1 ORGANIZATION OVERVIEEW

1.1 Title Page

Full Legal Name of Organization: S.C. Johnson Graduate School of Business Administration, Cornell University Operating Name of Organization: The Johnson School Common Acronym of Organization, if applicable: n/a URL for Organization Homepage, if applicable: www.johnson.cornell.edu Date of Submission: November 20, 2007 Contact Information: Legal Address of organization: (Address of the Cornell-Queen’s Executive MBA office) 130 E. Seneca St., Suite 520, Ithaca, NY 14850 Telephone: (607) 254-1260 Fax: (607) 255-0018 E-mail: [email protected] (also: [email protected]) Legal representative of organization: Last name: Szpiro First name: Daniel Department or Unit: Cornell-Queen’s Executive MBA Program Address: 130 E. Seneca St., Suite 520, Ithaca, NY 14850 Telephone: (607) 254-1260 E-mail: [email protected] Official function within organization: Director, Cornell-Queen’s Executive MBA Program Contact person to liaise with the Organization Review Panel: Name: Daniel Szpiro Title: Director, Cornell-Queen’s Executive MBA Program Address: 130 E. Seneca St., Suite 520, Ithaca, NY 14850 Telephone: (607) 254-1260 E-mail: [email protected] Program Information: How many programs are being submitted to the Minister for consent at this time? _____1_____

1 1.2 Proposed Program

Locations/Addresses Street Address: 3389 Steeles Ave E, Room 402 where Proposed City: Toronto Program to be Province: Ontario Delivered Postal Code: M2H 3S8 Telephone: 416-756-3673 Street Address: 4141 Living Arts Blvd. City: Mississauga Province: Ontario Postal Code: L5B 4B8 Telephone: 905-306-6104 Street Address: 79 Wellington St. West, Suite 1205 City: Toronto Province: Ontario Postal Code: M5K 1B1 Telephone: 416-367-3093 Street Address: 350 Albert St., Suite 220 City: Ottawa Province: Ontario Postal Code: K1R 1B1 Telephone: 613 566 2102 Street Address: 421 Union Street City: Kingston Province: Ontario Postal Code: K7L 3N6 Telephone: 613-533-6811

Proposed Degree Proposed Degree Indicate Degree Does the Title Nomenclature Level and Type to be organization already Awarded for have Ministerial Program or Part of Consent to offer this Program program at another location in Ontario? Master of Business M.B.A. Masters Degree No Administration

2 1.3 Table of Contents

Section Title Page

1 Organization Overview ...... 1 1.1 Title Page ...... 1 1.2 Proposed Program ...... 2 1.3 Table of Content ...... 3 2 Organization Information ...... 5 2.1 Information about the Organization and its Operations ...... 5 2.2 Information about the Owners ...... 6 2.3 Institutional Representatives for Meeting Organizational Review Panel .... 7 3 Executive Summary ...... 8 3.1 Executive Summary ...... 8 4 Synopsis of Proposed Program ...... 10 4.1 Program Abstract ...... 10 5 Mission Statement and Academic Goals ...... 18 5.1 History, Mission, and Goals ...... 18 5.2 Relationship of Programs to Mission ...... 20 5.2.1 Current Degree Programs ...... 20 5.2.2 Proposed Program and Mission / Goals ...... 21 5.3 Five-Year Business Plan ...... 22 5.4 Academic Policies ...... 27 6 Administrative Capacity ...... 31 6.1 Legal Characteristics ...... 31 6.2 Governance Structure ...... 42 6.2.1 Organization Chart ...... 43 6.2.2 Responsibilities and Authority ...... 44 6.2.3 Reporting Structure ...... 45 6.3 Administrative Staff ...... 46 6.3.1 Administrative Positions ...... 46 6.3.2 Administrative Staff ...... 48 6.4 Coordination of Business and Academic Plans ...... 84 6.5 Participation in Academic Policies and Standards ...... 85 7 Ethical Conduct ...... 87 7.1 Prior History ...... 87 7.1.1 Explanation of Past Fraud or Misrepresentation ...... 87 7.1.2 Explanation of Pending Legal or Administrative Actions ...... 87 7.1.3 Information about Owners / Officers ...... 87 7.2 Ethical Standards ...... 87 8 Student Protection ...... 91 8.1 Student Recruitment Policies ...... 91 8.2 Policy Awareness ...... 92 8.2.1 Academic Calendar ...... 92 8.2.2 Policy Awareness ...... 118 9 Academic Freedom and Integrity ...... 119 9.1 Academic Freedom ...... 119 9.1.1 Academic Freedom Policy ...... 119 9.1.2 Academic Freedom Constraints ...... 119 9.2 Intellectual Property ...... 120

3 9.3 Ethical Research Practices ...... 130 9.4 Academic Honesty ...... 134 9.4.1 Academic Honesty Policy ...... 134 9.4.2 Academic Honesty Procedure ...... 143 10 Financial Stability ...... 144 10.1 Financial Viability ...... 144 10.1.1 Financial Resources ...... 144 10.1.2 Sufficient Capital ...... 144 10.1.3 Projection: Tuition Fee Collection ...... 144 10.2 Financial Audit Policy ...... 144 11 Dispute Resolution ...... 145 11.1 Dispute Resolution Policies ...... 145 11.2 Policy Implementation and Awareness ...... 145 12 Organization Evaluation ...... 146

4 2. ORGANIZATION INFORMATION

2.1 Information about the Organization and its Operations

1) Location

Administrative (operating) Address: Cornell-Queen’s Executive MBA Program 130 E. Seneca St., Suite 520, Ithaca, NY 14850 Telephone Number: (607) 254-1260 Fax Number: (607) 255-0018

Note: The Cornell-Queen’s Executive MBA Program (CQEMBA) is a degree program within the Johnson School at Cornell University. The CQEMBA is currently offered in selected cities in Washington State, Oregon, Ohio, New York State, and Washington DC. The Johnson School is located on the main Cornell University campus in Ithaca, NY. The Johnson School operates another Executive MBA program in Palisades, NY, just outside of New York City. As New York State’s land grant university, Cornell University maintains extension offices in every country in New York State. Additionally, the Weil Medical School maintains a campus in Qatar (UAE).

2) Address(es) where proposed program(s) will be delivered (Note: each location requires a location-specific consent from the Minister).

3) Identify type of ownership

New York State classifies Cornell University as an “education corporation”. It has no individual owners.

4) Attach a table of all the officers of the organization and their positions

This table lists the direct chain of administration for the Cornell-Queen’s Executive MBA Program:

Name Position Length of time Length of Time in in Position Organization Dr. David Skorton President 1 year 1 year Dr. Biddy Martin Provost 7 years 24 years Dr. L. Joseph Thomas Dean (Interim) 5 months 40 years Dr. Douglas Stayman Associate Dean 1 year 17 years Dr. Daniel Szpiro Director 3 years 3 years

5 2.2 Information about Owners

There are no owners of Cornell University. The original Charter of Cornell University was granted by action of the New York State Legislature, being Chapter 585 of the Laws of 1865. It became effective April 27, 1865. As amended by further legislative enactment over the years, the University's Charter now appears in the Consolidated New York Education Law as Article 115 thereof (sections 5701 through 5716). These sections of the Article can be viewed on-line at : http://www.cornell.edu/trustees/cornell_charter.pdf.

Name of Organization: Cornell University

Operating name of Organization (if n/a different from above): Is the organization is publicly traded? No

6 2.3 Institution Representatives for Meeting with Organization Review Panel

Attach as Appendix 2.3 the list of individuals who will represent the institution before the Organization Review Panel when it meets to consider the submission. The Applicant is normally expected to be represented by no more than three individuals.

Name Position in Organization Daniel Szpiro Director Cornell-Queen’s Executive MBA Program

7 3 EXECUTIVE SUMMARY

3.1 Executive Summary

In 1862 the US Congress passed the Morrill Land Grant Act providing support for the establishment of a university in each state. In 1865 Ezra Cornell, a former industrialist and then member of the New York State Senate, chose to donate a significant portion of his personal wealth towards the creation of a private university that would act in partnership with New York State thanks to the process established by the Land Act Grant. Thus, Cornell University was founded and opened its doors to its first students in 1867. The mission of Cornell University is to be a learning community that seeks to serve society by educating the leaders of tomorrow and extending the frontiers of knowledge. The mission of the Johnson School is, in part, to infuse men and women with the knowledge, skill, and strategic perspective essential to leading business and industry throughout the world and to foster research and scholarship that shapes the practice of global management.

The Cornell-Queen’s Executive MBA Program (CQEMBA) is dedicated to the missions of Cornell University and the Johnson School by providing experienced managers and professionals with advanced and leading-edge skills and concepts to complement their experience. In this way, students become better prepared to assume leadership roles in business and industry worldwide.

The organizational structure of the CQEMBA includes program directors from each of the partner institutions who answer to a Joint Academic Committee (JAC). The directors are ex officio members of the JAC. The other members of the JAC (two from each school) are faculty members. The JAC is charged with maintaining, applying, and enhancing the academic standards of the program and schools in a manner consistent with the mission and goals of the partner institutions. Each Program Director also reports to an Associate Dean who serves as a senior member of each school’s management team.

The administrative policies and practices that are incorporated in the CQEMBA are based on well-established policies and practices developed in two of North America’s leading universities and their respective, well-established business schools. The following facts underscore how this foundation helps to promote the learning and educational goals of postsecondary education, ensure that business practices and decisions support the academic integrity of programs, and protect student interests, and support the capacity of the organization to deliver the program:

• Cornell University, of the eight “Ivy League” universities in the United States, was founded 142 years and in that time has graduated hundreds of thousands of students. There are almost 250,000 living alumni of Cornell University today and 20,000 full-time students located on the main campus in Ithaca, NY. • The Johnson School’s MBA programs are consistently ranked amongst the best in the United States and globally. For example, over the past 10 years BusinessWeek has ranked the MBA program in the top 15 in the United States in each of their biannual rankings. • The CQEMBA launched in 2004 and since that time has admitted more than 240 students into this program. • The administrative policies and practices of the CQEMBA are equally determined by Queen’s School of Business. As a long-established Ontario university, the quality of Queen’s University, Queen’s School of Business and its programs speak for themselves and contribute to this goal.

8 Given its history and reputation, one would expect that Cornell University has a strong financial capacity to sustain and deliver academic program (http://www.accounting.cornell.edu/CM_Images/Uploads/ACT/AnnualReport06-07.pdf). At the end of the 2006-2007 academic year, the market value of Cornell’s endowment was approximately $5.5B. The Johnson School is also financially sound and is committed to the CQEMBA program.

It is important to understand the nature of the CQEMBA and the partnership between the two schools to fully appreciate the involvement of Cornell University in the program in Ontario. Cornell and Queen’s have agreed to allow each school to retain the tuition collected from students within their respective countries. In other words, Cornell University collects no fees from Ontario-based program participants. Moreover, each school is responsible for its own local operating costs. In other words, Cornell University does not pay for the operating costs for the delivery of the program in Ontario. Of course, each school is responsible for supplying faculty to teach in the program with a target of an equal sharing of this load.

9 4. SYNOPSIS OF PROPOSED PROGRAM

4.1 Program Abstract

The Cornell-Queen’s Executive MBA Program was created as an additional channel by which Cornell University and Queen’s University can expand their educational reach and impact. Both universities have established MBA and Executive MBA programs and have collaborated to develop a program that is built upon the proven practices and comprehensive curriculum that has benefited literally thousands of students in their pursuits to obtain an MBA.

The Cornell-Queen’s Executive MBA Program is designed for mid-career managers and professionals. The program is intended to produce graduates with a broad set of skills who are prepared to assume positions of leadership in business, organizations, and society. It reflects both the mission of the Johnson School to produce leaders as catalysts who create, transform and sustain successful organizations, the mission of Queen’s School of Business to develop outstanding leaders with a global perspective, and the desire of both schools to create new knowledge that advances business and society. The Boardroom Learning Model allows students to pursue a rigorous MBA program at the times and places most convenient to them. This flexibility allows them to achieve their academic goals without disrupting their careers.

To fully understand the purpose of the CQEMBA, one must appreciate the backgrounds of the participants within Executive MBA programs. The typical participant is in his or her mid-thirties, has accumulated 10-15 years of organizational experience, and possesses an undergraduate degree in a discipline other than business. Most participants would describe their organizational experience to date as having provided them deep, but narrow, expertise in a specific function of management or organizational activity (e.g., finance, marketing, human resource management, sales, or operations).

The goal of such a typical participant in earning an MBA through an executive-level program is to gain exposure to general management concepts and skills. The desired outcome is for graduates to be able to complement their acquired expertise in a functional area with a broad general management perspective that allows their analytical and decision-making skills to now consider and integrate issues across the entire organization. By providing graduates with these broad and integrative general management skills, the Cornell Boardroom Executive MBA Program prepares participants for senior leadership roles in their organizations, industries, and society.

With this backdrop, one can see that the overall purpose of the CQEMBA must accomplish a number of objectives. First, it must provide experienced managers and professionals the fundamental concepts and skills of all of the key functions within management. Second, it must build upon these fundamentals to provide the most contemporary and leading-edge thought and best-practice on managerial processes. Third, it must provide participants an opportunity to integrate the knowledge and skills they acquire within the program so as to prepare for the necessary integration of these in their practice as managers.

To accomplish this, both the content and context of the program must be considered thoroughly. The content of the program is shaped by three over-arching goals and is therefore conceptually organized into three components. First, a broad set of courses that focus on fundamentals form the base of the program. The organizational disciplines covered within this base of fundamentals include: accounting, finance, marketing, statistical analysis, operations, and economics.

10 Fundamental courses on organizational strategy, leadership, and teamwork are also part of this base.

By definition, what are considered the fundamental concepts and skills within business and organizations does not change significantly in short periods. However, new applications and developments in all of these disciplines occur regularly. To ensure that participants in the program are provided with all of the insights possible from current state-of-the-art business practices, a second part of the purpose of the program with respect to content focuses on extending and integrating business concepts and techniques. For this reason, the program includes courses on the management of technology, management accounting, supply chain management, financial statement analysis and valuations, as well as strategic issues in finance and marketing.

The third component of the program content incorporates both courses and projects intended to provide participants an opportunity to integrate and apply the concepts and skills they have acquired. To serve this goal, the program includes courses on economics and organizational strategy in a global context, the management of new ventures, the practice of negotiation, and the management of change processes within organizations. Additionally, two major projects are incorporated. First, an individual project on designing and implementing a new venture pulls together a broad collection of the skills and concepts acquired by the participants. Second, a team-based project that includes a field-study focusing on an example of global business practice provides another opportunity for integration and application.

The purpose of the CQEMBA also addresses the context in which the participants learn and grow. The participants in this program are organized into Learning Teams from the very start of the program. These teams stay intact for the duration of the program. In other words, the composition of teams does not change from course to course or from period to period. A significant proportion of the work required for academic evaluation is performed and evaluated on a team-basis. This aspect of the context of the program is intended to allow participants to develop extensive and effective skills in the management of work performed by teams. Because this describes the nature of the overwhelming majority of the work performed in organizations, this aspect of the program purpose is critical.

In summary, the overall purpose of the CQEMBA considers both the context and the content of the participants’ experience. The content is intended to provide graduates with a broad set of fundamental managerial concepts and skills, advance their understanding to include leading-edge managerial practices and ideas, and to integrate and apply these skills and thoughts. The context of the program is designed to produce deep and effective skills and tools for the management of group or collective work within an organization.

Due to the lockstep nature of the program and the set curriculum, all program participants must successfully complete all courses in order to graduate. Course titles are included below.

Cornell University uses a credit hour system to attach value to its courses. The CQEMBA incorporates 60 credit hours in courses and two major projects. Queen’s University uses a course credit system. The program incorporates 26 course credits in the Queen’s University system.

The curriculum of the CQEMBA covers a broad collection of management topics, offering comprehensive coverage of managerial concepts and skills. The goal of the curriculum is to enhance participants’ leadership and strategic-thinking processes with regard to their organizations. While leadership related and global issues in contemporary management practice

11 are raised throughout the courses within the curriculum, special emphasis is placed on this theme in a number of courses.

The courses and projects listed below are consistent with the purpose of the program, the AACSB standards as applied by the Johnson School and Queen’s School of Business for their respective MBA programs, and curricula at leading business schools around the world.

Course Title Course Description Cornell Credit Hours Leadership and This intensive course focuses on developing qualities of leadership, 1.875 Teams including self-awareness and self-assessment. The course employs a variety of experiential exercises and self-assessment instruments. Class members will be trained in giving and receiving feedback from team members and trained professionals. Role of the This course will provide a general management perspective on how 2.25 General Manager to manage a business. We introduce the critical functional areas of management, their interrelationships, and their roles in creating a sustainable competitive advantage. The course examines the links between the business plan and the marketing, sales, human resources, and operations plans. It emphasizes the role of leadership in creating and strengthening strategic intent, and sustaining high performance by developing an entrepreneurial corporate culture. Foundations of In this course, students will develop a basic understanding of the 1.50 Accounting and key accounting statements (balance sheet, income statement, and Finance cash flow statement) and how accounting systems record events. Students examine how to assess the financial health of an organization using liquidity, profitability, capital structure, and asset management ratios. Topics include an introduction to discounted cash flow analysis, budgetary ratio analysis, the capital budgeting system, Net Present Value, shareholder value, and the accounting cycle. Financial This course prepares managers to make effective business decisions 2.25 Accounting using the organization's accounting data. Topics include balance sheets; income and cash flow statements; inventory, plant, and equipment; investment decisions; corporate structure; present value and financial statement analyses; and communicating accounting information. Strategy Students learn the tools and analytical techniques that managers 3.00 need to assess and formulate effective strategies for their organizations. Topics include strategic analysis, industry analysis, value chains, core competencies, competitor analysis, scenario analysis, portfolio analysis, option analysis, and game theory. The focus is on analyzing and diagnosing business problems as well as developing and implementing effective strategic solutions. Managing and This course focuses on strategies for renewing organizations, and 3.00 Leading pays particular attention to managing turnarounds as well as deep Organizations culture and paradigm shifts in an organization. Aspects of change, including repositioning, the impact of power and influence, operations, human elements and leadership styles will be examined.

12 The role of leadership in the process, including managing resistance to change, is emphasized. In this course, students will acquire frameworks and techniques that will allow them to create an ongoing capacity for change at the individual, work-team, and organizational levels. Finance Students develop the knowledge that managers require to make 2.25 effective financial decisions and to operate in capital markets. Topics include capital budgeting, portfolio theory, risk and return, security valuation, asset pricing, raising capital, capital structure of the firm, interest rates, mergers and acquisitions, and international finance issues. Marketing Marketing management examines how managers make marketing 3.00 decisions in complex and competitive environments. Topics include consumer behavior, promotion and advertising; channels of distribution; international and competitive strategy; new product development; marketing of services; segmentation; and pricing strategies. Business Decision This course employs briefings, discussions, tutorials, and cases to 3.00 Models examine the tools that are used to draw conclusions from data. These tools relate to such subjects as statistical inference, regression analysis, decision analysis, simulation, and optimization. The tools are adapted to specific problems of decision-making under conditions of uncertainty. Attitudes toward risk are incorporated into the processes of making decisions and solving multi-criteria problems. Computer models and spreadsheets are used extensively in the course as aids to modeling decision-making. Operations Managing operations examines the management of processes: 3.00 operations that convert inputs into outputs. Topics include process improvement, queuing theory, productivity, constrained optimization, inventory management, quality management, service operations, supply chain management, and the role of manufacturing in the firm. Economics and This course explores the bases of economic decisions in profit- 3.75 Industry Analysis making firms. Topics include consumer behavior, supply and demand, competitive industries, pricing and market power, strategic interaction, input markets, contracts and incentives, and the role of government. Financial Policy The purpose of the course is to provide an understanding of the 1.125 financial decisions made by corporations. Financial decisions can be divided into two groups: investing and financing. This course focuses on corporate financing decisions and on the interaction between investing and financing. Global Economy This course combines sessions between professors and managers 2.25 with experience in key sectors of the global economy, such as manufacturing and finance. Briefings focus on the steps involved in the development of international strategy, including the preparation of a country size-up, accessing and interpreting relevant business data in a foreign market, protecting intellectual property, managing international alliances, developing international trade opportunities, understanding international monetary issues, and working within

13 multinational corporations. Global Strategy This course emphasizes global, strategic, and operational themes. 3.00 Topics include: understanding the sources of competitive advantage for the multinational firm; the evolution of strategy over time; market entry strategies; subsidiary management; international alliances; reconfiguring the value chain to strengthen competitive advantage; service industry internationalization; and the role of the general manager in a global business. Management Students explore the factors managers must consider when 2.25 Accounting establishing an appropriate managerial accounting system for a business. Key topics include overhead allocation in common cost systems, the Balanced Scorecard, performance evaluation, treatment of fixed cost, and activity-based costing. The class answers the questions: What decisions are most crucial to a business's success or failure? What information is most needed to make these decisions and how would that information be reported? What type of accounting system will generate those reports? Management This course focuses on how information systems and information 3.00 Information technology can transform the capabilities of a business. It analyzes Systems and reviews global information industry trends and their implications for business. The course also examines planning processes for information technology, managing e-business applications, making outsourcing decisions, and developing knowledge management systems. The emphasis is on integrating information technology into the organization’s operations and managing the resources of the organization’s information systems effectively. New Venture This course focuses on approaches to creating new ventures and 3.00 Management lines of business. In doing so, it integrates the frameworks and concepts examined in the program. Emphasis is placed on the special issues and challenges facing the entrepreneur who must prepare a business plan, raise capital, manage an IPO (initial public offering), develop new channels of distribution, build an organization, acquire and train new staff, create an efficient operating system, and develop an export marketing plan. Specific areas of focus include e-business and corporate venturing. Negotiations This course focuses on the critical tools managers need to influence 1.50 people and organizations. The beginning of the class deals with negotiation in the context of theory, planning, and execution. The class culminates with a choice of full-day workshop sessions on Cross-Cultural Communication, Advanced Negotiation, Power and Influence in Organizations, Dynamic Presentations, and Management Writing. Financial This course provides an analysis of the various approaches to 1.50 Statement Analysis valuation used in investment banking and project evaluation. Focus is on publicly traded firms (or their divisions) or private firms that have publicly traded comparables using the methods of (1) discounted cash flow valuation and (2) valuation by multiples using comparables. Case studies and team projects give students the ability to apply and compare the methodologies.

14 Supply Chain Students learn about the effective management of supply chains 1.50 Management using old and new technologies. The class examines moving materials to a production facility, controlling the transformation of materials into products, distributing the products to customers, maintaining and recycling the products, and the logistics of service operations. Specific topics include supply-chain integration, e- business and supply-chain strategies, plant and warehouse locations, modes of transportation, systems for managing material flows, inventory systems, and organizational structures for supply-chain management and global logistics. Financial Strategy This course shows how to enhance shareholder value by exploiting 2.25 interactions between investment, financing, and risk management decisions. Topics include how to recognize and value strategic options embedded in capital investments; how and when to tap capital markets to finance growth opportunities; how to achieve an optimum financing mix and capital distribution policy; how to design financial instruments and compensation contracts mitigating conflicts between shareholders, debt-holders, and managers; and how to manage risk strategically and reduce taxes through the use of derivatives. Marketing Strategy The objective of this course is to maximize the effectiveness of the 2.25 marketing plan by integrating marketing considerations into the business plan. The course focuses on the development of competitive marketing strategies and the integration of marketing planning with the key functional areas of management. Particular attention is directed to the role of marketing in creating and sustaining long-term competitive advantage, with an emphasis on integrating the marketing plan with the sales, operations, and business plans. Other topics include pricing strategies, channel strategies, positioning strategies, and communications strategies, all of which are examined within the framework of the strategic marketing plan. New Venture The objective of this project is to create a business case and 3.00 Project comprehensive business plan for a new, stand-alone business or a new venture within an existing organization. The New Venture Project gives each participant an opportunity to use the management concepts and tools acquired in the program to create a business plan for a new venture. Participants identify market opportunities, investigate business potential, consider financing options, and create a business plan. The New Venture Project is integrated with the course New Ventures Management. Each participant will be assigned a project advisor for this project.

