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BFA Home >> Policies >> PROFESSIONAL RIGHTS AND DUTIES OF FACULTY MEMBERS & ROLES AND PROFESSIONAL DUTIES OF DEPARTMENT CHAIRS >> PART V. - APPENDICES

The Boulder Campus Division of Academic Affairs adopted this document as official policy on January 16, 2013.

Professional Rights and Duties of Faculty Members and Professional Duties of Department Chairs

CONTENTS

PREAMBLE

OVERVIEW

PART I. PROFESSIONAL RIGHTS OF FACULTY MEMBERS

PART II. PROFESSIONAL RESPONSIBILITIES, ETHICAL PRINCIPLES, AND FACULTY CONDUCT

  • A. Teaching and Students
  • B. Scholarly Research and Creative Work
  • C. Academic Citizenship
  • D. Differential Teaching, Research, and Service Loads
  • E. Conflicts of Interest Policies
  • F. Policies on Research Involving Human Subjects or Animals
  • G. Fiscal Integrity Policies
  • H. Drug Use Policies
  • I. One-Sixth Rule
  • J. Misconduct in Research and Authorship
  • K. Disruptive Conduct, Injury to Person or Damage of Property, and Impeding Freedom of Movement at the University

PART III. ROLES AND PROFESSIONAL DUTIES OF DEPARTMENT CHAIRS

  • A. General Statement Regarding Departments and Department Chairs
  • B. Specific Statements Regarding Department Chairs (from Laws of the Regents)
  • C. Additional Professional and Ethical Obligations of Department Chairs, Not Expressly Set Forth Elsewhere.

PART IV. REVIEW OF FACULTY CONDUCT AND SANCTIONS FOR UNPROFESSIONAL CONDUCT BY A FACULTY MEMBER

  • A. General Principles
  • B. Definitions
  • C. Procedures for Determining Unprofessional Conduct and Sanctions
  • D. Sanctions for Unprofessional Conduct
  • E. Reporting and Records
  • F. Review by Committee on Privilege and Tenure for Dismissal for Cause

PART V. APPENDICES

  • Appendix A. Principles of Academic Freedom (From Laws of the Regents, Article 5, Part D)
  • Appendix B. Faculty Powers (From Sections 4.A.5 and 5.E.5 of the Laws of the Regents, 1990, as revised November 3, 2005)
  • Appendix C. Additional Policy Statements

Appendix A

PRINCIPLES OF ACADEMIC FREEDOM

(from Laws of the Regents, Article 5, as amended October 10, 2002)

5.D.1 Intent and Definition

(A) The University of Colorado was created and is maintained to afford men and women a liberal education in the several branches of literature, arts, sciences, and the professions. These aims can be achieved only in that atmosphere of free inquiry and discussion, which has become a tradition of universities and is called “academic freedom.”

(B) For this purpose, “academic freedom” is defined as the freedom to inquire, discover, publish and teach truth as the faculty member sees it, subject to no control or authority save the control and authority of the rational methods by which truth is established.

(C) Within the bounds of this definition, academic freedom requires that members of the faculty must have complete freedom to study, to learn, to do research, and to communicate the results of these pursuits to others. The students likewise must have freedom of study and discussion. The fullest exposure to conflicting opinions is the best insurance against error.

(D) Academic freedom does not give either faculty or students the right to disregard the standards of conduct outlined in part B of article 7 of these Laws.

(E) All members of the academic community have a responsibility to protect the university as a forum for the free expression of ideas.

5.D.2 Faculty Responsibility

(A) Faculty members have the responsibility to maintain competence, exert themselves to the limit of their intellectual capacities in scholarship, research, writing, and speaking; and to act on and off the campus with integrity and in accordance with the highest standards of their profession. While they fulfill this responsibility, their efforts should not be subjected to direct or indirect pressures or interference from within the university, and the university will resist to the utmost such pressures or interference when exerted from without.

