16. Faculty and University Policies

16.1. General 

16.1.1. Introduction

The policies that appear in this Handbook are those ordinarily published in a faculty handbook and are representative policies. They are not intended to be all-inclusive.

16.1.2. Faculty and University Policies

It is the responsibility of every faculty member to know the various policies of the University as set forth in this Handbook and in other recognized sources of University policy. Additional policies will be adopted from time to time that also require faculty participation or compliance, such as policies set forth in the Norse Student Handbook and Community Standards & Student Rights, including the grade appeal and sexual harassment policies. It is the responsibility of the division that generates a new policy to notify all those to whom it applies.  A complete repository of university policies is available at https://inside.nku.edu/policy.html. The official copy of the Faculty Handbook is maintained on the website of the Provost and Executive Vice President for Academic Affairs (https://www.nku.edu/academicaffairs.html). Faculty appointment letters will contain the links to the current Faculty Handbook and Student Handbook.

Related NKU policies: NKU policy website; Community Standards & Student Rights; Norse Student Handbook

Edited: 7/2024: Updated terminology for Student Handbook (now called Norse Student Handbook) and Code of Student Rights and Responsibilities (now called Community Standards & Student Rights)

16.1.3. Legal Defense and Indemnification/Notice Requirement

Article IV of the Bylaws of the Northern Kentucky University Board of Regents provides in the proper case that a faculty member “be afforded a legal defense and indemnification for any acts or actions taken in good faith and within the scope of his/her official duties while on the official business of the University.”  (See Article IV, Bylaws of the Board of Regents of Northern Kentucky University, in Appendix B of this Handbook. Article IV also includes requirements for timely notification by the faculty member.) However, faculty are cautioned that conduct that is determined to be not within the scope of employment is not within the protection of that Bylaw.

Related NKU document: Bylaws of the NKU Board of Regents

16.2. Professional Ethics and Responsibilities

16.2.1. Introduction

The professor, guided by a deep conviction of the worth and dignity of the advancement of knowledge, recognizes the special responsibilities placed upon them. The primary responsibility to the faculty member’s discipline is to seek and to state the truth as they see it. To this end, the professor devotes energies to developing and improving scholarly competence. The faculty member accepts the obligation to exercise critical self-discipline and judgment in using, extending, and transmitting knowledge as well as to practice intellectual honesty. Although subsidiary interests may be followed, these interests must never seriously hamper or compromise the faculty member’s freedom of inquiry.

As a teacher, the professor encourages in students the free pursuit of learning. The professor holds before students the best scholarly standards of the particular discipline. The professor demonstrates respect for the student as an individual, adheres to the proper role as an intellectual guide and counselor, makes every reasonable effort to foster honest academic conduct, and assures that the evaluation of students reflects their true merit. The faculty member respects the confidential nature of the relationship between professor and student. They avoid any exploitation of students for private advantage, acknowledge significant assistance from students, and protect students’ right to hold and support dissenting viewpoints in matters of opinion.

As a colleague, the professor has obligations deriving from common membership in the community of scholars. They respect and defend the free inquiry of their associates. In the exchange of criticism and ideas the professor shows due respect for the opinions of others. The professor acknowledges academic debts and strives to be objective in professional judgment of colleagues. The faculty member accepts their share of responsibilities for the governance of the University.

As a member of the University, the professor seeks above all to be an effective teacher and scholar. Although the faculty member observes the stated regulations of the University, provided they do not contravene academic freedom, the faculty member maintains a right to criticize and seek revision. The professor determines the amount and character of their work done outside the University with due regard to their paramount responsibilities within it and in accordance with the requirements set forth in Section 16.4 “Polices and Expectations for Outside Activities”. When considering the interruption or termination of the services they provide to the University, the professor recognizes the effect of that decision upon the program of the University and gives due written notice of these intentions.

As a member of the community, the professor has the rights and obligations of any person under the laws of the United States and the Commonwealth of Kentucky. The professor measures the urgency of these obligations in the light of their responsibilities to their discipline, students, profession, and to the University. When the professor speaks or acts as a private person, they avoid creating the impression of speaking or acting for the University. As a person engaged in a profession that depends upon freedom for its health and integrity, the professor has a particular obligation to promote conditions of free inquiry and to further public understanding of academic freedom.

Related Resource: American Association of University Professors (AAUP) Statement on Professional Ethics

16.2.2. Professional Obligations

The primary professional obligation of a professor is to be an effective teacher and scholar. Other specific obligations of a faculty member in abiding by professional standards include, but are not limited to, the following.

16.2.2.1. Obligations to Students

• Providing a syllabus for each course taught in accordance with the guidelines for syllabi contained in the Code of Student Rights and Responsibilities;
• Meeting classes as scheduled;
• Adhering to posted office hours as prescribed by departmental policies;
• Being available to advise, counsel, and/or assist students;
• Meeting the final examination schedule; 
• Refraining from coercing students into enrolling for courses.

Related NKU policies: Final Exam Schedule; Code of Student Rights and Responsibilities 

16.2.2.2. Obligations to Colleagues and the University

• Defending and respecting academic freedom and respecting the opinions of others;
• Exercising responsibility for the governance of the University, including service on University and departmental/school committees and attendance at departmental/school and University-wide meetings;
• Keeping abreast of published policies and procedures, especially as they apply to promotion in rank and to tenure.

16.2.2.3. Obligations to the Community

• Promoting conditions of free inquiry and furthering public understanding of academic freedom;
• Assisting the University in meeting its community-service mission.

Violation of the professional ethics described in this Handbook and in NKU’s Values and Ethical Responsibilities policy will subject a faculty member to disciplinary action. Alleged violations that are unresolved by informal means will be referred to the University peer review committees (see Section 14.2.4 “Peer Review Advisory Committee” and Section 14.2.5 “Peer Review Hearing Committee”). Upon completion of an investigation by the peer review committees, the report will be forwarded to the appropriate dean. Disciplinary action may include, but is not limited to  a warning, a reprimand, probation, or dismissal. Probation and dismissal actions shall be in accordance with due process and existing policies and procedures pertinent to such issues as described in this Handbook.

Related NKU policy: Values & Ethical Responsibilities

16.3 Academic Freedom

Northern Kentucky University strongly adheres to the long-standing tradition and practice of academic freedom. In order for the University to fulfill its mission and be of service to society, the recognition of the free search for truth and its free expression is paramount. The University has an obligation to recognize and protect freedom of inquiry, teaching, and research in all facets of the academic community. The right of academic freedom will be the right of every faculty member.

The University recognizes that all faculty members are private persons and members of their respective learned professions. When they speak or write as private persons, they have the same rights and obligations as other private persons. Although faculty members are free, in public activities and statements, to identify their University affiliation, they have special obligations to be accurate, prudent, and respectful of others so that no false impression of University sponsorship or endorsement is created.

While the University will vigorously defend the concept of academic freedom, no special immunity from the law will be sought for administrators, faculty, students, or staff. The University does not, however, assume the authority of prosecutor or judge of criminal or civil misconduct that is beyond the jurisdiction of the University or that is not directly related to legitimate University interests. That is the prerogative and duty of appropriate law enforcement agencies and the courts.

If anyone at the University violates the law, that person is subject to the penalties of the law as are all other persons. In general, the University will not impose administrative sanctions for acts that violate the law beyond the civil or criminal penalties imposed by the appropriate law enforcement agency or court. However, some acts that violate the law are also acts that endanger the physical or emotional safety and well being of students, faculty, other members of the University community, or visitors, or are acts that endanger the safety of University property; persons who commit these acts may also be subject to appropriate University sanctions, consistent with due process.

The University recognizes the need for all parties charged with the responsibility of allocating University resources (money, space, personnel, equipment, library resources, etc.) to make such decisions in a fair and unbiased manner, consistent with established University priorities. Resource allocations made with punitive motivations against an academic unit or individual faculty member for positions taken in controversies within or outside the academic community will be considered unauthorized and incompatible with academic freedom. The University will not condone or support such a decision and will make every reasonable effort to correct any inequity that such a decision produces. 

Related NKU policy: Values & Ethical Responsibilities

16.4. Policies and Expectations for Outside Activities

Northern Kentucky University recognizes that faculty are sometimes called upon by outside agencies, professional groups, and industries to provide consulting and other professional activities. Faculty are uniquely qualified to assist in meeting a variety of society’s needs by way of sharing their knowledge and expertise outside the University. However, a full-time faculty member’s obligation to the University must take priority over any such activity.

Time spent on such outside activities must be in addition to, rather than part of, the normal full-time effort expected of members of the full-time faculty for University work. Outside activities must not interfere with a full-time faculty member’s regular responsibilities at the University, including teaching, advising and helping students, attending meetings, and service on committees. Use of University resources, facilities, and property for outside activities is subject to administrative approval.

For full-time faculty, consulting and other outside professional activities are limited to the equivalent of one day per academic week during periods when faculty are on full-time-pay status. Time spent on such outside activity must be in addition to, rather than part of, the normal full-time effort expected of members of the full-time faculty for University work. Faculty who engage in such outside activity shall report the activity in writing to their department chairs/school directors and deans. The deans will forward the reports to the provost annually.

16.5. Advising of Students 

Faculty should be familiar with the University’s academic requirements, policies, and procedures as outlined in the University Catalog and on the NKU policy website. Faculty should also be familiar with the Philosophy of Advising statement in the admissions section of the University Catalog. The catalog can be found online at https://catalog.nku.edu.

Related NKU resource: Norse Advising-Advising Philosophy

16.6. Human Research Subjects Protection

Related NKU policy: Human Research Subjects Protection

Revised: Faculty Senate 10.28.2024; BoR 2.26.2025, Pres. Rec. C-10, pp. 72, 88-89 

16.6.1. Policy Statement

Northern Kentucky University (NKU) is committed to the highest ethical principles in the conduct of human subjects research and specifically to its responsibility to ensure the rights and welfare of human research subjects. Though NKU Institutional Review Board (IRB) has the sole responsibility to approve research with human subjects, human subject protection is a shared responsibility involving NKU, the IRB, investigators, and research staff.

16.6.2. Authority

The authority for this policy is 45 CFR 46 and The Belmont Report: Ethical Principles and Guidelines for the Protection of Human Subjects of Research.

16.6.3. Definitions

Human Subject: A living individual about whom an investigator (whether professional or student) conducting research obtains:

• Data through intervention or interaction with the individual; or
• Identifiable private information.

Intervention includes both physical procedures by which data are gathered (for example, venipuncture) and manipulations of the subject or the subject's environment performed for research purposes.

Interaction includes communication or interpersonal contact between the investigator and subject.

Private Information is information about behavior that occurs in a context in which an individual can reasonably expect that no observation or recording is taking place. Private Information must be individually identifiable (i.e., the identity of the subject is or may readily be ascertained by theinvestigator or associated with the information).

Research is a systematic investigation, including research development, testing and evaluation designed to develop or contribute to generalizable knowledge.

