Academic Staff Handbook



Chapter 5

Research and Teaching








The University of Illinois is dedicated to learning and research and hence is committed to truth and accuracy. Integrity and intellectual honesty in scholarship and scientific investigation are, therefore, of paramount importance. It is the responsibility of the faculty and staff to maintain high ethical standards of professional integrity.

Responsible Professional Conduct: Guidelines for Teaching, Research, and Service

The Faculty Senate has endorsed the following set of guidelines for the campus.

Members of the University of Illinois at Urbana-Champaign campus community are expected to adhere to the highest standards of professional conduct in carrying out their teaching, research, service, and other professional responsibilities. Such conduct is subject to norms and ethical codes that vary somewhat among disciplines, as well as to differing individual perceptions and interpretations; but certain general ethical guidelines reflecting the commitment of the campus to these standards are applicable to all faculty, staff and graduate assistants on the Urbana-Champaign campus.

Some types of conduct, expressly forbidden by University rules and regulations (see, e.g., University of Illinois Policy and Procedures on Academic Integrity in Research and Publication, Policy and Procedures for Addressing Discrimination and Harassment, and University of Illinois Policy on Conflicts of Interest and Commitment), may have severe consequences. Others, not formally proscribed, are nonetheless properly included among the matters to which campus standards of professional conduct apply. Some are addressed in the formalized codes of ethics some disciplines have adopted or are reflected in prevailing practices in various disciplines. Where the University's standards surpass such other norms, it is the University's standards to which members of the campus community are expected to adhere.

The following guidelines relate to activities involved in fulfilling instructional responsibilities, in acquiring and using data in the course of conducting research, in authoring scholarly publications, and in interacting professionally with other individuals on this campus and elsewhere. No set of guidelines can cover all of the kinds of cases to which professional ethical considerations apply. Moreover, the interpretation of specific guidelines in actual situations may be uncertain, and the assessment of complex situations to which a number of different standards and other important considerations apply may be difficult. Those who find themselves faced with such further problems in these areas of academic life should seek the advice and counsel of campus and professional colleagues and appropriate administrators who may be able to offer advice or suggest actions to mitigate the problem.







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Instructional Responsibilities:

Members of academic units have a fundamental obligation to respect the dignity of all students and to foster their intellectual growth and development.

a. Faculty members should explain at the beginning of each course the grading criteria to be used and the requirements for successful completion of the coursework. Such criteria and requirements should be clear and should be applied consistently and fairly.

b. Faculty members should ensure that students are provided feedback and guidance to facilitate their academic progress.

c. Faculty members should acknowledge sources of and observe copyright for materials prepared for course distribution.

d. In any student-faculty collaboration, the intellectual contributions of the student should be fully and appropriately acknowledged.

Handling of Data:

Individuals conducting research are obligated to record and preserve data in a manner that accurately reflects the work done, and that allows appropriate scrutiny and evaluation of those data.

a. Falsification of data, fabrication of data, and unacknowledged appropriation of the data of others are unethical; they are also violations of the University's academic integrity policy.

b. Data (including source materials) should be retained for an appropriate length of time after publication so that they are available for inspection by collaborators or, when appropriate, by other qualified individuals.

c. Data should never be withheld from collaborators except for purposes integral to the project.

d. Individuals conducting research should consider carefully all results, including those that do not fit research expectations.

Authorship, Attribution of Credit, and Other Publication Practices:

Authors should conform to formally promulgated and/or generally observed standards and practices for authorship and attribution of credit in their disciplines.

a. Plagiarism is unethical and is a violation of the University's academic integrity policy.

b. Authorship should be accorded to those who contribute both actively and meaningfully to a study.

c. Authors (including co-authors) have responsibility for their publications and should respond in an appropriate forum to legitimate inquiries about their data, methods, or interpretations.

d. Authors should adhere to the standards and requirements of journals to which they submit manuscripts, particularly with respect to simultaneous submissions and originality of research.

e. Authors should acknowledge funding sources that support their research.

f. Authors should publish only those findings that result from careful consideration of the materials under study and, when appropriate, replication or verification of the study.

g. Authors should present in publications of experimental research sufficient information about methodology to permit others to repeat or extend the work.

Professional Conduct:

Members of the University community must honor contractual obligations in teaching, research, public service, and other professional responsibilities. They






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should further conduct themselves in a professional and collegial manner in all dealings with each other.

a. Members of academic units should provide an environment for professional development of all staff.

b. Individuals assessing the work of others should base their assessments on appropriate professional criteria. Due to the inherent conflicts of interest, no individual should initiate or participate in institutional or educational decisions involving a direct benefit or penalty to a person with whom that individual has or has had a sexual relationship.

c. Members of academic units should seek collegial resolution of professional disputes.

d. Individuals engaged in teaching, research, or public service should respect and abide by legitimate and reasonable requests for confidentiality.

e. Individuals conducting research have an obligation to follow procedures that assure the ethical treatment of human subjects and animals, as well as applicable regulations.

f. Individuals engaged in research and teaching should understand and comply with pertinent regulations for health and safety in the workplace; should see to it that students and collaborators in learning or research projects understand and comply with these regulations; and should work to minimize risks to health and safety in the learning or research environment.

g. Individuals conducting research should spend research monies in ways consistent with the goals stated in contract documents.

h. Individuals conducting research and/or the officials of their administrative units have an obligation to keep clear records of expenditures and to make these records available to appropriate parties.

Academic Misconduct

In addition to the Responsible Conduct guidelines, the University of Illinois Policy and Procedures on Academic Integrity in Research and Publication (www.research. sets forth University-wide procedures for addressing particular instances of unethical conduct in research and publication.

According to the Policy and Procedures, any of the following constitutes academic misconduct:

1. Fabrication or falsification of data, including intentionally misleading, selective, or deliberately false reporting of credentials or other academically related information;

2. Unacknowledged appropriation of the work of others, including plagiarism, the abuse of confidentiality with respect to unpublished materials, or misappropriation of physical materials;

3. Evasion of, or intentional failure after notice by the University of Illinois federal, state, or other appropriate agency to comply with, research regulations or requirements, includingbut not limited tothose applying to human subjects, laboratory animals, new drugs, radioactive materials, genetically altered organisms, and safety; and

4. Other conduct that seriously deviates from accepted ethical standards in scholarship.

Differences of interpretation or judgment, or honest error, do not constitute academic misconduct.






