|
|
|
 |
Chapter 4: University Policies
4.1 Faculty Conflict of Interest PolicyFaculty members are public officials whose professional activities may create situations in which their private or personal interests are potentially in opposition to their official responsibilities. A faculty member must be sensitive to the potential for conflict of interest situations and act in a manner to minimize their effects. As a matter of state law and University policy, it is the responsibility of faculty members to avoid being in a position of authority over a spouse or a member of the immediate family who also is employed by the University (for specific details, see the University's Financial and Administrative Policies Manual and Code of Virginia 2.1-639.6). A faculty member and his or her spouse or another member of the immediate family may both be employed by the University, so long as the faculty member does not exercise any control over the employment conditions and activities (such as initial appointment, retention, promotion, tenure, salary, leave of absence, grievance advantage) of the spouse or relative and is not in a position to influence those activities. Furthermore, the state and local government Conflict of Interests Act permits dual employment of spouses or other immediate family members, in the following limited circumstances: (a) if both the employee and the family member are in teaching, research, or administrative support positions; As a matter of sound judgment and professional ethics, faculty members have a responsibility to avoid any apparent or actual conflict between their professional responsibilities and personal interests in terms of their dealings or relationships with students. It is the responsibility of faculty members to avoid being placed in a position of authority - by virtue of their specific teaching, research, or administrative assignments - over their spouses or other immediate family members who are students at the University. It is also the responsibility of faculty members to avoid engaging in sexual relationships with or making sexual overtures to students over whom they are in a position of authority by virtue of their specific teaching, research, or administrative assignments. In this context, the term "faculty members" broadly includes all full-time and part-time University personnel who hold positions on the academic or general faculty, as well as all graduate teaching assistants, graders, and coaches. These professional constraints derive from AAUP ethical standards and the University's policy prohibiting conflict of interests, in order to ensure that the evaluation of students is conducted fairly and without any perception of favoritism or bias. Perhaps less obvious, but equally compelling, is the interest in avoiding potential harm to students as well as the liability that could occur, for example, if facts regarding a sexual relationship or sexual overture are demonstrated that support a legal claim of sexual harassment by either party (see the Preventing and Addressing Discrimination and Harassment Policy). The Conflict of Interests Act contains other pertinent provisions. For example, a University employee may be allowed to have a contract with another state agency if the contract is awarded through a competitive process and the employee discloses the employee's personal interest in such a contract to the administrative head of that agency. Except under extraordinary circumstances, the University does not buy goods or services from faculty or staff members. Should an occasion arise where such a purchase appears to be in the best interest of the University, the department should contact the director of Purchasing and Materials Services. An employee is prohibited from soliciting or accepting money or any other thing of value for performing official duties, except the compensation or expenses paid by the University. Under the Act, an employee of the University may not use for his or her own economic benefit confidential information not available to the public and acquired by reason of his/her position. In accordance with the Act and the Ethics in Public Contracting section of the Virginia Public Procurement Act, University employees must not accept personal gifts of any kind, including food and beverages, travel, and tickets to sporting and cultural events, from firms with which the University does business. Gifts of goods or services to the University or to an employee cannot influence the selection of a vendor to provide goods or services to the University. Offers of incentives, free goods and services, gifts, and coupons should be reported to the director of Purchasing and Materials Services. Failure to abide by the conflict of interest principles described above can have serious consequences. Violations of the employment-based restrictions contained in the State Conflict of Interests Act may lead to civil - and if willful, criminal - penalties, as well as termination from state employment. Breaches of professional ethics standards (e.g., an abuse of the faculty member's authority over students) may also prompt disciplinary action. Moreover, serious misconduct associated with sexual harassment raises the risk, under federal law and state policy, of personal responsibility in terms of both litigation defense and liability exposure. A deliberate action to obtain an unauthorized personal benefit is a fraudulent transaction. This might include misappropriation of cash or property, unauthorized use of University property, unauthorized use of University employees to perform non-University business, or use of the University telephone system for personal long distance telephone calls. Deans and department chairs are responsible for reporting any fraudulent transactions to the University Police and the Audit Department. The website of the Office of the Vice President for Research offers detailed information regarding objectivity in research, including explanations of what constitutes a conflict of interest.4.2 Classified ResearchThe University will not approve classified research projects for which the identity of the sponsor and the general nature of the research cannot be revealed to the public. It is the responsibility of a scholar to reveal in publications and presentations of research results the identity of the sponsors of that research. The University places no restriction on the nature of the activities of its faculty as private consultants, except that such activities must conform to the University policy on Consulting by Faculty of the University