PRIOR PRINTER'S NOS. 3084, 3423, 3084, PRINTER'S NO. 3980
3646, 3084
No. 2361 Session of 1998
INTRODUCED BY BARLEY, MARCH 11, 1998
SENATE AMENDMENTS TO HOUSE AMENDMENTS, OCTOBER 5, 1998
A SUPPLEMENT
1 To the act of July 7, 1972 (P.L.743, No.176), entitled "An act
2 providing for the establishment and operation of Lincoln
3 University as an instrumentality of the Commonwealth to serve
4 as a State-related institution in the higher education system
5 of the Commonwealth; providing for change of name; providing
6 for the composition of the board of trustees; terms of
7 trustees, and the power and duties of such trustees;
8 providing for preference to Pennsylvania residents in
9 tuition; authorizing appropriations in amounts to be fixed
10 annually by the General Assembly; providing for the auditing
11 of accounts of expenditures from said appropriations;
12 providing for public support and capital improvements;
13 authorizing the issuance of bonds exempt from taxation within
14 the Commonwealth; requiring the President to make an annual
15 report of the operations of Lincoln University," making
16 appropriations for carrying the same into effect; providing
17 for a basis for payments of such appropriations; and
18 providing a method of accounting for the funds appropriated
19 and for certain fiscal information disclosure.
20 The General Assembly of the Commonwealth of Pennsylvania
21 hereby enacts as follows:
