Ethics Case Studies for Registrars

Ethics Case Studies for Ethics Case Studies for RegistrarsRegistrars

American Association of Collegiate Registrars and Admissions American Association of Collegiate Registrars and Admissions Officers Officers Boston Boston

Friday, March 2, 2007Friday, March 2, 2007Session ID: 041Session ID: 041

8:30 8:30 –– 9:459:45Room 308Room 308

©© 2007, Kathie Beaty, Bradley University 2007, Kathie Beaty, Bradley University

PresentersPresenters

Kathie Beaty Kathie Beaty –– Registrar, Registrar, Bradley UniversityBradley University

Alan Sims Alan Sims –– Registrar, Registrar, University of the Sciences in University of the Sciences in Philadelphia Philadelphia

Facilitator: Deborah TamteFacilitator: Deborah Tamte--Horan Horan ––Registrar, Muhlenberg CollegeRegistrar, Muhlenberg College

Do you struggle to find a balance Do you struggle to find a balance between between ----

---- enforcing policy and providing quality enforcing policy and providing quality service?service?

---- one policy and another?one policy and another?---- you and your supervisor?you and your supervisor?---- your personal philosophy and your your personal philosophy and your

institutioninstitution’’s culture?s culture?


How do other institutions How do other institutions manage these every day manage these every day

challenges?challenges?

WeWe’’ll need your participation. ll need your participation.


Recent Higher Education CrisesRecent Higher Education CrisesHurricane Katrina and September 11 terrorist attacks alerted uniHurricane Katrina and September 11 terrorist attacks alerted university leaders and versity leaders and

governing boards to the danger of both natural and manmade disasgoverning boards to the danger of both natural and manmade disasters. ters.

Crises can damage the reputation and prestige of an institution Crises can damage the reputation and prestige of an institution –– for instance for instance ----

Sports team related scandalsSports team related scandalsAlcohol related deathsAlcohol related deathsWidespread grade tamperingWidespread grade tamperingAlteration of files and student recordsAlteration of files and student recordsComputer hackingComputer hackingEthical breaches by top administrators, faculty and students Ethical breaches by top administrators, faculty and students Fraudulent use of tutors by student athletesFraudulent use of tutors by student athletesTheft of body parts from university medical schools Theft of body parts from university medical schools

and so on.and so on.

““How Prepared are AmericaHow Prepared are America’’s Colleges and Universities for Major Crises?s Colleges and Universities for Major Crises?”” MitroffMitroff, Diamond and , Diamond and AlpaslanAlpaslan, , ChangeChange, , Jan/Feb 2006.Jan/Feb 2006.


What is Ethics?What is Ethics?

Is it Is it determining right from wrong?determining right from wrong?the same as moral values?the same as moral values?the principles of conduct?the principles of conduct?ideal human character?ideal human character?


EthicsEthics

The basic principles of right action.The basic principles of right action.Funk and Funk and WagnallsWagnalls

The discipline dealing with what is good and bad The discipline dealing with what is good and bad and with morality and obligation.and with morality and obligation.

WebsterWebster’’s Dictionarys Dictionary

A set of moral principles or values. The principles A set of moral principles or values. The principles of conduct governing an individual or group.of conduct governing an individual or group.

The American Heritage DictionaryThe American Heritage Dictionary

©© 2007, Kathie Beaty, Bradley University2007, Kathie Beaty, Bradley University

Legislative Change in IllinoisLegislative Change in Illinois

Mandatory Ethics Training under the State Officials Mandatory Ethics Training under the State Officials and Employees Ethics Act (PA 93and Employees Ethics Act (PA 93--0617)0617)

All employees of a state public university or All employees of a state public university or community college in are required to complete community college in are required to complete ethics training on an annual basis. ethics training on an annual basis.

(http://ethics.uillinois.edu/training/Ethics%20Orientation%20for(http://ethics.uillinois.edu/training/Ethics%20Orientation%20for%20U%20U%20of%20I%20Employees040506.pdf)%20of%20I%20Employees040506.pdf)


What About You? What About You?

How good is your understanding of How good is your understanding of ““workplace ethicsworkplace ethics””? ? Do you practice good workplace ethics? Do you practice good workplace ethics? Do you do your job in a way that would earn respect Do you do your job in a way that would earn respect from your employer? from your employer? If every one of your actions and attitudes could be seen If every one of your actions and attitudes could be seen on videotape and played back in front of your employer, on videotape and played back in front of your employer, would you be pleased or embarrassed?would you be pleased or embarrassed?Would your supervisor be proud or disappointed? Or Would your supervisor be proud or disappointed? Or worse yet, would you be fired for some unethical act?worse yet, would you be fired for some unethical act?


