Page 1 of 7 Values & Ethical Responsibilities Northern Kentucky University Policy Administration

VALUES & ETHICAL RESPONSIBILITIES

☐NO

☒NO

☐NO

☐NO

POLICY NUMBER: RESERVED FOR FUTURE USE POLICY TYPE: HYBRID RESPONSIBLE OFFICIAL TITLE: PRESIDENT RESPONSIBLE OFFICE: PRESIDENT EFFECTIVE DATE: 5/18/2016 NEXT REVIEW DATE: 5/18/2020 SUPERSEDES POLICY DATED: 3/1/2014 REQUIRES LEGAL/COMPLIANCE REVIEW:

(PER SECTION V. OF THE APPROVED POLICY REQUEST FORM) ☒YES

REQUIRES I.T. POLICY COUNCIL REVIEW:

(PER SECTION V. OF THE APPROVED POLICY REQUEST FORM) ☐YES

REQUIRES PROFESSIONAL CONCERNS COMMITTEE REVIEW:

(PER SECTION V. OF THE APPROVED POLICY REQUEST FORM) ☒YES

REQUIRES HUMAN RESOURCES REVIEW:

(PER SECTION V. OF THE APPROVED POLICY REQUEST FORM) ☒YES

REQUIRES BOARD OF REGENTS APPROVAL:

(PER SECTION V. OF THE APPROVED POLICY REQUEST FORM) ☒YES ☐NO

I. POLICY STATEMENT

Northern Kentucky University (NKU) is entrusted with resources by students, parents, taxpayers,

sponsors, alumni, donors, and other constituencies with the responsibility to fulfill our educational

mission. This trust and responsibility require a commitment to ethical standards to assure others that

our activities are executed to serve the mission of the university. This policy documents value and

ethical standards at NKU.

II. ENTITIES AFFECTED

Faculty, staff and administration, members of the Board of Regents, any individual employed by the

university, using university resources or facilities, receiving funds administered by the university and

other representatives when speaking or acting on behalf of NKU. These individuals may be referred to

as “community members.”

III. CORE VALUES

The NKU community is committed to these core values:

• Excellence

• Integrity

• Inclusiveness

• Innovation

• Collegiality

As a reflection of these core values, NKU community members strive to behave ethically, and with

integrity and common sense, at all times. University community members seek to fulfill obligations

towards students, co-workers and other members of the university community with honesty and

transparency, and to behave according to the highest ethical and professional standards of conduct.

Page 2 of 7 Values & Ethical Responsibilities Northern Kentucky University Policy Administration

NKU is committed to tolerance, inclusion, and respect for others, regardless of differences. All

members of the NKU community strive to treat others with professional courtesy and civility, regardless

of position or status, and to work cooperatively with others. University community members seek to

promote equality and collaboration among faculty, staff, and administrators. NKU provides equal

access to programs, facilities, and employment and seeks to foster positive campus change through

greater diversity, equity, inclusion, and accountability.

IV. ETHICAL RESPONSIBILITIES

In addition to following these guidelines, the faculty, staff, administrators, student workers, members of

the Board of Regents, and other affiliated individuals in conducting the affairs of NKU will comply with

all federal, state, and local laws and regulations as well as university policies, procedures, and codes in

the performance of job-related duties. The values, principles, and standards of conduct in this policy are

supported through university policies, procedures, and guidelines that provide guidance for making

decisions consistent with NKU’s commitment to responsible and ethical behavior.

All NKU faculty, staff, administrators, and members of the Board of Regents who are members of

occupations or professions that have established standards or codes of ethics shall, in addition to the

responsibilities referenced in this document, be bound by the standards of conduct and/or codes of

ethics that apply to such occupations or professions.

The university and community members have the following ethical responsibilities:

Manage Responsibly

University community members who supervise, instruct and/or advise faculty, staff, and student workers

are entrusted with significant responsibility. Those university community members are expected to:

• Foster an environment of transparency and integrity;

• Ensure compliance with applicable laws, policies, regulations, and workplace rules;

• Evaluate performance impartially and conscientiously;

• Ensure access to and delivery of proper training on applicable workplace and educational rules,

laws, policies, and procedures (including these principles);

• Foster opportunities for intellectual growth and professional development both on and off campus;

• Promote a productive, innovative, and professional atmosphere that encourages dialogue and is

responsive to concerns; and

• Avoid making unreasonable job demands.

Protect and Preserve University Resources

University members are responsible for integrity in the stewardship of resources entrusted to us and

are expected to:

• Exercise responsible and ethical behavior regarding stewardship of university resources;

• Protect university property, equipment, data and other assets of the university;

• Prevent waste, abuse, and misuse of university resources;

• Follow guidelines, procedures, and/or manuals regarding the use of financial assets, including

university procurement cards;

• Comply with government grants and contract terms and conditions;

• Follow sound financial practices, including accurate financial reporting, controls and processes

to protect assets, and responsible fiscal management; and

• Engage in appropriate accounting and monitoring.

Page 3 of 7 Values & Ethical Responsibilities Northern Kentucky University Policy Administration

Promote a Culture of Compliance

NKU is committed to meeting legal requirements as well as fostering a culture of ethics and

compliance. University community members are expected to:

• Be aware of, understand, and comply with laws, regulations, contracts, and university policies

and procedures applicable to their duties;

• Seek to prevent, detect and report suspected compliance violations to the appropriate university

official. Supervisors will ensure that reports of violations within their area of responsibility are

properly resolved, including disclosure to any authority as appropriate; and

• Participate in mandatory education opportunities required of faculty, staff, administrators, and

student workers.