15 Global Business The Global Business Project (GBP) provides participants with a 4.50 Project unique opportunity to analyze and pursue a real international business challenge. The GBP allows participants to integrate learning across the Cornell Boardroom Executive MBA curriculum by applying course concepts to practical business situations in a global context.

The GBP is a team based, team-directed project conducted with the guidance of a faculty advisor. The teams focus their projects in order to develop an understanding of a substantive, existent international business challenge or opportunity within an organization that involves stakeholders in another country and recommend a course of action for consideration by the organization’s senior managers. The analysis includes travel to necessary locations for appropriate data collection. The travel conducted for data collection must have specific goals and objectives related to the overall project objectives that are acceptable to the Advisor and within the Project Plan.

With respect to the modes of delivery for the degree program, course instruction is delivered by a combination of traditional classroom sessions held during on-campus residential periods, and videoconferencing-facilitated class session held three Saturdays per month. Both delivery methods are described in more detail below.

Three residential sessions occur during the course of the program:

• The Opening Session is held for two weeks at the start of the program and is split between the Cornell and Queen’s campuses. This session is primarily focused on leadership and team building. • The Business Venturing Session occurs in January/February of the following year, approximately six months into the program. It is also two weeks in duration and split between the two school campuses. • The Global Business Session is approximately ten days long, held in July of the second year, and located at the IBM Palisades facility near New York City. (Note: This is the facility currently used by the Johnson School for the residential Executive MBA program.)

Class sessions in between the residential session are held on Saturdays. The typical schedule is three consecutive class Saturdays and then one Saturday off. Some variations to this typical schedule will occur over the course of the program. On each class Saturday there is a session in the morning and one in the afternoon. Typically, each of these half-day sessions are for a different course so that at any one time participants are actively studying in two courses at the same time.

During the Saturday class sessions, Boardroom sites are connected via interactive multipoint videoconferencing to the on-campus studios where the professors are located. All participants must attend class sessions at their Boardroom location and classes are held in real-time, just like a traditional classroom.

Program participants are organized into Boardroom Learning Teams typically comprised of approximately five to nine people. These teams are introduced during the Opening Session and remain in place for the duration of the program. Each Boardroom Learning Team is assigned to a

16 Boardroom site in their home city or region. Learning teams are typically comprised of managers and professionals from a variety of industries and organizations within a single city or region. However, the program can also accommodate Corporate Learning Teams comprised of managers from a single organization.

All CQEMBA program applicants are required to submit the same basic application materials and complete an academic readiness assessment. Required materials include an application, resume, organizational chart, two letters of reference, and transcripts. We also require an academic readiness assessment. Consequently official GMAT or QMAT score reports are also required. Exceptions may be granted on a case by case basis.

Cornell University and Queen’s University have worked together to establish the graduation requirements for the CQEMBA program. All program participants must complete all courses in the program and meet the criteria outlined below.

In the Cornell Boardroom Executive MBA Program each course is graded by the instructor. Students must maintain a B-minus or 2.7 grade point average (or above) and complete 60 Cornell Credit Hours (26 Queen’s Course Credits) in order to graduate. In order to effectively pass each course, participants must also comply with the following criteria.

• Participants can not miss more than 25% of the class sessions. • Participants can not have a total of 4 “full” course credit equivalents with a grade of C+ or lower. • Participants can not receive a final course grade of F for any course. • Participants must function effectively and supportively in the Learning Team throughout the duration of the program. • Participants must receive a passing grade on the individual component of each course in those courses that include both an individual and a team grading component.

17 5. MISSION STATEMENT AND ACADEMIC GOALS

5.1 History, Mission, and Goals

Cornell University & The Johnson Graduate School of Management

“I would found an institution where any person can find instruction in any study.” – Ezra Cornell, 1865.

The forward-thinking educational approach, breadth of study, diverse student population, and emphasis on public service that have always characterized Cornell University can be traced to a unique set of circumstances at the time of its founding in 1865. American higher education of that time was dominated by sectarian colleges whose primary purpose was to train the professional class. Yet agriculture was America's prime economic endeavor in the 1850s, and the Industrial Revolution was well underway, bringing with it new technology - railroads, telegraphs, steamboats, indoor plumbing - and innovations in existing tools, such as plows and firearms, that transformed agriculture and manufacturing and forever changed domestic life. Education reformers pressed for curricula aimed at preparing agricultural and industrial workers to take advantage of modernized approaches, and for government support to extend higher education to all citizens, regardless of social or economic status.

In 1862, Congress passed a bill to provide for "at least one college in each state where the leading object shall be, without excluding other scientific or classical studies, to teach such branches of learning as are related to agriculture and the mechanic arts...in order to promote the liberal and practical education of the industrial classes." The bill provided for a grant of federal land to each state, which could sell the land and use the proceeds to build and operate its new college. President Lincoln signed the Morrill Land Grant Act into law that same year.

In 1863, Ezra Cornell and Andrew D. White were elected to the New York State Senate. Both men took an interest in the land grant issue, working at first on plans involving existing colleges. Then, in January 1865, Cornell mentioned to White that his personal fortune exceeded his family's needs, and he wanted to do something beneficial for the state. White shared his vision of an institution where scientific and technical education would be married with studies in history and literature. A month later, White introduced a bill "to establish the Cornell University, and to appropriate to it the income of the sale of public lands granted to this State." With White as its president, Cornell University opened its doors to its first students in 1867.

Cornell University – The mission of Cornell University is to be a learning community that seeks to serve society by educating the leaders of tomorrow and extending the frontiers of knowledge.

In keeping with the vision of Ezra Cornell, our community fosters personal discovery and growth, nurtures scholarship and creativity across a broad range of common knowledge, and engages men and women from every segment of society in this quest. We pursue understanding beyond the limitations of existing knowledge, ideology, and disciplinary structure. We affirm the value to individuals and society of cultivation and enrichment of the human mind and spirit.

Our faculty, students, alumni, and staff strive toward these objectives in a context of freedom with responsibility. We foster initiative, integrity, and excellence, in an environment of collegiality, civility, and responsible stewardship. As the land-grant university for the State of

18 New York, we apply the results of our endeavors in service to our alumni, the community, the state, the nation, and the world.

Cornell has made a firm commitment to be a major participant in technology-mediated education, with a broader goal to develop and deploy these technologies for the express purpose of supporting the mission. Cornell’s primary interest in distributed and distance learning is to use such technologies as a means of advancing a fundamental mission as a “research university that aims to serve society by educating responsible citizens and extending frontiers of knowledge.”

The Johnson School of Management was founded in 1948 as the Graduate School of Management of Cornell University. However, in 1984 the school was renamed the Johnson School of Management to honor the generosity of the Johnson family.

The Johnson Graduate School of Management – The mission of the Johnson School is, in part, to infuse men and women with the knowledge, skill, and strategic perspective essential to leading business and industry throughout the world and to foster research and scholarship that shapes the practice of global management.

The Cornell Boardroom Executive MBA Program is dedicated to the missions of Cornell University and the Johnson School by providing experienced managers and professionals with advanced and leading-edge skills and concepts to complement their experience. In this way, students become better prepared to assume leadership roles in business and industry worldwide.

19 5.2 Relationship of Programs to Mission

5.2.1 Current Degree Programs

PROGRAM TITLE DEGREE LEVEL CREDENTIAL AWARDED Cornell MBA (Two-Year MBA) Master Degree Master of Business Administration (MBA) Accelerated MBA Master Degree Master of Business Administration (MBA) Cornell Executive MBA Master Degree Master of Business Administration (MBA) Cornell-Queen’s Executive MBA Master Degree Master of Business Administration (MBA) PhD Program Doctoral Degree Doctor of Philosophy (PhD)

20 5.2.2 Proposed Program and Mission / Goals

The mission of Cornell University is to be a learning community that seeks to serve society by educating the leaders of tomorrow and extending the frontiers of knowledge. The mission of the Johnson School is, in part, to infuse men and women with the knowledge, skill, and strategic perspective essential to leading business and industry throughout the world and to foster research and scholarship that shapes the practice of global management.

The CQEMBA is dedicated to the missions of Cornell University and the Johnson School by providing experienced managers and professionals with advanced and leading-edge skills and concepts to complement their experience. In this way, students become better prepared to assume leadership roles in business and industry worldwide. The two partner schools of the CQEMBA have a long-established track-record of producing high quality graduates from existing MBA programs who meet these goals.

21 5.3 Five-Year Business Plan

In 2004 we thoughtfully re-examined our school in context of our mission and the rapidly changing world around us. Determined to perpetually earn our worldwide reputation as a top-ten school of management, we began by asking three fundamental questions. Given the dramatic revolutions that are changing the world, we began by asking two big questions focused on our dual mission:

• What must we do differently to graduate the individuals best- equipped to lead organizations and advance the public good in this new era? • What must we do differently to generate new knowledge that shapes the future practice of management across the globe?

Since the answers to both of these questions depend ultimately on the individuals who choose the Johnson School, the third critical underlying question became:

• What will enable us to attract the kind of talent in our faculty and students necessary to produce leaders who shape business and generate leading-edge knowledge?

We framed our answers to these as a five-year action plan built on five strategic initiatives. Our strategic plan directly addresses the challenges of the marketplace and our goal of being widely perceived as a premier, "top-ten" school of management. The plan is deliberately focused on delivering results in areas that will differentiate the Johnson School; it builds on our foundation of excellence in the functional areas of business. The plan outlines what we will do and, by omission, reflects what we have decided not to do. These are the core strategies underlying our plan:

• Strategically select management education areas in which we can hold a distinctive position, and build a critical mass of resources in each of them. • Build robust alliances with critical, targeted organizations and individuals to extend our reach and impact—focusing first and foremost on the other colleges and programs at Cornell. • Creatively integrate theory and practice in all of our teaching through our unique “performance learning” approach. • Adjust our programming model to match the evolving management education market and financially sustain and strengthen the school. • Become a model of an effective organizational culture that is extremely diverse, highly inclusive, and ethically impeccable. • Extend the school into the marketplace through new ways to engage alumni, corporate partners, and prospective students.

There are five primary initiatives for executing these strategies:

1. Develop Centers of Research, Learning, and Practice

The Johnson School's strategically-chosen Centers will not only respond to specific market forces, but also build reputation for the school by inventing and shaping new business concepts and practices. We will elevate areas in which we already have a leading position, such as the Parker Center, to a whole new level of impact. In other cases, Centers will be newly established.

22 Each of these Centers will become financially self-sustaining and widely recognized for generating and disseminating knowledge in a critical area of management education.

All Centers will have these goals in common:

• To generate leading-edge research and scholarship, connecting faculty across Cornell. • To attract top-echelon faculty and students. • To integrate theory and practice through our unique "performance learning" approach. • To deliver knowledge through tailored educational programs and consulting, and at the same time generate revenue for the school. • To impact public policy and corporate practice.

We recently created our first new entity, the Center for Sustainable Global Enterprise. We are designing a Center for Entrepreneurship that will enhance the role, visibility, and reputation of the many entrepreneurship offerings and activities at the Johnson School. It will be at the hub of the commercialization of technology at Cornell and an integral part of the broader Cornell Entrepreneurship and Personal Enterprise (EPE) and Cornell Entrepreneur Network (CEN) programs.

We intend to create a Center for the Business of Science and Technology focused on the strategic management issues involved in innovation and the commercialization of breakthrough research. It will be a platform for leveraging Cornell's significant investments in key areas of science into future business opportunities. We envision custom education for scientists about capital markets, venture capital, and entrepreneurship, at the same time that we will increase our business students' understanding of science. The Center will also be a vehicle for outreach. We will engage companies, policy makers, and students in deliberating the business and social effects of commercializing these new technologies.

In addition, we are considering development of a Center for Analytics and Research in Marketing that would foster leading-edge research on consumer and managerial behavior. In a related effort, two existing Johnson School programs in Leadership and International Business Education will generate and embed innovative applied learning into our curriculum and programming. The faculty in our Program for Leadership will continue to ensure that ethics and corporate governance issues are infused throughout our curriculum.

2. Create the Faculty for Our Future

The core of our institution is our faculty, for these individuals enable our mission and build the reputation of the school. We will expand our faculty from 58 to at least 65 within these five years. Our goals are:

• To further strengthen our ability to deliver outstanding learning in all the functional areas of business. We will select experts who are also exceptional teachers. • To develop and/or enhance our Centers and cross-functional streams (leadership, globalization, entrepreneurship, technology). We will hire both senior faculty who combine strong disciplinary expertise with cross-functional teaching and research, and senior level practitioners.

We anticipate considerable transition in faculty demographics over the next five years. We must hire a few senior faculty capable of building our Centers, as well as more junior research faculty

23 and practitioners with extensive experience. We also need additional faculty with extensive experience and an established reputation who can teach experienced students as we expand our Executive MBA, distance learning, and custom executive education programs. In all our hiring, we need to attract more women and minority candidates in order to achieve our goal of becoming a model of diversity among business schools.

3. Lead in Diversity and Inclusion

The first three initiatives of our Five-Year Plan focus on factors that directly and critically impact the quality of research and learning at the Johnson School. Strategies four and five align our programs with the anticipated market for MBAs, provide financial support for our growth, and directly build a positive perception of the school in the business and academic communities.

Business is, at its very core, a human endeavor. In the tradition of Ezra Cornell, the Johnson School must lead the 21st century phase of the revolution for diversity and inclusion. While organizations have become increasingly diverse, the mix of individuals in business leadership does not yet mirror the mix of individuals in society. One of the key challenges of the next decade is to help managers learn how to turn their organizations' differences into competitive strengths.

We declared our leadership on diversity and inclusion in 1999, when the Johnson School formed the Office for Women and Minorities in Business. The only leading business school with a dedicated diversity organization, we have recently renamed it the Office of Diversity and Inclusion to reflect our evolution of thought and action.

We are actively pursuing Pipeline for the 21st Century, our four-pronged strategy that includes:

• Outreach to pre-college and undergraduate students. • Targeted recruiting of women and minorities. • Cultivation of a climate of inclusion. • Dissemination of knowledge on critical diversity issues.

Our primary focus, to date, has been recruiting a diverse student body. Through alliances with corporate partners, we have developed several high-impact programs to attract women and minorities to the Johnson School, an effort that we are determined to expand.

The next immediate phases of the Pipeline call for (1) a new Diversity Action Group to expand our efforts to make the environment within the Johnson School a model for inclusiveness, and (2) attracting and hiring more women and minorities on our faculty and staff. Further out, we are considering an initiative to create and disseminate new information to the business community about the issues and best approaches involved in creating diverse work cultures. All of our aggressive efforts are aimed at adding to the pipeline of business leaders who are highly effective operating in increasingly diverse workplaces.

4. Match Our Programs to the Market

Our program strategy is twofold: (1) maintain our critical small-school character, which enables intense relationships and highly productive learning, and (2) grow specific programs that address changes in the marketplace and generate additional revenue, taking advantage of the full resources of Cornell.

24 Our small-school character is determined largely by our Ithaca-based two-year MBA and PhD programs. In these, we will target admissions efforts to maintain current levels of enrollment, even as we seek to increase the quality of applicants through reputation building and targeted recruiting. To ensure that our core MBA program maintains the highest possible quality and keeps pace with the changing needs of the marketplace, we have initiated a thorough curriculum and program review. Faculty groups are charged with examining first-year content and course timing, the use of cases in class, number and scope of electives, pedagogical approaches, and course evaluations as parts of the process.

Opportunities to increase enrollments and generate additional revenue exist in three discrete programs:

The Accelerated MBA (formerly the Twelve-Month Option) program targets individuals with technical backgrounds and advanced degrees. Increasing enrollment from 35 to 60 will generate additional revenue without commensurate expense and, educationally, increase peer-learning opportunities.

The Executive MBA Program at Palisades is designed for individuals who already have significant business experience. Because of the structure of this program, we can double each class and continue to meet our high standards for quality and at the same time generate revenue growth for the school.

The greatest long-term opportunity to extend our educational reach is through technology-based learning model of the CQEMBA.

Other new program opportunities will come through aggressively marketing our custom executive education capabilities, building executive education offerings through our Centers, and converting existing executive education programs into distance learning courses distributed through eCornell.

We recognize that today's business is global. While we have intensified the global perspective in our existing programs, ultimately we must increase our direct reach to specific important markets, especially Asia. We are carefully examining how best to design an economically viable and sustainable model to reach Asian markets in a way that upholds our reputation as a world-class business school. We believe that technology is an important part of the answer.

5. Extend the School into the Marketplace

To achieve our goal of top-ten status, we are pursuing a series of tactics that extend our reach into the marketplace.

We are aggressively building our network of actively engaged alumni. We have more than doubled the size of the alumni relations and development group charged with mobilizing our alumni to identify and recruit prospective students, mentor students, champion hiring Johnson School students, and participate in the classroom. Additionally, we are specifically asking alumni to alert us to potential executive education opportunities, partner with us in designing new program initiatives, and become conduits for corporate funding. A new and more structured approach to alumni development is being implemented to grow substantially the number and size of individual alumni gifts as we grow alumni relationships.

25 For our full-time MBA, we are integrating admissions and career management in a customer- focused supply-chain model that better ties our leading-edge career management, prospecting, and placement initiatives to our new, targeted admissions programs. Increasingly, we will define economic sectors and types of companies with whom to partner and align our admissions efforts with them. We will use real-time data from that matching process to continually reassess and shape our curriculum and teaching approaches. One of our key supply-chain strategies is to create centers of activity in the New York metropolitan area and in northern California to anchor East and West Coast “corridor” recruiting, placement, corporate relations, and alumni activities. In addition, we will establish a corporate alumni network in each of our major corporate partner companies and create an EMBA and alumni career management program to assist those groups with career transitions.

We are intent on strengthening relationships with companies, alumni, and prospective students who can contribute to and benefit from connections with the Johnson School. In pursuing this goal, we are simultaneously demonstrating a leading model for working in an agile organization: a virtual team that can maximize resources and adapt to rapidly changing conditions. To make our efforts more efficient and powerful, we are bringing together staff from admissions, career management, alumni relations and development, corporate relations, marketing and communications, and the EMBA and executive education programs in a dynamic, flexible team. The synergies we generate together will equip us to present a consistent and powerful message to all of our important stakeholders and to increase the levels of their commitments to the school.

We have completed an extensive process to redefine our brand position in a way that clearly links the Johnson School, Cornell, and our distinctive approach to management education. We are aggressively pursuing a plan to build our brand through a more powerful integrated marketing, communications, and public relations program. This comprehensive, multi-year plan is designed to reinforce our brand internally and build visibility and understanding externally. Among our first steps have been to launch a new advertising campaign and web site, introduce a distinctive new logo, and add a media relations position to our marketing staff.

The Johnson School regularly updates our progress on each of these five initiatives on our web site: http://www.johnson.cornell.edu/lrp/progress/index.html.

Please note that Cornell University generates no revenue from the CQEMBA program offering in Ontario.

26 5.4 Academic Policies

Academic Policies that impact the CQEMBA exist at two levels. There are program-level policies, school/university-level academic policies.

Program-Level Academic Policies.

Two specific academic policies at the program level are admissions and progress.

All CQEMBA program applicants are required to submit the same basic application materials and complete an academic readiness assessment. Required materials include an application, resume, organizational chart, two letters of reference, and transcripts. We also require an academic readiness assessment. Consequently official GMAT or CMAT score reports are also required.

In general, participants in Executive MBA programs represent a diverse group. On average, successful applicants bring 10-15 years of post-undergraduate full-time organizational experience to the program, strong evidence of academic readiness, strong recommendations from superiors and colleagues, and clear and motivating statements regarding commitment to the program.

Cornell University and Queen’s University have worked together to establish academic progress requirements for the CQEMBA program. All program participants must complete all courses in the program and meet the criteria outlined below.

• Participants must maintain a B-minus or 2.7 grade point average (or above) and complete 60 Cornell Credit Hours (26 Queen’s Course Credits) in order to graduate. • Participants can not miss more than 25% of the class sessions of a course. • Participants can not have a total of 4 “full” course credit equivalents with a grade of C+ or lower. • Participants can not receive a final course grade of F for any course. • Participants must function effectively and supportively in the Learning Team throughout the duration of the program. • Participants must receive a passing grade on the individual component of each course in those courses that include both an individual and a team grading component.

School / University-Level Academic Policies

The Johnson School Honor Code, which applies to all students of the Johnson School and to those taking Johnson School classes and/or using Sage Hall services, takes as its foundation two Codes that apply to all members of the Cornell community:

• Cornell University Campus Code of Conduct • Cornell Code of Academic Integrity

However, because the broad Cornell codes do not directly address professionalism — a crucial element of business — the Johnson School has established a Standard for Professional Behavior to guide students and clarify appropriate behavior in specific situations The Standard does not supersede Cornell University policies: In case of a conflict, the Cornell University Codes take precedence.

27 The Honor Code is meant to educate all members of the community regarding Johnson School expectations for behavior and conduct. Ideally, the punitive measures included in this policy are never needed. Accordingly, education and communication are a critical element to ensuring success.

This policy is provided to each new student as he/she matriculates in the school. The document is referenced in course syllabi and available in the College Registrar’s Office for those students who are not matriculated but are using school resources and/or are enrolled in Johnson School courses. The Honor Code is available on the Johnson School web site.

Violations of the Johnson School Standard for Professional Behavior and the Code of Academic Integrity are published once per semester in the Johnson School student newspaper and posted on a Sage Hall bulletin board: A brief summary of each violation is posted without the name(s) or other identifying information of the individuals involved. Awards and achievements are similarly publicized to promote positive examples of professionalism and leadership.

Two important University codes apply to all members of the Johnson School community.

The Cornell Campus Code of Conduct: The Campus Code outlines a judicial structure and procedure for violations such as: harassing, abusing or threatening others, damaging University property, etc. Complaints are registered with the Judicial Administrator (“JA”), who receives and investigates complaints. If the JA believes a violation has occurred, charges may be filed with the University Hearing Board or all parties may settle the case before the JA. Penalties “…range from a written reprimand and community service to probation, suspension or dismissal from the University.” The complete Campus Code of Conduct may be found at http://www.policy.cornell.edu/CM_Images/ Uploads/POL/campus_code_of_conduct.html.

The Cornell Code of Academic Integrity and Acknowledging the Work of Others: “Absolute integrity is expected of every Cornell student in all academic undertakings.” This policy outlines examples of violations, describes the procedure for addressing violations, and identifies penalties for violations. Examples of violations include: misrepresenting the work of others as one’s own, or using, obtaining, or providing unauthorized assistance on examinations.

Because students in a graduate school of business at times face academic integrity issues unique to the style of teaching and learning that is prevalent in this environment, the policy details certain activities that could result in academic integrity violations for Johnson School students. Cases of academic integrity are handled at the college level (in this case at the Johnson School). Anyone who suspects a violation of academic integrity should report the issue to the appropriate faculty member or to the chairperson of the Johnson School Hearing Board. If the faculty member determines there was a violation, the faculty member may impose a grade penalty (including failure in the course). If a grade penalty is inadequate, the faculty member may also take an academic integrity allegation directly to the Hearing Board. The student may appeal a faculty member’s finding of a violation and/or penalty to the Hearing Board. The Hearing Board may also convene a hearing for students found guilty of more than one violation of the Code. Hearing Board decisions may be appealed to the Dean of the Johnson School. The complete Code of Academic Integrity may be found at http://web.cornell.edu/UniversityFaculty/docs/AI.Acknow.pdf.

Students at the Johnson School are responsible for adhering to the Cornell University Code of Academic Integrity. The Code sets forth the following underlying principle: Absolute integrity is expected of every Cornell student in all academic undertakings. Integrity entails a firm adherence

28 to a set of values, and the value most essential to an academic community is honesty with respect to the intellectual efforts of oneself and others. Academic integrity is expected not only in formal coursework situations, but in all University relationships and interactions connected to the educational process, including the use of University resources. A Cornell student’s submission of work for academic credit indicates that the work is the student’s own. All outside assistance should be acknowledged, and the student’s academic position truthfully reported at all times. In addition, Cornell students have a right to expect academic integrity from each of their peers and professors.

