Chapter 7

Criterion Five:

The institution demonstrates integrity in its practices and relationships.

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A. Quick Summary of Chapter 7

B. How accurately does the University communicate its policies and procedures to its various constituencies?

Part 1. Do the University Catalog, class schedules, Student Handbook, viewbook and all other documents related to student recruitment provide appropriate and accurate information to students and prospective students regarding academic policies and curricula?

Part 2. Do the Faculty Handbook and Business and Financial Affairs Handbook provide appropriate and accurate information to faculty, staff and administration regarding University policies and procedures?

Part 3. By what methods does the University insure accuracy and integrity in publications and advertisements intended for external publics (for example, alumni)?

C. How consistent with stated policies and procedures are the practices of the University?

Part 1. Are academic and financial transactions with students carried out in accordance with written policies and procedures? Are exceptions granted in an equitable and appropriate manner?

Part 2. Does the University consistently carry out its obligations to personnel according to written policies and procedures?

D. How well does the University demonstrate its integrity in its operation and practices?

Part 1. What steps are taken to avoid conflict of interest at all levels?

Part 2. Is full disclosure practiced in all of the University's dealings? Are open meetings laws strictly adhered to? Are minutes of meetings made available to appropriate publics? Are relationships with external entities (such as the Washburn Endowment Association) completely, accurately and clearly set forth in publicly available documents?

Part 3. How well does the University maintain an environment that supports sensitivity to diverse individuals and groups?

Part 4. Does the University have in place, and properly monitor, policies regarding equity of treatment and access, nondiscrimination and affirmative action?

Section A: Quick Summary of Chapter 7

Washburn demonstrates integrity in its practices and relationships in numerous ways. It provides many publications to students, faculty and staff, and to the public which present accurate and detailed information about the institution. Much of this information is now available electronically to the entire world. The University reviews these publications frequently to ensure their quality. Policies and procedures are also spelled out plainly in these documents, and procedures for appeal of academic and other decisions are also carefully laid out and followed. The University's practices and policies attempt to eliminate conflict-of-interest, and the University follows State laws regarding open meetings and records. Washburn attempts to provide an appropriate environment for learning which is sensitive to the needs of diverse groups and individuals. It has policies in place regarding equity of treatment and access, non-discrimination and equal opportunity, and monitors compliance with those policies.

Section B: How accurately does the University communicate its policies and procedures to its various constituencies?

Part 1: Do the University Catalog, class schedules, viewbooks and all other documents related to student recruitment provide appropriate and accurate information to students and prospective students regarding academic policies and curricula?

Specific responsibility for the documents mentioned is divided. The Office of the VPAA is responsible for the University Catalog; the Facilities Office publishes the class schedule; and the Admissions Office designs and disseminates the viewbooks. However, it might be better said that the above offices coordinate the production of the documents and compile information from units across campus. Accuracy of the above documents is therefore maintained by multiple reviews from diverse groups and offices.

For example, the University Catalog is reviewed annually by every department and office on the campus that is listed in or impacted by the catalog. Ample time is provided for this review. Problems and inconsistencies are reported to the catalog editor, a senior professor of English who is given release time to assist in the preparation of the catalog. The resulting document is both nimble and flexible in its capacity to adjust to the changes the University and its curriculum are undergoing and to the great variety of audiences using the catalog.

Similarly, class schedules are prepared by the Facilities Office, but are reviewed by every academic unit, by the Business Office and by the Registrar's Office. Class schedules are prepared early so that students and faculty have plenty of time to use them for advising and enrollment. The schedules are available to students at least two weeks prior to the advance registration period for the upcoming semester. Thus, summer schedules are available in early February, fall schedules in late March, and spring schedules in mid October.

The class schedules contain all of the information students need to enroll, pay fees, drop or add courses, and obtain refunds. All important semester dates are published in an easy to read calendar. Special information, such as the procedures for contesting grades, the sexual harassment and equal opportunity policies, the student disciplinary code, FERPA, and parking regulations are also published in the fall and spring schedules. Some concern was expressed about the small type used for these items, but this is done to reduce the already substantial cost of printing these documents.

