F. Sexual and Gender-Based Harassment/Other Sexual Misconduct and Professional Conduct

(1)   Sexual and Gender-Based Harassment/Other Sexual Misconduct

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.”

(2)   Professional Conduct

FAS Professional Conduct Policy 

“The importance of professional conduct within the academic community is self-evident, but what precisely is meant by the phrase is not. For ‘professional conduct’ covers a multitude of situations. No single style or method of teaching guarantees it; a teacher may be appropriately professional whether meeting students at a café or in an office, whether by nature gregarious and sociable, or shy and reserved. Yet there are principles underlying the concept, that allow it to be honored when present and deplored when absent. In a university setting, professional conduct rests upon an enduring respect for fellow human beings and for the vocation of teaching, and a recognition that a teacher’s powers and responsibilities must not be abused. The basic principles may be easier to appreciate abstractly than to apply while teaching.”

The Faculty Council approved the preceding text in 1995 for distribution to the full Faculty as a "discussion document" to be used as a point of reference. The full discussion document can be found here: https://infoforfaculty.fas.harvard.edu/book/conduct.

During an 18-month period between Fall 2020 and Spring 2021, the FAS Committee to Review Conduct Policies and Procedures (CRCPP), comprised of faculty, staff, and undergraduate and graduate students, conducted extensive outreach to gather feedback and comments from the FAS community. The resulting recommendations were presented to the Faculty Council and submitted to the University to inform their policy efforts. The FAS Professional Conduct Policy fully adopts the University’s policies on non-discrimination and anti-bullying and incorporates the recommendations of the FAS Committee to Review Conduct Policies and Procedures (CRCPP).

Additional information about CRCPP as well as the full report can be found here:
https://www.fas.harvard.edu/2022/04/11/report-of-the-fas-committee-to-re...

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 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.[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 and employee files and records, which could reasonably be considered confidential. This could include employment information, employee records, or student application materials.​​​​​​​[3]

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 policies and practices; this includes, but is not limited to, policies regarding discrimination, and sexual and gender-based harassment. In addition,
a)    Faculty Members should not undertake unauthorized use of University resources or facilities on a significant scale for personal, commercial, political, or religious purposes.
b)    Faculty Members should not commit forgery, alteration, misuse of University documents, records, or identification, or knowingly furnishing false information to the University.
c)    Conviction of a felony that is clearly related to performance of University duties is a violation of this policy.

 

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.

There are two types of measures:

1.    Measures that primarily impact the community member seeking the support (e.g., a graduate student seeking to change advisors). OFA can implement these measures without talking with the Faculty Member about whom concerns have been raised.
2.    Measures whose primary effect will be felt by both the community member seeking support and the Faculty Member about whom concerns have been raised (e.g., placing the Faculty Member on paid administrative leave; pausing the hiring of researchers by a Principal Investigator). In this case, OFA will share an anonymized summary of the feedback received with the Faculty Member before implementing any supportive measures.

Informal Assessment into Incident or Course of Conduct

When a community member brings a concern about professional conduct by a Faculty Member to OFA or a Program Officer for Professional Conduct, OFA may undertake an informal assessment of the allegations. To the extent possible, an 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 discreet conversations with individuals who would be 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. 

Informal assessments may lead to one or more of the following interventions, but this is not an exhaustive list:
•    Feedback conversation: OFA and/or department/unit leadership will have a conversation with the Faculty Member about the concerns. To the extent possible, this conversation will preserve the confidentiality of those reporting concerns and/or those impacted by the alleged conduct.
•    Facilitated conversation: If all parties are amenable, OFA and/or department/unit leadership will facilitate a conversation between the Faculty Member and the concerned community member.
•    Climate survey/assessment: OFA, in partnership with the Faculty Member, will gather additional feedback through a survey or interviews.
•    360-degree feedback: OFA will retain a professional coach to work with the Faculty Member to conduct a 360-degree feedback review.
•    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.

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.

FAS Formal Investigations

The FAS may conduct a formal investigation of an FAS Faculty Member when the FAS administration, after conferring with senior faculty advisors, 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.  Where the FAS is considering a terminating or suspending a Faculty Member without pay, there must first be a formal investigation under this policy or another relevant University or FAS policy.

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.

[1] Tenured Professors, Associate Professors, Assistant Professors, full- and part-time Professors of the Practice, Professors in Residence, Senior Lecturers, Senior Preceptors, Benjamin Peirce Fellows, Briggs-Copeland Lecturers, Associate Senior Lecturers, Lecturers, Preceptors, College Fellows, Visiting Faculty, Emeriti Faculty, Teaching Assistants, Teaching Fellows, Fellows, Post-Doctoral Fellows, Research Associates, Research Fellows, Research Scientists, Senior Research Scientists, Senior Research Fellows and Visiting Scholars.

[2] The University Anti-Bullying Policy applies to all Harvard community members.  The procedures outlined in that policy are for internal complaints raised by individual community members.  Nevertheless, as the University Anti-Bullying Policy states, FAS retains the ability to address behavior that it determines is inconsistent with its expectations, policies, standards, or values.  

[3]​​​​​​​ For example, no Faculty Member should suggest that they were the reason that a student was admitted to a program, in such a way that the student feels unduly obligated to that Faculty Member and/or their academic advancement or education is impeded.