HARVARD KENNEDY SCHOOL. Faculty Handbook

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1 HARVARD KENNEDY SCHOOL Faculty Handbook Last Updated: September 1, 2011

2 Table of Contents Governance and Administration... 1 Harvard University... 1 The Faculty of Government: John F. Kennedy School of Government... 2 Responsibilities of the Faculty of Government... 3 General Policies Governing the Faculty of Government... 9 Rights and Responsibilities... 9 Kennedy School Statement of Rights and Responsibilities... 9 Kennedy School Statement on Diversity Harvard University Statement of Values University-Wide Statement on Rights and Responsibilities Conflict of Interest and Conflict of Commitment Harvard University Statement on Outside Activities of Holders of Academic Appointments Requests for Approval of Outside Teaching by Harvard Faculty University Statement of Policy on Conflicts of Interest Kennedy School Policy on Outside Employment and Consulting Kennedy School Guidelines for Faculty Involvement in Student Ventures Kennedy School Policy on Politics and Political Activity Kennedy School Partnerships and Collaborations with Other Institutions Affirmative Action Reaffirmation of Harvard University s Policy Concerning Affirmative Action and Equal Employment Opportunity by the President and Fellows of Harvard College Nepotism Sexual Harassment and Unprofessional Conduct Faculty Disciplinary Committees i

3 Other Kennedy School, University, Cambridge and Commonwealth Policies Policies on Residency, Absences and Leaves, Faculty Workload, and Compensation Residency Absences and Leaves During Periods of Instruction Academic Leaves Purposes of Leave Notification of Area Chairs, the Academic Dean, and the Dean University Rules Regarding Leaves and Procedures for Appointment of Former Faculty Returning after Public Service Leave Types of Leave Medical Leave Parental Teaching Relief Policy The Academic Clock Other Leave-Related Issues Faculty Workload Guidelines Buying out Academic Year time for Research or other Scholarly Activities Summer Employment Harvard University Policy on Extra Compensation Policies Regarding Faculty Appointments Procedures for Faculty Appointments Composition of the Faculty and Other Officers of Instruction Composition and Responsibility of the Appointments Committees Brief Descriptions of Titles and Terms Ladder Faculty Non-Ladder Faculty with the title Professor Lecturers and Adjunct Lecturers Visiting Faculty Search Procedures and the Appointment Process Tenured and Ladder Faculty Kennedy School Criteria for Appointments and Promotions Procedures for Promotions of Ladder Faculty Promotion to Associate Professor Promotion to Professor Criteria and Procedures for Non-Ladder Appointments, Renewals and Promotions Professor of Practice ii

4 Public Service Professor Term Lecturer Senior Lecturer Appointment of Lecturer to Professor of Practice Other Types of Appointments Visitors Category E Category C Criteria for Reappointing a Faculty Member after Public Service Leave Affirmative Action Policy for Hiring Evaluating Contributions to the Teaching Mission Faculty as Managers Faculty Performance Management Responsibilities Your Personal Human Resource Information at Harvard University Travel Policy Overview Research Policies and Guidelines Research Standards Research Support and Administration Principal Investigators Proposals for External Support: Review, Approval and Submission Process HKS Faculty Committee on Projects and Proposals Facilities and Administrative (Indirect) Costs Kennedy School Research Administration Office Dean s Research Fund HKS Research Centers and Support for Faculty Sponsored Program Administration Principles Governing Research at Harvard Procedures for Responding to Allegations of Misconduct in Research iii

5 FACULTY HANDBOOK Part I Governance and Administration Harvard University Harvard University consists of nine faculties overseeing degree programs in twelve schools and colleges and the Radcliffe Institute for Advanced Study. The Faculty of Arts and Sciences, the largest, is the only faculty that awards undergraduate as well as graduate degrees. Harvard's other principal academic units are the Faculty of Business Administration, the Faculty of Design, the Faculty of Divinity, the Faculty of Education, the Faculty of Government, the Faculty of Law, the Faculty of Medicine (comprising the faculties of both the School of Medicine and the School of Dental Medicine), and the Faculty of Public Health. These major components of the university function independently in many matters of governance and financing. The Governing Boards The University has two governing boards. The Harvard Corporation known formally as the President and Fellows of Harvard College is the University s sevenmember executive governing board. It has ultimate responsibility for Harvard's programs and resources and for the overall well-being of the University. It meets approximately once a month, and its duties include the review and approval of budgets, major capital projects, tuition and fees, and various major programmatic initiatives. It is also the official approver and record-keeper of all faculty appointments. The Board of Overseers consists of thirty members, elected by Harvard degree holders to serve staggered six-year terms. The Overseers meet five times a year and regularly discuss and advise Harvard's president, provost, deans, and vice presidents on major policy and planning issues facing the University. Much of their work is carried out through standing committees. The Board also oversees an extensive process of visitation, by which more than fifty visiting committees evaluate and advise on the work of Harvard's schools, academic departments, and other major units. The two boards have joint committees on inspection (audit) and appointments. 1

6 FACULTY HANDBOOK Visiting Committee Visiting Committees help the Board of Overseers stay informed about the broad research and educational mission of the University. A visiting committee is generally composed of independent individuals who are knowledgeable and experienced in the field being examined. They are appointed by the Overseers, and ordinarily no one may serve consecutively on such a committee for more than six years. There are many Harvard visiting committees, and each is expected to report to the Overseers on the effectiveness of a particular unit in the University. There are visiting committees to professional schools, museums, centers, libraries, and academic departments. The findings of visiting committees are brought to the attention of the Overseers, who transmit these findings to the president and the appropriate deans of the faculties. The President and Provost The president presides at meetings of the Corporation and is an active participant in the meetings of the Board of Overseers. She is a member and presiding officer of each of the faculties, and she is charged by the University statute to exercise a general superintendency over all the university s concerns. The provost is responsible for fostering academic, administrative, and financial cooperation throughout the University. Academic Advisory Group The Academic Advisory Group (AAG) is composed of the University's president and provost, the deans of Harvard's schools and faculties, the senior vice provost for faculty development and diversity, and others by invitation. It acts as an advisory body to the president and often considers interfaculty projects. Matters of universitywide administrative policy and those concerning Harvard s relationships with other universities, foundations, and agencies are taken up by the AAG, which provides a channel of communication between the deans as a group and the president and his staff. The Faculty of Government: John F. Kennedy School of Government What is today Harvard s John F. Kennedy School of Government (HKS) traces its origins to Harvard University's Graduate School of Public Administration, which was established in 1936 through a gift from Lucius N. Littauer (AB 1878). Faculty were originally drawn from the economics and government departments to teach public administration, first for a one-year Littauer Fellowship, which later became the Mid- Career Master in Public Administration Program (MPA). Two decades later, the program grew to include the Mason Fellows - emerging leaders from developing countries. By the mid-1960s, faculty began to develop a public policy curriculum based more in economics and analytic studies than on the management principles of traditional public administration. This grew into the two-year Master in Public Policy Program (MPP), which accepted its first students in

7 FACULTY HANDBOOK At the same time, Harvard sought to establish a memorial to the late President John F. Kennedy. Under the leadership of faculty, the Institute of Politics (IOP) was established by friends and Kennedy family members to serve as a bridge between the academic study of government and the real world of politics. The school was then renamed in memory of the late President. The MPA program, the MPP program and the IOP were brought together when the Kennedy School was dedicated in In the 1990s, Kennedy School faculty working on the problems of developing countries around the world began to realize that their field required a new kind of professional training. To be successful, development professionals had to combine expertise in economic analysis with a multi-disciplinary approach to solving problems, drawing on political science, management, sociology, history, and other disciplines, as well as professional skills. Developing nations and international organizations alike needed policy makers who are top-notch in their quantitative and economics skills but also fully grounded in the realities of poor countries. A rigorous new degree program, the MPA in International Development, designed to train the next generation of leaders in this field, welcomed its first class in September Today, the school has four masters degree programs serving 900 students a year and supports five doctoral programs. We host more than sixty executive education programs reaching 3,000 participants each year and are home to more than a dozen research centers and institutes. Responsibilities of the Faculty of Government Academic policies, required courses of study, and the granting of degrees are the responsibility of the Faculty of Government as a whole. Areas and the various faculty committees advise the faculty 1 on matters relating to the academic life of the Harvard Kennedy School. Appointment to the faculty entails responsibility for instruction and research as well as academic administration. Voting members of the faculty are expected to attend all scheduled faculty meetings. The voting members of the faculty of government are professors, professors of practice, public service professors, adjunct professors, associate professors, assistant professors, senior lecturers, lecturers, and others who may be granted such privilege by the Academic Dean. In addition to participating in faculty meetings, members of the faculty serve on school-wide standing committees and additional committees formed for faculty searches and reviews or special assignments. From time to time, members of the faculty may also be asked to serve on university committees. Dean of the Faculty of Government The Dean of the faculty is the chief executive officer of the Harvard Kennedy School. Appointed by the President and Fellows of Harvard College, the dean is responsible to the president for the overall governance of the HKS and its academic programs. 1 See Part 4: Policies Regarding Faculty Appointments, for a definition of faculty. 3

8 FACULTY HANDBOOK Academic Dean The Academic Dean has primary responsibility for faculty management. The Academic Dean oversees all faculty hiring and promotion and, in collaboration with the Area Chairs, is responsible for faculty teaching and committee assignments. The Academic Dean approves all research appointments and, in conjunction with the Dean and Executive Dean, has oversight over the School s research and policy centers and institutions. Executive Dean The Executive Dean is the senior administrative officer of the Harvard Kennedy School. The Executive Dean is responsible for working with the Dean and Academic Dean to guide the strategic direction of the School and the management and coordination of the School s administrative operations. Visiting Committee The Board of Overseers appoints a Visiting Committee to each school, department or administrative unit at the University. Their purpose is to inform the Overseers about the state of the School and confer with the Dean on the state of the Kennedy School. With one exception, their members come from outside Harvard s regular faculty and administration. The Kennedy School s Visiting Committee consists of representatives from the academy, public service, and business. They generally visit the School every other year and meet with the dean, faculty, students, and staff. After each visit they produce a written report on the School for the Board of Overseers. Faculty Steering Committee The Faculty Steering Committee, the primary faculty and curricular management group in the School: serves as the major faculty and curricular oversight body for the school; evaluates and works to implement new directions for the School; works with the Dean to devise school-wide strategies and priorities; is responsible for working with the Dean and the Appointments Committee to set hiring priorities; ensures the quality and integrity of teaching programs and ensures that faculty hiring is linked to school needs and opportunities; and annually assesses the progress and opportunities of every faculty member, concentrating particularly on junior and fixed-term faculty, exploring whether appropriate mentoring and support are in place and discussing the ways in which the school could improve areas of concern. Members of the Faculty Steering Committee include the Dean, Area Chairs responsible for managing faculty and curriculum issues in six intellectual and policy domains (Management, Leadership, and Decision Sciences; International and Global 4

9 FACULTY HANDBOOK Affairs; Democracy, Politics, and Institutions; International Development; Social and Urban Policy; and Markets, Business, and Government), faculty chairs of the School s executive and degree programs (MPP, MPA/ID, MPA/MC, MPA2 and PhD), the School s representative to the University Committee on Diversity, the Chair of the Appointments Committee, the Academic Dean, and the Associate Academic Dean. The Assistant Academic Dean provides staff support and the Executive Dean, the Dean of Students, and the Dean s Chief of Staff participate as ex officio members. Area Chairs Each of the six Area Chairs is responsible for a specific group of faculty and for a set of course offerings. Each faculty member is linked to one Area Chair, though his or her teaching might often be in multiple areas. Area Chairs are responsible for overseeing course development and staffing in their area and bringing faculty together to craft the curriculum; working closely with teaching program directors to ensure effective and coherent offerings in their area; taking responsibility for coordinating, supporting and overseeing the work of faculty in their area, including working out teaching, committee, and other responsibilities with the faculty member; ensuring that junior faculty are supported, connected, and progressing, and coordinating with other area leaders when faculty teach in multiple areas; working with faculty in their area and the Faculty Steering Committee to determine key hiring priorities in their area; working to create greater research synergies between faculty in the area and with centers; and, working with the Dean to identify critical needs and opportunities in the area and help determine fundraising goals and objectives. In addition, Area Chairs are responsible for working closely with those research centers whose focus is closely linked to their areas, seeking to stimulate involvement of centers with the activities of faculty in the area and vise versa. Area Chairs work with Center Directors to build more effective involvement, collaboration, and engagement among faculty and students in their broad domain and to identify hiring priorities and funding opportunities. Area chairs advise the Dean on Center activities and participate in annual budget meetings for related Centers. Teaching Program Chairs The School s teaching programs include the Masters in Public Policy, Masters in Public Administration/International Development, Mid Career Masters in Public Administration, Two Year Masters in Public Administration, PhD programs in Political Economy and Government and Public Policy as well as Executive Education. Teaching Program Chairs work closely with Area Chairs to ensure needed course offerings; collaborate with degree program staff to ensure the program is effectively meeting student needs; work with staff on the effective management of their program; and, work with students to ensure the program is effectively meeting their needs. Appointments Committee The Appointments Committee is responsible for faculty hiring procedures, including setting hiring priorities in consultation with the Dean and the Academic Dean, overseeing the uniformity and effectiveness of hiring procedures, and making recommendations to the Faculty Advisory Committee on Tenure and other 5

10 FACULTY HANDBOOK appropriate bodies. The Appointments Committee is chaired by a tenured professor and includes five to six senior faculty, the Academic Dean and the Associate Academic Dean. Faculty Advisory Committee on Tenure and Faculty Advisory Committee on Appointments The Faculty Advisory Committee on Tenure (FACT) consists of the School s tenured Professors (including Category C Professors). It has responsibility for advising the Dean on tenured appointments. The Faculty Advisory Committee on Appointments (FACA) consists of the School s tenured Professors, including Category C Professors, Public Service Professors, Professors of Practice, Associate Professors, and Senior Lecturers. FACA has primary responsibility for approving the procedures and criteria for faculty appointments, including initial appointments, promotions, and renewals, and for advising the Dean on all academic appointments other than those specifically assigned to the Faculty Advisory Committee on Tenure. In addition, FACA shall, when considering appointments to non-tenured positions, include in its membership all other faculty who hold rank above that of the appointment under consideration. Research and Policy Centers and Programs The Kennedy School s research and policy centers and programs support faculty research, publicize research findings, and facilitate faculty engagement with the policy world. Research centers also sponsor fellowship programs and are active in providing advanced training in policy areas and integrating experienced practitioners with faculty and students. Faculty are not assigned to centers but may choose to affiliate with one or more as it supports their intellectual interests. For a list of research and policy centers and programs see: Academic Affairs Committee The mandate of the Academic Affairs Committee (AAC) is to advise the Dean, the Academic Dean and the Faculty Steering Committee regarding student academic interests and concerns. The AAC is co-chaired (ex officio) by the Dean of Students and by the Academic Vice President of the Kennedy School Student Government. Committee membership comprises faculty, staff and students including (ex officio) the chairs of the MPP, MPA, and MPA/ID programs as well as the administrative directors of each of these programs. Recent issues taken up by the AAC have included electronic course bidding, academic advising, language courses for credit, and diversity issues in the curriculum. Staff Kennedy School staff is organized into ten administrative divisions. The Office of Communications & Public Affairs oversees the School's media relations, public affairs and publications efforts. The Degree Programs Student Affairs Office supports the School s degree programs, providing admissions, financial aid, program, career services, and other support. 6

11 FACULTY HANDBOOK Executive Education attracts senior-level elected, appointed and career officials in public service from around the world to shorter, certificate-bearing programs focused on a wide variety of topics. The Office of Alumni Relations and Resource Development is responsible for alumni outreach, donor relations and development to ensure the financial resources needed to meet the Kennedy School's strategic priorities. The Office of Facilities and Services is responsible for Kennedy School building maintenance, mail service, scheduling rooms for meetings and conferences, food service, security and telecommunications. The Office of Financial Services provides financial and administrative services to the School and its component parts. Human Resources handles all personnel matters for staff, including hiring, employee relations, and payroll. Information Technology (IT) Services supports the Kennedy School s mission by identifying and delivering high quality information products and services and by promoting and facilitating their use for the school s teaching, research and administrative operations. It is responsible for information technology services, Studio HKS, and the library. The Research Administration Office manages the review and approval process for all externally funded grant and contract proposals and provides information on funding sources. It also manages the Kennedy School's Faculty Research Working Paper series and Research Report Online to support the dissemination of faculty research and other products. (For more information, see Part VI: Research Policies and Guidelines.) The Associate Academic Dean is the personnel officer for the faculty and is responsible for maintaining faculty personnel records and managing search and review processes. Operations Group The Executive Dean chairs an Operations Group composed of the heads of the administrative divisions, the Associate Academic Dean s Office, the Dean of Students, and the Dean s Chief of Staff. This group manages and coordinates the administrative functions of the School to ensure they are supportive of the School s teaching and research. 7

12 FACULTY HANDBOOK Kennedy School Student Government The Kennedy School Student Government (KSSG) works with various offices around the School to advocate for student concerns. Membership in the KSSG is comprised of students elected by their classmates each year and representatives of authorized student clubs. Specific projects in the past have included: encouraging the establishment of lifetime addresses, negotiating low-cost Internet service, establishing student representation on faculty search committees and on the HKS calendaring and scheduling committee, and partnering in the revision of the core curriculum. 8

13 FACULTY HANDBOOK Part II General Policies Governing the Faculty of Government Rights and Responsibilities Kennedy School Statement of Rights and Responsibilities (August 2005) The central functions of an academic community are learning, teaching, research and scholarship. By accepting membership in the university, an individual joins a community ideally characterized by free expression, free inquiry, intellectual honesty, respect for the dignity of others, and openness to constructive change. The rights and responsibilities exercised within the community must be compatible with these qualities. (From a statement adopted by the President and Fellows of Harvard College, May 2, 1977) Students, staff and faculty at the Kennedy School share certain values that inform our work and strengthen our community. We also share, together with the School s administration, the responsibility for ensuring that our institutional culture and individual behaviors reflect these values and responsibilities: All members of the community are entitled to respect. All individuals are expected to demonstrate respect, in all their dealings with every other individual at the School, for each person s worth, dignity, and capacity to contribute. Diversity is a source of strength for the School and contributes to a positive work environment. Significant efforts to improve and enhance diversity in the workplace and in the classroom will continue on all levels. 9

14 FACULTY HANDBOOK All members of the Kennedy School community are entitled to work in an environment that is free from threat, harassment, abuse, or discrimination. Staff and faculty are entitled to a clean, safe, and adequate workspace. All members of the community are entitled to a timely, fair, and meaningful evaluation of their contributions. Students and faculty will be evaluated by standard systems in place. Annual performance evaluations for staff are required and are viewed as a vital tool in the ongoing dialogue between supervisors and staff. The School s administration will regularly review all systems of evaluation. All members of the community are entitled to know what is expected of them and to know that other members of the community are equally well informed. Proper training and orientation will be available to all members of the community. Ongoing professional training will be available to further the individual staff member s development and enhance the overall success of the School. The School is a professional environment and work should be carried out in a professional manner. Each individual is obliged to minimize the impact of non-professional activities, such as personal phone calls or visitors. It is demeaning to assign fellow members of the community duties unrelated to their jobs. Specifically, staff or students should not be asked to run errands, prepare or deliver food, take on child care duties, or perform other personal services for supervisors or supervisors family members. No student or staff member should be asked by a supervisor to assist in partisan political activity. Civil, ongoing communication at all levels contributes to the spirit of a strong community and an effective workplace. In a rapidly changing work environment, consideration should be given to the impact of growth or change on all of the people directly involved, as well as the community at large. The implications of these changes should be discussed openly, with input respectfully solicited from all concerned, within a time frame that allows all comments to be taken seriously and addressed. Accountability is essential. The School will maintain and publicize a clear structure to address complaints involving the behavior of staff, students, or faculty. Allegations of improper behavior will be treated seriously and resolved promptly. Processes for Handling Concerns and Potential Violations Concerns about violations by faculty: 10

15 FACULTY HANDBOOK If brought by a member of the staff, such complaints shall first be reported to the Director of Human Resources, who shall promptly report the complaint to both the Academic Dean and the Dean. If brought by a student, such complaints shall first be reported to the Dean of Students, who shall promptly report the complaint to both the Academic Dean and the Dean. If brought by another member of the faculty, such complaints shall be reported directly to the Academic Dean, who shall promptly report the complaint to the Dean. In all complaints about violations on the part of the faculty, the Dean, the Academic Dean, the Director of Human Resources, or their designee shall investigate the complaint and take appropriate action according to the procedures of the School and of Harvard University and in accordance with relevant laws. The action taken shall be promptly reported to the person who first received the complaint, who shall promptly inform the complainant of the action taken. Concerns about violations by staff: If brought by a member of the faculty or staff, such complaints shall first be reported to the Director of Human Resources, who shall promptly report the complaint to both the Executive Dean and the Dean. If brought by a student, such complaints shall first be reported to the Dean of Students, who in all such cases shall promptly report the complaint to both the Executive Dean and the Dean. In all complaints about violations on the part of staff, the Dean, the Executive Dean, the Director of Human Resources, or their designee shall investigate the complaint and take appropriate action according to the procedures of the School and of Harvard University and in accordance with relevant laws. The action taken will be promptly reported to the person who first received the complaint, who shall promptly inform the complainant of the action taken. Concerns about violations by students: Concerns shall first be reported to the Dean of Students, who shall, if appropriate, also consult with the Director of Human Resources. Complaints will be dealt with according to the existing procedures for dealing with student misconduct. In all complaints about violations on the part of students, the action taken will be promptly reported to the person who first received the complaint, who shall promptly inform the complainant of the action taken 11