The production of recruitment viewbooks and brochures is handled similarly.

All of these four documents are revised each year to maintain accuracy and currency. As University policies change, the effective date of the new policy is made to coincide whenever possible with the publication of a new catalog, so that all academic policies in effect are spelled out in the catalog.

Further, students are allowed to graduate under the catalog in effect the year in which they enrolled at the University, or under any subsequent catalog, provided that the catalog is not more than six years old. Thus, changes in academic policy affect only newly enrolling or transferring students. Continuing students are impacted only if they choose to graduate under the newer catalog.

Beginning in 1990, student publications such as the catalog were reviewed to determine if appropriate notification was provided to students as required by the Family Educational Rights and Privacy Act. Where necessary, the University Registrar wrote the appropriate notification and published it in the documents. Students are notified of changes in federal regulations pertaining to student record maintenance through these publications. See, for example, pp.35-39 of the Washburn University Catalog, 1997-98.

Some faculty expressed concern that too few students actually have catalogs, and that more should be done to encourage them to obtain one. The catalog is free to students and available in the Registrar's Office and in numerous department offices.

Part 2: Do the Faculty Handbook and Business and Financial Affairs Handbook provide appropriate and accurate information to faculty, staff and administration regarding University policies and procedures?

The University's bible, as it were, with respect to institutional policies, faculty governance and the like, is the University Bylaws. The Faculty Handbook and the Business and Financial Affairs Handbook are prepared to detail and describe these policies to faculty, staff and administration in a convenient and useful format.

Members of the Resources Committee of the College Faculty Council reported that "in general, faculty members are satisfied with (these two documents). Most read these only when a specific situation arises for which they need to obtain an answer."

However, a committee of three department chairs from the College of Arts and Sciences evaluated the Faculty Handbook by selecting 10 topics to sample the quality of the statements in the handbook and the extent of its coverage. These 10 topics, and the chairs' findings, follow.

1. Adjuncts - Adjunct faculty are clearly defined and the rate of pay is clear. There is no discussion of hiring procedures for adjunct faculty. (Note: A "Statement on the Qualifications and Use of Adjunct Faculty" has been adopted and incorporated into a subsequent revision of the handbook.)
2. Faculty Hiring Policy - The hiring policy for general faculty is clearly discussed and the procedure to be followed is clear and concise.
3. Released Time - The former faculty handbook did not have released time listed as a subtopic in its index. But a policy on released time can be reasonably inferred from the general policy on faculty teaching load. "Reduction of teaching loads for chairpersons and others...is determined by the Dean...and the President."
4. The Sabbatical - The policy, the procedure for obtaining a sabbatical, and the restrictions on the sabbatical are clearly articulated. The sabbatical is listed as an employment benefit.
5. The Tenure Process - The reasons for tenure, responsibilities subsequent to the award of tenure, and the tenure process are clearly stated and communicated in the handbook. Further, the reasons and process are additionally described for each college or unit. The criteria for tenure are left somewhat general - "outstanding teaching, scholarship, and service" - so that colleges and departments can cite more specific criteria. Suggestion: the candidate is informed of decisions and recommendations at the first three levels (department committee, chairperson and dean) but that is where communication with the candidate ceases. Yet recommendations are made at two higher levels (VPAA and President), and those recommendations should be forwarded to the candidate as well since they may not be consistent with the recommendations the candidate is already aware of.
6. The Role of the Chair - A new description of the role of the department chairperson appears in the 10^th edition of the handbook. The role is clearly defined in business-like fashion in terms of the chairperson's responsibilities for program maintenance development and evaluation, personnel management, fiscal management, responsibilities to students, and other responsibilities relevant to the role.
7. Issuance of Terminal Contracts - The handbook clearly states the procedures for the notification of terminal contracts to faculty. The policy divides itself into the procedure for the notice of non-reappointment for a non-tenured faculty member and the procedure for the termination of a faculty member. The schedule for the notification of non-reappointment differs depending upon the length of the faculty member's years of service. The procedures for termination for cause (incompetency) include lengthy, detailed, and thorough narratives for both informal and formal procedures.
8. Internal Dispute Resolution Process - The faculty handbook includes a lengthy narrative on the procedures for termination when an issue is made of termination. But very little exists in the handbook about mechanisms that can resolve "softer" internal disputes. No ombudsperson or office for the resolution of such disputes exists at Washburn. Appendix IX of the handbook does detail in four pages a grievance policy and procedures concerning the terms and conditions of employment of faculty. The appendix notes that such procedures are not applicable to complaints concerning petitions for promotion, tenure, termination or non-reappointment nor to complaints under the jurisdiction of the university's affirmative action policy. The handbook does not give any examples or illustrations of what other kinds of grievances might exist that would trigger the extensive mechanisms described in the handbook. Some examples might be helpful. For example, would such procedures cover the kind of conflict where a faculty member was instructed to teach a different subject matter from the subject matter he or she was to teach and experienced teaching? Would it cover efforts made to move a faculty member from one department to another? The university is very clear about its desire to resolve such unnamed disputes within the university community and in the best interests of the grievant and the university. The specific role of the university attorney is not defined in the faculty handbook.
9. Description of the Budget Process - The current faculty handbook has no description of the university's budget process, even though there are assignments for those who have varied responsibilities for the budget. Appropriate materials may be found in those handbooks that treat business and financial affairs.
10. Procedures for Dealing with Student Complaints - The handbook states that the department chair has the responsibility for ensuring that faculty members are aware of the policies in the Washburn University Student Handbook, especially those sections relating to appeal in academic matters. That student handbook, we have found, is not readily available, if available at all. Nevertheless, Section VII of the faculty handbook contains a list of the rules that will govern the processing of alleged violations of the proscribed conduct listed in the Student Disciplinary Code, including descriptions of an appeals board, procedures for hearings before the disciplinary appeals board, and a summation of suspension. Procedures for dealing with other kinds of student complaints do not exist. Working with such complaints is not one of the prescribed tasks of the department chair, although the chair must assume it is a role that he or she must satisfy.

