CHAPTER 7

Integrity

Policies and Procedures

CU-Boulder is committed to acting with integrity in all its endeavors. To that end, the campus has developed and implemented policies and procedures that govern its relationships with internal and external constituencies. Examples (discussed in greater detail below) include:

1. Academic freedom
2. Academic honesty
3. Freedom from sexual harassment
4. Commitment to an equitable campus community
5. Student conduct
6. Grievance procedures
7. Professional ethics and conduct
8. Public disclosure and openness
9. Intercollegiate athletics
10. Compliance with federal requirements

All members of the campus community are expected to understand and adhere to such policies and procedures that help ensure responsible and ethical behavior. In cases where policies are not followed, administrative procedures are available for addressing such issues.

In its relationships with internal and external constituents, the campus is guided by a number of institutional practices provided in:

• Affiliation agreements
• Faculty, unclassified staff, and classified staff handbooks
• Faculty governance rules
• Laws of the Regents and administrative policies
• School catalogs and handbooks
• State and federal regulations
• "Students' Rights and Responsibilities Regarding Standards of Conduct"
• State personnel rules and codes
• Student handbooks

Academic Freedom

The principle of academic freedom is highly prized among members of the Boulder campus community. According to the Faculty Handbook, academic freedom is defined as the freedom to inquire, discover, publish, and teach truth as faculty members and students see it, "subject to no control or authority save the control and authority of the rational methods by which truth is established." (See the Faculty Handbook, p. V-1).

Throughout CU’s history, there have been occasions when the campus leadership struggled with attacks on academic freedom, such as former President George Norlin’s defiance of Ku Klux Klan demands in the 1920s. In the words of former President Quigg Newton, "My determination to protect academic freedom is my deepest commitment to you … Ideas are clashing all over the place …"

The campus remains committed to this long-held principle. While academic freedom does not give either faculty or students the right to disregard standards of conduct outlined in the policies and laws of the institution, it continues as a basic tenet of the community. Academic freedom is upheld in the most recent version of the professional standards document adopted by the Boulder Faculty Assembly. (A copy of Professional Rights and Duties of Faculty Members and Roles and Professional Duties of Department Chairs is available in the Resource Room). The preamble includes the following statement:

"It is the intent of this Professional Standards Document to protect academic freedom, to help preserve the highest standards of teaching and scholarship, and to advance the mission of the university as an institution of higher learning."

Academic Honesty

The campus has developed policies and procedures upholding academic honesty as a core value of the community. Faculty and students are encouraged to maintain high standards of accuracy in the public displays of their work and to show respect for the opinions of others (see Laws of the Regents, Article 14,2; Faculty Handbook, p. V-2; and "Students’ Rights and Responsibilities Regarding Standards of Conduct").

The University Code of Conduct and accepted standards of academic honesty are outlined in the CU-Boulder Catalog 1999-2000.

New Honor Code Initiative. Currently, the campus is developing a plan for establishing an honor code that addresses issues of ethics, respect, trust, and safety. Such a code would involve many different components encompassing all aspects of student, faculty, and staff behavior.

A committee of students, faculty, and staff has been formed to prepare an initial feasibility plan for the new honor code. The group will commission a survey of students using focus groups to determine student knowledge, opinion, and interest. Other universities such as Virginia, Maryland, and Kansas State have honor codes and are candidates for campus visits.

Freedom from Sexual Harrassment

Systemwide Policies. The University of Colorado is committed to fostering a positive learning, working, and living environment, free from sexual harassment. As emphasized in the systemwide Sexual Harassment Policy, the university will not condone sexual harassment or related retaliation of or by any employee or student. Also, the campus complies with both Section 703, Title VII, of the 1964 Civil Rights Act and Title IX of the 1972 Education Amendments, which address issues of sexual harassment.

Within the past year, the CU Board of Regents approved a new universitywide Sexual Harassment Policy for the university system, effective July 1, 1999. The policy and related information were scheduled for dissemination to faculty and staff of the Boulder campus in February 2000. Each campus, including CU-Boulder, prepared an appendix describing campus-specific details on implementation. The current systemwide policy will be reviewed within two years of initial implementation.

Campus Procedures. At CU-Boulder, the chancellor appoints two or more individuals to the position of co-chair of the university’s Sexual Harassment Policy as implemented on the Boulder campus. Currently, CU-Boulder has one part-time faculty member and one full-time professional exempt staff member serving in that position.

