PART II

PROFESSIONAL RESPONSIBILITIES,
ETHICAL PRINCIPLES, AND FACULTY CONDUCT


This listing of the responsibilities of faculty members, and of ethical principles and of examples of both expected and unacceptable conduct, is organized around the individual faculty member's participation in teaching, in scholarly and creative work, and in University citizenship. Faculty members affected by the responsibilities and ethical principles herein consist of all members of the University Faculty Senate as defined in the CU Faculty Senate Constitution.  This document is informed by, and is to be interpreted consistently with, the Regents' Statement of Principles of Academic Freedom, contained in the Laws of the Regents, 2002, Article 5, Part D, which appears as Appendix A to this document. Procedures for review of faculty conduct that is alleged to be unprofessional, and sanctions for unprofessional conduct, are provided for in Part IV.



A. Teaching and Students

Ethical Principles. As a teacher the faculty member: encourages the free pursuit of learning; upholds the best scholarly and ethical standards of the discipline; demonstrates respect for the student as an individual, and adheres to a proper role as intellectual guide and counselor; makes every reasonable effort, through the faculty member's own example and otherwise, to foster honest academic conduct and to assure that evaluation of students reflects their true merit; respects the confidential nature of the relationship between faculty member and student; avoids any harassment or discriminatory treatment of students; avoids any exploitation of students for private advantage and acknowledges significant academic or scholarly assistance from them; and protects the academic freedom of students. (Modeled on 1966 AAUP Statement on Professional Ethics, as revised in 1987.)

  1. Expected Conduct

The faculty member is expected to:

 

a. treat students with understanding, dignity and respect, maintain professional classroom decorum, and create a climate of civility in the class;

b. evaluate students fairly and equitably, in a manner appropriate to the course and its objectives, and in any evaluation of a student's complete performance when providing a professional reference;

c. make students aware of campus policies on acceptable use of computers and copyrighted materials.  

d. make clear to students in writing or on the web the faculty member's expectations in coursework and on not receiving or giving unauthorized aid in examinations and other graded assignments;

e. keep abreast of developments in the subject matter being taught;

f. prepare adequately for classes and challenge students to perform at their highest level;

g. meet classes as scheduled (see Boulder Faculty Assembly Ruling, 1980, referred to in Appendix C, Section 1);

h. keep posted office hours;

i. subject to campus policies, establish course requirements and policies, grading standards, and other administrative procedures for classes;

j. comply with academic unit policy concerning absences during the regular Academic Year. (The regular Academic Year is the continuous period of time starting when faculty report for duty at the start of the Fall semester and ending with the Spring Commencement.);

k. cooperate regularly in University-mandated student evaluations of teaching, and participate in peer evaluation of teaching in accordance with academic unit policy;

l. adhere to campus wide administrative procedures and policies on such matters as final examinations, incompletes, withdrawals, and drop/adds;

m. make all reasonable efforts to prevent the occurrence of academic dishonesty through the appropriate design and administration of assignments and examinations, and through the careful safeguarding of course materials and examinations; and when instances of academic dishonesty are suspected, see that appropriate action is taken in accordance with established University policies and procedures; and

n. consider in conscience whether the faculty member is able to be professionally objective in serving in a position in which the faculty member has institutional authority over a student with whom the faculty member has formed a very close personal relationship, as when such a student is enrolled in the faculty member's class or when such a student is in a continuing position to require evaluation of work or letters of recommendation from the faculty member (with respect to the special concerns relating to sexual harassment, including certain reporting requirements for faculty), see University of Colorado at Boulder Sexual Harassment Policy and Procedures, 1995, referred to in Appendix C, Section 3.b); and

o. comply with University policies on conflict of interest and nepotism in employment matters concerning any student to whom the faculty member is related (see University of Colorado Administrative Policy Statement on Procedures for Implementing Regent Policies on Conflict of Interest and Nepotism, 1979, IV-49).