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Procedures in Cases of Suspected Misconduct

If the person whose conduct is in question is an undergraduate student, the matter should proceed according to the Code on Campus Affairs. If the person is a graduate student, it should be handled according to the Bylaws of the Graduate College, which parallels much of the Policy and Procedures. Otherwise, any member of the University community who becomes aware of an apparent instance of academic misconduct relating to research or scholarship is obligated to report the incident or practice to the executive officer (e.g., head of the department or comparable administrator) of the unit concerned or to the campus research standards officer. The research standards officer, unit executive officers, deans, and everyone else involved are charged with protecting the academic reputation and position of anyone who in good faith reports misconduct in scholarship or research.

If the charges are not clearly frivolous or mistaken, the unit executive officer, with the assistance of the research standards officer, promptly brings them to the attention of the dean or comparable administrator (referred to as "dean") to whom the executive reports. The dean, in consultation with the research standards officer and unit executive officer, determines whether there is sufficient evidence of academic misconduct to warrant an inquiry. If so, the dean appoints an inquiry team to conduct a preliminary review as expeditiously as possible. The purpose of an inquiry is to determine whether there is sufficient evidence of academic misconduct to warrant a full-scale investigation. The person whose conduct is in question (the respondent) receives prompt written notice of the appointment of the inquiry team and the nature of the allegations.

After receiving the report from the inquiry team, the vice chancellor for research decidesin consultation with the dean, the unit executive officer, the inquiry team, and the research standards officerwhether the matter should be dropped or a full investigation should be conducted. If the decision is made not to pursue the case further, the research standards officer ensures that all reference to the matter is expunged from the respondent's personnel file. The respondent, the initiator, and anyone informed of the charge are notified in writing of the decision.

If there is sufficient evidence of academic misconduct to warrant a full-scale investigation, the vice chancellor for research appoints a panel of three competent scholars to investigate the matter thoroughly. The respondent is informed in writing of the composition of the panel and the subject matter of the investigation. The investigation panel prepares a report containing findings of fact with respect to each allegation and listing the evidence relevant to each finding. Before making its report, the panel offers the respondent the opportunity to meet with the panel to discuss the case. The respondent may be accompanied by "private legal counsel or another adviser of choice at the meeting with the panel, for the purpose of providing advice to the respondent." (See section IV.E.5.d. of the Policy and Procedures.)

The panel makes its report to the vice chancellor for research and transmits a copy to the respondent. The respondent may comment on the report, in writing, to the vice chancellor for research. The vice chancellor transmits the reports and respondent's comments to the chancellor, who decides on a disposition of the case in consultation with the dean, the vice chancellor for research, and the provost.

If the chancellor concludes that the allegations have not been proven, all written records are sealed, and everyone involved in the case is notified in writing of the disposition.






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If the chancellor concurs with the investigation panel's findings of misconduct, the chancellor proceeds in accordance with the University Statutes and relevant university rules and regulations.

All stages of the investigation up to this time are treated as entirely confidential.

For a complete statement of the policy on academic integrity or for information concerning its interpretation, contact the research standards officer in the Office of the Vice Chancellor for Research (333-5158). A copy of the policy is also located on the Web at


The Office of the Vice Chancellor for Research (OVCR) has policymaking and oversight responsibility for the research mission of the Urbana-Champaign campus. Total research expenditures for UIUC in FY00 exceeded $260 million through more than 3000 sponsored research awards from the federal and state governments and private organizations.

A number of interdisciplinary research and research support units report to the OVCR. These include the Biomedical Magnetic Resonance Facility, the Biotechnology Center, the Center for Advanced Study, the Committee on Natural Areas, the Division of Animal Resources, the National Center for Supercomputing Applications, the Office of Technology Management, the Program on Ancient Technologies and Archaeological Materials, the Sea Grant Program, the Technology Commercialization Laboratory, and the UIUC Research Park, LLC. The State surveys­­State Geological Survey, Illinois Natural History Survey, State Water Survey and the Waste Management and Research Center are also associated with the OVCR.

The OVCR administers several programs that fund research at UIUC. These include the Research Board, the Scholars Travel Fund, and the Critical Research Initiatives Program.

The OVCR is home to the UIUC Institutional Review Board, which is responsible for overseeing all research involving human subjects on the UIUC campus. The OVCR also administers the annual Report of Non-University Activities, which provides a mechanism for oversight of conflicts of commitment and interest for UIUC academic staff, in accordance with the Policy on Conflicts of Commitment and Interest. The Research Standards Officer is appointed by the VCR and is responsible for observance of the Policy and Procedures on Academic Integrity in Research and Publication.

Within the OVCR, intellectual property, technology transfer and academic research policy issues are handled by the Office of Research Administration (ORA) and the Office of Technology Management (OTM).

The principal responsibilities of the ORA are to provide leadership and assistance to the UIUC research community, the Grants and Contracts Office, and corporate and Government sponsors related to drafting, reviewing, negotiating and implementing a wide range of research agreements to facilitate Campus research initiatives. The ORA reviews research agreements for compliance with applicable University intellectual property and academic research policies and practices, as well as consistency with applicable state and federal regulations. The activities of the ORA require close collaboration with the OTM on intellectual property and licensing issues in research agreements, to insure that interactions with industry regarding sponsored research will be consistent with the University's technology transfer objectives.






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The OTM is a service unit focused on management of intellectual property arising from the research activities on the Urbana-Champaign campus. The OTM provides leadership and assistance to the UIUC research community, corporate and government agencies on intellectual property matters. The principal responsibilities of the OTM are valuing, protecting, marketing and licensing UIUC intellectual property and overseeing compliance issues associated with technology transfer. The OTM is also responsible for formulating, implementing and overseeing intellectual property policies and practices that encourage the discovery and development of new knowledge and its transfer for the public benefit.

In order to encourage collaborative efforts between University researchers and industry, the University of Illinois has constructed a Research Park in Urbana-Champaign. The UIUC Research Park, LLC reports to the University through the VCR. The mission of the Research Park is to encourage research, development and commercialization of the University's intellectual assets, and to foster economic growth.

The Research Park and its early-stage technology incubator program are expected to provide new synergy for technology-based economic development in Illinois. In addition, the incubator will provide our faculty and students with the opportunity to benefit from the commercialization of their research, keeping the University of Illinois competitive with other world-class research institutions for the very best talent. The incubator can also be attractive to many established technology firms as a source of new technologies complementary to their primary markets.


