Office of the Executive Vice President and Provost

8.1. Board of Regents Policies

The Board of Regents, State of Iowa, is charged by law with the responsibility for the governance of the public universities of Iowa. In line with this responsibility, the Board adopts rules and policies of personal conduct for faculty, staff, students and visitors. Those rules and policies can be found in the Board of Regents Procedural Guide and the Iowa Administrative Code.

Violation of these policies, may be considered faculty misconduct and will be dealt with following the procedures in the faculty conduct policy.

8.2. Policies on Personal Conduct

8.2.1. Policy on Sexual Harassment

Revised (July, 1994)

Iowa State University reaffirms and emphasizes its commitment to provide a professional working and learning environment that is fair and responsible; that supports, nurtures, and rewards educational and employment growth on the basis of relevant factors such as ability and performance; and that is free of discriminatory, inappropriate, and disrespectful conduct or communication. Sexual harassment threatens this environment in that it compromises institutional integrity and corrupts traditional academic values. Equally important, sexual harassment inhibits the individual's ability to function effectively as a student or employee and violates acceptable standards of interrelationships. For these reasons, the university will not tolerate sexual harassment and will make every effort to eliminate it if it appears.

The primary goal of the university's policy prohibiting sexual harassment is to prevent the objectionable behavior or stop it whenever it occurs. The policy is consistent with federal statutes that prohibit sex discrimination against employees and that require equal and fair treatment of students. Thus, the policy presented here applies to students as well as to employees. All employees, including faculty, staff, graduate assistants, and administrators are expected to comply with this policy.

Violation of the sexual harassment policy may be considered faculty misconduct and will be dealt with following the procedures in the faculty conduct policy. (This paragraph was added February 2002.)

8.2.1.1. University Responsibilities.

Iowa State University - including its officers and its employees - is responsible for maintaining a working and learning environment free from sexual harassment. The administration is responsible for making widely known that sexual harassment is prohibited both legally and by this policy, and that appropriate procedures for dealing with allegations of sexual harassment are available. Students, staff, faculty, and administrators should know that the university is concerned about such behavior and is prepared to take preventive and corrective action, and also that individuals who engage in such misconduct are subject to appropriate disciplinary action, which may range from reprimand to suspension or dismissal. The severity of the action depends on the severity, frequency, or repetition of the violation.

University administrators who do not respond to sexual harassment complaints brought to their attention are in violation of this policy.

Reprisal or retaliation against an individual for making a complaint of sexual harassment, or for using or participating in the informal or formal complaint process, is a violation of university policy, and any such action is cause for disciplinary action.

Note: See also the Faculty Handbook sections 7.1.2. Professional Responsibilities and 7.2.2.1.1. Consenting Relationships, the P & S Handbook statement on Professional Ethics (http://www.hrs.iastate.edu/PNS/index.html) and the Teaching Assistant Handbook's "Regulations Concerning Professional Ethics" (http://www.grad-college.iastate.edu/speakteach/TAsectionIII.html#Ethics).

8.2.1.2. Definition of Sexual Harassment.

Sexual harassment is a form of sex discrimination that is illegal under Title VII of the Civil Rights Act of 1964 for employees, under Title IX of the Education Amendments of 1972 for students, and under Iowa law. Retaliation against an individual for making a complaint of sexual harassment is also considered to be sex discrimination and is therefore likewise illegal.

Sexual harassment, in its legal definition, includes unwelcome sexual advances, requests to engage in sexual conduct, and other physical and expressive behavior of a sexual nature where:

• submission to such conduct is made either explicitly or implicitly a term or condition of an individual's employment or education;
• submission to or rejection of such conduct by an individual is used, or threatened or suggested to be used, as the basis for academic or employment decisions affecting the individual; or
• such conduct has the purpose or effect of substantially interfering with an individual's academic or professional performance or creating an intimidating, hostile, or demeaning employment or academic environment.

Consistent with the university's intent to provide an atmosphere conducive to education and professional activities, this policy covers those activities which, although they do not in and of themselves meet the legal definition of sexual harassment, are inappropriate in professional settings or circumstances. Interpretation of this policy will give due consideration to the principles of academic freedom and freedom of speech.

Under this policy, sexual harassment can be verbal, visual, or physical. It can be overt, as in the suggestion that a person could get a higher grade or a raise in salary by submitting to sexual advances. The suggestion or the advance need not be direct or explicit - it can be implied from the conduct, circumstances, and relationships of the persons involved. Sexual harassment can also consist of persistent, unwelcome attempts to change a professional or academic relationship to a personal one. It can range from unwelcome sexual flirtations and inappropriate put-downs of individual persons or classes of people to serious physical abuses such as sexual assault. Examples include, but are not limited to, unwelcome sexual advances; repeated sexually-oriented kidding, teasing, joking, or flirting; verbal abuse of a sexual nature; commentary about an individual's body, sexual prowess, or sexual deficiencies; derogatory or demeaning comments about women or men in general, whether sexual or not; leering, touching, pinching, or brushing against another's body; or displaying objects or pictures which are sexual in nature and which create a hostile or offensive work or living environment.

Sexual relationships between persons in an unequal power relationship that appear to be voluntary and welcome may nonetheless constitute sexual harassment under this definition. Relationships between faculty and subordinate faculty or staff, between a supervisor and those employees whom he or she supervises, or between a faculty member or teaching assistant and a student may give rise to legal and ethical concerns or to conflict between personal and professional interests. Although such a relationship may be viewed by the parties involved as consensual, that fact alone does not mean that no sexual harassment exists.

Although consensual relationships per se do not necessarily constitute sexual harassment, such relationships may give rise to claims of sexual harassment where:

• third parties are adversely affected in academic or employment matters because of a consensual relationship between others;
• where a consensual relationship creates a hostile and intimidating work or learning environment for third parties; or
• when a consensual relationship ends, and one of the parties continues behavior which the other party has made clear is now unwelcome.

8.2.1.3. Complaint Resolution Procedures.

Iowa State University has established both formal and informal procedures to resolve sexual harassment complaints. Anyone who believes that he or she has been subjected to sexual harassment should make this known to appropriate university personnel (described below) so that the behavior can be evaluated and appropriate action taken. Usually, complaints are most effectively addressed at the earliest possible stage. Although not required, persons who have been subjected to sexual harassment are encouraged to inform the instigator, through either verbal or written communication, that the behavior is unwelcome and should cease. The resolution procedures described below, if invoked, will be implemented with discretion and sensitivity, giving careful consideration to the rights of all parties to due process and confidentiality.

Harassment complaints are best resolved if addressed early. The university urges those who have complaints to bring them forward as soon as possible. As time passes, it becomes more difficult to investigate and resolve complaints. In addition, there are time limitations for filing external complaints with state and federal agencies.

Students and employees may obtain information about the university's sexual harassment policy and resolution procedures from several offices. Students may obtain information from the Dean of Students Office, the Student Counseling Service, and the Women's Center; employees may obtain information from the Employee Assistance Program, the Women's Center, and the Office of Equal Opportunity and Diversity.

8.2.1.4. How To Initiate a Complaint.

Anyone who believes that she or he has been subjected to sexual harassment may elect to proceed informally by bringing the complaint directly to the attention of an appropriate administrator, or by filing a formal complaint with the Office of Equal Opportunity and Diversity. When the allegation is made against a member of the faculty, the complaint may be filed with the Office of the Provost. As described below, the university has designated and trained certain individuals to assist a potentially injured person in deciding if and how to proceed and in carrying out that decision. An individual who elects initially to proceed informally may thereafter elect at any stage to file a formal complaint.

