention schedule for College records is linked to this policy for guidance. No document list or schedule can be exhaustive and any determination regarding the identification, storage, retention, or disposal of any record not identified on the schedule must be made in consultation with the Internal Auditor.

C. Applicability

This policy and procedure applies to documents and information saved in the cloud, on a server, or in a filing cabinet. The State of New Jersey Bureau of Records Management supports image processing (IP) which involves the recording of images of documents on electronic storage media and/or photographic film.  Further, most categories of paper records can be destroyed after they have been converted to image formats (N.J.A.C. 15:3-1 et seq., 3-2 et seq., 3-3 et seq., 3-4 et seq. and 3-5 et seq.) in accordance with the State’s image processing requirements.

D. Administration

The Internal Auditor administers this policy and the implementation of processes and procedures to ensure that the Record Retention Schedule is followed.  The Internal Auditor monitors compliance with this Policy; monitors local, state and federal laws affecting record retention; develops a training and awareness program on record retention for College personnel, and periodically reviews the record retention and disposal program, as may be required.

E. Litigation Hold–Suspension of Record Disposal In the Event of Litigation

  1. In the case of pending or potential litigation, the College is under a legal obligation to preserve all records related to the litigation. The College’s General Counsel or the Attorney General’s Office will impose a “litigation hold,” which will be communicated to all employees whom the College has reason to believe may be in possession of documents that are either relevant or may lead to the discovery of admissible evidence pertaining to the case. An employee who receives a litigation hold correspondence is required to preserve all related evidence within his/her control.
  1. The imposition of a “litigation hold” means that all retention periods are suspended for applicable documents and no such documents shall be destroyed or altered until notification that the litigation matter has been concluded.

F. Managing Records Retention and Disposition

The following general rules pertain to records retention.  College faculty and staff shall:

  1. Retain records according to established Records Retention Schedules.
  2. Review the Records Retention Schedules, communicate records disposition to the applicable Division Vice President, and consult with the Internal Auditor before disposing of records generated in the course of College business.
  3. Consult the Internal Auditor if a particular type of document does not appear to be covered by the Records Retention Schedules.
  4. Preserve records of historical significance and transmit to the College Archivist. The College Archivist archives and documents the history of the College by identifying, housing, preserving, and making accessible selected records and materials that possess enduring historical, research, legal, and administrative value. These records are maintained in the College Library.  If the record(s) has no historic, research, legal, and/or administrative value, then follow the steps below in Section H. Destruction of Records.

G.Ownership of Records

Records are the property of the College.  Employees have no personal or property right to any records of the College.  The unlawful destruction, removal from files, and personal use of official College records is strictly prohibited.

H. Destruction of Records

Records can be legally destroyed at the end of their active lives if there are no audit, legal, fiscal, regulatory or historical reason for their preservation.  No records are to be destroyed without prior written approval from the Internal Auditor and the State of New Jersey.  All record destruction requests must be submitted to the Director of Internal Audit prior to State submission.

  1. Approval to destroy College records is done through the Artemis System.  Artemis is an online records retention and disposition management system utilized for all state, county, municipal, and educational agencies. Artemis contains all record retention schedules, including search features, and corresponding details where applicable. Since the system is electronic, there is no need to maintain physical copies of requests.
  1. Before accessing the Artemis System, please contact the Internal Auditor at 201-684-7622 or pchavez@ramapo.edu who will provide training and give you an account login.
  1. Users must identify the types of records they want to destroy and find the corresponding Retention Schedules in the Artemis System. These schedules will contain the following:

a.Title

b. Description

c. Retention Period

d. Record Series

  1. Once the proper Retention Schedule is identified, the information provided shall be used to enter the Record Disposition Request. Multiple requests may be placed at the same time if they have the same Retention Schedule. While making the request:

a. Select the Retention Schedule.

b. Select the option to sign Disposition Requests Electronically.

c. Enter the Record Series (the Record Series Title will auto-populate in the next column).

d. Verify the records meet the minimum time requirements, and enter the ‘From’ and ‘To’ dates accordingly.

e. Select the Medium Type (i.e. paper).

f. Enter the volume of documents to be destroyed.

g. Select the eSign / Reroute Option. This will prompt a pop-up requesting your Pin Number. Once entered, an additional screen will become available and the Internal Auditor will need to be selected from the drop-down menu. The request can now be finalized by the requesting unit.

After the requesting unit finalizes the request, it will be forwarded to the Internal Auditor for completion and submitted to New Jersey’s Records Management Services for final approval.

Approved Disposition Requests can be found by selecting the link on the Artemis home page. Once the request has been authorized, the requesting unit can destroy the files.

After the files have been destroyed, the requesting unit must update the disposition status by selecting the approved request, and identifying which method was used to destroy the records during the process (i.e. shredding).

I. Methods of Records Destruction

The following methods for records destruction include but are not limited to:

  1. Shredding–documents that contain personnel or confidential information, personal information, student information protected under FERPA, health related information, or financial information.
  2. Deletion–generally appropriate for all non-confidential electronic documents.
  3. Physical Destruction–electronic records which have confidential information should be done in consultation with the CIO.
  4. Recycling–generally appropriate for all non-confidential paper documents.

J. Retention of Permanent Records

Permanent records storage should be done in consultation with the Chief Information Officer (CIO).  The CIO or his/her designee coordinates the off-campus storage of records, maintains manifests itemizing content and destruction date, coordinates the transfer of records to an off-campus storage location, and coordinates the eventual destruction of records with the unit.

