PrincetonUniversity

RULES AND PROCEDURES OF THE FACULTY OF PRINCETON UNIVERSITY AND OTHER PROVISIONS OF CONCERN TO THE FACULTY

Office of the Dean of the Faculty
Princeton University
Princeton, New Jersey
June 1994 (Revised May 2006)

V. RULES AND POLICIES


The following paragraphs set forth rules applicable to members of the faculty in certain areas in which written policies have been promulgated. The policies printed here are not intended to be exhaustive or to supplant commonly held understandings in areas not covered by these paragraphs. If a member of the is uncertain about any of these matters, he or she should feel free to discuss them with the department Chair or with the Dean of the Faculty.

A. TUTORING

1. No officer of instruction of the University shall tutor students of the University privately for remuneration during the academic year, except as he or she may be authorized by the Dean of the College.

2. No officer of instruction of the University shall be permitted at any time to tutor students privately in preparation for those examinations in which the instructor himself or herself takes part, either in the way of preparing questions or reading papers.

B. NEPOTISM

In order to avoid conflicts of interest, it is University policy that no Faculty or staff member may initiate, or participate in, directly or indirectly, decisions involving a direct benefit, (e.g. initial employment or appointment, retention, promotion, salary, course work assignments, research funds, leaves of absence, etc. or, in the case of students, admission, grades or recommendations) to those related by blood or marriage, membership in the same household, including domestic partners, or persons with whom a Faculty or staff member has an intimate relationship. The potential for conflict of interest may also exist in close personal relationships which involve other than family relationships. The University views such conflicts of interest as seriously as it does those involving family members or blood relatives.

C. CONSENSUAL RELATIONS WITH STUDENTS

Among the grounds stated in paragraph IV.N.1 above for disciplinary action is "conduct which is shown . . . substantially to impair the individual's performance of the full range of his or her responsibilities as a member of the Faculty." Whenever a faculty member has a professional responsibility for a student or could reasonably expect to have professional responsibility for the student during the student's time at Princeton, a consensual sexual or romantic relationship between the faculty member and the student raises a serious question of violation of this provision. A faculty member has a professional responsibility for a student when he or she has direct or indirect administrative, teaching or supervisory responsibility for that student.

When a sexual or romantic relationship involves individuals in a teacher-student relationship (e.g. being directly or indirectly taught, supervised or evaluated) or involves any element of coercion, harassment, bargaining for educational favors, or the like, it is a clear and most serious violation of both University and professional standards, as well as a potential violation of state and federal anti-discrimination statutes. Any sexual or romantic relationship between teacher and student is bound to impinge upon the teacher-student relationship, not only with regard to the student involved but also in relationship to his or her peers, who may perceive favoritism or unequal treatment by the faculty member. Consensual relationships with students can also create immediate problems of conflict of interest (addressed by the University's policy on nepotism, Section V.B.) and of sexual harassment (Section V.D.) which may also expose the faculty member to charges of misconduct and to disciplinary action.

Complaints regarding non-academic conduct of members of the Faculty should be addressed to the Dean of the Faculty. When such a complaint is brought forward, the Dean normally conducts an inquiry and, if appropriate, submits his or her findings and recommendations to the President under paragraph IV.N.1 above.

D. SEXUAL HARASSMENT AND ASSAULT

1. Princeton University is committed to maintaining an environment free of all forms of harassment, intimidation, and discrimination. The information provided below describes the University's policy with regard to sexual harassment and explains the responsibilities of members of the Faculty, other professional academic (Professional Library, Professional Research, Professional Technical) and non-academic staffs in helping to insure that this policy is upheld. It also explains the processes through which complaints of sexual harassment by or against members of these staffs may be brought forward, and the central roles played by "designated individuals" and "confidential counselors" in these informal and formal processes. Complaints of sexual harassment against undergraduates and graduate students, including graduate students serving as Assistants in Instruction (AIs), are covered by procedures administered by their respective Deans.