8.2.1.5. Confidentiality.

Persons seeking general information or guidance about sexual harassment may be concerned about whether the information they share with another person will be confidential. While the university is eager to create a safe environment in which individuals can be unafraid to discuss concerns and make complaints, legal obligations may require the university to take some action once it is informed that sexual harassment may be occurring. Because of their positions of authority, university administrators - i.e., central administrators, deans, directors, department chairs, and managers - are particularly obligated to take action when they receive a complaint of sexual harassment. Although the confidentiality of the information received and the privacy of the individuals involved cannot be guaranteed, they will be protected to as great an extent as is legally possible. The expressed wishes of the complainant regarding confidentiality will be considered in the context of the university's legal obligation to act upon the charge and the right of the charged party to be informed concerning the charge.

8.2.1.6. Assistors.

The university has designated several offices to provide assistance through persons designated as Assistors to help anyone who believes she or he may have been subjected to sexual harassment or who wishes to make an inquiry concerning sexual harassment. Assistors have information about university policies and procedures and about options available for the resolution of complaints, but they are not responsible for resolving complaints. Lists of designated Assistors are available from the Dean of Students office, the Women's Center, and the Employee Assistance Program. The Assistor's functions include the following:

• Providing information about sexual harassment and options for addressing it.
• Informing the complainant regarding applicable university policies and procedures and outlining various options, both informal and formal, for resolving the complaint. In addition to providing the employee with a written copy of the university's sexual harassment policy, the Assistor will provide information as to various strategies that the complainant may use if he or she wishes to attempt resolution personally, such as confronting the alleged offender, writing a letter to the alleged offender, or utilizing the services of a third party as an intervener.
• Accompanying the complainant to informal resolution sessions, if requested by the complainant. The Assistor does not, however, function as an advocate or spokesperson for the complainant, nor does the Assistor act in lieu of a complainant.
• Maintaining notes necessary for statistical reporting. Assistors are required to forward to the Office of Equal Opportunity and Diversity, on an annual basis, information on the number and nature of complaints that have been received. These data shall not contain information that would identify the complainant or the person accused in the complaint.

8.2.1.7. Informal Resolution.

As noted earlier in this policy, the university's primary goal is to prevent or stop sexually harassing behavior whenever it occurs. Therefore, Iowa State University has adopted informal processes by which sexual harassment complaints may be resolved by mutual agreement between the complainant and the person accused of sexual harassment. If informal resolution fails to resolve the matter to the complainant's satisfaction, the complainant may file a formal complaint with, or seek the assistance of, the university's Office of Equal Opportunity and Diversity. The implementation of this informal process is the responsibility of all central administrators, deans, directors, department chairs, and managers - hereinafter referred to collectively as "administrators."

Under the informal process, the complainant brings the complaint, either verbally or in writing, to an administrator with authority over the person against whom the complaint is directed. The administrator is expected to review the complaint and explore avenues for resolution with the complainant. The university recognizes that it must balance the complainant's right of privacy and the need to be fair to the alleged offender by notifying him or her of the allegation. The administrator has the discretion to determine when the situation requires notification of an alleged offender. The administrator also has the discretion to determine whether the situation warrants a meeting, either with the complainant and the alleged offender both present or with the complainant and alleged offender separately. Finally, the administrator has the discretion to determine whether investigation of the complaint requires interviewing other persons who may have witnessed the behavior in question.

Administrators should attempt to resolve complaints expeditiously, but consistent with the severity or complexity of the matter. It is expected that the informal resolution process will be completed within three weeks after receipt of the complaint. The Office of Equal Opportunity and Diversity and Office of University Counsel are available for guidance in this process.

In cases of complaints against members of the faculty, the Faculty Conduct Policy provides for mediation by a third party to resolve the complaint when all parties agree. For more information, see 7.2.4. Mediated Process.

For purposes of annual reporting, the administrator shall maintain a written record of the complaint and of the informal resolution process undertaken, taking care to preserve the privacy rights of both the complainant and the alleged offender.

8.2.1.8. Formal Complaint.

A student or employee who believes that she or he has been subjected to sexual harassment may file a formal complaint with the university's Office of Equal Opportunity and Diversity (EOD). A complaint against a member of the faculty may also be filed with the Provost's Office. A formal complaint involves the submission of a written statement to EOD describing the incident or incidents as completely as possible. Specific guidelines for the submission of a complaint may be obtained from EOD, and the complainant may visit with a staff member of that office prior to filing a formal complaint.

Once a complaint is filed with EOD, it will be investigated by an EOD staff member or designee. (A complaint against the President will be referred to the Board of Regents for investigation and disposition.) The person against whom the complaint is filed will be notified.

In cases where the complaint alleges misconduct by a member of the faculty, EOD will notify the Provost of the complaint within one business day and coordinate with the Faculty Review Board, as required by the Faculty Conduct Policy. The Faculty Review Board works in conjunction with the investigator, reviews investigatory reports and makes recommendations to the Provost.

The investigation will include interviews with the complainant or complainants, with the person against whom the complaint has been brought, and with anyone else who might have information that would be helpful. Based on this investigation, EOD will submit findings of facts, as well as a recommendation with respect to appropriate action to resolve the complaint, to the unit administrator of the person against whom the complaint was filed, or, in the case of an allegation of misconduct against a member of the faculty, to the Faculty Review Board. Any disciplinary action shall be handled under the appropriate student or employee handbook.

In cases not involving allegations of misconduct by a member of the faculty, the unit administrator to whom EOD report has been submitted must notify EOD in writing as to whether he or she accepts the report as well as what action, if any, has been or will be taken. If the unit administrator does not accept the recommendation of EOD, EOD shall submit a copy of the findings and recommendation to the appropriate Vice-President or Provost, who shall in turn take whatever action he or she believes to be necessary in the matter.

The investigation by EOD will be conducted expeditiously, but in a manner consistent with the complexity and severity of the matter. EOD will attempt to issue its summary of facts and recommendation within thirty days of initiation of the formal complaint.

EOD shall notify the complainant in writing of the result of the investigation and the action taken by the university to resolve the complaint. If a final determination has been made that there has been no violation of the university's sexual harassment policy, the complainant may, within ten calendar days from the date of notification of the determination, appeal to the President. Should the matter remain unresolved to the satisfaction of the complainant, a further appeal may be made, in writing, to the Board of Regents within seven days following notification of the decision rendered by the President. The decision of the Board of Regents shall constitute the last internal appeal. Any subsequent complaints external to the university shall be at the discretion of the complainant.

8.2.1.9. Direct Institutional Action.

If a university administrator - i.e., central administrator, dean, director, department chair, or manager - becomes aware of information which he or she deems may raise a serious question of risk for an employee or a student, or which he or she deems may subject the university to immediate risk or potential liability, the administrator should take appropriate action to investigate or seek to address the situation. If the information concerns allegations arising from a unit for which the administrator is not responsible, he or she shall refer it to an appropriate administrator who has supervisory responsibility. If the matter is complex or if the administrator is not able to bring the case to resolution, the matter must be brought to the attention of the Office of Equal Opportunity and Diversity. The Office of Equal Opportunity and Diversity may determine that further action is unnecessary, may provide support to the administrator's continuing efforts, or may initiate a formal investigation. Where an administrator is unsure of the seriousness of the matter, he or she should seek the assistance of the Director of Equal Opportunity and Diversity or the Office of University Counsel.

