Difference between revisions of "I. Professional Conduct and Communications"
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===Financial Conflicts of Interest in Research===
===Financial Conflicts of Interest in Research===
The many interactions that members of the University community have with business, government, not-for-profit groups, professional societies, academic institutions, and other individuals and organizations, as well as with community, political, religious, and cultural activities and institutions inherently create the potential for conflicts of interest in which external activities, income or other interests affect–or might appear to affect–the manner or extent to which those individuals pursue research within the University. Such real or apparent conflicts, when not appropriately disclosed and addressed, can undermine public and professional confidence in the integrity of University research and sponsored programs. Additionally, federal law and regulations require Indiana University to have a process in place to manage conflicts of interest involving federally funded research. (See [[
The many interactions that members of the University community have with business, government, not-for-profit groups, professional societies, academic institutions, and other individuals and organizations, as well as with community, political, religious, and cultural activities and institutions inherently create the potential for conflicts of interest in which external activities, income or other interests affect–or might appear to affect–the manner or extent to which those individuals pursue research within the University. Such real or apparent conflicts, when not appropriately disclosed and addressed, can undermine public and professional confidence in the integrity of University research and sponsored programs. Additionally, federal law and regulations require Indiana University to have a process in place to manage conflicts of interest involving federally funded research. (See [[I-7]]). In order to comply with federal regulations and to ensure that faculty are aware of, and follow, appropriate disclosure procedures, the University Faculty Council and Board of Trustees adopted a formal policy on financial conflicts of interest involving University research and sponsored programs. (See [[I-8]]). The policy defines a “significant financial interest,” the policies and procedures for disclosure of significant financial interests, and the policies and procedures to resolve and manage financial conflicts of interest. On the Bloomington campus, all full or part-time tenured or tenure-track faculty, visiting faculty, and research scientists/ scholars are required to complete an annual conflict of interest disclosure form whether or not they conduct research. (See [[I-9]]). Principal investigators are also required to ensure that any staff, students, or other employees who participate in the design, conduct, or reporting of research, complete a conflict of interest disclosure form. Anyone engaged in any sponsored program, whether or not it involves research, must also complete an annual disclosure form. The BFC Conflicts of Interest Committee reviews any disclosures that present a potential conflict of interest and has the responsibility for developing, through consultation with the affected researcher and the researcher’s unit, management plans or other appropriate means for resolving actual or potential conflicts.
Revision as of 11:18, 28 May 2010
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 (see Policy I-1).
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. (http://www.iu.edu/~code/index.shtml )
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 develop a strategy to educate students and faculty about cultural diversity and to enforce appropriate standards of conduct. Upon recommendation of the Educational Policies Committee, BFC action in March, 1990 established a set of recommendations. (See Policy I-2). These include that programs be conducted which are targeted at all incoming students, that each degree-granting unit have a cultural diversity degree requirement, and that diversity programs be conducted for all faculty and librarians and repeated annually for new appointees, and for all new Associate Instructors.
Statement of Civility
In 1999, the BFC reaffirmed the campus’s commitment to the principle that civility and respect should be extended to all persons regardless of their role at Indiana University, and regardless of race, ethnicity, gender, sexual orientation, and age. Civility and mutual respect help create an environment in which each member of the campus community is viewed as important and can succeed. (See Policy I-3).
Contacts with External Agencies
The Vice President for Public Affairs and Government Relations has established guidelines for contacts with governmental officials, agencies, foundations, etc., at the Federal and state levels (see Policy I-4). The purpose of the policy is to ensure adherence to federal guidelines on legislative contacts and lobbying procedures, to coordinate the contacts made to these groups, and to keep administrative officials of Indiana University informed. 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 Administration; 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 the administrative officers of the University. 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 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 Vice Provost for Faculty and Academic Affairs, 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 Policy I-5).
The Drug Free Workplace Act of 1988 and the federal Drug Free Schools and Campuses Act of 1990, prohibits the unlawful possession, use, distribution, manufacture or dispensing of illicit drugs and alcohol, including controlled substances, on Indiana University’s premises, or while conducting university business off university premises. In addition to possible penalties under federal and state law, failure to comply with this policy may result in any of the following sanctions: 1. reprimand, suspension, or termination 2. required completion of substance abuse treatment or substance abuse education program
In addition, an employee must notify his/her dean or chair of his/her conviction for violations occurring on or off university premises while conducting university business. This must be done within 5 calendar days after the conviction.
