4.1 Inappropriate Conduct by Faculty Members

I. Policy Statement
Syracuse University is committed to maintaining a healthy, safe, respectful, and productive working, learning, and teaching environment. This Policy provides a framework for defining and preventing inappropriate conduct by University Faculty Members and outlining the available procedural options for those who believe themselves to have been subject to misconduct by a University Faculty Member.

Syracuse University is committed to educating the community about and enforcing the standards of community conduct elaborated below. Further, the University is committed to meeting standards of transparency, fairness, and accountability in acting upon and communicating this policy and the procedures that follow.

II. Scope of Policy
Any member of the University community (student, staff, faculty, or administrator) having a complaint concerning inappropriate conduct by a University Faculty Member may utilize this Policy and the Procedure that follows. For the purposes of the policy and procedure, the term “University Faculty Member” includes all full and part-time, tenure-track and non-tenure-track faculty, professors, instructional staff, teaching assistants (in their instructional capacities), and academic administrators.(1)

III. Responsibilities of University Faculty Members
University Faculty Members share responsibility for University governance and for the maintenance of the tenets of the University Code of Ethical Conduct. As individuals, they are expected to exercise the freedoms fundamental to their roles as scholar/teachers, including but not limited to the principles of Academic Freedom articulated by the AAUP. 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.

University Faculty Members are additionally expected to exercise judgment in the pursuit of their many professional goals and to take responsibility for the power that those freedoms confer. As employees of the University, University Faculty Members implicitly and explicitly agree to contribute to, and not otherwise to impede, the healthy, safe, and productive environment for work, learning, and teaching to which the University is committed. As University Faculty Members, they have a responsibility to contribute positively to the learning environment for all students and not to take advantage of or abuse those professional powers.

IV. Inappropriate Conduct
The term “inappropriate conduct,” as utilized in this Policy, refers to violations of University policy, including but not limited to the Code of Ethical Conduct and University policies addressing discrimination and harassment. The term also refers to ethics violations, harassment, or retaliation as prohibited by University policy. (2) Allegations of University policy violations that may potentially constitute criminal conduct may also be reported to appropriate law enforcement authorities and the district attorney by the complainant and may have to be reported to law enforcement authorities and the district attorney by the University in some cases per applicable policy or practice. This Policy and the Procedure that follows do not apply to allegations of improper research ethics or alleged violations of the University’s research, grading, or plagiarism policies (3). Allegations of inappropriate conduct will be evaluated under this policy by considering the totality of the particular circumstances, including the nature, frequency, intensity, location, context, and duration of the conduct at issue.

V. Definitions

Discrimination
“Discrimination” is defined as any conduct that violates the Non-Discrimination and Equal Opportunity policy of Syracuse University. Syracuse University is an equal-opportunity, affirmative-action institution. The University prohibits discrimination and harassment based on race, color, creed, religion, sex, gender, national origin, citizenship, ethnicity, marital status, age, disability, sexual orientation, gender identity and gender expression, genetic information, veteran status, or any other status protected by applicable law to the extent prohibited by law. This nondiscrimination policy covers admissions, employment, and access to and treatment in University programs, services, and activities.

Sexual Harassment
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, offensive, or hostile environment for study, work, or social living. The policy (4) covers activity both on and off campus. This policy applies to all interactions between Syracuse University Faculty Members and other faculty, staff, graduate students, undergraduate students, and administrative personnel. State or federal laws may also apply in some instances.

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 or hostile environment. This standard prohibits not only behavior intended to create a hostile environment but also 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.

Sexual harassment is conduct that focuses on a person’s sexuality and/or gender, rather than on that person’s contributions, as a student or employee, to the University. It encompasses the full range of coercive, unwelcome behavior, from subtle psychological force to gross physical abuse. These acts may be visual (e.g., leering, ogling, and physical gestures conveying a sexual meaning), verbal (e.g., sexual innuendoes, suggestive remarks, sexually derogatory jokes), written (e.g., sexually suggestive e-mail, cartoons, or letters), or physical (e.g., hugging, pinching, or fondling). Sexual harassment also includes requests for sexual relations combined with threats of adverse consequences if the person refuses.