An additional shortcoming of the Faculty Handbook pointed out by faculty is that the status of faculty holding the position of Lecturer is not clearly defined, particularly with regard to voting privileges. Furthermore, procedures for accommodating students with disabilities should also be added to the Handbook.

Regarding the Business and Financial Affairs Handbook, the same committee of department chairs wrote: "Overall, the Washburn University Business and Financial Affairs Handbook serves the administration, faculty, and staff of the University well. The content of the handbook, for the most part, is clearly and concisely presented and provides direction and answers to most inquiries of fact and procedure. The body of the handbook is kept up in a timely fashion through updated replacement sheets concerning such indexed topics as sick leave, personal leave, the TIAA/CREF retirement program, categories of employment, holidays, and affirmative action. This handbook is a very important reference point for all employees."

Part 3: By what methods does the University ensure accuracy and integrity in publications and advertisements intended for external publics (for example, alumni)?

The principal on-going publications for external audiences are the University Catalog, the Viewbook, the President's Annual Report and the Alumni Magazine. The first three also have large internal constituencies as well, of course. The catalog and viewbook were discussed in part 1 of this section. The President's Annual Report is prepared by the president in cooperation with the University Relations Office, and the Alumni Magazine is prepared by the Alumni Association. All of these publications are carefully reviewed for accuracy prior to publication.

There are many other ways through which various components of the University communicate with their constituents. Some units have newsletters, for example, and many units prepare informational brochures regarding the services they provide. While there have been no reported instances of wildly inaccurate information being conveyed, inconsistencies in data presented have occurred. These inconsistencies typically result from data from different years being used, or from inconsistent definitions being used in data.

One of the biggest concerns with these publications has been inconsistency in format, style and presentation. Instead of a common "Washburn look," there have been a number of designs. However, staffing has been inadequate to provide some centralization to the process, and it has not been clear that such centralization would be beneficial in other respects. The Director of University and Governmental Relations is examining how to best use limited resources to provide a "Washburn look" for publications across the entire campus.

