Professional Conduct and Communications--Section I
Administrative Explanations and Procedures

PROFESSIONAL CONDUCT
Code of Academic Ethics
Code of Student Ethics
Enhanced Understanding of Cultural Diversity
Student Records
Political Activities
Policy on Contacts with External Agencies
Use of I.U. Assembly Ground
Transportation and Parking

COMMUNICATION
Faculty Summary Report
Sample Report Form
School/Division Annual Report
Other Mechanisms of Communication
Campus Mail
Use of Mailing Lists
Bulletin for Academic Appointees
Bloomington Campus Academic Mail Lists
Indiana University “Whistleblower” Policy

DOCUMENTS
Explanations and procedures in this section are based on
the following official documents located at the end of this Section.

Code of Academic Ethics DOCUMENT I-I
Code of Student Ethics DOCUMENT I-II.
Enhanced Understanding of Cultural Diversity DOCUMENT I-III
Political Activities of Academic Personnel DOCUMENT I-IV
Conflict of Interest DOCUMENT I-V
Patent Policy DOCUMENT I-VI
Use of Human Subjects DOCUMENT I-VII
Animal Use and Care DOCUMENT I-VIII
Faculty Mailing Lists DOCUMENT I-IX
Transportation and Parking DOCUMENT I-X
Technology Transfer DOCUMENT I-XI
Intellectual Property Principles DOCUMENT I-XII
Research Misconduct DOCUMENT I-XIII
Transportation and Parking Improvements DOCUMENT I-XIV
Intellectual Property Policy DOCUMENT I-XV
Fair Use of Copyrighted Works for Education and Research DOCUMENT I-XVI
Statement of Civility DOCUMENT I-XVII

Professional Conduct and Communication--Section I

Academic appointees have additional responsibilities which are described in this section. These responsibilities include those established by the Faculty Council and approved by the Trustees of Indiana University which are identified in the Code of Academic Ethics, the Code of Student Ethics, the policy on political activities by University Employees, and the AAUP/ACE statement on conflict of interest situations in government-sponsored work. Additionally, there are areas in which faculty committees and/or administrators have identified faculty responsibilities. These include policies on protection of the rights of human subjects, proper care of laboratory animals, and contacts with external foundations, state and federal agencies.

CODE OF ACADEMIC ETHICS

The Code of Academic Ethics contains two major sections. The first section includes a general statement about the rights and responsibilities of scholarship, teaching, librarianship, relations with colleagues, relations to the University, and relations to the community. This section also contains an enumeration of specific responsibilities related to teaching, librarianship, and University citizenship. The second section describes enforcement procedures. All academic appointees should be familiar with the Code of Academic Ethics. It is reprinted as DOCUMENT I-I.

CODE OF STUDENT ETHICS

The Code of Student Ethics (updated as Indiana University Code of Student Rights, Responsibilities, and Conduct and approved by the Trustees on 12/13/96) describes detailed rights and responsibilities of students, defines student and faculty misconduct, and stipulates complaint procedures. The Code is too lengthy to reproduce in this document. It is available from the Office of the Dean of Students.

ENHANCED UNDERSTANDING OF CULTURAL DIVERSITY

Given the manifest problems of society which have racial, ethnic, and gender discrimination at their base, it was considered essential for the Bloomington campus of Indiana University to have a strategy, including programs appropriate for various categories of people and issues, and deal with problems which arise in that context. Upon recommendation of the Educational Policies Committee, BFC action in March, 1990 established a group of requirements. (See DOCUMENT I-III.)

Programs are to be conducted which are targeted at all incoming students, each degree-granting unit shall have a cultural diversity degree requirement, a program is to be conducted for all faculty and librarians and repeated annually for new appointees, and programs are to be conducted which are targeted at all new Associate Instructors.

STUDENT RECORDS

Policies have been implemented to provide access to both student records, (see DOCUMENT H-XXX) and academic employee records. (See DOCUMENT A-XVI.)

POLITICAL ACTIVITIES

The Faculty Council action concerning political activities of Faculty members states that:
"The University recognizes the right of academic appointees to engage in political activities beyond those normally entailed in voting and participating in routine community, state, and national programs, provided that the participation does not prevent the full discharge of the faculty member's academic responsibilities."

It further provides that 1) should the activity prevent full discharge of academic obligations, the appointee will be asked to request a leave without pay, 2) such activities should be reported to the chairperson, school dean and the Dean of the Faculties, and 3) should a disagreement arise between an appointee and an administrator, the appointee may appeal to the Faculty Board of Review, which shall make a final decision. (See DOCUMENT I-IV.)

POLICY ON CONTACTS WITH EXTERNAL AGENCIES

The Vice President for University Relations has established guidelines for contacts with governmental officials, agencies, foundations, etc., at the Federal and state levels (see following page). The purpose of the policy is to coordinate the contacts made to these groups and to keep administrative officials of Indiana University informed. Personal and professional contacts with the groups, in person or in writing, should be done in the name of the person or professional group and should not make reference to Indiana University.

The University may take an official stand with an external agency; this stand must be approved by the Vice President for University Relations. Most official University positions are presented by administrative officials of the University.

USE OF IU ASSEMBLY GROUND

A committee appointed by the Dean of Students has developed guidelines for the use of the area designated by the Trustees of Indiana University as an assembly ground.

TRANSPORTATION AND PARKING

The BFC requested, in 1992, that a Director of Parking and Transportation be appointed to develop an integrated approach to parking and transportation. Proposals for specific actions are to be made with the advice of the BFC, student government, and staff governance through an advisory board. (See DOCUMENTS I-X and I-XIV.)

OTHER POLICIES

Academic appointees, especially those involved in conducting research, should be aware of the University's policies regarding the following:
Conflict of Interest
Patents
Technology Transfer
Intellectual Property
Human Subjects
Animal Use and Care
Research Misconduct
Fair Use of Copyrighted Works

The complete policies are contained in DOCUMENTS I-V, I-VI, I-VII, I-VIII, I-XI, I-XII, I-XIII, and XVI.

Contacts with Federal and State Elected Officials, Agencies, and Foundations

Guidelines for contacts with governmental officials, agencies, foundations, etc., at the federal and state levels have been established (see below) to coordinate our communications with these groups and to keep IU administrative officials informed. Personal and professional contacts with governmental groups, in person or in writing, should be done in the name of the individual or professional group, and should not make reference to Indiana University.

If the University takes an institutional position on an issue with an external agency or foundation, this must be approved by the Vice President for Research, any positions expressed to elected officials must be approved by the Vice President for Public Affairs and Government Relations. Most official University positions are presented by administrative officers of the university.

Policy on Contacts with Federal and State Elected Officials, Agencies, and Foundations

Purpose. The purpose of this policy is to coordinate contracts with governmental officials, agencies, and foundations, and to keep the President of the university and other chief administrative officers informed of such contacts. Federal guidelines on legislative contacts and lobbying procedures for persons who have been awarded federal grants are available in Contact and Grants Administration Important Notice 95-10. Each member of the IU community (faculty, staff, and students) should at all times seek to distinguish between personal interests (including those involving professional societies and other organizations) and the university's interests. On occasions when duties as an official member of the university community call upon one to contact governmental officials, agencies or private external agencies such as foundations, the following procedures are designed to aid the individual and the university to present more effectively an authorized, accurate, and persuasive presentation. these procedures also will serve to distinguish between essentially personal presentations and office university presentations.

Personal and Professional Contacts. Personal and professional contacts with elected officials or government agencies, whether in person or in writing, should be done in the name of the individual or the professional society. Indiana University letterhead should not be used, and any reference to affiliation with the University should be made only as an aid to identify the office. It should be made clear that the request is not being made on behalf of the university.

Official Contacts. When it appears that the university should take some stand with respect to legislation or other matters at the federal, state, or local level, the Vice President for Public Affairs and Government Relations should be consulted.

When, as a representative of the university, a person wishes to make appearances before legislative assemblies to request political support, or to issue invitations to elected officials or agency or foundations officers to make officials visits to the University, such actions should receive prior authorization through the following procedures:

1. Appearance before federal, state, or local bodies should receive prior approval from the Vice President for Public Affairs and Government Relations or the Vice President for Research. When University employees appear before such bodies as representatives of other agencies, such as professional societies, it is requested that they notify the Vice President for Public Affairs and Government Relations prior to the date of the appearance.
   
2. To be effective, a request to a public official for support of grant proposals and other university interests requires knowledge of existing and/or past relationships between the university the official or the relevant granting agency. In order to present requests at the federal and state levels most effectively, they should be coordinated through the Vice President for Public Affairs and Government Relations or the Vice President for Research
   
3. Although it is useful for officials to receive certain university publication and periodicals, sending voluminous materials to them may deflect their attention from relevant publications. Therefore, the distribution of materials to officials should be cleared with the Vice President for Public Affairs and Government Relations and/or the Vice President for Research. On occasion, they may be able to underscore to the recipient the importance of the material.
   
4. The University welcomes visits by elected officials, whether they visit as private citizens or in their capacities as government officials. Invitations to elected officials to visit any campus of the university in their official capacity are to be approved in advance by the campus chancellor, who will inform the proper system administrators.
   
5. Responses to requests for information, reports, and statistics from federal, government officials should be coordinated through the Vice President for Public Affairs and Government Relations with the Vice President for Research.
   
6. After contacts or visits have been made with federal, state, or local officials by a person on behalf of Indiana University, a report on the outcome should be made to the Vice President for Public Affairs and Government Relations.

POLICY FOR THE USE OF INDIANA UNIVERSITY ASSEMBLY GROUND

The following principles shall apply with respect to the use of the Assembly Ground in Dunn Meadow.

1. Basic Principle:
   The Trustees of Indiana University have designated the area immediately north of the Indiana Memorial Union as an assembly ground, establishing this area as a public forum for expression on all subjects. We support this decision by the Trustees and believe it serves the University well. Universities in our civilization are places where dissenting and controversial views can be aired and discussed. This exchange of views is not merely something to be tolerated; it is a source of diversity and strength for our society as a whole. Of course this right of expression is not a license to violate the law or to interfere with the rights of others to express themselves. Of course when a demonstration becomes violent or represses the rights of others, it has no place on a university campus. But the mere fact that some find a demonstration distasteful is no more reason to ban it than to ban an idea the listener finds distasteful. We have reviewed the history of demonstrations in the Assembly Ground. Many of us as individuals disagree with the points of view which have been expressed there. Many of us who agree with the substantive views expressed in individual demonstrations have found the form of their expression sometimes distasteful, or worse. Taken as a whole, however, this history shows us a lively and vigorous commitment to the exploration of matters of public concern: the vigor of that commitment is to us one of the measures of greatness in a university.
   
2. Specific Guidelines:
   We therefore recommend the following guidelines for the use of the Assembly Ground:
   

A. The Trustees of Indiana University have designated an area on Dunn Meadow immediately north of the Indiana Memorial Union as the Indiana University Assembly Ground. The University community supports that decision and the policy that students, staff and faculty of the University may express any point of view on any subject in the Assembly Ground, with or without advance notice, within the limits of applicable laws and regulations. This decision enhances the rights of free speech and assembly and contributes to the University's richness and diversity. The University community therefore expects that all will respect the right of expression in the Assembly Ground and will maintain courtesy and good order during the use of the Assembly Ground.

B. Effective communication sometimes requires the use of signs, symbols or structures, as well as the spoken or printed word. We recognize the use of these signs, symbols or structures as an appropriate exercise of the right of expression in the Assembly Ground and call upon all to respect these forms of expression.

The construction of enduring signs, symbols or structures in the Assembly Ground may enhance the effective communication of a particular idea or point of view. We also recognize that the erection of permanent structures in the Assembly Ground has at least the potential of limiting the use of the Assembly Ground by others and may also present practical problems entirely unrelated to the point of view or idea being expressed. To enhance the effective use of the Assembly Ground, we believe the following rules should be adopted.

1. The use of signs, symbols or structures in the Assembly Ground may be an effective form of expression.
   
2. Any sign, symbol or structure which is either (a) continually carried or (b) taken away from 11:00 P.M. until 6:00 A.M., may be used in the Assembly Ground, day or night, to express any point of view on any subject, with or without advance notice, within the limits of applicable laws or regulations.
   
3. Leaving an uncarried sign, symbol or structure on the Assembly Ground between 11:00 P.M. and 6:00 A.M. requires advance notice and permission. This permission should be granted without regard to the point of view or the idea being expressed. The Chancellor of the Bloomington campus should designate an official who is responsible for receiving notice and giving permission. Permission should be granted provided there are reasonable arrangements for safety, sanitation, and repair of any damage to the meadow. Permission must never be refused because the demonstration is controversial or might be unpopular. Permission should ordinarily be limited to a period of two weeks; permission should be renewed on request unless there are others requesting permission under this section. We do not believe that overnight camping is itself a form of expression and we therefore believe that permission should not be granted to cook or live in overnight structures.