2. Sexual harassment is a form of discrimination and a violation of federal and state law as well as a serious violation of University policy. Title IX of the 1972 Education Amendments prohibits discrimination on the basis of sex in education programs receiving federal funds. Title VII of the Civil Rights Act of 1964 prohibits discrimination on the basis of race, color, religion, sex, and national origin in employment practices. The Federal courts, and the Equal Employment Opportunity Commission (EEOC) in its April 1980 Sexual Harassment Guidelines, have both ruled that the sexual harassment of employees constitutes unlawful sex discrimination and is thus a violation of Title VII.

3. EEOC Guidelines require that employers affirmatively address the issue of sexual harassment in the workplace and devise and adopt appropriate procedures for maintaining a working atmosphere free of sexual pressure or intimidation. Under the Civil Rights Act, employers and individuals to whom they have assigned supervisory duties over employees have a legal responsibility to report claims of sexual harassment to the appropriate individuals designated in this procedure. For the purposes of the law, the "supervisors" in a university context are Chairs of departments who supervise Faculty, and all individuals who have formal supervisory duties over employees. For example, apart from the Chair of a department, Faculty do not normally supervise each other, or, in the relevant sense, students. They do, however, often have supervisory responsibility over members of support or members of other professional staffs, and are thus under an affirmative obligation to know about and respond to incidents of sexual harassment in their areas of supervisory responsibility. Supervisors in the sense just defined are not only responsible for acting when they receive a specific complaint or report alleging improper activity on the part of their supervisors, they also have a duty to act upon such matters when they come to their attention informally. Indeed they may be held responsible for not having acted upon matters about which they reasonably should have known.

4. Sexual harassment includes unwelcome sexual advances, requests for sexual favors, and other verbal or physical conduct of a sexual nature when,

a. Submission to or rejection of such conduct is made implicitly or explicitly a term or condition of instruction, employment, or participation in any University activity;

b. Submission to or rejection of such conduct by an individual is used as a basis for evaluation in making academic or personnel decisions affecting an individual; or

c. Such verbal or physical conduct has the effect of unreasonably interfering with an individual's work, academic performance or living conditions by creating an intimidating, hostile, or offensive environment.

Sexual harassment is a form of discrimination because it unjustly deprives a person of equal treatment. It can endanger a person's well-being by impeding the ability to work and interfering with educational opportunities. It can occur between people of the same sex as well as between those of different sexes.

5. Complaints of sexual harassment will be treated with the maximum possible degree of confidentiality. Only in accordance with legal requirements or where personal safety is at issue will confidential information be acted upon or disclosed to others without a complainant's consent. Confidential counselors (including the Director of SHARE, the chaplains, counselors in the Counseling Center and other individuals identified as such) have a higher level of legally protected confidentiality than the University's "designated individuals," who can also provide counseling and initiate actions to remedy informal complaints of sexual harassment (see Section 6 below).

a. Fear of retaliation should not be a barrier to reporting incidents of sexual harassment. Retaliation in any form will not be tolerated and is, in addition to the initial incident, subject to University disciplinary procedures.

b. The Sexual Harassment/Assault, Advising, Resources and Education (SHARE) Program, under the direction of the University's Sexual Harassment Coordinator, provides assistance and training to individuals and offices dealing with cases of sexual harassment as well as information about procedures for pursuing informal or formal complaints. The SHARE office also provides support and confidential counseling to individuals who have been victims of sexual harassment. In addition, SHARE offers help and guidance to persons concerned about the victim: family members, friends, staff, faculty, etc.

c. Individuals who have a responsibility under the law or under these University policies for taking action to discover and to stop sexual harassment do so as agents of the University and accordingly will be defended legally by the University for ad such action taken in good faith, even if mistaken.

6. Any individual who believes that he or she might be the victim of a specific act or a pattern of behavior faring within the above definition of sexual harassment, carried out by a member of the University community, should discuss the matter with one of the "designated individuals" named by the SHARE office, who can provide information, answer questions, and receive complaints (both formal and informal) about sexual harassment. Any individual having information about a specific act or a pattern of behavior faring within the above definition of sexual harassment, carried out by a member of the University community, is encouraged to discuss the matter with one of the designated individuals. In addition, any individual having information about such acts or patterns of behavior in a supervisory capacity (i.e. where the alleged perpetrator is someone whom he or she supervises in the sense explained in Section 3) is under an affirmative duty as part of University employment to act upon such information by bringing it to the attention of one of the named individuals. She or he should not under such circumstances try to "handle the matter" on her or his own.