NOTE – No employee is permitted to engage in retaliation, retribution, adverse employment

consequences or any form of harassment against an individual for a good faith report of misconduct or

other ethics or compliance-related concern, or participation in an investigation of a good faith report of

misconduct, ethics or compliance-related concern or retaliation.

Preserve Academic Freedom and Meet Academic Responsibilities

Academic freedom is essential to NKU’s mission. University community members are expected to:

• Encourage students in the free pursuit of learning;

• Demonstrate respect for the student as an individual, make every effort to foster honest academic

conduct, and assure that the evaluation of student work reflects that work’s true merit;

• Respect the confidential nature of the relationship between professor and student;

• Avoid exploitation of students for private advantage and acknowledge significant assistance

from them;

• Promote academic freedom, including the freedom to discuss relevant matters in the classroom,

with fellow NKU community members, and with the public. Academic freedom includes the

freedom to explore all avenues of scholarship, research and creative expression, to participate

in the shared governance of the University, and to speak and write as a public citizen without

institutional restraint;

• Accept his/her share of responsibilities for the governance of the university;

• Where appropriate, assist the university in meeting its public engagement mission;

• Accurately evaluate the professionalism of other members of the university community when

writing letters of recommendation or otherwise providing input regarding the manner in which

individuals carry out responsibilities expected of or entrusted to them.

The freedom of speech of community members includes the freedom to express their views on matters

having to do with their institution and its policies. This freedom should be accorded – and rights to it

protected – because grounds for thinking an institutional policy desirable or undesirable must be heard

and assessed if the community is to have confidence that its policies are appropriate. The faculty

protection for Academic Freedom is described in Section 16.3 in the Faculty Policies and Procedures

Handbook, which is incorporated herein by reference.

Teach and Conduct Research Ethically

University community members have an obligation to the university and the larger global community as

they seek knowledge and understanding. University community members are expected to:

• Propose, conduct, and report research honestly and with integrity;

• Adhere to the practical and ethical professional standards appropriate to a discipline in order to

protect people and appropriately care for animals in the context of teaching;

Page 4 of 7 Values & Ethical Responsibilities Northern Kentucky University Policy Administration

• Protect the welfare and dignity of human participants and properly care for animals in

compliance with current federal regulations and NKU Institutional Review Board (IRB),

Institutional Animal Care and Use Committee (IACUC), and/or Institutional Biosafety Committee

(IBC) policies in the context of research. Individuals uncertain about whether a teaching or

research activity is governed by federal guidelines and NKU IRB, IACUC, and/or IBC policies

can contact the NKU Office of Research Compliance for guidance;

• Faithfully transmit research findings;

• Refrain from engaging in copyright infringement or plagiarism;

• Ensure originality of work, provide credit for the ideas of others upon which their work is built;

• Be responsible for the accuracy and fairness of published information; and

• Truthfully report authorship.

Teachers are entitled to full freedom in research and in the publication of the results, subject to the

adequate performance of their other academic duties; but research for pecuniary return should be

based upon an understanding with the authorities of the institution.

Teachers are entitled to freedom in the classroom in discussing their subject.

Avoid Conflict of Commitment and Interest

University community members have a responsibility to maintain objectivity and impartiality when

making decisions on behalf of NKU. To ensure objectivity, community members are expected to:

• Base decisions on judgment free from conflicting interest;

• Refrain from using their official position to inappropriately further professional or private interests

or the interests of any members of their family;

• When conducting or participating in any transaction, disclose any real or perceived conflict with

personal interests and remove himself or herself from further participation; and

• Ensure personal relationships do not interfere with objective judgment in decisions affecting

university employment and/or the academic progress of a community member.

Carefully Manage Public, Private, and Confidential Information

University community members are the creators, custodians, and stewards of many types of

information, much of which is confidential. Access to this data and the individual’s right to privacy are

governed by both laws and university policies. In order to meet our responsibilities, university

community members are expected to:

• Learn and follow laws, regulations, and university policies regarding access, use, protection,

disclosure, retention, and disposal of public, private, and confidential information;

• Follow document retention and disposal guidelines;

• Maintain data security using electronic and physical safeguards;

• Protect data quality and integrity;

• Ensure that data provided to the university community and other entities is accurate and

consistent; and

• Provide information as needed for other community members to adequately perform job duties.

Promote Health and Safety in the Workplace

All university community members have a shared responsibility to ensure a safe, secure, and healthy

campus for all faculty, staff, students, volunteers, and visitors. University community members are

expected to:

Page 5 of 7 Values & Ethical Responsibilities Northern Kentucky University Policy Administration

• Follow federal and state safety laws and university policies and practices, including participating

in appropriate education; using appropriate personal safety equipment; and reporting accidents,

injuries, and unsafe situations promptly;

• Maintain security, including securing university assets and facilities;

• Report suspicious activities and suspected abuse; and

• Protect the environment, including carefully handling hazardous waste and other potentially

harmful agents, materials, or conditions.

V. ANNUAL ACKNOWLEDGEMENT

Understanding your responsibilities as a member of the NKU community is important in maintaining

ethical standards across campus and ensuring compliance with federal and state laws.

Annually, all faculty members, staff members, administrators, and Members of the Board of Regents

will acknowledge their awareness and understanding of this policy.

VI. VIOLATIONS OF THIS POLICY

Any individual found to have violated policies set forth in Section IV of this policy may be subject to

discipline up to and including termination of employment and criminal prosecution. Any adverse

employment action shall be taken only pursuant to applicable institutional handbooks, policies, and

procedures.

