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CHAIRMAN: ANEESA ARSHAD ://ASG.NORTHWESTERN.EDU/SAFB HTTP
Introduction The Associated Student Government (ASG) of Northwestern University created the Student Activities Finance Board (SAFB) and empowered it with the responsibility and authority to organize and supervise its funding process, and to provide financial and programming supervision to the student organizations that receive ASG funds. This board allows for student decisionmaking and control in the funding process that distributes the general funds of the Northwestern University undergraduate student body. The ASG money that is transferred to a student organization is entrusted to its officers for its use in the way detailed at the time of allocation. Officers should always keep in mind that when spending ASG monies they are not spending their own money, but rather the money of approximately 7,800 other undergraduate students. They are charged with the responsibility of spending that money in a way that best serves the Northwestern community. At no time should ASG funds be used for personal gain. AN ASGFUNDED EVENT SHALL BE DEFINED AS ONE IN WHICH THE FUNDING FOR ITEMS CRITICAL TO THE EVENT’S SUCCESS WAS PROVIDED BY THE ASG. BY RECEIVING ASG FUNDING, STUDENT ORGANIZATIONS AND THEIR OFFICERS FORMALLY ACCEPT RESPONSIBILITY FOR FOLLOWING THESE GUIDELINES AND ABIDING BY ALL STANDING UNIVERSITY FINANCIAL REQUIREMENTS, AS DOCUMENTED BY THE ALLOCATION STATEMENT. IGNORANCE OF THE RULES IS NOT AN EXCUSE. THE ASG SENATE OF NORTHWESTERN UNIVERSITY HAS FINAL AUTHORITY OVER THE DISTRIBUTION AND REGULATION OF STUDENT BODY FUNDS AND THEREFORE CAN OVERIDE ANY DECISION OF SAFB. IN ADDITION, SENATE MAY SUSPEND THESE GUIDELINES AT ANY TIME WITH A TWOTHIRDS VOTE OF THOSE PRESENT.
STUDENT ACTIVITIES FINANCE BOARD
I. II. III. IV. V. VI. VII. VIII. IX. X. XI. XII. XIII. XIV. XV. XVI. XVII. XVIII. XIX. XX. XXI. XXII. XXIII. XXIV. XXV.
SAFB Composition Duties of the SAFB Regulations for the SAFB Accounts Recognition Procedures for Promotion to AStatus Criteria for Judging Applications for Promotion to AStatus Benefits for ASG AStatus Recognized Groups Funding Policies SAFB Funding Procedures Senate Funding Procedures Transactions Auditing Procedures University Terms and Conditions Governing Student Group Expenditures Responsibility of Student Group Officers Responsibility of Astatus ASG recognized Student Groups Annual Review Procedures Definition of Cosponsorship vs. Coendorsement of an Event Contingency Accounts Contracts Deposits, Transfers, and Checks from Multiple Line Items Loans, Rollover, Revenue, Ticket Sales and Profit Financial and Group Misconduct Investigation and Restitution Capital Improvements Sanctioning Procedures Regulations of the ASG Budget and Accounts Guideline Review
SAFB Composition A. The Student Activities Finance Board, hereafter referred to as the SAFB, is a standing committee of the Associated Student Government, hereafter referred to as the ASG. B. The SAFB is chaired by the ASG Financial Vice President, who shall only vote in the case of a tie. C. The General Manager of Business Operations of the Norris University Center shall serve as a nonvoting adviser. D. The twelve (12) board members shall serve as Account Executives for specific Student Groups that receive funding from the ASG. E. The composition of the Board shall be as described in Article III, Section F, Part 2 of the ASG Bylaws. Duties of the SAFB F. Duties of the Account Executives The Account Executives shall: 1. Maintain regular contact with the officers of the Student Groups they supervise; 2. Audit each of their groups on a monthly basis 3. Advise their Student Group’s programming and operations. 4. Report their Student Group’s activities to the SAFB; 5. Attend and perform event evaluations on all ASG funded events over $2000; 6. Will be allowed two absences per quarter before they shall be replaced. G. Duties of the Financial Vice President The Financial Vice President shall: 1. Call and chair regular meetings of the SAFB throughout the academic year; 2. Be responsible for filling all vacancies on the SAFB. All appointed Account Executives shall be confirmed by a majority vote of Senators present at the first meeting of the Senate following their appointment; 3. Choose the Account Executive’s Student Group assignments. Not hold the position of Account Executive for any Student Group. 4. Have the authority to freeze a student group account when groups are in violation of these guidelines. H. Duties of the SAFB Adviser
1. The SAFB Adviser shall cosign on all vouchers for the SAFB accounts. II. Regulations for the SAFB Accounts I. The SAFB accounts shall be composed of the following seven line items: 1. A lineitem for the current fiscal year; 2. A lineitem for Supplemental Funding; 3. A lineitem for the funds of Derecognized Student Groups; a. The Derecognized Student Group account shall contain monies left over from the accounts of Student Groups that no longer have ASG status. b. Said monies shall be transferred into the Derecognized Student Group account one year after the conclusion of the fiscal year in which a given Student Group was derecognized. c. Funds in the Derecognized Student Group account shall be used to insure that accounts can be closed (brought to a balance of $0). If there are not sufficient funds in this account, the Contingency account shall be used in the manner prescribed by these guidelines. 4. A lineitem for CUFS (College and University Financial System) 5. A lineitem for the Contingency account a. The SAFB Contingency account shall only be used in the event that an SAF funded event leaves a student group in financial distress and/or unable to pay debts that it has incurred. b. The amount of money to be kept in the Contingency account shall be set at $65,000. In the event this account is used, it shall be the responsibility of the Financial Vice President to replenish this account to its prescribed level of $65,000 as soon as circumstances allow. c. The use of the Contingency account funds to cover a Student Group’s debts shall not preclude the SAFB from pursuing a Financial Misconduct Investigation. d. The Financial Vice President shall inform the ASG Senate in his/her written report of the use of the Contingency account. 6. A lineitem for rollback of unused SAF allocations from the current fiscal year. 5
