Final
SUBCOMMITTEE ON INTEGRITY DRAFT REPORT
Members of the Subcommittee on Integrity:
Mr.
Ms. Catherine T. Anson, Grants Administrator and IRB Administrator
Mr. Peter R. Bernardo, Director of Planned Giving
Ms. Donna L. Byrnes, Director of Residence Life
Sr. Mary Ann Flannery, VSC, Associate Professor and Chair, Department of
Communications
Rev. Harry J. Gensler, S.J., Professor of Philosophy
Mrs. Barbara Lovequist, Secretary to the Academic Vice President
Ms. Gretchen Weitbrecht, Acting Athletic Director
Alternates:
Dr. Brenda A. Wirkus, Associate Professor and Chair, Department of Philosophy
Criterion Five:
“The institution demonstrates integrity in its practices and relationships”
Introduction
· The Subcommittee on Integrity in Practices and Relationships conducted an audit of publications and practices pertaining to institutional integrity. The summary document, "Criterion #5: Source Materials Related to Practices and Relationships," is available for review along with the documents compiled during the audit. They include handbooks, policy statements, guides, manuals, reports, brochures, et al.
· The subcommittee reviewed the documents for items that pertain to matters of integrity in practices and relationships. Members expressed opinions based on their own experiences.
· The subcommittee believes that John Carroll's practices and relationships provide strong evidence of institutional integrity and of its commitment to the mission of liberal arts education in the Catholic, Jesuit tradition. The university adheres to civil laws governing non-profit, independent institutions of higher education.
· The subcommittee recommends some actions that it believes will strengthen the university’s commitment to integrity in its practices and relationships.
Internal Practices
and Relationships (among students, faculty, staff, administrators)
Academic Integrity and Freedom
· University policies regarding academic freedom and responsibility are published in the Faculty Handbook, the Undergraduate Bulletin, the Graduate School Bulletin, the Community Standards Manual (student handbook), and in other publications. The Community Standards Manual is published in an on-line format.
· Copyright policies are published in the Faculty Handbook, on the university’s Website, and at the Copy Center. The university has increased notifications regarding copyright law in recent years, particularly with respect to publications obtained via the Internet.
· The university's policies regarding intellectual property must be updated. A statement regarding “patent and copyright policy” is published in the Faculty Handbook.
· The university purchased a site license for plagiarism-identification software, the use of which is supported by the director of the Center for Teaching and Learning.
· The newly established John Carroll Collaboration with Industry (JCCI) will be located in the Dolan Center for Science and Technology. The JCCI Development Committee is working on policies, including policies that pertain to intellectual property rights, that will guide the selection and oversight of ventures that will participate in JCCI.
· Recommended action: The subcommittee urges the university to update and communicate to all concerned its policies regarding intellectual property rights as soon as possible.
Professional Ethics and Conduct
Research Policies and
Practices
· Two committees oversee research policies and practices: (1) the Institutional Review Board (IRB), established in 1997, is responsible for research involving human subjects; (2) the Institutional Animal Care and Use Committee (IACUC), established in 1998, is responsible for animal research. The Dean of the Graduate School chairs both committees.
· The IRB may register with the Office of Human Research Protections (OHRP) of the U.S. Department of Health and Human Services (DHHS) to obtain a federal wide assurance (FWA).
· The Dean of the Graduate School has developed a policy in respect to misconduct in research. Various committees that are responsible for research are reviewing it.
· There have been a few surveys involving human subjects that did not obtain prior approval from the IRB. The Dean of the Graduate School has taken steps to increase communication regarding requirements for authorization, including memos and publicity during the annual Celebration of Scholarship Week in March.
Grants and contracts
· The university competes for grants offered by government agencies, foundations, and other sources. The dean of the graduate school directs the Office of Grants Administration and the Office of Faculty Research, Faculty Development, and Faculty Grants.
· The Office of Grants Administration published a "Guide to Grants, Contracts, Fellowships, and Research" in September 2002 to encourage and guide faculty research that requires external funding and to help assure compliance with the policies and procedures of the university and the external funding organizations.
· The university communicates regularly with federal and state government officials in regard to legislation governing student financial aid, tax policies that affect charitable giving, grants, and other government policies and regulations that affect higher education.
