Motor Vehicle Management and Personal and Professional Service Contracts: Difference between pages

Revision as of 17:11, 31 May 2016

Policy 509.20

Introduction

1.1 This policy provides guidance related to service contracts entered into by Appalachian State University to ensure compliance with all applicable federal and State laws, and University policies.

Scope

2.1 This policy applies to all faculty and staff.

Definitions

Personal and Professional Services

"Personal and professional services" are those performed by a professional individual on a temporary or occasional basis, including but not limited to those provided by a doctor, dentist, attorney, architect, professional engineer, scientist, or performer of the fine arts and similar professions.

Consultant Services

"Consultant services" shall mean work or task(s) performed by state employees or independent contractors possessing specialized knowledge, experience, expertise and professional qualifications to investigate assigned problems or projects and to provide counsel, review, analysis or advice in formulating or implementing improvements in programs or services. This includes, but is not limited to, the organization, planning, directing, control, evaluation and operation of a program, agency or department.

Policy and Procedure Statements

Contracts

4.1.1 Personal service contracts are not reviewed by the Purchasing Office unless the services are consulting in nature. Care must be taken to ensure that personal service contracts are not used to circumvent personnel procedures and that the appearance of an employer/employee relationship is not created. A checklist is provided to assist with this determination in the event the relationship is not clear.

4.1.2 It is the policy of Appalachian State University that goods and services will not be purchased from Appalachian State University employees or state employees. Any exception to this policy must be reviewed and approved in advance of services being provided or goods being purchased.

4.1.3 The responsible individual or project director should complete a contract using a university approved template and obtain all approvals in advance of the service being performed. This will assist with verifying that the contractor performing the service can legally be paid for contracted services and is not classified as an Appalachian State University employee.

4.1.4 The contract shall include the following information:

The name, address, and social security number of the person (or tax identification number of the firm) with whom the contract has been made.
The services to be performed by the individual or firm and the dates the services begin and end.
The total amount of compensation for the services performed (an all-inclusive amount, unless otherwise approved by the Controller or their designee in advance before the contract is signed).

The contract shall be signed by the applicable Vice Chancellor or Cabinet Member (including the HR Director and Athletics Director), and the person, company or firm providing the services. Signatures should be gathered after all appropriate reviews have been completed. The Vice Chancellor or Cabinet Member may delegate his or her signature authority on a temporary or permanent basis, however, all such delegations shall be made in writing and delivered to the Office of General Counsel.

4.1.5 Contracts evidenced by a form other than the standard templates provided by the University can also be used provided they are approved by the chancellor or a vice chancellor in advance. An example might be a contract associated with a performer or entertainer.

4.1.6 Payment for Services - Contractors paid for services performed will be paid from the Direct Payment form with a copy of the contract attached for each payment.

4.1.7 Advance Payments - In general, payments to contractors should not be made in advance. The project director is responsible for making sure the services are complete and satisfactory before releasing funds to the contractor.

4.1.8 Exceptions to Policy - With the exception of payments as described in 4.1.7 above, failure by a department to obtain all necessary approvals prior to the commencement of work is deemed non-compliant with university policy. Non-compliance carries the risk that the payment may be delayed or denied. In cases of non-compliance the following steps are taken to request payment: In addition to submitting the Direct Payment Form with a copy of the contract attached, a memo is written by the person authorizing the commencement of work explaining why policy was not followed, and lists steps to be taken to make sure policies are followed in the future. This memo shall be acknowledged by the Vice Chancellor or other Cabinet Member responsible for the Department or Unit that is supplying the memo.

4.1.6 Contracts evidenced by a form other than the standard templates provided by the University can also be used provided they are approved by the chancellor or a vice chancellor in advance. An example might be a contract associated with a performer or entertainer.

4.1.7 Payment for Services - Contractors paid for services performed will be paid from the Direct Payment form with a copy of the contract attached for each payment.

4.1.8 Advance Payments – In general, payments to contractors should not be made in advance. The project director is responsible for making sure the services are complete and satisfactory before releasing funds to the contractor.

4.1.9 Exceptions to Policy – With the exception of payments as described in 4.1.8 above, failure by a department to obtain all necessary approvals prior to the commencement of work is deemed non-compliant with university policy. Non-compliance carries the risk that the payment may be delayed or denied. In cases of non-compliance the following steps are taken to request payment:

4.1.10 In addition to submitting the Direct Payment Form with a copy of the contract attached, a memo is written by the person authorizing the commencement of work explaining why ASU policy was not followed, and lists steps to be taken to make sure policies are followed in the future. This memo is acknowledged by the vice chancellor or other senior administrator.

Additional References

Authority

Internal Revenue Code, 26 U.S.C. 1, et seq.