22 Section 1. The following sums, or as much thereof as may be <--
23 necessary, are hereby appropriated to the Trustees of Lincoln
24 University, Chester County, for the fiscal year July 1, 1998, to
25 June 30, 1999, for the purposes and in the amounts as shown:
1 (1) For educational and general expenses...... $10,389,000
2 (2) To enhance the recruitment and retention
3 of disadvantaged students......................... 338,000
4 (3) For the International Affairs Institute... 305,000
5 SECTION 1. THE GENERAL ASSEMBLY HEREBY DECLARES THAT THE <--
6 PURPOSE OF THIS ACT IS TO PROVIDE SUPPORT FOR LINCOLN UNIVERSITY
7 AND TO ENSURE THE PRUDENT AND SOUND FISCAL MANAGEMENT OF LINCOLN
8 UNIVERSITY AND THE FUTURE VIABILITY OF LINCOLN UNIVERSITY'S
9 EDUCATIONAL MISSION TO ITS STUDENTS.
10 THE GENERAL ASSEMBLY TAKES NOTICE OF THE RECENT CRITICAL
11 FINDINGS MADE BY THE AUDITOR GENERAL IN A REPORT OF THE BOOKS
12 AND RECORDS OF LINCOLN UNIVERSITY, THAT THE BOARD OF TRUSTEES
13 AND UNIVERSITY OFFICIALS HAVE ON SEVERAL OCCASIONS FAILED TO
14 EXERCISE ADEQUATE CONTROL OVER THE PURCHASING AND PROCUREMENT
15 PRACTICES, AND THAT ON SEVERAL OCCASIONS THE BOARD OF TRUSTEES
16 AND UNIVERSITY OFFICIALS HAVE FAILED TO ENFORCE AND COMPLY WITH
17 EXISTING UNIVERSITY PROCUREMENT GUIDELINES INTENDED TO PREVENT
18 THE MISAPPROPRIATION OF FUNDS. AS SUCH, SERIOUS QUESTIONS
19 CONCERNING THE MANAGEMENT OF THE UNIVERSITY'S CAPITAL EXPENSES
20 SINCE 1993 CONTINUE TO EXIST AS A RESULT OF THE BOARD OF
21 TRUSTEES AND THE PRESIDENT'S FAILURE TO ADOPT AND ENFORCE
22 ADEQUATE MEASURES DESIGNED TO ENSURE PRUDENT FISCAL MANAGEMENT,
23 SUCH AS THE ADOPTION OF A CAPITAL BUDGET, THE ENFORCEMENT OF
24 COMPETITIVE BIDDING PROCEDURES AND ADHERENCE TO PAYMENT
25 PROTOCOLS.
26 SECTION 2. THE FOLLOWING SUMS, OR AS MUCH THEREOF AS MAY BE
27 NECESSARY, ARE HEREBY APPROPRIATED TO THE TRUSTEES OF LINCOLN
28 UNIVERSITY, CHESTER COUNTY, FOR FISCAL YEAR JULY 1, 1998, TO
29 JUNE 30, 1999, FOR THE PURPOSES AND IN THE AMOUNTS AS SHOWN:
30 (1) FOR EDUCATIONAL AND GENERAL EXPENSES...... $5,070,000
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1 (2) FOR THE INTERNATIONAL AFFAIRS INSTITUTE... $305,000