7. A lineitem for revenue J. No funds shall leave any SAFB account without the approval of the ASG Senate, with the exceptions of the CUFS and Contingency accounts. K. The SAFB shall perform an audit of the SAFB accounts once per quarter. 1. The structure of the audit shall be similar to that of the ASG audit as outlined in the ASG Bylaws, Article V, Section II. 2. The Financial Vice President shall present the SAFB accounts to the SAFB during each audit. 3. The SAFB shall review the SAFB accounts and then hold a vote of confidence, as defined as a majority vote of the SAFB. 4. If the SAFB accounts pass the vote of confidence, the SAFB accounts shall be deemed in order, and the Financial Vice President shall continue to administrate those accounts until the next quarterly audit. 5. If the SAFB accounts do not pass the vote of confidence, the Financial Vice President’s administrative authority over the SAFB accounts shall be revoked until the completion of a Financial Misconduct Investigation. The most senior account executive or their designee shall obtain administrative authority over the SAFB accounts in any interim period. III. Recognition Procedures for Promotion to A-Status IV. A-Status recognition applications shall be submitted by the fifth week of each quarter to the Financial Vice President. An ASG-recognized group shall have maintained B status for at least three academic quarters in order to petition for A-status. V. All applications for recognition shall include, at a minimum, the following: 6. Name and description of the organization. 7. Reasons why the organization is seeking promotion to Astatus, paying special attention to the necessity for SAF funds. 8. Definition of group membership and how one attains membership. 9. Evaluation of past programming, including budgets and attendance. 10. Disclosure of all present or potential sources of funding. 11. List of current group membership. 12. A signed statement of nondiscrimination to read as follows: "As a recognized group of the Northwestern University Associated Student Government (ASG), we hereby state that this student
organization does not discriminate on the basis of race, color, religion, national origin, age, sex, or sexual orientation and is in compliance with the guidelines set forth by the ASG." 13. The names, addresses, class status, email addresses and phone numbers of all officers. 14. A constitution dealing with the overall governance of the organization. Constitutions shall contain, at minimum, the following: a. A brief and concise statement of the organization's purpose specific to the group at Northwestern University (The Preamble). b. Conditions of membership and membership selection. c. Officers, who must be enrolled as fulltime undergraduate students at Northwestern University, shall be chosen by methods specified by this section. Include titles, duties, provisions for recall, impeachment, term, and selection process. d. Meeting procedures, suggested by Robert's Rules of Order, including presiding officer and quorum requirements. e. Procedure for amendments to the constitution. A provision shall be made for the ASG Financial Vice President to approve all such amendments before they are considered valid. 15. Should the group have a national affiliation or affiliation with a group outside Northwestern University, a copy of that group's constitution and bylaws shall be submitted. 16. All recognized student groups are responsible for the adherence to their constitutions. L. Hearing Procedures 1. Within two weeks of receipt of an application for recognition, the Financial Vice President & the Executive Vice President shall meet with the president of the organization to discuss their application. 2. A Joint Committee meeting of the SAFB and the Executive Committee, chaired by the Financial Vice President, shall convene before the last Senate of the quarter in which the application was received, provided all materials are in order. 3. At least the President and Treasurer of the group shall attend the 7
Joint Committee meeting at which the group's recognition shall be discussed. 4. Recognition decisions shall be approved by a 2/3 majority of the Joint Committee members present. 5. A group derecognized or demoted by the SAFB shall not apply for Astatus for a period of 2 academic quarters following the loss of that status. 6. A group shall not appear before the Joint Committee more than twice within three academic quarters. VI. Criteria for Judging Applications for Promotion to A-Status M. ASG recognition as an Astatus student group shall serve to significantly enhance a Student Group and the Northwestern Community through increased financial support. N. A group shall be able to prove to the committee that they have been successful with Bstatus recognition. In particular, the committee shall look for: 1. Clearly Defined StructureThe group constitution shall define specifically how the organization shall run through elections, the Executive Board, and the membership. 2. Group StabilityIncluding diversified membership by age, smooth leadership transition, and possibly longterm existence 3. Financial ResponsibilityThe SAFB, being charged with the efficient recommendation of the SAF to the ASG Senate, shall only recognize Astatus groups that have shown the ability to responsibility handle finances. Ways to satisfy this financial viability include, but are not limited to, the ability and potential to fundraise and the presentation of past and future budgets. 4. The Student Activities Fee (SAF) shall serve to improve and expand programming and activities. Furthermore, the group shall have adequately demonstrated a need for SAF funds. 5. Illustrated Need for Astatus: A group’s progress shall be shown to be hindered by having only Bstatus and the goals of the group warrant Astatus. 6. Direct Benefit to students: This group, receiving SAF, shall affect and benefit the Northwestern Undergraduate community.