Conduct alleged to be sexual harassment will be evaluated by considering the totality of the particular circumstances, including the nature, frequency, intensity, location, context, and duration of the questioned behavior. Repeated incidents or a pattern of harassing behavior may be cause for serious corrective action. However, a more serious incident, even if isolated, may be sufficient cause for action under this policy.

Consensual Sexual or Romantic Relationships
Sexual or romantic relationships that might be acceptable in other circumstances always pose inherent risks that they will result in sexual harassment when they occur between University Faculty Members and any person for whom they have a professional responsibility. These relationships, even when not harassing, may develop into professional conflicts of interest or create the perception of such a conflict of interest, that may make it difficult to carry out a role as educator or supervisor. Conduct within a consensual relationship may become part of a subsequent complaint of sexual harassment.

The danger that difficulties, including harassment or abuse of power, will occur is particularly strong in relationships between teachers and students they are teaching and/or advising. 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 is not intended to apply to faculty spouses or domestic partners, as those terms are defined in the University’s Benefits Eligibility Policy, who may be students and whose relationship precedes the creation of a power imbalance. In addition, the Provost, after consultation with the relevant Chair or Dean, may permit exceptions to this policy in appropriate circumstances.

(a) Relationships with Undergraduate Students

When undergraduate students are involved, the difference in institutional power and the inherent risk of coercion are so great that no University Faculty Member shall enter into or engage in a romantic or sexual relationship with a Syracuse University undergraduate student, regardless of whether there is a supervisory or evaluative relationship between them. Efforts by faculty to initiate such relationships are also prohibited.

(b) Relationships with Graduate Students

Romantic or sexual relationships between faculty and graduate/professional students are also problematic. No University Faculty Member shall enter into or engage in a consensual or romantic or sexual relationship with graduate students or any subordinates whose work the University Faculty Member supervises or who are enrolled or employed in any academic program or department in which the faculty member participates. Efforts by faculty to initiate such relationships are also prohibited.

(c) Relationships between Teaching Assistants and Undergraduate Students

Undergraduate and graduate teaching assistants are prohibited from pursuing or engaging in romantic or sexual relationships with undergraduate students they teach, advise, or supervise. In the case where a teaching assistant had a prior romantic or sexual relationship with a student over whom they have supervisory or evaluative authority, the teaching assistant must notify their faculty supervisor, Chair, or Dean, who will assist with taking steps necessary to mitigate any potential conflict.

In addition, University Faculty Members shall not exercise supervisory or evaluative authority over any student with whom they have had a previous romantic or sexual relationship.

Minors

Minors are unable to consent to any sexual activity with an adult; therefore, there is no such thing as consensual sexual activity between a minor and a University Faculty Member. The University strictly prohibits unlawful sexual activity involving minors in connection with any of its programs. For the purpose of this policy, a minor is any person under the age of 17. The University prohibits not only unlawful bodily contact with a minor, if engaged in for purposes of sexual gratification or arousal, but also any unlawful non-contact sexual activity (e.g., voyeurism, exposure to pornography, “sexting,” etc.) Any reports or complaints of unlawful sexual activity involving minors will be reported to appropriate law enforcement and social service agencies.

Other prohibited conduct
As stated above, discrimination or harassment based on the categories protected under University policy or applicable law is prohibited. In addition, conduct that creates a hostile work environment is prohibited by this policy. Complaints may be filed under this policy by members of the University community who believe that they are being subjected to a work or educational environment that for one reason or another is hostile or inappropriate but does not meet the definition of sexual harassment or discrimination under the law or policy.

VI. Protection from retaliation
Regardless of the outcome of any action undertaken through this policy, retaliation against any complainant or witness who participates in using the policies and procedures set forth in this or any other section of the Faculty Manual will not be tolerated and, when reported, may form the basis for a separate complaint of misconduct.