VII. NON-DISCRIMINATION STATEMENT

Northern Kentucky University does not discriminate based on national origin, race, color, age, gender,

gender identity, gender expression, sexual orientation, religion, physical or mental disability, genetic

information, pregnancy, and Uniform Service or veteran status in its education programs, activities,

employment, daily operations, or admissions policies, in accordance with all applicable federal, state,

and local laws. NKU will not tolerate retaliation against any individual who makes a good faith report of

a violation.

VIII. REPORTING SUSPECTED ETHICAL OR COMPLIANCE VIOLATIONS

All faculty, staff and administrators have an obligation to report conduct that violates our Ethical

Standards. Examples of violations that should be reported include but are not limited to:

• Fraud, waste, abuse, or misuse of university resources

• Financial misconduct/wrongdoing

• Violation of federal law, state law, university policy, or procedure

• Ethics and/or compliance violations

• Research misconduct

• Harassment

Violations can be reported to:

• Your supervisor

• Financial and Operational Auditing

• Compliance and Institutional Ethics

• Ethics and Compliance Helpline

Page 6 of 7 Northern Kentucky University Policy Administration

The NKU Ethics and Compliance Helpline is administered by a third-party and is available 24 hours a

day, 7 days a week, 365 days a year. Reports can be made anonymously.

Website: www.nku.ethicspoint.com

Toll-Free Telephone: 1-855-597-4539

NOTE – The helpline is NOT a 911 or emergency service. If you need immediate assistance,

contact 911 or University Police at 859-572-7777.

IX. REFERENCES AND RELATED MATERIALS

REFERENCES & FORMS

• Faculty Handbook: https://nku.edu/academicaffairs.html

• Chase Faculty Handbook: https://chaselaw.nku.edu/faculty.html

• Code of Student Rights and Responsibilities: https://inside.nku.edu/scra/information/students/rights-

responsibilities.html

• Chase Student Handbook: https://chaselaw.nku.edu/current-students/resources/handbook.html

• Graduate Student Honor Code and Appeals Policy:

https://inside.nku.edu/scra/information/students/graduate-honor-code.html

RELATED POLICIES

• Intellectual Property: https://inside.nku.edu/policy/policies/azlisting.html

• Sexual Misconduct: https://inside.nku.edu/policy/policies/azlisting.html

• Reporting Misconduct and Prohibition of Retaliation

REVISION HISTORY

REVISION TYPE MONTH/YEAR APPROVED

Edits/Corrections

• Corrected policy to reflect 2016 BoR-approved changes

• Made minor edits to formatting, spacing, andpunctuation

• Corrected the reference to the FacultyPolicies and Procedures Handbook on p. 3 toreflect the current numbering system(changed from “Section III, Items A-D” to“Section 16.3”)

• Updated URLs

October 2, 2019

Revision May 18, 2016

Revision April 29, 2016

Revision March 1, 2014

Revision July 13, 2005

New Policy-Administrative Regulation (AR-I-1.0-1) July 29, 1981

Page 7 of 7 Policy Approval - Values & Ethical Responsibilities

VALUES & ETHICAL RESPONSIBILITIES

SIGNATURES

PROFESSIONAL CONCERNS COMMITTEE REVIEW/APPROVAL

PROVOST/EXECUTIVE VICE PRESIDENT FOR ACADEMIC AFFAIRS

Signature SEE ATTACHED MINUTES Date 4/29/2016

Printed Name Ken Katkin, Chair, Professional Concerns Committee

PRESIDENTIAL APPROVAL

PRESIDENT

Signature SEE ATTACHED MINUTES Date 4/29/2016

GEOFFREY S. MEARNS

BOARD OF REGENTS APPROVAL

BOARD OF REGENTS (IF FORWARDED BY PRESIDENT)

☐ This policy WAS NOT forwarded to the Board of Regents.

✓This policy WAS forwarded to the Board of Regents.

✓The Board of Regents approved this policy on 04/29/2016.

(Attach a copy of Board of Regents meeting minutes showing approval of policy.)

☐ The Board of Regents rejected this policy on _____/______/_______.

(Attach a copy of Board of Regents meeting minutes showing rejection of policy.)

POLICY COORDINATOR

Signature Date 06/27/2016

Printed Name Justin M. Duncan

Board of Regents Meeting Northern Kentucky University, Student Union, Room 104

May 18, 2016

Regent Nathaniel Smith, Chair, called the special meeting of the Board of Regents to order at 3:00 pm, Wednesday, May 18, 2016.

Roll Call: Richard Boehne, Richard L. Boyce, Virginia G. Fox, Katherine Hahnel, Terry Mann, Dennis Repenning, W. Lee Scheben, Arnie D. Slaughter, Nathaniel Smith, Elizabeth Thompson, Andrá Ward. Absent: W. Lee Scheben.