Benefits for ASG A-Status Recognized Groups A. Reserving meeting rooms or other spaces in the Norris University Center and other campus venues. B. Reserving space through the Office of the Registrar in academic buildings on campus to hold meetings. C. ASG Copier: Each group is assigned a copier code by the ASG Treasurer for use with the ASG copier, located in the ASG Outer Office (Norris 3G). Expenses for the copies will be charged to that group at the end of each quarter. D. ASG Equipment: ASG maintains computers, laser printers, fax machine, a binding machine, and a color scanner in the ASG Outer Office for student group use. E. ASG maintains the student organization web server and groups have access to the server through registration with ASG. F. With ASG-recognition, groups may post their events to the campus wide Calendar of Events . G. ASG refers a list of ASG-recognized student groups to the Center for Student Involvement (CSI) or another University department. Each group will receive an advisor from this office. Groups may also establish relationships with advisors outside of CSI. H. All ASG-recognized groups are assigned a member of the SAFB to communicate important ASG information as well as monitor the progress of a group. I. ASG sponsors the Here&Now advertisement section in The Daily Northwestern. Such recognized groups have access to space in Here&Now and should contact the ASG Campus Public Relations Chair for more details. J. SAFB Funding: The ASG Senate allocates the SAF to ASG Astatus groups as outlined in these guidelines.
VIII. Funding Policies O. The SAFB shall make its Funding recommendations based solely on the conditions of merit. Merit shall be measured by a Student Group’s performance, including but not limited to: 1. Past audits; 2. Event evaluations; 3. Account status; 4. Past programming history; 5. Financial Misconduct or Group Misconduct, 6. Communication with Advisor and Account Executive. P. The SAFB shall not be able to fulfill all funding requests. Q. Funding for events that have already taken place or purchases that have already been made shall only be allocated at the discretion of the SAFB.
R. The SAFB shall not fund office and administrative expenses (e.g., pens, folders, etc.). S. The SAFB shall not fund food, and the SAF shall not be used for food unless contractually required by the event vendor. T. The SAFB shall only fund delegation fees for conventions or tournaments that are of critical importance to the purpose of the Student Group. U. The SAFB shall fund for reasonable fees that may be required to make the Northwestern Chapter of a Student Group an accredited affiliate of a national organization. V. The SAFB shall only fund for production crews when it is required by Northwestern University for the use of facilities or when it is contractually required by the event vendor. W. The SAFB shall not fund individual membership fees that may be required for affiliation with the local or national chapters of organizations. Such charges shall be paid by the individual members of Student Groups or by using outside income. X. For events with a total allocated amount of more than $10,000, the money shall be held in the SAFB accounts until immediately prior to the event. For events that require a contract, no money shall be released until a University approved contract is on file with the SAFB. Y. The SAF shall be used for events that directly benefit the NU community.
SAFB Funding Procedures Z. The ASG shall deliberate on funding issues during Spring Funding and Supplemental Funding, which occurs in the fall. AA.The SAFB serves as the gateway by which all Financial Legislation reaches the ASG Senate, but the final decision on all funding issues shall rest with the ASG Senate. The SAFB shall serve in an advisory role. BB.Spring Funding Petition and Hearing Procedures: 1. At least two (2) weeks before funding petitions are due, the SAFB and the Financial Vice President shall distribute the following: a. Petition Guidelines b. A standardized petition form used in applying for funds c. The Student Organization Price Index (SOPI); d. The Spring Quarter due date for Spring Funding petitions. 2. Prior to being submitted, Spring Funding petitions shall be reviewed and signed by a Student Group’s Account Executive or 10
the Financial Vice President. 3. Funding Petitions shall be subject to the Petition Guidelines. 4. Student Groups shall provide a minimum of three (3) specific vendor names (bands, speakers, etc.) and cost itemizations for each event over $2000 for which they request funding. 5. The SAFB shall select one of the three breakdowns for every event for which it recommends funding. 6. Student Groups shall be bound by the specific ASG allocation, by the venue size, and by quarter for every ASG funded event. 7. All SAF funded events, programs and publications must take place or be distributed before the reading period. Any exceptions must by petitioned for and approved by the SAFB. 8. Student Groups shall be bound to produce an event of the same caliber and general programming genre as the event that was originally funded by the ASG Senate. 9. All Student Groups filing complete petitions by the deadline shall be considered equally for funding. 10. When submitting Spring Funding petitions, Student Groups shall sign up for a hearing before the SAFB. 11. Failure of a Student Group to attend its specified hearing time shall result in automatic forfeiture of its eligibility for funding. 12. Hearings shall commence immediately following the collection of funding petitions. 13. Hearings shall be chaired by the incoming Financial Vice President. The outgoing Financial Vice President shall sit on the SAFB as an exofficio, nonvoting member for the duration of Spring Funding. 14. The SAFB shall review each petition in the order in which Student Groups appear for their designated hearing time. 15. While reviewing petitions, the SAFB shall establish standard recommendations for items that are frequently requested. 16. After reviewing all petitions, the SAFB shall provide to the ASG Senate information including, but not limited to, the following; a. A description of the Student Group requesting funds; b. A description of the event for which funding is requested; c. The estimated and, if applicable, prior attendance of the event; and d. The history of the event. 17. The SAFB’s Spring Funding Recommendations shall not exceed 11
