16.1.1. Introduction
The policies that appear in this Handbook are those ordinarily published in a faculty handbook and are representative policies. They are not intended to be all-inclusive.
16.1.2. Faculty and University Policies
It is the responsibility of every faculty member to know the various policies of the University as set forth in this Handbook and in other recognized sources of University policy. Additional policies will be adopted from time to time that also require faculty participation or compliance, such as policies set forth in the Norse Student Handbook and Community Standards & Student Rights, including the grade appeal and sexual harassment policies. It is the responsibility of the division that generates a new policy to notify all those to whom it applies. A complete repository of university policies is available at https://inside.nku.edu/policy.html. The official copy of the Faculty Handbook is maintained on the website of the Provost and Executive Vice President for Academic Affairs (https://www.nku.edu/academicaffairs.html). Faculty appointment letters will contain the links to the current Faculty Handbook and Student Handbook.
Related NKU policies: NKU policy website; Community Standards & Student Rights; Norse Student Handbook
Edited: 7/2024: Updated terminology for Student Handbook (now called Norse Student Handbook) and Code of Student Rights and Responsibilities (now called Community Standards & Student Rights)
16.1.3. Legal Defense and Indemnification/Notice Requirement
Article IV of the Bylaws of the Northern Kentucky University Board of Regents provides in the proper case that a faculty member “be afforded a legal defense and indemnification for any acts or actions taken in good faith and within the scope of his/her official duties while on the official business of the University.” (See Article IV, Bylaws of the Board of Regents of Northern Kentucky University, in Appendix B of this Handbook. Article IV also includes requirements for timely notification by the faculty member.) However, faculty are cautioned that conduct that is determined to be not within the scope of employment is not within the protection of that Bylaw.
Related NKU document: Bylaws of the NKU Board of Regents
16.2.1. Introduction
The professor, guided by a deep conviction of the worth and dignity of the advancement of knowledge, recognizes the special responsibilities placed upon them. The primary responsibility to the faculty member’s discipline is to seek and to state the truth as they see it. To this end, the professor devotes energies to developing and improving scholarly competence. The faculty member accepts the obligation to exercise critical self-discipline and judgment in using, extending, and transmitting knowledge as well as to practice intellectual honesty. Although subsidiary interests may be followed, these interests must never seriously hamper or compromise the faculty member’s freedom of inquiry.
As a teacher, the professor encourages in students the free pursuit of learning. The professor holds before students the best scholarly standards of the particular discipline. The professor demonstrates respect for the student as an individual, adheres to the proper role as an intellectual guide and counselor, makes every reasonable effort to foster honest academic conduct, and assures that the evaluation of students reflects their true merit. The faculty member respects the confidential nature of the relationship between professor and student. They avoid any exploitation of students for private advantage, acknowledge significant assistance from students, and protect students’ right to hold and support dissenting viewpoints in matters of opinion.
As a colleague, the professor has obligations deriving from common membership in the community of scholars. They respect and defend the free inquiry of their associates. In the exchange of criticism and ideas the professor shows due respect for the opinions of others. The professor acknowledges academic debts and strives to be objective in professional judgment of colleagues. The faculty member accepts their share of responsibilities for the governance of the University.
As a member of the University, the professor seeks above all to be an effective teacher and scholar. Although the faculty member observes the stated regulations of the University, provided they do not contravene academic freedom, the faculty member maintains a right to criticize and seek revision. The professor determines the amount and character of their work done outside the University with due regard to their paramount responsibilities within it and in accordance with the requirements set forth in Section 16.4 “Polices and Expectations for Outside Activities”. When considering the interruption or termination of the services they provide to the University, the professor recognizes the effect of that decision upon the program of the University and gives due written notice of these intentions.
As a member of the community, the professor has the rights and obligations of any person under the laws of the United States and the Commonwealth of Kentucky. The professor measures the urgency of these obligations in the light of their responsibilities to their discipline, students, profession, and to the University. When the professor speaks or acts as a private person, they avoid creating the impression of speaking or acting for the University. As a person engaged in a profession that depends upon freedom for its health and integrity, the professor has a particular obligation to promote conditions of free inquiry and to further public understanding of academic freedom.
Related Resource: American Association of University Professors (AAUP) Statement on Professional Ethics
16.2.2. Professional Obligations
The primary professional obligation of a professor is to be an effective teacher and scholar. Other specific obligations of a faculty member in abiding by professional standards include, but are not limited to, the following.
16.2.2.1. Obligations to Students
• Providing a syllabus for each course taught in accordance with the guidelines for syllabi contained in the Code of Student Rights and Responsibilities;
• Meeting classes as scheduled;
• Adhering to posted office hours as prescribed by departmental policies;
• Being available to advise, counsel, and/or assist students;
• Meeting the final examination schedule;
• Refraining from coercing students into enrolling for courses.
Related NKU policies: Final Exam Schedule; Code of Student Rights and Responsibilities
16.2.2.2. Obligations to Colleagues and the University
• Defending and respecting academic freedom and respecting the opinions of others;
• Exercising responsibility for the governance of the University, including service on University and departmental/school committees and attendance at departmental/school and University-wide meetings;
• Keeping abreast of published policies and procedures, especially as they apply to promotion in rank and to tenure.
16.2.2.3. Obligations to the Community
• Promoting conditions of free inquiry and furthering public understanding of academic freedom;
• Assisting the University in meeting its community-service mission.
Violation of the professional ethics described in this Handbook and in NKU’s Values and Ethical Responsibilities policy will subject a faculty member to disciplinary action. Alleged violations that are unresolved by informal means will be referred to the University peer review committees (see Section 14.2.4 “Peer Review Advisory Committee” and Section 14.2.5 “Peer Review Hearing Committee”). Upon completion of an investigation by the peer review committees, the report will be forwarded to the appropriate dean. Disciplinary action may include, but is not limited to a warning, a reprimand, probation, or dismissal. Probation and dismissal actions shall be in accordance with due process and existing policies and procedures pertinent to such issues as described in this Handbook.
Related NKU policy: Values & Ethical Responsibilities
Northern Kentucky University strongly adheres to the long-standing tradition and practice of academic freedom. In order for the University to fulfill its mission and be of service to society, the recognition of the free search for truth and its free expression is paramount. The University has an obligation to recognize and protect freedom of inquiry, teaching, and research in all facets of the academic community. The right of academic freedom will be the right of every faculty member.
The University recognizes that all faculty members are private persons and members of their respective learned professions. When they speak or write as private persons, they have the same rights and obligations as other private persons. Although faculty members are free, in public activities and statements, to identify their University affiliation, they have special obligations to be accurate, prudent, and respectful of others so that no false impression of University sponsorship or endorsement is created.
While the University will vigorously defend the concept of academic freedom, no special immunity from the law will be sought for administrators, faculty, students, or staff. The University does not, however, assume the authority of prosecutor or judge of criminal or civil misconduct that is beyond the jurisdiction of the University or that is not directly related to legitimate University interests. That is the prerogative and duty of appropriate law enforcement agencies and the courts.
If anyone at the University violates the law, that person is subject to the penalties of the law as are all other persons. In general, the University will not impose administrative sanctions for acts that violate the law beyond the civil or criminal penalties imposed by the appropriate law enforcement agency or court. However, some acts that violate the law are also acts that endanger the physical or emotional safety and well being of students, faculty, other members of the University community, or visitors, or are acts that endanger the safety of University property; persons who commit these acts may also be subject to appropriate University sanctions, consistent with due process.
The University recognizes the need for all parties charged with the responsibility of allocating University resources (money, space, personnel, equipment, library resources, etc.) to make such decisions in a fair and unbiased manner, consistent with established University priorities. Resource allocations made with punitive motivations against an academic unit or individual faculty member for positions taken in controversies within or outside the academic community will be considered unauthorized and incompatible with academic freedom. The University will not condone or support such a decision and will make every reasonable effort to correct any inequity that such a decision produces.
Related NKU policy: Values & Ethical Responsibilities
Northern Kentucky University recognizes that faculty are sometimes called upon by outside agencies, professional groups, and industries to provide consulting and other professional activities. Faculty are uniquely qualified to assist in meeting a variety of society’s needs by way of sharing their knowledge and expertise outside the University. However, a full-time faculty member’s obligation to the University must take priority over any such activity.
Time spent on such outside activities must be in addition to, rather than part of, the normal full-time effort expected of members of the full-time faculty for University work. Outside activities must not interfere with a full-time faculty member’s regular responsibilities at the University, including teaching, advising and helping students, attending meetings, and service on committees. Use of University resources, facilities, and property for outside activities is subject to administrative approval.
For full-time faculty, consulting and other outside professional activities are limited to the equivalent of one day per academic week during periods when faculty are on full-time-pay status. Time spent on such outside activity must be in addition to, rather than part of, the normal full-time effort expected of members of the full-time faculty for University work. Faculty who engage in such outside activity shall report the activity in writing to their department chairs/school directors and deans. The deans will forward the reports to the provost annually.
Faculty should be familiar with the University’s academic requirements, policies, and procedures as outlined in the University Catalog and on the NKU policy website. Faculty should also be familiar with the Philosophy of Advising statement in the admissions section of the University Catalog. The catalog can be found online at https://catalog.nku.edu.
Related NKU resource: Norse Advising-Advising Philosophy
Related NKU policy: Protection of Human Research Subjects
16.6.1. General
The Northern Kentucky University Institutional Review Board for the Protection of Human Subjects (IRB) is appointed by the provost, who has administrative responsibility for safeguarding the rights and welfare of human subjects involved in research. The board consists of at least five members with varying academic backgrounds and at least one who is not an employee or agent of the University. Membership of the board will be reviewed annually by the provost, who will report any changes to the United States Secretary of Health and Human Service.
University policies and federal regulations regarding research with human subjects are implemented by the board and the University Office of Research, Grants, and Contracts, which serves as the administrative arm to the board and the provost.
The protection of human subjects from unnecessary risks can be achieved when the human subject’s participation is voluntary as reflected on the consent forms; the degree and nature of the risk have been carefully explained to the human subject; and there is a desirable balance between the potential benefits of the research and the risks undertaken by the human subject. The board has the sole responsibility to approve research with human subjects performed under the auspices of the University.
In reviewing all biomedical and behavioral research that involves human subjects conducted at Northern Kentucky University, the Institutional Review Board for the Protection of Human Subjects (IRB) will utilize the following principles:
• A human subject will not be exposed to unreasonable risk to health or well-being whether physical, psychological, or social.
• Commensurate with the principle of protection of human subjects, the procedures for assessing and minimizing risk to human subjects shall respect and protect the academic freedom of the University’s faculty and students in their pursuit of knowledge.
• The risks to an individual must be outweighed by the potential benefit to him/her or by the importance of the knowledge to be gained.
• The identity and personal privacy of human subjects and the confidentiality of information received will be protected.
• The nature of the research, the procedures to be followed, and the possible risks involved must be carefully and fully explained to the subject, parent or guardian, as appropriate. The investigator must be satisfied that the explanation has been understood and obtain consent in writing, unless documentation of informed consent has been waived, without duress or deception.
• Voluntary participation is essential in all projects. No information concerning a project may be withheld from a potential subject in order to increase the willingness of the subject to participate in the project.
• A subject may request at any time that their participation in the experiment be terminated, and the request shall be honored promptly and without prejudice.
