The Office of Sponsored Programs assists in the procurement and administration of faculty research and instructional programs sponsored by outside agencies. All proposals for sponsored research must pass through this office.

Syracuse University may enter into direct and indirect research contracts with intelligence agencies provided that such contracts conform with the University's rules governing contracting with outside sponsors and that such contracts are made public by University officials. See Section 3.05.

3.02 professional and outside activities

Faculty members' professional activities are generally understood to encompass efforts that will enhance their professional stature. Teaching, research, writing and publishing, participation in meetings of learned societies and professional associations, conduct of and participation in seminars, conferences, and workshops are included in professional activities encouraged by the University.

The central administration sets no general policies governing such activities, except for guidelines of remuneration and service and certain ground rules affecting copyrights and patents.

Promotion of faculty members' professional activities are the responsibility of each department chairperson and dean.

3.03 consulting during the academic year

The University will permit faculty members to perform outside consulting for remuneration during the academic year, subject to the following stipulations:

• prior to its undertaking, requests furnishing essential information must go to the appropriate dean.
• written approval of the appropriate dean must be obtained. If, in the dean's opinion, additional approval is necessary, request for such approval is made through the Vice Chancellor for Academic Affairs.

Provided that the necessary approval(s) are obtained, time available for outside consulting during the academic year is any time not conflicting with University duties and responsibilities, normally not to exceed over one day per week, as an average.

• No faculty members may engage in outside employment that will bring them as an expert, consultant, investigator, or in any other capacity, into opposition to the interests of the University.
• No faculty members may serve as private consultants to any individual, company, corporation, or agency on projects or activities covered by agreements between such organizations and the University.

Prior to participating in an outside consulting engagement faculty members must notify their clients in writing that:

• they, as faculty members, are acting as individuals;
• the University is in no way a party to the agreement; and
• the University will not be responsible or liable for the performance or results of such consultation.

Use of departmental facilities, materials, and supplies must have the written approval of all appropriate deans. In such cases, suitable reimbursement to the University shall be made by consultants. Employment, by consultants, of other University personnel, including graduate students, shall first be cleared with appropriate deans or supervisors.

University stationery will not be used by faculty members in the performance of their consulting assignments.

No travel expenses or advances will be paid by the University for private consulting activities, regardless of later reimbursement by the consultants.

Payment for private consulting activities is a matter between clients and consultants. The University will not act as an agent of either the consultants or their clients.

3.04 consulting during the summer

To the extent that the faculty member is a free agent for the summer period, the Section above limiting consulting time to one day a week on the average does not apply. All other stipulations remain in force. This limit is applicable, however, during any time period during the summer when faculty members holding an academic year appointment are employed by the University in Summer Sessions or on sponsored programs or in any other capacity.

3.05 relationships with united states intelligence agencies

Members of the Syracuse University community may enter into direct or indirect consulting arrangements with intelligence agencies to provide research and analytical services. In conformity with the above University rules governing outside consulting, individuals should report in writing the existence of such agreements to their dean or department chairperson, who in turn inform the Chancellor of the University of the existence of such arrangements. If these individuals are not accountable to a dean or director, the report should be made directly to the Chancellor.

All members of the Syracuse University community who have ongoing relationships with an intelligence agency as recruiters should report that fact in writing to the dean or director of their faculty or department, who in turn inform the Chancellor and the appropriate placement offices within the University. If these individuals are not accountable to a dean or director, these reports should be made directly to the Chancellor. Members of the Syracuse University community should not provide an intelligence agency with the names of other members of the University community without the prior consent of those persons.

Members of the Syracuse University community should not undertake intelligence operations for an intelligence agency which involve the use of the academic profession and scholarly enterprises as a "cover" for intelligence activities. They should not participate in propaganda activities if the activities involve writing materials or lending their names and positions to gain public acceptance for materials they know to be misleading or untrue.

No member of the Syracuse University community should assist an intelligence agency in obtaining the unwitting services of another member of the University community.

Faculty members should discuss questions concerning the interpretation and application of these guidelines with their dean or department chairperson and, if necessary, with the Chancellor or a member of the Chancellor's staff.

3.06 university support

Limited funds are available to assist new faculty members in initiating research projects. Requests for such support are made by submitting proposals through their department chairpersons. (For details on some forms of University support, consult the Policies and Procedures Manual published by of the Office of Sponsored Programs.)

3.07 ownership and management of intellectual property

Syracuse University is dedicated to teaching, research, and the dissemination of knowledge. When these activities have been supported by the University and have resulted in the creation of properties that have economic interest and value, Syracuse University shall have title to, or have a fair and equitable income interest proportional to the University's investment in, those properties that will reflect the legitimate interest of University investment as well as the traditions of academic freedom and pursuit.

Members of the University For the purpose of this policy, member(s) of the University are defined as faculty, staff, students, or any person performing research or engaging in work or study utilizing University resources or facilities, whether or not they are compensated for their services.

Technology For the purposes of this policy, technology shall mean inventions, discoveries, creations, technical innovations, information in various forms, including computer software, and tangible research property created in the course of research. Tangible research property includes, but is not limited to, notes, sketches, drawings, results of research or experiments, computer code or records, or any embodiment of the technology into any form. For purposes of this policy, technology does not include any copyright publication.

Title and Interest in Copyright Publications Title to any copyright publication shall belong to the member who has created the copyright publication, except in the case when it has been created under a sponsored program where there are ownership restrictions or in the case the copyright publication was created as part of a member's explicit work assignment. Copyright publication includes, without limitation, written and artistic materials (such as articles, books, compilations, and visual and performing art works), whether or not protected by copyright. Under this policy copyright publication does not include software.

Generally Available Resource(s) and University Allocated Resources(s) For the purposes of this policy, generally available resource(s) shall mean office space, library, and traditional desktop computers. In addition, the University will construe salary paid from regularly budgeted department accounts as generally available resource(s). In those cases where salary was paid to accomplish or produce certain tasks or materials that were part of the member's work assignment with the University or a part of a sponsored program, that salary shall be considered a University allocated resource(s). Other University allocated resource(s) shall mean all University resources and facilities that have not been defined as generally available resource(s).

