Office of the Executive Vice President and Provost

Academic Freedom

Academic freedom is the foundation of a university because it encourages the unfettered inquiry, debate and learning that characterize an active community of scholars and students. Consequently, Iowa State University grants academic freedom to all members of the faculty, whether tenured or not. This means that the university supports full freedom, within the law, of expressions in teaching, investigation in research, and dissemination of results through presentation, performance, and publication. As a consequence, no faculty member shall be judged on any basis not demonstrably related to professional performance, so long as the exercise of this right does not result in situations that are illegal, that violate faculty-approved university policies, or that interfere with the faculty member's ability to perform his/her duties at the university.

With freedom comes responsibility. In the exercise of academic freedom, faculty members may discuss without limitation any topic related to their professional area of expertise in the classroom, at professional meetings, or through publication. They may not, however, claim the right to discuss persistently in the classroom subject matter that has no relation to a course, nor may faculty members represent themselves in extramural utterances, publications, or activities as speaking for the university, unless they have been specifically empowered to do so. When acting as citizens, faculty members are free from any institutional limitations imposed by this policy.

Faculty members, guided by deep conviction of the worth and dignity of the advancement of knowledge, recognize the special responsibilities placed upon men and women in the academic community. Their primary responsibility to their subjects is to seek and to state the truth as they see it. To this end, they each devote their energies to developing and improving their individual scholarly competence. They accept the obligation to exercise critical self-discipline and judgment in using, extending, and transmitting knowledge. They practice intellectual honesty. Although they may follow subsidiary interests, these interests must never seriously hamper or compromise their freedom of inquiry.

Faculty members encourage the free pursuit of learning in their students and protect academic freedom of students. They hold before each student the best scholarly standards of their disciplines. They demonstrate respect for the students as individuals. When a personal relationship that goes beyond that of intellectual guide and counselor exists between a faculty member and a student, it is the responsibility of the faculty member to take appropriate action to avoid any conflict, or apparent conflict, of interest between personal and academic concerns. Faculty members avoid participation in the academic evaluation of students with whom personal relationships exist that could compromise their objectivity. Similarly, when a personal relationship exists with anyone that goes beyond that of professional colleague(s), it is the responsibility of the individuals concerned to avoid any conflict, or apparent conflict, of interest between personal and professional concerns.

Faculty members make every reasonable effort to foster honest academic conduct and to assure that their professional evaluation of a student reflects the student's true academic merits. Faculty members respect the confidential nature of the relationship between a faculty member and a student. Faculty members acknowledge significant scholarly assistance from any student and they avoid any exploitation (e.g., intellectual, sexual, emotional, or economic) of a student for their private advantage.

As colleagues, faculty members have obligations that derive from common membership in the community of scholars. They 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 each academic debt and strive to be objective in professional judgment of colleagues. Each of them accepts a just share of faculty responsibilities for the governance of their institution. As members of their institutions, faculty members seek above all to be effective teachers and scholars. Although they observe the stated regulations of the institution, provided these do not contravene academic freedom, they maintain the right to criticize and seek revision.

Each faculty member determines the amount and character of work done outside the institution with due understanding that responsibilities within it are paramount. When considering the interruption or termination of service, faculty members recognize the effect of such decisions upon the program of the institution and give due notice of their intentions.

As members of the extramural community, faculty members have the rights and obligations of any citizen. They measure the urgency of these obligations in the light of their responsibilities to their disciplines, to their students, to their profession, and to their institution. When speaking or acting in a nonofficial capacity as a private person or member of a group, each faculty member or administrator shall avoid creating the impression that he or she speaks or acts for the institution. As citizens engaged in a profession that depends upon freedom for its health and integrity and to promote further public understanding of academic freedom.

Violators of the standards of professional ethics are subject to appropriate disciplinary action which, depending upon the severity or repeated nature of the violation, may range from reprimand to suspension or dismissal. (See also the Faculty Handbook sections on Consenting Relationships and on Sexual Harassment.)

Consenting Relationships

Consenting relationships that are of concern to Iowa State University are those romantic, sexual, or intimate relationships in which both parties appear to have consented, but where there is a reporting or evaluation relationship between the two parties.

Such consenting relationships between teachers and students, supervisors and employees, or colleagues when one is, or likely will be, involved in the evaluation of the other are inappropriate. In the case of instructor and student, for example, the respect and trust accorded the instructor by the student, as well as the power exercised by the instructor in giving grades, thesis advice, evaluations, recommendations for further study and future employment, may greatly diminish the student's actual freedom of choice concerning an amorous or sexual relationship. Similarly, supervisors are in positions of assigning and evaluating the work of employees who report to them, and senior colleagues often provide advice and support to junior colleagues and are involved in decisions concerning promotion and tenure, course and committee assignments, and salary increases. Because of these reporting and evaluation relationships and the uneven power inherent in such relationships, it will be very difficult to prove immunity from a subsequent charge of sexual harassment on grounds of mutual consent. It is the instructor, supervisor, or senior colleague who, by virtue of his or her position, will bear a special burden of accountability if charges of sexual harassment arise. (See Sexual Harassment.)

It is the responsibility of the faculty member, supervisor, or other staff member who becomes involved in a personal relationship with a student or employee to avoid any conflict, or apparent conflict, of interest between personal and professional concerns. Thus, a faculty or staff member must not participate in the evaluation of a student, colleague, or staff member with whom a romantic or sexual relationship exists or has existed; in the case of a supervisory relationship, it is the responsibility of the parties involved to take appropriate actions to change the work and reporting relationship to remove the possibility of a conflict of interest. Failure to do so is a violation of professional ethics and may result in disciplinary action.

