Case In Point: Lessons for the proactive manager

Volume 16 Number 11 | November 2024

Quotable .....

“ Live so that when your children think of fairness and integrity, they think of you. ”

-- H. Jackson Brown, Jr.

Developing a code of conduct & ethics is considered one of the best practices for organizational compliance and is an integral part of a compliance program. For large research universities, it is also likely a federal requirement to have such a document (depending on your volume of research). This fall AU's Board of Trustees approved a new AU Code of Conduct & Ethics.

A code of conduct is an aspirational document that covers principles and expectations that guide the behavior and actions of all members of our university community. A code of conduct serves as the basis for policies and procedures that promote a safe, honest, and respectful environment for education, teaching, research, outreach, and service.

Specifically, Auburn University's code revolves around three values:

INTEGRITY: We will pursue our work with honesty, professionalism, and ethics that foster trust and accountability.

RESPECT: We will honor the rights and dignity of others and work each day to create an environment where people are welcomed, valued, respected, and engaged.

EXCELLENCE: We will pursue our work with distinction, diligence, and an unwavering commitment to advancing Auburn's mission.

While our code is specific to AU, I think everyone in higher education can agree that integrity, respect, and excellence are values that we should all uphold as we carry out our respective roles. There are numerous risks we will encounter as higher education professionals, and we invite you to review the newsworthy events across the industry this month.

M. Kevin Robinson, CIA, CFE
Vice President
Institutional Compliance & Security
Office of Audit, Compliance & Privacy
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Information Security & Technology Events

Nov 13: AI: At the California Institute of the Arts, it all started with a videoconference between the registrar's office and a nonprofit. One of the nonprofit's representatives had enabled an AI note-taking tool from Read AI. At the end of the meeting, it emailed a summary to all attendees, said Allan Chen, the institute's chief technology officer. They could have a copy of the notes, if they wanted -- they just needed to create their own account. Next thing Chen knew, Read AI's bot had popped up in about a dozen of his meetings over a one-week span. It was in one-on-one check-ins. Project meetings. "Everything." The spread "was very aggressive," recalled Chen, who also serves as vice president for institute technology. And it "took us by surprise." (link)

Nov 04: Data Privacy: As cybersecurity risks increase across industries, colleges - which increasingly depend on apps and software for teaching, learning and operations - remain valuable targets for cybercriminals and data exploitation. For years, cybersecurity experts such as the FBI have been sounding the alarm about the risks surrounding widespread collection of student data and the rapid growth of education technologies. The Federal Communications Commission recently warned that cyberscams are increasingly aimed at college students. Cyber risks increase with the use of apps by students and faculty as well as the growing amount of data collected daily. Another source of risk: Colleges partner with technology companies and learning management systems to run classroom operations, and those ed tech companies store and share students' personal information for what schools deem "educational purposes." (link)

Compliance/Regulatory & Legal Events

Nov 21: First Amendment Lawsuits: At California's community colleges, conservative professors and students are making their voices heard -- not just in the classroom but in court. Their lawsuits have already led community colleges to pay millions in settlements and legal fees. CalMatters identified at least seven cases filed since 2020 in which professors or students have sued their community college districts for issues related to free speech. Most of the cases are still ongoing and are located in California's Central Valley, in counties where Republicans often outnumber Democrats. Although separate, many of these lawsuits include similar allegations: that programs promoting diversity, equity and inclusion are restricting the right to free speech under the First Amendment. The University of California system is facing a similar case in Santa Cruz. (link)

Nov 18: Title IX: New data detailing sexual misconduct on Oregon's college and university campuses shows that students and employees reported few incidents to university officials tasked with investigating them. Fewer cases still were ever formally investigated. Title IX officers at the state's 24 public colleges and universities fielded just over 600 reports of sexual misconduct in the 2023-24 school year. That's fewer than one report for every 300 students. Oregon's private nonprofit colleges reported anywhere from zero to three dozen misconduct cases apiece. Officials say that higher numbers are a sign that students feel comfortable confiding in their universities. (link)

Nov 15: Discrimination Settlement: Hundreds of female faculty members at the University of Colorado Boulder will receive backpay as part of a $4.5 million settlement stemming from a class action gender equity lawsuit. Under the settlement, CU Boulder will pay 386 female faculty members back pay and will agree to conduct follow-up equity reviews every three years. The university also agreed to make wages of current faculty and job applicants available to the public in the future. The suit alleged the discrimination was based on gender in violation of the Colorado Equal Pay for Equal Work Act, passed by Colorado lawmakers in 2019, as well as the Colorado Anti-Discrimination Act and Title VII of the Civil Rights Act. (link)

Nov 14: Title IX & First Amendment Lawsuit: A dozen women have filed a lawsuit against the Mountain West Conference and its commissioner, along with officials at San Jose State University. They allege violations of Title IX and of their First Amendment rights, all stemming from the presence of [a] transgender player on the San Jose State roster, OutKick has learned. The plaintiffs, which include San Jose State co-captain Brooke Slusser and two former Spartans, as well as athletes from four other Mountain West schools, allege the conference adopted a new "Transgender Participation Policy" in an attempt to "chill and suppress the free speech rights of women athletes." The suit, which is seeking emergency injunctive relief ahead of the Mountain West Conference volleyball tournament set to begin in Las Vegas on Nov. 27. (link)

