U n i versity of
Northern Iowa
BUILDING ON EXCELLENCE
2000 NCA Self-Study Report
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CRITERION V
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CRITERION V:
The institution demonstrates integrity in its practices and relationships
The University of Northern Iowa wishes to be known as an academic community that
practices democratic principles. Equal access, equitable treatment, and nondiscrimination are
some of these ideals. Likewise, the University aspires to integrity in all of its internal and
external relations.
Ethical University Policies
The University of Northern Iowa has developed policies and procedures to maintain the
integrity of its practices and relationships, both internal and external. Policies and
procedures are developed with input from appropriate faculty, staff, student groups, and
advisory committees. They are published and distributed as broadly as possible. The
University makes a concerted effort to apply all policies and procedures consistently and
fairly. Two major policies delineate and undergird the major functions of this institution of
higher education:
• Freedom of expression (Policies and Procedures, 13.10)
The University of
Northern Iowa has
developed policies and
procedures to maintain
the integrity of its
practices and
relationships, both
internal and external.
• Ethics and Academic Responsibility (Policies and Procedures, 6.10)
The latter policy affirms the University’s provision of intellectual freedom for its faculty
and the necessity for faculty also to uphold this freedom “in all its actions.” This policy
describes required responsibilities to scholarship, students, colleagues, the University, and
the larger community that the University serves. University policies and procedures are
accessible at http://www.uni.edu/pres/policies.
Affirmative Action and Equal Opportunity
At http://www.uni.edu/equity/pres.html, President Koob expresses UNI’s commitment to
the principles and implementations of a program of nondiscrimination and affirmative action
in all employment and academic matters. The University, he says, is:
dedicated to making all employment and academically-related decisions on
the basis of relevant employment and academic criteria. Recognizing its
unique role as a model for students who will be tomorrow’s workforce in
education, government, and business, the University remains diligent in its
efforts to demonstrate affirmative action wisdom and success. As a
community, the University encourages the development of a work and
academic environment which enhances affirmative action priorities . . . The
University accepts responsibility for compliance with federal and state laws
and guidelines concerning civil rights, nondiscrimination, and affirmative
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action. The University of Northern Iowa is a diverse community . . . with a
deep regard for civility. The University is hospitable to all persons regardless
of race, religion, national origin, sex, age, disability, or sexual orientation.
Affirmative Action
Affirmative action, equal opportunity, and non-discrimination continue to be the
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responsibility of the Office of the President. The institution’s policies and procedures are to
be followed by those who are empowered to hire new personnel to the University. Thus, the
University continues to maintain its commitments to ethnic, gender, and cultural diversity in
its workforce.
The Office of Compliance and Equity Management coordinates the University’s
commitment to nondiscrimination (equal opportunity) into an effective, organized system
using applicable federal and state laws and regulations; develops the affirmative action plan;
monitors those policies and practices affecting employment that are under the jurisdiction of
government guidelines; and reviews all complaints alleging discrimination. Employees who
have been unable to resolve a complaint through the established University procedures or
who otherwise choose to do so may contact Compliance and Equity Management or Human
Resource Services. UNI’s policy statement on non-discrimination and affirmative action can
be viewed at http://www.uni.edu/equity/stnd.
Americans with Disability
The Office of Disability Services assures that the University is in compliance with the
University continues
to maintain its
commitments to ethnic,
gender, and cultural
diversity in its
workforce.
Americans with Disabilities Act of 1990 (ADA) and to assist in identifying concerns in the
area of ADA policies and procedures affecting the University. The office works closely with
students with disabilities, employees with disabilities, Human Resources, Public Safety,
Facilities Planning, the Office of Compliance and Equity Management, and other relevant
departments. This office also provides input for positive changes in the area of physical
accessibility and student and employee assistance for persons with disabilities.
Harassment and Discriminatory Behaviors
Sexual harassment is illegal and inhibits a healthy and prod uctive working and learning
environment. To provide staff and students with a means of redress, the University has
established harassment and grievance procedures. These procedures provide appropriate
institutional appeal processes to ensure thorough and prompt investigation of allegations of
harassment and discrimination. The University’s policies prohibiting discrimination and
sexual harassment are accessible at http://www.uni.edu/equity/policies.