(B) Faculty members can meet their responsibilities only when they have confidence that their work will be judged on its merits alone. For this reason the appointment, reappointment, promotion, and tenure of faculty members should be based primarily on the individual's ability in teaching, research/creative work, and service and should not be influenced by such extrinsic considerations as political, social, or religious views, or views concerning departmental or university operation or administration. A disciplinary action against a faculty member, including dismissal for cause of faculty, should not be influenced by such extrinsic consideration.

(C) The faculty member is entitled to freedom in the classroom in discussing the subject, but should be careful not to introduce into teaching controversial matter that has no relation to the subject.

(D) Faculty members are citizens, members of learned professions, and members of the academic leadership of an educational institution. When speaking or writing as citizens, they should be free from university censorship or discipline, but their special position in the community imposes special obligations. As faculty members however, they should remember that the public may judge their profession and institution by their utterances. Hence faculty members should be accurate at all times, should exercise appropriate restraint and show respect for the opinions of others, and when speaking or writing as private citizens should make every effort to indicate that they are not speaking for the institution.

Within the limits of academic discipline, students have an equivalent responsibility for study and learning. They should be judged on the merits of their performance without reference to their political, social, or religious views.

Appendix B

Faculty Powers

(From Sections 4.A.5 and 5.E.5 of the Laws of the Regents, as revised November 3, 2005)

(A) A College or school faculty shall collaborate with the dean in the governance of the college or school as to all matters that concern only the college or school in question.

(B) A College or school faculty shall have jurisdiction over all matters under section 5.E.5 of these Laws that concern the college or school in question. Through shared governance of the University with the administration and the Board of Regents, college or school faculty will implement statutory and CCHE requirements for new academic degree program proposals, academic program review, and program discontinuance.

Principles of Participation

It is a guiding principle of the shared governance recognized by the Board of Regents that the faculty and the administration shall collaborate in major decisions affecting the academic welfare of the university. The nature of that collaboration, shared as appropriate with students and staff, varies according to the nature of the decisions in question.

The faculty takes the lead in decisions concerning selection of faculty, educational policy related to teaching, curriculum, research, academic ethics, and other academic matters. The administration takes the lead in matters of internal operations and external relations of the university. In every case, the faculty and the administration participate in the governance and operation of the university as provided by and in accordance with the laws and policies of the Board of Regents, and the laws and regulations of the state of Colorado. The chair or other designated representative of the Faculty Council shall be the spokesperson for the faculty when addressing the Board of Regents on matters of importance to shared governance.

(A) The faculty shall have the principal role for originating academic policy and standards, including initial authorization and direction of all courses, curricula, and degrees offered, admissions criteria, regulation of student academic conduct and activities, and determination of candidates for degrees.

(B) The faculty shall have the principal role for originating scholastic policy, including scholastic standards for admission, grading (consistent with the Uniform Grading System of the University), continuation, graduation, and honors. As required by the Laws of the Regents, the deans of the colleges and schools shall have responsibility for enforcement of admissions standards and requirements.

(C) In the selection and evaluation of faculty, the faculty shall have the principal role, subject to the concurrence of the administration and the ultimate authority of the Board of Regents or its designee(s).

(D) In establishing policies and procedures for faculty appointment, reappointment, promotion, tenure and post-tenure review, and establishing policies and procedures for the appeal of decisions in these areas, the faculty shall collaborate with the campus and system administrations in the development of recommendations to the president for submission to the Board of Regents.

(E) In the selection and evaluation of department chairs and academic administrators, the faculty shall collaborate with the campus and system administrations in the development of recommendations for submission to the Board of Regents or its designee(s).

(F) In establishing and reviewing budget policies and plans for resource allocation, the faculty shall collaborate with the campus or system administration in the development of recommendations to the chancellor or the president, as appropriate, for submission to the Board of Regents. This includes review for new academic degree program proposals, academic program review, and program discontinuance.

(G) In the preparation of budgets, the administration shall have the principal role, with early collaboration with the appropriate faculty governance unit(s), subject to the ultimate authority of the Board of Regents or its designee(s).