16 FACULTY HANDBOOK Kennedy School Statement on Diversity The Harvard Kennedy School is committed to advancing the public interest by training enlightened leaders and solving public problems through world class scholarship and active engagement with practitioners and decision makers. This commitment, we believe, includes training our students to lead effectively across lines of difference. That mission requires that our faculty, students, and staff be exposed to and understand a broad array of ideas, insights, and cultures. One crucial element involves attracting superlative people from diverse backgrounds and traditions who vary by their race and ethnicity, gender, gender identity, sexual orientation, nationality, religion, physical and mental abilities, political philosophy, and intellectual focus. A second essential ingredient is the creation and maintenance of an atmosphere that welcomes new ideas -- even unpopular and controversial ones -- and encourages an effective and active exchange of views in an environment of mutual respect. The Kennedy School will work affirmatively to recruit a highly diverse group of students, faculty, and staff. It is committed to increasing the numbers of underrepresented minorities, particularly women and people of color. It will work to ensure that our appointments and selection procedures consciously identify and evaluate a people from underrepresented groups. We will also strive to remove sources of unconscious bias. The School will also develop a curriculum that deals with issues of diversity and encourages students and faculty to talk openly and effectively about difficult and highly charged issues. The School will provide professional support to faculty on how to teach these issues effectively. It will emphasize the powerful benefit of exchange of ideas. The School will seek to enlist students in efforts to make classrooms and classmates more welcoming of the unique ideas and insights that students from different backgrounds and perspectives bring. And it will seek to correct situations where full and open exchange of ideas has been limited. One of the Kennedy School s greatest assets is its wealth and breadth of talent in the community. The School is committed to doing everything it can to increase that diversity even further and to take full advantage of the opportunities for training enlightened leaders and solving critical public problems. Harvard University Statement of Values (August 2002) (As included in the Kennedy School Statement of Rights and Responsibilities) Harvard University aspires to provide education and scholarship of the highest quality to advance the frontiers of knowledge and to prepare individuals for life, work, and leadership. Achieving these aims depends on the efforts of thousands of faculty, students, and staff across the University. Some of us make our contribution by engaging directly in teaching, learning, and research, others of us, by supporting and 12

17 FACULTY HANDBOOK enabling those core activities in essential ways. Whatever our individual roles, and wherever we work within Harvard, we owe it to one another to uphold certain basic values of the community. These include: Respect for the rights, differences, and dignity of others Honesty and integrity in all dealings Conscientious pursuit of excellence in one s work Accountability for actions and conduct in the workplace The more we embrace these values in our daily lives, the more we create and sustain an environment of trust, cooperation, lively inquiry, and mutual understanding and advance a commitment to education and scholarship, which all of us share. University-Wide Statement on Rights and Responsibilities On May 2, 1977, the President and Fellows of Harvard College voted that the Statement of Rights and Responsibilities, hitherto adopted on an interim basis, would continue in full force until further order of the Board of Overseers. The central functions of an academic community are learning, teaching, research and scholarship. By accepting membership in the University, an individual joins a community ideally characterized by free expression, free inquiry, intellectual honesty, respect for the dignity of others, and openness to constructive change. The rights and responsibilities exercised within the community must be compatible with these qualities. The rights of members of the University are not fundamentally different from those of other members of society. The University, however, has a special autonomy, and reasoned dissent plays a particularly vital part in its existence. All members of the University have the right to press for action on matters of concern by any appropriate means. The University must affirm, assure and protect the rights of its members to organize and join political associations, convene and conduct public meetings, publicly demonstrate and picket in orderly fashion, and advocate and publicize opinion by print, sign, and voice. The University places special emphasis, as well, upon certain values that are essential to its nature as an academic community. Among these are freedom of speech and academic freedom, freedom from personal force and violence, and freedom of movement. Interference with any of these freedoms must be regarded as a serious violation of the personal rights upon which the community is based. Furthermore, although the administrative process and activities of the University cannot be ends in themselves, such functions are vital to the orderly pursuit of the work of all members of the University. Therefore, interference with members of the University in performance of their normal duties and activities must be regarded as unacceptable obstruction of the essential processes of the University. Theft or willful destruction of 13

18 FACULTY HANDBOOK property of the University or its members must also be considered an unacceptable violation of the rights of individuals or of the community as a whole. Moreover, it is the responsibility of all members of the academic community to maintain an atmosphere in which violations of rights are unlikely to occur and to develop processes by which these rights are fully assured. In particular, it is the responsibility of officers of administration and instruction to be alert to the needs of the University community; to give full and fair hearing to reasoned expressions of grievances; and to respond promptly and in good faith to such expressions and to widely-expressed needs for change. In making decisions that concern the community as a whole or any part of the community, officers are expected to consult with those affected by the decisions. Failures to meet the responsibilities may be profoundly damaging to the life of the University. Therefore, the University community has the right to establish orderly procedures consistent with imperatives of academic freedom to assess the policies and assure the responsibility of those whose decisions affect the life of the University. No violation of the rights of members of the University, nor any failure to meet responsibilities, should be interpreted as justifying any violation of the rights of members of the University. All members of the community, students and officers alike, should uphold the rights and responsibilities expressed in this statement if the University is to be characterized by mutual respect and trust. It is implicit in the language of the Statement on Rights and Responsibilities that intense personal harassment of such a character as to amount to grave disrespect for the dignity of others be regarded as an unacceptable violation of the personal rights on which the University is based. Policy Regarding Gifts from Students to Faculty Faculty should not accept gifts from students currently enrolled in their courses. Furthermore, at no time should a faculty member accept a gift worth more than $50 US from a student enrolled at the School. Conflict of Interest and Conflict of Commitment Harvard University Statement on Outside Activities of Holders of Academic Appointments Adopted by Harvard University on March 7, 2000 Faculty members and other academic appointees at Harvard participate in a wide range of outside activities related to their scholarly interests. Such activities can advance the search for knowledge, bring fresh insights into Harvard classrooms, and further the University s broad interest in serving society. At the same time, the University and its members have long recognized that persons holding academic appointments at Harvard should conduct outside professional pursuits in ways that respect their responsibilities to their home institution. Along with status as a full-time 14

19 FACULTY HANDBOOK Harvard academic appointee comes the expectation that one s primary professional duties are to Harvard, and that outside professional activities will not conflict with obligations to one s students, to colleagues, and to the University as a whole. Over the decades this understanding has been reflected in a variety of policy statements, some of them University-wide in application, others specific to individual Faculties. The most relevant University-wide policy, the Stipulations adopted by the Corporation in 1948, directly addresses the obligations of academic appointees in regard to outside activities. 2 The most important provision of the Stipulations states that anyone holding a full-time academic appointment at Harvard should not, without permission of the Corporation upon recommendation of the appropriate Dean, engage in teaching, research, or salaried consulting at any other educational institution during the academic year. The circumstances assumed by the Stipulations have evolved over recent decades as faculty and other members of the University have been presented with more opportunities to pursue a wider range of outside activities, as new information technologies have come to the fore, and as the number and kind of relationships with external organizations have expanded. Consequently, questions have been raised about the interpretation of the Stipulations in these changing circumstances, and the need for clarification of the policy on outside activities has become evident. This Statement on Outside Activities is intended to serve that purpose. A draft of the Statement was reviewed by the Deans of the Faculties, then discussed and revised by an Advisory Committee to the Provost composed of faculty members from each of the Faculties of the University. Further revisions were made in response to comments received from all the Faculties. The version of the Statement presented here now replaces the Stipulations. 3 The Statement provides a contemporary interpretation of longstanding principles that offer guidance on the conduct of outside professional activities, emphasizing those undertaken with educational or research enterprises other than Harvard. It is framed in broad terms, both to allow discretion in the application of its provisions to individual cases, and to permit the individual Faculties consistent with the general guidelines presented here to maintain and develop more specific policies applicable to their own settings. Although some of the provisions in the Statement refer only to full-time appointees, part-time appointees are expected to stay alert to the underlying concerns it addresses, and seek guidance from their Dean when their outside activities may reasonably appear relevant to any of those concerns. 2 Stipulations Regarding Extra Salaries and Teaching, Research or Administrative Obligations of Holders of Academic Appointments ( Stipulations ), as voted by the President and Fellows of Harvard College, April 20, 1948, and as subsequently amended, 1962, 1973, 1976, 1989, and Two provisions of the Stipulations that have continuing relevance but do not directly relate to outside activities have been reaffirmed in a separate Corporation vote (dated June 7, 2000) concerning extra compensation and summer salary. 15

20 FACULTY HANDBOOK This Statement does not seek to define who owns the products of teaching and research at Harvard, but rather aims to clarify what obligations academic appointees have to their students, colleagues, and the institution when they engage in teaching, research, and related activities outside the University. The Statement thus focuses on use, not ownership. Standards relating to intellectual property and revenue sharing are described in the University s policy on inventions, patents, and copyrights. 4 In the sections that follow, the Statement elaborates on these basic principles: persons holding full-time academic appointments should concentrate their teaching efforts on Harvard students; they should conduct all their research in a manner consistent with University norms; and they should ensure that the nature of their outside professional activities, the time devoted to them, and their actual and perceived association with Harvard do not conflict with obligations to students, colleagues, and the University. 1. Teaching Persons holding full-time academic appointments at Harvard should devote their teaching efforts primarily to the education of Harvard students. Faculty members may not hold a regular faculty appointment at another institution, except in connection with a Harvard-sponsored joint program with that institution, or similar arrangement as approved by their Dean. They should not teach a course, or a substantial portion of a course, at or for another institution or organization without the advance permission of their Dean and the Corporation. This policy should be followed regardless of whether the activity is conducted in person or through some form of electronic communication. These standards reflect the traditional understanding that full-time Harvard faculty members and other academic appointees are expected to concentrate their teaching efforts on students enrolled in Harvard s educational programs. This understanding expresses the reasonable expectation that Harvard students will have special access to an education distinctive to the University they attend, and that teaching efforts of Harvard faculty members will be directed primarily toward the benefit of the University and its members. It also affirms the University s interest in ensuring that Harvard teachers not be deflected from their primary commitment to educate Harvard students by assuming competing obligations to teach for other institutions, and the University s interest in discouraging other institutions from drawing inappropriately on the University s reputation and the collective contributions of its members. A Harvard appointee holding the rank of professor, associate professor, or assistant professor (or other title as may be designated by a particular Faculty) thus may not also hold a regular academic appointment at another institution. (Exceptions may be made in connection with a Harvard-sponsored joint program with another institution, such as the Health Sciences and Technology program conducted by the Harvard Medical School and the Massachusetts Institute of Technology, or similar arrangements approved by the responsible Dean.) When teaching at or for another institution is 4 Statement of Policy in Regard to Inventions, Patents, and Copyrights, as adopted by the President and Fellows of Harvard College on November 3, 1975, and amended on March 17, 1986, February 9, 1998, and August 10,

21 FACULTY HANDBOOK expressly approved on a temporary basis, the limited nature of the association should be clearly indicated, normally by including visiting in the Harvard faculty member s title (as in visiting professor or visiting instructor ). While faculty members are expected to concentrate their teaching efforts on Harvard students, many faculty also make use of opportunities to share their educational and scholarly products with the wider world of higher education and beyond. Such activities are not intended to be discouraged by this Statement. Giving occasional lectures, serving on dissertation committees, and similar activities at other institutions are considered an important aspect of citizenship in the academic community, and require no official permission. Making course materials available on web sites and through other electronic formats can also be a valuable service to many outside the University, and under appropriate conditions does not require official approval. For example, a faculty member does not need permission to distribute curricular materials on a non-exclusive basis if they were produced without a substantial University contribution and do not constitute a substantial portion of a course. One reason for the distinction between such activities and those that are like a regular course concerns the amount of time and effort required. Teaching a course at another institution usually entails greater absence from Harvard and greater deflection of energy from Harvard teaching responsibilities than do the activities mentioned above. But broader considerations than the time and energy required are also at stake. It is important not only to avoid conflicting time commitments, but also to abstain from extramural activities inconsistent with one s primary teaching obligation to the University, its Faculties, and its students. That the considerations extend beyond the element of time is worth emphasizing when new technologies make it possible to teach vast numbers of students dispersed across the country and around the world without leaving one s own campus and with a comparatively modest investment of time. Modern technology enables a faculty member to videotape an entire course in a short period of time, and to make the resulting materials available to an educational organization for its own exclusive purposes or for licensing to other organizations for presentation in classrooms, online, or through other media. The fact that the course materials could be produced during a vacation or after hours does not allay the concern that such arrangements may conflict with professional obligations to Harvard and its students. A Harvard academic appointee should therefore not participate in teaching courses for another institution or organization in these direct or indirect ways without express permission of the Dean of the Faculty and of the Corporation. Genuinely difficult questions are likely to arise in the application of this policy, especially as new information technologies expand the range of possibilities. Basic distinctions (for example, between extramural teaching and more limited sharing of course materials) will have to be refined as new cases present themselves. This Statement does not purport to prescribe a set of rigid rules, but rather seeks to maintain an environment in which faculty members and other academic appointees will exercise caution in undertaking activities that could reasonably be perceived as 17

22 FACULTY HANDBOOK teaching at or for other institutions or organizations. In such cases, academic appointees are expected to consult in advance with their Dean and, if in the Dean s judgment the activity falls within the scope of this Statement, with the Corporation. In determining the extent to which an activity is appropriate, members of the University should follow this general guideline: the more it reasonably appears that a faculty member is teaching or producing a course or a substantial portion of a course for another institution or organization, the more likely it is that the activity falls outside the range of what is appropriate. (What is to count as a course is to be understood in terms of the curricular offerings in the relevant Faculty at Harvard.) Among the most important factors to consider in applying this guideline are: the terms under which the material is distributed, marketed, or otherwise made available to students and other potential users; the role of the material in the outside organization s curriculum or educational program; the nature of the Harvard teacher s affiliation with the outside organization and how it is characterized; and the other factors relevant to all outside activities (listed in the last paragraph of Section 5). Some Faculties of the University have policies that govern traditional in-class teaching at other educational institutions during the summer and sabbatical leaves, and teaching in short-term seminars or instructional sessions during the academic year. This Statement is not intended to disturb these traditional practices, or require Corporation approval for them. However, when any such teaching generates materials in electronic format, Corporation approval is required before they may be used as a course or substantial portion of a course at a later time at an institution other than Harvard. When such teaching is expected to generate course materials to be used in this way, permission should be sought in advance. 2. Research Persons holding full-time academic appointments should at all times conduct their research in a manner befitting a member of the University. They should observe the applicable policies of their Faculties regarding conflicts of interest and related matters. Research appointments at another university or academic institution may be accepted only with advance permission of the responsible Dean. Projects on which a Harvard academic appointee serves as a principal investigator or in an analogous role should be administered through the University or its affiliated medical institutions, unless the responsible Dean has specifically granted an exception. The University affirms the broad discretion of scholars to choose the topics of their research, to formulate hypotheses and present conclusions, to express views about the implications of their research, and in general to enjoy the protections of academic freedom. Freedom of inquiry and expression for individual scholars stands at the core of the values of the University. At the same time, faculty members and other academic appointees are expected to conduct their research in a manner befitting a member of the Harvard community. Various policies have evolved over the years to address such aspects of research conduct as conflicts of interest and commitment, disclosure of data and findings, 18

23 FACULTY HANDBOOK classified and proprietary work, and the participation of human subjects in research. 5 This Statement presupposes these policies, and is intended only to underscore two specific points about the conduct of research. First, full-time academic appointees should not accept a regular research position with another university or academic enterprise unless permission is obtained from their responsible Dean in advance. The appropriateness of such a position should be determined by considerations similar to those governing teaching appointments (Section 1) and those relevant to all outside activities (Section 5). As in the case of summer school teaching, faculty paid on an academic year basis do not need permission to accept research appointments during the summer if the rules of their Faculty authorize such activity. When an outside research appointment is accepted or permitted, care should be taken to make clear that the relationship with the other organization is limited in scope, time, and title. Second, when a full-time Harvard faculty member or other academic appointee serves on a research project as principal investigator or in an analogous position, the project should generally be administered through the University (or the affiliated medical institution where the appointee is based). 6 This policy is applicable regardless of the type of sponsorship (e.g., grant, contract, or cooperative agreement) or funding source (governmental or private support). Proceeding in this way helps to ensure that the research is carried out in a manner consistent with applicable University and Faculty policies; that colleagues and students have appropriate opportunities directly to participate in, and to learn from, the research activities of Harvard scholars; that comprehensive and up-to-date information can be maintained about sponsored research conducted by all members of the University; and that appropriate financial reimbursements (such as for overhead costs) accrue to the University. There are circumstances in which it may not be feasible or desirable for the research of faculty members to be administered through Harvard. Major collaborative projects, such as research at CERN (the European Laboratory for Particle Physics), call for somewhat different arrangements. Also, when a Harvard researcher is collaborating with a colleague at another institution, joint institutional administration of the project 5 The following listing shows illustrative examples of such Faculty-based policies, adopted and amended from time to time: Arts and Sciences Policies Relating to Research and Other Professional Activities Within and Outside the University, Guidelines for Research Projects Undertaken in Cooperation with Industry, and Statement of Policies and Procedures Governing the Use of Human Subjects in Research; Business Report of the Outside Activities Committee (1986), and Advisory Statement on Guidelines for Outside Activities (1993); Design Policy on Conflict of Interest and Commitment; Divinity Policies Relating to Research and Other Professional Activities Within and Outside the University; Education Policies Relating to Research and Other Professional Activities Within and Outside the University; Government (Kennedy School)--Statement of Policy on Conflicts of Interest; Law Policy on Outside Activities and Guidelines for Reporting Activities of Full-Time Faculty Members; Medicine Statement on Research Sponsored by Industry and Policy on Conflicts of Interest and Commitment; Public Health Policies on Conflict of Interest and Commitment and Guidelines for Research Projects Undertaken in Cooperation with Industry. 6 See, e.g., Section C3 of the Faculty of Arts and Sciences (FAS) Policies Relating to Research and Other Professional Activities Within and Outside the University, Category Ic of the Faculty of Medicine Policy on Conflicts of Interest and Commitment, and analogous provisions of other Faculty policies. 19

24 FACULTY HANDBOOK may be impractical or unwise, and the other institution may be better situated to manage the project. Furthermore, some longstanding agreements with other research institutions may require special arrangements. In these and other exceptional cases, advance approval for administration of the project outside Harvard should be sought from the appropriate Dean. (Individual Faculties may wish to define categories of exceptional cases to avoid unnecessary case-by-case review.) 3. Consulting and Related Activities In undertaking consulting and related outside professional activities, faculty members and other academic appointees should take care to observe the limits on the amount of time properly devoted to such activities and to avoid situations in which the activities may create a conflict with their responsibilities as an officer of the University. Academic appointees should not engage in paid consulting at or for another educational institution or educational organization without prior approval from their Dean and the Corporation. By offering counsel to individuals and organizations outside Harvard, members of the University community can broaden their experience in ways that benefit teaching and research, and can bring academic knowledge to a wider public in ways that contribute to the well-being of society. The University therefore has traditionally authorized faculty members and other academic appointees to devote a portion of their professional effort to outside activities related to their areas of expertise, subject to limits on the amount of time devoted to such activities. The most prevalent standard for the amount of time that may be spent on professional activities outside Harvard states that no more than 20 per cent of one s total professional effort may be directed to outside work. This standard should be regarded as the maximum that should be permitted by any Faculty within the University. Individual faculties may set more stringent limits, and may specify their own interpretations of this standard (such as one day in seven, or 40 days a year ), subject to review as the Corporation may deem appropriate. 7 However, the rules of each Faculty should clearly state the standard, explain how it is to be interpreted, and describe a procedure for disclosure or consultation to deal with cases in which faculty members may be approaching or exceeding the limit. A summary of the rules and their accompanying commentary should be submitted to the Provost, who will make it available to all the Faculties of the University. As in the case of teaching, time is not the only consideration determining the appropriateness of consulting and related outside activities. The more general concern is that such activities should not conflict with one s paramount obligations to students, colleagues, and the University. Faculty members and other academic appointees are therefore expected to ensure that any outside professional activities in which they engage are consistent with the general policies of the University and those of their 7 For the Kennedy School policy, see below Kennedy School Policy on Outside Employment and Consulting 20

