chapter vii university policies - lawrence university · chapter vii university policies ......

LawrenceUniversityFacultyHandbook VII.1

Lastrevised:December2017

ChapterVIIUNIVERSITYPOLICIES

ConfidentialityofUniversityRecordsThefilesandrecordsmaintainedbyallofficesofLawrenceUniversity,whetheronpaperorstoredelectronically,containinformationthatisthepropertyoftheUniversity.Becausethismaterialisnotonlycrucialtotheeffectivenessoftheoffices,butisalsooftensensitiveorconfidentialaswell,allthosewhoworkwithitareexpectedtoobservethehigheststandardsofdiscretionandconfidentiality,protectingboththeUniversity’sinterestinitsrecordsandtheprivacyofthosetowhomtheinformationrelates.Thefollowingguidelinesareintendedtoillustratethelevelofcareandconfidentialityexpected.Theyshouldbeinterpretednotasadetailedcodeofconductbutasaminimumstatementofexpectationsfordealingwiththesematerials.Indeed,rulesandregulationsarenosubstituteforattentiveness,highethicalstandards,andcommonsense.Employeesshouldunderstand,therefore,thatlackofdiscretionorbreachofconfidentialityiscausefordismissal.Inaddition,tamperingwithcomputerizedinformationormisappropriationofitmaybeaprosecutableoffenseunderWisconsinlaw.GuidelinesEachsetofUniversityfilesandrecordswillbetheresponsibilityoftheheadoftheofficeprincipallymaintainingtherecords,hereafterreferredtoasrecordsmanager.AccesstotheUniversity’sfilesandrecordsforinspectionorreviewisrestrictedtocurrentemployeesoftheUniversitywhohaveademonstrated“needtoknow”andwhohavethepermissionoftherecordmanagerwhoserecordsaretobereviewed.ExcerptedinformationfromtheUniversity’srecords,otherthanthatalreadyauthorizedtoappearinthepublicdomain,istobedisclosedonlytocurrentemployeesoftheuniversityortovolunteers,andonlyincaseswheretheindividual'sdutiesasanemployeeorvolunteerrequiredisclosureoftheinformation.Inallcases,disclosuremustbeapprovedinadvancebytheindividual’ssupervisorandbytheappropriaterecordmanager.Nodisclosureofsecuritydetailsrelatedtothecomputersystemincludingbutnotlimitedtousername/passwordcombinations,applicationprograms,anddatafileattributedistobemadetoanyoneotherthananemployeeoftheUniversity.Suchknowledgeistobeusedbythoseemployeesonlyfortheperformanceoftheirdutiesasemployees.Alterationofexistingcomputerrecordsorcreationofnewonesistobeperformedonlyafterverificationoftheaccuracyandappropriatenessofthechanges.Informationinrecordsshouldneverknowinglybefalsified.



StudentRecordsandtheFamilyEducationalRightsandPrivacyActLawrenceUniversityintendstocomplyfullywiththeFamilyEducationalRightsandPrivacyActof1974(FERPA,alsoknownas“theBuckleyAmendment.”)Atleastonceeachyear,theuniversityinformsstudentsoftheirrightsundertheActwithrespecttotheireducationalrecords,asfollows:

1. Therighttoinspectandreviewthestudent’seducationrecordswithin45daysofthedaytheuniversityreceivesarequestforaccess.

Astudentshouldsubmitawrittenrequestidentifyingtherecord(s)tobeinspectedtotheregistrar,dean,headoftheacademicdepartment,orotherappropriateofficial.Theschoolofficialwillmakearrangementsforaccessandnotifythestudentofthetimeandplacewheretherecordsmaybeinspected.Iftherecordsarenotmaintainedbytheschoolofficialtowhomtherequestwassubmitted,thatofficialshalladvisethestudentofthecorrectofficialtowhomtherequestshouldbeaddressed.

2. Therighttorequesttheamendmentofthestudent’seducationrecordsthatthe

studentbelievesareinaccurateormisleading.

StudentsmayaskLawrenceUniversitytoamendarecordthattheybelieveisinaccurateormisleading.Theyshouldwritetheuniversityofficialresponsiblefortherecord,clearlyidentifythepartoftherecordtheywantchanged,andspecifywhyitisinaccurateormisleading.IfLawrenceUniversitydecidesnottoamendtherecordasrequestedbythestudent,thestudentwillbenotifiedofthedecisionandadvisedofhisorherrighttoahearingregardingtherequestforamendment.Additionalinformationregardingthehearingprocedureswillbeprovidedtothestudentwhennotifiedoftherighttoahearing.

3. Therighttoconsenttodisclosureofpersonallyidentifiableinformationcontainedin

thestudent’seducationrecords,excepttotheextentthatFERPAauthorizesdisclosurewithoutconsent.

AstudentmustgiveconsentinwritingbeforeLawrenceUniversitycanreleaseanypersonallyidentifiableinformationfromthestudent’seducationrecords,excepttotheextentthatFERPAallowsdisclosurewithoutconsent.

LawrenceUniversitydoesnotautomaticallysendinformationaboutacademicprogressordisciplinaryactionstoparentsorguardians.Itisthestudent’sresponsibilitytocommunicatesuchmatterstofamilymembers,andothers,asneeded.Lawrencestudentsmayhavetheirgradessentdirectlytotheirparentsby



completingareleaseformavailableintheregistrar’soffice.Parentswhowantaccesstotheeducationrecordsoftheirchildrenmustpresentawrittenauthorizationfromthestudent,oracertifiedcopyoftheirmostrecentfederaltaxreturnshowingthestudent’sdependentstatus,totheregistrarbeforeinformationcanbereleased.Studentswhoneedtoreporttheiracademicprogressorenrollmentstatustootherparties,suchasscholarshipfoundations,graduateschools,orprospectiveemployers,mustsubmitawrittenrequesttotheRegistrar’sOfficebeforeatranscriptorotherdocumentationwillbereleased.TheVicePresidentforStudentLifeandDeanofStudentsordesigneereservestherighttocontactaparentorlegalguardiantodiscloseinformationaboutanyviolationoffederal,state,orlocallaworanyuniversitypolicygoverningtheuseorpossessionofalcoholoracontrolledsubstance.Thedecisiontocontactaparentorlegalguardianwillbebasedonprofessionalstaff’sreviewofanincident(s)forpatternandseverityinastudent’sbehavior.OneexceptionthatpermitsdisclosurewithoutconsentisdisclosuretoschoolofficialsatLawrenceUniversitywithalegitimateeducationalinterestinastudent’seducationrecord.AtLawrenceUniversitya“schoolofficial”isatrustee,officer,orpersonemployedinorappointedtoaLawrenceUniversityadministrative,supervisory,academicorresearch,supportstaff,orvolunteerposition;apersonorcompanywithwhomLawrenceUniversityhascontracted(suchasanattorney,auditor,orcollectionagent);orastudentservingonanofficialcommittee,suchasadisciplinaryorgrievancecommittee,orassistinganotherschoolofficialinperforminghisorhertasks.Alegitimateeducationalinterestexistsiftheinformationrequestedisrelevantandnecessaryforaschoolofficialtoperformappropriatetasksortomakeajudgmentwithinthescopeoftheofficial’sassignedresponsibilities.Thetaskorjudgmentmusta)berelatedtothestudent’seducation,b)berelatedtothedisciplineofastudent,c)provideaserviceorbenefitrelatingtothestudent,suchashealthcare,counseling,financialaid,recommendations,orselectionforawards,prizes,ormembershipinhonorarysocieties,ord)berequiredtoconductinstitutionalresearchtosupporttheeducationalmissionoftheuniversity.Disclosuretoaschoolofficialhavingalegitimateeducationalinterestdoesnotconstituteinstitutionalauthorizationtotransmit,share,ordiscloseanyorallinformationreceivedtoanotherparty.UnderFERPAinformationdesignatedbyLawrenceUniversityasdirectoryinformationmaybereleasedwithoutwrittenconsent,unlessthestudentrequestsnon-disclosure.Directoryinformationmaybereleasedbytheinstitutionforanypurpose,atitsdiscretion.LawrenceUniversityhasdeclaredthefollowingitemstobedirectoryinformation:CategoryI: name,address,telephonenumber,datesofattendance,class



