SECTION I: POLICIES AND PROCEDURES
NEW YORK STATE ASSOCIATION FOR SUPERVISION AND CURRICULUM DEVELOPMENT
POLICY #1 . SPECIFIC DUTIES OF EXECUTIVE BOARD OFFICERS
1. Specific duties of the office of President shall be:
a. Exercise general supervision of all activities of the Association
b. Interpret the constitution and other regulations of the Association to its members
c. Ensure that the activities of NYSASCD are aligned with the strategic plan
d. Act as representative of the Association in professional activities of a general nature, or see that an official representative of NYSASCD attends all meetings to which NYSASCD is officially invited, as authorized by the Executive Board
e. Request recommendations for appointment to committees from Executive Board members. Such appointments are subject to confirmation by a majority of the Executive Board.
f. Act as liaison with ASCD and bring to the attention of the Executive Board correspondence from ASCD and all professional groups with which NYSASCD is affiliated
g. Meet with regional affiliates upon request
h. Assist the Treasurer, the President Elect and the Executive Director in preparing a budget proposal for the next fiscal year
i. Write letters to Chief School Officers in reference to the honor and responsibility which has come to persons in that school district through being elected to and/or having served in office of NYSASCD, as soon as possible after the annual meeting.
j. Make a careful selection of the critical correspondence as received and/or sent, and regularly deliver copies of this correspondence into the hands of the Executive Director and regularly and accurately report information to the entire Executive Board. It is understood that any contact with individual members of the Board to whom the correspondence is relevant will be made at the first possible moment following the receipt of the correspondence.
k. Maintain written and/or electronic communication with the Executive Board
l. ign all contracts required to carry out the activities of the organization
2. Specific duties of the President-Elect shall be:
a. Be responsible for review and suggested revision of the Constitution as per Article XIV of the Constitution.
b. Attend the orientation meeting for Presidents-Elect presented by ASCD.
c. Assist the Treasurer, President and Executive Director in preparing a budget proposal for Executive Board approval at the annual Reorganization meeting.
d. Work cooperatively with the president regarding committee appointments having carryover into the next administration.
e. Serve as Chairperson of the Annual State Conference.
f. Fulfill the duties of the President-Elect as per Article IV of the NYSASCD Constitution.
3. Specific duties of the Vice-President for Communications & Affiliate Relations
a. Coordinate ongoing communications between affiliates and NYSASCD.
b. Work with the NYSASCD office to ensure that each affiliate meets requirements to maintain affiliation.
c. Work with the President to ensure each regional affiliate has a NYSASCD Board member who is actively serving as its liaison to the NYSASCD Board
d. Keep the President informed of affiliate activities and needs
e. Assist the Executive Committee in exploring and developing emerging affiliates.
f. Serve as Vice-Chairperson of the Annual State Conference
4.Specific duties of the Secretary shall be:
a. Submit to the Executive Director a copy of the draft minutes at the conclusion of each Board meeting.
b. Submit to all Board members and the Executive Director a printed draft of the Board minutes within two(2) weeks of the conclusion of the Board meeting
c. Submit to the Executive Director, corrected and signed copies of all minutes for inclusion in the official records of NYSASCD
5. Specific duties of the Treasurer shall be:
a. Prepare a proposed budget assisted by the President, President-Elect and the Executive Director for the next fiscal year to be presented to the Executive Board at the Annual Reorganization Meeting
b. Keep in permanent form, an up to date financial record of all receipts and disbursements
c. Supervise the receipt of all monies from any source. the Executive Director and/or members of the Executive Board for Association activities.
d. Pay all invoices approved by the Executive Director and vouchers which have been signed and approved by the president and Executive Board Members or committee chairpersons
e. Present to the Executive Board financial reports at each of the Executive Board Meetings and at the Annual Meeting
f. Maintain appropriate records for all State and IRS matters
g. Provide for an audit conducted annually by a Board appointed audit committee
POLICY #2 SPECIFIC DUTIES OF REPRESENTATIVES AT LARGE
a. Support the Strategic Plan of NYSASCD
b. Serve as a liaison to regional affiliates
c. Interpret legislation and its effect on curriculum and supervision
d. Publicize and advertise NYSASCD through involvement at the local level in advisory committees, other professional organizations and local affiliates.
