2 - Integrity: Ethical and Responsible Conduct

New Mexico State University - NM - Assurance Argument - 8/4/2017

2 - Integrity: Ethical and Responsible Conduct

The institution acts with integrity; its conduct is ethical and responsible.

2.A - Core Component 2.A

The institution operates with integrity in its financial, academic, personnel, and auxiliary functions; it establishes and follows policies and processes for fair and ethical behavior on the part of its governing board, administration, faculty, and staff.

Argument

2.A. NMSU operates with integrity in its financial, academic, personnel, and auxiliary functions; it establishes and follows policies and processes for fair and ethical behavior on the part of its governing board, administration, faculty, and staff.

Prior to 2015 the primary document providing for the ethical governance of NMSU was the NMSU Policy Manual. In Fall 2015 NMSU began the process of separating governance and policy from administrative rules and procedures: The result is two governing documents [link to manual.nmsu.edu/policies-and-procedures/] - the Regents Policy Manual and the Administrative Rules and Procedures of NMSU (ARP). Regents Policy 1.10 [link-manual.nmsu.edu/files/2013/10/Both-Policy-and-Rule-1.10.pdf] provides authority for NMSU's governing body, the Board of Regents (BOR), to govern NMSU and the New Mexico Department of Agriculture (NMDA) through the adoption of policies and authorizes the development of enforceable administrative rules and procedures necessary to achieve the goals and directives established by the BOR. Appendix 1-A [link-1-A & 1-B] contains highlights from New Mexico law that authorize and define NMSU and NMDA; Appendix 1-B [link] provides bylaws of the BOR. Rule 1.10 [link-manual.nmsu.edu/files/2013/10/Both-Policy-and-Rule-1.10.pdf] provides the protocol for adopting and amending both the Regents Policy Manual and the ARP. NMSU strives for complete integrity in carrying its policies, all of which are designed to ensure the fair, ethical and transparent operation of the institution.

Governing Board

The authority of the BOR is bestowed by the State of New Mexico Constitution. [link] The BOR holds a minimum of five regular meetings each year, with additional special meetings as needed. All meetings are conducted in compliance with the New Mexico Open Meetings Act [link-NMSA 1978, § 10-15-1 et seq] and the BOR Annual Resolution Establishing Notice. [link] All records of the BOR are open to inspection by the public in accordance with the New Mexico Inspection of Public Records Act. [link-manual.nmsu.edu/inspection-of-nmsu-public-records/] Agendas [link] for public meetings are available at Zuhl Library and on the Regents website [link] no less than 72 hours prior to the meeting. Accessibility accommodations [link to here as a sample: regents.nmsu.edu/files/2013/07/BOR-Notice-Jun-16-2017.pdf] are available upon request. Any member of the institution or the community may sign up for public comments at open meetings. Meetings are streamed via live webcasts and meeting notices, [link] minutes [link] and recorded webcasts [link] are available on the Regents website.

Administration, Faculty and Staff

NMSU administration, faculty and staff operate within the guidelines of the Regents Policy Manual and the ARP. The ARP provides direction on the operationalization of NMSU’s policies and procedures. Additional regulations, procedures and guidelines are provided in documents such as the Business Procedures Manual, Business Ethics Handbook, Signature Authority Table, NMSU's Written Information Security Plan and Safeguarding Guidelines; these documents and others are available at manual.nmsu.edu/policies-and-procedures/ [link] and hr.nmsu.edu/policy. [link]

The Faculty Senate Constitution [link-facultysenate.nmsu.edu/constitution-2/] and By-Laws [link-facultysenate.nmsu.edu/bylaws/] provide guidance and regulation over faculty governance.

Websites for the Offices of Institutional Equity, [link-https://eeo.nmsu.edu/] Human Resources, [link-https://hr.nmsu.edu/] and General Counsel [link-https://manual.nmsu.edu/] provide public access to information about sexual harassment and misconduct, discrimination, ADA, HIPAA,FERPA, FMLA, employee benefit rights, compliance, conflict of interest, computer and data security, employee safety/loss prevention and drug-free workplace.