The two co-chairs hold quarterly meetings with the chancellor, the four vice chancellors, and the associate university counsel. One week prior to each meeting, the co-chairs meet with each vice chancellor to discuss any allegations filed within that division. The chancellor receives any information related to each of the vice chancellors’ areas as well as any allegations within the chancellor’s area.

Training and Education. Beginning in fall 1998, CU-Boulder Chancellor Richard L. Byyny instituted a requirement that all new faculty and instructors attend an educational session on sexual harassment. Three sessions were presented in fall 1998, two in spring 1999, and four in fall 1999. Regularly scheduled sessions are provided for other faculty and instructors by the Employee Development unit of Human Resources. The co-chairs are available to assist with departmental meetings.

Between January 1, 1996 and June 30, 1999, more than 4,600 CU-Boulder faculty, staff, and administrators received training in understanding, implementing, and complying with the Sexual Harassment Policy. Evaluations of the educational sessions are conducted after each session to provide planning information. Most evaluations of sessions to date have been extremely positive.

Enforcement outcomes. The following actions took place in specific cases where a CU-Boulder faculty, staff, or administrator has violated the Sexual Harassment Policy:

A respondent was directed to:

• Attend both a two- and four-hour training session on sexual harassment;
• Have his/her style of behavior evaluated.

In addition:

• A complainant was considered for reinstatement to a previously held position;
• A letter was placed in a respondent’s official personnel file;
• A formal reprimand was administered to a respondent;
• Notice was given that, should further incidents occur, dismissal would result;
• An individual elected early retirement rather than have a second allegation investigated.

Updates. Updating of the CU Sexual Harassment Policy will be conducted by the systemwide university administration, with input from the campuses. The CU Sexual Harassment Policy and Procedures document, along with the CU-Boulder Appendix and Executive Summary, is available online.

Commitment to a More Equitable Campus Community

Creating an equitable and diverse campus community is a high priority at CU-Boulder, as demonstrated by its adherence to nondiscrimination policies and procedures. In seeking equity and diversity, the campus chancellor is assisted by four advisory committees: the Chancellor's Advisory Committee on Minority Affairs; the Program Accessibility Committee (for disabilities); the Gay, Lesbian, and Bisexual Advisory Committee; and the Chancellor's Committee on Women. The campus also has launched a new initiative, called the Building Community Campaign, dedicated to fostering a campus environment that is welcoming, enriching, and inclusive of all members of the community.

Nondiscrimination. The campus provides equal opportunity for employment to job applicants, offers advancement opportunities to employees, provides educational opportunities for qualified students, and provides equitable access to and treatment in its programs and activities. Campus policies prohibit discrimination with regard to race, color, religion, sex, age, national origin, handicap, or veteran status.

As outlined in Article X of the Laws of the Regents, the University of Colorado adheres to the following principles of nondiscrimination:

"In the case of employees, the University of Colorado shall employ persons solely on the basis of merit and fitness, and shall avoid discrimination because of race, color, religion, sex, age, political affiliation, national origin, individual disability, or veteran status.

In the case of students, there shall be neither distinction nor classification of students at the university nor any restriction of membership in university-affiliated groups based on race, color, or creed.

The university shall not maintain an affiliated relationship with any social organization or university interest group that is compelled by its constitution, ritual, or government to deny membership to any person because of race, color, or religion. Final decision on who meets the requirements for membership shall be vested in the active membership of the affiliated groups of the university, recognizing that the active membership may include students, faculty, staff, and selected persons without other university connection.

This policy shall not apply to student groups organized in good faith for devotional purposes or for the study or propagation of a religious faith."

The following related documents are available online:

• Article X of the Laws of the Regents

• Affirmative Action/Equal Opportunity Policy

• Nondiscrimination Policy

Building Community Campaign. Within the past year, the Division of Student Affairs and UCSU have initiated several projects designed to help build a greater sense of community on the Boulder campus. Among the Building Community Campaign initiatives are the Bias Motivated Incident Response Group, the University 101 program, environmental scans, the Chancellor’s Retreat on Community, and convocation activities.

In recent years, the campus has been troubled by occasional incidents of incivility and threats against faculty, staff, and student groups. The Building Community Campaign is designed to help prevent such occurrences, as well as to respond effectively when they do happen.

