Concordia University St. Paul DigitalCommons@CSP Concordia University Portland Graduate CUP Ed. Dissertations Research Winter 11-22-2019 Duty of Care and Risk Management for Institutions of Higher Education Jorge de la Torre Concordia University - Portland, jorgedlt1@yahoo.com Follow this and additional works at: https://digitalcommons.edu/cup_commons_grad_edd Part of the Community College Leadership Commons, and the Educational Leadership Commons Recommended Citation de la Torre, J. Duty of Care and Risk Management for Institutions of Higher Education (Thesis, Concordia University, St.
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Concordia University - Portland CU Commons Ed. Dissertations Graduate Theses & Dissertations Winter 11-22-2019 Duty of Care and Risk Management for Institutions of Higher Education Jorge de la Torre Concordia University - Portland Follow this and additional works at: https://commons.edu/edudissertations Part of the Community College Leadership Commons, and the Educational Leadership Commons CU Commons Citation de la Torre, Jorge, "Duty of Care and Risk Management for Institutions of Higher Education" (2019).edu/edudissertations/418 This Open Access Dissertation is brought to you for free and open access by the Graduate Theses & Dissertations at CU Commons. It has been accepted for inclusion in Ed. Dissertations by an authorized administrator of CU Commons.
For more information, please contact libraryadmin@cu-portland. Concordia University–Portland College of Education Doctorate of Education Program WE, THE UNDERSIGNED MEMBERS OF THE DISSERTATION COMMITTEE CERTIFY THAT WE HAVE READ AND APPROVE THE DISSERTATION OF Jorge de la Torre CANDIDATE FOR THE DEGREE OF DOCTOR OF EDUCATION Bill Boozang, Ph., Faculty Chair Dissertation Committee Michael Butcher, Ph., Faculty Content Specialist Matthew Basham, Ph., Faculty Content Reader Duty of Care and Risk Management for Institutions of Higher Education Jorge de la Torre Concordia University–Portland College of Education Dissertation submitted to the Faculty of the College of Education in partial fulfillment of the requirements for the degree of Doctor of Education in Administrative Leadership Bill Boozang, Ph., Faculty Chair Dissertation Committee Michael Butcher, Ph., Faculty Content Specialist Matthew Basham, Ph., Faculty Content Reader Concordia University–Portland 2020 Abstract Institutions of Higher Education (IHE) authority has evolved from nearly absolute power in the hands of colleges and universities to an approach more focused on individual students and their rights. Yet, while college authority over campus life and student conduct has diminished, the duty of care required in the form of additional student affairs services has increased. The history of the complicated relationship between students and IHE starts with the concept “in loco parentis,” which is Latin for “in place of parents.” A lack of proper and continued risk assessment and a lack of effective and manageable policies and procedures assessment in relation to duty of care can lead to lawsuits, court-mandated change, and worse—student harm.
Given the complexities and the challenges of managing today’s higher education institutions, leaders must be willing to adopt new leadership practices to be able to respond to a quick- changing environment to preserve internal decision-making and avoiding the dictation of policy by external entities. The study will utilize a qualitative research method to examine the experiences of nine community college leaders in the state of Washington. A main theme that emerged was shifting campus cultures and demographics that necessitates thorough evaluation of IHR policies and procedures. The participants provided insight and recommendations for institutional alignment with current law, trends, and best practices.
Keywords: higher education, in loco parentis, student affairs, duty of care, risk, conduct, campus events, assessment ii Dedication I dedicate this thesis to my children: Rachel, Desi, and Julia (Juju). Dad spent too much time on his computer instead of interacting with you. I hope that the years spent working on papers and doing research pays dividends for the family. I also hope that you are proud of your dad.
iii Acknowledgments The journey of finishing my doctorate would not have been possible without the help and support and many people. First, I need to thank Daniel Johnson. He was my supervisor for two years and took an interest in my educational and professional journey. He suggested the Concordia University Doctorate in Education program to me, and we went on this very long road together.
I am proud to call Dr. Johnson, my mentor and my friend. Also, thank you to my mother for being encouraging and supporting my leap into higher, higher, higher education. My sincere gratitude to Dr.
William Boozang, my dissertation chair, for his positive attitude, great advice, and patience throughout this process. To committee members, Dr. Michael Butcher and Dr. Matthew Basham, your support and critical assessments were essential to my success.
Sorry to all three for the terrible drafts you had to read! A big thank you to everyone who agreed to an interview. I appreciate your insights. It is very rewarding to know there are so many good people out there truly dedicated to college students. iv Table of Contents Abstract.
iv List of Tables. viii Chapter 1: Introduction. 1 Background, Context, and History of the Problem. 2 Conceptual Framework of the Problem.
6 Statement of the Problem. 7 Purpose of the Study. 9 Rationale, Relevance, and Significance of the Study. 10 Definition of Terms.
11 Assumptions, Limitations, and Delimitations. 15 Chapter 2: Literature Review. 18 Review of Research Literature and Methodological Literature. 22 Review of Methodological Issues.
45 Synthesis of Research Findings. 47 Critique of Previous Research. 57 Purpose and Design of the Study. 57 Research Population and Sampling Method.
65 Identification of Attributes. 67 Data Analysis Procedures. 67 Validation, Credibility, and Dependability. 72 Chapter 4: Data Analysis and Results.