CategoryII: previousinstitutionsattended,majorfieldofstudy,awards,honors,degree(s)conferred(includingdates)

CategoryIII: pastandpresentparticipationinofficiallyrecognizedsportsandactivities,physicalfactors(suchasheightandweightofathletes),dateandplaceofbirth

CategoryIV: e-mailaddressCategoryV: photographsorothervisualimagesUseofdirectoryinformationincludes,butisnotlimitedto,thefollowing:• Theuniversitymaintainsanelectronicdirectoryofstudents,faculty,andstaffon

theLawrenceWWWsite.Studente-mailaddressesaremadeavailabletothegeneralpublic.Campusandhomeaddressandphoneinformationisaccessibleonlytothosemembersofthecampuscommunitywhohaveacampusnetworkaccount.ThisinformationisintendedfortheprivateuseofLawrenceUniversitystudents,faculty,andadministrators.Itsuseforcommercial,promotional,orpartisanpoliticalpurposesisforbiddenbytheuniversity.

• LawrenceUniversityvisuallyrecordsmanycampuseventsanddailyactivities,suchasconvocations,concerts,classes,athleticevents,andotherpublicoccasions.Theseimagesaswellasotherinformationaboutstudents,faculty,andstaffarepublishedregularlyaspartoftheuniversity’scoverageofcampuslifeandportrayaloftheuniversitytoavarietyofaudiences.Publicationsincludeprintmedia,suchasLawrenceToday,andtheuniversity’sWWWsite.

• Theregistrar’sofficeroutinelyrespondstophonerequestsfromprospectiveemployers,insurancecompanies,andotherorganizationsseekingconfirmationofaparticularstudent’sdegree,academicprogram,orattendance.ThefederalSolomonAmendmentrequiresLawrencetoprovidelistsofcurrentlyenrolledstudentstomilitaryrecruitersuponrequest.

EnrolledstudentsmayaskLawrencetowithholddisclosureofanyoftheabovecategoriesofinformationbycompletinganon-disclosureform,availableintheregistrar'soffice.Continuingstudentsmustcompleteanewformeachyear.Non-disclosureinstructionsineffectatthetimeastudenttakesaleaveofabsence,withdraws,orgraduatesfromtheuniversitywillremainineffectuntilthestudentrescindsthoseinstructionsinwriting.Studentswhowishtobeexcludedfromthedirectoryontheuniversity’sWWWsite(e-mail,addressorboth)withoutrequestingfullnon-disclosuremaydosobycompletinganexclusionformavailableintheregistrar’sofficeorfromcomputerservicesStudentsconsideringwithholdingdisclosureofdirectoryinformationshouldconsultwiththeregistrarandevaluatetheconsequencesofsuchadecisioncarefully.Lawrenceassumesnoresponsibilitytocontactastudentforsubsequent



permissiontoreleasedirectoryinformation,andassumesnoliabilityforhonoringinstructionsthatsuchinformationbewithheld.

4. TherighttofileacomplaintwiththeU.S.DepartmentofEducationconcerningallegedfailuresbyLawrenceUniversitytocomplywiththerequirementsofFERPA.ThenameandaddressoftheOfficethatadministersFERPAis:

FamilyPolicyComplianceOffice U.S.DepartmentofEducation 400MarylandAvenue,SW Washington,D.C.20202-4605QuestionsaboutFERPAortheinformationprovidedhereinshouldbedirectedtotheregistrar.ThePrimaryDatabaseLawrenceUniversityshallmaintainacentralizedelectronicdatabase,the“primarydatabase,”containingthenames,addresses,telephonenumbers,andcertainotherinformationaboutindividualsandorganizationshavingahistoricorpresentrelationshiptotheUniversitythroughitsinstructionaloroutreachprogramsorthroughemployment.AllinformationinthedatabaseisintendedfortheprivateuseofLawrenceUniversitystudents,faculty,andadministrators.TheUniversityforbidsitsuseforcommercial,promotional,orpartisanpoliticalpurposes.Foradditionalguidelines,seethepolicystatementonConfidentialityofUniversityRecordsabove.MembersoftheLawrencecommunityshallbeabletoreadinformationintheprimarydatabasebyusingprogramsrunningontheUniversity’centraladministrativecomputerorcomputingnetwork.InformationfromthedatabasewillbereleasedtovariouscampusconstituenciesaccordingtoguidelinesdevelopedbytheCouncilonAdministrativeComputingandInter-OfficeCommunication(CACIOC).Record-keepingsystemsmakinguseofdatacontainedintheprimarydatabaseshallrelyontheprimarydatabaseastheauthoritativesourceforsuchdata.Alllocalcopiesofthosedata,whichmightbeelectroniccopiestransferredfromthedatabaseorpapercopiessuchasthecampusorstudentdirectories,shallbeconsideredtemporary,read-only,andvolatile.Existingsystemswhichviolatethisprincipleshallbeconvertedtousetheprimarydatabaseasquicklyasispractical.Thedevelopmentofnewrecord-keepingsystems,ornewcomponentsofexistingsystems,whichreproducedataelementsfoundintheprimarydatabaseshallbediscouraged.Responsibilityformaintainingprimaryrecordsshallbedividedamongadministrativeofficesaccordingtorulesdevelopedinconsultationwiththoseoffices.Thecontentsof



