Chapter 2F

The Faculty of Arts and Sciences has clear policies and procedures for dealing with questions or concerns about sexual and gender-based harassment/other sexual misconduct and unprofessional conduct. It has also identified designated officers to serve as key contacts for undergraduate students, graduate students, faculty, and staff members. To read more about FAS policies, officers and related resources, and procedures for resolving sexual and gender-based harassment/other sexual misconduct and unprofessional conduct problems, please see:  https://www.fas.harvard.edu/reports/sexual-and-gender-based-harassment-policy/.

Additional information about professional conduct policies for FAS instructors is provided in Information for Faculty Offering Instruction in Arts and Sciences (https://infoforfaculty.fas.harvard.edu), under “Responsibilities of Instructors.”

FAS Professional Conduct Policy

Statement of Policy

Individuals in a position of authority holding academic appointments in the Faculty of Arts and Sciences^[1] (hereinafter referred to as “Faculty” or “Faculty Members”) have an obligation to uphold the highest standards of professionalism and integrity in their interactions with all members of the Harvard community, including faculty colleagues, students, persons holding research appointments (e.g., postdoctoral fellows), and staff members. Faculty Members are expected to abide by the FAS Professional Conduct Policy:
     1) on-campus at all times, and
     2) off-campus when they are representing the University in any professional capacity (e.g., leading a group of researchers in the field; attending an academic conference or University-related or University-funded social or extracurricular activities).

In both circumstances, this policy also applies to Faculty Members’ actions in any electronic or digital medium.

Any current or former member of the Harvard community may bring concerns about an FAS Faculty Member to the FAS Office for Faculty Affairs (“OFA”). Bringing a concern to the attention of OFA does not automatically launch a formal investigation or mediated resolution. OFA may, in its discretion, deem it appropriate to implement supportive measures (as outlined in the “Supportive Measures” section below), regardless of whether it launches a mediated resolution or formal investigation.

1. Anti-Bullying and Non-Discrimination

Faculty Members are subject to the Harvard University Anti-Bullying and Non-Discrimination Policies and Procedures (NDAB).^[2]

2. Professional Behavior and Judgement

Faculty must avoid behaviors which display a pattern of extreme negligence or poor professional judgment that endangers the health, safety, or well-being of any person or group, or unreasonably interferes with a person’s or group’s ability to perform University duties or undertake their course of education or training.

3. Appropriate Engagement of Community Members

Faculty members may not use their positions to obtain services for which individuals are not compensated. This includes, but is not limited to, requiring staff under their direction to perform services or duties unrelated to or outside their professional/job responsibilities. In addition, Faculty Members must contact their department/unit administrator before they engage an individual to assist with research or other services related to their role as a Faculty Member to ensure compliance with Harvard policies and labor laws.

4. Confidentiality

Faculty Members must uphold confidentiality in matters pertaining to student, faculty, and employee information that could reasonably be considered confidential. This obligation includes, but is not limited to:

• Student Records: Faculty must comply with the Family Educational Rights and Privacy Act (FERPA) and related University policies, protecting student academic records, applications, and other information.
• Employee Information: Faculty must maintain the confidentiality of personnel files, employee records, evaluations, and other employment-related information.
• Hiring and Promotion Processes: Faculty must maintain as confidential and not disclose, in any form, materials, communications, discussions, or deliberations related to faculty searches, reappointments, tenure reviews, promotions, or other actions. For the avoidance of doubt, the confidentiality expectations outlined here prohibit, among other things, sharing such information with individuals who are not formally part of the applicable process or are not otherwise authorized to have access to such information. For example, in a tenure review case, faculty members cannot share materials, communications, discussions, or deliberations of the case with those who are not directly involved in the tenure process. (To provide a concrete example, faculty members cannot share materials, communications, discussions, or deliberations of a tenure case with Emeriti; however, they are free to solicit opinions on tenure candidates from Emeriti as long as no confidential information from the case is shared.)

5. Non-Retaliation

Faculty Members must abide by Harvard University's Non-Retaliation Policy.

6. Compliance with other policies and laws

Faculty Members must comply with all applicable laws, rules, regulations, and professional standards, including FAS and University policies and practices; this includes, but is not limited to, policies regarding discrimination and harassment.

Supportive Measures

Supportive measures are individualized services designed to support access to the University’s education programs or activities. OFA, in conjunction with the Dean of the FAS or the FAS Academic Deans, may implement supportive measures to protect Harvard community members. Supportive measures are non-disciplinary, non-punitive, and do not require a formal complaint or mediated resolution to be implemented.

Mediated Resolution

Any current or former member of the Harvard community may make a request to OFA, either orally or in writing, for support in resolving a concern that a Faculty Member may have violated FAS or University policies. OFA will assign a Program Officer who will consult further with the person initiating the request and determine if a mediated resolution is appropriate. The Program Officer will inform the Faculty Member who is the subject of the allegations and gather additional relevant information as necessary from the parties and others. The Program Officer, at their discretion, may put in place any appropriate supportive measures. The Program Officer will attempt to aid the parties in finding a mutually acceptable resolution. A matter will be deemed satisfactorily resolved when both parties expressly agree to an outcome that is also acceptable to the Dean for Faculty Affairs and Planning. A mediated resolution may not be suitable, especially if the concern falls under another FAS or University policy. Ordinarily, the mediation resolution will be concluded within four weeks from the date of both parties’ agreement to enter the mediation process.