8.2.1.10. External Actions.

In addition to the university's channels, a person who believes that she or he has been subjected to sexual harassment may file a charge under the various jurisdictions of the Iowa Civil Rights Commission, the Equal Employment Opportunity Commission, or the U.S. Office of Civil Rights. Information on filing charges with any of these agencies may be obtained from the university's Equal Opportunity and Diversity Office.

8.2.2. Policy on Racial and Ethnic Harassment

8.2.2.1. Policy.

Respect is the foundation for interchange of ideas, for learning and for working toward common goals. Consequently, Iowa State University assumes responsibility for assuring that its programs are free from racial and ethnic discrimination. Of special importance is the need to maintain an environment free from racial and ethnic harassment. Racial and ethnic harassment impedes the realization of the university's mission of distinction in education, scholarship and service. In serious cases, such harassment can result in liability for the university and in criminal sanctions for persons engaging in harassment. It deeply affects those who suffer the harassment, preventing them from participating fully in work, research and study. The existence of racial and ethnic harassment diminishes the whole community. For these reasons, the university will not tolerate racial or ethnic harassment and is committed to preventing it or stopping it whenever it may occur at the university or in its programs.

The law defines racial or ethnic harassment as any non-consenting conduct based upon race, ethnicity or national origin that creates a hostile work or educational environment. Racial or ethnic harassment may include threats, physical contact, pranks, vandalism, verbal, graphic, or written conduct directed at an individual or individuals because of their race or national origin. Even if actions are not directed at specific persons, a hostile environment is created when the conduct is sufficiently severe, pervasive or persistent so as to unreasonably interfere with or limit the ability of an individual to work, study or otherwise to participate in activities of the university.

Examples of racial or ethnic harassment include, but are not limited to: severe or persistent racial epithets, derogatory comments, jokes or ridicule directed to a specific person or persons about their race or ethnicity; threats of, or actual violence based upon the race or ethnicity of the victim; defacement of a person's property based upon race of the owner; persistent and repeated racial or ethnic remarks or conduct, even if not directed at a specific person or persons, which unreasonably affect the ability of persons to participate in university programs.

It is the university's goal to prevent the occurrence of harassing activity and to stop harassing conduct when it occurs and before it becomes a violation of law. This policy therefore covers those activities, which, although they may not be severe, persistent or pervasive enough to meet the legal definition of racial or ethnic harassment, are inappropriate and unjustified in an educational or work environment.

Interpretation of this policy shall be consistent with federal and state law regarding racial harassment, and will not be interpreted to infringe upon First Amendment rights of free speech. When the alleged harassment involves speech alone, the university must be mindful of the tradition of free exchange of ideas inherent in an academic community. Interpretation of this policy will respect the principles of academic freedom and freedom of speech. A determination as to whether racial or ethnic harassment has occurred will be based upon the context in which the alleged conduct occurs. Further guidance on enforcement of this policy in cases of alleged verbal harassment is provided in the university's Discrimination Complaint Procedures.

8.2.2.2. Enforcement.

Complaints of racial harassment may be made as follows:

• Informal complaints may be made to Department Chairs or Directors in departments supervising the faculty, staff or students alleged to be engaging in harassment;
• In cases involving academic activities, including grading, classes, research, advising and outreach, complaints may be filed in accordance with the academic grievance policy in the University Catalog;
• In cases involving allegations of harassment by members of the faculty, mediation may be an option under the Faculty Conduct Policy of the Faculty Handbook, with the agreement of the parties;
• In cases involving allegations of harassment by students, complaints may be made to the Office of Judicial Affairs, http://www.dso.iastate.edu/ja/homepage.html;
• In cases where the conduct may violate Iowa harassment law, Iowa Code 708.7, complaints may be made to the Department of Public Safety, http://www.dps.iastate.edu/; or
• In all cases, a formal complaint may be filed with the Office of Equal Opportunity and Diversity, http://www.hrs.iastate.edu/AAO/eod/.

Persons who violate this policy by using university facilities or equipment may be denied the privilege of continued use of the facility or equipment. For example, a person who uses computing services for harassment may be denied access to computing services.

A complaint to the Office of Equal Opportunity and Diversity must be made in writing. In the case of an employee who believes he or she is being harassed by a supervisor, a complaint of racial or ethnic harassment may be, but need not be, first brought to the attention of the supervisor. In the case of a student who believes an instructor has harassed him or her, an academic grievance may be, but need not be, first brought to the attention of the instructor.

Upon the filing of a complaint, the university administrator receiving the complaint will promptly take reasonable steps to resolve the complaint in accordance with the University Grievance and Complaint Procedures Discrimination for Discrimination and Ethnic Harassment.

Where harassment is found to have occurred, the university will take appropriate disciplinary and/or preventive action so as to eliminate the conduct. Such steps may include conciliation, mediation and instruction. In any process of investigation or discipline of any member of the faculty, staff or student body, procedures will be followed to accord due process to the accused; and discipline shall be in accordance with the Faculty Handbook, the P&S Handbook, merit system rules, the collective bargaining agreement or the Student Information Handbook, and in accordance with any applicable provision of law.

Employees found to have engaged in harassment are subject to appropriate discipline up to and including termination of employment. Students found to have engaged in harassment are subject to appropriate discipline up to and including dismissal.

Even in the absence of a complaint, if university administrators, including the President, the Provost, Vice Presidents, Deans, Department Chairs, Directors or Managers, become aware of allegations of racial or ethnic harassment, it is their responsibility to inquire into, or seek assistance in inquiring into, the allegations to determine what action is warranted. Administrators needing assistance should consult with the Office of Equal Opportunity and Diversity. Appropriate action may include initiation of an investigation and, if the allegations are founded, institution of disciplinary, corrective or preventive measures.

Retaliation against persons who file complaints, who provide information related to a complaint, or who otherwise participate in an informal or formal complaint process is a violation of university policy, and such action is cause for disciplinary action.

In cases where complaints are found to be baseless or frivolous, and where the accused individual consents, the university will take affirmative steps to restore the reputation of a person believed to be wrongly accused. Appropriateness of such action shall be based upon the nature of the investigation, the findings and the reputational damage, which may have occurred.

For more information, contact the Office of Equal Opportunity and Diversity, http://www.hrs.iastate.edu/AAO/eod/.

8.2.2.3. University Grievance and Complaint Procedures for Discrimination and Racial or Ethnic Harassment.

The University has adopted and disseminated policies against discrimination and racial and ethnic harassment. Complaints alleging racial or ethnic harassment or discrimination on the basis of race, color, religion, national origin, physical or mental disability, age, sex, or status as a disabled veteran or U. S. Veteran of the Vietnam Era, or any other status protected by university policy may be filed formally or informally, consistent with the procedures outlined below. (Sexual harassment complaints are filed and addressed in accordance with separate procedures described in Section 8.2.1. Policy on Sexual Harassment.)