Some things to think about while Some things to think about while solving the casessolving the cases

Analyze the consequences.Analyze the consequences.Who will be helped by what you do?Who will be helped by what you do?Who will be harmed?Who will be harmed?What kinds of benefits and harms will there be?What kinds of benefits and harms will there be?

Analyze the actions. Analyze the actions. Consider all the options from different perspectives.Consider all the options from different perspectives.How do the actions measure up against moral principles like How do the actions measure up against moral principles like honesty, fairness, equality, respecting dignity of others, peoplhonesty, fairness, equality, respecting dignity of others, peoplee’’s s rights?rights?Is there a conflict between the rights of different people involIs there a conflict between the rights of different people involved?ved?Which option is least problematic?Which option is least problematic?

Make a decision. Make a decision.


Case # 1 Case # 1 Your transcripts have a great deal of student information, incluYour transcripts have a great deal of student information, including ALL ding ALL

names during attendance, high school graduation year, and birth names during attendance, high school graduation year, and birth year.year.

You have a graduate who is insisting that you produce a transcriYou have a graduate who is insisting that you produce a transcript that pt that removes all names but her maiden name (which is not her current removes all names but her maiden name (which is not her current one), remove the year of her high school graduation, and birth one), remove the year of her high school graduation, and birth year.year. She is concerned about the possibility of age and/or marital She is concerned about the possibility of age and/or marital status discrimination with a prospective employer. status discrimination with a prospective employer.

Her transcript is paper, not electronic, so this is no small tasHer transcript is paper, not electronic, so this is no small task for k for you.you. Each semester on the record shows her name at the time of Each semester on the record shows her name at the time of enrollment.enrollment.

Ethically and practically, what would you/do you do with such a Ethically and practically, what would you/do you do with such a request?request?


Case # 2Case # 2The registrar has discovered that a student who worked in his ofThe registrar has discovered that a student who worked in his office fixed many fice fixed many

of his grades and those of several of his friends. Further compof his grades and those of several of his friends. Further complicating licating things is the fact that the registrarthings is the fact that the registrar’’s student worker has graduated s student worker has graduated –– with with honors.honors.

Some of the students whose grades he changed have also graduatedSome of the students whose grades he changed have also graduated while while others have not. others have not.

Typically, a judicial committee would handle such misconduct casTypically, a judicial committee would handle such misconduct cases. But since es. But since the responsible student is no longer at your institution, it isnthe responsible student is no longer at your institution, it isn’’t clear who t clear who should handle the incident and what should be done.should handle the incident and what should be done.

The guilty studentThe guilty student’’s family has a history of donating to the college. In todays family has a history of donating to the college. In today’’s s litigious environment the incident may bring negative media and litigious environment the incident may bring negative media and legal legal attention to your institution. attention to your institution.

What would you do about the degrees and the honors designations?What would you do about the degrees and the honors designations?


Case # 3Case # 3A international student who attended three semesters at your insA international student who attended three semesters at your institution in the 80's is requesting a titution in the 80's is requesting a

transcript to use as documentation to obtain citizenship. In thtranscript to use as documentation to obtain citizenship. In the heading of his transcript his name e heading of his transcript his name is spelled one way, is spelled one way, ““oonoon..”” Yet, on the body of his transcript for each semester, his nameYet, on the body of his transcript for each semester, his name is is spelled spelled ““un.un.”” He claims the correct spelling of his name is He claims the correct spelling of his name is ““un,un,”” and that his birth date is 1963. His and that his birth date is 1963. His birth date is listed on the transcript as XX/XX/66.birth date is listed on the transcript as XX/XX/66.

You can tell that 1966 on the top of his transcript was altered You can tell that 1966 on the top of his transcript was altered by hand. He is claiming that that was a by hand. He is claiming that that was a mistake made by staff in the mistake made by staff in the ’’8080’’s. He wants you to change the spelling of his name and his birs. He wants you to change the spelling of his name and his birth th year.year.