The abuse of alcohol and other drugs increases the risk for a number of health related problems. In addition, alcohol and drug abuse can contribute to a number of social, behavioral and academic work performance problems. Indiana University encourages individuals with alcohol or other drug related problems to seek assistance through their health care provider or the Employee Assistance Program at 888-234-8327.
Conflicts of Commitment Involving Outside Professional Activities
The University Faculty Council adopted a policy on conflicts of commitments that was subsequently approved by the Board of Trustees in 2006. (See Policy I-6). Conflicts of commitment arise when an outside professional activity interferes with an academic appointee’s ability to fulfill the obligations of his or her academic appointment, or when an appointee undertakes, on behalf of another organization, activities that would ordinarily be performed on behalf of Indiana University. Examples including teaching for another educational institution or undertaking externally funded research activities when the financial sponsorship is managed entirely outside of Indiana University. Conflicts of commitment must be disclosed to Deans or unit heads. Violations of this policy, including failure to file a disclosure, knowingly filing an incomplete, erroneous, or misleading disclosure, or failure to comply with prescribed procedures for managing an identified conflict of commitment, will be adjudicated in accordance with the Code of Academic Ethics and any applicable misconduct policies and procedures.
Financial Conflicts of Interest in Research
The many interactions that members of the University community have with business, government, not-for-profit groups, professional societies, academic institutions, and other individuals and organizations, as well as with community, political, religious, and cultural activities and institutions inherently create the potential for conflicts of interest in which external activities, income or other interests affect–or might appear to affect–the manner or extent to which those individuals pursue research within the University. Such real or apparent conflicts, when not appropriately disclosed and addressed, can undermine public and professional confidence in the integrity of University research and sponsored programs. Additionally, federal law and regulations require Indiana University to have a process in place to manage conflicts of interest involving federally funded research. (See Policy I-7). In order to comply with federal regulations and to ensure that faculty are aware of, and follow, appropriate disclosure procedures, the University Faculty Council and Board of Trustees adopted a formal policy on financial conflicts of interest involving University research and sponsored programs. (See Policy I-8). The policy defines a “significant financial interest,” the policies and procedures for disclosure of significant financial interests, and the policies and procedures to resolve and manage financial conflicts of interest. On the Bloomington campus, all full or part-time tenured or tenure-track faculty, visiting faculty, and research scientists/ scholars are required to complete an annual conflict of interest disclosure form whether or not they conduct research. (See Policy I-9). Principal investigators are also required to ensure that any staff, students, or other employees who participate in the design, conduct, or reporting of research, complete a conflict of interest disclosure form. Anyone engaged in any sponsored program, whether or not it involves research, must also complete an annual disclosure form. The BFC Conflicts of Interest Committee reviews any disclosures that present a potential conflict of interest and has the responsibility for developing, through consultation with the affected researcher and the researcher’s unit, management plans or other appropriate means for resolving actual or potential conflicts.
The Board of Trustees updated its earlier policy on patents in 2008 in a new policy which implements the Indiana University “Statement of Principles on Intellectual Property.” (See Documents I-10 and I-11). The policy defines categories of intellectual property (e.g., patentable intellectual property, traditional works of scholarship) and the University’s rights to use, patent, or sell such works, describes the distribution of revenues, establishes the Intellectual Property Policy Council to resolve disputes regarding intellectual property within the university, and describes implementation procedures. 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 (e.g., copyrighted works specifically commissioned by the University), for which the University retains ownership. The revenues from intellectual property owned by the University are distributed according to a formula set out in the policy. In 2009, the Bloomington Faculty Council adopted a campus-specific resolution regarding the specific interpretation of the distribution formula on the Bloomington campus (see Document I-12). The Indiana University Research and Technology Corporation (IURTC) holds and manages the University’s intellectual property.