Because education is the most effective tool to combat these behaviors, training
programs that inform the campus community regarding these destructive behaviors are
scheduled regularly throughout the year and also are offered upon request.
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Board of Regents Policies and Procedures
The day-to-day operations of the institution are governed not only by University policies–
the University of Northern Iowa Policies and Procedures Manual (http://www.uni.edu/pres/policies)
–but also by the following:
• Board of Regents Procedural Guide (http://www.uni.edu/pres/policies/bor)
• Master Agreement Between the Board of Regents, State of Iowa, and the UNI United
Faculty (http://www.uni.edu/vpaa/faculty_contract/)
• Professional-Scientific Personnel Policies and Procedures (http://www.uni.edu/hrs/p&s/)
• Merit System Staff Handbook (http://www.uni.edu/hrs/merithb/)
Compliance with Federal Regulations
Log of Student Complaints
Records of formal, written, and signed student complaints are maintained by the Office
of the Provost, the Vice President for Student Services, the Office of Compliance and Equity
Management, and the Graduate College. These records include summary information regarding
the name(s) of the complainant(s), the date and nature of the complaint, and steps taken to
During the 1988-1989
academic year there
were 3,663 loans made
to students totaling
$7.4 million.
resolve the complaint, including referral to outside agencies and other external actions
initiated by the student and known to the University. A summary of these records will be
available to the NCA Consultant-Evaluators at the time of the University’s comprehensive
evaluation. Only summary data will be provided, in order to maintain confidentiality and to
protect the privacy of complainants and others.
Federal Student Loan Default Rate
During the 1988-1989 academic year there were 3,663 loans made to students totaling
$7.4 million. By comparison, during the 1998-1999 academic year there were 11,386 loans
made totaling $36.1 million.
When considering all aid programs, a total of 18,166 awards totaling $22 million were
made in 1989. For the 1998-1999 year, more than 28,000 awards from all programs were made
totaling $63 million. This represents an increase of about 54 percent in the total number of
awards and approximately 186 percent in the total amount allocated over the last two years.
Default rates for loans at the University of Northern Iowa are extremely low. The default
rate for the Perkins loan is 6.49 percent (6-30-99). The default rate for Federal Direct Student
Loan Program is 4.3 percent (1996-1997, the latest data available).
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University Catalog and Schedule of Classes
The University catalog is published biennially for students, faculty, staff, and others who
are interested in knowing more about the University. Its purpose is to communicate as
completely and objectively as possible what the University is and what it does. In addition to
a print format, the catalog is available online at www.uni.edu/pubrel/catalog/index.htm.
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The catalog provides general information regarding admissions requirements, enrollment
and registration procedures, fees and financial aid, student life, University facilities, and
educational services, degree requirements, academic regulations, and specific program
requirements for both undergraduate and graduate programs. The catalog also includes
information on program certificate requirements, graduate assistantships, course descriptions,
and listings of the members of the Board of Regents, the administrative staff, and current as
well as emeritus faculty.
The University catalog is supplemented by the Semester Schedule of Classes (published in
the fall, spring, and summer). The Schedule of Classes lists the classes offered that semester. It
also contains general information regarding curricular offerings, fees, and related policies and
procedures. Other information in the Schedule of Classes includes the procedure for applying for
graduation, dates to observe, an explanation of course numbers, fees and billing, the final
examination schedule, grade information, learning skills and new student assistance, the UNI
policy on nondiscrimination and affirmative action, the Student Right to Know Act, and veterans
information. Every effort is made to make this publication accurate as of the date of publication.
Students, faculty, and staff are encouraged to use it as a reference tool throughout the semester,
Important policy
information is
distributed to students
each semester in the
Schedule of Classes.
and entering students are instructed at orientation how to read and use the Schedule.
“Student Handbook”
For a number of years, the University distributed student policy information in printed
form but in 1997 discontinued this practice in favor of Web distribution. Notice of the
“Student Handbook” Web site (www.uni.edu/vpess/handbook) is announced in the Northern
Iowan, through printed bookmarks and half-page handouts, by means of UNI-Online (first
initiated in Fall 1999), and in other ways.