Policy

*Non-substantive Amendments

Policy

The cash handling policy and procedures provide principles and guidelines for the handling of all cash activities at the College including cash funds maintained and cash accepted and deposited.

Reason for Policy

To establish and document the process for the flow of cash and cash receipts, and provide guidelines for the proper management of monies.

To Whom Does The Policy Apply

This policy applies to all College employees responsible for managing, receiving, handling, and safeguarding cash and cash equivalents.

Related Documents

Procedure 479: Cash Handling

Contacts

Office of the Controller

(201) 684-7117

Procedure

Cash Handling Policy Procedure

All College employees have a fiduciary responsibility to handle cash properly.  The establishment of strong internal controls for cash collections is necessary to prevent mishandling of funds and to safeguard against loss.  Strong internal controls are also designed to protect employees from inappropriate charges of mishandling funds by defining their responsibilities in the cash handling process.

These policies and procedures establish general guidelines and provide direction for College units in the collection, custody, and reporting of monies.

Definitions

The term “monies (also referred to as cash or cash receipts)” refers to money in any form including currency (coins and bills), check, wire transfer, credit card charge, ACH (direct deposit), other electronic transfers, etc. 

Checks:  There are several different categories of checks which should all be handled as checks.

  • Cashier’s Check: A check purchased at a bank for any amount; the bank completes all information on the face of the check with a bank officer signing as the maker.
  • Certified Check: A personal check that is written by the account holder and then stamped and signed by a bank officer on the front of the check.
  • Money Order: An item purchased at a bank, post office, or other business establishment for any amount up to $1,000.00. The bank completes only the amount information.
  • Traveler’s Check: A special check supplied by banks or other companies for the use of travelers; these checks already bear the purchaser’s signature and must be countersigned and dated in the cashier’s presence.
  • Personal Check: A written order payable on demand, drawn on a bank by a depositor; a personal check is written against an individual’s checking account as opposed to a cashier’s check, certified check, money order, or traveler’s check, all of which are written against bank funds.
  • Starter Check: A non-personalized encoded check that a person receives from a bank when they establish a checking account. These are for the person’s use prior to receiving encoded checks from the bank. However, they should only be accepted if the bank has encoded the routing number and account number on the bottom of the check. 

Advices:  notification regarding wire transfers, ACH transfers, and bank corrections. 

Automated Clearing House (ACH): an ACH transfer is an electronic item that is processed through the Automatic Clearing House established as a clearing and settlement facility for financial institutions. ACH transfers take 2 to 4 business days to reach their destination and can be recalled or returned for a variety of reasons. 

Cash: currency; coins and bills. Also, used for all cash equivalents such as checks. Often used in the plural: cash receipts or monies.

Cash receipts:  money in any form: currency (coins and bills), check, wire transfer, credit card charge, ACH (direct deposit), other electronic funds transfers, etc.

Custodian: the person that holds assets of the College, in this case cash, for safekeeping to minimize the risk of theft or loss.  This person is responsible for the physical safekeeping of the cash.

Electronic funds transfer (EFT):  generic term for any movement of funds by non-paper means; can be an Automated Clearing House (ACH) or a wire transfer.

Employee: Any individual (full-time, part-time, student aid, work study, volunteers) working for the College.

Endorse/endorsement: the act of writing or stamping, usually upon the back, but sometimes on the face, of a check or other negotiable instrument, by which the funds or property therein are assigned and transferred.

Fiduciary: a person who holds a legal or ethical relationship of trust.  In this context a fiduciary is charged with caring for the assets of the College in the form of the cash for which they are responsible.

Log: a place to record the receipt of monies; must include date received, received from, received by, amount received, date to cashier, and a receipt number (if applicable).

Monies: money in any form: currency (coins and bills), check, wire transfer, credit card charge, ACH (direct deposit), other electronic funds transfers, etc.

Receipt: a written acknowledgment that a sum of money or specified article has been received; the paper that provides the audit trail of the monies.

Wire transfer: funds sent through the Federal Reserve Wire Network from one financial institution to another.

Receiving Cash

  1. Cash is not to be accepted by any employee for any purpose unless that employee has been authorized to handle cash for the purpose specified. The custodian of every cash fund is responsible for the integrity of the cash fund.  All employees authorized to handle cash shall sign a Departmental Cash Handling Form acknowledging the College’s cash policy and procedures.
  1. All College units and staff that handle cash are required to undergo annual certification and training provided by the Controller’s Office.
  1. The timely deposit of monies received provides for improved control of funds which reduces the risk of loss due to errors, carelessness, or theft. All incoming monies should be acknowledged by receipt within the unit when accepted or received by mail, and brought to the Office of Student Accounts for processing using a Deposit Request Form.  The Deposit Request Form summarizes the monies to be deposited and indicates where the monies should be deposited.  This form can be obtained from the Controller’s office.
  1. All units and activities that handle monies must deposit cash receipts from any source with the Office of Student Accounts at least once a week. More frequent deposits are noted as follows:
    • Units and activities which receive $200.00 or more a day in currency or checks must deposit those funds by the end of the business day.
    • Credit card deposits must be made daily regardless of the amount. A Settlement Report must accompany a completed Deposit Request Form. The Settlement Report (goes by various names depending on the credit card reader or machine used for processing), is a summary of transactions for a specific date or date range, and lists the total number of transactions and the total dollar amount.
  1. Cash is to be deposited promptly into the appropriate College account. Retention of cash received from outside sources for use as petty cash or change making purposes is prohibited.
  1. Under no circumstances should an individual keep College cash with their own personal funds, deposit College funds in a personal bank account or take College funds to another location for safekeeping.
  1. All bank accounts for the College must be set up by the Controller’s Office. No employee, unit, or organization may establish a College bank account or deposit College funds into an unauthorized bank account.
  1. The unit remains responsible for all funds to be deposited until its cash receipts are counted and verified by the Office of Student Accounts. The cash should be counted and verified by the Office of Student Accounts while the unit making the deposit is present.  Once the deposit is verified, it is signed off by the Office of Student Accounts and a copy of the signed Deposit Request Form is given to the department for their records. If a discrepancy is found when the cash receipts are counted, the Office of Student Accounts and the department must resolve the discrepancy at that time and update documents accordingly.  The deposit receipt should be reconciled to the departmental documentation after the deposit is made.  Proof of reconciliations must be maintained by the units.  The retention policy is seven years.
  1. After deposits are received and verified by the Office of Student Accounts, the signed deposit request form along with all back up documentation is given to the Controller’s Office. The Controller prepares a cash receipt form to be entered into the Banner Finance system by the end of the week, where a record of the deposit can be viewed and may be printed by the originating department.
  1. It is the responsibility of the fund custodian to ensure that the cash received for deposit into the cash account must balance with the pre-numbered receipts, log, pre-numbered tickets, or other documentation.
  1. Individual shortages and overages of $20 or more must be reported to the Office of Student Accounts immediately. Initial notification must be followed up with a written Incident Report Form.