C. We believe the Bloomington Chancellor should create a committee to oversee the implementation of these provisions, to give continuing advice on changes of policy, and to provide, if necessary, more detailed regulations than those in the previous paragraph. That committee should also have the power to review denials of permission for uncarried overnight sings, symbols or structures. Because that review should be prompt if it is ever needed, we think the committee should be very small--perhaps the President of IUSA, the President pro tem of the Bloomington Faculty Council, and a member designated by the Chancellor.

D. We believe the University should not use physical force to enforce these rules. In cases of non-compliance, the University should use the legal process to enforce its legal rights. This commitment might involve some cost to the University and would probably entail more serious consequences for violators; we believe these costs are an appropriate way to mark the weight the University community attaches to both the rights and responsibilities it recognizes in the Assembly Ground.

Communication

Numerous formal and informal means of communication exist at Indiana University-Bloomington. These mechanisms are used to provide for the necessary exchange of information between the large numbers of individuals and groups on the campus. This exchange of information is essential to faculty development and participation in the life of the University. Some of the formal means of communication are described below.

FACULTY SUMMARY REPORT

An important formal avenue for faculty to advise administrators of their activities on a continuing basis, and to register concerns about any aspect of the University is via the Faculty Summary Report. It must be borne in mind that the report form serves a broad range of faculty who make a variety of contributions to the University; not every category may be applicable to each individual. Where insufficient space is provided, the supplementary page may be used and, if needed, additional pages. Faculty are urged also to enter on these supplementary pages any suggestions, criticisms, or comments on matters relevant to the academic school or college or to the University. Such remarks may be submitted as part of the summary report or may be submitted directly to the Dean of the Faculties, who reads and often responds to them. Typing of the report will be appreciated.

DUE DATE

Each fall, the Dean of the Faculties sends out a request for a report on the activities during the year. Forms are provided on which to report teaching activities, professional service, and research/ creative activities. The report should cover activities during the calendar year, i.e., the preceding spring semester and the current fall semester. The chairperson or dean is asked to comment on the performance of each individual on the Faculty Summary Report and forward it to the Dean of the Faculties Office by January 15. (See condensed sample form below.)

Faculty reports are used in the salary-setting process and for reappointment, tenure, and promotion decisions. The individual annual reports also provide a basis for portions of the school reports which must be submitted by Deans to the Vice President, Bloomington which are subsequently forwarded to the President and the Governor.

FACULTY SUMMARY REPORT
(January 1 - December 31)

NAME: _____________________________________________________________________________________________
. . . . . . . . . (Last). . . . . . . . . . . . . . . . (First). . . . . . . . . . . . .(Initial)

DEPARTMENT: _____________________________________________SCHOOL_________________________

TEACHING ACTIVITIES

A. Courses taught, Spring (II) 88-89; Summer 1989; Fall (I) 89-90

Your instructional responsibilities (Please . . . . . . . . . indicate weekly contact hours.)

_________________________________________________________
Course . . . . . . . . . I, II . . . . . . . . . Credit . . . . . . . . . # of
Number . . . . . . . . . or S . . . . . . . . . Hours . . . . . . . . Students . . . . . Lecture . . . . Lab.Discussion . . . . . Seminar . . . . AI supervision . . . . Other

______________________________________________________________________________

Explanation of or comments on above:

B. Development or major revision of course(s) during the year. (Give title, course number, short description). Indicate any course development grants awarded.

C. Dissertation, Research and Field Work Committees (Please list student names and specify level.)
1. Chairperson . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2. Member

D. Teaching awards and honors (including those of your students).

RESEARCH ACTIVITIES/CREATIVE ACTIVITIES/PERFORMANCES

A. Publications, Performances, Exhibits, or Equivalent. (Please identify refereed works by an asterisk*.)

Published

Accepted

Submitted

B. Grants received or in progress
. . . . . . . . . Title . . . . . . . . . Agency . . . . . . . . . Start . . . . . . . . . End . . . . . . . . . Total
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Date . . . . . . . . . Date . . . . . . . . . $$

PROFESSIONAL MEETINGS, COLLOQUIA, AND SEMINARS

A. Invited papers or talks

B. Contributed or competitive papers

C. Panel chairperson, discussant, or attendance only (specify)

AWARDS, HONORS, DISTINCTIONS, etc.

SERVICE ACTIVITIES

(Committees, administrative assignments, advising of students, writing of references, etc. Please indicate special committee responsibilities, e.g., chairperson, secretary; and identify particularly time-consuming activities with an asterisk*.)

A. Departmental

B. School

C. University

D. Community and Public Service

E. Professional Organizations (include book reviews, journal refereeing, consultancies, etc.)

_________________________________________________________

Please reserve this space for comments of Chairperson and/or Deans:

Supplementary Comments. Please use this space to expand upon any topic not sufficiently covered in the sections preceding, to describe new directions or goals of research or creative activity in which you are participating, or to make comments which you wish to bring to the attention of your Dean or the Dean of the Faculties. Attach additional sheets if necessary

SCHOOL/DIVISION ANNUAL REPORT

The annual reports on school/division activities are requested each summer for submission by August 15. These reports comprise the basis for the Vice President's State of the Campus and the President's State of the University messages in the fall. Suggestions of the sorts of information to be included in and the length of these reports follow. This list is intended to provide general guidance only:

1. Summary, by the unit head, highlighting the important events and accomplishments of the unit during the year (2-4 pages). (This section should glean material from the sections which follow.)
2. Statement of mission. Distinguished instructional, research, and service roles (1 page).
3. Current status and organization of your division (1-2 pages).
4. Objectives, with examples where necessary (1-2 pages).
5. Recent progress toward objectives (3-5 pages). Include personnel development such as noteworthy productivity and honors; outstanding public and professional service by groups or individuals. Also student performances where appropriate. (This section is intended to cover special achievements; regular resumes should not be attached.)
6. Plans for accomplishment of new objectives (3-5 pages). List requirements for fulfillment of missions. Emphasize requirements not covered by enrollment growth or customary partition of University resources. Consider personnel, fiscal resources and space.
7. Note particular progress toward your unit's immediate and long-range objectives (2-3 pages). Comment on plans for the future.
8. Include necessary statistical information (1-5 pages). (This section should not be a comprehensive numerical picture of the unit, but indicate particularly revealing and cogent trends.)
9. Comments and suggestions.

The suggested lengths are only guidelines and are not meant to restrict the reporting of vital information. Obviously, however, brevity is important because of the large number of reporting units. Although a thorough briefing on each school and division is desired, time and money should not be spent unduly in preparing an elaborate document. The Dean of the Faculties' report will supply statistics by schools covering promotions, tenure, new faculty, terminations and resignation, total faculty, leaves of absence and sabbatical leaves.

OTHER MECHANISMS OF COMMUNICATION: CAMPUS MAIL

The Campus Mail Service operates to serve the official needs of units, departments, and employees of the campus. Acceptable mail has been described by the Business Manager's Office as the following:

1. U.S. mail being forwarded on campus. (Misdelivered mail, properly addressed but delivered to the wrong place, will be re-delivered by the U.S. Post Office.)
   
2. Mail (which concerns University business) of University offices, departments (employees), and officially approved organizations, including mail of allied agencies such as I.U. Foundation.
   
3. Mailings by established organizations as authorized by:
   (a) Dean of the Faculties for faculty groups;
   (b) Personnel Office for staff groups;
   (c) Dean of Students for student groups.

For additional guidance, it is suggested that the Campus Mail Service does not have staff or facilities to deliver the following kinds of mail:

1. Independent or commercial newspapers.
   
2. Mailings of churches, student religious foundations, political organizations, and non-profit or charitable organizations not directly associated with the University.
   
3. Faculty, staff or student group mailing unless established as Item 3 above.
   
4. Sales of any kind other than by official University agencies such as Auditorium Series, the Bookstore, Athletic Department, Alumni Association, etc.
   
5. Personal mail, including Christmas cards of an individual.
   
6. Subscription or sales notices from magazine or book publishers.
   
7. Other commercial notices, or mail for "occupant" or "boxholder."

Any mailings by established organizations as authorized in Item 3 which involve use of the faculty mailing lists require further approval by the Dean of the Faculties. By action of the Faculty Council in 1970 (see DOCUMENT I-IX), use of the faculty lists is under the control of the Dean of the Faculties, who should "keep in mind that campus mail is appropriately used only for University or University-related affairs."

USE OF MAILING LISTS

A number of mailing lists of academic appointees and administrators are maintained in Printing and Duplicating. (The various academic lists follow in this section.) These lists may be used by academic units and authorized groups by submitting copy and an order to Printing and Duplicating, charging a University account. Use of the addressing service is governed by the following:

"Indiana University mail lists are maintained at the IU Addressing Service which is located in the University Publications/Printing Service Building in Bloomington. These mail lists contain the names and campus addresses of all academic appointees and staff supervisors for the Indiana University system and may be used for distribution of campus mail under the following conditions.

1. The request must come from a University office, department (employee of), or officially approved organization of the University with a University account to which charges are authorized. All mailings must carry the identity or return address of the unit, organization or individual responsible for distribution.
   
2. The mail lists, as well as the campus mail service, may be used only for University and University-related affairs. The specific content of mailings must be in conformity with University and State regulations governing the use of University Facilities, which preclude commercial, proprietary or personal use.
   
3. The appropriate number of copies of the material to be mailed must be provided to the Addressing Service (by the sender and/or Publications/Printing Services) along with the request for addressing.
   
4. Labels or addressed envelopes will be provided only with approval of the sponsor of the list (academic lists--Dean of the Faculties; staff list--Human Resources). Labels/envelopes may be used only on the specific mailing list for which requested--lists may not be duplicated or made available to anyone else for any purpose.

Violation of the above conditions may result in revocation of the right to use University addressing and mailing facilities, or in other appropriate disciplinary action."

BULLETIN FOR ACADEMIC APPOINTEES

The Dean of the Faculties Office issues biweekly the Bulletin for Academic Appointees as a further means of inter-campus communication. The Bulletin was first published to provide a mechanism for advertising academic position vacancies locally. The Bulletin is mailed to every academic office on campus. It is to be posted by chairpersons and other unit heads to give it maximum visibility for all employees and students. It is also available on the Dean of Faculties' home page on the world wide web. The Dean of Faculties' home page also carries listings of temporary housing availability within Bloomington, primarily as an aid to visitors coming to and University appointees leaving Bloomington for short periods of time--on leaves or for the summer months.

BLOOMINGTON CAMPUS ACADEMIC MAIL LISTS*

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Approx. Quantity

4 . . . . . . . . . Academic (Non-Faculty) Administrators . . . . . . . . . 6
4A . . . . . . . . . Faculty Administrators Only . . . . . . . . . 213
4C. . . . . . . . . Faculty (includes 4A). . . . . . . . . 1801
4CL . . . . . . . . . Lecturers . . . . . . . . . 286
4D . . . . . . . . . Academic (Non-Faculty) Appointees . . . . . . . . . 40
4E . . . . . . . . . Research Associates/Postdoctoral Fellows . . . . . . . . . 230
4F . . . . . . . . . Emeritus Faculty (Retired). . . . . . . . . 420
4G . . . . . . . . . Librarians . . . . . . . . . 116
4I . . . . . . . . . Associate Instructors (bulk delivery). . . . . . . . . 1703

Total . . . . . . . . . . . . . . . . . . . . . . . . . . . 4815

* Academic files can be sorted by department and/or school

INDIANA UNIVERSITY “WHISTLEBLOWER” POLICY

(Administrative Practice – 4/19/2007)

The general purpose of this policy is to protect any Indiana University employee or other member of the Indiana University community (hereinafter “Individuals”) who makes a good faith disclosure of suspected wrongful conduct. More specifically it:

• encourages an atmosphere that allows Individuals to meet their obligations to disclose violations of law and serious breaches of conduct covered by University policies,
• informs Individuals how allegations of wrongful conduct may be disclosed,
• protects Individuals from reprisal by adverse academic or employment action taken within Indiana University as a result of having disclosed wrongful conduct, and
• provides Individuals who believe they have been subject to reprisal a process to seek relief from retaliatory acts that fall within the authority of Indiana University.

Statement of Policy

Individuals are expected to abide by state and federal laws and regulations as well as University policies. Furthermore, an Indiana University employee cannot be compelled by a supervisor or University official to violate a law or University policy. In the interest of the University, Individuals who have knowledge of specific acts which he or she reasonably believes violates the law or University policy must disclose those acts to an appropriate University official.

This policy supplements the existing Indiana state statute (IC 20-12-1-8) and protects reporting Individuals who make a good faith report (as defined in section 2.0 of this policy) from retaliatory academic or employment action including discharge, reassignment, demotion, suspension, harassment, or other discrimination.