Students who live in the residence halls receive a copy of Day By Day, which contains
much of the information formerly included in the student handbook. As information
proliferates, we have found, that printed materials are too bulky, prohibitively expensive,
quickly outdated, and not read by students.
Important policy information is distributed to students each semester in the Schedule of
Classes. In addition, a publication for all students, faculty, and staff addressing drugs,
alcohol, and campus safety issues is distributed annually and will probably also appear on
the Web in the near future.
The University has found that it is better to inform students by distributing relevant
policies and procedures in multiple venues rather than by just saying, “It’s in the handbook!”
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Personnel Policies and Procedures
The University of Northern Iowa has established personnel policies and procedures that
serve to guide and govern the rights and responsibilities of all constituents on our campus.
These policies and procedures are defined and described in detail in various published
handbooks, manuals, brochures, and pamphlets. They have also been incorporated as part of
the UNI main web site.
These resources define and propose courses of action for handling internal disputes at
the University of Northern Iowa. All of these resources are available in hardcopy and
electronic format for students, faculty, and staff. Information on the existing and updated
policies and procedures is provided to new and already employed faculty and staff through
print media and online. Students are regularly informed about policies related to grievances,
complaints, and discrimination procedures through publications, newspaper inserts, and
electronic media.
Procedures and policy statements are updated regularly and cover a wide range of issues,
from complaints and grievances to issues of discrimination, sexual harassment, and disability.
Developing or revising personnel policies and procedures is an ongoing process. For example,
Procedures and policy
statements are updated
regularly and cover a
wide range of issues,
from complaints and
grievances to issues of
discrimination, sexual
harassment, and
disability.
the UNI Policies and Procedures document(http://www.uni.edu/pres/policies/grievance.html)
covers a wide range of topics relevant to the entire University regarding nondiscrimination
(13.03), affirmative action (13.01), persons with disabilities (12.06), and resolution of
discrimination complaints (12.07).
Specific publications that cover University policies and procedures are targeted for
students, faculty, and staff.
Policies and Procedures for Students
UNI Policies and Procedures and the Student Handbook are intended to clarify the many
policies relating to students.
UNI Policies and Procedures
Chapter 12 of the UNI Policies and Procedures addresses grievance procedures for
graduate students, undergraduate students, student employees, and graduate assistants.
Furthermore, the Northern Iowa Student Government appoints students to the Affirmative
Action Council on Academic Affairs, the Affirmative Action Council on Education and Student
Services, the Educational Policies Commission, the Ethnic Minorities Cultural and Educational
Policy Board, the Human Rights Commission, and the University Judicial Committee (see
http://www.uni.edu/pres/policies/grievance.html).
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Student Handbook
Additional sources of policies and procedures on students’ rights and responsibilities with
regard to nondiscrimination, sexual harassment, sexual abuse, academic grievances and
ethics, disagreements, and complaints by student employees and persons with disabilities are
contained in the Student Handbook (see http://www.uni.edu/vpess/handbook.html).
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Graduate Student Handbook
Information on policies and procedures related to academic ethics, academic grievances,
sexual harassment, and other issues is made available to graduate students through the Graduate
College and the Graduate Student Handbook, which is available currently in print format.
Policies and Procedures for Faculty
The Master Agreement and UNI Policies and Procedures both contain faculty personnel
policies.
Master Agreement
In Article Ten, the Master Agreement Between the Board of Regents, State of Iowa,
and the UNI-United Faculty (July 1, 1999-June 30, 2001) defines the scope of
grievance
and
outlines
steps
for
grievance
procedure
(see
Appendix
D
and
http://www.uni.edu/vpaa/faculty_contract/mainpage).
The Master Agreement
and UNI Policies and
Procedures both
contain faculty
personnel policies.
UNI Policies and Procedures
In addition to the Master Agreement, the UNI Policies and Procedures handbook details,
among other policies, academic policies (Chapter 2), faculty employment policies (Chapter 6),
and faculty grievance procedures concerning disabilities and discrimination (Chapter 12).
(See http://www.uni.edu/pres/policies/.)
Policies and Procedures for Staff
The UNI Policies and Procedures, the Professional and Scientific Personnel Policies and
Procedures, and the HRS Policies and Procedures describe the University’s procedures and
policies for staff.