• It shall be the responsibility of the individual investigator to decide when the investigator does not have adequate knowledge of the possible consequences of their research, or of research done under their direction. When in doubt, the investigator shall obtain the advice of others who do have the requisite knowledge.
• Potentially hazardous research procedures must be preceded by laboratory and animal experimentation or other scientifically established procedures that offer reasonable assurance that the safety of human subjects will be preserved.
• Remuneration may be offered to an individual for the time involved in a study, provided the investigator is satisfied that under the circumstances the remuneration is not so large as to constitute an undue or unreasonable inducement.
• It shall be a responsibility of Northern Kentucky University to ensure that research involving human subjects conducted by faculty, students, and employees of the University shall be performed carefully and with regard to the above principles.
16.6.2. Research That Involves Human Subjects
There is human-subject involvement when an investigator obtains:
• Data through intervention or interaction with the individual; and/or
• Identifiable private information.
“Intervention” includes both physical procedures from which data are gathered and manipulations of the subject or the subject’s environment that are performed for research purposes.
“Interaction” includes communication or interpersonal contact between investigator and subject.
“Private information” includes information about behavior that occurs in a context in which an individual can reasonably expect that no observation or recording is taking place and information that has been provided for specific purposes by an individual will not be made public. Private information must be individually identifiable.
All research conducted on human subjects—whether supported partly or wholly by external funds, University funds, or without funds—must have prior approval by the Institutional Review Board (IRB).
All proposals that request external support for activities involving human subjects under the auspices of the University must be submitted through the Office of Research, Grants, and Contracts to the funding agency.
16.6.3. Research That Involves Human Subjects but Does Not Need Approval From the Institutional Review Board (IRB)
Pursuant to CFR 46.101, federal guidelines state that only the IRB can determine the status of a proposed study. Because of this mandate, all potential research studies involving human participants or identifiable records must be submitted to the IRB for review before being started.
One narrowly defined study type is recognized as an exception to this policy. IRB review and approval is not needed for:
1. Studies in undergraduate classes or graduate seminars that involve human participants and are:
a. conducted solely for instructional purposes, and
b. not intended to contribute to general knowledge.
When a study is designed to provide a learning experience for students and when the instructor and student investigator(s) have no plan, intention, desire, or hope to publish, present, or report the findings of this study in any off‐campus setting (e.g., journal, report, conference, other off‐campus outlet) the activity will not be considered to be research, and will not require IRB review.
In this instance, faculty instructors are wholly responsible for classroom projects by students in their classes, and for ensuring that these student projects treat human participants ethically.
All research proposals with human-subject involvement must be reviewed by the board chair or board reviewer designated by the chair to assess and confirm exempt status.
16.6.4. Investigator's Legal Responsibility in Research with Human Subjects
The investigator is legally responsible for any research or related activities that involve human subjects conducted under the auspices of the University and/or that utilize University time, facilities, resources, and/or students. The University’s legal counsel has the responsibility for resolution of any legal questions.
16.6.5. Application Procedures
Principal Investigators are required to submit a protocol describing the proposed research project to the Institutional Review Board (IRB) for review and approval.
The Principal Investigator should provide the IRB with a protocol for each new research project involving human subjects. In addition, all supporting documents should be included, such as questionnaires, signed letters of participation and agreement by institutions participating with Northern Kentucky University, personal interview statements, and debriefing procedures. In accordance with board guidelines, a single copy should be submitted to the IRB Administrator for review. Please note, grant proposals for external support should not be used as the protocol because they are often too long and frequently do not address the concerns of the IRB.
The investigator should discuss the need for the research, its objectives, the methods to be used to accomplish the objectives, the risks involved, and the procedures used to protect the subjects from, or minimize, the risks. The risk of participating in research may arise directly or indirectly. Direct risks include threats to physical health/well-being or psychological/emotional health. Indirect risks stem from unauthorized access to identifiable data or inadvertent release of identifiable data into the public domain.
These risks are defined as follows:
Physical Risk: The extent to which physical injury is a possibility from physical activity, injections, or stimuli from electrical apparatus, fumes, light, noise, etc.
Psychological Risk: The extent to which research interrupts the normal activity of human subjects resulting from immediate or long-term stress. Stress includes any situation that threatens one’s desired goals.
Social Risk to Individuals: The extent to which a subject is deprived of formal or informal relationships within social groups.
Social Risk to Groups: The extent to which a subject group, either formal or informal, is exposed to factors that may reduce the group’s viability.
Any research proposing to place any individual at risk is obligated to obtain and document legally effective informed consent. Informed consent is the knowing consent of an individual, or the individual’s legally authorized representative, who is able to exercise free power of choice without undue inducement or any element of force, fraud, deceit, duress, or other form of constraint or coercion.
Research that has been approved by the IRB may be reviewed, approved, or disapproved by University officials. They may not, however, approve the research if the IRB has not first approved it.
16.6.6. Review of Application by the Institutional Review Board (IRB)
All protocols are screened for completeness during IRB Pre-Review by the IRB Administrator prior to the conduct of a formal review. An IRB member may not cast a vote, or be otherwise involved, in either the initial or conducting review or any activity in which the member has any conflicting interest, or any involvement, except to provide information requested by the IRB. The review performed by the IRB will determine whether subjects will be placed at risk. The policy criterion for determining risk is defined as follows:
“Subject at risk” is any individual who may be exposed to the possibility of injury, including physical, psychological, or social injury, as a consequence of participation as a subject in any research, development, or related activity that departs from the application of established and accepted methods necessary to meet the individual’s needs or that increases the ordinary risks of daily life, including the recognized risks inherent in a chosen occupation or field of service.
If risk is involved, the answers to the following questions will be considered:
• Are the risks to the subject too outweighed by the benefits to the subject and the importance of the knowledge to be gained as to warrant a decision to allow the subject to accept these risks?
• Are the rights and welfare of any such subjects adequately protected?
• Is legally effective informed consent obtained by adequate and appropriate methods in accordance with the provisions of federal regulations?
The IRB may use expedited review procedures for certain kinds of research involving no more than minimal risk and for minor changes in research protocols having prior board approval. Such review will be conducted by the IRB chair or by one or more experienced board reviewers designated by the chair. Under the expedited procedure, the reviewer(s) may exercise all the authorities of the IRB except that of final disapproval of the research. All IRB members will be notified of all research approved in the expedited review procedure. Any protocol not approved under the expedited procedure will be referred to the full IRB for review.
Approval of research will necessitate that the IRB determine that the following requirements are satisfied:
• Risks to subjects are minimized
• Risks to subjects are reasonable in relation to anticipated benefits
• Selection of subjects is equitable
• Informed consent will be obtained from each prospective subject or the subject’s legally authorized representative
• The informed consent will be appropriately documented
• Data will be regularly monitored to insure subjects’ safety.
16.6.7. Actions by the Institutional Review Board (IRB)
Pursuant to 45 CFR 46, after review and discussion of the protocol, the board will take one of the following actions.
16.6.7.1. Classify the Submission as Not Research
This includes quality improvement projects taking place in the classroom with no intention to present or publish collected data.
16.6.7.2. Approve the Research as Exempt
Exempt studies are those that involve little or no risk to the subjects. This includes procedures such as standard classroom activities or interviews on non‐threatening topics. Projects that do not involve changes in the ordinary risks of daily life or in recognized occupational risks are also no‐risk. Written informed consent is required in exempt IRB studies. There is no need for IRB oversight unless changes are made to the protocol.
16.6.7.3. Approve the Research as Expedited
The research may involve some risk to the subjects, but the risk is not unreasonable. The potential benefits ofthe research outweigh the risks, and risk‐management procedures have been taken to minimize the risks. This approval requires oversight by the IRB and annual continuations must be submitted if the study will continue past the one year approval date.
16.6.7.4. Full Board Approval
A Full Board Review approval requires quorum approval of the IRB. The board may request the investigator to be present to discuss the research proposal. This may occur when the IRB finds the research to have more than minimal risks and as defined by federal regulations, the elements, procedures, or interventions require additional provisions or safeguards.
16.6.7.5. Disapprove the Research
The IRB is of the opinion that the potential benefits of the research do not outweigh the risks to the subjects. Some modifications or clarifications might be requested of the Principal Investigator in all types of research. The modifications required by the IRB may include such items as revising the consent form to explain the procedures more clearly, restricting use of a certain procedure, or requiring use of specified safeguards necessary for the protection of human subjects.
16.6.8. Disposition of the Recommendations
Approvals, recommendations, restrictions, conditions, or disapprovals of application are communicated to the investigator by the IRB chair. If an application is disapproved for nonconformity with the policies of the IRB and the University, the IRB shall forward to the investigator a statement setting forth in detail the reasons for the nonconformity and recommendations of the IRB for modification of the research proposal.
16.6.9. Rights of Appeal
If the investigator believes that the proposal has been disapproved because of incorrect, unfair, or improper evaluation by the IRB, the investigator may appeal to the appropriate dean who then may request a reconsideration and hearing of the proposal by the IRB. Within ten (10) days after a negative decision, the affected investigator must show cause in writing or at a designated hearing as to why the IRB’s decision should be reversed.
16.6.10. Appeal Decision
The board may take one of the following actions:
• Approve;
• Require modification; or
• Disapprove.
16.6.11. Records and Documentation of the Investigator
The investigator is required to obtain and keep documentary evidence of informed consent of the human subjects or their legally authorized representatives. Such forms must be retained by the investigator (or faculty advisor) for a minimum of six (6) years after termination of the project. If the records are part of a misconduct investigation, all records must be retained for a minimum of seven (7) years after the termination of the project.
16.6.12. Institutional Review Board (IRB) Records
The IRB is required to keep copies of all documents presented or required for initial and continuing review by the board. These include copies of all research proposals received, scientific evaluations (if any accompany the proposals), approved sample consent documents, progress reports submitted by investigators, and reports of injuries to subjects. Minutes of IRB meetings shall reflect meeting attendance; actions taken by the IRB; votes on actions, which will show the number of members voting for, against, and abstaining; the basis for requiring changes in or for disapproving research; and written summaries of discussions about controverted issues and their resolution. Other documents will include records of continuing review activities; copies of all correspondence between the IRB and investigators; a list of IRB members; written procedures; statements of significant new findings; reports of injuries; progress reports; and unanticipated problems.
These records shall be retained for at least three (3) years after completion of the research and shall be available to authorized member of the Department of Health and Human Services at reasonable times and in a reasonable manner. These records will be continually reviewed by the Office of Research, Grants, and Contracts with follow-up concerning conditions of approvals, additional information requested, etc.
The records of the IRB pertaining to individual research activities are not accessible to persons outside the board other than the records of projects supported by external funds that are subject to inspection by federal employees.
Except as otherwise provided by law, information acquired in connection with a research, development, or related activity that refers to or can be identified with a particular subject will not be disclosed except:
• With the consent of the subject or a legally authorized representative; or
• As may be necessary for the Secretary of Health and Human Services to carry out his/her responsibilities under federal regulations.
16.6.13. Policy for Liability for Institutional Review Board (IRB)
Due to the privilege of sovereign immunity, the University, as an institution, is protected through the State Board of Claims. In addition, the University maintains a professional liability policy covering most actions of the faculty and staff. In the event the professional liability policy should fail, the University Board of Regents, in its Bylaws adopted August 27, 1976, and revised August 13, 1992, ensured that if any legal action is taken or claims filed against any faculty or staff member, they will be provided legal defense and indemnification for any acts or actions taken while on official business of the University (see Section 16.1.3 “Legal Defense and Indemnification/Notice Requirement”, and Article IV of the Bylaws of the Northern Kentucky University Board of Regents (see Appendix B).