Other Attendees: Geoffrey S. Mearns, Kathryn Herschede, Wendy Peek, Sue Hodges Moore, Sue Ott Rowlands, Eric Gentry, Kathleen Roberts, Kim Turner, Ken Bothof, Kim Scranage, Lori Southwood, Mike Hales, Rebecca Porterfield, Cynthia Reed, Dale Scalise-Smith, Kevin Kirby, Jeff Standen, Arne Almquist, Ken Jones, Tracy Insko, Chris Bowling, Bill Farrow, Josh Schmidt, Kathy Stewart, Sara Kelley, Samantha Langley, Amanda Nageleisen, Joel Robinson, Russ Kerdolff, Allen Cole, Adam Caswell, Pat Moynahan, Leah Stewart, Janel Bloch, Amy Racke, Dawn Bell Gardiner, Cathy Dewberry, Steve Meier, Tiffany Budd, Kate Murphy, Bob Driehaus, Ron Fischer, Judy Voelker, Brandon Thomas, Sara Conwell, Kristi Haik, Keith Walters, Justin Duncan, Kim McCoy, Natalie Nickol, Kelly Martin, Karen Mefford, Dannie Moore, Beth Sweeney, Gail Mackin, Alar Lipping, Carole Ziegler, Eileen Baker, Jane Bratton, Francois LeRoy, Samba Dieng, Kim Graboskey, Marilyn Taylor, Lisa Brinkman, Brandon Billiter, Jim Woll, Kyle Jacobson, Lauren Franzen, Emily Sumner, Lori Thaxton, Camryn Whitaker, Ryan Padgett, Jeanne Pettit, Vickie Natale, Jeanne Papania, Mary Beth Ward, Vicki Cooper, Rachel Green, Ann James, Victoria Suttmiller, Clare Mearns, Bridget Mearns, Tina Altenhofen, Sue Murphy, Mark Wasicsko, Randy Little, Ben Martz, Kristen Lovett, Collette Thompson, Tracy Brate, Kim Sanders, Charita Brewer, Kenneth Katkin, Amanda Peters, Lori Wright.

A. Presidential Recommendations:

1. FY 2016-2017 Budget Approval:

Regent Richard Boehne seconded Regent Terry Mann’s motion to approve the FY 2016-2017 Budget. (Motion carried)

The Board of Regents approved the resolution establishing and approving the Fiscal Year 2016-17 Annual Unrestricted Operating Budget for Northern Kentucky University.

2. Values and Ethical Responsibilities Statement:

Regent Richard Boehne seconded Regent Virginia Fox’s motion to approve the Values and Ethical Responsibilities Statement. (Motion carried)

The Board of Regents approved the proposed addendum to the Values and Ethical Responsibilities Statement.

Board of Regents Meeting Northern Kentucky University, Student Union, Room 104

April 27, 2016

Regent Nathaniel Smith, Chair, called the regular meeting of the Board of Regents to order at 1:00 pm, Wednesday, April 27, 2016.

Roll Call: Richard Boehne, Richard L. Boyce, Virginia G. Fox, Katherine Hahnel, Terry Mann, Dennis Repenning, W. Lee Scheben, Arnie D. Slaughter, Nathaniel Smith, Elizabeth Thompson. Absent: Andrá Ward.

Other Attendees: Geoffrey S. Mearns, Kathryn Herschede, Wendy Peek, Sue Hodges Moore, Sue Ott Rowlands, Eric Gentry, Sara Sidebottom, Kathleen Roberts, Kim Turner, Kim Scranage, Lori Southwood, Mike Hales, Katherine Frank, Rebecca Porterfield, Cynthia Reed, Dale Scalise-Smith, Jeff Standen, Tracy Insko, Chris Bowling, Bill Farrow, Kathy Stewart, Sara Kelley, Larry Meyer, Melissa Gorbandt, Samantha Langley, Amanda Nageleisen, Mary Paula Schuh, Russ Kerdolff, Allen Cole, Pat Moynahan, Leah Stewart, Syed Zaidi, Janel Bloch, Amy Racke, Dawn Bell Gardiner, Matt Sexton, Leonard Ivy, Kathy Dewberry, Barb Barnes, Sarah Larcade, Dave Bauer, Tim Sofranko, Toni Wice, Steve Meier, Tiffany Budd, Katie Lovold, Kate Murphy

Regent Katherine Hahnel seconded Regent Elizabeth Thompson’s motion to approve the minutes of the March 16, 2016 Board of Regents meeting. (Motion carried)

Presidential Comments:

As you know, as I mentioned a moment ago at lunch, we will celebrate three commencement ceremonies in two weeks. Our law school commencement on Friday evening, May 13 and our two university commencements on Saturday, May 14. More than 1,600 outstanding students will cross the stage and receive their diploma. You just heard about six of these remarkable students at the student awards luncheon. Now, let me tell you about how our recent graduates are doing.

Our Graduates

For the past four years, we have surveyed graduates approximately six months after their graduation. The results demonstrate the outstanding education students receive at NKU. Some of the findings include:

Consistently from year-to-year, more than 90% of undergraduate alumni responding to the survey indicated that they are employed or are continuing their education. Approximately 81% of undergraduate alumni who responded that they were employed found jobs related, closely related, or somewhat related to their major in 2014-2015, an increase of three percentage points compared 2011-2012. Similarly, 91% of graduate alumni responded in 2014-2015 that they found jobs related to or somewhat related to their major, an increase of five percentage points over 2011-2012 responses.

Board of Regents April 27, 2016

7

15. Connector Road Water Easement:

The Board of Regents granted an easement to the Northern Kentucky Water District forconstruction of a water line in the area between Campbell Hall and the new Connector Road.

16. Staff Emeritus Recommendation:

The Board of Regents approved the recommendation from Staff Congress to create a StaffEmeritus appointment.

17. Posthumous Degree (Marksberry):

The Board of Regents approved that Hope Marksberry receive a posthumous Bachelor of Artsin Integrative Studies.

18. FY 2016-2017 Tuition and Mandatory Fee Rates:19. FY 2016-2017 Schedule of Fees and Service Charges:

Regent Richard Boehne seconded Regent Terry Mann’s motion to accept all therecommendations related to tuition and mandatory fees, and 2016-2017 fee and servicecharges, with the exception of the following: undergraduate tuition increase at 3%, housingincrease at 3% (net), parking increase at 3%.