Receiving and Recording of Receipts

  1. All checks should be made payable to “Ramapo College of New Jersey.” Checks payable to the Ramapo College Foundation cannot be deposited in a Ramapo College of New Jersey account and vice versa.
  1. Checks of all types received in-person or through the mail, should be restrictively endorsed immediately. All checks made payable to Ramapo College of New Jersey should be endorsed on the back “Ramapo College of New Jersey–For Deposit Only.”
  1. Documents enclosed with mail payments are to be date stamped by the employee opening the mail. The checks should be entered into a ticket ordering system if available or a listing of the checks should be prepared.  The total of the checks should be used for reconciliation purposes.
  1. Every check or money order must be reviewed for completeness as follows:
    • Verify that the account holder’s name, address, and Student R Number (if applicable) is included on the check.
    • Verify that the check has a bank name listed, and that the routing number, customer’s bank account number, and check number are encoded on the bottom edge of the check.
    • Note the date. DO NOT accept a postdated check (a check with a date in the future), or agree to hold the check for future deposit.
    • Verify that the amount written in numbers matches the amount written in words. If different, make special note on the cash receipt so that the Office of Student Accounts can handle appropriately. In general, banks will honor the written amount over the numerical amount.
  1. All units and activities of the College must record all cash (U.S. currency and coin, US checks and credit cards) at the time the funds are received. Auxiliary enterprises (e.g. parking, Athletics, Berrie Center) and other units which receive cash as part of their normal day-to-day operations must establish an auditable record such as a cash register tape, pre-numbered receipts, or ticket reconciliation.  Educational, administrative, and other units which do not receive cash daily may satisfy this requirement through utilization of a departmental log book.
  1. All College employees have an obligation to report any suspected irregularity in the handling of cash to the Controller’s Office. Questions concerning proper internal accounting controls can be directed to the Controller’s Office.

 Safeguarding of Funds

  1. No currency should be transmitted through Interdepartmental Mail.  All deposits containing currency or coin should be concealed and hand carried to the Office of Student Accounts accompanied by Public Safety, or sent by Public Safety in locked bags.
  1. Monies should never be unattended. This applies to cash registers, desk tops, and cash drawers. If an employee leaves their work station for any reason, regardless of how briefly, cash must be appropriately secured in a locked place. Unauthorized persons should not be allowed in areas where cash is handled.
  1. Doors should be locked at all times in areas where cash is handled.
  1. Large sums of cash should be counted and handled out of sight of the general public. Individuals should keep working cash funds to a minimum at all times.
  1. Excess funds should be in a locked device, either a safe or locked container, or deposited in the Office of Student Accounts.

Major Events

Any department having a special event should notify the Controller’s Office and the Public Safety Department to ensure the controls, safekeeping, and safety surrounding cash and those handling cash.  The Controller’s Office will provide deposit bags to the units hosting the events. Public Safety will provide an escort service for the individuals handling cash during the special event.  Cash/coins should remain in the locked box and never leave the drawer of the fiduciary except for the special event.

Change Funds

Various programs and services on campus need to provide customers with change during the course of operations.  Therefore, units will be permitted to establish change funds on a case-by-case basis as approved by the Controller’s Office.

  • A completed Petty Cash or Change Fund Custodian Form and an Accounts Payable Voucher Form must be submitted to the Controller’s Office no later than one week prior to the start date of the fund.
  • The persons who will serve as fiduciary and custodian must be designated and sign-off on the form in advance of the funds being distributed.
  • The outlined physical safeguards must be in place prior to the check being released.
  • Once steps 1-3 have been completed and approved, an Accounts Payable Direct Payment Voucher will be processed and a check made payable to the person signing as the fiduciary of the fund.
  • The fund should be balanced each month using the Reconciliation Form provided by Business Services, the Reconciliation Form along with cash and coins should be provided to the Controller’s Office every 6 months for a verification audit.
  • The funds should never be used as a petty cash fund or for making purchases.
  • The fiduciary takes sole responsibility for the account and any discrepancies.
  •  Every month, a confirmation of change funds will take place by the custodian giving the Controller a reconciliation form to sign off. At least every 6 months, the Controller or a designee will confirm the cash and coins with receipts, if applicable.