Any one of the University's designated individuals may receive information and formal or informal complaints; they may refer individuals to resources within the University; in emergencies they will obtain assistance to intervene directly to protect the safety of individuals; in appropriate situations they may themselves seek informally to resolve conflicts between a complainant and respondent; they may assist complainants in deciding whether to prepare and in preparing formal complaints for hearing before University fact-finding and adjudicatory bodies.

7. An individual who decides, usually after consultation with one of the designated individuals, to make a complaint against a member of the Faculty or a member of the other staffs alleging a violation of University sexual harassment policies, may do so by one of two means: informal and formal.

a. Informal Resolution of Complaints. Those desiring resolution of such a complaint through an informal process (wherein no formal finding or disciplinary penalty will be involved) may seek amelioration of the difficulty through the intervention and assistance of any one of the persons named above as Confidential Counselors or designated individuals, to receive such information and complaints (the adviser). If the complainant elects to have a complaint heard informally, the adviser shall follow guidelines designed to achieve informal resolution.

Informal resolution includes the following possible steps and measures:

If the complainant fails to achieve satisfactory results through this informal means, however, he or she may still initiate a formal complaint.

b. Formal Complaints

 1) The Faculty and Staff Sexual Harassment Panel. There will be a Faculty and Staff Sexual Harassment Panel from which subcommittees win be appointed to hear individual complaints. The Panel will have a Chair and a Secretary, and will normally consist of 18 members who are appointed by the President--selected from: full- time students; full-time Faculty; professional library, research, technical, academic, administrative and support staff--in such a way as to be representative of the University community. Panel members are expected to serve for two-year, renewable terms and will be given appropriate information and training. They are required to advise the Chair of the Panel if they are in conflict of interest or commitment in any case on which they are asked to serve.

2. Procedures. A complainant (whether a victim or another person, e.g., a person with supervisory responsibilities) who wishes to file a formal charge of sexual harassment against a member of the Faculty, or a member of the other staffs, should comply with the following procedure.

The individual complainant, usually with the assistance of a designated individual or of another adviser he or she has chosen, will file a written statement with the Secretary of the Faculty and Staff Sexual Harassment Panel, stating the circumstances of the alleged harassing incident or behavior. This statement will constitute the grounds for the complaint. The Secretary will then notify the Chair of the Faculty and Staff Sexual Harassment Panel, who will notify the respondent of the complaint and procedures and will appoint a subcommittee to hear the complaint.

At the same time, the Secretary will begin to gather information to be brought to the subcommittee. This will include interviewing the complainant, the respondent, and others who may have relevant information, consulting University records bearing on the matter, and gathering all other information related to the complaint. The respondent wil1 be provided with a copy of the complainant's statement and given an opportunity to provide a written response to the complaint, which will in turn be given to the complainant. Every effort will be made to complete the investigation and to collect all relevant information in order to submit the complaint to a subcommittee for determination within two weeks from the filing of the formal complaint. The subcommittee's decision should normally be provided within another two weeks.

The Chair of the Faculty and Staff Sexual Harassment Panel win appoint a Chair and four additional members from the Committee to form a subcommittee to hear each complaint. At least three members of the five-person committee must be drawn from the respondent's staff category. The identities of the members selected win be made available to the complainant and the respondent, who will have an opportunity to provide information that might indicate bias or conflict of interest or commitment for any individual selected. If the formal complaint has been preceded by an informal complaint procedure, information obtained during the informal procedure wil1 not be brought before the subcommittee determining the case, but information about the attempted informal resolution will be made available to the Dean of the Faculty or the Vice President for Human Resources for transmission to the President, who sets the penalty.

In hearing a complaint, subcommittee members will receive and review the complaint, the response, and any other pertinent statements and documents. The subcommittee wil1 nominally request the appearance of both the complainant and the respondent (though at separate times) for questioning by the subcommittee. Each will be given the opportunity to have a personal adviser (who is a member of the resident University community) present when they appear before the subcommittee. In no instance wil1 the complainant and the respondent be required to appear before the subcommittee at the same time. The intent of the subcommittee is to be responsive to both parties in all deliberations.