e. Support regional affiliates in formulating programs for the year.
f. Assist affiliates with internal structuring
g. Represent NYSASCD at affiliate meetings
h. Coordinate information for the NYSASCD Newsletter and Journal
i. Fulfill assigned conference responsibilities
GENERAL RESPONSIBILITIES OF EXECUTIVE BOARD MEMBERS
a. Acceptance of a position on the Board is agreement to fulfill certain required duties. NYSASCD Executive Board members are expected to attend:
· June/July/August Reorganization Meeting and Retreat
· Fall Meeting
· Annual Meeting
· Spring Meeting
EXCESSIVE ABSENTEEEISM OF BORAD MEMBER
b. All Executive Board members are encouraged to attend the Spring meeting which is held at the ASCD National Conference. Executive Board members who are Guaranteed or Proportional Representatives are expected to attend the annual Spring meeting.
c. If an Executive Board member misses three meeting calendar dates during his/her year term of office, the Executive Board will review the absences. After the review of the absenteeism, the Executive Board will recommend action that will be implemented by the President. Actions for excessive absenteeism can include:
·No action taken
·A conversation between the President and the Board Member
· A letter from the President outlining the concern
·A letter removing the member from the Executive Board supported by an Executive Board vote of 2/3 of the Board members. The letter will notify the Board member of the decision within thirty days from the date that the Executive Board voted upon the decision
POLICY #3. AFFILIATIONS
NYSASCD AND REGIONAL AFFILIATES
NYSASCD supports the development of regional affiliates through the work of the Executive Director and the Vice President for Communications and Affiliate Relation
It shall be the duty of the Vice President for Communications and Affiliate Relations to coordinate the implementation of the communication goals and activities as specified by the Strategic Plan and serve as the liaison to the Regional Affiliates.
The Vice President for Communications and Affiliate Relations shall serve as the Vice Chair of the Annual Conference Committee.
Relationship of Regional Affiliates to NYSASCD
1.Criteria for Affiliation: A group may apply to become an affiliate of NYSASCD if it meets the following criteria:
a. It has an active membership of at least twenty five(25) members.
b. The membership of the organization consists of representatives from two or more educational institutions
c. There is not a recognized affiliate already operating in the region
d. It has developed an organization with a constitution and operational procedures that are consistent with those of the NYSASCD constitution.
A group desiring affiliation must submit an application for affiliation to the Executive Director of NYSASCD. Consideration will be given by the Executive Board of NYSASCD. The Executive Director shall submit the application to the Executive Board for review and action at the Board’s next regularly scheduled meeting.
2.Working Relationship with Affiliates:
a. The President of each local affiliate shall work closely with the Executive Director and the Vice President for Communications and Affiliate Relations of NYSASCD.
b. Annually, the local affiliates will be responsible for providing the Vice President for Communications and Affiliate Relations and the Executive Director of NYSASCD with a list of officers for the current year, a copy of the affiliates constitution, a mailing list of the affiliate’s members and an agenda of planned activities for the year.
3.Procedure for Disaffiliation:
Failure to comply with the requirements for affiliation stated in this policy will necessitate revocation of affiliate status. Any affiliate which does not comply with the above and schedule at least one general program annually for its group, will be contacted. If such contacts fail to bring about compliance on the part of the regional affiliate then the Executive Director shall bring the matter to the attention of the President of the Executive Board.
The President will then recommend to the Executive Board that the affiliate’s relationship with NYSASCD be terminated at the next Executive Board meeting.
(a) The Board shall notify the last known officers of the regional affiliate of t the lack of compliance with NYSASCD policy via registered mail. Further the Board shall notify the last known officers of its intent to terminate their affiliation with NYSASCD. This termination shall deny the former affiliate the use of the ASCD name or logo.