(H) In the making of other policy concerning the general academic welfare of the university, the faculty shall collaborate with the administration in developing recommendations to the president for submission to the Board of Regents.

(I) Administrative policy changes with respect to matters listed in the Faculty Senate Constitution, Article I.B that affect faculty shall be promulgated only after consultation with appropriate faculty governance bodies.

(J) In the Faculty Senate Constitution, Articles II-IV, which defines the structure and functions of faculty governance at different university levels, other aspects of faculty participation are specified.

Appendix C: Additional Policy Statements

1. Statement on Faculty Absences, Adopted by the Boulder Faculty Assembly, April 1980

It is expected that faculty members will not be absent from classes except in cases of illness, personal emergency, religious observance or when the absence is desirable for the faculty member to meet his or her professional responsibilities.

It is expected that arrangements will be made for covering instructional and other activities during the period of absence.

Departmental chairpersons are expected to take whatever measures are necessary to safeguard against inappropriate absence from classroom responsibilities.

For additional information, consult the “Boulder Campus Policy on Absences from Campus,” Approved December 2008)

2. Policy Statements on Nondiscrimination and Diversity

a. General Statement on Nondiscrimination and Diversity

The University of Colorado does not discriminate on the basis of race, color, national origin, sex, age, disability, creed, religion, sexual orientation, or veteran status in admission and access to, and treatment and employment in, its educational programs and activities. The University takes action to increase ethnic, cultural, and gender diversity, to employ qualified disabled individuals, and to provide equal opportunity to all students and employees.

Qualification for the position and institutional need shall be the sole bases for hiring employees, and the criteria for retaining employees shall be related to performance evaluation, assessment of institutional need, fiscal constraints, and/or, in the case of exempt professionals, the rational exercise of administrative prerogative.

All students shall have the same fundamental rights to equal respect, due process, and judgment of them based solely on factors demonstrably related to performance and expectations as students. All students share equally the obligations to perform their duties and exercise judgments of others in accordance with the basic standards of fairness, equity, and inquiry that should always guide education.

b. Boulder Chancellor's Policy on Diversity, 1994

REAFFIRMATION OF POLICY

In its pursuit of excellence, the University of Colorado at Boulder (UCB) recognizes the importance of its commitment to diversity. UCB reaffirms this commitment to both the concept and process of affirmative action. Central to the educational purpose of this institution is a need to reflect the diversity of our society including faculty, students, and staff. We must continue to make major advances in this area.
We must be more active in our responses to the concepts, methodologies and characteristics of affirmative action. UCB will continue to take explicit affirmative action to employ, retain, and advance in employment qualified members of all protected groups. UCB provides equal opportunity for all employees and applicants for employment regardless of race, color, creed, religion, national origin, veteran status, age, or sex, except where sex or age is a bona fide occupational qualification. Discrimination on the basis of disability in employment at UCB is prohibited.

UCB provides equal opportunity for all students and applicants for admission, regardless of race, color, creed, religion, national origin, veteran status, age, or sex. Discrimination on the basis of disability in education programs and activities at UCB is prohibited. UCB will implement programs to overcome the effects of past discrimination.

UCB remains firm in its commitment to diversity and practice of affirmative action. We must retain this principle as well as develop and support specific goals and objectives. Not until UCB reflects the full range of the rich diversity found in this country's society, will our educational goals be met.

c. Boulder Chancellor's Statement on the Mission and Role of the Boulder Campus with Respect to Gay,

Lesbian and Bisexual Issues, 1994

On several occasions since my arrival in Boulder I have stated that my vision of this campus is one which is "second to none and open to all." By open to all I mean that CU-Boulder is open to all Colorado citizens who are academically qualified to benefit from the fine education offered here. Open to all has an additional meaning. CU-Boulder is committed to making the Boulder campus a community in which diversity, including sexual orientation, is an accepted value. In this regard CU-Boulder goes beyond the mandate of federal statute. It is the commitment of this campus to support all members of our community as they work to fulfill their educational ambitions.