Professional and Scientific Personnel
Complaints and grievances procedures by professional and scientific personnel at UNI are
resolved in accordance with the procedures set forth in the Professional and Scientific
Personnel Policies and Procedures, Article VIII, Complaints and Grievances, can be found at
http://www.uni.edu/hrs/p&s/index.html. The Board of Regents originally approved these
policies and procedures in February 1980. Policies and procedures contained within the
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document cover position appointment procedures, the various types of University service
appointments, information on the performance appraisal program, classificationcompensation plan provisions, reduction-in-force proceedings, fringe benefit program
offerings, and certain other miscellaneous policies.
Merit System Employees
Chapter 5 of the UNI Policies and Procedures provides information on Merit Staff
employment policies, and Chapter 12.03 details Merit System grievance and appeals
procedures.
Merit employees are governed by both the Regents Merit System Rules and the American
Federation of State, County, and Municipal Employees (AFSCME) collective bargaining
agreement.
Work
rules
and
Regents
Merit
System
Rules
are
accessible
at
http://www.uni.edu/hrs/merithb.
Office of Public Relations
The Office of Public Relations offers and coordinates services to enhance the visibility
The Office of University
Marketing and Public
Relations provides the
campus ommunity with
a wide range of
publication services,
from traditional print
formats to new
electronic formats, to
the campus community
through seven divisions.
and accurately project the image of the University of Northern Iowa. The office is responsible
for media relations, news, publications, advertising, marketing communication, and
institutional identity. According to the Office mission statement:
The Office of Public Relations provides leadership for a strategic,
comprehensive communications effort that enhances understanding and
appreciation of the University’s mission, supports the strategic plan, and
advances the institution’s internal and external relations goals.
The UNI Office of Public Relations works closely with campus groups to produce clear and
informative documents. The Office provides the campus community with a wide range of
publication services, from traditional print formats to new electronic formats, to the campus
community through seven divisions: Printing and Mailing Services; Teleproduction Center;
Photography Services; Campus Communications; Community Relations; Media Relations; and
Publication and Interactive Communications.
As the University implements its 2001-2006 Strategic Plan, the Office of Public Relations
will go forward with a more focused mission and a new name:
The Office of University Marketing and Public Relations, in concert with the
various University constituents, develops and coordinates the implementation
of an integrated marketing program. Designed to enhance the visibility and
to accurately project the culture of the University of Northern Iowa, the plan
reflects and works toward the goals of the University’s strategic plan through
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the judicious use of a variety of communications. Areas of public relations
emphasis and thematic approaches in publication and advertising design
correspond with and support the mission and select areas of excellence.
Priorities are set within these parameters.
A high priority of the Office of University Marketing and Public Relations is media
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relations, which includes developing internal credibility to assure that information is provided
to media accurately and in a timely fashion. Prompt response to media queries and counsel
to University officials in crisis situations are of primary importance. The office recognizes that
news media are not in the business of promoting the University, and that their dissemination
of our information to their readers/viewers on such things as programs, activities or cultural
events is done as a public service.
Of equal importance to the Office of Marketing and Public Relations is the projection of
the institution’s image and vision through communications media that are designed with
integrity and consistency of central message, and in compliance with institutional identity
standards.
Central to all the Office’s efforts is the portrayal of outcomes that best illuminate the
University’s core goals. Student achievement, faculty research and accomplishments, the
results of programs and initiatives, the partnerships that effect economic development, and
promotion of the general education curriculum all comprise tangible evidence of UNI’s
mission.
Integrity in the Grant Process and Ethics in Research
The Grants and Contracts unit of the Graduate College has responsibility for managing
the business and financial aspects of sponsored project agreements and for authorizing
submission of proposals to, and acceptance of, awards from external funding agencies.
Applications and proposals prepared by faculty and staff are subject to an internal review
procedure, evidenced by signatures on a Request for External Funds (REF) Form. The staff
The Grants and
Contracts unit of the
Graduate College has
responsibility for
managing the business
and financial aspects of
sponsored project
agreements and for
authorizing submission
of proposals to, and
acceptance of, awards
from external funding
agencies.
member’s department head, college dean and administrative unit head(s), as applicable, must
provide standard approvals. Special reviews and approvals are required when projects involve
the use of human and animal subjects.