Related NKU policy: Protection of Human Research Subjects
Related NKU resource: NKU Research, Grants, and Contracts - Institutional Review Board (Human Subjects Research)
Related NKU policy: Research Misconduct
16.7.1. Preamble and Policy Statement
The preeminent principle in all research is the quest for truth. The credibility of such research must be above reproach if the public trust is to be maintained. Any compromise of the ethical standards required for conducting academic research cannot be condoned. While breaches in such standards are rare, these must be dealt with promptly and fairly by all parties in order to preserve the integrity of the research community.
A critical element of any policy on research misconduct is that it be a fair and effective process for distinguishing instances of genuine and serious misconduct from insignificant deviations from acceptable practices, technical violations of rules, or simple carelessness. This policy allows such distinctions to be made in a manner that minimizes disruption and protects the honest researcher from false or mistaken accusations.
Research misconduct, as defined in Section 16.7.2. below is not condoned at Northern Kentucky University (NKU) and allegations of such misconduct will be investigated in accordance with the procedures described below. The policy and procedure discussed herein do not restrict or limit any legal options available to any of the parties through appropriate courts and/or administrative agencies. NKU must comply with federal regulations, and additional policies may apply to faculty engaged in federally sponsored research or submitting work to a federal agency.
Revised: BoR, 5.13.2020 (added sentence re: federal regulations and federally sponsored research)
16.7.2. Definitions
Revised: BoR, 5.13.2020
16.7.2.1. Complainant
Complainant means a person who in good faith makes an allegation of research misconduct.
16.7.2.2. Good Faith
Good faith, as applied to a complainant or witness, means having a belief in the truth of one’s allegation or testimony that a reasonable person in the complainant’s or witness’s position could have based on the information known to the complainant or witness at the time. An allegation or cooperation with a research misconduct proceeding is not in good faith if made with knowing or reckless disregard for information that would negate the allegation or testimony. Good faith as applied to a committee member means cooperating with the research misconduct proceeding by carrying out the duties assigned impartially for the purpose of helping an institution meet its responsibilities under this part. A committee member does not act in good faith if their acts or omissions on the committee are dishonest or influenced by personal, professional, or financial conflicts of interest with those involved in the research misconduct proceeding.
16.7.2.3. Inquiry
Inquiry means preliminary information-gathering and preliminary fact-finding.
16.7.2.4. Investigation
Investigation means the formal collection, examination, and evaluation of all relevant facts to determine whether research misconduct has occurred.
16.7.2.5. Research Misconduct
Research misconduct is defined as fabrication, falsification, plagiarism, or other serious deviations from those accepted practices in proposing, performing, or reviewing research, or in reporting results from research.
• Fabrication is making up data or results and recording or reporting them.
• Falsification is manipulating research materials, equipment, or processes, or changing or omitting data or results such that the research is not accurately represented in the research record.
• Plagiarism is the appropriation of another person’s ideas, processes, results, or words without giving appropriate credit.
Research misconduct does not include honest error or differences of opinion.
In cases of allegations involving activities submitted to or supported by a federal agency and definitions or procedures for research misconduct specified in the agency’s regulations differ from those in this policy, the definitions and procedures in the agency’s regulations will be used.
16.7.2.6. Research Record
Research record means the record of data or results that embody the facts resulting from scientific inquiry, including but not limited to, research proposals, laboratory records, both physical and electronic, progress reports, abstracts, theses, oral presentations, internal reports, journal articles, and any documents and materials provided to federal agencies or institutional officials by a respondent in the course of the research misconduct proceeding.
16.7.2.7. Respondent
Respondent means the person against whom an allegation of research misconduct is directed or who is the subject of a research misconduct proceeding.
16.7.2.8. Retaliation
Retaliation for the purpose of this part means an adverse action taken against a complainant, witness, or committee member by an institution or one of its members in response to (a) a good faith allegation of research misconduct or (b) good faith cooperation with a research misconduct proceeding.
16.7.3. Policies
Revised: BoR, 5.13.2020
16.7.3.1. Confidentiality
All parties involved in the inquiry and investigation shall strive to maintain confidentiality of the following, which may be identified from research records or evidence:
• information
• respondents
• complainants, and
• research subjects.
16.7.3.2. Interim Administrative Action
As provided by federal regulations, at any stage in the process of inquiry, investigation, formal finding and disposition, NKU may take interim administrative action to protect the welfare of human or animal subjects of research, to prevent the inappropriate use of funds, or to protect the interest of students, colleagues, or the University. A suspension or restriction of activities does not in any way imply that research misconduct has taken place. This action will be temporary and used as an interim measure prior to the conclusion of the formal investigation.
16.7.3.3. Extramural Assurance and Reporting Requirements
If applicable, NKU will fully and continually cooperate with the appropriate federal agency during its oversight review or any subsequent administrative hearings or appeals. This may include providing research records and evidence under the institution’s control, custody, or possession and access to all persons within its authority necessary to develop a complete record of relevant evidence. If required by a funding agency, the Institutional Official (IO) or designee shall submit written assurance that the institution is in compliance with the agency’s requirements for handling allegations of misconduct. If the research is supported by an extramural funding agency, the IO or designee is responsible for ensuring compliance with the applicable funding agency’s reporting requirements.
16.7.3.4. Statute of Limitation
NKU will only investigate research misconduct that has occurred within six (6) years of the date that the institution receives an allegation of research misconduct. This six-year limitation does not apply to the following circumstances:
1) Subsequent use by the respondent by continuation or renewal of any incident of alleged research misconduct that occurred before the six (6) year limitation through the citation, republication or other use for the potential benefit of the respondent of the research record that is alleged to have been fabricated, falsified or plagiarized.
2) If the appropriate funding agency or the University in consultation with the funding agency, determines that the alleged misconduct, if it occurred, would possibly have a substantial adverse effect on the health or safety of the public.
16.7.3.5. Conflict of Interest
Individuals responsible for carrying out any part of the research misconduct proceeding must not have any real or apparent unresolved, personal, professional, or financial conflicts of interest with the complainant, respondent, or witnesses. Any conflict of interest must be disclosed.
A conflict of interest may include, but is not limited to, co-authorship on a paper or book a professional or personal relationship, professional or personal relationship or antagonism, financial ties, or contact regarding possible employment with either the respondent or the complainant.
16.7.3.6. Absence of the Respondent of the Allegation
Should the respondent leave NKU before the case is resolved, the dean, on behalf of NKU, when possible, shall continue the examination of the allegation and reach a conclusion. NKU shall cooperate with the process of another institution to resolve such questions to the extent possible under state and federal law.
16.7.3.7. Restoring Reputation
The dean, or designee, or provost shall undertake all practical and reasonable efforts to protect and restore the reputation of the individual(s) alleged to have engaged in research misconduct but against whom no finding of research misconduct has been made, if requested by the individual(s) as appropriate.
The dean, or designee, or provost shall undertake reasonable and practical efforts to protect or restore the position and reputation of the individual(s) who in good faith, made an allegation of research misconduct, if requested by the individual(s) and as appropriate.
The dean, or designee, or provost shall undertake reasonable and practical efforts to protect or restore the position and reputation of any complainant, witness, or committee member and to counter potential or actual retaliation against these individuals.
16.7.3.8. False Accusations
Regardless of the outcome of an inquiry or investigation, it is the policy of the University that no individual who, in good faith, has reported apparent research misconduct shall be subject to retaliation by the University or by any member of the University community. However, if it is determined that the charges were brought against the respondent with malicious or dishonest intent such that the complainant had a clear understanding that they were probably untrue and that they were designed to harm the respondent, the dean may recommend to the provost that appropriate administrative action be taken against the complainant consistent with University policy.
16.7.4. Procedures
Revised: BoR, 5.13.2020
16.7.4.1. Allegations of Research Misconduct
It is the policy of Northern Kentucky University to treat fairly both the complainant and the respondent. All allegations of research misconduct will be treated seriously and, to the extent possible, the confidentiality of those who submit allegations will be maintained.
Though allegations of research misconduct may be by any means of communication to an institutional or federal official, the allegation of misconduct shall initially be documented in writing by either the complainant or the person receiving the allegation. If the allegation is made through the Ethics and Compliance Helpline, the person receiving the allegation should document the allegation in writing. Any other person receiving an allegation of research misconduct should relay the information to the appropriate dean for preliminary inquiry. The provost may receive reports of research misconduct in situations where the appropriate dean may have a conflict of interest.
Either before or when the institution notifies the respondent of the allegation, inquiry or investigation, the institution must promptly take all reasonable and practical steps to obtain custody of all the research records and evidence needed to conduct the research misconduct proceeding, inventory the records and evidence, and sequester them in a secure manner, except that where the research records or evidence encompass scientific instruments shared by a number of users, custody may be limited to copies of the data or evidence on such instruments, so long as those copies are substantially equivalent to the evidentiary value of the instruments. Respondents may be given supervised access to the research records throughout the inquiry and/or investigation.
16.7.4.2. Preliminary Inquiry
The purpose of the preliminary inquiry is to conduct an initial review of evidence to determine if there are sufficient grounds to warrant a formal investigation of the charge of research misconduct. The preliminary inquiry will be conducted by the dean of the college in which the respondent faculty member is appointed. If the allegation of misconduct is brought against a dean, the provost will appoint another dean to conduct the inquiry.
The dean will notify University legal counsel and the provost regarding the nature of the allegations. University counsel shall determine whether the research at issue is governed by any federal legal regulations and shall instruct the dean to ensure that the preliminary inquiry is conducted in compliance with any applicable regulations. When deemed necessary, the dean may select one or two other individuals to assist in the preliminary inquiry. Any such individuals should have no real or apparent conflict of interest related to the case in question. A conflict of interest may include, but is not limited to, co-authorship on a paper or book, a professional or personal relationship or antagonism, financial ties, or contact regarding possible employment with either the accused or the complainant (see Section 16.7.3.5 “Conflict of Interest” above).
The preliminary inquiry should begin with an informal discussion with the complainant to verify that the allegation should be classified as possible research misconduct. Within ten (10) business days after this discussion with the complainant, the dean shall begin an informal discussion with the respondent regarding the allegations. If federal or state regulations so require, the dean shall also present the respondent with a letter that states:
• the nature of the allegations;
• the focus of the inquiry;
• an invitation to the respondent to provide comments and other relevant information to the dean;
• other relevant information; and
• a statement that the respondent has the right to be represented by an attorney.
The preliminary inquiry should be completed within sixty (60) days of receipt of the written allegation of misconduct. If the preliminary inquiry determines that there are not sufficient grounds within the context of the definition of misconduct for a formal investigation, the respondent and the complainant will be sent letters informing them of the results. All records will be sent to the Office of the Provost.
A formal investigation will be found to be warranted if:
a) A reasonable basis for concluding that the allegation falls within the definition of research misconduct; and
b) Preliminary information-gathering and preliminary fact-finding from the inquiry indicates the allegation may have substance.