Technology Resulting from Research Supported with Externally Sponsored or University Allocated Resources Title to technology resulting from research, work, or study which was supported by externally sponsored or University allocated resources will belong to Syracuse University. Any revenue received by the University as a result of the license or transfer of such technology will be distributed to those who created the technology in accordance with the paragraph, Distribution of Revenue (below). The University may transfer its interest in the technology to a member, a member's corporation, or an organization with which a member has significant financial ties. In this situation a license agreement will be negotiated between that member or organization and the University.

Technology Resulting from Research Supported with Generally Available University Resources Title to technology except technology identified in the previous paragraph, resulting from research, work, or study solely supported with generally available resources, will belong to the member; and the University will have an equitable interest in the net revenue (as defined in the paragraph, Distribution of Revenue, below) realized from the income, sale, or transfer of the technology. When the technology identified under this paragraph is transferred or licensed by a member to a third party or is retained by the member for his/her economic development, a royalty agreement will be negotiated between Syracuse University and the member. The royalty and license agreement will reflect the University's investment in the technology.

Committee on Intellectual Property The Vice President for Research and Computing shall appoint a Committee on Intellectual Property. The committee shall include faculty from diverse academic units of the University and shall include at least one academic professional staff member and at least one student. A normal term for service will be three years with membership renewable for one term. The Senior Vice President for Business and Finance and the Vice President for Research and Computing will serve on the committee as ex officio members. A senior member of the faculty shall serve as chair of the committee. The committee shall advise the Vice President for Research and Computing on the interpretation, administration, and implementation of this policy. Any appeals of the decisions of the Vice President for Research and Computing shall be directed to the Chancellor.

Distribution of Revenue from Technology Net revenue (defined as gross revenues less the costs and expenses incurred and related to the securing of legal protection, marketing, licensing, and other expenses associated with the technology) received by the University from the transfer, sale, or licensing of technology, shall be distributed as follows:

• Fifteen percent of net revenues will be retained by the University in support of its costs in managing its intellectual property program.
• The remaining net revenues (distributable net revenues) shall be distributed 50 percent to the inventor(s) or creators(s) and 50 percent to the University in accordance with the University's schedule for calculating and dispersing distributable net revenues.
• The University's share of distributable net revenues will be used for the support of the department(s) or unit(s) of the inventor(s) or creator(s), development of new intellectual property, or to support the general research and scholarly goals of the University.
• Modification of the standard distribution of distributable net revenue may be made in consideration of extenuating circumstances, including but not limited to proportion or royalties retained personally by inventor(s) or creator(s), extent of investment by all parties, and the additional support needed for further development of the technology.
• Any modification of the standard distribution of royalties will be made by the Vice President for Research and Computing in consultation with the Committee on Intellectual Property.

Management of University Technology The Office of Sponsored Programs (OSP) has the primary responsibility within Syracuse University for managing and administering matters involving technology developed at Syracuse. OSP will consult with members regarding the best means for development and transfer of the technology created by members. It may be necessary, in accordance with the terms of this policy, that any assignments, licenses, transfers, applications, registrations, or any other documents that are necessary to evidence the University's ownership in technology be executed by members.

Disclosure Under some United States and foreign laws, public disclosure, use, or sale of technology prior to obtaining statutory protection may prejudice, or destroy, the availability of obtaining certain legal protection. In order to protect the University's, member's, or any licensee's rights in technology, no contractual or other legally enforceable agreement for the sale, transfer, or use of University-owned technology may be made except by the University in accordance with this policy. It is also essential to consult with OSP prior to making any technology publicly known or available.

Limited License in All Technology Created by Members Notwithstanding any other provision of this policy, Syracuse University shall have a royalty-free, nonexclusive, and nontransferable license to use for noncommercial purposes for teaching, training, and research with the University, all technology created by its members.

Good Faith The fair and effective implementation of this policy requires good faith cooperation, collegiality and candor on behalf of Syracuse University and all of its members. For its part, the University will seek to advise affected members promptly and fully on all matters regarding technology. Members, in turn, will communicate promptly and fully with OSP whenever their research involves technology covered by the policy.

Amendment This policy may be amended from time to time pursuant to the University's policies and procedures in effect for amending documents setting forth University policy.

Drafted by the Senate Research

Committee and approved by the

Chancellor as interim policy

July 13, 1992

3.08 outside activities: conflict of interest and commitment

Syracuse University’s mission is to promote learning through teaching, research, scholarship, creative accomplishment, and service. As a natural outgrowth of the University’s mission, it may be appropriate and desirable that University Members be professionally involved in outside activities such as lecturing at other institutions, practicing their profession, consulting for businesses, or serving in community organizations. These outside activities can enrich teaching, extend professional expertise, and contribute to the advancement of knowledge; however, in some circumstances they can give rise to real or apparent conflicts of interest.

For the purposes of this policy,

• A Conflict of Interest exists when an Investigator’s financial interests may reasonably be affected by research, scholarship, educational or other externally funded activity.

To minimize the potential for financial interests to influence federally funded research, in 1995, the Federal government implemented regulations[1] requiring institutions to develop a way for their investigators to disclose the existence of financial interests that may reasonably be affected by the research.

Purpose and Applicability
 

The purpose of these guidelines is to ensure that any financial interest(s) of Investigator’s responsible for the sponsored activity, funded or proposed, do not bias the credibility and objectivity of the activities and its findings. Syracuse University has established the following written standards and procedures to be followed by all Investigator(s) applying for or receiving external funding, regardless of source or funding mechanism to comply with federal regulations. These procedures do not replace the Member’s obligation to obtain University approval prior to beginning outside activities (The Faculty Manual – paragraph 3.30 edition 18 January 1995 and Administrative Policy Manual – section labeled Office of Human Resources).

The University will obtain assurance that other institutions collaborating with University Investigators on sponsored projects have comparable policies that comply with Federal regulations.

Definitions
 

1. Institution – any domestic or foreign, public or private entity or organization (excluding a Federal agency), that proposes to carry out activities in support of a project, proposed or funded, and assumes all associated legal obligations.
   
    
2. Investigator – the principal investigator or any other person at the institution who is responsible for the design, conduct, or reporting of a research project, proposed or funded.
    
