Fielding Graduate University

• Preamble
• Policies on Academic Freedom
• Policies on Professional Ethics and Responsibility
• Statement on Professional Ethics of the American Association of University Professors in April 1966, endorsed by the Fifty-Second Annual Meeting as Association Policy:
• Introduction
• The Statement
• A Statement of the Association's Council: Freedom and Responsibility

Preamble

The 1940 Statement of Principles on Academic Freedom and Tenure of the American Association of University Professors has long been recognized as providing valuable and authoritative guidelines for policy and practice in American colleges and universities. Fielding Graduate University also holds a fundamental commitment to the principle of academic freedom as it applies to teaching and research. While the university does not maintain a system of academic tenure, similarly, it believes that faculty must be protected from economic intimidation and harassment; therefore, it provides a careful system of due process with regard to issues of academic freedom as they relate to continuation of service with the university. These policies are consistent with the policies, principles, and guidelines of the American Psychological Association where relevant.

Policies on Academic Freedom

The Fielding Board of Trustees approves the following policies with regard to academic freedom and responsibility:

1. A faculty member is entitled to full freedom in research and in the publication of the results, subject to the adequate performance of other academic duties. Research under the aegis of Fielding Graduate University for pecuniary gain and/or under conditions that would limit or prohibit communication of the results should be undertaken only with the prior agreement of the institute.
2. Faculty members are entitled to freedom in the exercise of their various instructional responsibilities, such as mentoring students, conducting seminars and workshops, leading cluster meetings, etc., that contribute to the students' academic and professional maturity. However, it is understood that this freedom applies only to the product of the faculty member's scholarship. The Board does not endorse the introduction of personal opinions unsupported by scholarship and controversial views that have no relation to the subject into any aspect of the faculty-student relationship.
3. Fielding Graduate University faculty members are citizens, members of a learned profession, and officials of Fielding Graduate University. When they speak as citizens, they should be free of concern or censorship, but their special position within the community imposes special obligations. As persons of learning and as officials of Fielding Graduate University, they should remember that the public may judge their profession and Fielding Graduate University by their utterances. Hence, they should at all times be accurate, exercise appropriate restraint, show respect for the opinions of others, and make every effort to indicate that they are not spokespersons for Fielding Graduate University.

Policieson Professional Ethics and Responsibility

In addition to recognizing the rights to academic freedom of faculty, students, and others in the academic community, the Board of Trustees also endorses the statements of the American Association of University Professors on Professional Ethics (1966) and on Freedom and Responsibility(1970):

Following are copies of the two policy statements. Revisions have been made in the gender of the originals.

Statement on Professional Ethics of the American Association of University Professors in April 1966, endorsed by the Fifty-Second Annual Meeting as Association Policy

Introduction

From its inception, the American Association of University Professors has recognized that membership in the academic profession carries with it special responsibilities. The Association has consistently affirmed these responsibilities in major policy statements, providing guidance to the professor in utterances as a citizen, in the exercise of responsibilities to students, and in conduct when resigning from his or her institution or when undertaking government-sponsored research.

The Statement on Professional Ethics that follows, necessarily presented in terms of the ideal, sets forth those general standards that serve as reminder of the variety of obligations assumed by all members of the profession. For the purpose of more detailed guidance, the Association, through its Committee B on Professional Ethics, intends to issue from time to time supplemental statements on specific problems.

In the enforcement of ethical standards, the academic profession differs from those of law and medicine, whose associations act to assure the integrity of members engaged in private practice. In the academic profession the individual institution of higher learning provides this assurance and so should normally handle questions concerning propriety of conduct within its own framework by reference to a faculty group. The Association supports such local action and stands ready, through the general secretary and Committee B, to counsel with any faculty member or administrator concerning questions of professional ethics and to inquire into complaints when local consideration is impossible or inappropriate. If the alleged offense is deemed sufficiently serious to raise the possibility of dismissal, the procedures should be in accordance with the 1940 Statement of Principles on Academic Freedom and Tenure and the 1958 statement on Procedural Standards in Faculty Dismissal Proceedings.

The Statement

I. Professors, guided by a deep conviction of the worth and dignity of the advancement of knowledge, recognize the special responsibilities placed upon them. Their primary responsibility to their subjects is to seek and to state the truth as they see it. To this end, they devote their energies to developing and improving their scholarly competence. They accept their obligation to exercise critical self-discipline and judgment in using, extending, and transmitting knowledge. They practice intellectual honesty. Although subsidiary interests may be followed, these interests must never seriously hamper or compromise freedom of inquiry.

II. As teachers, professors encourage the free pursuit of learning in their students. They hold before them the best scholarly standards of their disciplines. They demonstrate respect for the student as an individual, and adhere to their proper roles as intellectual guides and counselors. They make every reasonable effort to foster honest academic conduct and to assure that their evaluations of students reflect the student's true merit. They respect the confidential nature of the relationship between professor and student. They avoid any exploitation of students for private advantage and acknowledge significant assistance from them. They protect the student's academic freedom.

III. As a colleague, the professor has obligations that derive from common membership in the community of scholars. He or she respects and defends the free inquiry of his or her associates. In the exchange of criticism and ideas, the professor shows due respect for the opinions of others. He or she acknowledges academic debts and strives to be objective in his or her professional judgment of colleagues. The professor accepts his or her share of faculty responsibility for the governance of the institution.

IV. As a member of the institution, the professor seeks above all to be an effective teacher and scholar. Although he or she observes the state regulations of the institution, provided they do not contravene academic freedom, he or she maintains the right to criticize and seek revision. The professor determines the amount and character of the work he or she does outside the institution with due regard to his or her paramount responsibilities within it. When considering the interruption or termination of his or her service, the professor recognizes the effect of this decision upon the program of the institution and gives due notice of his or her intentions.

V. As a member of the community, the professor has the rights and obligations of any citizen. He or she measures the urgency of these obligations in the light of responsibilities to the subject, students, profession and to his or her institution. When speaking or acting as a private person, the professor avoids creating the impression that he or she is speaking or acting for the college or university. As a citizen engaged in a profession that depends upon freedom for its health and integrity, the professor has a particular obligation to promote conditions of free inquiry and to further public understanding of academic freedom.