When the subcommittee completes its review of information and its consideration of the complaint, it will report its findings either to the Dean of the Faculty or the Vice President for Human Resources, as appropriate. If the complaint was sustained, the Dean of the Faculty or Vice President for Human Resources will then recommend appropriate action to the President, including any appropriate penalty in accordance with University rules and regulations. The Dean of the Faculty or Vice President for Human Resources will inform the complainant and respondent of the subcommittee's findings and any action taken or penalty imposed. If it is determined that there are insufficient grounds for any action, this fact wil1 also be reported in a timely manner to both the complainant and the respondent. Only when a complaint reaches the formal process will it be recorded in the respondent's personnel file, and then only if the complaint is sustained. With regard to issues of confidentiality of faculty files and records, the Panel will follow the same procedures as the Committee on Conference and Faculty Appeal.

c. Appeals. The respondent may appeal any action taken or penalty imposed through the established appeals processes for the Faculty and for the other staffs.

E. USE OF UNIVERSITY IDENTIFICATION

1. By resolution of the Board of Trustees, members of the University sending communications to the public press on subjects lying outside their particular field are requested not to use the name of the University.

2. Except with the formal consent of the President of the University, no one connected with the University shall enter into any agreement with any firm or enterprise whereby the name "Princeton" shall be used in advertising, publicity, etc., nor shall furnish to firms or enterprises material for advertising, publicity, etc., in which the name "Princeton" appears.

F. CONFIDENTIALITY OF STUDENT RECORDS

It is the policy of Princeton University that all student and alumni records are private, confidential documents. Information from them is not to be disclosed (except to authorized University personnel, for internal use) to any person, organization, or agency without the consent of the individual to whom they pertain. This policy shall apply to all such records, wherever they may be lodged. The University Policy originally adopted to implement the foregoing statement has been affected in important ways by The Family Educational Rights and Privacy Act of 1974. [A current statement of University regulations may be obtained from the Office of the Secretary.]

As an extension of the general policy set forth above, Faculty members are expected to treat with discretion any information concerning a student's political, religious, or social opinions and beliefs as revealed in classroom exchange or discussion, in course essays, conferences or in other contexts of the educational process. This policy is in no way intended to discourage Faculty members from making professional judgments of students' academic capacities or performance in response to reasonable requests, but to safeguard the individual's right to privacy and to protect the student-teacher relationship. Faculty members are invited to cite this document as a statement of official University policy in response to requests for information that appear to infringe upon the principles of academic freedom and individual privacy.

G. MISCONDUCT IN RESEARCH

The University is committed to high scholarly standards in the substance of research and to high ethical standards in the conduct of research. Safeguards on both fronts are embodied in the best traditions of disinterested scholarly inquiry, including skepticism, independent cross checks, and a sense of personal responsibility. These traditions presuppose that one's colleagues are honorable, even if occasionally mistaken: room has to be left open for intellectual risk-taking and honest error. However, any serious indication of research misconduct calls for systematic institutional response. Members of the Princeton community have a duty to foster a climate that encourages ethical conduct of scholarly research. They also have a responsibility to report if ever they encounter serious indications of misconduct in research.

Misconduct in research, as understood here, includes fabrication or falsification of data, plagiarism, interference with the integrity of the work of others, or misappropriation of the ideas of others in the proposing, conducting and reporting of research. The procedures adopted for dealing with possible incidents of misconduct must be sensitive to the personal reputations and careers of the person bringing the allegation of misconduct, of the person against whom the allegation is directed, and of others caught up in the events. Confidentiality in the proceedings has to be respected throughout, to the maximum extent possible. Procedures must be expeditious and fair. It is important that a written record be kept covering all phases of the proceedings. These records will be kept for at least three years. Members of the inquiry and investigative committees must be selected with a care for their impartiality and personal distance from the principals. Princeton University will comply with reporting requirements of any relevant federal regulations.

1. The responsibility for pursuing allegations of misconduct in research rests with the Dean of the Faculty. If a graduate student is involved as one of the principals, the Dean of the Faculty will consult throughout with the Dean of the Graduate School. Misconduct in research, as understood here, includes: fabrication or falsification of data, plagiarism, interference with the integrity of the work of others, or misappropriation of ideas of others.