Academic Misconduct

Iowa State University is a community of scholars and, as such, is dedicated to the pursuit of truth in all of its endeavors, including teaching, research, and service. Such a pursuit requires integrity on the part of all concerned, in all of their activities. It is not enough for the faculty to develop, transmit, and preserve knowledge. The faculty is also responsible for upholding academic integrity in these pursuits and instilling academic integrity to students. Persons in supervisory and leadership positions have an obligation to create and maintain a climate of academic integrity and to foster this attitude throughout all of their relationships.

Academic freedom and tenure protect the faculty and staff from threats arising from unpopular thought or conclusions, but academic freedom also brings a special responsibility to the university community. Any challenge to the integrity of one member of the community is a challenge to the integrity of the entire community. A challenge to the integrity of the community often comes as a charge of academic misconduct. Prevention of such challenges is essential, and constant care in academic endeavors will forestall most, if not all, of the problems.

Definition of Academic Misconduct

The entire academic community at Iowa State University is responsible for maintaining high standards of academic integrity in research and scholarly activities in an effort to prevent academic misconduct. It is important to recognize that academic misconduct involving deception must carefully be distinguished from honest error and differences in judgment which are intrinsic parts of research and scholarly activities.

Academic misconduct may include any or all of the following:

1. Falsification of data, ranging from fabrication to deceptively selective reporting, including the purposeful omission of conflicting data with the intent to falsify results.
2. Plagiarism...representation of another's work as one's own.
3. Misappropriation of the ideas of others...the unauthorized use of privileged information (such as violation of confidentiality in peer review), however obtained.
4. Misappropriation of funds or resources for personal gain.
5. Falsification of one's credentials.

Prevention

Questionable conduct may be forestalled within the Iowa State University community by appropriate attitudes and preventive practices, including:

• Instruction in the practices and standards of professional integrity and quality, including those applicable to specific fields and professions, as a normal component of education and training for research.
• Careful scrutiny of staff and their previous work for scholarly integrity at times of hiring and advancement. Informed review and qualitative evaluation should be a normal incident of research and scholarship and its recognition.
• Wide dissemination within the university of its policies regarding scholarly integrity together with information about consequences of their breach.

Procedures to be Followed (in Cases of Alleged Academic Misconduct in Research and Scholarly Activities)

This policy pertains to all faculty, staff, and students engaged in research and scholarly activities and shall not prevent the university from taking additional or alternative disciplinary action, pursuant to university policy or rule.

At every stage of the procedure, great care shall be taken to ensure the rights of the individual(s) charged with academic misconduct in research or scholarly activities and of those bringing the charges to protect the confidentiality of the proceedings. The charged individual(s) shall be informed of their right to counsel as soon as they are informed of the formal charges made against them. At every stage of these proceedings, the burden of proof shall rest with the university and shall be by a preponderance of evidence. The procedures shall be carried out in a timely manner and shall be characterized by the avoidance of real or apparent conflict of interest.

The procedures to be followed involve two distinct steps. First comes an inquiry involving information-gathering and preliminary fact-finding to determine whether an allegation or apparent instance of misconduct warrants an investigation. An investigation is a formal examination and evaluation of relevant facts to determine whether misconduct has taken place or, if misconduct has already been confirmed, to assess its extent and consequences or determine appropriate action.

Inquiry

The vice provost for research and advanced studies shall appoint from among the tenured faculty an officer for research standards (ORS) and two additional members of the tenured faculty to serve with the officer as the standing members of the Inquiry Committee (IC). The IC shall consist of the ORS, two standing members and two ad hoc members. The ORS shall serve at the discretion of the vice provost for research and advanced studies, and the standing members shall be appointed for three year terms (initial terms to be 2 years and 3 years to permit staggering of the terms in the interest of continuity.) The appointed standing members may be reappointed for an additional term. Two ad hoc members of the committee shall be appointed by the ORS for the investigation of each specific case in accordance with number 3. in this section.

1. Any member of the university community who becomes aware of an apparent instance of academic misconduct in research or scholarly activity has the responsibility of bringing the issue directly to the attention of the officer for research standards (ORS). A person may discuss the situation informally with the ORS before bringing a charge. He or she shall be advised of the possible legal consequences of making frivolous, malicious, mischievous or unfounded charges. The ORS and other university officials will protect, to the maximum extent possible, the privacy of those who, in good faith, report apparent misconduct.

   If the ORS believes that the issue raised requires further action, the following steps shall be taken:

2. If the person whose conduct is in question is a student, the matter should proceed according to the Rights and Responsibilities and Academic Dishonesty sections of the current ISU Information Handbook and the current Graduate Student Handbook. Students doing research are expected to uphold the same standards of academic integrity as are the faculty and staff.
3. If the person whose conduct is in question is a faculty or a staff member, the ORS shall bring the charges to the attention of the DEO. The ad hoc members may be members of the primary department of the individual whose conduct is in question unless the ORS or a standing member is from the charged individual's department. No more than two persons from that individual's department and/or discipline may serve on the IC. If one or more standing members is from that department, ad hoc members shall be chosen from other departments such that no more than two members of the IC are from that department.

   At the time of the appointment of the ad hoc members, the person being charged with misconduct shall be informed in writing of (1) the nature of the allegations made against him or her, and (2) the names of the ad hoc committee members. The person charged shall have the right to two peremptory challenges to the ad hoc appointments of the Officer for Research Standards. The IC, including its ad hoc members, shall conduct a preliminary inquiry of the allegations to (1) determine whether sufficient evidence exists to warrant a formal investigation, or (2) if the IC finds the allegations are unfounded, to determine whether they may be frivolous, mischievous, or malicious.

   The IC shall report its findings in writing to the vice provost for research and advanced studies within 60 calendar days of the beginning of the inquiry.