Board action will not be final until such notice has been given and no further communication has been received from members of the affiliate
(b)The President shall notify national ASCD of the dissolution action taken by the Board. A copy of the appropriate Board resolution shall be included with the notification
Policy # 4. NYSASCD Partnerships
NYSASCD shall establish and maintain relationships or partnerships with other professional organizations in New York State whose purposes are related to and support NYSASCD’s Mission and Strategic Plan.
The procedure for establishing either a short term or a long term relationship or partnership shall be as follows:
NYSASCD Executive Board members or staff members having communicated with or been communicated with by another professional group for the purpose of establishing a relationship or partnership shall forward such information to the NYSASCD office which shall then forward the proposal to the Executive Committee
The following preliminary information must be provided:
· Organization name
· Organization address
· Organization contact information
· Executive Director of the organization
· Current officers of the organization
· Mission and purpose of the organization
· A statement indicating the specific reasons for the proposed relationship or partnership
· Proposed duration of relationship partnership
A willingness to demonstrate the ability to fulfill financial obligations related to the proposed relationship or partnership.
The NYSASCD Executive Committee upon review of the preliminary information, will decide whether to pursue the proposal or to reject the proposal
The NYSASCD Executive Committee shall have the authority to act on behalf of the NYSASCD Executive Board determining future course(s) of action. In any case, the Executive Committee must notify the Executive Board of all actions by the next Board meeting.
Forms to be submitted to the Executive Committee as follows:
ORGANIZATIONAL RELATIONSHIP PROPOSAL
NYSASCD will consider forming relationships with organizations that share a common goal or are aligned on a specific activity. NYSASCD will neither accept invitations from nor participate in any activity or organization that does not support an equal opportunity or nondiscrimination policy.
The Executive Committee will review requests and submit recommendations to the Board. If the Board approves the establishment of the relationship a written agreement between the governing bodies will be prepared if deemed necessary).
Short term relationships will remain in effect for the duration of the specific activity. Long tem relationships will be reviewed annually and renewed or discontinued.
Each organization will maintain its own identity. Liaison representatives will be designated as needed. Allocation of funds is subject to Board approval. The number of relationships at any given time will be determined by the Board.
PRESIDENT OF ORGANIZATION:__________________________________________________________________
EXECUTIVE DIRECTOR OF ORGANIZATION:__________________________________________________________________
PHONE (_______)____________________________FAX (________)________________________
(1) What is the purpose of the proposed relationship?
(2) What is the initiation date of the proposed relationship?
(3) How long is the projected relationship projected to last?
(4) What commitments will the relationship require?
TYPE WHAT WHY HOW MUCH
Fiscal (travel, registration etc)
Time (Attendance At meetings, Preparation)
Organizational Endorsements (co-sponsorship, NYSASCD name on advertising etc.)
POLICY #5 FISCAL POLICY
The President, Executive Director and all Executive Board members are responsible to act in accordance with the fiscal policies established by the Executive Board
a) Preparation Responsibility
The Treasurer, President, President-Elect, and Executive Director , are resposnible for the formulation of the budget for each fiscal year.
b) Preparation Procedures
At least sixty(60) days in advance of the Annual Reorganization Meeting, the Chairperson of each established Committee shall submit to the Executive Director and Treasurer a detailed budget proposal for the committee’s functions for the next fiscal year
The President, President-Elect, Treasurer and Executive Director shall meet prior to the Annual Reorganization meeting to prepare a preliminary budget proposal for the Executive Board
The Treasurer will present the preliminary budget proposal to the Executive Board at the Annual Reorganization Meeting
c) Budget Approval
Final approval of the proposed budget for the next fiscal year will be made by the Executive Board at the Annual Reorganization Meeting.