If the preliminary inquiry determines that there are sufficient grounds for a formal investigation within the context of the definition of misconduct, the respondent and the complainant will be sent letters informing them of this decision. The letter to the respondent may include, but is not limited to, the following:
• The name and position of the respondent(s);
• That a formal investigation is to be conducted;
• Information pertaining to federal agencies involved including funding numbers, grant applications, contracts, etc., if applicable;
• The nature of the allegation, including a summary of all evidence that currently exists and the right to review it;
• The basis for recommending that the alleged actions warrant an investigation;
• That the respondent will have an opportunity to respond to the charges; and
• That the respondent has the right to be represented by an attorney.
The respondent shall have the opportunity to respond to this letter, in writing, within thirty (30) calendar days of the date on which the respondent receives it. The draft preliminary inquiry report, combined with any comments received from the respondent, shall constitute the preliminary inquiry report.
In the event a formal investigation is deemed to be warranted, the dean shall inform the following individuals and/or organizations: university legal counsel, chairs/directors of any departments/schools that may be involved, the provost, and appropriate regulatory bodies. As required by law or regulation, University counsel shall notify appropriate government agencies when a formal investigation is convened.
As described in Section 16.7.3.8 “False Accusations” above, if a formal investigation is judged to be unwarranted and it is determined that the charges were brought against the respondent with malicious or dishonest intent such that the complainant had a clear understanding that they were probably untrue and that they were designed to harm the respondent, the dean may recommend to the provost that appropriate administrative action be taken against the complainant. Such appropriate administrative action shall be consistent with the University policy.
Any records produced during the preliminary inquiry stage, including the preliminary inquiry report, must be maintained by University counsel for at least seven (7) years and, upon request, be provided to the applicable government agencies.
16.7.4.3. Formal Investigation
Before any formal investigation commences, the respondent(s) and any involved collaborators must be notified by written statement of allegations that an investigation is to be conducted. The written statement shall:
• Include a copy of the preliminary inquiry report, which includes information on the nature of the allegations and the focus of the investigation, and inform those being investigated of the opportunity to provide comments and other relevant information to the dean.
• Inform the respondent(s), prior to beginning the investigation, of his or her right to be represented by an attorney in preparing and/or giving his or her response in this and all subsequent phases of the investigation.
• Give the respondent a copy of or refer to the institution’s policies and procedures related to research misconduct.
• Indicate there can be no actions that are, or could be perceived as, retaliatory against the investigation committee members, witnesses, or the person who raised an allegation or is thought to have raised an allegation.
The dean shall appoint an Investigative Body (IB) with three or more members to initiate an investigation thirty (30) calendar days after receipt of the preliminary inquiry report. IB members must be tenured faculty members with sufficient expertise in the area of investigation to ensure a sound base from which to evaluate the nature of the charges. One member of the IB may be from outside the University, if necessary, to ensure an accurate and knowledgeable evaluation of the evidence. All IB members must be free of real or apparent conflicts of interest regarding the investigation. The dean shall document the rationale for selecting committee members based on their expertise and impartiality. All IB members shall be required to sign a statement that they will maintain the confidentiality of the investigation, and that they have no interest that would conflict with those of the accused, the complainant, the University, or the sponsoring agency for the research. Prior to the beginning of the formal investigation, the respondent shall be given the opportunity to object in writing to the appointment of any member of the IB, based on conflict of interest. If the member is appointed to the IB despite the respondent’s objection, this fact shall be noted in the IB’s final report.
The IB shall conduct a formal examination and evaluation of all relevant facts to determine if the allegations of misconduct are valid. In order to maintain the integrity of the review process and avoid any appearance of institutional influence over the panel’s deliberations or decision-making, the IB shall be insulated from any administrative influence and any ex parte communications with the parties. The IB shall seek the advice of university counsel and may engage in, but is not limited to, the following investigative procedures:
• Interviewing witnesses;
• Sequestering and examining research data (both published and unpublished) and other evidence;
• Seeking expert counsel both inside and outside the University; and
• Conducting a hearing in which the respondent may respond to the charges, call witnesses, and question the complainant.
The IB shall pursue diligently all significant issues and leads discovered that are determined relevant to the investigation. A written summary or transcript of each interview conducted must be completed. A copy of the interview summary or transcript shall be provided to the interviewed party for comment.
The investigation must be completed within one hundred and twenty (120) days of beginning it, including conducting the investigation, preparing the report findings, providing the draft report for comment, and, if applicable, sending the final report to the appropriate federal agency. If a federal agency is to be involved, the IB must notify the provost, who will facilitate arrangements for the report to be sent. If the IB is unable to complete the investigation in time, a written request for extension that includes an explanation for the delay shall be submitted to and approved by the provost and be included in the investigation record. Except: If no federal or state regulation requires the investigation to be completed within 120 days, then the timeline for a particular investigation shall automatically be extended until the IB completes the investigation, without any need for written request of extension.
A finding of research misconduct requires that acts constitute research misconduct as defined above and that:
1) There is a significant departure from accepted practices of the relevant research community;
2) The misconduct is committed intentionally, or knowingly, or recklessly; and
3) The allegation is proven by a preponderance of evidence.
The IB shall prepare a draft Investigation Report. The draft report will be sent to all respondents, and all respondents shall be afforded the opportunity to comment upon the draft report and have the comments included in the formal record of the investigation. Any comments shall be submitted in writing within thirty (30) calendar days of the date on which the respondents received the draft report. The IB shall review all respondents’ comments prior to issuing the final Investigation Report.
At the completion of the Investigation, the IB shall submit its findings, comments from the respondents, and recommend institutional actions (also known as the Investigation Report) in writing to the dean, who shall provide a copy to the respondents of the investigation, the provost, legal counsel, and chair(s)/director(s) of the affected department(s)/school(s). The dean shall ensure that publishers and editors of journals are informed if manuscripts emanating from fraudulent research have been submitted or published.
The Investigation Report will include the following:
1) Description of the nature of the allegations of research misconduct
2) Description and documentation of federal financial support, if applicable (e.g., grant
numbers, grant applications, contracts, etc.)3) Institutional charge (e.g., description of specific allegations of research misconduct for consideration in the investigation)
4) Copy of the institutional policies and procedures under which the investigation was
conducted5) Research records and evidence. Identify and summarize the research records and evidence reviewed, and identify any evidence taken into custody but not reviewed.
6) Statement of findings. For each separate allegation or research misconduct identified
during the investigation, providea) A finding as to whether research misconduct did or did not occur as follows
i. Identify whether research misconduct was falsification, fabrication, plagiarism, or other serious deviation from accepted practices and if it was intentional, knowing, or in reckless disregard;
ii. A finding that serious research irregularities have occurred, but that the irregularities are insufficient to constitute misconduct; or
iii. A finding that no research misconduct or research irregularities were committed.
b) A summary of the facts and the analysis that support the conclusion and consideration of the merits of any reasonable explanation by the respondent;
c) Information about the specific federal support affected, if applicable;
d) Identification of any publications in need of correction and retraction;
e) Identification of the person(s) responsible for the misconduct;
f) Listing of any current support or known grant proposal applications that the respondent has pending with federal agencies;
7) Comments. Include and consider any comments made by the respondent and complainant on the draft investigation report.
The investigation must be thorough and sufficiently documented including examination of all research records and evidence relevant to reaching a decision on the merits of the allegations. The IB must ensure that it maintains and provides all records from the investigation to the provost. This is necessary so that they can be provided to any applicable federal agencies, which may request all relevant research records and records of the institution’s research misconduct proceeding, including the results of all interviews and the transcripts or recordings of such interviews.
16.7.4.4. Documentation
At the conclusion of an allegation assessment, inquiry, or investigation, the dean shall forward all documentation pertaining to the allegation assessment, inquiry, or investigation to the provost who shall arrange that the documentation be maintained for seven (7) years and ensure that documentation is provided to the appropriate federal agency upon request, if appropriate.
Documentation to be maintained for federal agencies must include the following, as applicable:
1) Allegation assessment statement
2) Preliminary inquiry final report
3) Formal Investigation Report, including a copy of the report, all attachments, and any appeals
4) Findings: statement whether or not the institution accepts the investigation’s findings
5) Final institutional action: statement if the institution found research misconduct, and if so, who committed the misconduct
6) Institutional administrative actions: description of any pending or completed administrative actions against the respondent
The institution must notify the relevant federal agency (if applicable), if the institution plans to close out a case at the inquiry, investigation, or appeal stage on the basis that the respondent has admitted guilt, a settlement with the respondent has been reached, or for any other reason, except the closing of a case at the inquiry stage on the basis that an investigation is not warranted.
16.7.4.5. Disciplinary Action
If the findings of the investigation substantiate allegations of research misconduct, the provost, inconsultation with legal counsel, shall determine appropriate administrative action, consistent with the University policy.
16.7.4.6. Appeal
The respondent may appeal the decision of the investigative committee in writing to the provost. The accused shall have thirty (30) days to file an appeal. A reinvestigation of the case will be warranted if one or more of the following conditions are judged by the provost to exist:
• Significant omission of new evidence that was not known or reasonably available at the time of the formal investigation;
• A member of the committee had a conflict of interest; or
• A member of the committee did not accurately interpret the evidence due to lack of expertise concerning the research topic.
The provost must rule within fifteen (15) days of receipt of the accused’s written appeal on whether or not an appeal is warranted. If the provost determines that an appeal is warranted, a new investigative committee will be appointed by the provost to reexamine the case. The provost’s ruling on the issue of appeal is final. The criteria for appointing members to the original investigative committee shall also apply to the qualifications of members of the new investigative committee. The procedures that applied to the original investigative committee will also apply to the new investigative committee. The new committee shall have one hundred twenty (120) days to complete the investigation. The decision of this review committee is final.
Updates: For updated NKU policy, approved by NKU Board of Regents 8.7.2020, see Sexual Harassment
16.8.1. Statement of General Policy
The University will not tolerate sexual harassment. In its policies and procedures the University seeks to deal effectively with the problem and to preserve the rights and privileges of all involved in cases of alleged sexual harassment.
16.8.2. Definition of Sexual Harassment
Sexual harassment is unwelcome sexual advances, requests for sexual favors, and other verbal, non-verbal,
physical, or non-physical conduct of a sexual nature when submission to such conduct is a basis for employment or academic decision, or such conduct unreasonably affects an individual’s status and well being by creating an intimidating, hostile, or offensive work or academic environment. The harasser may be faculty, staff, or a student.Sexual harassment may be considered in these two major categories:
• The first type of harassment is the quid pro quo overt pressure by another person in the workplace for sexual favors.
• The second category of harassment is more subtle and by definition involves a cumulative effect that constitutes the harassment. Any single incident of this type might not be judged harassment, but continuation of the behavior creates an atmosphere that is uncomfortable and intimidating.
Sexual harassment is a form of sex discrimination and a violation of civil rights as covered under Title VII., 1964, Civil Rights Act, and Title IX., 1972, Educational Amendments. These federal acts protect the civil rights of employees and students in an educational institution. The University is, therefore, obligated to treat such complaints seriously.
16.8.3. Prevention
Prevention is the best method for eliminating sexual harassment. Every faculty member is encouraged to take all steps necessary to prevent sexual harassment from occurring such as by affirmatively raising the subject, expressing strong disapproval, and informing other faculty, staff, and students of their right to raise, and how to raise, the issue of sexual harassment.