eachprimaryrecordshallbekeptaccurateandcurrentbypersonnelintheofficeresponsibleformaintainingthatrecord.CACIOC,inconsultationwithadministrativeoffices,shalldevelopandpromulgateeditingstandardsfornamesandaddresses;thosestandardsshallbeusedinmaintainingentriescontainedintheprimarydatabase.ProposalsforchangesinthestructureandcontentoftheprimarydatabaseandrelatedpracticesandproceduresshallbereviewedandapprovedbyCACIOCbeforethechangesaremade.CACIOCshallreviewproceduresrelatedtodatabasecontent,recordtypes,viewing,andmaintenanceperiodically,andshallrecommendchangesandadjustmentstothispolicyandrelatedpracticesandproceduresasneeded.ScientificMisconductLawrenceUniversitysupportstheviewthatresearchisanintegralpartofteachingandlearningscience.Inundergraduatescience,studentslearnbydoingscience,andresearchenlivensteaching,contributestotheexpandingbodyofknowledgeinscience,andmaintainstheintellectualvitalityofthefacultymember.Toassurecontinuedconfidenceintheintegrityofthescientificprocessandintheadministrationoffederalfunds,LawrenceUniversityfostersanenvironmentthatencouragestheresponsibleconductofscientificresearchevenasitdiscouragesscientificmisconduct.Specifically,Lawrenceestablishesthefollowingprocedurestoinvestigateallegationsofscientificfraud.AllegationsregardingscientificmisconductbymembersoftheLawrencecommunityshallbesubmittedtotheProvostandDeanoftheFaculty.TheProvostshallberesponsibleforpursuingthoseallegationsaccordingtotheguidelinesinthispolicystatement.Thedefinitionof“misconductinscience”meansfabrication,falsification,plagiarism,orotherpracticesthatseriouslydeviatefromthosethatarecommonlyacceptedwithinthescientificcommunityforproposing,conducting,orreportingresearch.ThisdefinitionofmisconductinscienceisextendedtoincludeallactivitiesfundedbytheNationalScienceFoundation.Itprohibitsretaliationofanykindagainstapersonwhoreportedorprovidedinformationaboutsuspectedorallegedmisconductandwhohasnotactedinbadfaith.Honesterrororhonestdifferencesininterpretationsorjudgmentaboutdataarenotincludedinthesedefinitions.Uponreceiptofallegationsofscientificmisconduct,theProvostandDeanoftheFacultyshallorderanimmediateinquiryintothemattertobeconductedbyasciencedepartmentchairpersonoutsideofthedepartmentunderinvestigationandbytheCommitteeonTenure,Promotion,Reappointment,andEqualOpportunity.Suchinquirywillbecompletedwithin60calendardays,includingpreparationandsubmissionofawrittenreporttotheProvostandDeanoftheFaculty.



TheOfficeoftheProvostshallmaintaindetaileddocumentationofaninquiryforatleastthree(3)years,whichmust,uponrequest,beprovidedtoauthorizedHealthandHumanServicesandNationalScienceFoundationpersonnel.Iffindingsfromaninquiryprovidesufficientbasis,aformalinvestigationshallbeinitiatedwithin30calendardaysofthecompletionofaninquiry.SuchaninvestigationshallbeconductedbyexternalimpartialexpertsappointedbytheProvostandDeanofFacultyuponconsultationwiththeCommitteeonTenure,Promotion,Reappointment,andEqualOpportunityandshallbecompletedwithin120calendardays.Dueprecautionsagainstrealorapparentconflictsofinterestinaninquiryorinvestigationshallbetaken.Theaffectedindividual(s)shallbeaccordedconfidentialtreatmenttothemaximumextentpossible,apromptandthoroughinvestigation,andanopportunitytocommentonallegationsandfindingsoftheinquiryand/ortheinvestigation.ThePublicHealthService'sOfficeofScientificIntegrity,atTheNationalInstitutesofHealth,ortheNationalScienceFoundation’sOfficeofInspectorGeneralshallbeinformedattheoutsetthataninvestigationwillbeconducted.Shouldareasonableindicationofpossiblecriminalviolationsbediscovered,theOfficeofScientificIntegrityorOfficeofInspectorGeneralshallbeinformedwithin24hours.Documentationtosubstantiateaninvestigation’sfindingsshallbemaintainedbytheOfficeoftheProvostandDeanoftheFacultyforatleastthree(3)yearsafterPublicHealthServiceorNationalScienceFoundationacceptanceofthefinalreport.TheProvostandDeanoftheFacultyshalltakeappropriateinterimadministrativeactionstoprotectfederalfundsandensurethatthepurposesofthefederalfinancialassistancearebeingcarriedout.TheProvostshallpromptlyadvisetheOfficeofScientificIntegrityorOfficeofInspectorGeneralofanydevelopmentsduringthecourseoftheinvestigationwhichdisclosefactsthatmayaffectcurrentorpotentialDepartmentofHealthandHumanServicesorNationalScienceFoundationfundingfortheindividual(s)underinvestigation.TheProvostshallalsoadvisetheaforementionedofficesofanydevelopmentsthattheDepartmentofHealthandHumanServicesorNationalScienceFoundationneedtoknowtoensureappropriateuseoffederalfundsandotherwiseprotectthepublicinterest.Uponcompletionoftheinvestigation,theProvostandDeanoftheFacultyshallmakeeffortstorestorethereputationsofpersonsallegedtohaveengagedinmisconductwhenallegationsarenotconfirmedandtoprotect,tothemaximumextentpossible,thepositions



andreputationsofthosepersonswho,ingoodfaith,makeallegationsofscientificmisconduct.Appropriatesanctionsshallbeimposedonindividualswhentheallegationofmisconducthasbeensubstantiated.TheProvostandDeanoftheFacultyshallnotifytheOfficeofScientificIntegrityorOfficeofInspectorGeneralofthefinaloutcomeoftheinvestigationwithawrittenreportthatthoroughlydocumentstheinvestigationprocessandfindings.TheProvostandDeanoftheFacultyshallinformtheCollege’sscientificandadministrativestaffofscientificmisconductpoliciesandtheimportanceofcompliancewiththosepoliciesandprocedures.GrantAdministrationRecognizingthatinacceptingagrantawardfromafederalagency,collegescollectivelyandfacultymembersindividuallyhavearesponsibilitytomonitortheprogress(scopeofactivitiesandbudgetexpenditures)oftheprojecttoassurethattheobligationstothefunderarehonoredbothinletterandinspirit,LawrenceUniversityhasidentifiedanInstitutionalGrantsProgramAdministratorandaGrantsBudgetAdministrator,andhas:

• establishedformalandpublicmechanismstomonitoractivitiesplanned/undertakenandexpendituresplanned/madeinregardtoeachfundedprogramattheinstitution;and

• developedformalinstitutionalpolicies,andmechanismstoenforcesuchpolicesthat

concurwithfederalguidelinesforgrantsadministration.TheInstitutionalGrantsProgramAdministratorandGrantsBudgetAdministratorjointlyhaveofficialresponsibilityforadministeringgrants,negotiatingbudgetrevisions,overseeingthesubmissionofrequiredinstitutionalassurances,certificationsandreports,andensuringcompliancewiththetermsandconditionsofthegrant.TheInstitutionalGrantsProgramAdministratorshallbeeithertheProvostandDeanofFacultyorhis/herdelegate;theInstitutionalGrantsBudgetAdministratorshallbetheVicePresidentforFinanceandAdministrationorhis/herdelegate.TheGrantsProgramandBudgetAdministratorsshallincorporatepoliciesandproceduresfromallrelevantfederalregulationsandfromgrantadministrationrequirementsofspecificagencies,asappropriate,intoinstitutionalproceduresandpoliciesforprogramdevelopmentandimplementation.Thesepoliciesandproceduresinclude,butarenotlimitedto:

• Allinstitutionalcertifications;



• Cashmanagement;• Equipmentinventory;• Financialdisclosure/conflictofinterest;• Procurement;• Responsibleconductofresearchtraining;• Recordsretention;• Timeandeffortcertification.