3. Significant Financial Interest – Anything of monetary value - aggregated for the Investigator and the Investigator’s spouse, domestic partner, and dependent children - including but not limited to the following:
   1. Salary or other payment for services (e.g. consulting fees) that exceeds or over the next twelve months is reasonably expected to exceed $10,000;
   2. Equity interests (e.g. stocks, stock options or other ownership interests) that meet the following tests:
      1. exceeds $10,000 in value as determined through reference to public prices or other reasonable measures of fair market value (e.g. most recent sales price recognized by the company), or
      2. constitutes more than a 5% ownership interest in any single entity.
   3. Intellectual property rights (e.g. patents, copyrights and royalties from such rights).
   4. Services as an officer, director, or in any other executive position in an outside business, whether or not remuneration is received for such service.

   If compensation or equity interests may be influenced by a particular outcome in sponsor-funded research, such interests are significant financial interests even if the identified thresholds are not met.

   The definition of Significant Financial Interest may change from time to time depending on changes in federal and state statute(s) or regulation(s).

   Significant Financial Interests do NOT include:

   1. Salary, royalties or other remuneration from Syracuse University.
   2. Ownership interests in a commercial entity, if the University is an applicant under the SBIR (or STTR) Phase I Program.
   3. Income from seminars, lectures, or teaching engagements sponsored by public sector or non-profit entities.
   4. Income from service on advisory committees or review panels for public sector or nonprofit entities.

   
    

4. Public Health Service (PHS) awarding component – organizational unit of the PHS that funds activities subject to these guidelines and procedures.
   
    
5. Research – a systematic investigation designed to contribute to generalizable knowledge relating to natural and physical sciences, social and behavioral sciences, education and engineering. The term encompasses basic and applied research, product development, or any such activity for which funding is available from an awarding component through a grant or cooperative agreement.
   
    
6. Small Business Innovation Research (SBIR) – the extramural research program for small business that is established by the awarding components of the Public Health Service and certain other Federal agencies under Public Law 97-219, the Small Business Innovation Development Act, as amended.
    

Responsibilities

Syracuse University’s responsibilities as required by federal regulations, include the following:

• To inform each Investigator of the institutional policy, Investigators’ reporting responsibilities, and applicable federal regulations through formal and informal educational approaches.
• To provide annually Financial Disclosure Forms to all faculty members and any other SU employees or students who are involved in the design, conduct or reporting of results on any sponsored project.
• To appoint an individual or committee to review disclosures of significant financial interests; to determine when conflicts exist and develop appropriate management plans; and to monitor implementation of plans.
• To report conflicts of interests and other required information, as well as any incidents of non-compliance and corrective actions taken, in accordance with Sponsor policies.
• To maintain records as confidential, to the extent allowable by law.
• To ensure that institutions participating as subgrantees/subawardees on University proposals have policies compliant with Federal guidelines.
• To maintain records of all financial disclosures and all actions taken by the University with respect to conflicting interests.

Investigators’ responsibilities include complying with this policy and procedures including:

• Complete the annual financial disclosure form by the institutional deadline.
• Certify prior to submission of an application for external support or expenditure of funds that the annual disclosure has been filed, current and complete or has been recently updated, if necessary, to reflect current information.
• Disclose new reportable interests within 60 days during the period of an award.
• Comply with any management plan, if applicable.

Conflict of Interest Committee

The Vice President for Research will appoint a Conflict of Interest Committee (COIC), consisting of five full-time faculty members. Members will be appointed to three-year terms. The Vice President for Research will chair the Committee. The Executive Director of the Office of Sponsored Programs, the Director of Regulatory Compliance, the Director of Technology Transfer, and Director of the Office of Audit and Management Advisory Services will serve as ex officio members without vote.

The COIC will review all significant financial disclosures and supporting documentation to determine whether a significant conflict of interest exists that requires management to preserve objectivity in the design, conduct or reporting of the research. This determination will be made when an investigator, or the investigator’s spouse, domestic partner or dependent children have significant financial interest(s) that may compromise, or have the appearance of compromising, an investigator’s professional judgment that could directly and significantly affect the design, conduct, or reporting of the research, proposed or funded.

If the COIC determines that there is a conflict that can be managed, a management plan will be developed in the best interest of the University, in consultation with the Investigator and an assigned Conflict Manager. An interim management plan may be developed for time critical situations and approved by the chair of the committee. The plan should be updated as more information becomes available.

The COIC will review managed conflicts semiannually (or as relevant information arises) to monitor the conduct of the activity (including use of students and postdoctoral scholars), and to ensure scientific objectivity and timely dissemination of the research results.

Any appeal of the COIC’s decision can be made through the appropriate chairperson, dean, director, or Vice President for Research, with final appeal to the Vice Chancellor for Academic Affairs.

Reporting

The Vice President for Research will submit an annual report that has been approved by the COIC to the Audit Committee of the Board of Trustees that will include summaries of disclosure activity, nature of significant conflicts of interest, summaries of respective management plans, the estimated financial or potential value of the conflict, and summaries of any significant outcomes or issues.

Compliance

Failure of an Investigator to comply with any aspect of the conflict of interest policy will be referred to the Vice President for Research, the COIC and the Department Chair for non-compliance review.

Non-compliance may cause administrative actions in accordance with University policies found in The Faculty Manual, and the Administrative Policy Manual, in addition to any legal penalty(ies) under state and federal laws that may be appropriate (e.g., oral admonishment; written reprimand; reassignment; demotion; suspension, or separation; denial of eligibility to engage in research funded through the university; or other appropriate penalties.). Appeals by investigators are to follow University procedures found in The Faculty Manual or the Administrative Policy Manual.

In any PHS funded project of clinical research whose purpose is to evaluate the safety or effectiveness of a drug, medical device, or treatment has been designed, conducted, or reported by an Investigator with a conflicting interest that was not disclosed or managed as required, Syracuse University must require the Investigator(s) involved to disclose the conflicting interest in each public presentation of the results of the research.

PROCEDURES

1. Disclosure Procedure
   
    
   1. Annual disclosures
      1. All Investigators must complete the Annual Disclosure of Significant Financial Interests for the previous university fiscal year and submit it to the Vice President for Research by the University’s deadline. New faculty must submit the form within 60 days of appointment.
      2. The Vice President for Research will review all disclosures and forward all significant conflicts of interest to the Conflict of Interest Committee.

      
       

   2. Ad hoc disclosures

      An Investigator is to update the Annual Disclosure and submit it to the Vice President for Research when such interests become reportable.

   3. Review by the Conflict of Interest Committee

      The committee will meet at least semi-annually to review disclosures of significant financial interests and determine if a plan is warranted to eliminate, reduce, or manage any conflict.