8.2.2.4. Avenues for Complaints and Grievances.

A person alleging harassment or discrimination may file an informal or formal complaint, or use grievance and other processes as indicated below.

a) Informal Complaints against Faculty or Staff. Informal complaints of racial or ethnic harassment and discrimination may be made to Department Chairs or Directors in departments supervising the individual(s) alleged to be engaging in the discriminatory or harassing behavior. In such cases, the Chair or Director should inquire into the matter and, if warranted, attempt to bring about a resolution upon which both the complainant and the accused person agree. The administrator handling an informal complaint may interview witnesses or gather other information. Complaints should be handled expeditiously, but consistent with the complexity of the matter. It is expected that informal resolution will be completed within three weeks of receipt of the complaint. The Office of Equal Opportunity and Diversity and Office of University Counsel are available for assistance in the process.

In cases involving allegations of misconduct against members of the faculty, the Faculty Conduct Policy provides for mediation when agreed by all the parties. (7. 2. Faculty Misconduct)

When a case involves allegations of serious misconduct, the administrator handling the informal complaint should consult with the Office of Equal Opportunity and Diversity to determine whether the case should be handled informally.

b) Other Processes. Students may use the following grievance and disciplinary processes:

• Academic Matters. Complaints regarding harassment or discrimination related to academic matters may be filed in accordance with the policy on Appeal of Academic Grievances found in the University Catalog. Such complaints should be brought to the attention of the instructor or the Department Chair. A student is not required to raise harassment or discrimination issues first with the instructor and, therefore, may appeal directly to the Department Chair.
• Complaints Against Other Students. Complaints regarding misconduct of a student may be directed to the Office of Judicial Affairs in accordance with the Student Conduct Code, published in the Student Information Handbook, http://www.dso.iastate.edu/handbook.html.
• Student Employee Grievances. Student employees may bring a student employment grievance in accordance with the Student Information Handbook, http://www.dso.iastate.edu/handbook.html.

Faculty and staff may use the following processes:

• Merit Staff Grievances. Complaints regarding terms of employment or working conditions, including matters relating to harassment and discrimination, may be brought by merit staff in accordance with the Grievance Appeal Procedure in the Office Procedure Guide, http://www.adp.iastate.edu/vpbf/prod/docs/opg/chap5.htm#5.7.1.
• Faculty and P&S Grievances. Grievances of faculty and P&S employees may be brought in accordance with the provisions of the applicable employee handbook.
• Complaints against Students. Faculty and staff may report complaints of discriminatory or harassing conduct to the Office of Judicial Affairs, http://www.dso.iastate.edu/ja/homepage.html.

c) Formal Complaints. In all cases, formal complaints may be filed with the ISU Office of Equal Opportunity and Diversity. Formal complaints against members of the faculty may be filed with the Provost. Formal complaints must be in writing. The following guidelines have been developed to expedite the complaint process:

Who may file a formal complaint? Any applicant, employee, employee of affiliates, collaborator, visitor, program participant, or student of Iowa State University may file a complaint alleging discrimination and racial or ethnic harassment in violation of the university's policies prohibiting such conduct.

Where does one file a formal complaint? Complaints may be filed with the Office of Equal Opportunity and Diversity, http://www.hrs.iastate.edu/AAO/eod/. Complaints against a member of the faculty may be filed with the Provost's Office, http://www.provost.iastate.edu/.

Contents of a formal complaint: Typically, the complaint should include:

• the name, address, and telephone number of the complainant
• the name and office of the individual(s) alleged to have committed the discrimination and/or harassment, or the name of any policy, procedure or action which is alleged to be discriminatory
• a description of the act(s) considered to be discriminatory or harassing
• the names of persons known to have information relevant to the complaint
• the date on which the act(s) allegedly occurred, and
• other information which will assist in the investigation and resolution of the complaint.

The formal complaint must be signed by the complainant. The complainant may also be requested to complete an intake form. Complainants are expected to cooperate by providing relevant information relating to the complaint.

Timelines and Timeliness: Complainants are urged to file complaints within 30 days of the date of the alleged discriminatory or harassing act. If a complaint contains incomplete information, the Office of Equal Opportunity and Diversity will promptly seek to gather the needed information from the complainant. In the event that such information is not furnished to the Office of Equal Opportunity and Diversity within 30 days from the date of the request, the case may be closed. The Office of Equal Opportunity and Diversity may refuse to investigate claims in which the alleged discrimination or harassing action did not take place within the preceding 180 days.

Processing of Formal Complaints. The Office of Equal Opportunity and Diversity shall promptly notify the appropriate unit head and the accused person of the complaint. In cases involving complaints alleging faculty misconduct, the Provost's Office shall be notified within one business day.

The Office of Equal Opportunity and Diversity may reject any complaint that is beyond its jurisdiction. The Office of Equal Opportunity and Diversity does not investigate matters that do not involve discrimination or harassment.

Complaint Intake and Investigation. The Office of Equal Opportunity and Diversity is responsible for reviewing the case or conducting or commissioning an investigation. The investigation will begin promptly. The investigator will interview the complainant and the accused, as well as witnesses deemed important or relevant. Normally, investigations will be completed in 30 days.

If the case involves allegations of misconduct against a member of the faculty, the investigator designated by the Office of Equal Opportunity and Diversity will work with the Faculty Review Board as provided by the Faculty Conduct Policy. The Faculty Review Board works in conjunction with the investigator, reviews investigatory reports and makes recommendations to the Provost.

Enforcement of the Racial and Ethnic Harassment Policy must respect the principle of academic freedom and the right of free speech. Therefore, in evaluating whether speech has become harassment, the following factors will be considered:

• The tone of voice, gestures and behavior of the speaker;
• Whether there is conduct or speech which indicates a discriminatory purpose or a constructive purpose;
• Whether the speech is made in a context where the recipient is in a position to avoid the speaker;
• Whether the speech is germane to an academic exercise and recognized by peers as a legitimate topic or way of presenting academic material;
• Whether the speech is made in a public forum on a matter of public concern, or otherwise in a context in which free debate is encouraged;
• Whether the speech is directed toward specific individuals or a specific group of individuals;
• The degree to which the expression was necessary to the discussion of the subject matter;
• Whether the speech is so severe as to amount to a crime under Iowa law; and
• Whether the speaker did or could anticipate that the speech would intimidate, cause anger or interfere with an individual's ability to continue to participate in university activities.

When investigating conduct which includes scholarly discourse, the Office of Equal Opportunity and Diversity will be cognizant of the provisions of the Faculty Handbook on Scholarly Discourse and Germaneness. (7.2.1.2. Scholarly Discourse and Germaneness)

8.2.2.5. Complaint Resolution.

If the complaint investigation by the Office of Equal Opportunity and Diversity shows no violation of the university's Racial and Ethnic Harassment, or Nondiscrimination Policy, and that determination is accepted by the appropriate unit administrator(s), or in the case of an allegation against the faculty member, by the Faculty Review Board and Provost, the complainant and the accused person shall be notified of such a finding in writing.

Where discrimination or harassment is found to have occurred, the university will refer the matter to the appropriate university official. If the formal complaint alleges misconduct by a member of the faculty, the report will be made to the Faculty Review Board, which then recommends appropriate action to the Provost as required by the Faculty Conduct Policy. In cases of student discipline, the matter will be referred for action in the student judicial system. In cases of discrimination by a non-faculty employee, the matter will be referred to the unit head. If that person agrees with the report, he or she shall take appropriate disciplinary, corrective, and/or preventive action so as to eliminate the conduct. Such steps may include conciliation, mediation and instruction. In any process of discipline of any member of the faculty, staff or student, procedures will be followed to provide due process to the accused in accordance with the Faculty Handbook, the P&S Handbook, the Regents Merit Rules or the Student Information Handbook, and in accordance with the Collective Bargaining Agreement between the State of Iowa and AFSCME and with any applicable provision of law.