25 FACULTY HANDBOOK own Faculty. This can require attention not only to the overall time expended but also to the nature of specific activities and the individual s role in them. Full-time appointees should not engage in paid consulting for another educational institution or educational organization without the permission of their Dean and the Corporation. Customary professional service such as participation on visiting committees, on boards of trustees of other colleges and universities, or in professional associations generally poses no serious conflicts and may be undertaken without prior approval. (The acceptance of customary honoraria does not transform such service into paid consulting.) Consulting for primary and secondary schools or other educational institutions as a specific part of one s Harvard research and teaching, as occurs in the School of Education, or consulting as a specific part of research with colleagues elsewhere, as occurs in the Schools of Public Health and Medicine, requires only the permission of the responsible Dean. Some outside activities, whether paid or not, tend to raise such serious concerns that they are presumptively inappropriate and should rarely be undertaken, and then only after careful review and explicit approval. For example, an academic appointee should not assume executive responsibilities for an outside organization that might seriously divert his or her attention from University duties, or create other conflicts of loyalty. 8 Other activities, such as having a financial interest in a company that could reasonably appear to be affected by an individual s research, may be permitted under certain conditions, but require disclosure under sponsored research regulations and University policy. 9 These examples are illustrative, not exhaustive, and academic appointees are expected to stay alert to all the possible conflicts of interest and commitment as described in the relevant rules of their Faculties. 4. Use of University Identification Members of the University are expected to take individual responsibility for their participation in any outside activity, and use their best efforts to avoid false or misleading suggestions by others that the activity is an undertaking of Harvard or any of its units. In general, all members should observe the University s policy on the use of the Harvard name, and limit their identification with Harvard to listing their formal titles as appropriate. The University and its members have a shared interest in the use of the Harvard name and related insignias and images. Over generations, the name has been invested with value through the efforts of innumerable individuals. It is an intellectual as well as a financial asset in which the members of the University have a common stake. To 8 See, e.g., Section C1 of the FAS Policies Relating to Research and Other Professional Activities Within and Outside the University. 9 See, e.g., Instructions for Meeting Federal Conflict of Interest Regulations in FAS Principles and Policies That Govern Your Research and Other Professional Activities (September 1998). 21

26 FACULTY HANDBOOK protect that value, individual members are expected in their outside activities to observe the University s policy on the use of its names, insignias, and images. 10 In general, when pursuing outside activities, members should limit their identification with Harvard to listing their formal titles, and should otherwise aim to make clear that they are acting as individuals and not on behalf of the University. They should also take reasonable precautions to prevent the organizations and individuals with whom they work from using the Harvard name, or making representations about Harvard, in ways that suggest that the University sponsors or endorses their activities. Attaching a Harvard name or symbol to an activity implies a form of institutional accountability that is ordinarily absent from outside activities undertaken by individual members of the University. 5. Procedures Persons holding academic appointments should inform themselves about University-wide and Facultyspecific policies governing outside activities, and should observe the specific requirements of those policies. They should consult their Dean in cases where the appropriateness of an activity may reasonably be in question. All members of the University share an interest in protecting the values expressed by the principles that govern outside activities, and may be expected to take personal responsibility for respecting those principles. Elaborate procedures for enforcement at the level of the University are therefore neither necessary nor desirable. In any case, the nature and range of outside activities are too varied to be covered in detail by any succinct and general statement of policy. Faculty members and other academic appointees are responsible for requesting permission to engage in outside activities when required by this Statement or by other University or Faculty policies. Appointees should consult with their Deans and other appropriate officials of the University before pursuing activities that might be cause for concern. Appointees affiliated with more than one Faculty must comply with the applicable rules of all Faculties in which they hold appointments. As faculty members, Deans themselves have a similar responsibility with regard to their own outside activities, except that they consult with the President or Provost. The Faculties have adopted various approaches to the reporting of outside activities by academic appointees. The University does not prescribe a uniform process for reporting such activities, but each Faculty is expected to maintain procedures that provide assurance that its members are acting in accord with the principles set forth in this Statement. In considering specific cases, University officials should strive to make decisions that are consistent with the general principles this Statement expresses and with other University policies. Because changing circumstances pose new problems, especially in 10 Policy on the Use of Harvard Names and Insignias, as voted by the President and Fellows of Harvard College, February 9,

27 FACULTY HANDBOOK the domain of information technology, no general policy can anticipate all the issues that may arise in specific cases. Accordingly, the Provost should appoint a committee (which may include Deans of the Faculties) to meet periodically to review complex cases as they may arise in the various Faculties. This committee would formulate and document the case law as it develops, and when necessary recommend changes in the relevant University policies described in this Statement. In deciding whether to grant permission for a specified outside activity, the Deans, this committee, and the Corporation will take into account, among other considerations, the extent to which the activity: detracts from the appointee s own work at Harvard; competes with programs offered by the University or inhibits the development of programs the University plans to offer; draws upon special support from the University or makes use of its staff and students; is protected against possible misuse of the Harvard name and misleading representations about Harvard s association with the activity; and is consistent with the academic mission of the University. Requests for Approval of Outside Teaching by Harvard Faculty The following are guidelines for submitting a request from a Harvard faculty member who wishes to teach a course at another institution. Requests should be made in writing to the Provost. The University s Statement on Outside Activities of Holders of Academic Appointments (the Outside Activities Statement ) can be found at: The policy stipulates that faculty members should not teach a course, or a substantial portion of a course, at another institution without the advance permission of their Dean and the Corporation. It also provides that a faculty member may not hold a regular faculty appointment at another institution (with certain exceptions for Harvard-sponsored joint programs and similar arrangements). The Corporation has requested that the Provost review any such requests that are first recommended by the relevant Dean, and present a recommendation to the Corporation. The faculty committee that drafted the Statement, as well as the Deans and the Corporation who approved it, assumed that such requests would be rarely made and even more rarely granted. However, the Statement provides that exceptions may be made in special circumstances. If a Dean concludes that an exception would be consistent with the considerations set forth in the statement, the Provost will need to have a memorandum presenting the case for the exception. The guidelines below are intended to help identify the considerations that such a memorandum might take into account. The Provost s Office would be pleased to discuss any cases in advance of the preparation of the memorandum. Also, in order to give you a timely response from the Corporation, whose agenda is usually prepared well in advance, we ask that requests be presented at least one month before you need a decision. 23

28 FACULTY HANDBOOK In addressing these cases, we have found that the following factors have been most significant in reaching a judgment. The Dean s memorandum to the Provost may address any or all of them as appropriate for the particular case: Course and Institution. Please provide the title, description, level, credit status, schedule and likely enrollment of the course. Describe the format of the course: lectures, sections, online interaction and such. What responsibility does the faculty member have for grading and supervision of teaching fellows? Does the faculty member intend to teach this course or a similar course in the future at this or another institution? Has he or she taught previously at this or other institutions? Is this or a similar course taught at Harvard by this faculty member or any other faculty member? Has the faculty member taught this course at Harvard? Why does the other institution need or want to have this Harvard faculty member teach the course? The more the course is like a course taught at Harvard, the less likely approval is to be granted. Also, the more substantial the faculty member s involvement in the teaching of the course, the more concerns that are raised. Position and Title. What position and title at the other institution will the faculty member hold? As set forth in the Outside Activities Statement, faculty members may not hold regular faculty appointments at another institution, except in connection with a Harvard-sponsored joint program with that institution or similar arrangements approved by the Dean. A temporary association with another institution is more likely to be approved than a permanent or open-ended one. The limited nature of a temporary association should be clearly indicated, normally by including visiting in the faculty member s title (as in visiting professor or visiting instructor ). Harvard Position. Does the faculty member have a full-time (tenured, ladder or occasional) academic appointment at Harvard? Will the faculty member be on leave or sabbatical during the period when the course is being taught? Benefits. What benefits to the faculty member, to Harvard and to the larger community is the outside teaching expected to yield? What financial compensation will the faculty member receive for this teaching? Diversion of Efforts and Attention. How much time will the requested outside teaching require? When taken together with all of the faculty member s other professional activities outside Harvard, the amount of time required for the outside teaching should not exceed the maximum permitted under the Statement on Outside Activities (20% of total professional effort), or any more restrictive standard adopted by the relevant Harvard Faculty. 24

29 FACULTY HANDBOOK Other Conflicts of Commitment. Even if the time limit will not be exceeded, the faculty member s outside teaching may interfere with fulfillment of his or her obligations at Harvard, or his or her availability to students or colleagues here. What provisions are made to ensure that Harvard students will not be in any way disadvantaged by the arrangement? Use of Harvard Resources or Name. Will the faculty member be making any use of Harvard students or staff or drawing upon any other Harvard resources in connection with the outside teaching engagement? Will the faculty member be using any Harvard name or logo? Any arrangement must be consistent with the University s policy on the use of the Harvard name. Competition. In what way, if any, does the other institution compete with Harvard? How might this outside teaching affect that competition? The Statement emphasizes that Harvard students reasonably expect that they will have special access to an education distinctive to the University they attend. Reputation; Dilution. To what extent, if any, might the faculty member s engagement impair Harvard's reputation, or dilute the value of Harvard's name or a Harvard education, or cause value to accrue to the other institution that properly ought to accrue to Harvard? This could be a concern, for example, if the other institution had a poor reputation, or if the faculty member were offering there a unique or especially popular course he or she had designed here, or if the faculty member created a high-profile or innovative program that he or she had not made available to Harvard students Electronic Materials. Will the faculty member be creating any electronic materials in connection with the outside teaching? If so, what is the nature of the materials and what rights, if any, will the other institution have to retain or use those materials? What rights, if any, will Harvard have to use those materials? Will the faculty member be using any electronic materials created at Harvard? Here the policy on Inventions, Patents and Copyrights is also relevant: the University has a claim on any materials prepared with substantial contribution of University resources. Research. Will the faculty member s outside engagement involve any research? If so, what is the nature of the research and the faculty member s role? Full-time Harvard faculty members should not accept a regular research position with another academic enterprise unless permission is obtained from the responsible Dean, and any project on which a Harvard faculty member serves as a principal investigator or in an analogous role generally should be administered through Harvard (or the affiliated medical institution where the 25

30 FACULTY HANDBOOK faculty member is based). Will any research that is undertaken be conducted in a manner consistent with Harvard norms? Will the research at the other institution restrict in any way the faculty member s research or that of other Harvard faculty and students (e.g., because contractual restrictions are imposed or conflicts of interest are created)? Precedential Effect. If this request for outside teaching is approved, to what extent could it be regarded as a limited exception, without having a broad precedential effect? The foregoing considerations are not comprehensive, and will not all be relevant in each case. While you should of course feel free to raise other considerations that bear on the Dean s decision whether to approve the request, your discussion of the factors listed above will assist the Provost s Office and the Corporation in considering the request. University Statement of Policy on Conflicts of Interest As voted by the President and Fellows of Harvard College, March1, Adopted by the John F. Kennedy School of Government November 2, Amended by the President and Fellows of Harvard College on July 25, 1987 and on May 2, Note: The wording has been modified to reflect the Kennedy School s administrative structure. Harvard University Policy on Financial Conflict of Interest as of May 2010 is available at: With the acceptance of a full-time appointment at the Kennedy School, an individual makes a commitment to the University that is understood to be full-time in the most inclusive sense. Every member is expected to accord the University his or her primary professional loyalty, and to arrange outside obligations, financial interests, and activities so as not to conflict or interfere with this overriding commitment to the University. 1. At the same time, no one benefits from undue interference with the legitimate external activities of officers of instruction who fulfill their primary full-time duties teaching at the University, conducting scholarly research under its sponsorship, and meeting the other obligations to students and colleagues that faculty must share. Indeed, the involvement of faculty members in outside professional activities, both public and private, often serves not only the participants but also the University as a whole. Recognizing its inability to construct detailed rules and codes of ethics that strike the proper balance in all cases, the faculty has chosen instead to enunciate broad guidelines on conflicts of interest and commitment and to place the onus of seeking advice on issues that might reasonably appear to pose significant conflicts on individual members. It has been, and continues to be, assumed that all faculty members will be alert to the possible effects of outside activities on the objectivity of their decisions, their obligations to the University, and the University's responsibilities to others. 26

31 FACULTY HANDBOOK 2. The areas of potential conflict may be divided into two broad categories. The first relates to conventional conflicts of interest. These include situations in which members may have opportunities: (I) to influence the University's business decision in ways that could lead to personal gain or give improper advantage to their associates; or (ii) to design or modify their research and teaching activities in ways that significantly and inappropriately benefit their external activities and personal finances. The second is concerned with conflicts of commitment situations in which members' external activities, often valuable in themselves, interfere or appear to interfere with their paramount obligations to students, colleagues, and the University. Teachers and scholars are given great freedom in scheduling their activities with the understanding that their external activities will enhance the quality of their direct contributions to the University. 3. The Academic Dean shall advise the Dean and individual faculty members on problems involving conflicts of interest and commitment. 4. It is assumed that minor conflicts will still be resolved primarily through individual discretion or informal administrative adjustment. It is also recognized that adequate protection for the University will frequently be derived through the traditional academic practices of scholarly publication and public disclosure of author and sponsor. However, if a member is engaged in an outside activity or has significant financial interests (personally or in association with members of his or her household or colleagues) that could reasonably appear to present significant conflict, he or she must disclose this possibility to the Dean or Academic Dean, and, if it is deemed necessary after consultation, modify his or her activities appropriately. Whenever faculty members have any doubts about whether an activity may involve a conflict of interest or commitment they are expected to seek such consultation. Guidance on what conflicts should be discussed or disclosed is provided in the Appendix to this statement. Leaving primary responsibility for initiating consultation and making borderline judgments with individuals conforms with collegial traditions but exposes colleagues and the institution to substantial risk. Accordingly, if the Dean finds that individuals have seriously violated these guidelines, the Dean may impose sanctions of appropriate severity. 5. The University s statement will be distributed annually to all faculty members and published in the Gazette for the information of other officers. Appendix In the absence of specific rules (beyond the requirement of consultation), and in light of the difficulty of applying general statements of principle to specific cases, there follows a sampling of activities and situations that may present conflicts of interest or commitment. They are divided into three categories: A. Activities which, unless disclosure is mandated by federal agencies, are generally permissible and do not require consultation (regulations mandating 27

32 FACULTY HANDBOOK disclosure of these activities also stipulate that the institution shall assess and manage the conflicts they reveal appropriately); B. Activities which should be discussed with the Academic Dean even though the problems they present can probably be resolved, often simply by ensuring that the appropriate authorities know all the pertinent facts; C. Activities which should be brought to the attention of the Academic Dean and which appear to present such serious problems that the burden of demonstrating their compatibility with University policy rests on the faculty member. Obviously, this list of examples does not include all potential problems and the separation into categories is somewhat arbitrary. A. Activities that are usually permissible without consultation, but for which disclosure and review (possibly resulting in steps to resolve conflicts) are required when disclosure is federally mandated: 1. Acceptance of royalties for published scholarly works and other writings, and of honoraria for commissioned papers and occasional lectures. (Some federal agencies mandate the disclosure of honoraria from for-profit organizations that exceed a specified threshold.) For more details, see Intellectual Property. / 2. Service as a consultant to outside organizations, provided that the time and energy devoted to the task is not excessive and the arrangement in no way inhibits publication of research results obtained within the University. (Some federal agencies mandate the disclosure of consultancies for which compensation exceeds a specified threshold.) For more details, see Kennedy School Policy on Outside Employment and Consulting. 3. Service on the boards and committees of organizations so long as it does not distract unduly from University obligations. (Some federal agencies mandate disclosure of payments from for-profit organizations that exceed a specified threshold.) For more details, see Kennedy School Policy on Outside Employment and Consulting B. Activities that should be discussed with the Academic Dean even though no irreconcilable conflict of interest or commitment is likely to be involved: 1. Relationships that might enable a member to influence Harvard s dealings with an outside organization in ways leading to personal gain or to improper advantage for anyone. For example, a member could have a financial interest in an enterprise with which the University does business and be in a position to influence relevant business decisions. Ordinarily, such problems can be resolved by full disclosure and by making arrangements that clearly exclude that member from participating in the decisions. 28

33 FACULTY HANDBOOK 2. Situations in which the time or creative energy a member devotes to extramural activities appears large enough to compromise the amount or quality of his or her participation in the instructional, scholarly and administrative work of the University itself. The guideline applicable to faculty members, as defined in the Fifth Statute, is that during the academic year (which extends through the summer for those who are paid by or through the School for summer work) no more than 20% of one s total professional effort may be directed to outside work. For more details, see Kennedy School Policy on Outside Employment and Consulting. 3. Activities (research projects, conferences, teaching programs, consulting) that faculty members wish to undertake on an individual basis (a) that involve or might reasonably be perceived to involve the institution, however slightly, and (b) that violate or might be perceived to violate any of the principles governing research supported by funds administered through the University (see Research Standards ) insofar as these principles are relevant to individual behavior. 4. Situations in which a member directs students into a research area from which the member hopes to realize financial gain. The difficulty, in such circumstances, of making an objective independent judgment about the student s scholarly best interest, is obvious. C. Activities that seem likely to present an unacceptable conflict of interest or commitment, and that must be discussed with the Academic Dean. 1. Situations in which the individual assumes executive responsibilities for an outside organization that might seriously divert his or her attention from University duties, or create other conflicts of loyalty. (Individuals should consult the Academic Dean before accepting any outside management position.) 2. Use for personal profit of unpublished information emanating from University research or other confidential University sources, or assisting an outside organization by giving it exclusive access to such information, or consulting under arrangements that impose obligations that conflict with University patent policy or with the institution s obligations to research sponsors. 3. Circumstances in which a substantial body of research that could and ordinarily would be carried on within the University is conducted elsewhere to the disadvantage of the University and its legitimate interests. 4. Any activity (research project, conference, teaching program, consulting agreement, etc.) that a faculty member may wish to undertake on an individual basis: (a) that involves or appears to 29

34 FACULTY HANDBOOK involve the institution significantly (for example, through the use of its resources or facilities, or the participation of colleagues, students and staff, etc.); and (b) that violates any of the principles governing research supported by funds administered through the University (see Research Policy Guidelines ) insofar as these principles are relevant to individual behavior. (In particular, members may not give other organizations the right to censor research any part of which is performed under Harvard auspices.) Kennedy School Policy on Outside Employment and Consulting (August 2001) The following HKS policy is under review during AY12 to ensure consistency with the new Harvard University policy, which can be found at: This policy pertains only to members of the faculty whose salaries are carried on the budget of the School or who are responsible for expenditure controls within the School's programs. It reflects a 1976 vote of the faculty, in which the faculty agreed to ask its members to report to the Dean their individual outside activities, and approved the following guidelines. Activities of a professional nature engaged in by the faculty under auspices other than that of the School fall on a broad continuum, and any categorization would be arbitrary. The overriding criterion, however, for deciding whether or not to engage in such activities should be the contribution such participation will make to the purposes and interests of the Kennedy School. There are many outside activities open to members of this faculty that are valuable not only to the individual, but to the School. Each member of the faculty is free if he or she chooses to devote up to one day a week (40 days per academic year) to outside activities for which payment is received. On the assumption that outside commitments are accepted by members of the faculty consistent with the criterion of benefit to the School suggested above, it is appropriate for faculty members to make reasonable use of School resources in connection with such activities. In particular, the use of secretarial time for such activities is appropriate. Priority must always be given, however, to the use of such resources in connection with the teaching program, School-supported research, and required administrative functions (e.g., School committees, etc.). It is assumed that these guidelines will be adhered to in good faith. To assist the Dean in maintaining basic information concerning activities outside the School for which 30

35 FACULTY HANDBOOK faculty members receive compensation, no later than January 15th of each academic year, each member of the School faculty who derives the majority of his or her support from the School will submit to the Dean for his or her confidential use information including all activities for compensation and some specified noncompensated activities. Faculty should keep a copy of the form submitted to the Dean. It will be the responsibility of each faculty member to keep this information up to date during the year. Note: For purposes of the Kennedy School policy, one day a week is understood to mean one day per seven day week, and includes Christmas and Spring breaks. Thus, the limit is 40 days for the period from September 1 to June 1. The policy does not apply to a person on unpaid leave, but does apply to sabbaticals and other Universitysupported leaves. The policy does not apply to the period from June 1 to September 1 for any person not being paid by or through the School for that period. It does apply, however, to people receiving summer salary from or through the School, where through the School includes summer salary administered or paid by the School even though the source of funds is from outside sponsors of research or other activities. Kennedy School Guidelines for Faculty Involvement in Student Ventures With increasing frequency, faculty members are being invited to invest in, or consult for, or serve on advisory boards of commercial enterprises of Kennedy School students. Although such opportunities are typically the consequence of students' justified confidence in the expertise of faculty members, there is the risk that students who provide such opportunities to faculty would be perceived as offering something of value to those who are evaluating them. As a result of a series of discussions in the School's Management Group (replaced when the School was reorganized in Academic Year 2006), it seems appropriate to say that as a rule faculty members should not engage in discussions about investing in, or consulting for, or serving on the boards of enterprises in which Kennedy School students are involved until after the student has graduated or otherwise left the School; and that neither the final agreement for nor the actual investment in or service for the enterprise should take place until at least three months after the student has left the School. If you have questions about possible involvement with the commercial activities of Kennedy School students, contact the Academic Dean. Unprofessional Conduct in Relationships Between Individuals of Different University Status Amorous relationships have inherent dangers when they occur between any officer, administrator, or faculty member of the university and any co-worker, student, or any person for whom he or she has a professional responsibility (i.e., as teacher, advisor, evaluator, or supervisor). Implicit in the idea of professionalism is the recognition by those in positions of authority that there is an element of power in their relationships with students or staff. Moreover, any romantic involvement which is or becomes unwelcome by co-workers or students can place the individual and the university at risk of liability. For these reasons, it is the School s policy that any romantic involvement between a faculty member (including adjunct faculty, graduate teaching fellows, and course 31