      The Committee Chair will send the COIC’s determination of whether a plan is required or not, in writing, to the Investigator (or other relevant party) and the appointed conflict manager, with a copy to the dean, and as appropriate to the relevant department chairs. The written decision must include a rationale for the decision.

      Managed conflicts will be reviewed by the COIC semi-annually or as new information arises.

2. Management of conflicts
   
    
   1. Delegation of Management

      The conflict of interest committee will delegate management of the conflict to a Conflict Manager, who will be an appropriately qualified individual (e.g., dean or chair).

   2. Development of Management Plan

      The Conflict Manager in collaboration with the Investigator will develop a plan, which must be approved by the COIC, to manage, eliminate or reduce the conflict.

      Some examples of possible conflict management are:

      1. Public disclosure of significant financial interests
      2. Monitoring of research by independent reviewers
      3. Modification of the research plan
      4. Disqualification from participation in all or a portion of the funded research
      5. Divestiture of significant financial interests
      6. Severance of relationships that create actual or potential conflicts
      7. Oversight by the Conflict Manager of any financial transactions in which the conflict may be relevant

   3. Correspondence

      The Conflict Manager will put forward to the COIC in writing the proposed strategies to manage the conflict for their review and approval, or revision.

      The COIC will approve or revise the plan in consultation with the Conflict Manager; a copy of the approval memo will be sent to the Investigator, Office of Sponsored Programs, Department Chair or Dean if the conflict does not involve them.

   4. The assigned manager will provide a semi-annual report on the status of managed activities to the COIC.
      
       
   5. Final Authority

      In any instance in which the COIC, the Conflict Manager, or the individual in conflict do not agree regarding the management of the conflict, the matter will be referred to the Vice Chancellor for Academic Affairs, who will have the final authority.

3. Reporting to Sponsors
   
    
   1. Prior to expenditure of PHS funds under an award, Syracuse University’s Office of Sponsored Programs will report to the PHS awarding component the existence of any conflicting interest (but not the nature of the interest or other details) found and assure that the interest has been managed, reduced or eliminated in accordance with regulations. Syracuse University will make available upon Sponsor’s request how those interests have been managed, reduced, or eliminated to protect the research from bias.
      
       
   2. Syracuse University’s Office of Sponsored Programs will report the existence of any actual or potential conflicting interest influencing National Science Foundation awards that the University has been unable to manage prior to expenditure of funds.
      
       
   3. Syracuse University’s Office of Sponsored Programs will report on the existence of any actual or potential conflicting interest influencing external sponsor awards as required by sponsors.
      
       
   4. For any interests that are identified subsequent to the initial annual report under the award, a report will be made and the conflicting interest will be managed, reduced or eliminated, at least on an interim basis, within sixty days of that identification.
      
       
4. Records Retention

   The Office of the Vice President for Research will retain all disclosure forms, conflict management plans and related documents for a period of five years[2] after the completion of the relevant research (submission of final expenditure reports) or five years after the conflict has ended, whichever is longer.

5. Remedies and Sanctions
   
    
   1. Failure to submit the required Financial Disclosure Form will delay submission of the proposal to the funding agency or sponsor until after the Form is submitted to the Office of the Vice President for Research.
      
       
   2. Failure of an investigator to comply with the conflict of interest policy at Syracuse University or to comply with conditions or restrictions determined by the COIC will be referred to the Vice President for Research, the COIC and the Department Chair for non-compliance review. This failure to comply must promptly be reported to the awarding component and corrective action must be taken which may affect the award process.
      
       
6. Education, Training and Information
   
    
   1. The Office of Sponsored Programs will be responsible for providing formal and information education on federal regulations and requirements required by these guidelines.
      
       
   2. Questions involving regulations, guidelines, precedents, and practice in this context, and particularly as they may relate to sponsored programs, may be directed to the Office of Sponsored Programs.

--------------------------------------------------------------------------------
[1] 42 CFR 50.610-607 and 45 CFR 94.1-6.
[2] Six years for New York State Contracts

3.09 classified or proprietary research

One important outcome of sponsored research at a university is training master's and doctoral candidates, which includes the opportunity to perform research leading to or closely associated with their dissertation topics. Also, it is in the faculty members' as well as students' interests that complete freedom exists to publish or otherwise disseminate the results of their research. Since these goals cannot be achieved under the restrictions applying to government classified programs or restrictions which derive from proprietary rights of commercial or private sponsors, as a matter of practice the University does not undertake projects which are subject to restrictions.

However, with certain government agencies, although the research performed and the reports which result may not involve restricted material, it may be necessary for faculty members working on projects to visit restricted areas, attend closed conferences, or view classified materials. In such circumstances, it is the responsibility of the director of the Office of Sponsored Programs to carry out the sponsor's regulations applicable in each particular instance.

3.10 the institutional review board

Any research involving human subjects should go before the Institutional Review Board (IRB), be it a classroom project, a thesis or dissertation, or a faculty member's research whether funded or not. Research, as defined by the federal regulations, is a systematic investigation designed to develop or contribute to generalized knowledge. The IRB is an independent committee approved by the National Institutes of Health. The board membership consists of experienced faculty from a variety of disciplines as well as expert lay persons not affiliated with the University. The IRB is required to review all protocols for projects involving human subjects for compliance with guidelines prescribed by federal and state regulations. The charge to the board is the protection of human subjects from "research risks" that may be physical, psychological, social, or legal. Fundamental concerns in protocol review are to assure that the subjects will be fully informed and freely consent to participate in the project, that their right to privacy is protected, and that all data collected will be held as confidential and published without identifiers.

3.11 sexual harassment

Syracuse University is committed to maintaining a learning, research, living, and work environment free of sexual harassment. This policy statement expresses that commitment in unequivocal terms, defining prohibited conduct more clearly than in the past, and offering a more integrated approach to violations. The specification of prohibitions, cautions, and remedies in this document, however, should be read in light of the University's basic commitment to preventing sexual harassment through education. Sexual harassment corrodes the values most central to the mission of this University. Avoiding its occurrence is of the highest priority.

Definition Syracuse University defines sexual harassment as unwelcome behavior of a sexual nature that relates to the gender or sexual identity of an individual and that has the purpose or effect of creating an intimidating or hostile environment for study, work, or social living. The policy covers activity both on campus and off.