95 percent of the available funds. Up to 5 percent of the available funds may be placed into the Supplemental Funding pool. 5 percent of the available funds shall be left as an amendment pool for the ASG Senate to allocate during Spring Funding. CC.Supplemental Funding Petition and Hearing Procedures 1. All funds leftover from the previous year, including any amount set aside during Spring Funding shall be available for Supplemental Funding. At least 5 percent of the supplemental funding pool shall be left for Senate as an amendment pool. 2. Supplemental Funding petitions shall be made available at the beginning of the academic year. 3. Supplemental Funding recommendations shall be made solely on the basis of merit, as outlined above. 4. Supplemental Funding procedures shall be the same as Spring Funding procedures, except that no hearings shall be held. 5. Supplemental Funding shall not be used to fund fall programming, except for fall programming previously allocated by the ASG during Spring Funding. X. Senate Funding Procedures DD.Spring Funding 1. The SAFB shall present Spring Funding recommendations to the ASG Senate no later than the fifth week of Spring Quarter. 2. The ASG Senate shall accept or amend the SAFB’s recommendations before it adjourns for the summer. 3. The ASG Senate shall review the recommendations in an order determined by a random drawing conducted by the Financial Vice President, the Speaker of the Senate, and the Rules Chair. 4. Student Groups shall submit the amount of money and specific line items they plan to request from the ASG Senate to the Speaker of the Senate no later than 2:00 pm on the day of the first meeting of the ASG Senate at which the Spring Funding recommendations are to be Old Business. The Speaker of the Senate shall distribute a list of Student Group requests at the beginning of the meeting. Student Groups that do not meet the deadline shall not be placed on the list, but shall be allowed to make funding requests on the Senate floor. Student Groups shall be allowed to amend their requests at their discretion. 5. At the meeting of the ASG Senate at which the Spring Funding 12
recommendations are Old Business the Senate shall make only two full passes through the Senate order. 6. During the first pass, the Senate shall make amendments only to cut recommendations. Any cut funds shall be added to the amendment pool. 7. During the second pass, the ASG Senate shall make amendments only to add funds to recommendations. 8. The second pass shall continue until the amendment pool is drained of funds. EE.Supplemental Funding 1. The SAFB shall present Supplemental Funding recommendations to the ASG Senate no later than the fifth meeting of the ASG Senate of fall quarter. 2. The ASG Senate procedure for Supplemental Funding shall be the same as that used for Spring Funding. FF. During Senate Proceedings: 1. Funds shall not be added to line items that were not requested from the SAFB. 2. Funds shall not be moved directly from one Student Group to another or from one lineitem to another. 3. Funds that are added shall be relatively consistent with budgets that were requested from the SAFB. XI. Transactions Student Groups shall obtain the signature of their Account Executive or the Financial Vice President for the following transactions: GG.Transfer of SAF money from one lineitem to another. HH.Payment or reimbursement drawn from SAF accounts. II. Periodic clearing of their General Income (01) Transitory Account. XII. Auditing Procedures JJ. All Astatus ASGrecognized Student Groups agree to comply with the auditing policy of the SAFB, as a requirement for maintaining their status. KK.Astatus Student Groups shall attend monthly audits at which at least their president(s) and treasurer(s) shall verify that all transactions that have taken place since the last audit have been in accordance with their allocation statements, these Guidelines, the SOFO Policies and Procedures, and other policies of the SAFB and Northwestern University. LL.Audits shall include, but not be limited to the following:
1. Reconciliation of all outstanding transactions involving a Student Group’s records and those of the Student Organization Finance Office (SOFO); 2. Revenue projection and verification for ASGfunded events; 3. The investigation and clearing of all accounts in deficit; 4. Transfer of all funds from a Student Group’s General Income (01) account. XIII. University Terms and Conditions Governing Student Group Expenditures MM.The terms and conditions governing expenditures of funds by Student Groups are the same as those governing the expenditures of all Northwestern University funds. NN.Funds received by Northwestern University from any source shall be spent for the purposes for which Northwestern University was chartered. OO.The ASG of Northwestern University distributes funds to recognized Northwestern University Student Groups and approved Northwestern University student activity programs. PP. Therefore, expenditures by Student Groups shall comply with the purposes specified in the charter. Northwestern University also operates under a variety of legal restrictions, including the requirements of the Internal Revenue Code for taxexempt organizations. QQ.Northwestern University is exempt from sales and use tax, therefore sales and use tax should not be paid and will not be reimbursed. RR.The Code requires the following: 1. No part of the net earnings of Northwestern University shall contribute to the benefit of any individual: a. No substantial part of the activities of Northwestern University shall be used to carry on propaganda, or otherwise attempt to influence legislation; b. Northwestern University shall not participate in or intervene in any political campaign on behalf of any candidate for public office, including the publishing or distributing of statements. SS. In furtherance of the charter purposes and under law, Student Group expenditures shall be: 1. For the support of recognized Northwestern University Student Groups and approved Northwestern University student activity programs;
2. Used by the recipient Student Groups without deviation from charter and legal requirements; 3. Subject to the same budgetary controls as all University funds; 4. Not used for the benefit of private individuals or for private purposes. TT. Whenever a conflict shall arise between charter purposes, legal limitations, and budgetary controls on the one hand, and the aims of Student Groups and programs of these Guidelines on the other hand the charter, legal requirements and budgetary controls shall prevail. (If you have additional questions about the charter requirements, please contact the Northwestern University Vice President for Student Affairs). XIV. Responsibility of Student Group Officers UU.Responsibility Statements 1. Before an ASGrecognized Student Group shall spend any SAF funds it has received, an allocation/financial responsibility statement bearing the signatures of the Student Group president and treasurer and a current statement of nondiscrimination shall be on file with the Financial Vice President. 2. By signing the responsibility statement, the officers shall pledge to abide by all ASG and Northwestern University rules covering the use of their funds. VV.Vouchers and Officer Responsibility 1. Each voucher that is completed by a Student Group shall contain information clearly indicating the budgeted lineitem from which funds shall be drawn. 2. Student Group officers (voucher cosigners) shall be held responsible for their Student Group’s financial transactions. 3. Any Student Group officers or members who authorize Student Group expenses that are not included in the Group’s allocated budget shall be held personally liable for those expenses following a financial misconduct investigation. WW.Use of Funds 1. Student Group officers shall not spend SAF money on items that have not been funded by the Senate. If an item has an allocation of $0, then no SAF funds may be spent on said item. The budget allocations approved by the Senate shall be for the specific line item expenses that were presented. 2. A Student Group shall follow its lineitem budget and shall not 15