The University shall devise procedures for handling a Good Faith Report of Wrongful Conduct and for responding to complaints of reprisal or retaliation against Individuals making such reports. Such procedures shall conform to the guidelines detailed below. These procedures should be published in University and campus handbooks, as well as on applicable websites.

Wrongful Conduct/ Good Faith Report

“Wrongful Conduct” is defined in this policy to be:

• a violation of applicable state and/or federal laws and regulations
• a serious violation of University policy
• the use of University property, resources, or authority for personal gain or other non University-related purpose except as provided under University policy

“Good Faith Report” is defined in this policy to be an allegation of Wrongful Conduct made by Individual who believes that Wrongful Conduct may have occurred. However, an allegation is not in Good Faith if it is made with reckless disregard for or willful ignorance of facts that would disprove the allegation.

Making Disclosures

If the University has existing policies and procedures for maintaining standards of conduct and disclosing Wrongful Conduct, those policies should be followed to disclose such Wrongful Conduct. Relevant policies include but may not be limited to:

• Indiana University Policy on Research Integrity
• Indiana University Financial Management Services Policy on Fiscal Misconduct (I-30)
• Indiana University Financial Management Services Policy on Fraud (I-35)

The above policies should be used to report any wrongful conduct covered by those policies. Unless the complainant believes the responsible office may be involved, other instances of wrongful conduct should be reported to the university or campus office responsible for the policy area (e.g., NCAA violations should be reported to the campus athletics compliance officials and sexual harassment should be reported to the Office of Affirmative Action).

Complaints of Reprisal

Individuals who have been subjected to an adverse academic or employment action based on his or her Good Faith Report of alleged Wrongful Conduct may contest the action by filing a written complaint of reprisal with the Office of University Counsel, Human Resources, or the Dean of Faculties office

Nothing in this policy is intended to interfere with legitimate employment decisions.

State Statute Reference

Indiana University employees enjoy whistleblower protection under Indiana Code 20-12-1-8. Nothing in this policy shall be construed in such a way as to conflict with other reporting obligations under state or federal law, or the provisions and protection of the Indiana Code, as set forth below:

IC 20-12-1-8 Protection of employees reporting violations of federal, state, or local laws; disciplinary actions; procedures

1. An employee of a state educational institution (as defined in IC 20-12-0.5-1) may report in writing the existence of:
   1. a violation of a federal law or regulation;
   2. a violation of a state law or rule;
   3. a violation of an ordinance of a political subdivision (as defined in IC 36-1-2-13); or
   4. the misuse of public resources; first to a supervisor or appointing authority, unless the supervisor or appointing authority is the person whom the employee believes is committing the violation or misuse of public resources. In that case, the employee may report the violation or misuse of public resources in writing to either the supervisor or the appointing authority or to any official or agency entitled to receive a report from the state ethics commission under IC 4-2-6-4(b)(2)(G) or IC 4-2-6-4(b)(2)(H). If a good faith effort is not made to correct the problem within a reasonable time, the employee may submit a written report of the incident to any person, agency, or organization.
2. For having made a report under subsection (a), an employee may not:
   1. be dismissed from employment;
   2. have salary increases or employment related benefits withheld;
   3. be transferred or reassigned;
   4. be denied a promotion that the employee otherwise would have received; or
   5. be demoted.
3. Notwithstanding subsections (a) and (b), an employee must make a reasonable attempt to ascertain the correctness of any information to be furnished and may be subject to disciplinary actions for knowingly furnishing false information, including suspension or dismissal, as determined by the employee's appointing authority or the appointing authority's designee. However, any employee disciplined under this subsection is entitled to process an appeal of the disciplinary action under the procedure set forth in any personnel policy or collective bargaining agreement adopted by the state educational institution.
4. An employer who violates this section commits a Class A infraction.

DOCUMENT I-I
CODE OF ACADEMIC ETHICS
(Approved: UFC, 11/3/70; Trustees, 12/19/70; Amended: UFC, 11/30/76, 2/11/86, 2/11/92, 10/3/96; Trustees, 12/13/96)

PREAMBLE

The central functions of an academic community are learning, teaching, and scholarship. They must be characterized by reasoned discourse, intellectual honesty, mutual respect, and openness to constructive change. By accepting membership in this community, an individual neither surrenders rights nor escapes fundamental responsibilities as a citizen, but acquires additional rights as well as responsibilities to the entire University community. They do not require the individual to be passive and silent. They do require recognition of how easily an academic community can be violated.

INTRODUCTION

Applicability. The provisions of this Code apply to persons whose service to the University includes teaching, scholarship, librarianship, and academic administration. Such persons are referred to in the Code as “Academic Personnel.” References in the Code to “Faculty” include tenured members of the faculty, librarians, and persons whose service to the University may lead to tenure.

Organization. This Code contains two major sections: first, a statement of rights and responsibilities; and second, a statement of enforcement procedures. The first section is divided into three subsections. Of these, the first subsection, in seven parts, is a general statement of the rights and responsibilities of Academic Personnel adapted from the “Statement of Professional Ethics” adopted as policy by the American Association of University Professors in April 1966. The second subsection consists of representative responsibilities assumed with academic employment at Indiana University. The third subsection consists of the rules of conduct outlined in the prevailing Code of Student Rights, Responsibilities, and Conduct. It is assumed that academic personnel will accept without reservation those rules of conduct which are generally applicable within the University community and which are expressed at the moment within the student code.

The second section is also divided into three subsections. The first subsection deals with initiation of complaints, the second with appropriate administrative actions, and the third with reviews of administrative action.

A. RIGHTS AND RESPONSIBILITIES

I. General Statements

Scholarship. A scholar recognizes a primary responsibility to seek and to state the truth without bias. Striving to improve scholarly competence, continuing always to keep abreast of knowledge of his or her discipline, the scholar exercises critical self discipline and judgment in using, extending, and transmitting knowledge, and practices intellectual honesty. Although subsidiary interests may be followed, these must never seriously hamper or compromise freedom of inquiry.

Teaching. A teacher encourages the pursuit of learning in students, holding before them the best scholarly standards of the discipline. Respecting students as individuals, the teacher seeks to establish a relationship of mutual trust and adheres to the proper role as intellectual guide and counselor. The teacher makes every effort to foster honest academic conduct and to assure that the evaluation of students’ scholastic performance reflects their true achievement, with reference to criteria appropriate to the field of study. Any exploitation of students for private advantage is rejected and their significant assistance is acknowledged. The teacher protects their academic freedom and serves as an example of this principle by assuring that each student and colleague is free to voice opinions openly and to exchange ideas free from interference.

Librarianship. A librarian in the academic community is responsible for the collection and dissemination of information and materials and for services pertaining thereto in support of the teaching, research, and general learning functions to the University. A librarian is obligated to keep abreast of the latest developments in the profession and with processes and services to improve library service.

Relations with Colleagues. As colleagues, academic personnel have obligations that derive from common membership in the community of scholars. Such persons respect and defend the free inquiry of their associates. In the exchange of criticism and ideas, they show due respect for the opinions of others. They acknowledge their academic debts and strive to be objective in their professional judgment of colleagues. They accept their share of responsibility for the governance of the University.

Relations with Students. With regard to relations with students, the term “faculty” or “faculty member” means all those who teach and/or do research at the University including (but not limited to) tenured and tenure-track faculty, librarians, holders of research, lecturer, or clinical appointments, graduate students with teaching responsibilities, visiting and part-time faculty, and other instructional personnel including coaches, advisors, and counselors.

The University’s educational mission is promoted by professionalism in faculty/student relationships. Professionalism is fostered by an atmosphere of mutual trust and respect. Actions of faculty members and students that harm this atmosphere undermine professionalism and hinder fulfillment of the University’s educational mission. Trust and respect are diminished when those in positions of authority abuse or appear to abuse their power. Those who abuse their power in such a context violate their duty to the University community.

Faculty members exercise power over students, whether in giving them praise or criticism, evaluating them, making recommendations for their further studies or their future employment, or conferring any other benefits on them. All amorous or sexual relationships between faculty members and students are unacceptable when the faculty member has any professional responsibility for the student. Such situations greatly increase the chances that the faculty member will abuse his or her power and sexually exploit the student. Voluntary consent by the student in such a relationship is suspect, given the fundamental asymmetric nature of the relationship. Moreover, other students and faculty may be affected by such unprofessional behavior because it places the faculty member in a position to favor or advance one student’s interest at the expense of others and implicitly makes obtaining benefits contingent on amorous or sexual favors. Therefore, the University will view it as a violation of this Code of Academic Ethics if faculty members engage in amorous or sexual relations with students for whom they have professional responsibility, as defined in number 1 or 2 below, even when both parties have consented or appear to have consented to the relationship. Such professional responsibility encompasses both instructional and non-instructional contexts.

1. Relationships in the Instructional Context. A faculty member shall not have an amorous or sexual relationship, consensual or otherwise, with a student who is enrolled in a course being taught by the faculty member or whose performance is being supervised or evaluated by the faculty member.
2. Relationships outside the Instructional Context. A faculty member should be careful to distance himself or herself from any decisions that may reward or penalize a student with whom he or she has or has had an amorous or sexual relationship, even outside the instructional context, especially when the faculty member and student are in the same academic unit or in units that are allied academically.

Relation to the University. Indiana University is committed to the concept of academic freedom and recognizes that such freedom, accompanied by responsibility, attaches to all aspects of a teacher’s or librarian’s professional conduct. Within this context, each person observes the regulations of the University, and maintains the right to criticize and to seek revision and reform. A teacher or librarian determines the amount and character of work done outside the University with due regard to paramount responsibilities within it. When considering interruption or termination of service, the teacher or librarian recognizes the effect of the decision upon the program of the University and gives due notice. Above all, he or she strives to be an effective teacher, scholar, librarian, or administrator.

Relation to the Community. As members of the community, academic appointees have the rights and obligations of any citizen. They should measure the urgency of these obligations in the light of their responsibilities to their subject, to their students, to their profession, and to the University. When they speak or write as citizens, they are free from institutional censorship or discipline. At the same time, their positions as members of a university and of a learned profession impose special responsibilities. When they speak or act as private persons, they will make it clear that they are not speaking or acting for the University. They will also remember that the public may judge their profession and the University by their utterances and conduct, and they will take pains to be accurate and to exercise restraint.

II. Specific Responsibilities

In addition to the preceding general statements of ethical performance within the academic profession, there are specific responsibilities that devolve upon the academic appointee who accepts a position at Indiana University. Observance of such specific responsibilities as the following is also a component of academic ethics.

1. A teacher will maintain a clear connection between the advance description and the conduct and content of each course presented to ensure efficient subject selection by students.
2. A teacher will clearly state the course goals and will inform students of testing and grading systems; moreover, these systems should be intellectually justifiable and consistent with the rules and regulations of the academic division.
3. A teacher will plan and regulate class time with an awareness of its value for every student and will meet classes regularly.
4. A teacher will remain available to students and will announce and keep liberal office hours at hours convenient to students.
5. A teacher will strive to develop among students respect for others and their opinions by demonstrating his or her own respect for each student as an individual, regardless of race, sex, national origin, religion, age, or physical handicap.
6. A teacher will strive to generate a proper respect for an understanding of academic freedom by students. At the same time, a teacher will emphasize high standards and strive to protect students from irrelevant and trivial interruptions or diversions.
7. Since letters of evaluation written by a teacher may be uniquely important documents in both the academic and post-university life of a student, each teacher will strive to make such letters both candid and fair.
8. A librarian recognizes the need for continual development, maintenance and improvement of standard and specialized bibliographical resources.
9. A librarian cooperates with the teaching and research faculty to develop the collection in support of the curricular offerings of the academic community.
10. A librarian recognizes intellectual and professional obligations to the patron, the University, and the community at large.
11. A librarian has an obligation to recommend and make improvements in library service.
12. A librarian accepts the responsibility for the care and preservation of library materials.
13. Academic personnel will strive to protect not only their own right to freedom of inquiry, teaching, and expression but also their colleagues’ right to the same freedoms.
14. In the interest of avoiding actual or perceived conflict of interest, academic personnel should not directly supervise employees with whom they are having sexual or amorous relationships. Academic supervisors shall disqualify themselves from employment-related decisions concerning such employees and, in consultation with the employee involved and other appropriate persons, the Dean of the Faculties or other equivalent campus administrator shall take steps for the appointment of a surrogate supervisor.
15. While in the classroom, academic personnel should refrain from adverse personal comments about their colleagues. At all times, academic personnel should exercise restraint and discretion in comments about other courses or divisions in the University.
16. Constructive criticism of colleagues is sometimes necessary in the interest of the individual criticized or the entire University community. To be constructive, however, such criticism should be channeled, in confidence, toward those persons (preferably the individual concerned, but also academic superiors, faculty committees, or administrative officers) who have the power to correct or influence conduct in a constructive way. Indiscriminate criticism or gossip about colleagues is condemned.
17. Each academic person retains the right to criticize and to seek to remedy, by appropriate means, regulations and policies of the University. Among means deemed inappropriate are: acts of physical violence against members or guests of the University community; acts which interfere with academic freedom, freedom of speech, or freedom of movement; and acts of destruction of University property. It is equally inappropriate to advise others to commit such acts.
18. If criticizing the University, the academic person should be aware of ameliorative procedures that exist within the University and should use these procedures in preference to conducting public criticisms of the institutions or any of its divisions.
19. Each academic person will insure that outside commitments do not interfere in terms of time, energy, or conflict of interest with obligations to the University. As a safeguard against such interference, each will:
    1. report to an appropriate authority plans to engage in gainful activities of an extensive, recurring, or continuing nature; and
    2. notify an appropriate authority of any invitation to serve as advisor or consultant to an agency granting money to the University.
20. He or she will give adequate notice of interruption or termination of service. In order that instructional programs will not be interrupted, before leaving, the academic person will:
    1. complete all normal duties;
    2. provide complete records of grades and similar data to departmental chairpersons; and
    3. provide properly for incomplete class and thesis work.
21. He or she will work with colleagues individually and collectively toward furthering both personal and group interests so long as such cooperation does not require violation of intellectual and moral integrity.