of Virginia. Research and Scholarship CommitteeThe Research and Scholarship Committee consists of 12 members with four appointed by the Executive Council each year. The committee is broadly representative of the University's research interests. Among the functions of the Research and Scholarship Committee are to: Be an advocate for all research and scholarship. While it is likely that the committee will address a number of issues, such as indirect costs and conflicts of interest, the primary concern is sponsored research; and Participate in the development and review of research-related policies. ResponsibilityThe Vice President for Research and Graduate Studies shall annually inform the University community of the classified research projects the University sponsors. The information provided shall include the general nature of the research being conducted, the sponsor and the funding level.4.3 Patent PolicyThe policy of the University of Virginia is to consider and, where appropriate, assist in the patenting and commercial development of discoveries or inventions which are the product of University research. Any person who may be engaged in University research shall be required to execute a patent agreement with the University in which the rights and obligations of both parties are defined. The Vice President for Research and Graduate Studies shall: Develop standards and procedures appropriate for the implementation of this policy; Obtain, maintain, and insure compliance with signed patent agreements between the University and each researcher, and between the researcher and a sponsor agency as required by the terms of a grant or contract; Judge whether an invention or discovery is the product of University research; Determine whether the University should claim equity in the patenting of an invention or discovery which is the product of University research, or whether all rights should be waived in favor of the inventor. (In the latter case, the inventor should be informed in writing by the Vice President for Research and Public Service that the University relinquishes all claims to the invention or discovery; Take appropriate steps on behalf of the University for patenting and/or marketing of an invention or discovery in which the University has an equity; Administer the royalties accruing to the University as a result of the implementation of this policy; Establish guidelines for use of royalties accruing to the University as a result of the implementation of this policy. Decisions regarding the University's rights to an invention shall be made within a reasonable time so that an inventor's options are not compromised unnecessarily. In general, the inventor(s) will receive from any product of University research a portion of the gross royalties, license fees, or other income which accrues. The inventor(s) may elect to have any part of this amount assigned to the University for support of research by the inventor(s). This provision will continue as long as income is received from the project, and it will be continued according to law in the event of the death of the inventor(s). Such royalties will be shared in accordance with the distribution specified in the disclosure. An institutional agreement between the University and an outside patent management firm, such as the University of Virginia Patent Foundation, will specify a distribution of royalties and other income. Sums received by the Patent Foundation in excess of their annual budgeted operating costs will be transferred to the University for distribution. 4.4 The Copyright PolicyThis policy governs the respective ownership rights of the University and its employees in copyrightable material produced within the scope of employment. The University asserts its ownership interest in copyrightable works if significant University resources (including sponsor-provided resources) are used in the creation of the work and: (a) the work generates royalty payments; or (b) the work is of commercial value that can be realized by University marketing efforts. In such cases, the University will share royalties with the author(s). The University share of royalties from copyrightable works will be used by the Vice President for Research and Graduate Studies to support research, teaching and scholarly activities. In cases where the provisions of this policy state that the University cedes copyright ownership to the author(s), it is the intention that such ownership will be ceded to the author(s) by operation of this policy without further action by the University. Employee OwnershipThe employee owns the rights to any work created at his or her own initiative and outside the scope, time and place of employment. The University cedes copyright ownership to the author(s) of scholarly and academic works (such as journal articles, books and papers) created by academic and research faculty who use generally available University resources. However, the University asserts its right of copyright ownership if significant University resources (including sponsor-provided funds) are used in the creation of such works, and: (a) the work generates royalty payments; or (b) the work is of commercial value that can be realized by University marketing efforts. Use of the University’s name in connection with the commercialization of a faculty work must be approved in advance by the University. University OwnershipBy operation of the copyright law, the University owns in the name of The Rector and Visitors of the University of Virginia (the University’s corporate name) all rights, title and interest in copyrightable works created by University employees while acting within the scope of their employment. The University cedes copyright ownership to the author(s) of scholarly and academic works (such as journal articles, books and papers) created by academic and research faculty who use generally available University resources. However, the University asserts its right of copyright ownership if significant University resources (including sponsor-provided funds) are used in the creation of such works, and: (a) the work generates royalty payments; or (b) the work is of commercial value that can be realized by University marketing efforts. Even in cases where the University retains copyright ownership under this policy, it may cede such ownership to the work’s author(s) by written agreement signed by the Vice President for Research and Graduate Studies and approved by the appropriate Provost. The University retains a non-exclusive, royalty-free right to use for non-commercial purposes works produced by its employees while acting within the scope of employment even if copyright ownership is ceded to the author(s). The University may assign its copyright ownership for purposes of commercialization to licensees, publishers or other parties. Sponsors and ContractsWhen under the terms of a contract with the University, a sponsor obtains copyright ownership in any copyrightable work that may result from the sponsored effort, that contract takes precedence over this policy. If the sponsor does not assert an ownership interest, copyright ownership is vested with the University as provided in this policy. ResponsibilitiesVice President for ResearchThe Vice President for Research and Graduate Studies is responsible for the implementation and administration of this copyright policy and for securing and marketing copyrights in the University’s name and shall:
The Vice President and ProvostThe Vice President and Provost of the University shall:
4.5 Copying of Copyrighted MaterialThe University has provided notices to departments of possible copyright infringements. The notices must be placed on all copying machines, microfilm readers/printers, and computer terminals accessing copyrighted materials. The Chief Contracting Officer has assumed responsibility for advising departments of the copyright restrictions when new copying machines are received. Copies of the applicable sections of Title 17 of the U. S. Code and Congressional committee guidelines are on reserve in University libraries around the Grounds to provide detail for all interested parties. Heads of departments owning or renting copiers independently of Printing Services are responsible for posting copyright notices on or near all copying machines. Reasonable measures also should be taken by such department heads to either monitor the use of OR restrict access to copying machines. Copyright infringement occurring on departmental copiers could result in the department heads and/or the University being held liable. The copyright law does not, however, impose liability for copyright infringement upon a library or archives or its employees for the unsupervised use of copiers located on its premises provided a warning notice is posted. To prevent infringements, it is University policy to purchase copyrighted works rather than photocopy them. It is also policy to encourage faculty members to exercise good judgment in serving the student's best interest efficiently. All University employees are asked to comply with these copying guidelines. All copyright users are also instructed to obtain permission to reproduce the copyrighted material when legally necessary. Individuals seeking advice on copyright infringements should initially seek counsel from a private attorney.4.6 Computing PoliciesEveryone within the University of Virginia community who uses University computing and communication facilities has the responsibility to use them in an ethical, professional, and legal manner. Policies governing the use of information technology at the University are maintained by Information Technology and Services (ITS).4.7 Solicitation and Acceptance of GiftsFor the purposes of this policy, the term "gifts" refers exclusively to private gifts (even though such gifts are often termed "grants" by corporations and foundations). These gifts are outright contributions received from private sources in which no goods or services are expected, implied or forthcoming for the donor and in which no proprietary interests are to be retained by the donor. The Office of University Development is responsible for maintaining and increasing strong private financial support for the University. It is staffed to advise and assist schools, departments, or University-related foundations in order to improve their success in securing greater private support through utilization of its services. Office staff for the Senior Vice President for Development and Public Affairs is also available to consult with prospective donors or their representatives concerning gifts or bequests. The Development Office is the general clearing house for all fundraising activities throughout the University. It shall function as adviser to the President on matters relating to the solicitation and acceptance of private funds, and shall provide the President with information concerning prospects for major gifts from private sources. Since many alumni and friends, corporations and foundations, and other private charitable organizations have special relationships with the University, the Development Office has the responsibility of coordinating fundraising efforts which involve these sources of support. In addition, the Development Office is charged with the responsibility of reporting regularly to The Board of Visitors the total gifts and bequests from private sources made to the University either directly or through one of the University-related foundations.4.8 ConsultingThe University of Virginia permits faculty to consult for agencies outside of the University and, under exceptional circumstances, to receive supplemental compensation for responsibilities assumed on an overload basis within the University. Consulting shall be construed in the broad sense as outside professional activities in which the faculty engage for compensation. Permissible external consulting or internal overload responsibilities undertaken for supplemental compensation may not jeopardize the ability of the individual to fulfill the obligations which he or she has assumed by accepting an appointment to the faculty. Faculty may not earn overload compensation for teaching in Summer Session. Deans and External ConsultingExternal consulting will be undertaken only to further the professional development of the individual in a way which will enhance his or her contribution to the University of Virginia. Public service or activities in professional organizations which are directly related to a University appointment, as determined by the appropriate academic dean, are considered a normal part of the responsibilities of a faculty member and are not accountable against the permissible consulting privilege.Internal Overload Responsibilities Undertaken for Supplemental CompensationInternal overload responsibilities undertaken for supplemental compensation may be assumed only when the intended task is clearly outside the normal responsibilities of the individual as determined by the appropriate academic dean; when the conduct of the task is clearly in the best interest of the University; when the individual is eminently