The total of currency and the receipts should at all times equal the full amount of the fund. If there is a shortage in the fund for any reason, the shortage must be immediately reported, in writing, by the Custodian to the Controller. In addition, the funds are subject to unannounced audits by the Office of Business Services, the Internal Audit Department, state and external auditors.

Transfer of Change Fund Responsibility 

If a transfer of responsibility is warranted, the Unit Head and Controller will determine who will be the new unit’s change fund fiduciary. The funds are to be deposited in the GL system 10001-1002 by the old fiduciary and reconciled using the reconciliation form. A new Petty Cash or Change Fund Custodian Form and Accounts Payable Voucher Form should be filled out by the new fiduciary and signed off by the Controller to establish the new change fund.

Petty Cash Fund 

The petty cash fund custodian is a person designated by the Controller. This person should follow the Change Fund procedure with regard to establishing, reconciling and replenishing the petty cash fund. This person will assist the Controller with managing the change funds throughout the College.

A petty cash fund is to be used to pay relatively small expenses that are appropriate, necessary and reasonable to conduct College business, such as:

  1. Freight and delivery charges;
  2. Office supplies;
  3. Research and lab supplies;
  4. Transportation to and from unexpected meetings and conferences;
  5. Similar miscellaneous items; or
  6. Incidental meeting expenses; incidental meals.

The Petty Cash fund should not be used for:

  1. The purchase of postage stamps for resale;
  2. Personal loans or other personal purposes (i.e., no check cashing);
  3. Items of $25 or more which can be anticipated and requisitioned in accordance with the establishment of a checking account;
  4. Any travel expenses related to overnight travel (other than toll charges, mileage and parking); or
  5. Paying students or departmental workers.

College staff seeking reimbursement from the Petty Cash Fund should submit a Request for Petty Cash Reimbursement form with original receipts supporting the legitimacy and College purpose of the expenditure to: Office of Business Services. 

FORMS

Departmental Cash Handling Form

Deposit Request Form (Obtained from Controller’s office)

Accounts Payable Voucher Form

Petty Cash or Change Fund Custodian Form (Obtained from Controller’s office)

Employee Confidentiality Agreement (Obtained from Controller’s office)

Incident Report Form (Obtained from Controller’s office)

Request for Petty Cash Reimbursement

                              

Policy

Policy

The College will hire talented employees from a diverse pool of qualified candidates using competitive and inclusive recruitment and selection processes.

The College will promote internal mobility of qualified employees and recruit external candidates by using transparent internal and external recruitment, selection, and search practices.

Waivers from the competitive selection process are subject to approval by the College Administration (the President and/or Senior Leadership Team) and shall only be granted to meet emergent operational needs of the College.

Reason for Policy

To set forth policy and procedures for recruiting, selecting and employing faculty staff, and managers.

To Whom Does the Policy Apply?

Faculty, staff, and managers.

Related Documents

Contacts

People Operations and Employee Resources Department
(201) 684-7506

Procedure 215

Revised June 26, 2023

I. Purpose of Procedure 215

The College will recruit and hire the most qualified candidates from a diverse pool of candidates using competitive and inclusive recruitment and selection processes. Step- by-step recruitment and selection processes prescribed in Appendix 215A herein, are made in accord with the following:

Position Approval and Job Description: The College will: (i) evaluate its organizational needs to deliver College services efficiently and effectively; (ii) establish processes to approve the creation or renewal of positions (among others, permanent, temporary, agency-staffed positions) and; (iii)  create job descriptions that summarize position responsibilities.

Recruitment and Selection: The College will promote internal mobility of qualified employees and recruit external candidates by using transparent internal and external recruitment and search practices.  The College may sponsor foreign nationals for work visas to be employed by the College, as needed.  Reimbursement of travel expenses for on-campus interviews for Director-level positions or higher are subject to approval by the College Administration.  External search firms may be engaged to conduct executive searches subject to approval by the College Administration.

Diversity, Inclusion, Compliance, and Equity: The College will imbed the principles of diversity, inclusion, compliance, and equity in all phases of its recruitment, selection and employment processes.  The College will advance these principles through the advertisement of positions, the development of diverse candidate pools, compliance with the selection and search committee processes, and the fostering of a welcoming and productive workplace environment.

Applicable Laws/Regulations and Collective Negotiations Agreements: The College’s Recruitment and Selection Procedures will comply with applicable laws and regulations (including but not limited to New Jersey Civil Service laws and regulations), and collective negotiations agreements.

Candidate Qualification and Risk Mitigation: The College will implement procedures to verify candidates meet the job requirements contained in the job description, fulfill any applicable legal requirements (such as proof of eligibility to work in the United States), and reduce exposure to employee-related risks (by using background checks, professional references, and driver’s license extracts).

II. Procedural Steps and Responsibilities

Note: The following Procedural Steps & Responsibilities will be reviewed and assessed during the time period of June 2023 – June 2024. Any recommendation to continue, adjust, or discontinue the Procedural Steps and Responsibilities noted in Section II shall be made by People Operations and Employee Resources (hereafter “POERD”) and Equity, Diversity, Inclusion, and Compliance (hereafter “EDIC”) to the President’s Senior Leadership Team.

This procedure is further intended to assist in conducting an effective search and assuring equal employment opportunities for all candidates.  Searches for classified, civil service staff are governed by the New Jersey Administrative Code 4A, and the New Jersey Civil Service Commission (NJ Civil Service Recruitment Title 4A) and are subject to additional rules and regulations and will be applied and guided by POERD. Any questions, concerns or difficulties at any stage in the recruitment process should be directed to POERD.