36 FACULTY HANDBOOK assistants) and a student then enrolled in a course taught by that faculty member is inappropriate and constitutes a violation of the School s policies. For purposes of this policy, any graded paper, as well as an ungraded thesis or dissertation, is to be treated as a course, and thus any romantic involvement between advisor and advisee on any written work is a violation of School policy during the entire period in which the advising and/or evaluating relationship occurs. Because the same potential for abuse or misunderstanding exists with respect to those in direct reporting relationships as it does with respect to student/faculty relationships, any romantic involvement between a faculty member, administrator, or member of the School s staff and any person with whom he or she has a direct reporting relationship is also inappropriate and constitutes a violation of the School s policies. In the case of truly exceptional circumstances, the individuals concerned are expected to consult with the dean at the earliest opportunity. Even outside of the context of the relationships always prohibited under the School s policy, romantic involvements in an instructional environment or at the workplace often involve an asymmetry of power. There are numerous possibilities for abuse of power with respect to faculty and administrators and their dealings with students even when the student is not enrolled in a faculty member s course, and there are also numerous possibilities for abuse with respect to co-workers even when one is not in a direct reporting relationship to the other. There is also a potential for abuse of power with respect to faculty, administrators, and participants in the School s executive programs. As a result, it is incumbent upon those with authority not to abuse, or seem to abuse, the power with which they are entrusted. Any abuse of power, or appearance of abuse of power, will be subject to disciplinary action even if it does not violate the provisions of the previous paragraphs of this section. Kennedy School Policy on Politics and Political Activity (Memo from the Dean of April 10, 1992) Membership in the Kennedy School community in no way diminishes our rights as citizens to participate in the political process. We do have a special obligation to distinguish between our roles and identities as citizens on the one hand and our roles and identities as individuals associated with this academic institution on the other. It is important that the Kennedy School community is, and is perceived to be, objective and well above the political fray. As a matter of policy, the School endorses no candidate and favors no party. Making this our practice as well actual or perceived requires constant vigilance from us all. The School must not make available for political purposes any of its resources, including facilities, materials, and the paid time of its personnel. Accordingly, all political activities in which any of us choose to be engaged must be entirely voluntary and conducted on our own time. Moreover, full reimbursement must be made for any costs incurred by the School (e.g., for photo-copying and long-distance calls). 32

37 FACULTY HANDBOOK As a professional community, we are our own first line of defense. The School s reputation rests upon the judgments each of us exercises. To help you decide whether some particular politically-related activity is permissible, you might ask yourself questions such as these: Are all of the people participating in this politically-related activity at the School doing so of their own free choice, without any concern that their reticence or refusal to do so could in some sense be counted against them? How would you feel if others in the School were performing the same or similar functions on behalf of an opposing candidate or party? How could a newspaper story revealing (and perhaps embellishing) the activity reflect upon the School, the candidate, and you? If you are engaged in politically-related activities, might it be appropriate for you to discuss those activities with your colleagues or students and assure them that you respect and are prepared to defend their rights to opposing political viewpoints and corresponding activities? If, after careful deliberation, you are uncertain as to the propriety of the activity under consideration, seek a second opinion from one of your colleagues (including the Executive Dean, Academic Dean, Associate Academic Dean, or the Dean). And if the doubt persists, err on the side of not engaging in the activity. Kennedy School Partnerships and Collaborations with Other Institutions With some frequency the School, its faculty, or its various units have the opportunity to center into a partnership or other form of collaboration with an institution outside of the School. Sometimes this may be another university, sometimes it may be a foundation or other non-profit organization, sometimes it may be a corporation, sometimes it may be a unit of government, and sometimes it may be an individual. Although such collaborative enterprises are in general encouraged, and are often an effective way of furthering the School s mission, they do create a potential for problems or misunderstandings. As a result, all proposed partnerships other than routine co-authoring of books, articles, and reports, must be approved by the Academic Dean in advance. In determining whether to approve a proposed partnership, the following factors are likely to be important. 1. Use of the Harvard name, especially if not used in immediate proximity with the Kennedy School name, requires University approval. 2. The partnership or collaboration cannot be such that the proposed partner, or a board of directors external to the School, has ultimate control over the nature and substance of the project. The overriding concern is that individuals or institutions external to the School and to Harvard not be in a position to speak for the School or University, or to create the impression that they are doing so. 33

38 FACULTY HANDBOOK 3. Use of the Kennedy School or Harvard names for the advocacy of particular causes, especially when it is perceived as partisan advocacy, can be especially problematic. 4. Any partnership or collaboration must have a Cambridge-based faculty member or administrator as the Principal Investigator or equivalent, and that person must be an active and major participant in the project. 5. All arrangements must be consistent with Harvard policies and procedures regarding staffing, payroll, and other administrative matters. 6. All financial understandings and contingencies must be detailed in advance. 7. Appropriate arrangements must be made regarding space for the project s activities. Affirmative Action Note: see also a further description of the Kennedy School s Affirmative Action Policies in regards to faculty hiring. The Harvard Kennedy School fully subscribes to and complies with Harvard University s policies concerning affirmative action and equal employment opportunity. Reaffirmation of Harvard University s Policy Concerning Affirmative Action and Equal Employment Opportunity by the President and Fellows of Harvard College. The President and Fellows adopted the following statement reaffirming the university s policy concerning affirmative action and equal employment opportunity. In their statements of November 3, 1969, and successive years, the President and Fellows of Harvard College emphasized the university s policy of affirmative action and equal employment opportunity. The President and Fellows take this occasion once again to reaffirm the university s policy. (Neil Rudenstine, December 31, 1995) Harvard University is committed to selecting faculty and staff without discrimination against individuals on the basis of race, color, sex, sexual orientation, religion, creed, national origin, age, veteran status, or disability unrelated to job requirements. The President and Fellows of Harvard College call upon every member of the university involved in recruitment, hiring, and promotions to exert their best efforts to achieve the goals set forth in the current affirmative action plan. The President and Fellows call upon every member of the university to engage wholeheartedly in the effort to ensure a wholly nondiscriminatory process of recruiting, hiring, and promoting women, members of minority groups, qualified handicapped individuals, and disabled and Vietnam-era veterans at all levels of employment throughout the university. Harvard also expects that outside agencies with whom it contracts will comply with all applicable antidiscrimination laws. Diversity within the university community advances the academic purposes of the university, and an affirmative action policy is essential to achieving such diversity. The 34

39 FACULTY HANDBOOK university endorses the goals of equal employment opportunity and affirmative action as supportive of university values and of the values of a democratic and pluralistic society. But simply adopting a policy of equal employment opportunity alone is insufficient. The university is also required to meet affirmative action program requirements established for contractors by the federal government and monitored by the Department of Labor. Such programs provide a mechanism for monitoring university personnel policies to ensure equal employment, as well as a means for locating and eliminating any deficiencies in relevant areas of employment. In June 1970, the University established the Office of Minority Affairs and appointed Edward Wright, Jr., Assistant to the President, to head this office and to provide a central focus and resource within the University for pursuing with determination our goals of equal employment opportunity. Mr. Wright s office, working with the Deans, Central Administration, and the Personnel Office, developed the university s initial affirmative action program. Walter J. Leonard was appointed Special Assistant to the President in July His office developed and presented an acceptable affirmative action plan to the Department of Health, Education and Welfare in Successive Assistants to the President were Nancy Randolph and John B. Williams. Ronald L. Quincy served as Assistant to the President with the additional title of Associate Vice President from 1988 to James S. Hoyte was appointed Assistant to the President/Associate Vice President effective November 1, The Office of the Assistant to the President serves as the university s liaison with the federal government in matters related to contract compliance concerning employment. Among the duties of the Assistant to the President are coordination of the university s affirmative action programs and oversight of their implementation throughout the university. Harvard must and will maintain its commitment to the goals of affirmation action and equal employment opportunity. The President and Fellows of Harvard College request continuing cooperation at every level of the university toward implementing the university s policy. Nepotism It is inappropriate for employees to be in reporting relationships with immediate family or household members. Employees should neither initiate nor participate in, directly or indirectly, decisions involving a direct benefit to members of their immediate family or household. Sexual Harassment and Unprofessional Conduct (1991) 35

40 FACULTY HANDBOOK Introduction The Harvard Kennedy School is committed to swift corrective action against incidents of sexual harassment, including unprofessional conduct in faculty-student and other working relationships. This kind of behavior is a barrier to the educational, scholarly, and research purposes of the university and will not be tolerated. Any member of the Kennedy School community who believes that she or he has been sexually harassed, who has experienced problems involving unprofessional conduct, or who would like clarification or information on HKS sexual harassment complaint and resolution procedures, is strongly encouraged to speak with a sexual harassment investigative officer. (See list in the Annual Information for the Academic Year. ) The school encourages reporting of these incidents and, to the extent possible, will protect the privacy of the complainant as well as the alleged harasser. There are a variety of specific procedures for the resolution of sexual harassment and unprofessional conduct problems. These procedures cover situations involving all individuals with university affiliation, such as faculty, staff, and students. They range from informal counseling and mediation to formal procedures for disciplinary action. A written description of these procedures is available upon request from the Office of Human Resources. Sexual Harassment Sexual harassment is discriminatory and unlawful. Sexual harassment causes personal anguish and may be damaging to a person s career. As an assault upon an individual s dignity, it is clearly inconsistent with the nature of an academic community and is contrary to university policy. The determination of what constitutes sexual harassment will vary with the particular circumstances, but sexual harassment is generally defined as unwelcome sexual advances, requests for sexual favors, and other verbal or physical conduct of a sexual nature, including jokes, questions, or suggestive remarks. Consistent with Equal Employment Opportunity Commission guidelines, such conduct constitutes sexual harassment when: Submission to such conduct is made either explicitly or implicitly a term or condition of an individual s employment or academic standing; Submission to or rejection of such conduct by an individual is used as the basis for employment or academic decisions affecting such individual; or Such conduct has the purpose or effect of unreasonably interfering with an individual s work or academic performance or creating an intimidating, hostile, or offensive working or educational environment. In the academic context, the fundamental element of sexual harassment is inappropriate personal attention by an instructor or other staff member who is in a position to exercise professional power over another individual. This could involve an 36

41 FACULTY HANDBOOK instructor who determines a student s grade or who can otherwise affect the student s academic performance or professional future; or a senior faculty member whose evaluation of a junior colleague can affect the latter s professional life. Similarly, in the work setting, personal attention of a sexual nature from one s manager or supervisor is also fundamentally inappropriate because of the influence superiors have over subordinates. In any case, sexual harassment is unacceptable. Sexual harassment, however, is not limited to situations involving individuals with differing levels of authority. It can also occur between persons having the same university status. An example would be persistent personal attention from a peer in the face of repeated rejection of such attention by the other. Such behavior is unacceptable in a university. It seriously undermines the atmosphere of trust and respect essential to the academic enterprise. (Note: A statement describing what constitutes sexual harassment and unprofessional conduct, entitled Sexual Harassment and Unprofessional Conduct: Guidelines in the Harvard Kennedy School is available from the Office of Human Resources. The University s Responsibility Under the law, Harvard University is responsible for providing a work environment free of sexual harassment. The university will pursue any complaint of sexual harassment known to it in order to satisfy this legal obligation. The responsibility of the university in handling complaints of sexual harassment extends to complaints against students, faculty, supervisors, administrators, support staff, and any other members of the Harvard community. Confidentiality At each step, the Kennedy School s procedures seek to protect, insofar as possible, the privacy of individuals involved in a complaint. Both in fact-finding and in the final disposition of a complaint, every effort will be made to carry out procedures confidentially. Penalties The penalties for sexual harassment depend on the nature of the offense. Sanctions may range from reprimand to dismissal. Procedures for the Resolution of Sexual Harassment and Unprofessional Conduct Problems No one will be reprimanded or discriminated against in any way for initiating an inquiry or complaint in good faith. It is also the Harvard Kennedy School s policy to protect the rights, including privacy, of any person against whom a complaint is lodged. Once an inquiry or complaint is made, every effort will be made to resolve the problem fairly and quickly. 1. Informal Complaint Procedures Counseling, Advice, and Informal Resolution In many instances, informal discussion and mediation can be useful in resolving perceived instances of harassment or unprofessional conduct. Problems are 37

42 FACULTY HANDBOOK sometimes easier to resolve when an informal atmosphere encourages people to identify the difficulty, speak with an investigative officer, and agree on how to deal with it. In addition, sources for follow-up counseling will be provided to the complainant as needed. A. Whom to Contact The sexual harassment investigative officers listed in the Annual Information for the Academic Year attached to this handbook are particularly wellinformed and well-placed to help. These officers may be especially useful in advising and aiding a person s own efforts to resolve a problem. Such help may involve coaching the individual in preparation for a conversation with the person causing the problem; assisting the individual in writing a letter to that person describing the problem, and requesting that it stop. Problems, questions, and grievances may be discussed with anyone in a supervisory position. Alternatively, the individual may ask the officer to meet with the person whose behavior is perceived to be offensive. In certain cases, it may be necessary to arrange for a change in section assignment or a reevaluation of the work submitted for a grade. B. Confidentiality Throughout the advising process, these officers will ordinarily hold information in confidence unless or until the initiating individual agrees that another party or parties must be informed to facilitate a solution. Anyone with an inquiry, concern, or complaint may ask another member of the Kennedy School community to join in discussions with a designated officer. 2. Formal Complaint Procedures A. Whom to Contact Anyone who believes himself or herself to be the object of sexual harassment or unprofessional conduct involving a faculty member, a teaching fellow, or a course assistant may choose, either initially or after having sought an informal resolution through a designated officer, to bring a complaint through the Kennedy School s formal procedures, with the possible outcome of disciplinary action against the accused person. It should be emphasized that merely discussing a complaint with one of these officers does not commit one to making a formal charge. B. Confidentiality At each step, the Kennedy School s procedures seek to protect, insofar as possible, the privacy of individuals involved in a complaint. Both in factfinding and in the final disposition of a complaint, every effort will be made to carry out procedures confidentially. 38

43 FACULTY HANDBOOK C. When to File a Complaint Prompt reporting is strongly urged, as it is often difficult to trace the facts of an incident or incidents long after they have occurred. D. How To File A Complaint 1. Any member of the Kennedy School community may bring formal complaints to a Kennedy School investigative officer. (See list of officers in the Annual Information for the Academic Year attached to this handbook.) 2. Note: Any one of these officers may be appointed to investigate a complaint if the officer originally designated encounters a conflict of interest or time. Other investigative officers may be designated as needed. 3. The individual may choose to have another member of the Kennedy School community present at discussions of the complaint. 4. After discussion with the designated officer, the individual may submit a written complaint describing the circumstances and requesting a formal investigation. This complaint will be shown to the accused person, who may then submit a written response. This response will, in turn, be shown to the complainant. Confidentiality will be maintained; access to the complaint will be granted to individuals strictly on a need-to-know basis. 5. The proceedings described here are not those of a court of law and the presence of outside legal counsel is not permitted during these discussions. However, individuals may choose to obtain legal advice as they consider the courses of action open to them. E. Protection of the Complainant and the Respondent Throughout the complaint process, every effort will be made to protect the individual bringing the complaint (hereafter referred to as complainant ) from reprisals and to protect the accused (hereafter referred to as respondent ) from false or irresponsible complaints. F. The Complaint Process 1. The timetable set forth below is approximate. The Dean or the Dean s designee may, at his or her discretion, allow additional time for any of the steps noted. 2. Within ten days of receiving the written complaint, the investigative officer will consult with the complainant, the respondent and others, if appropriate, in order to ascertain the facts and views of both parties. The university General Counsel s Office may also be consulted. 39

44 FACULTY HANDBOOK 3. Within 30 days from the date on which the complaint was filed, the investigative officer will conduct an inquiry and prepare a report, in confidence, summarizing the relevant evidence. A draft of the report will be shown to the complainant and the respondent in order to permit them the opportunity to respond before a final report is made. 4. Within 30 days thereafter, the final report, presenting the findings in summary, will be sent to the Dean and shown to the complainant and the respondent. 5. Within ten days thereafter, the complainant and the respondent may each submit a statement to the Dean concerning the report. 6. When a complaint is brought against a faculty member, either the complainant, respondent, or investigative officer may choose to refer the matter, at any point prior to a final disposition, to the Dean of the Harvard Kennedy School. 7. The investigative officer may at any point dismiss a complaint if it is found to be without merit. 8. Within 30 days after the submission of any final statement from the complainant and the respondent, the Dean will decide to: i. take whatever action he or she believes is warranted by the evidence, including dismissal of the complaint, or penalties against the respondent ranging from reprimand to dismissal. ii. ask the investigative officer to consider the matter further and submit a supplementary report. 9. Following the disposition of a case, any party who is dissatisfied with the decision may appeal by submitting a statement to the Dean, within 30 days, stating with specificity the reasons for his or her dissatisfaction. 10. The Dean, within 30 days of submission of such a request, may decide whether reconsideration is appropriate or, at his or her discretion, submit the matter for further investigation. 11. In certain cases, it may be appropriate for the Dean to modify the procedures set forth above in light of the nature of the charges. G. Penalties The penalties for sexual harassment depend on the nature of the offense. Sanctions may range from reprimand to dismissal. 40

45 FACULTY HANDBOOK H. What Happens Following the Disposition of a Case 1. The facts about individual cases and their dispositions are confidential. The Dean or the Dean s designee will inform the complainant and respondent, in confidence, of conclusions in the case. 2. The investigative officer will ensure that any action determined by the Dean is carried out. 3. A permanent, written record of the formal complaint process and its outcome is ordinarily retained in a confidential file by the Director for Human Resources or the Dean. 4. An annual report will be prepared for the HKS administration on the number and type of complaints. Such a report will be compiled without names or other identifying information. Every fifth year a summary will be prepared for the HKS administration on the disposition of complaints filed over the preceding five years. The university s policy on sexual harassment is also discussed in the Harvard Union of Clerical and Technical Workers Personnel Manual and the Personnel Manual for Administrative and Professional Staff. The Kennedy School s policy against discrimination is intended to be consistent with Title IX of the Education Amendments of 1972 and 34 CFR Part 106. In addition to contacting the persons listed in the attachment to this handbook, persons with inquiries regarding the application of Title IX and 34 CFT Part 106 may contact the Assistant Secretary for Civil Rights, U.S. Department of Education, Washington, D.C , or the Regional Director, Office for Civil Rights, J.W. McCormack Post Office and Courthouse, Room 222, Post Office Square, Boston, MA Informing Students and Program Participants about Kennedy School Policies and Procedures Concerning Sexual Harassment Faculty chairs of programs (together with their counterpart Program Directors) are responsible for informing each newly arriving group of students and program participants about the school s policies and procedures concerning sexual harassment. Faculty or administrators who are responsible for a group of newly arriving students or program participants should obtain a copy of the school s official letter to students on this subject from the Academic Dean for Teaching Programs. There are two versions of this message a one-page version and a more detailed and comprehensive discussion. Either may be used. One or the other should be included in registration packets or other materials distributed to new arrivals before or within a few days of the beginning of their program. 41

46 FACULTY HANDBOOK Faculty Disciplinary Committees Membership on any disciplinary committee continues through the summer and into the subsequent academic year until such time as a new committee is named or voted. In cases of alleged faculty wrongdoing: The Screening Committee inquires into a case where a complaint of violation of rights, grave misconduct, or neglect of duty has been made against a faculty member. It is made up of three members of the senior faculty, appointed by the Dean. It is essentially a fact-finding committee, but may resolve complaints through mutual agreement. If it proves impossible to resolve the complaint through mutual agreement, the case is referred to a university-wide Hearing Committee. The University-Wide Hearing Committee is composed of four members representing the faculty in which a complaint has occurred and three members of other faculties of the university. The HKS representatives are drawn from the HKS Hearing Pool. The HKS Hearing Pool consists of five tenured members and two nontenured members of the faculty. It must be elected by the faculty at the beginning of each academic year before the need for a hearing arises. It is in effect a pool of faculty who may be drawn on when a hearing is required. In cases of alleged student wrongdoing: The Disciplinary Review Board (DRB) is made up of faculty members and staff appointed by the Dean. The DRB examines all charges of academic dishonesty and violation of community norms of behavior and then recommends action to the Administrative Board or the HKS Committee on Rights and Responsibilities. The Administrative Board consists of faculty members and officers appointed by the Dean. The Board convenes only when the DRB brings forward a case of a student charged with an unethical or dishonest act. In cases involving an infringement of values considered essential to an academic community: (These include freedom of speech and reasoned dissent, academic freedom, freedom from personal force and violence, and freedom of movement.) The HKS Committee on Rights and Responsibilities deals with cases of inappropriate conduct, such as interference with freedom of speech or intense personal harassment, by a member of a university, whether faculty, student or administrative officer. The Committee consists of the Dean, five faculty members appointed by the Dean, and three students appointed by the Dean on the basis of nomination by the Kennedy School Student Government. 42