16.6.4. Responsibilities

The Office of Research, Grants and Contracts:

• Facilitates the review and approval of all projects that meet the federal definition of human subjects research; and
• Maintains the IRB roster and ensures it meets the minimum regulatory requirements.

16.6.5. Institutional Review Board (IRB)

The Institutional Review Board (IRB) reviews research studies to ensure that they comply with applicable regulations, meet commonly accepted ethical standards, follow institutional policies, and adequately protect research participants. IRB reviews help to ensure that research participants are protected from research-related risks and treated ethically, a necessary prerequisite for maintaining the public’s trust in the research enterprise and allowing science to advance for the common good. IRB composition, at a minimum, is dictated by the U.S. Department of Health and Human Services (DHHS).

16.6.6. Procedures

Procedures and internal guidelines for the protection of human subjects can be found on the Office of Research, Grants and Contracts website.

All projects that meet the federal definition of human subjects research must be submitted throughthe electronic IRB system accessible through NKU’s IRB website.

16.6.7. Training

Researchers engaging in research that meets the federal definition of human subjects research are required to complete training related to the ethical conduct of research. Specific details of this training can be found on the Office of Research, Grants and Contracts website.

16.7. Scientific/Research Misconduct

Related NKU policy: Research Misconduct

16.7.1. Preamble and Policy Statement

The preeminent principle in all research is the quest for truth. The credibility of such research must be above reproach if the public trust is to be maintained. Any compromise of the ethical standards required for conducting academic research cannot be condoned. While breaches in such standards are rare, these must be dealt with promptly and fairly by all parties in order to preserve the integrity of the research community.

A critical element of any policy on research misconduct is that it be a fair and effective process for distinguishing instances of genuine and serious misconduct from insignificant deviations from acceptable practices, technical violations of rules, or simple carelessness. This policy allows such distinctions to be made in a manner that minimizes disruption and protects the honest researcher from false or mistaken accusations.

Research misconduct, as defined in Section 16.7.2. below is not condoned at Northern Kentucky University (NKU) and allegations of such misconduct will be investigated in accordance with the procedures described below. The policy and procedure discussed herein do not restrict or limit any legal options available to any of the parties through appropriate courts and/or administrative agencies. NKU must comply with federal regulations, and additional policies may apply to faculty engaged in federally sponsored research or submitting work to a federal agency.

Revised: BoR, 5.13.2020 (added sentence re: federal regulations and federally sponsored research)

16.7.2. Definitions

Revised: BoR 6.11.2025, Pres. Rec. C-8, pp. 108, 110, 122 - Revision to Research Misconduct defn. re: text recyling; BoR, 5.13.2020

16.7.2.1. Complainant

Complainant means a person who in good faith makes an allegation of research misconduct.

16.7.2.2. Good Faith

Good faith, as applied to a complainant or witness, means having a belief in the truth of one’s allegation or testimony that a reasonable person in the complainant’s or witness’s position could have based on the information known to the complainant or witness at the time. An allegation or cooperation with a research misconduct proceeding is not in good faith if made with knowing or reckless disregard for information that would negate the allegation or testimony. Good faith as applied to a committee member means cooperating with the research misconduct proceeding by carrying out the duties assigned impartially for the purpose of helping an institution meet its responsibilities under this part. A committee member does not act in good faith if their acts or omissions on the committee are dishonest or influenced by personal, professional, or financial conflicts of interest with those involved in the research misconduct proceeding.

16.7.2.3. Inquiry

Inquiry means preliminary information-gathering and preliminary fact-finding.

16.7.2.4. Investigation

Investigation means the formal collection, examination, and evaluation of all relevant facts to determine whether research misconduct has occurred.

16.7.2.5. Research Misconduct

Research misconduct is defined as fabrication, falsification, plagiarism, text recycling in the form of duplicate publication, or other serious deviations from those accepted practices in proposing, performing, or reviewing research, or in reporting results from research. Common disciplinary practices and/or guidelines may differ between academic units and, therefore, may be followed as deemed appropriate by the individual unit. 

• Fabrication is making up data or results and recording or reporting them.
  
• Falsification is manipulating research materials, equipment, or processes, or changing or omitting data or results such that the research is not accurately represented in the research record.
  
• Plagiarism is the appropriation of another person’s ideas, processes, results, or words without giving appropriate credit.
  
• Text recycling in the form of duplicate publication is the recycling of the entirety or core content of a published work for the same audience and/or genre. It does not include developmental recycling (recycling material from unpublished documents produced as part of the research and writing process), generative recycling (recycling a limited amount of published material in a new work that offers a substantive and original intellectual contribution), or adaptive publication (recycling the entirety or core content of a published work but for a different readership, or genre.).

Research misconduct does not include honest error or differences of opinion.

In cases of allegations involving activities submitted to or supported by a federal agency and definitions or procedures for research misconduct specified in the agency’s regulations differ from those in this policy, the definitions and procedures in the agency’s regulations will be used.

16.7.2.6. Research Record

Research record means the record of data or results that embody the facts resulting from scientific inquiry, including but not limited to, research proposals, laboratory records, both physical and electronic, progress reports, abstracts, theses, oral presentations, internal reports, journal articles, and any documents and materials provided to federal agencies or institutional officials by a respondent in the course of the research misconduct proceeding.

16.7.2.7. Respondent

Respondent means the person against whom an allegation of research misconduct is directed or who is the subject of a research misconduct proceeding.

16.7.2.8. Retaliation 

Retaliation for the purpose of this part means an adverse action taken against a complainant, witness, or committee member by an institution or one of its members in response to (a) a good faith allegation of research misconduct or (b) good faith cooperation with a research misconduct proceeding.

16.7.3. Policies

Revised: BoR 2.26.2025, Pres. Rec. C-10, pp. 72, 76 - Revision to Interim Administrative Action (16.7.3.2); BoR, 5.13.2020

16.7.3.1. Confidentiality 

All parties involved in the inquiry and investigation shall strive to maintain confidentiality of the following, which may be identified from research records or evidence:

• information
• respondents
• complainants, and
• research subjects.

16.7.3.2. Interim Administrative Action 

Throughout the research misconduct proceeding, the Dean (or designee) or Provost will review the situation to determine if there is any threat of harm to public health, federal funds and equipment, or the integrity of the Public Health Services (PHS)-supported research process. And in the event of such a threat, will, in consultation with other institutional officials and the Office of Research Integrity (ORI), take appropriate interim action to protect against any such threat. Interim action might include additional monitoring of the research process and the handling of federal funds and equipment, reassignment of personnel or of the responsibility for the handling of federal funds and equipment, additional review of research data and results or delaying publication. The Dean (or designee) or Provost shall, at any time during a research misconduct proceeding, notify ORI immediately if there is reason to believe that any of the following conditions exist: 

• Health or safety of the public is at risk, including an immediate need to protect human or animal subjects;
  
• Department of Health and Human Services (HHS) resources or interests are threatened;
• Research activities should be suspended;
• There is a reasonable indication of possible violations of civil or criminal law;
• Federal action is required to protect the interests of those involved in the research misconduct proceeding;
• The research misconduct proceeding may be made public prematurely and HHS action may be necessary to safeguard evidence and protect the rights of those involved; or
• The research community or public should be informed.

As provided by federal regulations, at any stage in the process of inquiry, investigation, formal finding and disposition, NKU may take interim administrative action to protect the welfare of human or animal subjects of research, to prevent the inappropriate use of funds, or to protect the interest of students, colleagues, or the University. A suspension or restriction of activities does not in any way imply that research misconduct has taken place. This action will be temporary and used as an interim measure prior to the conclusion of the formal investigation.

16.7.3.3. Extramural Assurance and Reporting Requirements

If applicable, NKU will fully and continually cooperate with the appropriate federal agency during its oversight review or any subsequent administrative hearings or appeals. This may include providing research records and evidence under the institution’s control, custody, or possession and access to all persons within its authority necessary to develop a complete record of relevant evidence. If required by a funding agency, the Institutional Official (IO) or designee shall submit written assurance that the institution is in compliance with the agency’s requirements for handling allegations of misconduct. If the research is supported by an extramural funding agency, the IO or designee is responsible for ensuring compliance with the applicable funding agency’s reporting requirements.

16.7.3.4. Statute of Limitation 

NKU will only investigate research misconduct that has occurred within six (6) years of the date that the institution receives an allegation of research misconduct. This six-year limitation does not apply to the following circumstances:

1. Subsequent use by the respondent by continuation or renewal of any incident of alleged research misconduct that occurred before the six (6) year limitation through the citation, republication or other use for the potential benefit of the respondent of the research record that is alleged to have been fabricated, falsified or plagiarized.
2. If the appropriate funding agency or the University in consultation with the funding agency, determines that the alleged misconduct, if it occurred, would possibly have a substantial adverse effect on the health or safety of the public.

16.7.3.5. Conflict of Interest

Individuals responsible for carrying out any part of the research misconduct proceeding must not have any real or apparent unresolved, personal, professional, or financial conflicts of interest with the complainant, respondent, or witnesses. Any conflict of interest must be disclosed.

A conflict of interest may include, but is not limited to, co-authorship on a paper or book a professional or personal relationship, professional or personal relationship or antagonism, financial ties, or contact regarding possible employment with either the respondent or the complainant.

16.7.3.6. Absence of the Respondent of the Allegation 

Should the respondent leave NKU before the case is resolved, the dean, on behalf of NKU, when possible, shall continue the examination of the allegation and reach a conclusion. NKU shall cooperate with the process of another institution to resolve such questions to the extent possible under state and federal law.

16.7.3.7. Restoring Reputation 

The dean, or designee, or provost shall undertake all practical and reasonable efforts to protect and restore the reputation of the individual(s) alleged to have engaged in research misconduct but against whom no finding of research misconduct has been made, if requested by the individual(s) as appropriate.

The dean, or designee, or provost shall undertake reasonable and practical efforts to protect or restore the position and reputation of the individual(s) who in good faith, made an allegation of research misconduct, if requested by the individual(s) and as appropriate.

The dean, or designee, or provost shall undertake reasonable and practical efforts to protect or restore the position and reputation of any complainant, witness, or committee member and to counter potential or actual retaliation against these individuals.

16.7.3.8. False Accusations 

Regardless of the outcome of an inquiry or investigation, it is the policy of the University that no individual who, in good faith, has reported apparent research misconduct shall be subject to retaliation by the University or by any member of the University community. However, if it is determined that the charges were brought against the respondent with malicious or dishonest intent such that the complainant had a clear understanding that they were probably untrue and that they were designed to harm the respondent, the dean may recommend to the provost that appropriate administrative action be taken against the complainant consistent with University policy.

16.7.4. Procedures 

Revised: BoR 2.26.2025, Pres. Rec. C-10, pp. 72, 80- Revision to Preliminary Inquiry (16.7.4.2); BoR, 5.13.2020

16.7.4.1. Allegations of Research Misconduct 

It is the policy of Northern Kentucky University to treat fairly both the complainant and the respondent. All allegations of research misconduct will be treated seriously and, to the extent possible, the confidentiality of those who submit allegations will be maintained.