Contact Information

Office of General Counsel - 828-262-2751

Controller’s Office - 828-262-2110

Original Effective Date

February 20, 2012

Revision Dates

@@ Line 1: / Line 1: @@
-Policy 507.10
+Policy 509.20
 == Introduction ==
+.1 This policy provides guidance related to service contracts entered into by Appalachian State University to ensure compliance with all applicable federal and State laws, and University policies.
 == Scope ==
+.1 This policy applies to all faculty and staff.
 == Definitions  ==
+=== Personal and Professional Services ===
+:"Personal and professional services" are those performed by a professional individual on a temporary or occasional basis, including but not limited to those provided by a doctor, dentist, attorney, architect, professional engineer, scientist, or performer of the fine arts and similar professions.
+=== Consultant Services ===
+:"Consultant services" shall mean work or task(s) performed by state employees or independent contractors possessing specialized knowledge, experience, expertise and professional qualifications to investigate assigned problems or projects and to provide counsel, review, analysis or advice in formulating or implementing improvements in programs or services. This includes, but is not limited to, the organization, planning, directing, control, evaluation and operation of a program, agency or department.
 == Policy and Procedure Statements  ==
-=== Motor Vehicles ===
+=== Contracts ===
+.1.1 Personal service contracts are not reviewed by the Purchasing Office unless the services are consulting in nature. Care must be taken to ensure that personal service contracts are not used to circumvent personnel procedures and that the appearance of an employer/employee relationship is not created. A checklist is provided to assist with this determination in the event the relationship is not clear.
-Motor vehicles owned by the University or by the Department of Administration are maintained by the University Motor Pool located in the Physical Plant Complex on Dale Street off State Farm Road, Boone, North Carolina 28607.
-==== Department of Administration Vehicles ====
-.1.1.1 As of January 1, 1982, the North Carolina General Statutes, as amended by the 1981 General Assembly, require that State owned motor vehicles (sedans and station wagons used primarily for transporting personnel) be centrally controlled by the State Department of Administration (D.O.A.). These vehicles fall into two categories: first, those automobiles which are housed and maintained at the Appalachian State University Motor Pool are available for dispatching on a daily or weekly basis. These passenger vehicles are used for official University business or travel. The second category is passenger automobiles allotted to the University by the Department of Administration which have been assigned to a department or an individual for carrying out official University business. These vehicles are not available to the Appalachian State University Motor Pool for daily dispatching.
-==== University Vehicles ====
-.1.2.1 These vehicles are utility/delivery cars, maintenance trucks, vans, and buses which are owned and operated by the University.
-.1.2.2 Regulations and Procedures Designation - Since procedures and regulations governing the operation of Department of Administration and University vehicles may vary slightly, it will be necessary for purpose of clarity to differentiate between the two in this section. Therefore, references to Department of Administration vehicles will be designated "D.O.A." and those to University vehicles will be designated "University" in the remainder of this section.
-.1.2.3 ''' ''The following rules and regulations apply to both University and Department of Administration vehicles.'' '''
-=== Official Use ===
-#'''State owned passenger carrying vehicles''' - Only State employees shall drive State owned passenger-carrying vehicles and those vehicles shall only be used for official state business. It shall be unlawful for any state employee to use a state owned vehicle for any private purpose. Commuting privileges approved by the division are not considered a private purpose.
-#'''Passengers''' - Spouses and children of state employees or non-state personnel on official business may accompany them in State owned vehicles if sufficient space is available and all travel is strictly for official State business. No family pets are permitted in State owned vehicles. Leader dogs for the blind are excluded from this restriction.
-#'''Use of Seat Belts''' - The State of North Carolina requires that seat belts be used by all drivers and front seat passengers in most types of motor vehicles (North Carolina General Statutes §20-135.2A). All vehicles that display a State license plate require the use of seat belts for front and rear occupants. This requirement applies to persons in their status as either a driver or as a passenger (both employees and students).
-NOTE: An exception has been made for drivers or passengers of vehicles that do not exceed twenty (20) miles per hour (University wide speed limit), and they must frequently stop to deliver property from the vehicle. This exception applies to vehicles delivering on campus, and would include vehicles from the Physical Plant, Warehouse, and Post Office. When the vehicles are operated on public streets and highways the occupants must use seat belts. Failure to comply with this policy can result in a fine of $25.00, and at the option of the campus, the withdrawal of an individual's privilege of using State vehicles.
-#'''Use of Cellular Phone or Other Wireless Communication Devices''' - Drivers should refrain from using a cellular phone or other wireless communication device while driving. In emergency situations, drivers should make every effort to move to a safe place off the main traveled portion of the roadway before using a cellular phone or other wireless device. If it is necessary to call for assistance while the vehicle is moving and if a passenger is available, have the passenger make the call for assistance.