If the official responsible for taking action disagrees with the report, the Office of Equal Opportunity and Diversity may open further investigation, or the matter may be referred to the appropriate Vice President or the Provost for resolving differences. If the Vice President or Provost believes that discrimination or harassment has occurred, he or she shall refer the matter for disciplinary action as provided above.

The complainant will be informed in writing of the outcome and a summary of the reasons for the university's action.

8.2.2.6. Filing Complaints with External Agencies.

Any individual may file a complaint alleging discrimination with applicable federal and/or state civil rights agencies. Those who elect not to use the procedures established by the university and who desire external review may contact any of the agencies below:

Equal Employment Opportunity Commission

http://www.eeoc.gov/

U. S. Department of Education
Office for Civil Rights

http://www.ed.gov/about/office/list/ocr/index.html?src=mr

Iowa Civil Rights Commission

http://www.state.ia.us/government/cre/index.html

8.2.2.7. Protection from Retaliation.

Retaliation against persons who file complaints, who provide information related to a complaint or who otherwise participate in an informal or formal complaint process is a violation of university policy, and such action is cause for disciplinary action. Retaliation may include the taking of adverse action, harassment or intimidation. Complaints of retaliation should be brought directly to the Office of Equal Opportunity and Diversity. Complaints of retaliation will be reviewed or investigated.

8.2.2.8. Direct Institutional Action.

Even in the absence of a complaint, if university administrators, including the President, the Provost, Vice Presidents, Deans, Department Chairs or Directors, become aware of allegations of discrimination or racial or ethnic harassment, it is their responsibility to inquire into, or seek assistance in inquiring into, allegations or behaviors that may be discriminatory or harassing in order to determine what action(s) are warranted. Appropriate procedures may include initiating an investigation. Administrators needing assistance should consult with the Office of Equal Opportunity and Diversity.

8.2.2.9. Monitoring Incidents.

Monitoring Incidents of Racial and Ethnic Harassment has three components:

• Annually, the Office of Equal Opportunity and Diversity sends Department Chairs and Directors a notice that they need to keep records of claims and resolution of racial or ethnic harassment complaints at their level.
• Department Chairs are urged to request immediate reporting and assistance with cases of serious and persistent discrimination and racial or ethnic harassment.
• Annually, the Office of Equal Opportunity and Diversity surveys and collects information about these complaints and resolution.

8.2.3. Policy on Conflict of Interest

Section 8.2.3. was approved by the Faculty Senate on 11/07/95.

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.

Violation of the conflict of interest policy may be considered faculty misconduct and will be dealt with following the procedures in the faculty conduct policy.

8.2.3.1. 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.

8.2.3.2. Legal Provisions: Iowa Code.

All university employees should be aware of any possible conflict of interest situations or activities that are prohibited in Code of Iowa Chapter 68B entitled "Conflicts of Interest of Public Officers and Employees." It is impermissible for employees to use state facilities, equipment, supplies and employees for the employee's private advantage or financial benefit, unless those services are generally available to the public on the same basis. Iowa Code 68B.2A. It is also impermissible to use, or to allow private use (regardless of whether the employee has private business purpose) of the state's facilities, equipment, supplies or employees for private purposes and personal gain to the detriment of the state. Iowa Code 721.1(5).

8.2.3.3. Legal Provisions: Federal Guidelines.

In addition to the conflict of interest guidelines stated above, Office of Management and Budget (OMB) Circular A-110, Attachment 0, imposes additional requirements on federally funded acquisitions concerning conflict of interest situations. It states: "No employee, officer, or agent shall participate in the selection, award, or administration of a contract supported by federal funds if a real or apparent conflict of interest would be involved. Such a conflict would arise when the employee, officer, or agent, any member of his/her immediate family, his/her partner, or an organization which employs or is about to employ any of the parties indicated herein, has a financial or other interest in the firm selected for an award. The officers, employees, and agents of the recipient shall neither solicit nor accept gratuities, favors, or anything of monetary value from contractors, or parties to subagreements.

8.2.3.4. Purpose.

This policy is to provide a mechanism for the following:

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

8.2.3.5. 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.

8.2.3.6. 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.

8.2.3.7. 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.

8.2.3.8. 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.

8.2.3.9. 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.

8.2.3.10. 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. (8.2.3.5. Relationships)

8.2.3.11. 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.

8.2.3.12. 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.

8.2.3.13. 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.

8.2.3.14. 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 department chair or immediate supervisor the nature and degree of such relationships.

The following two avenues for disclosure are available:

• 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 chairs or other immediate supervisors of the details of the potential conflict. Disclosure is automatically required if the Iowa State University (ISU) employee has an equity interest or a management role in a company supporting research.
• Directly to a Chair/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 chair/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 chair 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 chair for his/her approval.

8.2.3.15. Review of Disclosures

Departmental Level. A department chair is responsible for reviewing any disclosures made. If, in his/her opinion, no potential or actual conflict of interest exists, further review is unnecessary. Where a potential or actual conflict exists, the chair must decide if it is serious enough to require intervention or mediation. A chair 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 chair as the reviewer of disclosures.

College Level. If a chair is unable or unwilling to deal with the actual or potential conflicts of interest that a disclosure reveals, then he/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/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/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/she can request that the disclosure be referred for review to the higher administrative level as described above.

8.2.3.16. 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 the following three forms:

• University Research is Sponsored by the Company. 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.
• The Company, in Exchange for a Fee, Uses University Facilities and/or Equipment. 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.
• The Company Employs Individuals who are Simultaneously University Graduate Students. 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 chair.

8.2.3.17. Remedies.

At any point in the process of reviewing disclosures, a chair, 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 the following:

• an agreement signed by all interested parties that none of them perceive a conflict to exist
• 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.
• 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
• 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.

8.2.3.18. 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 that 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 integrity (ORI). The ORI will handle the matter in accordance with the Procedure for "Addressing Claims of Misconduct". (7.2.3. Addressing Claims of Misconduct). Employees who are not faculty members may be subject to the conduct policies outlined in the Professional & Scientific Handbook.

8.2.4. Code of Computer Ethics

Section 8.2.4. was endorsed by the Faculty Senate on 5/05/92.

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 and copyright violations may be grounds or sanctions against members of the academic community.

Extensive guidelines that govern ethical computer use at Iowa State University are also part of the Code of Computer Ethics maintained by the Office of Academic Information Technologies, http://policy.iastate.edu/it/ethics/.

Violators of the code may be billed for illegal use of the computer systems and may be prosecuted for statutory violations, including Iowa Code Chapter 716A, "Computer Crime."

8.3. Policies on Professional Activity

8.3.1. Review of Research Projects - Human Subjects

The Institutional Review Board, formerly known as The University Committee on Human Subjects in Research, reviews any research that involves human subjects. This board reviews and acts on all protocols related to the use of human subjects in research and reports to the office of the vice provost for research and advanced studies. The board has representatives from various areas within the university and includes a member from the community. The committee conducts protocol reviews to ensure that appropriate guidelines are followed, including federal regulations (Code of Federal Regulations, Title 45, Part 46 - Protection of Human Subjects; as published in the Federal Register on July 18, 1991). Forms must be completed by the researcher and reviewed and approved by the board before any research involving human subjects is initiated, http://www.compliance.iastate.edu/irbForms.aspx.