For example, the Bias Motivated Incident Response Group (BMIRG) was created in 1998 to regularly review any incidents and discuss appropriate courses of action with affected parties. The group also has been charged with establishing and maintaining communication with various groups on campus to promote awareness and facilitate incident reporting. Groups represented in BMIRG include the Division of Student Affairs, UCSU, Residence Hall Representative Council, the University Memorial Center, the CU Police Department, and Residence Life.

Student Conduct

When students enroll at CU-Boulder, they assume the obligation to observe established standards of conduct that help promote a safe and civilized campus environment. Allegations of student misconduct are handled through the Office of Judicial Affairs, which publishes and distributes a brochure outlining conduct-related policies and procedures. The brochure, Students’ Rights and Responsibilities Regarding Standards of Conduct, provides information about the judicial hearing board, rights and responsibilities of victims, possible sanctions, and resources for students.

Grievance Procedures

The CU Board of Regents has adopted grievance procedures as outlined in Part Three of the Faculty Handbook. Grievance procedures for staff are stated in the Code of Colorado Regulations (CCR) Section R10-3-2. Student grievance procedures are conducted by the appropriate dean’s office or the Office of Judicial Affairs within the Division of Student Affairs.

The Ombuds Office at the University of Colorado at Boulder provides informal, impartial, and confidential dispute resolution services for students, staff, and faculty. It can assist people with interpersonal misunderstandings or disputes as well as those with concerns about academic or administrative issues. The Ombuds Office operates independently as a supplement to existing administrative or formal grievance procedures and has no formal decision-making authority. All interaction is strictly confidential. The Ombuds Office web site address is www.colorado.edu/Ombuds.

Faculty. Fair grievance policies and procedures for faculty are established under Article V of the Laws of the Regents and monitored by the university’s Senate Committee on Privilege and Tenure. The committee conducts hearings and inquiries conforming with the rules and procedures provided by the Board of Regents. Findings are forwarded by the committee to the chancellor, who takes appropriate action according to regental laws and the best interests of the Boulder campus.

Under university policy, the appointment, promotion, and dismissal of faculty members must be based on each individual’s abilities in teaching, research, writing, or other scholarly activities. Such decisions must not be influenced by political, social, or religious views. All reappointment, promotion, and tenure actions are reviewed by a faculty advisory committee reporting to the vice chancellor for academic affairs.

Staff. Grievance procedures for CU-Boulder classified employees are established by the State of Colorado Personnel Board. The rules and procedures for grievances are provided in the Code of Colorado Regulations (801-1; R10-3-2) and in Section III of the State of Colorado Employee Handbook. Mediation of a staff member’s grievance is available at the discretion of the employee or supervisor.

Unclassified employees are considered at-will staff members under the Colorado Revised Statutes and are governed by rules and procedures provided in the University of Colorado Unclassified Handbook (1985). Grievances usually are handled through existing administrative structures.

Students. The University of Colorado Student Union (UCSU) provides a mechanism through which the collective concerns and grievances of students can be conveyed to the administration and faculty. Students are encouraged to discuss campus issues with their elected representatives.

Individual student grievances may be handled through such vehicles as:

• Division of Student Affairs, including the dean of students (for several grievances or concerns);

• Office of Student Judicial Affairs (for alleged violations of the CU-Boulder Student Code of Conduct);

• Graduate School (for graduate student claims after departmental appeals have been exhausted);

• Sexual Harassment Policy (formal procedures were described earlier).

Professional Ethics and Conduct

Standards for professional ethics are articulated in the revised Professional Rights and Duties of Faculty Members, adopted by the Boulder Faculty Assembly in 1995. The document outlines the professional rights of faculty, ethical principles and professional duties of faculty members, roles and professional duties of department chairs, faculty conduct review procedures, and sanctions for unprofessional conduct by a faculty member.

Part Five of the CU Faculty Handbook outlines expectations for professional ethics and conduct that guide the university in regard to faculty rights and responsibilities. In particular, the handbook specifies policies and procedures on such issues as: conflict of interest, intellectual property, discovery and patents, research and authorship, privacy rights, and the use of institutional facilities, name, and property.