ARP Rules 5.86 and 5.87 [link] (faculty) and 8.50 [link] (staff) require annual evaluation [link to staff evaluation form- Evaluations & Performance Mgmt https://hr.nmsu.edu/evaluations/] of job performance, achievement of goals and objectives, areas for professional development and determination of future goals and objectives. Disciplinary procedures [link-policy 5.47] encourage early, low-level and informal resolution when possible, and provide for formal and progressively stronger action as needed. Grievance Review and Resolution [link-policy 4.05.50 part 5] procedures do the same. For example, faculty grievances [link-https://hr.nmsu.edu/academicpersonnel/grievance-and-appeal-process/] that are not resolved through informal discussions advance to a nine-member Faculty Grievance Review Board for resolution [# of last x years]. The Office of Institutional Equity (OIE) [link] handles all discrimination grievance [link-policy 5.90.5.8?? - http://eeo.nmsu.edu/] procedures.

A 44% drop [link- https://hr.nmsu.edu/safety/wp-content/uploads/sites/72/2014/05/EHS-Annual-Report-2016-Final-1.pdf p. 8] in OSHA recordable claims between 2003-2016 is attributed to a positive response to efforts to cultivate a culture of safety and to increases in safety training and funded facility safety repairs. In 2009 NMSU began using Training Central System [link] to promote a proactive and preventative approach of education and training toward potential risk-related issues. Beginning April 2015 NMSU instituted mandatory compliance training, which initially occurred through a combination of live and online interactions. Training modules [link- https://training.nmsu.edu/annual-compliance-training/] include ADA-The Americans with Disabilities Act (What You Should Know); Drug and Alcohol Testing Supervisor Training; FERPA; HIPAA-Health Insurance Portability and Accountability Act; NMSU Respects (Title IX and Campus SaVE Act on Campus); PCI DSS Compliance Training; Preventing Harassment in the Academic and Workplace Setting and Preventing Harassment in the Academic and Workplace Setting Supervisor focus. Academic administrators are also required to attend annual training [link- notice on http://provost.nmsu.edu] that includes some of these topics as well as other issues administrators who supervise faculty may encounter. All training is now provided through online modules and all employees, including faculty, staff, administrators, students, temporary and part-time, must complete all modules. In 2015 the completion rate was 99%; in 2016 it was 96.8%. Research related compliance training and records retention is supported by the Office of Research Compliance [link-compliance.research.nmsu.edu/] and is discussed in more detail in 2.E.

Ethicspoint® [link- https://auditservices.nmsu.edu/reporting-line/] allows anonymous and confidential reporting by NMSU faculty and staff about observed or perceived misconduct, without the threat of retaliation. Ethicspoint® is operated by a third-party and reported incidents are addressed within 2 weeks through a 3-step process. [link- https://auditservices.nmsu.edu/reporting-line/] The most frequent areas of reported misconduct [link-need summary table last 10yrs-#/resolved/etc] include employee misconduct, discrimination, harassment, threats and inappropriate supervisor directives.

Faculty and staff at NMSU are required to complete a Conflict of Interest (COI) form annually. [link- https://hr.nmsu.edu/coi/#coi] Over the past 4 years an average of two COI per year have required intervention and included consequences for the NMSU employee.

Finance

NMSU’s financial operations are discussed in detail in 5.A and 5.C [link to pdf excerpt] and follow all federal, state and university policies and regulations. Oversight by the Vice President for Administration and Finance [link-https://af.nmsu.edu/] (VPAF) includes preparation of the annual budget and financial monitoring processes. Budget reports, guidelines, tuition and fees are publicly available on the Budget Office website. [link-compile - http://budget.nmsu.edu/reports/] Regular external audits [link] ensure ethical and transparent financial practices and provide accountability for allocation of resources (expenditures and investments), generation of revenue and overall fiscal health. The NMSU Central Purchasing and Risk Management Department has adopted the Universal Public Procurement Certification Council (UPPCC) Code of Ethics. [link-https://hr.nmsu.edu/purchase/wp-content/uploads/sites/53/2013/07/Code-of-Ethics.pdf] Procurement Services [link-https://purchasing.nmsu.edu/] provides information, forms and guidance to internal and external constituencies regarding purchasing, contracting, property, travel, accounts payable, risk management etc.