2. An inquiry is initiated upon submission to the Dean of a written statement which lays out the allegations and evidence. The person raising the allegations (the "claimant") is expected to be available early on for a personal discussion with the Dean. The aim in this is not to assess the accuracy of the allegations, except insofar as they may be patently mischievous or malicious, but to clarify the issues and determine whether the case falls properly under the heading of misconduct in research. If it does, the Dean will soon thereafter form a small ad hoc committee to carry out a preliminary inquiry. The committee will be expected to report to the Dean in writing within a month.

3. At the outset of the preliminary inquiry, the person against whom the allegations are raised (the "respondent") must be provided by the Dean with a written statement laying out in full the charges, evidence, membership of the inquiry panel, and identity of the claimant. At the conclusion of the preliminary inquiry, the respondent will be provided a copy of the inquiry report. Any comments made will become a part of the record and will be considered in deciding whether to proceed to a formal investigation.

4. If the committee believes that its findings warrant a formal investigation, the Dean will form an appropriate investigative panel and inform the respondent as to its membership within 30 days. The panel must include two members of the standing University Research Board, one of whom will normally serve as Chair of the panel. It may include members from outside the University community. If government-sponsored research is involved, the University will inform the appropriate agencies in as confidential manner as possible.

5. Unless there are extenuating circumstances requiring a longer process, the investigating committee will be expected to come to a conclusion and report its findings to the Dean, in writing, in no more than three months. The reports of the investigating committee will be made available to the respondent. Any comments on the report by the respondent will be considered by the dean before the final decision is made. If the allegations of misconduct are not sustained, the case must be dropped, and nothing of it may appear in the personnel record of the respondent or claimant.

6. If the respondent acknowledges misconduct, or if the Dean accepts a finding of misconduct by the investigating committee, the conclusions and disciplinary recommendations of the Dean will be forwarded to the President for decisions and implementation, subject to standard University grievance protections. If misconduct has occurred, the University must make every reasonable effort to reach and inform journal editors, research collaborators and other parties affected by the misconduct and, in the case of sponsored research, the sponsoring organizations.

H. CAMPUS DISRUPTIONS

Free speech and peaceable assembly are basic requirements of the University as a center for free inquiry and the search for knowledge and insight. These rights involve a concurrent obligation on the part of all members of the University to maintain on the campus an atmosphere conducive to scholarly pursuits and to respect the rights of all individuals.

Demonstrations and the distribution of leaflets, statements, or petitions therefore are permitted on the campus unless, or until, they disrupt regular and essential operations of the University or significantly infringe the rights of others. On the same grounds, the campus is open to speakers whom students or Faculty wish to hear and to recruiters for agencies and organizations in whom student or Faculty have an interest.

It is a violation of these policies for a member of the Faculty, staff, or student body to prevent the orderly conduct of a University function or activity, such as lectures, meetings, interviews, ceremonies, and public events; or block the legitimate activities of any person on the campus or in any University building or facility. Activities which exceed these guidelines, if persisted in after due warning, will subject the participants to disciplinary and, if need be, legal action.

The University cannot be content merely to tolerate inquiry and discussion; it has an obligation to ensure and protect them.

I. CONFLICTS OF INTEREST IN RESEARCH

1. Research activity in the University is dedicated to the advancement, preservation and dissemination of knowledge; instruction of undergraduate, graduate and postdoctoral students; advancement of the public interest and public welfare. Research dedicated to these ends may incidentally generate financial benefits to individual investigators and to the University, for example, through patents and licensing. This is to be welcomed. However, the prospect of such gain cannot be allowed to govern the selection and conduct of research projects. Choices concerning the nature and orientation of research must be based on University values, which include intellectual importance, educational merit and public benefit. It is thoroughly consistent with these values, indeed it is both necessary and desirable, for the University to seek outside support from government, industry, foundation and private sponsors. Sponsored projects should reflect a coincidence of research interests on the part of sponsors and University.