22. Each academic person will accept a share of the obligation for helping the University function smoothly as a living and vigorous organization. Toward achieving this goal, each will serve on committees, accept a reasonable burden of administrative duties, and work cooperatively with administrative officers of the University in order to further all the legitimate goals of the institution.

III. Responsibilities as University Citizens

In retaining the rights to speak and act as citizens of the communities in which they dwell, academic personnel must assume as well the responsibilities which are incumbent upon the citizenship. Academic personnel, therefore, accept and adopt the provisions of the Indiana University Code of Student Rights, Responsibilities, and Conduct pertaining to personal misconduct on University property (Part III, Section B), which is printed below.

The university may discipline a student for the following acts of personal misconduct which occur on university property:

1. Dishonest conduct including, but not limited to, false accusation of misconduct; forgery, alteration, or misuse of any university document, record, or identification; and giving to a university official information known to be false.
2. Initiating or circulating a report or warning concerning an impending bombing, fire, or other emergency or catastrophe, knowing that the report is false; making a false report concerning a fire or that a bomb or other explosive has been placed in any university building or elsewhere on university property; or transmitting such a report to an official or an official agency.
3. Release of access codes for university computer and duplicating systems and other university equipment to unauthorized persons; use of an access code for a purpose other than that stated on the request for service.
4. Lewd, indecent, or obscene conduct.
5. Disorderly conduct that interferes with teaching, research, administration, or other university or university-authorized activity.
6. Actions that endanger the student, the university community, or the academic process.
7. Failure to comply with the directions of authorized university officials in the performance of their duties, including failure to identify oneself when requested to do so; failure to comply with the terms of a disciplinary sanction.
8. Unauthorized entry, use, or occupancy of university facilities; refusal to vacate a university facility when directed to do so by an authorized official of the university.
9. Unauthorized taking or possession of university property or services; unauthorized taking or possession of the property or services of others.
10. Damage to or destruction of university property or of property on university premises belonging to others.
11. Unauthorized setting of fires on university property; unauthorized use of or interference with fire equipment.
12. Unauthorized possession, use, manufacture, distribution, or sale of illegal fireworks, incendiary devices, or other dangerous explosives.
13. Possession of firearms or other weapons on university property contrary to law; possession or display of any firearm on university property frequented by the public, except, in the course of an authorized activity, possession of weapons in residence halls on university property in violation of residence hall rules; and intentional possession on university property of a dangerous article or substance as a potential weapon.
14. Acting with violence; and aiding, encouraging, or participating in a riot.
15. Sexual harassment, as defined in section I.A.3 of this code.
16. Harassment based on sexual orientation, as defined in section I.A.4 of this code.
17. Racial harassment, as defined in section I.A.5 of this code.
18. Hazing, defined as any conduct which subjects another person, whether physically, mentally, emotionally, or psychologically, to anything that may endanger, abuse, degrade, or intimidate the person as a condition of association with a group or organization, regardless of the person's consent or lack of consent.
19. Physical abuse of any person, including the following:
    1. The use of physical force or violence to restrict the freedom of action or movement of another person or to endanger the health or safety of another person;
    2. Physical behavior that involves an express or implied threat to interfere with an individual’s personal safety, academic efforts, employment, or participation in university-sponsored extracurricular activities and causes the person to have a reasonable apprehension that such harm is about to occur; or
    3. Physical behavior that has the purpose or reasonably foreseeable effect of interfering with an individual’s personal safety, academic efforts, employment, or participation in university sponsored extracurricular activities and causes the person to have a reasonable apprehension that such harm is about to occur.
20. Verbal abuse of another person, including the following:
    1. An express or implied threat to:
       (1) Interfere with an individual's personal safety, academic efforts, employment, or participation in university sponsored activities; or
       (2) Injure that person, or damage his or her property; and under the circumstances causes the person to have a reasonable apprehension that such harm is about to occur; or
    2. “Fighting words” that are spoken face-to-face as a personal insult to the listener or listeners in personally abusive language inherently likely to provoke a violent reaction by the listener or listeners to the speaker.
21. Unauthorized possession or use of alcoholic beverages.
    1. The following actions are prohibited by Indiana University:
       (1) Use or possession of alcoholic beverages on university property, or in the course of a university activity or student organization activity, contrary to law;
       (2) Use or possession of alcoholic beverages in any undergraduate residence supervised by the university, including fraternity and sorority houses;
       (3) Use or conspicuous possession of alcoholic beverages in or on any property of the university frequented by the public, except in areas specifically designated by the chief administrative officer of the campus.
    2. The possession or use of alcoholic beverages is not forbidden in the following areas of the university unless otherwise prohibited by law:
       (1) In designated graduate housing and residence hall buildings designated as restricted to students who are twenty-one years of age or older, including residence rooms and certain common areas approved for such purpose by the Dean of Students. The Dean of Students may enact rules to regulate such use or possession.
       (2) In designated undergraduate residences supervised by the university when temporary permission is granted by the Dean of Students for events at which persons twenty-one years of age or older may lawfully possess and use alcoholic beverages.
       (3) In designated family housing, including residence rooms, apartments and certain common areas approved for such purpose by the Dean of Students. The Dean of Students may enact rules to regulate such use or possession.
       (4) In Union Buildings, including guest rooms and certain other areas specifically approved by the chief administrative officer of the campus.
       (5) In other areas, such as private offices and faculty lounges, not accessible to the public and specifically approved by the chief administrative officer of the campus.
    3. Student organizations that serve or permit possession of alcoholic beverages at student organization functions, on or off campus, may be disciplined if violations of alcoholic beverage laws or of university regulations occur. Individual students who plan, sponsor, or direct such functions also may be subject to discipline.
22. Unauthorized possession or use of illegal drugs.
    1. The following actions are prohibited by Indiana University:
       (1) Use or possession of any drug or controlled substance, or of drug paraphernalia, on university property or in the course of a university activity or student organization activity, contrary to law. It is not a violation of university regulations for students to possess such drugs or controlled substances if they are possessed under the terms of a valid and legal prescription for such drugs or controlled substances.
       (2) Use of university facilities to manufacture, process, or distribute any drug or controlled substance contrary to law.
       (3) Sale, gift, or transfer of drugs, controlled substances, or drug paraphernalia to Indiana University students, whether or not such sale, gift, or transfer occurs on university property or in the course of a university activity or student organization activity.
    2. The term “controlled substance” is defined in Indiana law, and includes, but is not limited to, substances such as marijuana, cocaine, narcotics, certain stimulants and depressants, and hallucinogens.
23. Violation of other published university regulations, policies, or rules.
24. A violation of any Indiana or federal criminal law.

B. ENFORCEMENT PROCEDURES

I. Initiation of Complaints

Any concerned person may initiate complaints about alleged violations of this code. Such complaints should be brought to the attention of an appropriate chairperson or dean, or to the appropriate Dean of the Faculties or his or her deputy; the Dean of Faculties shall provide for confidential representations regarding such violations. Charges of discriminatory practice may be referred also to the appropriate Affirmative Action Officer.

II. Administrative Action on Violations of Academic Ethics

The line of administrative action in cases of alleged violation of academic ethics shall be the chairperson; the academic dean; the appropriate Dean of the Faculties; the appropriate Chancellor; a Vice President, where appropriate; and the President. Subject to the substantive standards of University tenure policy and the procedural safeguards of the faculty institutions, sanctions appropriate to the offense should be applied by the academic administrators. Possible sanctions include the following: reprimand, consideration in establishing annual salary, consideration in promotion decisions, consideration in tenure decisions, retention of salary, termination of employment, and immediate dismissal.

III. Review of Administrative Action

Academic appointees affected by administrative action taken against them on grounds of violation of the Code of Ethics, whether or not the action resulted from proceedings provided in this Code, shall have such rights as are provided by the rules governing appeals to the Faculty Board of Review (or to an Associate Instructor Board of Review) of the appropriate campus. Appointees also have the rights of hearing and appeal provided by any other procedure of the University for the review of administrative action.

DOCUMENT I-II
CODE OF STUDENT ETHICS
(Approved: Trustees 5/4/90, 6/5/93, 12/13/96)

[Because of length, the Code, now known as the Indiana University Code of Student Rights, Responsibilities, and Conduct, cannot be reproduced here. Copies are available from the Dean of Students.]

DOCUMENT I-III
ENHANCED UNDERSTANDING OF CULTURAL DIVERSITY
(Approved: BFC 4/17/90)

2. The faculty of each undergraduate degree-granting-unit should adopt a cultural diversity degree requirement appropriate to their curriculum. Adoption of a requirement which has a focus on the issues of cultural diversity and racial, ethnic, and gender discrimination within the context of the United States would be especially useful in achieving the objectives of these recommendations. In any event, courses which focus on diversity and discrimination in the United States should be among those which satisfy the requirement.

3. The Dean of the Faculties should implement a program targeted at all current faculty and librarians in which standards of conduct set out in the Academic Handbook--including those behaviors related to cultural diversity and racial and sexual discrimination--are highlighted. The program shall be repeated annually for new faculty and librarians.

Faculty and librarians who violate these standards should be subject to enforcement procedures associated with the Code of Academic Ethics, which should be vigorously enforced by responsible administrators.

4. The Dean of the University Graduate School should ensure the implementation of programs targeted at all new associate instructors on the Bloomington campus in which standards of conduct set out in the Academic Handbook--including those behaviors related to cultural diversity and racial, ethnic, and gender discrimination--are clearly described. Associate instructors who violate these standards should be subject to enforcement procedures associated with the Code of Academic Ethics, which should be vigorously enforced by the responsible administrators.

5. The Assistant Vice President for Human Resources should ensure the implementation of measures similar to Recommendations 3 and 4 which would apply to all other Bloomington campus employees.

6A. The target date for implementation of Recommendations 1, 2, 4, and 5 should be no later than the beginning of Fall Semester 1991.

6B. The faculty should act on Recommendation 2 during the 1990-91 academic year.

DOCUMENT I-IV
POLITICAL ACTIVITIES OF ACADEMIC PERSONNEL
(Approved: Faculty Council 5/21/63; Trustees 6/3/63)

Policy

The University recognizes the right of academic appointees to engage in political activities beyond those normally entailed in voting and participating in routine community, state, and national programs, provided that the participation does not prevent the full discharge of the faculty member's academic responsibilities.

Principles and Procedures to be Observed
1. Academic personnel of Indiana University shall be free to participate in political activities on the national, state, or local level such as running for political office, managing political campaigns, and assuming leadership roles in political organizations providing that the participation does not prevent full discharge of their academic obligations to the University. If such participation does prevent full discharge, the individual will be required to request leave of absence for the period of the activity.
2. In any such activities an academic appointee must make clear that he or she is acting as a private citizen and is in no way representing the University.
3. The academic appointee who proposes to engage in political activities shall be required to inform his or her departmental chairperson, the school dean and the Dean of the Faculties.
4. Should a disagreement arise between the faculty member and any of the above administrative officers regarding the faculty member's ability to discharge academically related obligations, the faculty member shall be entitled to appeal to the Faculty Board of Review, which shall make final decision. Other academic appointees have other means of appeal.

Administrative Addition

Political Meetings

University facilities shall not be used for political rallies or for campaign purposes that would further the interests of the candidate or candidates of any one political party, except that the University may from time to time invite political candidates to speak at University convocations. In such cases, it is the policy of the University to extend invitations to the candidates of the different major parties on an equal basis. This rule is not interpreted as prohibiting the meeting of student political groups which are open to attendance by students, faculty, and other members of Indiana University but which are not open to the general public.