A.TheInstitutionalGrantsProgramAdministratorisresponsiblefor:Intheprogramdevelopmentphase:

• reviewinginformationprovidedbythePrincipalInvestigatoronthe“IntenttoSeekExternalFunding”form;

• overseeingsubmissionofrequiredinstitutionalassurances,certifications,and

nonfinancialreports;

• reviewingtimelinesforprojectactivities;

• approvingscopeoffacultyinvolvementandotherinstitutionalcommitments.Atthetimeofthegrantaward:

• comingtomutualagreementwiththePrincipalInvestigatoronthescheduleformonitoringandreportingandtheneedtosecurepriorapproval(attheinstitutionaloragencylevel)forchangesinthescheduleofactivities;

• comingtomutualagreementwiththePrincipalInvestigatorandotherappropriate

institutionalofficials,onspecificobligationsincurredbyacceptanceofthegrant.Thisincludes,butisnotlimitedto,thescope,objectives,andsequenceofgrantactivities,includingfacultyinvolvement,budgetexpenditures,andinstitutionalcommitments,timetableandresponsibilitiesforreporting;

• securinginstitutionalapprovalsandcertificationsrequiredbytheagencyfor

proposalsubmission.Duringthegrantperiod:

• ensuringcompliancewithtermsandconditionsofthegrant;

• approvingchangesinthescheduleofactivitiesthatareconsistentwiththescopeandobjectivessetforthintheoriginalproposalandoutlinedinthegrantawardletter;



• seekingwrittenapprovalofchangesinprojectactivitiesthatrequireagency

approval;

• ensuringthatinterimandfinalreportsaremadeinatimelymanner,consistentwithrequirementsofthefundingagency;

• securing,asnecessaryforspecificfundedprojects,up-datefinancialdisclosure

statements;

• ensuringthatthecontinuingobligationsinregardtograntadministration(disseminationofproducts/results,maintaininggeneralfiles,andrecordsofinvestigatorfinancialdisclosuresandofactionstakentomanageactualorpotentialconflictsofinterest,etc.)aremetperagencyrequirement.

B.TheInstitutionalGrantsBudgetAdministratorisresponsiblefor:Intheproposaldevelopmentphase:

• reviewingbudgetsforprojectactivities;

• determiningthenatureandextentofcoststotheinstitutiontoimplementthegrantforitemsnotcoveredbythegrant.

Duringthegrantperiod:

• overseeingsubmissionofrequiredfinancialreports;

• negotiatingbudgetrevisions;

• ensuringcompliancewiththefinancialtermsandconditionsofthegrant;

• monitoringexpendituresonaregularbasistoensuretheyareconsistentwiththosestatedinthefundedproposalandintheletterofthegrantawardandthatinstitutionalreviewsandapprovalsaremadeinadvanceofexpenditures;

• documentinginstitutionalcost-sharingmadetotheprogram;

• approvingchangesinexpendituresconsistentwiththescopeandobjectivesset

forthintheoriginalproposalandoutlinedinthegrantawardletter;

• ensuringthatthecontinuingobligationsinregardtobudgetdocumentsandfinancialreportsaremetperagencyrequirement.



C.BoththeGrantsProgramAdministratorandtheGrantsBudgetAdministratorshallberesponsiblefor:

• understandingagencypoliciesinregardtono-costextensions,expendituresoffundsinanticipationofawards,suspensionorterminationofgrants,andalertingPrincipalInvestigatorstosuchpolicies;

• ensuringthatinterimandfinalreportsaremadeinatimelymanner,consistentwith

therequirementsofthefundingagency;

• ensuringthatthecontinuingobligationsinregardtograntadministration(disseminationofproducts/results,maintaininggeneralfiles,budgetdocuments,andrecordsofinvestigatorfinancialdisclosuresandofactionstakentomanageactualorpotentialconflictsofinterest,etc.)aremetperagencyrequirements;

• maintaininginstitutionalcontactwiththefundingagency,asappropriate.

D.PrincipalInvestigator(s)areresponsiblefor:

• submittingthe“IntenttoSeekExternalFunding”formandproposaldocumentstotheGrantsProgramandBudgetAdministratorssufficientlyinadvanceoftheagencydeadlinetopermitreviewandrevisionofthedocument.

• submittingreportstobothgrantsadministratorsinaccordwiththeagreed-upon

schedule;

• submittingchangesinthetimelineoftheprojectandreportsforapproval;

• atthetimeoftheaward,comingtomutualagreementwithbothGrantsAdministratorsonthescheduleformonitoringandreporting,andontheneedtosecurepriorapproval(attheinstitutionaloragencylevel)forchangesinthescheduleofactivities;

• submittingchangesinthescheduleofactivities;

• submittinginterimandfinalreports;

• updatingfinancialdisclosurestatements;

• providinganyotherrequiredreportsorfinancialstatements.



FinancialConflictofInterestPolicyforFederally-FundedResearchA. PurposeFederalregulationsrequireLawrenceUniversitytomaintainapolicyforidentifying,managing,anddisclosingfinancialconflictsofinterestthatmayaffectresearchfundedinpartorwholebyfederalgrants.ThepurposeofsuchpoliciesistopromoteobjectivityinresearchandsetexpectationsamongInvestigators,institutions,andthepublicthattheintegrityoftheresearchenterpriseisuntaintedbyInvestigators’actualorpotentialconsiderationsofpersonalfinancialgain.ThispolicysetsouttheobligationsofLawrenceUniversity(LU)anditsInvestigators,infulfillmentoftheFinancialConflictofInterest(FCOI)guidelinespromulgatedbytheNationalInstitutesofHealthandNationalScienceFoundation.ItisimportanttonotethattheprocessofidentifyingandmanagingFCOIsbeginsduringtheproposalpreparationstage,andcontinuesthroughoutthelifeofafederalgrant.B. DisclosureofSignificantFinancialInterestsWhomustdiscloseEachInvestigatorassociatedwitharesearchprojectfunded,orproposedforfunding,byafederalagencyissubjecttothispolicyandmustmaketherequireddisclosures.ThedisclosuresincludeinformationaboutfinancialinterestsoftheInvestigatorandtheInvestigator’sspouseanddependentchildren.InvestigatormeansanyprincipalInvestigator(PI),co-PI,projectdirector(PD),co-PD,oranyotherperson—regardlessoftitleorposition—whoisresponsibleforthedesign,conduct,orreportingofresearchfunded,orproposedforfunding,byNIH,NSF,orotherfederalagency.Insomecircumstances,thismayincludecollaboratorsorconsultants.Note:Ingeneral,undergraduateswhoparticipateinresearchorresearchtrainingaspartofafacultymember’sprogramofresearcharenotconsideredInvestigators.WhileundergraduatesoftencarryoutresearchactivitiesunderthesupervisionofanInvestigator,theyrarelyhavesufficientdiscretiontobeconsideredresponsibleforthedesign,conduct,orreportingoffederally-fundedresearch.However,intheeventanundergraduate’sroleissuchthatheorshecanbeconsideredanInvestigator,thatundergraduateshallbesubjecttothispolicy.WhendisclosuresmustbemadeEachInvestigatorsubjecttothepolicymustsubmitawrittendisclosureofSignificantFinancialInterests,ifany:

• beforeafederalresearchproposalissubmitted;and



• annually—inJanuary,oratanothertimetobedeterminedbytheVPforFinanceandAdministration(VPFA)orhisdelegate—withintheperiodofthefederalaward,includinganyextensions;and

• within30daysofdiscoveringoracquiringanewSignificantFinancialInterestwithintheperiodofthefederalaward,includinganyextensions.