For example, allegations of research misconduct are handled by the Standing Committee on Research Misconduct, with membership from each school and college. This committee receives allegations, conducts inquiries, and, when warranted, conducts investigations. The rules and procedures of this Committee were approved by the Office of Research Integrity and are available on the Graduate School web site. The committee conducts workshops on ethical standards and provides materials for use by units and individuals. No allegations of research misconduct have been presented to the committee over the last three years.

In addition, each school and college on the Boulder campus has developed policies on academic ethics and misconduct that apply to students. Individual schools and colleges are responsible for administering procedures aimed at maintaining appropriate ethical standards of conduct for students in their respective programs. Two standing committees of the College of Arts and Sciences (the Academic Ethics Committee and the Appeals Committee for Academic Rules and Policies) serve to illustrate the campus’s concern for integrity.

For more detailed information, the CU Faculty Handbook is available in the Resource Room.

Public Disclosure and Openness

As a public institution, CU-Boulder strives to conduct its operations in an open and accessible manner, within the constraints of federal and state statutes. Led by the chancellor and the Office of Institutional Relations (OIR), campus communications efforts reflect a commitment to accuracy, fairness, and openness. Information is disseminated broadly through OIR programs in media relations, internal communication, community relations, publications, marketing, web communications, and legislative communications.

In its communication policies, the campus abides by the Colorado Open Records Act, as well as statutes governing open meetings.

A variety of communication tools are utilized to inform the public about CU-Boulder programs, policies, and procedures. Examples include The Carillon (a campus newspaper available in print and online), Silver and Gold Record (a systemwide faculty and staff newspaper), school/college bulletins and pamphlets (covering application procedures, admissions, and selection procedures, for example), and the University of Colorado home page on the World Wide Web.

Also, the Boulder campus regularly publishes a comprehensive student handbook that provides general information about the campus, academic programs, equal opportunity and diversity, and financial aid. Ralphie’s Guide to Student Life is published each year, providing information on policies, dates and deadlines, and other issues important to students.

The campus publishes an annual catalog, in which the programs of each school and college are described and general campus information is provided.

Communication tools are developed with the needs of the target audience in mind. For example, focus groups of students were used to determine the most effective design and content of admissions publications. A review of the campus’s communication efforts indicates a high level of accuracy and responsiveness to constituency needs. CU-Boulder appears to have established an appropriate set of policies and procedures aimed at ensuring an environment of openness and accessibility.

NCA Third-Party Comment Requirement: The campus has complied with the NCA’s third-party comment requirement, by defining its public constituencies, developing mechanisms, and establishing timelines for seeking written comment. The process and constituencies were identified and developed through consultation with the NCA staff, Self-Study Committee, Office of Institutional Relations, and the campus administration.

The list of identified constituents related to the third-party comment requirement include:

• Alumni and donors

• CU Parents Association members

• CU campus community

• City of Boulder

• Chancellor’s Community Advisory Council

• Deans’ advisory committees

• State of Colorado and surrounding region

• Colorado Commission on Higher Education (CCHE)

Intercollegiate Athletics

In 1997, the Department of Intercollegiate Athletics conducted a major self-study as part of the NCAA certification process. The complete report is available in the Resource Room. The athletic programs were certified, with three recommendations for improvement.

The campus’s responses to the three NCAA recommendations were:

1. Graduation rates. The chancellor organized a Graduation Rate Committee in January 1998 to develop a strategic plan for improving graduation rates for athletes.

2. Fiscal control of institutional camps and clinics. A compliance procedures review was conducted by the Big 12 Athletic Conference in 1997, affirming that the department’s Compliance Office was monitoring camp/clinic activities in an appropriate manner. Further, the department has initiated plans to add an additional staff member assigned to monitor the fiscal aspects of the summer camps program.

3. Gender equity. The campus has revised its gender equity charts, which are displayed in Appendix B of the department’s self-study document.

Since the last NCA evaluation, responsibility for the administration of intercollegiate athletics has moved from the president’s office to the Boulder campus chancellor’s office. This transfer has resulted in closer relationships between the athletic program and the campus’s academic mission, as well as with the student affairs and administration units. The new administrative structure allows for appropriate oversight and accountability at the campus level.

Compliance with Federal Requirements

Financial Aid. CU-Boulder has demonstrated the administrative and financial capabilities necessary to participate in such federal financial aid programs as Pell Grant, Direct Loan, Perkins Loan, Supplemental Education Opportunity Grant Program, and College Work Study.