47 FACULTY HANDBOOK The University Committee on Rights and Responsibilities addresses questions of ethical behavior in an academic community. It is composed of delegates from throughout the University, including two faculty and one student assigned from the HKS Committee on Rights and Responsibilities. For disciplinary action regarding cases of sexual harassment please see p. 35 Sexual Harassment and Unprofessional Conduct For disciplinary action regarding students, please see Student Dishonesty: Plagiarism, Cheating, Inappropriate Behavior and Other Unethical Activities, available from Degree Program staff Other Kennedy School, University, Cambridge and Commonwealth Policies Smoking The no-smoking ordinance of Cambridge, Massachusetts, defines smoking as a hazard to public health and a public nuisance. It prohibits smoking in any public spaces in Cambridge, including classrooms, lecture halls, libraries, auditoriums, restrooms, work areas, lounges, and hallways. These regulations are in effect throughout the city and, therefore, throughout Harvard University. Smoking is not permitted anywhere at the Harvard Kennedy School, except the courtyard and other outside areas. Under terms of the Cambridge ordinance, the Kennedy School is responsible for policing all no-smoking areas within its buildings. Persons who smoke in no-smoking areas are in violation of this ordinance, which provides substantial individual and institutional penalties. Illicit Drugs, Other Illegal Substances, and Alcohol State and federal law, as well as University policy, prohibit the unlawful possession distribution, or use of illicit drugs and alcohol by students and employees. Cities and towns in Massachusetts prohibit public consumption of alcohol and impose fines for violations. The Massachusetts Department of Conservation and Recreation, which owns John F. Kennedy Park, also prohibits public consumption of alcohol in its parks. The University should not, and cannot, be considered a sanctuary from the drug laws. Being a student, faculty member, or staff member provides no special protection against arrest or prosecution. For more information on these policies and for information on treatment sources at Harvard University, see: Firearms Possession of firearms is prohibited on campus by anyone other than sworn law enforcement officers. Private citizen permits are not valid on campus. 43

48 FACULTY HANDBOOK Dogs and Other Pets Dogs, except for guide dogs, and other animals are not allowed within Kennedy School buildings, regardless of how well-behaved the animal or how short the visit. Fire Alarms and Emergencies During an evacuation alarm please discontinue class instruction and direct students out of the classroom and to the designated meeting site location. Meeting site location maps are posted in each classroom. At the beginning of each term, it would be helpful to familiarize yourself with the evacuation plan for the classrooms in which you will be teaching. For information on the Kennedy School s emergency preparedness and security policies and practices: Bicycles Racks are located around the HKS Courtyard as well as outside the building entrances with the exception of the Littauer JFK Street entrance and the Taubman Eliot Street entrance. Please walk your bicycle on Kennedy School property, including on the drive into the courtyard. Bicycles are not allowed in HKS buildings. Parking All employees parking on Harvard University property must purchase a parking pass. These are available from the Harvard University Parking Office, ( ). There is no available parking at the Kennedy School. Trash Removal Leave wastebaskets outside of your office door prior to departure each afternoon. Large trash barrels are available by calling Building Services at Recycling Mixed paper (no food wrappers, plates, or cups, please) is collected daily. Containers for bottles and cans are located throughout the school. Arrangements can be made to recycle most batteries, all computer monitors, and fluorescent lamps. Please call Building Services at for details. Confidential materials may be recycled in special bins for shredding. For information, contact the Academic Appointments Administrator at Providing Information to Law Enforcement on School Personnel From time to time law enforcement personnel may formally (with a written request or subpoena) or informally (without written documentation) ask you to provide information about the activities of people using Harvard networks or systems or to provide specific data such as copies of files or . If you receive any such requests, inform the requester that you do not have the authority to respond to such requests on your own. Under university rules, law enforcement personnel must contact the 44

49 FACULTY HANDBOOK Office of the General Counsel (Mary Ann Mendes ). The Office of the General Counsel will evaluate the requests and determine how to respond. Buckley Amendment: Student Privacy Information on students other than their name, program, and degree received or anticipated is confidential. No other information on students may be provided without written consent of the student. Invitations to Foreign Heads of State and Heads of Government, Cabinet Ministers and High American Officials and Leaders The following University guidelines should be followed in inviting heads of state and other high ranking dignitaries to visit the campus. The Dean should first be consulted. An invitation to heads of state and heads of government must be extended by letter from the President of the University and coordinated by the University Marshal s office. Visits by other dignitaries might also appropriately be coordinated by the Marshal s office. The costs of travel, lodging and security for the visitor and their parties must usually be borne by the inviting organization. 45

50 FACULTY HANDBOOK Part III Policies on Residency, Absences and Leaves, Faculty Workload, and Compensation Residency Except for the holidays and recesses defined below, members of the faculty shall be in residence at least one week before the beginning of classes in the fall through Commencement exercises in May, including the periods of instruction, reading, review, and examinations a period of approximately nine months. Faculty are not required to be in residence during academic recesses. Residency requirements do not apply to faculty on approved leaves. The following dates are recognized as University holidays when normal University services are closed: New Year s Day Martin Luther King, Jr. Day Presidents Day Memorial Day Independence Day Labor Day Columbus Day Veterans Day Thanksgiving Day and the following Friday ½ day on Christmas Eve Christmas Day and the days between Christmas and New Year s Eve, as announced by the President or others speaking for the University. 46

51 In addition, the Dean of the Kennedy School may, on occasion, close the School on additional days. Without prior permission of the Dean, faculty or other units in the School must not provide additional paid time off for employees. School Closings due to Weather Emergencies It is Harvard s policy not to close except in extreme situations, however in some cases events or classes may be cancelled. We will attempt to communicate day cancellations by 6:30am and evening cancellations by 4pm via the urgent information website: and phone line: We will also leave a message on your Kennedy School voice mail, and send a text message to all registered MessageMe users. (You may register for a MessageMe account at: These will be your most accurate sources but note that cancelations will also be posted to TV channels WBZ 4, WCVB 5 and WHDH 7, and to radio stations 680AM and 1030AM. Absences and Leaves During Periods of Instruction Absences In general, faculty members, whether teaching or not teaching, should be present during term time (including orientation, advising period, reading period, and exams) and accessible to students. Faculty who are teaching are strongly discouraged from participating in any activities that will involve missing scheduled class time. Faculty members who are not on leave but have no teaching responsibilities are expected to be present during term time to be available for advising students, meeting administrative and committee responsibilities, and participating in other activities around the School. In particular, all faculty should be available on Tuesdays from 4:10 to 5:30 PM for faculty and other School-related meetings. 11 Any faculty member who wishes to be away from the campus for a period of more than one week, or anyone who is teaching but wishes to be absent during term time and whose absence from the campus will require a reduction or change in scheduled activities, should consult his or her Area Chair. Before authorizing the absence, the Area Chair should be satisfied that the reason for the absence, whether personal or professional, is sufficiently compelling and that all teaching and other professional responsibilities are adequately and reasonably covered. If an absence of more than one week is necessary, the faculty member should submit a written request to the appropriate Area Chair, with a copy to the Academic Dean who will notify the Dean of all absences 11 It is customary practice at the Kennedy School for faculty with child care responsibilities to leave these meetings early in order to pick up children from care. 47

52 Academic Leaves (Adopted March 14, 1994) The interests of both the John F. Kennedy School of Government and individual faculty can be served by faculty occasionally taking leaves of absence for purposes such as conducting research, visiting at other universities, serving in government, or performing other forms of public service. At the same time, however, the School and its faculty must be mindful of the need to meet obligations to students and to colleagues. The Kennedy School faculty leave policy was formulated with these factors in mind. Purposes of Leave Faculty may apply for leave to conduct research, be in residence at another academic institution, enhance professional skills, or engage in professional practice relevant to the School's mission (e.g., government service). Notification of Area Chairs, the Academic Dean, and the Dean All leaves are granted at the discretion of the Dean. A faculty member seeking to take leave should begin by discussing his or her plans with the appropriate Area Chair. When the two come to an agreement about taking leave, the faculty member should submit a written request to the Dean (with copies to the Academic Dean and the Associate Academic Dean) stating the reasons for the request, proposed duration of the leave, proposed salary status (using percentages rather than dollar amounts if the contemplated leave will be less than a full academic year), and anticipated needs for office space, if any. For a detailed list of items that should be considered when taking a leave, see the Faculty Leave Pamphlet. Requests should be submitted by January for leaves beginning the following September and by May for leaves beginning the following January. Faculty may report this when they respond to the School s annual request for plans (Flight Plan mailing) or as a separate written document. Faculty seeking to take sabbatical leave should make their request to the Dean by September 30 of the prior academic year. University Rules Regarding Leaves and Procedures for Appointment of Former Faculty Returning after Public Service Leave According to long-standing University policy, faculty members may not take a leave of absence for more than two consecutive years. This policy reflects the University s view that a permanent appointment should be a faculty member s primary professional commitment. The policy is intended to enable schools and departments to balance curricular needs with the requirements of scholarship, unimpeded by the uncertainty that indefinite leaves may create. The policy has generally served the institution well, and it is the basic principle that guides the School s procedures on appointing former faculty who wish to return to the school after a period of public service. At the same time, the School s mission of providing effective education for public service requires that at least some of its faculty have relevant experience in public 48

53 service. From the perspective of the School s needs, some of the most valuable professional experience comes from serving in positions at the higher levels of government or analogous positions in other public service organizations, which often require a full-time commitment for more than two years. The School s procedures seek to balance these needs for institutional planning and professional experience. The School does not, formally or informally, guarantee that a faculty member who resigns while on public service leave may return to a position at the School, or even that the faculty member will be reviewed for an appointment. However, under certain conditions the School s procedures for appointment may be modified to take account of the special circumstances of former faculty in public service. For details on reappointment procedures, see Section IV: Policies Regarding Faculty Appointments. Types of Leave For tenured faculty: Sabbatical Leaves - Tenured professors are eligible for sabbatical leave (a full year at half pay or a half year at full pay) after every six years in residence. Such leave is ordinarily expected to be devoted to study or original scholarship. Sabbatical time does not accumulate if the period between such leaves is more than six years. However, on those occasions when a sabbatical leave is postponed for the convenience of the faculty or at the specific request of the Area Chair, Academic Dean or Dean, time may be banked toward a future sabbatical. Faculty appointed to a tenured position from within the Kennedy School will be eligible for their first sabbatical seven years after their last School-funded (junior faculty research) leave. Personal Leave Policy - Leave may be granted for compelling personal reasons (for example, the care of a seriously ill spouse, partner, parent or child). Such leaves may be exempted from ordinary residence requirements between leaves. Requests should be discussed with the relevant Area Chair and a formal request should be submitted to the Area Chair, with copies to the Academic Dean and Associate Academic Dean. Other Senior Faculty Leaves - Professors may apply to their Area Chairs for unpaid leave. Leaves may be granted for a period of up to one year, and the duration of consecutive leaves may not exceed two years. Individuals normally would be limited to no more than two years of leave in any six-year period. For Assistant and Associate Professors: Junior Faculty Research Leaves - All Assistant Professors are entitled to a one-semester paid research leave during the five years of their original contract. Such leave is ordinarily expected to be devoted to study or original scholarship. Junior faculty should schedule the timing of this leave with their Area Chairs. 49

54 Other Junior Faculty Leaves - Associate and Assistant Professors may apply to their Area Chair for unpaid leave. Such leave is normally limited to one year, though a second year may be granted by the Area Chair, (in conjunction with the Academic Dean and Dean) in exceptional cases. At the discretion of the Dean, the "appointment clock" may be stopped for all or part of the duration of the leave. (See p.52 The Academic Clock ) Personal Appointment Extension Policy - An assistant or associate professor may request an extension of his or her existing contract, with a concomitant postponement of an impending review where relevant, on the basis of compelling personal reasons (for example, the care of a seriously ill spouse, partner, parent or child). The written request should be sent to the appropriate Area Chair, with copies to the Academic Dean and Associate Academic Dean. For non-ladder faculty with term appointments: Leaves - Professors of Practice, Lecturers and Adjunct Lecturers may apply to their Area Chair for unpaid leave. Such leave is normally limited to one year, though a second year may be granted by the Area Chair (in conjunction with the Academic Dean and Dean) in exceptional cases. Personal Leave Policy - Leave may be granted for compelling personal reasons (for example, the care of a seriously ill spouse, partner, parent or child). Such leaves may be exempted from ordinary residence requirements between leaves. Requests should be discussed with the relevant Area Chair and a formal request should be submitted to the Area Chair, with copies to the Academic Dean and Associate Academic Dean. Medical Leave Faculty, unlike staff, do not have paid short-term disability benefits, though they do have long-term disability benefits paid for by the University. Serious Illness or Disability - If a faculty member becomes seriously ill, a full-time employee is ordinarily entitled to a paid medical leave of absence of up to 6 months, not to extend beyond the termination date of his or her appointment. In such a situation, an employee working less than full-time is also entitled to a medical leave of absence of up to 6 months, not to extend beyond the termination date of his or her appointment. In the case of a parttime employee, however, the compensation is prorated in accordance with the employee's time status. Long-term Disability - Faculty are eligible to apply through Harvard University s Benefits Office for long-term disability payments after 6 months, which cover 60% of a faculty member s salary. If an individual can continue 50

55 his or her research or do other work, he or she may be allowed to earn the other 40%. All requests for medical leave should be sent to the appropriate Area Chair, with copies to the Academic Dean and the Associate Academic Dean. The request should be accompanied by medical certification in support of the leave. Parental Teaching Relief Policy 12 Note: This policy applies to professors, associate professors, assistant professors, professors of practice, lecturers and senior lecturers A full-time faculty member who assumes half or more of the care 13 for a newborn or newly adopted child will automatically be granted paid teaching relief from formal classroom and administrative duties for a full load during one term or a half load for two terms. The leave will normally be completed within one year after the birth or adoption but may be postponed, at the request of the faculty member, for one year. The faculty member will arrange with the Area Chair the manner in which his or her teaching responsibilities will be spread across the year. Part- time faculty members in the same situation may be granted teaching relief commensurate with their time status, at the discretion of the Academic Dean. During the time of his or her parental leave, the faculty member will retain his or her office. The faculty member who desires relief from teaching under these circumstances should submit with as much advance notice as possible a written notification to the Academic Dean, with copies to the relevant Area Chair and the Associate Academic Dean. The notification should specify the extent of the individual's responsibility for providing child care and the extent of relief sought (full load for a term or half load for a year). Example 1: A birth is expected in October. Two possibilities are: full teaching relief in the fall or the spring or half teaching relief during the whole year. Example 2: A couple plans to adopt an infant in January. They agree that one parent (who is a Harvard faculty member) will stay home with the baby during the 12 Under the Massachusetts Maternity Leave Act, a female faculty member who bears or adopts a child is entitled to 8 weeks of full maternity leave, unpaid. The Family & Medical Leave Act provides for up to 12 weeks of unpaid leave (to be taken and completed during a 12-month period) to care for a child within 12 months of birth, adoption or the initiation of foster care. (FMLA allows leave for other purposes as well, which are not covered in this policy). To the extent that the period of maternity or FMLA leave overlaps with a semester of teaching relief, it will run concurrently with the teaching relief, but would afford the faculty member relief from non-teaching as well as teaching responsibilities for that part of the term. To the extent that the period of maternity or FMLA leave does not overlap with an academic semester, it may be taken in addition to teaching relief. Under this HKS policy, maternity and FMLA leave will be paid as described in the text if they are taken concurrent with teaching relief. If maternity/fmla leave are taken in the summer, the faculty member on leave will be paid in accordance with their usual summer pay plan. The combined total of maternity/fmla leave and teaching relief must not exceed 12 months for each birth or adoption. 13 Half or more of the care assumes day-to-day responsibility for the care of the infant and is not intended to include parents whose newborn or newly adopted child is cared for full time by either a spouse or a live-in child care provider. 51

56 spring term while the other parent (who is a faculty member elsewhere) will continue to work full time and then assume primary responsibility in the summer and through the following fall. The Harvard parent requests full- time relief from teaching for the spring. The Academic Clock Stopping the Clock Normally the time counted toward promotion or renewal decisions is interrupted for one year when a non-tenured faculty member goes on leave. In other words, the faculty member's appointment is extended for one year. However, the clock does not stop for all types of leave. Notably, it does not stop when the faculty member takes leave to be in residence at another academic or research institution. On the other hand, it stops automatically when a faculty member takes maternity or parental leave. All other decisions about stopping the clock are made at the discretion of the Area Chair and Academic Dean in consultation with the faculty member. Other Leave-Related Issues Salary and the Fiscal Year Harvard University's fiscal year runs from July 1 to June 30 and faculty salaries for the nine-month academic year are often prorated across the twelve calendar months. Thus, a faculty member on unpaid leave for an academic year will stop receiving paychecks after June 30 of the prior academic year, even if he or she remains in residence at the Kennedy School through the summer. A faculty member who takes leave for one semester will normally receive 50 percent of full academic year compensation, paid over the twelve months July through June. Where a faculty member earns significantly more or less than 50 workload points (see section below on Faculty Workload Guidelines) during the semester in residence, however, the proportion of normal academic year compensation paid may be adjusted at the Area Chair and Academic Dean's discretion. Use of Office While on Leave Space constraints normally dictate that a faculty member may be required to vacate his or her office while on leave. On a space available basis, however, the Dean may authorize a faculty member on leave to continue to have use of his or her office and the support of a faculty assistant. Claims on Courses after Returning From Leave If it is necessary for one or more of the courses a faculty member normally teaches to be taught during his or her absence and if the relevant Area Chair requests another 52

57 faculty member to teach that course, the faculty member who teaches the course during the period of leave has claims to teach the course in subsequent years that are equivalent to the claims of the faculty member who has taken leave. Conflicts about who is to teach such courses will be resolved by the Area Chairs in consultation with the Academic Dean. Faculty Workload Guidelines History and General Approach The Kennedy School's faculty workload system was originally developed in the mid- 1970s. Then, as now, the purpose was the equitable distribution of the faculty's responsibilities for teaching, research, and administration. At that time the baseline full-time workload for an academic year was four "standard" one-term courses, each of which would contribute 20 percent of the total workload, with the performance of administrative duties accounting for the remaining 20 percent. A standard course was an Arts-and-Sciences lecture course of 30 students, taught by a single instructor. Of course, few faculty members have their full salary paid from school funds while teaching only standard courses and performing "normal" administrative duties. Consequently the guidelines have been gradually modified to take more accurate account of the many different kinds of classes and instruction that Kennedy School faculty encounter, and to clarify faculty's responsibilities to the HKS. The normal full time workload for an academic year is three standard courses plus research, advising, administration, and occasional individual executive program classes or other appearances on behalf of the School. A standard course is a term-long lecture or case-discussion course of 40 to 70 students taught by a single instructor. The first course is designated by the relevant Area Chair, the second by consultation with the Area Chair taking the lead, and the third by consultation with the faculty member taking the lead. Ordinarily, it is expected that administration, advising, and miscellaneous assignments will account for approximately 20% of most faculty members' time. Faculty members are encouraged to reduce their teaching loads to two courses by obtaining outside research funding for one-third of their teaching time. In such cases, scheduling both of those courses in the same semester is appropriate, subject to scheduling constraints. Workload Points Because a significant share of our teaching is not in "standard" courses, the workload point system is used as a rough guide in estimating faculty workloads. The main details of the point system are set below. A. Teaching 1. Degree Programs 53

58 i. Workload points (WP) for a semester-long course are calculated as follows: ii. WP = 5 pts pts/student up to 60 students pts/student thereafter iii. A module counts as one-half of a one-semester course (e.g., 10 points for a module in which 30 students are enrolled). iv. A required MPP or MPA-ID core course will receive an additional 7.5 points. 1. If the course requires intensive grading, as determined by the program director in consultation with the academic dean, it will receive an additional 5 points. 2. Those faculty who serve as course heads for multisection courses in the MPP program will receive an additional 2.5 points. v. A new course gets an extra 5 points the first time it is given. The same is true when the school asks a faculty member to revise a course substantially. A faculty member teaching an existing course for the first time also gets the 5-point bonus. vi. A course taught jointly by two or more faculty members (each of whom participates in all class sessions) will be given 1.3 times the number of points based on enrollment, with the total credit divided among those teaching. 2. Executive Education Teaching i. Teaching in an executive program demands the highest level of preparation and commitment. Working with the program chair, faculty are expected to identify the most current and relevant curriculum to meet the needs of the audience. ii. Each faculty member is responsible for providing the following to executive program staff in a timely fashion (please see below for deadlines): 1. Primary readings for each class; 2. Study questions for each class; 3. Background readings, if any; 54

