Rutgers University Senate Committee on Instruction,
Curricula, and Advising
Possible Conflict of Interest in the Assignment of Textbooks
Charge
S-0325: Consider
the issue of assignment of textbooks in courses taught by paid authors
or reviewers of those textbooks.Make
recommendations on whether policies should be established in this area,
including return of royalties to textbook purchasers, price discounting,
and the general appropriateness of the practice.Consult
with University Counsel regarding legal aspects of the issue.
Background:
This issue was originally brought
to the Senate by Dean Holly Smith and stems from issues detailed in a Chronicle
of Higher Education article:
The primary issue addressed
in this article is the practice apparently adopted by some publishers of
offering either individual faculty members, or in some cases deans or departments,
financial incentives to adopt specific textbooks.In
some cases these incentives are offered as "reviewing fees" that may total
thousands of dollars but are clearly contingent upon adoption of that textbook.
Reviewing Fees:
After discussion it was the
consensus of the Committee that the acceptance of reviewing fees on the
part of faculty is a non-issue as long as the fee is not contingent upon
the adoption of any specific textbook.Where
such a contingency does exist the acceptance of that fee by an individual
or department would seem to be a clear violation of professional ethics.It
is the opinion of University Counsel that in such cases there could also
be legal issues under New Jersey law with respect to accepting a bribe
and the state conflict of interest statute.In
point of fact the State of New Jersey has previously instituted criminal
proceedings when a state employee accepted payment in exchange for directing
that others purchase specific course materials.
Use of Textbooks in Courses Taught by Authors of
Those Textbooks:
The Committee was also asked to consider the issue
of textbooks being assigned by the authors of those textbooks.
In conjunction with our discussion, the Committee
looked at policies on the use of faculty-authored textbooks currently in
place at a number of different institutions [See Appendix A].
Such policies range from one or two brief sentences
(see, for example, Louisiana Tech) to detailed policies and procedures
designed to cover a variety of situations (see, for example Penn State).
Most either in some way restrict the amount of financial gain that can
be realized from the adoption of a particular text, or have policies in
place that in essence safeguard the individual from accusations of adopting
a particular text based on financial, rather than pedagogical considerations.
The Committee found the proliferation of policies
relating to this issue somewhat surprising; clearly this is an issue that
has received wide-spread attention.Rutgers,
which does not offer any guidelines in this matter, would seem to be in
the minority among academic institutions in this regard.
It is the consensus of the Committee
that there is nothing inherently wrong with someone using their own textbook
for a course that they are teaching, especially in an upper level class
where enrollment is limited and where that particular book may indeed be
the one that best corresponds to the content of the course.Author
royalties are normally not more than six percent, even a very expensive
textbook is unlikely to generate more than $250-$275 per course.
There are Rutgers faculty that
regularly give royalties received as a result of their textbooks being
used in sections/courses that they teach back to the university.While
the Committee found this practice commendable, we did not feel that this
is something that should be required.
The situation is more problematic
in large lecture courses where a text might be required for hundreds of
students.How the textbook is decided
on varies from department to department and course to course.In
some cases it is a group decision; in some cases an individual decides.
While only a small percentage
of Rutgers courses would present an opportunity to realize any significant
profit through the adoption of a specific text, it should be a given that
textbooks are chosen on the basis of pedagogical merit and that neither
an individual nor a department should profit financially from the adoption
of a textbook where such profits are likely to be reflected in the prices
being paid by students for those textbooks.
Recommendation:
We recommend that the following policy be submitted
to the Board of Governors for inclusion in Rutgers University Regulations
and Procedures Manual:
Policy on the Selection of Textbooks and Related Educational Materials
1. Policy Guidelines
a.Textbooks
and other teaching materials should be chosen entirely for their academic
and pedagogical value.It is the
responsibility of every course instructor to use the most suitable textbook
for that course, regardless of whether or not that instructor authored
the textbook.
b.It is recognized
that sometimes there is no single, obvious, outstanding textbook choice.In
those instances factors such as availability and price can influence textbook
selection as long as pedagogical value receives primary consideration.
c.The selection
of a textbook should be able to stand the test of peer review.
2.Faculty-Authored
Textbooks
a.If a faculty
member is teaching a course or a section of a course with an enrollment
of more than 100 students and wishes to use a textbook that they have authored,
they must first secure the approval of a departmental review panel.
b.The review
panel should consist of at least three tenured members of the department
in which the course is being offered, excluding the faculty member seeking
approval.If three tenured members
from that department are not available, the department may invite a faculty
member from another department to serve on the review panel.If
the department chair deems it appropriate, a faculty member from another
department may be invited to serve on the review panel even when an adequate
number of tenured department members are available.
c.The review
panel’s decision to approve or disapprove the request should be based solely
on the Policy Guidelines listed above.