OPTIONAL SECTION ON FOUNDATION

Foundation

The NMSU Foundation, Inc. [link-https://advancing.nmsu.edu/] strives assist NMSU in becoming one of the nation’s pre-eminent universities by fostering personal and corporate philanthropy, excelling in fundraising, being a prudent and productive steward of its endowments and honoring its profound fiduciary responsibility to its donors. The Foundation is a charitable, tax-exempt organization and is registered with the New Mexico State Corporation Commission. An Investment Committee is responsible for determining the most favorable manner to invest and manage both the NMSU and NMSU Foundation endowment funds. The Foundation is audited annually [link - last 3 audits] by an external accounting firm. A finding from the 2014 audit regarding concern for a lack of separation of duties was immediately addressed. No additional findings or need for corrective actions have been made.

Auxiliary Functions

Auxiliary functions provide services to students, faculty or staff and charge a fee that is directly related to, but not necessarily equal to, the cost of the service. NMSU’s Business Procedures Manual [link-https://af.nmsu.edu/bpm/] outlines ethical and responsible conduct for auxiliary units. Managed as self-supporting operations, Auxiliary Services [link to website (or to list of websites for each area listed - athttps://aux.nmsu.edu/] housed under Administration and Finance include Barnes and Noble Bookstore, Conference Services, Student Union, Food Services, Golf Course, Housing and Residential Life, ID Card Services, Special Events and Transportation and Parking. Services housed under the Chancellor and the Vice President for Student Affairs, respectively, are Intercollegiate Athletics and the Health and Wellness Center.

Athletics

NMSU Athletics [link- https://athleticscompliance.nmsu.edu/] operates within the scope of the National Collegiate Athletic Association (NCAA) and Western Athletic Conference (WAC) rules and guidelines that govern Division I competition. The NMSU Compliance Manual for athletics [link-https://athleticscompliance.nmsu.edu/files/2016/10/Compliance-Manual-2015.pdf] compliments the NCAA Manual and the WAC Handbook and outlines procedures for recruiting, eligibility, financial aid, play and practice seasons, competition, camps and clinics, personnel, complimentary admissions and representatives of athletics interests.

Sources

COUNSEL_APR15.50_2017.04.28

2.B - Core Component 2.B

The institution presents itself clearly and completely to its students and to the public with regard to its programs, requirements, faculty and staff, costs to students, control, and accreditation relationships.

Argument

2.B. NMSU presents itself clearly and completely to its students and to the public with regard to its programs, requirements, costs to students, faculty and staff, control, and accreditation relationships.

NMSU strives to present itself accurately and transparently to all constituents. NMSU’s home webpage provides quick access to information, including about NMSU, information and admission requirements and other pertinent information for first time and transfer students, undergraduate and graduate majors, student life and experiences(including student services, organizations and academic resources), research, institutional extension and outreach and NMSU activity in economic development. The News tab spotlights recent faculty and student accomplishments and specifically addresses current and future students and their families, as well as alumni, donors and faculty and staff. Current students are directed to resources, programs and campus information, whereas future students are directed to information about admission and requirements, academic programs, tuition and fees, financial aid, residency requirements, campus services and programs and Aggie traditions.

Our About NMSU webpage includes the HLC Mark of Affiliation, as does our Accreditation [link] homepage. A Specialized Accreditation [link] webpage provides a list of all specialized/professional accreditations within the NMSU-system with links to each accrediting body website, each accredited program's website and additional information about each accreditation. Information about accreditation is also included in the NMSU Catalog. [link to compilation of all statements]

NMSU's Financial Aid Office uses Net Price Calculator to help students and potential students determine true costs for attending NMSU. Costs of books and other course required materials are available through the Barnes and Noble Bookstore website.

The NMSU Catalog and supporting websites provide information about admissions,transfer, programs, program requirements, program accreditations, and tuition, fees and other expenses. The Office of International and Border Programs is the main entry portal for information on international student admissions. Course information, including semester offerings, available sections, time, location and instructor are provided via the Course Schedule.

The NMSU Library website provides access to electronic databases, full text articles, Rapid ILL, digitizing collections and other library sources.

The Academics website is a portal into all academic programs and majors. All colleges and departments have a web presence that provides information about faculty and staff in the department, as well as information about programs and degrees.