2 (3) TO ENHANCE THE RECRUITMENT AND RETENTION
3 OF DISADVANTAGED STUDENTS......................... $338,000
4 (4) FOR STUDENT EDUCATION INSTRUCTION
5 ASSISTANCE, INCLUDING COMPUTER TECHNOLOGY
6 ENHANCEMENT AND RESEARCH LIBRARY MATERIAL
7 ACQUISITION, TO BE ADMINISTERED BY A THREE-PERSON
8 COMMITTEE, ONE MEMBER APPOINTED BY THE TRUSTEES OF
9 LINCOLN UNIVERSITY, ONE MEMBER APPOINTED BY THE
10 STUDENT GOVERNING BODY AND ONE MEMBER APPOINTED BY
11 THE UNIVERSITY FACULTY MEMBER ASSOCIATION......... $250,000
12 SECTION 3. (A) PAYMENTS MADE TO LINCOLN UNIVERSITY ON
13 ACCOUNT OF THE APPROPRIATIONS PROVIDED UNDER SECTION 2(1) SHALL
14 BE MADE BY THE SECRETARY OF EDUCATION AS PROVIDED IN SECTION 5
15 SUBJECT TO THE LIMITATIONS AND CONDITIONS DESCRIBED IN
16 SUBSECTION (B).
17 (B) THE SECRETARY OF EDUCATION SHALL NOT RELEASE ANY PAYMENT
18 UNTIL THE TRUSTEES OF LINCOLN UNIVERSITY AGREE IN WRITING WITH
19 THE FOLLOWING:
20 (1) THAT THE TRUSTEES OF LINCOLN UNIVERSITY SHALL, UPON THE
21 REQUEST OF THE CHAIRMAN OR MINORITY CHAIRMAN OF THE
22 APPROPRIATIONS COMMITTEE OF THE SENATE OR THE CHAIRMAN OR
23 MINORITY CHAIRMAN OF THE APPROPRIATIONS COMMITTEE OF THE HOUSE
24 OF REPRESENTATIVES, PROVIDE FULL, COMPLETE AND ACCURATE
25 DOCUMENTATION OF ANY FINANCIAL TRANSACTION, OR ANY OTHER
26 INFORMATION THAT MAY BE REQUESTED.
27 (2) THAT THE TRUSTEES OF LINCOLN UNIVERSITY WILL ADOPT NEW
28 POLICIES INTENDED TO PROVIDE GREATER FISCAL ACCOUNTABILITY AND
29 SOUND MANAGEMENT, INCLUDING, BUT NOT LIMITED TO, ADOPTING AN
30 ANNUAL CAPITAL BUDGET ITEMIZING ALL CONSTRUCTION IMPROVEMENT
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1 PROJECTS, FURNITURE AND EQUIPMENT ACQUISITION, AND ALL OTHER
2 NONREOCCURRING, NONEMERGENCY EXPENSES RELATED TO THE PHYSICAL
3 INFRASTRUCTURE OF THE UNIVERSITY; ADOPTING AND ADHERING TO
4 COMPETITIVE BIDDING GUIDELINES THAT WOULD BE APPLICABLE TO ALL
5 NONEMERGENCY UNIVERSITY CONTRACTS INVOLVING SIMILAR SERVICES,
6 IDENTICAL LOCATIONS OR THE SAME CONTRACTOR, REGARDLESS OF THE
7 DATE OF THE CONTRACT, THAT MAY IN THE AGGREGATE EXCEED $5,000;
8 REQUIRING THE SUBMISSION OF PURCHASE REQUISITIONS BEFORE THE
9 COMPLETION OF PURCHASE ORDERS; REQUIRING THE COMPLETION OF
10 PURCHASE ORDERS PRIOR TO THE INITIATION OF THE CONTRACT WORK;
11 AND MAINTAINING THE APPROPRIATE RECORDS FOR ALL CONTRACTED
12 SERVICES.
13 (3) THE BOARD OF TRUSTEES WILL ADOPT A CODE OF CONDUCT
14 GOVERNING THE ACTIONS OF ALL UNIVERSITY EMPLOYEES, BOARD MEMBERS
15 AND THEIR RESPECTIVE FAMILIES, WHICH MEETS OR EXCEEDS THE
16 REQUIREMENTS OF THE ACT OF JULY 19, 1957 (P.L.1017, NO.451),
17 KNOWN AS THE "STATE ADVERSE INTEREST ACT," AND THE ACT OF
18 OCTOBER 4, 1978 (P.L.883, NO.170), REFERRED TO AS THE PUBLIC
19 OFFICIAL AND EMPLOYEE ETHICS LAW.
20 (4) THE BOARD OF TRUSTEES WILL ADOPT A WASTE DISPOSAL
21 PROTOCOL WHICH MEETS OR EXCEEDS APPLICABLE FEDERAL, STATE AND
22 LOCAL STANDARDS, INCLUDING THE IMMEDIATE ELIMINATION OF EXISTING
23 ENVIRONMENTAL CONTAMINATION AND OTHER ENVIRONMENTAL HAZARDS ON
24 UNIVERSITY PROPERTY.
25 (5) THE BOARD OF TRUSTEES WILL APPOINT AN OVERSIGHT
26 COMMITTEE WHICH SHALL BE COMPOSED OF AT LEAST ONE QUALIFIED
27 BUILDING OR RENOVATION PROFESSIONAL, ONE TENURED FACULTY MEMBER
28 AND ONE CURRENTLY ENROLLED STUDENT, TO REVIEW AND APPROVE ANY
29 FUTURE RENOVATION TO THE PRESIDENT'S HOME. IN ADDITION, THE
30 BOARD OF TRUSTEES SHALL SPECIFICALLY APPROVE ALL NONMAINTENANCE
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1 OR NONROUTINE OPERATING EXPENSES AND EXPENDITURES FOR THE
2 PRESIDENT'S HOUSE, BEFORE ANY FUTURE WORK IS COMMENCED.
3 (6) THE BOARD OF TRUSTEES WILL ADOPT A BUILDING AND
4 CONSTRUCTION PROTOCOL DESIGNED TO ENSURE UNIVERSITY COMPLIANCE
5 WITH ALL APPLICABLE FEDERAL, STATE AND LOCAL BUILDING AND SAFETY
6 CODE REQUIREMENTS TO WHICH ANY UNIVERSITY ACTION MAY BE SUBJECT.
7 SECTION 4. THE BOARD OF TRUSTEES SHALL SUBMIT A REPORT
8 DETAILING REMEDIAL MEASURES TAKEN BY THE UNIVERSITY TO ENSURE
9 COMPLIANCE WITH THE OBLIGATIONS IMPOSED ON THE BOARD OF TRUSTEES
10 BY THIS ACT AND PROVIDE EVIDENCE OF A RECORD OF DEMONSTRATED
11 COMPLIANCE BY MAY 30, 1999, TO THE PENNSYLVANIA AUDITOR GENERAL
12 AND THE CHAIRMAN AND MINORITY CHAIRMAN OF THE APPROPRIATIONS
13 COMMITTEE OF THE SENATE AND THE CHAIRMAN AND MINORITY CHAIRMAN
14 OF THE APPROPRIATIONS COMMITTEE OF THE HOUSE OF REPRESENTATIVES.
15 Section 2 5. Payments to Lincoln University on account of <--
16 the appropriations for the items provided in section 1 2 shall <--
17 be made on the basis of costs during the fiscal year.