Though allegations of research misconduct may be by any means of communication to an institutional or federal official, the allegation of misconduct shall initially be documented in writing by either the complainant or the person receiving the allegation. If the allegation is made through the Ethics and Compliance Helpline, the person receiving the allegation should document the allegation in writing. Any other person receiving an allegation of research misconduct should relay the information to the appropriate dean for preliminary inquiry. The provost may receive reports of research misconduct in situations where the appropriate dean may have a conflict of interest.

Either before or when the institution notifies the respondent of the allegation, inquiry or investigation, the institution must promptly take all reasonable and practical steps to obtain custody of all the research records and evidence needed to conduct the research misconduct proceeding, inventory the records and evidence, and sequester them in a secure manner, except that where the research records or evidence encompass scientific instruments shared by a number of users, custody may be limited to copies of the data or evidence on such instruments, so long as those copies are substantially equivalent to the evidentiary value of the instruments. Respondents may be given supervised access to the research records throughout the inquiry and/or investigation.

16.7.4.2. Preliminary Inquiry

The purpose of the preliminary inquiry is to conduct an initial review of evidence to determine if there are sufficient grounds to warrant a formal investigation of the charge of research misconduct. An inquiry is warranted if the allegation:

• Falls within the definition of research misconduct
• Is within 42 CFR Part 93.102, and
• Is sufficiently credible and specific so that potential evidence of research misconduct may be identified. 

The preliminary inquiry will be conducted by the dean of the college in which the respondent faculty member is appointed. If the allegation of misconduct is brought against a dean, the provost will appoint another dean to conduct the inquiry.

The dean will notify University legal counsel and the provost regarding the nature of the allegations. University counsel shall determine whether the research at issue is governed by any federal legal regulations and shall instruct the dean to ensure that the preliminary inquiry is conducted in compliance with any applicable regulations. When deemed necessary, the dean may select one or two other individuals to assist in the preliminary inquiry. Any such individuals should have no real or apparent conflict of interest related to the case in question. A conflict of interest may include, but is not limited to, co-authorship on a paper or book, a professional or personal relationship or antagonism, financial ties, or contact regarding possible employment with either the accused or the complainant (see Section 16.7.3.5 “Conflict of Interest” above).

On or before the date the respondent is notified or the inquiry begins, whichever is earlier, the Dean (or designee) or Provost will take all reasonable and practical steps to: 

1. Obtain custody of all research records and evidence needed for the research misconduct proceeding, and
2. Inventory and securely sequester the records and evidence in a secure manner.

If the research records or evidence includes scientific instruments shared by multiple users, custody may be limited to copies of the data or evidence, provided the copies are substantially equivalent in evidentiary value to the original instruments. 

The preliminary inquiry should begin with an informal discussion with the complainant to verify that the allegation should be classified as possible research misconduct. Within ten (10) business days after this discussion with the complainant, the dean shall begin an informal discussion with the respondent regarding the allegations. If federal or state regulations so require, the dean shall also present the respondent with a letter that states:

• the nature of the allegations;
• the focus of the inquiry;
• an invitation to the respondent to provide comments and other relevant information to the dean;
• other relevant information; and
• a statement that the respondent has the right to be represented by an attorney.

The preliminary inquiry should be completed within sixty (60) days of receipt of the written allegation of misconduct. If the preliminary inquiry determines that there are not sufficient grounds within the context of the definition of misconduct for a formal investigation, the respondent and the complainant will be sent letters informing them of the results. All records will be sent to the Office of the Provost.

A formal investigation will be found to be warranted if:

a) A reasonable basis for concluding that the allegation falls within the definition of research misconduct; and

b) Preliminary information-gathering and preliminary fact-finding from the inquiry indicates the allegation may have substance.

If the preliminary inquiry determines that there are sufficient grounds for a formal investigation within the context of the definition of misconduct, the respondent and the complainant will be sent letters informing them of this decision. The letter to the respondent may include, but is not limited to, the following:

• The name and position of the respondent(s);
• That a formal investigation is to be conducted;
• Information pertaining to federal agencies involved including funding numbers, grant applications, contracts, etc., if applicable;
• The nature of the allegation, including a summary of all evidence that currently exists and the right to review it;
• The basis for recommending that the alleged actions warrant an investigation;
• That the respondent will have an opportunity to respond to the charges; and
• That the respondent has the right to be represented by an attorney.

The respondent shall have the opportunity to respond to this letter, in writing, within thirty (30) calendar days of the date on which the respondent receives it. The draft preliminary inquiry report, combined with any comments received from the respondent, shall constitute the preliminary inquiry report.

In the event a formal investigation is deemed to be warranted, the dean shall inform the following individuals and/or organizations:  university legal counsel, chairs/directors of any departments/schools that may be involved, the provost, and appropriate regulatory bodies. As required by law or regulation, University counsel shall notify appropriate government agencies when a formal investigation is convened.

As described in Section 16.7.3.8 “False Accusations” above, if a formal investigation is judged to be unwarranted and it is determined that the charges were brought against the respondent with malicious or dishonest intent such that the complainant had a clear understanding that they were probably untrue and that they were designed to harm the respondent, the dean may recommend to the provost that appropriate administrative action be taken against the complainant. Such appropriate administrative action shall be consistent with the University policy.

Any records produced during the preliminary inquiry stage, including the preliminary inquiry report, must be maintained by University counsel for at least seven (7) years and, upon request, be provided to the applicable government agencies.

16.7.4.3. Formal Investigation

Before any formal investigation commences, the respondent(s) and any involved collaborators must be notified by written statement of allegations that an investigation is to be conducted. The written statement shall:

• Include a copy of the preliminary inquiry report, which includes information on the nature of the allegations and the focus of the investigation, and inform those being investigated of the opportunity to provide comments and other relevant information to the dean.
• Inform the respondent(s), prior to beginning the investigation, of his or her right to be represented by an attorney in preparing and/or giving his or her response in this and all subsequent phases of the investigation.
• Give the respondent a copy of or refer to the institution’s policies and procedures related to research misconduct.
• Indicate there can be no actions that are, or could be perceived as, retaliatory against the investigation committee members, witnesses, or the person who raised an allegation or is thought to have raised an allegation.

The dean shall appoint an Investigative Body (IB) with three or more members to initiate an investigation thirty (30) calendar days after receipt of the preliminary inquiry report. IB members must be tenured faculty members with sufficient expertise in the area of investigation to ensure a sound base from which to evaluate the nature of the charges. One member of the IB may be from outside the University, if necessary, to ensure an accurate and knowledgeable evaluation of the evidence. All IB members must be free of real or apparent conflicts of interest regarding the investigation. The dean shall document the rationale for selecting committee members based on their expertise and impartiality. All IB members shall be required to sign a statement that they will maintain the confidentiality of the investigation, and that they have no interest that would conflict with those of the accused, the complainant, the University, or the sponsoring agency for the research. Prior to the beginning of the formal investigation, the respondent shall be given the opportunity to object in writing to the appointment of any member of the IB, based on conflict of interest. If the member is appointed to the IB despite the respondent’s objection, this fact shall be noted in the IB’s final report.

The IB shall conduct a formal examination and evaluation of all relevant facts to determine if the allegations of misconduct are valid. In order to maintain the integrity of the review process and avoid any appearance of institutional influence over the panel’s deliberations or decision-making, the IB shall be insulated from any administrative influence and any ex parte communications with the parties. The IB shall seek the advice of university counsel and may engage in, but is not limited to, the following investigative procedures:

• Interviewing witnesses;
• Sequestering and examining research data (both published and unpublished) and other evidence;
• Seeking expert counsel both inside and outside the University; and
• Conducting a hearing in which the respondent may respond to the charges, call witnesses, and question the complainant.

The IB shall pursue diligently all significant issues and leads discovered that are determined relevant to the investigation. A written summary or transcript of each interview conducted must be completed. A copy of the interview summary or transcript shall be provided to the interviewed party for comment.

The investigation must be completed within one hundred and twenty (120) days of beginning it, including conducting the investigation, preparing the report findings, providing the draft report for comment, and, if applicable, sending the final report to the appropriate federal agency. If a federal agency is to be involved, the IB must notify the provost, who will facilitate arrangements for the report to be sent. If the IB is unable to complete the investigation in time, a written request for extension that includes an explanation for the delay shall be submitted to and approved by the provost and be included in the investigation record. Except: If no federal or state regulation requires the investigation to be completed within 120 days, then the timeline for a particular investigation shall automatically be extended until the IB completes the investigation, without any need for written request of extension.

A finding of research misconduct requires that acts constitute research misconduct as defined above and that:

1. There is a significant departure from accepted practices of the relevant research community;
2. The misconduct is committed intentionally, or knowingly, or recklessly; and
3. The allegation is proven by a preponderance of evidence.

The IB shall prepare a draft Investigation Report. The draft report will be sent to all respondents, and all respondents shall be afforded the opportunity to comment upon the draft report and have the comments included in the formal record of the investigation. Any comments shall be submitted in writing within thirty (30) calendar days of the date on which the respondents received the draft report. The IB shall review all respondents’ comments prior to issuing the final Investigation Report.

At the completion of the Investigation, the IB shall submit its findings, comments from the respondents, and recommend institutional actions (also known as the Investigation Report) in writing to the dean, who shall provide a copy to the respondents of the investigation, the provost, legal counsel, and chair(s)/director(s) of the affected department(s)/school(s). The dean shall ensure that publishers and editors of journals are informed if manuscripts emanating from fraudulent research have been submitted or published.

The Investigation Report will include the following:

1) Description of the nature of the allegations of research misconduct

2) Description and documentation of federal financial support, if applicable (e.g., grant
numbers, grant applications, contracts, etc.)

3) Institutional charge (e.g., description of specific allegations of research misconduct for consideration in the investigation)

4) Copy of the institutional policies and procedures under which the investigation was
conducted

5) Research records and evidence. Identify and summarize the research records and evidence reviewed, and identify any evidence taken into custody but not reviewed.

6) Statement of findings. For each separate allegation or research misconduct identified
during the investigation, provide

a) A finding as to whether research misconduct did or did not occur as follows

i. Identify whether research misconduct was falsification, fabrication, plagiarism, or other serious deviation from accepted practices and if it was intentional, knowing, or in reckless disregard;

ii. A finding that serious research irregularities have occurred, but that the irregularities are insufficient to constitute misconduct; or

iii. A finding that no research misconduct or research irregularities were committed.

b) A summary of the facts and the analysis that support the conclusion and consideration of the merits of any reasonable explanation by the respondent;

c) Information about the specific federal support affected, if applicable;

d) Identification of any publications in need of correction and retraction;

e) Identification of the person(s) responsible for the misconduct;

f) Listing of any current support or known grant proposal applications that the respondent has pending with federal agencies;

7) Comments. Include and consider any comments made by the respondent and complainant on the draft investigation report.