A Statement of the Association's Council: Freedom and Responsibility

The following Statement was adopted by the Council of the American Association of University Professors in October 1970. For more than half a century the American Association of University Professors has acted upon two principles: that colleges and universities serve the common good through learning, teaching, research, and scholarship; and that the fulfillment of this function necessarily rests upon the preservation of the intellectual freedoms of teaching, expression, research, and debate. All components of the academic community have a responsibility to exemplify and support these freedoms in the interests of reasoned inquiry.

The 1940 Statement of Principles on Academic Freedom and Tenure asserts the primacy of this responsibility. The 1966 Statement on Professional Ethics underscores its pertinence to the individual faculty member and calls attention to his or her responsibility, by his or her own actions, to uphold his or her colleagues' and his or her students' freedoms of inquiry and to promote public understanding of academic freedom. The Joint Statement on Rights and Freedoms of Students emphasizes the shared responsibility of all members of the academic community for the preservation of these freedoms.

Continuing attacks on the integrity of our universities and on the concept of academic freedom itself come from many quarters. These attacks, marked by tactics of intimidation and harassment and by political interference with the autonomy of colleges and universities, provoke harsh responses and counter responses. Especially in a repressive atmosphere, the faculty's responsibility to defend its freedoms cannot be separated from its responsibility to uphold those freedoms by its own actions.

Membership in the academic community imposes on students, faculty members, administrators, and trustees an obligation to respect the dignity of others, to acknowledge their right to express differing opinions, and to foster and defend intellectual honesty, freedom of inquiry and instruction, and free expression on and off the campus. The expression of dissent and the attempt to produce change, therefore, may not be carried out in ways which injure the individuals or damage institutional facilities or disrupt the classes of one's teachers or colleagues. Speakers on campus must not only be protected from violence, but given an opportunity to be heard. Those who seek to call attention to grievances must not do so in ways that significantly impede the functions of the institution.

Students are entitled to an atmosphere conducive to learning and to even-handed treatment in all aspects of the teacher-student relationship. Faculty members may not refuse to enroll or teach students on the grounds of their beliefs, or the possible uses to which they may put the knowledge to be gained in a course. The student should not be forced by the authority inherent in the instructional role to make particular personal choices as to political action or his or her own part in society. Evaluation of students and the award of credit must be based on academic performance professionally judged and not on matters irrelevant to that performance, whether personality, race, religion, degree of political activism, or personal beliefs.

Policy Revised 07/01/1998

• Preamble
• Standards of Academic Honesty
• Violations of Standards
• Disciplinary Sanctions
• Committee on Academic Integrity
• Procedures
• Degrees Awarded/Revoked
• Plagiarism Prevention
• Related Policies
• Related Links (Turnitin)

Preamble

The ideal of academic honesty is crucial to the integrity of a university, college or institute; conversely, academic dishonesty undermines the very basis upon which institutions of higher education are organized and function. All students, faculty, and staff at the Fielding Graduate University are expected to meet the highest standards of honesty in the performance of their academic work. Students, faculty and staff are expected to report observed cases of academic dishonesty in others to school leadership, and may not do so anonymously. All reported allegations will be treated with an appropriate level of confidentiality. Toward that end, Standards of Academic Honesty and procedures to enforce these standards fairly are hereby adopted by the Academic Policy Committee on behalf of Fielding. 

Standards of Academic Honesty

The Standards of Academic Honesty proscribe (but are not limited to) the giving or receiving of unauthorized help in examinations or other assignments, plagiarism and other unacknowledged or undocumented use of source material, and forgery. Students may not re-use their own work without explicit disclosure regarding the nature of its original use and subsequent permission from the faculty assessor.

Violations of Standards

A student shall be subject to discipline for any violation of the Standards of Academic Honesty. Faculty and staff members shall be subject to reprimand for any violation of the Standards of Academic Honesty.

Disciplinary Sanctions

Sanctions available would be those appropriate to the violations and will include, but not be limited to, any one of the following: an official reprimand; a requirement to repeat an assignment, an examination, or a course; a requirement to complete an alternative assignment or examination; a failing grade for an assignment, an examination, or a course; suspension; or expulsion from Fielding. In the case of a faculty or staff member, an official reprimand or dismissal may occur.

Committee on Academic Integrity

1. A Committee on Academic Integrity (CAI) is established. The chair of the CAI is appointed by the Associate Provost for Research and Learning. One faculty member and one student from each school will serve on the committee. Those faculty and student memberships are designated by the school's dean. As openings in membership occur, if the Dean(s) fail to make a recommendation within a reasonable time, the Associate Provost for Research and Learning will appoint faculty/students to the CAI.
2. The CAI's primary purposes shall be, in accordance with the procedures outlined below, to receive and evaluate evidence of alleged violations of the Standards of Academic Honesty and to make decisions regarding the disposition of such cases. The CAI shall also make recommendations to the Associate Provost for Research and Learning and to the appropriate governance bodies for changes in standards and procedures, as it deems appropriate, and shall report annually to the Associate Provost for Research and Learning.

Procedures

In cases of an alleged student violation, these general procedures will be followed:

1. A faculty member who believes that a student has violated one or more of the Standards of Academic Honesty will promptly so inform the student and present the student with the reasons for this belief. Such an allegation can be in reference to a student's current coursework submitted for review, the student's prior coursework, or both. The faculty member will inform the school's designated Associate/Assistant Dean for academic affairs, who in turn will inform the student's assigned faculty advisor/mentor or the program director.
2. If, after learning the student's response, the faculty member continues to believe that a violation has occurred, the faculty member shall proceed in one of two ways:
   
   A) If the faculty member deems the alleged violation to be minor, the faculty member may attempt to resolve the matter in a manner satisfactory to both the faculty member and the student. If the matter is so resolved, the faculty member shall report the matter and its resolution to the Associate Provost for Research and Learning, and the school's designated Associate/Assistant Dean for academic affairs. If the student is not satisfied with the faculty member's proposed disposition of the allegedly minor violation, the student may independently appeal the issue to the CAI.
   