Revision of the budget amounts in excess of the approved allocated budget may be made only by prior approval of three fourths of the total membership of the Executive Board
The budget is to be developed and budget accounting is to be maintained as per the budget codes established by the Executive Board and as shown in the Appendix of this manual
3. Tax Exemption
NYSASCD was granted tax exemtpion status by the State of New York, Department of Taxation and Finance, Sales Tax Bureau on July 5, 1973. The U.S. Government granted tax exemption status and issued a Federal Employee Identification Number (FEIN) NYSASCD on July 25,1975. This requires a report to the Internal Revenue Service annually.
The Executive Director, the President and the Treasurer shall each be bonded annually, for an amount to be determined by the Executive Board. The responsibility will be that of the Treasurer
5. Check-Signing Authority
The Association Treasurer and the President of the Executive Board shall be authorized to sign checks. Only one signature shall be required on written checks
6. Allowable Expenses
Allowable expenses for meetings of the Executive Board, functions of the office of Executive Director and expenses of committees approved by the Executive Board will be assumed by NYSASCD. All expenses must be within the approved budget. Itemized receipts must accompany the expense voucher.
All payments for items within the approved budget(allowable expenses) must have the final approval of the President. Initial approval for expenses incurred by all committees must be made by the Chairperson of the committee.
Expenses of the President are to be approved by the Immediate Past President
Lodging reimbursement will be at the rate of the most economically feasible accommodations
Travel for authorized purposes is reimbursable. Travel by automobile will be at the current rate established for automobile travel by the Federal government
Travel other than by car requires the approval of the President and should not exceed the cost of regular mileage reimbursement.
Roundtrip mileage over 150 miles per meeting to attend regularly scheduled Executive Board meetings and the Annual Retreat can be reimbursed
Charges for calls pertaining to assignments related to NYSASCD functions shall be the responsibility of NYSASCD. Vouchers for charges for telephone calls shall include the names of the parties involved in the call. Copies of phone bills shall be submitted.
Charges for authorized calls pertaining to assignments related to NYSASCD functions are reimbursable. Claims for reimbursement must include the names of all individuals involved in the activity.
Meals will be reimbursed at a reasonable amount as determined by the Executive Board. Alcoholic beverages are specifically excluded
(NYSASCD Claim Forms are to be used for reimbursement requests)
POLICY # 6 COMMITTEES
The strength of NYSASCD will depend on the degree to which the organization can perform needed services for the membership. The annual conference and the publications are the most visible services, but in order for these to to be of value, the ongoing program of the organization will depend on committees. Dynamic , working committees will translate purpose into action and move forward the progress of NYSASCD
The membership of each committee shall be appointed by the President each year and be subject to the approval of the Executive Board. The President shall notify each committee chairperson of the approval of the committee, its charge, and budget no later than September 1st of each year. A member of the Executive Board shall be named as liaison to each committee and report activities of the committee at each Board meeting.
Since NYSASCD represents all NYSASCD members, nominations for committees must be chosen from the total membership. Regional affiliates are invited to suggest members of NYSASCD who would be effective members of committees.
Each committee should be familiar with the work of any related committee of national ASCD and take into consideration recommendations and action of such a committee. The chairperson of each committee should be responsible for the following duties:
1. Prepare an annual report of the committee’s activities to the Executive Director by May 1st.
2. Prepare an annual written budget report to be submitted to the Executive Director by May 1st.
3. Prepare a proposed request for the next fiscal year no later than May 1st . This proposed budget is to be sent to the Executive Director.
4. Copy the NYSASCD office on all communications where the committee chair is serving as a representative of NYSASCD.
There will be the following standing committees: Nominations Committee. Influence Committee and Membership Committee In addition, other ad hoc committees will be formed when deemed necessary or desirable by the Executive Board.
The work of established committees insures that critical NYSASCD goals are met in a high quality and efficient manner. Committees assume the responsibility to carry on the work of NYSASCD between Executive Board meetings and involve Board members and interested general members in striving to accomplish our mission and strategic plans.