WhatmustbedisclosedEachInvestigatorsubjecttothepolicymustdiscloseallSignificantFinancialInterests(SFIs)—theirown,aswellasthoseofanyspouseanddependentchildren—thatreasonablyappeartoberelatedtotheInvestigator’sinstitutionalresponsibilities.InvestigatorsshoulduseaFinancialDisclosureForm,tobeprovidedbytheCorporate,Foundation,andSponsoredResearchSupportoffice(CFSR),tomakeanydisclosuresrequiredunderthispolicy.Institutionalresponsibilitiesincludesteaching,research,committeeservice,andotherprofessionalworkundertakenonbehalfofLU.SignificantFinancialInterests(SFIs)includethingsofmonetaryvalue(whetherornotthevalueisreadilyascertainable)receivedorownedbytheInvestigatororbytheInvestigator’sspouseordependentchildren.ForallSFIsdescribedbelow,theaggregatedvalueofinterestsreceivedorownedbytheInvestigator,theInvestigator’sspouse,andtheInvestigator’sdependentchildrenshouldbeusedtodeterminewhetherdisclosureisnecessaryandwhatinformationtodisclose.TypesofSFIsinclude:equityinpubliclyorprivatelyheldcompanies,salaryorotherpaymentsforservices;reimbursedorsponsoredtravel;andintellectualpropertyrights.

1) Withregardtoanypubliclytradedentity,aSignificantFinancialInterestexistsifthecombinedvalueofanyequityinterestasofthedateofdisclosureandremunerationreceivedfromtheentityinthetwelvemonthsprecedingthedisclosure,whenaggregated,exceeds$5,000.

a) Equityinterestincludesanystock,stockoption,orotherownershipinterest

asdeterminedthroughreferencetopublicpricesorotherreasonablemeasuresoffairmarketvalue.

b) Remunerationincludessalaryandanypaymentforservicesnototherwiseidentifiedassalary(e.g.,consultingfees,honoraria,paidauthorship).

2) Withregardtoanynon-publiclytradedentity,aSignificantFinancialInterestexistsif

thevalueofanyremunerationreceivedfromtheentityinthetwelvemonthsprecedingthedisclosureiftheaggregateamountofremunerationexceeds$5000.Inaddition,anyequityinterest—regardlessofthedollarvalueorpercentownershipstake—constitutesanSFI.



3) Income(e.g.,royalties)fromintellectualpropertyrightsandinterests(e.g.,patents,copyrights),exceptthatcoveredunderException#1(below).

4) SponsoredorreimbursedtravelrelatedtotheInvestigator’sinstitutional

responsibilities,exceptfortravelcoveredunderException#4(below).ExceptionsThetermSignificantFinancialInterestdoesnotincludethefollowing:

1) Salary,stipends,royalties,orotherremunerationpaidbyLUtoInvestigatorsemployedorappointedbyLU.ThisincludesanyintellectualpropertyrightsassignedtoLUandagreementstoshareinroyaltiesrelatedtosuchrights.

2) Incomefrominvestmentvehicles,suchasmutualfundsandretirementaccounts,neednotbedisclosedsolongastheInvestigatordoesnotdirectlycontroltheinvestmentdecisionsmadeinthesevehicles.

3) Incomefromseminars,lectures,orteachingengagementssponsoredby—orservicesonadvisorycommitteesorreviewpanelsfor—afederal,state,orlocalgovernment,institutionofhighereducation,academicteachinghospital,medicalcenter,orresearchinstitutethatisaffiliatedwithaninstitutionofhighereducation.

4) TravelthatisreimbursedorsponsoredbyLU,orbyafederal,state,orlocal

government,institutionofhighereducation,academicteachinghospital,medicalcenter,orresearchinstitutethatisaffiliatedwithaninstitutionofhighereducation.

LawrenceUniversityrecognizesthatthispolicywillrequiresomeInvestigatorstodivulgepersonalfinancialinformation.Alldisclosuresmadeunderthispolicywillbehandledwithappropriatesensitivity.TheVPFAandCFSRstaffwillkeepdisclosedfinancialinformationasconfidentialaspossibleandwillshareitwithothersonlytotheextenttheVPFAdeemsnecessarytocarryouttherequiredreviewsanddeterminations.C. DeterminationandManagementofFCOISDisclosuresmadeunderthispolicywillbereviewedbytheVicePresidentforFinanceandAdministration(VPFA).TheVPFAisresponsibleforreviewingeachdisclosedSFIandreasonablydetermining:

1) WhethertheSFIisrelatedtothefederally-fundedresearch:i.e.,whetheritcouldbeaffectedbythefederally-fundedresearchorisanentitywhosefinancialinterestcouldbeaffectedbytheresearch.TheVPFAmayinvolvetheInvestigatorinthisreview.

2) IftheVPFAdeterminesanSFIisrelatedtothefederally-fundedresearch,theVPFAshallthenreasonablydeterminewhethertheSFIcoulddirectlyandsignificantlyaffectthedesign,conduct,orreportingofthefederally-fundedresearch(i.e.,whethertheSFIisaFinancialConflictofInterest).