The Chair called for a roll call vote. Richard Boehne-Yes, Richard Boyce-No, Virginia Fox-Yes, Katherine Hahnel-Yes, Terry Mann-Yes, Dennis Repenning-No, Lee Scheben-Yes,Arnie Slaughter-Yes, Nathaniel Smith-Yes, Elizabeth Thompson-Yes, Andrá Ward – Absent(Motion carried)

20. Values and Ethical Responsibilities Statement:

Regent Richard Boehne seconded Regent Virginia Fox’s motion to accept the Values andEthical Responsibilities Statement with the following changes:

(1) Strike the last paragraph under the section heading “Preserve Academic Freedom andMeet Academic Responsibilities;

(2) Evaluate possible revisions to this policy, including issues and consistency of statementsrelated to freedom of speech and academic freedom; and,

(3) Direct the administration to work with the Faculty Senate, Staff Congress, and StudentGovernment Association to develop a revised “Policy Creation, Revision, andCommunication” policy to recognize the role of the Faculty Senate, Staff Congress, andwhen appropriate, the Student Government Association.

The Chair called for a roll call vote. Richard Boehne-Yes, Richard Boyce-No, Virginia Fox-Yes, Katherine Hahnel-Yes, Terry Mann-Yes, Dennis Repenning-Yes, Lee Scheben-Yes,

Board of Regents April 27, 2016

8

Arnie Slaughter-Yes, Nathaniel Smith-Yes, Elizabeth Thompson-Yes, Andrá Ward – Absent (Motion carried)

D. Board Recommendation:

A motion was made by Regent Terry Mann and seconded by Regent Katherine Hahnel toapprove the following Board of Regents officers for 2016-2017: Chair, Regent RichardBoehne; Vice Chair, Regent Lee Scheben; Secretary, Regent Virginia Fox. (Motioncarried)

E. Executive Session:

Regent Richard Boyce seconded Regent Nathaniel Smith’s motion to enter into executivesession pursuant to KRS 61.810(1) (C) and KRS 61.810(1) (F). (Motion carried)

No other matters were discussed. No final action was taken.

At 3:40 p.m., Regent Richard Boyce seconded Regent Terry Mann’s motion to adjourn. (Motioncarried)

____ Signature On File _ Signature On File __ Wendy J. Peek Kathryn J. HerschedeSenior Administrative Assistant Executive Assistant to the President/ Office of the President Secretary to the Board of Regents

I, Virginia Fox, Secretary of the Board of Regents of Northern Kentucky University, certify that the foregoing is a true copy of the minutes of the regular meeting held on April 27, 2016, and that such matters are still in force and effect.

Signature On File _________Virginia G. Fox Secretary of the Board of Regents

Northern Kentucky University

Board of Regents Materials

April 27, 2016

Presidential Recommendation: C-20

RECOMMENDATION:

That the Board of Regents approve the proposed NKU Values and Ethical Responsibilities Statement.

BACKGROUND:

In March 2014, the Board of Regents approved the then existing Ethical Principles and Code of Conduct to add one item, an annual acknowledgement.

Since that time, there has been substantial discussion and debate among faculty and staff about the substance of the Code.

Faculty Senate and Staff Congress have now approved the following Values and Ethical Responsibilities Statement. The President is forwarding their document to you for your review, consideration, and approval.

NKU Values and Ethical Responsibilities Statement Approved by the Faculty Senate at the February 29, 2016 Meeting

NKU Values and Ethical Responsibilities

I. Policy StatementNorthern Kentucky University (NKU) is entrusted with resources by students, parents, taxpayers,sponsors, alumni, donors, and other constituencies with the responsibility to fulfill oureducational mission. This trust and responsibility require a commitment to ethical standards toassure others that our activities are executed to serve the mission of the university. This policydocuments values and ethical standards at NKU.

II. Entities AffectedFaculty, staff and administration, members of the Board of Regents, any individual employed bythe university, using university resources or facilities, receiving funds administered by theuniversity and other representatives when speaking or acting on behalf of NKU. Theseindividuals may be referred to as “community members.”

III. Core ValuesThe NKU community is committed to these core values:

Excellence Integrity Inclusiveness InnovationCollegiality

As a reflection of these core values, NKU Community Members strive to behave ethically, and with integrity and common sense, at all times. University community members seek to fulfill obligations towards students, co-workers and other members of the university community with honesty and transparency, and to behave according to the highest ethical and professional standards of conduct.

NKU is committed to tolerance, inclusion and respect for others, regardless of differences. All members of the NKU community strive to treat others with professional courtesy and civility, regardless of position or status, and to work cooperatively with others. University community members seek to promote equality and collaboration among faculty, staff and administrators. NKU provides equal access to programs, facilities and employment; and seeks to foster positive campus change through greater diversity, equity, inclusion and accountability.

IV. Ethical ResponsibilitiesIn addition to following these guidelines, the faculty, staff, administrators, student-workers,members of the Board of Regents, and other affiliated individuals in conducting the affairs ofNKU will comply with all federal, state and local laws and regulations as well as universitypolicies, procedures, and codes in the performance of job-related duties. The values, principlesand standards of conduct in this policy are supported through university policies, procedures andguidelines that provide guidance for making decisions consistent with NKU’s commitment toresponsible and ethical behavior.

All NKU faculty, staff, administrators, and members of the Board of Regents who are members of occupations or professions that have established standards or codes of ethics shall, in addition to the responsibilities referenced in this document, be bound by the standards of conduct and/or codes of ethics that apply to such occupations or professions.

The university and community members have the following ethical responsibilities:

Manage Responsibly University community members who supervise, instruct and/or advise faculty, staff and student workers are entrusted with significant responsibility. Those university community members are expected to:

Foster an environment of transparency and integrity; Ensure compliance with applicable laws, policies, regulations and workplace rules; Evaluate performance impartially and conscientiously; Ensure access to and delivery of proper training on applicable workplace and educational rules, laws, policies and procedures (including these principles); Foster opportunities for intellectual growth and professional development both on and off campus; Promote a productive, innovative and professional atmosphere that encourages dialogue and is responsive to concerns;Avoid making unreasonable job demands.