4. Within 30 calendar days of the completion of the inquiry, the vice provost for research and advanced studies, in consultation with the IC, shall decide whether the matter shall be pursued. If the matter is dropped, nothing shall be placed in the personnel file of the person who was charged with misconduct. All written records shall be sealed and deposited in the office of the vice provost for research and advanced studies where they will be maintained for a period of three years. Both the person making the charges and the person charged shall be notified in writing of this decision. Diligent efforts shall be undertaken, as appropriate, to restore the reputations of persons alleged to have engaged in misconduct when allegations are not confirmed and to protect the positions and reputations of those persons who, in good faith, made the allegations. If the charges were found by the IC to be not only unfounded, but also frivolous, and the vice provost for research and advanced studies concurs, this, too, shall be noted in writing to both parties. The university may take disciplinary action in such a case.

   If the inquiry has found sufficient evidence of a serious breach of accepted standards of integrity to warrant further investigation, the person charged, along with his or her collaborators on the work in question, shall be informed of the charges, requested to cooperate with investigators, and reminded of their right to counsel. The officer for research standards is empowered to secure laboratories, offices, materials, and other relevant evidence. Appropriate university administrators, including the president, should be notified that an investigation is underway. The ORS acts as liaison between outside agencies and the university in matters related to the inquiry and is responsible for assuring appropriate notification of the impending investigation to these agencies.

Investigation

1. Within 30 calendar days of the completion of the inquiry, the vice provost for research and advanced studies shall appoint an Ad Hoc Investigating Committee consisting of (1) one person (as chair) from the tenured faculty of the university within the primary category of representation on the Graduate Council for the charged individual, (2) one person from the charged individual's primary department, and (3) one person from the charged individual's discipline from outside the university. No one from the IC may serve on the ad hoc committee except that the ORS shall serve as consultant to the committee.

   The ad hoc committee shall conduct a thorough investigation of the charges and report the results to the vice provost for research and advanced studies in writing within 120 calendar days of the beginning of the investigation. The charged individual will receive a copy of the report. The person charged will be informed in writing of the composition of the committee and will be invited to provide the committee with pertinent information. Once an investigation has begun, it must continue until a determination has been made regarding the alleged misconduct, even if the person charged is no longer employed by the university.

2. Before the committee makes its report, the person whose conduct is being investigated shall be provided with the opportunity to discuss the case with the committee, with or without counsel. A summary of such discussions will be made a part of the committee's report. The committee shall then report to the vice provost for research and advanced studies. If the committee concludes that there has been no academic misconduct in research or scholarly activities, the matter shall be considered closed, all parties notified and records kept as in the paragraph numbered 4. under "Inquiry."

   If the academic misconduct is established, the university shall take action appropriate to the seriousness of the misconduct. If the committee finds sufficient evidence that academic misconduct occurred it shall recommend appropriate sanctions which may include, but are not necessarily limited to, a letter of reprimand being placed in the personnel file, loss of rights to conduct research and scholarly inquiry, removal from the graduate faculty, suspension by the university, in cases for which the charges were not deemed serious enough to warrant dismissal under paragraph 4. below. The question of the frivolousness of the charges shall not be considered here.

3. Based on the findings of the Ad Hoc Investigating Committee, the vice provost for research and advanced studies may administer such sanctions as are within the power of that office to administer, including (but not necessarily limited to) reprimand and removal from the graduate faculty.
4. If the committee finds substantial evidence of misconduct in research or scholarly activities, the vice provost for research and advanced studies shall report the findings to the provost for such further action as is warranted under the procedures of the university, including a full report to the president. Faculty members who believe they have been treated unfairly may follow grievance procedures described herein.
5. If the president finds that the misconduct is serious enough to warrant dismissal, a hearing committee shall be appointed to hear the case as prescribed herein under Faculty Dismissal Procedures and the procedure therein followed to its terminus.
6. Up to this point, all stages of the investigation are to be regarded as confidential. The disclosure of information to parties not directly involved is regarded as a serious breach of conduct. At this time, the president shall inform additional parties as is deemed appropriate. The university shall do everything feasible to clarify the public record. This action may take the form of public announcements, published retractions, and disassociations with published papers or abstracts. In particular, funding agencies shall be fully informed unless this has been done earlier to comply with applicable laws and contractual agreements.
7. All pending abstracts and papers emanating from research in which misconduct has occurred shall be withdrawn and editors of journals in which reports, papers or abstracts of such work have appeared shall be notified in sufficient detail to establish correct public record. This notification shall be done by the president with information supplied by the faculty member in charge of the research and the chair of the Ad Hoc Investigative Committee of item 1. of this section.
8. If academic misconduct in research or scholarly activities is not confirmed, the university shall consider whether a public announcement would be harmful or beneficial in restoring any reputations that may have been affected. That decision should rest with the exonerated individual(s).

As a land-grant institution with a strong commitment to research and outreach, Iowa State University and its employees have traditionally interacted with government bodies, private companies and individuals external to the institution. As interest grows in stimulating technology transfer and encouraging economic development, the number and types of external relationships will grow correspondingly. The complexity of Iowa State's increasing interactions with non-university entities confronts faculty and staff members with a variety of issues and concerns. Central to these is ensuring that all parties to an agreement are fully aware of any personal or contractual relationships that might have relevance to or compete with a particular project.

Principles

A conflict of interest may take various forms but arises when a faculty or staff member is or may be in a position to influence the university's business, research, or other decisions in ways that could lead to any form of personal gain for the faculty or staff member or others closely associated with that university employee.

Purpose

This policy is to provide a mechanism for

1. identifying conflicting non-university relationships
2. informing those with a need to know about conflicting relationships through disclosure
3. taking remedial steps to protect the interests of all concerned

Relationships

The nature of faculty and staff relationships varies widely, so it is not possible to define precisely and exhaustively all situations in which a potential conflict of interest may arise. The following categories do not constitute an exclusive listing, but they do represent the most prevalent types of relationships.

