Leadership Exchange - Spring 2008

Public institutions are
held to increasingly
high standards of
responsibility and
stewardship.

• Administrators would be well-advised to become familiar with the retention schedules for institutional records or to create such schedules if necessary. The schedules formalize the length of time a college must retain various kinds of records. Many states prescribe retention schedules for schools and public agencies in general. If investigators ask to see a record that no longer exists, officials should be able to reply that the record was destroyed pursuant to an established retention schedule.

Public institutions are held to increasingly high standards of responsibility and stewardship. College policies should mirror these values by promoting honesty and transparency in operations. This is more than just the right thing to do; media reports of unethical conduct by college officials frequently spark the interest of criminal investigators.

For example, are there policies that define standards for accepting gifts and entertainment? Are expenditures of resources limited to institutional needs and prohibited from amounting to an improper gift? Do conflict of interest restrictions and other accountability measures go far enough to protect institutional assets? A culture that fosters proper stewardship may discourage behavior that will attract the attention of government prosecutors.

Responding to Prosecutors

Despite its best efforts, a college still may find itself the target of a criminal investigation. In virtually every case, the best institutional response will be conspicuous and full cooperation with prosecutors. This is advisable for several reasons. First, community stakeholders expect nothing less. Moreover, a prosecutor’s subpoena power is generally sweeping. Any conduct that delays or limits law enforcement’s access to individual records will be futile and may even violate laws against hindering prosecutions.

One would hope that prosecutors will come to realize that the typical college is not teeming with criminal masterminds, but rather is guided by talented professionals passionate for scholarship and student success. The most sinister thing we likely have in common with Tony Soprano is a healthy appetite for baked ziti.