16.8.4. Limitations of this Policy
This policy is limited to faculty members complaining of sexual harassment by another faculty member, a staff member, a student, or any other employee or affiliate of the University.
16.8.5. Procedure for Reporting Sexual Harassment
A faculty member who believes they have been sexually harassed (hereinafter referred to as the complainant) may seek redress through these established informal and formal procedures. The overriding goal of these procedures is to provide a prompt, equitable, fair, and rights-preserving method of handling sexual harassment complaints. At all times and at all stages of the process, confidentiality and privacy of the parties and proceedings will be maintained. The University will seek to protect the reputations of all parties involved and will seek to protect all parties involved from retaliation. The University will also assure a fair procedure and a fair hearing before members of a panel who are without bias or prejudice.
All records of the alleged sexual harassment will be maintained in confidential files only in the Office of University Legal Services and General Counsel. During either the informal or the formal procedures for reporting sexual harassment, other members of the University community may be informed of the specifics of a complaint on a need-to-know basis. Such persons may include the university legal counsel, department chair/school director, or academic dean.
16.8.6. Informal Process
If a faculty member experiences sexual harassment by another faculty member, a staff member, contractor, or a student, the faculty member (as complainant) has the right to report the incident to their chair or supervisor to determine what action might be appropriate. The complainant should begin this informal process as promptly as possible after the alleged incident. If the complainant requests assistance in resolving the matter, the chair/director will explain the University’s sexual harassment policy and procedures and also inform the complainant that they may have other possible rights and remedies external to the University. The chair/director will:
• Obtain from the complainant information on the specific nature of the complaint and the evidence for making the complaint;
• Advise the complainant of all options available through this sexual harassment policy;
• Assist the complainant to clarify the resolution sought; and
• Review with university legal counsel any previous complaints that have been filed by the complainant or against the alleged harasser (hereinafter referred to as the respondent).
The chair/director will set up a confidential meeting with the respondent to inform the respondent about the complaint.
The respondent has the option to request the presence of their immediate supervisor or another academic colleague. If the respondent is a student, the student may request the presence of the Associate Vice President for Student Affairs and Enrollment Management or a representative from Student Government Association. If counsel is present for either party, the other party may have counsel present too. The purposes of the meeting are:
• To inform the respondent of the details of the complaint;
• To obtain the respondent’s comments concerning the complaint; and
• To attempt to reach a resolution of the complaint. Such resolutions may include, but are not limited to an apology and assurance that the respondent’s behavior toward the complainant will stop; a change in work assignments; or disciplinary action against the respondent.
If a resolution is obtained through the informal process, the chair/director will notify, in writing, both the complainant and the respondent. This notification must specify the actions necessary for the resolution of the complaint. If no resolution is obtained through this informal process, the chair/director will likewise notify, in writing, the complainant and respondent of this action. In either case, the chair/director must make this notification by certified mail within ten (10) working days of receiving the complainant’s report of the alleged incident or incidents.
16.8.7. Formal Process
If the informal process has not resolved the allegation of sexual harassment and the complainant wishes to proceed, the complainant must file a formal written complaint within ten (10) working days after receiving written notification from the chair/director. A hearing panel will be formed to consider the complaint:
• Providing the respondent with a copy of the written complaint;
• Forming a three-member hearing panel to consider the complaint (Composition of the panel will depend on whether the respondent is a member of the faculty, staff, or a student. If the respondent is a faculty member, the panel will be chosen from among the members of the Peer Review Advisory Committee. If the respondent is a staff member, the panel will be composed of two faculty members from the faculty pool and one staff member chosen from the pool of staff that have agreed to serve on such a panel. If the respondent is a student, the panel will be chosen from the faculty pool and one student recommended by Student Government Association.);
• Convening the hearing panel and selecting a chair;
• Advising (in consultation with university legal counsel) the hearing panel of the characteristics of sexual harassment and of standards for identifying whether sexual harassment has occurred;
• Scheduling sessions of the hearing panel;
• Calling and scheduling all witnesses requested by the hearing panel;
• Ensuring that a record is made of all proceedings;
• Ensuring that all deadlines and procedures are followed by the hearing panel; and
• Dismissing the panel at the conclusion of the hearing.
The hearing panel will:
• Conduct an inquiry into the alleged sexual harassment incident(s). (The panel may request of university legal counsel records of previous complaints involving either the complainant or the respondent.);
• Make a determination of whether the allegation(s) are true or false and whether they constitute sexual harassment; and
• Prepare a written statement setting forth the determination and its basis.
If the hearing panel determines that the complainant has been sexually harassed, it may use any previous sexual harassment complaints documented by university legal counsel against the respondent as part of their basis for sanction. Available sanctions include, but are not limited to, reprimand, suspension without pay, and termination of employment.
Within fifteen (15) days, the chair of the hearing panel will communicate the written statement of the determination to both the complainant and the respondent by certified mail and to the appropriate vice president. The appropriate vice president will have the ultimate decision to impose sanctions, including those recommended by the hearing panel. The appropriate vice president will ensure that any written documents concerning the case are filed with university legal counsel.
16.8.8. Appeal Process
Either party may appeal an adverse determination or recommendation to the respondent’s vice president. The appeal must be written, state the basis of the appeal, and be filed within ten (10) working days of receipt of the notification of the adverse determination or recommendation. The appropriate vice president will inform all other parties that an appeal has been made. The vice president will make a determination of the hearing panel’s decision. The decision of the hearing panel will be affirmed unless there is insufficient evidence in the record to support it.
The appropriate vice president will notify the parties involved, in writing, by certified mail, of the determination within ten (10) working days of receipt of the appeal.
16.8.9. Residual Rights and Procedural Comments
The rights of either party to file a grievance under the Faculty Handbook or any other university policies shall not be impaired by using the Sexual Harassment policy and procedure.
16.9.1. General
Consensual relationships are romantic relationships and/or sexual interactions agreed to by the involved parties (even if it is a single interaction). Northern Kentucky University (NKU) is committed to maintaining a working and academic environment that fosters intellectual, professional, and personal growth free from conflict of interest, favoritism, and exploitation. This environment is put at risk when members of the University community engage in consenting relationships that involve persons of unequal power. Consensual relationships may create actual and perceived conflicts of interest that include real or perceived favoritism or exploitation. A power differential is defined as the difference between two individuals in a relationship in terms of status, authority, or influence, particularly in, but not limited to, the University community. This policy specifically addresses consenting relationships involving faculty members with students, staff, other faculty members, supervisors, or administrators. For example, these relationships would include a student in the faculty member’s class, a student in the faculty member’s research group, or a staff member in the faculty member’s department. A power differential could include supervision; evaluation such as for promotion or tenure or raises; authority over the other; or favoritism toward the other.
Faculty members are prohibited from knowingly entering consensual relationships in which a conflict of interest would exist because it would involve a pre-existing power differential. Non-consensual relationships are covered by the Sexual Harassment policy.
16.9.2. Preexisting Relationships
This policy is not intended to apply to faculty spouses or domestic partners, as those terms are defined by NKU Human Resources, whose relationship precedes the creation of a power imbalance. Faculty members in preexisting relationships that undergo a change in status that might create a conflict of interest, e.g., one begins taking classes, are required to report the change and the potential conflict of interest to their supervisor. The supervisor and faculty member will work together to mitigate or remove the conflict of interest. In addition, the provost, after consultation with the relevant chair, director, or dean, may permit exceptions to this policy in appropriate circumstances.
16.9.3. Relationships Involving Students
Faculty relationships with students are particularly problematic as the potential for real or perceived conflicts of interest is greater. These problems may remain whether or not the student is graded or supervised by the faculty member. For this reason, faculty relationships with students are strongly discouraged even if a conflict of interest is unlikely. Efforts by faculty to initiate relationships with their students, by whatever method, including dating apps, are prohibited.
16.9.4. Relationships with Other NKU Employees
All NKU employees, including faculty members, are expected to avoid situations that present a conflict of interest, and consensual relationships in which an unmitigated conflict of interest exists are prohibited. Faculty relationships with other NKU employees present a conflict of interest when there exists an NKU power differential.
16.9.5. Reporting Requirements
The faculty member, regardless of University status or role, is responsible for reporting any relationship with an individual affiliated with NKU in writing to their direct supervisor within two weeks of the initiation of the relationship, even if a single interaction, or the realization of a potential conflict of interest. It is expected that the supervisor will consult with appropriate members of the administration including the Title IX office and Human Resources to understand the potential conflicts of interest. The supervisor and the faculty member will work together to mitigate or remove the power differential and conflict of interest, if possible. This may include removing the faculty member from a committee and assigning a replacement, assigning another faculty member to supervise the student, or assigning another faculty member to handle that student’s grades. This reporting obligation continues even after the relationship has ended. For instance, a faculty member must report a previous consensual relationship with one of the students in their class. In every circumstance, the effect on the student should be minimized. If it is not possible to mitigate the conflict of interest, continuation of the relationship is a violation of this policy.
The University prohibits retaliation of any kind against individuals who report consensual relationships in good faith. An NKU faculty member becoming aware of a consensual relationship involving another faculty member may report that relationship to their supervisor without retaliation. However, faculty members are not required to report in these circumstances unless they suspect the relationship is covered by mandatory Title IX or ethics policy reporting. The faculty member involved in the relationship has the obligation to report the relationship.
16.9.6. Mitigation of Conflicts of Interest
The supervisor, in collaboration with the parties to the consensual relationship, the appropriate dean, Human Resources, and the Title IX office, will produce a written mitigation plan within 10 business days of the report of the relationship.
The mitigation plan will:
a) Provide an alternate means for managing, supervising, teaching, evaluating, and or advising the party with less power in the relationship.
b) Give priority to the interest of the one with less power.
c) Be in writing and signed by any NKU employee who is part of the consensual relationship.
d) If an NKU student is a party to the relationship, the student will be notified of the mitigation plan and provided a copy.
e) If the parties cannot agree to a mitigation plan, resolution will be handled through the provost’s office.
If it is not possible to mitigate the conflicts of interest, continuation of the relationship is a violation of this policy.
16.9.7. Penalties for Violation of this Policy
Faculty members in violation of this policy will be subject to the disciplinary procedures and penalties outlined in this Handbook. Violations may include, but are not limited to, failure to timely report the relationship, unwillingness to work with the supervisor to mitigate conflicts of interest, or evaluation of the work of their partner in a consensual relationship.
16.9.8. Safe Harbor
It is critical that the University receive notification of consensual relationships under this policy so as to prevent conflicts of interest, favoritism, and exploitation. Unreported consensual relationships pose a significant risk to the University community. Accordingly, if a faculty member immediately notifies their supervisor in writing of the development of a consensual relationship allowed by this policy and cooperates to mitigate the effects of the consensual relationship, then a conduct/discipline investigation will not be pursued. An unreported consensual relationship will be considered a violation of this policy.
This safe harbor provision does not apply to potential violations of the sexual harassment policy.
Related NKU policies: Sexual Harassment; Nepotism
Northern Kentucky University seeks to employ or promote the best-qualified person for a position. Therefore, decisions on selection, salary, promotion, and all matters pertaining to faculty employment will be made based on merit and not according to the relationship of an applicant or one employee of the University to another or the relationship of an applicant or employee to a member of the Board of Regents. No person shall be employed or promoted to a faculty position if the result would be that a head of an administrative unit and a member of the individual’s immediate family by blood or marriage would be members of the same administrative unit; in the University’s best interest, however, exceptions may be made to this policy upon the recommendation of a majority of the members of the administrative unit, subject to approval by the provost and the consent of the president. Relatives by blood or marriage include parents, children, grandchildren, spouses, siblings, aunts, uncles, nieces, nephews, and in-laws and step relatives in these same relationships.