   B) If the faculty member deems the alleged violation to be more serious, the faculty member will refer the matter to the CAI, within five calendar days, giving reasons for the faculty member's belief that a violation has occurred. In that report, the faculty member may recommend a penalty. The faculty should make a reasonable effort to discuss the allegation directly with the student (i.e., give the student 14 calendar days to respond to a message, etc.) before referring the matter to the CAI. Throughout this and any subsequent processes, the school's designated  Associate/Assistant Dean for academic affairs will keep the student's assigned faculty advisor/mentor or program director informed of the process.
3. If a faculty member refers an alleged violation to the CAI, or if a student dissatisfied with the penalty imposed by a faculty member for an alleged minor violation appeals to the CAI, the chair of the CAI will inform the student and the faculty member in writing within 5 calendar days, and will consult with them as to the necessity for or desirability of a hearing. If a hearing results from this consultation, the CAI will schedule one as soon as possible, normally within 14 calendar days.
4. The CAI will establish its own procedures for the conduct of a hearing. No attorneys will be present for either party. The hearing process will continue even if a student elects to self-withdraw from Fielding Graduate University.
5. Following the hearing, or in the absence of one, the CAI will promptly decide whether the alleged violation has or has not occurred and will submit a written report of its findings to the student, the alleging faculty member, the student's assigned faculty advisor/mentor or program director, and the Associate Provost for Research and Learning, within 5 calendar days from the CAI's decision having been made. The report should address whether or not the CAI believes a violation has occurred and the decision of a penalty, if any, that it deems appropriate. If it decides that a violation has occurred, the CAI will include in its report its decision of a penalty that it considers appropriate. This penalty may be the one recommended by the alleging faculty member or some other penalty in conformity with the disciplinary sanctions aforementioned. The CAI will also transmit the relevant files to the Associate Provost for research and learning.
6. If the CAI decides to impose a penalty (of whatever kind), the student, within 7 calendar days, may appeal this decision to the Associate Provost for Research and Learning.
7. If the student appeals, within 7 calendar days the Associate Provost for Research and Learning must either: concur with the decision of the CAI; choose to modify the decision; dismiss the appeal, or remand the case to the CAI for further deliberations. In all actions by the Associate Provost for Research and Learning but the last, the case will be considered closed.

Degrees Awarded/Revoked

If evidence arises that an academic degree was earned in violation of the Standards of Academic Honesty, the CAI may recommend to the Associate Provost for Research and Learning that the degree be revoked. Appeals to the Associate Provost's decision regarding degree revocation will be heard by the Provost, who will have final authority in decisions regarding the revocation of a degree.

Plagiarism Prevention

All academic work submitted to the faculty of Fielding Graduate University is subject to checking through Turnitin.com. The decision whether or not to submit such work for checking is in the discretion of the individual faculty member, and some may elect to not submit such student work. It is recommended for faculty who choose to regularly use this service, that their assessment guidelines and/or syllabi reflect this choice and duly inform students that they must provide electronic copies of their papers.

Any student who objects to such submissions and is subsequently accused of plagiarism based on a hard copy of their work, bears the responsibility for proposing an alternative means of verifying that their work is original work in a manner satisfactory to the faculty concerned/Academic Integrity Committee. Students may also check their own work prior to submission to the faculty, if they so desire, either through their assessing faculty's account, or through the account of a faculty mentor/faculty advisor.

Related Policies

• Dissertation Research Assistance

Related Links (requires FELIX ID)

• General Information about Turnitin
• Resources for Students
• Resources for Faculty
• Turnitin Support
• FAQ: Frequently Asked Questions about Turnitin
  

Policy Revised 04/01/2009

To ensure that the Fielding Graduate University (“FIELDING”) complies with California law under which it is organized, its Board of Trustees (individually, “Trustees” and collectively, “Trustees” or the “Board”) hereby adopts this conflict of interest policy ("Policy"). The Policy applies to members of the Board and also applies to FIELDING’s [ directors, officers and senior-level employees] (collectively, “Employees”), where applicable. This Policy outlines procedures to be followed when the Board contemplates entering into a transaction or arrangement that might implicate the private interest of a Trustee or Employee of FIELDING. This Policy is intended to supplement, but not replace, any applicable state laws governing conflict of interest applicable to nonprofit and charitable corporations.

I. DUTIES OF THE BOARD OF TRUSTEES

A. Ultimate Responsibility

The Board is responsible for overseeing the management of FIELDING and all related activities and operations. Although the Board may, with due care, delegate certain matters to staff, committees, or others, the Board remains ultimately responsible for overseeing the management of FIELDING.

B. General Duty of Care

Trustees must exercise their powers in good faith in a manner in which they believe to be in the best interests of FIELDING, and must consider the impact a transaction has on FIELDING’s mission. Trustees must exercise their powers with such care, including reasonable inquiry, as an ordinarily prudent person in a like position would use under similar circumstances. Some of the steps required to meet this standard include regularly attending Board meetings, reviewing the Board's minutes and other documents provided to Trustees, and seeking clarification of matters that are unclear.

C. Reliance on Information Supplied by Others

In performing their duties, a Trustee may reasonably rely on information provided by qualified Employees, legal counsel or other qualified experts, and committees comprised of Trustees. Trustees must, however, exercise due care in monitoring such information. For example, if a Trustee receives information that the Trustee believes to be inaccurate, the Trustee has a duty to inquire further and, if the Trustee still believes the information is inaccurate, to address all concerns to the Board.

D.  Confidential Information

Trustees will have access to confidential information regarding the affairs, business, and plans of FIELDING. Trustees are prohibited from using or disclosing such information, whether or not specifically identified as confidential, for the personal profit or advantage of the Trustee or anyone else. Specifically, the use of corporate information by a Trustee involved in the same activity as FIELDING is prohibited, despite the non-existence of a direct business transaction between the Trustee and FIELDING, when such information is used to compete with FIELDING. 

II. CONFLICTS OF INTEREST INVOLVING OFFICERS/TRUSTEES

A. Definitions

1. Interested Person- Any Trustee, Employee, or member of a committee with Board-delegated powers who has a direct or indirect financial interest, as defined below in Article II, Section (A) (2), is an interested person. Included within this definition of an interested person is any Trustee who serves as a Trustee or trustee/board member of another corporation with whom FIELDING is contemplating a transaction or arrangement.