transfer funds between line items without the express written approval of the Financial Vice President or the Student Group’s Account Executive. 3. All SAF funded events and programs must include the ASG provided logo or “Funded by the Student Activities Fee” on printed publicity for the event. All electronic publicity shall denote “Funded by the Student Activities Fee”. All publications that are SAF funded must include “Funded by the Student Activities Fee.” Publicity without the ASG logo or “Funded by the Student Activities Fee” will not be reimbursed. XX.Event Attendance and Evaluation 1. All Astatus ASGrecognized Student Groups shall be prepared to admit SAFB representatives free of charge to their events. a. All events not funded by the SAF shall be attended by up to two (2) SAFB representatives. b. All events funded by the SAF shall be attended by up to four (4) SAFB representatives. 2. The Financial Vice President shall be responsible for coordinating the evaluation of SAFfunded events based on the reports of the SAFB representatives in attendance. YY.Groups shall be held responsible for the actions of individuals in its organization. Individuals in a Student Group shall be held responsible for a group's action. ZZ.Elections 1. All Astatus groups shall have their elections no later than the fourth week of April. 2. Within one week of the election, the names of the President, Treasurer, and other Executive Board officers shall be submitted to the Financial Vice President of ASG. 3. A new nondiscrimination statement shall be filled out. 4. Any group that believes that it is an exceptional case shall seek permission from the SAFB to have its elections at a different time. 5. Groups shall file this listing each year at the group's regular election time with the ASG office even if there is no change in officers. 6. In the event of a change in any of the executive officers of a recognized Student Group, the group's new officers shall be expected to notify the Financial Vice President of the ASG 16
within one week. AAA.Leadership Advisory Board 1. The President and Treasurer, or designated alternates approved by the ASG Financial Vice President of all Astatus ASG recognized student organizations are required to attend the Spring Quarter training conference, also known as Leadership Advisory Board (LAB), to be coordinated by the Executive Committee, SAFB and the Campus Activities Office. LAB shall familiarize Student Groups with the rules and procedures pertaining to being recognized by the ASG as well as facilitate ease of officer transition. The training shall be made available twice during both Spring and Fall Quarter. Groups without representatives in attendance of LAB shall automatically lose their ASG recognition as outlined in the ASG Constitution. XV. Responsibility of A-status ASG recognized Student Groups BBB.All Astatus ASG recognized Student Groups shall be focused on the Northwestern University undergraduate community. CCC.A 2/3 majority of the registered membership of Astatus Student Groups shall be undergraduate students enrolled fulltime at Northwestern. The President and the Treasurer or Vice President must be undergraduates. DDD.All funds, regardless of source, shall be kept on account with the Student Organizations Finance Office (SOFO). EEE.Groups (other than specific political action groups) shall not endorse a particular political ticket, candidate, or candidates except for ASG candidates. FFF.A group shall not take, nor intend to take, action which is designed to prohibit or disrupt another group's or individual's freedom of thought and speech or the freedom to conduct any program. GGG.It shall not be a group's purpose or intention to slander, or falsely represent another group or individual of the Northwestern University community. HHH.By Northwestern University administration policy, political petitions or letters sent out by Student Groups shall not claim to represent Northwestern University, but shall only claim to represent the individuals who have endorsed such documents. III. The Financial Vice President or the SAFB reserves the right to ask 17
groups to: 1. review their constitution 2. submit a current membership list 3. submit a current statement of nondiscrimination a. present any other information concerning the group's activities JJJ.Astatus groups shall be registered on NU Link and shall post all SAF events to the NU Link calendar of events. XVI. Annual Review Procedures KKK.The Annual Student Group Review of Astatus Student Groups shall occur during Winter Quarter. The Review shall include group activity from Winter Quarter of the previous school year to Winter Quarter of the current school year. Groups shall be bound by all procedures in the Annual Review petitions. LLL.Annual review applications shall include, at minimum, the following: 1. Name and description of the organization; 2. A full list and description of programming activities performed by the group in the past year; 3. Current lineitem balances; 4. A revised constitution; MMM.The Financial Vice President shall be responsible for gathering information from the following: 1. The student group’s advisor; 2. The student group’s Account Executive; 3. Events Planning of Norris University Center; 4. The SOFO office. NNN.Any Student Group that fails to submit an Annual Review application by the deadline set by the FVP shall be automatically derecognized. A list of these groups shall be given to the ASG Senate before the last Senate meeting of Winter Quarter. OOO.Committee Procedures 1. The SAFB shall consider each Astatus ASG recognized Student Group in terms of the major criteria areas of review. The major criteria areas include but are not limited to: programming/activities, campus relations, group infrastructure, relations with ASG, and finances. 2. Each committee member shall cast a vote to derecognize, demote, or maintain the current status of each Student Group. If 18