Any activity that has the effect or intent of interfering with the fair evaluation of a student’s performance is prohibited. Students are responsible for adhering both to the principles and to the spirit of Cornell’s Code of Academic Integrity. Flagrant violations of the Code of Academic Integrity include plagiarism and copying another student’s answers. In addition, the following activities especially pertinent to coursework in the Johnson School may be found to violate the Code of Academic Integrity:

• Individual assignments: All assignments are to be completed individually unless specifically described by the instructor as a team assignment. Therefore, you may not discuss answers or specific approaches to solving an individually assigned case or problem with anyone, including your teammates, unless the instructor has specifically authorized such aid. You may always discuss general approaches to problems and cases with classmates, but you may not discuss specific approaches or answers with others unless the assignment is specified as a team assignment, in which case you may discuss specifics with your teammates. • Team assignments: You should not put your name on a team assignment if you did not contribute proportionately to the assignment. Your team may not discuss answers or specific approaches to solving a team-assigned case or assignment with anyone outside the team, unless the instructor has specifically authorized such aid. • Help from others: You may not seek or use case or problem-specific help from any person who has previously studied the case-or problem (including second-years and students at other schools, and solutions/guides from any professor). • Aiding and abetting: Aiding or abetting another student with activities that violate the Code is also in violation of the code (for example, if you help another student with an individual assignment, you are also in violation). • Examinations: Professors will specify the time allocated for an examination prior to its commencement. During an examination, when the professor or proctor announces “pencils down,” students are no longer permitted to enter information on the examination. Exceptions to the time allocation due to students’ late arrivals may be determined by the professor only.

We are a community of scholars and practitioners that highly values collaboration and discourse, but also insists on integrity and honesty in every interaction. Adherence to these rules will help us to maintain our collegial, vibrant, academic community. If a student is unsure whether an action is a violation of the Code of Academic Integrity, then the instructor should be asked.

The Johnson School Standard for Professional Behavior supplements the Cornell Codes by providing specific guidance on professional behavior. In brief, members of the Johnson School community are expected to abide by school values and maintain the highest standards of ethical and professional conduct. This conduct is expected in Sage Hall, elsewhere on the Cornell campus, and at any location where Johnson School students are convened for official functions (e.g., recruiting event, social event).

29 As professional students, students are expected to address undesirable behavior directly with their colleagues unless the situation is too serious and/ or emotionally or physically threatening to permit such a conversation.

Unprofessional behavior that does not violate the Code of Conduct or Code of Academic Integrity should be addressed directly with the offender. Should the violator repeat the behavior, then a complaint should be filed as described below. Students, faculty, and staff can be complainants.

Complaint: A written complaint should be filed with the Associate Dean, MBA Programs and Administration, who determines, either based on the complaint alone, or through further investigation, whether there is sufficient merit to warrant a referral to the appropriate adjudicating body. Further investigation may include divulging the name of the complainant and nature of the complaint privately to the accused. If the case warrants a referral, and depending on the nature of the violation, the Associate Dean will refer the case to the Johnson School Hearing Panel for Professional Behavior. As soon as a decision is made, the Associate Dean informs the complainant whether next steps will be taken, and if so what these are. Regardless of the decision, the nature of the complaint, the name of the complainant and/or the name of the accused will not be divulged to the public.

30 6. ADMINISTRATIVE CAPACITY

6.1 Legal Characteristics

CHARTER OF CORNELL UNIVERSITY AS AMENDED THROUGH MAY 22, 2002

The original Charter of Cornell University was granted by action of the New York State Legislature, being Chapter 585 of the Laws of 1865. It became effective April 27, 1865. As amended by further legislative enactment over the years, the University's Charter now appears in the Consolidated New York Education Law as Article 115 thereof (sections 5701 through 5716).

CONTENTS

5701 Cornell university continued. 2 5702 Objects and powers of the corporation. 2 5703 Trustees. 2 5704 Trustees shall make reports; university subject to visitation of regents. 3 5705 Extent to which property may be held. 3 5706 Restrictions on alienation of property. 3 5707 Extent of farm and grounds. 4 5708 Powers to police grounds and regulate traffic thereon. 4 5709 Special deputy sheriffs; powers and duties. 5 5711 New York state college of veterinary medicine. 5 5712 New York state college of agriculture and life sciences. 6 5713 New York state agricultural experiment station. 8 5714 New York state college of human ecology. 9 5715 New York state school of industrial and labor relations. 10 5716 Acquisition by the state of land and interests in land of Cornell 11 university upon which buildings have heretofore or may hereafter be erected by the state.

§5701. CORNELL UNIVERSITY CONTINUED

The corporation known as Cornell university, located at Ithaca, is continued with all the rights, and subject to all the liabilities contained in the act of incorporation, being chapter five hundred eighty-five of the laws of eighteen hundred sixty-five, as amended.

§5702. OBJECTS AND POWERS OF THE CORPORATION

The leading object of said corporation shall be to teach such branches of learning as are related to agriculture and the mechanic arts, including military tactics, in order to promote the liberal and practical education of the industrial classes in the several pursuits and professions of life. But such other branches of science and knowledge may be embraced in the plan of instruction and investigation pertaining to the university as the trustees may deem useful and proper. Said university is authorized to establish faculties, departments and branches and carry on its work at any places in this state and to confer any and all literary, scientific, technical and professional degrees, and in testimony thereof award certificates and diplomas. Persons of every religious denomination, or of no religious denomination, shall be equally eligible to all offices and appointments.

31

§5703. TRUSTEES

1. Appointment and election. The board of trustees of Cornell university shall be constituted as follows: a. Ex officio trustees. The governor, the temporary president of the senate, the speaker of the assembly and the president of the university shall be ex officio trustees during their respective terms of office. b. One life trustee. The eldest lineal descendant of Ezra Cornell shall be a trustee for his or her life. c. Appointed trustees. The governor shall appoint, subject to confirmation by the senate, three trustees, one each year for a term of three years, commencing on the first day of July. d. Board trustees. Fifty-six trustees shall be selected in such manner and for such terms as the board of trustees may determine. At all times, such board trustees shall include at least: two members from each of the fields of agriculture, business and labor in New York state; eight trustees to be elected from among and by the alumni of the university; two trustees to be elected from among and by the faculty of the university at Ithaca and Geneva; two trustees to be elected from among and by the membership of the university's student body at Ithaca; and one trustee to be elected from among and by the nonacademic staff and employees of the university at Ithaca and Geneva.

2. General provisions. a. Notwithstanding the provisions of any other general or specific statute the minimum age for membership on the board of trustees shall be eighteen years. b. The presence of thirty trustees at a meeting duly called in accordance with said university's bylaws shall constitute a quorum for the transaction of business.

§5704. TRUSTEES SHALL MAKE REPORTS; UNIVERSITY SUBJECT TO VISITATION OF REGENTS

The trustees of said university shall make all the reports and perform such other acts as may be necessary to conform to the act of congress, entitled "An act donating public lands to the several states and territories which may provide colleges for the benefit of agriculture and the mechanic arts," approved July second, eighteen hundred sixty-two. The said university shall be subject to visitation of the regents of the university.

§5705. EXTENT TO WHICH PROPERTY MAY BE HELD

The said corporation may take and hold real and personal property to such an amount as may be or become necessary for the proper conduct and support of the several departments of education heretofore established or hereafter to be established by its board of trustees, and such real and personal property as has been, or may hereafter be given to said corporation by gift, grant, devise or bequest in trust or otherwise, for the use and purposes permitted by its charter, and in cases of trusts so created, the several trust estates shall be kept distinct, and the interest or income shall be faithfully applied to the purposes of such respective trusts, in accordance with the provisions of the acts or instruments by which the respective trusts were created.

32 §5706. RESTRICTIONS ON ALIENATION OF PROPERTY

That portion of said university grounds, which was the original gift of about two hundred acres of land made by Ezra Cornell and at that time located in the town of Ithaca in the county of Tompkins, shall not be encumbered, aliened or otherwise disposed of by the said trustees, or by any other person, except on terms such as the legislature of the state of New York shall have approved, and any act of the said trustees, or that of any other person which shall have that effect, shall be void; except, that Cornell university is hereby authorized to mortgage, or convey such part of the aforesaid lands of said university as it may deem necessary to enable it to obtain needed loans, advances, or financing for the construction of a housing unit including all necessary and usual attendant and related facilities and equipment erected for the use of students, an academic building, library, laboratory, classroom or other building or structure essential, necessary or useful, for instruction in the academic program upon the following terms:

(1) Such loans, advances or financing shall be obtained from or through the dormitory authority of the state of New York, or from or through the housing and home finance agency or from such other New York state or federal agency or agencies as are now, or as may be, engaged in constructing or financing the construction, acquisition, alteration, or improvement of such educational or attendant facilities above described. Such construction may be conducted by the said university or by the governmental agency involved in such financing as may be agreed upon.

(2) Any conveyance of the title of any part of the aforesaid lands shall provide that the title to said lands shall revert to Cornell university upon payment of the principal and interest of such loan, advance, or financing secured by said conveyance and the satisfaction of all its obligations thereunder, and upon such payment and satisfaction the said lands, so conveyed shall revert to and again become the property of the university with such title as it had before such conveyance.

§5707. EXTENT OF FARM AND GROUNDS

The farm and grounds occupied by said corporation, whereupon its buildings are erected, or shall be erected in such manner and to such extent as the trustees may from time to time direct and provide for, shall consist of not less than two hundred acres.

§5708. POWERS TO POLICE GROUNDS AND REGULATE TRAFFIC THEREON

1. For the purpose of providing for the safety of its students, faculty, employees and visitors, Cornell university is hereby authorized and empowered through its board of trustees: a. To adopt, make applicable and enforce, upon the streets, roads and highways owned, controlled or maintained by said university within the grounds of said university and constituting a part of the educational and research plant or plants owned or under the supervision, administration, and control of said university, such provisions of the vehicle and traffic law, and such rules of the state department of transportation as control or regulate vehicular or pedestrian traffic, and parking. b. To adopt and enforce such additional rules and regulations for the control of the use of the streets and roads described in the foregoing subdivision as local authorities are empowered to adopt and enforce pursuant to said vehicle and traffic law.

33 c. To adopt and enforce rules and regulations not inconsistent with law, controlling parking of vehicles and pedestrian traffic over, along and upon the lands and premises of said university or the streets and highways therein, and to control or prohibit thereon or therein vending, hawking, loitering and trespassing. d. To erect, operate and maintain at the entrance or entrances to any such grounds and at other appropriate points thereon or therein control lights, signs and signals.

2. A violation of any section of the vehicle and traffic law or of any rule of the state department of transportation made applicable as provided in paragraph a of subdivision one hereof, shall be a misdemeanor or traffic infraction as designated in such law or rules as the case may be, and punishable as therein provided, and any violation of a rule or regulation adopted under paragraph b of subdivision one hereof shall be a traffic infraction and punishable as provided in the state vehicle and traffic law.

3. A violation of any rules or regulations of the university adopted pursuant to paragraph c of subdivision one of this section, shall constitute a misdemeanor punishable by fine not exceeding fifty dollars or by imprisonment not exceeding six months, or both.

4. Notice of any such laws or rules and regulations made applicable or adopted as hereinbefore provided shall be given either personally or by reasonable notice conspicuously posted on the said lands and premises, or by traffic sign, signal or device, and by filing a copy of all such laws, rules and regulations, and amendments thereof from time to time, in the office of the clerk of the city, town, or village where they are to be enforced. Such laws, rules and regulations shall be enforced, and violations thereof shall be punishable in any court having jurisdiction in the territory in which such violations shall occur.

§5709. SPECIAL DEPUTY SHERIFFS; POWERS AND DUTIES

1. For the protection of the grounds, buildings and property of Cornell university and of the state institutions and property, or other lands and property under the supervision, administration and control of said university, and for the prevention of crime and the enforcement of law and order, and for the enforcement of such rules and regulations as the board of trustees of Cornell university shall from time to time make, as authorized in section fifty seven hundred eight of this chapter or otherwise, the sheriff of a county within which any part of the grounds of Cornell university or the grounds of any state institution constituting a part of the educational and research plants, owned or under the supervision, administration or control of said university, are located, shall appoint and remove at the request of Cornell university such number of special deputy sheriffs as shall be recommended by the president of Cornell university, such appointments to be made from persons nominated by the president of Cornell university, and such special deputy sheriffs shall act only within the county of the sheriff making the appointment. Such special deputy sheriffs so appointed shall be employees of the university and subject to its supervision and control and shall have the powers of peace officers as set forth in section 2.20 of the criminal procedure law within the said grounds or premises owned or administered by Cornell university including any public highway which crosses or adjoins such property. Nothing herein contained shall be construed to prohibit any special deputy sheriff appointed as herein provided from holding an appointment in more than one county at one and the same time.

34 2. Every special deputy sheriff so appointed shall, before entering upon the duties of his office, take and subscribe the oath of office prescribed by article thirteen of the constitution of the state of New York, which oath shall be filed in the office of the county clerk of the county in which the grounds, lands and premises in which he is to be employed is situate. Every special deputy sheriff appointed under this section when on regular duty shall wear conspicuously a metallic shield with a designating number and the words "Special Deputy Sheriff Cornell University" thereon. The compensation, if any, of such special deputy sheriff shall be paid by Cornell university or by the state of New York if so provided by law.

§5711. NEW YORK STATE COLLEGE OF VETERINARY MEDICINE

1. The state veterinary college, established by chapter one hundred fifty-three of the laws of eighteen hundred ninety-four, shall hereafter be known as the New York state college of veterinary medicine at Cornell university, and shall continue to be under the supervision of the state university trustees. The object of said college of veterinary medicine shall be: To give instruction in the normal structure and function of the animal body, in the pathology, prevention and treatment of animal diseases, and in all matters pertaining to biomedical science as applied to animals and correlatively to the human family; and to conduct investigations as to the nature, prevention and cure of all diseases of animals, including such as are communicable to man and such as cause epizootics among animals; and to investigate the economic questions which will contribute to the more profitable breeding, rearing and utilization of animals.

2. All buildings, furniture, apparatus and other property heretofore or hereafter erected or furnished by the state for such college of veterinary medicine shall be and remain the property of the state. The Cornell university shall have the custody and control of said property, and, as the representative of the state university trustees, shall, with whatever state moneys may be received for the purpose, administer the said college of veterinary medicine as to the establishment of courses of study, the creation of department and positions, the determination of the number and salaries of members of the faculty and other employees thereof, the appointment and employment thereof, the maintenance of discipline and as to all matters, pertaining to its educational policies, activities and operations, including research work.

3. The state university trustees shall maintain general supervision over the requests for appropriations, budgets, estimates and expenditures of such college. Cornell university shall receive no income, profit or compensation for the exercise and performance of the powers and duties conferred and imposed by this section, but all moneys received from state appropriations for the said college of veterinary medicine or derived from other sources in the course of the administration thereof, shall be kept by said university in a separate fund from the moneys of the university, and shall be used exclusively for said New York state college of veterinary medicine. Such moneys as may be appropriated to be paid to the Cornell university by the state in any year, to be expended by said university in the administration of said college of veterinary medicine, shall be payable to the treasurer of Cornell university in three equal payments to be made on the first day of October, the first day of January, and the first day of April in such year, and shall be expended upon vouchers approved by the chancellor of the state university, as the chief administrative officer of the state university, or by such authority or authorities in the state university as shall be designated by the chancellor by a rule or written direction filed with the comptroller, when and in the manner authorized by the state university trustees.

35

4. The said university shall expend such moneys and use such property of the state in administering said college of veterinary medicine, and shall submit to the state university trustees during the month of September in each year, a detailed statement of such expenditures and of the general operations of the said college of veterinary medicine.

5. The tuition fees charged to students shall be regulated by Cornell university after consultation with the state university trustees and all other fees and charges in said college of veterinary medicine shall be fixed by Cornell university, and the moneys so received shall be expended for the current expenses of the said college of veterinary medicine.

§5712. NEW YORK STATE COLLEGE OF AGRICULTURE AND LIFE SCIENCES

1. The state college of agriculture, established by chapter six hundred fifty-five of the laws of nineteen hundred four, shall hereafter be known as the New York state college of agriculture and life sciences at Cornell university and shall continue to be under the supervision of the state university trustees. The object of said college of agriculture and life sciences shall be to improve the agricultural methods of the state, to develop the agricultural resources of the state in the production of crops of all kinds, in the rearing and breeding of livestock, in the manufacture of dairy and other products in determining better methods of handling and marketing such products, and in other ways; and to increase intelligence and elevate the standards of living in the rural districts. For the attainment of these objects the college is authorized to give instruction in the sciences, arts and practices relating thereto, in such courses and in such manner as shall best serve the interests of the state; to conduct extension work in disseminating agricultural knowledge throughout the state by means of experiments and demonstrations on farms and gardens, investigations of the economic and social status of agriculture, lectures, publication of bulletins and reports, and in such other ways as may be deemed advisable in the furtherance of the aforesaid objects; to make researches in the physical, chemical, biological and other problems of agriculture, the application of such investigations to the agriculture of New York, and the publication of the results thereof.

2. All building, furniture, apparatus and other property heretofore or hereafter erected or furnished by the state for such college of agriculture and life sciences shall be and remain the property of the state. The Cornell university shall have the custody and control of said property, and, as the representative of the state university trustees, shall, with whatever state moneys may be received for the purpose, administer the said college of agriculture and life sciences as to the establishment of courses of study, the creation of departments and positions, the determination of the number and salaries of members of the faculty and other employees thereof, the appointment and employment thereof, the maintenance of discipline and as to all other matters pertaining to its educational policies, activities and operations, including research work.

3. The state university trustees shall maintain general supervision over the requests for appropriations, budgets, estimates and expenditures of such college. Cornell university shall receive no income, profit or compensation for the exercise and performance of the powers and duties conferred and imposed by this section, but all moneys received from state appropriations for the said college of agriculture and life sciences or derived from other sources in the course of the administration thereof, shall be credited by said university

36 to a separate fund, and shall be used exclusively for said New York state college of agriculture and life sciences. Such moneys as may be appropriated to be paid to the Cornell university by the state in any year, to be expended by said university in the administration of said college of agriculture and life sciences, shall be payable to the treasurer of Cornell university in three equal payments to be made on the first day of October, the first day of January, and the first day of April in such year, and shall be expended upon vouchers approved by the chancellor of the state university, as the chief administrative officer of the state university, or by such authority or authorities in the state university as shall be designated by the chancellor by a rule or written direction filed with the comptroller, when and in the manner authorized by the state university trustees.

4. The said university shall expend such moneys and use such property of the state in administering said college of agriculture and life sciences as above provided, and shall submit to the state university trustees during the month of September in each year, a detailed statement of such expenditures and of the general operations of the said college of agriculture and life sciences.

5. The tuition fees charged to students shall be regulated by Cornell university after prior consultation with the state university trustees and all other fees and charges in said college of agriculture and life sciences shall be fixed by Cornell university, and the moneys received from these sources and from the sales of products shall be credited to a separate fund and shall be used for the current expenses of the said college of agriculture and life sciences.

6. There shall be established in said college of agriculture and life sciences courses of instruction in the fundamentals, theory and practice of nursery work, including the propagation and growth of nursery stock, and in gardening and planting.

§5713. NEW YORK STATE AGRICULTURAL EXPERIMENT STATION

1. The institution known as the New York agricultural experiment station, located in the city of Geneva, for the purposes of promoting agriculture in its various branches by scientific investigation and experiment, established by chapter five hundred ninety-two of the laws of eighteen hundred eighty, shall continue to be controlled and managed by Cornell university under the supervision of the state university trustees. Said station shall be managed, controlled and administered by Cornell university, as the representative of the state university trustees, in the manner and with the powers provided by section fifty-seven hundred twelve of this chapter. Cornell university shall have the power to appoint a director and such other scientific and expert workers and employees deemed necessary to accomplish the objects of such experiment station. In such station, said university shall, besides conducting experiments for the promotion of agricultural science, perform and report to the commissioner of agriculture and markets such analyses and other scientific work as such commissioner may request and consider to be necessary for the administration of the provisions of the agriculture and markets law. The salaries and other expenses incurred by reason of such analyses and other scientific service shall be paid from funds appropriated for such purposes.

2. Cornell university is hereby authorized and empowered to publish from time to time bulletins giving information of the results of analyses made at such station of any commodity or substance analyzed thereat and may in like manner publish bulletins containing the results of such analyses heretofore made and unpublished.

37

3. In addition to the number of copies otherwise required by law, the commissioner of agriculture and markets may, with the approval of the governor, cause to be printed by the state printer such number of copies of any report of such station heretofore or hereafter made as he deems sufficient to meet the public demand therefor. The expense of printing such copies shall be paid out of the appropriation for legislative printing, as provided by law. Such copies shall be delivered to such commissioner and sold by him to the public at the actual cost thereof as determined by the comptroller.

4. The Cornell university is hereby designated as the institution within this state entitled to receive the benefits of the act of congress of the United States, approved March second, eighteen hundred eighty-seven, entitled "An act to establish agricultural experiment stations in connection with colleges established in the several states, under the provision of an act approved July second eighteen hundred and sixty-two, and of the acts supplementary thereto." Such benefits of such act which this state is authorized thereby to apply to any college, institution or agricultural experiment station within this state are applied to Cornell university and this state consents that such appropriation, money, or benefits to or for the use of this state, or of any institution within this state, payable under or in pursuance of such act of congress, shall be paid to the treasurer of Cornell university who is the officer designated to receive the same, to be used by Cornell university in such proportion that nine-tenths thereof shall be applied to the use of the New York state college of agricultural and life sciences and one-tenth thereof to the New York state agricultural experiment station at Geneva. Such moneys shall be expended as provided in such act of congress. The department of taxation and finance shall keep an account of all moneys received by it in pursuance of such act of congress in a separate fund to the credit of the Cornell university and shall pay all moneys immediately upon receipt thereof by it to the treasurer of such university, upon the warrant of the comptroller issued upon the order of the said university.

§5714 NEW YORK STATE COLLEGE OF HUMAN ECOLOGY

1. The school of home economics heretofore administered and maintained in the New York state college of agriculture at Cornell university shall hereafter be known as the New York state college of human ecology at Cornell university and shall continue to be under the management and control of said university, subject to the supervision of the state university trustees.

2. The object of said college of human ecology shall be the improvement of family well-being and human welfare by means of education, research, extension teaching, and related public service in the fields of human development and the use of human and environmental resources, including consumer economics, family relationships, human nutrition, household design, and allied subjects.

3. All buildings, furniture, apparatus, and other property heretofore erected or furnished by the state for the said college of human ecology, and all buildings, furniture, apparatus, and other property hereafter erected or furnished by the state for said college of human ecology shall be and remain the property of the state. The Cornell university shall have the custody and control of said property, and shall, as the representative of the state university trustees, with whatever state moneys may be received for the purpose, administer the said college of human ecology as to the establishment of courses of study, the creation of departments and positions, the determination of the number and salaries of members of the faculty and other employees thereof, the employment and appointment thereof, the

38 maintenance of discipline and as to all matters pertaining to its educational policies, activities and operations, including research work.

4. The state university trustees shall maintain general supervision over the requests for appropriations, budgets, estimates, and expenditures of such college. Cornell university shall receive no income, profit, or compensation for the exercise and performance of the powers and duties conferred and imposed by this section, but all moneys received from state appropriations for said college of human ecology or derived from other sources in the course of the administration thereof shall be credited by said university to a separate fund and shall be used exclusively for said New York state college of human ecology. Such moneys as may be appropriated to be paid to the Cornell university by the state in any year to be expended by said university in the administration of said college of human ecology shall be payable to the comptroller of Cornell university in three equal payments to be made on the first day of July, the first day of November, and the first day of March, and shall be expended upon vouchers approved by the chancellor of the state university, as the chief administrative officer of the state university, or by such authority or authorities in the state university as shall be designated by the chancellor by a rule or written direction filed with the comptroller, when and in the manner authorized by the state university trustees.

5. The said university shall expend such moneys and use such property of the state in administering said college of human ecology as above provided, and shall report to the state university trustees during the month of September in each year.

6. The tuition fees charged to students shall be regulated by Cornell university after prior consultation with the state university trustees and all other fees and charges in said college of human ecology shall be fixed by Cornell university, and the moneys received from these sources and from the sales of products shall be credited to a separate fund and shall be used for the expenses of said college of human ecology in such ways as the trustees of said university may determine.

