Regulations and Standards of Conduct Part II

PATENTS, TRADEMARKS AND "USE-OF-NAME" REGULATIONS

Members of the University, including students, are expected to notify and to disclose to the Office of Technology Development any discovery or invention they have made in connection with their University work. Copies of the University policy regarding inventions, patents, and copyrights are available from this office and at www.techtransfer.harvard.edu. When inventions are subject to the University policy, this office determines whether a patent application should be filed (the cost of which is borne by the University) and undertakes a marketing effort to license the invention to one or more companies for development into commercial products. Net income received from licenses is shared with the inventors.

Harvard University’s Trademark Program is responsible for licensing the use of Harvard’s various trademarks (e.g., “Harvard,” “Harvard College,” “Harvard Law School,” “the VERITAS shield,” etc.) worldwide. Revenue from the program is provided to the Faculty of Arts and Sciences and is used for undergraduate financial aid. Any student group wishing to reproduce any University trademark on products (e.g., t-shirts, mugs, etc.) must contact the Trademark Program for written approval. The Trademark Program will provide guidance on how the marks may be used, can recommend licensed manufacturers, and advise when royalty exemptions apply. All student group names, logos, or names of student group publications incorporating “Harvard” or any other University trademark are owned by the President and Fellows of Harvard College and are used by permission of the University. The Trademark Program is also responsible for dealing with the unauthorized use of Harvard’s trade­marks worldwide, provides advice on trademark related issues and assists schools, departments, and units in obtaining trademark protection for any trademarks they are using, whether or not they include the word “Harvard.” In addition to licensing and trademark protection, the Trademark Program administers Harvard’s “Use-of-Name” policies, which ensure that the University’s various trademarks (names and insignias) are used appropriately and accurately by the Harvard community and in accordance with the principles embodied in the policies. Students or student groups are permitted to use the names and insignias of the University or any of its schools or units only as authorized in the policy on The Use of Harvard Names and Insignias (see www.trademark.harvard.edu/policy/index.php). In particular, references to “Harvard” or “Harvard University,” or suggestions of affiliation with any school or unit of the University in connection with any organization, publication, activity, or third-party is only allowable with advance permission of the Dean or Provost.

DISCRIMINATION AND HARASSMENT

It is unlawful, contrary to Harvard University’s policy, and clearly in violation of the Resolution on Rights and Responsibilities to discriminate on the basis of race, color, sex, sexual orientation, religion, age, national or ethnic origin, political beliefs, veteran status, or disability unrelated to job or course of study requirements. The Faculty Council condemns all forms of discrimination or harassment, whether subtle or overt, and asserts that all members of the University community should join in assuring that all students are accorded the dignity and respect called for in the Resolution.

Students who believe they may be victims of any form of discrimination or harassment have recourse to grievance procedures developed by the Faculty of Arts and Sciences. These procedures, which are consonant with public law and the Resolution on Rights and Responsibilities, are summarized on the following pages.

COMPLAINTS OF DISCRIMINATION

A student should first seek a resolution of a matter involving discrimination or affir­mative action through an appropriate officer, such as a department chair, advisor, director of graduate studies, coordinator of services for students with disabilities, or the dean for student affairs. If the matter is not satisfactorily resolved by informal methods, the student may lodge a formal complaint with the dean of the Graduate School. Depending on the circumstances, the dean may appoint a special committee to resolve the problem or may refer it to the appropriate agency or office for resolution.

If the matter cannot be satisfactorily resolved through these channels, either the student or the dean of the Graduate School may refer it to the dean of the Faculty of Arts and Sciences for final resolution. The disposition of the dean of the faculty will be final. Students ordinarily are expected to exhaust institutional grievance procedures before seeking redress under public law.

SEXUAL HARASSMENT

The Faculty Council has devoted considerable attention to the topic of sexual harassment. Two documents provide a full expression of the council’s views about this and related issues. Both documents are available from the dean for student affairs in Holyoke Center and online.

The first document, entitled Sexual Harassment: Guidelines in the Faculty of Arts and Sciences, is a policy statement describing what constitutes sexual harassment. The statement begins thus:

“The Faculty of Arts and Sciences seeks to maintain a learning and work environment free from sexual harassment, including unprofessional conduct in faculty-student relationships and sexism in the classroom. These kinds of behavior are barriers to the educational, scholarly, and research purposes of the University.

“Any member of the FAS community who believes that he or she has been sexually harassed, or who would like clarification or information on FAS complaint and resolution procedures is encouraged to speak with an appropriate officer of the faculty. . . . There are specific procedures for the resolution of sexual harassment problems. These cover situations involving individuals of different University status and individuals of the same University status. They range from informal counseling and mediation to formal procedures for disciplinary action.”