3. Sexual Harassment Policy and Procedures (from Administrative Policy Statement, July 1, 2009)

I. INTRODUCTION

Regent Policy 2-J, adopted on June 23, 2003, established that consistent with the Laws of the Regents, Article 10, Non-Discrimination, the University will not tolerate acts of sexual harassment or related retaliation against or by any employee or student in its educational programs and activities. This administrative policy statement implements Regent Policy 2-J, Sexual Harassment Policy.

II. POLICY STATEMENT

The University of Colorado is committed to maintaining a positive learning, working and living environment. The University does not discriminate on the basis of race, color, national origin, sex, age, disability, creed, religion, sexual orientation, or veteran status in admission and access to, and treatment and employment in, its educational programs and activities. (Regent Law, Article 10). In pursuit of these goals, the University will not tolerate acts of sexual harassment or related retaliation against or by any employee or student.
This policy (1) provides a general definition of sexual harassment and related retaliation; (2) prohibits sexual harassment and related retaliation; and (3) sets out procedures to follow when a member of the University community believes a violation of the policy has occurred. It also is a violation of this policy for anyone acting knowingly and recklessly either to make a false complaint of sexual harassment or to provide false information regarding a complaint.

Robust discussion and debate are fundamental to the life of the University. Consequently, this policy shall be interpreted in a manner that is consistent with academic freedom as defined in Regent Law, Article 5 D, last amended 10/10/02.

It is intended that individuals who violate this policy be disciplined or subjected to corrective action, up to and including termination or expulsion.

III. DEFINITIONS

Appointing authority - an appointing authority is the individual with the authority or delegated authority to make ultimate personnel decisions concerning a particular employee.

Disciplinary authority - a disciplinary authority is the individual who has the authority or delegated authority to impose discipline upon a particular employee.

Supervisor - A supervisor is anyone who has the authority to hire, promote, discipline, evaluate, grade or direct faculty, staff, or students.

Complainant - a complainant is a person who is subject to alleged sexual harassment.

Respondent - a respondent is a person whose alleged conduct is the subject of a complaint.

Sexual harassment - Sexual harassment consists of interaction between individuals of the same or opposite sex that is characterized by unwelcome sexual advances, requests for sexual favors, and other verbal or physical conduct of a sexual nature when: (1) submission to such conduct is made either explicitly or implicitly a term or condition of an individual's employment, living conditions and/or educational evaluation; (2) submission to or rejection of such conduct by an individual is used as the basis for tangible employment or educational decisions affecting such individual; or (3) such conduct has the purpose or effect of unreasonably interfering with an individual's work or academic performance or creating an intimidating, hostile, or offensive working or educational environment.

Hostile environment sexual harassment: (described in subpart (3) above) is unwelcome sexual conduct that is sufficiently severe or pervasive that it alters the conditions of education or employment and creates an environment that a reasonable person would find intimidating, hostile or offensive. The determination of whether an environment is "hostile" must be based on all of the circumstances. These circumstances could include the frequency of the conduct, its severity, and whether it is threatening or humiliating.

Examples which may be policy violations include the following: an instructor suggests that a higher grade might be given to a student if the student submits to sexual advances; a supervisor implicitly or explicitly threatens termination if a subordinate refuses the supervisor's sexual advances; and a student repeatedly follows an instructor around campus and sends sexually explicit messages to the instructor's voicemail or email.

Retaliatory Acts: It is a violation of this policy to engage in retaliatory acts against any employee or student who reports an incident of alleged sexual harassment, or any employee or student who testifies, assists or participates in a proceeding, investigation or hearing relating to such allegation of sexual harassment.

Students and employees who believe they have been retaliated against because of testifying, assisting or participating in a proceeding, investigation, or hearing relating to an allegation of sexual harassment, should meet with and seek the advice of their campus sexual harassment officer, whose responsibilities include handling retaliation.

IV. POLICIES AND PROCEDURES

A. Obligation to Report

In order to take appropriate corrective action, the University must be aware of sexual harassment or related retaliation. Therefore, anyone who believes that s/he has experienced or witnessed sexual harassment or related retaliation should promptly report such behavior to a campus sexual harassment officer (see campus Appendix discussed below) or any supervisor (see section B below).