-=== Driver's Responsibilities ===
-==== Fines and Damage ====
-.3.1.1 Drivers are personally responsible for cost incurred because of:
-#Fines for violations of laws.
-#Damage to vehicles resulting from negligence or abuse or while engaged in unauthorized or illegal use.
-#Restoration of vehicles to original condition when necessitated by installation or removal of personally owned accessories or equipment. (Any alterations to vehicles must be approved through the Motor Pool Supervisor.)
-==== Proper License ====
-.3.2.1 The drivers of University owned and D.O.A. vehicles must have the appropriate driver?s license. Normally, the Class C license is all that is required. A xerox copy of a valid driver's license must be on file in the Motor Pool office before anyone can be allowed to operate a State vehicle.
-==== Student Drivers ====
-.3.3.1 Students may drive state owned vehicles only as long as they are paid a wage or salary by the University. Students who are part-time or temporary are also permitted to drive state owned vehicles.
-==== Budget Code ====
-.3.4.1 Requests for Motor Pool vehicles should be submitted three (3) weeks in advance of the intended travel. Approved Travel Request/Vehicle Request should be sent directly to the
-Motor Pool unless a Travel Advance is requested, or airline tickets are involved. In these two situations, Request for Travel must be sent to the Controller's Office and to the Motor Pool.
-==== Vehicle Selection ====
-.3.5.1 Departments are responsible for selecting the proper vehicle according to the need and requirements.
-==== Highway Manners ====
-.3.6.1 University and D.O.A. vehicles must not be driven in excess of legally authorized and posted speeds and must be driven at all times in a manner conducive to safety, economy, and good public relations.
-==== Purchase of Gasoline ====
-.3.7.1 Gasoline, oil, and service will be obtained from Motor Fleet Management facilities or other State owned facilities except when circumstances are such that the use of state owned facilities is not practical. When commercial establishments are used for gasoline purchases, all drivers, except those whose physical handicaps prevent them from doing so, shall make purchases of regular (unleaded) gasoline from self service pumps only.
-==== Service Schedules ====
-.3.8.1 Drivers of vehicles dispatched for an extended period of time are responsible for observance of service schedules posted on the lubrication sticker. Service must be performed at the Motor Pool garage whenever possible. Gasoline and oil are to be obtained from the University Motor Pool when in the local area.
-==== Security ====
-.3.9.1 Vehicle security is the responsibility of the driver. All doors are to be locked when the vehicle is not occupied.
-==== Tire Chains ====
-.3.10.1 The cost of installation of tire chains may be charged to a University credit card. These costs are in turn billed to the using department. Damage caused by improper use of chains is also billed to the using department.
-==== Parking and Toll Expenses =====
-.3.11.1 A request for reimbursement for parking and toll road expenses is made on the employee's personal travel reimbursement claim.
-==== Motor Pool Privileges ====
-.3.12.1 Motor Pool privileges may be withdrawn if such action is in the best interest of the University or Department of Administration.
-==== Personal Property ====
-.3.13.1 Personal property left in University or D.O.A. vehicles is retained in the Motor Pool office for a period of two weeks. At the end of two weeks, appropriate disposition is made.
-==== Vehicles Taken Home ====
-.3.14.1 Vehicles may not be taken home unless employee has a trip the following workday and employee's home is closer to the destination than the regular work station, and the employee does not have to report to his/her regular work station before beginning the trip.
-=== Rental Vehicle Reservations ===
-==== Advance Reservations ====
-.4.1.1 Vehicle reservations should be made as far in advance as possible, and must be made in accordance with the policies and procedures outlined in the Travel and Transportation Section of the RESOURCE MANUAL. Should an emergency arise and the
-Request for Travel has not reached the Motor Pool office, the person picking up the car must provide the proper budget code in order to complete the paperwork.
-==== Schedule Changes ====
+.1.2 It is the policy of Appalachian State University that goods and services will not be purchased from Appalachian State University employees or state employees. Any exception to this policy must be reviewed and approved in advance of services being provided or goods being purchased.
-.4.2.1 The Motor Pool must be advised immediately if it becomes necessary to keep a vehicle beyond the return time indicated on the reservations. This is essential in order for the Motor Pool to make arrangements to accommodate the next scheduled user of the vehicle.
-.4.2.2 Vehicles required for early morning or weekend departures, or any time other than regular dispatching hours, may be picked up between 4:30 and 5:00 p.m. of the preceding day.
+.1.3 The responsible individual or project director should complete a contract using a university approved template and obtain all approvals in advance of the service being performed. This will assist with verifying that the contractor performing the service can legally be paid for contracted services and is not classified as an Appalachian State University employee.
-==== Returning Vehicles ====
+.1.4 The contract shall include the following information:
-.4.3.1 Vehicles are returned to the Motor Pool at the end of a trip. During regular hours, the driver should return the vehicle keys and the travel log folder and its contents to the Motor Pool Office.