The following are guidelines for all NYSASCD committees:
· Each committee shall have a committee chairperson appointed by the president of NYSASCD
· Each committee shall report to the president
· Committees shall be appointed by the president with the full knowledge of the executive Board
· Committees shall be made up of Executive Board members and other NYSASCD members
· Committees shall strive to represent the diversity of the general membership
· Committees who wish to add members shall do so at the approval of the Executive Committee
· Each appointed committee shall report to the Executive Board at Board meetings as a standing agenda item
· Requested committee reports shall be sent to the President and the Executive Director at least two weeks prior to each Executive Board Meeting.
· Committee reports to the Executive Board shall contain:
b-Current activities dates, time, places, actions)
d-Items for Board approval
· Committee meeting minutes shall be kept and copies shall be sent to the Executive Committee
· Committees shall each have a budget approved by the Executive Board.
. All expenses accrued by the committee shall be approved by the committee chairperson and submitted to the NYSASCD office
· Committees requesting funds above and beyond the approved budgeted amount shall forward a written request to the Executive Committee.
POLICY # 7 . ANNUAL CONFERENCE
The Annual Conference serves the membership by bringing together educational leaders for discussion, exploration or exemplary educational practices, and the opportunity to exchange ideas.
Registration fees for members and non-members and charges to exhibitors will be established and approved by the Executive Board Conference Planning Committee
The Conference Planning Committee shall consist, minimally, of the President Elect and the Vice President of NYSASCD. The President Elect shall be the chairperson of the Planning Committee and shall recommend to The President and the Executive Board any additional members that the Chairperson feels are necessary to carry out the functions of this committee
Tasks and Responsibilities:
The Chairperson shall work with the President and the Executive Director throughout the year while the Conference is being planned. Reports to the Executive Board shall be made on a regular basis or, at minimum, at the scheduled meetings of the Executive Board
The Chairperson in cooperation with the Executive Director and the Treasurer, shall present an analysis of all costs and revenues associated with the Annual Conference, at the first meeting of the Executive Board following the Conference.
The Chairperson in cooperation with the Executive Director shall develop evaluation procedures for all conference activities. The evaluation should seek information from conference participants concerning facilities, presenters conference schedule, and overall program . Annual Conference evaluations should be presented to the Executive Board at its first meeting following the conference.
The Executive Board may at its discretion, plan for other conferences, symposiums, workshops as it sees fit. These conferences may be sponsored solely by NYSASCD or in collaboration with NYSASCD affiliates or other professional organizations in the State or region which meet the goals and purposes of NYSASCD
POLICY # 8 NOMINATIONS COMMITTEE
The Nominations Committee shall be organized according to Article VIII of the Constitution of the New York State Association for Supervision and Curriculum Development
The Nominations Committee shall:
1. Request from the Executive Director the titles, terms and responsibilities of the offices to be filled
2. Obtain from the Executive Director the names of the Affiliate Presidents so that they could be consulted by the Committee in making its recommendations
3. Obtain from the Executive Director the names and vitae sheets of potential Board candidates who were recommended for consideration by prior nominating committees
4. Extend to the membership, including the Executive Board, an invitation to submit names for committee consideration. Such invitation shall be printed in Developments by February.
5. Send a letter to each candidate listing the duties and the commitment required for acceptance as a candidate
6. Communicate with each candidate to verify the individual ’s willingness to accept a position and their understanding of the duties and commitments of being an officer or Board Member
7. The Nominations Committee shall prepare a proposed slate of officers in accordance with the following guidelines:
a. No one on the Nominating Committee shall be a nominee
b. Each candidate shall have been a member of NYSASCD for at least the full year prior to being nominated.
c. The slate shall reflect as nearly as possible, a balanced representation of geographical locations, minority groups and professional positions
d. Candidates shall be nominated by a majority vote of the Committee. The Chairperson shall vote only in the case of ties
8. The Chairperson of the Committee shall notify the President and the Executive Director of the results of the actions of the Committee through a written report to be submitted no later than April 15th. The Executive Director and the President shall inform the Executive board of the slate proposed by the Nominations Committee
9. The Slate proposed by the Nominations Committee, shall be presented to the NYSASCD membership for a vote, in the Association Newsletter and on its web site no later than May 15th. The voting period shall be from May 15—June 15.