B. Supervisor's Obligation to Report

Any supervisor who experiences, witnesses or receives a written or oral report or complaint of sexual harassment or related retaliation shall promptly report it to a campus sexual harassment officer. This section of the policy does not obligate a supervisor who is required by the supervisor's profession and University responsibilities to keep certain communications confidential (e.g., a professional counselor or ombudsperson) to report confidential communications received while performing those University responsibilities. Each campus shall have an appendix to this policy designating the supervisory positions that qualify under this exception.

C. Investigation Process

1. Reports or complaints under this policy shall be addressed and resolved as promptly as practicable after the complaint or report is made. Ordinarily, investigations shall be concluded and reports submitted to the reviewing committee no later than 90 days following the receipt of a complaint. Ordinarily, the final report shall be sent to the Chancellor or President no later than 30 days after the committee's receipt of the draft report of the investigation.

It is the responsibility of the sexual harassment officer(s) to determine the most appropriate means for addressing the report or complaint. Options include: 1) investigating the report or complaint in accordance with paragraph C.3. below; 2) with the agreement of the parties, attempting to resolve the report or complaint through a form of alternative dispute resolution (e.g., mediation); or 3) determining that the facts of the complaint or report, even if true, would not constitute a violation of this policy.

The campus sexual harassment officer(s) may designate another individual (either from within the University, including an administrator, or from outside the University) to conduct or assist with the investigation or to manage an alternative dispute resolution process. Outside investigators shall have training, qualifications and experience as will, in the judgment of the sexual harassment officer, facilitate the investigation. Anyone designated to address an allegation must adhere to the requirements of this policy and confer with the sexual harassment officer(s) about his or her progress. (See campus appendix for a list of resources for further assistance or additional information.)

2. All reports or complaints shall be made as promptly as feasible after the occurrence. (A delay in reporting may be reasonable under some circumstances, as determined on a case-by-case basis. An unreasonable delay in reporting, however, is an appropriate consideration in evaluating the merits of a complaint or report.)

3. If an investigation is conducted: The complainant and the respondent shall have the right to:

a. Receive written notice of the report or complaint, including a statement of the allegations, as soon after the commencement of the investigation as is practicable and to the extent permitted by law;
b. Present relevant information to the investigator(s); and
c. Receive, at the conclusion of the investigation and appropriate review, a copy of the investigator's report, to the extent permitted by law.

4. The Chancellor, the respondent's appointing authority and the respondent's supervisor shall be notified that an investigation is taking place. The sexual harassment officer shall advise the respondent's supervisor whether the respondent should be relieved of any supervisory or evaluative authority during the investigation and review. If the respondent's supervisor declines to follow the recommendation of the sexual harassment officer, s/he shall send a letter explaining the decision to the Chancellor with a copy to the sexual harassment officer.

5. At the conclusion of an investigation, the investigator shall prepare a written report which shall include a statement of factual findings and a determination of whether this policy has been violated. The report shall be presented for review to the standing review committee designated by the Chancellor, or, in the case of System Administration, the President.

6. The standing review committee may consult with the investigator, consult with the parties, request that further investigation be done by the same or another investigator, or request that the investigation be conducted again by another investigator. The standing review committee may adopt the investigator's report as its own or may prepare a separate report based on the findings of the investigation. The standing review committee may not, however, conduct its own investigation or hearing. Once the standing review committee has completed its review, the report(s) shall be sent to the campus sexual harassment officer(s), the complainant and the respondent, to the extent permitted by law. The report also shall be sent to the Chancellor, or, in the case of System Administration1, to the President. If a Chancellor is the respondent or complainant, the report shall be sent to the President. If the President or the Secretary of the Board of Regents is the respondent or complainant, the report shall be sent to the Board of Regents.