2. Financial Interest- A Trustee has a financial interest if the Trustee has, directly or indirectly, through business, investment, or family:

a. an ownership or investment interest in any entity with which FIELDING has a transaction or arrangement, or

 

b. a compensation arrangement with FIELDING or with any entity or individual with which FIELDING has a transaction or arrangement, or

 

c. a potential ownership or investment interest in, or compensation arrangement with, any entity or individual with which FIELDING is negotiating a transaction or arrangement.

3. Compensation- Compensation includes direct and indirect remuneration as well as gifts and favors that are substantial in nature.

4. Conflict of Interest- A financial interest is not necessarily a conflict of interest. Under Article II, Section (B)(2), a Trustee who has a financial interest may have a conflict of interest only if the Board or appropriate committee decides that a conflict of interest exists.

B. Procedures

1. Duty to Disclose  - In connection with any actual or possible conflict of interest, an interested person must disclose the existence of his or her financial interest and /or that of other Trustees or Employees to the chairperson of the Board and must be given the opportunity to disclose all material facts to the chairperson of the Board. The chairperson shall then select the appropriate members and/or  committees with Board-delegated powers to consider the proposed transaction or arrangement which gives rise to the actual or possible conflict of interest. The Trustee should disclose the potential conflict of interest as soon as possible, but no later than the first Board meeting after the Trustee discovers the potential conflict. 

2. Board Determination of Whether a Conflict of Interest Exists -  The Board or committee members (as determined by the Chairperson)  shall decide whether a conflict of interest exists in accordance with the following procedures.

3. Procedures for Addressing the Conflict of Interest

a. Following disclosure to the chairperson of the Board, an interested person may make a presentation at the Board or committee meeting, but after such presentation, the interested person shall leave the meeting during the discussion of, and the vote on, the transaction or arrangement that result in the potential conflict of interest.

 

b. Facts should be gathered regarding the proposed transaction or arrangement and the Trustee’s material financial interest. The chairperson of the Board or committee shall, if appropriate, appoint a disinterested person or committee to investigate alternatives to the proposed transaction.

 

c. All the relevant facts gathered about the proposed transaction or arrangement and the Trustee’s material financial interest should be disclosed to the Board. In addition, all committee findings and transactional alternatives, if any, should be presented to the Board.

 

d. After reasonable investigation, the Board or committee shall determine whether FIELDING can obtain a more advantageous transaction or arrangement with reasonable efforts from a person or entity that would not give rise to a conflict of interest. If the Board or committee determines that a more advantageous transaction or arrangement is not reasonably attainable under the circumstances, the Board or committee may move to approve the proposed transaction or arrangement, despite the conflict of interest.

 

e. In order to approve the proposed transaction or arrangement, the Board or committee shall determine by a majority vote of the disinterested Trustees whether the transaction or arrangement is:

i. in FIELDING’s best interest and for FIELDING’s own benefit,

ii. the proposed transaction or arrangement is fair and reasonable to FIELDING, and

iii. that FIELDING could not have obtained a more advantageous agreement with reasonable effort under the circumstances.

f. The interested person shall not be present for the final discussion or vote regarding the proposed transaction or arrangement.

 

g. The transaction must be approved by a majority vote of the Trustees, not including the interested person.

4. Voting Rules Regarding Compensation

a.  A voting member of the Board of Trustees who receives compensation, directly or indirectly, from FIELDING for services is precluded from voting on matters pertaining to that Trustee’s compensation.

 

b. A voting member of any committee whose jurisdiction includes compensation matters and who receives compensation, directly or indirectly, from FIELDING for services is precluded from voting on matters pertaining to that Trustee’s compensation.

            5. Records of Proceedings

a. The minutes of the Board and committee meetings shall indicate the following:

i. full disclosure to the Board, including any investigation and reports, including the names of the persons who disclosed or otherwise were found to have a financial interest in connection with an actual or possible conflict of interest and the nature of the interest,

 

ii. the content of discussions related to the transaction or arrangement, the persons present during such discussions and whether alternatives to such transaction or arrangement were presented,

 

iii. findings of the Board or committee,

 

iv. any action taken to determine whether a conflict of interest was present and the Board’s decision as to whether a conflict of interest in fact existed, and

 

v. Board approval of the proposed transaction or arrangement by roll call vote.

b. The reasonableness of the transaction or arrangement may, but need not, be documented and supported by independent, third-party appraisals, compensation surveys, and other appropriate supporting data.

 c. In order to limit the period of time during which the transaction is subject to challenge, the Board may vote to file a notice of transaction with the California Attorney General.

III. CONFLICT OF INTEREST STATEMENT: ANNUAL AND PERIODIC REVIEWS

A. Annual Statement

1. Each Trustee, principal officer, and member of a committee with Board delegated powers shall annually sign (i)a Conflict of Interest Statement, a copy of which is attached hereto as Exhibit 1 and incorporated herein by this reference; and (ii) Disclosure Statement , a copy of which is attached hereto as Exhibit 2 and incorporated herein by this reference.a statement which affirms that such person:

a. has received a copy of the conflict of interest policy, including the Transmittal Letter, attached hereto as Exhibit 1 and incorporated herein by this reference, and the Statement, attached hereto as Exhibit 2 and incorporated herein by this reference,

 

b. has read and understands the policy,

 

c. has agreed to comply with the policy, and

 

d. understands that FIELDING is a charitable organization and that in order to maintain its federal tax exemption, it must engage primarily in activities which accomplish one or more of its tax-exempt purposes.

2. The Policy shall be reviewed annually for the information and guidance of the Trustees.

3. All new Trustees shall be advised of the Policy upon entering their office.

B. Periodic Reviews

1. To ensure that FIELDING operates in a manner consistent with its mission and purpose and that it does not engage in activities that could jeopardize its status as an organization exempt from federal income tax, periodic reviews shall be conducted. The periodic reviews shall, at a minimum, include the following subjects:

a.  Whether compensation arrangements and benefits are reasonable and are the results of arm’s-length bargaining.

 

b. Whether acquisitions of services result in inurement or impermissible private benefit.

 

c. Whether partnership and joint venture arrangements conform to written policies, are properly recorded, reflect reasonable payments for goods and services, further FIELDING’s mission and purpose, and do not result in inurement or impermissible private benefit.

