Criterion 2 - 2.A.

The institution establishes and follows policies and processes to ensure fair and ethical behavior on the part of its governing board, administration, faculty and staff.

2.A.1.
The institution develops and the governing board adopts the mission.

IU Southeast operates with integrity and has established policies and processes that ensure ethical behavior for its governing board, administration, faculty, and staff. As a regional campus of IU, some policies that guide decision making at IU Southeast are developed locally; others are developed centrally and implemented across IU Campuses.

The Trustees of Indiana University hold authority to ensure fulfillment of the institution's mission. The Trustees’ responsibilities, powers, and procedures are governed by Indiana Law (24-0077). The Trustees operate with autonomy and integrity, meeting its responsibilities for shaping the financial and academic interests of Indiana University (24-0079). Though the Trustees are the legal and final authority for Indiana University, they have delegated authority to the President as the chief officer of the university (24-0078).

The vice presidents of IU oversee departments that are attached to the Office of the President and form the senior operational cabinet of the university. The chancellor of IU Southeast is the chief administrative officer for the campus and reports to the Office of the Vice President for Regional Campuses and Online Education. The Chancellor is supported by a local administrative cabinet of vice chancellors and the IU Southeast Board of Advisors (24-0012).

The Trustees and IU Southeast faculty and staff implement their missions with integrity with the guidance of policies and processes that ensure ethical behavior and responsibility. The Trustees affirm that:

The mission of Indiana University is to provide high quality educational opportunities for men and women throughout the world through a community of scholars actively engaged in teaching, research, and public service (24-0080).

IU Southeast’s mission enacts IU’s core mission on its campus (24-0001):

As a public comprehensive university, IU Southeast provides high-quality programs and services that promote learning and prepare graduates for productive citizenship in a diverse society and contributes to the intellectual, cultural, civic, and economic development of our region. Our faculty engage in research and creative activity that support teaching and learning and create opportunities for students to participate in applied learning. We are committed to constructive engagement in our local and regional community, marshaling our institutional and human capital toward the strengthening of our region as a place to work, build productive lives, and ensure the prosperity of future generations.

Additionally, the Trustees adopted Principles of Ethical Conduct (24-0081) in 2013, which apply to all members of the IU community (including Trustees, administrators, faculty, staff, and both temporary and student employees). All members are expected to show integrity, responsible stewardship, respect and dignity in all expressions of our shared learning environment.

2.A.2.
The institution operates with integrity in its financial, academic, human resources and auxiliary functions.

IU Southeast Administrative Affairs’ core value of integrity is as follows (24-0082):

We are uncompromising in our commitment to doing the right thing and being direct in our dealings. We are good stewards of our resources and take that responsibility seriously, are conscientious in our decision-making, and practice ethical behavior in all we do.

IU Southeast lives up to these words by sharing in the body of policies and procedures of IU, which are maintained in an extensive, publicly accessible online library (24-0083). These govern day-to-day operations of the institution. The process of development and approval of university-wide policies is on the IU website (24-0084).

University policies cover and are organized by the following six areas: Academic, Faculty, and Students; Administration and Operations; Financial; Human Resources; Information and Information Technology (IT); and Research. Descriptions with example policies are provided for each area.

Academic, Faculty, and Students

Indiana University currently has 107 policies within this category, including:

• ACA-02: Authority of the President, Vice Presidents and Chancellors/Provost (24-0078)
• ACA-54: Establishing Campus Admission Policies (24-0085)
• ACA-65: Procedures for Program Reviews (24-0086)

Faculty members are governed by policies outlining ethical and responsible practices. For example, Indiana University policy ACA-33, ‘Academic Appointee Responsibilities and Conduct’, outlines the rights and responsibilities, examples of misconduct, and enforcement procedures for “persons whose service to the University includes teaching, scholarship, librarianship, and academic administration” (24-0087). At IU Southeast, policies and procedures related to faculty members are outlined in the IU Southeast Faculty Manual (24-0088), which describes rights and responsibilities, procedures for promotion and tenure, academic freedom, ethics, and matters of scholarship and instruction.

The IU University Compliance Office ensures individuals throughout the university know and follow laws, regulations, and policies applicable to their roles (24-0089). This office provides training for outlined ‘Compliance Areas’ (24-0090) and assists in the monitoring and reminding of employees who need to stay up to date on necessary training for their ethical responsibilities. These include, among others: FERPA training to ensure student privacy is protected; Conflicts of Interest training (24-0091); and Ensuring data are reported for the Clery Act (24-0092). These examples demonstrate our commitment to ethical standards and compliance.

