Western Washington University
ETHICS IN WASHINGTON
STATE ACADEMIA
AND
WESTERN’S POLICIES AND
FINANCES
New Faculty Orientation
Fall 2008
Ethics In Public Service Act
• The Ethics In Public Service Act (Chapter 42.52
Revised Code of Washington) applies to all university
employees, including student employees.
• The ethics law establishes minimum standards of
conduct and provides guidance for ethical choices.
• State employees are obligated to conserve and protect
state resources for the benefit of the public interest.
• State employees may not use state
resources for private gain.
Ethics Training
• Available on Human Resources Training web
site (on-line tutorial)
(http://www.acadweb.wwu.edu/hr/Training/index.shtml)
• Available through the
Executive Ethics Board
(http://ethics.wa.gov/TRAINING/Training.htm)
-On-line quiz and training handouts
Ethics Law Covers
• Appropriate use of resources
• Compensation for outside activities
• Gifts – Including restrictions if you have purchasing
decision authorities, compensation for reviewing
textbooks and disposing of review textbooks
• Personal Financial Interests – Including
authored textbook use in Western’s classes
•
•
•
•
Receiving honoraria payments
Conflicts of Interest
Confidential Information
…and more
Use of Resources Rules
• Can always be used for university work
• Personal use of university resources is allowed
but you must follow the de minimis rules:
–
–
–
–
There is little or no cost to the state
It is brief, infrequent and effective use of the resource
It does not interfere with work
It does not disrupt business or other employees or
obligate them to make personal use
– It does not compromise security of state property
Prohibited Uses of Resources
• The following uses are not allowed by law:
– To conduct outside business or work
– For illegal activities
– For campaigning, opposing or promoting ballot
issues or candidates
– Taking any university property for personal use, even
if it is going to be thrown in the trash
– Using a resource and then reimbursing the university
for the cost
– Supporting an outside entity (including charities)
UNLESS it is approved by the President, Provost or
Vice President
Use of E-mail – Examples
•
•
•
•
Personal use – Yes*
Use for outside work - No
Send a Happy Birthday wish – Yes*
Include WWU e-mail address on
outside work or activity documents – No
• Forward jokes to other employees – No
(* Follow de minimis rules)
(Note: You are not responsible for receiving unsolicited
email messages, however you are responsible for what
you do with these emails such as forwarding them to
other employees.)
Use of Internet & Computer –
Examples
• Search topics or issues on-line from your
computer in your office or non-public area
– Yes*
• Buy products on-line – No
• Download software – No
• Play pre-loaded games – Yes*
• Personal outside business - No
(* Follow de minimis rules)
Use of Resources for
Political Purposes
Prohibited Activities:
• Using work time to solicit signatures, raise funds,
or campaign for or against a candidate or ballot
measure
• Using university facilities for political purposes,
even after work hours
• Displaying political materials in or on university
vehicles or facilities. EXCEPTION: The free speech
issue of wearing campaign buttons or placing such
materials in personal assigned spaces must be balanced
with the obligation to not use visible public facilities to
post such materials.
Using Resources For Outside
Consulting or Business
• Outside Work: Is any activity performed by a
state employee that is paid for by anyone other
than Western Washington University, WWU
Foundation or WWU Alumni
• Using any university resources to perform any
work for your outside business or private
employment is prohibited
• Exception: Employees may follow the
university’s Patent and Copyright policy
Compensation for
Outside Activities
Compensation may be accepted when:
• There is a bona fide contract and work was performed
• The performance or administration of the contract is not
within your Western duties
• You would not be inappropriately assisting outside
persons or organizations
• You are not working for someone that you can not accept
a gift from
• You did not create this outside work opportunity through
your capacity at Western
• You would not be required to make a disclosure of
confidential information
Receiving Gifts
• Employees should not accept gifts or anything of
value if it could be reasonably expected to
influence your vote, judgment or action
• Employees should generally not accept gifts in
excess of $50 from a single source per year
• If you can make purchasing decisions, the gifts
that you can accept are limited to a specific list
(Contact Internal Audit for more information)
Faculty Accepting Compensation
to Review a Textbook
• Faculty must use caution to ensure that
they are not accepting a gift or thing of
value that may influence their decision
• A faculty member’s decision may be
considered to be influenced if:
- They are required to select the textbook
in order to receive the compensation, or
- The compensation is “substantial”
Disposing of Evaluation Textbooks
• University employees may accept evaluation,
review, courtesy or desk copies of textbooks as
long as they are related to the recipient’s official
duties at Western
• These textbooks can be disposed of by giving
them to the university, donating to a charity
within 30 days, or by using the university’s
surplus process
• Faculty may not sell the textbooks
and donate the proceeds to a charity
Authored Faculty Using Their
Textbook In Western’s Classes
• The Ethics Act states that employees may not
make decisions in transactions that would
beneficially interest the employee
• Since Western wants its faculty to author
textbooks and other academic documents, a
chair or committee* can select/delegate the use
of the textbook in the authored faculty member’s
classes or in other faculty member’s classes
*Must not include the authored faculty member
Receiving Honoraria Payments
• An honorarium is any money or thing of
value offered for a speech, appearance,
article or similar item in connection with
your official role at Western.
• An honorarium can only be accepted if
approved by the university and is not
specifically prohibited by the Ethics law.
(http://apps.leg.wa.gov/RCW/default.aspx?ci
te=42.52.130)
Conflicts of Interest
• University employees may not have an
interest (financial or otherwise, direct or
indirect) or engage in a business or
transaction or professional activity or incur
an obligation that is in conflict with the
proper discharge of the employee’s official
duties at Western
• Conflicts of interest may be remedied by
disclosure or abstaining from participating
in a decision or action.