10.The Chairperson shall send a thank you letter to those not nominated
POLICY # 9: PUBLICATIONS
IMPACT on Instructional Improvement
IMPACT, a journal of NYSASCD, shall focus upon reporting issues in curriculum theory and practice as they are significant to improving instruction in public education.
The staff of IMPACT with input and the approval of the Executive Board, shall select and develop a theme for each issue of the journal. Recognized experts on different aspects of each theme shall be solicited to submit articles for the journal. A balance of expertise from both the theoretical and practical shall be solicited in developing each theme IMPACT shall attempt to organize both creative and established approaches to topics agreed upon as imperative to the existing and emerging challenges to supervision and curriculum development in the public schools of New York State.
Policies and Procedures
1. The Executive Director of NYSASCD shall be the managing editor of the journal
2. Issue editors will be solicited and recommended for approval by the managing editor to the Executive Board
3. Deadlines for the submission of articles, preparation of copy for word processing, printing, labeling and distribution shall be established by the managing editor.
4. Each issue of the journal shall include an editorial and information statement. This is to advise readers of procedures for submitting articles and of the required format for the submission of articles for the journal
5. Issue editors will work directly with the managing editor and have the following responsibilities:
a. Contact prospective authors and discuss the following
b. Purpose of the Journal
c. Theme of the issue
d. Focus of the article the author might write
e. Length of the article desired
f. Format of the article to be submitted
g. Deadline for article submission
h. Biographical data needed to accompany article
1. Send to each author a confirming letter restating all dates and conditions agreed upon
2. Proofreading, editing and correction of copy shall be performed by the guest editor before sending the issue copy to the managing editor
i. Letters of appreciation from the managing editor will be sent to authors accompanied by a copy of the journal
The Association Newsletter
The Newsletter shall be published periodically as a vehicle to disseminate information which is:
1. Stipulated by the Constitution and Bylaws as necessary for the fair and open conduct of the business of the organization
2. potentially newsworthy for the membership of the organization
3. representative of the organization’s activities
The Executive Director of NYSASCD shall be the editor of the Newsletter. The editor of the Newsletter shall be responsible for:
1. Specifying the content of each issue in accordance with the policies of the publication
2. Contacting and securing, material from appropriate persons in the organization
3. Writing, editing, or rewriting material in accordance with acceptable Newsletter format
4. Coordinating the word processing, printing , labeling and distribution of the Newsletter
5. Sending letters of appreciation to persons who contributed material for the Newsletter
The Executive Director shall make recommendations to the Executive Board regarding the Newsletter format and function, including efficient and economic ways to publish
POLICY #10- EDUCATOR OF THE YEAR AWARD ( Revised 2007)
NYSASCD MISSION “Assisting educators in the development and delivery of quality instructional programs and supervisory practices to maximize success for learners.”
As an outgrowth of our mission statement, the NYSASCD Executive Board has created the Educator of the Year award to encourage excellence in our field by recognizing significant long-term or short-term contributions to education in New York State.
The NYSASCD award committee will consider the following criteria in bestowing the Educator of the Year award:
· The recipient can either be a member or a non-member of NYSASCD. Current NYSASCD Executive Board members are not eligible for the award
· There must be an explicit connection between the accomplishments of the recipient and the NYSASCD mission statement and at least one or more of its purposes:
To improve educational programs and supervisory practices at all levels and in all curricular fields throughout New York State
To help schools achieve balanced programs so that equal and quality educational opportunities are assured for all students
To identify and disseminate successful practices in instruction, curriculum development, and supervision
To have a strong voice in the educational affairs of the state by working closely with the State Education Department and other educational groups across the state and nation
1. The final decision on the selection of the NYSASCD Educator of the Year shall rest with the Executive Board
2. Nominations can be made annually to the board member designated at the Reorganization Meeting, as the Chair of the Educator of the Year Award Committee.