The faculty member's dean or department chairperson may approve occasional exceptions to e and h. (see Boulder Faculty Assembly Ruling, 1980, referred to in Appendix C, Section 1.)

  1. Unacceptable Conduct

Examples of unacceptable faculty conduct are:

a. discrimination against a student on political grounds, or for reasons of race, religion, sex, ethnic origin, sexual orientation, or for other illegal, arbitrary, or personal reasons (see Policy Statements on Nondiscrimination and Diversity, referred to in Appendix C, Section 2);

            b. sexual harassment (see Policy Statements on Sexual Harassment, referred to in Appendix C, Section III);

c. intimidation of or engaging in other conduct disrespecting the human dignity of students and of the diversity of student perspectives;

d. presenting as part of a course significant amounts of material unrelated to its subject matter; failure to present diverse opinions on subject matter;

e. evaluation of student work, in a course or in a professional reference, by criteria not directly reflective of the student's performance as measured by standards applied uniformly to all students in the course (except as differentiation is required or permitted in the case of disabled students);

f. acting in a conflict of interest in the evaluation of a student; or, in other situations involving a conflict of interest, failing to disclose the conflict or (where appropriate) to remove himself or herself from the situation;

g. undue delay in evaluating and reporting the faculty member's assessment of the work of students;

h. failure to comply with University or college requirements in regard to deadlines, scheduling of examinations, reporting grades, and student evaluation.

 

B. Scholarly Research and Creative Work

Ethical Principles. Guided by a deep conviction of the worth and dignity of the advancement of knowledge, the faculty member: recognizes the special responsibility to the discipline to seek and to state truth as he or she sees it, and to this end continuously seeks to develop and improve scholarly competence; accepts the obligation to exercise critical self-discipline and judgment in using, transmitting and extending knowledge; practices intellectual honesty; and, in pursuit of subsidiary interests, never allows these interests to seriously hamper or compromise freedom of inquiry. (Modeled on 1966 AAUP Statement on Professional Ethics, as revised 1987.)

  1. Expected Conduct

a. The faculty member is expected to maintain competence and keep abreast of developments in his or her chosen field of scholarship or creative work. Faculty members are expected to maintain professional contact with scholars and/or practitioners outside the University, in a measure appropriate to the discipline. Scholarly research and creative work may take many forms. Usually the results of a faculty member's research should be published as books or as articles in the refereed literature. Other types of scholarly and creative work for which publication is not appropriate should be presented in such a way that they can be evaluated by peers in the faculty member's academic discipline.

b. In addition to complying personally with professional and ethical standards that govern proposing, carrying out, or reporting results from research, the faculty member is also responsible for emphasizing the importance of ethical research conduct to staff and students who are under his or her supervision and for providing reasonable supervision to minimize the opportunities for research misconduct. The faculty member should work with colleagues in establishing policies regarding author names on publications, in making those policies well known to students and staff, and in conforming to those policies in his or her own publications. (See Administrative Policy Statement on Misconduct in Research and Authorship, section II.J below.)

  1. Unacceptable Conduct

Examples of unacceptable conduct are: violations of canons of intellectual honesty such as falsification or fabrication of data or the misappropriation of the writings, research or findings of others.

C. Academic Citizenship

Ethical Principles. As an academic colleague, a faculty member has professional obligations and expectations that derive from membership in the community of scholars. Prominent among these obligations and expectations is collegiality between faculty members and other academic associates. Collegiality, expected of each faculty member, includes civility, mutual respect, common courtesies, personal accountability, and willing contributions to the effective functioning of the academic unit. Among other essential professional obligations and expectations are that the faculty member: respects and defends the free inquiry of associates; shows due respect for the opinions of others in the exchange of criticism and ideas; acknowledges academic debt and strives to be objective in professional judgment of colleagues and staff members; does not discriminate against or harass colleagues or staff members; respects the privacy of colleagues and staff members; accepts the responsibility of faculty for the governance of the institution; and, when speaking or acting as a private person, the faculty member avoids creating the impression of speaking or acting for the University. (Modeled on 1966 AAUP Statement on Professional Ethics, as revised 1987.)