The University of Illinois at Urbana-Champaign Research Board provides support for research in response to applications submitted by members of the faculty or academic professional staff. The board is composed of eight to twelve senior scholars appointed by the chancellor for staggered four-year terms. Chaired by the dean of the Graduate College, the board meets biweekly, with alternate meetings serving as allocation sessions.

Research Board grants help to new faculty members who initiate their research on this campus, provide seed money for research programs for which external support is available, support pilot projects, provide modest resources for important research for which external sources of support are not available, help provide matching funds sometimes required by external sponsors, and respond to emergency requests as well as requests to take advantage of unusual research opportunities.

The magnitude and flexibility of internal research support provided by the Research Board have made it a significant asset for enhancing the scholarly distinction of the University. Over the years, the board has also played a role in major research planning and policy development. The board has additional functions, which include reviewing sabbatical leave requests, reviewing of Packard Fellowship nominations, and advising the vice-chancellor for research and the dean of the Graduate College, at their request, on special problems.

The Research Board has three principal funding programs: Research Board awards, Scholar's Travel Fund awards, and Humanities Release Time.







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Research Board Awards

During the past several years, Research Board awards have been mainly in the form of research assistantships, extraordinary supplies and other research expenses, equipment, publication subventions, and travel to research sites. Other types of awards are also eligible for consideration: for example, a special library acquisition that might have important implications for a particular faculty research effort, research initiation awards, various forms of travel support for research activity, expenses associated with special performances and exhibitions, or special forms of released time. The Humanities Release Time Program provides release time to faculty in a restricted number of departments to conduct specific research projects for which their own concentrated effort is the resource most urgently needed. Research Board funding is also provided to the Center for Advanced Study for release time awarded through their Fellows and Associates program.

Examples of support normally not provided by the Research Board include faculty salaries, any full-time appointments, postdoctoral appointments, construction or remodeling costs, and equipment maintenance costs.

Applications are reviewed by all members of the Research Board. In-depth review is provided through a subcommittee structure for five disciplinary areas and through the use of peer reviews, drawn from campus faculty. Key factors in the decisions are merit, impact, potential value to the stature of the University, value for the development of the applicant's potential, quality and productivity of the applicant, appropriateness of the budget, need, and availability of external support.

The deadlines for applications are announced each year and are available on the Web. Normally, these deadlines are set approximately one month before the allocation session. Contact the Research Board Office for additional information (333-0037) or visit the Web site

Scholar's Travel Fund

Limited funds have been set aside by the Research Board for the Scholar's Travel Fund to support domestic and foreign travel to learned societies for the presentation of papers and for the performance or exhibition of creative work. The fund is generally used to assist faculty members in the humanities, mathematics, fine and applied arts, the Library, library science, and social sciences. (Funds for foreign and domestic travel in order to gain access to research materials or resources should be requested from the Research Board's awards program, not from the Scholar's Travel Fund.)

Decisions are influenced by the merit of the applicant's scholarship, the nature of the applicant's participation in the event, the importance of the event, and the value of participation for the scholar and the Urbana-Champaign campus.

Applications should be submitted on the Scholar's Travel Fund form, available from the Research Board, 417 Swanlund Administration Building. Application deadlines are announced annually. For further information, call 3335158 or see the Web site

Research Scholars Program

Recognizing that in a university community there is a large pool of academically trained and talented persons who are members of dual-career couples, the Graduate College, through the Research Board, has initiated a program of






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appointments of academically qualified persons as Research Scholars to permit them to continue research, scholarship, and creative activities in an academic environment. The Research Scholars Program is part of a campus effort to address the problems in recruiting and retaining highly qualified faculty and professional staff members due to limited local professional career opportunities for dual-career couples. This campus-level approach supplements affiliations established by departments, often with the assistance of the school, college, and campus administration. Application materials and further information are available from the Research Board (333-0037) or on the Web at


The University of Illinois at Urbana-Champaign affirms the need for academic freedom in the conduct of research and the value of well-designed, responsible activities that involve human subjects. At the same time, it recognizes its basic responsibility to assure the protection of any human subjects so involved. To this end, it has adopted a policy that applies to any research conducted at or sponsored by the University involving human subjects, regardless of the source of funds supporting the research. The policy applies to research involving living individuals about whom an investigator (whether professional or student) obtains (1) data through intervention or interaction with the individual; or (2) identifiable private information. The policy is applicable whether the research is undertaken on a large or small scale and regardless of funding. Pilot projects, student dissertation projects, independent study projects, and course projects must follow this policy if they involve human subjects in research.

For additional information, copies of the Handbook for Investigators, or review forms, contact the University of Illinois at Urbana-Champaign Institutional Review Board, 417 Swanlund Administration Building (333-2670). Copies of the Handbook, a schedule of review dates, and forms are available on the Web at


Intellectual Property (IP) is a term that encompasses all forms of creativity that are protected either under statutes or by common law. It includes inventions, discoveries, know-how, show-how, processes, unique materials, chemical and biological compounds, copyrightable works, algorithms, software, original data, databases, and other creative or artistic works. Statutes or legislation such as patents, copyrights, trademarks, trade secrets, plant variety protection certificates, data rights, mask works, and others protect the various forms of IP. IP is an asset that could have great intellectual and/or monetary value to the creators of the property, the University, and the State of Illinois. The University is required by state and federal statutes and by virtually all sponsored research agreements with industry, the federal government, the state, and foundations to manage and protect the IP that results from the University's research programs.






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Summary of the University's IP Policies

The primary purpose of the University's IP police is to provide the necessary protection and incentives to encourage both the discovery and development of new knowledge and its transfer for the public benefit. The secondary purpose is to enhance the generation of revenue for the University and the creators. The University is guided by the following objectives:

· To optimize the environment and incentives for research and for the creation of new knowledge at the University;

· To ensure that the educational mission of the University is not compromised;

· To bring technology into practical use for the public benefit as quickly and effectively as possible; and

· To protect the interest of the people of Illinois through a due recovery by the University of its investment in research.