The alumni surveyed (see Chapter 3, section D) indicated their satisfaction with University publications. One alumnus wrote "I think the magazine and the numerous alumni who speak at the 'Wake Up with Washburn' and various luncheon events are excellent tools for reaching and retaining an already committed group of alumni. The university's well-designed recruiting brochures and other marketing pieces show Washburn as a dynamic and diverse option for traditional and non-traditional students alike, and the 'Career Connections' and other activities designed to involve alumni with current students through one-on-one meetings are features that I wish had been available to me when I was an undergraduate at Washburn."

Then this alumnus wrote: "I've never been misled by the material in a Washburn article or advertisement, and I think the university's faculty and staff are wonderful ambassadors for the school."

However, another wrote: "I think Washburn accurately communicates with her constituents. I am concerned that Washburn is not consistent in communicating to its various constituents. The voice, and the message, change too often for her constituents to fully recognize the long-term objectives and purposes of Washburn." This alumnus went on to note: "I think this may not be unusual for any university in today's changing environment."

Section C: How consistent with stated policies and procedures are the practices of the University?

Part 1: Are academic and financial transactions with students carried out in accordance with written policies and procedures? Are exceptions granted in an equitable and appropriate manner?

Academic transactions with students are carried out daily in every department office across the campus, and in the many administrative offices that have regular contact with students about academic matters. Having well-defined and widely known academic policies is absolutely essential.

One way Washburn demonstrates a commitment to consistently carry out its obligations for academic and financial transactions with students is by providing detailed written policies and procedures in the catalog. Examples of policies that relate to academic and financial transactions are on pp.28-50, containing academic policies and regulations (such as graduation requirements; requirements common to all degrees; application for degree, degree audit and diplomas; grading systems; student records, access maintenance and disclosure; grade appeal procedure; probation, suspension and reinstatement; admission requirements; and registration, enrollment and withdrawals), and on pp.55-60, containing financial information (tuition, payment structure and fees; financial obligations; fines; refunds; and residence halls). The University calendar, with important dates for students, is published annually in the catalog and appears in every class schedule.

These policies are also made accessible to students through various departmental publications which amplify the policies for particular degree programs or majors. Nonetheless, our student population is diverse, and many students have courses transferred from other institutions which do not match with any Washburn course or requirement.

In this environment, clear procedures are necessary for implementing the written policies and procedures and for making exceptions to them. Department chairs and deans are fully aware of the policies for which they may make waivers or exceptions, and those which must be made at another administrative level. To avoid confusion, all exceptions are made in writing, and copies are put in the student's file. For example, exceptions to departmental or major requirements (like course substitutions to satisfy the major or correlates) can be made by the appropriate department chair or dean. On the other end of the scale, exceptions to University graduation requirements are made by the Vice President for Academic Affairs Office in consultation with the appropriate academic officials. The University Registrar's Office never makes exceptions to policy, but does point students to the appropriate University office.

Such exceptions to University academic policy are made only when the student (or a University official operating as an advocate for the student) makes a request in writing. The most common reasons for requesting exceptions to policy are failure of the student to understand the policy or incorrect advising provided the student. In the latter case, exceptions are almost always granted, especially when correcting the advising error would cost the student additional time to degree completion or substantial additional expense. Given the number of advising sessions that take place each semester, the number of such errors is remarkably small. Nonetheless, when the University is at fault, the faculty and the Academic Affairs Office are quick to make the matter right.

Grade appeal procedures are in place and are regularly published, not only in the catalog and the student and faculty handbooks, but also in the fall and spring class schedules.

The library has written policies and procedures concerning the assessment of fines and fees, the placement and removal of Registrar "holds" and other financial and academic transactions. Exceptions are made when appropriate.

The Academic Affairs Committee of the Washburn Student Association indicated that, in its view, Washburn "on the whole...does follow the rules and regulations it sets down." However, the committee also felt that in a certain situation, the University failed to do so. The committee expressed concern regarding the intramural program, stating that "more than once has a student been the subject of a decision made by the Washburn Student Association...then such a decision is overruled by the administration." The students felt "that if the administration is going to allow students to run certain organizations or programs, they should be given final say in those programs."