  1. Expected Conduct

The faculty member is expected to:

a. treat administrators, faculty, staff members, and students with understanding, dignity, respect, and sensitivity to the diversity of political, religious, and ethnic perspectives; foster an environment of mutual trust among administrators, faculty, staff and students, and help develop a sense of belonging and pride in the University community (see Chancellor's Statement of Principles for Human Resources, September 13, 1993, and further elaboration therein);

b. participate in the operation and governance of his or her academic department or division, school or college and of the University; and render service to the public;

c. take fiscal responsibility for proper management of all types of University funds and property over which he or she has control, in accord with established University policy;

d. be familiar with campus staff personnel policies if the faculty member is a supervisor of staff, and provide regular performance evaluations for the staff, as indicated in such policies;

e. follow normal channels in raising any objection to an action taken by a department chair or other person that affects the faculty member. The faculty member should first discuss the matter with the person having responsibility for that action in order to try, to seek to obtain resolution of the matter at the lowest possible level and by direct communication. If the issue is referred to a higher administrative level, all parties involved should be duly informed, and should be given copies of any written communications or other documents submitted.

  1. Unacceptable Conduct

Examples of unacceptable conduct by a faculty member are:

a. discrimination against faculty or staff members on political grounds, or for reasons of race, religion, sex, ethnic origin, or sexual orientation, or for other illegal, arbitrary, or personal reasons (see Policy Statements on Nondiscrimination and Diversity, referred to in Appendix C, Section 2);

b. making evaluations of the professional competence of faculty or staff members based on any criteria that are not directly reflective of professional performance;

c. sexual harassment of faculty or staff (see Policy Statements on Sexual Harassment, referred to in Appendix C, Section 3);

d. intimidation of or engaging in other conduct disrespecting the human dignity of colleagues or staff members;

e. breach of established rules governing confidentiality in faculty or staff personnel procedures;

f. making false or unsubstantiated personal accusations or complaint against a colleague, administrator, or staff member;

g. falsely portraying the faculty member's own or another's work (in a curriculum vitae or otherwise) in order to gain a personal advantage;

h. failure to disclose a conflict of interest involving the faculty member, or failure to remove himself or herself (where appropriate) from situations involving a conflict of interest or the appearance of impropriety;

i. use of University facilities or equipment for private gain in contravention of established University policy;

j. engaging in conduct that disrupts University functions, or that causes injury to persons or damage to property on the campus, or that impedes freedom of movement of persons to facilities of the University (see section II.I below);

k. without authorization, knowingly violating the legitimate expectation of privacy of a colleague or staff member, through accessing such person's private documents (including mail) or private computer records (including electronic mail) or through other significant violation of such person's privacy;

l. knowingly creating the impression of speaking or acting for the University when speaking or acting as a private person.

D. Differential Teaching, Research, and Service Loads

The University has adopted a policy that affirms the University's commitment to appropriate use of differentiated annual workloads for faculty members. The policy recognizes that there are legitimate differences in faculty development needs within the academic community, in interests and areas of expertise among faculty members, in conventions among academic disciplines, and in academic unit program needs. The University policy provides for the development of primary academic unit policies and mechanisms for the assignment and review of differentiated annual workloads for faculty members. (See Administrative Policy Statement on Differentiated Annual Workloads for Faculty, 1989, IV-129 et seq. for elaboration.)

E. Conflicts of Interest Policies

In accord with the general policy adopted by the Board of Regents (April 26, 1975), ". . . no member of the University community shall derive private gain from his/her association with the University except as provided by explicit policies of the University."(See Administrative Policy Statement on Conflict of Interest Policy, 1992, I-113 et seq., for elaboration. The Administrative Policy Statement also covers conflict of commitment and it refers expressly to several other separately stated conflict of interest and conflict of commitment policies, as well as to a statutory Code of Ethics applicable to state employees. See Colo. Rev. Stat. 24-18-101 et seq.)