1. Consulting Activity. It is common for faculty and staff members to serve as consultants for non-university entities. Depending upon the entity and the nature of the activity, consulting may not cause any conflict of interest for a university employee. Payment or a retainer for a consultant's time and expertise is appropriate in many instances.
2. Equity Interest. University employees are free to own stock in private companies, and relatively modest holdings are not a matter of university concern. An employee who holds equity in or stock options which represent more than $10,000 or five percent of the total company equity is considered to have an equity interest in that company.
3. Management Role. A university employee may serve as a director, scientific director, board member, or line officer or hold another management position in a company.

Assessment of Potential Conflicts

A faculty or staff member's consulting relationship with, equity interest in, or a management role within a non-university entity does not necessarily constitute a conflict of interest. A potential conflict may arise, however, when such relationships interfere or compete with one another or with an employee's relationship to the university. Again, because of the variety of possible combinations and complexities, it is not feasible to describe all potentially conflicting situations. Therefore, the following are to be viewed only as examples of relationships that may require disclosure.

Consulting Activity. A potential for conflict arises when an individual seeks or is awarded a contract for sponsored research through the same entity for which paid consulting is being or has been done. Similarly, if one person is serving as a consultant for two or more clients who are themselves in competing or conflicting relationships, then the potential for a conflict of interest does exist. (See also the university's policy on consulting on page 53).

Equity Interest. As with consulting, the existence of an equity interest does not alone constitute a conflict of interest. But if an employee with such an interest is asked to consult for or is provided research funding from that company or one of its competitors, then the potential for a conflict of interest does exist.

Management Role. If the management role is directly related to research, marketing, or other activities either for the university or for a competing company, then the potential for a conflict of interest does exist.

Multiple Interests or Roles. An individual faculty or staff member may simultaneously become involved in consulting relationships, have equity holdings, and serve as an officer in one or more companies. Each of these relationships may well be independent of all the others and no conflict among them may exist. The independence or interdependence of such relationships may be difficult to assess, however, unless the individual fully discloses the nature and extent of the relationships.

Disclosure

All parties participating in relationships involving university employees and non-university entities should be fully aware of the nature of those relationships if a potential for conflict exists. It is the responsibility of the individual who has entered into potentially conflicting relationships to disclose to his or her DEO or immediate supervisor the nature and degree of such relationships.

Two avenues for disclosure are available:

1. On a Gold Sheet. Researchers who submit contract or grant proposal forms (Gold Sheets) must indicate on those forms whether they believe that the proposed activity will constitute a conflict of interest. If they do so indicate, they must inform DEOs or other immediate supervisors of the details of the potential conflict. Disclosure is automatically required if the ISU employee has an equity interest or a management role in a company supporting research.
2. Directly to a DEO/Supervisor. If a faculty or staff member enters into an agreement to provide services such as consulting with non-university entities which do not normally require a Gold Sheet, then any necessary disclosures should be made directly to the DEO/immediate supervisor. Disclosure is automatically required if the ISU employee has an equity interest or a management role in a company involved in the consulting activity.

Form of the Disclosure. A faculty or staff member may use the form included in the Office Procedure Guide or write a memo addressed to the DEO or immediate supervisor, defining the nature and extent of any relationships and identifying the entities with which the relationships exist. Documentation such as a contract, letter, or other communication that specifies the nature and extent of the university employee's obligation and duties may be included as part of the disclosure.

Timing of the Disclosure. Disclosures should be made as early as possible to enable those reviewing them to consider what action, if any, needs to be taken regarding any potential conflicts of interest. At the latest, a disclosure statement should accompany the submission of a contract or grant proposal when it is submitted to a departmental executive officer for his or her approval.

Review of Disclosures

Departmental Level. A DEO is responsible for reviewing any disclosures made. If, in his or her opinion, no potential or actual conflict of interest exists, further review is unnecessary. Where a potential or actual conflict exists, the DEO must decide if it is serious enough to require intervention or mediation. A DEO may choose to rely on the advice of a departmental ad hoc peer review committee to assist in the evaluation. Information contained in a disclosure statement accompanying a proposal shall remain confidential. If a contract or grant is awarded, however, any relevant disclosures shall be made public and the contracting or granting entity be informed. For employees not affiliated with an academic department, the immediate supervisor serves in place of a DEO as the reviewer of disclosures.

College Level. If a DEO is unable or unwilling to deal with the actual or potential conflicts of interest that a disclosure reveals, then he or she should forward the disclosure to the appropriate college dean for review. As in the case of departmental review, if a dean believes that no conflict of interest exists, further review is unnecessary. Where a potential or actual conflict exists, the dean should decide if it is serious enough to require intervention or mediation. A dean may choose to rely on the advice of a college-constituted committee in reviewing disclosures. For employees not affiliated with an academic department, the immediate supervisor may forward disclosures to the administrator to whom he or she reports.

University Level. If a dean or other administrator is unable or unwilling to deal with the actual or potential conflicts of interest that a disclosure reveals, then he or she should forward the disclosure to the provost for review. The provost will seek advice from a university committee constituted for that purpose to determine whether a conflict of interest exists and is serious enough to require intervention or mediation. For employees not affiliated with an academic unit, the vice president to whom their unit ultimately reports rather than the provost is responsible for review at this level. If a conflict is deemed to be unavoidable or unmanageable, the university Contracts and Grants Office will notify the potential funding agency of the problem.

Appeal. If a faculty or staff member disagrees with a decision made at the departmental or college level, he or she can request that the disclosure be referred for review to the higher administrative level as described above. If a conflict is deemed to be unavoidable or unmanageable, the university Contracts and Grants Office will notify the Potential funding agency of the problem.

Special Cases

When the university engages in activities with university-employee-owned companies, a potential conflict of interest is possible in these relationships. Board of Regents' policy requires prior approval from the Regents before the university can make purchases from a company owned by an employee or an employee's immediate family. Oversight of research relationships with such companies comes under the Conflict of Interest Policy and requires special considerations.