· The director of public affairs is a registered lobbyist at the federal and state levels. The university complies with all government regulations related to these activities.
Privacy of Records
· The university conforms to FERPA regulations. Within the past decade, in response to changes in federal law regarding student behavior that may pose danger to themselves or others (e.g., drug use or abuse of alcohol), the university established a parents notification policy that conforms to new provisions of the law. Students and parents are informed of this policy during First Year Orientation.
· The university's Information Technology Policy is publicized in the Community Standards Manual. The subcommittee raised a question about the confidentiality of electronic files on students (e.g., SSI identifiers, data on religious affiliation, and marital status).
· The subcommittee raised a question about the "ownership" of the electronic files of faculty. In response, the associate academic vice president and the executive director of the Information Services Department responded that there is no universal policy. This matter is addressed at the departmental level if at all.
· The executive director of Grasselli Library has prepared a policy statement regarding the ownership, use, accessibility, and disposition of archival material.
· Recommended action: The university should review policies and safeguards related to the privacy of electronic records of students and employees.
· Recommended action: The university should review policies related to the ownership of electronic documents in personal directories, particularly in respect to their disposition at the end of an employment relationship.
Financial management and financial reports:
· Financial records are audited annually by Ernst and Young and reviewed by the Audit and Finance Committee of the board of directors. Summaries are distributed to the university community and to external constituents, the latter via the annual report.
· The university makes periodic presentations on its financial condition to Moody's and to the Ohio Higher Education Commission when issuing bonds. Its A-2 bond rating evidences its financial integrity.
· Financial management has been improved since last accreditation through the addition of three professional positions in the Finance and Administrative Services Division.
· The conversion to SCT Banner's integrated software programs in 2002 has strengthened financial management systems and policies.
Bookstore:
· John Carroll's bookstore is internally managed and is controlled by the university.
· The bookstore has a policy of not marketing products manufactured under "sweatshop conditions" in third world nations.
Legal Counsel:
· The university is represented by Jones, Day, Reavis, and Pogue, an international law firm headquartered in Cleveland.
· In respect to immigration law, the university has retained the services of Bradley Ortman of Rosemont Associates to assist the Academic Vice President’s office in hiring faculty who are foreign nationals. The firm conducted a seminar on immigration law for faculty (Nov. 2002.)
Compensation and Benefits: Staff and Administrators
· Full-time staff and administrators numbered 452 in the fall 2003 semester -- 184 staff and 268 administrators. For purposes of definition, staff are employees covered by provisions of the U.S. Fair Labor Standards Act that regulate overtime compensation and related rules (non-exempt). Administrative employees are exempt from these provisions. The two groups are differentiated in respect to compensation, benefits, and work schedules.
· The university commissioned a market study of staff compensation in 2000 based on the belief that staff compensation had lagged below the market for years. The study, conducted by the Human Resources Office and Deloitte & Touche LLP, confirmed the belief. A significant factor was an outdated classification system for staff positions, which made market comparisons difficult.
· Based on the findings of the market study, in 2001 the university restructured and re-categorized staff positions and raised compensation ranges to market levels. Some employees have filed complaints about specific reclassification decisions and about the length of time to resolve them.
· Administrative compensation will be addressed in the future as a component of the Human Resource Department's strategic plan. The study will include evaluation and possible modification of position descriptions and titles.
·
Fringe benefits improved during the past
decade. Dental and eye care were added
as options to health benefits in 2000. A
flexible spending option was added to payroll services. In 2004, the benefit plan will offer: (1) two
types of health insurance coverage, with differentiated rates and benefits,
under Medical Mutual; (2) an HMO and a PPO dental coverage plan; (3) an HMO and
PPO provision for vision coverage; and,
(4) increased life insurance choices.
· Other employee benefits: Tuition-free admission to undergraduate and graduate courses at John Carroll; eligibility to apply for free tuition (via tuition exchange programs) at other Jesuit universities and at member institutions of the Council of Independent Colleges; free parking on campus; free admission to athletic events; and, free use of exercise facilities.
Non-discrimination and Affirmative Action
· The Associate Academic Vice President is responsible for assuring EEO/AA compliance in respect to faculty hiring and promotion. The Director of Human Resources is responsible in respect to administrative and staff positions.