qualified to undertake the task; and with the understanding that such an internal overload is included within the time limits of the policy. Continuing projects occupying an identifiable amount of time over the duration of a semester or more should be arranged on a released time basis. Only a task or series of tasks which do not fit into such a time period can be considered for internal overload payments. Examples would be short workshops for which remuneration is received. All internal overload commitments which are undertaken for supplemental compensation require prior approval by the appropriate academic dean. In addition, when such commitments will comprise more than one-half of the total permissible consulting privilege of the faculty member, the prior approval of the Provost is also necessary.Extent of the Consulting PrivilegesFor a full-time faculty member the extent of external consulting and internal overload responsibilities undertaken for supplemental compensation may not exceed an average of one day in seven during the period of his or her academic appointment (e.g., 9 months or 12 months). Eligibility of Administrative Faculty for Consulting PrivilegesMembers of the faculty who also hold administrative assignments may undertake external consulting or internal overload responsibilities for supplemental compensation only with the approval of their dean, or, in the case of the dean of a school, the Provost. If a greater percentage of the assignment is devoted to administrative than to academic responsibilities, both the dean and the Provost should grant prior approval to the individual. School of Continuing and Professional StudiesBecause the School of Continuing and Professional Studies is the primary extension from Charlottesville of the University, and the participation of the University faculty through the School of Continuing and Professional Studies is desirable and extensive, additional guidelines for such participation are provided. Activities undertaken through the School of Continuing and Professional Studies are considered as either external consulting or internal overload commitments, and as such must receive prior approval in every instance. For a faculty member this approval is required from the appropriate chairman and school dean; in the case of a dean, the Provost. The activities are considered a portion of and subject to the permissible limitation on external consulting and internal overload responsibilities undertaken for supplemental compensation. For faculty holding full-time academic year appointments, a three-hour course for one semester in the School of Continuing and Professional Studies is considered the equivalent of 14 days of the total privilege for external consulting and internal overload responsibilities undertaken for compensation. Implementation of the PolicyThe primary responsibility for implementation of and accountability under the Policy shall rest with the Provost, working through the deans of the schools. Supplemental compensation for internal overload commitments requires the additional approval of the University Comptroller. Appropriate administrative procedures will be provided by the Provost and the Comptroller. The Policy defines the permissible outside limits for external consulting and internal overload commitments undertaken for compensation. More restrictive regulations may be defined by individual schools, subject to approval of the Provost. 4.9 Political ActivityFaculty members are entitled to engage freely in political activity consistent with obligations as a teachers and scholars. The political positions assumed by members of the faculty are personal ones, and faculty members must ensure that they do not necessarily, nor even inferentially, imply that such positions are endorsed by the University. For this reason, a faculty member should avoid expressing such political positions on University letterhead. Many kinds of political activity are consistent with effective public service and the University encourages such service. Some activities may involve so much time as to affect adversely the faculty member's ability to perform expected academic responsibilities. In that situation a faculty member should seek a leave of absence. The deans and vice presidents are responsible for determining whether a given kind of public service will require modification of a faculty member's full-time employment status or will require some form of leave of absence. Such a leave of absence, should it be required, shall not affect unfavorably the tenure status of a faculty member.4.10 Communicating with Governmental OfficialsAll employees (i.e., faculty, classified and University staff, professional research staff, Medical Center employees, employees at the University of Virginia’s College at Wise) are free to communicate with members of the General Assembly, Congress, executive and legislative branch agencies, or other elected officials, but in doing so they must clearly distinguish their personal opinions from the positions and policies of the University. It is the affirmative responsibility of faculty and staff members not to represent their personal opinions as positions or policies of the University, unless the president has specifically authorized them to do so. University employees should use neither University letterhead nor electronic mail sent through University mail servers to communicate their personal opinions or positions. State law and directives from the Office of the Governor require the University to designate official spokespersons to communicate its positions to the General Assembly and to coordinate its legislative proposals through the governor’s secretaries. The University president and his or her designated vice presidents are authorized spokespersons. The director of state governmental relations oversees state legislative relations. This official coordinates all presentations to legislators, legislative committees and letters and electronic communications to elected officials in behalf of the University. The director coordinates relations with State agencies and works closely with the vice presidents involved. This activity often involves deans, departmental chairs and faculty members. Communications with local government officials and agencies must be coordinated with the executive vice president. The president is responsible for developing all University positions on federal legislation and regulations and for coordinating Public Affairs with Congress, congressional staff, and executive and legislative branch agencies. Faculty solicitations for federal funding must be made through procedures approved by the vice president for research, and these solicitations and submissions of proposals should be consistent with University policy and procedures—particularly in the case of research funding requests. Faculty and staff members are responsible for informing the Office of the President if they are to testify before the General Assembly or Congress and must note that their testimonies represent personal opinions, unless otherwise authorized by the president. 