In keeping with academic tradition, unless subject to the following specific exceptions, authors retain all rights to traditional academic copyrightable works, such as lecture notes and textbooks, prepared at their initiative for classroom, educational, or professional purposes. The exceptions to an author claiming all rights to a copyrightable work are: (1) when the University has an agreement with an external party that requires the University to hold or transfer ownership or license rights to the work; (2) when the work is created by an author as a specific requirement of employment or an assigned University duty, (3) when the work is specifically commissioned in writing by the University, or (4) when the work is also patentable. Traditional copyrightable works developed with an unusual commitment or substantial use of University resources over and above those usually and customarily provided shall be owned by the authors; however, the University may retain a license to the copyrightable work. The minimum terms of such license shall grant the University a royalty-free, non-exclusive right to use the original work in its internally administered programs of teaching, research, and public service.

The University owns all other intellectual property (e.g., inventions, technology, software and other copyrightable works) made by a University employee as a result of the employee's duties, or through the use of University resources such as facilities, equipment, funds or funds under the control of, or administered by the University. Even though the University is the owner of such intellectual property, inventors and creators share in the revenue received from its commercialization as specified in the General Rules. Also, for patentable inventions, inventors are always identified on the patent. Consistent with the public service mission of the University's land-grant heritage, the University encourages its faculty and staff to create technology and to stay involved in the process of transferring University technology for use by the public either through publication or commercial licensing. The University follows a policy of licensing technology developed by its faculty, staff, and students or with University resources to the private sector as one avenue for assuring public access to it. The first step in notifying the sponsor of the research or the University that IP has been created is to disclose the technology to the Office of Technology Management. There are two types of disclosure forms: (1) one for copyrightable technology, and (2) for inventions and all other forms of IP. The disclosure forms can be found at www.otm.uiuc. edu/Forms.html






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IP Policy, Guidelines and Additional Resources

As a land-grant university, public availability of its technology is a primary goal of the University of Illinois. The Offices of Technology Management on each campus have the responsibility to protect University IP as well as market and transfer the technology for commercial development and product sales.

The following guidelines and information further explain the transfer of University technologies and are available on the Research and Technology and Management's Office Web site

· The General Rules Concerning University Organization and Procedure ­ Article III Intellectual Property, September 3, 1998

· Guidelines for the Licensing of University Technology ­ November 24, 1998

· Interim Guidelines for Licensing to University Employee Start-Up
CompaniesSeptember 23, 1999

· Intellectual Property Subcommittee's Report on Courseware Development and Distribution ­ Revised May 18, 1999

· Policy on withholding graduate theses from publication to prevent premature disclosure of potentially patentable subject matter.


The Center for Advanced Study was established in 1959 and reports to the Office of the Vice Chancellor for Research. The center is charged with promoting the highest levels of cross-disciplinary scholarship and discourse. Center programs reach throughout the campus and cross virtually every discipline. Programs sponsored by the Center include: Release Time Appointments (Associates and Fellows); Graduate and Undergraduate CAS John Bardeen Scholars; interdisciplinary initiatives as part of its Resident Studies Program; a public events series; visiting scholars and professors program.

In its institutional structure the Center revolves around a small core of permanent professors-now known as the Center for Advanced Study Professors (CAS)-chosen from the faculty for their outstanding scholarship. These appointments are among the highest forms of campus recognition. Center Professors, in turn, select research or creative proposals from the tenured and untenured faculty, who are designated Associates and Fellows, respectively. With the CAS Professors, Associates and Fellows form the core of the Center for Advanced Study community, meeting monthly for informal lunches and scholarly presentations. Associates and Fellows also participate in a yearly roundtable discussion of research interests. Thus each year brings together the established and the innovative in an ever-changing flux of ideas and disciplines.

Honoring the lifetime achievements of Center professor John Bardeen, the CAS John Bardeen Scholars Program grants stipends to undergraduate and graduate students pursuing a research topic, generally related to a current Center initiative.

Year-long initiatives explore topical themes from multiple, interdisciplinary perspectives as part of its Resident Studies Program. Interdisciplinary activities may include focused discussion sessions, a scholarly lecture series, or a weekend symposium. Recent year-long initiatives included: Defining Values for Research and Technology: The University's Changing Role; The New Biology: Issues and Opportunities; The Ethnography of the University of Illinois. CAS Forums on Critical Issues and CAS Dialogues offer more informal venues for topical discussions.






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The George A. Miller Programs attract more than 6,000 people each year who attend the CAS/MillerComm public lecture series. All MillerComm visitors interact with students and faculty in venues beyond the formal lecture. An endowed series-Miller Visiting Professors and Scholars-extends departmental resources, bringing to campus a steady flow of provocative scholars and performing artists for public events and small group meetings.


Gifts and sponsored activities (such as grants and contracts) are solicited and/or accepted for purposes which are consistent with and enhance the teaching, research, public service, and economic development missions of the University.

Gifts are contributions made to the University for which the provider receives no direct benefit and requires nothing in exchange beyond a general assurance that the intent of the contribution will be honored. The University of Illinois Foundation (UIF) exists for the purpose of assisting the University by providing fund raising services and other assistance to attract private gift funds to support University programs. Through an annually renewable service agreement with the University, the UIF performs a variety of functions to solicit, receive, record, and administer private gift funds. The UIF is the primary receiving point for gifts made to the University. Donors should be instructed to direct their gifts to the UIF.

No gift funds may be accepted under terms that require prohibited discrimination or are in conflict with federal or state law or University policy.

Sponsored Activities (Grants and Contracts) are undertaken by the University with support provided by an external entity that expects an outcome that either directly benefits the provider or serves a public purpose. At a minimum, the provider requires the University to report on how the funds were spent and/or what progress has been made in accomplishing the goals of the activity. Sponsored activities are controlled and directed by the University and are conducted within the appropriate department(s) by members of the university staff. The administrative coordination of such programs is under the Campus Research Board, and financial services are provided by the Grants and Contracts Office.

Subject to the approvals described below, faculty members or administrators (in the case of non-instructional units) may submit proposals as Principal Investigators or Project Directors (PI/PD's). Other personnel, including professors emeritus (with zero-time appointments), may do so with the permission of the unit head who must assure that should the individual become unavailable to complete the work proposed, the unit will either accept responsibility for the completion of the project or return funds as provided by sponsor policy or agreement. New University employees whose appointments have not yet started can also submit proposals through the University, with the permission of the unit head.