The IU Southeast Faculty Senate, as outlined in its Constitution and By-Laws (24-0093), is the representative body that, along with administration, is charged with:

exercising the legislative authority granted to the faculty by the Board of Trustees of Indiana University, making recommendations, sharing in the initiation of policies, and participating in the decision-making process

The Faculty Senate is responsible for defining and reviewing the goals of the university; setting requirements for degrees and determining when those requirements have been met; authorizing the granting of degrees; recommending priorities of educational programs; and establishing guidelines for student admissions, academic probation, student conduct, and related student affairs. A formal committee structure assists the Faculty Senate with its responsibilities (for charges, please see: 24-0093, pp.15-21). In 2023, the Faculty Senate Committee Chair retreat reviewed recent accomplishments and planned goals for 2023-2024 academic year (24-0516).

The rights and responsibilities of students are outlined in the Code of Student Rights, Responsibilities, and Conduct and are easily accessed via the Dean of Student Life website (24-0094). These procedures are posted online and include resources like a grievance form, a way to report incidents of concern, and a summary flow chart. Additionally, there are handbooks outlining the rights and responsibilities of student organizations, athletes, and students living on campus.

Our Campus Life office secured a grant from the U.S. Department of Justice Office of Violence against women which allows our judicial conduct hearing commission members, staff and students to fund a staff program coordinator and trainer education to provide prevention and education programs on our campus. The grant provided funding and curriculum for regular training sessions per semester. Topics that have been covered include addressing bias, fundamentals of interview questions, alternative dispute resolution, Title IX in a nutshell, and Green Dot bystander skill building (see progress report for additional detail: 24-0519).

Administration and Operations

Forty-three policies relate to the administrative and operational functions of the university, which provide guidance for a wide range of actions. For example:

• GR-01: Contact with State Officials, Federal Officials, and Political Campaigns, and other Political Activities (24-0095)
• UA-01: Non-Discrimination/Equal Opportunity/Affirmative Action (24-0096)

Administration collaborates with faculty and staff on matters affecting the academic mission. In spring 2023, IU Southeast employed 183 full-time and 202 part-time faculty, as well as 189 clerical, technical, service maintenance, and professional staff. Faculty have authority per ACA-04, ‘Constitution of the Indiana University Faculty’ (24-0159), in areas including curriculum, admissions, student conduct, academic performance, standards and procedures for faculty appointments and advancement, and the organization and reorganization of academic programs and units (24-0093). For example, in April 2023, the faculty senate approved Institutional Learning Outcomes for Graduate Students (24-0504). In addition, most meeting notes contain an Academic Policies Committee section which describes the changes to degree programs being proposed (e.g., see compiled list of minutes: 24-0495). Faculty Senators vote to approve or disapprove the changes.

IU Southeast appoints six faculty members as academic Deans to oversee faculty hiring, evaluation, course scheduling, and other business unique to their respective schools (24-0097). Faculty are also assigned program coordinator responsibilities; most receive one course release per academic year to manage course coordination, assessment, and program development (for details, please see: 24-0088, p.9). Typically, faculty are assigned to lead assessment for their area. Non-academic units have directors and coordinators who report to administration in their respective areas (24-0098).

Financial

Currently 104 policies related to the financial dealings of the university exist, including:

• FIN-ACC-30: Fiscal Misconduct (24-0099)
• FIN-ACC-50: Hospitality Expenditures (24-0100)
• FIN-PURCH-09: Purchasing Ethics (24-0101)

IU Southeast is committed to fiscal integrity and transparency. The Vice Chancellor for Administration and Finance (VCAF) exercises executive and administrative direction over the campus’ financial and selected administrative operational programs, development and monitoring of campus budgets, and coordination of capital construction, repairs and renovations, management of land acquisitions, operation and maintenance of facilities, grounds, and campus infrastructure. This position reports directly to the Chancellor. This Vice Chancellor establishes policies and procedures for the fiscal and operational necessities of the campus, including Financial Management, Personnel, Student Services, Information Technology, External Affairs, Facilities & Safety, and other pertinent campus operations; these can be found online in the Administrative Affairs Policies and Procedures Manual (24-0102).