The university encourages interested employees to engage in entrepreneurial activities as a way of contributing to the economic development of Iowa. Occasionally, an employee-owned company will wish to establish a research relationship with the university and its employees. The university is willing to work with such companies on the same basis as work done with companies not owned by university employees. To ensure that such relationships do not harm either the university or its employees, special oversight is required.

Research relationships with ISU employee-owned companies usually take one of three forms:

1. university research is sponsored by the company
2. the company, in exchange for a fee, uses university facilities and/or equipment
3. the company employs individuals who are simultaneously university graduate students

In Case 1, a committee of technically knowledgeable but disinterested faculty or staff is established by an administrator at or above the level of dean. The committee will oversee the integrity of the research and assure the university that the work being done is that to which the university agreed.

In Case 2, appropriate fees must be established by the department (unit) head responsible for the facility and/or equipment and must be approved by the Vice President for Business and Finance. Fees should be reasonable and in line with those charged for use by companies not involving ISU employees. A record of amount of use shall be maintained.

In Case 3, the Program of Study committee and/or a committee named to oversee research shall be notified of the potential conflict and the student's work for the dissertation or thesis shall be monitored to assure that the quality of the student's research and graduate experience is not compromised by the connection to the company. Generally, it is inadvisable for the student's advisor to be the student's employer or supervisor in the employee-owned company, but exceptions can be sought from the DEO.

Remedies

At any point in the process of reviewing disclosures, a DEO, dean, provost or relevant nonacademic supervisor may conclude that remedial steps should be taken to protect the interests of all parties involved and to limit the negative impact of any unavoidable conflicts of interest. Such remedies may include but are not restricted to:

1. An agreement signed by all interested parties that none of them perceive a conflict to exist.
2. Public disclosure by the university employee of the conflicting interests. For example, a journal article or public presentation should include a statement disclosing information about any financial support, consulting fees or other payments from any company which sponsored or supported the research described or which might benefit from the results of that research.
3. An agreement by the university employee a) to withdraw from any existing consulting or management relationship which appears to conflict with a new relationship or b) to sell or otherwise dispose of any equity interest in conflicting enterprises.
4. The negotiation of a suitable leave of absence, reduction of appointment, or other arrangements with the university which will reduce or eliminate the conflict of interest as it relates to a particular employee.

Sanctions

As noted above, disclosure is the responsibility of the faculty or staff member who becomes involved in activities that may be in conflict. Failure to disclose those relationships is a serious matter which may, in certain instances, be considered an act of academic misconduct. Consequently, an allegation of a failure fully to disclose a potential conflict of interest should be brought to the attention of the university's Officer for Research Standards. The ORS will handle the matter in accordance with the Iowa State University "Policies and Procedures on Academic Misconduct Investigations." Employees who are not faculty members may be subject to the conduct policies outlined in the Professional and Scientific Handbook.

Consulting

Members of the staff are often asked to give advice or counsel to private agencies or individuals, and sometimes they are invited to do so on a continuing basis for pay under arrangements commonly referred to as "consulting." Iowa State University endorses consulting by faculty members in areas related to their academic fields of expertise, with the understanding that all members of the professional staff render full-time professional service to the university during the periods of their appointment. The decision of staff members to engage in outside work for pay depends upon the nature of their responsibility to the university and the conditions of their appointment, whether the outside work contributes to a better understanding of their professional field, whether the university's standing is enhanced by their outside contacts and services, and most important, whether the consulting work can be done without interfering with their regular university duties. A staff member may undertake consulting work only after the proposed work has been mutually agreed to by both the staff member and his or her department head or chair.

Staff members are required to report annually, through their department executive officer, to the dean of their college the amount of time they have spent on consulting or other professional work for which compensation has been received from other than university sources. The nature of the service performed and the source of the outside remuneration should be indicated.

Staff members are not permitted to receive additional compensation for time spent on a university-administered grant or contract, except with prior approval of the provost.

Iowa Code Section 68B.6 prohibits state employees from receiving, directly or indirectly, any compensation for the rendition of services against the interest of the state in relation to any case, proceeding, application or other matter before any court or agency of the federal or state government. Services against the interest of the state would include any services rendered by a faculty member in breach of the faculty member's official duties or employment obligations. Any faculty member who knowingly and intentionally violates this rule may be suspended from such faculty member's position, as well as suffer possible criminal penalties. Any type of outside work should be carefully reviewed by the faculty member and the department executive officer to determine whether it may constitute paid rendition of services against the interests of the state in violation of Section 68B.6.

Royalties for Instructional Materials

The writing of textbooks and the preparation of other materials for use in university classes are commendable activities frequently engaged in by Iowa State University faculty members. The university encourages such work and supports the principle that the faculty should be free to select such texts and materials for use in their classrooms. It is recognized, however, that a faculty member who receives royalties or other direct remuneration for such a scholarly product may be faced with a conflict of interest when he or she is a participant in the decision to adopt the material for local use.

Therefore, it is university policy that a faculty member of Iowa State University may use, in university classes, textbooks or other instructional materials for which he or she receives royalties or remuneration provided that, for any materials so used at Iowa State, the payments that could normally accrue to the faculty member are assigned to the university or to a body mutually agreed upon by the university and the faculty member. The faculty member may, however, be allowed to retain the royalties under either of the following circumstances: (1) the use of such textbooks or instructional materials is in accordance with departmental procedures for selecting such materials and the faculty member/author does not participate in the selection process; or (2) because of exceptional circumstances the faculty member's department executive officer recommends that the faculty member be allowed to retain the normal royalties, and the recommendation is approved by the appropriate dean and the provost.

Intellectual Property: Policies and Procedures

The Policy on University-Sponsored Education Materials, as approved by the Board of Regents (Appendix C), recognizes certain "traditional exemptions" to the university's ownership. For information on copyrights, trademarks, and patent policies, consult the Office of Intellectual Property and Technology Transfer (OIPTT) or the Iowa State University Foundation, Inc. (ISURF). OIPTT provides educational services on issues related to intellectual property. ISURF owns and manages all Iowa State University intellectual property.