Before submission to sponsors for consideration, all proposals must have approval from the following:

Campus Department / Unit

This approval confirms that the project can be integrated with the department's/ unit's regular educational, research, or service functions. The unit approves the proposed budget and confirms its commitment to make unit personnel and facilities described in the proposal available for the project should it be awarded, and to administer the award in conformance with the applicable






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terms and conditions. The department/unit is responsible for compliance issues such as: use of human subjects or live vertebrate animals, chemical hazards, biological hazards, patent considerations, consultant payments, potential conflicts of interest, and copyright issues. These issues must be noted on the back of the Proposal Transmittal Form. The department is also responsible for processing payments to subawardees and following close-out procedures for projects.

Schools and Colleges

Schools and colleges may stipulate that they are also to review and approve any proposal originating in their units.

The Grants and Contracts Office

This approval confirms that the proposal budget has been constructed in conformance with university and sponsor policy, that any proposed subawards are reflected properly, that the usage of University facilities and demands upon University resources have been approved, and that proposal administrative information/approvals conform to University, State, and sponsor policies.

The Campus Research Board

After approval by the Campus Department/Unit, School/College, and the Grants and Contracts Office, the Chairperson of the Campus Research Board or designee considers the proposal for final approval.

This approval confirms consideration has been given to those compliance items listed on the Proposal Transmittal Form, including but not limited to policies for conflict of interest and the use of human subjects and animals, and that the campus' interest would be served by the proposed activity. Further, it confirms that all commitments of resources by campus units other than the proposing unit have been formally documented.

A fully approved proposal constitutes the formal offer of the University to carry out the project. The institutional approvals are obtained by having the appropriate official either provide a letter confirming approval, or by the signature affixed on the Proposal Transmittal Form.

All proposals for sponsored activities, regardless of whether funds will be awarded to the University of Illinois or the University of Illinois Foundation, must follow these proposal approval guidelines. (Certain Foundation sponsors, by charter, can award only to particular kinds of non-profit organizations, and are precluded from making awards directly to the University. This is the only circumstance under which a grant can be made to the Foundation.)

Proposals involving such things as construction, development of a new instructional program, international activities, and multi-campus cooperation require additional approvals. For a full description of proposal approval requirements, consult the Project Policies, Procedures, and Guidelines (available at" Sponsored Project Policies, Procedures, and Guidelines (available at


Every spring a special recognition dinner is held to honor the winners of the campus-level awards, as well as the winners of the various college and departmental teaching awards. The campus-level awards include the Campus






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Award for Innovation in Undergraduate Instruction, the Campus Award for Excellence in Advising Undergraduate Students, the Campus Award for Excellence in Graduate and Professional Teaching, the Campus Award for Excellence in Off-Campus Teaching, the Campus Award for Excellence in Guiding Undergraduate Research, the Campus Award for Excellence in Undergraduate Teaching, and the Campus Award for Innovation in Undergraduate Instruction Using Educational Technologies. These awards are described briefly below. Further information about all of these awards may be obtained from departmental offices or from the Office of the Provost and Vice-Chancellor for Academic Affairs (265-0451), or may be found on the awards home page (

Campus Award for Excellence in Undergraduate Teaching

These are the principal campus awards for excellence in undergraduate teaching. Up to thirteen winners will be chosen (five members of the faculty, five graduate teaching assistants, and three members of the instructional staff). Faculty members who are selected will receive $5,000 in cash for their personal use; instructional staff will receive $4,000; and graduate teaching assistants will receive $3,500. Recurring increments of $3,000 will be added to the annual salaries of faculty members, $1,500 will be added to the salaries of instructional staff members, and increments of $1,000 will be added to the stipends of the graduate assistants who are returning to the campus the following year.

Campus Award for Excellence in Graduate and Professional Teaching

Faculty members from academic units with professional and/or graduate instructional programs are eligible for the Campus Award for Excellence in Graduate and Professional Teaching. The award consists of $5,000 in cash for the personal use of the faculty member selected, and a recurring salary increment of $3,000. Up to two winners will be selected to receive this award.

Campus Award for Excellence in Off-Campus Teaching

Faculty members who teach as part of the Academic Outreach credit program are eligible for this award, which consists of $4,000 for personal use and $1,000 provided to the faculty member's department to be used at his/her discretion for improving off-campus instruction and program development.

Campus Award for Innovation in Undergraduate Instruction

The Campus Award for Innovation in Undergraduate Instruction, consisting of $2,000 for the personal use of the faculty member who is selected to receive it, is designed to honor faculty members who have introduced particularly successful innovations into undergraduate instruction. Such innovation may or may not involve use of technology (see also Campus Award for Innovation in Undergraduate Instruction Using Educational Technologies).

Campus Award for Innovation in Undergraduate Instruction Using Educational Technologies

This award, consisting of $2,000 for the personal use of the faculty member who is selected to receive it, is designed to honor faculty members who have introduced particularly successful computing and communication technologies into undergraduate instruction.






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Campus Award for Excellence in Advising Undergraduate Students

These two awardsone for faculty members, one for academic professionalsare designed to foster and reward excellence in undergraduate academic advising. Each consists of $2,000 for the personal use of the faculty member or academic professional selected to receive it.

Campus Award for Excellence in Guiding Undergraduate Research

This award is designed to foster and reward excellence in involving and guiding undergraduate students in scholarly research. The award provides $2,000 for the personal use of the faculty member selected to receive it.

Course Development Awards

The Undergraduate Course Development Awards program is a competitive campus-level program designed to support faculty members in significant undergraduate course development projects. Each award can provide summer salary support and/or additional project costs (e.g., expenses, equipment, assistants, wages) related to the proposal. Normally, project costs in excess of the amount of one month's salary will not be provided.

All faculty and academic staff on regular appointment are eligible to compete for this award, except for those on "T" appointments and those planning to resign immediately after their proposed summer's work. The course development project should be directly related to the individual's current and future role within the unit's teaching program, and should be one which the unit supports as important to its teaching mission. Proposals are reviewed at the departmental and college levels, and then forwarded to the Provost and Vice-Chancellor for Academic Affairs. Faculty members receiving awards will be asked to submit reports on the summer's work the following year.

Incomplete List of Teachers Ranked as Excellent by Their Students

The Incomplete List contains the names of teachers who score well above average on rating questionnaires included in the Instructor and Course Evaluation System (ICES). Questionnaires are administered each semester to students in classes and processed by the Office of Instructional Resources. The list is "incomplete" because teacher involvement is optional. Only those instructors who elect to distribute ICES questionnaires to their students and who agree to release collected information for publication are eligible for inclusion on the list.