Informal Resolution

Note: a formal complaint filed by an individual Harvard community member under the NDAB policies would follow the procedures outlined in the NDAB procedures. The following informal resolution process addresses concerns that fall outside of formal NDAB complaints.

Many concerns can be addressed locally and informally within the department or division. To maintain privacy and resolve concerns quickly, the Local Designated Resource (LDR),^[3] if appropriate given the circumstances, will first collaborate with the Divisional Dean and/or Department Chair, or the relevant faculty member in a leadership role (e.g., DUS, DGS), to arrange a conversation or mediation with the faculty member. If FAS believes further action is warranted, the faculty member may be asked if they want to undergo a 360 or similar-type review.

FAS Faculty Conduct Committee

Concerns about the conduct of professors (of all ranks) that cannot be resolved through an informal resolution or mediated resolution will be referred to the FAS Faculty Conduct Committee (FCC), whose membership is comprised of tenured faculty in the FAS. ^[4]The FCC’s charge, responsibilities, and processes are as follows:

• The FCC provides faculty oversight and peer accountability for concerns related to professional conduct concerning professors (of all ranks) that cannot be resolved locally in the department or division.^[5]
• The LDR brings concerns to the Chair of the FCC. The Chair, in consultation with the LDR, reviews the concerns to determine:
  • if they fall within the scope of the FAS Professional Conduct Policy; and
  • are sufficiently credible to bring to the FCC for review.
• If the concerns meet these criteria, the Chair or their designee designates at least three members of the FCC (this can include the Chair) to promptly review the matter and make recommendations, in accordance with the FAS Professional Conduct Policy, to the FAS Dean or their designee on what actions to take, if any.  After reviewing the FCC’s advisory recommendations, the Dean or their designee may take whatever action, if any, they believe the situation warrants.^[6]
• The FCC, in consultation with the LDR, ensures that recommended actions, if any, are consistent with the NDAB policies and procedures, other existing University and School policies and procedures, and any applicable laws.

If there is a time-sensitive concern that affects the well-being of the community, and the Chair of the FCC is not available to promptly discuss the matter with the LDR, the LDR may work with the relevant divisional/SEAS dean instead to make a recommendation to the FAS Dean or their designee. This contingency should be limited to rare instances (e.g., outside of term time, such as during the summer months.)

The FAS Dean, Divisional/SEAS Deans, and OFA retain the ability to discuss performance concerns that are not related to the FAS Professional Conduct Policy with faculty and to take appropriate measures based on performance without FCC review.  FAS may also adjust faculty salary increase to align with faculty members’ performance without FCC review.

The FCC may recommend that the faculty member participates in one or more of the following interventions (this is not an exhaustive list):

• 360-degree feedback review: OFA will retain a professional coach to work with the Faculty Member to conduct a 360-degree feedback review.
• Climate survey/assessment: OFA, in partnership with the Faculty Member, will gather additional feedback through a survey or interviews and undertake an informal assessment of the allegations. To the extent possible, the informal assessment will preserve the confidentiality of the individual(s) reporting concerns and/or those impacted by the alleged conduct. A typical informal assessment involves conversations with individuals who are likely to have information about the alleged conduct. It is not an investigation, does not result in sanctions, and should be completed in a timely manner.
• Professional coaching: OFA will retain a professional coach to work with the Faculty Member to improve specific areas of concern.
• Training: The Faculty Member will receive individualized training on relevant policies and best practices.
• Formal Investigation: The FAS may conduct a formal investigation of an FAS Faculty Member when the FAS Dean or their designee, after conferring with the FCC, determines that the alleged behavior represents a risk to the well-being of the community. The process is described in the “FAS Formal Investigations” section below.

When the alleged conduct of a faculty member poses a risk to the well-being of the community or to the educational environment, the FAS Dean or their designee, in consultation with the FCC, may implement temporary measures to mitigate the risk (e.g. placing the Faculty Member on paid administrative leave; pausing the hiring of researchers by a Principal Investigator, etc.). Temporary measures are non-disciplinary, non-punitive, and do not require a formal complaint or mediated resolution to be implemented.

FAS Formal Investigations

The FAS may conduct a formal investigation of an FAS Faculty Member when the FAS Dean or their designee, after conferring with the FCC, determines that the alleged behavior represents a risk to the well-being of the community. During a formal investigation, a Faculty Member can expect to receive notice of the allegations, have an opportunity to be heard by the investigator, and have the opportunity to review a draft investigation report and submit a written response. The final investigative report will recommend findings of whether a policy was violated or not. The final investigative report will be reviewed by a panel of at least three members of the FCC (this can include the chair), who will make the final determination of whether a policy was violated or not.

Note: Members of the Harvard community who interact with minors (i.e., individuals under the age of 18) in any official capacity are expected to foster and maintain an appropriate and secure environment for minors. Please see Harvard University’s “Policy for the Safety and Protection of Minors” (https://youthprotection.harvard.edu/policy) for more information.