3.Courses
with Multiple Sections
a.To
avoid even the appearance of any possible conflict of interest, in courses
with multiple sections in which a single textbook is to be used the selection
of a textbook should not be left to any one individual.
b.In
these instances selection should be made by all, or a subset of, the course
instructors, or by some other equitable and academically sound selection
method as determined by the department.
4.Revenue-Sharing
and other Agreements with Publishers
a.Any
discussions about possible revenue-sharing agreements with commercial publishers,
printers, or other textbook providers should take place only after the
selection of the textbook or other teaching material has been completed
based solely on the Policy Guidelines listed above
b.In no instance
should either an individual faculty member, or an academic unit, accept
a financial incentive to adopt a specific textbook.
c.In
any agreements with publishers or other providers, the department has a
responsibility to be conscious of the needs and concerns of the students
that will have to buy those materials.Any
agreement with a textbook publisher should include the proviso that the
price that Rutgers students will pay for that textbook and any accompanying
material is as low as (or lower than) the price paid by students at other
universities.
10/01/04
Appendix A
Policies
on Use of Faculty-Authored Textbooks
Boise State
TEXTBOOKS
AUTHORED BY COURSE INSTRUCTORS
|
PURPOSE
|
To
clarify policy concerning textbooks authored by course instructors.
|
I. Policy Statement
Every course instructor has the responsibility to use the best possible
textbook in that course, regardless if the course instructor authored the
textbook. The selection of a textbook should be able to stand the test
of peer review.
II.
Guidelines
A faculty member
may use in a course a textbook he/she authored provided that (a) the book
was published by an established publishing house in which the instructor
has no financial interest, (b) the book was peer-reviewed by that publisher
prior to publication, and (c) the book is intended for adoption and use
by institutions of higher education.
III. Procedure
A. Any faculty member
may use in a course any textbook he/she authored that meets the above guidelines,
subject to the usual approval of the department chair.
B. A course instructor
using a textbook he/she authored that meets the above guidelines should
make a copy of that textbook available through the department for student
review.
C. Any textbook or
other course materials that a faculty member has developed that does not
meet the above guidelines is subject to the usual approval process by the
department chair. In addition, because of potential conflict of interest,
faculty members and departments may not charge royalties or commissions
for any course materials (e.g., “coursepacks” or related course notes)
that he/she has prepared that do not meet the above guidelines. Costs for
these course materials to students are limited to the actual reproduction
costs of the materials.
Central Connecticut State
Policy Concerning the Assigning of Faculty Authored Textbooks
To Students Taught by Same Faculty
|
|
Assignment of Textbooks:
Section
1-84 of the Connecticut General Statutes prohibits public officials and
other state employees from using their public office or position to obtain
a financial gain for themselves or their family members or any business
with which they are associated. A faculty member’s assignment of
a textbook authored or developed by the faculty member could be considered
as “obtaining financial gain” for the faculty member in violation of the
Connecticut State Ethics Code. Before requiring students to purchase
a textbook or intellectual property for a course that the faculty member
authored or developed, the faculty member must obtain prior approval for
such use. The prior approval process is not necessary if the faculty
member directs any financial gain to a University fund or to a recognized
501(c)(3) entity from which that faculty member derives no personal financial
benefit. |
|
Pursuant
to the State of Connecticut Ethics Commission’s requirement in Advisory
Opinion 2001-7, Central Connecticut State University requires that there
be established a review panel that will rule on requests to utilize a professor’s
text for his or her class.
Review
Panel Composition
The
review panel is appointed by the Vice President for Academic Affairs and
shall include no fewer than five (5) members including tenured faculty
members recommended by the Deans of their respective Schools. Faculty
shall represent different departments.
Terms of Appointment
Members
on this panel serve for two-year staggered terms. Initially, half
of the members will be appointed for a period of one year. New Members
are selected in late spring. The term of office concludes at the
end of the academic year in late August.
Operating
Procedures
The
review panel selects a chair for a two-year period who is responsible for
all communications with the faculty and administration. The review
panel considers requests, justification and evidence submitted by full-time
or part-time faculty members who have authored a textbook and wish to assign
that textbook to students in courses they teach at the university.