Faculty members should avoid situations that place them into a position to academically evaluate relatives by blood or marriage, such as in a class or laboratory. The faculty member must inform their supervisor of the circumstance, and the supervisor and faculty member should work together to arrange for different evaluation of the family member. This may involve placement into another class or laboratory section, pairing with another thesis advisor, or having another faculty member evaluate the student’s work.
Related NKU policy: Nepotism
Updates: For updated NKU policies, see Equal Opportunity and Nondiscrimination (BoR, 9.11.2019) and ADA Accommodation (BoR, 9.11.2019)
Northern Kentucky University reaffirms its commitment to the principles of equal opportunity and affirmative action. In compliance with equal opportunity and affirmative action state and federal laws and as a matter of institutional policy, the University will not engage in or tolerate discrimination against individuals in any of its programs and activities on the bases of race, color, religion, gender, national origin, age, sexual orientation, disability, or veteran’s status. Further, where required bylaw, the University will take affirmative action in support of equal employment opportunity and to foster an intellectual and social atmosphere that reflects the broad range of human diversity.
In accordance with University policy, Section 504 of the Rehabilitation Act of 1973 (Public Law 93-112), and the Americans with Disabilities Act of 1991 (Public Law 101-313), Northern Kentucky University is committed to making reasonable accommodation for the known physical or mental limitations of an otherwise qualified applicant or employee who is disabled. Accommodations may include making facilities used by employees readily accessible to and usable by persons who are disabled, job restructuring through part-time or modified work schedules, acquisition or modification of equipment or devices, provision of readers or interpreters, or other similar actions. The University will not deny an employment opportunity to a qualified employee or applicant who is disabled if the basis for the denial is the need to make reasonable accommodation for the employee’s or applicant’s physical or mental limitations, unless it can be demonstrated that the accommodation causes an undue hardship for the University. All searches shall be conducted in accordance with the University’s hiring procedures.
At the time a person who is disabled is hired or an employee becomes disabled, needed accommodations will be determined through discussions between the employee and the department chair or unit head. The Office of Personnel Services and the office of affirmative action and multicultural affairs are available to serve as resources. Specific accommodations agreed upon should meet the unique needs of each employee who is disabled and enable the employee to perform effectively the duties of their position. Requests for any necessary funding for these accommodations shall be processed through the department chair/school director. A letter from the department chair/school director or unit head will be sent to the employee describing these accommodations. A copy of this letter will be filed in the employee’s official personnel file. At the request of an employee who is disabled, the University will make mutually agreed upon reasonable adjustments in accommodations to reflect the employee’s current needs. The University will not make adjustments in accommodations or in any way change these accommodations without first consulting with the employee. A record of the accommodations and any adjustments will be maintained in the employee’s personnel file.
Costs of accommodations for a particular employee who is disabled will be borne by the University without adverse economic consequences for that employee. Sources of funds for both the recurring and nonrecurring costs for this purpose will be identified in the University’s budget and will be reviewed annually in order to ensure that accommodations are not compromised.
A list of terminal degrees for faculty in each discipline can be reached from the homepages of the Faculty Senate and the Office of the Provost.
Promotion and publication of course offerings is the responsibility of University administrators in the regular course of their duties. Academic departments/schools (or colleges, in the absence of departments or schools) may supplement promotion by direct mailings to majors and prospective majors or by posting notices on departmental/school bulletin boards, subject to approval in accord with published policies in effect at the time of the promotion.
The Vice President for Enrollment and Degree Management is responsible for promotion of courses through publications such as the University Catalog, the Schedule of Classes, brochures, and posters. Promotion can include, but is not limited to newspaper announcements, direct mailings, posting, admissions staff information services, and announcement and/or distribution in the classroom of relevant academic information on course content.
Publication and promotion activities of individual faculty must first be approved by the faculty member’s chair. Publication should follow the approved University stylebook. Failure to comply with this policy may constitute a violation of professional ethics.
A course at Northern Kentucky University may be canceled or postponed upon the administrative judgment of the appropriate chair/director, dean, and/or the provost. Such judgment shall be based upon legitimate administrative and/or academic reasons including, but not limited to, one or more of the following:
• Insufficient enrollment;
• Financial exigency;
• Maintenance of full-time academic loads;
• Reassigned time;
• Update and revision of course offerings; and
• Unavailability of an appropriate instructor.
The decision to cancel or postpone a course should be made no later than the first day the course is scheduled to meet. Except in an emergency, no course shall be cancelled or postponed after this date. The decision to cancel or postpone a course shall be promptly communicated to the faculty member scheduled to teach the course and to the students enrolled in it.
16.15.1. General
Every university should be constantly concerned about the quality and excellence of graduate instruction, including special activities such as off-campus classes, short courses and workshops, media instruction, and evening classes.1 It is essential that provisions for graduate instruction include certain qualitative standards. These standards must be applied by universities in generating graduate credits and in evaluating transfer work from other institutions.
1Southern Association of College and Schools, Commission on Colleges, Standards of the College Delegate Assembly (Atlanta, Georgia, n.p., December 14, 1977), pp. 30-44.
16.15.2. Administration
Control of off-campus regular and special courses must be vested in the University administrative structure responsible for regular and special on-campus courses.2 Off-campus instruction must be under the direct administrative supervision of the university granting the credit.
2Ibid., p. 32.
16.15.3. Faculty
Instruction for off-campus and special courses must be provided by the University’s regular graduate faculty or by carefully selected and approved full-time or adjunct faculty. Faculty for such courses must be recommended by the academic unit offering the courses and be approved according to the University’s established procedures. If persons such as school administrators or business executives are assigned to teach off-campus or special courses, they should not teach a class in which a preponderance of the students would likely be their employees.
16.15.4. Students
The quality of graduate instruction is closely related to the quality of students.3 Since student quality is regulated by admission standards, the students enrolled in off-campus and special courses must follow normal admission procedures to the University’s programs or be verified transient students from other institutions. The fully employed student should attempt no more than six credit hours of course work per semester at one or more institutions.
3Ibid., p. 40.
16.15.5. Instruction
The credit-producing experience shall be taught by faculty with scholarly competence in the subject area. At the beginning of the course, the instructor should provide students with a statement of course requirements and expectations as well as the University’s code of academic ethics for students.
The instruction for graduate courses should be distinctly graduate level. Research in its broadest sense is synonymous with graduate education.4 Consequently, every graduate course should include tangible evidence of independent work (paper, term report, research/creative projects, etc.).
Instructional standards for off-campus and special courses should be the same as those established for on-campus and regular courses. A comprehensive final examination will normally be required to assess the student’s capability for scholarly thinking in the subject area. Practicum or laboratory courses should require other experiences of comparable rigor.
Graduate instruction should provide opportunity for meaningful interaction among students and between students and instructor.
4Ibid., p. 39.
16.15.6. Academic Credit
Graduate credit for special courses shall be awarded only for experiences that meet graduate instructional standards and that are clearly distinguishable from undergraduate work5 and from continuing-education activities.6 Within this context, graduate credit may be awarded for short courses, workshops, and seminars, but may not be awarded for attendance at conferences and institutes. This interpretation is based upon definitions provided by the Southern Association of Colleges and Schools.7 Graduate-credit-producing experiences, other than those which are independently directed, shall be based upon a minimum of 12.5 clock hours of contact per hour of graduate credit. Workshop courses, which characteristically combine instruction with laboratory or experimental activity and place more emphasis on skill training than on general principles, shall have a minimum of 25 clock hours of contact per hour of graduate credit. All credit-producing experiences shall be based upon a minimum of one week of instruction per hour of graduate credit.
5Ibid., p. 41.
6Ibid., p. 33.
7Ibid., p. 37.
8Conference of Southern Graduate Schools, Criteria for Evaluating Off-Campus Graduate Programs, edited by Eleanor R. Gibbard (West Virginia University, n.p., 1980), p. 4.
16.15.7. Facilities
Educational resources essential to graduate instruction include library, laboratory, computer, audio-visual, and provision for performance and field activities. Availability of these facilities as well as adequate classroom space will determine locations at which graduate courses can be offered.
Refer to Appendix F, which includes NKU's Inventions and Patents policy and Copyrights policy.
Related NKU polices: Inventions and Patents; Copyrights
Revised: Fac. Senate, 1.29.2024/BoR, 3.12.2024, Pres. Recs. C-8 and C-9, pp. 61-81.
Related NKU policy: Reproduction of Copyrighted Material
16.17.1. General Statement
Northern Kentucky University is committed to compliance with the United States Copyright Revision Act of 1976, as amended (Title 17 United States Code, Section 101 et seq.) relating to reproduction of copyrighted materials. The unauthorized reproduction of copyrighted material is a serious violation of University policy as well as federal law.
16.17.2. Scope
These procedures apply to all reproduction of copyrighted material either for a purpose related to the University or by or upon University facilities. Reproduction shall include, but is not limited to, copying or duplication by photocopying of printed material; copying of video, audio cassette, reel, or other broadcast material; or duplication of computer software. Reproduction for purposes related to the University shall include, but not be limited to, materials reproduced for teaching, research, course presentation, extracurricular activities, broadcast media, and the like. University facilities include, but are not limited to, all machines, devices, and media capable of copying, duplicating, or reproducing copyrighted material in any form.
16.17.3. Definitions
16.17.3.1. Copyright
A copyright is an intangible right granted by statute to the author or creator of certain literary or artistic works, whereby the author or creator is invested for a period of time with sole and exclusive rights of ownership to the work, which rights include the right to publish and reproduce the work. The ownership rights granted by a copyright are qualified by the doctrine of “fair use.”
16.17.3.2. Fair Use
Fair use is the privilege in one other than the owner of a copyright to use the copyrighted material in a limited and reasonable manner without the consent of the copyright holder and notwithstanding the monopoly granted by the copyright to the owner. In determining whether the use of a copyrighted work in a particular case is a fair use, the following must be considered:
• The purpose and character of the use, including whether such use is of commercial nature or is for non-profit educational purposes;
• The nature of the copyrighted work;
• The amount and substantiality of the portion used in relation to the copyrighted work as a whole; and
• The effect of the use upon the potential market for or value of the copyrighted work.
16.17.4. Photocopying
16.17.4.1. Unauthorized Photocopying
Unauthorized photocopying is a violation of federal copyright law and therefore a violation of University policy.
16.17.4.2. Guidelines for Authorized Photocopying
The protection afforded by a copyright is subject to an exception for fair use of material, as set forth herein. Since a determination of fair use is made on the facts of the specific use, guidelines for fair use for classroom copying in not-for-profit educational institutions have been developed by the National Association of College Stores, Association of American Publishers, Association of American University Presses, Ad Hoc Committee on Copyright Law Revisions, and the Author-Publisher Group (Authors League, Inc.). These guidelines are adopted and included in this policy at Exhibit A, below. Photocopying pursuant to these guidelines conforms to University policy.