Notwithstanding the procedures in Section III Waivers, for positions that are classified at or above the 24 level, the hiring manager is required to deploy a full search committee with a minimum of three or more members (see IIB). The decision not to deploy a full search committee for positions that are classified below the 24 level requires the endorsement of the Core Vice President (see IIA).

A. When a full search committee is not deployed, the Hiring Manager shall:
1. Endorsement. Receive the endorsement of the Core Vice President (in writing) and provide it to POERD.

2. Posting. Work with the Talent Acquisition and Onboarding Manager (hereafter “TAOM”) to identify a recruitment strategy, including advertising and travel budgets (i.e. Campus Interview Expenses), if applicable, to ensure a sufficient and diverse pool of candidates. If the vacant position is a civil service position, the TAOM will direct the Hiring Manager on next steps in accordance with the applicable civil service procedures, rules and regulations.

3. Designee. Designate at least one (1) other search member to be involved in the selection and interview process. The (1) other search member shall not be a direct report to the Hiring Manager and service on search committees and related activities shall be withhin their employment classification.

4. EEAAO Training. In order to serve, and before the search can commence, the Hiring Manager and the Designee must have received training from the Equal Employment and Affirmative Action Officer (hereafter “EEAAO”) within the past 12 months.

Note: See Appendix 215A for specific roles and responsibilities, requirements and limitations of Hiring Managers and Designees.

5. Interview Questions/Pre-screenings. TAOM may assist the Hiring Manager in designing questions for the interview process (set of questions will be needed for each round of interviews), and may send the Hiring Manager a list of top ranked applicants to be considered for the initial interview after a pre-screening of the credentials/qualifications of the incoming applicants. All interview questions must be approved by the TAOM for every round of interviews.

6. Application Receipt. All applications (internal and external) are completed through the College’s on-line applicant tracking system. Hard copies of application materials are not accepted.

7. Applicant Pool Assessment. Before applicants are contacted or scheduled for an initial interview (either telephone, video, or on-campus), the EEAAO will review and approve the applicant pool. If the EEAAO does not approve the applicant pool, the EEAAO will work with the hiring manager and the TAOM to review and update the hiring manager’s recruitment strategy (which may include advertising the position through additional sources, extending the posting, etc.) before applicants are contacted or scheduled for an interview.

8. Interviews. The Hiring Manager and Designee shall participate in all interviews. The Hiring Manager may consider fewer than or more than three candidates to interview, however if there are fewer than three, the Hiring Manager will obtain the approval of the EEAAO.

9. Post-interview Activity. After interviews have concluded, the hiring manager shall document for the record the strengths and weaknesses of the finalists and shall share this documentation with POERD/TAOM.

If after interviews are conducted there are no compelling applicants identified, TAOM shall work with the Hiring Manager to determine next steps pursuant to those outlined below:

i. The Hiring Manager, in consultation with TAOM, will make a determination whether to:

a) go back to the applicant pool;
b) re-post the opportunity;
c) re-advertise to refresh the applicant pool; or
d) fail the search (See “IV. Failed Searches”).

If the Hiring Manager decides to “a) go back to the applicant pool”, the process starts again at step A7.

10. Reference Checking and Offers of Employment. After the Hiring Manager concludes interviews and the successful candidate is identified, the Hiring Manager consults with the Supervisor/ Core Vice President and discusses the recommendation for proposed hire and any salary matters with TAOM. Prior to TAOM making an official offer of employment, the Hiring Manager will communicate to the candidate that a reference check will take place.

Reference checks should be conducted by the Hiring Manager. On occasion, the TAOM may provide backup to the hiring manager when conducting reference checks. All reference checking must be conducted in accord with guidance and reference check procedures available on the applicant tracking site.

The Hiring Manager or TAOM, shall document the reference check responses and issue a written memorandum including the name of the finalist selected as the successful candidate and affirming that approval from the Core Vice President has been received.

TAOM will then make the official offer of employment and lead the discussion on salary, benefits, and start date. The Hiring Manager may be invited to attend the official offer and may participate in the discussion to highlight other items that may be specific to the position and to begin developing a positive and enthusiastic rapport with the new hire.

11. Correspondence and Notifications. Once the process is complete and a selected candidate has accepted the offer of employment, the Hiring Manager will send rejection correspondences to candidates interviewed that are not recommended for further consideration (see Sample Letter 2 on applicant tracking site).

Note: Once the search is finalized in the applicant tracking system, the system will send correspondence to all other candidates who applied but were not interviewed.

12. Documentation and Closing Out of Search. The complete hiring package is documented and routed via the on-line applicant tracking system. The Hiring Manager will upload and or scan any documentation pertaining to the search process such as:

  • Copies of communication to candidates attempting to schedule interview;
  • Memo which identified the unranked candidates;
  • Any other pertinent information that is deemed necessary, especially if there are any unusual circumstances (please consult with TAOM for questions and/or clarification regarding pertinent information);
  • Email from the Hiring Manager, Unit Head, Supervisor, Dean and/or Vice President confirming the final selected candidate; and
  • Documented reference checks

The search is then closed by TAOM via the applicant tracking system and the onboarding process of the successful candidate begins.

B. When a full search committee is deployed, the Hiring Manager will submit the names of the intended Search Committee members to the EEAAO, copying the TAOM. Before final selection of the Committee members as well as communication to the Committee members, the Hiring Manager will obtain endorsement of the membership from the EEAAO in order to ensure a fair and diverse representation of the College community.