You ask him to verify the spelling of his name and his DOB by faYou ask him to verify the spelling of his name and his DOB by faxing you that page from his passport. xing you that page from his passport. He states that he cannot do that but offers no explanation. He He states that he cannot do that but offers no explanation. He also states that his passport does also states that his passport does not include his date of birth. You ask for a copy of his birth not include his date of birth. You ask for a copy of his birth certificate. He faxes that to you but certificate. He faxes that to you but you can tell that the year of birth was altered by hand to read you can tell that the year of birth was altered by hand to read 1963.. His name in the passport is 1963.. His name in the passport is ““un.un.”” The very thing he is claiming now The very thing he is claiming now -- and is also in the body of his transcript.and is also in the body of his transcript.

You check with a current student from the same country who findsYou check with a current student from the same country who finds it odd that the birth certificate it odd that the birth certificate seems to have been altered. He suggests that in the seems to have been altered. He suggests that in the ’’6060’’s a hand written birth certificate may s a hand written birth certificate may have been common, but more likely the entire certificate would hhave been common, but more likely the entire certificate would have been hand written or typed ave been hand written or typed but not a combination of the two. You both find it odd that he but not a combination of the two. You both find it odd that he couldn't or wouldn't fax his passport couldn't or wouldn't fax his passport and his claim that it didn't show a date of birth. A lack of a and his claim that it didn't show a date of birth. A lack of a birth date on a passport birth date on a passport -- even from a even from a developing country in the 1980's seems nearly impossible.developing country in the 1980's seems nearly impossible.

You realize that your transcript leaves room for doubt. You havYou realize that your transcript leaves room for doubt. You have no way of determining if a college e no way of determining if a college official in the 80's altered the records or the reasons behind iofficial in the 80's altered the records or the reasons behind it. You have only the opinion of one of t. You have only the opinion of one of your students who happens to be 10 years younger.your students who happens to be 10 years younger.

What do you do? What do you do?

Case # 4Case # 4

One school within the university continues to allow One school within the university continues to allow students to sit in class without being registered. In a students to sit in class without being registered. In a few extreme cases, students have surfaced with few extreme cases, students have surfaced with registration forms and payment for these courses registration forms and payment for these courses years after the semester ended. It seems to be a years after the semester ended. It seems to be a financial situation that keeps these students from financial situation that keeps these students from registering at the proper time. What would you do?registering at the proper time. What would you do?

Is it legal to deny the credits?Is it legal to deny the credits?


Case # 5Case # 5

According to state law persons who have been According to state law persons who have been convicted of a sex crime must reveal the convicted of a sex crime must reveal the conviction to their employer by the tenth day of conviction to their employer by the tenth day of employment. On the tenth day of his employment. On the tenth day of his employment in your office one of your student employment in your office one of your student workers confesses to you, the Registrar, that he workers confesses to you, the Registrar, that he is a convicted sex offender. is a convicted sex offender.

What do you do? What do you do?


Case # 6Case # 6

In October a faculty member tries to turn in grades for four In October a faculty member tries to turn in grades for four students who completed her independent study course students who completed her independent study course during the previous Sduring the previous Summerummer term. Two students have term. Two students have grades of grades of ““IncompleteIncomplete”” on file. Your records reveal that on file. Your records reveal that the other two students were never registered for the the other two students were never registered for the course. What do you do?course. What do you do?

Do you work with the department chair to create an Do you work with the department chair to create an Independent Study course for Independent Study course for FallFall term for the two who term for the two who were not registered? were not registered?

What if the payment/compensation to the faculty What if the payment/compensation to the faculty member for the summer term differs from the regular member for the summer term differs from the regular academic year compensation? academic year compensation?


Case # 7Case # 7You just read in the Chronicle about another serious IT You just read in the Chronicle about another serious IT

security breach at a major college.security breach at a major college. You are at a small You are at a small college, with very limited IT resources.college, with very limited IT resources. You are worried You are worried because you have never seen an IT disaster recovery because you have never seen an IT disaster recovery plan; you are vague about what would happen to your plan; you are vague about what would happen to your student records.student records. You know of local issues that concern You know of local issues that concern you you ---- users often share passwords, any staff person users often share passwords, any staff person can get a user ID to the student system, there is no can get a user ID to the student system, there is no message on the log in screen advising users about message on the log in screen advising users about FERPA restrictions, etc.FERPA restrictions, etc.

What do YOU do? What do YOU do?