In 1994, the campus was selected to participate in the pilot phase of the Federal Direct Loan Program, on the basis of administrative and technical capabilities as well as achievement of a low cohort default rate. In five years, CU-Boulder has provided more than $370 million to students through this program. The federal processor has accepted all records and promissory notes; and accounts with the Department of Education have been reconciled.

The cohort default rate for the Federal Perkins Loan program has been under 10 percent for the last five years. The program provides more than $2.4 million annually to CU-Boulder students. CU-Boulder also has successfully completed electronic transmission of student status with the National Student Loan Data System (NSLDS) and is therefore exempt from processing student status reports generated by various state guaranty agencies.

Also, CU-Boulder annually meets the federal requirement for the Community Service Component of the Federal College Work Study Program mandated by the Higher Education Technical Amendments of 1993. In 1997-98, the Federal and State Student Financial Assistance Program Audit resulted in only one finding: refunds of tuition and fees for some withdrawing students may have been calculated incorrectly. This issue has been resolved satisfactorily.

In December 1997, CU-Boulder filed the "Application for Institutional Participation in Federal Financial Aid Programs" and received approval through March 31, 2001. The campus continues to participate in the Federal Quality Assurance Program in which schools with demonstrated administrative capability are exempt from certain regulations on verification of family financial data and allowed to set their own standards and requirements. In July 1995, CU-Boulder was selected as the "Institutional Model of Quality."

Disability Services and Access. The Boulder campus provides advocacy and support for students with disabilities through the Office of Disability Services (DS). The office provides workshops and in-service training to staff and faculty in the areas of rights and responsibilities, determining accommodations, DS resources, and strategies for working effectively with individuals with disabilities. Working within the legal framework of the Rehabilitation Act of 1973 and the Americans with Disabilities Act (ADA) of 1990, Disability Services aims to provide program access and full participation in the larger university community for persons with disabilities. In addition, DS provides technical support and assistance to the campus in the area of assistive technology.

Other Compliance. The campus provides the required consumer information to students in accordance with federal regulations and complies with the Crime Awareness and Campus Security Act of 1990, the Higher Education Amendments of 1992 and 1998, and the Family Education Rights and Privacy Act.

In addition, CU-Boulder certifies compliance with various federal requirements related to research contracts and grants. Examples include the OMB Circular A-21 (Cost Principles for Education Institutions), which defines allowable costs in research activities, and OMB Circular A-110 (Uniform Administrative Requirements), which outlines required business practices for institutions receiving federal funds. Also, under the OMB Circular A-95 requirements, CU-Boulder coordinates with any applicable state agencies on research proposals with potential impact on state, local, or regional plans.

The Boulder campus complies with any federal audit requirements, such as those by the U.S. Department of Health and Human Services or the Office of Naval Research. Other examples of compliance activities include nondiscrimination and affirmative action programs, Environmental Policy Act of 1969, Drug Free Schools and Communities Act, Clean Air Act, the Davis-Bacon Act, the Copeland Act, the Contract Work Hours and Safety Standards Act, use of animals, use of radioactive materials, and use of recombinant DNA.

ROTC Programs Provide Academic Neighborhood

Campus ROTC programs (Army, Navy, Marines, and Air Force) provide a well-established academic neighborhood that annually serves the needs of approximately 600 students. The programs maintain strong scholarship programs, tutoring services, individual counseling, physical space for cadets to work together, and other activities that build a strong sense of identity and community. Statistically, ROTC members frequently have high grade point averages and are among those with the highest graduate rates of all campus academic neighborhood programs.

Law Clinics Offer Hands-on Learning

CU law students gain practical experience by working on actual cases or other legal problems through three clinics within the Law School. The Legal Aid Clinic, established in 1948, handles criminal and civil cases; the Natural Resources Clinic, established in 1978 with support from the National Wildlife Federation, works on major cases in the natural resources field; and the Indian Law Clinic, begun in 1992, works on cases from the two Ute reservations in Colorado, the Denver American Indian community, and other western U.S. locations.

Campus Builds Strong Ties with State School Districts

The School of Education has developed extensive collaborations with local school districts through the Partners in Education (PIE) program, which improves teacher education by enhancing professional growth and renewal opportunities for teachers in six Colorado school districts.