§5715. NEW YORK STATE SCHOOL OF INDUSTRIAL AND LABOR RELATIONS

1. Findings. It is necessary that understanding of industrial and labor relations be advanced; that more effective cooperation among employers and employees and more general recognition of their mutual rights, obligations and duties under the laws pertaining to industrial and labor relations in New York state be achieved; that means for encouraging the growth of mutual respect and greater responsibility on the part of both employers and employees be developed; and that industrial efficiency through the analysis of problems relating to employment be improved.

2. Policy. In the interpretation and application of this section, it is hereby declared to be the policy of the state to provide facilities for instruction and research in the field of industrial and labor relations through the maintenance of a school of industrial and labor relations.

3. School continued. The New York state school of industrial and labor relations, heretofore established by chapter one hundred sixty-two of the laws of nineteen hundred forty-four, is hereby continued in the state university, at Cornell university in the city of Ithaca.

39 4. Object of school. The object of such school shall be to improve industrial and labor conditions in the state through the provision of instruction, the conduct of research, and the dissemination of information in all aspects of industrial, labor, and public relations, affecting employers and employees.

5. Property of school. All lands, buildings, furniture, apparatus, and other property heretofore or hereafter erected or furnished by the state for the said school of industrial and labor relations shall be and remain the property of the state, and shall be in the custody and under the control of Cornell university, as the representative of the state university trustees.

6. Control and operation. a. Subject to appropriations by the state therefore, Cornell university, as the representative of the state university trustees, shall administer the New York state school of industrial and labor relations as to the establishment of courses of study, the creation of departments and positions, the determination of the number and salaries of members of the faculty and other employees thereof, the appointment and employment thereof, the maintenance of discipline and as to all other matters pertaining to its educational policies, activities and operations, including research work and the dissemination of information in all aspects of industrial, labor, and public relations, affecting employers and employees. The state university trustees shall maintain general supervision over such school. b. The tuition fees charged to students shall be regulated by Cornell university after prior consultation with the state university trustees and all other fees and charges in such school shall be fixed by Cornell university. c. Cornell university shall receive no income, profit or compensation for the exercise and performance of the powers and duties conferred and imposed by this section in connection with such school. All moneys received by such university in the course of the administration of such school from tuition, fees and other charges shall be used exclusively for such school. Money appropriated by the state for such school shall be payable from the state treasury upon the audit and warrant of the comptroller upon vouchers approved by the chancellor of the state university, as the chief administrative officer of the state university, or by such authority or authorities in the state university as shall be designated by the chancellor by a rule or written direction filed with the comptroller, when and in the manner authorized by the state university trustees.

§5716. ACQUISITION BY THE STATE OF LAND AND INTERESTS IN LAND OF CORNELL UNIVERSITY UPON WHICH BUILDINGS HAVE HERETOFORE OR MAY HEREAFTER BE ERECTED BY THE STATE

Notwithstanding the provisions of section fifty-seven hundred and six of this chapter, any lands owned by Cornell university upon which buildings have been heretofore or may hereafter be erected by the state for the purpose of any college, school or experiment station provided for in this article, together with such additional contiguous lands as may be deemed appropriate or needful to the purposes of any such college, school or experiment station, with such rights of way, for purposes of ingress and egress thereto and there from or for other purposes over other lands of Cornell university, as may be deemed necessary, may be conveyed by Cornell university to the people of the state, without consideration, pursuant to such agreement or agreements therefor as may be made between Cornell university and, with the approval of the director of the budget, the trustees of the state university of New York, acting for and on behalf of the people of the state. Any such conveyance may be made upon such terms and conditions, including conditions precedent or conditions

40 subsequent with provision of reverter and right of re-entry upon breach thereof, as may be provided for by any such agreement. All such agreements shall be in writing and shall be approved as to form and manner of execution by the attorney-general before they shall become binding on the state. No conveyance authorized herein shall be accepted on behalf of the state unless the title to the property conveyed shall be approved by the attorney general and the deed of conveyance approved as to form and manner of execution by him.

41 6.2 Governance Structure

6.2.1 Organization Chart

The organization chart provided on the next page describes the administrative organization of the Johnson School.

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This chart can also be found at the following link - http://forum.johnson.cornell.edu/administrativeservicecenter/OrganizationalChart.htm , under the Administrative Chart tab.

43 6.2.2 Responsibilities and Authority

The CQEMBA is one of four MBA programs offered by the Johnson School today. The four programs include:

• A residential two-year program based in Ithaca, New York, • A residential Twelve-Month program based in Ithaca, New York for students with advanced degrees in either science or technology, • The Cornell Executive MBA program based primarily in Palisades, New York, and • The Cornell-Queen’s Executive MBA Program.

The Dean of the Johnson School is responsible for the overall direction and operation of the college. The Dean has five senior staff reporting directly to him:

• The Associate Dean, Academic Affairs • The Associate Dean, MBA Programs and Administration • The Associate Dean, Corporate Relations • The Associate Dean, Development and Alumni Relations (also reports to the Vice President, Alumni Affairs and Development) • The Associate Dean, Curriculum (also responsible for Executive Education)

The Dean and these five Associate Deans constitute the Management Committee of the Johnson School. The Management Committee is responsible for the execution of the school’s operations.

All committees are created by the Dean. The Dean appoints all committee members except for the Faculty Policy Committee, where the faculty elects the members. The Faculty Policy Committee will advise the administrative officials of the School on policy matters as described below. In performing this function, the Faculty Policy Committee will consult with members of the faculty and with the administrative officials of the School.

The Faculty Policy Committee members will represent the faculty as a whole, and the Faculty Policy Committee will report recommendations and substantiating considerations, in writing, to the Dean and to the entire faculty.

The Faculty Policy Committee normally will consider and make recommendations on policy matters referred to it by the Dean or the faculty, but it is also free to undertake studies on its own initiative. It will keep the administration informed of subjects to which it proposes to give formal consideration, and it will consult with the Dean prior to the formulation of any formal recommendations. The Faculty Policy Committee will not act as a buffer between the faculty and the administration of the School but will instead strive to improve and facilitate communication.

The Faculty Policy Committee will restrict its recommendations to matters of general policy and to proposals of long-range significance to the School, and to other matters which are determined by the Faculty Policy Committee in consultation with the Dean to be within its jurisdiction as broadly defined above or as may be assigned to it by the faculty.

The faculty may delegate specific issues to the Faculty Policy Committee together with authority to make the corresponding decisions.

The Faculty Policy Committee will work with the Dean to develop recruiting priorities each year.

44 6.2.3 Reporting Structure

The organization chart provided in Section 6.2.1 summarizes the reporting structure at the Johnson School that impacts the Cornell-Queen’s Executive MBA program.

Within the Johnson School, the CQEMBA Program Director reports to the Associate Dean of Curriculum. This Associate Dean is a member of the School’s Management Committee. This close contact between the Director of the CQEMBA program and this senior administrator ensure that constant monitoring of the program’s ability to meet the School’s goals is conducted. The Program Director on the Queen’s side of the partnership also reports to an Associate Dean with a similar portfolio at Queen’s School of Business.

Because this is a partnership program between the Johnson School and Queen’s School of Business, there is a jointly constituted body that is directly responsible for program issue that will effect both partners: the Joint Academic Committee (JAC). This committee consists of three representatives of each school, including the two Program Directors who are ex officio members of the JAC. This body ensures that the academic standards jointly established by the partner schools are appropriately applied.

45 6.4 Coordination of Business and Academic Plans

Section 5.3 (page 21) offered detailed information on the five-year business plan of the Johnson School. As an academic unit of Cornell University, the goals of the Johnson School are all focused on academic issues. Accordingly, the description of the five-year plan included in Section 5.1 deals with this coordination between “business activities” and the academic goals of the Johnson School.

84 6.5 Participation in Academic Policies and Standards

The Johnson School has a number of committees involved in the development and/or decision making pertaining to curriculum, academic policies and academic standards.

Notes: (1) Each committee must report at least once per year to the faculty. (2) Committee chairs will be asked to write a short report at the end of the 07/08 academic year that describes the activities of the committee during the year. (3) Each committee should analyze its charge and recommend changes to the Associate Dean for Academic Affairs. (4) "MBA students" refers to students in all of our MBA programs.

ACADEMIC INTEGRITY BOARD: • To handle all cases of alleged academic fraud under Cornell and the Johnson Graduate School of Management policy guidelines.

ACADEMIC STANDARDS COMMITTEE (Note: The Joint Academic Committee described above serves tis function for the CQEMBA.): • To review and act on requests by our MBA students for special academic treatment. • To review students in academic difficulty at the end of each semester and establish the requirements for their continued matriculation or recommend termination.

ADMISSIONS & CAREER MANAGEMENT COMMITTEE (Resident MBA Programs) • To recommend policies on admissions and career management and periodically review those policies with the faculty, e.g. by describing the desired profile of the entering class. • To enlist faculty support for admissions and career management processes. • To promote consistency between the School's goals and the policies for admissions and career management in light of our curriculum and strategic goals for our MBA programs.

BUSINESS SIMULATION LAB ADVISORY COMMITTEE • To develop and review operating principles for the BSL. • To communicate these principles and practices to the appropriate faculty. • To find ways to utilize the BSL to improve research productivity.

COMMITTEE FOR LEARNING GOALS AND STANDARDS • To develop learning goals for our MBA programs and determine how to measure and monitor those through time. Goals must be mission driven and approved by the faculty.

COURSE APPROVAL COMMITTEE • To evaluate and approve the creation of new courses. • To offer suggestions for changes at either core or elective levels as it deems appropriate.

EMBA COMMITTEE (Both EMBA programs) • To work with the directors of both EMBA programs to determine and modify the curriculum and to insure that the core requirements are included appropriately. • To assist the program directors with strategic planning for the programs. • To review faculty performance in both programs and make decisions concerning reappointments for visiting faculty. Initial appointment decisions are made by the faculty.

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FACULTY AFFIRMATIVE ACTION COMMITTEE • To work with academic search committees to be sure appropriate procedures are followed and that efforts are made to try to hire underrepresented minority and women. • To give suggestions to the Dean’s office regarding affirmative action.

FACULTY POLICY COMMITTEE • To serve as advisor to the Dean’s office. • To select and frame issues for faculty debate. • As elected members of the faculty to set policy subject to the prerogative of individual faculty members to request that such policies be debated by the faculty.

JOHNSON SCHOOL HEARING PANEL FOR PROFESSIONAL BEHAVIOR • To handle all cases of violations of professional behavior as outlined under the Johnson Graduate School of Management Honor Code. • To advise student members on the panel regarding programs to inform the community about professional behavior expectations and other process and communication topics.

MANAGEMENT COMMITTEE • To interact and coordinate management of the school. • To advise the Dean concerning management of the school.

PARK FELLOWSHIP COMMITTEE • To develop strategies for improving the Park Program. • To create visibility for the Program within the School and externally. • To assist the program director in establishing and maintaining cutting-edge leadership development programming. • To be active in the selection process and in determining guidelines for that process.

PH.D. COMMITTEE: • To study the effectiveness of the Ph.D. program and suggest changes to the Dean’s office. • To oversee policies and guidelines for the Ph.D. program. • To solicit, evaluate and admit students subject to enrollment targets established by the Dean’s office. • To recommend funding levels and administer the allocation of funds to the students. • To evaluate the progress of all students and to recommend, when appropriate, the elimination of support. • To assign students to faculty as research associates.

RANKINGS COMMITTEE • To identify important rankings of MBA programs and understand the methodology by which they develop those rankings. • To identify useful feedback in MBA rankings and route that feedback to appropriate parties within the Johnson School. • To study feedback from the rankings and suggest programmatic changes as appropriate.

86 7. ETHICAL CONDUCT

7.1 Prior History

7.1.1. Explanation of Past Fraud or Misrepresentation

None of the directors or officers of the Johnson School has been convicted of fraud or misrepresentation

7.1.2 Explanation of Pending Legal or Administrative Actions

Cornell University is a major research and education institution with more than 260 buildings on 745 acres, more than 10,000 staff and faculty members, and more than 20,000 students. Cornell employees are engaged in over $500 million of sponsored research annually and the institution continues to expand and upgrade its facilities through ongoing construction projects. Cornell is at times the subject of investigations and reviews by governmental enforcement agencies of a nature, frequency and description not uncommon for institutions of our size and complexity. Final determinations adverse to Cornell occur infrequently.

7.1.3 Information about Owners / Officers

None of the officers of the Johnson School currently own or control, or previously owned or controlled, postsecondary organizations.

7.2 Ethical Standards

The Johnson School is committed to conducting all of its activities to highest ethical standards. We are dedicated to treating all individuals with respect and dignity. We are committed to disclosing information in a comprehensive, fair and timely manner. Cornell University has developed extensive and detailed policies on the topics of discrimination, equal employment, and diversity (http://www.cornell.edu/diversity/history/policies.cfm) and the Johnson School is committed to all of these policies.

The following is a portion of the Cornell University policy on ethical conduct:

STANDARDS OF ETHICAL CONDUCT

Standards of Ethical Conduct

An environment that encourages the highest level of integrity from its members is critical to the university. Therefore, adherence by executive officers, faculty, staff, student employees, and others acting on behalf of the university to the standards of ethical conduct set forth in this document is an integral part of the university's long-range goals of attracting quality students, faculty, and staff; ensuring proper stewardship of its resources; and attracting gifts, grants, and other forms of support.

University executive officers, faculty, staff, student employees, and others acting on behalf of the university should not commit acts contrary to these standards or support the commission of such acts by others.

87 A practice will not be condoned on the grounds that it is "customary," "easy," or "expedient" if it does not meet these standards of ethical conduct; condoning such practices may compromise the integrity and reputation of the university. If you are asked to act against these standards, you should decline. You are empowered to say something such as the following: "University policy doesn't allow me to do this. Please discuss this matter further with..." or "I'm uncomfortable with what you've asked me to do and I'd like to discuss the matter with..." If you act in good faith, the university will act to protect you from being disciplined or suffering reprisal for making such a statement.

Further, members of the university community are expected to assume personal responsibility and accountability for their actions by maintaining these standards. In an effort to ensure that employees are adequately informed of the university's expectations, all employees will be asked to read a Statement of Ethical Conduct (see the "Appendix A" Section of this document).

Listed below are some of the areas where frequent ethical questions arise, and some general principles of ethical conduct:

Abuse of Power • support the creation and maintenance of an environment in which abuse of power is not tolerated.

Communication • communicate judgments, opinions, and other information--both positive and negative--fairly and objectively.

Computer Use • use electronic communications and systems in a responsible manner.

Confidentiality • use confidential information acquired in the course of university affiliation only for official or legal purposes, and not for personal or illegal advantage, during or after such affiliation; • disclose confidential information acquired in the course of employment or university affiliation on a need-to-know basis and only when authorized to do so.

Conflicts of Interest and Commitment • advise appropriate parties of potential conflicts in accordance with applicable university conflicts policies; • refrain from engaging in a romantic or sexual relationship with a student whom you teach, advise, coach, or supervise in any way; • avoid any activity that hinders your ability to carry out responsibilities to the university.

Financial Transactions • conduct, process, and report all financial transactions with integrity.

Grants and Contracts • adhere to grant and contractual obligations of the university, including proper allocation of expenses; • comply with applicable laws and regulations governing the receipt and disbursement of sponsored funds.

88 Intellectual Property • honor non-disclosure agreements; • abide by all rules and laws governing the use of copyrighted materials, patented ideas, licenses, and proprietary information; • properly attribute the ideas and work of others.

Kickbacks • refrain from making or accepting payments to improperly obtain or reward with favorable treatment in connection with either a contract or subcontract relating to a prime contract.

Contract College Reporting • meet accurately and fully reporting obligations that are required by federal and state regulations.

Stewardship • use university resources or assets legally and properly; • refrain from engaging in personal use of university facilities, equipment, employees, students, or voluntary help unless written permission is obtained in accordance with applicable procedures.

PROCEDURES

Seeking Clarification

If you have read the appropriate sections of this policy, other university policies, and applicable regulations, you may need additional clarification about the propriety of actions, in the following instances: • when university policies appear ambiguous or difficult to interpret or apply; • when it is difficult to identify your responsibilities in situations of potential violations of standards of ethical conduct.

In such cases, contact your immediate supervisor, department chair, college dean or university vice president, the Office of University Counsel, the University Audit Office, or the Responsible Office for the applicable policy.

Reporting a Violation

You are expected to report violations of this policy to appropriate university personnel. To report an actual or suspected violation:

1. Discuss the violation with the immediate supervisor, except when the supervisor is involved, in which case discuss it with the person at the next supervisory level. 2. If you cannot address the situation in this manner, you may contact the university office responsible for your area of concern. 3. If it appears that there may have been a violation of ethical conduct, report it to the appropriate university office (e.g., Audit, University Counsel), or report it through Cornell University's Hotline.

Caution: Failure of a supervisor to report actual or possible violations may be a subject of appropriate university discipline.

89 Retaliation

The university will not tolerate retaliation toward or harassment of employees who report actual or possible violations. The identity of individuals providing information concerning possible violations, including fraud, will be protected within legal limits. Individuals who take retaliatory action will be subject to discipline, up to and including discharge.

Enforcement

Suspected violations will be investigated by the appropriate office, depending on the nature of the violation. Disciplinary measures may be taken, in accordance with applicable regulations, if appropriate to the circumstances, by one of the following: • immediate supervisor; • department chair; • college dean; • relevant vice president; • responsible university office.

Abuse of this Policy

The university is committed to the protection of both the accused and the accuser in the reporting of any violation of this policy. Therefore, attempts by individuals to discredit others through inappropriate use of this policy are not permitted and will be considered for disciplinary action.

90 8. STUDENT PROTECTION

8.1 Student Recruitment Policies

The Johnson School does not conduct any recruiting activities in Ontario or elsewhere in Canada. All of the recruiting policies and activities that effect potential applicants in those jurisdictions are administered by Queen’s School of Business.

In the United States, recruiting efforts involve a number of different initiatives, such as:

• Print advertising, • Radio advertising, • Internet Search Engine advertising, • Direct email messages, • Direct paper mail, • Information sessions conducted in various cities across the country, • Maintenance of a School and Program web page that offers information.

91 8.2 Policy Awareness

8.2.1 Academic Calendar

The current academic calendar of the CQEMBA follows this page. The Johnson School distributes no promotional material in Ontario or elsewhere in Canada.

The table below details the location of information not contained in the academic calendar.

Location Information CQEMBA participants are provided access to the Johnson The organization’s mission and School web site where this information can be found: goals statement (www.johnson.cornell.edu/lrp/) CQEMBA participants are provided access to the Johnson A history of the organization and School web site where this information can be found: its governance and academic (forum.johnson.cornell.edu/AdministrativeServiceCenter/) structure CQEMBA participants are provided access to the Johnson If the organization currently School web site where this information can be found: offers degree programs, a general (www.johnson.cornell.edu/prospectivestudents/) description (e.g., purpose, outcomes, length) of each degree program CQEMBA participants are provided access to the Johnson The academic credentials of School web site where this information can be found: faculty and senior administrators (www.johnson.cornell.edu/faculty/profiles/alpha.html) CQEMBA participants are provided access to the Johnson Individual descriptions of all School web site where this information can be found: subjects in these programs, and (www.johnson.cornell.edu/academic/cqemba/courses.html) their credit value

92 Cornell - Queen’s Executive MBA

ACADEMIC CALENDAR

Program Policies & Regulations

July 2007

93

Contents

I. Introduction II. Program Academic Standards & Regulations III. Academic Decisions & Appeals IV. Grading V. Curriculum VI. Learning Team Policies VII. Other Academic Policies VIII. Academic Standards at Cornell University and Queen’s University IX. Financial Policy

94 I. Introduction

This document contains information concerning the policies and regulations of the Cornell-Queen’s Executive MBA program. It is the responsibility of all participants to read and understand this entire document. While this document primarily discusses program-level topics, Section VIII lists on-line resources to access detailed information at the university-level.

Participants in the Cornell-Queen’s Executive MBA program are enrolled in both Cornell University and Queen’s University, and are subject to the policies, regulations, and requirements of both institutions.

Notwithstanding this dual enrollment, participants based in the United States are considered to have Cornell University as their institution of primary enrollment and participants based in Canada are considered to have Queen’s University as their institution of primary enrollment. With respect to the appeal of academic decisions, every participant is restricted to the policies of his or her institution of primary enrollment.

Communications regarding academic matters pertaining to the Cornell-Queen’s Executive MBA program should be directed to:

Johnson Graduate School of Management Queen's School of Business Cornell University Queen’s University Sage Hall, Room 221 Goodes Hall, Room 203 Ithaca, New York 14853-6201 Kingston, Ontario K7L 4B5 Tel. (607) 255-4251 Tel. 1(888) 393-2622 Fax (607) 255-0018 Fax (613) 533-2313 www.johnson.cornell.edu/academic/cqemba www.qcemba.com

95 II. Program Academic Standards & Regulations

A. Course Requirements

Each candidate for the MBA degrees must successfully complete all of the required courses in the Cornell-Queen’s Executive MBA program (the “Program”). Credit is granted for each course towards the academic requirements of both universities. A total of 60 credit hours are required for the Cornell MBA degree and 26 course credits are required for the Queen’s MBA degree. Note that Cornell credit hours and Queen’s course credits are not the same but are related as follows:

1 “full” course = Eight 4-hour sessions = 3.0 Cornell credit hours = 1.3 Queen’s course credits

Many, but not all, courses in the curriculum are “full” courses. Within the curriculum courses are a variety of lengths. In these cases, the number of 4-hour sessions, Cornell credit hours, and Queen’s course credits all change proportionally.

B. Academic Standards and Regulations:

All participants in the Program are subject to the academic standards and regulations shown below. In the case where a participant violates any one of these regulations, that participant may be required to withdraw from the Program. The specific decision regarding the consequences or sanctions for violating an academic regulation rests with the Program’s Joint Academic Committee (the “JAC”).

(a) A participant must maintain and/or achieve a minimum average grade for all courses taken in the Program (see Section IV of this document for a detailed discussion of the grading systems at Cornell University and Queen’s University).

(i) As reported under the Cornell University grading system, a participant must achieve a minimum overall grade point average (GPA) of 2.7 and a minimum GPA of 2.5 in core courses. Grades of INCOMPLETE (INC) count as F in these averages. (ii) As reported under the Queen’s University grading system, a participant must maintain a minimum weighted average of 65%.

(b) As reported under the Queen’s University grading system, a participant must not have a total of 4 “full” course credit equivalents with grades below 65% (equivalent to a grade of C+ or lower in the Cornell University grading system).

96 (c) As reported under the Queen’s University grading system, a participant must not receive a final course grade of less than 50% on any course (equivalent to a grade of F in the Cornell University grading system).

(d) A participant must function effectively and supportively in the Learning Team throughout the duration of the Program (see Section IV, “Assessment of a Participant's Learning Team Performance”).

(e) A participant may not miss more than two class sessions of a full course, or equivalent portion (25%) of the class sessions of any course.

(f) A participant must obtain a passing grade on individual performance in each course (see Section IV, “Assessment of Individual Performance”).

Please refer to the next section to understand the process of how these academic regulations and standards are applied.

It is a participant’s responsibility to inform the Program Directors at the earliest possible date of any medical or other challenge that may impede his or her ability to meet the academic standards of the Program.

97 III. Academic Decisions & Appeals

Participants in the Program are enrolled in both Cornell University and Queen’s University and are subject to the policies, regulations, and requirements of both of these institutions.

Notwithstanding this dual enrollment, participants based in the United States are considered to have Cornell University as their institution of primary enrollment and participants based in Canada are considered to have Queen’s University as their institution of primary enrollment. With respect to the appeal of academic decisions, every participant is restricted to the policies of his or her institution of primary enrollment.

A. Joint Academic Committee

The responsibility of applying the Program’s academic standards and regulations belongs to the JAC. The JAC is comprised of the two Program Directors and two members of the faculty from each school.