 

d. Whether agreements with employees and third party payors further FIELDING’s mission and purpose and do not result in inurement or impermissible private benefit.

 2. In conducting these periodic reviews, FIELDING may, but need not, use outside advisors. If outside experts are used, their use shall not relieve the Board of its responsibility for ensuring that periodic reviews are conducted.

IV. VIOLATIONS OF THE POLICY 

A. Hearing

If the Board has reasonable cause to believe that a Trustee or officer has violated this Policy, it shall inform the Trustee or officer of the basis for such belief and afford the Trustee or officer an opportunity to explain the alleged violation. 

B. Disciplinary and Corrective Action

If, after hearing the response of the Trustee or officer and making such further investigation as may be warranted under the circumstances, the Board determines that the Trustee or Officer has in fact violated this Policy, it shall take whatever disciplinary and corrective action it believes is appropriate under the circumstances.

Policy Effective 01/01/2007

Vice President, Human Resources & Administration
2112 Santa Barbara Street
Santa Barbara, CA 93105
805.687.1099

Related Policies

• Student Complaint and Grievance Procedure

Policy Revised 11/01/1996

Related Policies

• Student Complaint and Grievance Procedure

   

Policy Revised 07/01/2001

• Preface
• Policy Prohibiting Harassment
• Harassment Complaint Procedures:
  • Informal Complaints/Inquiries
  • Formal Complaints
  • Complaints Involving Vendors/Others

Preface

Members of the Fielding community share a vision of a society in which individuals are able to pursue their goals with respect and dignity, and without harassment, intimidation, or exploitation.

We look forward to a society in which harassment or discrimination* of any kind are nonexistent and believe that at Fielding we may be a catalyst for change by assisting individuals to achieve their intellectual, professional, and personal goals in an environment which does not make artificial or arbitrary distinctions. This policy on harassment is presented with the hope and conviction that someday it will not be necessary.

Further, Fielding Graduate University seeks to create an environment that supports personal development, the discovery and transmission of knowledge, and a positive work environment. All members of the community are expected to contribute to the maintenance of this environment by adhering to high professional standards of conduct and ethical principles. Therefore, this policy prohibits the harassment, intimidation, and exploitation of any member of this community as a necessary measure in support of Fielding's mission, vision, and values.

Policy Statement

Fielding Graduate University strictly prohibits harassment of any type against an employee, student, or outside third party because of that individual's sex, age, marital status, sexual orientation, gender identity, race, color, ancestry, physical or mental disability, religion, national origin, or any other protected category identified or inferred in Title VII of the Civil Rights Act of 1964, and not specifically mentioned herein. This document also automatically incorporates any categories of discrimination and harassment that subsequently may be recognized in the future by legal precedent of federal legislation. The University disapproves of and will not tolerate any unlawful harassment of employees or students by faculty, staff, fellow students, or non-employees with whom the University has a business relationship (such as service providers or other vendors). The harassment precluded by this policy includes any harassment against an individual because that individual is perceived to have any of characteristics mentioned above or is associated with a person who has is or perceived to have any such characteristic. The University assumes the responsibility of taking appropriate action in responding to reported instances of harassment using the Complaint Process outlined in this policy. Faculty, Staff and Students should report instances of harassment experienced personally as well as any third-party witnessing of harassment against other members of the Fielding community.

Definitions

Harassment is any conduct, directed toward an individual or groups based on one or more of the listed traits or protected categories, severe or pervasive enough to create a hostile or intimidating work or learning environment for that particular individual or group. Furthermore, this conduct can be physical, verbal or nonverbal, or accomplished through electronic means. Further, this harassment policy is extended to prohibit abhorrent behavior such as persistent antagonistic, aggressive, or threatening acts or behaviors exhibited through any means (including electronic media) that have the effect of creating a hostile or intimidating learning or working environment for students, faculty and staff of FGU.

Sexual Harassment is defined as unwelcome sexual advances, requests for sexual favors, and other verbal or physical conduct of a sexual nature when 1) submission to such conduct is made whether explicitly or implicitly a term or condition of an individual's academic progress or employment, 2) submission to or rejection of such conduct by an individual is used as the basis for decisions affecting such individual, or 3) such conduct has the purpose or effect of substantially interfering with an individual's work or educational performance creating an intimidating, hostile, or offensive environment. Examples include: persistent, unwanted attempts to change a professional relationship to a personal one; repeated intimations, hints, or suggestions that sexual relations are terms or conditions for participation in a Fielding education or work-related activity, or repeated flirting and/or sexual joking.

Potential complainants may include third parties as well as the direct complainant. A third party may perceive favoritism or bias resulting from a relationship (between a faculty member and his or /her current student, for example) and sense that other students are not receiving equal treatment in terms of ratings or grades.

Consensual relationships between faculty, administrators, managers, staff, and students are prohibited when either party is in a position to:

a) evaluate the other's academic performance or progress,

b) evaluate the other's professional performance (i.e., a manager and a staff person),

c) exercise judgment in situations in which there is the application of a Fielding Graduate University policy or procedure.

If a consensual relationship exists prior to either party entering into an evaluative situation, it will be the responsibility of the individual with the power or status advantage to take whatever steps necessary to immediately remove him/herself from that association. Failure to do so will lead to appropriate disciplinary action by Fielding Graduate University.

Consensual sexual relationships between members of the community where neither individual is in a position to exercise direct power or authority over the other may also be inappropriate because of a perception of power or influence. Any member of the faculty or administrative staff who engages in such a relationship must accept responsibility for assuring that it does not result in a conflict of interest or raise other issues of professional ethics. In cases of doubt, advice and counsel should be sought from the individual's dean or administrative supervisor.

Complainant(s): An individual or group of individuals who report harassment or discrimination based on the generic description of such acts as outlined in this policy.

Complaint Adviser: A faculty or staff member within the Fielding community who has received training that provides the individual with knowledge of the legal and FGU policy guidelines regarding discrimination and harassment.

Reviewing Manager: An FGU manager who has delegated authority to act on behalf of the Provost or the vice president for Human Resources and Administration in investigating and resolving discrimination and harassment complaints.

Respondent (s): An individual or group of individuals who have been identified as perpetrating acts of discrimination or harassment based on the generic description of such acts as outlined in this policy.

