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STANDARD
11 - INTEGRITY
Introduction
| Description | Appraisal
| Projection
UMass Dartmouth requires ethical conduct of all members of
the university community, both in their internal activities
and in their dealings with external organizations and the
general public. To encourage awareness of its ethical code,
and adherence, the university has adopted a range of policies
and procedures relating to faculty, staff, and students. These
policies and procedures are described in detail in documents
available to all members of the university community.
UMass Dartmouth is authorized by State law, administered
through the University Board of Trustees and the Board of
Higher Education, to offer its programs and to grant appropriate
degrees. In its relationship with the Commission on Institutions
of Higher Education the university acts with openness and
candor and complies with all Commission requests. In this
self-study cycle the university has conducted an open and
comprehensive process of self-examination, appraisal, and
evaluation. That process reveals a commitment to comply with
Commission standards and policies, although practice occasionally
falls short of desired outcomes and objectives. The university
is determined to adequately address, with specific proposals,
any areas in which failure to meet our own standards, and
those of the Commission, would compromise the integrity of
the institution.
Maintaining Ethical Standards for Students
Academic Integrity. The university has made clear
its concern with academic integrity by including a clear statement
of academic ethical standards in both its undergraduate and
graduate catalogues. Formal procedures are in place to adjudicate
issues of academic dishonesty. These mechanisms are spelled
out in the Student Judicial Code. The University Academic
Ethical Standards Committee examines issues of academic ethical
standards and makes recommendations to the Faculty Senate
for policies to address these issues
Student Conduct. The Code of Student Conduct describes
a range of unethical conduct that the university prohibits.
In addition to this general code of conduct, the university
has established specific written policies on alcohol and drug
use, the use of computers, racism, gender discrimination,
hazing, and sexual harassment. Students are informed of these
policies through the Student Handbook, the Guide to Living,
and the university catalogues. The university also abides
by the NCAA Division 3 regulations for athletic eligibility.
Maintaining Ethical Standards for Faculty
Integrity in Teaching. The university has established
a formal procedure by which students can appeal grades when
they believe that an error has been made or that a faculty
member has been inequitable in grading. The university has
also designated a faculty member as Grade Appeal Facilitator.
The role of the Facilitator is to counsel both faculty and
students involved in a grade dispute and to try to resolve
matters informally. Formal appeal procedures are outlined
in the Grade Appeal Policy.
The Faculty Senate also appoints a faculty member as "Academic
Ethical Matters Facilitator". When a faculty member penalizes
a student for academic dishonesty, and the student believes
that this penalty is unfair, the Academic Ethical Matters
Facilitator counsels both the faculty member and the student
involved to ensure that both are aware of their rights and
their options under the Student Judicial Code.
Integrity in Research and Other Scholarly Activities.
The university has established policies to ensure ethical
behavior in faculty members' research and scholarly activities.
The Internal Review Board reviews externally-funded research
and ensures that such research follows university policies
on the treatment of human subjects and scientific misconduct.
Individual departments which carry out substantial research
with human subjects (e.g., Psychology) have their own departmental
ethics committees that ensure that non-funded as well as funded
research follows the ethical guidelines established by their
professional organizations.
The university has also established policies to address ethical
issues resulting from commercial uses of faculty research.
There are formal policies on ownership of intellectual property
and conflict of interest. These policies are included in the
Faculty Federation Agreement.
Integrity in General Conduct. The University has recently
established a general code of conduct for faculty. This code
was established by the University of Massachusetts Board of
Trustees for the system. The specific procedures for implementing
this code on our campus are currently being developed.
Integrity in Administrative Duties. TThe university
has established a formal procedure for adjudicating grievances
by faculty members against other faculty members (e.g., department
chairs) concerning faculty evaluations, assignment of classes,
etc. This procedure is also found in the Agreement.
Maintaining Ethical Standards for Staff
Academic Freedom. The university is committed to maintaining
academic freedom, both in teaching and research. This commitment
to academic freedom is formalized in the Agreement. This contract
spells out the mechanisms by which the university administration
can remove a faculty member from teaching; these mechanisms
are designed to ensure that such removal is only for just
cause.
Privacy of Records. The university has established
written policies to conform to the Family Educational Rights
and Privacy Act (FERPA) in maintaining the confidentiality
of student records. The university also has established policies
to ensure the confidentiality of faculty and staff records,
in accordance with the Massachusetts Public Records Act.