Case # 8Case # 8A graduate student requests a medical leave for Spring term whicA graduate student requests a medical leave for Spring term which ends on h ends on

May 14.May 14. You receive the medical leave form on May 9 signed by the You receive the medical leave form on May 9 signed by the Retention Coordinator but documentation from the student and theRetention Coordinator but documentation from the student and thesignature of the student and the university physician are missinsignature of the student and the university physician are missing.g. You do You do not process the withdrawal and he earns Fnot process the withdrawal and he earns F’’s in all of his classes.s in all of his classes.

In October you still do not have the documentation but an adminiIn October you still do not have the documentation but an administrator strator urgently requests that you change all of the Furgently requests that you change all of the F’’s to Ws to W’’s based on the family s based on the family doctordoctor’’s signature on the medical leave request. Usually the universits signature on the medical leave request. Usually the university y physician reviews and approves medical leaves. physician reviews and approves medical leaves.

Two years later the student wants to return to school but his adTwo years later the student wants to return to school but his advisor, the dean visor, the dean of the graduate school, and two former professors doubt that he of the graduate school, and two former professors doubt that he can handle can handle the courses and question whether the Fthe courses and question whether the F’’s should have been changed to s should have been changed to WW’’s.s. If he is readmitted they agree that he should not take a full lIf he is readmitted they agree that he should not take a full load.oad.

What do you do?What do you do?

©© Kathie Beaty, Bradley UniversityKathie Beaty, Bradley University

Ethical LeadershipEthical LeadershipRequires setting standards, Requires setting standards,

Communicating the standards,Communicating the standards,

Teaching employees to perform to the standards,Teaching employees to perform to the standards,

Enforcing the standards, andEnforcing the standards, and

Adhering to the standards personallyAdhering to the standards personally

Dr. John C. Knapp, President of the Southern Dr. John C. Knapp, President of the Southern Institute for Business and Professional EthicsInstitute for Business and Professional Ethics


Top 10 Causes for EmployeesTop 10 Causes for Employees’’Unethical ConductUnethical Conduct

Failure of the organizationFailure of the organization’’s leadership in s leadership in establishing ethical standards and cultureestablishing ethical standards and culturePersonal greedPersonal greedWeakness of personal characterWeakness of personal characterDesire to advance careerDesire to advance careerPressure to meet unrealistic performance Pressure to meet unrealistic performance or financial goalsor financial goals


Top 10 Causes for Employees Unethical Conduct Top 10 Causes for Employees Unethical Conduct (continued)(continued)

Inadequate training and communicationInadequate training and communicationIndifference or low moraleIndifference or low moralePressure to meet deadlines/schedulesPressure to meet deadlines/schedulesNot understanding the companyNot understanding the company’’s ethics s ethics policiespoliciesNot agreeing with the companyNot agreeing with the company’’s ethics s ethics policies policies

Dr. John C. KnappDr. John C. Knapp©© 2007, Kathie Beaty, Bradley University 2007, Kathie Beaty, Bradley University

Three Questions for YouThree Questions for You

How well defined are the ethical standards How well defined are the ethical standards that guide your business conduct?that guide your business conduct?

What steps do you take to apply these What steps do you take to apply these standards in practice?standards in practice?

Does your managementDoes your management’’s conduct match s conduct match its talk?its talk?

Dr. John C. KnappDr. John C. Knapp


Ethics Ethics

““Ethics must be seen to be believed.Ethics must be seen to be believed.””

Jacques Barzun, American historian, Jacques Barzun, American historian, and provost at Columbia University and provost at Columbia University


EthicsEthics

““Ethics is a code of values which guide our Ethics is a code of values which guide our choices and actions and determine the choices and actions and determine the purpose and course of our lives.purpose and course of our lives.””

AynAyn Rand, RussianRand, Russian--American American

novelist and philosopher (1905novelist and philosopher (1905--1982)1982)


What is Your Role? What is Your Role? Be actively involved in being responsible for the accuracy and Be actively involved in being responsible for the accuracy and integrity of academic recordsintegrity of academic records

Provide an institutional example; be a role model in ethical Provide an institutional example; be a role model in ethical dilemmasdilemmas

Train staffTrain staff

Be reflective; stay on your toes and be awareBe reflective; stay on your toes and be aware

Review the alternatives for resolving issues; consider opposing Review the alternatives for resolving issues; consider opposing viewsviews

Consider alternatives in relationship to academic principles as Consider alternatives in relationship to academic principles as well well as other valuesas other values

Check against your own intuitive judgmentCheck against your own intuitive judgment

Manage your office well; be a leaderManage your office well; be a leader


Professional Practices and Ethical Professional Practices and Ethical Standards: AACRAO Members shall:Standards: AACRAO Members shall:

Believe in and be loyal to the philosophy and goals of the Believe in and be loyal to the philosophy and goals of the profession and the institutions we serve.profession and the institutions we serve.