Nov 12: NCAA Compliance: Violations occurred in the Southern California football program when the program exceeded the allowable number of coaches over two academic years, according to an agreement released by the Division I Committee on Infractions. As a result of the violations, the parties also agreed that football head coach Lincoln Riley violated head coach responsibility rules. The school and the enforcement staff agreed that the violations in this case occurred when eight analysts for the football program engaged in on- and off-field coaching activities during spring 2022, fall 2022 and spring 2023, resulting in the football program exceeding the permissible number of countable coaches by six for two academic years. (link)

Nov 09: Title IX: A Title IX complaint filed against the University of Oregon last December got more specific this week when new documents filed by the plaintiffs allege, among other complaints, that a senior Oregon athletics administrator threatened to cancel the 2021 beach volleyball season if players kept complaining about their circumstances. The suit was filed in December 2023 by 32 female student athletes from the university (26 beach volleyball players and six rowers), and alleges that UO has failed to "provide athletic treatment and benefits, financial aid, and participation opportunities to female students that are equal to the unparalleled athletic treatment and benefits, financial aid, and participation opportunities that it provides to male students," according this week's filing. (link)

Nov 08: Employee Conduct: An employee at the University of Oregon is now on administrative leave after posting a video telling Trump supporters to jump off a bridge. [The employee] is the school's fraternity and sorority assistant director. He posted the video on his public Instagram page after the election. He has since removed the video and made his page private, but the video is continuing to make the rounds. "I don't care if we've been friends our entire lives, you can go f--- yourself if you voted for Donald Trump," he said in the video. "If you are so sad about your groceries being expensive, get a f------- better-paying job. Do better in life, get a f------ education, do something, because you are f------ stupid and I hope you go jump off of a f----- bridge." (link)

Nov 03: Title IX: A San Jose State University women's volleyball assistant coach has left the team after reportedly filing a Title IX complaint about the squad's male-to-female transgender player. The university confirmed that Melissa Batie-Smoose, a coach with 20 years of experience who joined the Spartans' athletic department last year, is no longer coaching, but did not say whether she quit or was suspended. She declined to comment on a report in the Australian publication Quillette saying that Batie-Smoose filed a Title IX complaint Tuesday with the university, the Mountain West Conference and the NCAA calling for an investigation into the transgender player situation. (link)

Nov 01: Title VI: A Republican-led investigation into antisemitism on college campuses found that administrators "overwhelmingly failed" to clamp down on students and faculty who engaged in antisemitic behavior following Hamas' attack on Israel last year. The 325-page report released by the US House Education Committee Thursday states college officials made "astounding concessions" to organizers of pro-Palestinian encampments, while withholding support from Jewish students. "For over a year, the American people have watched antisemitic mobs rule over so-called elite universities, but what was happening behind the scenes is arguably worse," Republican Chairwoman Virginia Foxx, who led the investigation, said in a statement. (link)

Campus Life & Safety Events

Nov 20: Vandalism: Several dozen University of Rochester students, faculty and supporters filled a courtroom Wednesday morning for the arraignment of the four UR students charged in connection with hundreds of "wanted" posters found on the campus early last week. [The students] were all charged with second-degree criminal mischief -- a felony, court records state. The four were arrested by UR's Department of Public Safety on Tuesday and were held in the Monroe County Jail to await arraignment. The charges stem from the alleged damage to the walls at UR. Replacement and repair costs for the damaged property exceed $6,000, but the total likely could be more once all bids from vendors are secured, according to the felony complaint. (link)

Nov 18: Hazing: A University of Iowa fraternity has been suspended after police discovered a possible hazing incident involving 56 blindfolded pledges and thrown food. Iowa City and University of Iowa police responded to a fire alarm at the Alpha Delta Phi fraternity house, 703 N. Dubuque St., just before 12:45 a.m., Friday, Nov. 15. Authorities discovered the blindfolded pledges in the fraternity's basement, "with food thrown on them," according to a criminal complaint obtained by the Press-Citizen. The University of Iowa's Office of Student Accountability is investigating the incident and informed the fraternity president that it must "suspend all operations" pending the outcome of the investigation because of "the gravity of the allegations." (link)

Nov 14: Protest Response: UCLA failed to protect students from a protest melee this spring because a "highly chaotic" decision-making process, lack of communication among campus leaders and police, and other shortfalls led to institutional paralysis, according to a University of California independent review released Thursday. The highly anticipated review, conducted by a national law enforcement consulting agency, found myriad failures and breakdowns by UCLA administrators and police after pro-Palestinian students set up a late April encampment, which drew complaints of antisemitic behavior. The encampment came under a violent attack by counterprotesters in early May, fomenting widespread outrage and attention. (link)