Integrity in Interaction with the Community.The university
Office of Information, News and Publications and the Alumni
Office maintain ethical standards in providing accurate information
about the university to the community via the media and other
outlets. The policies that these offices follow conform to
the standards established by the Council for the Advancement
and Support of Education, an organization of professionals
in education, including CEOs and professionals in the advancement
of alumni relations, fund-raising, and communications.
Maintaining Ethical Standards in the Treatment of "Protected
Class" Employees
Hiring and Advancement Opportunities. The university's
Office of Equal Opportunity, Diversity and Outreach has produced,
in cooperation with individuals representing a cross-section
of the university community, including the Affirmative Action
Advisory Committee and the Office of Human Resources, an equal
opportunity/affirmative action plan. Within this plan, there
is information about the university's commitment to equal
employment opportunity and affirmative action. The plan identifies
job categories which are underrepresented by "protected class"
members (women and "people of color") and it explains what
administrative steps will be taken to hire and promote "protected
class" individuals. The plan is updated every two years to
keep it current and responsive to evolving issues. The Equal
Employment Opportunity/Affirmative Action Guide for External
Administrative and Faculty Hiring is used in hiring and providing
information about advancement opportunities for "protected
class" employees.
Working Conditions. The University's Board of Trustees
has established policies regarding "protected class" employees
in its: Statement of Equal Opportunity and Affirmative Action;
Policy Against Intolerance; Statement on Cultural Diversity
and Inclusion; Statement on Sexual Harassment; Statement on
Gender Discrimination; and Resolution in Support of Pluralism,
which are in the university's General Catalogue and state
the working conditions for all employees. Working conditions
which may be unfavorable for protected class employees can
be addressed informally through a supervisor. However, informal
and formal procedures are documented within appropriate contracts
and are distributed as well by the Human Resources Office
and at the Office of Equal Opportunity, Diversity and Outreach.
Periodic Assessment of the Effectiveness of these Policies.
The university's Assistant Chancellor for Equal Opportunity,
Diversity and Outreach meets with the Chancellor, the Affirmative
Action Advisory Committee, and senior staff to assess the
effectiveness of strategies within the equal opportunity/affirmative
action plan. The University's Board of Trustees periodically
meets with the Chancellor and the Assistant Chancellor to
discuss the equal opportunity/affirmative action plan and
the achievement of its goals.
Maintaining Ethical Standards in the Treatment of "Protected
Class" Students
The university is committed to maintaining ethical standards
in the treatment of all its students, including "protected
class" students. As such, the university informs all of its
students about policies concerning ethical behavior towards
"protected class" students through the General Catalogue and
the Student Handbook. The university encourages all students,
including students of color, to contact the appropriate department
chairperson, college dean, or administrator, or the Coordinator
for Student Judicial Affairs, when they believe that they
have been unfairly treated. Specific procedures are documented
in the Student Judicial Code.
Maintaining Ethical Standards in the Treatment of Physically-
and Cognitively-Challenged Students
The university adheres to Section 504 of the Rehabilitation
Act of 1993 and the Americans with Disabilities Act (ADA)
of 1990. The university has assigned the Assistant Chancellor
for Equal Opportunity, Diversity and Outreach the role of
Section 504/ADA Coordinator. The Coordinator works with the
university's ADA Task Force, the Assistant Chancellor for
Enrollment Management, the Director of the Academic Resource
Center, the Director of Disabled Student Services, and others
to maintain ethical standards in the treatment of physically-
and cognitively-challenged students.
The ADA Task Force encourages compliance with appropriate
federal and state laws and institutional policy statements
through its reports and activities. The 1998 ADA Task Force
Report indicates that the university needs to continue its
efforts to provide for greater understanding of the ADA among
all members of the university community.
Maintaining Ethical Standards in Dealing with External
Organizations and the General Public
The university has established several procedures by which
it interacts with the general public including organizations,
contractors, subcontractors, grantors, and businesses. The
university has also designated appropriate individuals to
assist members of the general public in conducting their affairs
with the university. In particular, the Office of Information,
News and Publications works with external organizations and
individuals to assure ethical standards are met in their dealings
with the university.