The conduct of research rests on the foundation of intellectual honesty. The major responsibility for maintaining standards of intellectual integrity rests with individual scholars and with the departments in which they work. Faculty members must exercise active leadership in their supervisory roles in mentoring, collaborating with, or directing junior colleagues, staff, or students. The University supports these efforts by providing an environment for open inquiry in which research can be conducted appropriately, declaring the standards which must not be abrogated, and enforcing the standards on those occasions where violations may have occurred. The University Faculty Council set forth policies and procedures for the maintenance and enforcement of such standards in 2007. (See Document I-13). The policy defines research misconduct and describes the procedures the reporting, investigation, and resolution of research misconduct allegations on all campuses of the University. These procedures cover the filing of a complaint, an initial inquiry, any subsequent investigation, the resolution, and the appeals process.
The Use of Human Subjects in Research
Indiana University publishes and administers policies which serve to protect the rights and welfare of human beings who participate in research studies conducted on behalf of the University. The Office of the Vice President for Research Administration (OVPRA) has responsibility for administering these policies. OVPRA is advised by an Executive Oversight Committee and a Faculty Advisory Committee. In addition, there are review boards serving each campus of Indiana University. These review boards monitor ongoing research and review all research plans involving human beings to ensure full compliance with the University’s polices and any relevant state and federal regulations. It is the responsibility of any appointee conducting or planning to conduct research involving human subjects to be fully informed of University policies in this area and to ensure 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) Prior scrutiny and approval by the University-designated campus review board, to assure compliance with all University policies and federal regulations in this area. 2) Documented consent of human participants in the research who may be in any degree of risk, whether it be physical, psychological, legal or economic risk, as a consequence of the research project, unless the consent requirement is formally waived by the campus review board. 3) Demonstration that the expected scientific value of the research justifies the degree of risk to human subjects and that such risk has been minimized to the extent possible. Full listings of the relevant University policies and procedures are available from the OVPRA website: http://www.researchadmin.iu.edu/. As soon as any possibility of utilizing human subjects emerges in the course of designing research, the responsible investigator should immediately obtain the relevant University policies, become familiarized with them and seek guidance and clarification, if necessary, from the appropriate human subjects campus office identified on the OVPRA website. As with all campuses of Indiana University, the campus review board in Bloomington maintains an office and staff to administer the policies of the review board and to assist the board with its review process. Any questions regarding the board and/or its policies or information on how to submit an application for review by the board should be directed to this office. The Bloomington human subjects office location and contact information can be found at http://www.iub.edu/~ora/HumanSubjects/IUB/hs_home.html.
Use of Animals
It is the policy of Indiana University that animals required for teaching and research are 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 (See Document I-14).
Federal assurances require that Indiana University provide for the humane care and use of all animals used in research or instruction. All proposals involving vertebrate animals in teaching and research activities must be reviewed and approved by the appropriate Institutional Animal Care and Use Committee (IACUC) before such studies are initiated to determine that the use of animals is appropriate and that the proposed methods minimize pain and discomfort. On the Bloomington campus, the Bloomington Institutional Animal Care and Use Committee (BIACUC) oversees the review of animal use protocols, inspection of animal facilities and laboratories, animal use training and educational programs, and compliance procedures. The Committee maintains a website with a description of its procedures and links to forms, policies, and educational materials (http://www.iub.edu/~ora/cs-animaluse.html).
The policy supplements the existing Indiana state statute (IC 20-12-1-8) and protects Individuals who make a good faith report of suspected wrongful conduct from retaliatory academic or employment action including discharge, reassignment, demotion, suspension, harassment, or other discrimination (See Document I-15). It also describes procedures by which allegations of wrongful conduct may be disclosed, and provides a process to seek relief from retaliatory acts that fall within the authority of Indiana University. 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 are not limited to the policies and procedures for research misconduct, the Indiana University Financial Management Services Policy on Fiscal Misconduct (I-30), and the Indiana University Financial Management Services Policy on Fraud (I-35) When available, existing policies should be used to report any wrongful conduct. 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). Individuals who have been subjected to an adverse academic or employment action based on their 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 Office of the Vice Provost for Faculty and Academic Affairs.