B. Review of Participants Academic Performance

The JAC meets to review the performance of participants in academic jeopardy (as defined by failure to meet the Academic Standards and Regulations described in Section II). The outcome of these reviews may be:

(a) COMMENDATIONS: If a participant was previously warned about a deficiency in his or her academic performance and that deficiency is corrected, the JAC sends a letter of commendation and encouragement.

(b) WARNINGS: If the JAC believes that a participant’s performance does not represent dangerous academic jeopardy, a simple letter of warning is sent.

(c) HEARINGS: If the JAC deems a participant is in academic jeopardy, it sends a letter requesting that he or she appear before the JAC to discuss his or her academic performance. This letter indicates the actions the JAC is contemplating and alerts the participant that he or she may have witnesses with pertinent information and/or a faculty member acting as an advisor attend the hearing.

(d) ACTIONS AFTER A HEARING: Upon completion of the hearing, the JAC will exercise one (1) of the following options by majority vote:

(i) Send a letter of warning that the participant’s record will be reviewed at the end of the next semester for further possible actions. This may or may not include formally placing the participant on probationary standing;

98

(ii) Specify conditions under which the participant is permitted to continue in the Program. These conditions typically specify additional required work and/or a minimum grade average that must be attained in the future. In these cases the participant shall be considered to have been placed on probationary standing. Finally, the JAC may;

(iii) Take the formal action, “May not Reregister, Samuel Curtis Johnson Graduate School of Management” and “Required to Withdraw, Queen’s School of Business”. This action is taken when the JAC deems the participant incapable of satisfactory completion of MBA degree requirements.

C. Appeals of Academic Decisions

With respect to the appeal of academic decisions, every participant is restricted to the policies of his or her institution of primary enrollment.

(a) CORNELL UNIVERSITY: Decisions of the JAC regarding academic performance shall be final and non-appealable except that a decision “May not Reregister” may be appealed to the Associate Dean for Academic Affairs. He or she decides either to confirm the JAC’s decision or request that the JAC reconsiders the case.

(b) QUEEN’S UNIVERSITY: Appeals of academic decisions fall into two possible categories: appeals of grades and general appeals (all other appeals). Different processes are in place to handle these appeals.

(i) Appeal of Academic Decisions

The JAC applies the academic regulations as outlined in Section II to the cases of any participants who are in violation of one or more program requirements and notifies the participant in writing of the JAC’s decision and the right of appeal.

The appeal process at Queen’s University allows for multiple levels of appeal in a graduated sequence. The first level of appeal is at the Program level. In the case of the Program, the JAC is the first body to which an appeal is submitted. A participant intending to appeal a decision of the JAC must notify the Queen’s University Program Director of his or her intention to appeal no later than fourteen (14) days after receiving notice of the JAC’s decision. At that time the Queen’s University Program Director will provide further information regarding appeal processes and their timelines.

99 The participant will then have fourteen (14) days to submit their appeal in writing to the Queen’s University Program Director.

If a participant’s appeal is unsuccessful at the Program level, the participant may choose to advance the appeal to the school level. The body that hears appeals at the Queen’s School of Business level is the Academic Appeals Committee of Faculty Board. The Faculty Board of Queen's School of Business has delegated to the Academic Appeals Committee the responsibility for dealing with appeals of decisions of the JAC. The Academic Appeals Committee is composed of five Faculty Board members and is chaired by the non-voting Chair of Faculty Board. Four of the Committee members are faculty, one of whom teaches in the Bachelor of Commerce program, one in the MSc/PhD program, one in the MBA for Science and Technology program, and one in a Queen’s Executive MBA program. None are contemporaneously members of the JAC. The fifth Committee member is a participant member of Faculty Board. The Committee members are appointed by the Associate Dean (Administration) on an annual basis but with an objective of maximizing continuity.

A participant who is appealing to the Academic Appeals Committee of Faculty Board must provide a written submission outlining why he or she is appealing the JAC decision. The participant has the right to appear in person before the Academic Appeals Committee to state his or her case and answer any questions posed by members of this Committee. The participant may also bring representation, which would normally be a grievance officer of the University or legal counsel. The participant also has the right to have the appeal resolved in a timely fashion and, with one exception explained below, may not be subject to any sanction or penalty until the appeal is resolved.

In the event of an appeal to the Academic Appeals Committee of Faculty Board, the Chair of the JAC will summarize for the Academic Appeals Committee the deliberations of the JAC and the decision regarding the participant. The participant has the right to hear these details.

After hearing the case, the Academic Appeals Committee will uphold or dismiss the participant’s appeal. In doing so, it will ensure that the process complies with the principles of natural justice. These principles include the rights of the participant appellant and matters of academic fairness in relation to academic program regulations.

100 The participant will be notified in writing by the Secretary or the Chair of Faculty Board (also verbally if the appellant appeared before the Committee) of the Academic Appeals Committee’s decision. If the participant receives a negative response on the appeal, the participant also receives contact information for the University Student Appeal Board as a next level of appeal.

A participant has the right to appeal an adverse academic decision of the JAC on procedural grounds, but no right to seek a review of the underlying academic assessment as the basis for an appeal. In general, procedural grounds for appeal fall into two categories. First, a decision may be appealed on the grounds that the process leading up to this decision was flawed or incorrectly administered. Second, a decision may be appealed on the grounds of extenuating circumstances of which the JAC was unaware when the decision was made.

Note that it is the participant’s responsibility to clearly establish that grounds for an appeal exist as the basis for an appeal. At each level of the appeal process, the body asked to hear the appeal may decide that appropriate grounds for appeal have not been established and, as a result, the appeal will not be heard.

(ii) Appeals of Grades

Decision-making about participant’s academic progress and appeals of those decisions initially is dealt with at the individual faculty and program level. Examination papers and class records of participants whose final grade in a course is a few marks below a C grade (50%), a B grade (65%), or an A grade (80%) are reviewed with special care by faculty members before such grades are assigned. If a participant feels that a course grade, or a portion of it, has been unfairly assessed, an attempt should be made to resolve the issue informally with the instructor involved. If the participant feels that the issue remains unresolved, he or she should contact the Directors of the Program. If this does not result in a resolution and the issue deals with the final grade in the course, then the participant may submit a request for reconsideration to the University Registrar.

Requests for reconsideration must reach the Registrar within 60 days of the date of the examination or due date of the assignment, and must be accompanied by a fee of $35. This fee will be refunded to the participant if, as a result, a failing grade is raised to a pass or if a pass is raised by as much as five marks or to a higher letter grade. The reconsideration shall be conducted by two

101 examiners appointed by the Queen’s University Program Director or his or her designate; one examiner shall be the original instructor, if available. The reconsideration shall involve a re- reading of the final examination in the course and a review of the participant's course record. It shall be the responsibility of the participant to preserve all exercises, papers, reports, and other graded material for the course and to submit a file of these documents with the request for reconsideration. The decision of the examiners shall be final.

(iii) Effective Date of Sanction

Section 35 of Queen’s University Senate Policy on Student Appeals, Rights and Discipline states the following:

(1) Ordinarily, no sanction, penalty or requirement to withdraw shall be put into effect until the student affected has either exhausted all channels of appeal or has allowed the time for appeal to lapse. For the purpose of this provision, the University will normally consider an adverse academic decision to be a sanction.

(2) Notwithstanding subsection (1), where an academic unit determines that the interests of third parties may be prejudiced by the continued enrollment of a student in a course or program, the unit may decide that pending an appeal from an adverse academic decision, the student should not be permitted to continue in the course or program, or may be precluded from progressing to the next academic stage.

(3) A student who is subject to suspension from a program under subsection (2) may request that the Chair of the appellate body with jurisdiction over the matter expedite the hearing of the appeal. This request may result in a direction abridging the time for filing of documents, or other interim or preliminary direction made pursuant to Section 36 of Queen’s University Senate Policy on Student Appeals, Rights and Discipline.

Please note that a “student” and “Participant” have the same meaning for the purposes of this Program Policies & Regulations document.

The foundation of the Program is a team-based, collaborative learning model where participants depend on each other for the

102 quality of their learning experience and to meet the academic requirements of courses. Evidence of the fundamental importance of team-based learning within the Program includes the course evaluation format (i.e., a significant portion of all course evaluation is based on team projects, assignments or other forms of team-produced output) and the academic regulation requiring effective and supportive behavior as a Learning Team member.

Participants should note that the JAC holds that an adverse academic decision (i.e., required withdrawal) as a result of the violation of Regulation (d) (i.e., the failure to function effectively and supportively in the learning team) requires that a participant's academic progression be halted during the appeal process to ensure that the interest of third parties are not adversely affected (i.e., the learning experience and academic evaluation of the other members of the Learning Team).

103 IV. Grading

Each course professor in the Program establishes the evaluation criteria and grading scheme for his or her course. This grading scheme will be explained by the professor at the start of each course.

The grade reporting systems used at Cornell University and Queen’s University are not the same. The two systems differ in both approach and format. With respect to the former, the faculty at the Johnson School have determined that the expected average final Grade Point for a core course is 3.35 and for a non-core course 3.50. In determining the final course grades, Johnson School faculty will use a course-specific internal grading process that is unique to a single course and cannot be generalized to other courses. For example, when taught by Cornell professors a raw, internal score of 81 in one course may lead to a different final Grade Point (and associated letter grade) than the same raw, internal score in a different course. At Queen’s School of Business, the faculty has not established an expected average grade for courses. All faculty use numerical grading schemes and final grades are awarded in percentage form (i.e., out of 100%). Accordingly, the interpretation of internal course grades can be generalized across courses. For example, when taught by Queen’s professors a raw, internal score of 81 in one course will lead to the same final percentage grade (and associated letter grade) as the same raw, internal score in a different course. It is important that participants understand the differences between the two grading systems.

Cornell University and Queen’s University record grades in different formats. As all courses in the Program and the final grade achieved will be reported on the transcripts of both universities, a translation process between the grade reporting systems has been established. Understanding the steps in this translation process starts with identifying if the professor who taught the course is based at Cornell University or Queen’s University. (In some cases, courses are team-taught by professors from both universities. In these situations the professors will announce at the start of the course which university’s grading format will apply.) The grading systems under which the final grade for a course will reported on the transcripts of Cornell University and Queen’s University are shown below.

104 (A) The grade reporting process when a course is taught by a Cornell University professor is as follows (see Table 1):

Step 1: Under the grading system at Cornell University, final course grades are reported in letter format (using “plus” and “minus” scaling). Step 2: The letter grades awarded in Step 1 translate directly into grade points as shown in the first two columns of Table 1. The letter grade and the grade points are shown on the Cornell University transcript. Step 3: Each Cornell University letter grade will translate to a percentage grade for Queen’s University records, as shown in the first and third columns of Table 1. (The percentage grades in Table 1 are the approximate midpoints of the Percentage Ranges shown in Table 2.) In a case where the letter grade assigned is an “F”, the professor will also supply a numerical grade. Step 4: The percentage grades awarded in Step 3 translate directly into a letter grade as shown in the last column of Table 1 (i.e., not using “plus” and “minus” scaling). The letter grade and the percentage grade are shown on the Queen’s University transcript.

Cornell University Queen’s University Grade Reporting System Grade Reporting System (as shown on transcript) (as shown on transcript) Letter Grade Grade Point Percentage Letter Grade (Step 1) (Step 2) (Step 3) (Step 4) A+ 4.3 96 A 4.0 87 A A- 3.7 82 B+ 3.3 77 B 3.0 72 B B- 2.7 67 C+ 2.3 62 C 2.0 57 C C- 1.7 52 F 0.0 Assigned F Table 1: Grade reporting steps when a course is taught by Cornell professor

105 (B) The grade reporting process when a course is taught by a Queen’s University professor is as follows (see Table 2):

Step 1: Under the grading system at Queen’s University, final course grades are reported in percentage format. Step 2: The percentage grades awarded in Step 1 translate directly into a letter grade as shown in the first two columns of Table 2. (Queen’s University does not use “plus” and “minus” on letter grades.) The letter grade and the percentage grade are shown on the Queen’s University transcript. Step 3: Each Queen’s University percentage grade awarded in Step 1 will translate to a letter grade for Cornell University records (using “plus” and “minus” scaling) using the first and third columns of Table 2. Step 4: The letter grades awarded in Step 3 translate directly into grade points as shown in the last two columns of table 2. The letter grade and the grade points are shown on the Cornell University transcript.

Queen’s University Cornell University Grade Reporting System Grade Reporting System (as shown on transcript) (as shown on transcript) Percentage Letter Letter Grade Range Grade Grade Point (Step 1) (Step 2) (Step 3) (Step 4) 91 – 100 A+ 4.3 85 – 90 A A 4.0 80 – 84 A- 3.7 75 – 79 B+ 3.3 70 – 74 B B 3.0 65 – 69 B- 2.7 60 – 64 C+ 2.3 55 – 59 C C 2.0 50 – 54 C- 1.7 < 50 F F 0.0 Table 2: Grade reporting steps when a course is taught by Queen’s professor

Other possible entries which may be assigned by an instructor include:

NW not written P pass IN or INC incomplete AG aegrotat AU audit only ED exam deferred GD grade deferred IP in progress CR credit S satisfactory U unsatisfactory W withdrawn

106

(C) Assessment of Individual Performance

Each course professor in the Program establishes a method for assessing individual performance (as opposed to performance on team-based work) for each participant in his or her course. This may include, but is not restricted to, examinations, individual papers, projects or other assignments.

At the end of the course, the professor prepares an overall assessment of individual performance for each participant (such as a weighted average of individual scores). The course professor sets a criterion for a passing individual performance grade.

The method will be explained by the professor at the start of each course. Any failing grade on the individual performance assessment is reported to the Program Directors.

107 V. Curriculum (Subject to change)

Cornell Queen’s Course Name Core* Credit Course Hours Credits Leadership and Teams - 1.875 0.75 Role of the General Manager - 2.25 1.00 Foundations of Accounting & Finance - 1.50 0.65 Financial Accounting Core 2.25 1.00 Managing & Leading Organizations Core 3.00 1.30 Business Decision Models Core 3.00 1.30 Economics & Industry Analysis Core 3.75 1.60 Finance Core 2.25 1.00 Marketing Core 3.00 1.30 New Venture Management - 3.00 1.30 Negotiations - 1.50 0.65 Financial Statement Analysis - 1.50 0.65 Management Accounting - 2.25 1.00 Strategy Core 3.00 1.30 Management Information Systems - 3.00 1.30 Operations Core 3.00 1.30 Global Strategy - 3.00 1.30 Global Economy - 2.25 1.00 Financial Strategy - 2.25 1.00 Financial Policy 1.125 0.50 Marketing Strategy - 2.25 1.00 Supply Chain Management - 1.50 0.65 Subtotal 52.875 23.10 New Venture Project (Individual) - 3.00 1.25 Global Business Project (Team) - 4.50 1.90 Total 60. 0 26.0

* The designation of a course as “core” is related to Academic Standard (a)(i) described in Section II - Program Academic Standards & Regulations, subsection B - Academic Standards and Regulations.

108 VI. Learning Team Policies

(A) Relocation

It is a requirement that participants function effectively and supportively within their Learning Teams. For this reason, Learning Teams must remain intact for the duration of the Program. The only circumstance under which a participant may switch Learning Teams is the participant’s permanent relocation to a new region. Participants who are under formal expectations with one Learning Team must satisfy those expectations before they will be allowed to move to a team in another location.

Participants are responsible for notifying both universities as early as possible about a pending move, and must be available for team-building sessions with the new Learning Team. The Program Directors will notify the new Learning Team and determine if team- building sessions are required.

In the event of relocation, the JAC may require the Team Facilitator (see below) to establish a formal set of expectations that the relocated participant must meet within a specified time period in order to meet new Learning Team’s norms. (see: “Assessment of a Participant's Learning Team Performance” below). Members of the new Learning Team are given an opportunity to present their views to the Team Facilitator as part of this process. A relocated participant operating under a formal set of performance expectations will be considered on probationary standing within the Program. If the Team Facilitator determines that the relocated participant does not meet these expectations within the specified time period, the Team Facilitator will refer the matter to the JAC for review. (see Section II, “Academic Standards and Regulations”, part (d)). Depending on the nature of the negative assessment, the JAC may impose sanctions up to and including a requirement to withdraw from the Program. (see Section III, “Appeals of Academic Decisions”).

(B) Team Facilitators

The fellow members of a Learning Team – with whom participants prepare assignments and cases – are an important source of support during the Program. Because participants face similar pressures and stresses, team members are in the best position to offer help and encouragement.

In order to get the best from Learning Teams, each team is assigned a Team Facilitator. The Team Facilitators ensure that the teams operate as effectively as possible, and they are frequently used as a resource to improve team dynamics.

109 (C) Assessment of a Participant’s Learning Team Performance

As established in the Academic Standards and Regulations, part (d), a participant must function effectively and supportively in the Learning Team throughout the duration of the Program. Effective and supportive behavior as a team member includes cooperation and communication with the Team Facilitator.

When concern regarding a participant's Learning Team performance is observed by a Team Facilitator, the following process is used by the Team Facilitator to determine whether the participant is operating effectively and supportively within their Learning Team. The Team Facilitator will, after allowing for the opportunity of all Learning Team members to present their views:

• identify the Learning Team's operational norms and expectations, • discuss the failure to meet the team norms with the participant in question, and • establish a set of formal expectations that must be met by the participant in question within a specified period in order to meet the team’s norms.

A participant operating under a formal set of performance expectations will be considered on probationary standing within the Program. If the Team Facilitator determines that the participant does not meet these expectations within the specified time period, the Team Facilitator will refer the matter to the JAC for review. Depending on the nature of the negative assessment, the JAC may impose sanctions up to and including a requirement to withdraw from the Program (see Section III, “Appeals of Academic Decisions”).

110 VII. Other Academic Policies

(A) Withdrawals and Re-admission

A participants who withdraws from the Program, whether voluntarily or as a result of a requirement to withdraw, is subsequently no longer considered to be a participant of Cornell University or a participant of Queen's University. There is no opportunity for participants to have a leave of absence from the Program. Following withdrawal from the Program, former participants may apply for re-admission. It is important to note that prior admission to the Program is not a guarantee of future re-admission. To initiate an application for re-admission, former participants must submit all documents and materials required by the admissions procedures in force at the time of their application for re-admission. All applications for re-admission must be submitted to the JAC for evaluation since the re-admission decision rests with the JAC. In some cases a participant who withdraws will be re-admitted on probation. Participants who withdraw while under probation will continue on probation if they are re-admitted to the Program.

(B) Probation

The consequences for participants who violate Program academic standards and regulations are explained above and in other documents relating to both Universities. All such violations will be reviewed by the JAC. As a result of this review, participants may be placed on probation within the Program. Probationary standing is imposed by the JAC and is normally accompanied by a performance contract or a set of expectations that must be met if the participant is to continue in the Program. Probationary status continues until the JAC determines that the terms and conditions of the contract or the expectations have been met. Failure to meet the terms and conditions of the contract or expectations normally leads to the participant's required withdrawal from the Program.

(C) Class Attendance

Because participant interaction and class contribution are an integral part of the Program and because of the tight integration of course content themes, participants are required to attend all class sessions of all courses in the Program. However, in recognition that participants are facing the need to balance their careers, personal lives, and the demands of the Program, a threshold has been set that a participant may not miss more than two class sessions of a “full” course, or equivalent portion (25%) of the class sessions of any course (see Section II, “Academic Standards and Regulations”). A participant who is unable to attend or who will be late for a class must inform the Program staff in writing 24 hours before the start of class. Attendance is taken during all classroom sessions.

(D) Assignments and Examinations

Student evaluation for all courses within the Program is determined by the course professor. Accordingly, professors may employ evaluation devices such as assignments, projects, presentations, or examinations in any course at any point within the Program.

111 Professors normally inform participants of the specific form and timing of the evaluation devices for a particular course at the start of that course. During in-class examinations no participant may use, give, or receive any assistance or information not given in the examination or by the proctor. No participant may take an examination for another participant. Between the time a take-home examination is distributed and the time it is submitted by a participant for grading, the participant may not consult with any persons other than the course professor and teaching assistants regarding the examination. The participant is responsible for understanding the conditions under which the examination will be taken.

Assigned work and examinations must be completed by the prescribed times unless other arrangements have been approved in writing by the instructor. Participants who are unable to write a final examination because of illness may petition the Program Directors for permission to write a special examination.

Assignments will not be accepted if they contain a computer virus. Any assignment that is detected carrying a computer virus will be immediately destroyed, and the participant will be notified. The participant must then re-submit the assignment virus-free. If the assignment is not re-submitted before the assignment deadline it will be marked “late.” It is the responsibility of participants to ensure that all electronic submissions are virus-free.

(E) Class Participation

Class participation grades are allocated in some courses. Different instructors may define participation in different ways. For example, participation may include contributions to class discussions, class attendance, timely completion of assigned work, and any other relevant factors as judged by the instructor. Professors who elect to evaluate class participation as part of participant evaluation will normally define the specific form and opportunities for this participation at the start of that course.

(F) Principles for Computer Use and Network Systems

The use of computers and network systems in no way exempts participants from the normal requirements of ethical behavior in the university community. Use of a computer and network system that is shared by many users imposes certain additional obligations. In particular, data, software and computer capacity have value and must be treated accordingly. Although some rules are built into computer and network systems, such restrictions cannot limit completely what participants can do. In any event participants are responsible for their actions whether or not rules are built in, and whether or not they can circumvent them.

Standards of behavior include the following:

• Respect for the privacy of other users' information, even when that information is not securely protected. • Respect for the ownership of proprietary software. For example, use of

112 unauthorized copies of such software, even when that software is not protected against copying is inappropriate. • Respect for the finite capacity of the system and limitation of use so as not to interfere unreasonably with the activity of other users. • Respect for the procedures established to manage the use of the system.

113 VIII. Academic Standards at Cornell University and Queen’s University

Participants in the Program are enrolled in both Cornell University and Queen’s University, and are subject to the policies, regulations, and requirements of both of these two institutions. Participants are required to understand these policies and requirements. For detailed information, please refer to these resources:

(A) Cornell University

Code of Academic Integrity http://cuinfo.cornell.edu/Academic/AIC.html

Honor Code for students of the Johnson School http://www.johnson.cornell.edu/depth/HonorCode.pdf

(B) Queen’s University

Policy on Academic Dishonesty http://www.queensu.ca/secretariat/senate/policies/acaddish.html

Academic Dishonest and Professional Conduct http://www.queensu.ca/calendars/business/AcademicDishonestyandProfessionalC onduct_386.htm

University Policies and Procedures http://www.queensu.ca/secretariat/senate/policies/

114 IX. Financial Policy

The Program fees cover tuition, books, instructional materials, accommodations and meals during the residential sessions, and an allowance for the international business trip. Program fees are due at the prescribed times to the university of primary enrollment (see Section I). Interest will be charged on overdue accounts. Participants with overdue accounts will not be permitted to register for new courses or attend residential sessions until all debts have been paid in full.

A. Fee Schedule

Program fee amounts and the payment schedule are not the same at Cornell University and Queen’s University. Payments should be made according to the school of primary enrollment (see Section I).

(a) For participants whose institution of primary enrollment is Cornell University

Cornell University program fees are payable in US dollars based on the following schedule:

Deposit (upon acceptance) $ 1,000 First installment (invoice July 2007; due August 2007) $30,667 Second installment (invoice Dec. 2007; due Jan. 2008) $31,667 Third installment (invoice July 2008; due August 2008) $31,666

Total Fee $95,000

(b) For participants whose institution of primary enrollment is Queen’s University

Queen’s University program fees are payable in Canadian dollars based on the following schedule:

First installment (June 24, 2007) 23,750 Second installment (September 1, 2007) 22,750 Third installment (January 2, 2008) 22,750 Fourth installment (June 2, 2008) 22,750 Total Fee $92,000

B. Program Fees and Withdrawal

The possible refund of Program fees following a participant’s withdrawal from the Program is not the same at Cornell University and Queen’s University. Possible refunds are made according to the school of primary enrollment (see Section I).