+#The name, address, and social security number of the person (or tax identification number of the firm) with whom the contract has been made.
+#The services to be performed by the individual or firm and the dates the services begin and end.
+#The total amount of compensation for the services performed (an all-inclusive amount, unless otherwise approved by the Controller or their designee in advance before the contract is signed).
-==== After Hours ====
+The contract shall be signed by the applicable Vice Chancellor or Cabinet Member (including the HR Director and Athletics Director), and the person, company or firm providing the services. Signatures should be gathered after all appropriate reviews have been completed.  The Vice Chancellor or Cabinet Member may delegate his or her signature authority on a temporary or permanent basis, however, all such delegations shall be made in writing and delivered to the Office of General Counsel.
-During other than regular hours, the driver should deposit the above items in the locked box beside the Motor Pool Office entrance.
-==== Weekly Assignments ====
+.1.5 Contracts evidenced by a form other than the standard templates provided by the University can also be used provided they are approved by the chancellor or a vice chancellor in advance. An example might be a contract associated with a performer or entertainer.
-Vehicles assigned on a weekly basis are returned to the Motor Pool on Friday unless required for official use during the weekend.
-=== Mechanical Problems ===
+.1.6 Payment for Services - Contractors paid for services performed will be paid from the Direct Payment form with a copy of the contract attached for each payment.
-When mechanical problems occur with a University or Department of Administration vehicle, the driver should contact the Motor Pool for advice, information, and instructions at (828) 262-3195.
+.1.7 Advance Payments - In general, payments to contractors should not be made in advance. The project director is responsible for making sure the services are complete and satisfactory before releasing funds to the contractor.
-For emergencies after working hours, the driver should contact the University emergency number, (828) 262-2150. The person on duty will assist in getting the needed service.
+.1.8 Exceptions to Policy - With the exception of payments as described in 4.1.7 above, failure by a department to obtain all necessary approvals prior to the commencement of work is deemed non-compliant with university policy. Non-compliance carries the risk that the payment may be delayed or denied. In cases of non-compliance the following steps are taken to request payment: In addition to submitting the Direct Payment Form with a copy of the contract attached, a memo is written by the person authorizing the commencement of work explaining why policy was not followed, and lists steps to be taken to make sure policies are followed in the future. This memo shall be acknowledged by the Vice Chancellor or other Cabinet Member responsible for the Department or Unit that is supplying the memo.
-==== Repair Authorization ====
+.1.6 Contracts evidenced by a form other than the standard templates provided by the University can also be used provided they are approved by the chancellor or a vice chancellor in advance.  An example might be a contract associated with a performer or entertainer.
-Generally, authorization for repairs to a University or Department of Administration vehicle must be obtained from the Motor Pool; however, when independent action is required, drivers are expected to use sound judgment. For problems which develop in other parts of North Carolina, there may be a University or other State owned garage that may be able to offer assistance. A list of these garages can be found in the travel folder that is issued when a vehicle is picked up.
+.1.7 Payment for Services - Contractors paid for services performed will be paid from the Direct Payment form with a copy of the contract attached for each payment.
-Unnecessary charges to University or Department of Administration vehicles are charged to the using department. Drivers are responsible for reporting all operational defects to the Motor Pool when the vehicle is returned.
+.1.8 Advance Payments – In general, payments to contractors should not be made in advance.  The project director is responsible for making sure the services are complete and satisfactory before releasing funds to the contractor.
-==== Insurance ====
+.1.9 Exceptions to Policy – With the exception of payments as described in 4.1.8 above, failure by a department to obtain all necessary approvals prior to the commencement of work is deemed non-compliant with university policy.  Non-compliance carries the risk that the payment may be delayed or denied.  In cases of non-compliance the following steps are taken to request payment:
-Liability insurance, property damage coverage, and medical coverage for the person you hit are provided under a blanket policy contracted by the University. Call the University Motor Pool for the policy number. More detailed information is covered in Travel and Transportation Policy Statement 10, Transportation.
+.1.10 In addition to submitting the Direct Payment Form with a copy of the contract attached, a memo is written by the person authorizing the commencement of work explaining why ASU policy was not followed, and lists steps to be taken to make sure policies are followed in the future.  This memo is acknowledged by the vice chancellor or other senior administrator.
 == Additional References ==
 == Authority ==
+:Internal Revenue Code, 26 U.S.C. 1, et seq.
+== Contact Information ==
+:Office of General Counsel - 828-262-2751
+:Controller’s Office - 828-262-2110
-== Contact Information ==
+== Original Effective Date ==
+:February 20, 2012
+== Revision Dates ==
-== Effective Date ==
-== Revision Dates ==
+[[Category:Contents]]
+[[Category:Business Operations]]
+[[Category:Purchasing]]