All grants and contracts are assigned an account with the Controller’s Office to which
expenditures are charged and sponsor payments deposited. This segregation of accounts
provides an audit trail for sponsor-paid financial transactions. All sponsored project spending
is subject to the University’s financial policies and procedures, which are consistently applied.
The Grants and Contracts unit monitors cases that involve more restrictive financial terms and
conditions. Unallowable expenditure object codes are omitted from the account setup.
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Scientific misconduct is a concern of the entire scientific community. The University of
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Northern Iowa’s Policy for Responding to Allegations of Scientific Misconduct provides clear
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procedures that address scientific misconduct, safeguard the rights of all concerned, ensure
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due process for a respondent, and protect from retaliation a complainant who makes an
allegation in good faith. The policy applies to all persons engaged in or associated with
research funded by the Public Health Service or National Science Foundation. The policy
applies to any person paid by, under the control of, or affiliated with the University of
Northern Iowa, such as scientists, trainees, technicians and other staff members, students,
fellows, guest researchers, or collaborators at the University.
Members of the University community who suspect that scholarly pursuits have been
compromised by dishonesty are encouraged to communicate their concerns, informally or
formally to the appropriate administrative official(s).
Internal Audit
All sponsored project accounts are subject to the University’s annual audit conducted by
the Auditor of State. In addition, the Auditor of State performs a special audit of federally
funded grant and contract accounts active during the fiscal year being reviewed. This audit
The UNI Policy on Use
of Computer Resources
addresses unauthorized
or inappropriate use of
the University of
Northern Iowa
computing resources,
sexual harassment using
electronic technology,
and communication on
campus including e-mail
correspondences and
news groups.
is conducted under the guidelines of OMB Circular A-133, “Audits of States, Local
governments and Nonprofit Organizations.”
Integrity in the Use of Technology
In addition to the UNI policy on copyright-protected computer materials, the Policy on
Use of Computer Resources delineates the University’s computer use policy. It addresses
unauthorized or inappropriate use of the University of Northern Iowa computing resources,
sexual harassment using electronic technology, and communication on campus including email correspondences and news groups.
This policy specifically lists a number of behaviors with respect to the electronic
environment that are expressly prohibited:
• Accessing without authorization or attempting to access, alter, erase or intercept
computer data that are not one’s own
• Accessing, or attempting to access, equipment or networks at UNI or elsewhere via UNI
resources, without permission
• Using, or attempting to use, someone else’s authorization
• Permitting others (at UNI or elsewhere) to use one’s own authorization
• Modifying or extending network services and wiring beyond their intended use
• Concealing or attempting to conceal one’s identity when using University resources,
except when anonymous access is explicitly provided
• Forgery or misrepresentation of one’s identity
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• Impairing, interrupting or inhibiting any other person’s access to or use of resources
except consequential to normal and acceptable use
• Sending anonymous, deceptive, fraudulent, or unwelcome electronic communications,
such as chain letters
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• Violating license agreements, copyrights or intellectual property rights
• Violating contractual obligations of the University
• Re-transmitting UNI-specific or commercially obtained network resources outside of
the University community
• Commercial use of information from University databases or University resources.
Athletics
The Board of Regents has strongly committed itself to integrity in the administration
of intercollegiate athletic programs. (See Board of Regents policies and procedures relating
to
intercollegiate
athletics,
10.21,
Policy
on
Athletics,
pages
60-63,
at
http://www2.state.ia.us/regents/policy.html). In 1991, the Board of Regents adopted a
policy asserting presidential control of athletics at the three Regents universities, as well as
academic integrity, financial integrity, and accountability through certification. In 1992, the
Board specified consequences for serious infractions of NCAA, conference, or University rules
and regulations and established a reporting procedure.