The investigation must be thorough and sufficiently documented including examination of all research records and evidence relevant to reaching a decision on the merits of the allegations. The IB must ensure that it maintains and provides all records from the investigation to the provost. This is necessary so that they can be provided to any applicable federal agencies, which may request all relevant research records and records of the institution’s research misconduct proceeding, including the results of all interviews and the transcripts or recordings of such interviews.

16.7.4.4. Documentation

At the conclusion of an allegation assessment, inquiry, or investigation, the dean shall forward all documentation pertaining to the allegation assessment, inquiry, or investigation to the provost who shall arrange that the documentation be maintained for seven (7) years and ensure that documentation is provided to the appropriate federal agency upon request, if appropriate.

Documentation to be maintained for federal agencies must include the following, as applicable:

1. Allegation assessment statement
2. Preliminary inquiry final report
3. Formal Investigation Report, including a copy of the report, all attachments, and any appeals
4. Findings: statement whether or not the institution accepts the investigation’s findings
5. Final institutional action: statement if the institution found research misconduct, and if so, who committed the misconduct
6. Institutional administrative actions: description of any pending or completed administrative actions against the respondent

The institution must notify the relevant federal agency (if applicable), if the institution plans to close out a case at the inquiry, investigation, or appeal stage on the basis that the respondent has admitted guilt, a settlement with the respondent has been reached, or for any other reason, except the closing of a case at the inquiry stage on the basis that an investigation is not warranted.

16.7.4.5. Disciplinary Action 

If the findings of the investigation substantiate allegations of research misconduct, the provost, inconsultation with legal counsel, shall determine appropriate administrative action, consistent with the University policy.

16.7.4.6. Appeal

The respondent may appeal the decision of the investigative committee in writing to the provost. The accused shall have thirty (30) days to file an appeal. A reinvestigation of the case will be warranted if one or more of the following conditions are judged by the provost to exist:

• Significant omission of new evidence that was not known or reasonably available at the time of the formal investigation;
• A member of the committee had a conflict of interest; or
• A member of the committee did not accurately interpret the evidence due to lack of expertise concerning the research topic.

The provost must rule within fifteen (15) days of receipt of the accused’s written appeal on whether or not an appeal is warranted. If the provost determines that an appeal is warranted, a new investigative committee will be appointed by the provost to reexamine the case. The provost’s ruling on the issue of appeal is final. The criteria for appointing members to the original investigative committee shall also apply to the qualifications of members of the new investigative committee. The procedures that applied to the original investigative committee will also apply to the new investigative committee. The new committee shall have one hundred twenty (120) days to complete the investigation. The decision of this review committee is final.

16.8. Sexual Harassment/Gender Discrimination

Updates: For updated NKU policy, approved by NKU Board of Regents 8.7.2020, see Sexual Harassment

16.8.1. Statement of General Policy

The University will not tolerate sexual harassment. In its policies and procedures the University seeks to deal effectively with the problem and to preserve the rights and privileges of all involved in cases of alleged sexual harassment.

16.8.2. Definition of Sexual Harassment

Sexual harassment is unwelcome sexual advances, requests for sexual favors, and other verbal, non-verbal,
physical, or non-physical conduct of a sexual nature when submission to such conduct is a basis for employment or academic decision, or such conduct unreasonably affects an individual’s status and well being by creating an intimidating, hostile, or offensive work or academic environment. The harasser may be faculty, staff, or a student.

Sexual harassment may be considered in these two major categories:

• The first type of harassment is the quid pro quo overt pressure by another person in the workplace for sexual favors.

• The second category of harassment is more subtle and by definition involves a cumulative effect that constitutes the harassment. Any single incident of this type might not be judged harassment, but continuation of the behavior creates an atmosphere that is uncomfortable and intimidating.

Sexual harassment is a form of sex discrimination and a violation of civil rights as covered under Title VII., 1964, Civil Rights Act, and Title IX., 1972, Educational Amendments. These federal acts protect the civil rights of employees and students in an educational institution. The University is, therefore, obligated to treat such complaints seriously. 

16.8.3. Prevention 

Prevention is the best method for eliminating sexual harassment. Every faculty member is encouraged to take all steps necessary to prevent sexual harassment from occurring such as by affirmatively raising the subject, expressing strong disapproval, and informing other faculty, staff, and students of their right to raise, and how to raise, the issue of sexual harassment.

16.8.4. Limitations of this Policy

This policy is limited to faculty members complaining of sexual harassment by another faculty member, a staff member, a student, or any other employee or affiliate of the University.

16.8.5. Procedure for Reporting Sexual Harassment

A faculty member who believes they have been sexually harassed (hereinafter referred to as the complainant) may seek redress through these established informal and formal procedures. The overriding goal of these procedures is to provide a prompt, equitable, fair, and rights-preserving method of handling sexual harassment complaints. At all times and at all stages of the process, confidentiality and privacy of the parties and proceedings will be maintained. The University will seek to protect the reputations of all parties involved and will seek to protect all parties involved from retaliation. The University will also assure a fair procedure and a fair hearing before members of a panel who are without bias or prejudice.

All records of the alleged sexual harassment will be maintained in confidential files only in the Office of University Legal Services and General Counsel. During either the informal or the formal procedures for reporting sexual harassment, other members of the University community may be informed of the specifics of a complaint on a need-to-know basis. Such persons may include the university legal counsel, department chair/school director, or academic dean.

16.8.6. Informal Process

If a faculty member experiences sexual harassment by another faculty member, a staff member, contractor, or a student, the faculty member (as complainant) has the right to report the incident to their chair or supervisor to determine what action might be appropriate. The complainant should begin this informal process as promptly as possible after the alleged incident. If the complainant requests assistance in resolving the matter, the chair/director will explain the University’s sexual harassment policy and procedures and also inform the complainant that they may have other possible rights and remedies external to the University. The chair/director will:

• Obtain from the complainant information on the specific nature of the complaint and the evidence for making the complaint;

• Advise the complainant of all options available through this sexual harassment policy;

• Assist the complainant to clarify the resolution sought; and

• Review with university legal counsel any previous complaints that have been filed by the complainant or against the alleged harasser (hereinafter referred to as the respondent).

The chair/director will set up a confidential meeting with the respondent to inform the respondent about the complaint.

The respondent has the option to request the presence of their immediate supervisor or another academic colleague. If the respondent is a student, the student may request the presence of the Associate Vice President for Student Affairs and Enrollment Management or a representative from Student Government Association. If counsel is present for either party, the other party may have counsel present too. The purposes of the meeting are:

• To inform the respondent of the details of the complaint;

• To obtain the respondent’s comments concerning the complaint; and

• To attempt to reach a resolution of the complaint. Such resolutions may include, but are not limited to an apology and assurance that the respondent’s behavior toward the complainant will stop; a change in work assignments; or disciplinary action against the respondent.

If a resolution is obtained through the informal process, the chair/director will notify, in writing, both the complainant and the respondent. This notification must specify the actions necessary for the resolution of the complaint. If no resolution is obtained through this informal process, the chair/director will likewise notify, in writing, the complainant and respondent of this action. In either case, the chair/director must make this notification by certified mail within ten (10) working days of receiving the complainant’s report of the alleged incident or incidents.

16.8.7. Formal Process

If the informal process has not resolved the allegation of sexual harassment and the complainant wishes to proceed, the complainant must file a formal written complaint within ten (10) working days after receiving written notification from the chair/director. A hearing panel will be formed to consider the complaint:

• Providing the respondent with a copy of the written complaint;

• Forming a three-member hearing panel to consider the complaint (Composition of the panel will depend on whether the respondent is a member of the faculty, staff, or a student. If the respondent is a faculty member, the panel will be chosen from among the members of the Peer Review Advisory Committee. If the respondent is a staff member, the panel will be composed of two faculty members from the faculty pool and one staff member chosen from the pool of staff that have agreed to serve on such a panel. If the respondent is a student, the panel will be chosen from the faculty pool and one student recommended by Student Government Association.);

• Convening the hearing panel and selecting a chair;

• Advising (in consultation with university legal counsel) the hearing panel of the characteristics of sexual harassment and of standards for identifying whether sexual harassment has occurred; 

• Scheduling sessions of the hearing panel;

• Calling and scheduling all witnesses requested by the hearing panel;

• Ensuring that a record is made of all proceedings;

• Ensuring that all deadlines and procedures are followed by the hearing panel; and

• Dismissing the panel at the conclusion of the hearing.

The hearing panel will:

• Conduct an inquiry into the alleged sexual harassment incident(s). (The panel may request of university legal counsel records of previous complaints involving either the complainant or the respondent.);

• Make a determination of whether the allegation(s) are true or false and whether they constitute sexual harassment; and

• Prepare a written statement setting forth the determination and its basis.

If the hearing panel determines that the complainant has been sexually harassed, it may use any previous sexual harassment complaints documented by university legal counsel against the respondent as part of their basis for sanction. Available sanctions include, but are not limited to, reprimand, suspension without pay, and termination of employment.

Within fifteen (15) days, the chair of the hearing panel will communicate the written statement of the determination to both the complainant and the respondent by certified mail and to the appropriate vice president. The appropriate vice president will have the ultimate decision to impose sanctions, including those recommended by the hearing panel. The appropriate vice president will ensure that any written documents concerning the case are filed with university legal counsel.

16.8.8. Appeal Process

Either party may appeal an adverse determination or recommendation to the respondent’s vice president. The appeal must be written, state the basis of the appeal, and be filed within ten (10) working days of receipt of the notification of the adverse determination or recommendation. The appropriate vice president will inform all other parties that an appeal has been made. The vice president will make a determination of the hearing panel’s decision. The decision of the hearing panel will be affirmed unless there is insufficient evidence in the record to support it.

The appropriate vice president will notify the parties involved, in writing, by certified mail, of the determination within ten (10) working days of receipt of the appeal.

16.8.9. Residual Rights and Procedural Comments

The rights of either party to file a grievance under the Faculty Handbook or any other university policies shall not be impaired by using the Sexual Harassment policy and procedure.

16.9. Statement on Consensual Relationships

16.9.1. General 

Consensual relationships are romantic relationships and/or sexual interactions agreed to by the involved parties (even if it is a single interaction). Northern Kentucky University (NKU) is committed to maintaining a working and academic environment that fosters intellectual, professional, and personal growth free from conflict of interest, favoritism, and exploitation. This environment is put at risk when members of the University community engage in consenting relationships that involve persons of unequal power. Consensual relationships may create actual and perceived conflicts of interest that include real or perceived favoritism or exploitation. A power differential is defined as the difference between two individuals in a relationship in terms of status, authority, or influence, particularly in, but not limited to, the University community. This policy specifically addresses consenting relationships involving faculty members with students, staff, other faculty members, supervisors, or administrators. For example, these relationships would include a student in the faculty member’s class, a student in the faculty member’s research group, or a staff member in the faculty member’s department. A power differential could include supervision; evaluation such as for promotion or tenure or raises; authority over the other; or favoritism toward the other.