115 (a) For participants whose institution of primary enrollment is Cornell University

As shown above in this section, Program fees paid to Cornell University include a deposit plus three approximately equal installments. Each of the installments covers approximately one third of the Program schedule (i.e., July 2007 – December 2007; January 2008 – June 2008; July 2008 – November 2008). Each of these thirds includes a residential session (i.e., Opening Session; Business Venturing Session; Global Business Session). Depending on the date of withdrawal and the fees already paid, a participant who withdraws from the Program may be eligible for a refund of fees as follows:

• The initial deposit is non-refundable. • If part or all of a residential session is attended, then the participants will be financially liable for 50% of the matching installment. • If, in addition to the residential session, the participant also attends up to and including four Boardroom (Saturday or Sunday) Sessions, then the participant will be financially liable for 60% of the matching installment. • If, in addition to the residential session, the participant also attends 5-9 Boardroom (Saturday or Sunday) Sessions, then the participant will be financially liable for 80% of the matching installment. • If, in addition to the residential session, the participant also attends more than 9 Boardroom (Saturday or Sunday) Sessions, then the participant will be financially liable for 100% of the matching installment

(b) For participants whose institution of primary enrollment is Queen’s University

Depending on the date of withdrawal and the fees already paid, a participant who withdraws from the Program may be eligible for a refund of fees as follows:

• Tuition fees are due in full for all completed courses • For partially completed courses, 50% of the course fee is due up to and including the half-way point of the course. After the half-way point of the course, the fee will be prorated based on the length of time the participant is enrolled in the course. • There will be no refund of in-residence fees. In-residence fees vary depending on the location of the residential session. For information on in-residence fees, please consult with the Queen’s University Program Director. • Participants withdrawn from the Program who wish to apply for re- admission should consult the Queen’s University Program Director

116 regarding the Program fees. • For refund calculation purposes the fee per “full” course (a full course is defined as 1.3 Queen’s course credits) is $3,350 This fee is adjusted according to the weight of the particular course taken.

117 8.2.2 Policy Awareness

- With respect to credit transfer arrangements for incoming students, no transfer credits are accepted in the CQEMBA. This policy is explained on demand to inquirers and applicants who wish to know about our transfer credit policy. - Prior learning assessment is conducted as part of the admissions process. To evaluate applicants to the program we ask that they provide us with official copies of their transcripts from previous postsecondary education. The need for this information as part of the application process is identified on the program website and in conversation with any program staff members. As this is part of the application process it is resolved long before a student is permitted a chance to register in the program. - Normally, we require all applicants to the program to complete either a Graduate Management Admissions Test (GMAT) or a Queen’s MBA Assessment Tool (QMAT) as an entrance examination. In some cases (e.g., prior possession of a selected doctoral degrees) we may waive the need for such an entrance examination. In either case, as this is part of the application process it is resolved long before a student is permitted a chance to register in the program. - Applicants are directed to university and school websites to learn the full details of all of the various forms of support available to students.

118 9. ACADEMIC FREEDOM AND INTEGRITY

Academic Freedom

9.1.1 Academic Freedom Policy

The following statement on academic freedom and responsibility was adopted by the University Faculty on May 11, 1960:

Principles of Academic Freedom and Responsibility

Academic Freedom for the Faculty of Cornell University means:

Freedom: of expression in the classroom on matters relevant to the subject and the purpose of the course and of choice of methods in classroom teaching; from direction and restraint in scholarship, research, and creative expression and in the discussion and publication of the results thereof; to speak and write as a citizen without institutional censorship or discipline; and

Responsibility: to perform faithfully the duties of the position; to observe the special obligations of a member of a learned profession and an officer of an educational institution to seek and respect the truth; to make it clear that utterances made on one's own responsibility are not those of an institutional spokesman.

Academic freedom is valued very highly at Cornell, and the University Faculty defends it tenaciously; nevertheless, the same University Faculty is disinclined to see the concept abused. Academic freedom does not imply immunity from prosecution for illegal acts of wrongdoing, nor does it provide license for faculty members to do whatever they choose.

Many departments, particularly in the contract units, have commitments to provide services to the people of New York State or to perform studies in areas judged important to the general welfare. Other departments have commitments to maintain broad research programs in certain areas. All departments have obligations to provide advising and balanced programs of instruction for students. Performing the duties of one's position faithfully entails bearing a suitable share in these departmental responsibilities. The initial expectations held of faculty members are usually made clear in the letter of appointment. As time goes on, the faculty member consults with the department chairperson about shifts that may be needed or desired in these duties. It is understood that normally the determination of the precise assignments should not be entirely unilateral but rather by agreement.

In case such agreement cannot be reached, the chairperson has the responsibility to exercise his or her authority and decide the matter. If the decision is perceived as unfair, the faculty member can resort to the college-level academic grievance procedures described in this section. The principles of academic freedom assure wide discretion to the faculty member in determining the thrust of research and scholarship, provided the work continues to fulfill departmental obligation. The presumption is always of self-direction and freedom accompanied by responsibility.

9.1.2 Academic Freedom Constraints

Students or staff are not asked to sign or adhere to a statement of faith and/or a code of conduct that might constitute a constraint upon academic freedom.

119 9.2 Intellectual Products

9.2 Intellectual Products Policy

With respect to intellectual property, Cornell University maintains policies on copyright and patents.

A. Copyright

Adopted by the Cornell University Board of Trustees Executive Committee on June 28, 1990 Cornell University Copyright Policy

GENERAL STATEMENT

Cornell University is committed to providing an environment that supports the research and teaching activities of its faculty, students and staff. As a matter of principle and practice, the University encourages all members of the Cornell community to publish without restriction their papers, books, and other forms of communication in order to share openly and fully their findings and knowledge with colleagues and the public. The Copyright Policy has been prepared in this spirit and with this intent. The Copyright Policy is intended to promote and encourage excellence and innovation in scholarly research and teaching by identifying and protecting the rights of the University, its faculty, staff, and students.

Copyright ownership and the rights thereof are concepts defined by federal law. University policy is structured within the context of the federal copyright law. The long-standing academic tradition that creators of works own the copyright resulting from their research, teaching, and writing is the foundation of the University's Copyright Policy. Exceptions to this rule may result from contractual obligations, from employment obligations, from certain uses of University facilities, or by agreement governing access to certain University resources. This Policy addresses these exceptions.

DEFINITIONS OF COPYRIGHTABLE MATERIAL

It is expected that laws and judicial interpretations of laws governing protection of intellectual property will change from time to time, particularly as they apply to new and rapidly changing technologies such as computer software. New paradigms may require new approaches. As such, this Policy differentiates between traditional intellectual property, such as books, incorporated under "Traditional Works", and newer forms, such as computer software, incorporated under "Encoded Works".

Traditional Works:

Copyrightable Traditional Works such as books, manuscripts, artistic works, movies, and television programs, historically have been the property of the Author [1]. It is not the intent of this Policy to change significantly the relationship between the Author and the University that has existed through the years.

Encoded Works:

Encoded Works include software and other technologies used to support the electronic capture, storage, retrieval, transformation and presentation of digital data and information or to interface

120 between digital forms and other communications and information media. The University will exercise its equitable ownership interest in Encoded Works under the circumstances identified below.

OWNERSHIP AND DISPOSITION OF COPYRIGHTABLE MATERIAL

Copyright ownership of all work by academic [2] employees, non-academic employees, or students shall vest in the Author except under any of the following circumstances:

Regarding both Traditional Works and Encoded Works:

I. Subordination to Other Agreements: Copyright ownership of all material that is developed in the course of or pursuant to a sponsored research or other agreement to which the University is a party shall be determined in accordance with the terms of the sponsored research or other agreement. In the absence of terms specifically assigning ownership, the copyright shall become the property of the University only if the terms of such agreement directly or indirectly create University obligations as to intellectual property developed thereunder or if ownership is conferred upon the University by operation of another provision of this Policy.

II. Work for Hire: The copyright of material that is created by a non-academic employee within the scope of University employment or by academic employees pursuant to a specific direction or assigned duty (other than the teaching of courses) from the University or any of its units shall be the property of the University.

Regarding Encoded Works only:

III. Use of University Resources: Copyright ownership of Encoded Works which are developed with the "Substantial Use" of University resources, funds, space, or facilities shall reside in the University. For purposes of this Policy, University resources include grants, contracts or awards made to the University by extramural sponsors. The use of University resources is "Substantial " when it entails the use of University resources not ordinarily used by, or available to all, or virtually all, members of the faculty. As the concept of Substantial Use evolves with changes in the customary working environment, the term may be refined by the Provost from time to time, following consultation with the FCR, and such definition shall be incorporated as an Appendix to this Policy.

STUDENTS

Works created by students are additionally subject to the following rules:

A. The University makes no claim to copyright ownership of works created by students working on their own, i.e. not within the scope of an employment relationship with the University or with one of its employees, and not making Substantial Use of University resources.

B. Students working on a project governed by a contract or agreement to which the University is a party shall be bound by the terms of that contract or agreement.

C. Students who are hired to perform specific tasks that contribute to a copyrightable work will ordinarily have no rights to ownership of that work, regardless of the source of funds from which they are paid. In such cases, the party who owns the copyright of the rest of the work will ordinarily retain copyright ownership of the portion contributed by the student.

121

D. Students working collaboratively with academic employees on projects that result in copyrightable work may be granted the same rights and obligations of copyright ownership as would another academic employee working collaboratively on the project. Students and academic employees should establish these rights at the outset of their collaboration.

E. If none of the above relationships applies, students performing work compensated by the University are subject to the provisions governing nonacademic employees under Section II.

F. Students may also be subject to rules and restrictions of their units, colleges or of the Graduate School which are not inconsistent with the University Copyright Policy. For example, students who copyright their theses or dissertations must grant the University rights to reproduce and distribute copies of their works in accordance with the policies of the University or College.

RECOGNITION OF AUTHOR'S DESIRE FOR INTELLECTUAL CONTROL

In recognition of the Author's desire to maintain intellectual control of his or her work, the University will give consideration to views of the Author as to disposition of intellectual property rights when it takes title to a copyrightable work under this Policy. Where the University owns a copyright under this Policy, the Author will be permitted to continue to use the work for his or her own non-commercial purposes. Distribution, if any, to academic colleagues outside of the University will be permitted under approved written agreements obtained from the University Counsel through the Vice President for Research and Advanced Studies.

ASSIGNMENT TO AUTHOR

In cases where the University has copyright ownership of a work under this Policy, the University may, upon request and for good cause shown, assign copyright ownership to the Author subject to a perpetual royalty free license to the University to use the work for its own purposes. Such requests should be submitted to the Vice President for Research and Advanced Studies.

REQUIREMENT OF DISCLOSURE

Works potentially falling into the three categories described in paragraphs I through III above shall be promptly disclosed in writing to the Vice President for Research and Advanced Studies or his designee for a determination as to whether title is in the Author or the University. To determine whether an Encoded Work described in paragraphs I through III is patentable, it should be submitted to the Vice President for Research and Advanced Studies for an evaluation.

OVERLAPS WITH PATENT POLICY

Some materials created at Cornell are both patentable and copyrightable (e.g., a copyrightable work that embodies a patentable invention). Many Encoded Works may be patentable. For material in categories I, II or III that is both copyrightable and patentable, the Patent Policy of the University shall govern intellectual property rights in the work.

USE OF OUTSIDE CONSULTANTS AND INDEPENDENT CONTRACTORS

Under current law, ownership of works created by outside consultants and independent contractors could reside in such individuals and not in those hiring them to perform the work at issue. Therefore, those hiring outside consultants and independent contractors should observe the

122 precaution of having a written agreement including an assignment of copyright. Students and non-academic employees working outside the scope of University employment should be considered independent contractors for such purposes. Assistance in drafting such agreements can be obtained from the Office of University Counsel.

ADVICE AND INTERPRETATION

Members of the University community may obtain advice, from the Office of the Vice President for Research and Advanced Studies on the application of this Copyright Policy to their work, and from the Office of Sponsored Programs information about restrictions on copyright ownership related to grants or other sponsored agreements.

RESOLUTION OF DISPUTES

Disputes arising over the application of this policy and the ownership of copyrights shall be brought to the Provost, who shall refer the matter to an ad hoc committee consisting of three members of the Research Policies Committee of the Faculty Council of Representatives appointed by that committee's chairperson together with the Vice President of Information Technologies and the Director of Patents and Technology Marketing. This body shall report its recommended decision for resolution of the dispute to the Provost, to the Dean of the University Faculty, and the University Counsel. The decision of the Provost will be final. The Provost will render a determination within seventy-five days of receiving written notice of the dispute or the University will relinquish rights to ownership of the disputed copyright.

COPYRIGHT ROYALTIES

Except in the case of Works for Hire, described in Section II above, royalty income received by the University through the sale, licensing, leasing or use of copyrightable material, which the University owns pursuant to any section of this policy shall be distributed in accordance with the royalty distribution provisions (Section E) of the University's Patent Policy, as amended from time to time. In the case of such intellectual property owned by the University pursuant to Section II, that share of royalties which would ordinarily be distributed to the creator under the Patent Policy will be deposited in a pool to be used, at the discretion of the University President, to recognize meritorious contributions made by University employees. All employees shall be eligible for recognition.

RESPONSIBILITIES OF PARTIES

It is the responsibility of the University and all members of the University community to ensure adherence to this Policy.

Academic staff and other Authors governed by this Policy shall have the obligation to:

Make themselves aware of and adhere to restrictions on or rights in copyrightable material deriving from agreements between the University and contracting or granting agencies or other interested third-parties, or deriving from any University interest pursuant to this Policy. The University Office of Sponsored Programs shall assist Authors to be aware of their responsibilities.

Inform the Office of Patents and Technology Marketing of material that should be copyrighted in the name of the University pursuant to the provisions of this Policy, and to cooperate with the University in obtaining such copyright protection.

123 Obtain permission from the Vice President for Research and Advanced Studies to publish, in journals or other media, materials to which the University owns the copyright pursuant to this Policy, such permission not to be unreasonably withheld. Ensure that students or contractors working collaboratively or under their direction (whether or not for pay) on projects which may result in copyrightable material have signed appropriate agreements concerning the assignment of copyright to the Author or to the University, or such other disposition of rights to copyright as shall be appropriate pursuant to this Policy. Such agreements shall also clarify to students their rights to include or copyright any part of the work that they may wish to include in theses or dissertations. At the request of the Vice President for Research and Advanced Studies, the University Counsel shall assist Authors in this regard.

The Vice President for Research and Advanced Studies and other University officers have the obligation to respond in a timely fashion, normally within forty-five days, to written requests pursuant to this Policy.

The University shall, furthermore, use reasonable efforts to promote works to which the University owns the copyright under this Policy.

COPYRIGHT AGREEMENTS

The policies set forth above constitute an understanding that is binding on the University, and on its academic and non-academic employees, students, and others as a condition of their participating in University research programs or their use of University resources. The University may require formal copyright agreements to implement the policy as appropriate, but the absence of such executed agreements shall not invalidate the applicability of this policy.

APPENDIX TO COPYRIGHT POLICY

ELABORATION OF DEFINITION OF SUBSTANTIAL USE

MAY, 1990

The Copyright Policy uses the term "Substantial Use" in determining when the University claims ownership to the copyright of "Encoded Works" developed by members of the University Community. The purpose of this Addendum is to amplify the definition of "Substantial Use".

For purposes of this Policy "Substantial Use" is the use of resources other than those "ordinarily available" to most or all faculty members.

As of the date of this Appendix, such ordinarily available resources include office space and personal office equipment, office computer workstations, library and other general use information resources, and the means of network access to such resources. Incidental involvement of students receiving funding from the University is also excluded from the definition of "Substantial Use".

The symbiotic nature of the relationship between the University and its faculty produces benefits to both in the nature of enhanced prestige and increased grant support. The University, therefore, wishes to encourage teaching, scholarship and research activities on the part of its faculty and makes its facilities available to aid in the achievement of these ends.

124 Nevertheless, the University does have a legitimate right to participate in the management, protection and marketing of intellectual property rights where substantial use has been made of its resources.

The above definition of Substantial Use may be changed from time to time by the Provost to reflect changes in technological paradigms.

Finally, it is important to recognize that where the Author's intent is to generate private revenues, that is, commercial development, such activity may constitute a conflict of interest and should be reviewed under the standards contained in that policy [3] as well.

Robert Barker Senior Provost May, 1990

Notes:

1. For purposes of this Policy, "Author" shall refer to the creator of a work. 2. For purposes of this Policy, the term "academic" shall apply to those positions described in Article XVI of the University Bylaws. 3. The Conflicts of Interest Policy was adopted by the Board of Trustees in May, 1986.

B. Patents

Cornell University Patent Policy

The following policy was approved by the Executive Committee of the Cornell University Board of Trustees on May 26, 1995 to be effective July 1, 1995. Revisions were adopted by the Executive Committee on December 12, 2002 and by the Board of Trustees on May 29, 2004.

A. General Statement

The Board of Trustees of Cornell University, recognizing that inventions and discoveries of commercial importance may be the natural outgrowth of research conducted by faculty, staff and students, and desiring to secure both public benefit from the applications of such research and enhancement of the University's capacity for such research, has established the following Patent Policy.

1. Cornell University's primary obligation in conducting research is the pursuit of knowledge for the benefit and use of society.

2. The University depends upon financial support from governmental agencies, private foundations, corporations, operated for profit and others for the basic and applied research endeavors of the faculty and staff. As University Research enjoys substantial public support it is incumbent upon the University to seek assurance that any resultant patent right be administered consistent with the public interest.

3. Inasmuch as new ideas and discoveries of commercial interest are often a consequence of University Research, and inasmuch as patent protection can often enhance the reduction to a public usefulness of inventions which result from University Research, Cornell, as a general

125 policy, will seek patent protection for those ideas and discoveries which arise out of the research activities of its faculty and staff where it appears necessary or desirable to do so.

4. It is the judgment of the University that the reduction to a public usefulness of inventions and discoveries resulting from University Research, the publication and availability for educational purposes of the fruits of such research, and the achievement of a fair and equitable distribution of royalties which acknowledges both the contribution of the inventor, and the University can best be assured by operation of a uniform Patent Policy which provides for University ownership of inventions.

B. University Research University Research shall be defined, for the purpose of this Patent Policy, to include all research conducted in the course of an inventor's employment with the University (including but not limited to the performance of a grant contract or award made to the University by an extramural agency) or with the use of University Resources. [1]

C. Disclosure of Inventions Inventions conceived or first reduced to practice in furtherance of the University Research of faculty or staff shall be promptly disclosed in writing to the Cornell Research Foundation.

D. Ownership of Inventions

1. All patentable inventions conceived or first reduced to practice by faculty and staff [2] of Cornell University in the conduct of University Research shall belong to the University. The inventor shall cooperate and assist the University in all phases of the patent application process and shall assign such applications or any patents resulting therefrom to Cornell Research Foundation, Inc.

2. Patentable inventions made by individuals on their own time and without the use of University resources shall belong to the individual inventor.

3. In cases in which the University has an ownership interest in an invention pursuant to paragraph D(1) and either does not file a patent application within one year, or fails to make a positive determination regarding pursuit of a patent within a period of six months from the date of disclosure, all of the University's rights shall be reassigned to the inventor upon request, subject only to such external sponsor restrictions as may apply.

4. Questions of inventorship which remain unresolved shall be determined by the Vice Provost for Research whose decision shall be final. The Vice Provost may seek the advice of the Intellectual Property Advisory Committee.

E. Royalty Distribution [3]

1. In the case of an invention owned by the University pursuant to paragraph D(1) above, and in recognition of the efforts and contributions of the inventor, total net royalty income shall be distributed as follows: One third (33.3%) to the inventor(s) Joint inventors shall share the percentage of net royalty income allocated to the Inventor. Any person hired or retained for the purpose of producing an invention shall not be entitled to a distribution of net royalty income with respect to that invention.

126 2. Cornell Research Foundation shall receive one third (33.3%) of the net royalty income to provide operating funds to cover the cost of service provided to the University with regard to intellectual property matters and particularly to cover the costs associated with patenting and marketing inventions where royalty income or other cost recovery has not been achieved. Cornell Research Foundation's prior deficits shall be retired using this portion. The percentage of net royalty income to Cornell Research Foundation shall be evaluated annually by the Board of Directors of the Foundation and reduced when deficits have been eliminated. The Cornell Research Foundation Board of Directors shall be responsible to adjust the percentage received by Cornell Research Foundation with a two year lead time following the elimination of the Foundation's deficits.

3. Net royalty income shall mean gross royalties received by the University less directly assignable expenses [4] resulting from patenting and licensing the particular invention.

4. The remaining one third (33.3%) of the net royalty income shall be divided as follows: (a) 60% to the inventor's research budget, subunit [5] and University unit [6] in a manner to be mutually agreed upon; and (b) 40% to the University for general research support.

5. For any year in which the net royalty income distributed to a unit of the University for a particular invention emanating from that unit shall exceed 20% of the annual sponsored research as determined by the Office of Sponsored Programs for that unit in that year, the excess received from Cornell Research Foundation shall be retained as endowment for the unit. The Dean or Director of the unit may similarly require that corresponding royalty income to a subunit exceeding 20% of the total sponsored research of the inventor's appropriate subunit be retained as endowment for the benefit of the subunit. In the event that a lump sum royalty payment contributes to the generation of excess royalty income in a given year as defined above, Cornell Research Foundation may distribute such lump sum payment to the unit or subunit over a three year period together with accumulated interest. In such case, the provisions of this paragraph shall apply to the resulting annual distributions.

6. In the case of an invention unresolvable dispute over distributions in 4 (a), net royalty income distributed under 4 (a) shall be allocated and made on an equitable basis as determined by the Vice Provost for Research.

7. Proceeds from the liquidation of equity received by Cornell Research Foundation in consideration for the licensing of inventions shall be distributed as royalty income in the manner described above.

F. Licensing Policy It is the general policy of the University to encourage the development and marketing of inventions resulting from University research so as to reach a public usefulness and benefit. It is recognized that furtherance of such a policy may require various forms of agreements including the granting of exclusive licenses. Cornell Research Foundation may, in appropriate circumstances with due consideration to the prospective licensee and when consistent with law applicable to federally supported research, license an existing patent or invention on an exclusive basis for a reasonable period up to the full term of the patent, provided that such an exclusive license shall contain provisions to promote the likelihood that the invention provides a public benefit, including but not limited to a requirement of diligence and march-in rights where the licensee does not adequately perform.

127 G. Waiver Requests Waiver of any provisions of the Patent Policy shall be granted only in extraordinary and compelling circumstances and pursuant to the procedure described below. A request for waiver of any of the provisions of this Patent Policy shall be submitted to the President of Cornell Research Foundation & the Vice Provost for Research for transmittal to the Intellectual Property Advisory Committee. Such request shall include an identification of the provision or provisions of the Policy requested to be waived, and a full explanation of the reasons for the waiver including, but not limited to, the manner in which the waiver is consistent with the educational purposes of the University and the public interest. The University recognized that certain sponsors may wish to impose as a condition of the award of contract or grant funds special provisions which are at variance with this Patent Policy. Under such circumstances, the University may entertain such proposals as requests for waiver under this paragraph subject to the additional condition that all faculty or staff members engaged in research to be supported by the proposed grant or contact containing such provisions shall acknowledge and accept those specific provisions. The Intellectual Property Advisory Committee shall review each request for waiver and submit a report of its findings and recommendation to the Vice Provost for Research whose decision shall be final. Each action under this section shall considered on its own merits in light of all of the facts surrounding the particular request and shall have no implication for consideration of subsequent requests. Waiver of provisions relating to distribution of net royalty income shall, in addition, require the approval of the Dean or Director of the unit from which the invention emanated.

H. Deferral This statement of Patent Policy shall not prevent participation under research agreements with, or the conduct of research for, governmental agencies (local, state or federal) subject to laws or regulations which require a different disposition of patent rights than herein provided, or impose other provisions which are in addition to, or inconsistent with, its provisions. Such provisions of this Patent Policy as are inconsistent therewith shall be deem superseded and the provisions of such laws and regulation shall apply.

I. Patent Management Agencies Cornell Research Foundation may make suitable arrangements not inconsistent with the provisions of this Patent Policy with patent management agencies or firms for the purpose of obtaining services and advice with respect to the patentability of inventions, the obtaining of patents thereon and the management and licensing of any such patents.