Maintaining Ethical Standards for Students
The policies and procedures on ethical conduct for students
are comprehensive and well-publicized, both in university
catalogues and the Student Handbook. The major issue raised
by faculty and administrators involved in the process of applying
these policies is maintaining consistency. Those individuals
responsible for adjudicating ethical violations by students
have taken pride in considering the unique circumstances of
every case in determining the appropriate response. This approach,
although admirable in intent, lacks coordination and leaves
the university open to charges of inconsistency in the application
of policies. The university has addressed this problem by
staffing a new position, the Coordinator for Student Judicial
Affairs. The Coordinator's main task in this regard is to
offer structure, support, and training to all faculty and
staff involved in the judicial decision-making process. This
will ensure that ethical standards in student behavior will
be enforced consistently. Additionally, it is the responsibility
of the Coordinator to educate and advise all members of the
university community with regard to issues of rights and responsibilities,
university policies, and educational law.
Another concern in the system of addressing ethical standards
in student behavior is ensuring that students have ready access
to all university policies. Although such policies have always
been publicly available, they are scattered among a number
of different university publications, thus making them difficult
for students to locate or be fully aware of. This problem
will be addressed by including all of these policies in the
Student Handbook.
Maintaining Ethical Standards for Faculty
The policies and procedures for ensuring that faculty conduct
themselves in an ethical manner also appear to be working
well. One ethical issue that does exist in the area of faculty
behavior has to do with differences between faculty in the
penalties they impose for similar types of academic dishonesty
(e.g., plagiarism). The University Academic Ethical Standards
Committee (UAESC) has addressed this issue by surveying faculty
on the typical penalties imposed for various forms of academic
dishonesty. The Committee's intention is to encourage more
consistency in the application of sanctions imposed for similar
violations of academic ethics by students.
A second issue that has been raised in the area of faculty
ethical behavior is that many faculty are apparently unaware
of the rules regarding the confidentiality of student information
that are included in the FERPA amendment (e.g., not posting
grades publicly by Social Security numbers). Although the
university has established written policies to implement FERPA,
these policies are not widely disseminated among faculty.
These policies are included in the newly-revised Faculty
Handbook.
A third issue that has been raised regarding faculty ethical
behavior has to do with the mechanism for grade appeal. The
majority of the members of the panel that adjudicates grade
appeals are faculty from the same College as the faculty member
involved in the appeal. In practice, this can result in a
bias in favor of the faculty member. A better procedure, according
to those involved in the process, would be to have a single
university-wide panel; the inclusion of faculty who do not
interact regularly with the faculty member under investigation
would serve to reduce the panel's Ôcollegial bias.' The UAESC
is writing a proposal to amend the grade appeal process in
this way.
Maintaining Ethical Standards for Staff
Aside from general university policies which govern the conduct
of all employees, there are no procedures or policies on ethical
conduct published specifically as a code of behavior for staff.
Procedures and policies for staff are generally understood,
but are not made explicit for staff interactions with students,
faculty, or other staff.
Maintaining Ethical Standards in the Treatment of "Protected
Class" Employees
Hiring and Advancement Opportunities. The university's
Office of Equal Opportunity, Diversity and Outreach effectively
promotes and encourages a culturally diverse workforce at
the University of Massachusetts Dartmouth. Based on national
challenges to affirmative action, which question its constitutionality,
the Assistant Chancellor for Equal Opportunity, Diversity
and Outreach is working with the Chancellor, Assistant and
Vice Chancellors, Deans, and members of various unions to
find creative approaches to implement the equal opportunity/affirmative
action plan and to achieve the goals developed within the
plan.
Hiring Goals. The university's goals for its equal
opportunity/affirmative action plan are to reach parity in
each locally-searched job classification based on the percentage
of protected class individuals within the southeastern Massachusetts
region. The university has achieved considerable success in
bringing staff of color to the institution but has made limited
progress in attracting faculty of color. The recruiting, hiring,
and retaining of women, persons of color, and members of the
physically-challenged communities with advanced degrees in
areas of need have been difficult to accomplish because of
the competition for such individuals in the national market.
Working Conditions. The University's Board of Trustees
has updated its policy statements and has recently ratified
collective bargaining agreements, which address working conditions
for all employees. The working conditions of "protected class"
employees are a concern in all collective bargaining negotiations
on campus. The Director of Human Resources and the Assistant
Chancellor for Equal Opportunity, Diversity and Outreach encourage
"protected class" members to meet with them to discuss issues
of concern. Furthermore, the Director of Human Resources and
the Assistant Chancellor for Equal Opportunity, Diversity
and Outreach work with members of the university's staff,
union leadership, and various committees to examine and address
work conditions.