1. Policies regarding allegations of improper conduct against students can be found on the SU Policies Website at http://supolicies.syr.edu/studs/ and at the Community Standards website at https://studentconduct.syr.edu. Policies regarding allegations of improper conduct against staff not covered by this policy can be found at http://supolicies.syr.edu/violations.html or at http://supolicies.syr.edu/emp_ben/staff_complaint.htm.

2. University Faculty Members denied tenure or promotion may appeal those decisions, in accordance with Section 2.38. Appeals based on procedural issues should be filed with the Committee on Appointments and Promotion. Appeals on matters of ethics, academic freedom, or discrimination should be filed with AFTPE.

3. Allegations of improper research ethics and allegations of violations of the University’s research and plagiarism policies by University Faculty Members should be reported to the Office of the Vice President for Research, per section 4.4. Allegations of violations of grading policies by University Faculty Members should be reported to the School/College of instruction.

4. The University Sexual Harassment, Abuse, and Assault Prevention Policy is the University’s omnibus statement and controlling policy on the handling of complaints about sexual harassment.

(Added September 2012. Updated August 20, 2018. Updated April 17, 2024)

A. Syracuse University will furnish an employee of the University with legal defense through legal counsel selected by the University and with payment of judgments, fines, penalties, settlements, and any other expenses actually and reasonably incurred in connection with an actual or threatened civil, criminal, administrative, or investigative action; claim; or proceeding (an “Action”) brought against the employee by reason of being an employee of the University or serving at the University’s request as a member of or representative to an entity outside the University.

B. Defense and/or payment under this policy will be available only if all of the following conditions are met to the satisfaction of the University, in its sole discretion:

• 1. The employee’s actions or omissions were within the scope of their University duties and authority.
• 2. The employee’s actions or omissions were in good faith and in a manner reasonably believed to be lawful and in the best interests of the University.
• 3. The acts or omissions did not constitute dishonesty, gross negligence, recklessness, willful misconduct, or the intentional infliction of harm, and the employee did not receive any financial profit or advantage to which they were not legally entitled.
• 4. The original or a copy of any summons, complaint, notice, demand, letter, or other document or pleading in the action, or a writing setting forth the substance of any claim, complaint, or charge made orally, was delivered to the University’s Risk Management Department (or in cases involving employment practices, to the Office of Human Resources) within seven days after receipt of such document, oral claim, complaint, or charge, with a specific request in writing that the University represent the employee.
• 5. The employee cooperates continuously and fully with the University in the defense of the action.

C. The protection in this policy will not extend to:

• 1. Consulting or other outside professional or business activities for which the employee or an entity with which they are affiliated is entitled to receive compensation exceeding reasonable expenses from a party other than the University.
• 2. Acts or omissions while an employee is on an unpaid leave of absence from the University.
• 3. Actions that an employee may affirmatively initiate or propose initiating against any other person or entities.
• 4. Any action to the extent that the damage or loss is indemnifiable under any insurance which is in force and covers the employee.
• 5. Members of a collective bargaining unit at the University, except to the extent that indemnification rights have been incorporated into a collective bargaining agreement.
• 6. Trustees or officers of the University.
• 7. Any indemnification prohibited by law.

D. The benefits of this policy do not enlarge the rights which would have been available to any third-party plaintiff or claimant in the absence of this policy.

E. Syracuse University reserves the right to change or withdraw this policy in its sole discretion, except as to claims based on acts or omissions which occurred before the change or withdrawal of the policy. Notice of any change or withdrawal will be published in a publication of general circulation at the University.

F. This policy was adopted by the Board of Trustees on October 4, 1991, and applies to any acts or omissions occurring after that date.

Approved by the Board of Trustees October 4, 1991; Updated April 17, 2024

Faculty members, as individuals, are free to engage in political activities. Leaves of absence may be given for the duration of an election campaign or a term of office, on timely application, and for a reasonable period of time. The terms of such leaves of absence should be set forth in writing and should not unfavorably affect the tenure status of a faculty member, except that time spent on leave does not count as probationary service unless otherwise agreed to.

Updated April 17, 2024

Faculty are entitled to full freedom in research and in the publication of the results, subject to the adequate performance of their other academic duties; but research for pecuniary return should be based upon an understanding with the authorities of the institution.