Sexual harassment as a concept encompasses the full range of coercive, unwelcome behavior, from subtle psychological force, to gross physical abuse. These acts may be visual (such as leering, ogling, and physical gestures conveying a sexual meaning), verbal (e.g., sexual innuendoes, suggestive remarks, sexually derogatory jokes), or physical (such as pinching or fondling). Sexual harassment also includes requests for sexual relations combined with threats of adverse consequences if the man or woman refuses. What these behaviors have in common is that they focus on men's and women's sexuality, rather than on their contributions as students or employees in the University.

Legal Basis For Action The courts have recognized two forms of sexual harassment claims under Title VII of the Civil Rights Act of 1964: "quid pro quo" claims and "hostile environment" claims.

The "quid pro quo" claim (literally "this for that") involves harassment in which a supervisory employee or academic superior demands sexual favors in exchange for job or academic benefits over which that supervisor has some control or influence.

The "hostile work environment" claim involves unwelcome behavior of a sexual nature that creates an intimidating, hostile environment. This standard prohibits not only behavior intended to create a hostile environment, but behavior that has the reasonably foreseeable effect of interfering with an individual's work, academic performance, or social living. Anyone who contributes to the creation of a "hostile work environment" may be held liable for sexual harassment, including the employer or its agents, if they knew of or reasonably should have known of the harassing conditions. This policy applies to all relationships between Syracuse University faculty, staff, graduate, undergraduate students, and administrative personnel, including student-to-student interaction. State sexual abuse laws may also apply in cases of unwanted touching.

Scope of Policy This policy applies to a broad range of behaviors by members of the University community. It covers sexual harassment that occurs by itself or is accompanied by behavior that is otherwise discriminatory. It also provides an avenue of redress for those who suffer ill effects from harassment directed at others (third-party harassment). Students whose own performance was adversely affected by the sexual harassment of another student in their class, for example, would have a claim.

Consensual Relationships Sexual relationships that might be acceptable in other circumstances always pose inherent risks that they will result in sexual harassment when they occur between any teacher, supervisor, or officer of the University and any person for whom he or she has a professional responsibility. These relationships are fundamentally asymmetric and are known to lead to some of the worst abuses of graduate and undergraduate students. Sexual relationships that occur outside the instructional context can also lead to difficulties. Even where the supervisor or faculty member is not teaching, advising, or supervising a student or staff member, the faculty member or supervisor should be aware of the constant possibility that he or she may unexpectedly be placed in a position of such responsibility. Administrators, supervisors, faculty members, and graduate assistants of the University thus need to hold themselves to a high professional standard and avoid sexual relationships with the students and subordinates with whom they work, recognizing that such relationships pose a professional conflict of interest that may make it difficult, if not impossible to carry out their role as educators or supervisors.

The danger that sexual harassment will occur is particularly strong in relationships between teachers and students they are teaching. The relationship puts the student in a vulnerable position and creates a problematic learning environment for other students who become aware of the relationship. Professionalism within the University demands that those with authority not abuse, nor seem to abuse, the power with which they are entrusted. This policy thus prohibits individuals employed by Syracuse University from pursuing sexual relationships with undergraduate students they teach or supervise. This policy also strongly discourages sexual relationships with graduate students and any subordinate whose work the individual supervises. If such a relationship does develop, the teacher or supervisor must take whatever steps are needed to avoid a conflict of interest. This requires reporting the relationship to an appropriate supervisor, who will then arrange for other forms of evaluation or monitoring. In the context of a complaint, there will be no presumption that the relationship was welcome to the graduate student or subordinate.

Academic Freedom Syracuse University strongly supports and protects the principle of academic freedom. All members of the University community have a right to use the academic forum provided by the University to discuss controversial subjects and to express ideas with which some or most of the members of the community strongly disagree. Sexual harassment is not about voicing unpopular ideas. It is a form of intimidation that is unprofessional and that can silence some members of the University community. As the American Association of University Professors states in its policy statement on sexual harassment: "Intimidation and harassment are inconsistent with the maintenance of academic freedom on campus. This statement is no less germane if one is being made unwelcome because of sex, rather than unwelcome because of race, religion, politics, or professional interests." (Academe, September-October 1990, pp. 42-43.)

Remedial Options

An Overview Syracuse University offers both informal and formal means for dealing with problems of sexual harassment. The informal methods outlined here will often be adequate. If it is not possible to reach a satisfactory voluntary agreement, an individual, or in some cases, the University, may initiate formal proceedings. The formal process begins with a written complaint and an investigation. If there are sufficient grounds, a hearing will be scheduled before a panel of peers. The result of this hearing may be a recommendation for disciplinary action. Complainants and respondents can appeal the recommendation and action taken within the limits set forth below. This policy supplements, but is not intended to supersede, remedies that may be available through established University channels and through the civil and criminal courts.

Persons seeking assistance with problems of sexual harassment should contact a volunteer advisor; a dean or unit supervisor; the Chair of the Senate Committee on Academic Freedom, Tenure, and Professional Ethics; or the University's sexual harassment officer, who shall be appointed by the Chancellor. The positions of volunteer advisor and sexual harassment officer are described below.

Informal Means of Dealing with Problems of Sexual Harassment Most reports of sexual harassment can be handled informally. Here are some methods that persons who believe they have been harassed can use:

• the person may consult a department chair, dean, or other supervisor who is responsible for the resolution of workplace problems.
• the persons concerned may arrange a meeting to discuss the problem.
• the person may write a personal letter to the alleged harasser that outlines the problematic behavior, describes the effect of that behavior on the letter writer, and expresses a wish for the behavior to stop.

Sexual Harassment Officer This person is responsible for education of the University community about sexual harassment and for implementation of this policy. The officer will provide assistance to persons who believe they are victims of sexual harassment; will train all relevant personnel; will supervise, implement, and monitor the procedures described here; will maintain accurate, secure records; will publish informative statistics and reports on the incidence and resolution of sexual harassment cases at Syracuse University; and will meet on a regular basis with the pool of volunteer advisors. The officer shall cooperate with the appropriate University Senate oversight committees.

In all matters concerning faculty members, the officer and the Chair of the Senate Committee on Academic Freedom, Tenure, and Professional Ethics shall work in consultation with each other. The officer is appointed by and reports to the Chancellor.