The endorsed Search Committee shall:

  • Receive training from the EEAAO;
  • Reflect a diverse group of representatives on campus, including members from different units that have direct interaction with the position;
  • Have at least three (3) voting members (inclusive of the Chair); and
  • Include, when desirable, a student or Ramapo Affiliate (Friends of Ramapo, Board of Governors, etc.).

Note: See Appendix 215A for specific roles and responsibilities, requirements and limitations of Search Committee members.

The following steps should be followed:

1. Appointment of Search Committee Chair. The Hiring Manager selects an individual from the Committee to serve as the Search Committee Chair. The Chair must:

  • Demonstrate working knowledge of the position being searched, and
  • Be a full-time Ramapo employee for at least 6 months.

2. Search Committee Interview Questions/Pre-screenings. TAOM may assist the Search Committee in designing questions for the interview process (set of questions will be needed for each round of interviews), and may send the Search Chair/ Committee a list of top ranked applicants to be considered for the initial interview after a prescreening of the credentials/qualifications of the incoming applicants.

3. Application Receipt. All applications (internal and external) are completed through the College’s on-line applicant tracking system. Hard copies of application materials are not accepted.

4. Applicant pool assessment. Before applicants are contacted or scheduled for an initial interview (either telephone, video, or on-campus) by the Search Committee, the EEAAO will review and approve the applicant pool. If the EEAAO does not approve the applicant pool, the EEAAO will work with the hiring manager and the TAOM to review and update the hiring manager’s recruitment strategy (which may include advertising the position through additional sources, extending the posting, etc.) before applicants are contacted or scheduled for an interview.

5. Interviews. The Search Committee members shall participate in all interviews.

6. Post-interview Activity. After interviews with the Search Committee have concluded, the Search Committee Chair, on behalf of the Committee, shall put forth approximately three (3) qualified candidates, unranked, via a memo detailing their strengths and weaknesses to the Hiring Manager.

The Hiring Manager may consider fewer than or more than three candidates to interview, however if there are fewer than three, the Hiring Manager will obtain the approval of the EEAAO.

If, after interviews with the Search Committee, no compelling applicants are identified by the Search Committee Chair to be put forward to the Hiring Manager, the Search Committee Chair shall work with the Hiring Manager and TAOM to determine next steps pursuant to those outlined below:

i. The Hiring Manager, in consultation with TAOM, will make a determination whether to:

a) go back to the applicant pool;
b) re-post the opportunity;
c) re-advertise to refresh the applicant pool; or
d) fail the search (See “IV. Failed Searches”).

If the Hiring Manager decides to direct the Search Committee Chair to go back to the applicant pool, the Search Committee should start again at step B4. The Hiring Manager may change the Chair and/or Search Committee members at this point. If Committee membership is changed, then the process will start again at step B1.

7. Reference Checking and Offers of Employment. After the Hiring Manager concludes interviews and the successful candidate is identified, the Hiring Manager consults with the Supervisor/Division Vice President and discusses the recommendation for proposed hire and any salary matters with TAOM. Prior to HR making an official offer of employment, the Hiring Manager will communicate to the candidate that a reference check will take place.

Reference checks should be conducted by the Hiring Manager. On occasion, the TAOM may provide backup to the hiring manager when conducting reference checks. All reference checking must be conducted in accord with guidance and reference check procedures available on the applicant tracking site.

The Hiring Manager or TAOM, shall document the reference check responses and issue a written memorandum including the name of the finalist selected as the successful candidate and affirming that approval from the Division Vice President has been received.

TAOM will then make the official offer of employment and lead the discussion on salary, benefits, and start date. The Hiring Manager shall be invited to attend the official offer and may participate in the discussion to highlight other items that may be specific to the position and to begin developing a positive and enthusiastic rapport with the new hire.

8. Correspondence and Notifications. Once the Search Process is complete and a selected candidate has accepted the offer of employment, the Hiring Manager will communicate the results to the Search Committee Chair, who must send rejection correspondences to candidates interviewed by the Search Committee that are not recommended for further consideration (see Sample Letter 2 on applicant tracking site).

The Hiring Manager sends correspondences to the finalists interviewed by him/her/they that are not selected (see Sample Letter 1 on applicant tracking site).

Note: Once the search is finalized in the applicant tracking system, the system will send correspondence to all other candidates who applied but were not interviewed.

9. Documentation and Closing Out of Search. The complete hiring package is documented and routed via the on-line applicant tracking system. The Search Committee Chair will upload any documentation pertaining to the search process such as:

  • Copies of communication to candidates attempting to schedule interview;
  • Memo from the Search Committee Chair which identified the unranked candidates for interview by the Hiring Manager; and
  • Any other pertinent information that is deemed necessary, especially if there are any unusual circumstances. Please consult with TAOM for questions and/or clarification regarding pertinent information.
  • The Hiring Manager will upload any documentation pertaining to the search process
    such as:

    • Email from the Hiring Manager, Unit Head, Dean and/or Vice President confirming the final selected candidate
    • Documented Reference Checks

The search is then closed by TAOM via the applicant tracking system and the onboarding process of the successful candidate begins.

III. Waivers

Documentation for an internal search or non-competitive hire must provide valid reasons and circumstances as to why the search process is being waived. The President, upon the recommendation by a Provost/Vice President, and in consultation with the EEAAO, must approve an internal search or waiver of search procedures. The following describes circumstances that may justify an internal search or a non-competitive hire:

1. Emergency Hires. In an emergency situation, candidates may be appointed on a temporary basis for a twelve-month period or longer with approval by the President or their designee, and guidance from POERD. During the employment period, a search for a permanent occupant of the position will be initiated if it has been determined that the position will become permanent. The position will be posted and search procedures will be followed. The incumbent may apply for the permanent position.