• 1. Faculty are entitled to freedom in the classroom in discussing their subject, but they should be careful not to introduce into their teaching controversial matter which has no relation to their subject. Limitations of academic freedom because of religious or other aims of the institution should be clearly stated in writing at the time of appointment.
• 2. College or university faculty are citizens, members of a learned profession, and officers of an educational institution. When they speak or write as citizens, they should be free from institutional censorship or discipline, but their special position in the community imposes special obligations. As scholars and educational officers, they should remember that the public may judge their profession and their institution by their utterances. Hence they should at all times be accurate, should exercise appropriate restraint, should show respect for the opinions of others, and should make every effort to indicate that they are not speaking for the institution (1940 Statement of Principles on Academic Freedom and Tenure, American Association of University Professors).

For the full statement, see Appendix to the Faculty Manual.

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 informs 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.

One important outcome of sponsored research at a university is training of undergraduate and graduate students, and this training includes the opportunity to perform research leading to or closely associated with thesis or dissertation topics. Also, it is in the interests of faculty members, as well as of students, that complete freedom exist to publish or otherwise disseminate the results of their research and scholarship. Since these goals cannot be achieved under the restrictions applying to government classified programs or restrictions deriving from proprietary rights of commercial or private sponsors, as a matter of practice, the University does not undertake projects which are subject to restrictions on the open dissemination of research projects that are greater than 36 months in duration.

However, with certain government agencies, although the research performed and the reports created may not result in restricted material, it may be necessary for faculty members working on projects to visit restricted areas, attend closed conferences, or view classified materials. Such activities are permitted so long as the research products themselves are not classified or restricted.

It is the responsibility of the Vice President for Research to ensure that a sponsor’s regulations applicable in each particular instance do not contravene the University’s limitations on classified and proprietary research.

Updated April 17, 2024

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 faculty and staff 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, or educational or other externally funded activity.

To minimize the potential for financial interests to influence federally funded research, in 1995, the U.S. 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 Investigators 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 faculty member’s obligation to obtain University approval prior to beginning outside activities (See Section 3.4).

The University will obtain assurance that other institutions collaborating with University Investigators on sponsored projects have comparable policies that comply with federal regulations. See https://policies.syr.edu/policies/faculty-teaching-and-research/conflict-of-interest-and-commitment-for-principal-investigators-and-senior-personnel-on-sponsored-programs/ for full statement regarding conflicts of interest for principal investigators.

[1] 42 CFR 50.610-607 and 45 CFR 94.1-6.

Updated April 17, 2024

To the extent that the faculty member on an academic-year appointment is a free agent for the summer period, the Section above limiting consulting time to one day a week on average does not apply. All other stipulations remain in force. The one-day time limit is applicable, however, during any summer time period when faculty members holding an academic-year appointment are employed by the University for summer teaching or in any other capacity. Faculty cannot be compensated for sponsored activities at a rate that exceeds the pay rate in place at time of effort. Contact the Office of Sponsored Programs for more information, http://osp.syr.edu/.

Updated April 17, 2024

Faculty members may perform outside consulting for remuneration during the academic year, subject to the following stipulations:

• requests for approval, furnishing essential information, are made to the appropriate dean—in advance of the consulting activities.
• the appropriate dean provides written approval for the consulting. If, in the dean’s opinion, additional approval is necessary, request for such approval is made to the Vice Chancellor, Provost, and Chief Academic Officer.

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

• Faculty members may not 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.
• Faculty members may not 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.

Written approval of all appropriate deans is needed for use of departmental facilities, materials, and supplies. In such cases, consultants will make suitable reimbursement to the University. Employment, by consultants, of other University personnel, including graduate students, should be cleared with appropriate deans or supervisors.

University letterhead should 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.

Updated April 17, 2024

Prior approval of the appropriate department or program chair is required in order for faculty members to be away from campus for more than one week during any period of normal academic operation. Such advance notice will permit alternative arrangements to assure continuing coverage of all their campus responsibilities.

Updated April 17, 2024