59 4. Study Handouts, if any, with instructions on distribution; 5. Group exercise instructions, if any; and, 6. Audio-visual needs. iii. All faculty are encouraged to attend meals, including opening and closing dinners, and to make time during breaks and after class to interact with participants. Faculty are also encouraged to attend classes taught by their colleagues to help in the integration of the curriculum. iv. Teaching in executive education programs during the academic year normally earns 1.4 points per class taught for the first 10 classes and 1 point per class for the 11 th and subsequent classes. The faculty chair, with prior approval by the Academic Dean, may increase the compensation from 1.0 to 1.4 points for faculty who provide outstanding performance to the executive program, are developing curriculum for the program, etc. v. Every program has a faculty chair who is responsible for developing the intellectual framework and insuring the integrity of the program. The faculty chair is responsible for: 1. designing and elaborating the intellectual framework of the program; 2. developing the schedule and recruiting faculty; 3. contributing to the marketing and sales plan for the program by identifying and contacting potential participants and target organizations and to select participants; 4. for programs custom designed for an organization, working with the client agency to make sure that the curriculum meets its needs and, along with the program director, taking responsibility for developing and maintaining a good client relationship; 5. working with faculty to make sure that the program is coherent and all materials are current and relevant; 6. convening a pre-program faculty meeting to discuss the curriculum and how the pieces fit together; 55

60 7. taking a major teaching role in the program and helping to reinforce the overarching themes of the program; 8. being around during the program at breaks and meals to interact with the participants; 9. sitting in on other faculty sessions to make sure the program is going as planned, to make suggestions to other faculty, and to make mid-course corrections if needed; 10. providing support and assistance to faculty who are new to executive program teaching; and, 11. post-program review/evaluation of the program to assess the effectiveness of the curriculum and the faculty, and to begin planning for the next session. vi. Chairing an executive program earns the following: 1. For a 2-3 day program 2 points 2. for 1 week 3 points 3. for 2 weeks 6 points 4. for 3 weeks 9 points 5. for 4 weeks 12 points vii. Points are doubled for initial development of a new program and increased by half for revising an existing program. viii. When two programs are chaired concurrently, the second earns half the chair points of the first. ix. For co-chairs, the total chair points are multiplied by 1.3, then split between the two co-chairs. x. The Senior Associate Dean for Executive Education, with prior approval by the Academic Dean, can increase chair compensation for outstanding performance up to the following amounts: 1. For a 2-3 day program 3 points 2. for 1 week 5 points 56

61 3. for 2 weeks 10 points 4. for 3 weeks 15 points 5. for 4 weeks 20 points xi. For more details on Executive Education teaching compensation, refer to the Executive Education Faculty Handbook, available from your Executive Education Program Director. xii. Faculty who have exceeded their point obligations during the academic year by at least 10%, may request summer salary or a research transfer for excess points earned by teaching in executive programs. In the case of off-site executive program teaching, faculty may receive extra compensation. For details, see section below on research buyouts, extra compensation and summer employment. 3. Doctoral Student Advising i. Chairing a HKS doctoral dissertation committee earns 2 points per year for up to three years. Being a member of a doctoral dissertation committee earns 1 point per year for up to three years. ii. Drafting and grading a PhD exam for Kennedy School doctoral students earns 5 points. Taking part in an oral exam earns 1 point. 4. PAE and SYP Advising: i. Advisors for PAEs and SYPs get 2.5 points per single authored project. For the second author, an additional 1.5 points are added and for each additional author 1 point is added. 5. Reading and Research Courses i. Semester-long Reading and Research (R&R) courses get 2 points per student; module-length Reading and Research courses get 1 point per student. Faculty may earn no more than 8 points per year in Reading and Research courses B. Administrative Duties 1. Points are awarded for service on the School s major standing committees. The number of points awarded varies with the amount of time a faculty member is expected to spend on committee work. 57

62 2. The workload process is administered by the Associate Academic Dean in consultation with the Academic Dean. The system is neither comprehensive nor flawless: there must be room for substantial discretion and judgment in its application. Most important, it must be applied fairly and it must be perceived to be applied fairly. Questions about points should be referred to the Associate Academic Dean. Buying out Academic Year time for Research or other Scholarly Activities The John F. Kennedy School of Government provides its faculty with certain resources to teach, research, and perform related activities. Below are the resources provided to most faculty that may be affected by buying out time for research or going on leave. Faculty Support Accounts (FSA) Faculty Support Accounts are designed to support ongoing teaching and selected administrative and research activities. FSAs are meant to cover routine HKS business expenses such as phone, postage, photocopying (except that provided by the Course Materials Office for course packet duplication), travel, research-related expenses, research assistant payroll, and course development. The usual annual base allocation for full-time core faculty 14 is $5,000. Allocation for Adjuncts is generally $500. Amounts are set by the Academic Dean each year. Faculty who work less than fulltime or for only one semester at the HKS will receive a prorated FSA to reflect the time status. Unused funds are carried forward to the following fiscal year. When Time is Bought Out Faculty who buy out 25% or more of their time with funds from outside HKS s faculty budget (e.g., HKS Research Centers, other Harvard departments, or outside sources) will have their FSA allocations prorated to reflect their level of effort on activities supported by the HKS faculty budget. For example, if a faculty member is paid with a joint appointment with another school or HKS research center so that HKS faculty budget pays 30% of their time, the FSA would be prorated to 30% of the faculty member s regular allocation. 15 Executive Education is considered part of HKS s faculty budget, except for a small number of faculty members whose primary teaching is for executive programs. In cases where faculty members have time bought out by other schools at Harvard, the 14 Full time core is the equivalent of three courses taught in an academic year, plus administrative duties such as HKS committee work, faculty search and review, outreach efforts, etc. 15 An illustration is if the faculty member would usually receive $5000 in the FSA, then prorating to 30% yields $

63 Office of Financial Services, in conjunction with the Academic Dean, determines whether to prorate resources on a case-by-case basis. When Faculty are on Leave Faculty who are on unpaid leaves will not receive an FSA allocation. Faculty on leaves paid by HKS s faculty budget (including sabbaticals, junior faculty research leaves, and parental leave,) however, will receive a full FSA allocation. Faculty Assistant Time Faculty who are teaching, conducting research, and/or performing HKS administrative duties are provided support time. Depending on the amount of time allocated, a faculty assistant (FA) may provide a range of support services such as course material preparation, material copyright requests, financial transaction processing and standard reporting, basic library and web research, etc. A full-time faculty member is allocated 33% of an FA s time (i.e., 11.5 hours/35-hour week). Support time for faculty working less than full-time or for only one semester will be prorated to reflect the time status. Support time for adjuncts is based on 8% time per course, 4% per module. When Time is Bought Out Faculty who buy out 25% or more of their time with funds from outside HKS s faculty budget (e.g., HKS Research Centers, other Harvard departments, or outside sources) will have their FA support allocations prorated to reflect their level of effort on activities supported by the HKS faculty budget. For example, if a faculty member holds a joint appointment with another school or center so that HKS faculty budget pays 30% of the faculty s salary, the FA support time would be prorated to 30% of regular support time. 16 When Faculty are on Leave: Faculty who are on unpaid leaves will not receive an FA support allocation. Faculty on leaves paid by HKS s faculty budget (including sabbaticals, junior faculty research leaves, and parental leave,) however, will receive full FA support allocation. Rent: The HKS tries to assign senior faculty (including Professors of Practice) to offices with approximately 200 sq. ft. of space. Junior faculty are assigned approximately 150 sq. ft. of office space. Temporary and adjunct faculty office arrangements are determined by the School s Facilities Department and often involve shared offices. The rent for faculty offices is charged directly to HKS s faculty budget based on the assigned offices actual square footage. In the rare case where the faculty appointment is secondary to a primary administrative appointment, the research center or department will cover the rent. When Time is Bought Out for Research HKS will not prorate faculty office rent for research buy outs. 16 If the faculty member would usually receive 33% support time, then prorating to 30% would equal 9.9%, or 3.5 hours of support time/week. 59

64 Summer Employment Full-time faculty may receive up to an additional three-ninths of their base salary as compensation for academic activities conducted over the summer, either by providing instruction in Executive Education courses or the Kennedy School summer program or through sponsored scholarly activities. Requests for summer salary must be approved by the Associate Academic Dean or Academic Dean, and are contingent on faculty having fulfilled their obligations to the School during the previous nine months. Executive Education Summer Compensation Faculty who have fulfilled their point obligations during the academic year are entitled to summer salary or a research transfer for teaching in executive programs during the summer. If their academic point obligations have not been fulfilled, summer teaching will be credited as points until such time that their academic year points are complete. Harvard University Policy on Extra Compensation Corporation vote of June 7, 2000; Voted to reaffirm certain policies regarding two matters addressed in the Stipulations Regarding Extra Salaries and Teaching, Research or Administrative Obligations of Holders of Academic Appointments of May 7, 1962, as they have been amended from time to time, as follows: 1. Each Dean shall have authority to approve all extra compensation payments to members of his or her Faculty. All such payments shall be reviewed annually by the Vice President for Finance. Each Dean shall review any significant programmatic changes in the use of extra compensation with the Vice President for Finance. Any questions raised will be presented to and addressed by the Provost. 2. Extra pay for teaching, research, or administrative services performed at the University during the summer months by academic appointees shall be limited to a maximum of three-ninths of the individual s academic year salary. 60

65 Part IV Policies Regarding Faculty Appointments Procedures for Faculty Appointments Adopted May 10, 1977, amended January 16, 1979, January 22, 1980 and December 8, 1992, August 16, 2000, April 2001, August The following rules of procedure should be followed with respect to the selection and appointment of members of the faculty of the Harvard Kennedy School, hereinafter "the School." Composition of the Faculty and Other Officers of Instruction "The Faculty" shall consist of the following three categories of membership: A. Those full professors whose permanent tenure is wholly or partly the School's responsibility, and who are willing to accept their full share of the School's academic and administrative responsibilities. B. Professors of practice, public service professors, associate professors, assistant professors, senior lecturers, and lecturers who are generally on the School's core budget for half or more of their salaries. C. Members of other Harvard faculties who have been invited by the faculty to join it for a term of years, and who, in addition, have agreed to accept an appropriate share of responsibility for the School's activities. The above categories were established by the faculty's vote of November 20, 1974, which was subsequently approved by the Corporation. The names and number of ranks within category B have been modified at various times since At one point the School had four categories of faculty and other officers of instruction. Category D appointments no longer exist. 61

66 "Other Officers of Instruction" shall include two categories: E. Members of other Harvard faculties who are authorized by the faculty to offer instruction within HKS, but who either have not been specifically invited by the faculty to become faculty members, or who have not committed themselves to accept an appropriate share of responsibility for the School's activities. F. Lecturers, whose primary duties are administrative, instructors, adjuncts and visitors of all ranks, and others who hold Kennedy School teaching appointments and who are not members of categories A, B, C, or E. Responsibilities for faculty decisions on curriculum, student admissions, and academic matters other than appointments shall rest with the core faculty, namely, Categories A, B, and C. Responsibility for advising the Dean on appointments shall rest with the Faculty Advisory Committee on Tenure (FACT), consisting of those individuals described in Category A; the Faculty Advisory Committee on Appointments (FACA), consisting of those individuals described in Category A and individuals in Category C, as well as Associate Professors and Senior Lecturers; the Faculty Steering Committee; and, search and review committee members appointed by the Dean. Composition and Responsibility of the Appointments Committees In its role of advising on appointments, the committee shall consist of a tenured faculty member designated by the Dean as chair, members of the tenured faculty designated by the Dean, Professors of Practice designated by the Dean, and the Academic Dean and the Associate Academic Dean as ex officio members. Their duties are as follows: A. Recommending changes in and monitoring adherence to the School s appointment procedures; B. Advising FACT, FACA and the Dean on appointment issues; C. Screening the recommendations of search and evaluation committees for appointments in categories A, B and C and reporting its findings to FACT and FACA; and, D. Acting directly on certain types of annual appointments, including: 1. New category F appointments 2. New Category E appointments (HKS teaching authorization) for members of other Harvard faculties 3. Renewal of annual appointments, category E appointments. 62

67 In the case of these direct appointments, the Appointments Committee shall notify FACT of the action it has taken; any member of FACT may request a full discussion of the appointment. If no such request is made within one week of the notification, the appointment stands as a formal FACT recommendation to the Dean. The Faculty Advisory Committee on Tenure (FACT) shall consist of the tenured Professors, including those in Category C. 18 It shall have responsibility for advising the Dean on tenured appointments. The Faculty Advisory Committee on Appointments (FACA) shall consist of the tenured Professors, including those in Category C, Public Service Professors, Professors of Practice, Associate Professors, and Senior Lecturers. FACA shall have primary responsibility for approving the procedures and criteria for faculty appointments, including initial appointments, promotions, and renewals, and for advising the Dean on all academic appointments other than those specifically assigned to the Faculty Advisory Committee on Tenure. Brief Descriptions of Titles and Terms Ladder Faculty Professor: The rank of Professor carries with it permanent tenure; it is the only rank that does so. Persons holding this rank are normally expected to be highly accomplished scholars who have established themselves as a leading figure in their areas of expertise, or an individual who is widely regarded as among the most knowledgeable and influential experts in a specific policy domain. Appointments as Professor are judged according to the School s five criteria for appointment, following established HKS procedures for searches and promotion. Professor Category C: Voting members of FACT whose primary appointment is a tenured position at another Harvard school. Category C appointments are for terms of three years, renewable indefinitely. Associate Professor: The rank of Associate Professor does not confer tenure and is normally given to faculty with several years prior experience as Assistant Professors at the Kennedy School or at another recognized academic institution. Associate Professors are expected to be productive scholars and teachers with a demonstrated ability to contribute to the School s core mission, as judged by the School s five criteria for appointment. Faculty assigned to this rank normally receive a three-year appointment, although the term of appointment may vary in some circumstances (e.g., when a faculty member is relocating from another university). No term of service for any Associate 18 Public Service Professors and Professors of Practice who held that title on March 1, 1995 were part of FACT and FACA. Individuals at those ranks appointed later are not. 63

68 Professor shall exceed five years in residence in that rank. No individual shall remain for more than eight years (in residence) in the ranks of Assistant and Associate Professor combined and no individual shall remain for more than a total of ten years (in residence and on leave) in the ranks of Assistant and Associate Professor combined. Assistant Professor: The rank of Assistant Professor is normally reserved for individuals at the beginning of their academic careers. They are expected to be scholars with the demonstrated potential to make a major contribution to knowledge in key academic and policy areas. It is the Kennedy School s policy not to hire its own graduates within three years of their receipt of a PhD. No term of service for any Assistant or Associate Professor shall exceed five years in residence in that rank. Instructor Convertible: A person who has been appointed as an Assistant Professor but who has not yet completed his or her PhD. When the PhD is granted, this title converts to Assistant Professor. Because a full search has already been conducted, no further search is required at the time of converting the title. Non-Ladder Faculty with the title Professor Professor of Practice: Normally a senior practitioner with a distinguished record of public service or a public intellectual. Ordinarily an initial appointment will be for a period of five years. Professor of Practice appointments will remain subject to review and renewal, at the discretion of the Dean, every five years. The number of people on full-time active service holding the rank of Professor of Practice shall not exceed 25% of the number of tenured Professors. Note that this title replaces the previous title Public Service Professor. Adjunct Professor Full-Time: A faculty appointee who is not under consideration for a permanent position but whose academic or professional experience is sufficiently distinguished (normally signified by holding a similar rank at a peer institution) to warrant a longer association with the School than the usual semester or year visit. Adjunct Professors who are full-time members of the School s faculty are hired for a term of years (typically no more than five years). No general presumption operates as to whether appointments are renewable. Adjunct Assistant, Associate and Full Professors Part-Time Appointment: Normally a part-time appointment of an individual currently holding that level of academic appointment (without the modifier adjunct ) at another (non-harvard) institution, teaching a course at the Kennedy School but not in residence full time. Individuals at this rank will ordinarily be limited to three one-year appointments unless there is a demonstrated School need for their continuation. 64

69 Lecturers and Adjunct Lecturers Lecturer appointments provide an important mechanism for including among our teaching faculty those who have had deep and significant professional experience and who might not be eligible for conventional ladder faculty appointments. Similarly, they allow the School to tap the wisdom and experience of academics who have decided to focus on policy in ways that may not fit standard academic careers. Thus, lecturer appointments allow the School to bring students a deeper understanding of the challenges and effective practice of public service; these appointments create opportunities for assessing the contributions of scholarship about public policy and public management to the solution of real world problems; and they increase the ability to convey back to the world of practice the best of what scholarship can offer. Lecturer: An individual hired for the principal purpose of fulfilling important elements of the School s teaching mission. The title Lecturer should normally be given only to individuals who contribute to the teaching mission at a level equivalent to at least half of the teaching load that would be expected of a fulltime lecturer carrying a full teaching load. The title of Lecturer should generally be awarded upon first appointment of such individuals to the School. All appointments to the rank of Lecturer should meet an overall standard of very good performance and the potential for excellence, with special weight given to contributions to the teaching mission. Senior Lecturer: One of a small number of individuals who, after a period in service as a Lecturer, is judged through a formal review to meet an overall standard of demonstrated excellence in performance and contributions, with special weight given to contributions to the teaching mission. Poor or average performance along the dimensions of contributions to the teaching mission is not acceptable for senior lecturers. Annual Lecturer: An individual who is hired by the Kennedy School to meet an immediate teaching need. Such an individual must teach at least half of the teaching load that would be expected of a full-time lecturer carrying a full teaching load. Such appointments may be renewed one time, if necessary, to meet the School s teaching needs. Adjunct Lecturers Primary Appointment: An individual who serves identified teaching needs, teaching one or two courses at the Kennedy School, but not in residence at the School or employed by the School in an administrative or research staff capacity. Individuals whose primary appointment at the School are in that rank will ordinarily be limited to three one-year appointments unless there is a demonstrated School need for their continuation. Adjunct Lecturers Secondary Appointment: An individual who is associated with the Kennedy School on a full-time basis as an administrator or senior research staff member and who engages in teaching activities for less than half of her or his time. Adjunct Lecturers whose primary appointments at 65

70 the School are as administrators or senior research staff members are eligible for renewal of their adjunct lectureships annually without limit. Instructor: Normally an appointment of an individual who is completing the PhD degree at Harvard or elsewhere. Visiting Faculty Visiting Assistant, Associate, or full Professor and Visiting Lecturer: Normally a full-time appointment of an academic on leave of absence from another institution where the individual holds the title (without modifier visiting ). It is expected that the individual will be in residence at the Kennedy School. Visiting appointments may be made for terms not to exceed two years; they are non-renewable. Visiting Professor of Practice: Normally a full-time appointment of a senior practitioner with a distinguished record of public service or a public intellectual. It is expected that the individual will be in residence at the Kennedy School. Visiting appointments may be made for terms not to exceed two years; they are non-renewable. Search Procedures and the Appointment Process Tenured and Ladder Faculty Initial appointments of Professors, Associate Professors, and Assistant Professors normally require action in the sequence set forth below. Tenure appointments must, in addition, be submitted to an ad hoc review committee in accordance with University rules. The steps are: Authorization by the Dean of a search to fill a position. Appointment by the Dean, in consultation with the Academic Dean, Chair of the Appointments Committee, and relevant Area Chair, of a Search Committee or an Evaluation Committee for each position. A full search, which shall normally be required for all initial appointments in Categories A and B, carried out in full compliance with University guidelines regarding searches. In the case of a tenure appointment, distinguished scholars in other departments and institutions and/or professional administrators in the field shall be consulted by an appropriate procedure. The Associate Academic Dean shall maintain detailed checklists of procedures for each type of appointment. Criteria for evaluation are set forth below. The search for a candidate must comply fully with University regulations regarding affirmative action. All letters to faculty members at other universities soliciting nominations for faculty positions should specifically express the Kennedy School s particular interest in qualified women and minority 66

71 candidates. Search Committees should also advertise in appropriate journals. The report of the Search Committee should set forth these efforts in detail. A report by the Search or Evaluation Committee first to the Appointments Committee and then to the Dean and the appropriate appointments advisory committee (FACT or FACA). A recommendation to the Dean by FACT or FACA of a candidate for appointment. In the case of a tenure appointment, supporting and dissenting votes as well as abstentions shall be recorded by name by the Associate Academic Dean. The Dean is then responsible for a decision, for making the necessary financial arrangements, and for presenting the proposed appointment to the President and Provost. Kennedy School Criteria for Appointments and Promotions A broad range of criteria should be employed when making academic appointments. The following list is suggestive of general considerations. Additional capabilities may be required for any particular appointment. In all cases, the criteria should be employed with reference to both performance in the past and assessments for the future. I. Quality of Mind: Intellectual distinction and energy; originality and creativity; ability to synthesize; and, breadth of perspective II. Teaching: Classroom performance; course development; versatility across subject and across audiences; expository publications; non-classroom interactions with and intellectual stimulation of, students; appropriateness and importance of skills for the Kennedy School; and, ability to communicate effectively technical or analytical material to diverse audiences. III. Research: Quality and originality; quantity of output; policy relevance; and collaborative research activities (e.g., intellectual stimulation of colleagues) IV. Demonstrated Ability and Achievements in Applied Public Policy and Management: Relating successfully to major participants in government and the non-profit and private sectors; full- or part-time employment; consulting; and, voluntary activities V. Potential Institutional Commitment, Effort, and Contribution: Ability to understand problems from a managerial perspective; entrepreneurial activities; administrative skills; and, performance of institutional chores 67