After considering all appropriate materials, the review panel rules and
can approve requests if the requests meet one or both of the following
requirements:
-
the text
is recognized as the standard in the field, or
-
offers
a unique perspective on the topic of study
The
panel informs the faculty member in writing of its decision indicating
the reason for approval or disapproval, no later than 30 days from the
day the request is received by the panel. A copy of the decision
is transmitted to the Vice President for Academic Affairs. All decisions
require a majority vote. A panel member who represents the department
of the faculty member whose request is under consideration may not vote
on that request.
|
Louisiana Tech
Textbooks and coursework materials authored by
Louisiana Tech faculty may be adopted provided the selection is approved
by the college dean. In a case where a dean is the author of selected materials,
approval must be obtained from the Vice President for Academic Affairs.
Mississippi State University
II.
Adoption and Sale of Textbooks and Related Educational Materials (AOP
10.13)
Educational material is defined as any instruments,
devices, software, or published, dittoed, mimeographed or other materials
used in the classroom or laboratory…
1.There
are no restrictions on the use of textbooks published by faculty members.
In fact, Mississippi State University encourages faculty members to write
and publish.
2Students
are not allowed to pay for educational material directly to teachers for
any course materials unless prior approval from the appropriate administration
has been received by the teacher.
3.If
the educational materials are sold to students through means other than
Mississippi State University Bookstore, a written request for exceptions
must be obtained from the usual administrative channels.
4.If
any conflict of interest arises as a result of sales of textbooks or other
educational materials, the Provost and Vice President for Academic Affairs,
in consultation with the Deans Council and Faculty Senate and Student Government,
will appoint a committee to hear the case and advise the Provost on a course
of action.
5.Copyright
clearance must be obtained by the authoring department or faculty, where
necessary, for compilations to be resold through the MSU Bookstore. University
Legal Counsel or Bookstore may assist in this process, if so desired.
6.Royalties
may not be paid to individual faculty for compilations produced while in
the University employ and copied for resale through the MSU Bookstore.
Penn State
http://www.la.psu.edu/ASSOCDEA/textbookrevguides.htm
Guidelines
for Generating Revenue from Textbook Sales
College
of the Liberal Arts
January 2003
Background
In recent years,
textbooks assigned for courses have become a significant source of revenue-sharing
for academic units both here and at other institutions. To some extent,
this is not a new situation. Some Penn State departments have long derived
income not only from instruction itself (as with Summer Sessions or Distance
Education courses), but also from course materials. However, recent technological,
economic, and institutional changes have brought increased attention to
the opportunities for textbook revenue.
There are various
models or arrangements through which textbook revenue can be generated,
including, but not limited to, (1) revenue-sharing agreements with external
publishers of textbooks—with or without the customization of textbooks
for specific Penn State courses; (2) collaborative agreements with our
own University Press as a publisher; and (3) arrangements with copy centers,
commercial printers, etc., to produce instructional materials that may
range from traditional photocopied packets to booklets or books with a
more polished appearance. Further, electronic media as well as print media
may be involved, as it has become increasingly common for courseware packages
that students purchase to include a CD, a password for Web site access,
etc.
Because this
can be a complicated situation, involving questions of academic quality,
intellectual property, professional ethics, etc., the College of the Liberal
Arts has established the following policy for textbook revenue. This policy
first offers general principles and then provides guidelines for implementation.
Questions or suggestions should be directed to the Associate Dean for Administration.
Principles:
1. Textbooks and other teaching materials should
be chosen entirely for their academic and pedagogical value. It is recognized
that sometimes there is no single, obvious, outstanding textbook choice,
and that factors such as availability and price, as well as academic content,
can influence textbook selection, but the selection process should be based
on academic and related pedagogical concerns.
2. Any policy to adopt revenue-sharing agreements
with publishers, printers, or other providers must be approved by the department
head and be in accordance with normal departmental governance policies
and procedures where applicable. College-level approval is also required.
3. In any agreements with publishers, printers,
or other providers, the department must act at all times as the “good agent”
of the students. Where a commercial textbook is used, any agreement with
its publisher must include the proviso that the price that Penn State students
pay for the textbook and any accompanying materials is as low as (or lower
than) the price paid by students for that textbook at any university in
the country.
4. To avoid even the appearance of conflict of
interest, Liberal Arts instructors should not profit personally from their
power to select (or to influence the selection of) course materials used
in the College. Revenue may come to the College, department, or program,
and be used for normal academic purposes, but instructors should not profit
personally through royalties from copies of their books that are assigned
for courses within their department or other Penn State courses where they
have influence over book selection. Similarly, instructors, course coordinators,
etc., should not receive payments from publishers for adopting a book,
or from copy shops for directing business their way. (Note: This College
principle is intended to be clear for our purposes. University policy may
be confusing, since AD46, Policy Governing Copyright Clearance, prohibits
such payments, while AD17, Royalty Payments for Course Materials, permits
them under certain circumstances.)