16.17.5. Compliance
16.17.5.1. Individual Responsibility
It is the individual requestor’s responsibility to ensure that all photocopies of copyrighted material that they reproduce or cause to be reproduced either fall within the doctrine of fair use or have been cleared for use with the holder of the applicable copyright. Individuals photocopying or requesting photocopying of any written material for any purpose associated with the University or utilizing any photocopying facilities of the University shall familiarize themselves with these University procedures and shall complete a “copy center request form.” If any individual has any question as to whether proposed photocopying constitutes a fair use of copyrighted materials pursuant to the attached guidelines, the individual shall request permission from the publisher. A sample permission form is set forth in this policy at Exhibit C below.
16.17.5.2. Department/School Responsibility
Each department/school shall be responsible for ensuring that the University’s photocopying procedures are disseminated to all appropriate employees. All completed “reproduction of copyrighted material” forms for proposed photocopying on University facilities shall be approved by the requestor’s supervisor or department chair/school director. In colleges where there is no department or school, the dean will function as department chair in these processes
.
16.17.6. Bookstore
The University bookstore shall comply with University photocopying procedures. The bookstore will obtain permission letters for all copyrighted components of anthologies that are assembled to be sold through the bookstore. The standard textbook-ordering deadlines must be met in order to allow the bookstore to secure permission for use of copyrighted material in anthologies.
16.17.7. Software
16.17.7.1. General
A computer program is defined as a set of statements or instructions to be used directly or indirectly in a computer in order to bring about a certain result.
A computer program, also known as computer software, is copyrightable and subject to the copyright laws of the United States. No person in possession of a particular copy of a computer program may, for the purposes of direct or indirect commercial advantage, dispose of, or authorize the disposal of, the computer program (including any tape, disk, or other medium embodying such program) by rental, lease, or lending, or by any other act or practice in the nature of rental, lease, or lending.
The purchase of computer software entails the grant of a license to the purchaser and other authorized users to use the computer program consistent with the terms of the license. A violation of the terms of the license can be an infringement of the copyright of the owner of the computer program.
16.17.7.2. Unauthorized Reproduction
Computer software used for University purposes may not be reproduced, nor may computer software be copied on University facilities, except as set forth below.
16.17.7.3. Exceptions
Computer software may be reproduced as follows:
• With express permission of the owner of the copyright, either as set forth in the license accompanying the software or by direct authorization in writing from the copyright owner; and
• The authorized user(s) make one back-up copy to be held for their own use as an archival copy in the event the original fails to function and not inconsistent with the license provided, however, that backup copies may not be used on a second computer when the original is in use.
16.17.8. Phonorecords, Broadcast Material, Video Cassettes, Audio Cassettes
The requirements and limits under federal copyright laws for reproduction of phonorecords, broadcast material, videocassettes, and audiocassettes by libraries and archives are specifically set forth in Title 17 United States Code, Sections 108 through 112. All University employees responsible for reproduction of these items shall familiarize themselves with the statutes. Federal law and University policy require copyright law notices to be conspicuously displayed and consistent with this policy.
16.17.9. Copyright Notices
16.17.9.1. Equipment Notice
A notice concerning copyright shall be conspicuously affixed to each piece of equipment capable of reproducing copyrighted material (with the exception of computers). The notice shall state the following:
“NOTICE
The making of copies may be subject to copyright law. Violation of copyright law can subject the violator to civil and criminal penalties for copyright infringement.”
16.17.9.2. Display Warning of Copyright
A “display warning of copyright restrictions” shall be displayed at the places where orders for copies or phonorecords, or tapes (audio or visual) are accepted by University copying services, all campus libraries, media services, and archives. The text of the notice of warning is below.
An “order warning of copyright restrictions” is a notice that shall be included on printed order forms supplied by campus libraries, copying services, archives, and media services and used by their patrons for ordering copies, phonorecords, or tapes (audio or visual). The text of the warning is below.
The warning notices shall read as follows:
“NOTICE WARNING CONCERNING COPYRIGHT RESTRICTIONS
The copyright law of the United States (Title 17, United States Code) governs the making of photocopies or other reproductions of copyrighted material. Under certain conditions specified in the law, libraries and archives are authorized to furnish a photocopy or other reproduction. One of these specified conditions is that the photocopy or reproduction is not to be ‘used for any purpose other than private study, scholarship, or research.’ If a user
makes a request for, or later uses, a photocopy or reproduction for purposes in excess of ‘fair use,’ that user may be liable for violation of copyright law.”The display warning of copyright restrictions shall be printed on heavy paper or other durable material in type at least 18 points in size, and it shall be displayed prominently, in such a manner and location as to be clearly visible, legible, and comprehensible to a casual observer within the immediate vicinity of the place where orders are accepted.
The order warning of copyright restrictions shall be printed within a box located prominently on the order form itself, either on the front side of the form or immediately adjacent to the space calling for the name or signature of the person using the form. The notice shall be printed in type size no smaller than that used predominantly throughout the form, and in no case shall the type size be smaller than 8 points. The notice shall be printed in such manner as to be clearly legible, comprehensible, and readily apparent to a casual reader of the form.
16.17.10. Violation
16.17.10.1. Sanction
Violation of these procedures constitutes a violation of federal copyright law and University policy, which may result in disciplinary action to include termination of student status, employment, or visitor status at the University.
16.17.10.2. Department/School Responsibility
Each department/school shall be responsible for ensuring that these procedures are disseminated to all appropriate employees and students. All completed “reproduction of copyrighted material” forms for proposed copying on University facilities shall be approved by the requestor’s supervisor or department chair/school director. In colleges where there is no department or school, the dean will function as department chair in these processes.
The purpose of the following guidelines is to state the minimum and not the maximum standards of educational fair use under Section 107 of H.B. 2223. The parties agree that the conditions determining the extent of permissible copying for educational purposes may change in the future; that certain types of copying permitted under these guidelines may not be permissible in the future; and conversely that in the future other types of copying not permitted under these guidelines may be permissible under revised guidelines.
Moreover, the following statement of guidelines is not intended to limit the types of copying permitted under the standards of fair use under judicial decision; those types are stated in Section 107 of the Copyright Revision Bill. There may be instances in which copying that does not fall within the guidelines stated below may nevertheless be permitted under the criteria of fair use.
GUIDELINES
I. Single Copying for Teachers
A single copy may be made of any of the following by or for a teacher at his/her individual request for scholarly research or use in teaching or in preparation to teach a class:
A. A chapter from a book;
B. An article from a periodical or newspaper;
C. A short story, short essay, or short poem, whether or not from a collective work;
D. A chart, graph, diagram, drawing, cartoon, or picture from a book, periodical, or newspaper.
II. Multiple Copies for Classroom Use
Multiple copies (not to exceed in any event one copy per pupil in a course) may be made by or for the teacher giving the course for classroom use or discussion, provided that:
A. The copying meets the tests of brevity and spontaneity as defined below; and
B. Meets the cumulative-effect test as defined below; and
C. Each copy includes a notice of copyright.
DEFINITIONS
Brevity
(i) Poetry: (a) a complete poem if less than 250 words and if printed on not more than two pages or, (b) from a longer poem, an excerpt of not more than 250 words.
(ii) Prose: (a) either a complete article, story, or essay of less than 2500 words, or (b) an excerpt from any prose work of not more than 1000 words or 10% of the work, whichever is less, but in any event a minimum of 500 words.
(iii) Illustrations: one chart, graph, diagram, drawing, cartoon, or picture per book or per periodical issue.
[Each of the numerical limits stated in (i) and (ii) above may be expanded to permit the completion of an unfinished line of a poem or of an unfinished prose paragraph.]
(iv) “Special” works: Certain works in poetry, prose, or in “poetic prose,” which often combine language with illustrations and which are intended sometimes for children and at other times for a more general audience, fall short of 2500 words in their entirety. Paragraph (ii) above notwithstanding, such “special” works may not be reproduced in their entirety; however, an excerpt comprising not more than two of the published pages of such special work and containing not more than 10 percent of the words found in the text thereof, may be reproduced.
Spontaneity
(i) The copying is at the instance and inspiration of the individual teacher; and
(ii) The inspiration and decision to use the work and the moment of its use for maximum teaching effectiveness are so close in time that it would be unreasonable to expect a timely reply to a request for permission.
Cumulative Effect
(i) The copying of material is for only one course in the school in which the copies are made.
(ii) Not more than one short poem, article, story, essay, or two excerpts may be copies from the same author; not more than three from the same collective work or periodical volume during one class term.
(iii) There shall be not more than nine (9) instances of such multiple copying for one course during one class term.
[The limitations stated in ii. and iii. above shall not apply to current news periodicals and newspapers and current sections of other periodicals.]
III. Prohibitions as to I. and II. Above
Notwithstanding any of the above, the following shall be prohibited:
A. Copying shall not be used to create or to replace or substitute for anthologies, compilations, or collective works. Such replacement or substitution may occur whether copies of various works or excerpts therefrom are accumulated or reproduced and used separately.
B. There shall be no copying of or from works intended to be “consumable” in the course of study or of teaching. These include workbooks, exercises, standardized tests and test booklets and answer sheets and like consumable materials.
C. Copying shall not:
(1) Substitute for the purchase of books, publishers’ reprints, or periodicals;
(2) Be directed by higher authority;
(3) Be repeated with respect to the same item by the same teacher from term to term.
D. No charge shall be made to the student beyond the actual cost of photocopying.
Agreed March 19, 1976
Ad Hoc Committee on Copyright Law Revision:
By Sheldon Elliott Steinbach.
Author-Publisher Group.
Authors League of America:
By Irwin Karp, Counsel.
Association of American Publishers, Inc.:
By Alexander C. Hoffman, Chairman,
Copyright Committee
The purpose of the following guidelines is to state the minimum and not the maximum standards of educational fair use under Section 107 of H.B. 2223. The parties agree that the conditions determining the extent of permissible copying for educational purposes may change in the future; that certain types of copying permitted under these guidelines may not be permissible in the future; and conversely that in the future other types of copying not permitted under the guidelines may be permissible under revised guidelines.
Moreover, the following statement of guidelines is not intended to limit the types of copying permitted under the standards of fair use under judicial decision; those types are stated in Section 107 of the Copyright Revision Bill. There may be instances in which copying that does not fall within the guidelines stated below may nevertheless be permitted under the criteria of fair use.
I. Permissible Uses
A. Emergency copying to replace purchased copies that for any reason are not available for an imminent performance, provided that purchased replacement copies shall be substituted in due course.
B. For academic purposes other than performance, single or multiple copies of excerpts of works may be made, provided that the excerpts do not comprise a part of the whole that would constitute a performance unit such as a section, movement, or aria, but in no case more than 10 percent of the whole work. The number of copies shall not exceed one copy per pupil.
C. Printed copies that have been purchased may be edited or simplified provided that the fundamental character of the work is not distorted or the lyrics, if any, altered, or lyrics added if none exist.
D. A single copy of recordings of performances by students may be made for evaluation or rehearsal purposes and may be retained by the educational institution or individual teacher.
E. A single copy of a sound recording (such as a tape, disc, or cassette) of copyrighted music may be made from sound recordings owned by an educational institution or an individual teacher for the purpose of constructing aural exercises or examinations and may be retained by the educational institution or individual teacher. (This pertains only to the copyright of the music itself and not to any copyright that may exist in the recording.)