When members of the university community apply for sponsored funding, they sign the following statement on the "gold sheet": "I agree to be bound by the terms and conditions of the outside grant or contract which supports this proposed activity and, in consideration of the information and facilities made available to me by the university or the outside sponsor, to assign copyright and patent rights to the Iowa State University Research Foundation, Inc. in accordance with terms and conditions stated in the Faculty Handbook. I certify that I have not been debarred, suspended or declared ineligible to receive federal agency funds." In signing such a statement, the faculty member agrees that any intellectual property arising from sponsored research funding will be assigned to ISURF. ISURF has the responsibility for managing all legal aspects of obtaining protection for intellectual property. The Office of Intellectual Property and Technology Transfer works closely with ISURF and with faculty and administrators within the university to obtain and evaluate disclosures, to determine the appropriate means of protection of intellectual property, and to aid in the marketing of that property.

Individuals are reminded that the legal doctrine of "fair use" governs the use of copyrighted materials. If there is doubt whether material may be copied, inquiries should be directed to Office of Legal Services.

ISURF also manages all aspects of protection and use of university trademarks. (See appendix J.)

University-Sponsored Educational Materials

Authors of educational materials, such as books or audiovisual materials produced under university sponsorship or with substantial university assistance, are expected to assign the rights to the university, with the author receiving an appropriate share of the income as defined by prior agreement. The specific policy statement governing the rights to university-sponsored educational materials is presented in Appendix C.

Iowa State University endorses the following statement of Software and Intellectual Rights that was developed through EDUCOM, a non-profit consortium of colleges and universities committed to the use and management of information technology in higher education.

"Respect for intellectual labor and creativity is vital to academic discourse and enterprise. This principle applies to works of all authors and publishers in all media. It encompasses respect for the right to acknowledgment, right to privacy, and right to determine the form, manner, and terms of publication and distribution."

Because electronic information is volatile and easily reproduced, respect for the work and personal expression of others is especially critical in computer environments. Violations of authorial integrity, including plagiarism, invasion of privacy, unauthorized access, and trade secret Violations of the University Code of Computer Ethics are treated like any other ethical violation as outlined in the Faculty Handbook. Violators may also be billed for illegal use of the computer systems and may be prosecuted for statutory violations, including Chapter 716A, Computer Crime, of the Iowa Code.

Improvement Programs

Study Opportunities

Full-time academic or non-academic employees are permitted to carry university instructional work in addition to their regular duties, subject to the approval of their departmental executive officer and dean, up to a maximum of 15 credits per calendar year, normally not to exceed six credits per semester and three credits per summer session. Employees will be expected to pay full tuition and fees for all course work taken.

Faculty may enroll in course work if not on duty and not receiving salary from the university (for example, during the summer session). Faculty above the rank of assistant professor may not ordinarily become candidates for a degree from this institution, except upon recommendation of the vice provost for research and advanced studies and approval of the provost.

Visiting Classes

Faculty members who wish to visit university classes informally on a no-credit basis rather than enroll as auditors should confer with the instructor in charge.

Faculty Improvement Leave Program
(Revised by Faculty Senate 3/16/90)

The university recognizes that significant opportunities for professional growth and development are required periodically by faculty members and that the Faculty Improvement Leave Program is one of the best modes in which to achieve such growth and development. The university strives to promote an environment in which the faculty will be motivated to participate enthusiastically in the Faculty Improvement Leave Program. This environment permits both the faculty and administration to plan so as to obtain the desired results from the program. Foreign Exchange Program leaves will be handled administratively and will not be included as part of the FIL Program.

Criteria for Review

The criteria used to evaluate Faculty Improvement Leave Applications include:

1. Determination of the extent to which the leave will enhance the future performance of the individual's duties as a faculty member.
2. A clear indication that the improvement sought in a period of leave will benefit the department and the institution.
3. A clear understanding that granting the leave is an investment in the future of the faculty member and of the department, and is not intended as a reward for past performance.
4. Length of time since the most recent previous faculty improvement leave (a minimum of two years from completion of previous faculty improvement leave must have passed).
5. Evidence of productive use of any previous faculty improvement leave.
6. Evidence of the proposer's record of scholarly or creative activity.

Environment

Applicants for faculty improvement leaves are strongly encouraged to choose off-campus locations for their leaves. The environment into which a faculty member goes when on a faculty improvement leave should be conducive to professional development and/or cultural enrichment.

When the proposed activity involves collaborators, evidence of their interest and enthusiasm is helpful. Similarly, invitations or endorsements from off-campus hosts should be included. If the proposed work is to be accomplished at Iowa State University, however, the applicant should make a strong case that Ames is either an ideal or at least an appropriate place for the effort. In all cases, justification for the proposed site is required in the grant application.

Faculty improvement leaves may be used for a number of purposes. Examples of purposes include:

• Conduct Research and Scholarship. This may involve work impossible to perform at Iowa State University or difficult to perform in conjunction with one's on-campus responsibilities. Many faculty members find that their normal duties prevent them from giving sufficient attention to an ongoing research, scholarly or creative project. Others may have accumulated substantial amounts of data or other materials and now need time to sort through, analyze, and prepare the results of their earlier work for publication.
• Obtain New or Specialized Training. Faculty members may find it desirable to take the time to familiarize themselves with new methods in their major fields of interest, to collaborate with others, or to "retool" by switching emphases. In such cases, the faculty member will presumably apply these techniques to work on campus and/or use them in teaching students.
• Participate in an International Program. Because the funding for international programs such as Fulbrights is seldom sufficient to cover the costs involved, faculty interested in participating may wish to combine such activities with a faculty improvement leave.
• Priorities and Constraints. All members of the faculty employed half-time or more are eligible to apply for faculty improvement leaves. There is no arbitrary restriction on length of service in order to qualify for a faculty improvement leave. However, when ranking proposals of equal merit, priority may be given to tenured faculty over adjunct and non-tenured faculty, and priority is given to persons who have not received a faculty improvement leave in the past five years.