· Equal employment opportunity policies are stated in the Faculty Handbook, the Undergraduate Bulletin, the Graduate School Bulletin, the Employee Handbook for Staff and Administrators (hereinafter referred to as the Employee Handbook), and other publications. They also are publicized in all advertisements and notifications of employment opportunities.
· The university's Equal Employment Opportunity / Affirmative Action policy is affirmed annually by the president in a memorandum to the university community.
· The university relies on federal guidelines in defining the term “minority individuals.”
· The university made some progress in diversifying the racial and ethnic mix of faculty during the past decade. In fall 1993, 15 faculty were minority individuals, 7.4% of 215 full-time faculty. In fall 2003, 24 faculty were minority individuals, 9.8% of 245 full-time faculty.
· There also has been some progress in recruiting minorities for administrative and staff positions. In fall 1993, 14 staff and administrators were minority persons, 4.7% of 296 full-time personnel. The comparable total was 33 in fall 2003, 7.3% of 452. This total consisted of 4 senior-level administrators, 8.3% of 47 overall; 19 mid-and lower-level administrators, 9.6% of 197 overall; and 10 staff, 4.8% of 208 overall.
· In 1996, the U.S. Department of Labor completed an inquiry regarding the university's EEO/AA performance. It reported that the university's documentation was inadequate. In response, the university introduced a new management system for recruitment, advertising, record keeping, and reporting.
· The university's goal is to increase diversity in faculty, staff, and administrative position each year through reports and educational materials that describe progress and that suggest means for improvement within units where progress lags.
· John Carroll retains a consultant each year to review its EEO performance and to compare it with other institutions.
· University vice presidents and the Human Resources Office reviewed and revised the university's hiring policies in 2001-02. The policies are published in the staff and administrative handbook.
· Question: Has the university focused more on legal compliance with EEO/AA obligations than on establishing a comprehensive initiative?
· Recommended action: The university should periodically review and evaluate procedures related to recruiting minority staff and administrators at all levels. The university should consider a structured program, such as an office, to help achieve goals related to diversity.
Gender Equity
· Women hold 60.4% percent of the staff and administrative positions at John Carroll – 15 in senior administration, 31.5 % of 47 overall; 108 in mid-and lower-level administration, 54.8% of 197 overall; and 150 staff positions, 75.4% of 208 overall.
· Equity in compensation for women in staff positions has gained ground in the past decade, primarily in the past two years. This is largely a result of a new classification system and adjustments in compensation ranges for staff positions. A market study on compensation in 2000 specifically addressed concerns related to gender equity.
· Gender equity in compensation for administrative and service positions will be evaluated and addressed in future studies to be conducted by the Human Resources Department.
· The university’s policy on maternity leave complies with the requirements of the FMLA. The university’s policy exceeds FMLA requirements in respect to compensation – it provides for up to six weeks of paid leave to those on maternity leave who have more than one year of service. All personnel policies, including maternity leave, were reviewed in 2001-02 and are described the updated Employee Handbook, published in fall 2002.
· Gender equity in athletics is covered in the report of the Subcommittee on Student Affairs.
· Gender equity in faculty-related matters is covered in the report of the Faculty Size and Composition and Compensation Subcommittee.
· There is substantial concern, expressed by many women and men, that women do not have equal status in decision making nor equal opportunities for advancement at JCU.
· Recommended action: The university should commission a study to compile and assess facts and perceptions in respect to gender equity in decision making and advancement, and it should take action to address any inequities that are identified..
· Recommended action: the university should strive especially to achieve gender equity in filling senior-level administrative and senior-level academic positions.
·
Recommended
action: studies to be conducted by the Human Resources Department to assure
gender equity in administrative and service positions should address job
titles, position descriptions, and promotion policies in addition to
compensation.
· Recommended action: gender equity in staff and administrative positions in the Athletics Department should be examined and addressed if inequities are identified.
Disabilities
· In respect to the term “disabilities,” the university relies primarily on definitions contained in two federal laws: the Rehabilitation Act of 1973 as amended, and the American Disabilities Act of 1990 as amended.