(Administrative Practice)

DOCUMENT I-V
INDIANA UNIVERSITY STATEMENT OF COMPLIANCE WITH STATE LAW ON CONFLICTS OF INTEREST AND FEDERAL LAW ONFINANCIAL CONFLICTS OF INTEREST IN RESEARCH
(Approved: UFC 4/11/95)

INTRODUCTION

This Statement describes Indiana state law on conflicts of interest and University procedures designed to protect federally-funded research from any bias that can reasonably be expected to arise from the financial interests of research investigators. These procedures comply with rules and regulations on investigator conflicts of interest for awardee institutions promulgated by several federal agencies.

DEFINITIONS

An External Entity includes any person, trust, organization, enterprise, or other entity (including government agencies) that is not an entity under the control of or under common control with the University.

A Family Member of an individual includes his or her spouse and dependent children.

A Financial Interest is anything of significant monetary value including but not limited to salary or other payments for services (e.g. commissions, consulting fees, or honoraria), equity interests (e.g., stocks, stock options, or other ownership interests), allowance, forbearance, forgiveness of debt, interest in real or personal property, dividends, royalties derived from the licensing of technology (other than receipt of a royalty under Indiana University royalty-sharing policies), rent, capital gain, and intellectual property rights (e.g., patents, copyrights, and royalties from such rights).

Whether a Financial Interest is "significant" will depend upon the facts of the situation, but monetary value will be considered significant according to the following guidelines: (1) an equity interest is significant if it exceeds $10,000 in value as determined through reference to public prices or other reasonable measures of fair market value or represents more than a 5% ownership interest in any single entity, when aggregated for the Investigator and his or her Family Members; (2) salary, royalties, or other payments are significant if they are expected to exceed $10,000, when aggregated for the Investigator and his or her Family Members over the twelve months following the date of the disclosure.

The term does not include:

1. salary, royalties, or other remuneration from Indiana University;
   
2. income from seminars, lectures, or teaching engagements sponsored by public or nonprofit entities; or
   
3. income from service on advisory committees or review panels for public or nonprofit entities.

An Investigator is any person, including but not limited to any person holding an academic or professional staff appointment at Indiana University, who is engaged in the design, conduct, or reporting of Research or externally-supported educational activities through a Sponsored Program.

Research means a systematic investigation designed to develop or contribute to generalizable knowledge. The term encompasses basic and applied research and product development.

Sponsored Programs means Research, training, and instructional projects involving funds, materials, gifts, or other compensation from External Entities under agreements with the University.

State Law on Conflict of Interest refers to Indiana State Statute IC 35-44-1-3.

IMPLEMENTATION

STATE

Indiana law generally declares it a crime for a public employee to knowingly or intentionally derive a pecuniary benefit from transactions between the employee and his or her public employer. The law provides certain defenses to a charge of conflict of interest, including disclosure of the conflict to and acceptance of the disclosure by the public employer. To avoid criminal penalties, therefore, University employees should disclose to the Board of Trustees of Indiana University any situations likely to result in a contract involving a purchase, sale, or services or other matter, between the University and the employee or employee's dependents. This law does not apply to the normal contract of employment. Advance approval of a transaction by the University's trustees insulates the transaction from criminal prosecution. The law defines "dependents" as (1) the employee's spouse; (2) a child, stepchild, or adoptee of the employee who is unemancipated and less than 18 years of age; and (3) any individual more than one-half of whose support is provided during a year by the employee (from Indiana State Statute IC 35-44-1-3).

UNIVERSITY RULES FOR ALL FEDERALLY-FUNDED SPONSORED PROGRAMS

Investigators are responsible for disclosing their Financial Interests and those of their Family Members (1) that would reasonably appear to be affected by Sponsored Programs in which they are engaged and/or which are funded or proposed for funding by a federal source or (2) in External Entities whose Financial Interests would reasonably appear to be affected by such activities. Disclosures are to be made in accordance with the procedures established under this Policy.

A conflict of interest exists when the reviewer of Investigator disclosures reasonably determines that a significant Financial Interest of an Investigator or his or her Family Members could directly and significantly affect the design, conduct, or reporting of the Research or educational activities funded or proposed for funding by a federal source.

AAUP STATEMENT ON GOVERNMENT-SPONSORED RESEARCH

A statement of conflict situations in government-sponsored work has been prepared jointly by the American Association of University Professors and the American Council on Education and is subscribed to by Indiana University. It appears as an Appendix to this Policy and is meant to be a general policy statement only.

RESOLUTION OF CONFLICTS

Conflicts of interest other than those arising under State Law will be resolved at the campus level. Conflicts of interest under State Law will be reported to and resolved by the Board of Trustees.

AUTHORITY

Campus Chancellors are responsible for establishing procedures for:

• Investigators on their campuses to make the required disclosures.
  
• Review of disclosures by appropriate University official(s) and/or committee(s) to determine whether a conflict of interest exists.
  
• Resolution of conflicts of interest, including determination of any conditions or restrictions that should be considered in order to manage, reduce, or eliminate a conflict.
  
• Regular updating of disclosed information.
  
• Enforcement of this Policy and dealing with noncompliance.
  
• Maintenance and retention of records of disclosures and conflicts of interest. Records must include all actions taken by the University with respect to each conflicting interest.
  
• Reporting to the Vice President for Research any identified conflicts of interest and whether and in what manner they have been resolved.

The Vice President for Research of Indiana University is responsible for:

• Overseeing the implementation of this Policy throughout Indiana University.
  
• Reporting to applicable federal agencies identified conflicts to the extent and in the manner required by federal law.

TIMING

All disclosures of Financial Interests must be made prior to submission of proposals for funding from federal External Entities. In addition, further requirements imposed by External Entities, including but not limited to resolution of conflicts of interest prior to submission of proposals or within other specified time frames, must also be met.

RETENTION OF RECORDS

Records relating to conflicts of interest are to be retained by the University for at least three years after the later of:

1. the termination or completion of the contract or award to which they relate (as determined by the funding agency); or
   
2. the resolution of any action involving those records.

ENFORCEMENT

The Vice President for Research has ultimate responsibility for confirming compliance by all Investigators with University policy. Instances of deliberate breach of this Policy, including failure to file or knowingly filing incomplete, erroneous, or misleading disclosures, violation of the guidelines, or failure to comply with prescribed monitoring procedures will be evaluated in accordance with applicable policies and procedures of Indiana University.

If a conflict of interest involves government-sponsored Programs, the University may be obligated under federal, state, or local law to report any corrective action taken.

PROCEDURE GUIDELINES

The Chancellors may approve separate procedures for one or more Schools.1 Each set of procedures must adhere to the requirements set forth in this Policy, and must contain the following specific elements:

1. The disclosure requirements may be no less restrictive than those provided for in this Policy.
   
2. Enforcement mechanisms must be consistent with this Policy.
   
3. Confidentiality must be assured; disclosures should be available only to those charged with responsibility for review, subject to any restrictions on confidentiality imposed by Indiana State Law on Access to Public Records (IC 5-14-3).
   
4. Financial Interests and other activities reportable under this Policy must be disclosed at least annually, and at other times when conflicts arise or when circumstances change. Activities that must be reported or approved prior to their commencement shall be defined in campus procedures.
   
5. In the case of Investigators who hold administrative positions (e.g., Vice President, Chancellor, Vice Chancellor, Dean, Department Chair, Director), disclosure of activities reportable under this Policy will be made to the academic unit in which the officer has his or her appointment and will be reviewed according to the procedures applicable to that unit. Disclosure and review of reportable activities by Investigators who do not also hold an academic appointment shall be handled by the appropriate campus on an ad hoc basis.
   
6. The person to whom disclosures are reported may initiate an inquiry when he or she believes a conflict of interest may exist.
   
7. Final authority for determining whether or not and on what conditions a specific activity covered by this Policy may be undertaken rests with the campus Chancellor.
   
8. Investigators shall be entitled to respond to recommendations at every stage of the review process.
   
9. Procedures adopted by the Chancellors shall provide Investigators with the opportunity for a second level of review of decisions recommending action to manage, reduce, or eliminate a conflict of interest.
   
10. Examples of conditions or restrictions that might be imposed to manage, reduce, or eliminate conflicts of interest include but are not limited to the following:
    
• Public disclosure of significant Financial Interests.
  
• Monitoring of Sponsored Programs by independent reviewers.
  
• Modification of the Research plan or instructional project for the Sponsored Program.
  
• Disqualification from participation in all or a portion of the Sponsored Program that would be affected by the significant Financial Interests.
  
• Divestiture of significant Financial Interests.
  
• Severance of relationships that create conflicts of interest.

Certain federal agencies (e.g., NSF) permit research or instructional activities to go forward without imposing such conditions or restrictions under the following or similar circumstances: when the reviewer(s) determines that imposing conditions or restrictions would be either ineffective or inequitable, and that the potential negative impacts that may arise from a significant Financial Interest are outweighed by interests of scientific progress, technology transfer, or the public health and welfare. Other agencies (e.g., PHS) do not allow such exceptions.

11. A copy of each set of campus procedures is to be submitted to the Vice President for Research.

APPENDIX

AAUP STATEMENT ON GOVERNMENT-SPONSORED RESEARCH
(revised April, 1990)

I. Favoring of Outside Interests

When a university staff member (administrator, faculty member, professional staff member, or employee) undertaking or engaging in government-sponsored work has a significant financial interest in, or a consulting arrangement with, a private business concern, it is important to avoid actual or apparent conflicts of interest between government-sponsored university research obligations and outside interests and other obligations. Situations in or from which conflicts of interest may arise are the:

1. undertaking or orientation of the staff member's university research to serve the research or other needs of the private firm without disclosure of such undertaking or orientation to the university and to the sponsoring agency;
   
2. purchase of major equipment, instruments, materials, or other items for university research from the private firm in which the staff member has the interest without disclosure of such interest;
   
3. transmission to the private firm or other use for personal gain of government-sponsored work products, results, materials, records, or information that are not made generally available (this would not necessarily preclude appropriate licensing arrangements for inventions, or consulting on the basis of government-sponsored research results where there is significant additional work by the staff member independent of the government-sponsored research);
   
4. use for personal gain or other unauthorized use of privileged information acquired in connection with the staff member's government sponsored activities (the term "privileged information" includes, but is not limited to, medical, personnel, or security records on individuals; anticipated material requirements or price actions; possible new sites for government operations; and knowledge of forthcoming programs or of selection of contractors or subcontractors in advance of official announcements);
   
5. negotiation or influence upon the negotiation of contracts relating to the staff member's government-sponsored research between the university and private organizations with which the staff member has consulting or other significant relationships;
   
6. acceptance of gratuities or special favors from private organizations with which the university does, or may conduct, business in connection with a government-sponsored research project, or extension of gratuities or special favors to employees of the sponsoring government agency, under circumstances which might reasonably be interpreted as an attempt to influence the recipients in the conduct of their duties.

II. Distribution of Effort

There are competing demands on the energies of faculty members (for example, research, teaching, committee work, outside consulting). The way in which a faculty member divides his or her effort among these various functions does not raise ethical questions unless the government agency supporting the research is misled in its understanding of the amount of intellectual effort the faculty member is actually devoting to the research in question. A system of precise time accounting is incompatible with the inherent character of the work of faculty members, since the various functions they perform are closely interrelated and do not conform to any meaningful division of a standard work week. On the other hand, if the research agreement contemplates that a faculty member will devote a certain fraction of effort to the government-sponsored research, or the faculty member agrees to assume responsibility in relation to such research, a demonstrable relationship between the indicated effort or responsibility and the actual extent of the faculty member's involvement is to be expected. Each university, therefore, should -- through joint consultation of administration and faculty -- develop procedures to ensure that proposals are responsibly made and complied with.

III. Consulting for Government Agencies or Their Contractors

When the staff member engaged in government-sponsored research also serves as a consultant to a federal agency, such conduct is subject to the provisions of the Conflict of Interest Statutes (18 U.S.C. 202-209 as amended) and the president's memorandum of May 2, 1963, Preventing Conflicts of Interest on the Part of Special Government Employees. When the staff member consults for one or more government contractors, or prospective contractors, in the same technical field as the staff member's research project, care must be taken to avoid giving advice that may be of questionable objectivity because of its possible bearing on the individual's other interests. In undertaking and performing consulting services, the staff member should make full disclosure of such interests to the university and to the contractor insofar as they may appear to relate to the work at the university or for the contractor. Conflict-of-interest problems could arise, for example, in the participation of a staff member of the university in an evaluation for the government agency or its contractor of some technical aspect of the work of another organization with which the staff member has a consulting or employment relationship or a significant financial interest, or in an evaluation of a competitor to such other organization.