Protect and Preserve University Resources University members are responsible for integrity in the stewardship of resources entrusted to us and are expected to:

Exercise responsible and ethical behavior regarding stewardship of university resources; Protect university property, equipment, data and other assets of the university; Prevent waste, abuse and misuse of university resources;

Follow guidelines, procedures and/or manuals regarding the use of financial assets, including university procurement cards; Comply with government grants and contract terms and conditions; Follow sound financial practices, including accurate financial reporting, controls and processes to protect assets and responsible fiscal management; Engage in appropriate accounting and monitoring.

Promote a Culture of Compliance NKU is committed to meeting legal requirements as well as fostering a culture of ethics and compliance. University community members are expected to:

Be aware of, understand and comply with laws, regulations, contracts and university policies and procedures applicable to their duties; Seek to prevent, detect and report suspected compliance violations to the appropriate university official. Supervisors will ensure that reports of violations within their area of responsibility are properly resolved, including disclosure to any authority as appropriate;Participate in mandatory education opportunities required of faculty, staff, administrators and student-workers.

NOTE – No employee is permitted to engage in retaliation, retribution, adverse employment consequences or any form of harassment against an individual for a good faith report of misconduct or other ethics or compliance-related concern, or participation in an investigation of a good faith report of misconduct, ethics or compliance-related concern or retaliation.

Preserve Academic Freedom and Meet Academic Responsibilities Academic freedom is essential to NKU’s mission. University community members are expected to:

Encourage students in the free pursuit of learning; Demonstrate respect for the student as an individual, make every effort to foster honest academic conduct, and assure that the evaluation of student work reflects that work’s true merit; Respect the confidential nature of the relationship between professor and student; Avoid exploitation of students for private advantage and acknowledge significant assistance from them; Promote academic freedom, including the freedom to discuss relevant matters in the classroom, with fellow NKU community members, and with the public. Academic freedom includes the freedom to explore all avenues of scholarship, research and creative

expression, to participate in the shared governance of the University, and to speak and write as a public citizen without institutional restraint; Accept his/her share of responsibilities for the governance of the university; Where appropriate, assist the university in meeting its public engagement mission; Accurately evaluate the professionalism of other members of the university community when writing letters of recommendation or otherwise providing input regarding the manner in which individuals carry out responsibilities expected of or entrusted to them.

The freedom of speech of community members includes the freedom to express their views on matters having to do with their institution and its policies. This freedom should be accorded—and rights to it protected—because grounds for thinking an institutional policy desirable or undesirable must be heard and assessed if the community is to have confidence that its policies are appropriate. Protecting academic freedom on campus requires ensuring that a particular instance of faculty speech will be subject to discipline only where that speech violates some central principle of academic morality, as, for example, where it is found to be fraudulent (academic freedom does not protect plagiarism and deceit). Protecting academic freedom also requires ensuring that faculty status turns on a faculty member’s views only where the holding of those views clearly supports a judgment of competence or incompetence.

Teach and Conduct Research Ethically University community members have an obligation to the university, and the larger global community as they seek knowledge and understanding. University community members are expected to:

Propose, conduct and report research honestly and with integrity; Adhere to the practical and ethical professional standards appropriate to a discipline in order to protect people and appropriately care for animals in the context of teaching; Protect the welfare and dignity of human participants and properly care for animals in compliance with current federal regulations and NKU Institutional Review Board (IRB), Institutional Animal Care and Use Committee (IACUC), and/or Institutional Biosafety Committee (IBC) policies in the context of research. Individuals uncertain about whether a teaching or research activity is governed by federal guidelines and NKU IRB, IACUC, and/or IBC policies can contact the NKU Office of Research Compliance for guidance; Faithfully transmit research findings; Refrain from engaging in copyright infringement or plagiarism; Ensure originality of work, provide credit for the ideas of others upon which their work is built;Be responsible for the accuracy and fairness of published information; Truthfully report authorship.

Teachers are entitled to full freedom in research and in the publication of the results, subject to the adequate performance of their other academic duties; but research for pecuniary return should be based upon an understanding with the authorities of the institution.

Teachers are entitled to freedom in the classroom in discussing their subject.

Avoid Conflict of Commitment and Interest University community members have a responsibility to maintain objectivity and impartiality when making decisions on behalf of NKU. To ensure objectivity, community members are expected to:

Base decisions on judgment free from conflicting interest; Refrain from using their official position to inappropriately further professional or private interests or the interests of any members of their family; When conducting or participating in any transaction, disclose any real or perceived conflict with personal interests and remove himself or herself from further participation; Ensure personal relationships do not interfere with objective judgment in decisions affecting university employment and/or the academic progress of a community member.

Carefully Manage Public, Private and Confidential Information University community members are the creators, custodians and stewards of many types of information, much of which is confidential. Access to this data and the individual’s right to privacy are governed by both laws and university policies. In order to meet our responsibilities, university community members are expected to:

Learn and follow laws, regulations and university policies regarding access, use, protection, disclosure, retention and disposal of public, private and confidential information; Follow document retention and disposal guidelines; Maintain data security using electronic and physical safeguards; Protect data quality and integrity; Ensure that data provided to the university community and other entities is accurate and consistent;Provide information as needed for other community members to adequately perform job duties.