The statement goes on to define what constitutes sexual harassment, unprofessional conduct in relationships between individuals of different University status, and sexism in the classroom.

The second document, the Faculty of Arts and Sciences’ Procedures for the Resolution of Sexual Harassment Problems, describes the options available to any member of the FAS community who believes that he or she has been sexually harassed. Graduate students are encouraged to discuss problems, questions, and grievances with anyone in a supervisory position, such as a dean, director of student services, department chair, or director of graduate studies.

It is often the case that students themselves can take effective measures to stop inappropriate conduct by an instructor, and the officers just mentioned can be helpful in discussing these possibilities. For example, these officers might assist with informal resolutions including apologies and changes of advisory and instructional arrangements. Such adjustments of the teacher-student relationship are likely to be adequate responses only in those cases in which miscommunication or lack of commu­nication played a significant part.

To make a formal complaint of sexual harassment by an officer of the faculty, a graduate student should consult the dean for student affairs in Holyoke Center. The steps entailed in making a formal complaint are described in detail in the document Proce­dures for the Resolution of Sexual Harassment Problems.

Complaints about harassment of students by other students may be brought to the attention of the Administrative Board through the dean for student affairs.

The Director of Student Services, Ellen Fox, is also available to consult with students on issues of sexual harassment. 

RACIAL HARASSMENT

The Graduate School seeks to maintain an instructional and work environment free from racial harassment. The Graduate School defines racial harassment as actions on the part of an individual or group that demean or abuse another individual or group because of racial or ethnic background. Such actions may include but are not restricted to using racial epithets, making racially derogatory remarks, and using racial stereo­types. Any member of the Graduate School community who believes that he or she has been harassed on account of race is encouraged to bring the matter to the attention of the dean for student affairs. The director of student services also serves as a resource in these types of cases.

The procedures for dealing with incidents of racial harassment fall into two categories: informal resolution and formal complaint. The complainant will ordinarily be given the choice of formal or informal procedures. In certain circumstances, however, where the harassing behavior has become a matter of public information and concern, it may be necessary to use formal procedures of investigation and resolution. Cases of alleged harassment by graduate students will be adjudicated by the Adminis­trative Board of the Graduate School or by the Student-Faculty Judicial Board.

The Graduate School’s investigation and adjudication process is designed to be careful and fair. No person will be reprimanded or discriminated against in any way for initiating an inquiry or complaint in good faith. The rights of any person against whom a complaint is lodged will be protected. 

GAY AND LESBIAN HARASSMENT

In May 1981, the Faculty Council affirmed that all members of the University community, regardless of sexual orientation, are to be accorded the respect and protection described by the 1970 Resolution on Rights and Responsibilities. So that the problem can be addressed and disciplinary action taken when necessary, any violation of these standards should be reported to the dean for student affairs or other appropriate office.

COMMISSION OF INQUIRY

Any student, faculty member, or administrative officer who has an inquiry, suggestion, or complaint may address it to the Commission of Inquiry, c/o Office of the Secretary of the Faculty, University Hall, Ground Floor (617-495-4426). The commission will redirect the inquiry, suggestion, or complaint to the appropriate agency of the Faculty of Arts and Sciences. When such an agency does not exist, the commission itself will attempt to aid in resolving the matter. Occasionally, the commission is instrumental in establishing a new agency for handling recurrent issues. Although the commission has no power to make rulings, it can play an advocacy role in pressing for the resolution of issues.

Ordinarily, the commission reports to the community on the matters that come before it, and in doing so, attempts to keep the community informed about factual background material and the resolution of matters of community concern.

RESOLUTION ON RIGHTS AND RESPONSIBILITIES

On April 14, 1970, the Faculty of Arts and Sciences voted the Resolution on Rights and Responsibilities. Because of its far-reaching implications and significance to all members of the University community, the full text of this resolution is provided below:

“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 right of its members to organize and join political associations, convene and conduct public meetings, publicly demonstrate and picket in an orderly fashion, 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 processes 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 the 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 these 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 Resolution if the University is to be characterized by mutual respect and trust.” 

INTERPRETATION

“The Faculty regards it as implicit in the language of the Resolution 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.”

THE ADMINISTRATIVE BOARD OF THE GRADUATE SCHOOL

The Faculty of Arts and Sciences has delegated to the Administrative Board of the Graduate School power for the enforcement of the regulations of the faculty relating to graduate education and for the conduct of all ordinary matters of administration and discipline. In practice, the deans handle the day-to-day administration of the Graduate School, relying on the board for guidance in many matters. However, the board receives reports on exceptions made to the rules, and it considers all matters of discipline.

