»Chapman University's Non-profit Status

Chapman University is a private, non-profit university located in Orange, California affiliated with the Christian Church (Disciples of Christ).  Known for its blend of liberal arts and professional programs, Chapman University encompasses seven schools and colleges: Lawrence and Kristina Dodge College of Film and Media Arts, Wilkinson College of Humanities and Social Sciences, George L. Argyros School of Business and Economics, Schmid College of Science, College of Performing Arts, School of Law and College of Educational Studies.

As a 501.c.3 non-profit organization (Internal Revenue Service Code), Chapman is "...organized and operated exclusively for exempt purposes set forth in section 501(c)(3), and none of its earnings may inure to any private shareholder or individual.  In addition, it may not be an action organization, i.e., it may not attempt to influence legislation as a substantial part of its activities and it may not participate in any campaign activity for or against political candidates.

Organizations described in section 501(c)(3) are commonly referred to as charitable organizations.  Organizations described in section 501(c)(3), other than testing for public safety organizations, are eligible to receive tax-deductible contributions in accordance with code section 170." (www.irs.gov)

+-Record Retention and Destruction Policy

PURPOSE

The purpose of this policy is to create a standard for Chapman University personnel with respect to the retention of documents and records created or maintained in the course of institutional business, and to ensure that records that are no longer needed or of no value are destroyed on a timely basis.

POLICY

Business, tax, reporting and legal considerations require the orderly retention of the university's records. For this purpose, the University has in place retention and destruction policies which apply to electronic as well as paper records. Each university department maintains copies of its respective policies. All employees must comply with the policy in effect for their department and employees are urged to familiarize themselves with the policy.

ADMINISTRATION

Each department head periodically will review currently-used records and forms to determine whether these records and forms are adequate and appropriate for each department’s requirements. In addition, each department head will ensure compliance with the Family Educational Rights and Privacy Act (FERPA) found on the University’s web site at http://www.chapman.edu/students/academic-resources/registrar/student-services/privacy-rights-ferpa/index.aspx

Many departments must maintain their own retention and destruction policy based on their internal and external requirements. It is the responsibility of the department head to inform all employees within the department of their policy. In addition, each department head will ensure that all employees within the department adhere to their policy.

Each department head will periodically review the policy to determine any special circumstances that necessitate changes to the retention periods. Requests for changes in retention periods should be made to its senior administrator and may be implemented only after approval by said administrator.

In the event of a governmental audit, investigation, or pending litigation, record destruction may be suspended at the direction of any of the senior administrators. In addition, the senior administrators should be informed of any situation that might give rise to legal action as soon as the situation becomes apparent.

(Policy Effective 5/01/2009)

+-Conflicts of Interest

Chapman University, a California non-profit corporation (the “University”), intends to pursue its mission and purpose in compliance with the law and with high ethical standards in its conduct. All persons associated with the University’s business are expected to act with honesty, integrity, and loyalty and to maintain high standards of personal and ethical conduct in such affairs.

The University expects its Trustees and key employees to recognize and refrain from activities or investments which are likely to involve, or might appear to involve, a conflict of interest with the interests of the University.

The intent of this policy is not to disqualify the University’s Trustees or key employees who have potential conflicts of interest from involving themselves with the University’s activities or affairs, but rather the intent is to require disclosure and review of any activities or relationships which may fall within the scope of this policy.

A Trustee or key employee of the University shall be considered to have a conflict of interest if:

(1) he or she has existing or potential financial or other interests that impair or might reasonably appear to impair his or her independent, unbiased judgment in the discharge of his or her responsibilities to the University; or

(2) a member of his or her family, or any organization in which the Trustee or key employee is an officer, director, employee, member, partner, trustee, or controlling stockholder, has such existing or potential financial or other interests; or

(3) he or she discloses or uses confidential or privileged information obtained through his or her association with the University for personal gain or any other unauthorized purpose.

All such persons shall disclose any possible conflict of interest at the earliest practical time to the University Compliance Officer who shall report all disclosures to the Audit Committee of the Board. Furthermore, the Trustee or key employee shall absent himself or herself from discussions of, and abstain from voting on, such matters under consideration by the Board of Trustees or its committees. The minutes of such meetings shall reflect that disclosure was made and that the Trustee or key employee who has a conflict or possible conflict abstained from discussing or voting on the matter. Any Trustee or key employee who is uncertain whether a conflict of interest may exist in any matter may request that the Board or committee resolve the question in his or her absence by majority vote.

Each Trustee and University key employee shall complete, sign and return a disclosure form annually. See Attachment A.
Definitions for the purposes of this policy:

FAMILY MEMBER: A spouse, parents, siblings, children, and any other relative or close associate if residing in the same household as the Trustee or key employee.

KEY EMPLOYEE: Any full-time University employee with the title of Director, Controller, Assistant Vice President, Associate Vice President, Chief Information Officer, Vice President, Dean, Vice Chancellor, Executive Vice President, Chancellor, President, and/or who serves as a corporate officer.

CONFIDENTIAL or PRIVILEGED INFORMATION: Information that is not public and pertains to the operation of any part of the University, however promulgated, whether spoken, written, or in an electronic-generated form which is not otherwise known to the individual from a source other than the University (e.g., rates or charges involved in competitive bidding or other material price or contract requirements, anticipated programs or operations, real estate sites for purchase or sale, investment decisions, etc.).

Financial Interest: Whenever a Trustee, key employee or his or her family member has a financial interest in a company or organization or is doing business with the University or anticipates a situation or transaction where he or she may have an interest in a company or organization conducting business with the University.

Examples of activities requiring disclosure and refrain from participation in decision-making:
Competition with the University: Whenever a Trustee, key employee, or his or her family member has a financial interest in a company or organization competing with the University or is doing business which competes with the University or anticipates a situation or transaction where he or she may compete with the University.

Consultant for or Contract with the University: Whenever a Trustee, key employee or his or her family member has a financial interest in a company or organization that receives a payment from the University or receives payment from the University as a consultant or contractor or anticipates a situation where he or she may receive payment from the University as a consultant or contractor.
Business Relations: Whenever a Trustee, key employee or his or her family member has an employment, consulting or other official relationship with a company or organization that has or seeks to have a business, consulting or official relationship with the University or receives a payment or item of significant economic value from that business or organization.

Use of University Resources: Whenever a Trustee, key employee or his or her family member, except in an official, authorized capacity or incidental manner, uses University personnel, resources, equipment, services or facilities for personal gain or profit without full disclosure, approval and reimbursement of costs.

Disclosure of Confidential or Privileged Information: Whenever a Trustee, key employee or his or her family member discloses confidential or privileged information in any form to an unauthorized party, whether the disclosure was intentional or inadvertent.
Accepting a Personal Gift or Favor: Whenever a Trustee, key employee or his or her family member accepts a personal gift or special favor from an individual or entity that provides, or seeks to provide, services or supplies to the University. This provision does not include occasional gifts of nominal or modest value (less than $500.00 in value or isolated invitations to lunch or dinner).

For a copy of the Conflicts of Interest Policy and a Disclosure Form, click here.

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