Promote Health and Safety in the Workplace All university community members have a shared responsibility to ensure a safe, secure and healthy campus for all faculty, staff, students, volunteers and visitors. University community members are expected to:

Follow federal and state safety laws and university policies and practices, including: participating in appropriate education, using appropriate personal safety equipment, and reporting accidents, injuries and unsafe situations promptly; Maintain security, including securing university assets and facilities; Report suspicious activities and suspected abuse; Protect the environment, including carefully handling hazardous waste and other potentially harmful agents, materials or conditions.

V. Annual AcknowledgementUnderstanding your responsibilities as a member of the NKU community is important inmaintaining ethical standards across campus and ensuring compliance with federal and statelaws.

Annually, all faculty members, staff members, administrators, and Members of the Board of Regents will acknowledge their awareness and understanding of this policy.

VI. Violations of this PolicyAny individual found to have violated policies set forth in Section IV of this policy may besubject to discipline up to and including termination of employment and criminal prosecution.Any adverse employment action shall be taken only pursuant to applicable institutionalhandbooks, policies and procedures.

VII. Non-Discrimination StatementNorthern Kentucky University does not discriminate based on national origin, race, color, age,gender, gender identity, gender expression, sexual orientation, religion, physical or mentaldisability, genetic information, pregnancy, and Uniform Service or veteran status in its educationprograms, activities, employment, daily operations or admissions policies, in accordance with allapplicable federal, state and local laws. NKU will not tolerate retaliation against any individualwho makes a good faith report of a violation.

VIII. Reporting Suspected Ethical or Compliance ViolationsAll faculty, staff and administrators have an obligation to report conduct that violates our EthicalStandards. Examples of violations that should be reported include but are not limited to:

Fraud, waste, abuse or misuse of university resources Financial misconduct/wrongdoing

Violation of federal law, state law, university policy or procedure Ethics and/or compliance violations Research misconduct Harassment

Violations can be reported to: Your supervisor Financial and Operational AuditingCompliance and Institutional EthicsEthics and Compliance Helpline

The NKU Ethics and Compliance Helpline is administered by a third-party and is available 24 hours a day, 7 days a week, 365 days a year. Reports can be made anonymously.

Website: www.nku.ethicspoint.com

Toll-Free Telephone: 1-855-597-4539

NOTE – The helpline is NOT a 911 or emergency service. If you need immediate assistance, contact 911 or university police at 859-572-7777.

References and Related Materials References: Faculty Handbook (Full-Time), Faculty Handbook (Part-Time), Chase Faculty Handbook; Code of Student Rights and Responsibilities, Chase Student Handbook, Graduate Student Honor Code and Appeals PolicyRelated Policies: Intellectual Property, Sexual Misconduct, Reporting Misconduct and Prohibition of Retaliation Related Forms: Revision History:

FACULTY SENATE MEETING

February 29, 2016

Members present: Tracey Adams, Shannon Alexander, Michael Baranowski, Diana Belland, Janel Bloch, Richard Boyce, Perry Bratcher, Carol Bredemeyer, Brooke Buckley, Teuta Cata, Kim Clayton-Code, Steve Crites, Jacqueline Emerine, Irene Encarnacion, Sean Foley, Richard Fox, Morteza Sadat-Hossieny, Doug Hume, Stephen Johnson, JC Kim, Ken Katkin, Tonya Krouse, Kajsa Larson, Marc Leone, Lili Ma, Yaw Frimpong-Mansoh, Cecile Marczinski, Joe Mester, Phil McCartney, Melissa Moon, Tamara O’Callaghan, Jeanne Pettit, Gabe Sanders, Tracey Sigler, Laura Sullivan, Sharon Vance, Mark Wasicsko, Matthew Zacate

Members absent: Ronnie Chamberlain, Mary Kirk, Jennifer Kinsley, Trina Koscielicki, Catherine Neal, Louise Niemer, David Raska, Ron Shaw

Guests: Geoffrey Mearns, Sue Ott Rowlands, Ken Rhee, Will Weber, Jason Faulkner, Carole Ziegler, Steven Weiss, Phil Moberg, Diane Williams, Alar Lipping, Idna Corbett, Grace Hiles

The meeting was called to order by Senate President Michael Baranowski at 3:00 pm with a quorum present. The minutes of the January 25, 2016 meeting were approved.

Presentations:

2016-17 Budget Process (President Mearns, Sue Hodges Moore – Senior VP Admin./Finance,Provost Sue Ott Rowlands, Mike Hales, Chief Financial Officer)

o A PowerPoint presentation was distributed to the Senate prior to the meeting. Thisbudget process presentation is being made several times across campus to variousconstituencies (Chairs, Deans, Staff Congress, Faculty Senate, 2 open forums)

o Several factors will influence the final budget – most importantly decisions made at thestate government levels. At this point, the following are assumptions:

Enrollment will drop 2% 4% tuition increase Salary increase of 2% State approval of funding disparity (increase of $5.3M each of the next 2 fiscal

years) 9% cut across the two fiscal years ($4.5M each FY)

o Units across campus are performing two budget reduction exercises (one assuming a 4%reduction, another a 6% reduction).