8.3.2. Review of Projects/Courses - Live Vertebrate Animals

The Committee on Animal Care (COAC) evaluates for compliance with federal law and university policy all proposed teaching and research involving the use of live vertebrate animals to be conducted by faculty, staff or students, http://www.compliance.iastate.edu/ComplianceWeb/coacProcedures.aspx.

To initiate review of research projects a Protocol Review Form Use of Animals in Research must be submitted to the Laboratory Animal Resources (LAR) office, (http://www.lar.iastate.edu/) This form must be submitted and approved by COAC before any animals are used. The COAC must be informed in writing of any changes in a previously approved protocol. COAC approval must be renewed annually for ongoing projects.

A Protocol Review Form - Use of Animals in Teaching must be approved by the COAC prior to the use of live animals in a course. COAC approval must be renewed annually. Instructors are expected to be familiar with the Guidelines for the Use of Live Vertebrate Animals in Teaching. (http://www.coac.iastate.edu) COAC approval of all procedures involving live vertebrate animals must be obtained before any animals are used. About three weeks should be allowed for approval. Questions regarding the Protocol Review Forms and the review process may be directed to the LAR office. (http://www.lar.iastate.edu)

8.3.3. Grants and Contracts

The university regularly receives funds (gifts, grants and contracts) from industry, private sources, governmental agencies, and foundations to support various university activities. Such funds are frequently designated for scholarships, equipment, research, or training. Gift and grant funds are accepted only when they may be used in fields authorized by the laws of Iowa and by the regulations of the Board of Regents.

Funds to support contractual research will be accepted when the work involves an area where there are qualified staff members and adequate facilities, and when the research contemplated will be of benefit to the university, the State of Iowa, and/or the public in general. All awards offered must be reported to the Office of Sponsored Programs Administration: http://www.ospa.iastate.edu/.

8.3.4. Classified Research

The university discourages classified research. Any grant or contract that would restrict disclosure of research results must be approved by the vice provost for research before it is accepted. Faculty or staff members acting as principal investigators are responsible for calling to the attention of the administration any restrictions that would limit the use and distribution of information resulting from research for which they are responsible.

8.3.5. 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/her department chair.

Employees who do consulting or otherwise have outside business interests should take care that their actions do not result in use of state funds, facilities, equipment or time subsidizing these outside interests. Failure to properly separate these activities can result in violation of Iowa Code 68B.2A and 721.2. For consulting policy, see Office Procedure Guide, http://www.adp.iastate.edu/vpbf/prod/docs/opg/chap3.htm#3.1.5.

Employees are also not permitted to receive compensation from persons for performing those duties which the employee is obligated to perform for the University or the state. Iowa Code 68B.2A(1).

Staff members are required to report annually, through their department chair, 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: http://www.provost.iastate.edu/faculty/resources/faculty-consulting-policy.html.

8.3.6. Policy on Educational Material and Intellectual Property

8.3.6.1. 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.

Section 8.3.6.1. was approved by the Board of Regents, State of Iowa on 3/12/76.

Note: Sections of this document refer to procedures, university offices and documents that have changed or been renamed. This does not affect the intent or status of the policy. The complete text of this document is on the ISURF web page, http://www.techtransfer.iastate.edu.

8.3.6.2. Preamble.

The development of educational materials is a natural and desirable output of intellectual activity. The creation of educational materials, such as textbooks, by the faculty, staff, and students at Iowa State University has always been encouraged and has resulted in the availability, through commercial channels, of numerous books, laboratory manuals, and other printed materials of real value to the educational process, teaching, and research on a worldwide basis.

Creation of such works has come about through the extra effort expended by faculty and staff members who concurrently have satisfied their normal employment commitments with the university to teach, do research, or carry out administrative functions. The works created have been due to the efforts of one individual (or a small informal group), with the university providing encouragement and support through the unrestricted use of the employee's office, library facilities, assistance in the preparation of graphs and charts, minor secretarial assistance and other similar services to assist in the production of the work. Professional Development Assignments have been, and continue to be, granted to faculty where the desire of the grantee has been to create a written work.

Such expressions of ideas through the written word result in manuscripts which are, under Iowa law, the sole property of the author to dispose of as he/she may wish. The only exception to this has been those works created by individuals employed for the specific purpose of writing such works. Through years of development and trial, the freedom to create such works and the encouragement by the university for faculty and staff members to do so, has resulted in the desirable practice described above.

This practice has come to be known as the traditional textbook policy at Iowa State University. No change from this policy is anticipated by this document. Because of advancing technology, and the recognition of the value of audio and visual aids in education, new forms of educational materials have come into existence at Iowa State University. Motion pictures, slides, and videotapes are examples of such valuable educational materials. While most often developed for internal use at Iowa State University, these educational materials are often in a form that directly meets educational needs at other universities or educational facilities elsewhere in the United States and in other countries. On the other hand, these new forms of educational materials, due to their nature, require a more substantial level of direct support by the university to allow their creation.

The new technologies involved require not only the initial creative effort of an author, but often the additional services of a variety of specialists, equipment, and production facilities. The cost of such services and facilities to adapt the author's creative effort into a desired medium may be substantial, and requires the expenditure of significant university funds by a college or department. It is also true that the author must spend extra time and effort, and even learn new skills, to assure that a high-quality final educational product will result.

In the production of these new forms of educational materials, the proportional investment of time and money by the author and the university varies substantially from that involved under the traditional textbook policy. Accordingly, one purpose of this document is to set forth an equitable basis for voluntary agreement between the university and prospective authors (faculty and staff members employed in the variety of departments and colleges at the university) when educational materials are to be developed for internal and external use. It is a further purpose of this document to structure a practical mechanism for the implementation of such agreements, to the benefit of all parties involved.

It is possible that textbooks could be developed under this policy, but in a manner different from the traditional textbook policy. In such a situation, and with the expressed and voluntary written agreement of the faculty or staff member, the university might desire to have a textbook written to meet an educational need, employing the faculty member on a release-time basis to write the needed text. In such a situation, this policy would be used to provide a mechanism for the equitable distribution of income from the sale of the text to others.

This policy is not intended to be retrospective, or to lay any claim to works developed in the past under traditional or nontraditional ways. This policy is prospective. It is somewhat flexible and open to interpretation purposely in some aspects, since not all situations can be anticipated. But above all, it is a basis for voluntary agreement on an equitable basis for meeting new and changing demands for superior education materials - a common goal of every employee of Iowa State University.