Harassment Complaint Procedures

Individuals who feel that they have been harassed may choose to use an informal or formal complaint procedure, depending on the severity of the act or acts.

The VP of Human Resources & Administration will appoint and train four members (three faculty and one staff member) of the University community to serve as points of contact (Complaint Advisers) to receive initial harassment complaints from employees and students. The entire Fielding community will be made aware of the names and other contact information for these individuals via the Fielding Website. This information will be updated annually. These individuals will support potential complainants in preparing a written report of the incident or incidents; helping the complainant identify harassment; supporting the individual in confronting the alleged harasser/s; and in referring the complainant to other internal or external resources as needed. The VP for HR & Administration will be the point person for complaints from vendors or individuals external to the immediate Fielding community, or for complaints where individuals other than Fielding students, faculty or staff** have been identified as alleged perpetrators.

Informal Complaints/Inquiries

Any member of the Fielding community may approach any appointed University Complaint Adviser to air concerns or ask questions without necessarily instituting formal procedures.The complainant will be told of his/her rights regarding procedures for handling complaints at this time.

A complainant may:

A) initiate a formal grievance;

B) decide that s/he does not want to initiate a formal grievance, but wants help and support in responding to unwelcome behaviors before they become severe or pervasive.

Complainants will be informed that FGU has a legal obligation to address all claims of unlawful sexual harassment, whether the complainant chooses to pursue addressing such behaviors or not. The University will consider complaints, formal or informal, to be highly confidential, and in the course of conducting its review, will discuss complaints only with those whom the University determines necessary in order to conduct a proper investigation and achieve an effective resolution.

The Complaint Adviser will provide information that helps the potential complainant identify what constitutes harassment, explain the FGU policy guidelines and timelines, and be a resource in framing the context of the complaint, either formal or informal.

An individual who believes s/he is experiencing sexual harassment is encouraged to deal directly with the alleged offender with the intent of communicating her/his distress and resolve that the situation will not be repeated. It is important to keep a record of all events or incidents that comprise the offending behavior and any subsequent communication about the behavior.

If the individual does not feel that this action would be appropriate or prefers not to handle it in this manner, s/he may take his/her concern or complaint to any identified University Complaint Adviser. The purpose for doing so may be to ask for resolution, to obtain assistance with problem solving, to apprise the University so that the authorities of the University may take appropriate measures, or all of the above.

The information provided to the University Complaint Adviser will be kept confidential as appropriate. The information will not be shared with the rest of the community, and it will be treated with extreme respect and appropriate propriety. Legal obligations, however, compel any institution of higher learning to take appropriate action if/when allegations of sexual harassment are egregious enough. At all steps along the way, the complainant will be apprised and informed of the University's responsibilities.

Formal Complaints

The vice president for Human Resources and Administration or the Provost or their named designees (Reviewing Managers) will receive all formal complaints of sexual harassment brought by any member of the Fielding community. Reviewing Managers will be appointed annually. If appropriate or necessary, the Reviewing Manager will: 1) take action to temporarily remove the individual from any situation in which the alleged harassment could continue to take place and 2) initiate formal procedures. If the Provost or the vice president for Human Resources and Administration is named as the harasser, then the complainant should submit the formal complaint to a designated Reviewing Manager. Formal procedures include the following:

• A written summary of the incident to be sent to the individual accused with a request to respond within ten (10) working days. The response must be directed to the individual complainant with a copy to the Provost or the VP for HR and Administration (Reviewing Manager of the case).
• Depending on the details of the summary, the Reviewing Manager will initiate an investigation or make a preliminary recommendation for potential resolutions of the case. A decision on which of these two courses of action will be taken will be made within five (5) days of the receipt of the response to the allegation and the Reviewing Manager will notify the complainant of that decision.
• If an investigation is initiated, the Reviewing Manager will proceed with an investigation with the help of one or more of the University Complaint Advisers. This investigation will be kept as confidential as possible and will conclude within four (4) weeks of its initiation. If additional time is required to complete the investigation, the Complaint Adviser will make a request to the Reviewing Manager to extend the investigation. The results of the investigation, along with recommendations and remedies for resolution will be sent to the Reviewing Manager.
• Within five (5) working days after receiving the investigation report with recommendations for resolution, the Reviewing Manager will make a decision on the resolution of the case; notify the complainant and the respondent of that decision; and take action to conclude the complaint based on the recommendations and remedies received with the results of the investigation.
• If the Complainant is not satisfied with the outcome, the President or the President's designee will review the case and issue a decision that is not subject to appeal.

At any point during the complaint process individuals may pursue complaints directly with the government agencies that deal with unlawful harassment, discrimination, and retaliation claims, e.g., the U. S. Equal Employ Opportunity Commission (EEOC), the State of California Department of Fair Employment and Housing (DFEH) or the appropriate investigative agency within another state, and /or the U. S. Department of Education Department's Office for Civil Rights (OCR). These agencies are listed in the Government section of the telephone book and on the web.

Anyone lodging a complaint of sexual harassment must begin the procedure within one year of the alleged incident. The statute of limitations for addressing a harassment complaint with the EEOC or in civil court is three years. Complainants must initiate an action within three years of the occurrence. An attempt to penalize an individual for initiating a complaint or any other form of retaliation is strictly prohibited and will be treated as a violation of this policy. In addition, any false accusations of harassment of any kind will be considered a violation of this policy.

Complaints involving Vendors/Others

III. In those cases involving complaints from within the Fielding Community ( students, faculty, staff) against vendors for Fielding or against other persons who are external to the Fielding community ( i.e., those who are not students, faculty, staff or administration), the VP for HR and Administration shall appoint a Reviewing Manager to assist the Complainant in preparing a clear statement of the complaint in writing and shall forward the same, as presented, and without comment on the allegations, facts, merits or other elements of the complaint unto the alleged perpetrator and to the VP for HR and Administration. This written statement of the complaint shall specify what remedy or resolution the Complainant is requesting. The VP for HR and Administration will provide a copy of the complaint directly to the proprietor of the business (or alleged perpetrator's employer) and ask that same provide a response and resolution within a reasonable timeline. Depending on the outcome of this process, Fielding may engage its resources to investigate the matter further, advise and assist the complainant in pursuing relief through federal or state agencies, and ultimately may terminate or limit a vendor relationship as appropriate if the harassment has not stopped or if a suitable remedy is not reached.