The award shall be advertised in the NYSASCD Newsletter and website, as well as via communications with the affiliates. NYSASCD affiliates as well as individuals will be invited to submit nominations. Nominations may be made through the NYSASCD website, or through submission of a hard copy of the nomination form. The chair of the committee shall present the award nominees to the board for the final selection at the July Reorganization Meeting.
3. The award recipient(s) will be honored with a commemorative remembrance, will be featured in an NYSASCD Newsletter and website, and may be invited to speak at various NYSASCD gatherings.
POLICY # 11 POLICIES AND PROCEDURES REVISION
1. The Executive Director will recommend to the Board approval of appropriate updates of policies and procedures to maintain alignment with the Constitution and Executive Board actions. The Executive Director will also be responsible for sending copies of revised or added pages to all NYSASCD Board members . Distribution will be prior to the next regularly scheduled Executive Board meeting
2. If revisions are required as the result of Executive Board action, the Executive Director will prepare revised page(s) and send them with the minutes to members of the Executive Board. Revised pages will also be sent to any holders of the Handbooks who are not members of the Executive Board
POLICY # 12 Whistleblower Policy
The New York State Association for Supervision and Curriculum Development (NYSASCD) requires directors, officers and employees to observe high standards of business and personal ethics in the con-duct of their duties and responsibilities. As employees and representatives of NYSASCD, we must practice honesty and integrity in fulfilling our responsibilities and comply with applicable laws, regulations, and the organization’s code of ethics.
It is the responsibility of all board members and employees to comply with this policy and to report violations or suspected violations in accordance with details set forth in this policy.
No board member or employee who in good faith reports a violation of the Whistleblower Policy shall suffer harassment, retaliation or adverse employment consequence. An employee who retaliates against someone who has reported a violation in good faith is subject to disciplinary action up to and including removal from the board and/or termination of employment. This Whistleblower Policy is in-tended to encourage and enable employees and others to raise serious concerns within the organization prior to seeking resolution outside the organization.
New York ASCD has an open door policy and suggests that employees and Board members share their questions, concerns, suggestions or complaints with someone who can address them properly. If an employee is not comfortable speaking with the Executive Director or is not satisfied with that person’s response, the employee is encouraged to speak with the president of the Board. The Executive Director and Board president are required to report suspected violations to the organization’s compliance officer, who has specific and exclusive responsibility to investigate all reported violations. For suspected fraud, or when someone is not satisfied or uncomfortable with following the organization’s open door policy, individuals should contact the organization’s compliance officer directly.
The organization’s compliance officer is responsible for investigating and resolving reported complaints and allegations concerning violations of the code of conduct and, at his/her discretion, shall advise the Executive Director and/or members of the Board’s Executive Committee. The compliance officer is required to report to the Board at least annually on compliance activity.
Accounting and Auditing Matters
The Executive Committee of the Executive Board of Directors shall address all reported concerns or complaints regarding organizational accounting practices, internal controls or auditing. The compliance officer shall immediately notify the Executive Committee of any such complaints and work with the committee until the matter is resolved.
Acting in Good Faith
Anyone filing a complaint concerning a violation or suspected violation of expected conduct is believed to be acting in good faith and have reasonable grounds for believing the information disclosed indicates a violation of the agreed upon code of conduct. Any allegations that prove not to be substantiated and which prove to have been made maliciously or knowingly to be false will be viewed as a serious disciplinary offense.
Violations or suspected violations may be submitted on a confidential basis by the complainant or may be submitted anonymously. Reports of violations or suspected violations will be kept confidential to the extent possible, consistent with the need to conduct an adequate investigation.
Handling of Reported Violations
The compliance officer will notify the sender and acknowledge receipt of the reported violation or suspected violation within five business days. All reports will be promptly investigated and appropriate corrective action will be taken if warranted by the investigation.
This policy adopted and revised from the National Council of Nonprofit Associations, www.ncna.org. Adopted January 24, 2009
BOARD POLICY # 13 NYSASCD Conflict of Interest Policy
In the course of business, situations may arise in which a New York State ASCD decision-maker has a conflict of interest, or in which the process of making a decision may create an appearance of a conflict of interest.