Foraninitialdisclosure,thisreviewshouldtakeplacepriortoanyexpensebeingchargedtothegrantfundaccount.Forsubsequentdisclosures,thisreviewshouldtakeplacewithin60days.IftheVPFAdeterminesthataFinancialConflictofInterestexists,theVPFAshallworkwiththeInvestigator(andanyotherswhomaybeappropriate,suchastheProvost,facultyorstaffwithrelevantexpertise,and/oroutsideexperts)toeithereliminatetheconflictordevelopamanagementplan.IfanFCOIispromptlyeliminated(throughmeanssuchassellinganequityinterest,severanceofrelationshipsthatcreatefinancialconflicts,orchangeofgrantpersonnelorpersonnelresponsibilities),thentheFCOInolongerexistsanddoesnotneedtobereported.IfeliminatingtheFCOIisnotfeasibleordesirable,aplanshallbedevelopedtomanagetheconflict.Theplanshallinclude:

o Name,role,andprincipalresponsibilitiesoftheconflictedInvestigator.o Projecttitleandfederalawardnumber.o ExplanationofthenatureoftheFCOI,includingthenameoftheentitywith

whichtheconflictexistsandtheapproximatedollarvalueoftheSFI(orastatementthatthevalueisnotreadilyascertainable).

o Conditionsofthemanagementplanandhowcompliancewiththeseconditionswillbemonitored.

o Justificationofhowthemanagementplanisreasonablyexpectedtosafeguardobjectivityinthedesign,conduct,andreportingoftheresearchproject.

o ConfirmationthattheconflictedInvestigatorandtheVPFAagreetotheplan.Actionsthatmaybespecifiedinthemanagementplantosafeguardtheintegrityoftheresearchenterprisemayinclude,butarenotlimitedto:publicdisclosureoffinancialconflictsofinterest;divestitureofthefinancialinterest;monitoringoftheresearchbyanindependentreviewer;modificationoftheresearchplan;orchangeofpersonnelorpersonnelresponsibilities,ordisqualificationofpersonnelfromparticipationinalloraportionoftheresearch.LUwillreporteachFCOIandmanagementplanincompliancewiththesponsoringfederalagency’srequirements.If,forwhateverreason,anFCOIisnotdisclosedormanagedinatimelymannerandresearchworkhasbeenundertakenwhiletheconflictexists,theVPFAmayconveneataskforcetoconductaretrospectivereview;todeterminewhethertheFCOIresultedinanybiasinthedesign,conduct,orreportingoffederally-supportedresearch;andtorecommenda



mitigationplanifnecessary.Thisretrospectivereviewshallbeundertaken,anditsfindingsandrecommendationsreported,inamannerconsistentwiththerequirementsofthesponsoringfederalagency.SubrecipientsLawrenceUniversitymusttakereasonablestepstoensurethatallsubrecipientscomplywithapplicationfederalregulationsregardingFinancialConflictsofInterest.Tothatend,LUwillincludeinwrittenagreementswitheachsubrecipienttermsthatspecifywhetherthispolicy,ortheapplicablepolicyofthesubrecipient’sinstitution,willapplytosubrecipientInvestigators.Ifthesubrecipientinstitution’spolicywillbeused,theagreementwillfurtherincludeacertificationthatthesubrecipientinstitutionhasadoptedandenforcesFCOIpoliciesthatcomplywithapplicablefederalregulation,andwillspecifythetimingofsubrecipientreportstoLUofidentifiedFCOIssuchthatLUcantimelycompleteitsFCOIreport(ifany)tothesponsoringfederalagency.D. PolicyAdministrationandEnforcementAmemberoftheCorporate,Foundation,andSponsoredResearchSupportstaff(CFSR)willprovideFCOItrainingtoInvestigators.Thistrainingwillbeprovided:

• uponawardofanewfederalresearchgrant,toeachInvestigatorunderthegrant.Thismustbecompletedbeforethegrant-supportedresearchbegins.

• toanyInvestigatorwhohasnotparticipatedinFCOItraininginthepriorfouryears.

• toallInvestigators,anytimeLUrevisesthispolicyorrelatedproceduresinamannerthataffectstherequirementsofInvestigators.

• toanInvestigatorthatisnewtoLU.• anytimeLUfindsthatanInvestigatorisnotincompliancewiththisFCOIpolicyor

anFCOImanagementplan.CFSRwillsolicitfinancialdisclosuresduringtheproposaldevelopmentprocessandannuallyduringtheaward,andwillcollectfinancialdisclosurestatementsonbehalfoftheVPFA.Documentationrelatingtotheimplementationofthispolicy—includingfinancialdisclosures,thedeterminationsoftheVPFA,FCOImanagementplans,andevidenceofplanmonitoring—willbemaintainedaspartoftherecordforeachapplicablefederalresearchproposalorawardforatleastthreeyearsafterthefinalfinancialreportissubmitted.Thesedocumentswillbetreatedasconfidentialrecordssimilartoothergrantdocumentscontainingsalaryorotherpersonalfinancialinformation.InvestigatorsarerequiredtocomplywiththispolicyasaconditionofapplyingforandreceivingfederalresearchgrantsadministeredbyLawrenceUniversity.Investigatorsfailingtocomplywiththispolicymaybesubjecttodisciplinaryproceedingsandsanctionsasappropriateundertherelevantinstitutionalpoliciesforfaculty,staff,orstudents.



ThispolicyshallbemadepubliclyavailableontheLUwebsite.InformationonidentifiedFCOIsheldbysenior/keypersonnelshallbeprovidedbywrittenresponsetoanyrequestorwithinfivebusinessdaysofarequest.InstitutionalReviewBoard(IRB)

ThepurposeoftheInstitutionalReviewBoard(IRB)istosafeguardtherightsandwelfareofhumansubjectsinvolvedinresearchactivitiesconductedatorsponsoredbyLawrenceUniversity.

TheIRBassurescompliancewiththegoverningfederalregulationsforhumansubjectresearchsetforthbytheOfficeofHumanSubjectResearchProtection(OHRP).TheOHRPisthefederalagencyundertheDepartmentofHealthandHumanServices(DHHS)responsibleforimplementingregulations(45CFRpart46)governingBiomedical,BehavioralandSocialSciencesresearchinvolvinghumansubjects.TheseregulationsarealsoknownastheCommonRule.TheLawrenceIRBisformallyregisteredwiththeOHRPandtheUniversitycomplieswiththetermsoftheFederalwideAssurance(FWA).ThismeansthattheUniversityassuresthatallofitsactivitiesrelatedtohumansubjectsresearch,regardlessofthesourceofsupport,willbeguidedbythebasicprinciplessetforthinTheBelmontReport-respectforpersons,beneficence,andjustice–inthedischargeofitsresponsibilitiesforprotectingtherightsandwelfareofhumansubjectsofresearchconductedatorsponsoredbytheinstitution.

LawrenceUniversityfostersacultureofcomplianceandrequiresallresearchinvolvinghumans,regardlessofsponsorship,tocomplywiththeseregulationsandprinciplesgoverninghumansubjectresearch.

CommonexamplesofactivitiesrequiringIRBapproval

ThefollowingarecommonexamplesofhumansubjectresearchstudiesthatmustbereviewedandapprovedbytheIRB:

PilotStudies:PilotstudiesinvolvinghumansubjectsareconsideredhumansubjectresearchandrequireIRBreview.

BehavioralandSocialSciencesResearch:Behavioralandsocialsciencesresearchfocusesonindividualandgroupbehavior,mentalprocesses,orsocialconstructsandusuallygeneratesdatabymeansofsurveys,interviews,observations,studiesofexistingrecords,andexperimentaldesignsinvolvingexposuretosometypeofstimulusorenvironmentalintervention.

EpidemiologicalResearch:Epidemiologicalresearchfocusesonhealthoutcomes,interventions,diseasestatesandconclusionsaboutcost-effectiveness,efficacy,efficiency,



interventions,ordeliveryofservicestoaffectedpopulations.Thisresearchmaybeconductedthroughsurveillance,monitoring,andreportingprograms.