Volunteer Advisors The volunteer advisors will provide support and advice, on a confidential basis, to those who contact them for assistance. Their role is limited to clarification of this policy and suggestion of available courses of action. They do not have authority under this policy to serve as mediators, conveners, or dispute-resolvers. They will make referrals to other advisors or to University services as appropriate and will consult the sexual harassment officer in closing cases. Provision of this service is not meant to imply that other University services will be unavailable to those charged with harassment. Such persons enjoy the benefit of the full range of existing informational and counseling resources.

A pool of approximately 25 volunteer advisors will be drawn from all parts of the University community. The sexual harassment officer will solicit nominations annually from all student, staff, and faculty groups and from individuals. Self-nominations are welcome. Volunteer advisors will be selected on the basis of capacity to serve and representativeness of the diversity of the Syracuse University community. The sexual harassment officer will train and support the advisors in their work. Faculty, staff, and administrative advisors will serve for three-year terms. Students will serve for two-year terms. Some initial appointments will be shorter, however, in order to allow for orderly turn-over of membership. The University's sexual harassment brochure will list the name and telephone number of each volunteer advisor. This brochure will be disseminated each year to all members of the University community.

Formal Complaints Persons who believe they are victims of sexual harassment may elect to file a formal complaint with the sexual harassment officer. Two options are available. The complainant may elect either to initiate a hearing and final resolution of the case, or simply to create a record, taking no further action. If the objective is a hearing, the sexual harassment officer will immediately forward the complaint to the chair of the appropriate hearing body, who will furnish the person charged with harassment with a copy of the allegations. If, on the other hand, the complainant simply wishes to create a file, the sexual harassment officer will secure the complaint in a locked file and will furnish a copy of the complaint to the person complained against. The officer will give this person an opportunity to respond for the file or to initiate the hearing process described below to clear the record. Complaints that are filed and not taken to a hearing by either party within four years of filing will be expunged from the sexual harassment officer's records.

Complaints against faculty, administrators, and staff with instructional responsibilities will be referred to the chair of the Senate Committee on Academic Freedom, Tenure, and Professional Ethics, who will appoint a two-person investigative team from a pool of faculty and administrators trained for this duty. Complaints against non-teaching staff will be referred to the Vice President for Human Resources, who will appoint an investigative team from a similarly trained staff pool. Complaints against undergraduate students will be handled according to procedures adopted in cases of nonconsensual sexual activity, as modified by the policy statement. Complaints against graduate students that arise from their teaching capacity will go the Senate-committee route; the University Judicial System shall retain jurisdiction for other complaints against graduate students.

Investigative Team The investigative team will conduct a candid, neutral inquiry into all relevant circumstances, including the possibility that this incident is part of an ongoing pattern of harassment. The objective of this investigation will be to determine if there is enough evidence to proceed further, not to come to any conclusion about what actually occurred. Targets of investigation who are union members retain any rights to representation they enjoy when disciplinary action is a possibility. The investigative team will complete the investigation by filing a written report with the person who appointed them and each of the parties within 30 days of their appointment, except during summer months, when this period may need to be extended to make necessary contacts with witnesses.

If the investigative team decides the evidence is insufficient to constitute harassment, it shall recommend against a hearing to the relevant decision-making body (the Senate Committee on Academic Freedom, Tenure, and Professional Ethics or the comparable staff committee). The final decision as to whether to proceed further with the complaint rests with this body, which shall inform the parties of its decision in a timely manner. This procedure for weighing the evidence before proceeding does not apply to complaints against students.

These procedures are not intended to reduce the University's established authority to respond immediately to credible allegations of serious harassment with a temporary reassignment of personnel. The Chair of the Senate Academic Freedom, Tenure, and Ethics Committee shall be notified with 24 hours of any such decision involving a faculty member so that the Committee's procedures can be engaged without undue delay.

Settlements At any stage in an investigation, the parties may consult with the sexual harassment officer in an effort to reach a settlement. Any agreement must be approved by that officer and recorded. If the settlement involves a resignation, that person will not be eligible for rehiring at Syracuse University.

Hearing Absent a settlement or a finding that evidence is insufficient to proceed, the case shall be heard within one month of the filing of the investigative report, unless there are extenuating circumstances. The hearing will be held before a five-member panel drawn from a pool of faculty, staff, students, and administrators trained to resolve such cases. Selection of panelists shall be made in accordance with the committee's established procedures, except that at least one member of the panel will occupy the same status within the community (student, staff, faculty) as each party, and due consideration shall be given to gender, race, sexual orientation, or other factors that may be relevant to achieving a representative panel and a fair disposition. In cases referred to the Senate Committee on Academic Freedom, Tenure, and Professional Ethics, the chair of the committee shall draw the panel. The Vice President for Human Resources will draw a panel in other employee cases. In cases where a student is charged, the current procedure for drawing a hearing panel under the University judicial system shall be superseded to the extent necessary to provide a trained panel with representation and balance as described above. Hearings before the Senate Committee on Academic Freedom, Tenure, and Professional Ethics shall be conducted in accordance with procedures described in The Faculty Manual, except as modified below.

Communication of Findings of Hearing Panel and Appeals The panel will report its findings to the appropriate authorities and to the parties within three working days of its decision. All decisions involving a faculty member shall be communicated to the department chair and dean or other immediate supervisor, the Vice President for Human Resources, and the Vice Chancellor for Academic Affairs, unless the recommendation is for dismissal, which requires notification of the Chancellor. Decisions concerning other employees of the University shall be communicated to the relevant supervisor and the Vice President for Human Resources. Decisions concerning a student shall be communicated by channels established under the student code of conduct, and where a graduate student's teaching duties are the subject of a recommendation, to the relevant department chair and the Dean of the Graduate School in addition. All materials associated with the case, including the panel's decision, shall be forwarded to the sexual harassment officer, where the material will be kept in a locked file, to which only the officer will have a key.

Possible sanctions include, but are not limited to, suspension, transfer, or dismissal for the respondent. Action on behalf of complainants and/or respondents, such as paid counseling or voluntary transfer, may also be recommended. All recommendations for disciplinary action shall be in accord with applicable union and personnel rules.

Supervisors, department heads, deans, and others receiving recommendations of hearing panels shall have ten working days from receipt of the decision to implement recommendations.