· There has been significant progress in this area at John Carroll in the past decade. The university established a committee in 1994 to review its responsiveness to people with disabilities. An assistant dean of the College of Arts and sciences was responsible for administering service to disabled students until 1999, when the university created an Office of Service for Students with Disabilities and hired a director.
· In 2000, the office published a "Handbook for Students with Disabilities" and a companion handbook for faculty, staff, and administrators. The office has prepared a statement of policies and procedures for serving disabled students and a statement of documentation requirements which they must observe.
· When the Office of Service for Students with Disabilities was established in 1999, there were 30 students attending John Carroll who identified themselves as being disabled. In fall semester 2003, there were 215. The director of the office attributes the increase principally to four factors: (1) students with disabilities usually apply to schools that have offices that will assist them to obtain needed support services; (2) special education programs at the K-12 level have increased the number of disabled students who are prepared for college; (3) the existence of John Carroll’s office facilitates better documentation of students who are disabled; (4) there is a good referral structure in place at John Carroll.
· All campus facilities are accessible to disabled students, but there have concerns expressed about sensitivity to student needs. Examples cited include the lack of automatic door openers at entrances to some buildings, service maintenance of elevators during class hours, sizes of some offices, and hand rails and wheel chair lifts. Notably, the new Dolan Center has been designed to be fully accessible to disabled students. The Office of Service for Students with Disabilities is planning to conduct a survey on campus access to identify problems that may still exist. The university’s manager of regulatory affairs and risk management is responsible for ADA compliance related to facilities.
· There have been four formal complaints filed by disabled students since the office was created four years ago. Three were addressed satisfactorily and the fourth is pending before the Office of Civil Rights.
· Some have commented that some faculty and other employees do not understand the university’s policies and responsibilities related to serving disabled persons.
· The university's policies regarding hiring persons with disabilities are published in the Employee Handbook
· Recommended action: the university should include persons with disabilities on planning committees whose recommendations will affect them.
· Recommended action: the university should review policies related to recruiting, hiring, and accommodating disabled persons to determine if more should be done in this regard.
· Recommended action: the university should review the resources dedicated to serving individuals with disabilities to determine if they are adequate. It should increase communications to the university community to assure that all employees understand and comply with the university’s policies and with government regulations.
·
Recommended
action: the university should
consider establishing an ADA compliance office to serve the needs of the entire
university.
Harassment
· The university's policies and procedures regarding unlawful harassment of any type are published in the Community Standards Manual, the Employee Handbook, and on the university's Web site. They govern all members of the university community.
· The president affirms the university's policies regarding harassment in an annual memo to the university community. New employees receive a copy when they are hired.
· The university has informal and formal administrative procedures for addressing claims of employee harassment. Formal complaints are referred to the Office of Human Resources.
· The university has a policy directed specifically to employee complaints regarding sexual harassment. There are informal administrative procedures for addressing them via the Office of Human Resources and the Counseling Center. If informal means fail or are inappropriate, a formal complaint may be filed the Sexual Harassment Hearing Board. Sexual harassment policies were reviewed and updated in 2002. Following the departure in 2002 of the University Counsel, who chaired the hearing board, the board was restructured and a member of the faculty was appointed as its chairperson.
· Information regarding claims of sexual harassment are confidential and are not included in this report.
Grievance Processes
· Grievance procedures for faculty, students, staff, and administrators are defined in their respective handbooks. The term "grievance procedures" has been changed to "complaints resolution" in the Employee Handbook.
· With respect to grievance procedures affecting staff, a subcommittee of the Staff Service Committee proposed some changes in December 2001. Some of the recommendations were adopted and are incorporated in the Employee Handbook. The Director of Human Resources meets monthly with the Staff Service Committee regarding issues and concerns.
.
External
Relationships
Parkhurst.
· Parkhurst, a subsidiary of Eat 'N Park, replaced Marriott as the university's food service contractor in 1998. The decision was based on the quality and cost of services and facilities offered under a competitive bidding process.
· Parkhurst hired most of the employees previously employed by Marriott, a decision advocated by both students and university administrators. The Bakers Union represents Parkhurst's employees.
SSC (Service Solutions Corporation):
· SSC replaced ABM Cleaning Service in 2002 as the university's cleaning contractor. ABM had been on a month-to-month contract for the preceding seven years. The university's concerns about ABM included the fact that its employees were not receiving adequate medical benefits via its collective bargaining unit.