The objective portion of ICES questionnaires consists of two general items measuring student satisfaction with the course and instructor and up to twenty-three additional items of a more specific nature selected by the instructor and/or department. At least five enrolled students must complete a questionnaire for the results to be considered for the Incomplete List.

To be included on the Incomplete List, an instructor must have ratings in the upper 30 percent on each of two general items: "Rate the instructor's overall teaching effectiveness" and "Rate the overall quality of this course." The list is published each semester in the Daily Illini just before advance enrollment. For more information, contact the Division of Measurement and Evaluation (333-3490).






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Review of an Instructor's Ability to Communicate Orally in English

All academic departments are to take steps to ensure that all of their instructors are able to communicate orally in English in the classroom. The Code on Campus Affairs contains procedures to follow if students find it difficult to understand an instructor.

English Oral Proficiency of International Teaching Assistants

In an effort to ensure the highest possible quality of undergraduate teaching and to comply with the associated 1987 state law, the Office of the Vice-Chancellor for Academic Affairs has established procedures for assessing, improving, and monitoring the spoken English proficiency of international teaching assistants.

1. Assessing

All graduate students who are nonnative speakers of English and who wish to have appointments as teaching assistants must first satisfy the English proficiency admission requirements of the Graduate College and the employing academic unit, i.e., through the TOEFL. In addition, each individual must demonstrate passage of either the Test of Spoken English (TSE) or its U of I institutional version, SPEAK, by a score of 50 or higher. An appeal process exists for those individuals who fail the SPEAK assessment in the fall, spring, and summer semesters.

2. Improving

The improvement and development program for nonnative speakers of English has two components: (1) All prospective teaching assistants who are nonnative speakers of English and who have passed the TSE or SPEAK are required to attend a week-long Orientation Program for International Teaching Assistants, held prior to the fall and spring semesters; and (2) all prospective teaching assistants who have not passed one of the two tests are required to participate in an approved remedial program prior to retaking the SPEAK.

3. Monitoring

During the first semester that the teaching assistant who is a nonnative speaker of English provides instruction, his or her oral proficiency will be monitored by the appointing academic unit.

For additional information about the oral English proficiency of international teaching assistants, contact the Office of Instructional Resources (333-3370).


Course Numbering and Credit System

Courses numbered 100 to 199 are intended primarily for freshmen and sophomores, although they may also be taken by juniors and seniors. Courses numbered 200 to 299 are intended for undergraduate students who satisfy the published prerequisite(s), if any. In certain instances, 100- and 200-level courses may be taken by graduate students to make up undergraduate






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deficiencies, but they may not be taken for graduate credit. Courses numbered 300 to 399 are intended primarily for juniors, seniors, and professional and graduate students who satisfy published prerequisite(s), if any. These courses are offered for either undergraduate credit (expressed in hours) or graduate credit (expressed in units). Only graduate students may receive graduate credit. Courses numbered 400 to 499 are available for professional and graduate students. In 400-level courses, students register for graduate credit (expressed in units). An undergraduate, exchange, or professional student may not register for a 300- or 400-level course for unit credit, but may register for a 400-level course for hour credit only upon approval of the student's faculty adviser, the instructor offering the course, and the executive officer of the department offering the course.

Credit for undergraduate students is counted in semester hours. A semester hour represents the work of one classroom period for 50 minutes each week through one semester (two periods per week in an eight-week summer session), or the equivalent in laboratory work, fieldwork, or approved independent study. In course descriptions, "three hours" means three hours of credit each semester or summer session.

Credit for graduate students taking courses numbered 300 and above is usually counted in units. One unit is considered the equivalent of four semester hours of credit.

Course Listings and Processing

All course changes must be approved by the Office of the Provost and Vice-Chancellor for Academic Affairs upon the recommendation of the department, the school (if applicable), the college, and (in the case of 300- and 400-level courses) the Graduate College. Approved course changes are incorporat- ed into the Courses catalog, a biennial listing of all courses approved for offering on the Urbana-Champaign campus, and into the Timetable, a listing of courses expected to be offered during a given semester or summer session.

To request a new course, the instructor prepares a Course Outline form, available in departmental offices, and gives it to the departmental executive officer for review, approval, and transmittal through the appropriate administrative levels to the Office of the Provost and Vice-Chancellor for Academic Affairs. Requests for new courses should be submitted to the Office of the Provost at least a semester before the proposed effective date.

A revision in an existing course may involve a change in department, rubric, number, title, description, prerequisites, credit, credit restriction, or cross-listing. A minor revision involving only one of the above changes may be requested in a letter. For a major revision, a new Course Outline form should be prepared by the department and forwarded for appropriate approvals. Before a cross-listed course can be revised or a cross-listing added, the approvals of all departments, schools, and colleges concerned must also be obtained.

To discontinue a course, the department head writes a letter requesting that the course be dropped and sends it through the usual channels (as already outlined).

Undergraduate Open Seminar

199 (Undergraduate Open Seminar) courses are special courses for independent study, for experimentation, or for seminars on topics not treated by regularly scheduled courses. Requests to initiate such a course and sugges






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tions for areas of study may be made by students or faculty members. The seminar may be offered only with the approval of the faculty member involved and the department head. If the enrollment in a particular 199 topic offering has averaged 20 or more in each of two consecutive academic years, the topic may be offered in the third year only if a proposal to establish it as a regular course is submitted in the usual manner.

A student may accumulate an unlimited number of credit hours in 199 courses, but no more than 12 such hours listed on the student's transcript may be counted toward graduation. Exceptions to this rule are made in cases where a larger number of credit hours in 199 courses is an integral part of a formal, college-approved program of study (such as Individual Plans of Study or Unit One).

Home Study Courses

More than 100 correspondence courses in 25 subject areas are offered by the Guided Individual Study Division of the Office of Continuing Education and Public Service. Although this is a nondegree-granting program, up to 60 semester hours of correspondence credit may be applied to a University of Illinois degree. These courses permit individuals to pursue interests, upgrade skills, or earn college credit without the need to attend regularly scheduled classes. An individual can enroll at any time and complete work at his or her own pace within a nine-month period. Courses may generally be taken on a noncredit basis or for undergraduate credit. Further information and/or a catalog may be obtained from the Guided Individual Study Division (333-1321).