72 The faculty of the School should work as a team in fulfilling its various missions: classroom teaching at various levels, preparation of teaching materials, design of courses and curricula, individual and collaborative research, administration of the School's functions. In making appointments, the School will try to balance our collective mix of needs and talents. It is therefore inappropriate, for any single appointment, for the School to assign fixed weights-of-importance to the criteria listed above. However, in making appointments, the School shall endeavor to consider an applicant's potential contribution to all the above listed criteria. For professorial appointments in-the-line-of-promotion, the School seeks individuals who have a blend of many talents as well as having outstanding abilities in some attributes. The School specifically rejects the notion of appointing professors who are solely interested in teaching or in research. Other non-ladder appointments, however, may be made with less attention paid to the balance of a single individual's capabilities. The School recognizes the advantages of a Faculty with diverse academic backgrounds. In the case of equally qualified candidates for initial appointment, preference should be given to those who are not the product of the School s own program. Procedures for Promotions of Ladder Faculty Promotion to Associate Professor Promotion from Assistant to Associate Professor is normally considered in the fourth year of a five-year appointment. A Review Committee appointed by the Dean solicits internal and external advice and reports its findings to the Appointments Committee and FACT for discussion, with the Dean making the final decision. The Dean s recommendation is forwarded to the Provost for review and approval. Promotion to Professor Junior faculty at the Kennedy School may request a review for tenure at any point in their employment, but such reviews would normally begin at the end of the penultimate year of appointment as Associate Professor. Associate Professors are advised to consult informally with the Academic Dean and their Area Chair regarding the advisability of a review for tenure. If a tenure review is requested, the Academic Dean will appoint a committee to conduct an internal review regarding the candidate s qualifications in light of the School s needs. The committee s recommendations will be reviewed by the Appointments Committee and are advisory to the Dean. If the Dean authorizes a full review, the review committee will solicit external reviews from distinguished academics and practitioners in the candidate s field, asking for explicit comparisons between the internal candidate and a designated comparison list of scholars. The evaluation committee will make a finding to establish if (i) there is a need, (ii) the candidate meets a threshold test, and (iii) the candidate is of a quality and value to the school comparable on an experience adjusted basis to the best potentially available external candidates. The committee will make a formal recommendation for or against promotion, which will be reviewed by the Appointments Committee and voted upon by FACT. The report and FACT vote are advisory to the Dean, who 68

73 makes the final decision to recommend the candidate for promotion to Full Professor. If promotion is recommended, Harvard s usual ad hoc procedures will be followed. Criteria and Procedures for Non-Ladder Appointments, Renewals and Promotions This description incorporates the actions of the Faculty Advisory Committee on Appointments of May 3, 1995, of the Faculty Advisory Committee on Tenure of October 6, 1998, of the Faculty Advisory Committee on Tenure of October 3, 2006, and of the Faculty Advisory Committee on Tenure of March 11, All Initial non-ladder and non-tenured full-time faculty appointments shall be either at the rank of Professor of Practice or Term Lecturer. 19 Initial appointments of Professors of Practice and Term Lecturers normally require action in the sequence set forth below: Authorization by the Dean of a search to fill a position. Appointment by the Dean, in consultation with the Academic Dean, Chair of the Appointments Committee, and relevant Area Chair, of a Search Committee or an Evaluation Committee for each position. A full search, which shall normally be required for all initial appointments in Category B, carried out in full compliance with University guidelines regarding searches. The Associate Academic Dean shall maintain detailed checklists of procedures for each type of appointment. Criteria for evaluation are set forth below. The search for a candidate must comply fully with University regulations regarding affirmative action. All letters soliciting nominations for faculty positions should specifically express the Kennedy School s particular interest in qualified women and minority candidates. Search Committees should also advertise in appropriate journals. The report of the Search Committee should set forth these efforts in detail. In the case of evaluation of a specific candidate, the committee shall identify at the earliest possible opportunity the general nature of the candidate s public service or policy involvement, and shall identify no fewer than three individuals from outside the School who are familiar with the general field of policy or public service in which the candidate has been involved. The committee shall then meet with those individuals for the purpose of defining the field, 19 The number of people on full-time active service holding the rank of Professor of Practice shall not exceed 25% of the number of tenured Professors. 69

74 identifying, initially with open-ended inquiries not targeting the particular candidate, others who work in the same field, and identifying those who could provide informed and comparative evaluation of the candidate and others in terms of the quality and effectiveness of their work in policy or public service, as well as in terms of the quality and effectiveness of their teaching. In conducting its evaluation of a candidate s policy or public service, the committee shall make its best efforts to identify public evaluations of and commentary on the candidate s service through database searches and equivalent sources of information. The committee shall also seek the evaluations of the candidate s work from those identified in the process described above, as well as from others likely to have significant knowledge of the candidate s work. The committee may, if it believes that promises of confidentiality shall provide more reliable evaluations, assure those providing the evaluations that the attribution of their identities to particular comments will be known only to the Dean, the Academic Dean, and the Chair of the Appointments Committee of the School. The committee may secure either written or oral evaluations, in sufficient number of give confidence in the reliability of the evaluations. The evaluations should, if at all possible, be comparative, using the names identified in the process described in the second bullet as part of the relevant comparison group. A favorable report by the committee must be accompanied by detailed reports of the process described in the second bullet, and by detailed reports of the evaluations described in the third and fourth bullets. A report by a Search or Evaluation Committee goes first to the Appointments Committee and then to the Dean and the appropriate appointments advisory committee (FACT or FACA). FACT or FACA make a recommendation to the dean regarding appointment of the candidate. The Dean is then responsible for a decision, for making the necessary financial arrangements, and for presenting the proposed appointment to the President and Provost. Professor of Practice All initial Appointments as Professor of Practice are ordinarily for a period of five years. Criteria for Appointment: A person appointed as Professor of Practice will have presented a record of demonstrated accomplishment in each of the School s five criteria for appointments. 70

75 With respect to quality of mind, there are no changes in the criteria that would otherwise be employed. For initial appointments as Professor of Practice, there must be strong predictions of excellence in teaching at the Kennedy School, such predictions being based either on teaching performance at another educational institution, or on a record of teaching excellence in some other type of institution, or in rare cases on strong evidence of potential teaching excellence demonstrated in non-teaching but analogous contexts. With respect to public service or policy involvement, the candidate must have demonstrated excellence as a practitioner, as demonstrated by high-quality and effective involvement in, or impact on, policy-making over an extended period of time, and at a level demonstrating substantial responsibilities. This may come from holding a position in public service, or from equivalent forms of high-quality and effective involvement in, or impact on, policy-making, or involvement in, or impact on, public service outside of the context of public employment. With respect to scholarship, it is not expected that Professors of Practice will have produced, or will produce in the future, academic scholarship designed for academic audiences and meeting academic criteria. It is expected, however, that candidates will have a record of demonstrated accomplishment in offering their ideas, views, and analyses to a wide audience through the written word, or through other media (film, software, etc.) whose purpose is to reach a wide and external audience. This level of accomplishment may include adding to scholarship in an academic sense, but may also be satisfied by writings or their equivalents that effectively convey the best of scholar-ship to a nonacademic audience, or that offer important ideas, information, and analysis to an intended audience of the public, public officials, or policy-makers. In evaluating these writings, or their equivalents, a standard of excellence will be applied, but will be applied in the context of writings or their equivalents that are designed to reach and influence a non-academic audience. With respect to institutional service, it is expected that Professors of Practice will have demonstrated a record of excellence in institutional service at the institutions at which they have previously served, taking into account the nature of the institutions involved. Renewal Process: Renewals shall be at the Dean s discretion, taking into account both performance and the needs of the School at the time, but renewal by the Dean shall be only after consultation by the Dean with a committee of three members of FACT appointed specially to advise the Dean on the question of renewal. Renewals of Professor of Practice or Public Service Professor appointments require an appropriate review at the end of each (up to 5 year) term appointment. Repeated 71

76 renewals are not limited, subject to need and an appropriate evaluation. Each review must contain a statement of need. External inquiries, through interviews or formal letters, are required as part of a report to FACT at the time of initial appointment and first renewal, to provide advice to the Dean. Subsequent renewals may rely only on an internal evaluation through the Appointments Committee, rather than external inquiries and referral to FACT, for all subsequent renewals. This decision is at the Dean s discretion. The first renewal review policy (with external inquiries and a report to FACT) will be applied to all appointments made prior to June 2008 at the time of their next consideration for renewal. Public Service Professor The rank of Public Service Professor shall no longer be awarded, but those holding such rank as of January 1, 1999, may continue to hold it for the duration of their current appointment and any renewals thereof. Term Lecturer Criteria for Appointment: The School s traditional five criteria will be the primary criteria for hiring and evaluating all term lecturers. Those criteria are: quality of mind, teaching, research, demonstrated ability and achievements in applied public policy and management, and institutional commitment, effort and contribution. The title Lecturer is given to those whose primary role is to support the School s teaching mission, and who also contribute to the work and mission of the School through their dedication and distinction on the other criteria. All appointments to the rank of Lecturer should meet an overall standard of very good performance and the potential for excellence, with special weight given to contributions to the teaching mission. There are instances where a tenure-track ladder faculty member performs an important role contributing to the teaching mission and would better meet the needs of the School operating in that capacity as a lecturer. This would be a rare circumstance with both exceptional needs for the School and exceptional capability of the individual. There would be no presumption that tenure-track faculty would normally be considered for such an appointment. The Dean could elect to propose such an appointment, describing the need and proposed rank. A required review procedure would be handled as a target of opportunity evaluation with the corresponding high standards for substituting an evaluation process for a search. Renewal Process: Term lecturers will normally be reviewed in the end of the second year of their three-year term. Those who receive a positive review and for whose contributions to the teaching mission the School still has needs, will be renewed for a second three-year term. Senior Lecturer Only full-time members of the faculty shall hold the rank of Senior Lecturer. No initial appointment shall be made at the rank of Senior Lecturer, and, normally, no one shall hold the rank of Senior Lecturer unless that person shall previously have held within 72

77 the School the rank of Lecturer. In rare cases, an Associate Professor whose teaching is deemed essential for the School may be eligible for a Senior Lectureship. Promotion to Senior Lecturer: A limited number of Lecturers may be appointed to the rank of Senior Lecturer only upon recommendation of a committee established by the Dean to consider such persons for the rank of Senior Lecturer, and then upon vote of the Faculty Advisory Committee on Tenure, and then upon appointment by the Dean. A person appointed as Senior Lecturer will have presented a record of demonstrated accomplishment in each of the School s five criteria for appointments. Appointments or promotions to the rank of Senior Lecturer should meet an overall standard of demonstrated excellence in performance and contributions, with special weight given to contributions to the teaching mission. Poor or average performance along the dimension of contributions to the teaching mission is not acceptable for Senior Lecturers. Renewal of Senior Lectureship: A small number of the School s very best and most irreplaceable contributors to the School s teaching mission may be reviewed after five years as a Senior Lecturer for a renewal of that appointment. These individuals may be appointed to additional five-year terms without limit. Each five-year reappointment would require a formal review demonstrating both continuing exceptional contributions to the teaching mission and continuing essential need on the part of the School for such contributions. Appointment of Lecturer to Professor of Practice A person holding the rank of Lecturer may be appointed to the rank of Professor of Practice only if that person meets the criteria for an initial appointment as Professor of Practice. In such a case, those criteria may be met on the basis of accomplishments either prior to or subsequent to his or her coming to the School. Such an appointment will not extend the length of the appointment or appointments, to which the person would have been entitled had he or she retained the title of lecturer. Lecturers may be appointed to the rank of Professor of Practice only upon recommendation of a committee established by the Dean to consider such person for the rank of Professor of Practice, and then upon vote of the Faculty Advisory Committee on Tenure, and then upon appointment by the Dean. The committee shall consist of no fewer than three persons, all of whom shall be members of the Faculty Advisory Committee on Tenure. The committee shall follow the procedures described above for evaluation of a Professor of Practice candidate. Other Types of Appointments Visitors The initial appointment of a full-time visitor requires a written request by an Area Chair to the Appointments Committee and a vote by FACT. 73

78 Category E Initial appointments of other officers of instruction shall be made by the Appointments Committee Category C The initial appointment of a Category C appointment requires a brief written report to the Appointments Committee along with a CV and samples of publications or other written work. These materials are then provided to FACT. No vote is taken, since each Category C candidate already has tenure at another school in the University, but FACT members are encouraged to send written comments to the Dean. Faculty comments are recommendations to the Dean, who makes the final decision about Category C appointments. Criteria for Reappointing a Faculty Member after Public Service Leave Upon receiving information indicating that a former faculty member may wish to return to the School, the Dean, in consultation with the President or Provost of the University, and with Appointments Committee and other members of the faculty, shall determine what if any action the School should take. The Dean may determine that the School should (a) take no action; (b) conduct a normal search for which the former faculty member would be a candidate; or (c) conduct an expedited review of the former member s qualifications for appointment. If the Dean determines that an expedited review is appropriate, it shall normally be conducted as follows: 1. The Dean shall appoint one or more faculty members to prepare a report to serve as the basis for a recommendation by the Appointments Committee to FACT regarding the appointment of the candidate. The primary purpose of the review is to consider the contributions the candidate would be likely to make to teaching and research upon returning to the School, and the value that the experience in public service would add to this contribution. 2. In all cases, the designated faculty member(s) shall present in writing to the Appointments Committee a written report based on: a. a brief statement solicited from the candidate, describing his or her activities in public service, and their relevance to the teaching and research he or she is likely to do upon return to the School; b. any written views expressed by members of FACT, who shall be given the opportunity to submit comments; 74

79 c. an oral or written report on the candidate s public service from his or her supervisor or another official in a position to provide equivalent information. 3. In some cases, the Appointments Committee may decide that further information should be sought, and may solicit letters from individuals inside and outside the government or public service organization in which the candidate worked, evaluations of the candidate s written work, and comparisons of the candidate with other scholars or practitioners who could be considered for the position in question. A review of such further information is more likely to be necessary the longer the period between resignation and the proposed appointment. Other circumstances that may warrant such a review include (but are not limited to): substantial portions of the candidate s time spent in positions other than public service; significant changes in the candidate s field of interest; and changes in the composition of the faculty that significantly affect the School s priorities. Affirmative Action Policy for Hiring In the case of faculty appointments, the following procedures apply as adapted from the memorandum of President Derek Bok, September 20, Decisions about whom to appoint to faculty positions should be made entirely on the basis of the candidate's ability to fulfill the research and teaching needs of the appointing unit. Only when the qualifications of a woman or minority candidate are substantially equal to those of the leading majority candidate should gender or race be a factor in arriving at a final decision. At the same time, since there is much evidence to suggest that women and minorities have often been overlooked or otherwise disadvantaged in academic search and hiring processes, it is important to take particular care to ensure that such candidates are identified and treated fairly throughout the search process. To this end, we adhere to the following guidelines in searching for tenure positions and documenting such cases for ad hoc review. First, in writing or contacting knowledgeable individuals for names of possible candidates, care should be taken to get in touch with appropriate women and minority scholars and ask them for names of possible candidates, including candidates of their own race or gender. Second, all advertisements, letters, etc., that solicit names of potential candidates should make explicit reference to Harvard's interest in learning of women and minority candidates to consider. Third, if the candidate proposed for a tenure appointment is not a woman or not a minority and the position is one to which an outside candidate could be appointed if he or she were found to be the best available choice, the supporting analysis should include the name of the leading woman and minority candidate, along with the other 75

80 leading candidates seriously considered, together with a careful explanation of why these candidates were not deemed as suitable for the position as the individual recommended. In every instance, notwithstanding the gender or minority status of the proposed candidate, the supporting analysis should include the name of the other leading candidates, regardless of their gender or minority status, along with a careful explanation of why these candidates were not deemed as suitable for the position as the individual recommended. There are appointment cases in which an inside person is being considered for tenure but no outside candidate will be appointed even if the inside candidate is not deemed worthy of tenure. In these cases, if it is clear that no outside person would be appointed even if he or she were deemed the superior candidate, comparisons of leading women and minorities will not be required. Every case forwarded for an ad hoc review must follow the steps outlined above and the file submitted must include documentation to that effect. In implementing the steps described above, there may be cases awaiting review in which the search is already completed or nearly completed. In such cases (where an outside candidate is or would be recommended), document any steps taken to identify women and minority candidates and revise the supporting arguments for the proposed appointment to include identification of the leading woman and minority candidate and, if such candidates were not recommended, the reasons for not choosing them. Failure to follow these steps may constitute grounds for returning the file and delaying any further proceedings until the necessary steps have been taken. These steps (or their substantial equivalent) should apply in all searches for faculty appointments. Evaluating Contributions to the Teaching Mission Essential contributions to the teaching mission include not only classroom time with students of all sorts but also advising, mentoring, and the creation of curricular materials and publications, together with the management of programs that support and deliver such teaching. Evaluation of contributions to the teaching mission is an important function. The evaluation effort should be part of a larger program to improve the quality of teaching and provide better mentoring and feedback for all faculty. Contributions to the teaching mission are heterogeneous. In addition, evaluation of teaching contributions is difficult as is reflected in the diverse approaches followed in other similar schools. (For example, see the (Dennis) Thompson Committee report of April 2, 1996.) 76

81 There are many different tools and techniques that could be appropriate in a particular instance. For suggestive illustrations of components of a portfolio for evaluating contributions to the teaching mission, see below. A responsibility of the evaluation committee is to meet early with the candidate to discuss the particular case, identify the nature of the intended value-added contribution to the teaching mission, and establish the appropriate elements of the portfolio that would be applied to the particular case. The subsequent evaluation would be included as part of the confidential report to the FACT. The committee would include the lessons and guidance from the teaching contribution evaluation as part of the guidance and debriefing for the candidate. In addition, the committee would summarize the lessons from the case to advise FACT on the proper design and execution of future evaluations of contributions to the teaching mission. The standards for evaluating the portfolio for contribution to the teaching mission should parallel the standards for other criteria such as the research contribution on an age-adjusted basis. The evaluation should indicate overall contribution to the teaching mission as Poor, Fair, Good, Very Good, or Excellent. The evaluation should be retrospective and indicate something about the trajectory and prospects for future performance. Illustrative components of portfolios for evaluating contributions to the teaching mission. Candidate narrative descriptions of intended contributions to the teaching mission. Candidate narrative description of course learning objectives for a course or courses. (Skills, body of knowledge, frameworks, etc.) Traditional student evaluations Student interviews as individuals or in focus groups Teaching fellow interviews Interviews with other faculty that have direct knowledge of contribution to the teaching mission Pre- and post-course test instruments (e.g., Exec Ed experiments, one-minute exams) Course syllabi and other course related materials. Case materials and supporting teaching notes Web based materials and commentary 77

82 Sample student work over the term of the course Classroom visits by faculty (at least two faculty members, at least two times) Video records of classroom or other activities Other (external reviews of teaching experience or methods, dissemination of teaching materials) 78

83 Part V Faculty as Managers Faculty Performance Management Responsibilities HKS values the contributions of its administrative and support staff. Faculty members who have one or more regular HKS employees (such as an executive director, program manager, staff or faculty assistant or research staff) as direct reports have performance management responsibilities. These involve: Regular Communication Regularly scheduled meetings with staff who report to you will ensure that you have the opportunity to discuss upcoming projects and work assignments in advance of due dates; set reasonable expectations and adjust expectations based on changing need; hand off receipts/invoices for payment; review and approve financial transactions; and give feedback on the direct report s work performance. Such meetings also give your direct reports a regular opportunity to ask questions and raise concerns; contribute ideas on improving how the work or project is accomplished; and, provide updates on work progress. If you share a faculty assistant or other staff with one or more faculty colleagues, you likely will want to meet as a group to clarify priorities and develop strategies for balancing work-load demands. Annual written performance evaluations: Each spring/summer, faculty members must provide a written evaluation of their direct reports work performance for the past academic year. This is an opportunity for you to meet with your faculty assistant or research staff to discuss and record past performance (either contributions or lack of contributions to the faculty members work or the School s success), expectations for the coming year, and possible training or other career enhancement strategies. Instructions for conducting performance reviews and forms to be completed will be sent by the Academic Dean. The content of the evaluation should not be a surprise to the direct report, but should reflect the ongoing and specific feedback that has been given, and should include any notable achievements and a development plan. The evaluation becomes part of the employee s personnel record and is reviewed by the Human Resources representative 79

84 each year. In addition to the annual evaluation, a mid-year progress review is also encouraged. Recognition of good performance and addressing performance issues: If a direct report s performance was exemplary, he/she should be recognized via HKS s employee recognition programs or by notes to the individual with a copy provided to HR for his or her personnel file. On the other hand, if a direct report is not performing at a satisfactory level it is important to address the issues as soon as they occur. The employee may benefit from training, coaching, or counseling, since many problems can be resolved through informal discussion. In some cases it may be necessary to undertake progressive discipline. The faculty member should contact his or her Human Resources representative or, if housed in a center, the appropriate person in the center for guidance on employee recognition and/or handling performance issues. In cases that may require progressive discipline, the faculty member should consult with Human Resources prior to beginning the disciplinary process. For issues regarding faculty assistants, contact the Manager of Faculty Assistant Program. Exempt employee paid time off (PTO) approval: Faculty members who have exempt employees as direct reports must review Paid Time Off (PTO) reports submitted by the employees. PTO balances represent a financial liability for the department carrying the payroll, and therefore must be reviewed each month. The PTO system is viewable on the HKS Intranet, and includes instructions for approval. Additional Human Resources Sources Harvard University Personnel Manual for Administrative/Professional Staff and Non- Bargaining Unit Support Staff: Harvard University Personnel Manual for support staff belonging to the Harvard Union of Clerical and Technical Workers: Under Employment Policies and Contracts on HKS Human Resources contact list: HKS HR s Performance Management Resources: 80