*Harassment, on the basis of any legally protected characteristic is a form of discrimination as described in the interpretative guidelines emanating from federal and state legislation prohibiting discrimination.

**For the purposes of this policy, adjunct faculty and other contracted faculty will be treated as Fielding employees.

Related Policies

• Student Complaint and Grievance Procedure

Policy Revised 12/10/2007

Section I – Goals

The intellectual property policy of Fielding Graduate University (the “University”) is designed to accomplish a set of interrelated goals. First, the policy is meant to encourage innovation among faculty, students, and staff of the University and the University itself.  Second, the policy is intended to clarify issues of ownership and other rights in intellectual property in light of changes in the role technology can play in scholarly and creative activities.  Third, the policy is designed to enhance the work of the scholarly and creative community at the University.

This policy governs covered intellectual property created in part or in whole by faculty, students, and staff of Fielding Graduate University in situations in which the parties have not entered into a written agreement concerning the ownership of intellectual property that has or will be created and the apportionment of revenues and other rights that may be derived from such intellectual property.

Section II – Provisions 

1. Faculty Rights – As an institution long devoted to the free and open exchange of ideas among scholars, the University recognizes that, except in the circumstances specifically provided in Section II (D), below, members of the faculty are entitled to ownership of intellectual property developed in the course of their regular faculty work.  Such intellectual property includes, but is not limited to, the original expression of ideas and concepts fixed in a tangible medium and includes works of authorship such as books, curriculum materials, video and audio recordings, photographs, graphics, software, works of art, and other materials.  These intellectual property rights are not dependent on the medium of distribution or dissemination of the intellectual property.
2. Student Rights - As an institution devoted to the growth and development of its students, the University recognizes that, except in the circumstances specifically provided in Section II (D), below, students are entitled to ownership of intellectual property developed in the course of their regular student work.  Such intellectual property includes but is not limited to the original expression of ideas and concepts fixed in a tangible medium and includes works of authorship such as books, curriculum materials, video and audio recordings, photographs, graphics, software, works of art, and other materials.
3. Staff Rights – Intellectual property resulting from the regular work of those employed as staff by the University shall be deemed “work-made-for hire,” and ownership in the property will reside with the University.  This provision includes the work of individuals who are faculty when the intellectual property results from regular work performed in their capacity as administrators of the University.  This provision includes the work of individuals who are students when the intellectual property results from regular work performed in their capacity as staff members of the University.
4. Rights of the University – The University asserts ownership of and rights to intellectual property, including intellectual property created by faculty and students, under the following conditions:
   
   
   1. when the work is created with substantial use of University resources.  For the purposes of this section, “substantial use” means the use or commitment of University resources of a nature or beyond the level of resources ordinarily provided to faculty and students.  “Resources ordinarily provided” includes resources made available to specific groups but not all individuals (e.g., additional travel stipends for pre-tenured faculty).  Sabbatical leaves do not constitute substantial use of University resources.  All competitive University awards, except student dissertations, constitute substantial use of University resources unless otherwise specified in advance, 
   2. when the work is commissioned by the University,
   3. when the work is created under the terms of a sponsored project where the terms of the sponsored project require that ownership be in the name of the University, and
   4. when the work is a work-made-for hire that is not covered in Section II (A), (B), or (C).
5. Formal Arrangements – Whenever Fielding Graduate University asserts rights pursuant to the provisions of Section II (D), above, the affected faculty, students, and/or staff will be informed in writing of the University’s assertion of rights in a communication that sets forth the intellectual property arrangements intended to govern the particular activity, including the nature of the project, the participation of the relevant parties, and the distribution of any proceeds derived from the project.

Section III – Operating Procedures

1. Obligation Concerning Disclosure – Faculty and any other individuals engaged in activities that result in the creation of intellectual property to which the University may claim ownership and/or rights as described in II (D) above are obligated to make a prompt disclosure of such activities in writing to the Office of the Provost.
2. Retaining Rights Without Royalty for Academic Uses at the University – The licensing of books, articles and other non-institutional works described in Section II (A) above is under the control of the faculty members who own such works. However, where the creator retains the rights to such works, he or she shall grant the University a nonexclusive royalty-free license for the use of such work within the University for teaching, research, and other noncommercial University purposes.  If any article or other such work is to be published, the creator is urged to seek to reserve for both the creator and the University a royalty-free right to use a reasonable portion of the published work within the University for teaching, research, and other non-commercial University purposes.  The right of the University to use such works shall survive the departure of the creators from the faculty or student body.
3. Faculty and Student Use of Works Created at and Owned by the University – Faculty members and students who create works that are owned by Fielding Graduate University under the provisions of this policy shall retain the right to use such works for noncommercial research and instructional purposes.  The right of the creators to use their works that are owned by the University shall survive their departure from the faculty or student body.
4. Updating and Correction of Works – Faculty members and students have the right to update and correct works they have created that are owned by Fielding Graduate University under the provisions of this policy.  The University may, but is not obligated to, provide support for such updates or corrections.
5. Attribution – All works created by faculty, students, and staff at Fielding Graduate University under the provisions of Section II (D) of this policy shall include the names of the creators of the work, unless the creators request in writing the removal of their names.
6. Applicability and Amendments – This policy will govern all matters of intellectual property at the University from the time of its formal adoption.  Regular reports will be issued from the office of the Provost.

Fielding Graduate University, in compliance with Titles VI and VII of the Civil Rights Act of 1964, Title IX of the Education Amendments of 1972, and Sections 503 and 504 of the Rehabilitation Act of 1973, does not discriminate on the basis of race, color, national origin, religion, sex, or handicap in any of its policies, procedures, or practices; nor does the university, in compliance with the Age Discrimination in Employment Act of 1967, Section 402 of the Vietnam Era Veterans Readjustment Act of 1974, and Section 12940 of the State of California Government Code, discriminate against any employees on the basis of their age, or because they are disabled veterans or veterans of the Vietnam era, or because of their medical condition (as defined in Section 12926 of the California Evidence Code), their ancestry, or their marital status; nor does the university discriminate on the basis of citizenship within the limits imposed by law or university policy; nor does the university discriminate on the basis of sexual orientation. This nondiscrimination policy covers admission, access, and treatment in university programs and activities, and application for and treatment university employment.