4.11 Press and External CommunicationsThe University of Virginia, as a public institution, makes every effort to communicate its activities openly to the public, principally through the press and other mass media. These communication efforts are in support of the University's overall mission and goals established by the Board of Visitors. The Office of Public Affairs is charged by the president with institutional external and internal communication and has overall responsibility for the University's compliance with the Virginia Freedom of Information Act. Faculty members are, of course, free to communicate with the media as private citizens or regarding their own scholarship and teaching. Where the press contact involves institution-wide policy and position - including governmental relations issues - the response is coordinated through Public Affairs. 4.12 Use of University ResourcesThe University uses its resources to facilitate the achievement of its institutional purpose. For no other purpose does the University own buildings and equipment, and for no other purpose should it create and implement new nonacademic programs and services. It is recognized that in carrying out its educational mission, it is often necessary for the University and its affiliated units to provide, for fees, goods and services which enhance, promote, or support its education, research, public service, and support functions. It may also be necessary for the University to provide to the public certain goods or services that cannot reasonably be provided by anyone else. At the same time, the University is cognizant that when it provides goods and services for fees, it may be competing with local private businesses. The University strives to reduce this competition. To assure that University resources are used solely to promote its educational mission, the following policies and guidelines have been established. These policies and guidelines are intended to ensure that extracurricular use of the physical facilities of the University is responsible and consistent with the mission of the University. According to the Governor's Executive Order 2-93, this policy also addresses the issue of the use of University facilities by recognized state employee associations. See applicable section(s) below.GeneralThe following policies apply to all extracurricular uses of all University property, unless a specific exception is noted. Facilities normally closed to extracurricular activities because of their function as well as locked buildings, classrooms, or other facilities are exempted from these policies. The University Scheduling Committee is authorized to administer and interpret these general policies. Its decisions may be appealed to the President who may designate another person to consider the appeal on a case-by-case basis. Use of University FacilitiesThese policies and guidelines are intended to ensure that extracurricular use of the physical facilities of the University is responsible and consistent with the mission of the University. The following policies apply to all extracurricular uses of all University property, unless a specific exception is noted. Facilities normally closed to extracurricular activities because of their function as well as locked buildings, classrooms or other facilities are excepted from these policies. The Vice President for Student Affairs or his/her designee is authorized to administer and interpret these general policies.Who May Use University SpaceUniversity space may be used by any University group and in some cases by University individuals. For more information, contact the Reservations Office on the fourth floor of Newcomb Hall, telephone (434)942-3203. University space may be used by non-University groups in accordance with these policies and guidelines as long as the group is sponsored by a University group and executes a use of space agreement. The space agreement contains both an indemnification provision holding harmless the University and its officers and employees, and restrictions for use of space consistent with University policies. University individuals may not act as sponsors of non-University groups for the purpose of using University space. University facilities may be used-subject to these procedures and guidelines and other space restrictions-for religious purposes by University students, groups of students, student organizations, faculty members, or staff members. This provision does not apply to University Hall or the Chapel, where special rules apply. Unless otherwise notified, guests of students and other visitors to the University are welcome on the Grounds but are not entitled to use those facilities or to attend those events which are limited to students by reason of their payment of tuition or fees or which are limited to faculty and staff members by reason of employment.Permitted UsesUniversity space must be used in a manner which is in keeping with the goals of the University and does not violate University policies and procedures.
Admission may be charged for events sponsored by University groups. Admission may not be charged for events sponsored by University individuals, nor may admission fees be collected for events held at the Rotunda. For purposes of the extracurricular use of University property, the proceeds from collections made at events held in University facilities are considered to be admission charges. Any income-generating use of University space that is in competition with private enterprise or is not directly related to the University's mission is not permitted unless the University's Services and Activities procedures have been followed. Building supervisors may develop use guidelines for their assigned facilities in order to maintain safety and to insure the normal operation of the facility. A person or group may seek clarification and/or interpretation of such use guidelines from the facility supervisor designated for the building.General Guidelines on Conduct During Permitted Use
|
|
Maintained by: |