The University must reasonably accommodate students' religious beliefs, observances, and practices in regard to the scheduling of the various types of examinations described below. This policy holds only if, within one week of being informed of the examination schedule, the student tells the person responsible for scheduling the examination about the conflict. Any student may appeal an adverse decision by using the grievance procedures outlined in the Code of Policies and Regulations Applying to All Students.

Final Examinations

The following regulations will be applied in the context that the University must reasonably accommodate a student's religious beliefs, observances, and practices in regard to the scheduling of final examinations if the student informs his or her instructor of the conflict within one week after being informed of the examination schedule. A student may appeal an adverse decision. (See Rule 24 of the Code of Policies and Regulations Applying to All Students [].)

All Students

1. Requirement for final examinations: Final examinations will be given during the scheduled final examination period for each course, except in a course that has a character that renders a final examination unnecessary or impracticable. The head or chairperson of the academic department in which the course is offered determines when a final examination is not required.






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2. Change in final examination schedule: The Schedule of Final Examinations for the Institute of Aviation and all colleges (except Law and Veterinary medicine) is prepared and published by the Office of the Academic Facilities Officer. The schedule is found on the World Wide Web Follow the links for Schedules to find the appropriate examination schedule for the semester. Instructors must give final examinations at the time specified in the Schedule of Final Examinations unless a change is approved in advance by the Office of the Vice Chancellor for Academic Affairs. Requests for change should be submitted through the executive officer of the department in which the course is offered and the dean of the appropriate college. Permission will not be granted to those instructors wishing to change final examinations to a time outside the final examination week.

3. Take-home final examinations: If take-home final examinations are assigned, they are to be submitted at the time and date of the regularly scheduled final examination. If instructors wish to depart from this practice, they must follow the procedure for changing the final examination schedule as outlined in the preceding item.

4. A student having more than two consecutive examinations: No student should be required to take more than two consecutive final examinations within a 24-hour period. In a semester, this means that a student taking a final examination at 8:00a.m. and another at 1:30 p.m. on the same day cannot be required to take an examination that same evening. However, the student could be required to take an examination beginning at 8:00a.m. the next day. Similarly, a student having a final examination at 7:00p.m. one day and another at 8:00a.m. the next day cannot be required to take an examination at 1:30p.m. that second day. Any student having more than two consecutive final examinations is entitled to rescheduling as follows if he or she takes the following action no later than the last day of classes:

a) The student must investigate whether a conflict examination is being held at another time for any of the examinations involved. Note: Instructional staff members are urged to announce any conflict final examinations by the last day of classes.

b) If a conflict examination has been scheduled for any of the courses, the student must take one or more of these conflict examinations. If conflict examinations are offered for more than one course, the student must take the conflict for the course that has the largest number of students.

c) If no conflict examinations have been scheduled, the student must contact the instructor of the course having the largest number of students. The contact must be made no later than the last day of classes, and that instructor must provide a makeup examination.

5. Normally in a semester several combined-sections, conflict, and noncombined examinations are given at the same time. As a guide to resolving conflicts, an order of priority has been established within each examination period, and a student should resolve a conflict using the published examination schedules and the following priority guidelines.

a) National and state professional examinations (e.g., CPA, actuarial science, Architecture Registration Examination) take priority over campus final examinations. An instructor must offer a conflict examination to a student scheduled to take a national or state professional examination and a campus final examination at the same time.






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b) A noncombined course examination has precedence over any combined-sections or conflict examination.

c) As between courses on the combined-sections/conflict final examinations schedule, a course in Group (1) has precedence over all other combined-sections/conflict examinations scheduled for that time period; a course in Group (2) has precedence over those in Group (3), and so forth. All courses within a same group have equal priority, and conflicts within a group must be resolved by the instructors and departments involved.

d) A department offering a combined-sections final examination must provide a conflict examination if required to accommodate student conflicts.

Undergraduate Students

6. Undergraduate students must obtain the approval of the dean of their college to defer a final examination. Undergraduate students who must miss a scheduled examination should report this fact to the dean of their college as soon as possible and before the examination period.

7. For satisfactory reasons, students may be "excused" by the dean of their college and examined later by their instructor. (See Rule 72.E of the Code of Policies and Regulations Applying to All Students.) Absence from a final examination for any other cause is reported as a final grade of "absent" in the course and counts as a failure. (See Rule 70 of the Code of Policies and Regulations Applying to All Students.)

Graduate Students

8. Graduate students who are unable to take a final examination at the scheduled time or to complete other requirements of a course must make individual arrangements with the instructor. (See Rule 72.E of the Code of Policies and Regulations Applying to All Students.)

9. Approval of this deferment by the dean of the Graduate College is not required

Special ExaminationsUndergraduate Students Only

Special examinations may be given only in courses taken in residence at the University of Illinois or in University of Illinois correspondence courses in which a failing grade (F, Ab, or NC) has been received. For detailed information concerning special examinations, consult the Code of Policies and Regulations Applying to All Students, Rule 85 (

Evening, Midterm, and Hourly ExaminationsAll Students

The rules governing Evening, Midterm, and Hourly Examinations are found in Rule 83 of the Code of Policies and Regulations Applying to All Students (

Academic Work Report Requirements

Faculty members have the responsibility to provide the University with an individual evaluation of the work of each student in their classes. Final course grades are to be submitted to the departmental office within 72 hours of the end of the final examination in the course. The dean of a college may require progress reports from each instructor for the work of all freshmen, unclassi






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fied students and, if called for, all other students whose work is presumably below a grade of C. Reports of mid-semester grades are required upon the work of all freshmen. They are not entered on the student's permanent University record.


Grading System

Each course has an approved set of grades associated with the course. The approved grade set is established following the normal course approval process within each college. Final approval comes from the Office of the Provost. A complete description of grades and symbols used by the University is found in the Code of Policies and Regulations Applying to All Students, Rules 70 to 72.

Credit-No Credit Option

This option is designed to encourage students to explore areas of academic interest that they might otherwise avoid for fear of poor grades.

The deadlines for electing the credit-no credit option or for returning to a regular grade basis vary by student category. For a complete statement about the credit-no credit option as it pertains to undergraduate, professional, and graduate students, see the Code of Policies and Regulations Applying to All Students, Rule 73.