The Executive Director, other employees, and members of the Executive Board have an obligation to:
· Avoid conflicts of interest, or the appearance of conflicts, between their personal interests and those of the organization in dealing with outside entities or individuals.
· Disclose real and apparent conflicts of interest to the Executive Board and
· Refrain from participation in any decisions on matters that involve a real conflict of interest or the appearance of a conflict.
What Constitutes a Conflict of Interest
A conflict of interest arises when an employee or Board member involved in making a decision is in the position to benefit, directly or indirectly, from his/her dealings with the organization or person conducting business with the organization.
Examples of conflicts of interest include, but are not limited to, situations in which an employee or Board member of the organization:
· Negotiates or approves a contract, purchase, or lease on behalf of NYSASCD and has a direct or indirect interest in, or receives personal benefit from, NYSASCD or individual providing the goods or services.
· Employs or approves the employment of, on behalf of NYSASCD, a person who is an immediate family member of the employee or a Board member.
· Sells products or services offered by NYSASCD in competition with the organization.
· Uses the NYSASCD’s assets, employees, or other resources for personal gain.
· Receives a substantial gift from a vendor, if the employee or Board member is responsible for initiating or approving purchases from that vendor.
Violations of this Policy
Given the importance of resolving conflicts of interest, violations of this policy, including failure to disclose conflicts of interest, may result in termination of a Board member, Executive Director, or other employee (at the direction of the Executive Board)
Failure to comply with the standards contained in this policy will result in disciplinary action that may include termination, referral for criminal prosecution, and reimbursement to the organization or to the government, for any loss or damage resulting from the violation. As with all matters involving disciplinary action, principles of fairness will apply. Any employee charged with a violation of this policy will be afforded an opportunity to explain her/his actions before disciplinary action is taken.
Disciplinary action will be taken:
· Against any employee or Board member who authorizes or participates directly in actions that are a violation of this policy.
· Against any employee or Board member who has deliberately failed to report a violation or deliberately with relevant and material information concerning a violation of this policy.
· Against any employee or Board member who attempts to retaliate, directly or indirectly, or encourages others to do so, against any employee who reports a violation of this policy.
The first step in addressing conflicts of interest is disclosure. A Board member or employee who believes that he/she may be perceived as having a conflict of interest in a discussion or decision must disclose that conflict to the group making the decision. Most concerns about conflicts of interest may be resolved and appropriately addressed through prompt and complete disclosure.
In furtherance of that objective, NYSASCD has adopted the following requirements:
On an annual basis, all Board members and employees with purchasing and/or hiring responsibilities or authority shall make a written disclosure to the Executive Director and the Executive Committee of all reportable conflicts.
Prior to the preparation of the disclosure statements, staff shall make available, upon request from any individual(s), a list of all vendors with whom NYSASCD has transacted business at any time during the preceding year.
The Executive Committee shall review all written forms and determine appropriate resolution in accordance with the next section of this policy.
Resolution of Conflicts of Interest
All real or apparent conflicts of interest shall be disclosed to the Executive Committee and the Executive Director of NYSASCD.
The Executive Committee shall be responsible for making all decisions concerning resolutions of conflicts involving Board members and employees. Should the reportable conflict involve a member of the Executive Committee, the President shall be responsible for making all decisions concerning resolutions of conflicts involving the committee member.
The Executive Director shall be responsible for making all decisions concerning resolutions of conflicts involving other employees, subject to the approval of the Executive Committee.
An employee or Board member may appeal a determination that an actual or apparent conflict of interest exists. The appeal must be directed to the president of the Board. Appeals must be made within 30 days of the initial determination. Resolution of the appeal shall be made by vote of the full Executive Board. Board members who are the subject of the appeal, or who have a conflict of interests with respect to the subject of the appeal, shall abstain from participating in discussing or voting on the resolution, unless their discussion is requested by the remaining members of the Board.
Adopted, January 24, 2009