Implementation of Board of Trustees Policy on Financial Conflicts of Interest and Conflicts of Commitment

http://www.indiana.edu/~bfc/docs/AY02/circulars/B20-2002.htm

Outline of Major Features of Conflicts of Interest Policy

http://www.indiana.edu/~bfc/docs/AY02/circulars/B21-2002.htm

Proposals Related to Financial Conflicts of Interest

http://www.indiana.edu/~bfc/docs/AY02/circulars/B22-2002.htm

Bloomington Campus Procedures for Regulation of Financial Conflicts of Interest, April 2, 2002

http://www.indiana.edu/~bfc/docs/policies/researchmisconduct.htm

DOCUMENT I-VI
PATENT POLICY
(Approved: UFC 2/16/71; Trustees 4/24/71 Amended: UFC 4/13/93; Trustees: 3/31/94. Note: This document is superseded by DOCUMENT I-XV, the Intellectual Property Policy)

The University, by its very nature, is in the forefront of generating new ideas and has an interest in the widest possible distribution to the general public of the benefits which may be derived from resulting inventions and discoveries. For this reason, the University also has an interest in the patenting of inventions, in order to insure that they will be properly licensed and developed to the point of availability. The University also deserves a share of any royalties received in order to meet the costs of the patent program and to aid in carrying out its functions in support of education and research.

Inventors connected with the University need an incentive to disclose an invention and to put in time and effort in adapting it for practical application. Sharing of the income from an invention is a practical way to provide such incentive, which can best be accomplished by allowing the University, or the Indiana University Foundation, to retain patent rights to inventions developed under contractual support. Few inventions at the University are commercially practical in the form in which they are conceived or reduced to use in the University. Most are in fact unanticipated by-products of research effort. Further investment is usually necessary to render the invention commercially attractive. Investment by outside organizations may be protected by the availability of limited exclusive use of patents. By University or Foundation retention of patent rights, patent applications may be filed promptly, and negotiations commenced with prospective licensees. Holding patent rights, the University, or the Indiana University Foundation acting for it, can enter into agreements for the testing of ideas with some protection for the testing firm's investment before it is clear whether or not there is a patentable invention. For example, in the drug field such protection encourages the screening of new compounds, and leads to discoveries and developments to the ultimate benefit of the public.

UNIVERSITY POLICY
Where any resources, facilities, faculty, staff, or students of Indiana University are involved in the development of inventions the following shall apply:

1. Indiana University shall have the sole right to determine the disposition of inventions or other developments by faculty or staff members, students, or other persons resulting from programs supported wholly or in part by research funds administered by the University. In the judgment of the University, subject to any restrictions which may be imposed by contract with a sponsoring agency, such disposition shall be in the best interest of the University, the inventors, and the public. The University will seek the advice of the University Committee on Inventions and Patents in cases not controlled by contract.
   
2. The University will exercise its right to acquire a patent only when its basic aims will be furthered by such action. In making this determination full consideration will be given to the aim of rewarding inventors and to the question of whether commercial exploitation will best be accomplished by such patent acquisition. In other cases, the rights will be waived to the inventor, the government, or other sponsoring agency, as determined by the University. Where the invention is waived to the inventor, provisions shall be made for any rights of the government or other sponsoring agency. In some instances, the University may not be in a position to grant a request that the inventor acquire personal ownership of the invention.
   
3. When the University makes the determination to exercise its right to acquire a patent, it will endeavor to have patent applications promptly executed and filed, to search out and commence negotiations with prospective licensees, and to make appropriate efforts to have the invention developed. Such efforts may be made directly by the University or by contractual arrangement with the Indiana University Foundation or appropriate outside organizations.
   
4. It is the policy of the University that the inventor should participate financially in any proceeds from the invention, even though it arises from a University-administered program of research. In arranging for the development of inventions the University will accordingly provide that a share of the income will be paid to the inventor.
   
5. Donors of funds accepted by the University, or by the Indiana University Foundation, for grants-in-aid of specific faculty research programs shall be entitled to a license under any patents that the University may acquire as a result of work to which the funds are applied, such as licenses to be on terms to be negotiated.
   
6. The government and other sponsors of research may require formal agreements between the University and those connected with sponsored projects; therefore, where the sponsor requires a formal agreement the University will require all faculty or staff members, students, or other persons who wish to participate in such projects to enter into the University Patent Agreement. The University Patent Agreement will include an assignment of all rights to the University, will include provisions for disclosure of necessary information for proper preparation and prosecution of patent application, and will include some statement regarding minimal and maximal shares in income by the inventors.
   
7. Any faculty or staff members, students, or other persons who are connected with the University and who are also engaged in consulting work or in business should use care in determining that patent clauses in their outside agreements are not in conflict with the patent policy of the University or the provisions of the University Patent Agreement. The University shall have the ultimate right to assist in resolving any conflict or potential conflict of interests in regard to patent matters arising from outside activities of its faculty or staff members, its students, or other persons involved.
   
8. The University recognizes the traditional academic freedom of faculty or staff members, students, and other persons connected with the University in matters of publication and copy rights. However, where University commitments or Indiana University Foundation commitments of a contractual nature to a sponsor require, the University shall have the right to determine conditions of publication and the disposition of copyrights in line with the principles set forth in the policy of Indiana University on patents. The patent and copyright commitments of the University on sponsored projects are determined by the particular grants or contracts under which the work is performed. The University will endeavor to negotiate contracts on terms that will further its basic aims in patent and copyright matters.
   
9. In the event that the University may be required to contract with outside agencies for selected parts of sponsored research projects, patent agreements shall be obtained from such agencies requiring that all scientific and technical personnel connected with the project promptly report and assign all subject inventions to the University or its designated patent management organizations.
   
10. Inventions or other developments produced by faculty or staff members, students, or other persons along lines not related to any University administered program of research with which the individual may be connected, and to the production and development of which the University contributes no special space, facilities, or funds, shall be the exclusive property of the individual producing the invention or development. The University will not construe the payment of salary as alone constituting grounds for claiming an equity by the University in such invention.
    
11. Any faculty or staff member, student, or other person who has made an invention considered to be that person's exclusive property, may wish to submit the invention to the University for management under terms to be agreed to by the inventor and the University.
    
12. Students who receive financial aid or research expenses, or who utilize laboratories or equipment, which are financed wholly or in part by sponsored funds, must relinquish their rights in resulting inventions to the extent that the University is obligated to those who give financial aid for the educational and research programs through which the inventions are made. Students who make any invention or development in the course of their studies under a faculty research advisor, but who receive no financial aid from funds administered by the University, and who are not connected with any University program of sponsored research, should share rights in the invention or development with their faculty research advisor. Staff members who are also part- time students shall be considered staff members insofar as disposition of patentable inventions is concerned.
    
13. Persons not associated with the University may come to the University with a patentable invention or development which may be to the public benefit, but which needs further refinement before its advantages can be fully realized. Where such an invention is related to a University research program and where University personnel, upon administrative approval, become associated with its continued development, resulting patents may be accepted by the University. The procedure will be the same as for work done by faculty or staff members, students, or other persons on University time; however, the sharing of income shall be in accordance with an agreement made with the original inventor at the time of assignment.
    
14. It is recognized that special cases may arise which are not specifically covered by the foregoing provisions. Such special cases may be submitted to the Committee on Inventions and Patents for resolution.

PATENT PROCEDURE
The Office of the President is responsible for administrative matters relating to inventions, patents, and copyrights. The Vice President for Research and Dean of the Graduate School represents Indiana University in all matters of patent policy affecting the University's relations with government, industry, and the public. These duties shall be carried out with the aid of the following two committees.

1. The Policy Committee on Intellectual Property, appointed by the Vice President for Research, consists of seven to twelve members, at least a majority of whom are faculty, and the remainder from the administration or staff of the university. A faculty majority of the committee shall be named by the UFC with the concurrence of the Vice President for Research. While it is important that disciplines, colleges, schools,and/or campuses traditionally interested in matters of intellectual property such as patents, licenses, copyrights, etc., be represented on the committee, it is also important that the committee be representative of the faculty broadly. Committee members shall serve staggered three year terms. The committee shall elect its own chair yearly from among the faculty members of the committee. One faculty member shall also serve on the Technology Transfer Advisory Committee. Responsibilities of the PCIP are to:

A. Develop specific policies on intellectual property in line with the general principles on intellectual property established by the University Faculty Council.

B. Advise the Vice President for Research on any other matters relating to intellectual property that might be brought to the committee from any source.

C. Send copies of the minutes to all meetings of the UFC Agenda Committee.

D. Report annually to the UFC on policies established (or rescinded) on intellectual property during the year, and give some evaluation of the implementation of these policies by the Technology Transfer Advisory Committee. This report shall be in sufficient depth for the UFC to determine whether the policies are consonant with the principles and how they are working, and to permit the UFC to communicate with the faculty at large on these matters.
2. The Technology Transfer Advisory Committee, appointed by the Vice President for Research, consists of seven to twelve members, at least a majority of whom are faculty and the remainder from the administration or staff of the university. The faculty majority of the committee shall be named by the UFC with the concurrence of the Vice President for Research. As with the Policy Committee on Intellectual Property, representation should be balanced and Committee members shall serve staggered three year terms. The committee shall elect its own chair yearly from among the faculty members of the committee. One faculty member shall also serve on the Policy Committee on Intellectual Property. Responsibilities of the TTAC are to:

A. Advise the Office of the Vice President for Research on the implementation of issues of the Policies on Intellectual Property.

B. Advise the Director of Technology Transfer on the continuing operations of the Office of Technology Transfer.

C. Review all patents, licenses, and other intellectual property arrangements.

D. Serve as a conduit for faculty, staff, and students who may wish to raise questions concerning technology transfer.

E. Advise the Policy Committee on Intellectual Property or the UFC when new policies are needed.

F. Report periodically, but not less than twice yearly, to the PCIP on the workings of the TTAC.

In the specific case of research supported by the Department of Health and Human Services (DHHS), inventions or discoveries having patent potential are covered by an institutional patent agreement between DHHS and Indiana University and the Indiana University Foundation. This agreement gives the University the right to elect to file patent applications in the United States and in foreign countries on discoveries or inventions made during research sponsored by DHHS, provided that the University grants to the U.S. Government in each case a non-exclusive royalty-free license for government purposes. The agreement allows the full flexibility and simplicity of the University Patent Policy (including internal royalty arrangements between the University and the inventor), and requires only that each investigator sponsored by DHHS sign the Indiana University Patent Agreement based on the policy described in the fourteen points above.

DOCUMENT I-VII
HUMAN SUBJECTS
(Administrative Practice)
The University administers policies which protect the rights and the physical and mental health of human beings who are experimental subjects. These policies provide for full and clear documentation, available at all times, that such protection is always in effect. The Office of the President has ultimate responsibility for administering these policies. The President or his designee is advised and assisted by the All-University Committee on the Use of Human Subjects for Experimentation. In addition, there are review boards serving each campus of Indiana University. These review boards monitor on-going research and review research plans to insure full compliance with the University's policies in this area.

It is the responsibility of any appointee conducting or planning to conduct research involving human subjects to inform himself or herself fully of University policies in this area and to insure that the actual or planned research is in full compliance with these policies. Strict adherence to these policies is required whether or not the research in question has or is envisioned as having external sponsorship and funding.

Compliance will typically involve:

1. Documented consent of human subjects who may be in any degree at risk as a consequence of the experimentation.
   
2. Demonstration that the expected scientific value of the research justifies the degree of risk to human subjects, and that such risk cannot reasonably be reduced.
   
3. Prior scrutiny and approval by the relevant Campus Review Board, to assure compliance with all aspects of University policy, including but not limited to (l) and (2) above.

Full statements of the relevant University policies and procedures are available from the offices of the President, the Chancellors, the Vice President for Research and from the chairpersons or administrators of the Review Boards. As soon as any possibility of employing human subjects emerges in the course of designing research, the responsible investigator should immediately request a copy of the University policies, familiarize himself or herself with them thoroughly, and seek guidance and clarification, if necessary, from one of the above offices or committee chairpersons. These policies and procedures apply not only where human beings will function primarily or exclusively as experimental subjects, but also where such persons may be viewed primarily as therapeutic subjects, and where their role as experimental subjects may be perceived by the investigator-clinician as relatively minor.

DOCUMENT I-VIII
ANIMAL USE AND CARE
(Administrative Practice)

Fulfillment of Indiana University teaching and research missions requires a variety of approaches, among which is the use of animals. Living animals are used only when there is no valid alternative to their use, or when their use may be required by law in a particular experiment or test.

Animals, in order to yield valid results, must be healthy and comfortable. For this reason, as well as for humaneness, it is the policy of Indiana University that animals required for teaching and research shall be housed, cared for, and used in accordance with the highest standards of comfort and cleanliness, as required by regulations and guidelines of the Animal Welfare Act, the National Institutes of Health, and the Public Health Service.

Decisions relating to implementation of the Indiana University Policy on Animal Use and Care are the responsibility of the President or his designee. Oversight responsibility is vested in the All-University Animal Research Committee, composed of scientists, a non-scientist faculty member, a person from outside the University, and a veterinarian experienced in laboratory animal medicine and care. This veterinarian serves as University Veterinarian, with operating responsibility for animal use and welfare in the University system.