Guidelines:
1. Textbook selection and development should be
made through normal departmental procedures and should be based on academic
and pedagogical considerations only. When commercial publishers are involved,
discussions concerning revenue sharing should take place only after the
selection of the textbook or other teaching materials has been completed.
2. Arrangements for revenue sharing may occur in
any type of course, but there is no expectation that all courses or all
academic units will participate. Efforts should be focused on situations
where significant benefits seem likely to occur. The maximum leverage and
potential for revenue sharing exists in large enrollment courses at the
introductory level, for several reasons: (1) Such courses are likely to
have large numbers of students using the same textbooks; (2) Often there
are multiple commercial textbooks available, which are near perfect substitutes
for one another, thus encouraging competition among them; (3) Introductory
courses are often taught by TA’s and fixed-term lecturers, with book selection
undertaken by a course coordinator rather than by each individual instructor.
3. The availability of revenue-sharing is often
influenced by the question of whether a used-book market does, or does
not, exist in a given situation. Arrangements with publishers that eliminate
the used-book market through frequent updates, customized publishing, or
technological enhancements are likely to generate the most revenue. However,
such tailoring of instructional materials must always be academically defensible
and viable.
4. Any contractual arrangements with publishers
or other vendors, once recommended by the academic unit as indicated above,
should be approved and signed by the Associate Dean. Upon request, if a
project to use an existing commercial textbook (see Model #1 below) seems
likely to generate significant revenue, the Associate Dean will handle
all negotiations with the publisher or other vendor.
5. Any materials that students buy as part of an
agreement with a publisher (for example, collections of readings, a CD,
an online workbook) must be integral parts of the course.
6. The establishment, monitoring, and maintenance
of revenue-sharing through textbook arrangements with publishers or other
vendors is likely to be time consuming and can be stressful. Departments
that undertake such arrangements should clearly delineate how and by whom
they will be managed. Early consultation with the Associate Dean is encouraged.
Models:
1. Using an existing book on the commercial textbook
market. The publisher pays the department/college a percentage or fixed
amount on each book sold. The price to Penn State students can be no higher
than the price at which the book is sold at other universities. In this
model, no attempt is made to eliminate the used book market, so revenues
will decline after the first semester of the adoption of a new text. This
pattern of variable revenue-generation will recur each time there is a
new edition of the text.
2. Customizing a publisher’s book. The publisher
pays the department/college a percentage or fixed amount on each book sold,
but through custom publishing the book is changed significantly each semester
or each year to bring it up to date pedagogically. Students are required
to buy the updated version, which may be tailored specifically to the way
a course is taught at Penn State in a given semester. This eliminates the
used-book market. Revenue-generation is steady, based on enrollments.
3. Developing a package that includes supplemental
course materials. Course materials, sold as one package, include components
that are regularly updated or used up, such as a workbook, or essential
Web-based technology that requires the student to purchase a pass code
for a specific semester. As with a customized book, revenue-generation
is steady, based on enrollments.
4. Developing our own course materials. The department
or program develops its own textbook or workbook or other course materials.
These may be produced just for Penn State students via a copy center, printer,
or similar vendor (but not sold by the academic unit or instructor directly
to students, which is against University policy). Or, course materials
developed by the department or program may be contracted to a publisher,
including our University Press, which publishes and markets them both here
and elsewhere. Customization and technology enhancement, noted above, will
have the same effects in the case of departmentally created materials as
when textbooks or other materials not created here are used. Faculty, graduate
students, or other Penn State personnel who develop these materials can
be paid supplemental compensation or given released time from teaching.
Course materials developed as part of a developer’s regular University
assignment are considered work for hire and do not bring royalties or copyright
to the creators.
University of Memphis
SUBJECT:Faculty
Authored Textbooks
POLICY
NO.:1:2A:14:01DATE:January
15, 1985
SUPERSEDES
POLICY NO.:NoneDATED:
Copyrighted material prepared by The University
of Memphis faculty and staff may be required for student purchase only
by the unanimous decision of a committee of the department in which it
is to be used.Such required purchase
of instructional material must also be approved by the department chairman,
or in cases where no department chairman exists, the appropriate administrative
officer; and, in the case of materials designed solely for a University
of Memphis audience, the responsible dean.
The
appropriate dean will, in each case where faculty-authored material is
required to be purchased by students, approve the selection process to
assure its objectivity.
In
addition, anyone preparing material to be copyrighted and designed solely
for a University of Memphis audience must obtain advance approval to avoid
possible loss and must comply with Policy No. 1:2B:01:11 and Procedure
No. 2B:01:11A, Patents and Copyrights.