QualityAssurance/QualityImprovementActivities:ActivitiesthatattempttomeasuretheeffectivenessofprogramsorservicesmayconstitutehumansubjectsresearchandrequireIRBreviewiftheyaredesignedorintendedtocontributetogeneralizableknowledge.Individualsmustbecertainthattheiractivitiesarenothumanresearch.TheIRBhasthesoleauthoritytodeterminewhetheranactivityishumanresearch.IndividualswhoareuncertainwhetheranactivityishumanresearchmustcontacttheIRBforadetermination.TheinvestigatorisresponsibleforsubmittingthedescriptionoftheactivitytotheIRB.Ifsuchstudiesaredesignedforinternaluniversityqualityassuranceorprogramevaluation,withnoexternalapplicationorgeneralization,IRBreviewisnotrequired.

ClassProjects:Projectsorassignmentsinvolvingcollectionofdatafromhumansubjectsmayormaynotmeetthedefinitionofresearch.Courseinstructorsareresponsibleformakingthedecisionwhethertheactivitiesmeetthedefinitionof“research”(i.e.determiningiftheactivitiesaresystematicandwillcontributetogeneralizableknowledge).Forassistance,facultyareencouragedtocontacttheIRB.

PleasecontacttheIRBirb@lawrence.eduifyouareunsurewhetheryouractivitiesaresubjecttoIRBreview.

ProceduresforseekingIRBapproval

DetailedproceduresforIRBreviewaredescribedontheIRBwebsite(http://www.lawrence.edu/academics/research/irb).

Patents,CopyrightsandTradeSecretsTheUniversityhasacontractwiththeResearchCorporationthatenablesafacultymembertosubmitanideathathasthepotentialtobepatentedand/ormarketedtothestaffoftheResearchCorporationforconsideration.TheResearchCorporationwilldetermineiftheideaislikelytobepatentableandthenwillalsodetermineifthereisareasonablepossibilityofitbeingdevelopedcommercially.Ifthedeterminationisaffirmative,theResearchCorporationwillworkwiththefacultymembertoseekapatentandthentomarketthepatenteditem.ThecontractdescribesthetermsunderwhichthefacultymemberandtheUniversitywillsharetheproceedsfromthecommercialdevelopmentofanideapatentedandmarketedundertheauspicesoftheResearchCorporation.LiteraturedescribingthisserviceandformspertainingtotheResearchCorporation’sroleareavailableintheScienceHallandBusinessOffices.FacultymembersarenotobligatedtoworkthroughtheResearchCorporationandmay,withthepriorconsentoftheUniversity,seekalternatemeansforthecommercialdevelopmentofanidea.Insuchanevent,thefacultymemberandtheUniversitywillshare



intheproceedsofsuchadevelopmentonthesametermsasobtainintheResearchCorporationagreement.Someproductsoffacultyscholarlyorcreativeworkmaybemoreappropriatelyprotectedanddevelopedascopyrighteditemsorastradesecrets.Computersoftwareisanexampleofaproductthatisnotpatentablebutthatmayhavecommercialvalueandthusneedtheprotectionofapplicablelaw.Withthepatentpolicyasamodel,theUniversitywillnegotiateindividualagreementswithfacultymembersforthesharingofproceedsfromthecommercialdevelopmentofcopyrighteditemsortradesecrets.TheUniversitywillnotnormallyserveasguarantorofanycostsconnectedwiththedevelopmentofanypatent,copyright,ortradesecret.Shouldadisputeariseastowhetherornotapatent,copyright,ortradesecretwastheresultofactivitiesconnectedwiththeUniversity—thatis,byuseorinvolvementofitsresources,facilities,faculty,staff,orstudents—acommitteeoffacultytobemutuallyselectedbythefacultymemberandtheUniversitywillbeappointedtoresolveanydifferences.Facultywhohavequestionsaboutpatents,copyrights,ortradesecretsshouldcontacttheProvostandDeanoftheFacultyortheVicePresidentforBusinessandOperations.SoftwareUsePoliciesgoverningcomputerandsoftwareuseatLawrenceareonlineattheTechnologyServiceswebsite.Useofanyproprietarysoftwareonanycampusequipmentisstrictlygovernedbyitslicensingagreement.Ingeneral,facultymembersmayusethesoftwarepackagesavailableonanyuniversitycomputerforeducationalpurposes.Useforotherpurposes,suchasfor-profitenterprises,mustbearrangedinadvancewithInformationTechnologyServices.TheUniversityisrequiredtoabidebyfederalandstatelawsthatgoverntheownershipofintellectualproperty.Unauthorizedcopyingofsoftwareviolatesthefundamentalrespectforintellectualpropertythatiscentraltoauniversitycommunity,anditwillnotbeendorsedorcondonedbyInformationTechnologyServicesortheUniversity.Moreover,copyrightlawsprotectsoftwareauthorsandpublishers.UnauthorizedcopyingmayresultinlegalliabilityforindividualsandtheUniversity,andintheUniversity’sinabilitytonegotiateagreementsthatmakesoftwaremorewidelyandlessexpensivelyavailabletostudents,facultymembers,andstaff.Sinceunauthorizedcopyingofsoftwarecandeprivedevelopersofafairreturn,itmayleadtoincreasedpricesandreducedlevelsoffuturesupportandenhancement,anditmayinhibitthedevelopmentofnewsoftwareproducts.LawrencegenerallyendorsesthefollowingexcerptfromtheEDUCOMbrochure“UsingSoftware,AGuidetoEthicalandLegalUseofSoftwareforMembersoftheAcademic



Community”(reprintedherewithpermission):SoftwareandIntellectualRightsRespectforintellectuallaborandcreativityisvitaltoacademicdiscourseandenterprise.Thisprincipleappliestoworksofallauthorsandpublishersinallmedia.Itencompassesrespectfortherighttoacknowledgment,righttoprivacy,andrighttodeterminetheform,manner,andtermsofpublicationanddistribution.Becauseelectronicinformationisvolatileandeasilyreproduced,respectfortheworkandpersonalexpressionofothersisespeciallycriticalincomputerenvironments.Violationofauthorialintegrity,includingplagiarism,invasionofprivacy,unauthorizedaccess,andtradesecretandcopyrightviolations,maybegroundsforsanctionsagainstmembersoftheacademiccommunity.InstitutionalLiabilityFaculty,staff,andstudentsshouldbeawarethatmisuseormisappropriationofcomputerfacilitieswillresultinadministrativeactionorlegalproceedingsunderWisconsinstatutes(section943.70),asappropriatetothecircumstances.LawrenceUniversity,itsemployees,oritsofficersarenotresponsibleforanyfinesorlegalfeesthatmaybeincurredbyemployeesfromtheuseormisuseofUniversitycomputingfacilities.Drug-FreeCampusThefollowingpolicyanditsannualcirculationtoallmembersoftheUniversitycommunityarerequiredbyfederallaw.IntroductionLawrenceUniversityisopposedtotheuseofpotentiallydangerousdrugs(i.e.,controlledsubstanceswhichincludehallucinogenicdrugs,amphetamines,barbiturates,cocaineanditsderivatives,narcotics,andanyotherscontrolledbylegalauthorities).TheUniversityexpectsitsstudentsandemployeestoobeythelawsestablishedandenforcedbylocal,state,andfederalagenciesconcerningthepossession,use,ordistributionofillegaldrugs.TheUniversityrecognizesthattheuseofcontrolledsubstancesandalcoholimpairsperformance,whetheritbeacademicorwork-related,andmaintainsthatthemosteffectivemeanstodetertheabuseofdrugsandalcoholisthrough:(a)acontinuingprogramofeducationemphasizingthefactsaboutdrugsandalcohol;(b)theavailabilityonanon-punitivebasisofsupportservices(medicalandpersonalcounseling);and(c)acampusclimatewherepersonalinfluencedetersdrugabuse.