The campus is audited internally and externally. IU and its campuses are audited annually. Prior to 2018, IU was audited by the Indiana State Board of Accounts (SBoA). In 2018, SBoA outsourced its Single Audit, and, in 2021, the State Examiner requested that IU outsource the Financial Statement audit. In 2021, IU issued an RFP and selected Plante Moran, PLLC as the external Financial Statement auditor. The auditor may test certain components of the financial statements for all campuses and may require an on-campus visit to look at specific areas (e.g., capital assets or cash on hand). The audited financial statements for the University include all of IU Southeast’s financial transactions and accounts. Consolidated annual financial reports dating back to 2001-2002 (with audit opinion letters) are posted online (for an example, please see 2021-2022 report: 24-0103; for a list of available reports, please see: 24-0104). As of the writing of this document, the 2022-2023 fiscal-year audit is still underway.

The VCAF oversees the following departments: Accounting Services, Human Resources, Facility Operations, and Conference and Dining services. This Vice Chancellor is also a liaison with the bookstore which is outsourced to Follett, and the campus police, who are centrally managed by IU.

Human Resources

Indiana University houses 104 Human Resources policies that govern personnel matters for staff and temporary employees, as well as certain benefits for all employees, including:

• HR-05-20: Family and Medical Leave Act (FMLA) Rights (24-0105)
• HR-09-40: Problem-Grievance Resolution for Support Staff (24-0106)
• UA-03: Discrimination, Harassment, and Sexual Misconduct (24-0107)

IU Southeast provides employment resources outlining the rights, responsibilities, and policies pertaining to non-academic staff (24-0108). IU Southeast Human Resources has developed a Canvas site which orients all employees to IU Policies and the IU Principles of Ethical Conduct (24-0081). IU Southeast staff, as part of the Indiana University System, can also make use of IU Human Resources, which provides university-wide services (24-0109).

Information and Information Technology (IT)

Sixteen policies have been developed to address information and information technology needs. These include:

• IT-01: Appropriate Use of Information Technology Resources (24-0110)
• IT–28: Cyber Risk Mitigation Responsibilities (24-0111)

The local University Information Technology Services (UITS) team has applied a combination of user communication, training, physical protection of network assets, and technological tools to ensure digital security. Regular email communications about phishing, mobile device security, and data storage are sent to faculty and staff (e.g., 24-0112). IU Southeast participated in a phishing training program to keep phishing top-of-mind, and the latest Microsoft Outlook version flags external emails and pre-checks links and attachments to ensure integrity. UITS Support Services helps faculty and staff determine an appropriately secure storage option for the kinds of data they are saving. Our servers are regularly scanned and firewalled. Most are in IU’s Data Center, rather than being located on campus, and those physically placed here are behind key card security. The Office of Compliance requires all who have access to institutional data to complete data security training (e.g., 24-0517, p. 6).

Diversity and Inclusion

IU Southeast places high value on diversity, equity and global awareness (24-0060; 24-0113). IU Southeast’s Diversity & Inclusivity Coordinator facilitates communication among faculty on matters of diversity and inclusiveness. They work with the Director of Staff Diversity and Equity coordinator, and the Chancellor’s Advisory Council on Diversity to ensure that equity and diversity education and processes are considered at IU Southeast. All members of the IU Southeast community are made aware of the campus’ diversity and equity goals and their vital role in achieving them. Our Diversity plans are present on our website (24-0518). All schools have developed diversity statements (24-0114; 24-0115; 24-0116; 24-0117; 24-0118; 24-0019), and a new Diversity statement (24-0001) was adopted in 2021 by Faculty Senate to bolster the diversity focus of our Strategic Plan.

Diversity is emphasized during hiring decisions, which can be read in detail in the Faculty-Staff Recruitment & Search Guide (24-0120), created and distributed by the Office of Equity & Diversity. All new faculty hires receive diversity training, which was added to the faculty orientation in 2020. Training on implicit bias in hiring was developed in 2022; as of April 2023, faculty in all the university’s academic units have been trained. Updates, including requiring search committee members to compete implicit bias training and creating a diversity advocate pool, place diversity at the forefront of search processes and hiring of faculty and staff.

The President of IU has created a $30 million dollar fund to accelerate efforts to hire a more diverse community of faculty. This funding allowed IU Southeast’s nursing department to hire a diverse new faculty in 2022 (24-0121). Faculty and staff can participate in a Diversity, Equity, and Inclusion Leadership Certificate program (24-0122) or attend programming aimed at enhancing diversity, equity and inclusion (e.g., 24-0520; 24-0521).