Faculty members are prohibited from knowingly entering consensual relationships in which a conflict of interest would exist because it would involve a pre-existing power differential. Non-consensual relationships are covered by the Sexual Harassment policy.

16.9.2. Preexisting Relationships 

This policy is not intended to apply to faculty spouses or domestic partners, as those terms are defined by NKU Human Resources, whose relationship precedes the creation of a power imbalance. Faculty members in preexisting relationships that undergo a change in status that might create a conflict of interest, e.g., one begins taking classes, are required to report the change and the potential conflict of interest to their supervisor. The supervisor and faculty member will work together to mitigate or remove the conflict of interest. In addition, the provost, after consultation with the relevant chair, director, or dean, may permit exceptions to this policy in appropriate circumstances.

16.9.3. Relationships Involving Students

Faculty relationships with students are particularly problematic as the potential for real or perceived conflicts of interest is greater. These problems may remain whether or not the student is graded or supervised by the faculty member. For this reason, faculty relationships with students are strongly discouraged even if a conflict of interest is unlikely. Efforts by faculty to initiate relationships with their students, by whatever method, including dating apps, are prohibited.

16.9.4. Relationships with Other NKU Employees

All NKU employees, including faculty members, are expected to avoid situations that present a conflict of interest, and consensual relationships in which an unmitigated conflict of interest exists are prohibited. Faculty relationships with other NKU employees present a conflict of interest when there exists an NKU power differential.

16.9.5. Reporting Requirements

The faculty member, regardless of University status or role, is responsible for reporting any relationship with an individual affiliated with NKU in writing to their direct supervisor within two weeks of the initiation of the relationship, even if a single interaction, or the realization of a potential conflict of interest. It is expected that the supervisor will consult with appropriate members of the administration including the Title IX office and Human Resources to understand the potential conflicts of interest. The supervisor and the faculty member will work together to mitigate or remove the power differential and conflict of interest, if possible. This may include removing the faculty member from a committee and assigning a replacement, assigning another faculty member to supervise the student, or assigning another faculty member to handle that student’s grades. This reporting obligation continues even after the relationship has ended. For instance, a faculty member must report a previous consensual relationship with one of the students in their class. In every circumstance, the effect on the student should be minimized. If it is not possible to mitigate the conflict of interest, continuation of the relationship is a violation of this policy.

The University prohibits retaliation of any kind against individuals who report consensual relationships in good faith. An NKU faculty member becoming aware of a consensual relationship involving another faculty member may report that relationship to their supervisor without retaliation. However, faculty members are not required to report in these circumstances unless they suspect the relationship is covered by mandatory Title IX or ethics policy reporting. The faculty member involved in the relationship has the obligation to report the relationship.

16.9.6. Mitigation of Conflicts of Interest

The supervisor, in collaboration with the parties to the consensual relationship, the appropriate dean, Human Resources, and the Title IX office, will produce a written mitigation plan within 10 business days of the report of the relationship.

The mitigation plan will:

a) Provide an alternate means for managing, supervising, teaching, evaluating, and or advising the party with less power in the relationship.

b) Give priority to the interest of the one with less power.

c) Be in writing and signed by any NKU employee who is part of the consensual relationship.

d) If an NKU student is a party to the relationship, the student will be notified of the mitigation plan and provided a copy.

e) If the parties cannot agree to a mitigation plan, resolution will be handled through the provost’s office.

If it is not possible to mitigate the conflicts of interest, continuation of the relationship is a violation of this policy.

16.9.7. Penalties for Violation of this Policy

Faculty members in violation of this policy will be subject to the disciplinary procedures and penalties outlined in this Handbook. Violations may include, but are not limited to, failure to timely report the relationship, unwillingness to work with the supervisor to mitigate conflicts of interest, or evaluation of the work of their partner in a consensual relationship.

16.9.8. Safe Harbor

It is critical that the University receive notification of consensual relationships under this policy so as to prevent conflicts of interest, favoritism, and exploitation. Unreported consensual relationships pose a significant risk to the University community. Accordingly, if a faculty member immediately notifies their supervisor in writing of the development of a consensual relationship allowed by this policy and cooperates to mitigate the effects of the consensual relationship, then a conduct/discipline investigation will not be pursued. An unreported consensual relationship will be considered a violation of this policy.

This safe harbor provision does not apply to potential violations of the sexual harassment policy.

Related NKU policies: Sexual Harassment; Nepotism 

16.10. Nepotism

Northern Kentucky University seeks to employ or promote the best-qualified person for a position. Therefore, decisions on selection, salary, promotion, and all matters pertaining to faculty employment will be made based on merit and not according to the relationship of an applicant or one employee of the University to another or the relationship of an applicant or employee to a member of the Board of Regents. No person shall be employed or promoted to a faculty position if the result would be that a head of an administrative unit and a member of the individual’s immediate family by blood or marriage would be members of the same administrative unit; in the University’s best interest, however, exceptions may be made to this policy upon the recommendation of a majority of the members of the administrative unit, subject to approval by the provost and the consent of the president. Relatives by blood or marriage include parents, children, grandchildren, spouses, siblings, aunts, uncles, nieces, nephews, and in-laws and step relatives in these same relationships.

Faculty members should avoid situations that place them into a position to academically evaluate relatives by blood or marriage, such as in a class or laboratory. The faculty member must inform their supervisor of the circumstance, and the supervisor and faculty member should work together to arrange for different evaluation of the family member. This may involve placement into another class or laboratory section, pairing with another thesis advisor, or having another faculty member evaluate the student’s work.

Related NKU policy: Nepotism

16.11. Equal Employment Opportunity and Affirmative Action

Updates: For updated NKU policies, see Equal Opportunity and Nondiscrimination (BoR, 9.11.2019) and ADA Accommodation (BoR, 9.11.2019) 

Northern Kentucky University reaffirms its commitment to the principles of equal opportunity and affirmative action. In compliance with equal opportunity and affirmative action state and federal laws and as a matter of institutional policy, the University will not engage in or tolerate discrimination against individuals in any of its programs and activities on the bases of race, color, religion, gender, national origin, age, sexual orientation, disability, or veteran’s status. Further, where required bylaw, the University will take affirmative action in support of equal employment opportunity and to foster an intellectual and social atmosphere that reflects the broad range of human diversity.

In accordance with University policy, Section 504 of the Rehabilitation Act of 1973 (Public Law 93-112), and the Americans with Disabilities Act of 1991 (Public Law 101-313), Northern Kentucky University is committed to making reasonable accommodation for the known physical or mental limitations of an otherwise qualified applicant or employee who is disabled. Accommodations may include making facilities used by employees readily accessible to and usable by persons who are disabled, job restructuring through part-time or modified work schedules, acquisition or modification of equipment or devices, provision of readers or interpreters, or other similar actions. The University will not deny an employment opportunity to a qualified employee or applicant who is disabled if the basis for the denial is the need to make reasonable accommodation for the employee’s or applicant’s physical or mental limitations, unless it can be demonstrated that the accommodation causes an undue hardship for the University. All searches shall be conducted in accordance with the University’s hiring procedures.

At the time a person who is disabled is hired or an employee becomes disabled, needed accommodations will be determined through discussions between the employee and the department chair or unit head. The Office of Personnel Services and the office of affirmative action and multicultural affairs are available to serve as resources. Specific accommodations agreed upon should meet the unique needs of each employee who is disabled and enable the employee to perform effectively the duties of their position. Requests for any necessary funding for these accommodations shall be processed through the department chair/school director. A letter from the department chair/school director or unit head will be sent to the employee describing these accommodations. A copy of this letter will be filed in the employee’s official personnel file. At the request of an employee who is disabled, the University will make mutually agreed upon reasonable adjustments in accommodations to reflect the employee’s current needs. The University will not make adjustments in accommodations or in any way change these accommodations without first consulting with the employee. A record of the accommodations and any adjustments will be maintained in the employee’s personnel file.

Costs of accommodations for a particular employee who is disabled will be borne by the University without adverse economic consequences for that employee. Sources of funds for both the recurring and nonrecurring costs for this purpose will be identified in the University’s budget and will be reviewed annually in order to ensure that accommodations are not compromised.

16.12. Appropriate Terminal Degrees for Faculty

A list of terminal degrees for faculty in each discipline can be reached from the homepages of the Faculty Senate and the Office of the Provost.

16.13. Publication and Promotion of Course Offerings

Promotion and publication of course offerings is the responsibility of University administrators in the regular course of their duties. Academic departments/schools (or colleges, in the absence of departments or schools) may supplement promotion by direct mailings to majors and prospective majors or by posting notices on departmental/school bulletin boards, subject to approval in accord with published policies in effect at the time of the promotion.

The Vice President for Enrollment and Degree Management is responsible for promotion of courses through publications such as the University Catalog, the Schedule of Classes, brochures, and posters. Promotion can include, but is not limited to newspaper announcements, direct mailings, posting, admissions staff information services, and announcement and/or distribution in the classroom of relevant academic information on course content.

Publication and promotion activities of individual faculty must first be approved by the faculty member’s chair. Publication should follow the approved University stylebook. Failure to comply with this policy may constitute a violation of professional ethics.

16.14. Cancellations or Postponement of Courses

A course at Northern Kentucky University may be canceled or postponed upon the administrative judgment of the appropriate chair/director, dean, and/or the provost. Such judgment shall be based upon legitimate administrative and/or academic reasons including, but not limited to, one or more of the following:

• Insufficient enrollment;

• Financial exigency;

• Maintenance of full-time academic loads;

• Reassigned time;

• Update and revision of course offerings; and 

• Unavailability of an appropriate instructor.

The decision to cancel or postpone a course should be made no later than the first day the course is scheduled to meet. Except in an emergency, no course shall be cancelled or postponed after this date. The decision to cancel or postpone a course shall be promptly communicated to the faculty member scheduled to teach the course and to the students enrolled in it.

16.15. Standards for Graduate Off-Campus Instruction and Other Special Graduate Instruction 

16.15.1. General 

Every university should be constantly concerned about the quality and excellence of graduate instruction, including special activities such as off-campus classes, short courses and workshops, media instruction, and evening classes.¹  It is essential that provisions for graduate instruction include certain qualitative standards. These standards must be applied by universities in generating graduate credits and in evaluating transfer work from other institutions.

¹Southern Association of College and Schools, Commission on Colleges, Standards of the College Delegate Assembly (Atlanta, Georgia, n.p., December 14, 1977), pp. 30-44.

16.15.2. Administration

Control of off-campus regular and special courses must be vested in the University administrative structure responsible for regular and special on-campus courses.² Off-campus instruction must be under the direct administrative supervision of the university granting the credit.

²Ibid., p. 32.

16.15.3. Faculty

Instruction for off-campus and special courses must be provided by the University’s regular graduate faculty or by carefully selected and approved full-time or adjunct faculty. Faculty for such courses must be recommended by the academic unit offering the courses and be approved according to the University’s established procedures. If persons such as school administrators or business executives are assigned to teach off-campus or special courses, they should not teach a class in which a preponderance of the students would likely be their employees.