8.3.6.3. Policies

• Iowa State University encourages the development of educational materials to assist in meeting its responsibilities for academic instruction, extension, and research.
• The university encouragement is provided by assistance in the preparation of such materials (through salary support, stenographic services, materials and supplies, art work, filming, and other services) as authorized by the appropriate administrative officer(s).
• The university recognizes the vested rights of an author under the Iowa Code. However, if the educational materials are to be developed with university sponsorship, the author is expected to assign these rights for the benefit of the university. It is not intended that this policy affect the traditional university relationship to faculty members' ownership of books or other instructional materials whose preparation was not supported or assisted in a substantial way by the university.
• Individuals preparing or planning to prepare educational materials are encouraged to clarify whether the materials are covered by this policy through consultation with the appropriate department chair and dean.
• In cases in which a prospective author wishes to receive support from the university in a proposed development of educational materials covered by this document, the university will enter into an agreement with the prospective author prior to the development of the university-sponsored educational materials setting forth the extent of support, if any, associated with their development and providing for payment to the author and/or the distribution of earnings, if any should accrue from the use, rental royalties, or sale of the educational materials.
• Monies in excess of costs and appropriate reserves that are received from use, rental royalties, or sale of the university-sponsored educational materials shall accrue to the benefit of the university, with the author receiving by prior agreement a specified portion of the net income. However, the author may receive a share of first receipts.
• Operational responsibility for university-sponsored educational materials is vested in the appropriate deans or their designated representatives.

8.3.6.4. Ownership of Course-related Presentations.

Section 8.3.6.4. was approved by the Faculty Senate on 5/02/95.

Course-related presentations are owned by the presenter. Individuals may take written notes or make other recordings of the presentations for educational purposes, but specific written permission to sell the notes or recordings must be obtained from the presenter.

8.3.6.5. Intellectual Property: Policies and Procedures.

The Policy on University-Sponsored Education Materials, as approved by the Board of Regents (above), recognizes certain traditional exemptions to the university's ownership. Ownership and licensing of other materials is often reserved to the university. The Office of Intellectual Property and Technology Transfer (OIPTT) or the Iowa State University Research Foundation, Inc. (ISURF). OIPTT maintain current records on the following subjects as listed on their web page: http://www.techtransfer.iastate.edu.

• Policy Statement of ISU Concerning University Sponsored Educational Materials
• Patent and Licensing Procedures
• Patent Policy
• Patent Royalty Distribution Policy
• Plant Germplasm Release Policy
• Trademark Management Policy

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 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 University Counsel. ISURF also manages all aspects of protection and use of university trademarks.

8.3.6.6. 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/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/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:

• 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
• because of exceptional circumstances the faculty member's department chair recommends that the faculty member be allowed to retain the normal royalties, and the recommendation is approved by the appropriate dean and the provost.

8.3.6.7. Required Readings/Textbook Selection.

Prior to the beginning of each term, departments are asked to provide local bookstores with lists of required textbooks for their courses. Although the selection of textbooks is basically the responsibility of individual faculty members, each department is expected to have a procedure for reviewing the selection of required textbooks and other resource materials for the following:

• multi-section courses
• courses in which an unusually large number of textbooks is required
• instances in which the instructor of the course is author of a book required for that course
• instances in which questions are raised by students or other faculty members concerning selection of any text. For more information on policies governing instances for which the instructor of the course is the author of the book required for the course, see 8.3.6.6. Royalties for Instructional Materials.

8.3.7. Purchases of Goods or Services from Employees

8.3.7.1. Conflict of Interest Vendors.

Under Board of Regents policy, university employees, their spouses and their minor children, shall not sell any goods or services having a value in excess of $1,000 for each transaction or a cumulative value annually in excess of $2,000 to any Regents institution unless pursuant to an award or contract let after public notice and competitive bidding, except under emergency, negotiated, or other noncompetitive conditions documented and administered by Regents institutions unless approved by the Board of Regents.

Board of Regents employees who have, or reasonably anticipate having, an ownership interest in, a significant executive position in, or other remunerative relationship with a prospective supplier of goods or services to a Regents institution, or who know that a member of their family or other person with whom they have a personal or financial relationship has such an interest, shall not participate in the preparing of specifications, determining qualifying vendors, or selecting successful bidders on products or services in which they have any interest. The potential for conflict of interest exists when an employee maintains a personal business and wishes to provide goods or services to Iowa State University. For the specific policy that governs this activity, see the Office Procedure Guide, http://www.adp.iastate.edu/vpbf/prod/docs/opg/chap10.htm#10.3.4.

8.3.8. Trademark Management Policy

Iowa State University benefits from public recognition of its name, symbols, logos and other identifying marks (Marks). If properly used and managed, these Marks give a unifying look which is critical to establishing a visual presence within the world of university communities. This look becomes identified with the quality of Iowa State's programs, products and services and distinguishes its programs from other universities.

With students, alumni, and friends of Iowa State residing around the world, a demand exists for the use of the university's Marks. Although a desire to associate with the university may come from a genuine spirit of support, it is in the university's best interest to protect and control the use of the Marks. The university's rights to its Marks are governed by federal, state, and common laws. These laws place an obligation on the university to control its Marks to avoid misrepresentation of the university's relationship to a product or service. Without proper control, the university risks losing its exclusive rights to its Marks. Licensing others to use the Marks and monitoring their use provides the needed control.

The university has delegated the management of its Marks to the Iowa State University Research Foundation, Inc. (ISURF, http://www.techtransfer.iastate.edu). (Trademark Licensing Program, http://www.trademark.iastate.edu.) This policy sets forth the basis of ISURF's management of the university's Marks. The term university includes the university, its affiliated organizations, and organizations formally registered with the university.

8.3.8.1. Goals.

The five main goals of this management policy are as follows:

• to promote and protect Iowa State University through implementation of a management system which establishes the means for consistent, favorable, and professional use of the Marks
• to fulfill the legal obligation to protect the Marks
• to protect the consumer from deception or from faculty or inferior products and services bearing the university's Marks
• to provide fair and equitable treatment of all licensees
• to realize and distribute earned royalties and other revenues for the benefit of the university

8.3.8.2. Management.

Legal protection and enforcement of the university's rights in the Marks is under ISURF's management. External use of the Marks by external entities is managed by ISURF with the following principles:

1. Licensing is required for all non-university users.

• the Marks must be licensed to the user and the use approved by ISURF, except when the use:
• is by the news media for news reporting
• is by an artist in an original work of art which will not be reproduced
• is a congratulatory or supportive advertising message using the university's names but not its logos or symbols. For example, "Go Cyclones" or "Welcome Back ISU Students" are supportive types of messages.
• suppliers of products to the university bearing any Mark must be licensed except when Marks are used on the following products:
• printed publications and advertising for purposes of institutional and event promotion
• printed supplies, not for resale

• a product purchased by the university or a university recognized support group such as professional associations, employee organizations, athletic, cultural, and other interest groups for internal consumption or for sale at cost to other members. Promotional products given away by these groups are considered products for internal consumption. If the group has excess product after consumption or sale within its group, it cannot be sold to non-members, but can be given away to non-members.
• selected school supplies which would be considered products purchased by students for course work
• advertising rights to use the Marks as granted in corporate sponsor agreements
• fundraising activities by nonprofit or charitable organizations

• Use of the Marks by entities internal to the university is managed by the university executive officers including the president, the provost, vice provosts, vice presidents, deans, directors, and affiliated organization directors.
• Internal uses which fall within the ordinary business of the university do not require licensing. Products created by a university unit for resale, and bearing the Marks must be licensed, except for educational and scholarly materials owned by the university and printed publications and advertising for purposes of institutional and event promotion.
• Royalties are not payable on internal uses which do not require licensing. The Guidelines for the Internal Use of Iowa State University's Marks provides the management details.
• The university president appoints a Trademark Advisory Committee to assist ISURF in addressing issues related to the management of the university Marks. The advisory committee consists of representatives from university units which may provide a unique perspective and which are key stakeholders in the use of the Marks.
• Net revenues are distributed to university units under a policy determined by the university president. Distribution is approved by the ISURF Board of Directors.