Sources

ADMISS_2017-18Viewbook_2017.06.23
ADMISS_AdmissionsRequirements_2017.06.23
ADMISS_FutureStudents_2017.06.23
B&N_FindCourseMaterials_2017.06.26[1]
CATALOG_Admissions_2017.06.26[1]
CATALOG_ProgramRequirements_2017.06.26[1]
CATALOG_Programs_2017.06.26[1]
CATALOG_TransferStudentInfo_2017.06.26[1]
CATALOG_TuitionFeesExpenses_2017.06.26[1]
COLLEGES_AcademicsOverview_2017.06.23
COMM_NMSUNews_2017.06.23
DEPTS_FacultyStaffPrograms_2016.06.28[1]
EXT_ExtensionOutreachOverview_2017.06.23
FINAID_FinancialAidOverview_2017.06.02
FINAID_TrueCosts_2017.06.26
IBP_IBPHomePage_2017.06.26[1]
ISSS_InternationalStudentAdmissions_2017.06.26[1]
NOELLEVITZ_NetPriceCalculator_2017.06.26
PRES_AboutNMSU_2017.06.23
PRES_AboutNMSU_Accreditation_2017.06.23
PRES_NMSUHomeWebpage_2017.06.23
REGIST_CourseSchedules_2017.06.26[1]
RESEARCH_ResearchOverview_2017.06.23
SAEM_CurrentStudents_2017.06.23
SAEM_StudentLifeOverview_2017.06.23
VPED_EconomicEngagement_2017.06.23

2.C - Core Component 2.C

The governing board of the institution is sufficiently autonomous to make decisions in the best interest of the institution and to assure its integrity.

The governing board’s deliberations reflect priorities to preserve and enhance the institution.
The governing board reviews and considers the reasonable and relevant interests of the institution’s internal and external constituencies during its decision-making deliberations.
The governing board preserves its independence from undue influence on the part of donors, elected officials, ownership interests or other external parties when such influence would not be in the best interest of the institution.
The governing board delegates day-to-day management of the institution to the administration and expects the faculty to oversee academic matters.

Argument

2.C.1. NMSU's governing board’s deliberations reflect priorities to preserve and enhance the institution.

NMSU's Board of Regents (BOR) conducts regular deliberations on institutional issues throughout the year during regular and special meetings. Four standing sub-committees of the BOR address various aspects of the institution, and are: the Regents’ Financial Strategies, Performance and Budget Committee; the Regents’ Audit Committee; the Regents’ Real Estate Committee; and the Regents’ Student Success Committee. Deliberations in these meetings exemplify the BOR intentions to preserve and enhance the institution through the five goals identified in NMSU's strategic plan, Vision 2020: [link]

Goal 1 – Academics & Graduation: [FIND - for all goals - link to relevant examples of minutes from BOR meetings] Provide stellar programs, instruction and services to achieve timely graduation.

Goal 2 – Diversity & Internationalization: [link to relevant examples of minutes from BOR meetings] Provide a diverse academic environment supportive of a global society.

Goal 3 – Research & Creative Activity: [link to relevant examples of minutes from BOR meetings] Promote discovery, encourage innovation, and inspire creative achievement.

Goal 4 – Economic Development & Community Engagement: [link to relevant examples of minutes from BOR meetings] Drive economic, social, educational, and community development.

Goal 5 – Resource Stewardship: [link to relevant examples of minutes from BOR meetings] Optimize resources to effectively support teaching, research, and service.

2.C.2. NMSU's governing board reviews and considers the reasonable and relevant interests of the institution’s internal and external constituencies during its decision-making deliberations.

NMSU's BOR understands the unique aspects of the institution: They embrace our land grant mission; they are proud of our diverse, minority-majority community; they appreciate the mission and service NMSU faculty provide through their research; and they appreciate the service provided through the extension offices of the New Mexico Department of Agriculture (NMDA). All aspects of the institution are taken into account during decision-making processes.

NMSU staff, faculty and students are represented [link-Regents Policy Appendix 1.B- B. ARTICLE II] through ex-officio members on the BOR by the respective chairs from NMSU's Employee Council, Faculty Senate and the student governing body (ASNMSU). With the exception of dealing with limited personnel issues and active legal actions, all meetings are open to the public. Regular and special meetings of the BOR include an allotted time for public comment. Comments can be from NMSU's internal community or from external constituencies. In addition, individual members of the BOR convene with various constituent bodies, including staff, faculty, administrators and local community members through the standing Regents sub-committees, [link to list of each committee (2.C.1 paragraph 1) and respective representation] where they consider various interests related to institutional matters.