Evaluation

Early in the Fall Semester, the applicant submits a request for a faculty improvement leave to the DEO for departmental review, often by a committee. The request is sent, with its priority rating, to the dean for review by the faculty improvement leave committee of the faculty member's college. In some cases, the Dean may approve the leave for college funding and forward it directly to the Provost for final action. In other cases, the request is forwarded with its priority rating to the Faculty Senate Committee on Professional Development, which presents its recommendation to the Provost. In either case, all recommendations must be approved by the President and by the Board of Regents. Announcements of leaves granted for the following academic year are made at the beginning of the spring semester.

Salary and Benefits

Anyone on faculty improvement leave will be paid up to six months' salary. The salary of persons on leave for more than six months will be prorated across the total period of the leave. Regardless of the length of the leave, the university will continue to make its full contribution to the various employee benefit programs in which the individual is enrolled. State law requires that a recipient of a faculty improvement leave return to the university for a period of twice the length of the leave or repay the state the compensation received during the leave.

Length of Leave

A faculty improvement leave may be no longer than twelve months. When leave dates do not conform to the beginning or ending dates of a semester, a separate justification/approval memo outlining how teaching responsibilities will be covered during that fraction of time will be required of the DEO(s) via the Dean(s). This memo should accompany the FIL application. Persons on B-base appointment are not eligible for leaves that include all or part of the summer session, but may include the summer period in their leave on an unpaid basis.

International Faculty Exchange Program

Opportunities for professional growth and development are available to faculty members through the International Faculty Exchange (IFE) Program, through which faculty members may participate in exchanges with foreign universities with which Iowa State has formal exchange agreements. An application to participate in faculty exchanges is submitted on the faculty exchange leave form (available from the Office of International Affairs), and reviewed by all appropriate DEOs and deans. If approved at those levels, it will be submitted through the program director of the appropriate faculty exchange program to the Director for International Affairs for review. The International Exchange and Study Committee will then review all applications and make recommendations to the Director for International Affairs. Applications for the following academic year are due in departmental offices September 12. Exceptions to this deadline may be made by the Director for International Affairs when necessary and appropriate.

The criteria used to evaluate IFE applications include: (1) determination of the extent to which the exchange will enhance the future performance of the individual's duties as a faculty member; (2) a clear indication that the exchange will benefit the department and institution; (3) a clear understanding that granting the exchange is an investment in the future of the faculty member and of the department, and is not intended as a reward for past performance; (4) length of time since the most recent previous IFE (a minimum of two years from completion of previous IFE must have passed); and (5) evidence of the proposer's record of scholarly or creative activity.

All members of the faculty employed half-time or more are eligible to apply for IFE. There is no arbitrary restriction on length of service in order to qualify for IFE. Regardless of the length of the leave, the university will continue to make its full contribution to the various employee benefit programs in which the individual is enrolled.

An IFE program may be no longer than 12 months. When program dates do not conform to the beginning or ending dates of a semester, a separate justification/approval memo outlining how teaching responsibilities will be covered during that fraction of time will be required of the DEO(s) via the dean(s). This memo should accompany the IFE application.

If there is a direct exchange of faculty, B-base faculty can be on an exchange program for up to nine months at full salary, and A-base faculty can be on an exchange program for up to twelve months at full salary. If there is not a direct exchange, the time spent off campus will be considered to be a noncompetitive faculty improvement leave and the individual will receive up to six months' salary from the university. The college will retain control over any salary savings generated by this exchange. Funding for replacement faculty will not be provided from central administration funds. Replacements will be handled and controlled by the applicant's college or department. Salary support for P&S exchanges will be considered only if there is a direct exchange.

Foreign Travel Grant Program

Financial support for university-related travel to foreign countries, but not including Canada and Mexico, may, in some instances, be obtained through the foreign travel grant program. Because funds in this program are limited, grants are awarded on a competitive basis and for no more than 75 percent of the least expensive round trip air fare between Des Moines and the individual's destination.

Instructions for making applications for a foreign travel grant, as well as information concerning application deadlines, may be obtained from the office of each college dean or from the Faculty Senate Office. Applications are reviewed and grants are awarded three times a year by the Faculty Senate Committee on Professional Development, and administered by the Office of International Students and Scholars.

Evaluation Criteria

Requests for foreign travel grants will be evaluated on the following criteria: (a) determination of the extent to which the foreign travel will enhance the performance of the individual's duties as a faculty member; (b) a clear indication that the foreign travel will benefit the department and the institution; (c) length of time since the most recent previous foreign travel grant (normally a minimum of two years should have passed); and (d) evidence of productive use of any previous foreign travel grant. Length of service at Iowa State and tenure status will not be relevant considerations in the awarding of a foreign travel grant.

Categories of Foreign Travel

Although foreign travel may be undertaken for a number of reasons, most foreign travel requests involve one or more of the following categories:

1. Long-Term research projects in a foreign location
2. Shorter duration research or collaborative efforts, often involving several related activities such as lecturing, graduate student recruiting, fund-raising, etc.
3. Presentations at foreign conferences
4. Faculty exchanges involving an Iowa State University faculty member.

Factors Likely to Influence Evaluators

Regardless of which activity is involved, the most important consideration is how convincingly the applicant demonstrates that traveling to a particular location, conducting a particular project, or attending a particular conference is central to his or her professional development and to the departmental, college, and university missions. Evaluators also consider accomplishments resulting from previous foreign travel grants, if any. Both the applicant and the DEO are encouraged to comment on these and other relevant factors from their own perspectives. Examples of other factors that may influence decisions in specific instances are indicated in the following paragraphs.