F. Policies on Research Involving Human Subjects or Animals

  1. Human Subjects Research

The University of Colorado at Boulder complies with the Federal Policy for the Protection of Human Subjects, and all federal, state or local laws which may be related to research covered by the University's assurances given in this area. The University acknowledges and accepts its responsibilities for protecting the rights and welfare of human subjects of research covered by its assurances. In that connection, the University is guided by the ethical principles regarding research involving humans as subjects as set forth in the report of the National Commission for the Protection of Human Subjects of Biomedical and Behavioral Research entitled, Ethical Principles and Guidelines for the Protection of Human Subjects of Research (the "Belmont Report"). Except for categories exempted under government regulations, research covered by the University's assurance in this area must be reviewed and approved by the Human Resources Committee of the University. It is further University policy that unless informed consent has been specifically waived by the Human Research Committee in accordance with federal regulations, no research investigator shall involve any human being as a subject in research unless the research investigator has obtained the informed consent of the subject or the subjects legally authorized representative. Faculty members and other University personnel who are engaged in human subject research or who teach or supervise students engaged in such research are responsible for complying with the requirements of the University's policies in this area. For further information, contact the Associate Vice Chancellor for Research.

  1. Animal Subjects Research

The University of Colorado at Boulder complies with the Public Health Service Policy on Humane Care and Use of Laboratory Animals by Awardee Institutions. The University complies with all applicable provisions of the Animal Welfare Act and other federal statutes and regulations relating to animals, and the University is guided by the U.S. Government Principles for the Utilization and Care of Vertebrae Animals Used in Testing, Research and Training. All faculty members and other University personnel who are engaged in care or use of laboratory animals must understand and conform to their individual and collective responsibilities under these requirements. For further information, contact the Animal Resources Office, or the Associate Vice Chancellor for Research.

G. Fiscal Integrity Policies

  1. Laws of the Regents, 2002, Section 14.A.4

14.A.4. Employees Responsibility

Employees shall be responsible for the safekeeping and proper maintenance of University property in their charge.

[Note: The Boulder Faculty Assembly interprets the responsibility imposed for property maintenance to mean that a faculty member shall merely monitor the need for proper maintenance of University property in his or her charge, if he or she does not have the direct responsibility for performing maintenance with respect to the property.]

  1. Further Elaboration of Professional Duties Relating to Fiscal Integrity

a. Duty to act with integrity and in a fiscally responsible manner with regard to University and granting agency funds or property

Every employee of the University has the duty to deal with University and granting agency funds and other property with integrity and in a fiscally responsible manner, and to comply with any applicable University, granting agency, federal and state reporting and accounting requirements regarding such funds or other property.

b. Duty to report fiscal misconduct within the University

Any employee or student associated with the University who knows of or suspects fiscal misconduct must promptly notify either one's immediate supervisor or one of the following investigative units: the Department of Internal Audit, [the] Office of [the] University Counsel, the appropriate campus police department, and/or the appropriate campus Human Resources or Personnel department. This duty to report by an individual or supervisor is in compliance with State law and State Fiscal Rules. State employees have 'whistle blower' protection [provided by] State law when they are in compliance with the requirements set forth in statute. (See Administrative Policy Statement on Reporting Fiscal Misconduct, 1993, II-89 et seq., for further elaboration.)

H. Drug Use Policies

The Drug-Free Schools and Communities Act Amendments of 1989 requires that, as a condition of receiving funds or other form of financial assistance under any Federal program, an institution of higher education must certify that it has adopted and implemented a program to prevent the unlawful possession, use or distribution of illicit drugs and alcohol by students and employees. The University has implemented the requirements of the Act, in a policy statement on The Drug-Free Schools and Communities Act, 1990, IV-147 et seq., which among other things prescribes standards of conduct which prohibit the unlawful manufacture, distribution, dispensation, possession, or use of illicit drugs (controlled substances) and alcohol on University of Colorado property or as a part of University activities.