Appeals from recommendations of the Senate Committee on Academic Freedom, Tenure, and Professional Ethics shall be handled in accordance with applicable procedures described in The Faculty Manual. Appeals from the University Judicial Board shall be taken through existing channels. All other appeals shall be taken within 15 working days of receipt. Grounds for appeal in such cases are procedural error, new evidence, unsuitability of the proposed sanction and administrative failure to implement the recommendation of the hearing panel.

Record-Keeping and Confidentiality The record-keeping procedures outlined here are designed to protect the confidentiality of individuals to the maximum degree consistent with protection of the Syracuse University community against future sexual harassment. The sexual harassment officer will keep detailed records of settlements reached, of complaints and responses filed, and of dispositions of contested cases in a locked file. This material is subject to disclosure only as required by applicable law. No permanent records will be kept by the volunteer advisors.

When a complaint is received, the officer will check the file to determine whether a previous complaint has been recorded against the same individual, but not acted upon. If so, the officer shall attempt to contact the earlier complainant(s) and any witnesses named in order to suggest the possibility of joint action or participation as a witness. Such persons enjoy the right to decline to participate. The officer shall also use this file to determine whether previous settlements have been reached involving the person complained against; if so, the complainant and the relevant hearing body shall be so informed.

The sexual harassment officer will publish in the Syracuse University Record, at least once during the academic year, information that will assist the community in educating itself about sexual harassment. This will include a listing and brief description (in a form that guarantees anonymity) of all communications about sexual harassment received by the officer; the intervention that occurred, if any; and outcome reached.

Policy Against Reprisals Reprisals against persons who initiate or support action against sexual harassment are strictly forbidden and will be grounds for severe disciplinary action. In an ongoing investigation, evidence of reprisals may suggest that sexual harassment has occurred. The sexual harassment officer will advise volunteer advisors, hearing panels, and supervisory personnel about means of preventing their occurrence.

False claims of sexual harassment may be defamatory and subject to disciplinary procedures or legal action.

Limitations on Actions Persons who remain in the University community may invoke this grievance procedure for incidents occurring up to two years previously. But if a person severs his or her relationship with the University (through graduation, change of job, etc.) that time frame is shortened by the requirement that such persons initiate these procedures within six months of the date of severance.

While this policy applies to the University's overseas programs and to internship and fieldwork experiences sponsored by the University, it is subject to adaptation as appropriate to these settings.

Approved by the Senate,

October 20, 1993

3.12 rape and sexual conduct

Syracuse University is committed to the maintenance of an environment which is supportive of its primary educational mission and free from all exploitation and intimidation. The University will not tolerate rape, sexual assault, or other forms of nonconsensual sexual activity.

Syracuse University supports this policy for students, faculty, and staff, through its educational prevention programs and its counseling and medical support services.

Syracuse University will enforce this policy through internal disciplinary procedures, security programs, and the encouragement of external prosecution of alleged offenders through appropriate external judicial forums.

"Rape" and "Sexual Assault" under this policy shall include but not be limited to the following:

1. Any form of nonconsensual sexual intercourse, committed by physical force, coercion, threat, or intimidation, actual or implied, by a person(s) known or unknown to the victim. Sexual intercourse can involve anal, oral, or vaginal penetration.
2. Any actual or attempted nonconsensual sexual activity, including but not limited to, attempted intercourse, sexual touching, exhibitionism, or sexual language of a threatening nature, by a person(s) known or unknown to the victim.
3. All other conduct which violates the New York Penal Law now or subsequently in effect including, but not limited to, the conduct defined as rape, sodomy, or sexual abuse.

Nonconsensual activity shall include, but not be limited to, situations where the victim is unable to consent because she/he is mentally incapacitated, or is physically helpless due to drug or alcohol consumption, or is unconscious.

Victims of rape or sexual assault are encouraged to file a complaint through any University office as soon as possible after the alleged incident. Complaints may also be filed by parties not directly related to the University where a significant relationship to the mission and interests of the University can be shown.

Complaints against students will be forwarded to the Dean of Student Relations for resolution within the University's judicial system. Complaints against University employees will be forwarded to the Vice President for Human Resources for resolution within the University's respective grievance procedure systems.

Members of the University community found guilty of sexual abuse are subject to sanctions including suspension and permanent expulsion.

This policy shall supplement all other University policies relating to sexual abuse and harassment, all of which shall remain in effect. All policies shall be applied consistently in such a manner as to effectuate their collective purposes and may be amended from time to time as deemed necessary or desirable by the University.

Approved by the Senate,

December 13, 1990

3.13 maintenance of public order

Syracuse University regulations on campus disruptions apply to students, faculty, administrators, and staff for the maintenance of public order on its owned and controlled property and its sponsored events.

Pursuant to the requirements of the New York Educational Law 6450 (Art. 129a, 1969), the following rules, regulations, and enforcement procedure are adopted for the maintenance of public order on Syracuse University-owned or controlled premises.

1. Prohibited Conduct.

   Syracuse University is committed to the principle that freedom of discussion is essential to the search for truth and, consequently, welcomes and encourages the expression of dissent. Freedom of expression, however, ceases at that point at which its exercise infringes on the rights of either participants or nonparticipants. In order to preserve freedom of discussion and to protect the rights of all, the following conduct is prohibited:

   Obstruction or disruption of teaching, research, administration, disciplinary proceedings, pedestrian or vehicular traffic, or other University activities, including public service functions and other authorized activities on University-owned or University-controlled premises;

   Detention or physical abuse of any person on University-owned or University-controlled premises or conduct which threatens or endangers the health or safety of any such person;

   Destruction of or damage to University premises or the property of any person where such property is located on University-owned or University-controlled property;

   Illegal or unauthorized possession or use of firearms, explosives, dangerous chemicals, or other dangerous weapons or instruments on University-owned or University-controlled premises;

   Entry on or use of University facilities or property without authorization or violation of regulations governing the use of University facilities or property;

   Failure to comply with directives of University officials or law enforcement officers acting in performance of their duties;

   Acts which recklessly or intentionally endanger mental or physical health or involve the forced consumption of alcohol or drugs for the purpose of initiation into or affiliation with any organization;

   Aiding any other person to engage in any act or conduct herein proscribed.

2. Removal from Premises.

   Any person while on University-owned or University-controlled premises who refuses the request or command of an authorized University official to desist in any prohibited conduct may be ejected from such premises where such conduct constitutes a substantial danger to public order on such premises.