2. Acting/Interim Hires. For college operational reasons, the President, with guidance from the POERD and the EEAAO, may choose to fill an unclassified or managerial position by a current employee who will serve in an acting/interim capacity up to a twelve-month period. At the end of the role, the individual would return to their former position or, should the position become permanent, College search procedures will be followed and the interim/acting hire may apply for the permanent position.

3. Part-time Professional Staff, Temporary Part-time Professional Staff, and Adjunct Professors. Acting on the recommendation of the associated Vice President/Provost and Hiring Manager, with guidance from POERD and the EEAAO, the President approves the appointment of all part-time professional staff, temporary part-time professional staff and adjunct professors. Should a part-time professional staff position become full-time, College search procedures will be followed and the incumbent may apply for the fulltime and/or permanent position. Should a temporary part-time professional staff position become full-time and/or permanent, College search procedures will be followed and the incumbent may apply for the full-time and/or permanent position.

4. Visiting Scholar/Exchange Scholar/Laureate. An academic or professional person from another institution or industry may be invited to the College to teach or conduct research over a period of time, such as a semester, summer session, or academic year. Acting on the recommendation of the Provost and with guidance from POERDand the EEAAO, the President approves the appointments of all visiting, exchange, and laureate scholars.

5. Grant-funded or Contract-funded Positions. Principal investigators may hire individuals for unclassified and managerial positions specifically named in grants or contracts without conducting a search. Justification must include copies of the pages from the grant or contract specifying the person(s) named in the grant or contract, and evidence that the position is fully-funded by the grantor or other funding entity. Otherwise, all positions funded by grants and third party contracts shall be filled according to College search procedures. Acting on the recommendation of the associated Vice President/Provost, Hiring Manager, and with guidance from the POERD and the EEAAO, the President approves the appointments to all grant-funded and contract-funded positions.

6. Reorganization. For purposes of managing fluctuations in resources, fostering succession planning, professional development, and organizational effectiveness, and/or reorganization, the provost/cognizant vice president may recommend to the President’s Senior Leadership Team reclassifying or transferring current employees who require minimal training and have the requisite qualifications for a different position. Appointment is by the President.

IV. Failed Searches

In the event the search does not produce a viable candidate, the following steps will be taken:

  1. Hiring Manager recommends (to the Dean/Unit Head) a failed search and provides a justification for recommending a failed search. The Dean/Unit Head reviews information and recommends (to the Provost/Vice President) a failed search with the supporting justification.
  1. The Provost/Vice President reviews information and declares a failed search and notifies, in writing, the President and TAOM.
  1. The Hiring Manager notifies the Core Vice President and Search Chair that the search has been declared failed.
  1. A new Staffing Requisition Form is processed by TAOM, if appropriate, and a new search is opened and posted.

Appendix 215A: Specific Search Procedures and Responsibilities

Appendix 215A: Specific Search Procedures and Responsibilities

A. General Requirements:

  1. Authorization. Authorization from POERD/TAOM is required to initiate any action for an open position, including recruitment expenditures, advertising, interviewing and offers of employment.
  1. Documentation. All search documentation, at each step of the process will be uploaded to the applicant tracking system.
  1. Compliance. Compliance with all applicable laws and/or regulations, collective negotiations agreements, and College procedures related to the hiring process.

B. The Hiring Manager shall (also see Procedure 215)

  1. Select and charge the Search Committee and Chair.
  1. Review the job description with the Committee, answering any questions or providing the Committee any additional information.
  1. Clarify requirements for the position as well as preferred attributes.
  1. Interview finalists.
  1. Check references:
    • Three references are preferred. Fewer than three references must be approved by POERD/TAOM.
    • References should be completed within 5 business days and shall follow the guidance and reference check procedures available on the applicant tracking site.
    • On occasion, the TAOC may provide backup to the hiring manager when conducting reference checks.
  1. With Vice Presidential approval, make a recommendation for hire (via written memorandum) to POERD/TAOM who will make the official offer and discuss salary, benefits, and start date. Hiring Managers will be invited by POERD/TAOM to participate on the official offer discussion to highlight other items that may be specific to the position and to begin developing a positive and enthusiastic rapport with the new hire.
  1. Send correspondence to those candidates interviewed by the Hiring Manager (see Sample Letter 1 on HR’s applicant tracking site) at the completion of the search process.