twothirds of committee members present vote to demote or derecognize a group, the status shall immediately be changed. 3. Student Groups derecognized during Annual Review will have the opportunity to appeal to the SAFB before Annual Review is presented to senate. The SAFB shall vote again to determine whether the group's status should be reinstated or should remain the same. 4. The decisions shall be presented to the ASG Senate upon completion of the annual review. Any and all appeals shall be handled in accordance with the ASG Constitution. XVII. Definition of Co-sponsorship vs. Co-endorsement of an Event PPP.Cosponsorship shall be defined as the agreement of two or more student organizations to collaborate on the production of an event. Production of an event includes the selection of the event and venue, contract and price negotiation, advertising and promotion, financial management, and the set up of equipment. QQQ.Organizations who agree to cosponsor an event shall all be responsible for all aspects of the event and for the overall success of the event. All co sponsoring organizations shall be held collectively responsible for the actions of all other cosponsoring organizations in the proceedings of the cosponsorship. RRR.Coendorsement shall be defined as one or more groups offering approval or support of an event without actually helping to plan the event. This includes the donation of money to the organizing group. SSS.Student groups shall be required to use "cosponsored by" and "endorsed by" on all publicity in a manner consistent with the above definitions. XVIII. Contingency Accounts TTT.The SAFB shall determine which Student Groups shall maintain contingency accounts for the purpose of retaining funds as protection against years in which a deficit may occur. UUU.Contingency accounts shall be handled as follows: 1. Contingency account funds shall not be subject to removal at the end of the fiscal year. 2. Additional decisions for deposit and amounts of deposit shall rest with the SAFB. 3. Withdrawal of funds shall be by joint written agreement of the Student Group president and Financial Vice President. 19
XIX. Contracts VVV.All ASGrecognized Student Groups shall adhere to the contract procedures of the Center for Student Involvement. WWW.All contracts for events above $2,000 shall be approved by the SAFB and submitted to the Center for Student Involvement no later than three (3) weeks prior to the scheduled time of the event. Failure to submit a contract three (3) weeks prior to the event shall cause the automatic removal of the funds allocated for the event. XXX.All funds for events over $10,000 shall be retained in the SAFB accounts until the contract for the event has been submitted and approved. YYY.No advertising for an event or selling of tickets shall occur until a contract has been signed for the event. ZZZ.The Financial Vice President, the Student Group’s Account Executive, and the Center for Student Involvement shall each receive one copy of every contract. AAAA.Student Groups shall not enter into multiyear contracts unless they are approved by both the SAFB and Norris Administration. XX. Deposits, Transfers, and Checks from Multiple Line Items BBBB.Deposits 1. All deposits shall be made into a Student Group’s –01 line item. 2. Deposits shall be transferred from the –01 line item after the Student Group’s Account Executive determines the source of the funds. CCCC.Transfers 1. All transfers by ASGfunded Student Groups excepting transfers from the –00 line item shall be signed by the Student Group’s Account Executive or the Financial Vice President. 2. All transfers to and from the –50 line item to cover CUFS charges shall also be signed by the Student Group’s Account Executive or the Financial Vice President. 3. All transfers of surplus funds shall be signed by the Financial Vice President. 4. The Financial Vice President shall inform Senate of all transfers made between events since the last adjournment of Senate, as well as those pending in both his/her verbal and written Officer Report at the next Senate meeting. a. In the event that the transfer has not yet occurred, the
Senate shall approve or deny that request with a majority vote of Senators present. b. In the event that the transfer has already occurred, a vote of confidence in the FVP will automatically be triggered. DDDD.Checks 1. Checks drawn from the multiple line items shall be signed by the Student Group’s Account Executive or the Financial Vice President. XXI. Loans, Rollover, Revenue, Ticket Sales and Profit EEEE.Loans 1. When the SAFB issues a loan instead of a full allocation, the loan shall be paid back by August 31, the end of the fiscal year. 2. If a Student Group has funds remaining after repaying the principal of the loan, 15% of the remaining funds shall be transferred to the SAFB, and the remaining 85% shall be retained in the Student Group’s –00 line item. 3. If a loan is paid back within four weeks of the event, the 15% transfer shall be waived. 4. Loan extension requests shall be submitted to the Financial Vice President by June 1st. FFFF.Rollover and removal of funds 1. Rollover between academic years a. If a Student Group has surplus SAF funds remaining in its accounts at the end of the academic year, the Student Group shall be able to petition the Financial Vice President to have those funds carried over to the following year in order to supplement the Student Group’s new allocation. b. All requests for rollover of funds shall be submitted in writing to the Financial Vice President and shall explain why funds are remaining in the accounts and a plan for what special program the funds would be used for in the following year. c. All funds except those in –00 and CUFS line items and those approved for rollover or in approved contingency accounts shall be irretrievably removed from accounts on August 31. d. If a Student Group incurs late charges through CUFS, the Student Group shall be able to petition the Financial Vice 21