For the Boulder Campus policy on this subject, see Policy on Alcohol and Drugs (as transmitted to the Faculty and others by letter of Shari J. Robinson, Director, Department of Human Resources, dated July 24, 1995), which provides in part:

University of Colorado Policy on Alcohol and Drugs

I. STANDARDS OF CONDUCT

In compliance with the federal Drug Free Schools and Communities Act, the University of Colorado at Boulder prohibits the unlawful manufacture, dispensation, possession, use, or distribution of a controlled substance (illicit drugs and alcohol) of any kind and of any amount.

These prohibitions cover any individual's actions which are part of any University activities, including those occurring while on University property or in the conduct of University business away from the campus.

* * *

V. DISCIPLINARY SANCTIONS FOR CU EMPLOYEES
WHO VIOLATE DRUG AND ALCOHOL LAWS IN
VIOLATION OF THIS POLICY

It is a violation of University policy for any member of the faculty, staff, or student body to jeopardize the operation or interests of the University of Colorado through the use of alcohol or drugs. Sanctions that will be imposed by the University of Colorado for employees who are found to be in violation of this policy may include expulsion and/or termination of employment. Compliance with this policy is a condition of employment for all employees.

* * *

For further elaboration, see the Boulder Campus Policy. Note: Unlike the case for illegal drugs, the possession and use of alcohol on campus and at University sponsored off-campus activities is lawful and permitted in the instances described in the University of Colorado at Boulder Alcohol and Drug Policy, dated October 1987. See that policy for, among other things, the circumstances in which alcohol may be served, and the applicable requirements.

I. One-Sixth Rule

The University has adopted policies regarding additional remuneration for consultative services by faculty, which include allowing faculty members to devote "not more than one-sixth of their time and energy" to research, consulting, or other professional activities for which they receive additional remuneration. See Appendix C, Section 4 for restrictions and further elaboration.

J. Research Misconduct

The University has adopted a policy statement on Misconduct in Research and Authorship, 1989, I-103, et. seq., which is designed to "prevent, identify, and respond to misconduct in research and authorship." In this context, "misconduct" is defined to include:

(1) fabrication, falsification, plagiarism, or other serious deviation from accepted practices in proposing, carrying out, or reporting results from research;

(2) material failure to comply with Federal requirements for protection of researchers, human subjects, or the public or for the ensuring the welfare of laboratory animals;

(3) failure to meet other material legal requirements governing research [a footnote provides: Please see 52 Fed. Reg. 24466 (July 1, 1987)]; or

(4) failure to comply with established standards regarding author names on publications.

The definition of misconduct contained in this policy is not intended to override or contradict provisions of other regulations or policies, in particular those policies governing human research subjects and animal welfare. A finding of a substantive violation of policies in these areas will also be considered misconduct under this policy.

See the policy statement for further elaboration and for designation of procedures for review of faculty conduct alleged to be in violation of the policy.

K. University Policy Regarding Disruptive Conduct, Injury to Person or Damage of Property, and Impeding Freedom of Movement at the University, Laws of the Regents, 2002, Section 7.B.3.A.

Faculty members have fully the rights of free expression referred to in Part I of this Standards Document, and in Appendix A. Faculty members should, however, be aware of the following provision contained in the Laws of the Regents, 2002:

7.B.3. Improper Conduct Defined and Prohibited

(A) Students shall refrain from conduct disruptive of university functions; from injury to persons or damage to property on the campus; and from impeding freedom of movement of students, school officials, employees, and invited guests to all facilities of the university.  Interference in any manner with the public or private rights of citizens, conduct that threatens or endangers the health or safety of any person, and damage to property are prohibited.

 

See Sections 7.C.1 and 7.C.2 of the Laws of the Regents, 2002, for provisions relating to suspensions and for procedures for assessment of facts and determination of penalties for violation of the above standard of conduct.

 

Approved by the BFA on March 4, 2004.