18 Section 3. (a) Payments SECTION 6. (A) SUBJECT TO THE <--
19 LIMITATIONS AND CONDITIONS UNDER SECTION 3, PAYMENTS to Lincoln
20 University of the appropriations provided in section 1 2 shall <--
21 be made monthly during THE FIRST SIX MONTHS OF the fiscal year <--
22 WITH THE PAYMENTS TO BE COMPLETED BY DECEMBER 31, 1998. <--
23 (b) Such monthly payments shall be made in accordance with
24 the provisions of section 2 5 on the basis of estimated costs. <--
25 The estimate of costs shall be submitted by Lincoln University
26 to the Secretary of Education, the General Assembly and the
27 State Treasurer not later than 30 days prior to the date on
28 which such payment is to be made.
29 Section 4 7. (a) Lincoln University shall apply the moneys <--
30 appropriated by this act only for such purposes as are permitted
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1 in this act and shall at all times maintain proper records
2 showing the application of such moneys. Not later than 120 days
3 after the close of the fiscal year to which this act relates,
4 Lincoln University shall file, with the Secretary of Education,
5 the General Assembly and the Auditor General of the
6 Commonwealth, a statement setting forth the amounts and purposes
7 of all expenditures made from moneys appropriated by this act
8 and costs, as provided in section 2 5, used as a basis for <--
9 receipt of any appropriation during said fiscal year.
10 (b) Such statement of expenditures and costs shall be
11 reviewed by the Auditor General of the Commonwealth, and he
12 shall have the right, in respect to the moneys appropriated by
13 this act, to audit and disallow expenditures made for purposes
14 not permitted by this act and to cause such sums to be recovered
15 and paid by Lincoln University to the State Treasurer. In
16 respect to expenditures made by the university from moneys other
17 than those appropriated by this act, the Auditor General shall
18 have the right to review only, and he shall file annually with
19 the General Assembly such information concerning said
20 expenditures as the General Assembly or any of its committees
21 may require.
22 Section 5 8. A report shall be submitted to the Governor and <--
23 the Appropriations and Education Committees of the Senate and
24 House of Representatives and shall include data for all
25 programs. The report, to be submitted prior to September 1,
26 1999, shall cover the 12-month period beginning with the summer
27 term 1998 and shall include:
28 (1) The following counts and distributions for each term
29 during the period:
30 (i) The definitions and numbers of faculty members employed
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1 full time, of faculty members employed part time, of full-time
2 students enrolled in graduate courses, of full-time students
3 enrolled in undergraduate courses, of part-time students
4 enrolled in graduate courses and of part-time students enrolled
5 in undergraduate courses.
6 (ii) The total numbers of undergraduate student credit
7 hours, divided into lower division and upper division course
8 levels, and of graduate student credit hours, divided into three
9 course levels--master's, first professional and doctoral.
10 (iii) The number of different courses scheduled by level of
11 instruction and the number of sections of individual instruction
12 scheduled by level of instruction, each further subdivided by
13 two-digit Classification of Instructional Program (CIP)
14 categories of instructional programs of higher education as
15 defined by the National Center for Education Statistics, United
16 States Department of Education.
17 (iv) The number of terms scheduled and the dates thereof.
18 (2) For the summer term and the following academic year in
19 total and for each two-digit CIP program category, a
20 classification of faculty members or other professional
21 employees by title, including: professor, associate professor,
22 assistant professor, instructor, lecturer, research associate,
23 librarian and academic administrator; faculty members or other
24 professional employees under each title to be subdivided by type
25 of assignment: teaching and nonteaching; and each such set of
26 faculty members or other professional employees to be further
27 subdivided by type of employment: full-time or part-time; and
28 the following aggregates for each such subdivided
29 classification:
30 (i) The number of faculty and other professional employees
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1 and their full-time equivalence in instructional and
2 noninstructional functions.