President for surplus funds, should they exist. 2. Moving funds between academic quarters a. All requests to rollover funds from quarter to quarter shall be submitted in the quarter in which the funds were allocated in writing for consideration to the Financial Vice President. b. Requests for rollover between quarters shall only be granted if the Student Group has exhibited sincere effort in attempting the programming of the event or if substantial extenuating circumstances, such as acts of God, prevented the event from taking place. GGGG.Revenue and Profit 1. The SAFB shall estimate expected ticket revenue for all events over $2,000 based on 60% of the venue capacity and designated ticket price. 2. The SAFB shall not subtract estimated ticket revenue from its funding recommendations. 3. Student Groups shall return 75% of the estimated ticket revenue as outlined in Section 20, Letter C #1 above, or 75% of actual revenue, whichever is greater, for all SAF funded events, except cosponsorships. The remaining 25% shall be kept by the student group. 4. Any and all monies collected in association with all SAFfunded events except cosponsorships shall be subject to this 75%25% split unless exempted by the SAFB. 5. Section 20, Letter C #3 and #4 shall also apply to co sponsorships using a 50%50% split as opposed to the 75%25% split. 6. Larger cosponsorships who feel they deserve an alteration of revenue percentages can petition the SAFB. 7. Student Groups shall not consider SAF money to be profit. 8. All unused SAF money shall be returned to the SAFB accounts at the end of the academic year, except as outlined in B above. HHHH.Ticket Sales 1. All tickets shall be printed at the Norris Box Office. These tickets must be sold and distributed at the Norris Box Office or at the door from a cash box from the Norris Cashier’s Office, unless otherwise exempted by the SAFB. 2. Ticket prices shall offer a competitive price advantage to 22
3. 4. 5.
Northwestern University students. No cash shall be collected at any event without a cash box. Vendors and individuals shall not be paid from the money collected from a cash box. The number of complementary tickets available to a Student Group shall be determined by 4% of the venue capacity. The number of complementary tickets available shall be no less than 10 but no greater than 50. Any exceptions must be approved by the Financial Vice President and Account Executive. All monies collected at an SAFfunded event shall be deposited to the Student Group’s SOFO account.
XXII. Financial and Group Misconduct Investigation and Restitution IIII.Misconduct shall be defined as a violation of these Guidelines, the University Charter, the SOFO Policies and Procedures or the Northwestern University Handbook regulations or procedures. Financial misconduct shall be defined as any misconduct regarding a student group’s financial operations. Group misconduct shall be defined as misconduct regarding nonfinancial issues. The Financial Vice President shall make the determination between Financial Misconduct or Group Misconduct investigations. JJJJ.Preliminary Fact Finding Investigation 1. Should questions arise about the operations of any organization that receives SAF funds, the Financial Vice President shall open a preliminary factfinding investigation 2. The Financial Vice President, the Student Group’s Account Executive, the Student Group’s officers, and other parties involved shall meet to discuss the issue and the way SAFB handles potential Misconduct cases. 3. At the conclusion of the preliminary investigation, the Account Executive shall present his/her findings to the SAFB. If a majority of the voting members of the SAFB determines that the case has enough merit, a Full Investigation shall be opened. If less than half of the members of the SAFB wish to continue the investigation, the case shall be closed. KKKK.Full Investigation 1. The Student Group’s SOFO accounts shall be frozen for the duration of the proceedings; 2. The Financial Vice President shall approve financial transactions 23
of the group as he/she sees necessary; 3. The Northwestern University Vice President of Student Affairs and the Student Group’s adviser shall be notified that a Full Investigation has been opened; 4. The SAFB shall schedule a Formal Hearing; 5. The Financial Vice President shall notify the ASG Senate that a Full Investigation has been opened at the first meeting of the Senate following the opening of the investigation. LLLL.Formal Hearing 1. The Formal Hearing shall be a closed meeting of the SAFB, advisors, and the Student Group leaders or individuals involved. 2. At the Formal Hearing, the Student Group’s Account Executive and the Student Group, advisor(s), or individuals involved shall submit evidence and arguments to the SAFB. 3. Following the presentations, the SAFB shall debate the issue and make a recommendation to resolve the disputed issues. 4. Recommendations shall include but not be limited to: a. Closing the investigation; b. Individual repayment of misspent funds; c. Removal of authorization to sign vouchers; d. Removal of remaining SAF funds from the Student Group’s accounts. MMMM.Senate Procedure 1. The findings and recommendations of the SAFB shall be presented as a Special Order at the first meeting of the ASG Senate following the formal hearing. At this formal hearing: a. The SAFB shall have fifteen (15) minutes to present its case; b. The Student Group shall then have fifteen (15) minutes to present a response; c. The ASG Senate shall then have a fifteen (15) minute question period and a fifteen (15) debate period. 2. The ASG Senate shall extend the time available for any section or any part of this procedure by a majority vote. 3. The Senate shall pass, amend, table, or reject the recommendation. 4. If the recommendation is rejected, the case shall be considered closed. NNNN.If a student group is found culpable of financial and/or group 24
misconduct, the Financial Vice President will carry out all restitution action in accordance to the Senate recommendation as approved. XXIII. Capital Improvements A. All Capital improvements purchased by Astatus student groups using a portion of the Student Activity Fee are property of the Associated Student Government. Any purchase made with a portion of the SAF over $50 will be subject to inventory by the Student Activity Finance Board. B. Inventory 1. All capital improvements purchased with the SAF are to be inventoried annually by the student groups’ Account Executive. 2. The inventory will be taken prior to spring funding. C. Equipment disposal 1. If a capital improvement has been purchased to replace a similar item, the older item must be returned to the Associated Student Government for disposition upon arrival of the new item. 2. If a group wishes to dispose of a capital improvement, the item must be returned to the ASG. Disposal of a capital improvement is at the discretion of the ASG. 3. SAFB will be responsible for the arranging the proper disposal of capital improvements. D. Missing Equipment 1. In the event that a capital improvement has been misplaced, stolen, or damaged the student group must replace it with a similar item of comparable value within 30 days. 2. Failure to replace a SAF funded capital improvement within 30 days may result in a financial misconduct investigation on the student group. E. Derecognized Student Groups 1. When a student group has been derecognized by ASG all capital improvements on inventory are to be returned to ASG within the quarter of derecognition. 2. All Astatus groups will be alerted when capital improvements have been reclaimed and will be allowed to petition for these items.