J. Patent Agreements In order to facilitate a distribution of patent rights and benefits consistent with the provision of this Patent Policy, each participant in University Research shall execute a Patent Agreement. Pursuant to such Agreement each participant shall acknowledge that all such research is subject to the terms of this Patent Policy, and shall agree to cooperate with the University or its designee in the assignment to the University of patent rights in inventions or discoveries conceived or first reduced to practice during such research and the preparation and prosecution of patent applications, as may be required in order to implement its provision. This requirement may be waived by the Vice Provost for Research only in those limited cases where University Research occurs within a discipline in which the prospect of a patentable invention is, in his or her judgment, extremely remote.

128 K. Intellectual Property Advisory Committee The Vice Provost for Research shall, after consultation with the Research Policy Committee of the Faculty Council of Representatives, establish and appoint, subject to the approval of the Board of Directors of the Cornell Research Foundation, a Intellectual Property Advisory Committee which shall serve at his or her pleasure. It shall be the function of the Committee to advise and recommend to the Vice Provost for Research with respect to:

1. guidelines and procedures for implementation of this Patent Policy,

2. proposed amendments to the Patent Policy,

3. the granting of individual exceptions to this Policy,

4. the University's ownership of particular inventions,

5. such other matters as the Vice Provost for Research may deem appropriate. The Vice Provost for Research shall report to the Board of Directors of Cornell Research Foundation and the President of Cornell University upon matters of significance relating to the administration of this Policy.

Notes: 1. Use of University office space or library facilities shall not constitute a use of University resources for this purpose. 2. For the limited purpose of this policy, staff members shall also include all research assistants, graduate research assistants, teaching assistants, fellows, students who provide services under sponsor agreements which require University ownership, and others who utilize University resources in the furtherance of their research. 3. The distribution provisions contained herein shall apply to all existing and future inventions. The distribution table contained at paragraph E(1) shall be applied on a cumulative basis to all net royalty income earned during the life of an invention, and not annually. 4. Direct expenses include the costs of obtaining patent protection for the particular invention and all marketing, promotion and licensing costs related to the particular invention. 5. Typically the inventor's Department, School, Section or Center. 6. Typically the inventor's College.

129 9.3 Ethical Research Practices

9.3 Policy on Ethical Research Practices

A. Cornell policies relating to the management of research funds:

Cornell University maintains many policy documents regarding research funding. Some of these policies are university-wide and other are related to specific academic units. A main document regarding policy on cost sharing is found following Part (C) below.

B. Cornell guidelines and policies for research standards and practices involving human research participants:

Cornell University

Institutional Review Board for Human Participants

CHARGE

AUTHORIZATION

In accordance with its Federalwide Assurance on file with the Department of Health and Human Services, Cornell University has an Institutional Review Board for Human Participants (IRB). The IRB is a standing committee of the University Faculty. Its activities are overseen by the Vice Provost for Research Administration.

CORNELL’S COMMITMENT TO PROTECTING HUMAN PARTICIPANTS

In order to protect the rights of all human participants involved in research at Cornell University, the University operates its human participant research programs under a Federalwide Assurance (FWA) with the Office of Human Research Protection (OHRP) within the Department of Health and Human Services. The FWA represents a fundamental commitment to the protection of human participants and applies to all Cornell University research involving human participants, regardless of the location of the research or its sources of funding, be they governmental agencies, nonprofit organizations, industry, or University funds. In addition, the FWA applies to all research that is conducted at Cornell University or using Cornell resources regardless of whom is conducting the research.

As part of its mission, Cornell University maintains a Human Research Protection Program that adheres to the principles outlined in the Belmont Report, the Declaration of Helsinki (as amended in 1989), and the Nuremburg Code as well as with the federal regulations, outlined in 45 CFR 46 and its Subparts A, B, C, and D, and the FDA regulations, outlined in 21 CFR 50 and 21 CFR 56. In addition, the University complies with New York State Public Health Law 24-A §2444 and New York State regulations concerning the use of human participants in research. When research activities are being proposed to be conducted in other states and/or countries by Cornell faculty, staff, and/or students, the research activities will be approved in compliance with the regulations for those specific research locations.

130 DEFINITIONS

Institutional Review Board for Human Participants 2

Research means a systematic investigation, including research development, testing and evaluation, designed to develop or contribute to generalizable knowledge1. Activities which meet this definition constitute research for purposes of this policy, whether or not they are conducted or supported under a program which is considered research for other purposes. For example, some demonstration and service programs may include research activities and they would be included in this definition of Research.2

Human participants3 means a living individual about whom an investigator (whether professional or student) conducting research obtains:

(1) Data through intervention or interaction with the individual, or (2) Identifiable private information.

Intervention includes both physical procedures by which data are gathered and manipulations of the participant or the participant's environment that are performed for research purposes. Intervention includes communication or interpersonal contact between investigator and participant. Private information includes information about behavior that occurs in a context in which an individual can reasonably expect that no observation or recording is taking place, and information which has been provided for specific purposes by an individual and which the individual can reasonably expect will not be made public. Private information must be individually identifiable (i.e., the identity of the participant is or may readily be ascertained by the investigator or associated with the information) in order for obtaining the information to constitute research involving human participants.4, 5

Investigator - The individual(s) designated to have the appropriate level of authority and responsibility to direct the research project and/or activity.

ORGANIZATIONAL ROLES

1. Without exception, all human participant research conducted by Cornell University investigators, students, and staff, and any others conducting research at Cornell or utilizing Cornell resources, must receive prior approval of Cornell University’s Institutional Review Board for Human Participants (IRB). The IRB for Human Participants has the authority to review, approve, disapprove or require changes in research or related activities involving human participants. Research reviewed by the IRB may also be subject to other review and approval or disapproval by officials at Cornell University. However, those officials may not approve research that has not been approved by the IRB for Human Participants.

2. The IRB for Human Participants has the final determination as to what constitutes Research and the use of Human Participants. The IRB for Human Participants makes the final determination as to whether or not activities meet the definition of Research and if the activity needs to be reviewed and/or approved by the IRB for Human Participants. Investigators cannot exempt themselves and their activities from IRB review and approval. The approval by the IRB for Human Participants cannot occur after the data for a research activity has been collected.

3. The Vice Provost for Research Administration serves as the Institutional Official for the Federal-Wide Assurance with OHRP. As such, the Vice Provost for Research Administration, in

131 consultation with the Provost and appropriate Deans, has oversight responsibility of the University’s Human Research Protection Program.

CHARGE

The IRB shall ensure the protection of human participants as subjects of research at Cornell University. The IRB shall:

(a) Determine what activities constitute research and the use of human participants.

(b) Review, approve, require modifications in (to secure approval), or disapprove all research activities covered by this policy prior to the commencement of the research.

(c) Require that information given to participants as part of informed consent is in accordance with appropriate law, regulations, and international standards.6 The IRB for Human Participants may require that additional information be given to the participants when, in the IRB's judgment, the information would meaningfully add to the protection of the rights and welfare of participants.

(d) Require documentation of informed consent or waive documentation in accordance with federal and New York State laws and regulations. When research activities are being proposed to be conducted in other states and/or countries by Cornell faculty, staff, and/or students, the research activities will be approved in compliance with the regulations for those specific research locations.

(e) Notify investigators and the institution in writing of its decision to approve or disapprove the proposed research activity, or of modifications required to secure IRB approval of the research activity. If the IRB decides to disapprove a research activity, it shall include in its written notification a statement of the reasons for its decision and give the investigator an opportunity to respond in person or in writing.

(f) Conduct continuing review of research covered by this policy at intervals appropriate to the degree of risk, but not less than once per year, and have authority to observe or have a third party observe the consent process and the research.

(g) Suspend or terminate approval of research that is not being conducted in accordance with the IRB’s requirements or that has been associated with unexpected serious harm to participants. Any suspension or termination of approval shall include a statement of the reasons for the IRB’s action and shall be reported promptly to the investigator, appropriate institutional official, and the department or agency head.

MEMBERSHIP

The IRB for Human Participants shall consist of twelve to eighteen members. It shall consist of (a) at least one physician representing the Gannett Health Services, (b) at least two members not otherwise affiliated with Cornell University; (c) a representative from Cornell Environmental Health and Safety, and (d) other members of the University faculty to be able to review and approve research conducted by Cornell University. All members shall be appointed by the President upon recommendation of the Dean of the Faculty in consultation with the Vice Provost for Research. Members will serve terms of one to three-years and should provide representation primarily from the social, behavioral, and biological sciences. The Committee Chair shall be

132 appointed from among the faculty members by the President upon recommendation of the Dean of the Faculty in consultation with the Vice Provost for Research. The Chair will serve for a term of one to three years after which time the Dean of the Faculty, in consultation with the Vice Provost for Research; will make a recommendation to the President concerning the appointment of a new Chair or the reappointment of the present chair.

ADMINISTRATIVE SUPPORT

The Office of Research Integrity and Assurance (ORIA) provides the administrative support for the Human Research Protection Program and the IRB for Human Participants. Initial contact with the Committee should be made through ORIA. Persons requesting a decision on whether research or scholarly activity is subject to the University’s Human Research Protection Program must contact ORIA. The ORIA staff will make the decision based on the following factors: (1) whether or not the activity is subject to Cornell University’s FWA, (2) when the activity represents Research and involves Human Participants, and (3) whether or not Cornell University is “engaged” in the research activity. The ORIA staff will make the decision based on whether the activity is subject to Cornell’s FWA when the activity represents “research”, involves humans as participants, and whether Cornell University is engaged in the research activity. Determination requests made in writing (e-mail, fax, or hard copy), must include sufficient documentation of the proposed research to allow a fully informed determination. ORIA staff or the IRB will respond to these written requests with a written determination. The submitted materials and a copy of the determination letter will be kept on file.

ORIA, acting for the IRB and any subcommittees, shall maintain minutes of all meetings and shall record their findings and recommendations as part of these minutes. These records shall be maintained in ORIA.

ANNUAL REPORT

The IRB shall submit an annual report to the President on its activities for the year and shall make its report available to the Faculty Senate. The Chair of the IRB shall also submit an annual report of IRB activities and deliberations to the Institutional Official and the Dean of Faculty.

C. Cornell guidelines and policies for the use of animals in research

Cornell University policy on the use of animals in research is found following the policy on research funding cost sharing below.

Please find attached “Care and Use of Animals in Research and Teaching”, and “Cost Sharing for Sponsored Agreements” found at Appendix 9.3

133 9.4 Academic Honesty

9.4.1 Academic Honesty Policy

* please note that Canadian Participants for this program are subject to the Academic Honesty Policy according to Queen’s university policies, which have been listed below Cornell University policies.

Code of Academic Integrity – Cornell University

Principle

Absolute integrity is expected of every Cornell student in all academic undertakings. Integrity entails a firm adherence to a set of values, and the values most essential to an academic community are grounded on the concept of honesty with respect to the intellectual efforts of oneself and others. Academic integrity is expected not only in formal coursework situations, but in all University relationships and interactions connected to the educational process, including the use of University resources. While both students and faculty of Cornell assume the responsibility of maintaining and furthering these values, this document is concerned specifically with the conduct of students.

A Cornell student's submission of work for academic credit indicates that the work is the student's own. All outside assistance should be acknowledged, and the student's academic position truthfully reported at all times. In addition, Cornell students have a right to expect academic integrity from each of their peers.

I. GUIDELINES FOR STUDENTS A. General Responsibilities 1. A student shall in no way misrepresent his or her work. 2. A student shall in no way fraudulently or unfairly advance his or her academic position. 3. A student shall refuse to be a party to another student's failure to maintain academic integrity. 4. A student shall not in any other manner violate the principle of academic integrity. B. Examples of Violations C. The following actions are examples of activities that violate the Code of Academic Integrity and subject their actors to proceedings under the Code. This is not a definitive list. 1. Knowingly representing the work of others as one's own. 2. Using, obtaining, or providing unauthorized assistance on examinations, papers, or any other academic work. 3. Fabricating data in support of laboratory or field work. 4. Forging a signature to certify completion of a course assignment or a recommendation to graduate school. 5. Unfairly advancing one's academic position by hoarding or damaging library materials. 6. Misrepresenting one's academic accomplishments. D. Specific Guidelines for Courses 1. Examinations. During in-class examinations no student may use, give, or receive any assistance or information not given in the examination or by the proctor. No student

134 may take an examination for another student. Between the time a take-home examination is distributed and the time it is submitted by the student for grading, the student may not consult with any persons other than the course professor and teaching assistants regarding the examination. The student is responsible for understanding the conditions under which the examination will be taken. 2. Course Assignments. Students are encouraged to discuss the content of a course among themselves and to help each other to master it, but no student should receive help in doing a course assignment that is meant to test what he or she can do without help from others. Representing another's work as one's own is plagiarism and a violation of this Code. If materials are taken from published sources the student must clearly and completely cite the source of such materials. Work submitted by a student and used by a faculty member in the determination of a grade in a course may not be submitted by that student in a second course, unless such submission is approved in advance by the faculty member in the second course. If a student is submitting all or part of the same work simultaneously for the determination of a grade in two or more different courses, all faculty members in the courses involved must approve such submissions. 3. Academic Misconduct. A faculty member may impose a grade penalty for any misconduct in the classroom or examination room. Examples of academic misconduct include, but are not limited to, talking during an exam, bringing unauthorized materials into the exam room, and disruptive behavior in the classroom. a. The faculty member must promptly notify the student of the reason for the imposition of a penalty for academic misconduct and the degree to which his or her grade will be affected. b. Academic misconduct is not a violation of academic integrity. The student may, however, seek review by the Academic Integrity Hearing Board on the basis either that the finding of guilt is arbitrary and capricious or that the penalty for academic misconduct is excessive or inappropriate to the circumstances involved. ("Arbitrary and capricious" describes actions which have no sound basis in law, fact, or reason or are grounded solely in bad faith or personal desires. A determination is arbitrary and capricious only if it is one no reasonable mind could reach.) E. Principles for Computer Use and Network Systems F. The use of computers and network systems in no way exempts students from the normal requirements of ethical behavior in the Cornell University community. Use of a computer and network system that is shared by many users imposes certain additional obligations. In particular, data, software and computer capacity have value and must be treated accordingly. Although some rules are built into computer and network systems, such restrictions cannot limit completely what students can do. In any event students are responsible for their actions whether or not rules are built in, and whether or not they can circumvent them. Standards of behavior include: 1. Respect for the privacy of other users' information, even when that information is not securely protected. 2. Respect for the ownership of proprietary software. For example, unauthorized copies of such software for one's own use, even when that software is not protected against copying is inappropriate. 3. Respect for the finite capacity of the system and limitation of use so as not to interfere unreasonably with the activity of other users. 4. Respect for the procedures established to manage the use of the system. G. Variances H. A faculty member is responsible for informing his or her students and teaching assistants of variances from this Code that apply to work in his or her course. These variances should be clearly stated in writing at the beginning of the course or activity to which they apply. I. Jurisdiction and Penalties

135 J. The authority to determine whether a specific action shall be treated as a violation of the Code of Academic Integrity lies with the Academic Integrity Hearing Board. Those who violate the Code of Academic Integrity will be subject to penalties under this Code and may also be subject to penalties under state and federal laws.

II. ORGANIZATION AND PROCEDURE A. Students and staff members discovering an apparent violation should report the matter to the faculty member in charge of the course or to the chairperson of the appropriate Hearing Board. The chairperson is responsible for ensuring that all members of the school or college know to whom the report should be made. B. Primary Hearing 1. Primary hearings are to be held by the faculty member unless the penalties available to him or her are inadequate, in which case, she or he may refer the case directly to the Hearing Board. 2. Notification. If, after investigation, possibly including discussion with the student, a faculty member believes that a student has violated the Code of Academic Integrity, the faculty member shall present the student with the charge. The charge shall include notification of a primary hearing to be held as soon as practical after the alleged infraction has come to the attention of the faculty member, but with at least one week's notice to the student. This notification period may be shortened by the agreement of both parties. The charge shall also include notice of the availability of the Judicial Codes Counselor. 3. Composition. At the primary hearing the following shall be present: the faculty member concerned, the student in question, and a third-party independent witness. The independent witness shall be a faculty member or a student appointed by the Hearing Board Chairperson or the chairperson of the faculty member's department. The student may also bring to the hearing an advisor and additional witnesses to testify to his or her innocence. 4. Procedure. a. At the primary hearing, the faculty member shall present evidence in support of the charge against the student. The student shall be given the opportunity to respond and, if he or she wishes, to present evidence refuting the charge. b. The function of the independent witness is to observe the proceedings impartially, and in the event of an appeal from the judgment of the faculty member, be prepared to testify as to the procedures followed. c. After hearing the student, the faculty member may either dismiss the charge or, if there is clear and convincing evidence that the student has violated this Code, find the student guilty. ("Clear and convincing" as a standard of proof refers to a quantum of evidence beyond a mere preponderance but below that characterized as "beyond a reasonable doubt" and such that it will produce in the mind of the trier of fact a firm belief as to the facts sought to be established.) If the student is found guilty, the faculty member may impose any suitable grade punishment including failure in the course. d. A student wishing to seek review of the decision may bring the case before the Academic Integrity Hearing Board of the faculty member's college. e. A faculty member who gives a penalty for a violation of academic integrity shall immediately report this action and the nature of the violation in writing to the student and to the record keeper of the faculty member's Academic Integrity Hearing Board. This record-keeper shall then be responsible for its communication to the record-keeper in the student's college. f. If the student fails to attend the primary hearing without a compelling excuse, the hearing may proceed in his or her absence. g. A student charged with violating the Code of Academic Integrity in a course may not drop that course without the consent of the instructor unless the student has subsequently been cleared of the charges.

136 C. College Academic Integrity Hearing Boards 1. Composition. Each college and school in the University, including the Graduate School and the School of Continuing Education and Summer Sessions, shall establish its own Academic Integrity Hearing Board. A model Hearing Board consists of the following: a. A chairperson who is a member of the faculty and, preferably, an experienced Board member, appointed by the dean of the college for a two-year term. b. Three faculty members elected for three year terms by the faculty of the college, except that in the case of the School of Continuing Education and Summer Sessions the faculty members shall be appointed by the dean. c. Three students elected by the student body of the college or appointed by the dean of the college for at least one year, and preferably two-year terms. When possible, student terms should be staggered. d. A nonvoting record-keeper responsible for keeping clear and complete records of the proceedings. 2. Jurisdiction a. The student may seek review of the decision of the primary hearing if: i. He or she believes the procedure was improper or unfair. ii. She or he contests the finding of the faculty member. iii. He or she believes the penalty was too strict considering the offense. b. After holding a primary hearing, the faculty member may bring the case to the Hearing Board if she or he believes a failing grade is too lenient considering the offense. c. A student found guilty of more than one violation of the Code may be summoned before the college Hearing Board by the dean of his or her college. The Hearing Board may impose an additional penalty for such repeated offenses. d. The dean of a student's college who receives a report that a student has committed a violation of academic integrity while attending another academic institution or while enrolled in a Cornell-sponsored off-campus program may, if he or she feels the situation warrants, summon the student to appear before the College Hearing Board. The Hearing Board may impose any penalty, including an additional penalty, it feels appropriate for the violation involved. e. The Academic Integrity Hearing Board shall hear all cases that come before it de novo. While the Hearing Board may recommend an increase in any penalty imposed at the primary hearing, it should consider raising the penalty, if it is the student seeking review, only in the exceptional case. f. The individual seeking review shall notify the chairperson of the Hearing Board of the faculty member's college within ten working days of the primary hearing. An exception to this deadline may be granted at the discretion of the chairperson of the Hearing Board on a showing of good cause. 3. Procedures a. Each Board shall conform to procedures established by the Faculty Senate.[*] Any college or school wishing to adopt a Board or procedures varying from this model must receive prior approval from the Dean of the Faculty. b. The Academic Integrity Hearing Board shall convene as soon as practical after notification of a request for review, although seven days notice should be given to all parties if possible. If a grade for the student in the course must be submitted before a case can be decided, the faculty member shall record a grade of incomplete, pending a decision by the Hearing Board. c. Those present at the hearing shall be: i. The student, who has the right to be accompanied by an advisor and/or relevant witnesses ii. The faculty member, who has the right to bring relevant witnesses iii. The third party independent witness, if a primary hearing was held iv. Any other person called by the chairperson

137 d. Should the student or faculty member fail to appear before the Hearing Board, the Board shall have full authority to proceed in his or her absence. e. The Board members shall hear all available parties to the dispute and examine all the evidence presented. The Board may solicit outside advice at the discretion of the chairperson. The chairperson shall preside over the hearing to ensure that no party threatens, intimidates, or coerces any of the participants. f. The student shall have the right to present her or his case and to challenge the charges or the evidence. The student's advisor may assist the student in the presentation and questioning. g. At least two-thirds of the voting Board members shall be present at every hearing, including two students and two faculty members. Both parties may agree in writing to waive this quorum. Of those present, a simple majority shall decide the issue. The chairperson shall vote only in the case of a tie vote. The Board shall find the student guilty only if there is clear and convincing (see the definition at section II.B.4.c.) evidence indicating that the student has violated this Code. h. The chairperson shall notify each party to the dispute, in writing, of the Board's decision and, if appropriate, the penalty imposed. If the judgment of the faculty member is affirmed by the Board, or if the Board decides a different penalty is warranted, the dean of the faculty member's college and the dean of the student's college shall also receive the report. i. If the student's college is different from the faculty member's, the chairperson shall alter the composition of the Board hearing the case by substituting or adding one faculty member and one student from the Hearing Board of the student's college. 4. The Board may act in one or more of the following ways: a. Find the student innocent of the charge b. Find the student guilty of the charge and i. Recommend to the faculty member that she or he reduce the penalty given ii. Affirm the faculty member's decision iii. Recommend that the faculty member record a failing grade for the course, or for some portion of it iv. Recommend to the dean of the student's college that the student be placed on probation (or the college's equivalent) v. Recommend to the dean of the student's college that the student be suspended from the University for a period of time vi. Recommend to the dean of the student's college that the words "declared guilty of violation of the Code of Academic Integrity" be recorded on the student's transcript. The Hearing Board may set a date after which the student may petition the Board to have these words deleted from the transcript vii. Recommend to the dean of the student's college that the student be expelled from the University viii. Recommend to the dean of the student's college any other suitable action, including counseling, community service, or reprimand c. The dean of the student's college shall be notified of the decision of the college Hearing Board within 7 days. Unless an appeal is filed under the guidelines established below, the dean of the student's college shall ensure that the decision of the Hearing Board is carried out and shall notify all parties of the implementation and the decision. 5. Review of Decision. The student may appeal a decision of the Hearing Board. The appeal must be directed to the dean of the student's college, in writing, and shall be constructed according to one or both of the guidelines established below. The appeal shall normally be submitted within 4 weeks of notification of the Board's decision, but exceptions to this deadline may be granted by the dean on showing of good cause. If the Board's decision involves students from more than one college, the deans involved shall consult with each other.

138 a. Appeal of a finding of guilt. A student who has received a finding of guilt from the Board, or whose finding of guilt in a Primary Hearing was upheld by the Board, may appeal on one or both of the following grounds: i. Additional evidence which might have affected the outcome of the hearing became available following the hearing. ii. A violation of procedure by the Hearing Board that might have prejudiced the outcome of the hearing. b. The dean may deny the appeal or send the case back to the Hearing Board for reconsideration. c. Appeal of a penalty. The student may appeal the findings of the Hearing Board regarding penalties. The appeal shall specify the reasons why the student believes the penalty is inappropriate. After consultation with the Hearing Board, the dean may take one of the following actions: i. If a grade penalty has been exacted (II.C.4.b.i- iii), the dean may recommend to the faculty member that the grade penalty be reduced. ii. If another penalty has been exacted (II.C.4.b.iv- viii), the dean may modify or decline to carry out the recommended penalty. d. In all but the most unusual circumstances, it is the expectation that the findings and recommendations of the Hearing Board will be upheld by the dean. The dean's decision cannot be appealed. 6. Annual Reports. Each college Academic Integrity Hearing Board shall submit a summary report of its proceedings (without identifying any particular student) to the Dean of the Faculty at the end of the academic year. The names of the members of the Board and any significant departures in procedure should be reported as well. 7. Honor Codes. The existing school honor codes as in the College of Veterinary Medicine and the Law School are not governed by the foregoing legislation, but current versions of these honor codes must be kept on file with the Office of the Dean of the Faculty. In the case of allegations against a student enrolled in a course subject to a school honor code but registered in another college, all actions beyond the primary hearing revert to the Hearing Board of the student's college. 8. Records of Action. If the student is found guilty, a record of the outcome of the case and the nature of the violation shall be kept by the Hearing Board, and copies shall be sent to the record keeper in the student's college, if different from the College in which the violation occurred. The record keeper shall disclose this record to Hearing Boards considering other charges against the same student, to deans or associate deans of colleges in furtherance of legitimate educational interests, to the Registrar for notation on the transcript when provided by the decision of the Hearing Board and the dean, but to no one else unless specifically directed by the student. D. If the student is found not guilty by the Hearing Board, all records of the case, including the report of the primary hearing, shall be expunged from the files of the record keeper.