DOCUMENT I-IX
MAILING LIST
(Approved: BFC 10/20/70)

The faculty addressograph mailing list is under the control of the Dean of the Faculties. The Dean's decision on its use is final. It should be kept in mind that it is appropriately used only for University or University related affairs and that many faculty already consider themselves overburdened with receipt of mail in which they have no interest. We further recommend that the list not be used for:

1. Partisan political activities.
   
2. Sales of any kind other than by official University agencies such as the Auditorium Series, the Bookstore, Athletic Department, Alumni Association, etc.
   
3. Solicitation of funds for support of any but an official University organization or the United Fund unless the solicitation is supported by the Faculty Council.
   
4. Material considered obscene, inflammatory, libelous or in any other way illegal.

DOCUMENT I-X
TRANSPORTATION AND PARKING
(Approved: BFC 2/18/92)

The Bloomington Faculty Council commends the task force for its thorough and challenging report and the chancellor for appointing the task force. While this resolution does not constitute an endorsement of all elements of the report, we request that Vice President Gros Louis appoint a Director of Parking and Transportation from the existing personnel on campus with responsibility and authority for developing an integrated approach to parking and transportation, achieving a consensus on goals, conducting any necessary feasibility studies, establishing a time schedule for implementation of plans to improve and coordinate parking and transportation at the earliest possible time and such other duties as may be necessary to meet the parking and transportation needs on the campus. The director would report to the office of the Bloomington Chancellor. Proposals for specific actions would be made with the advice of the BFC, student government, and staff government groups through an advisory board.

DOCUMENT I-XI
TECHNOLOGY TRANSFER
(Approved: UFC 11/10/92)
Whereas the question of intellectual property rights is absolutely fundamental to the work of all faculty members, and

Whereas questions of intellectual property rights are intimately tied to such things as patent and/or license agreements, conflict of interest statements, intellectual property rights statements, (and to the decision-making structure for such agreements and statements), and

Whereas the implications for intellectual property rights contained in several proposals currently circulating have not been fully explored,

Be it therefore resolved that the UFC Agenda Committee appoint a task force charged to take no action on such matters until the faculty has had adequate time to consider them.

DOCUMENT I-XII
STATEMENT OF PRINCIPLES ON INTELLECTUAL PROPERTY
(Approved: UFC: 4/13/93, Amended and approved: Trustees 3/31/94)

In the recent past, universities have undergone a profound transition in their attitudes toward and interactions with a variety of organizations external to the university. Policies concerning intellectual property rights, conflicts of interests, and patents/license agreements, to name but a few, have begun to consume enormous amounts of time and thought.

Some academic institutions have all but abandoned their traditional role as the place in society for free and independent generation and critique of ideas. In contrast, others have taken time to examine their role and to reaffirm their commitment to basic principles.

Indiana University hereby reaffirms its commitment to certain basic principles appropriate to the pursuit of its academic goals. These principles stand before and make subservient to them all other rules, guidelines, procedures, etc., which the university might make in the areas of intellectual property rights.

Principle 1. Indiana University is first and foremost an academic institution. Its fundamental missions are research, teaching, and service in furtherance of its principle aim of the advancement of knowledge and toward the ultimate aim of the greater public good. All decisions concerning the operation of the university, including those on funding and resource allocation, shall be made in line with this principle.

Principle 2. Academic freedom is one of the most basic principles governing academic institutions and in maintaining their role in society as independent critic. It must not be abridged.

The rights of individual scholars to select their topics of research and sources of research support, draw conclusions for which they bear sole responsibility, and be protected from impositions on their work of external goals or criteria are paramount to this academic community.

It is understood that funding constraints play a role in ultimately determining what research an individual may actually be able to do. The basic choice, however, as to which ideas to pursue, how to pursue them, and how to communicate them must remain with the individual researcher.

It is also understood that, although faculty have the complete freedom to select and pursue their own studies, periodic evaluation of this work for purposes such as promotion, tenure, and salary review will take into account criteria developed by the faculty for the judgment of such work, such as quality and extent of the work.

Principle 3. The free and open exchange of ideas and information is fundamental to the very reason for being of a university. Faculty must be free to discuss their ideas with whomever they wish without fear of reprisal from any quarter. They must be free to publish, in whatever form they deem appropriate, their results, conclusions, and interpretations, subject only to constraints of protection of privacy or confidentiality of personal data, protection of sponsor's confidential information, and, in some cases, brief delays for the protection of intellectual property rights.

Indiana University policies do not permit the acceptance of secret research, i.e., classified government research. The names and affiliations of all research sponsors and the general purposes of the research are to be made public. Agreements requiring the protection of confidential information are to be approved by the Vice President for Research under guidelines developed by the Policy Committee on Intellectual Property consistent with the principle of free and open exchange of ideas.

If individuals, or institutions, begin to restrict the free flow of information, for profit or for any other reason, the long term risks of loss of independence are greater than any short term gain.

Principle 4. Stewardship of intellectual property shall be consistent with the teaching, research, and service missions of Indiana University.

Indiana University policies concerning intellectual property ("University Intellectual Property Policies") shall be developed by the Policy Committee on Intellectual Property, approved by the University Faculty Council, and adopted by the Board of Trustees.

Commercial exploitation of intellectual property shall be subject to University Intellectual Property Policies and to applicable law. There shall be no requirement that any intellectual property be exploited commercially. Every effort should be encouraged to commercially develop valuable intellectual property to provide revenue to the University and serve the public good.

Faculty may be required to assign title or ownership of the intellectual property to Indiana University or the Indiana University Foundation under four conditions:

1. Assignment is required by law;
   
2. Assignment is required by contractual arrangements to which the creator/faculty member has previously agreed;
   
3. Commercial development is sought of intellectual property created with significant University resources, other than traditional works of scholarship and creativity (e.g., scholarly articles, research bulletins, monographs, books, plays, poems, works of art) and instructional materials (e.g., textbooks, syllabi, study guides); or
   
4. The creator/faculty member desires to assign intellectual property to Indiana University or the Indiana University Foundation.

All assignments by faculty of intellectual property to Indiana University are subject to five qualifications:

1. The University shall not assign title (e.g., ownership) to intellectual property without the permission of the creator/faculty member.
   
2. All licensing of intellectual property shall be subject to written agreements developed in accordance with University Intellectual Property Policies;
   
3. The creator/faculty member retains the right to be identified, or to refuse to be identified, as the creator by the University and by subsequent licensees or assignees, except as required by law;
   
4. The creator/faculty member shall have the right to share in the proceeds, after deducting expenses, resulting from commercial development by the University, including assignment or licensing; and
   
5. The creator/faculty member shall retain responsibility for the intellectual stewardship of the work, including the right to pursue related research or creative activity, determine methodologies, draw conclusions, and disseminate information to students, colleagues, other scholars, and the public, provided that such dissemination does not breach any duty of confidentiality or violate any intellectual property commitments to which the creator/faculty member has agreed.

Implementation of University Intellectual Property Policies shall be carried out by the Vice President for Research and the Office of Technology Transfer with the advice of the Policy Committee on Intellectual Property and the Technology Transfer Advisory Committee. The Policy Committee on Intellectual Property shall report annually to the University Faculty Council and to the Board of Trustees.

Before being appointed by the Board of Trustees or as soon thereafter as possible, each faculty member shall be informed of the University Intellectual Property Policies, this Statement of Principles, and of Indiana University's resources for protecting and marketing the intellectual property of the faculty and shall acknowledge in writing that the faculty member has been so informed.

(Approved: BFC 2/2/93)

The Bloomington Faculty Council goes on record as objecting to any language, blanket language, to the effect that the university owns intellectual property produced by its faculty, graduate students, undergraduate students, staff, or emeriti.

DOCUMENT I-XIII
INDIANA UNIVERSITY POLICY ON RESEARCH INTEGRITY AND GUIDELINES FOR ESTABLISHING PROCEDURES FOR RESPONDING TO ALLEGATIONS OF RESEARCH MISCONDUCT

(Approved: UFC 2/10/98)

APPENDIX A: BLOOMINGTON CAMPUS PROCEDURES
(Approved: BFC 11/4/97)

DOCUMENT I-XIV
TRANSPORTATION AND PARKING IMPROVEMENTS
(Approved: BFC 2/16/93)

Concerning parking and transportation issues:

A. To finance needed improvements in the university's transportation system, a combination of the following funding sources should be used in approximately this priority order:
1. Federal and state grants.
2. As soon as it is feasible, all receipts from parking fines should be retained by the parking and transportation program. In view of current pressures making immediate transfer of the portion of these funds now used for student financial aid unlikely, an amount equal to the average transfer for the last five years should continue to be transferred to the financial aid program, with all fine receipts in excess of this amount going to the Parking and Transportation program.
3. Explore short-term parking.
B. In the use of increased revenues, this priority order should be followed:
1. Provide the recommended miscellaneous improvements in enforcement, car pooling, bicycle facilities, signs, education, etc.
2. Upgrade the university bus fleet and maintenance facility.
C. In addition to an annual report to the Bloomington Faculty Council by the Director of Transportation, after five years, a new task force- composed of faculty, staff, and students--should be created and asked to evaluate progress and make recommendations.

(Approved: BFC 3/2/93)

Fees for all types of parking permits, including meters and structures should be increased, probably annually. Fees for parking permits for full time employees should be based on an income-graduated scale.

(Approved: BFC 3/23/93)

1. The implementation of an ID card in lieu of fare for bus service on campus and in the city and county should take precedence over construction of new parking structures.
   
2. Fees for parking on campus for persons residing on campus should be raised to more closely reflect the costs of the spaces that are occupied, whether in open lots or in garages.

DOCUMENT I-XV
INTELLECTUAL PROPERTY POLICY
(Approved: Trustees 5/2/2008)

Introduction to the Indiana University Policy on Intellectual Property

This policy implements the Indiana University “Statement of Principles on Intellectual Property.” The policy has five basic elements: definitions, categories of intellectual property, the distribution of revenues, dispute resolution within the university, and implementation. Under this policy, the primary division of intellectual property is between patentable and copyrighted works. Generally speaking, ownership of patentable work is vested in the University. Copyrighted works are subdivided into Traditional Works of Scholarship, ownership of which remains with the creator of the work, and University Works, as to which the University retains ownership. The revenues from intellectual property owned by the University are distributed according to the formula set out in this policy.

Indiana University Policy on Intellectual Property

1. Definitions

A. “Creators” are any persons who create intellectual property using University resources.

B. “Indiana University” and “University” refer to Indiana University or to its subdivisions, as appropriate.

C. “President” means the President of Indiana University or his or her designee.

D. The Indiana University Research and Technology Corporation (IURTC) is the organization assigned by Indiana University to hold and manage the University’s intellectual property. References to IURTC include its offices and subdivisions, and include any successor organization.

E. “Externally Funded Works” are copyrighted works resulting from funds given to the University by external sources.

F. “Patentable Intellectual Property” describes inventions, discoveries, and manufacturing designs that have been reduced to practice, and are novel, useful, and non-obvious, and therefore likely to be subject to protection under United States patent law.

G. “Copyrighted Intellectual Property” describes original works of authorship that have been fixed in a tangible medium of expression, including books, articles, artwork, music, software, traditional or electronic correspondence, and on-line instructional materials, that are likely to be subject to protection under United States copyright law.

H. “Traditional Works of Scholarship” are copyrighted scholarly and creative works regardless of their form, other than patentable intellectual property, which are created by academic appointees or students, and which have not been the subject of Exceptional University Support or external contracts or grants. Examples of Traditional Works of Scholarship include scholarly publications, journal articles, research bulletins, monographs, books, play scripts, theatrical productions, poems, works of music and art, instructional materials, and non-patentable software.

I. “University Works” are copyrighted works (including on-line instructional materials) that have been specifically commissioned by a University office, that have been developed with Exceptional University Support, or that constitute Externally Funded Works.

J. “Exceptional University Support”

i. Exceptional University Support is financial or other support for research and teaching activities that exceeds the norm for a faculty member or student’s research or for teaching in his or her field or department.

ii. No support shall be deemed Exceptional University Support in the absence of a written agreement between the University and the Creators that specifies ownership of copyright in all resulting works and the allocation of associated rights.

Exceptional University Support does not include:

(a) sabbatical funding;

(b) the award of competitive internal research or teaching grants;

(c) ordinary library services;

(d) clerical or administrative support;

(e) office or laboratory supplies and equipment;

(f) funding for endowed chairs; or

(g) merely assigning a faculty member to teach a course that uses instructional materials that are provided to students electronically, including through the internet.

iv. For on-line instruction, Exceptional University Support does not include:

(a) ordinary use of University servers and software platforms;

(b) basic instruction in web composing;

(c) basic orientation to the operation of online instructional techniques and processes;

(d) occasional technical troubleshooting assistance; and

(e) consultation with relevant University offices with respect to the Creator’s rights under this Policy

v. For on-line instruction, Exceptional University Support includes:

(a) provision of designated technical assistance, such as audio-visual department personnel or a qualified graduate assistant, to assist development of an online course, or provision of specialized software purchased for a particular online project, which exceeds normal University support for traditional courses, or

(b) commissioned by the University by the provision of release time or other compensation to a faculty member as an adjustment to normal assigned duties for the purpose of creating an online course, which exceeds normal University support for traditional courses.