XXIV. Sanctioning Procedures OOOO.Members of the Northwestern University community shall appeal to the Financial Vice President if at any time they feel an ASG AStatus
recognized group is not fulfilling their obligations or responsibilities to the NU community, as delegated by these guidelines, or its own constitution. This appeal shall be made in writing, submitted to, and/or investigated by the SAFB. PPPP.Shall the SAFB deny a sanctions hearing, the decision may be overruled by a 2/3 majority vote of Senate. QQQQ.The SAFB shall choose at any time to call a sanctions hearing for a group’s failure to adhere to its constitution or these guidelines, or failure to act in the best interests of the Northwestern University community. RRRR.The following procedures shall guide the sanctions hearing: 1. A sanctions hearing shall be called by a majority vote of the SAFB. 2. All members involved, including the president of the group, shall be notified at least one week prior to the hearing. 3. The hearing shall be open to the Northwestern University community unless closed by a majority vote of the SAFB. The hearing shall be directed by the Financial Vice President of ASG with the assistance of the SAFB of ASG. 4. The individual and/or group involved may appeal the decision or decisions of the hearing to the ASG Senate. The reversal shall require a 2/3 majority vote. SSSS.It shall be the responsibility of the SAFB to impose any necessary punitive measures in a sanctions hearing. These shall include, but are not limited to the following: 1. Loss of recognition and associated privileges. 2. Freezing of Student Organization Finance Office (SOFO) accounts. 3. Fines or payments to the party harmed. 4. Referral to the University Hearings and Appeals System (UHAS) for conciliation or formal hearings. 5. Loss of privilege of office space at Norris Center. TTTT.This shall be a partial list of the sanctions, which may be imposed at the discretion of the Financial Vice President and the SAFB and are listed in no particular order of severity or frequency of usage. UUUU.Only the SAFB shall have the power to sanction an AStatus Student Group recognized by and under the jurisdiction of the ASG.
XXV. Regulations of the ASG Budget and Accounts The ASG shall adhere to the SAFB Guidelines, unless specified otherwise in the ASG Bylaws. XXVI. Guideline Review VVVV.The following pages contain the guidelines that govern SAFB in its supervision of the finances and operations of ASG recognized student organizations. These guidelines have been designed to provide SAFB and the student organizations with a fair and consistent set of rules and procedures regarding the allocation of the Student Activities Fee, hereafter known as the SAF. WWWW.The Financial Vice President and SAFB are responsible for implementing the financial policies and decisions of the ASG Senate, and therefore reserve the right to interpret those decisions. The Financial Vice President or SAFB shall be responsible for interpreting these guidelines in cases of ambiguity. The Financial Vice President or a majority vote of SAFB may grant an exemption to any portion of these guidelines with the exception of Article 25 Section C and Article 19 Section B Number 4. XXXX.If at any time the SAFB deviates from these Guidelines, they will be required to provide an explanation to the ASG Senate. YYYY.The SAFB shall review these Guidelines in the Winter Quarter of each academic year. ZZZZ.During Guideline review, the SAFB shall hold a minimum of two open meetings on which interested parties may provide input. AAAAA.Once these Guidelines have been adopted by the ASG Senate, any full or parttime student of Northwestern University may offer amendments to these guidelines. Amendments shall require a twothirds (2/3) vote of Senators present.
MEMORANDUM FROM the VICE PRESIDENT of STUDENT AFFAIRS Among the laws on the subject of alcoholic beverages are prohibitions of the sale, gift or delivery of such beverages by anyone to individuals under 21 years of age and of the possession of such beverages by any person under 21 years of age. As you know, the University policy, printed in the Student Handbook and other publications, states that students are subject to these laws. The purpose of this memorandum is to reaffirm
University policy and to indicate your responsibility and liability in this area. You are responsible for insuring that all activities of your organization are within the rules, regulations and policies of the University. This responsibility carries with it the potential liabilities — criminal and civil — that may flow not only from specific violations of law but also from incidents and accidents that may result from such violations. In addition, severe University sanctions have been and will be taken against groups that fail to meet their responsibilities. Given these responsibilities and liabilities and the age group in your organizations, no University administered funds may be used for purchase of alcoholic beverages. We expect full cooperation from you in meeting your responsibilities.
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