Response from Student Affairs to comments about intramurals: Like many programs, the intramural program has faced some challenges and decisions or directives needed to be created and presented. Washburn encourages students to be in the forefront in managing and executing student activities on campus. This is particularly true with the intramural program. The administration does not and will not overrule a program decision. The administration does, however, respond to student disciplinary code violations in a manner consistent with the violation and in the best interest of the student body. Due process and necessary sanctioning, when needed, does occur, but is not designed to undermine the efforts of any group or organization.

Part 2: Does the University consistently carry out its obligations to personnel according to written policies and procedures?

Personnel policies and procedures are printed in detail in the Faculty Handbook and the Business and Financial Affairs Handbook.

All personnel transactions, such as elections for health insurance coverage, retirement plan, disability plan, promotions, demotions, discipline, hiring, and termination, are conducted in writing. Review at many levels is required for virtually all of these transactions to ensure that they are carried out according to policy.

Administrators at all levels are responsible for ensuring that these policies and procedures are appropriately carried out. Development workshops for administrators are held to review key procedures and to make sure that consistent practices exist.

Section D: How well does the University demonstrate its integrity in its operation and practices?

Part 1: What steps are taken to avoid conflict of interest at all levels?

A number of University policies speak to this issue.

The University Bylaws, Article IV, outline the manner in which faculty or staff members of the institution may seek public elective or appointive office. Article V, section 1.C, recites that the University's faculty are able to speak or write as individuals free from censorship or discipline by the institution, provided, however, that the faculty should seek to be accurate and avoid indication that he or she is speaking for the institution. Section 2, part VII, of the Faculty Handbook indicates that persons may be employed by the University without regard to family relationship provided the individual employed is not reviewed for promotion/tenure or salary by his or her close relative (see also section I.2.4 of the Business and Financial Affairs Handbook).

Further, Section 5, part II, of the Faculty Handbook explains that faculty members can engage in a reasonable amount of consulting assignments outside the University as long as they do not interfere with the effective discharge of the University's duties and faculty members must first notify their immediate supervisor of the nature of the assignment and the estimate of the time they will be engaged in the outside activity. It also recites that the faculty member is to obtain the approval of his or her supervisor before engaging in such activity.

Another policy relating to this issue deals with administrative employees and is detailed at II.2 of the Business and Financial Affairs Handbook. The policy proscribes generally the employment of administrative employees at the University to teach courses at the institution other than as permitted explicitly in the policy.

A series of state statutes relating to conflict of interest involving public governmental officers and employees apply to Washburn. These are found generally in K.S.A. 75-4301a et seq.K.S.A. 1995 Supp.75-4304 proscribes a governmental officer or employee from making a contract with any business or person with which he or she has a substantial interest and proscribes a person or business from entering into a contract with a local governmental officer or employee when that person or participant is employed by or has a substantial interest in such business.

Thus, University policies and state law attempt to protect against conflict of interest at all levels. However, as a result of this self-study, the University's legal counsel has suggested that our policies be updated for all categories of employees, and that such a policy should also be developed for the Board of Regents to adopt as a means to keep the Regents free from the appearance of conflict of interest. Development of these policy statements is underway.

The Allocations Committee of the Washburn Student Association made the following statement: "The University is extremely efficient in demonstrating its integrity in its operations, but we feel more effort could be put toward becoming more student friendly. Although the University wants to appear (italics theirs) student friendly, there could be more done to preserve the minimal traditional student population that is currently attending." These remarks express something that is commonly heard from traditional students; i.e., that the University has taken such an interest in non-traditional students that traditional students sometimes feel disenfranchised.

Part 2: Is full disclosure practiced in all of the University's dealings? Are open meetings laws strictly adhered to? Are minutes of meetings made available to appropriate publics? Are relationships with external entities completely, accurately and clearly set forth in publicly available documents?