Understand and respect the civil and human rights and Understand and respect the civil and human rights and responsibilities of all individuals while supporting and responsibilities of all individuals while supporting and protecting the principles of due process and protecting the principles of due process and confidentiality. confidentiality.

Adhere to the principles of nondiscrimination and equality Adhere to the principles of nondiscrimination and equality without regard to race, color, creed, gender, sexual without regard to race, color, creed, gender, sexual orientation, age, disability, religion or national origin. orientation, age, disability, religion or national origin.


Professional Practices and Ethical Standards (continued)Professional Practices and Ethical Standards (continued)

Represent an institutional or association perspective Represent an institutional or association perspective without vested interests or personal bias.without vested interests or personal bias.

Initiate policies that support the goals of our profession.Initiate policies that support the goals of our profession.

Assert ourselves when policies or practices are proposed Assert ourselves when policies or practices are proposed that seem to be contrary to the philosophy and goals of that seem to be contrary to the philosophy and goals of our professions and institutions. our professions and institutions.


Professional Practices and Ethical Standards (Continued)Professional Practices and Ethical Standards (Continued)

Participate in and contribute to professional activities and Participate in and contribute to professional activities and their development to ensure effective and efficient their development to ensure effective and efficient management of resources, data and personnel.management of resources, data and personnel.

Communicate an accurate interpretation of our institutionCommunicate an accurate interpretation of our institution’’s s admissions criteria, educational costs, financial aid admissions criteria, educational costs, financial aid availability and major offerings to assist prospective availability and major offerings to assist prospective students and parents in making an informed decision. students and parents in making an informed decision.

Assist in improving educational standards an methods of Assist in improving educational standards an methods of evaluation at the institutional, state, and federal level so evaluation at the institutional, state, and federal level so that grading is meaningful in reflecting the academic that grading is meaningful in reflecting the academic achievement of students. achievement of students.



Understand and appreciate the dynamics of interpersonal Understand and appreciate the dynamics of interpersonal relationships when dealing with students, parents, relationships when dealing with students, parents, faculty, administration, associates and the public.faculty, administration, associates and the public.

Develop and implement effective management systems Develop and implement effective management systems that will ensure integrity, confidentiality, security of that will ensure integrity, confidentiality, security of institutional records and provide an accurate institutional records and provide an accurate interpretation of such information.interpretation of such information.

Dedicate ourselves to the ideals and principles that will Dedicate ourselves to the ideals and principles that will enable students to develop their talents and interests to enable students to develop their talents and interests to become responsible citizens and contributors to the become responsible citizens and contributors to the improvement of society. improvement of society.



Practice honesty and integrity in our professions Practice honesty and integrity in our professions and in our lives. and in our lives.

From the AACRAO Member Guide (2003From the AACRAO Member Guide (2003--2004) page 7. 2004) page 7.


SummarySummaryAs professionals, we must find the balance between policy As professionals, we must find the balance between policy

and service.and service.

AACRAO AACRAO ““Professional Practices and Ethical StandardsProfessional Practices and Ethical Standards””states that we should states that we should ““assert ourselves when policies or assert ourselves when policies or practices are proposed that seem to be contrary to the practices are proposed that seem to be contrary to the philosophy and goals of our professions and our philosophy and goals of our professions and our institutions.institutions.””

We, as professionals, need to support the philosophy and We, as professionals, need to support the philosophy and goals of the institutions we serve with goals of the institutions we serve with ““honesty and honesty and integrity.integrity.””


PresentersPresentersKathie Beaty, RegistrarKathie Beaty, Registrar

Bradley UniversityBradley University1501 W Bradley Ave1501 W Bradley Ave

Peoria, IL 61625Peoria, IL 61625309/677309/677--30983098

[email protected]@bradley.edu

Alan Sims, RegistrarAlan Sims, RegistrarUniversity of the Sciences in PhiladelphiaUniversity of the Sciences in Philadelphia

600 South 43rd Street 600 South 43rd Street Philadelphia, PAPhiladelphia, PA 1910419104--4495 4495

[email protected]@usip.edu

mailto:[email protected]

mailto:[email protected]

Ethics Case Studies for Registrars

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