Grade CorrectionsAll Students

When a student's grade has been incorrectly reported, the instructor may correct the grade with the approval of the executive officer of the department in which the course is offered. (Exception: an Ab grade may be changed to a letter grade only with the additional approval of the dean of the college in which the student was registered at the time the original grade was assigned.) The regular supplemental grade report form is used to report the changed grade; all copies of the form must be submitted to the student's college office.

Grades and Students' Rights to Privacy

Under the Family Educational Rights and Privacy Act of 1974 (FERPA), grades, the University ID Number (UIN), and the Social Security Number (SSN) are part of the student's educational record and may not be released to a third party without the written permission of the student. In particular, instructors must avoid posting grades in any way that allows others to determine the grade, UIN, or SSN of any student.

In general, the campus discourages the posting of grades. If there is no practical alternative, we suggest the following guidelines to remain within the law:

1. Do not display student scores or grades publicly in association with names, Social Security Numbers, UINs, or other personal identifiers. Using a partial SSN or UIN is also forbidden.

2. Do not post a copy of your class list or Final Grade Collection List, even with the names removed. These lists are in alphabetical order.

3. Do ask each student to give you a unique number known only to you and that student.






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4. Do sort your list in numerical order. Displaying the list in alphabetical order allows students to infer other students' identities.

5. Do not put papers or lab reports containing student names and grades in publicly accessible places. In particular, do not put papers into a common box where students must go through everyone else's papers to find their own. Students are not to have access to the scores or grades of others in the class.

Access to a student's record is limited to individuals with a legitimate educational need to know. All other individuals must obtain the student's written consent to access the record.

Alleged Capricious GradingAll Students

Capricious grading, as that term is used herein, constitutes any of the following:

1. The assignment of a grade to a particular student on some basis other than performance in the course;

2. The assignment of a grade to a particular student by resorting to more exacting or demanding standards than were applied to other students registered for the same credit in that course;

3. The assignment of a grade representing a substantial departure from the instructor's previously announced standards.

Specific procedures for dealing with allegations of capricious grading are found in Rule 26 of the Code of Policies and Regulations Applying to All Students (

Registration, Withdrawal, and Absences

Consult the Code of Policies and Regulations Applying to All Students and the current term's Timetable for detailed information on registration, registration of listeners or visitors, changes in undergraduate study programs, withdrawal of undergraduate students from courses, and absences from class. No student shall be allowed to remain in a classroom or laboratory who is not properly registered in the class. Instructors must prohibit attendance until such time as a student's name appears on the class roster.

Class Attendance

Class attendance is expected of all students at the University of Illinois. The University does not have an established policy on excused absences. Instructors should accommodate any student who is absent from class or misses a work assignment for reasons beyond the student's control such as illness, death in the family, or other such emergency. The student must provide an explanation to the instructor and supply supporting evidence as required by the instructor. The student must make arrangements with the instructor to make up missed work expeditiously. The instructor decides when a student's absence becomes excessive and shall report this fact to the student's college dean. The dean of the student's college, in consultation with the instructor, may determine that the student's attendance has become so irregular that the student's scholarship is likely to be impaired so as to make continuation in the course unprofitable. The dean may require the student to withdraw from the course with a grade of W or F. For a complete statement of policy, see rule 34 of the Code of Policies and Regulations Applying to All Students (






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No student shall be allowed to remain in a classroom or laboratory who is not properly registered in the class. Instructors must prohibit attendance until such time as a student's name appears on the class roster. Instructors may establish their own rules concerning class attendance. However, any student who has not attended and who appears on a class roster as of the third week of instruction must be reported to the dean of the student's college. A similar report shall be made upon receipt of the final class roster. If a student who has never attended remains on the grading roster, the instructor shall assign a grade of either F or Ab. No other grade is appropriate in this case.


Textbooks and Teaching Supplies

Information about ordering textbooks and teaching supplies is provided in the Campus Administrative Manual ( Questions and problems concerning textbook orders should be directed to the Textbook Office of the Illini Union Bookstore (244-3741).

Campus Honors Program

The Campus Honors Program (CHP) is a four-year program open to all undergraduates regardless of curricula. Only approximately 125 new students can be admitted to the CHP each year as first-year students. A few additional students, however, may join the program on an off-cycle basis at the beginning of the sophomore year. The program fosters close, collaborative relationships between exceptional students and distinguished faculty members through small, specially developed courses; a faculty mentor system; and a competitive summer grant program for funding student travel and research projects. Faculty members who teach CHP courses can receive summer salaries for new-course development and stipends for courses taught on an overload basis, or their departments can receive funds to hire additional teaching assistants. For additional information, call 244-0922.

Student Field Trips

Student field trips lasting more than one day are to be paid for by the student and not the University. Campus policy permits the payment of transportation charges for student field trips when the trip is completed in one day, starts and ends at the campus, and is required of every student in the class.

Individual Rights in the Classroom

The professor, in the classroom and in conference, should encourage free discussion, inquiry, and expression. Student performance should be evaluated solely on an academic basis, not on the basis of opinions or conduct in matters unrelated to academic standards.

Protection of Freedom of Expression. Students should be free to take reasoned exception to the data or views offered in any course of study and to reserve judgment about matters of opinion, but they are responsible for learning the content of any course of study for which they are enrolled.






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Protection against Improper Academic Evaluation. Students should have protection through orderly procedures against prejudiced or capricious academic evaluation. At the same time, they are responsible for maintaining standards of academic performance established for each course in which they are enrolled.

Protection against Improper Disclosure. Information about student views, beliefs, and political associations that professors acquire in the course of their work as instructors, advisers, and counselors should be considered confidential. Protection against improper disclosure is a serious professional obligation. Judgments of ability and character may be provided under appropriate circumstances, normally with the knowledge or consent of the student.

Orderly Conduct of Classes. The professor is in charge of the orderly conduct of the class and may exclude a student or a visitor who does not comply with a reasonable request in this regard.

Academic Integrity - All Students

The University has the responsibility for maintaining academic integrity to guard the quality of scholarship on the University's campus and to protect those who depend upon the University's knowledge and integrity. It is the responsibility of the student to refrain from academic dishonesty, to refrain from conduct that may lead to suspicion of academic dishonesty, and to refrain from conduct that aids others in academic dishonesty.

Specific definitions of academic dishonesty and its penalties can be found in the Code of Policies and Regulations Applying to All Students.







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