3 (ii) The sum of credits assigned to undergraduate classroom
4 courses and the sum of credits assigned to graduate classroom
5 courses taught, divided into lower division, upper division,
6 master's, first professional and doctoral course levels.
7 (iii) The sum of credits assigned to undergraduate
8 individual instruction courses and the sum of credits assigned
9 to graduate individual instruction courses taught, divided into
10 lower division, upper division, master's, first professional and
11 doctoral course levels.
12 (iv) The sum of undergraduate classroom student credit hours
13 and the sum of graduate classroom student credit hours
14 generated, divided into lower division, upper division,
15 master's, first professional and doctoral course levels.
16 (v) The sum of undergraduate individual instruction student
17 credit hours and the sum of graduate individual instruction
18 student credit hours generated, divided into lower division,
19 upper division, master's, first professional and doctoral course
20 levels.
21 (vi) The total salary paid for instructional functions and
22 for noninstructional functions and the amount of this salary
23 paid for each of these functions from university funds, Federal
24 funds and other funds.
25 (3) For each term of the period covered for each faculty
26 member employed full time identified by two-digit CIP program
27 category and title, the report shall contain an analysis of the
28 average hours per week spent in university-related activities,
29 stating specifically hours spent in undergraduate classroom
30 contact and graduate classroom contact, hours spent in
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1 preparation, hours spent in research and hours spent in public
2 service.
3 Section 6 9. In addition to the requirements in section 5 8 <--
4 relative to this appropriation, the report covering the 12-month
5 period beginning with the summer term 1998 shall include for all
6 programs of the university:
7 (1) Minimum number of credits required for a baccalaureate
8 degree and for a master's degree.
9 (2) Number of bachelor's degrees, master's degrees, first
10 professional degrees and doctoral degrees awarded in 1994, 1995,
11 1996, 1997, 1998 and estimated 1999.
12 Section 7 10. (a) The following words and phrases when used <--
13 in this section shall have the meanings given to them in this
14 subsection unless the context clearly indicates otherwise:
15 "Academic and administrative support units." Any
16 organizational entity, as defined in the organizational manual
17 of the university, that reports directly to the president of the
18 university, chief academic officer or vice president, including
19 the office of the president, chief academic officer and vice
20 president.
21 "Expenditures." Disbursements of State appropriations,
22 tuition and fees supporting educational and general categories
23 as defined in the Higher Education Finance Manual, Department of
24 Health, Education and Welfare, 1975, or disbursement, supported
25 by State appropriations, tuition or fees, to support a defined
26 project or program under subsection (b)(3).
27 "Revenue." All State appropriations and tuition and fees.
28 (b) Lincoln University shall disclose the following:
29 (1) Revenue and expenditure budgets of the university's
30 academic and administrative support units for the current fiscal
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1 year.
2 (2) The actual revenue and expenditures for the prior year
3 in the same format as the information reported under paragraph
4 (1).
5 (3) For any defined project or program which is the subject
6 of a specific line item appropriation from the General Fund, the
7 university shall disclose the following:
8 (i) Revenue and expenditure budgets of the defined program
9 or project for the current fiscal year.
10 (ii) The actual revenue and expenditures of the defined
11 program or project for the prior year in the same format as the
12 information reported under paragraph (1).
13 (4) The revenue and expenditures of any auxiliary enterprise
14 which is directly funded in whole or in part by tuition or a
15 State appropriation for the current fiscal year.
16 (c) The university shall provide the following additional
17 information for the prior fiscal year for each academic or
18 administrative support unit, for each defined project or program
19 and for any auxiliary enterprise:
20 (1) The number of employees by academic rank and by
21 classification the number of administrators, staff, clerical and
22 technical service employees.