16.15.4. Students

The quality of graduate instruction is closely related to the quality of students.³ Since student quality is regulated by admission standards, the students enrolled in off-campus and special courses must follow normal admission procedures to the University’s programs or be verified transient students from other institutions. The fully employed student should attempt no more than six credit hours of course work per semester at one or more institutions.

³Ibid., p. 40.

16.15.5. Instruction 

The credit-producing experience shall be taught by faculty with scholarly competence in the subject area. At the beginning of the course, the instructor should provide students with a statement of course requirements and expectations as well as the University’s code of academic ethics for students.

The instruction for graduate courses should be distinctly graduate level. Research in its broadest sense is synonymous with graduate education.⁴ Consequently, every graduate course should include tangible evidence of independent work (paper, term report, research/creative projects, etc.).

Instructional standards for off-campus and special courses should be the same as those established for on-campus and regular courses. A comprehensive final examination will normally be required to assess the student’s capability for scholarly thinking in the subject area. Practicum or laboratory courses should require other experiences of comparable rigor.

Graduate instruction should provide opportunity for meaningful interaction among students and between students and instructor.

⁴Ibid., p. 39.

16.15.6. Academic Credit

Graduate credit for special courses shall be awarded only for experiences that meet graduate instructional standards and that are clearly distinguishable from undergraduate work⁵ and from continuing-education activities.⁶ Within this context, graduate credit may be awarded for short courses, workshops, and seminars, but may not be awarded for attendance at conferences and institutes. This interpretation is based upon definitions provided by the Southern Association of Colleges and Schools.⁷ Graduate-credit-producing experiences, other than those which are independently directed, shall be based upon a minimum of 12.5 clock hours of contact per hour of graduate credit. Workshop courses, which characteristically combine instruction with laboratory or experimental activity and place more emphasis on skill training than on general principles, shall have a minimum of 25 clock hours of contact per hour of graduate credit. All credit-producing experiences shall be based upon a minimum of one week of instruction per hour of graduate credit. 

⁵Ibid., p. 41.

⁶Ibid., p. 33.

⁷Ibid., p. 37.

⁸Conference of Southern Graduate Schools, Criteria for Evaluating Off-Campus Graduate Programs, edited by Eleanor R. Gibbard (West Virginia University, n.p., 1980), p. 4.

16.15.7. Facilities

Educational resources essential to graduate instruction include library, laboratory, computer, audio-visual, and provision for performance and field activities. Availability of these facilities as well as adequate classroom space will determine locations at which graduate courses can be offered.

16.16. Intellectual Property Policy 

Refer to Appendix F, which includes NKU's Inventions and Patents policy and Copyrights policy. 

Related NKU polices: Inventions and Patents; Copyrights

Revised: Fac. Senate, 1.29.2024/BoR, 3.12.2024, Pres. Recs. C-8 and C-9, pp. 61-81. 

16.17. Reproduction of Copyrighted Material 

Related NKU policy: Reproduction of Copyrighted Material

16.17.1. General Statement

Northern Kentucky University is committed to compliance with the United States Copyright Revision Act of 1976, as amended (Title 17 United States Code, Section 101 et seq.) relating to reproduction of copyrighted materials. The unauthorized reproduction of copyrighted material is a serious violation of University policy as well as federal law.

16.17.2. Scope

These procedures apply to all reproduction of copyrighted material either for a purpose related to the University or by or upon University facilities. Reproduction shall include, but is not limited to, copying or duplication by photocopying of printed material; copying of video, audio cassette, reel, or other broadcast material; or duplication of computer software. Reproduction for purposes related to the University shall include, but not be limited to, materials reproduced for teaching, research, course presentation, extracurricular activities, broadcast media, and the like. University facilities include, but are not limited to, all machines, devices, and media capable of copying, duplicating, or reproducing copyrighted material in any form. 

16.17.3. Definitions

16.17.3.1. Copyright

A copyright is an intangible right granted by statute to the author or creator of certain literary or artistic works, whereby the author or creator is invested for a period of time with sole and exclusive rights of ownership to the work, which rights include the right to publish and reproduce the work. The ownership rights granted by a copyright are qualified by the doctrine of “fair use.” 

16.17.3.2. Fair Use

Fair use is the privilege in one other than the owner of a copyright to use the copyrighted material in a limited and reasonable manner without the consent of the copyright holder and notwithstanding the monopoly granted by the copyright to the owner. In determining whether the use of a copyrighted work in a particular case is a fair use, the following must be considered:

• The purpose and character of the use, including whether such use is of commercial nature or is for non-profit educational purposes;

• The nature of the copyrighted work;

• The amount and substantiality of the portion used in relation to the copyrighted work as a whole; and

• The effect of the use upon the potential market for or value of the copyrighted work.

16.17.4. Photocopying

16.17.4.1. Unauthorized Photocopying

Unauthorized photocopying is a violation of federal copyright law and therefore a violation of University policy.

16.17.4.2. Guidelines for Authorized Photocopying 

The protection afforded by a copyright is subject to an exception for fair use of material, as set forth herein. Since a determination of fair use is made on the facts of the specific use, guidelines for fair use for classroom copying in not-for-profit educational institutions have been developed by the National Association of College Stores, Association of American Publishers, Association of American University Presses, Ad Hoc Committee on Copyright Law Revisions, and the Author-Publisher Group (Authors League, Inc.). These guidelines are adopted and included in this policy at Exhibit A, below. Photocopying pursuant to these guidelines conforms to University policy.

16.17.5. Compliance

16.17.5.1. Individual Responsibility

It is the individual requestor’s responsibility to ensure that all photocopies of copyrighted material that they reproduce or cause to be reproduced either fall within the doctrine of fair use or have been cleared for use with the holder of the applicable copyright.  Individuals photocopying or requesting photocopying of any written material for any purpose associated with the University or utilizing any photocopying facilities of the University shall familiarize themselves with these University procedures and shall complete a “copy center request form.” If any individual has any question as to whether proposed photocopying constitutes a fair use of copyrighted materials pursuant to the attached guidelines, the individual shall request permission from the publisher. A sample permission form is set forth in this policy at Exhibit C below.

16.17.5.2. Department/School Responsibility

Each department/school shall be responsible for ensuring that the University’s photocopying procedures are disseminated to all appropriate employees. All completed “reproduction of copyrighted material” forms for proposed photocopying on University facilities shall be approved by the requestor’s supervisor or department chair/school director. In colleges where there is no department or school, the dean will function as department chair in these processes

.

16.17.6. Bookstore

The University bookstore shall comply with University photocopying procedures. The bookstore will obtain permission letters for all copyrighted components of anthologies that are assembled to be sold through the bookstore. The standard textbook-ordering deadlines must be met in order to allow the bookstore to secure permission for use of copyrighted material in anthologies.

16.17.7. Software

16.17.7.1. General 

A computer program is defined as a set of statements or instructions to be used directly or indirectly in a computer in order to bring about a certain result.

A computer program, also known as computer software, is copyrightable and subject to the copyright laws of the United States. No person in possession of a particular copy of a computer program may, for the purposes of direct or indirect commercial advantage, dispose of, or authorize the disposal of, the computer program (including any tape, disk, or other medium embodying such program) by rental, lease, or lending, or by any other act or practice in the nature of rental, lease, or lending.

The purchase of computer software entails the grant of a license to the purchaser and other authorized users to use the computer program consistent with the terms of the license. A violation of the terms of the license can be an infringement of the copyright of the owner of the computer program.

16.17.7.2. Unauthorized Reproduction

Computer software used for University purposes may not be reproduced, nor may computer software be copied on University facilities, except as set forth below.

16.17.7.3. Exceptions

Computer software may be reproduced as follows:

• With express permission of the owner of the copyright, either as set forth in the license accompanying the software or by direct authorization in writing from the copyright owner; and

• The authorized user(s) make one back-up copy to be held for their own use as an archival copy in the event the original fails to function and not inconsistent with the license provided, however, that backup copies may not be used on a second computer when the original is in use.

16.17.8. Phonorecords, Broadcast Material, Video Cassettes, Audio Cassettes 

The requirements and limits under federal copyright laws for reproduction of phonorecords, broadcast material, videocassettes, and audiocassettes by libraries and archives are specifically set forth in Title 17 United States Code, Sections 108 through 112. All University employees responsible for reproduction of these items shall familiarize themselves with the statutes. Federal law and University policy require copyright law notices to be conspicuously displayed and consistent with this policy.

16.17.9. Copyright Notices 

16.17.9.1. Equipment Notice

A notice concerning copyright shall be conspicuously affixed to each piece of equipment capable of reproducing copyrighted material (with the exception of computers). The notice shall state the following:

“NOTICE

The making of copies may be subject to copyright law. Violation of copyright law can subject the violator to civil and criminal penalties for copyright infringement.”

16.17.9.2. Display Warning of Copyright

A “display warning of copyright restrictions” shall be displayed at the places where orders for copies or phonorecords, or tapes (audio or visual) are accepted by University copying services, all campus libraries, media services, and archives. The text of the notice of warning is below.

An “order warning of copyright restrictions” is a notice that shall be included on printed order forms supplied by campus libraries, copying services, archives, and media services and used by their patrons for ordering copies, phonorecords, or tapes (audio or visual). The text of the warning is below.

The warning notices shall read as follows:

“NOTICE WARNING CONCERNING COPYRIGHT RESTRICTIONS

The copyright law of the United States (Title 17, United States Code) governs the making of photocopies or other reproductions of copyrighted material. Under certain conditions specified in the law, libraries and archives are authorized to furnish a photocopy or other reproduction. One of these specified conditions is that the photocopy or reproduction is not to be ‘used for any purpose other than private study, scholarship, or research.’  If a user
makes a request for, or later uses, a photocopy or reproduction for purposes in excess of ‘fair use,’ that user may be liable for violation of copyright law.”

The display warning of copyright restrictions shall be printed on heavy paper or other durable material in type at least 18 points in size, and it shall be displayed prominently, in such a manner and location as to be clearly visible, legible, and comprehensible to a casual observer within the immediate vicinity of the place where orders are accepted.

The order warning of copyright restrictions shall be printed within a box located prominently on the order form itself, either on the front side of the form or immediately adjacent to the space calling for the name or signature of the person using the form. The notice shall be printed in type size no smaller than that used predominantly throughout the form, and in no case shall the type size be smaller than 8 points. The notice shall be printed in such manner as to be clearly legible, comprehensible, and readily apparent to a casual reader of the form.

16.17.10. Violation

16.17.10.1. Sanction

Violation of these procedures constitutes a violation of federal copyright law and University policy, which may result in disciplinary action to include termination of student status, employment, or visitor status at the University.