2. Outside professional, financial and entrepreneurial activities of individual faculty and staff can contribute to University goals and provide valuable public and personal benefits as well. Primary commitment must however be devoted to the University. External interests and activities have to be ordered so as to minimize any risk of conflict with University objectives and values. It is not possible to lay down a precise and comprehensive set of rules on conflict of interest, even when the focus is narrowed to the research side of University life. A representative set of markers is nevertheless provided below. A Review Panel on Conflict of Interest in Research is established to monitor and deal with issues of conflict. Faculty and staff are counted on, in the first instance, to monitor their own activities. Whenever they perceive that the question of conflict might arise, they are expected to disclose the relevant facts to the Panel as a basis for guidance, possible adjustments and expeditious resolution. These matters are described below.

3. Student participation in research is a central educational goal of the University. The selection and involvement of students must therefore at all times be governed primarily by consideration of the students' own educational goals as well as the legitimate needs and objectives of the research project. Faculty and staff must at all times scrupulously avoid providing research guidance and facilities to students with the dominant aim of serving their own objectives, financial or other.

4. Open communication of research findings is an important University value. Outside sponsorship or other associations should not be a basis for inhibiting the publication or sharing of information. In the case of sponsored research, University researchers must retain full rights concerning the timing and content of publications, apart from those safeguards established by the University to protect privacy, proprietary information and patentable inventions.

5. Research data and materials owned by or in the custody of the University, if they are to be made available externally, must be made generally available. In no case can the transfer of data or materials be made for reasons of personal gain, except in accordance with University policy on patents and copyright.

6. The University does not accept research sponsorship predicated on the finding of predetermined research results.

7. Except in the most incidental of ways, members of the University community should not use University research or administrative facilities to pursue personal business or commercial consulting activities.

8. Research within the University may not be undertaken or oriented with the purpose of serving the interests of outside persons or organizations unless there is University approval and, typically, appropriate financial support from the same persons or organizations.

9. Members of the University who enter into external consulting or other agreements must take care that these are not in conflict with the provisions of Princeton's patent policy, its obligations under any sponsored grant or contract, or any other policies of the University.

10. The risk of conflict of interest, or serious appearance of conflict, can arise when a University investigator (or immediate relative or household member) has significant financial interests in an external enterprise engaged in activities closely related to the investigator's line of University research. Counted as "significant" are paid consultantships, paid service on an advisory board, substantial equity holdings in or royalty income from the enterprise, etc. By no means does the existence of such interests necessarily imply conflict. Nevertheless, where there are such interests, the investigator is obligated to provide full and current disclosure to the Review Panel. In exercising their judgment, members of the University are urged to tilt toward disclosure rather than nondisclosure in cases where they are unsure whether or not their outside financial interests rise to the level of "significant."

11. Federal agencies and other sponsors have a legitimate interest in knowing of any significant financial interests that investigators may have in areas closely related to that of the product being sponsored; a legitimate interest also in the identity of other organization, if any, that may be involved in sponsorship of the project. The University requires compliance with reasonable requests for such information.

12. A Review Panel on Conflict of Interest in Research is established as a subcommittee of the University Research Board (URB). The Panel is charged with receiving and analyzing disclosure material; proposing to the investigator suitable adjustments in project arrangements when these are deemed necessary to remove or circumvent conflict of interest; and developing policy recommendations on conflict for consideration by the URB or other appropriate University bodies. The Panel consists of six members: the Chairman of the URB and the Dean of the Faculty, ex officio; three other tenured members of the Faculty, one from Division I or 2, the others from Divisions 3 and/or 4, all three appointed by the President for staggered, renewable, three year terms; the Associate Provost for Research and Projects Administration, ex officio, as secretary.

13. Every University researcher is obligated to make appropriate disclosure when, in the investigator's judgment and in the spirit of the Guidelines and general University standards, there is a risk of conflict of interest or serious appearance of conflict. What is called for in such cases is full and current disclosure of all interests that bear on the particular instance of conflict. Wider disclosure of personal interests beyond that is not sought.

14. Where external sponsorship of research is involved, there can be extra sensitivities concerning the potential for conflict of interest and, especially in the case of government sponsorship, conformity with agency regulations. For these reasons, the Review Panel periodically takes the initiative in actively soliciting disclosure statements from investigators involved in sponsored research. There is provision on the disclosure form for a simple check mark to affirm, if that is the case, that no potential for conflict is perceived by the investigator.


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