23 (2) Median and mean salary by academic rank and by
24 classification the median and mean salaries of administrators,
25 staff, clerical and technical service employees.
26 (3) Nonsalary compensation as a percentage of salary.
27 Nonsalary compensation shall include, but not be limited to,
28 medical benefits, life insurance benefits, pension benefits,
29 leave benefits, employer Social Security payments and workers'
30 compensation benefits.
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1 (4) A statement of the university's retirement policies.
2 (5) A policy statement relating to a reduction of tuition
3 for employees' family members.
4 (6) A list of purchase of service contracts which exceed
5 $1,000 by category of service, including, but not limited to,
6 legal, instructional, management, accounting, architecture,
7 public relations and maintenance. The list shall contain the
8 name and address of the contractor, a statement of the nature of
9 the duties of the contractor and the academic and administrative
10 support unit for which the duties are performed. If a purchase
11 of service contract exceeds 10% of the total aggregate
12 expenditure of the contract category per academic or
13 administrative support unit, then the contracted amount shall
14 also be listed.
15 (7) A list of purchase of goods contracts which exceed
16 $1,000. The list shall contain the name and address of the
17 contractor and a list of the goods purchased and the academic or
18 administrative support unit for which such goods were
19 contracted. If a purchase of goods contract exceeds 10% of the
20 total aggregate expenditure per academic or administrative
21 support unit, then the contracted amount shall also be listed.
22 (8) A list by academic or administrative support unit in the
23 aggregate, of the expenses of travel, subsistence and lodging,
24 whether provided or reimbursed.
25 (d) The university shall submit a report of the information
26 under subsections (b) and (c) to the Education Committee of the
27 Senate and the Appropriations Committee of the Senate and the
28 Education Committee of the House of Representatives and the
29 Appropriations Committee of the House of Representatives. In
30 addition, the university shall submit a copy of the report to
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1 each of the following:
2 (1) Governor's Office.
3 (2) Secretary of Education.
4 (3) State Treasurer.
5 (4) Auditor General.
6 (5) Joint State Government Commission.
7 Each such institution shall maintain a copy of the report in the
8 institution's library and shall submit a copy to each of the
9 four State regional library resource centers.
10 (e) A university's report required to be submitted under
11 this section shall be submitted within 180 days of the close of
12 the university's current fiscal year.
13 (f) The Joint State Government Commission shall develop a
14 statistical comparison analysis recognizing differences in
15 missions from the reports made under this section. A majority of
16 the members of the commission may request additional
17 documentation, except for salary or identity of individuals,
18 necessary to complete the comparative analysis. The comparison
19 shall be provided to the Education Committee of the Senate and
20 the Appropriations Committee of the Senate and the Education
21 Committee of the House of Representatives and the Appropriations
22 Committee of the House of Representatives and the four State
23 regional libraries.
24 (g) The university shall make a copy of the minutes of each
25 public meeting of the institution's board of trustees, as well
26 as a copy of the institution's integrated postsecondary
27 education data systems report, available for public inspection
28 in the institution's library.
29 Section 8 11. The Lincoln University shall provide full, <--
30 complete and accurate information as may be required by the
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1 Department of Education or the majority chairman or the minority <--
2 chairman of the Appropriations Committee of the Senate or the
3 majority chairman or the minority chairman of the Appropriations <--
4 Committee of the House of Representatives.
5 Section 9 12. Lincoln University shall report its revenues <--
6 and expenditures and present its financial statements required
7 under the provisions of this act in accordance with generally
8 accepted accounting principles and procedures for educational
9 institutions as set forth in the "Higher Education Finance
10 Manual, United States Department of Health, Education and
11 Welfare (1975)" and the "Commonwealth of Pennsylvania Budget
12 Instructions for the State System of Higher Education, State-
13 Related Universities and Non-State-Related Colleges and
14 Universities."
15 Section 10 13. This act shall take effect July 1, 1998, or <--
16 immediately, whichever is later.
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