Faculty authored material which is required to be
purchased by students may not be sold directly to students by a faculty
member, department, or college, but must be available for purchase at established
outlets, including the University store.
University of Missouri
http://provost.missouri.edu/faculty/proceeds.html
Proceeds from
Faculty Authored Textbooks and Materials
Textbooks, tapes, software and other materials
authored by the course instructor may be assigned to be purchased by students
for a course taught by the author if the royalties arising from the purchase
of the assigned materials are returned to the University of Missouri, another
educational institution, a charitable organization, or a not-for-profit
foundation. Any proceeds from other University uses of such materials,
such as purchase by the library, shall be the property of the faculty member.
University of South Florida
FACULTY-AUTHORED
TEXTBOOKS
Sec. 112.313 , F.S.
A
faculty member who is the author of a textbook, book, software, or collateral
materials and who requires the use of that material in his or her course
or courses, must inform the Provost if more than $500 is received in one
year from the required use of the textbook in his or her class. The faculty
member must certify that the required text is the only text that is uniquely
suited for use in the author's class. The number of students expected to
enroll in the class for the year should be included. The above reporting
requirements also apply when the faculty member assigning the materials
is a relative of the author, a member of a teaching team of which the author
is a member, or if the author is in a position to require the materials
in any University course or program
Virginia Tech
http://www.policies.vt.edu/policymemos/ppm101.html
Revision
of Policy Memorandum #5, Faculty Authored Textbooks
Policy
Memorandum No. 101
Recommended
by the Commission on Undergraduate Studies
Approved by University Council: March 6, 1989
Approved by the President: March 6, 1989
Effective: Immediately
With
approval of the Commissions on Faculty Affairs, Graduate Studies and Research,
and Undergraduate Studies, the University Council took action in May 1978
to establish policy on adoption of textbooks authored by Virginia Tech
faculty and intended for purchase by students for use in our classes. The
policy, as written, states:
It
is the policy of the University that textbooks, manuals, workbooks or other
class material authored by Virginia Tech faculty and intended for purchase
by students for use in Virginia Tech classes may not be used unless first
approved by the appropriate departmental, collegiate and university-level
committees.
On March 6, 1989, at the recommendation of the Commission
on Undergraduate Studies, University Council took action to revise the
policy with regard to approval requirements and review for faculty accused
of abusing the policy. The revision eliminates the required approval by
the Commission on Undergraduate Studies and places the responsibility for
approval for use of faculty-authored textbooks with the department chair.
Following
is the text of the resolution as adopted by the University Council.
WHEREAS,
new technologies increase the types of materials available for classroom
use, and
WHEREAS,
the University wishes to encourage faculty to develop and use all resources
available to increase the quality of teaching, and
WHEREAS,
potential abuse of the new technologies of printing, computing and video
capabilities are of concern to the University community, and
WHEREAS,
the University wishes to preserve academic freedom and integrity,
BE
IT RESOLVED,
that a faculty member teaching a course may not receive a royalty and/or
other fees beyond direct cost of production and sales for any material
used as part of class activity, except for material that has received an
independent external review, that has been copyrighted and a portion of
the copyright is owned by a publisher other than the author. This resolution
replaces Policy No. 5 (1)--dated June 29, 1978--pertaining to faculty authored
textbooks, which is described in Section 3.4.1 of the FACULTY HANDBOOK
and
BE
IT FURTHER RESOLVED
that faculty accused of abusing the distribution of classroom material
for personal financial gain will be subject to review by the Committee
on Faculty Ethics.
Western
Washington University
http://www.wwu.edu/depts/internalaudit/ethnicsLAW.shtml
9.
AUTHORED FACULTY USING THEIR TEXTBOOKS IN THEIR CLASSES
Washington
State law states that a faculty member may not have a beneficial interest
in a textbook assigned to their own students. (RCW 42.52.030)
a.This
does not mean that faculty are precluded from using their own textbooks
in their classes but does mean that the faculty can not receive any compensation
(other than their state salary) if their textbook is used in their class(es).
This also applies if the faculty author is a decision maker in the choice
of textbooks for other classes if his or her textbook is used in classes
taught by other faculty. (RCW 42.52.020 & 42.52.110)
b.The
textbooks can be used if:
1.A
Dean, Chair or committee that does not include the faculty author decides
which book will be used in the faculty author’s class(es); OR
2.The
faculty agrees to waive any royalties (or other compensation) that would
be received due to the sale of the textbooks to the students taking the
class; OR
3.The
faculty member assigns their rights to the University for any proceeds
that result from the sale to their students. Also, the faculty member can
not have a role in determining how the royalties would be distributed or
spent by the University.