Guidelines on Authorship
The BFC presented guidelines for authorship credit in a 2008 policy. (See Document I-16). The guidelines identify generally accepted standards for authorship credit which include substantial contributions to conception, design or execution of a work, or acquisition of data, or analysis and interpretation of data; drafting the manuscript or revising a work critically for important intellectual content; and final approval of the version published or otherwise disseminated. Schools and departments are encouraged to adopt and disseminate policies or guidelines on authorship that address the accepted norms for credit in their areas. The policy further recommends that, when co-authors cannot resolve disagreements about credit themselves, department chairs and/or center directors intervene to mediate. If no resolution can be reached at this level, the matter should be forwarded to the dean(s) of the appropriate school(s). Students may seek advice from the Student Advocates Office. If agreement still cannot be reached, the matter will be referred to the Vice Provost for Faculty and Academic Affairs for a final decision. The Vice Provost may choose to arbitrate the disagreement through separate or collective discussions with the parties involved in the dispute or to select a committee of no fewer than three faculty members to arbitrate the dispute.
Fair Use of Copyrighted Works
Indiana University is committed to the full exercise of the rights accorded to users of copyrighted works under the "Fair-Use" provision of federal copyright law. To that end, the Board of Trustees approved a policy on the fair use of copyrighted works in 1997. The policy sets forth a set of principles which acknowledges the case-by-case application of fair use statutes, Indiana University’s confidence in the ability of its faculty, staff, and librarians to make good faith decisions about fair use, the availability of resources (e.g., the University Counsel) to assist faculty, staff, and librarians in making good faith decisions, and the likelihood that Indiana University’s indemnification policy will protect Indiana University community members in the event of an infringement allegation (See Document I-17).
Use of I.U. 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 (See Document I-18).
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-19 and I-20).
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 annual Faculty Summary Report. The report form serves a broad range of faculty who make a variety of contributions to the University; not every category is applicable to each individual. 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 Vice Provost for Faculty and Academic Affairs, who reads and often responds to them. The annual report covers 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 Office of the Vice Provost for Faculty and Academic Affairs by a deadline on or near January 15. Faculty Summary Reports are submitted through a web-based electronic form. 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 Provost, which are subsequently forwarded to the President and the Governor.
The Campus Mail Service operates to serve the official needs of units, departments, and employees of the campus. Acceptable mail has been described 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) Vice Provost for Faculty and Academic Affairs 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 Vice Provost for Faculty and Academic Affairs. By action of the Faculty Council in 1970 (see Document I-21), use of the faculty lists is under the control of the Vice Provost for Faculty and Academic Affairs, who should "keep in mind that campus mail is appropriately used only for University or University-related affairs."
Use of Mailing Lists
Indiana University mail lists are maintained by IU Printing Services 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 IU 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—Vice Provost for Faculty and Academic Affairs; 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 (see Document I-21).
Appropriate Use of Information Technology
In 2006, the Office of the Vice President for Information Technology published a policy which restricts use of information technology to purposes related to the university's mission of research and creative activity, teaching and learning, and civic engagement (see Document I-22 http://informationpolicy.iu.edu/policies/IT01.shtml ). The policy stipulates that Indiana University technology resources may not be used in a manner that violates the law, for private commercial activities that are not approved by the university, for personal private gain, or for political campaigning and similar activities that are inconsistent with the university's tax-exempt status. Incidental personal use is considered an accepted and appropriate benefit of being associated with the university’s rich technology environment.
In order to regulate the amount and content of electronic mail distributed to academic appointees through established distribution lists and listservs, the Bloomington Faculty Council instituted a policy governing the use of mass electronic mailings in 2003 (See Document I-23). In brief, the policy directs administrative offices or officials to send e-mail messages to all members of the campus community only in case or emergency or urgent need. Routine, targeted electronic mailings from administrative offices and officials must be approved by the relevant office and be directly related to the teaching and learning, research, or service missions of the University. Listservs are to be monitored in order to limit mailings. The policy also directs senders to “blind” the identities of recipients of mass mailings to specific addresses. Mass electronic mailings may not be used for commercial purposes.
Bulletin for Academic Appointees
The Office of the Vice Provost for Faculty and Academic Affairs 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 Vice Provost for Faculty and Academic Affairs’ website. The website 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.