D. Reporting Process

1a. If a policy violation is found, the report(s) shall be sent to the disciplinary authority for the individual found to have violated the policy, and the disciplinary authority must initiate a disciplinary process against that individual. The disciplinary authority shall have access to the records of the investigation. If disciplinary action is not taken, the appointing authority and the Chancellor, or in the case of System Administration, the President shall be notified accordingly.

1b. Following a finding of violation of the policy, the disciplinary authority shall forward to the sexual harassment officer and to the Chancellor, or in the case of System Administration, the President, a statement of the action taken against an individual for violation of this policy.

1c. If a policy violation is not found, the appointing authority and the Chancellor, or in the case of System Administration, the President, shall be notified accordingly.

2. The sexual harassment officer shall advise the complainant and respondent of the resolution of any investigation conducted under this policy.

3. A copy of the investigator's written report as approved by the standing review committee, shall be provided to:

1) the complainant; 2) the respondent; and 3) the respondent's appointing authority.

4. In all cases, the sexual harassment officer shall retain the investigator's report, as approved by the standing review committee, for a minimum of three (3) years or for as long as any administrative or legal action arising out of the complaint is pending.

5. All records of sexual harassment reports and investigations shall be considered confidential and shall not be disclosed publicly except to the extent required by law.

6. Complaints Involving Two or More Campuses: When an alleged policy violation involves more than one campus, the complaint shall be handled by the campus with disciplinary authority over the respondent. The campus responsible for the investigation may request the involvement or cooperation of any other affected campus and should advise appropriate officials of the affected campus of the progress and results of the investigation.

7. Complaints By and Against University Employees and Students Arising in an Affiliated Entity: University employees and students sometimes work or study at the worksite or program of another organization affiliated with the University. When a policy violation is alleged by or against University employees or students in those circumstances, the complaint shall be handled as provided in the affiliation agreement between the University and the other entity. In the absence of an affiliation agreement or a provision addressing this issue, the University may, in its discretion, choose to 1) conduct its own investigation, 2) conduct a joint investigation with the affiliated entity, 3) defer to the findings of an investigation by the affiliated entity where the University has reviewed the investigation process and is satisfied that it was fairly conducted, or 4) use the investigation and findings of the affiliated entity as a basis for further investigation.

E. No Limitations on Existing Authority

No provision of this policy shall be construed as a limitation on the authority of a disciplinary authority under applicable policies and procedures to initiate disciplinary action. If an individual is disciplined for conduct that also violates this policy, the conduct and the discipline imposed shall be reported to a campus sexual harassment officer. If an investigation is conducted under this policy and no policy violation is found, that fact does not prevent discipline of the respondent for inappropriate or unprofessional conduct under other applicable policies and procedures.

4. Policy Statements on Additional Remuneration for Consultative Services (from Laws of the Regents, Article 5-E, as revised November 3, 2005)

Faculty consultation work is a desirable and legitimate function, serving to keep faculty abreast of their professions, and should be encouraged. Such work must not interfere with the educational processes of the University. (See Regent Policy 3.B and 3.D.) With prior written approval by the dean or appropriate campus authority, faculty members shall be permitted to receive additional remuneration from sources outside the university so long as the activities generating the income do not exceed one-sixth of their time and effort. Outside work during leaves of absence shall be of concern only to the individual and the entity by which he/she is employed.

Normally, university facilities shall not be used for faculty members’ outside work. However, faculty members may make contractual arrangements to rent university facilities at fair-market rates using campus-approved procedures. Faculty members shall not use university resources to advertise their availability for private consultation practice.

Separate policies may apply to faculty members in Chancellor-approved practice plans.

One-Sixth Rule activities shall not involve large amounts of consecutive time, but shall be limited to reasonably short periods of consultation.

5. Statement on Administrators' Demands for Apologies by Faculty Members (Adopted by the Boulder Faculty Assembly, September 3, 1992)

Because of the threat to academic freedom, an administrator ought not to be in the position to demand an apology from a faculty member. If upon extraordinary circumstances an apology is deemed to be necessary, this matter should be submitted to an appropriate conflict resolution unit of the faculty, such as the Committee on Privilege and Tenure.

 

 
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