In conformance with university policy and pursuant to Executive Orders 11246 and 11375, Section 503 of the Rehabilitation Act of 1973, and Section 402 of the Viet-nam Era Veterans Readjustment Act of 1974, Fielding Graduate University is an affirmative action/equal opportunity employer.

Inquiries regarding the university's equal opportunity policies may be directed to the Affirmative Action Officer at Fielding's Administrative Offices:

Vice President, Human Resources & Administration
2112 Santa Barbara Street
Santa Barbara, CA 93105
805.687.1099

Related Policies

• Student Complaint and Grievance Procedure
  

Policy Revised 11/01/1996

Preamble

The decision to undertake research rests upon a considered judgment of the researcher about how best to contribute to the advancement of science and of human welfare. The researcher has an obligation to carry out the research with respect and concern for the dignity and welfare of the people who participate and with cognizance of federal and state regulations and generally accepted professional standards governing the conduct of research involving individuals or groups of persons. In furtherance of that goal, the following policy is set forth to govern research in the Fielding Graduate University.

Policy

The Board of Trustees of Fielding Graduate University affirms the policy that all student dissertation research or other research involving individuals or groups of persons carried out under the aegis or sponsorship of the University should be in adherence to relevant professional ethical guidelines for research dealing with human participation and animal subjects. For human subjects this includes all data collection regardless of whether the contact with subjects is face-to-face, via mailed questionnaires or by a third party collecting the data. Proposals for all research must be reviewed and approved or granted exempt status by the Institutional Review Board of the Fielding Graduate University before the research is undertaken.

Procedure

Fielding Graduate University will maintain an active Institutional Review Board (IRB), appointed by the Provost upon recommendation from the Deans of the academic programs. The procedures used will be in accordance with the Institutional Review Board Guidebook and the Policy Guidance set forth by the Office for Human Research Protections of the U.S. Department of Health and Human Services. It will be the responsibility of the IRB to develop and oversee all research ethics procedures, including education of the Fielding Graduate University academic community about the importance of research ethics and the guidelines for IRB application process.

Related Policies

• Student Complaint and Grievance Procedure

   

  Policy Revised 07/01/2006

• Local, State, and Federal Legal Sanctions
• Health Risks
• Where to Get Help
• Disciplinary Sanctions

Fielding Graduate University is committed to providing a safe, healthy, and productive environment for its entire community. Fielding strives to maintain a drug-free environment. Unlawful possession, use, or distribution of illicit drugs and/or alcohol at the university's facilities or as part of any of its activities is prohibited.

Students are required to comply with policy as a condition of enrollment.

As a condition of employment, all employees of Fielding Graduate University (this includes faculty and staff) are required to adhere to this policy. Persons who are not employees, but who perform work for Fielding (such as contractors and their employees, temporary employees provided by agencies, visitors engaged in joint projects, etc.) are also required to comply with this policy.

Local, State, and Federal Legal Sanctions

Local, state, and federal laws establish severe penalties for unlawful possession or distribution of illicit drugs and alcohol. These sanctions, upon conviction, may range from a small fine and probation to imprisonment for up to one year or a $1,000. fine, or both. In the case of possession and distribution of illegal drugs, these sanctions could include the seizure and summary forfeiture of property, including houses or vehicles. It is especially important to know that recent federal laws have increased the penalties for illegally distributing drugs to include life imprisonment and fines in excess of $1 million. Some examples of local or state laws are:

• The purchase, possession, or consumption of any alcoholic beverages (including beer and wine) by any person under the age of 21 is prohibited.
• Selling, either directly or indirectly, any alcoholic beverages, except under the authority of a California Alcohol Beverage Control License, is prohibited.
• It is a felony to induce another person to take various drugs and "intoxicating agents"with the intent of enabling oneself or the drugged person to commit a felony. The person who induced the other may be a principal in any crime committed.

Health Risks

Fielding is very concerned about the harm to faculty, staff and students using or abusing drugs or alcohol.

• All drugs are toxic or poisonous when abused. Health risks of drug abuse include,but are not limited to, sleep disorders, convulsions, hallucinations,paranoia, deep depression, malnutrition, liver and kidney damage, cardiac irregularities, hepatitis, neurological damage.
• Alcohol is a depressant.It depresses the central nervous system and can cause serious physical damage. Excessive alcohol consumption damages the liver, resulting in cirrhosis. Chronic alcohol abuse also causes hypertension; cardiac irregularities; ulcers; pancreatitis; kidney disease; cancer of the esophagus, liver, bladder or lungs; memory loss; tremors; malnutrition; vitamin deficiencies; possible sexual dysfunction.
• Abuse of either or both alcohol or drugs during pregnancy increases the risk of birth defects, spontaneous abortion, and stillbirths.

Where to Get Help

Fielding Graduate University recognizes drug and alcohol dependency as treatable conditions and encourages members of the Fielding community with substance-dependency problems to obtain professional guidance. The experienced professional will help in identifying appropriate treatment resources, including counseling, treatment,or rehabilitation programs.

A partial listing of available agencies includes:

• Santa Barbara County Mental Health Department 805-681-5190
• Alcohol & Drug Information Center 805-962-6195 or 805-963-1433
• Alcoholics Anonymous 805-962-3332
• Employees who participate in Fielding's health insurance plan may call their primary care physician for counseling referrals.
• Fielding community members outside the Santa Barbara area should check in their telephone books for county mental health departments or in the Yellow Pages under Alcoholism Information & Treatment Centers.

Disciplinary Sanctions

Fielding Graduate University will impose sanctions on individuals who violate this policy. These sanctions will be consistently enforced within the Fielding community.

The sanctions for violation of this policy may result in a range of consequences, including verbal or written reprimand; suspension, expulsion, or required completion of an appropriate rehabilitation program; and /or referral for prosecution.

Any student, faculty, or staff person who feels that a sanction has been imposed unjustly may pursue the applicable grievance procedures afforded to them by existing Fielding policy.

Related Policies

• Student Complaint and Grievance Procedure

Policy Revised 11/01/1996