Nov 14: Vandalism: The University of Washington president's property was vandalized overnight, the university said Thursday. University spokesperson Victor Balta said in an email Thursday evening that "several masked perpetrators" damaged president Ana Mari Cauce's home and car. Balta said Cauce's car tires were slashed and "pro-Hamas symbols" were painted on her home and car. "Free Palestine" and "blood on your hands" appeared to be spray painted on her property, the most recent escalation after UW administrators reached a contentious agreement with encampment protesters in May. "Making threats against a public official in an attempt to intimidate them is a crime," Balta said in the statement. (link)

Nov 14: Threat: An LSU student has been arrested after, prosecutors say, he made an online threat to kill Louisiana Gov. Jeff Landry, who advocated for bringing a live tiger onto the field as part of a recent college football game. Landry, a Republican, helped revive the school's tradition of wheeling a caged Bengal tiger into the stadium before kickoff for the first time in nearly a decade. Animal rights activists protested outside the stadium. An arrest affidavit says [the student], 21, told state police investigators on Tuesday that he was joking when he posted on social media "I am going to kill you jefflandry," tagging the governor's account on X, media outlets reported. (link)

Nov 10: Shooting: An arrest has been made in connection with the deadly shooting at Tuskegee University in Alabama, which killed an 18-year-old and left at least 16 people injured early Sunday. [A man], 25, of Montgomery, was charged with being in possession of a machine gun, according to authorities, who said he was found leaving the scene of the shooting. The deadly barrage of gunfire erupted around 1:40 a.m. on the Macon County campus as the school's centennial homecoming festivities were winding down, authorities said. La'Tavion Johnson was identified late Sunday night as the teenager who died during the shooting, according to the Macon County Coroner's Office. Police said that 12 people were injured when they were hit by gunfire, while another four were hurt over the course of the incident, some while running from cover. (link)

Nov 08: Racial Issues: Black college students in several states reported to authorities Wednesday they had received anonymous text messages using racist references to the era of U.S. slavery. The messages varied in detail, but followed the same basic script, saying the recipient had "been selected to pick cotton at the nearest plantation." Officials could not say Thursday where the messages originated. The Southern Poverty Law Center, which tracks hate incidents nationwide, and local authorities in Ohio, Alabama, South Carolina and other states were investigating the messages, which were sent out after the announcement of Donald Trump's election. It's unclear who sent the messages and how many were sent. At least some of the messages claimed to have come from "A Trump supporter." (link)

Nov 07: Campus Speech: Texas State University President Kelly Damphousse condemned the actions of two men who came to the San Marcos campus the day after the election with homophobic and misogynistic signs, characterizing their messages as "disgusting." In a letter to the campus community Thursday, Damphousse said he was saddened by the behavior. "While TXST is legally committed to protecting free speech on our campuses, we understand that words can negatively impact members of our community," he wrote. "I condemn the hateful words these two men wrote and spoke while they were on our campus. That kind of hate is not welcome here." The two men were not Texas State students, faculty or staff, Damphousse said. (link)

Nov 07: Hate Crime: Twelve Salisbury University students, including seven associated with a fraternity, have been charged with a hate crime for an alleged brutal attack on a man because of his sexual orientation, according to authorities. Three of the five new suspects have been released with electronic monitoring, according to online records. One of the suspects created an account on Grindr, a dating app, posing as a 16-year-old, to lure the victim to an off-campus apartment where he was attacked and called anti-gay slurs, according to police reports. The attack happened on October 15. Salisbury University said all of the students have been suspended, along with the fraternity Sigma Alpha Epsilon, where some of the suspects were members. (link)

Nov 01: Free Speech: Montclair State University overhauled a policy restricting protest and speech 11 days after it was announced, after criticism that it was "excessive" and "unconstitutional." The policy had been corralling protests and leafletting into one small part of campus and limiting silent activities like holding signs and wearing "symbolic clothing." But even with the revisions announced Tuesday, the policy still runs afoul of the law, laying out new rules on where protesters can stand and confining some activities to the campus amphitheater, according to a free speech watchdog organization. "As a public university, Montclair State is bound by the first amendment, and what we are seeing in this, in all versions of Montclair's revised policy, are repeated violations of free speech rights," said Ross Marchand, program officer for the Foundation for Individual Rights and Expression. (link)

Nov 01: Free Speech: In retrospect, WilmerHale, the law firm that prepared Harvard president Claudine Gay and UPenn president Liz Magill for their congressional testimony last December, appears to have missed the point of the exercise. The success or failure of their clients' performance would not be determined by legal nitpicking; the hearings were always going to be political theater. Trying to stay as close as possible to the language of the law -- technically, that whether speech can be prohibited depends on its "context" -- the presidents refused to make the political statement that the moment required: that if there had been genocidal speech threatening Jewish students, then of course that speech would not have been permitted. (link)

If you have any suggestions, questions or feedback, please e-mail Kevin Robinson at robinmk@auburn.edu or Robert Gottesman at gotterw@auburn.edu. We hope you find this information useful and would appreciate hearing your thoughts. Feel free to forward this email to your direct reports, colleagues, employees or others who might find it of value. Back issues of this newsletter are available on our web site.