74 Description of the Sample. 77 Description of Participants. 79 Research Methodology and Analysis. 92 vi Summary of the Findings.
92 Issues and Limitations. 106 Chapter 5: Discussion and Conclusion. 108 Summary of the Results. 108 Discussion of the Results.
109 Discussion of the Results in Relation to the Literature. 115 Implication of the Results for Practice, Policy, and Theory. 116 Recommendations for Further Research. 122 Appendix A: Interview Questions.
141 Appendix B: Creswell’s Eight Steps for Coding. 142 Appendix C: Statement of Original Work. 143 vii List of Tables Table 1. Collapsed Keywords: First Round.
Collapsed Keywords: Second Round. Categories to Main Themes. 90 viii Chapter 1: Introduction Introduction to the Problem Institutions of higher education (IHE) range from enormous public universities to small, private liberal arts colleges to 2-year community and technical colleges. They are home to hundreds, thousands, and even tens of thousands of people.
IHE are responsible for dozens of services, from mental health counselors to coffee stands, and they put on hundreds of events annually, from dances and visiting lectures. Colleges and universities are also a traditional area of protest and activism. IHE “operate utilities, provide police protection, maintain housing ranging from faculty houses to high-rise student dormitories and apartments, care for miles of streets and walkways, offer media communications, and run dining facilities” (Klinksiek, 2016, para. All of these services and amenities are essential to the core mission of educating the next generation.
Higher education activities are now subject to an increasing level of examination and review (Brewer & Walker, 2010). With many components to manage, a reactive risk assessment approach can lead to negative outcomes (Deck, 2015). Aligned with this need for preventative risk assessment, the focus in the study is on understanding IHE leaders’ best practices for institutional duty of care and the application of the law for risk management. Following an extensive literature review, which addresses institutional responsibility and ensuring compliance with current law across the country, the study includes interviews with administrators in the Washington State community and technical college system, as well as risk management professionals familiar with the local college system who have demonstrated expertise of IHE policies in developing practical risk management strategies at IHE.
There is a need to investigate student affairs professionals’ best practices further to preserve internal decision-making and to 1 ensure that external entities, such as the courts, do not dictate policy (Reid, 2016). Although the interview sample is from the state of Washington, the significance of this research may be relevant nationwide and in any higher education setting as it will identify IHE responsibilities and provide a framework to transform institutional culture. Background, Context, and History of the Problem IHE authority has evolved from almost absolute power in the hands of colleges and universities to an approach more focused on individual students and their rights. Yet, while college authority over campus life and student conduct has diminished, the level, or duty of care required in the form of additional student affairs services has increased.
The history of the complicated relationship between students and IHE starts with the concept “in loco parentis,” which is Latin for “in place of parents.” This ideal was and still is, interpreted as the guardianship qualities of a parent, including being supportive, protective, and executing discipline (Stuart, 2010). In Loco Parentis and Student Affairs In loco parentis stems from British and American common law. In 1765, William Blackstone, a British legal scholar, wrote that a parent “may delegate part of his parental authority. to the tutor or schoolmaster of his child; who is then in loco parentis” (Hogan & Schwartz, 2007, p.
260) Colonial colleges were often poorly staffed; faculty, therefore, not only taught in the classroom but also lived on campus and supervised students in the dormitories and dining halls. Faculty also developed early student affairs rules and regulations that governed students’ behavior, conduct, and dress, and they enforced college rules and expectations even when students were not on the college premises (Long, D. By the mid-1800s, extracurricular activities such as athletic teams, campus publications, and clubs were founded by 2 students, radically transforming campus life. Another change came from the influence of European universities where faculty was exclusively responsible for the “training of the intellect” (Long, D.
The faculty’s focus eventually moved away from campus life to research and in developing specific disciplines (Long, D. To manage conduct and to resolve other student issues, college presidents started appointing deans of men and deans of women, the first primarily student affairs professionals (Green, 2018). A prominent early administrator was LeBaron Russell Briggs, who served as first dean “for students” at all-male Harvard from 1890 to 1930; though Marianne Dascombe, who became principal of Oberlin College’s Female Department in 1834, could be considered the first student affairs professional (Hevel, 2015). Deans of men and women became common shortly after the turn of the century.
Eighty percent of institutions surveyed in 1911 employed a dean of women (Hevel, 2015). The position of the dean of men also became more frequent, primarily because of the success of the deans of women (Schmit, 2016). These early student affairs specialists often lived in dorms and served as a surrogate parental figure, taking responsibility for the actions of students in their care (Love, 2003). Over time, dean responsibilities grew to include housing, dining, fraternities and sororities, support services, event programming, health care, counseling, and campus jobs for students (Green, 2018).
Student affairs staffing grew to meet increasing duties and expectations. The establishment of women’s colleges and historically Black institutions in the late 19th century expanded higher education to groups other than White males. Legislation, including the Morrill Land Grant Acts of 1862 and 1890 (states with racially segregated public higher education systems were to provide access for Black students) and Servicemen’s Readjustment Act of 1944 (G. Bill), allowed new populations access to higher education.
Student affairs programs and services expanded accordingly, notably in the 20th century (U. Department of 3 Education, 1991). An increased need for student affairs professionals prompted a discipline of study.