139 Code of Academic Integrity – Queen’s University

Policy on Academic Dishonesty

Definition: Academic dishonesty includes plagiarism as well as any deliberate attempt to gain advantage. Dishonest practices include fabrication of data, cheating, or uttering by a student of false statements relating to academic work.

Definition: Plagiarism means presenting work done (in whole or in part) by someone else as if it were one's own.

Plagiarism should be distinguished from cooperation and collaboration. Often, students may be permitted or expected to work on assignments collectively, and to present the results either collectively or separately. This is not a problem so long as it is clearly understood whose work is being presented, for example, by way of formal acknowledgement or by foot-noting.

The following are some examples of academic dishonesty. As it is not possible to cover every circumstance of academic dishonesty or plagiarism, this list should be considered only as a guide.

1. Examinations and Tests a. Impersonating someone in an examination or test. b. Copying from another student, or making information available to another student. c. Submitting a take-home examination written, in whole or in part, by someone else. d. Failing to obey or comply with examination regulations or instructions of a proctor. 2. Laboratories, Field Work, and Research Reports a. Copying a laboratory or field report, or allowing someone else to copy one's report. b. Using another student's data unless specifically allowed by the instructor and the author. c. Allowing someone else to do the laboratory or field work without the knowledge and approval of the instructor. d. Using direct quotations or large sections of paraphrased material in a laboratory or field report, research report, thesis, publication without appropriate acknowledgement. (For additional information refer to Code of Research Ethics, Queen's Gazette Vol. 19, Dec. 8, 1987.) e. Fabricating or falsifying laboratory or research data. 3. Essays and Assignments a. Submitting an essay written in whole or in part by someone else as one's own. b. Preparing an essay or assignment for submission by another student. c. Copying an essay or assignment, or knowingly allowing one's essay or assignment to be copied by someone else for the purpose of plagiarism. d. Using direct quotations, or large sections of paraphrased material without acknowledgement. e. Buying or selling of term papers or assignments and submitting them as one's own for the purpose of plagiarism.

140 f. Submitting the same piece of work in more than one course without the permission of the instructor(s). g. Unauthorized removal from the library, or deliberate concealment of, library materials. 4. Official Documents a. altering transcripts or other official documents relating to student records. b. misrepresenting one's credentials. c. creating or altering letters of reference.

Individual instructors or academic units will normally point out areas of specific concern not covered above.

Students are encouraged to consult instructors, particularly in specialized fields such as music, studio art, and computing, regarding procedures and use of materials if in doubt about how they may relate to academic dishonesty.

Academic Dishonesty and Professional Conduct

Academic Integrity

“Academic integrity is constituted by the five core fundamental values of honesty, trust, fairness, respect and responsibility (as articulated by the Center for Academic Integrity, Duke University; see http://www.academicintegrity.org) all of which are central to the building, nurturing and sustaining of an academic community in which all members of the community will thrive. Adherence to the values expressed through academic integrity forms a foundation for the "freedom of inquiry and exchange of ideas" essential to the intellectual life of the University (see ://www.queensu.ca/secretariat/senate/policies/princpri/). Queen's students, faculty, administrators and staff therefore all have ethical responsibilities for supporting and upholding the fundamental values of academic integrity."

Academic Dishonesty

Academic dishonesty includes plagiarism as well as any deliberate attempt to gain unfair advantage academically for oneself or others. All forms of academic dishonesty are considered serious offences within the University community. Dishonest practices include fabrication of data, cheating, or the uttering of false statements relating to academic work by a student. Plagiarism means presenting work done (in whole or in part) by someone else as if it were one's own.

Plagiarism should be distinguished from co-operation and collaboration. Often, students may be permitted or expected to work on assignments collectively, and to present the results either collectively or separately. This is not a problem so long as it is clearly understood whose work is being presented, for example, by way of formal acknowledgment or by footnoting. The following are some examples of academic dishonesty. As it is not possible to cover every circumstance of academic dishonesty or plagiarism, this list should be considered as a guide only.

141 Exams and Tests

• Impersonating someone in an examination or test. • Copying from another student, or making information available to another student. • Submitting a take-home examination written, in whole or in part, by someone else. • Failing to obey or comply with exam regulations or instructions of a proctor.

Laboratories, Field Work, and Research Reports

• Copying a laboratory or field report, or allowing someone else to copy one's report. • Using another student's data unless specifically allowed by the instructor and approval of the instructor. • Using direct quotations or large sections of paraphrased material in a laboratory or field report, research report, thesis or publication without acknowledgment. (For additional information refer to the Code of Research Ethics, Queen's Gazette, Vol. 19, 8 December 1987). • Fabricating or falsifying laboratory or research data.

Essays and Assignments

• Submitting an essay written, in whole or in part, by someone else as one's own. Preparing an essay or assignment for submission by another student. • Copying an essay or assignment, or knowingly allowing one's essay or assignment to be copied by someone else, for the purposes of plagiarism. • Using direct quotations or large sections of paraphrased material without acknowledgement. • Buying or selling of term papers or assignments and submitting them as one's own for the purpose of plagiarism. • Submitting the same piece of work in more than one course without the permission of the instructor(s). • Unauthorized removal from the library, or deliberate concealment, of library materials.

Official Documents

• Altering transcripts or other official documents relating to student records. • Misrepresenting one's credentials. • Creating or altering letters of reference.

Individual instructors or academic units will normally point out areas of specific concern not covered above. Students are encouraged to consult instructors regarding procedures and use of materials if in doubt about how they may relate to academic dishonesty. Any student who commits such an offence runs the risk of a range of sanctions from receiving a grade of zero on the assignment to the Faculty Board recommending to Senate expulsion from the School of Business and/or the University. A finding of academic dishonesty will be made by the instructor of the course in which the offense occured. Appeals of a finding of academic dishonesty must be made to the School in which the student is registered, with the exception that the recommendation for expulsion or suspension must be forwarded to the Senate for approval. A Commerce student appealing a finding of academic dishonesty must consult with the Associate Director of the Commerce Program.

142 Each student is responsible at all times for conduct that will maintain the reputation of the School of Business and its ability to serve the public interest. For example, no student shall disclose, without proper cause, any information obtained on a confidential basis while doing field studies as part of class projects or directed study. The School of Business policy on academic dishonesty can be found at http://www.queensu.ca/secretariat/senate/policies/acaddish.html. Students with questions regarding this policy should consult with the Associate Director of the Commerce Program. On matters of procedure, the Grievance Advisors of Queen's University are available for consultation.

9.4.2 Academic Honesty Procedure

As shown in Section 8.2.1, the web link to this policy is provided in the academic calendar for the CQEMBA. This calendar will be provided to all students for their review prior to allowing any student to register for the program. For the incoming class starting in 2008, we will require successful applicants who wish to register for the program to sign a document stating they have read and understood the program policies and regulations, including those that exist at the university level such as the policy on academic honesty.

143 10 FINANCIAL STABILITY

10.1 Financial Viability

10.1.1 Financial Resources

Cornell University has been in existence for more than 140 years; the Johnson School began operations in 1946; the CQEMBA was launched in 2004 and has already enrolled more than 240 students (of which approximately 140 have already completed the program courses). This track record underscores the significant commitment and financial resources available to Cornell University, the Johnson School, and the CQEMBA. Following this section please find the most recent financial report of Cornell University recapping its financial resources (e.g., market value of the University’s endowment at the end of the 2006-2007 academic year was approximately $5.5B).

10.1.2 Sufficient Capital

The CQEMBA has been in operation for more than three years. The capital available within Cornell University is shown in the financial report referenced above.

Please find attached at appendix 10.1.2 a copy of the Cornell University Financial Report

10.1.3 Projection: Tuition Fee Collection

Cornell University collects no tuition fees from students in Ontario or elsewhere in Canada.

10.2 Financial Audit Policy

Internationally recognized accounting firms always audit Cornell University’s financial reports. For example, the 2006-2007 Annual Report was audited by KPMG LLP. Cornell University is committed to this high standard of financial reporting.

144 11. DISPUTE RESOLUTION

11.1 Dispute Resolution Policies

As shown in Section 8.2.1, the academic and non-academic dispute resolution policies are either articulated or referenced in the academic calendar. This document is provided to students and is always available for downloading from the program’s internal website. Starting with the class arriving in 2008, we will distribute this document to applicants prior to registration and request that successful applicants attest to their reading and understanding the policies prior to registering in the CQEMBA.

11.2 Policy Implementation and Awareness

As described above, students are provided documentation regarding the program’s policies and procedures. In addition, at the program’s Opening Session (i.e, just several days after the prpgram begins), the Program Directors hold a required information session to explain these policies in detail to all program participants.

Some of the paths for dispute resolution for employees are different than students. While all members of the Cornell community – students and employees – are covered by the same policies regarding human rights and discrimination, employees will have no need to use academic dispute resolution processes. New employees at Cornell all go through an orientation process where the university’s and the Johnson School’s policies are explained. Additionally, web links are provided to employees so that may review these policies whenever they wish.

145 12. ORGANIZATION EVALUATION

12.1 Organizational Evaluation Policies and Procedures

The following is the program review procedure at Cornell University

Program Review Overview

Academic program reviews were initiated in 1995 and serve as the primary mechanism used to evaluate and continually improve academic programs at Cornell. The evaluations made by program reviews are oriented within the context both of disciplinary norms and unit, collegiate and university missions. External review teams identify program strengths, weaknesses, and opportunities, and offer specific recommendations to assist programs in their efforts to improve.

Every department or academic program undergoes the academic program review process every five to ten years. The Faculty Committee on Program Review, a university-wide professorial faculty committee, oversees the program review process.

The college dean is responsible for the unit reviews with support provided by the provost, if requested. A departmental review consists of two phases: a self study by the department faculty and an evaluation by an ad-hoc evaluation committee. Additionally, the department finds appropriate mechanisms to involve a broad spectrum of students in the process.

• The Self Study • External Review Team • The Faculty Committee on Program Review

The Self Study

The self study will address specific issues raised by the dean, the department under review, and the University administration and will include:

• A description of the fundamental questions that organize and motivate the current teaching, research, outreach and other scholarly activities of the department, showing how the faculty share intellectual discourse and purpose; • A critical analysis of the current state of the work of the department, including graduate and undergraduate teaching (with attention to the purpose and coherence of the curricula), research, and outreach, with whatever quantitative information required by the dean; • Specific issues, if any, the department wishes the ad-hoc evaluation committee to address and any other expectations the department has of the evaluation committee; • A plan for the next five to ten years, including staffing and resource allocation, and its relationship to the fiscal guidelines supplied by the dean.

The self study need not be a long or time-consuming process. Thorough and comprehensive annual reviews should provide the necessary background and framework for the study.

Additional university-wide review criteria and required information may be specified by the Faculty Committee on Program Review. Examples of possible criteria are given in Appendix A. Every effort will be made to ensure that the University's administrative systems will provide the required quantitative data automatically. When the self study is complete the department will forward a copy to the dean and 4 copies to the FCPR.

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External Review Team

The ad-hoc evaluation committee will consist of at least three specialists in the field from outside Cornell. The dean will form the committee after consultation with the faculty of the department under review. The committee will be asked to evaluate the department's principal activities, to compare it with leading departments in other universities, to assess its trajectory, and to recommend whatever changes the committee believes are appropriate, under the assumption of constant resources.

The Faculty Committee on Program Review

The Faculty Committee on Program Review (FCPR), a university-wide professorial faculty committee, will oversee the program review process. The committee will consist of ten faculty members representing the broad disciplinary areas and academic functions of Cornell and the vice provost, ex-officio. Members of the FCPR will be selected jointly by the provost and the Faculty Senate, and will serve three-year staggered terms. The provost and Senate will choose the chair of the committee jointly. Function of the Committee will include:

• Determining (after consultation with appropriate deans) the cycle for reviews of departments, fields, and centers to facilitate the area reviews; • Monitoring the quality of the review process by: o Receiving and reviewing the department's self study and any comments on the plan for review, reviewing and approving the dean's (or other administrator's) detailed plan for each review, including the ad-hoc evaluation committee's composition and charge, o Establishing and maintaining minimum criteria for reviews to ensure the regular collection of uniform data from the entire University, o Receiving copies of the individual program reviews, including the self study, the ad-hoc evaluation committee, a response by the department being reviewed, and a response by the dean, which states the action to be taken as a result of the review, o Receiving an annual report from the provost giving the results of the area reviews completed or in progress,

• Commissioning reviews of selected centers, fields, and cross-departmental groupings to be carried out by the dean of the Graduate School, the vice provost, or a college dean.

Program Review Process

All departments, degree-granting graduate fields, and centers will be reviewed once every five to ten years. Whenever possible, fields and centers that can be associated with a department will be reviewed with the department. Where the interdisciplinary nature of the field or center makes combined reviews unfeasible, independent field and center reviews will be carried out.

• The Self Study • The External Review Team • The External Review • The External Review Report • The Department's Response to the External Review Report • The Dean's Response to the External Review Report

147 • The Faculty Committee on Program Review's Report to the Provost • The Reimbursement of Program Review Expenses • The Administration of the Faculty Committee on Program Review

The Self Study

To initiate the self study process the chair of the Faculty Committee on Program Review (FCPR) and if available, the administrative manager of the FCPR, will meet with the department chair and review the self study format. During that meeting, they will discuss:

• the review process • data needs • schedule of review activities, and • the process used to identify external reviewers.

Upon setting a date for the completion of the self-study document, FCPR administrator (Kristin Walker) notifies the Graduate School data coordinator (Laura Lee Morgan), who will then compile the graduate data for the department and send it directly to the department chair.

The self study should comply with the self study format guidelines. Four copies of the self study document are sent by the department to the FCPR for review and comment no less than 6 weeks before the scheduled external review. FCPR will respond within 2 weeks to provide time for any changes before documents are sent to the external review team members.

The External Review Team

The selection of the External Review Team should be initiated during the self study phase. The process will involve the department, the college dean and the FCPR.

The External Review

Establishing the date and time for the on campus visit; developing the charge, questions, and objectives for the external review team; and setting the agenda are all critical components that require communication within the department and between department and dean. The opening and closing meetings with the external review team include the dean, a provost's designee, the dean of the Graduate School, and two members of the FCPR; they do not include members of the department being reviewed.

The External Review Report

External Review Reports will be treated as confidential documents and will be stamped "Confidential - Do Not Copy."

Routine distribution of the reports will be limited to the provost, cognizant vice provost, all relevant deans, associate deans, department chairs and professorial faculty directly involved in the review; and to members of the FCPR. The FCPR may, in unusual circumstances, send a copy of an external review report to another college dean, who will not be authorized to distribute it further. The dean(s) directly involved in the review may distribute copies of the external review reports at their own discretion.

148 External review teams may, if they wish, attach a confidential annex to the review report that will be removed and forwarded to the Provost and the appropriate dean, before the main report is distributed to the department chair and professorial faculty.

The External Review Report is to be submitted to the appropriate dean and to the FCPR within a month following the external review team visit.

The Department's Response to the External Review Report

Upon receipt of the external review team's written report, the department prepares a written response to the review team's findings and recommendations.

The length of the Department's Response will depend on the department's level of agreement with the report. When the department agrees with the report, intends to implement its recommendations, and urges the dean to do likewise, a short acknowledgement will suffice. On the other hand, when the department disagrees with some of the findings or recommendations of the report, a fuller response to each significant finding or recommendation is required.

The Department's Response is to be submitted to the appropriate dean and to the FCPR within a month following receipt of the written report of the external review team.

The Dean's Response to the External Review Report

The next step in the review process is a written response from the dean regarding the external reviewers' findings and recommendations and the department's responses thereto, with appropriate explanations where needed.

The dean should submit his/her response to the FCPR within a month of receipt of the department's response.

The Faculty Committee on Program Review's Report to the Provost

Upon receipt of the External Review Report and the Department's Response, the FCPR will prepare a short report to the Provost summarizing the review.

The Reimbursement of Program Review Expenses

The department or college will be reimbursed for all expenses for three to four external reviewers per department review (i.e., travel, lodging, meals, and honoraria). Additionally, the cost for the printing of the self studies, including 4 copies for the FCPR, a copy for the provost, appropriate vice provost, deans, associate deans, and 1-5 copies for the department will be reimbursed. The department or college assumes responsibility for all other expenses related to the review.

The Administration of the Faculty Committee on Program Review

The administrator of the Faculty Committee on Program Review provides the following support to the Committee, Provost, and Vice Provost:

• tracking of all reviews and where they are in the process, • coordination of the submission of all materials sent to the FCPR for review and approval

149 • coordination of the distribution of all documents to the FCPR, provost, and vice provost, including self studies, external review charge and agenda, and external review reports.

Self Study Format for Program Review

The self study is the department's portrait of itself. It should be informative to the external reviewers, who are experts in the field, but also to internal readers who may not be. Ideally, gathering the materials and reaching consensus on how to portray the department will also be a constructive activity for members of the department. Each section of the self study includes both descriptive information and self assessment. Useful self studies are thorough but compact and frank.

I. Description of the Department in Relation to the Discipline(s) and to the University II. Programs III. Plans for the Future IV. Faculty, Students and Staff V. Previous External Review Report Notes

I. Description of the Department in Relation to the Discipline(s) and to the University State the department's mission. Provide a concise overview of the critical issues and approaches that structure the discipline(s) or field(s) represented in the department. Explain how the department's structure and activities relate to these issues and approaches. Describe the major areas of scholarly concentration (within and across the disciplines) represented in your department. Call attention to any past conditions or events that are critical to understanding the department's present situation and future.

Compare yourself to what you believe to be the top five programs nationally. How do you rank in comparison? What major areas are represented in those programs but not in yours, and vice- versa? What implications does this have for your scholarly activities? What are the distinguishing features of your program?

Some Indicators of Departmental Standing

• Published rankings. (National Research Council/National Academy of Sciences rankings of graduate programs are most persuasive. • Indicators of scholarly recognition and achievement appropriate to the field; e.g., faculty publications and citations thereof, research funding, awards, invited presentations, performance or exhibitions, editorships and professional association offices. (Note that this information is included in individual faculty CV's. In this context, highlights should be summarized and, when possible, compared to similar departments or programs at peer universities • Data on placement of Ph.D. recipients.

II. Programs

A. Degrees Offered

List degree programs. Append catalog information describing degree programs and requirements.

150 B. Education Program

(This is a recommended format for describing educational programs and how goals for those programs are being met. If your department has a better approach, you may use it.)

1. Describe the objectives and strategy of the department’s education programs for undergraduates, graduate students, and, if appropriate, post-doctoral students. The education program includes courses taught to campus and external audiences and non-course experiences designed to enhance knowledge and competencies. Describe what knowledge, competencies, or understanding students are expected to achieve.

2. Describe the logic underlying the structure of the curriculum and rationale for requirements for majors, minors, and graduate fields offered.

3. Describe the courses offered in concise terms.

4. In tabular form, list instructors and enrollments for all courses offered during the preceding five years. Comment on trends that are important relative to overall objectives.

5. Describe how the effectiveness of educational programs are assessed.

a. What measures (direct and indirect, quantitative and qualitative) are used to determine how well goals are being met? b. Document student satisfaction with courses using tabular summaries of key data. DO NOT provide un-summarized course evaluations. c. Evaluate the extent to which your programs meet the career goals of students and the needs of major employers or graduate programs. d. Document student career choices after graduation.

6. Describe the department’s approach to undergraduate and graduate advising. How is advising organized and quality maintained? How are advisors mentored? What indicators are used to assess effectiveness?

7. How are faculty, graduate students, and other educational personnel mentored and supported as teachers? How is individual teaching performance monitored and how does the departments respond to problems that are identified?

8. Comment on the adequacy of and issues related to education facilities, financial resources for courses, and support services that are important to achieving education objectives.

C. Research

List (by title and principal investigator) and briefly describe major research projects. For sponsored projects, list sources, amounts of funding, and duration). If possible, relate research projects to the fields of sub-disciplines identified in section I.

D. Outreach and Extension Programs

How are teaching responsibilities distributed among faculty of different ranks?

151 1. List and describe major extension and other outreach programs (i.e., interactions with off- campus audiences including corporate contacts.) If possible, relate outreach and extension programs to the fields of sub-disciplines identified in section I. 2. Include program evaluation data or other indicators of impact when available.

E. Interaction with Other Units within the University

(For example: joint majors, concentrations, and course offerings; faculty membership in fields outside of the department.)

F. Affirmative Action

Describe and evaluate departmental efforts in faculty and staff hiring and development and graduate and undergraduate recruitment and support.

III. Plans for the Future

A. What are the goals and priorities of the department for the next five years?

B. How do you expect the field to change nationally and internationally, and how will your department respond to these changes?

C. What faculty retirements and new hiring can be anticipated over this period? Give your plans for new hiring.

D. What specific steps can you take to improve the quality of your department for the future, assuming constant resources?

E. If you had additional resources, how would you use them?

IV. Faculty, Students and Staff

A. Professorial Faculty

List faculty by rank and major areas of academic interest. Summarize racial and gender diversity within this group. Place abbreviated CV's in an appendix. (See note below.)

B. Non-Professorial Faculty

List non-professorial faculty (i.e., lecturers, research associates, and extension associates) by rank and major areas of academic interest. Summarize racial and gender diversity within this group. Place abbreviated cv's in an appendix. (See note below.)

C. Students

Provide summary data for each of the past five years:

1. Graduate Students - (Data points a through f will be provided by the Graduate School) a. Number of students who apply, are admitted, and who matriculate for relevant fields b. Measures of the quality of incoming students, including GRE scores

152 c. Number of degrees awarded by major area of academic interest - include data on gender and racial diversity d. Measures of completion rates and times to degree e. Types and levels of student support, including competitive fellowships f. Distribution of graduate committee assignments among faculty members g. Describe how you select graduate students h. Report initial placements for doctoral, MA, and MS and Professional Masters graduates. 2. Undergraduate Students a. Number of majors (including racial and gender diversity) b. Number of undergraduates engaged in independent research or scholarship. (An appendix listing research topics along with names of students and faculty is helpful.)

D. Infrastructure and Administrative Support

V. Previous External Review Report

If the department has previously undergone an external review, append the final report of the most recent review, and give a summary of how the department and college have responded to the recommendations contained in the review. Accreditation reviews might also be helpful.

Notes

Abbreviated CV'S

Collecting all CV's from a department of even moderate size produces an unwieldy notebook. Think of the self study as a document that will be read most carefully during the plan flight to Ithaca and carried for reference during the site visit.

No external reviewer can be expected to glean much of value from reading through 20 or 30 cv's that range up to 40 pages in length. Rather than informing reviewers, such collections obscure the information the reviewers could use. Therefore, faculty should be asked to provide cv's abbreviated to two pages in a manner that is appropriate in your field.

They should provide basic information about education and employment and leadership in the field (association offices, editing, honors and awards, blue ribbon panels, etc.); major service to the department, college, and university; and a selective list of publications and presentations. Selectivity may be by date (e.g., past five years) or importance (e.g., most cited, from the best journals), or a combination.

Recall that the external reviewers will already be familiar with the work and reputations of many faculty members. The collected cv's will give them a brief overview of scholarship in the department and a convenient reference to faculty members whose work they may not know.

Producing a Usable Document

Self study documents are usually placed in three-ring binders. They should include a table of contents and divider tabs separating and identifying the sections identified above and appendices. Try to produce a document that External Reviewers can easily carry with them and readily consult as needed in preparation for and during their visit.

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