Washburn University of Topeka is a quasi-municipal corporation, organized and existing under state law, and required to adhere to the Kansas Open Meetings Act (K.S.A. 75-4316 et seq.) and the Kansas Open Public Records Act (K.S.A. 45-215 et seq.). Washburn University assiduously adheres to the provisions of the Kansas Open Meetings Act (K.S.A. 1995 Supp. 75-4318) in furnishing notices of Board of Regents meetings in a timely manner including mailing such notice and agenda to all area news organizations and posting the same on the University's home page. Agenda and minutes of Board of Regents meetings are available on the web. (All minutes for the last 10 years will be available to the evaluation team.)

Within the University itself, University standing committee meetings are conducted in accordance with these laws, and minutes of such committees are forwarded to the University Council. University Council meetings are scheduled in advance for the entire year, and agenda are sent to members and to any interested party one week in advance of the meetings.

The external entities with which Washburn has on-going relationships are the Washburn Endowment Association, the International Center of Topeka, the Washburn Law School Foundation and Mulvane Art Museum, Inc. Relationships with the first two entities are defined by contract, and these documents are publicly available. Contract negotiations are in progress with the latter two.

Members of the Allocations Committee of the Washburn Student Association suggested that, while open meetings laws are properly being followed, students are not adequately informed about meetings. These students offered as an example a recent Board of Regents meeting in which issues regarding campus security were discussed. The students said they were not aware the issue was being brought to the Board, and felt they should have had more input. They also suggested that meeting minutes be sent to the Washburn Student Association. The students indicated they were unclear about what documents are available to them.

Response from the Secretary to the Board of Regents: The agenda is sent to the President of WSA at the same time it is provided to members of the Board, about 10 days in advance of each meeting. The WSA President is specifically extended the opportunity to attend and participate in any meeting of the Board of Regents to the same extent as the faculty representatives and senior administrators. Minutes of previous meetings and future meeting dates and agendas are published on the web.

Part 3: How well does the University maintain an environment that supports sensitivity to diverse individuals and groups?

First, Washburn University has adopted and monitors carefully through the director of affirmative action policies on equal educational and employment opportunity and sexual harassment. The importance of these two policies is reflected in the fact that they are printed on page 2 of the University Catalog. Workshops on sensitivity and diversity are regularly held for faculty, staff and administrators.

Second, Washburn by its very nature is open to diverse individuals and groups because of its open admissions policies. Students range in age from 16 to 72 years old, and nearly half are part time. Most work at least part time. Over 16 percent of students come from minority groups, and over 200 international students attend the University.

Third, the University attempts to recognize the changing needs of its students and to respond with new programs, course offerings on evenings and weekends or via television, and offerings in off-campus locations.

Fourth, the Multicultural Affairs Office provides peer assistance for minority students and along with a widely representative campus committee coordinates numerous activities to celebrate diversity.

Finally, Washburn has been making substantial efforts to accommodate students with disabilities. An Assistive Technology Committee has been formed to review and assess current assistive technologies and to plan for future student needs. Equipment such as the Kurzweil Reader and TDD are available. A PC dedicated to students with disabilities is available in the Library. This PC has text-enlarging and voice software. A student assistant is scheduled 20 hours per week to help students use the equipment and software. Procedures for requesting accommodations have been revised to facilitate coordination with the student and the academic departments in developing strategies and identifying resources to meet student and faculty needs. Information about how to contact the Student Services Office to request accommodations is being printed in all class syllabi. In addition, workshops for faculty and department chairs are being presented to discuss the Americans with Disabilities Act and how to assist students in a variety of settings.

Part 4: Does the University have in place, and properly monitor, policies regarding equity of treatment and access, nondiscrimination and affirmative action?

The University's Equal Opportunity Policy and Sexual Harassment Policy appear in numerous University documents. See, for example, p. 2 of the Washburn University Catalog, 1997-98. Hiring policies and procedures are carefully spelled out in the Faculty Handbook and the Business and Financial Affairs Handbook. The director of affirmative action works with the VPAA (for faculty positions) and the Personnel Office (for administrative and staff positions) to ensure that these procedures are followed. The director of affirmative action meets with each faculty search committee at the start of the search practice to review appropriate practices regarding recruitment, applicant screening, interviewing and selection.