The Administrative Board may initiate proposals for new, or modifications of existing, legislation affecting graduate students. Such initiatives move from the board to the Committee on Graduate Education, which has responsibility for considering all legislation affecting graduate education. The Administrative Board has no jurisdiction over departmental academic rules and regulations except a concern that they be fairly administered and do not conflict with the rules and regulations adopted by the faculty. The board serves as the academic department for all students in ad hoc degree programs.

Appeals procedure: Graduate students may appeal decisions of their departments and of the Graduate School Administration to the Administrative Board. In addition, the board considers appeals of decisions concerning teaching fellow appointments and financial aid. Student members of the board sit only when financial aid and teaching fellow appeals are being heard.

The Administrative Board is composed of the dean of the graduate school (chair), the administrative dean (vice-chair), six teaching members of the faculty (two from each of the three major areas: humanities, social sciences, and natural sciences), the registrar, the dean for student affairs, the dean for admissions and financial aid, and the assistant dean of student affairs, who acts as secretary. Up to four graduate students serve on the Board when it is considering appeals of financial aid and teaching fellow appointment decisions. 

UNSATISFACTORY RECORDS

The degree candidacy of a student whose record is below the standards of the Graduate School or of the student’s department may, at the end of a given term, be terminated by the department in consultation with the Graduate School. In some cases, a student may be permitted to register subject to specific academic conditions which, if not fulfilled by the date specified, will result in the termination of candidacy. Such a student, upon the recommendation of the department, may be placed on formal academic probation by the Administrative Board. Probation establishes a definite period in which the student must achieve whatever academic goal has been established by the department and the Administrative Board.

In some cases, a student whose candidacy for the PhD is terminated may have the opportunity to receive a master’s degree. A student whose degree candidacy has been terminated for failure to meet academic requirements ordinarily may not apply for readmission until two academic terms after the date of termination. 

DISCIPLINARY ACTION

Failure to attend academic exercises regularly, failure to maintain a satisfactory academic record or to be making satisfactory progress toward the degree, neglect of academic work or requirements, violation of the rules of the Faculty of Arts and Sciences, lying to an officer of the University, cheating, plagiarism, or other forms of academic dishonesty; theft of or damage to property of the University or others, possession of stolen goods, physical violence (including assault and sexual assault), harassment, or disorderly conduct; violation of law (including unlawful use or possession of controlled substances, firearms, or hazardous materials), and other conduct that departs from generally accepted standards of integrity and behavior will be dealt with by the Administrative Board, or the Student-Faculty Judicial Board, and the faculty. A detailed description of the procedures followed in disciplinary cases is contained in the booklet, The Administrative Board of the Graduate School of Arts and Sciences, available from the Dean’s office in Holyoke Center. The following actions may be taken: 

1) Admonition: a reprimand that becomes part of the student’s official record but is not considered a formal disciplinary action.

2) Probation: probation is meant to serve as a serious warning to students whose ac­ademic performance or whose conduct gives cause for concern. A student on pro­bation should be especially conscientious about all academic responsibilities. It is the hope of the Administrative Board that the sanction provided by probation will spur the student to resume satisfactory progress and/or behavior. A student placed on probation for disciplinary reasons will be relieved from probation if, at the end of a set period of time, satisfactory conduct has been maintained. A student placed on probation for academic reasons is relieved from probation if the student has maintained a satisfactory academic record during the set period of time. Failure to meet the conditions of probation is a grave matter and will ordinarily result in re­quirement to withdraw.

3) Requirement to Withdraw: action that may be taken in the following circum­stances: (a) a student who has failed to achieve a satisfactory record; (b) any stu­dent, whether or not previously on probation, whose record fails to meet the minimum departmental requirements; (c) serious neglect of work, even though the student has met the minimum requirements; (d) failure to meet deadlines set by the department or the Administrative Board; (e) disciplinary cases. Requirement to withdraw normally is effective immediately upon the vote of the Administrative Board. A student who is required to withdraw, for whatever reason, is not in good standing until readmitted. In order to be readmitted after having been required to withdraw, the student ordinarily must be away from the Graduate School for at least two terms and must demonstrate an acceptable record of performance during the absence. In all such cases, the student must apply for readmission and the de­cision will depend upon the University’s judgment. In disciplinary cases, the Ad­ministrative Board as well as the department and the dean of the Graduate School must approve readmission

4) Dismissal: action taken in serious disciplinary cases that ends a student’s connec­tion with the University by vote of the Faculty of Arts and Sciences. Dismissal does not necessarily preclude a student’s return, but readmission will be granted only by a vote of the faculty. A dismissed student is not in good standing until readmitted.

5) Expulsion: the most extreme disciplinary action possible. It must be voted by the Faculty of Arts and Sciences. A student who is expelled can never be readmitted and restored to good standing.

THE STUDENT-FACULTY JUDICIAL BOARD