Emergency Preparedness Update (Sue Hodges Moore, John Gaffin – NKU Police Dept. Leut.,Syed Zaidi – Assoc. VP Facilities Mgt., Kelly Martin – Assoc. VP Marketing/Communication)

o The Emergency Preparedness Committee first convened in September 2015 to examinethe University’s communications protocols in emergency situations. This committeeconsisted of members from Academic Affairs, Administration and Finance, StudentAffairs, University Advancement, General Counsel, faculty, the student body and localfirst responders. The report given to Faculty Senate is an effort to provide transparencyfor the actions of this group. Two documents were previously distributed to the Senate:Emergency Notification Protocol, and an Emergency Preparedness Update. Highlights ofthese documents included:

Emergency Preparedness Update:

Description of Committee

Emergency notification protocol

Emergency Communications Plan

Norse Alert Opt-out

RedMan/Alice training

Building emergency action plan

Response drill Emergency Notification Protocol:

Purpose

Communications channels

Intended use

Confirmation of dangerous situations

Authorization of emergency notifications

Status updates and all-clear messages

Guest Reports:

Provost (Sue Ott Rowlands):o New budget model presentation for the College of Arts and Sciences will take place soon

– anyone may attendo The Office of Research Grants and Contracts area will undergo review by an outside

consultant on 3/30-31 in order to discover means of improving service.o The Center for Teaching and Learning will work on initiatives beginning this fall after a

clearer budget picture for this area is finalized

Faculty Regent (Rick Boyce):o The next Board of Regents meeting is at 9 am March 16.o Regents will be working with the Education Advisory Board to review cost vs. quality of

academic programs

General Education Committee (Steven Weiss):o The Committee recently sponsored a town hall meeting primarily addressing

assessment of the D1 student learning outcome. Discussion included the process,description of the pilot project, assessment and the development of a template formoving forward.

Committee Reports:

University Curriculum Committee (Richard Fox):o The deadline for submitting curriculum changes to the fall catalog is the end of March.o Due to several concerns, the Academic and Admissions Policy Committee has withdrawn

its Out of Sequence Transfer Credit Policy from consideration.o A dual degree program will be brought forward for consideration to the next Senate

meeting.

Benefits (Matthew Zacate):

o A subcommittee of the Benefits Committee has been formed to review faculty and staffuse of the tuition waiver benefit.

o A health care survey will be distributed to faculty mid-week. This survey will give thecommittee information for reviewing RFPs of health care providers later this semester.

Budget (Janel Bloch):o The narrative report for the Fall 2015 Faculty Senate Budget Survey is now available on

the Budget Committee’s website:http://facultysenate.nku.edu/content/dam/facultysenate/docs/facultysenatecommittees/Budget/2015%20budget%20priorities%20survey%20narrative%20final.pdf

o As a response to the results of the survey, a focus on the analysis of faculty salary issuesincluding inversion, compression and equity will take place.

o Also as a response to the survey, an analysis will be made regarding technical resourcesavailable for faculty.

Teaching Effectiveness and Enhancement Committee (Ken Rhee):o Upcoming Brown Bag sessions:

Mindfulness and Renewal (3/16 UC 414 noon-1:30)o Upcoming Faculty Workshops:

Broadening Students’ Horizons: Cultivating Multiple Perspectives, SocialObjectivity, and Global Thinking (4/6 2-4pm AC 722, 2/7 2-4pm, AC 722)

o Reviewing the course evaluation process and how it is used.o TEEC Newsletter soon to be released.o Working on gathering tools to provide more effective student feedback.

Old Business:

NKU Values and Ethical Responsibilities document (Ken Katkin – Chair, Professional ConcernsCommittee). The draft document approved by the PCC was brought forward for consideration.Phil McCartney brought forward seven suggested amendments to the document – these werepreviously discussed and approved by the PCC. One of these amendments was changed attoday’s meeting. Final wording for the amendments were:

o Amendment 1 (paragraph #1 on p.2): The values, principles and standards of conduct in this policy are supported

through university policies, procedures and guidelines that provide guidance formaking decisions consistent with NKU’s commitment to responsible and ethicalbehavior.

o Amendment 2 (bullet point #2 on p.3): Participate in mandatory education opportunities required of faculty, staff,

administrators and student-workers.o Amendment 3 (bullet point #2 on p.3 under the “Preserve Academic Freedom and Meet

Academic Responsibilities” heading): Demonstrate respect for the student as an individual, make every effort to

foster honest academic conduct, and assure that the evaluation of student workreflects that work’s true merit.

(Add as another bullet point): Accurately evaluate the professionalism of othermembers of the university community when writing letters of recommendationor otherwise providing input regarding the manner in which individuals carryout responsibilities expected of or entrusted to them.

o Amendment 4 (sentence #1 in the last paragraph on p. 3 under the heading “PreserveAcademic Freedom and Meet Academic Responsibilities”):

The freedom of speech of community members includes the freedom to expresstheir views on matters having to do with their institution and its policies. NOTE:The original wording of the suggested change was “The academic freedom ofcommunity members….”. The Senate approved the change in wording at the meeting.

o Amendment 5 (sentence #1 on p. 3 under the heading “Teach and Conduct ResearchEthically”):

University community members have an obligation to the university, and thelarger global community as they seek knowledge and understanding. Universitycommunity members are expected to:

o Amendment 6 (last sentence on p. 4 under the heading “Teach and Conduct ResearchEthically”):

Teachers are entitled to freedom in the classroom in discussing their subject.o Amendment 7 (second bullet point under the heading “Avoid Conflict of Commitment

and Interest”): Refrain from using their official position to inappropriately further professional

or private interests or the interests of any members of their family;

All amendments above were approved. The Senate also approved the entire document with theamendment changes.

New Business:

Discussion items (Ken Katkin, Professional Concerns Committee) – the following four items werebought forward for discussion. The PCC will take discussion items into consideration. Voting onthese items will take place at the next Faculty Senate meeting:

o Clinical Facultyo Professors of Practice (includes Artist-, Poet-, Scholar-, Writer-in-Residence)o Modified Dutieso Part-time Faculty Appointments

The meeting was adjourned at 4:50 pm.

Respectfully Submitted,

Perry Bratcher Secretary