K. “On-line instruction” means instruction that is distributed to students exclusively through the internet.

L. “On-line instructional materials” are works, including courseware, that are created and distributed in connection with on-line instruction.

M. “Net revenue” is that remaining after deducting all legal fees and expenses necessary for obtaining and maintaining protection for, and licensing, applicable intellectual property.

2. Categories of Covered Intellectual Property

A. Patentable Intellectual Property

i. The University shall have the sole right to determine the disposition of patentable intellectual property under this Policy, including decisions concerning patent licensing and sale. Determination of those dispositions shall take into account the interests of the University, the public, and the Creator, including the Creator’s professional or ethical convictions concerning the use of intellectual property.

ii. Creators shall disclose promptly to IURTC any potentially Patentable Intellectual Property on forms made available by IURTC. IURTC shall report all disclosures to the President, and shall provide to Department Chairs and School Deans quarterly lists of disclosures relevant to their units.

iii. IURTC shall assess all disclosures submitted to it in a timely fashion, normally within sixty days, to determine whether the University should seek patent protection for the intellectual property. IURTC shall promptly notify the Creator of the intellectual property of the results of its assessment.

iv. Distribution of revenues derived from patentable intellectual property shall be governed by the distribution schedule stipulated in Section 3 of this policy, unless legal requirements or contractual agreements require otherwise.

B. Traditional Works of Scholarship

i. Except as provided in section 2.C.v, the University shall assert no claims to copyright ownership in or to distribution of revenue from Traditional Works of Scholarship.

ii. The University may use Traditional Works of Scholarship, including on-line instructional materials, created for ordinary classroom and program use, such as syllabi, assignments, and tests, for administrative purposes, which may include course equivalency assessments for transfer purposes, accreditation agency reviews, and other functions that allow the University to fulfill its responsibilities for accountability.

C. University Works

i. The University retains all rights to use and commercialize University Works. The University may choose to forego or modify its ownership of a University Work and associated rights, through a written agreement with the Creator(s) of the work.

ii. In the absence of contractual or legal restrictions to the contrary, the University grants Creators non-exclusive rights to non-commercial use and distribution of University Works they have authored. Creators who leave the University may continue to use such works at another non-profit institution for teaching, research, and other non-commercial purposes.

iii. Revisions of University Works

(a) The University will respect the rights of Creators of University Works in considering and undertaking revisions.

(b) The University shall either withdraw obsolete University Works from use or seek revisions.

(c) Creators may initiate a request for withdrawal or revision in order to protect academic integrity.

(d) The University shall offer Creators employed by the University the opportunity to make revisions before requests are made of others.

(e) The University shall in good faith consult Creators no longer employed by the University.

iv. The University shall acknowledge all Creators who have made a substantial contribution to a University Work, unless those individuals request otherwise. Creators may request to have their names removed from works.

v. The distribution of revenue arising from marketing, licensing, and protecting University Works, and from the sale of their copyright or associated rights, shall be distributed in accord with the schedule stipulated in Section 3, unless the University and Creators agree otherwise.

vi. Copyright of University Works is held by the University in the name of the Trustees of Indiana University.

vii. Protection of and Liability for Copyright

(a) IURTC and the Office of University Counsel, as appropriate, shall investigate allegations of unauthorized use or copyright infringement of University Works, and shall recommend appropriate action. If the University initiates legal action in response to an unauthorized use or infringement, all costs of such action shall be borne by the University, which shall control the action. If IURTC decides not to initiate legal action, the Creator(s) may appeal the decision to the President, whose decision shall be final.

(b) In the event third parties assert unauthorized use or copyright infringement claims relating to a work in which the University has asserted ownership against the University or the Creator(s), the University shall assume responsibility for the defense and control of any legal action arising from such claims, in accordance with the University's Indemnification Policy.

viii. In the case of all copyrightable University Works, the unit or units of the University that have commissioned the work or provided Exceptional University Support shall file a report with IURTC as to the existence of such University Work and the opinion of the unit(s) as to such University Work’s commercial potential. IURTC will assess the commercial potential and determine whether it wishes to manage commercialization of the work and management of the copyright. If IURTC does not deem the work marketable, it shall transfer the management responsibilities back to the commissioning unit(s). In these cases, the unit(s) may undertake management of the copyright, in consultation with the Office of the University Counsel, including the granting of non-royalty bearing licenses and other agreements involving permission for use.

D. Externally Funded Works

Externally Funded Works shall be considered University Works for all purposes, except that the terms of their respective sponsorship agreements or applicable laws shall take priority over this policy.

E. On-Line Instructional Materials

i. On-line instructional materials are considered Traditional Works of Scholarship, unless they were –

(a) specifically commissioned by the University from a faculty member or any other person,

(b) created using Exceptional University Support, or

(c) created by non-faculty staff within the scope of their employment,

– in which case they are considered University Works. This policy only applies to the aspects of the materials that are separable from other protected intellectual property that is incorporated into or utilized by the online materials.

ii. Faculty creators of instructional materials that are provided to students electronically (including through the internet) and which qualify as Traditional Works of Scholarship may commercialize such works, so long as the University’s name is not used other than to identify the faculty member’s position at the University.

iii. The copyright in instructional materials created by students and submitted to meet course requirements, and which would otherwise qualify as Traditional Works of Scholarship under section 2.E.i above, is owned by the student creator. Neither the course instructor nor the University shall distribute student owned on-line instructional materials for purposes beyond those of the course in which they are submitted or for appropriate for administrative purposes (such as accreditation agency reviews, assuring academic integrity, and other functions that allow the University and instructors to fulfill their responsibilities for accountability), without obtaining the written permission of the student.

3. Revenue Distribution

A. Monetary Proceeds

i. All monetary proceeds from the transfer or commercialization of applicable intellectual property shall be distributed as follows, unless legal requirements or contractual agreements require otherwise:

(a) The Creator(s) (or heirs, successors, and assigns), shall receive 35% of net revenues arising from the applicable intellectual property. The Creator’s share shall be divided equally among joint Creators, absent a written agreement among the Creators to the contrary.

(b) The laboratory, or other applicable ongoing research, teaching, or service project entity in which the intellectual property originated, shall receive 15% of net revenues for the period during which the entity continues to function and the Creator(s) remain associated with the University. If the intellectual property did not originate through such an entity, or if the Creator(s) cease to be associated with the University, this portion shall be assigned to the originating administrative unit (department, center, etc.). If the laboratory or other project entity ceases to exist while the Creator(s) remains at the University, this portion shall be assigned to an account in support of research managed by the Creator(s) and supervised by the originating administrative unit. In the case of multiple Creators, this full share shall continue to be allocated undiminished so long as a single faculty Creator remains at the University; this includes Creators holding emeritus status who continue to maintain a University research, teaching, or service project, subject to annual approval by the relevant dean and the President.

(c) Campus units that have been involved in the development of the intellectual property, such as departments in which the Creator holds FTE appointment, centers initiating or managing project contracts and grants, and the relevant school, shall share 15% of net revenues. Campus faculties shall develop policies governing the distributions of such revenues among campus units in a manner appropriate to the campus, and adhering to the principle that a unit’s degree of direct engagement in intellectual property development shall be reflected in its share of revenues. These policies permit and encourage units that cooperate in support of projects that generate intellectual property to execute agreements in advance concerning distribution of the campus units’ share of revenues.

(d) The University and IURTC together shall receive 35% of net revenues, to support further intellectual property creation as determined by the President and to cover the expenses associated with management of intellectual property and to support further activities of the IURTC Office of Technology Transfer devoted to intellectual property creation and protection. The division of this amount between the University and IURTC shall be negotiated between the University and IURTC. A report shall be made annually to the Intellectual Property Policy Council on the division of revenues and the activities of the University and IURTC in support of intellectual property creation and protection.

ii. In the absence of a written agreement to the contrary, multiple Creators shall receive equal portions of the Creator’s share of revenue, and cases involving multiple laboratories, units, schools, and the like shall follow the principle of equal portions.

B. Equity Interests

i. IURTC may negotiate for equity interests in lieu of or in addition to monetary consideration as a part of an agreement between IURTC and an external entity relating to intellectual property. Such negotiations shall comply with federal and state statutes, University policies on conflicts of interest and commitment, and other applicable University policies.

ii. IURTC shall own the equity interests. If and when monetary proceeds are generated by the sale of equity interests, those proceeds shall be distributed according to the policies set forth above for revenue distribution. IURTC does not act as a fiduciary for any Creator concerning equity interests or other non-monetary consideration received under the terms of this policy and no Creator shall have any interest in, or legal right to, such equity interests or non-monetary consideration.

iii. A Creator may propose to IURTC an equity interest in the intellectual property in exchange for his or her own distribution (all other distributions being proportionately increased). IURTC shall negotiate with the Creator in good faith; however, it is not required to reach agreement with the Creator for an arrangement other than the equity and distribution arrangements in the prior paragraphs.

4. Dispute Resolution

A. All appeals of decisions of the University or IURTC under this policy will be referred to an Intellectual Property Policy Council.

B. The Intellectual Property Policy Council shall consist of

(i) Six faculty members, selected as follows:

(a) two faculty members appointed annually—one by the IUPUI Faculty Council Executive Committee and one by the Bloomington Faculty Council Agenda Committee—from the membership of campus Research Affairs Committees or other relevant standing committees of the Councils;

(b) one faculty member from a regional campus shall be appointed annually by the UFC Agenda Committee from the membership of the UFC Research Affairs Committee.

(c) two at-large faculty members appointed by the University Faculty Council Agenda Committee, in consultation with the President

(d) a faculty chair designated by the University Faculty Council Agenda Committee, in consultation with the President; and

(ii) The associate deans for research or equivalent from:

(a) the School of Medicine;

(b) the College of Arts and Sciences, and

(c) two other schools—one each from the Indianapolis and Bloomington campuses—designated annually by the President.

C. Creators may appeal actions or decisions of the University or IURTC within thirty (30) days after the action or decision, unless good cause is shown for delay. The Council shall make a determination within thirty (30) days of the appeal. The University, the IURTC, or the Creators may appeal the Council’s determination to the President, whose decision will be final. The President shall submit a report to the Council explaining the basis for his or her decision.

5. Implementation

A. This policy is to be interpreted and implemented so as to avoid infringement on academic freedom or restrictions on the ability of researchers to publish and present the results of their research.

B. Intellectual Property Policy Council.

1. The University or IURTC (as appropriate) shall consult with the Intellectual Property Policy Council in developing implementation policies for this policy. The University or IURTC may request a recommendation from the Intellectual Property Policy Council regarding the disposition of the intellectual property.

2. All exceptions to the terms of this policy shall require the written consent of the President, after consultation with the heads of directly affected units and schools, the chair of the Intellectual Property Policy Council or his or her designee, and the Creators. Individual agreements among parties concerning the distribution and relinquishing of rights or revenues are not exceptions under this policy.

3. The Intellectual Property Policy Council shall submit a written summary of its activities annually to the University Faculty Council and shall specifically address the effectiveness of the University and IURTC in utilizing the revenues that it receives under this policy to serve the interests of Creators and the University.

C. Written agreements related to revenue distributions, licenses, and exemptions that were executed prior to the effective date of this policy shall not be affected by this policy.

D. The Office of the University Counsel is the only source of legal advice within the University and shall only provide legal advice to the University, not to individual authors with respect to works in which they own the copyright. IURTC directs all intellectual property litigation under this policy on behalf of the University.

E. The President and the Creators may by written agreement modify the terms of ownership and distribution of revenues.

F. This policy takes effect on July 1, 2008, and replaces the intellectual property policy adopted by the Board of Trustees on May 9, 1997. For copyrighted works, the effective date shall be determined as the date of the creation of the work in its final form. For potentially patentable works, the effective date shall be determined as the date that the work was or should have been disclosed as required by this policy.

G. The Intellectual Property Policy Council shall assess the effectiveness of this policy and the appropriateness of its revenue distribution at intervals of not more than five years. It shall report its findings to the University Faculty Council and the President.

DOCUMENT I-XVI

POLICY ON FAIR USE OF COPYRIGHTED WORKS FOR EDUCATION AND RESEARCH

(Approved BFC 10/7/97, UFC 10/14/97, Trustees 12/5/97)

DOCUMENT I-XVII
STATEMENT OF CIVILITY
(Approved BFC 11/16/99)

http://www.indiana.edu/~bfc/docs/policies/civility.htm

• to the Table of Contents of the Academic Guide
  
• to the Faculty and Academic Affairs home page