Periodic Assessment of the Effectiveness of these Policies.
The Assistant Chancellor for Equal Opportunity, Diversity
and Outreach consults with the Chancellor, the Affirmative
Action Advisory Committee, the Assistant and Vice Chancellors,
the Council of Academic Deans, and other individuals and groups
on campus on mechanisms to assess periodically the goals identified
in the university's equal opportunity/affirmative action plan.
The University's Board of Trustees meets with the Chancellor
and the Assistant Chancellor to discuss the status of equal
opportunity/affirmative action at the university every two
years.
Maintaining Ethical Standards in the Treatment of "Protected
Class" Students
The Office of Equal Opportunity works with members of the
university community to maintain ethical standards in the
treatment of "protected class" students. The university encourages
all students, including students of color, to contact the
appropriate individual when they believe that they have been
unfairly treated. The university utilizes "protected class"
staff and faculty to assist "protected class" students when
necessary to resolve issues of unfairness.
Maintaining Ethical Standards in the Treatment of Physically-
and Cognitively-Challenged Students
The Section 504/ADA Coordinator will continue to work with
the Assistant Chancellor for Enrollment Management, the Director
of the Academic Resource Center, the Director of Disabled
Student Services, and others to maintain ethical standards
in the treatment of physically- and cognitively-challenged
students. The ADA Task Force will continue to assist the university
with its compliance issues as enumerated in the ADA Task Force
Report. The ADA Task Force realizes that there is much to
be done and it has begun to prioritize its agenda so that
there is an action plan for administration, which responds
to the identified issues outlined in the ADA report. Financial
resources, however, are needed to implement many aspects of
the ADA report.
Maintaining Ethical Standards in Dealing with External
Organizations and the General Public
The university has established several procedures by which
it interacts with the general public including organizations,
contractors, subcontractors, grantors, and businesses. The
university has also designated appropriate individuals to
assist members of the general public in conducting their affairs
with the university. The Office of Information, News and Publications
works with external organizations and individuals to assure
ethical standards are met in dealing with these organizations
and the general public. The UMass Dartmouth Foundation and
the Alumni Association follow ethical guidelines in their
fund raising activities by assuring proper disclosure of the
university's purposes and programs and its use of donated
funds.
UMass Dartmouth has in place the procedures and policies
to bring its stated mission and goals into harmony with its
practices and the delivery of its services to its natural
constituencies. As a State university it is required to operate
openly and with regard for equal opportunity, diversity, and
accessibility. It is also expected to demonstrate and uphold
codes of ethical conduct for its employees and students and
to exercise good stewardship of the resources provided through
the state, its students, and private donors.
As a measure of its commitment to promoting ethical conduct
within its own community and to conducting all of its activities
with integrity, UMass Dartmouth is establishing a process
by which it will systematically assess all of its operations
and outcomes. The specific objectives of that process of assessment
are found in the various Standards of this self-study report.
The following are the projected activities related to the
Standard on integrity:
1. The next edition of the Student Handbook, which will be
produced in the summer of 2000, will bring together all the
student conduct procedures and policies and the residence
hall policies currently found in several publications. The
new Handbook will be distributed to every student initially
and to all new students thereafter. Students will be involved
in the annual revision of the Handbook. The Handbook will
be distributed to all faculty and staff and will also be available
on the UMD homepage.
2. The newly revised Faculty Handbook will contain, in addition
to necessary information about employment and services, academic
freedom, and institutional procedures, a section on the University
Academic Ethical Standards Committee and the university's
policies of faculty conduct, including the grade appeal policy
and student privacy rights under FERPA. The Handbook will
be published and distributed upon completion to the university
community.
3. There is currently no locally-derived code of conduct
specifically for staff. A committee will be convened by the
Office of Equal Opportunity, Diversity, and Outreach to begin
the process of producing a staff ethics code brochure. This
brochure will be produced and disseminated to all staff by
2001.
4. The affirmative action and equal opportunity goals of
the university and their rationale will be published every
two years and distributed widely throughout the institution.
Progress reports on employee and student diversity goals are
produced and will be distributed every two years beginning
in September, 2000.
5. The University Academic Ethical Standards Committee and
other appropriate offices, including the News Office and the
Office of Equal Opportunity, will continue to uphold ethical
policies and procedures. These bodies, in collaboration with
the university's new planning committee, will devise mechanisms
to review and assess the effectiveness of the institution's
policies on ethics.
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