85 Your Personal Human Resource Information at Harvard University PeopleSoft is the University s electronic system of record for all human resource information regarding faculty. There are a number of self-service features in PeopleSoft that allow faculty to manage their own personnel record. They include: viewing current and past paychecks, viewing compensation history, viewing benefits selection information, updating home address and emergency contact information, and changing direct deposit or W-4 tax information. Using PeopleSoft is straight-forward. Specific instructions for logging on and using the system can be found on the HR website: Travel Policy Overview Everyone involved with the Harvard Kennedy School is united by a common desire to make the world a better place. Our mission is to train enlightened public leaders and generate the ideas that provide answers to the world s most challenging public problems. Thanks to the generosity of our alumni and friends, we are making meaningful contributions to advance this mission. As such, please remember that the goal of the Travel Policy is to support our mission by appropriately utilizing our resources. We can do this by remaining cognizant of selecting the most reasonable options available; a suitable balance of price, efficiency, convenience and safety. (Page numbers below refer to Harvard University Travel Policy; see link*) Per IRS regulations, HKS does not reimburse individual meal expenses or per diems for one-day travel, except when the travel time is greater than 12 hours (pg. 14*) Individual meal expenses includes breakfast, coffee, lunch, etc. Meal expenses incurred on 2-day travel are reimbursable. Students are generally not subject to IRS Accountable plan rules. Please refer to OFS with student questions/issues. Expenses for personal items are explicitly disallowed from reimbursement (pg. 20*) These items are defined as clothing, luggage, toiletries, newspapers, magazines or movies. Taxis and Sedan Services (pg. 13*) Private sedans and car services are normally more expensive than taxis and should be used only when valid business reasons preclude the use of more economical transportation. Travelers are expected to use an economical mode of transportation to and from air, bus and rail terminals. 81

86 o For example, a traveler should decide to drive and park at the airport for a trip if it is significantly cheaper than a roundtrip taxi and/or car service. Use of private sedans, car services or limos is rarely acceptable for oncampus travel. Prior approval from the Financial Dean is required. A standing exception is granted for visiting dignitaries (i.e. no Fin Dean approval is needed). Personal Cars (pg. 12*) When traveling from home to the airport on a business trip, a traveler may use a personal car and request mileage reimbursement and parking if the cost of taxi services greatly exceeds the total cost of the mileage, tolls and parking combined. Companion tickets are explicitly disallowed for reimbursement Except in cases of bona fide spousal/family member travel. See below. Spousal/Family-Member Travel (pg. 16*) Expenses are not reimbursable unless there is a bona fide business purpose for the presence on the trip. Prior approval from the Fin Dean is required. Combined business and personal travel (pg. 17*) The policy has a revised section on combined business and personal travel, including a revised appendix (Appendix C of Travel Policy). Air Travel (pg. 8*) Domestic travel travelers are expected to book the lowest-priced, nonstop coach-class major carrier airfare. Travel involving Canada, Mexico, Alaska, Hawaii or U.S. Territories travelers may book the lowest-priced, non-stop business-class major carrier airfare when a single, non-stop flight is six (6) hours or more. International Air Travel - travelers may book the lowest-priced, non-stop business-class major carrier airfare when a single, non-stop flight is six (6) hours or more. Under extenuating circumstances, such as documented medical reasons, business-class or first-class service may be reimbursable where it is normally prohibited. Prior approval from the Fin Dean is required. Travelers are encouraged to book refundable tickets in instances where travel is booked far in advance and/or travel is less than certain. Reinforces the use of preferred travel agencies and vendors (pg. 7*) It is strongly recommended that Harvard travelers book all travel arrangements through the University s preferred providers. HKS further recommends BCD Travel due to the operational efficiencies created when using this agency. Refer to the Reimbursements and Card Services website 82

87 * In some instances, HKS policy may be stricter than University policy. Use this Overview as a starting point. For the complete Harvard University Travel Policy, including enhanced guidance on sponsored travel, refer to: Figure 1: 60-Day Requirement Quick Reference for Harvard Employees Reimbursements to Harvard employees for travel-related expenses: If Request is Received by Reimbursements and Card Services Office... Prior to trip (prepayment of air, hotel, or conference fees in advance of a trip) Up to 60 days after the trip end date The Policy is... You Should Note That... Okay to reimburse only if purchased using the JPMC T&E Card Okay to reimburse Not reimbursable if purchased using a personal credit card or personal funds. Cannot be reimbursed until after the trip is complete. This is in Harvard s policy and in accordance with the IRS Accountable Plan. 61 to 90 days after the trip end date 91 to 182 days after the trip end date Beyond 183 days after the trip end date Process as Additional Pay Process as Additional Pay CANNOT BE PAID OR REIMBURSED WITH UNIVERSITY FUNDS Okay to process as a reimbursement with financial dean (or designee) approval. Exceptions must be infrequent and reasonable. No exceptions. Additional pay cannot be grossed up. Thirdparty payments to JPMC will not be accepted by Payroll. The employee should retain receipts. The employee should retain receipts. 83

88 Figure 2: Determining the Primary Purpose of a Trip: Business vs. Personal When determining if a trip is related primarily to business or to personal activities, consideration must be given to the amount of trip time devoted to personal activities and to business activities, and to whether any personal activities result in additional costs to the University. The following grid gives examples to help travelers and approvers determine if a trip is related primarily to business or to personal activities: Trip more likely to be considered primarily personal when: An individual travels to celebrate holidays with her family. During the two-week visit, she has two meetings with colleagues to discuss research. An individual participates in a family wedding ceremony over the weekend. On Monday, he presents a lecture at a university in the city where the wedding was held. An individual plans a three-week vacation in Italy. Upon completion of the vacation, she plans a two-day visit, partially funded by her grant, to a research center located in Paris. Trip more likely to be considered primarily business when: An individual attends a conference from Wednesday through Friday, and he extends his stay through Sunday. An individual presents a two-week lecture series, and she extends her stay for an additional three weeks to collaborate with colleagues on research work. An individual attends a procurementconsortium meeting from Monday through Wednesday, and he schedules a tour of the sponsoring vendor s facilities for the following Tuesday. 84

89 Figure 3: Spousal and Family Travel: Bona Fide vs. Non-Bona Fide Business Purpose A spouse who attends a function is considered to have a business purpose if he or she has a significant role in the proceedings or makes an important contribution to the success of an event. Generally, protocol or tradition dictates when the participation of a high-level official's spouse is required at official University functions, such as alumni gatherings, fund-raising, or ceremonial activities, certain athletic events, and community events. The following grid is provided to help determine if spousal/family travel is taxable or non-taxable: Expenses more likely to be taxable when: No formal request for family member to attend event(s) Family members are not required to attend meetings, given assignments in advance, or make presentation at the event(s) Family member performs only helpful services, such as social, medical assistance, etc. Only Harvard employees and family member attend event(s) Family members participate in substantial tourist activities Expenses more likely bona fide (nontaxable) when: Formal or official correspondence requests spouse or other family members of Harvard employees to make the trip or attend event(s) Spouses or other family members are required to attend meetings, given assignments in advance, or make presentation at the event(s) Family member performs necessary services by acting as a representative of the University in a substantial manner Non-Harvard individuals (alumni, donors, recruits, etc.) attend event(s) Family members do not participate in tourist activities 85

90 Part VI Research Policies and Guidelines Harvard is a research-based university, and the Harvard Kennedy School places strong emphasis on the scholarly production of its faculty. A broad range of activities constitutes scholarly, including traditional peer-reviewed publications; books and book chapters; working papers and articles for non-academic publications; written testimony and opinion editorials; teaching cases; and sustained problem-solving engagement with practitioners. Faculty are expected to present their scholarship for peer review and discussion through publications and conference presentations. Research Standards Internal and external peers and colleagues working in relevant topic areas are the primary sources of oversight by which standards of quality are brought to bear on the articles, manuscripts, and other specific scholarly projects of Kennedy School faculty and affiliated scholars. Faculty and other researchers are encouraged to publish and distribute their work to other interested scholars, and to participate in the conferences, symposia, and seminars that typically constitute the communities of interested peers and colleagues. Research productivity particularly as reflected in the originality of insights, relevance to the broadly-defined field of public policy, and intellectual contributions to appropriate communities of fellow intellectuals is an important consideration in promotion and related school decisions. The Area Chairs and Academic Dean in conjunction with other members of the senior faculty, provide consultation regarding expectations of research productivity. Research Support and Administration A substantial proportion of the School s scholarship is supported by external sources. Research that is so funded whatever the source and whatever the objective is of necessity subject to certain Harvard University regulations and guidelines. These are required to enable the University to meet the legal and fiduciary responsibilities that come with accepting external funding. In addition, the University and the various 86

91 schools have legitimate interests in overseeing non-financial aspects of research in such areas as intellectual property rights, the protection of human subjects, the avoidance of conflicts of interest, and the protection of academic freedom. To these ends, the University and the School have implemented procedures for the review and approval of both proposals and awards for external sponsored research. Of necessity, there is a regulatory flavor about this process, and much of what is put forth below is the result of University policies and federal regulations. Principal Investigators Every external proposal must have a faculty principal investigator (PI). The PI must signify his/her willingness to undertake direct, active responsibility for seeing that the proposed work is carried out according to the terms, conditions, and policies of both the sponsor and the University. The principal investigator must be centrally engaged in a project in ways that are reflected in the proposal budget as well as proposed activities. Only individuals with full-time Harvard faculty appointments or others explicitly designated by the Dean may serve as principal investigators. Proposals for External Support: Review, Approval and Submission Process The Kennedy School is not a legally incorporated entity and only Harvard University s Office of Sponsored Programs (OSP) can commit HKS to the terms and conditions of a sponsored agreement (i.e., grant, contract, or cooperative agreement).. Faculty may not independently accept grants or contracts on behalf of the Kennedy School or Harvard University. The Associate Dean for Research and the HKS Research Administration Office manage the review and approval process for all externally funded sponsored program proposals. They: review proposals and accompanying budgets for compliance with all HKS and Harvard University policies and procedures; obtain required approval from the Academic Dean on behalf of the Dean, consult, as applicable, with the HKS Faculty Committee on Projects and Proposals (FCOPP) for assessment of risk management concerns (for more details, see below); and, work with faculty, staff and Harvard s Office for Sponsored Programs (OSP) to resolve any issues before a proposal is formally submitted to a sponsor. 87

92 OSR submits the formal proposal, as it is the only office authorized to submit research proposals to external sponsors on behalf of the University and its faculty members. HKS Faculty Committee on Projects and Proposals The HKS Faculty Committee on Projects and Proposals (FCOPP) is a senior faculty committee that reviews all proposals for certain categories of risk. Following such reviews, FCOPP advises the Dean and the Academic Dean regarding approval, disapproval, or modification of new and continuing research, training and outreach activities. FCOPP is concerned primarily with ensuring sufficient faculty oversight and engagement in all new activities, especially, but not limited to, those with substantial international components. FCOPP also works to ensure disclosure of potential risks (including possible reputational harm to the School or the University), and addresses plans for mitigating any such risks. FCOPP consideration also facilitates proposal review at the University level, by anticipating and addressing many of the same categories of potential risk that require advance consultation with the Provost s Office. Most FCOPP reviews are conducted in an expedited fashion by the FCOPP chair and the associate dean for research, and do not require full committee consideration. Facilities and Administrative (Indirect) Costs The Kennedy School views the relationships with its external research sponsors as important partnerships. The sponsor provides essential direct and indirect funding to support research, training, and outreach efforts. The Kennedy School and Harvard University provide the infrastructure services and vibrant intellectual environment necessary for these projects to thrive. Facilities and Administrative costs (also F&A, Indirect Costs, Overhead) are actual expenses incurred by the institution that cannot be directly and specifically allocated to an individual grant or contract with a high degree of accuracy. These costs include shared services such as libraries, physical plant, operation and maintenance, utilities, general, departmental and sponsored projects administrative expenses (e.g., payroll, human resources), and depreciation for buildings and equipment. Current HKS policy requires that a minimum indirect cost rate of 20% be included in all new externally sponsored program proposals. In cases where an external sponsor will not agree to pay the minimum indirect cost rate, the Research Administration Office will engage the relevant faculty investigator and Research Center in a dialogue on how best to address the indirect cost shortfall. In reviewing requests for waivers of some portion of the minimum indirect cost rate, the Academic Dean will, in most cases, give relatively greater weight (and preference) to the following factors: junior faculty principal investigators; smaller subsidy requests; 88

93 matching fund requests (i.e., where the sponsor will pay some overhead but less than the normally required minimum rate); proposals that, if funded, may lead to larger, follow-up projects; proposals where all or most of the research faculty and staff are full-time Harvard employees (vs. project-specific contract staff). Other factors are given due consideration, including: The degree of direct engagement of the project PI and of other HKS faculty members; The specific linkages between the new proposal and other ongoing or planned HKS research, teaching and outreach activities; The degree to which the new proposal would impose incremental costs (financial and otherwise) on HKS infrastructure services (IT, facilities, HR, etc.). Kennedy School Research Administration Office In addition to reviewing proposals for external support, the HKS Research Administration Office maintains Research Central, a web site that provides comprehensive information on research policies and procedures at the Kennedy School and Harvard University. The website contains links to required forms, funding opportunity information, and a Frequently Asked Questions document covering a wide range of related issues. Information is also provided regarding review by the HKS Gifts Proposal Advisory Committee (GPAC) of selected gift opportunities that are intended to support research activities across the School. Research Central can be found at the following URL: The RAO also manages other web-based resources in support of faculty research dissemination. These include the Kennedy School's Faculty Research Working Paper series and its companion quarterly e-journal published by the Social Science Research Network, and the School's Research Report Online, along with the annual Faculty Research Digest. For more information, visit the Faculty Research Working Paper series at: and the Research Report Online at: 89

94 Dean s Research Fund The Dean s Research Fund (DRF) was created several years ago in recognition of the importance of small seed grants, particularly for junior faculty members. Expenses eligible for DRF consideration include those associated with a typical research project: research assistant time, data acquisition costs, travel support to attend a professional conference or meet with research colleagues. Other budget items may be considered as well. A brief proposal, budget and final progress report are required. Applications are accepted at any time. The Dean s Research Fund is managed by the HKS research administration office. Please direct all questions and all requests for support to the Associate Dean for Research. HKS Research Centers and Support for Faculty Sponsored Program Administration HKS Research Centers have experienced grants and financial staff members available to support faculty investigators in all aspects of their research administration. In many cases, this includes assistance in funding searches, proposal and budget development, navigating the review and approval process with the HKS Research Administration Office and Harvard s Office for Sponsored Programs, and providing post-award financial management assistance. The specific level and type of support will vary by individual Center. Centers can also be constructive partners in discussions with the School on mitigating sponsored overhead shortfalls for specific projects administered in those Centers. Principles Governing Research at Harvard Harvard University research policies are outlined in, Principles and Policies that Govern Your Research and Other Professional Activities ( The Grey Book ), published by FAS and adopted by the President and Fellows of Harvard College. The HKS Research Administration Office review of proposals is intended to ensure that proposals follow the guidelines established in the Grey Book, which are summarized below: Any research agreement between the University and an external sponsor must have obtained some form of sanction in advance. The purpose of this sanction is to insure that the research conforms to the administrative and fiscal policies of the University, and to the present principles, and that it does not conflict with the rights of other scholars in the University, nor with other University commitments. Ordinarily, research proposals between the University and an external sponsor are reviewed by relevant department chairs, the Dean of the Faculty, and the Office for Sponsored Programs. The final research agreement must be accepted by the President and Fellows of Harvard College. The scholarly judgment of the principal investigator is 90

95 not reviewed and political criteria are not considered. Factors pertinent to department and decanal review include: 1. Availability and equitable allocation of space and facilities among faculty members and students in the department; 2. Commitments, explicit or implied, on the unrestricted funds available to the department or to the Faculty as a whole; 3. Commitments to personnel that are inconsistent with the general practices of the University, commitments of longer duration than the term of appointment of the principal investigator, etc.; 4. Inclusion in the budget of all costs legitimately chargeable to the project, such as fringe benefits, indirect costs, computer time, etc.; 5. Aspects that may require additional expert review, such as experiments with human subjects (including survey and other social science research); and 6. Ethical issues at variance with law or generally accepted academic practice, potential conflicts of interest, etc. Review by the Office for Sponsored Programs is intended to insure that the legal and fiscal interests of the University are protected and that detailed contract provisions involving patents and copyrights, restrictions on publication, external control over hiring practices, etc., conform with those previously considered acceptable by the University. 1. The source of sponsorship and the purpose of the research must be of such a nature that they can be publicly disclosed. Ordinarily, every sponsor who is supporting or has supported a research project shall be identified in every publication reporting on that research. 2. The University will not undertake to grant any special or exclusive information to a research sponsor, nor will it accept research that carries security classification, requires security clearance of University personnel, or otherwise precludes general publication of results. Participants in research projects shall be selected by principal investigators in accordance with University policy based on scholarly and professional criteria. Research agreements may neither bar nor give sponsors the option to bar specific individuals or groups. 3. All research projects must be undertaken with the clear understanding that the investigators concerned have the full right to publish any results obtained by them, subject only to established safeguards for the protection of privacy or confidentiality of personal data. 91

96 4. Any results obtained and any papers published or lectures given by investigators on research projects are the sole responsibility of the investigator concerned, and Harvard provides no institutional endorsement of the work or of the sponsor. 5. All research on human subjects should follow the safeguards established by the University for such work. Procedures for Responding to Allegations of Misconduct in Research Note that this policy is adapted from FAS policy. The wording has been modified to reflect the Kennedy School s administrative structure. In order to protect the integrity of the research enterprises of the faculty, allegations of misconduct in research will be treated with the utmost seriousness. The procedures outlined below are intended to respond to allegations brought against faculty members holding teaching or research appointments. Because of variations in such factors as the type and seriousness of alleged misconduct, the course of action that will enable the Dean to fulfill his obligations most thoroughly and equitably may vary somewhat from case to case. Accordingly, the procedures described below are designed to provide a framework for careful and thorough investigation of allegations in a variety of circumstances. Issues that do not relate to the integrity of research methods or practices or the reporting of research are outside the scope of this policy. In instances in which allegations are made against individuals holding appointments in more than one Harvard faculty, the Deans of the respective faculties shall together determine which faculty shall investigate the allegations. Procedures The Dean has principal responsibility for determining a proper response to allegations of misconduct in research. All allegations of misconduct in research, should be brought to the attention of the Dean unless they are frivolous or otherwise lacking in substance. Upon receiving an allegation of misconduct in research, the Dean will take such action as he or she deems appropriate. An Investigating Committee may be formed. The Investigating Committee may be chaired by the Academic Dean or by another individual designated by the Dean in consultation with the Academic Dean. The Investigating Committee will ordinarily include members of the tenured faculty. The Investigating Committee may also include other members chosen by the Dean. In the investigation of the facts, the Investigating Committee will develop its own rules for the process of investigation, providing for the orderly and careful consideration of the facts bearing on the case. In devising procedures appropriate to the circumstances, 92

97 the Investigating Committee will ensure the right of the parties involved to appear before the Investigating Committee. After such proceedings and deliberations as it deems appropriate, the Investigating Committee shall prepare a report for the Dean. Before submission to the Dean, the report shall be offered to the accused party or parties for review, and any corrections or responses supplied by the accused shall be included in or appended to the report. If the Dean wishes more information, he or she may request further assistance from the Investigating Committee or from others within and outside the faculty. The Dean shall decide the matter and take whatever action he or she believes justified. The final action by the Dean completes the procedure. The Office of the Dean shall maintain records of any proceedings brought hereunder. The Dean and those who assist him or her in the procedure outlined above shall bear in mind these several considerations: 1. The importance of thoroughness, fairness and objectivity. 2. The importance of protecting the reputations of individuals and to that end maintaining confidentiality to the extent appropriate and to the extent consistent with other obligations of the faculty. 3. The need to protect the rights of the person alleged to have engaged in misconduct, including the right to be informed with specificity at the appropriate time of the allegations and the evidence in support of the allegations, and the right to be informed of the procedures to be followed. 4. The importance of using the staff resources of the faculty and the University to aid in any inquiry and of broadening the scope of any inquiry, when indicated, to make certain that the full obligations of the faculty are met. 5. The importance of informing and consulting with officers of affiliated institutions and of other private and public institutions and agencies sponsoring the research in question so as to meet in good faith the obligations of the faculty to others. 6. The need to inform the President of the University when allegations may constitute grave misconduct under the Third Statute of the University 20 and to ensure that resolution of the matter proceeds with that possibility in mind. 20 Officers of the University are presently subject to disciplinary procedures if they violate the Third Statute of the University, which forbids "gross misconduct or neglect of duty." 93