3. Violations and Sanctions.

   A student charged with violating the prohibitions listed under Section A will be subject to the disciplinary sanctions and procedures outlined in the Student Handbook, under the heading of "Student Rights and Responsibilities."

   A member of the staff charged with violating the prohibitions listed under Section A will be subject to the disciplinary procedures and sanctions described under "Conduct and Disciplinary Action," in On the Staff.

   A faculty member charged with violating the prohibitions listed under Section A will be subject to the procedures described under Section 3.16 of The Faculty Manual, Edition 18, January 1995 as subsequently amended. A sanction need not in every case be imposed. Where appropriate, sanctions for a person found to have violated those prohibitions may range from a verbal or written reprimand, to suspension of faculty privileges and responsibilities, either with or without salary or benefits for a period not to exceed the remainder of the semester and the semester following hearing board action, to termination of contract or tenured position. In extraordinary circumstances, the Chancellor or designated representatives may suspend the accused person pending hearing of the charges.

Approved by the Senate,

December 14, 1994

3.14 misconduct in research, scholarship, or creative activity

Misconduct in research, research training, scholarship, or creative activity is defined as the fabrication or falsification of data (such as deceptively selective reporting, including the purposeful omission of conflicting data with the intent to falsify results); plagiarism, (the misappropriation of the ideas or works of others, including the unauthorized use of privileged information, however obtained); or other unethical practices that seriously deviate from those that are commonly accepted in the scholarly community for proposing, conducting, or reporting research or other scholarly or creative activity. It does not include honest error or honest difference in interpretations or judgments of data. Material failure to comply with federal requirements for the protection of researchers, human subjects, or the public, or for ensuring the welfare of laboratory animals, is also considered misconduct under the federal regulations governing the conduct of research; offenses of this type may also be investigated using the procedures in this Section.

Allegations of misconduct should be made directly to the Vice President for Research and Computing. The vice president shall have the responsibility for determining that the procedures utilized and the reports made are in compliance with state and federal regulations and with sponsor guidelines. If the vice president determines that the allegations fall with the definition of misconduct, the vice president will immediately initiate an enquiry in consultation with the committee on Academic Freedom, Tenure, and Professional Ethics (hereafter referred to as the AFT Committee). The accused will be informed of the procedure and invited to respond. The chairperson of the department or unit where the member of the University community works, as well as the appropriate dean or responsible administrative officer, will be notified, in confidence, at the same time. If the complainant or the accused believe that the Vice President for Research and Computing has a conflict of interest in the matter to be adjudicated, either may make a request to the Vice Chancellor for Academic Affairs to appoint a substitute for the vice president's role in the procedure. Upon hearing the request, the Vice Chancellor will determine whether the Vice President for Research and Computing should be replaced in this specific matter and, if so, by whom. Notwithstanding any other provision of the policy, if the accused at any time shall admit an offense and agree to sanctions which are acceptable to the Vice President for Research and Computing or the designated replacement for the Vice President for Research and Computing, there shall be no need for further proceedings.

A preliminary enquiry shall be conducted by an ad hoc panel composed of three members appointed by the AFT Committee in consultation with the Vice President for Research and Computing. The panel shall elect its chair. The purpose of this enquiry is to establish where an allegation or apparent instance of misconduct warrants an investigation. The membership of the panel should include sufficient expertise to assure an understanding of the issues involved in the allegations. The panel may include one or more individuals from other institutions. Members of the panel shall be appointed mindful of the need to avoid any real or apparent conflict of interest. The enquiry will be carried out in a manner that affords the accused notice of the charges and an opportunity to be heard, while at the same time seeking to preserve the confidentiality of the enquiry proceedings. The accused is expected to permit access to appropriate documents that are relevant to the proceedings. Within sixty (60) days after the date of the complaint, the panel will prepare a written report which details the evidence reviewed, summarizes relevant interviews, and presents the conclusions reached. The report will be given to the Chair of the AFT Committee, who will transmit it to the committee and to the Vice President for Research and Computing. The accused will also be given a copy of the report. The accused may make written comments on the report, and those comments will become part of the record.

If the enquiry panel concludes, by majority vote, that a full investigation is warranted, such an investigation will be initiated within 30 days of the completion of the enquiry and any sponsoring agency or agencies will be notified of the decision to proceed. A new panel of five members will be appointed by the AFT Committee in consultation with the Vice President for Research and Computing. The panel shall elect its chair. The guidelines for membership of the new panel shall be the same as for the enquiry committee, but there should be no overlap of membership. The investigation will normally include examination of all documentation, including, but not limited to, relevant research data and proposals, publications, correspondence, and memoranda of telephone calls. Wherever possible, interviews should be conducted with all involved in making the allegation(s) or against whom allegation(s) are made, as well as with others who might have relevant information. All parties shall have the right to be accompanied by an advisor or attorney. The investigation need not be limited to an examination of the particular research or scholarship alleged to have been fraudulent but, with prior notice to the accused and opportunity to be heard, can be broadened to include other research or scholarship. Within 120 days after initiation of the investigation, the panel will submit, to the Vice President for Research and Computing, detailed documentation to substantiate the findings of the investigation.

As soon as the alleged misconduct is either substantiated or judged to be not substantiated, any agency or agencies sponsoring the research or scholarly activity must be notified by the Vice President for Research and Computing. If the investigation determines that misconduct did not occur, efforts must be made to restore the reputation of the accused. If the investigation determines that misconduct did occur, the panel may make recommendations as to the disposition of the matter. The Vice President for Research and Computing shall notify all journals in which fabricated, falsified, or misappropriated data have been published, or to which such data have been submitted. If disciplinary action is recommended, the Vice President for Research and Computing will forward these recommendations to the Chancellor, who will determine the final disposition. Nothing in these regulations is to be construed as eliminating any of the procedures which should precede the termination for cause of the employment of a tenured faculty member.

Any members of the University found to have taken retaliatory action against any person making, in good faith, an allegation of misconduct, whether substantiated or not, may also be subject to disciplinary action. Should either the enquiry or the investigation show that the allegations of misconduct were not made in good faith, those making the allegations may be subject to disciplinary action.

This policy may be amended from time to time in accordance with applicable procedures.

Approved by the University Senate,

subject to review by legal counsel

March 14, 1990

 

Approved as amended by legal counsel

March 15, 1990

The Faculty Manual is an official bulletin of Syracuse University and is published by Syracuse University, Syracuse, New York 13244.