· The university has a three-year contract with SSC. SSC employees, who include many former employees of ABM Cleaning Service, receive higher hourly wages and better medical benefits as members of a new collective bargaining unit.
Fairmount Circle Shopping Center:
· The university purchased a small commercial shopping district that adjoins the campus in 2001 as a strategic move to assure that it would continue to serve the university community and to maintain the quality of the property. The board of directors approved the purchase.
· The1886 Corporation, whose directors are appointed by the university, owns the property. The first annual meeting of the corporation was held in October 2002. The directors approved a compilation of financial transactions prepared by Ernst and Young.
· A professional manager oversees day-to-day operations. The university's vice president for business and administration is responsible for financial oversight. Income from the property is used to retire the debt incurred in the purchase.
Apartment
Buildings
· The university acquired four apartment buildings (94 units) near the campus in 2003 to assure that well maintained housing will continue to adjoin the campus. The board of directors approved the purchases.
·
Units will be marketed to the general public by an
experienced leasing and management agent, the Real Estate Alliance Co., L.T.D,
L.L.C.
· Residents living in the acquired properties will not be displaced as a result of the purchases. Upon expiration of their leases, they will be encouraged to continue occupancy at rates and on terms that are customary for the neighborhood.
Community relations
· The university made substantial investments in construction and expansion of buildings and athletic fields on its 60-acre campus during the past decade. It has worked effectively with elected and appointed city and county officials to obtain legislative and regulatory approval and political support for these projects.
· Residential property surrounds the campus, which now is fully developed as a result of the new construction in the 1990s. The campus is “landlocked.” The university selectively purchases nearby homes, when put up for sale, in anticipation of future needs, a practice it began in the 1980s. These purchases, coupled with the scale and pace of recent campus development, have raised concerns among some neighbors and City officials regarding the university's long term development plans for the properties it has acquired.
· City officials have asked the university to communicate its master plan for development. The university has responded that it is engaged in a strategic planning process that will lead to a physical development plan. The board of directors will review the strategic plan in December 2003. The City, the university, and neighbors have communicated more regularly in the past year regarding the university’s activities that affect the community..
· Shortage of parking on campus has contributed to town-gown tensions. In the mid-1990s, the City passed an ordinance restricting parking on neighboring streets to use by residential property owners. This exacerbated an already tight situation on campus, leading to restrictions on student use of automobiles, the use of an off-campus lot during peak periods, and a shuttle service.
· In December 2002, the City unveiled its master plan. Development scenarios for the Fairmount Circle area at the western end of campus include options for parking that could lead to a plan to address the shortage of parking on campus. Conversations between the City and the University continue.
· Town / gown relations in respect to students living in the community has improved in the past few years. The Office of Student Affairs is responsible for much of the progress by conducting "good neighbor" orientation programs for students before they obtain off-campus housing. University monitoring of off-campus behavior of students and better enforcement of municipal laws by city officials have helped as well.
· The university hosts an annual picnic for neighbors and invites them to lectures and other programs throughout the year as means to expand communication and informal engagement.
Communication and
Coordination
Recommendation: The university should compile a list of publications that describe policies and practices and review them periodically to assure consistency and accuracy. There should be cross-referencing of topics where appropriate. Documents should be published on the Website where appropriate. Updating them in an electronic format would help to assure that communication regarding policies and practices is kept current.
Subcommittee on Integrity in Practices and Relationships
List of Members
Mr.
Ms. Catherine T. Anson, Grants Administrator and IRB Administrator
Mr. Peter R. Bernardo, Director of Planned Giving
Ms. Donna L. Byrnes, Director of Residence Life
Sr. Mary Ann Flannery, VSC, Associate Professor and Chair, Department of Communications
Rev. Harry J. Gensler, S.J., Professor of Philosophy
Mrs. Barbara Lovequist, Secretary to the Academic Vice President
Ms. Gretchen Weitbrecht, Acting Athletic Director
Alternates
Dr. Brenda A. Wirkus, Associate Professor and Chair, Department of Philosophy
Ms. Kristie Maravalli, Women’s Basketball Coach
Self Study/Integrity/Integrity Report Outline final.doc 11/18/03