Confidential Information
• University employees may not disclose
confidential information gained during
official duties or otherwise use confidential
information for personal gain or benefit
• University employees must not
intentionally conceal a record
that they know should be released
under the Public Disclosure Act
Public Records Law
• Establishes a strong policy for accessing
public records unless records are exempt
• A public record is any university record
relating to the conduct of university
business
• University’s Public Records Officer must
be notified of public record requests
received by departments because the law
requires that the PRO respond to requests
within 5 working days of receipt
University Policies
• The university has many policies which
were written to define employee’s
responsibilities as well as educate and guide
employees in understanding rules and
expectations of state employment.
• The university’s policies are located at
http://www.wwu.edu/depts/policies/
• New faculty members are encouraged to review
the web site to become familiar with the
university’s policies.
University Policy Highlights
• Using University Resources (Covers general use rules)
• Policy on Consulting and Other Compensated
Professional Activities (In Faculty Handbook)
• Responsibilities of Financial Managers
• Reporting Loss of University Funds
• Safeguarding Non-Public Financial Information
• Many other policies in cash handling,
purchasing, accounting, contracts, human
resources, billing and health and safety
Responsibilities of
Financial Managers
• Revenues and expenses are projected
• All transactions are appropriate for the fund
• Fund should not have negative balance at the
end of the fiscal year
• There are proper internal controls such
as monitoring and separation of duties
• May delegate authority to others to
initiate & approve transactions
(but can not delegate ultimate responsibilities)
Reporting Loss of Funds Policy
• The university is required by law to report
known or suspected loss of public funds or
assets or other illegal activities to
the State Auditor’s Office.
• The policy and procedure outline
who should be called and when.
• Violations of the Ethics In Public Service
Act are reportable conditions.
WWU Employees May
Report Concerns To:
• Direct supervisor or department or
division superior
• State Auditor’s Office Whistleblower Program
• State Executive Ethics Board
• WWU Office of the Internal Auditor
• WWU Human Resources Department
• WWU Equal Opportunity Office
• WWU Police (Immediate safety concerns - Call 3911)
State Whistleblower Act
• The Act encourages state employees
to report improper governmental actions
• The State Auditor’s Office investigates
allegations and the Whistleblower Act
ensures confidentiality of complainant
• The complainant is protected against
retaliation or reprisal
• Web site - http://www.sao.wa.gov/Whistleblower/index.htm
State Whistleblower Act - Update
Effective June 12, 2008, Western employees may
now make Whistleblower reports to the following
designees:
•
•
•
•
•
•
Wendy Bohlke, Assistant Attorney General
Kim Herrenkohl, Internal Audit Director
Dennis Murphy, Provost
George Pierce, VP for Business and Financial Affairs
Bruce Shepard, President
Chyerl Wolfe-Lee, Human Resources Director
Internal Audit Can
Investigate Concerns
• Western employees may report allegations of
improper governmental actions to Internal Audit
• Internal Audit handles all complaints as
confidentially and discretely as possible
• Complainants can use the anonymous Contact
the Internal Auditor form on the Internal Audit
web site to report concerns
(http://west.wwu.edu/auditormailer/)
• The complainant is protected against retaliation
or reprisal
State Ethics Board
• Ethics Board receives complaints and performs
investigations of alleged ethics violations
• Ethics Board web site at
http://ethics.wa.gov/ contains:
– Contact information
– Frequently Asked Questions
– Links to RCW and WAC
– Training information
– “Enforcement” page (list of violations & penalties)
– Official Advisory Opinions
– Newsletters and Brochures
General Accounting Concepts
at Western
• University (state) funds and how to
determine whether or not an expenditure
is appropriate
• WWU Foundation funds - restricted and
unrestricted expenditure rules
Use of University Funds
• University funds may only be used for
university business purposes. These
funds are referred to as “Chart 1” funds.
• We all need to be good stewards of the
public’s monies.
When Determining Appropriate
Use of University Funds
• Does expenditure serve a public purpose?
• Is there a fair exchange of goods
or services?
• Does expenditure appear to
provide a personal benefit?
• Does expenditure comply with laws and
university policies?
WWU Foundation Funds
• WWU Foundation is a separate legal entity
that solicits donations for the university’s
benefit. These funds are referred to as
“Chart 2” funds.
• They can be donated for specific
(restricted) purposes or for more general
university or college use purposes, often
referred to as “unrestricted”.
Use of ANY Foundation Funds
• Can only be spent in accordance with the
donor’s intentions.
• In general, if it is a personal expense, it is
disallowed. If it is a work-related expense,
it is allowable (subject to donor’s intent).
• WWU Foundation has published
guidelines that assist the campus in
understanding the rules for spending
Foundation funds.
Use of “Unrestricted”
Foundation Funds
There can be misunderstanding about
the appropriate use of “unrestricted”
Foundation funds.
– Allowable: Scholarships, Fellowships, Academic
Program Support, specific departmental events (search
committees) and misc. expenses (hiring and moving
new hires)
– Disallowed: Parking permits or tickets, travel to nonwork events, personal gifts and department social
events for birthdays or personal recognitions.
A long habit of not thinking a thing
wrong gives it the superficial
appearance of being right.
Thomas Paine
Welcome to Western
Washington University
Please don’t hesitate to call the Office of the
Internal Auditor with your questions or
comments. We are here to help you during your
transition and throughout your career
at Western.
Kim Herrenkohl, Director 650-3435
Shu-Ling Sun, Staff Auditor 650-4033