16.17.10.2. Department/School Responsibility

Each department/school shall be responsible for ensuring that these procedures are disseminated to all appropriate employees and students. All completed “reproduction of copyrighted material” forms for proposed copying on University facilities shall be approved by the requestor’s supervisor or department chair/school director. In colleges where there is no department or school, the dean will function as department chair in these processes.

Exhibit A: Agreement on Guidelines for Classroom Copying in Not-for-Profit Educational Institutions with Respect to Books and Periodicals 

The purpose of the following guidelines is to state the minimum and not the maximum standards of educational fair use under Section 107 of H.B. 2223. The parties agree that the conditions determining the extent of permissible copying for educational purposes may change in the future; that certain types of copying permitted under these guidelines may not be permissible in the future; and conversely that in the future other types of copying not permitted under these guidelines may be permissible under revised guidelines.

Moreover, the following statement of guidelines is not intended to limit the types of copying permitted under the standards of fair use under judicial decision; those types are stated in Section 107 of the Copyright Revision Bill. There may be instances in which copying that does not fall within the guidelines stated below may nevertheless be permitted under the criteria of fair use.

GUIDELINES

I. Single Copying for Teachers

A single copy may be made of any of the following by or for a teacher at his/her individual request for scholarly research or use in teaching or in preparation to teach a class:

A.   A chapter from a book;

B.   An article from a periodical or newspaper;

C.   A short story, short essay, or short poem, whether or not from a collective work;

D.   A chart, graph, diagram, drawing, cartoon, or picture from a book, periodical, or newspaper.

II. Multiple Copies for Classroom Use

Multiple copies (not to exceed in any event one copy per pupil in a course) may be made by or for the teacher giving the course for classroom use or discussion, provided that:

A.   The copying meets the tests of brevity and spontaneity as defined below; and

B.   Meets the cumulative-effect test as defined below; and

C.   Each copy includes a notice of copyright.

DEFINITIONS

Brevity

(i) Poetry: (a) a complete poem if less than 250 words and if printed on not more than two pages or, (b) from a longer poem, an excerpt of not more than 250 words.

(ii) Prose: (a) either a complete article, story, or essay of less than 2500 words, or (b) an excerpt from any prose work of not more than 1000 words or 10% of the work, whichever is less, but in any event a minimum of 500 words.

(iii) Illustrations: one chart, graph, diagram, drawing, cartoon, or picture per book or per periodical issue.

[Each of the numerical limits stated in (i) and (ii) above may be expanded to permit the completion of an unfinished line of a poem or of an unfinished prose paragraph.]

(iv) “Special” works: Certain works in poetry, prose, or in “poetic prose,” which often combine language with illustrations and which are intended sometimes for children and at other times for a more general audience, fall short of 2500 words in their entirety. Paragraph (ii) above notwithstanding, such “special” works may not be reproduced in their entirety; however, an excerpt comprising not more than two of the published pages of such special work and containing not more than 10 percent of the words found in the text thereof, may be reproduced.

Spontaneity

(i)   The copying is at the instance and inspiration of the individual teacher; and

(ii) The inspiration and decision to use the work and the moment of its use for maximum teaching effectiveness are so close in time that it would be unreasonable to expect a timely reply to a request for permission.

Cumulative Effect

(i) The copying of material is for only one course in the school in which the copies are made.

(ii) Not more than one short poem, article, story, essay, or two excerpts may be copies from the same author; not more than three from the same collective work or periodical volume during one class term.

(iii) There shall be not more than nine (9) instances of such multiple copying for one course during one class term.

[The limitations stated in ii. and iii. above shall not apply to current news periodicals and newspapers and current sections of other periodicals.]

III. Prohibitions as to I. and II. Above

Notwithstanding any of the above, the following shall be prohibited:

A.   Copying shall not be used to create or to replace or substitute for anthologies, compilations, or collective works. Such replacement or substitution may occur whether copies of various works or excerpts therefrom are accumulated or reproduced and used separately.

B.   There shall be no copying of or from works intended to be “consumable” in the course of study or of teaching. These include workbooks, exercises, standardized tests and test booklets and answer sheets and like consumable materials.

C.   Copying shall not:

(1) Substitute for the purchase of books, publishers’ reprints, or periodicals;

(2) Be directed by higher authority;

(3) Be repeated with respect to the same item by the same teacher from term to term.

D.   No charge shall be made to the student beyond the actual cost of photocopying.

Agreed March 19, 1976
Ad Hoc Committee on Copyright Law Revision:
By Sheldon Elliott Steinbach.
Author-Publisher Group.
Authors League of America:
By Irwin Karp, Counsel.
Association of American Publishers, Inc.:
By Alexander C. Hoffman, Chairman,
Copyright Committee

Exhibit B: Guidelines for Educational Uses of Music

The purpose of the following guidelines is to state the minimum and not the maximum standards of educational fair use under Section 107 of H.B. 2223. The parties agree that the conditions determining the extent of permissible copying for educational purposes may change in the future; that certain types of copying permitted under these guidelines may not be permissible in the future; and conversely that in the future other types of copying not permitted under the guidelines may be permissible under revised guidelines.

Moreover, the following statement of guidelines is not intended to limit the types of copying permitted under the standards of fair use under judicial decision; those types are stated in Section 107 of the Copyright Revision Bill. There may be instances in which copying that does not fall within the guidelines stated below may nevertheless be permitted under the criteria of fair use.

I. Permissible Uses

A. Emergency copying to replace purchased copies that for any reason are not available for an imminent performance, provided that purchased replacement copies shall be substituted in due course.

B. For academic purposes other than performance, single or multiple copies of excerpts of works may be made, provided that the excerpts do not comprise a part of the whole that would constitute a performance unit such as a section, movement, or aria, but in no case more than 10 percent of the whole work. The number of copies shall not exceed one copy per pupil.

C. Printed copies that have been purchased may be edited or simplified provided that the fundamental character of the work is not distorted or the lyrics, if any, altered, or lyrics added if none exist.

D.  A single copy of recordings of performances by students may be made for evaluation or rehearsal purposes and may be retained by the educational institution or individual teacher.

E. A single copy of a sound recording (such as a tape, disc, or cassette) of copyrighted music may be made from sound recordings owned by an educational institution or an individual teacher for the purpose of constructing aural exercises or examinations and may be retained by the educational institution or individual teacher. (This pertains only to the copyright of the music itself and not to any copyright that may exist in the recording.)

II. Prohibitions

A. Copying to create or replace or substitute for anthologies, compilations, or collective works.

B. Copying of or from works intended to be “consumable” in the course of study or of teaching such as workbooks, exercises, standardized tests and answer sheets and like materials.

C. Copying for the purpose of performance, except as in I.A above.

D. Copying for the purpose of substituting for the purchase of music, except as in I.A and I.B above.

E. Copying without inclusion of the copyright notice that appears on the printed copy.

Exhibit C: Permissions Request

Copyrights and Permissions Department
Publishing Company
Address
City, State, Zip Code

Dear Sir/Madam:

I would like permission to copy the following for (use in my class next semester)/(use in an anthology to be distributed to my class):

Author, editor, translator
File, edition, volume number of book or journal
Copyright date
ISBN for books, ISSN for magazines and journals
Material to be duplicated (pages, chapters, figures, and illustrations)
Number of copies to be made
Type of reprint (photocopy)
Whether material will be used alone or combined with other material
Name of college or university
Course name and number
Semester and year in which material will be used
Instructor’s full name, address, and telephone number

I have enclosed a copy of this letter and a self-addressed, stamped envelope for your convenience in replying
to this request.

Sincerely,
__________________________________

Faculty/Staff Member Signature

Permission granted:
__________________________________
Copyrights and Permissions Department   Date

16.18. Hazardous Waste Policy 

The Hazardous Waste policy and other safety policies are contained in the manual, Disposal of Regulated Hazardous Materials and can be found at https://inside.nku.edu/safety/policies.html.

Related NKU policies: Biological Safety; Chemical Safety

Related NKU resource: Safety and Emergency Management Policies, Procedures, and Forms 

16.19. Drug-Free Campus

Related NKU policy: Drug-Free Campus

16.19.1. Policy Statement & Applicability

Northern Kentucky University is a drug-free campus and workplace. The unlawful possession, use, distribution, dispensation, and manufacture of controlled substances is prohibited on the University’s campus and any other property it controls, in its programs and activities, and by employees performing University responsibilities on and off campus. University employees are prohibited from performing those responsibilities under the influence of controlled substances.

As used in this policy, “controlled substances” refers to controlled substances in Schedules I through V of Section 202 of the Comprehensive Drug Abuse Prevention and Control Act of 1970.

This policy does not prohibit the responsible use of prescribed medicines in a manner that is legal under both federal and state law.  

16.19.2. Education Programs

The University will maintain drug-free awareness programs to educate students and employees about the dangers of drug abuse, the availability of counseling, rehabilitation and assistance programs, and the requirements of this Drug-Free Campus policy and relevant laws. 

16.19.3. Federally Required Reporting

Supervisors who have reasonable cause to believe that an employee has possessed or used controlled substances while on campus, is under the influence of controlled substances while performing University responsibilities, or has otherwise violated this policy must immediately refer the matter to the Chief Human Resources Officer.

Federal law requires reporting of any instance in which a University employee is convicted of violating a criminal statute involving controlled substances for conduct occurring in the workplace. An employee who is subject to such a criminal conviction must notify their University supervisor within five (5) days of the conviction. Thereafter, the University will notify relevant federal contracting and granting agencies within ten (10) days after receiving such notice.

16.19.4. Enforcement

Criminal laws relating to controlled substances are enforced on campus by the Northern Kentucky University Police Department.   

In addition, this policy is enforced by the following officials:

• For students, by the Vice President for Student Affairs or designee;
• For faculty, by the Provost and Executive Vice President for Academic and Student Affairs or designee, in consultation with the Chief Human Resources Officer; and
• For non-faculty employees, by the Chief Human Resources Officer or designee.

Violations of this policy by an employee will subject the employee to appropriate disciplinary action, up to and including termination, in accordance with applicable processes. The employee also may be required to participate in an appropriate employee assistance program.

Students and student organizations who violate this policy are subject to disciplinary action according to the Community Standards and Student Rights and the Registered Student Organization Handbook.

Other individuals and entities who violate this policy may be removed from campus and are subject to criminal prosecution and other penalties. 