C. The Search Committee Chair shall: 

  1. Receive training regarding Employment Equity and Affirmative Action objectives from the EEAAO and receive training on the on-line application process from TAOM.
  1. Act as the Committee’s facilitator, official spokesperson, and liaison to the Hiring Manager and POERD.
  1. For national searches, obtain necessary approvals for interview expenses prior to bringing candidates to campus; work with candidates to minimize reimbursable costs (see Interview Expenses on POERDs applicant tracking site).
  1. Ensure compliance with applicable laws, regulations and College policy.
  1. Maintain strict confidentiality throughout the search process (including but not limited to applicants’ names, qualifications, personal demographic information, and Committee discussions regarding applicants and the search process).
  1. Carefully review the job description and understand the requirements of the position.
  1. Determine a decision making process, e.g. will the Committee vote, try to reach consensus, use voting, or provide majority and minority opinions, what evaluation instrument will be used, the decision making plan/selection process must be submitted to the applicant tracking system for approvals.
  1. Refer all questions regarding the search process to TAOM.
  1. Obtain approval from the EEAAO for initial candidates before they are selected for interview.
  1. Provide pertinent information to the candidates being interviewed, including job description, starting salary ranges, relevant information about the College, portion of Employment Eligibility Verification (see applicant tracking site) statement so the candidate understands the type of documentation that will be required at the time of hire. Review, as appropriate, the procedures on the applicant tracking site for hiring Foreign Nationals.
  1. Screen applicants, ensuring fair and consistent interviews to all candidates. Refer written recommendations to the Hiring Manager with a selection of approximately three (3) candidates, listing their strengths and weaknesses, but not ranked.
  1. Review applications for the following (see template for Candidate Evaluations on applicant tracking site):
    • applicant’s knowledge, skills and abilities
    • applicant’s past positions and their relevance to the position
    • applicants’ past accomplishments/achievements; and
    • unexplained gaps in applicants’ employment history
  1. Verify via e-mail that the finalist candidates have been selected through a search process that has been designed and implemented to promote the College’s principles of diversity, equal opportunity and affirmative action (see Affirmative Action Search Committee Report on applicant tracking site).
  1. Send letters/email of rejection to those interviewed via phone interview or on campus interview who were not forwarded on as finalists to the Hiring Manager (see Sample Letter 2 on applicant tracking site).

D. Role of the Search Committee

  1. Receive training regarding Employment Equity and Affirmative Action objectives from the EEAAO and receive training on the on-line application process from TAOM.
  1. Follow all applicable state and federal laws/regulations and College policy.
  1. Maintain strict confidentiality throughout the search process (including but not limited to applicants’ names, qualifications, personal demographic information, and Search Committee discussions regarding applicants and the search process).
  1. Review the job description and understand the requirements of the position.
  1. Determine a decision making process, e.g. will the Committee vote, try to reach consensus, use voting, or provide majority and minority opinions, what evaluation instrument will be used. The decision-making plan/selection process must be submitted to the applicant tracking system for approvals.
  1. Screen applicants, ensuring fair and consistent interviews for all candidates. Refer recommendations to the Hiring Manager with a selection of approximately three (3) candidates, listing their strengths and weaknesses, but not ranked.
  1. Review applications for the following (see Template for Candidate Evaluations in applicant tracking site):
    • applicant’s knowledge, skills and abilities
    • applicant’s past positions and their relevance to the position
    • applicants’ past accomplishments/achievements; and
    • unexplained gaps in employment history

E. Role of Conveners (Faculty Hires Only)

  1. If a Convener is on the Search Committee for a tenure-track faculty line and the pool of applicants includes a person whom that Convener has recommended for hire and/or supervised as an adjunct faculty or temporary faculty member, then that Convener shall recuse themselves and not be present during the discussions of the candidate and voting on the names to be selected as finalists.
  1. The Convener in question will be empowered to read all the applications and to remain present (although not participating) during all interviews (phone or in-person), except as specified in section E1 above, and attend demonstration classes, etc. given by the candidate(s) in order to possess the necessary background to provide thoughtful input to the Dean regarding finalists.

F. Selection of Ramapo Affiliate Members (Friends of Ramapo, Board of Governors, etc.) and their Role

  1. Is a non-voting member of the Search Committee;
  1. Receive training regarding Employment Equity and Affirmative Action objectives from the EEAAO;
  1. Maintain strict confidentiality throughout the search process (includes but not limited to applicants’ names, qualifications, personal demographic information, and committee discussions regarding applicants and the search process);
  1. Participate fully and consistently and make a commitment to all aspects of the hiring process, except voting on moving forward candidates;
  1. Carefully review the job description and understand the requirements of the position;
  1. Screen applicants, ensuring fair, consistent and nondiscriminatory interviews to all candidates;
  1. Does not have access to the applicant tracking system; and
  1. Review applications shared by Committee Chair or Members (see Template for Candidate Evaluations in applicant tracking site) for the following:
    • applicant’s knowledge, skills and abilities
    • applicant’s past positions and their relevance to the position
    • applicants’ past accomplishments/achievements; and
    • question unexplained gaps in employment history.

G. Selection of Student Committee Members and their Role:

  1. Should have junior or senior class standing;
  1. Is a non-voting member of the Search Committee;
  1. Does not have access to applicant tracking system;
  1. Receives training regarding Employment Equity and Affirmative Action objectives from the EEAAO;
  1. Maintain strict confidentiality throughout the search process (includes but not limited to applicants’ names, qualifications, personal demographic information, and committee discussions regarding applicants and the search process);
  1. Participate fully and consistently and make a commitment to all aspects of the hiring process, except voting on moving forward candidates;
  1. Carefully review the job description and understand the requirements of the position; and
  1. Review applications shared by Committee Chair or Members (see template for Candidate Evaluations Sample Template 1 (XLS) & Sample Template 2 (XLS) for the following:
    • applicant’s knowledge, skills and abilities
    • applicant’s past positions and their relevance to the position
    • applicants’ past accomplishments/achievements
    • question unexplained gaps in employment history

Guides

See applicant tracking site at https://www.schooljobs.com/careers/ramapo/

Definitions

Core V.P. – A Senior Leadership Team Member or  Core Leader

Unit Head – Head of a Department

Unit Manager – Head of a subdepartment and /or unit

Abbreviations

TAOM: Talent Acquisition and Onboarding Manager

POERD: People Operations and Employee Reosurces Department

EEAAO: Employment Equity and Affirmative Action Officer

 

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