A. Long-Term Research Projects

Evidence of support from other sources will strengthen one's application. One type of evidence would be a faculty improvement leave or other arrangement that illustrates the importance and validity of the work to ISU. Another positive indicator is information that either the host country or an institution or agency in the United States or overseas will be providing financial support, office or laboratory facilities, etc. An invitation from the overseas host or institution should be attached. When the proposed activity involves collaborators, evidence of their interest and enthusiasm is also helpful.

B. Shorter-Term Travel

Evaluators tend to rate multi-purpose travel more positively than single-purpose trips. If the travel involves several different activities, a clear statement of the purpose of each activity and a comprehensive schedule for accomplishing those goals should be included.

C. Conference Presentations

In addition to making the case that the proposed conference is both appropriate and central to one's professional activity, the nature of the participation should be detailed. If the presentation involves a contributed paper, was a competitive review process utilized, and was acceptance based on submission of the entire paper or simply an abstract? If the presentation involves an invited paper, was the invitation issued in recognition of one's general stature in the profession, as one of several papers on similar topics, to be a keynote or theme-setting contribution, or for some other reason? Letters of invitation from the conference organizers should be attached. Regardless of the nature of the presentation, will attendance at this conference bring the applicant into contact with other authorities in the field?

D. Faculty Exchanges

Evaluators tend to give high marks to faculty exchanges that involve multiple activities. Examples are exchanges that involve teaching, research, recruiting, and collaboration opportunities. Here again, an invitation and a well-designed schedule are helpful. An exchange arranged as a part of a prestigious external program such as the Fulbright Lectureships will probably appear more attractive.

Application Process

The applicant submits his or her request for a foreign travel grant to the DEO for departmental review, often by a committee. If approved, the request is sent with its priority rating to the dean for review by the Faculty Development Committee of the faculty member's college. If approved, the request is then forwarded to the Faculty Senate Committee on Professional Development. Grant decisions are made by this committee and administered by the Office of International Students and Scholars. Junior faculty who have an opportunity to participate in an international activity that is in the purview of the Foreign Travel Grant Program are encouraged to apply.

Instructional Development Grants

The university provides support for projects to improve instruction. Grants are awarded annually on a competitive basis. Proposals are due in college offices in early March and grants are announced in May for projects to take place the following academic year. Guidelines for preparing and submitting proposals are available on the World Wide Web at URL http://teach.admin.iastate.edu/CTE/, or from the Center for Teaching Excellence (204 Lab of Mechanics, 515-294-2906).

Overseas Study Group Leader and Initial Site Visit Grants

Financial support for faculty or staff may be available to develop and lead student groups on study or internship programs abroad. Funds made available from the Office of the Provost are distributed by the Study Abroad and Exchange Committee which reports to the Council on International Programs. Proposal guidelines for group leaders are available at the Study Abroad Center, Room 5 Hamilton Hall, 515-294-6792 or on the World-Wide Web at http://www.iastate.edu/~cip/Grants/other.html.

Internship and Fellowship Programs

The university supports the concept of administrative internships and fellowships for faculty, for these can be relevant experiences for faculty members' professional development. The following policies apply to such programs:

1. The university will continue to encourage faculty professional development by making timely university-wide announcements of internal and external internship and fellowship opportunities.
2. Such announcements will include information about internships available in the various ISU administrative offices and colleges, the ACE Fellows Program, the Kellogg National Fellowship Program, and other similar programs.
3. No central funding will be available for the Kellogg National Fellowship Program or the ACE Fellows Program, and all such expenses will be covered by the respective college/administrative offices.
4. The university and individual colleges will maintain commitment to providing internal administrative internships in the various ISU administrative offices.

Following are the policies and procedures for administering the faculty internship and fellowship programs:

1. Nominations for external internship/fellowship programs will be initiated at the departmental level by the DEO, forwarded to the dean, and if approved, forwarded to the provost.
2. Nominations/applications for the internal internship programs will be administered consistent with the individual college policies and procedures related to the internship position.
3. The preferred title will be "Administrative Intern to the ___________" instead of "Assistant to the ____________" or "Assistant ____________".
4. There will be no administrative increment awarded to those individuals appointed to the internal internship programs. Salaries are to be paid by the respective administrative units, with reimbursement for necessary replacement to be negotiated with the employing office.

Big XII Faculty Fellowship Program

The Big XII Faculty Fellowship Program offers faculty the opportunity to travel throughout the academic year to member institutions to exchange ideas and research. Guidelines for preparing and submitting proposals are available on the world wide web at http://www.provost.iastate.iastate.edu/faculty/facdev/big12_1.html.

Mentoring Program for New Faculty

The Office of the Provost provides professional development financial support to senior faculty who are disignated as mentors and thus accept special responsibilities for assisting new faculty members during their first year.

Miller Faculty Fellowships

Miller Faculty Fellowships, supported by an endowment, are awarded annually to fund faculty development proposals that advance the university's Strategic Plan. The program is administered by the Provost's Office and the Center for Teaching Excellence, and guidelines for preparing and submitting proposals are available on the world wide web at http://www.cte.iastate.edu/miller.html.

Study in a Second Discipline

The program, Study in a Second Discipline, offers faculty members an opportunity to extend their scholarship through study in a separate field for one academic semester. The program is sponsored by the Provost, and guidelines for preparing and submitting proposals are available on the world wide web at http://www.provost.iastate.edu/faculty/facdev/second_1.html.

Honorary Degrees

Iowa State University awards honorary degrees to celebrate and honor careers of extraordinary achievement in the commonwealth of knowledge, understanding, and creativity of which it is a part. In conferring an honorary degree, Iowa State University associates itself with the highest achievements in scholarship, research, and creative activity consistent with its educational mission. It expresses the ideals of a great university by designating models of exceptional merit for emulation and respect. For information about criteria and procedures, see Appendix E.

Office of the Executive Vice President and Provost, 1550 Beardshear Hall, Ames, Iowa 50011-2021
Phone 515-294-9591, Fax: 515-294-8844