In 1999, the Board of Regents added to its policies a statement of principles vesting all
responsibility and authority for administration of university athletic departments in the
The Board of Regents
has strongly committed
itself to integrity in the
administration of
intercollegiate athletic
programs.
presidents and committing itself “to a philosophy of firm institutional control of athletics,
to the unquestioned academic and financial integrity of the athletics programs, and to the
accountability of the athletics departments to the values and goals befitting higher
education” (p. 62). Among the principles asserted are an affirmation that the “welfare, health
and safety of student athletes are primary concerns of athletics administration on the
campuses,” and that “every student athlete – male and female, majority and minority, in all
sports – will receive equitable and fair treatment.” The admission and continuing athletic
eligibility of student athletes is to be based on their showing reasonable promise of academic
success. Graduation rates of student athletes are to be as high as those of comparable nonathletes. Athletics departments budgets are to be monitored and audited. Thus the Board of
Regents commits itself and the University of Northern Iowa to the highest standards of
integrity in intercollegiate athletics.
The Intercollegiate Athletics Advisory Council (IAAC) oversees all aspects of UNI’s
athletic program as it relates to the academic quality and integrity of the institution.
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According to its mission statement (http://www.uni.edu/iaac/mission_statement.html),
the Intercollegiate Athletics Advisory Council
supports the development and maintenance of a competitive intercollegiate
athletic program which reflects favorably upon the university; monitors
policies and activities related to the welfare of student athletes; and
formulates and recommends to the Provost and/or Vice President for
Administration and Finance, and/or the University Senate, new policies
regarding athletics and student athletes.
The Council meets regularly and reports annually to the Provost, the Vice President for
Administration and Finance, the Professional & Scientific Council, and the University Faculty
Senate. The Intercollegiate Athletics Advisory Council is charged to do the following:
• Review, with the NCAA Faculty Representative, the status of institutional compliance
with the NCAA rules and guidelines, the issues and opportunities pertaining to athletic
conferences in which UNI participates, and problems involving student athletes at UNI
• Review, with the Athletic Director, the status of and activities undertaken by
Intercollegiate Athletics at this institution
• Participate on search committees for head coaches and other athletic administrative
The University of
Northern Iowa offers a
20-sport intercollegiate
athletic program.
positions
• Conduct team meetings with participants in each sport to inform student athletes
about the IAAC, the rights and responsibilities of student athletes at UNI, and IAAC
concerns for student welfare, academic integrity, and institutional control
• Conduct exit interviews with student athletes
• Monitor schedules of all athletic teams
• Review grade reports, graduation rates, admission and retention data, and related
information for the institution and then compare these data with those of the nonathlete student body at UNI and with those of other NCAA Division I institutions.
The University of Northern Iowa offers a 20-sport intercollegiate athletic program. All
programs are offered at the Division I level, with football recognized as a I-AA program. More
than 475 student-athletes compete in these 20 programs. The Missouri Valley Conference
serves as the league affiliation for all sports except football and wrestling. Football competes
as a member of the Gateway Football Conference, and wrestling competes as an independent
member of the NCAA.
Women’s soccer is the newest varsity sport at UNI, beginning competition in Fall 2000.
It is the mission of the University’s athletic program to offer the same athletic programs at
the Division I level that are offered as championship sports by the Iowa High School Athletic
Association. The addition of women’s soccer completes that mission.
Currently, the athletic program and its personnel; policies and procedures are undergoing
an extensive evaluation process. This process is a part of the North Central Association
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process as well as the NCAA certification process, which will take place during the 2000-2001
year. Within that evaluation process is an effort by the new Director of Athletics to reorganize
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the department. An evaluation of job duties and responsibilities as well as departmental
INTEGRITY
mission, goals, and objectives is being undertaken. Intercollegiate athletics at the University
of Northern Iowa is committed to live up to Title IX.
Student athletes at UNI receive fair and equitable treatment. They are mainstreamed yet
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supported with respect to academic advising and learning assistance. Graduation rates of
student athletes, on average, exceed those of the student body. (see Table V.1).
Table V.1: Graduation Rates Comparison
Funding for women’s teams–in dollars, practice facilities, mode of travel, and
accommodations–is approaching the level of funding for men’s sports. And institutional
control provided by President Koob and the Intercollegiate Athletics Advisory Council ensures
the welfare of our student athletes.
Intercollegiate athletics
at the University of
Northern Iowa is
committed to live up to
Title IX.
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