HARVARD KENNEDY SCHOOL. Faculty Handbook

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

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... 12 Harvard University Statement of Values... 12 University-Wide Statement on Rights and Responsibilities... 13 Conflict of Interest and Conflict of Commitment... 14 Harvard University Statement on Outside Activities of Holders of Academic Appointments... 14 Requests for Approval of Outside Teaching by Harvard Faculty... 23 University Statement of Policy on Conflicts of Interest... 26 Kennedy School Policy on Outside Employment and Consulting... 30 Kennedy School Guidelines for Faculty Involvement in Student Ventures... 31 Kennedy School Policy on Politics and Political Activity... 32 Kennedy School Partnerships and Collaborations with Other Institutions... 33 Affirmative Action... 34 Reaffirmation of Harvard University s Policy Concerning Affirmative Action and Equal Employment Opportunity by the President and Fellows of Harvard College.... 34 Nepotism... 35 Sexual Harassment and Unprofessional Conduct... 35 Faculty Disciplinary Committees... 42 i

Other Kennedy School, University, Cambridge and Commonwealth Policies... 43 Policies on Residency, Absences and Leaves, Faculty Workload, and Compensation... 46 Residency... 46 Absences and Leaves During Periods of Instruction... 47 Academic Leaves... 48 Purposes of Leave... 48 Notification of Area Chairs, the Academic Dean, and the Dean... 48 University Rules Regarding Leaves and Procedures for Appointment of Former Faculty Returning after Public Service Leave... 48 Types of Leave... 49 Medical Leave... 50 Parental Teaching Relief Policy... 51 The Academic Clock... 52 Other Leave-Related Issues... 52 Faculty Workload Guidelines... 53 Buying out Academic Year time for Research or other Scholarly Activities... 58 Summer Employment... 60 Harvard University Policy on Extra Compensation... 60 Policies Regarding Faculty Appointments... 61 Procedures for Faculty Appointments... 61 Composition of the Faculty and Other Officers of Instruction... 61 Composition and Responsibility of the Appointments Committees... 62 Brief Descriptions of Titles and Terms... 63 Ladder Faculty... 63 Non-Ladder Faculty with the title Professor... 64 Lecturers and Adjunct Lecturers... 65 Visiting Faculty... 66 Search Procedures and the Appointment Process Tenured and Ladder Faculty... 66 Kennedy School Criteria for Appointments and Promotions... 67 Procedures for Promotions of Ladder Faculty... 68 Promotion to Associate Professor... 68 Promotion to Professor... 68 Criteria and Procedures for Non-Ladder Appointments, Renewals and Promotions... 69 Professor of Practice... 70 ii

Public Service Professor... 72 Term Lecturer... 72 Senior Lecturer... 72 Appointment of Lecturer to Professor of Practice... 73 Other Types of Appointments... 73 Visitors... 73 Category E... 74 Category C... 74 Criteria for Reappointing a Faculty Member after Public Service Leave... 74 Affirmative Action Policy for Hiring... 75 Evaluating Contributions to the Teaching Mission... 76 Faculty as Managers... 79 Faculty Performance Management Responsibilities... 79 Your Personal Human Resource Information at Harvard University... 81 Travel Policy Overview... 81 Research Policies and Guidelines... 86 Research Standards... 86 Research Support and Administration... 86 Principal Investigators... 87 Proposals for External Support: Review, Approval and Submission Process... 87 HKS Faculty Committee on Projects and Proposals... 88 Facilities and Administrative (Indirect) Costs... 88 Kennedy School Research Administration Office... 89 Dean s Research Fund... 90 HKS Research Centers and Support for Faculty Sponsored Program Administration... 90 Principles Governing Research at Harvard... 90 Procedures for Responding to Allegations of Misconduct in Research... 92 iii

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

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 1969. 2

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 1978. 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 1999. 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

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

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

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: http://www.hks.harvard.edu/centers-programs 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. http://www.hks.harvard.edu/news-events The Degree Programs Student Affairs Office supports the School s degree programs, providing admissions, financial aid, program, career services, and other support. http://www.hks.harvard.edu/degrees/admissions 6

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. http://ksgexecprogram.harvard.edu/ 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. http://www.hks.harvard.edu/about/giving 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. http://www.hks.harvard.edu/facilities/ The Office of Financial Services provides financial and administrative services to the School and its component parts. http://www.hks.harvard.edu/ofs/ Human Resources handles all personnel matters for staff, including hiring, employee relations, and payroll. http://www.hks.harvard.edu/hr/ 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. http://www.hks.harvard.edu/is/ 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.) http://www.hks.harvard.edu/research/researchcentral.htm 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

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 e-mail 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

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

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

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

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

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

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

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 1997. 3 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

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, 1998. http://www.provost.harvard.edu/policies_guidelines/ 16

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

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