II. Prohibitions
A. Copying to create or replace or substitute for anthologies, compilations, or collective works.
B. Copying of or from works intended to be “consumable” in the course of study or of teaching such as workbooks, exercises, standardized tests and answer sheets and like materials.
C. Copying for the purpose of performance, except as in I.A above.
D. Copying for the purpose of substituting for the purchase of music, except as in I.A and I.B above.
E. Copying without inclusion of the copyright notice that appears on the printed copy.
Copyrights and Permissions Department
Publishing Company
Address
City, State, Zip Code
Dear Sir/Madam:
I would like permission to copy the following for (use in my class next semester)/(use in an anthology to be distributed to my class):
Author, editor, translator
File, edition, volume number of book or journal
Copyright date
ISBN for books, ISSN for magazines and journals
Material to be duplicated (pages, chapters, figures, and illustrations)
Number of copies to be made
Type of reprint (photocopy)
Whether material will be used alone or combined with other material
Name of college or university
Course name and number
Semester and year in which material will be used
Instructor’s full name, address, and telephone number
I have enclosed a copy of this letter and a self-addressed, stamped envelope for your convenience in replying
to this request.
Sincerely,
__________________________________
Faculty/Staff Member Signature
Permission granted:
__________________________________
Copyrights and Permissions Department Date
The Hazardous Waste policy and other safety policies are contained in the manual, Disposal of Regulated Hazardous Materials and can be found at https://inside.nku.edu/safety/policies.html.
Related NKU resource: Safety and Emergency Management Policies, Procedures, and Forms
The unlawful manufacture, distribution, possession, or use of a controlled substance is prohibited in and on Northern Kentucky University (NKU) owned or controlled property. Any NKU employee determined to have violated this policy may be subject to disciplinary action up to an including termination. A controlled substance, as defined in the federal Drug-Free Workplace Act of 1988 does not include alcohol. However, the use of alcohol while on NKU owned or controlled grounds, including meal periods and breaks, is absolutely prohibited except when authorized by the University for approved University functions. No employee will report to work while under the influence of alcohol or illegal drugs. Violation of this policy by an employee will be reason for mandatory evaluation/treatment for a substance use disorder or for disciplinary action up to and including termination of employment.
In order to comply with the federal Drug-Free Workplace Act of 1988 (41 USC 701 et seq.), NKU requires that as a condition of employment a University employee notify the University of any criminal drug statute conviction for a violation occurring in the workplace no later than five (5) days after such conviction. The University must notify any federal granting or contracting agency within ten (10) days of having received notice that an employee engaged in the performance of such grant or contract has had any criminal drug statute conviction for a violation occurring in the workplace. The University will impose a sanction on, or require the satisfactory participation in, a drug/alcohol abuse assistance or rehabilitation program by any employee who is so convicted.
Any employee engaged in the performance of a grant or contract from the United States Department of Defense will be required to meet the requirements of the Drug-Free Work Force regulations (48 CFR 223.75) and may be subject to drug testing, as prescribed by the funding agency.
Related NKU policy: Alcohol and Drugs
Related NKU policy: Alcoholic Beverages
16.20.1. Institutional Statement of Policy
Students at Northern Kentucky University who are 18 years of age or older are legally adults capable of increasing their ability to manage their affairs. Current Kentucky law and Northern Kentucky University’s policy prohibit the possession and use of alcohol by those under 21 years of age. Although the University does not condone violation of the law for persons of any age, neither does it operate in loco parentis with regard to students. The law, however, does require that universities exercise a duty of care in acting reasonably to provide a safe environment for their students. Northern Kentucky University’s responsibility toward students is not to control their behavior, but rather to educate them to make appropriate and effective decisions in their own lives.
If members of the Northern Kentucky University community decide to consume alcoholic beverages, it is the policy of the University to encourage responsible use and to discourage the misuse and abuse of alcoholic beverages. The University recognizes that each person, within the limit of the law, has the right to decide freely whether or not to consume alcoholic beverages; however, no person has the right, under the influence of alcohol or otherwise, to abuse the rights or endanger the health, welfare, and property of self or others.
The University supports the following statements relating to the consumption of alcoholic beverages by all persons:
1) There are acceptable alternatives to drinking alcoholic beverages.
2) It is acceptable not to drink; each individual needs to make a personal, informed choice.
3) If an individual chooses to drink, they should do so responsibly and in moderation. Furthermore, they should adhere to state and local laws pertaining to the sale and use of alcohol and University policies and regulations.
4) Consumption of alcoholic beverages should not be the main focus of an event.
5) Accurate information about the consumption of alcoholic beverages is available.
6) Treatment is encouraged for the progressive disease of alcoholism.
Today’s students live in a society in which alcohol is widely used and often abused. Attaining legal drinking age does not ensure that individuals will be able to make wise decisions involving alcohol consumption. Northern Kentucky University is committed to providing information in the form of discussions, displays, and programs promoting alcohol awareness and responsible decision-making. Members of the University community will be provided information and planning materials in order to promote positive social activities that do not emphasize the consumption of alcoholic beverages. Furthermore, the University will provide opportunities for learning the skills and developing the attitudes needed to handle alcohol use or non-use in ways that are beneficial to the self and to others.
16.20.2. Regulations Concerning Alcoholic Beverages
1) The possession and/or consumption of alcoholic
beverages on the campus of Northern Kentucky University is prohibited except as permitted by law (KRS 222.202, KRS 244.080, KRS 244.085) and institutional policy stated herein. See paragraph 3 below.2) The possession and/or consumption of alcoholic beverages in Northern Kentucky University residence halls is absolutely prohibited. (See Student Housing Policies, Rules, & Regulations and Housing Agreement Terms and Conditions.)
3) Alcoholic beverages may be served and consumed at official University functions and approved non-University functions in the President’s home and other non-public areas of the NKU campus, as designated by the President, according to the following guidelines:
A) If alcoholic beverages are sold, all applicable sales and local permits must be obtained.
B) Alcoholic beverages shall not be sold or served to anyone under the age of 21.
C) No alcoholic beverages shall be sold or served to an intoxicated and/or disorderly person.
D) Public funds shall not be used to purchase alcoholic beverages.
E) Non-alcoholic beverages must be readily accessible in reasonable quantities and must be presented as appealingly as are the alcoholic beverages.
F) Reasonable quantities of snacks or food are required to be served with alcoholic beverages.
G) The serving of alcoholic beverages at open or cash bars should end no later than one-half hour before the scheduled end of the event.
H) No person under the age of 21 years shall be permitted to sell or to serve alcoholic beverages.
I) No persons authorized to sell or serve alcoholic beverages may consume such beverages while they are so engaged.
4) Alcoholic beverages may be served and consumed at official University events held off-campus according to the following guidelines:
A) All faculty, staff, and students must obey all applicable state and local laws and University regulations pertaining to the sale and use of alcoholic beverages.
B) The sale, serving, and consumption of alcoholic beverages are strictly prohibited except in areas and at times and dates licensed by the Kentucky Alcoholic Beverage Control Board, or similar agencies in other states.
C) Persons under 21 years of age shall not legally possess or consume alcoholic beverages in Kentucky. The furnishing of alcoholic beverages to underage persons is strictly prohibited both by policy of the University and by statute of the Commonwealth. Use of fraudulent identification to procure alcoholic beverages is also prohibited.
D) Adequate alternative beverages and snacks and/or food must be readily available at all functions where alcohol is served.
E) Sponsoring groups and organizations will be responsible for providing security to insure that guests conduct themselves properly and to assist with crowd control.
F) Alcohol shall not be consumed or carried in open containers on any street, sidewalk, alley, or in a motor vehicle.
G) Sponsors of an activity should cease serving alcoholic beverages at least one-half hour prior to the scheduled end of the activity.
H) No persons under the age of 21 years shall be permitted to sell or to serve alcoholic beverages.
I) No persons authorized to sell or serve alcoholic beverages may consume such beverages while they are so engaged.
J) Activity sponsors must examine the identification of all guests entering the activity. Guests under 21 years of age shall not be permitted to drink alcoholic beverages in the Commonwealth of Kentucky. If the activity is located in another state, all applicable state and local laws regarding alcoholic sales, service, and consumption shall prevail.
K) Littering, infringing upon the rights of others, and abuse of public or private property in connection with possession or consumption of alcoholic beverages are considered violations of this policy and of the disciplinary regulations law sections of NKU's Community Standards & Student Rights.
L) Promotion and advertising of events where alcohol will be consumed should not encourage any form of alcohol abuse, nor should events be advertised which place emphasis on quantity and frequency of use of alcohol (e.g., chugging events).
M) Beverage alcohol (kegs, cases of beer, bottles of distilled spirits or wine) should not be provided as awards or prizes to individuals or campus organizations.
N) No alcoholic beverages shall be sold or served to an intoxicated and/or disorderly person.
5) Possible penalties for violation of these regulations include, but are not necessarily limited to, the following:
A) Legal action by individuals or governmental authorities, including possible sanctions or citation or arrest; or
B) University disciplinary action under the NKU's Community Standards & Student Rights, Faculty Policies and Procedures Handbook, Salmon P. Chase College of Law Faculty Handbook, Department Chair/School Director Handbook, or other University policies.
C) In addition to (A). and (B) above, students and/or student organizations may be subject to these penalties:
1) Loss, curtailment, or elimination of student social functions, and notifications to national organizations where applicable.
2) Loss of status as a registered campus organization.
6) Student organizations shall designate one person, perhaps an officer of that organization, to assume responsibility for ensuring that there is knowledge of and compliance with these alcohol policies. It is recommended that this person participate in a special educational program offered by the Office of the Dean of Students.
7) Beer distributors, liquor companies, bars, and nightclubs are not permitted to:
A) Advertise on campus;
B) Co-sponsor an event with a student organization;
C) Advertise on any schedule card, athletic brochure, or press guide, invitation, or other printed material; or
D) Provide advertising for University events presented on radio or television.
8) Northern Kentucky University does not assume responsibility for unofficial events held off campus involving individuals or groups affiliated with the University.
9) Violations of alcohol-related University policies and regulations by any member of the NKU community shall be reported to one of the following University offices:
A) Students: Dean of Students
B) Faculty: Office of the Provost
C) Staff: Department of Human Resources
D) Guests and all others: Department of Public Safety
Edited: 7/2024: Updated terminology for Code of Student Rights and Responsibilities (now called Community Standards & Student Rights)
Related NKU policy: Prohibition of Hazing
In accordance with Kentucky Revised Statutes, Section 164.375, Northern Kentucky University prohibits any action or situation that recklessly or intentionally endangers mental of physical health or involves the forced consumption of liquor or drugs for the purpose of initiation into or affiliation with any organization. Penalties for violation of the above policy shall include, but are not limited to the following:
1) Student violators will be subject to suspension or expulsion from the University or other appropriate disciplinary action in accordance with the Code of Student Rights and Responsibilities.
2) Faculty and staff violators will be subject to possible loss of employment or other appropriate disciplinary action in accordance with the Northern Kentucky University Faculty Policies and Procedures Handbook, Salmon P. Chase College of Law Faculty Handbook, Handbook for Department Chairs/School Directors, and other University policies.
3) Faculty, staff, or student organizations that authorize
actions that violate this policy shall lose University authorization to operate on campus property.
4) Visitors, licensees, and invitees to Northern Kentucky University who violate this policy will be ejected from University property and may be subject to prosecution.