  16.20. Alcoholic Beverages

Related NKU policy: Alcoholic Beverages

Revised: Faculty Senate, 3.31.2025; BoR, 2.26.2025, Pres. Rec. D-1, pp. 109-114

16.20.1. Policy Statement

This policy establishes Northern Kentucky University’s rules relating to alcoholic beverages. These rules reinforce the University’s commitment to maintaining its campus as a safe place to learn and work and to fostering a healthy campus culture for its students
and employees:

• The service, sale, possession, consumption, and manufacture of alcoholic beverages is prohibited on the University’s campus and in its activities on and off campus, and employees may not consume alcoholic beverages while performing University responsibilities on or off campus, except where permitted by this policy.
• University employees may not be under the intoxicating influence of alcoholic beverages while on campus or while performing University responsibilities on or off campus.
• University funds may not be used to purchase or reimburse the purchase of alcoholic beverages. Northern Kentucky University Foundation funds may be used in accordance with the Foundation’s procedures
• Even when use of alcoholic beverages on campus is permitted by this policy, individuals under the age of 21 are prohibited from possessing, purchasing, and consuming them. In addition, it is a violation of this policy to provide an underage individual with an alcoholic beverage or otherwise assist an underage individual with obtaining alcoholic beverages
• Conduct relating to alcoholic beverages that is prohibited by criminal law is also a violation of this policy where the conduct occurs on campus, in connection with University off-campus functions, and/or during an employee’s performance of University responsibilities on and off campus (e.g., driving while intoxicated, use of false or fraudulent identification cards to obtain alcoholic beverages). Public intoxication as defined by Kentucky law is prohibited on the University’s campus.

Other University policies and rules also apply to use and misuse of alcoholic beverages, including the Hazing policy, the Code of Community Standards and Student Rights, the Registered Student Organization Handbook, and relevant provisions of the University’s housing contract. The University maintains a separate Drug-Free Campus policy.

16.20.2. Policy Applicability

This policy applies to all spaces and activities on the University’s campus, including for example:

• residence halls;
• the conduct of all individuals, groups, and entities while on the University’s campus, including employees, students, student organizations, contractors and service providers, and visitors;
• University-organized activities and functions that occur off campus; and
• the performance of University responsibilities by employees on and off campus. 

This policy also applies to spaces and activities at properties leased by the University for its functions and activities.

This policy does not apply to the residential properties that are owned by the University and leased to individuals or other entities for use as private homes or for organizational uses. 

This policy does not apply to events hosted off campus by the Northern Kentucky University Foundation.

As used in this policy, “alcoholic beverage” has the same meaning as provided by Kentucky law.

16.20.3. Education Programs

The University will provide periodic education, training, and other resources to the campus community regarding the health impacts associated with use and misuse of alcoholic beverages, dangers of underage alcohol consumption, and alcohol addiction. The University also will maintain a program to prevent the abuse of alcoholic beverages by students and employees, as required by federal law.

16.20.4. Exceptions

Alcoholic beverages may be served, sold, possessed, and consumed as described in the exceptions established below and only in a manner that is legal and responsible.

Even when use of alcoholic beverages is permitted by this policy, individuals engaging in activities involving alcoholic beverages must comply with applicable state and local laws. When required by law, state and/or local permits must be obtained prior to service of alcoholic beverages, and when those permit requirements apply, the terms and conditions of permits must be followed in connection with any event involving alcoholic beverages.

Note that in many instances, alcoholic beverages may be sold or provided on campus only by the University’s contracted caterer(s) or concessionaire(s). In those cases, the caterer / concessionaire may be responsible for obtaining and ensuring compliance with state and local laws and permitting requirements, and event participants therefore must comply with protocols required by the caterer / concessionaire.

A. Official University Functions

Alcoholic beverages are permitted at official University functions, on and off campus, when organized or approved by the President, Board of Regents Executive Secretary, Provost and Executive Vice President for Academic and Student Affairs, Vice President for Administration and Finance, Vice President for Student Affairs, Vice President and Director of Athletics, Vice President for Advancement, or their designee(s).

B. Arena Events

Alcoholic beverages may be sold, served, and consumed during events at Truist Arena in accordance with the University’s arena management contract and applicable laws. The University may prohibit alcoholic beverages at certain events (e.g., commencement).

C. Northern Terrace Residence Hall

Residents of Northern Terrace Residence Hall and their guests (21 and over) may possess and consume alcoholic beverages in residence hall rooms for the 2025-26 academic year, with extensions to be considered at a later date. Alcoholic beverages may not be consumed in any other areas of Northern Terrace, including in common areas. Northern Terrace residents and guests must comply with other specific rules and housing contract terms applicable to that facility.

D. Student Events

Alcoholic beverages may not be served or consumed at Registered Student Organization campus events or at other primarily student-facing campus events unless approved in advance by the Vice President for Student Affairs or designee. These events may be subject to additional requirements established by Student Affairs. At least fourteen (14) days prior to any such events involving alcoholic beverages, the event leader must complete and submit an NKU Alcoholic Beverage Event Form.

E. Foundation Events

Events hosted on the University’s campus by the Northern Kentucky University Foundation may involve the service and consumption of alcoholic beverages when approved by the Vice President for Advancement and operated in compliance with applicable laws and permits.

F. Private Events

Alcoholic beverages are permitted at private events held by outside entities on the University’s campus when permitted under the entity’s contract with the University or otherwise authorized by the Vice President for Administration and Finance or designee, so long as the service and consumption of alcoholic beverages complies with the relevant facility use agreement and permitting requirements.

G. Education and Research 

Coursework covering the biological process of fermentation; laboratory training in fermentation processes relevant to careers in industry, brewing, wine-making, and distilling; and research on fermentation processes will be exempt from this policy so long as all applicable state and federal laws are followed. 

H. Other Exceptions

Additional exceptions to this policy may be granted by the President, the Provost and Executive Vice President for Academic and Student Affairs, or the Vice President for Administration and Finance.

16.20.5. Advertising and Marketing

Advertising, marketing, and promotion of alcoholic beverages is prohibited on the University’s campus, except for advertising and signage in Truist Arena that is permitted by the University’s multi-media rights and other relevant agreements.

16.20.6. Amnesty for Students

The University recognizes that students may be hesitant to report severe misconduct involving alcoholic beverages, including hazing and sexual misconduct, due to fear of potential consequences of their own behavior, such as underage consumption. To encourage reporting, the University will extend amnesty to students who are victims and/or witnesses of such severe misconduct and who truthfully report it.

16.20.7. Enforcement

This policy is enforced by the following officials:

• For students, by the Vice President for Student Affairs or designee;
• For faculty, by the Provost and Executive Vice President for Academic and Student Affairs or designee;
• For non-faculty employees, by the Chief Human Resources Officer or designee; and
• For all other individuals, by the University office with supervision over the corresponding contract or event.

Students and student organizations who violate this policy are subject to disciplinary action according to the Code of Community Standards and Student Rights and the Registered Student Organization Handbook.

Employees who violate this policy are subject to disciplinary action according to applicable processes.

Other individuals and entities who violate this policy may be removed from campus and are subject to other penalties and/or criminal prosecution.

The Northern Kentucky University Police Department has authority to enforce criminal laws regarding alcohol use, possession, and related misconduct.

16.21. Hazing

Related NKU policy: Hazing 

Revision: Revision approved by Faculty Senate 4/28/2025 to reflect updates to NKU Hazing policy 

16.21.1. Policy Overview
Northern Kentucky University is committed to providing a safe environment where students can participate in University organizations without being subjected to hazing as a condition of entry, membership, or affiliation.

16.21.2. Entities Affected and Scope
This policy applies to all members of the University community. As used in this policy, the “University community” includes faculty, staff, students, student organizations, and third parties such as guests, visitors, or volunteers when participating in activities on campus and with University student organizations on and off campus.

This policy applies to hazing occurring within the University community, regardless of whether it occurs on or off campus.

16.21.3. Policy Statement
Hazing is strictly prohibited by the University, as described below. Any individual or University organization found responsible for hazing may be subject to discipline by the University, including termination or expulsion in accordance with applicable processes and criminal prosecution.

A. Hazing Defined
Hazing means any action or situation created or facilitated by a member of the University community that recklessly or intentionally endangers the mental or physical health or safety of another for the purposes of recruitment, initiation into, affiliation with, or enhancing or maintaining membership or status with a University organization including, but not limited to, University registered student organizations.

Examples of hazing include, but are not limited to, the following:

• paddling, whipping, beating, branding, or electric shock;
• forced or coerced consumption of food, liquid, tobacco, alcohol, drug, or other controlled or harmful substances;
• personal servitude;
• degrading or humiliating acts;
• sleep deprivation;
• unreasonable exposure to the elements;
• kidnapping or abandonment;
• demands or requests for acts, demonstrations, or favors of a sexual nature;
• activity that creates a reasonable likelihood of serious physical injury and/or violation of University policy, state, and/or federal law.

Consent of the individual being hazed to the reported hazing activity is immaterial and will not be considered a defense against a hazing allegation. 

For purposes of this policy, “University organization” means an organization registered or associated with the University including, but not limited to, registered student organizations, groups, clubs, athletic teams, club sports teams, fraternities, sororities, and pep band.

B. Reporting Hazing
Persons who suspect or have knowledge of hazing must immediately report the matter to the University. Failure to do so is a violation of this policy and may result in discipline.

Reports should be made to the Student Conduct Office in-person, via telephone, email, or by submitting a Hazing Report through the Ethics and Compliance Helpline, which provides an anonymous option for reporting.

Student Conduct Office
Student Union 301
studentconduct@nku.edu
(859) 572-6475

For immediate assistance or to report an emergency, reports should be made to University Police.

University Police
251 Nunn Drive
Highland Heights, Kentucky
(859) 572-7777 or 911

NKU App
The NKU app provides free texting to University Police when calling may be dangerous or impossible. To use this option, open the NKU app on your cell phone and select “contact campus police.” The app allows users to share their geolocation, photos, and video and allows University police to view the ALL CARD photo of the name of the person contacting them.

C. Amnesty
The University recognizes that students may be hesitant to report hazing incidents due to fear of potential consequences for their own behavior. To encourage reporting, the University will extend amnesty to students who are victims and/or witnesses of hazing and truthfully report the incident. The University also reserves the right, in its sole discretion, to extend amnesty to persons who participate in hazing behavior when the individual truthfully reports the incident and agrees to participate with the University in each stage of the investigation including, but not limited to, serving as a witness in the investigation.

Additionally, students who request emergency help for themselves or others because of an alcohol or drug-related emergency, as well as the person in distress, will be provided amnesty and will not face any disciplinary action from the University.

Amnesty only applies to violations of this Hazing policy and does not apply to other University policy violations that occur during the hazing incident or to separate civil or criminal action that may be taken by law enforcement or other agency.

D. Disciplinary Action
Students and student organizations that violate this Hazing policy will be subject to discipline by the University in accordance with the Community Standards and Student Rights including, but not limited to, suspension, expulsion, or revocation of the organization’s registered status.

Faculty and staff that violate this Hazing policy will be subject to possible loss of employment or other appropriate disciplinary action in accordance with the Faculty Policies and Procedures Handbook, Chase College of Law Faculty Handbook, and University Policies and Procedures.

Guests, visitors, and volunteers who violate this policy may be removed and/or trespassed from University property and may be subject to civil or criminal action.

E. References

KRS § 164.375 – Policy statements of boards of trustees concerning "hazing" activities of campus organizations

KRS § 508.180 – Definitions of “hazing”, “organization”, and “student”

Public Law 118-173 – Federal Stop Campus Hazing Act

Ethics Hotline policy