8.4. Basic Operating Policies and Procedures

University employees should be aware of the many laws and rules that affect them as employees of one of the state's public universities. A few of those laws and rules are summarized in this section. If an employee has a question about a particular situation and the employee is acting on behalf of the university, the employee should read the actual language of the statute or rule or direct the question to the Office of University Counsel. Copies of the United States Code, Iowa Code, Iowa Administrative Code, and Board of Regents Procedural Guide can be found in the Parks Library or the Office of University Counsel.

All university employees are responsible for abiding by the university's official policies presented in this section. In some cases, suggested procedures that have been approved by the Faculty Senate are provided to assist faculty. Each section begins with an introductory statement followed by a policy statement and ends with sources of relevant information.

Caution: The following sections describe provisions of law affecting employees by using non-legalistic terminology. It is not intended, nor would it be possible, to make university policy less stringent than the applicable law. Legislative action may amend or add provisions prior to the next update of the Faculty Handbook.

8.4.1. Non-Discrimination/Affirmative Action Policy

Reaffirmation 6/1/98.

Iowa State University is committed to developing and implementing a program of nondiscrimination and affirmative action, a responsibility the university accepts willingly because it is the right and just thing to do. Because an educational institution exposes the youth of Iowa and of the nation to a multitude of ideas that strongly influence their future development, the university is an area of our society where removing barriers is critical. We insist on promoting the concept of inclusion and participation.

This commitment is part of a larger commitment to developing a safe and supportive climate for all members of the ISU community in classrooms and laboratories, in offices, in the residence hall system, and throughout the campus. Iowa State University recognizes that a non-discriminatory environment complements a commitment to academic inquiry and intellectual and personal growth.

The goal is to provide a non-discriminatory work environment, a non-discriminatory living and learning environment, and a non-discriminatory environment for visitors to the campus. Iowa State University recommits itself to comply with all federal and state laws, regulations, and orders, including the policies of the Board of Regents, State of Iowa which pertain to nondiscrimination and affirmative action.

8.4.1.1. Policy and Guidelines.

All administrators and personnel providing input into administrative decisions must ensure that all decisions relative to employment, conditions of employment, and access to programs and services will be made without regard to race, color, age, religion, national origin, sexual orientation, sex, marital status, disability, or status as a U.S. Vietnam Era Veteran.

Exceptions: Exceptions to this directive may be made in matters involving bona fide occupational qualifications, business necessity, actions designed to eliminate workforce underutilization, and/or where this policy conflicts with federal and state laws, rules, regulations, or orders.

Iowa State University does not and will not tolerate unlawful discrimination. Iowa State will recruit, hire, train and promote persons without regard to race, color, religion, sex, national origin, age, disability, veteran status, marital status, or sexual orientation. Iowa State University will make employment decisions to further the principle of equal employment opportunity and diversity.

No otherwise qualified person will be denied access to, or participation in, any program, activity, service, or the use of facilities on the basis of factors previously enumerated. Reasonable accommodation will be made to facilitate the participation of persons with disabilities in all such activities consistent with applicable federal and state laws, orders and policies.

All supervisory personnel will be responsible for maintaining an environment that is free of racial or sexual abuse and harassment. Acts by anyone that adversely affect another person's employment, conditions of employment, academic standing, receipt of services, and/or participation in, or enjoyment of, any other activity, will be regarded as a violation of university policy and thereby subject to appropriate disciplinary action. Retaliation against persons filing complaints for bringing the violation of this policy forward for review or for assisting in a review pursuant to a filed complaint or grievance is prohibited.

Iowa State University's commitment to nondiscrimination and affirmative action is of the highest priority and must be adhered to as such. It applies to all university-sponsored programs and activities as well as those that are conducted in cooperation with the university.

8.4.1.2. Sources of Support.

The Office of Equal Opportunity and Diversity (OEOD) is responsible for handling complaints of discrimination based on age, color, national origin, physical and mental disabilities, race, religion, sex, status as a special disabled veteran or veteran of the Vietnam Era conflict, and with some exceptions, other classifications that deprive a person of consideration as an individual. The university's assistant vice president for human resource services also serves as the university's Equal Opportunity and Diversity officer, with responsibility for implementation of this policy. Questions regarding complaints and/or issues involving affirmative action or equal opportunity should be directed to the Office of Equal Opportunity and Diversity (http://www.hrs.iastate.edu/AAO/eod/).

The Margaret Sloss Women's Center is responsible for promoting the development of all women to their fullest potential and for enhancing the university's learning environment by fostering intellectual growth and providing a supportive environment for women students, faculty, and staff.

Three university-wide committees with representation of faculty, staff, and students have been established to assist the administration in its efforts toward continual improvement of equal opportunity.

• The University Committee on Disabilities is responsible for sharing knowledge concerning disabilities with the university community, for fostering awareness of the needs of persons with disabilities, and for advocating ways to meet those needs.
• The Diversity Steering Committee is responsible for assessing campus climate and making recommendations for improvement.
• The University Committee on Women is responsible for studying the impact of university procedures and policies upon women faculty members, staff members, and students and making appropriate recommendations to the administration.

8.4.2. Inclusive Language Policy

Section 8.4.2. was approved by the Faculty Senate on 4/14/92.

Iowa State University encourages the use of language and illustrations that create an environment of respect for human diversity, individual rights, and the equal dignity and worth of all human beings. It also discourages the use of language and illustrations that reinforce demeaning attitudes, assumptions, and stereotypes, or overlook certain populations.

8.4.2.1. Policy and Guidelines.

All university publications and communication, whether oral or written, shall use inclusive language and illustrations. Inclusive language refers to language that makes every attempt to include comprehensively all groups in the community. Whenever possible, selection of academic materials will also reflect efforts to uphold this university policy. Compliance with this policy shall be the responsibility of all faculty and staff.

8.4.2.2. Sources of Information.

The Office of Equal Opportunity and Diversity, the Margaret Sloss Women's Center, the Minority Student Affairs Office, the Dean of Students Office, the Office of the Provost, and the Office of the President shall address concerns and supply guidance as requested and appropriate.

8.4.3. Drug Free Workplace

Iowa State University is committed to providing a drug free workplace. Consistent with this commitment, Iowa State University will comply with all federal and state laws, regulations, and orders, including the policies of the Board of Regents, which pertain to providing a drug free workplace.

8.4.3.1. Policy and Guidelines.

In keeping with the appropriate laws, regulations, and orders, it is unlawful for employees to manufacture, distribute, dispense, possess, or use illegal drugs in the workplace. Violation of this policy will result in appropriate disciplinary action, up to and including dismissal. In addition, an employee who violates this policy may be required to participate in a drug abuse assistance or rehabilitation program.

Each employee is responsible for abiding by the terms of this policy and for notifying the university of any criminal drug statute conviction for a violation occurring in the workplace not later than five days after such conviction. The university will notify the contract or granting agency within 10 days after receiving notice of the criminal drug statute conviction as stated above.

All employees are expected and required to report to work in an appropriate mental and physical condition to carry out their responsibilities safely and effectively, absent any impairment because of use of controlled substances or alcohol. Failure to comply by the employee with this expectation may result in serious disciplinary sanctions, up to and including the t