StudentswhoneedhelpindealingwithsuchproblemsareencouragedtoseekhelpthroughtheCounselingCenterortheVicePresidentforStudentLifeandDeanofStudentsoffice.EmployeeswhoneedhelpindealingwithsuchproblemsareencouragedtoseekoutsideprofessionalassistanceeitherdirectlyorthroughasupervisorortheHumanResourcesoffice.Intheabsenceofperformanceproblems,anemployee’sconscientiouseffortstodiscontinuetheuseorabuseofcontrolledsubstancesoralcoholwillbeencouragedandwillnotjeopardizetheemployee’sjobsecurityorbenotedinanypersonnelrecord.Whenperformanceproblemsresultindisciplinaryaction,anemployee’srehabilitationeffortswillbeencouragedbutwillnotdeterfurtherdisciplinaryactionifsuchproblemscontinue.PoliciesThemanufacture,sale,distribution,possession,oruseofcontrolledsubstancesbystudentsoremployeesisprohibitedatanytime:

• in,on,orabouttheUniversitycampusandproperty;• atorasapartofanyon-campusoroff-campus,University-orstudent-oremployee-

sponsoredactivity;and• duringtheperformanceofone’sdutiesasanemployee.

TheUniversityalsoisopposedtotheillegalorirresponsibleuseofalcohol,andexpectsitsstudentsandemployeestoobeytheUniversityregulationsandthelocal,state,andfederallawsconcerningthepossession,use,ordistributionofalcoholicsubstances.Withregardtostudents,possession,use,anddistributionofalcoholicbeveragestopersonsoflegalagearepermittedonthecampusonlybypersonsoflegalage.AnyonedistributingalcoholicbeveragestoapersonnotoflegalageoranypersonnotoflegalagepossessingorusingalcoholicbeveragesissubjecttodisciplinaryactionbytheUniversity.Moredetailedregulationsforstudentsondistribution,possession,anduseofalcoholmaybefoundintheStudentHandbook.Withregardtoemployees,theUniversityexpectsallfaculty,staff,andstudentemployeestoreporttoworkfreeoftheinfluenceofalcoholandatalltimesduringtheperformanceoftheirdutiestorefrainfromtheuseofalcohol,exceptduringthoseeventswheretheservingofalcoholhasbeenapprovedbytheUniversity.Appropriatedisciplinaryactionwillbetakeninresponsetoviolationsofthesepolicies,incompliancewithlocal,state,andfederallaws.Furthermore,theUniversityisnotasanctuaryprotectingthosewhoviolatelawsregulatingtheuseofdrugsoralcohol,andUniversityofficialswillcooperatewithlegalauthoritieswhenevernecessary.



SanctionsWithregardtostudents,theUniversityreservestherighttotakeactionwheneverithasreasontobelievethattheuse,possession,sale,manufacture,ordistributionofillegaldrugsoralcoholadverselyaffectsthelifeand/oracademicperformanceofstudentsoradverselyaffectsorlegallyimplicatesothersintheacademiccommunity.Universityactionmaytakesuchformsaseducation,counseling,referraltooutsideagencies,suspension,orexpulsion.AnyviolationsoftheaboveregulationsconcerningalcoholmaybebroughttotheattentionoftheVicePresidentforStudentLifeandDeanofStudentsandmaybesubjecttoactionbytheUniversityJudicialBoard.Withregardtoemployees,violationswillresultindisciplinaryactionuptoandincludingsuspensionandterminationofemployment.Violationsinvolvingmanufacture,sale,ordistributionofcontrolledsubstanceswillresultinterminationofemployment.TheresponsibleuseofalcoholateventsapprovedbytheUniversitywillnotbeconsideredaviolationofthepolicy.Asummaryofrelevantlocal,state,andfederallaws,asummaryofthehealthrisksofcontrolledsubstancesandalcohol,andalistingofsomelocalsourcesofinformation,counseling,andtreatment,areavailablefromtheDirectorofHumanResources.Life-ThreateningIllnessesTheUniversityrecognizesthatfacultymemberswithcontagiousorlife-threateningillnesses,includingbutnotlimitedtocancer,heartdisease,tuberculosis,hepatitisB,andAIDS,maywishtocontinuetoengageinasmanyoftheirnormalpursuitsastheirconditionsallow,includingtheirprofessionalactivities.Aslongasthesefacultymembersareabletofulfilltheirresponsibilitiesandmedicalevidenceindicatesthattheircontinuingtheirprofessionalactivityconstitutesnothreattothemselvesorothers,theUniversitywillmakereasonableeffortstoaccommodatetheirspecialneeds,alwaysbalancingthoseneedswiththegeneralinterestofallmembersoftheUniversitycommunity.ThefollowingresourcesareavailablefromtheOfficeofHumanResources:

• Educationandinformation,includinginformationaboutpublichealthprograms,aboutAIDSandrelateddiseases.

• Referraltoagenciesandorganizationswhichoffersupportiveservices.• Benefitconsultationtoassistfacultymembersinmanaginghealthproblems,leaves

ofabsence,andotherbenefits.



SexualMisconductPolicy(TitleIX)TheLawrenceUniversitySexualMisconductPolicyprohibitssexualharassment,sexualviolence,sexualassault,andintimatepartnerviolenceagainstLawrenceUniversitycommunitymembersofanygender,genderidentity,genderexpression,orsexualorientation.Thispolicyalsoprohibitsgender-basedharassmentthatdoesnotinvolveconductofasexualnature.DiscriminationandsexualharassmentonanyofthebasescoveredbyfederalantidiscriminationstatutesisunlawfulandaviolationofLawrenceUniversitypolicy.LawrenceUniversitytakesallviolationsofTitleIXseriously,andtherefore,encouragesanymemberofthecommunitywhohasexperiencedsexualmisconducttoreporttheincidenttotheTitleIXCoordinator.TheUniversity,throughtheTitleIXCoordinator,willrespondtoallreportsandcomplaintsofSexualMisconduct.BehaviorandDiscriminationCoveredbyTitleIXTitleIXcoverssexualdiscriminationinavarietyofforms.Thisincludes,sexualharassment,ineveryareaofcollegelife,includingbutnotlimitedtosports,aswellasdiscriminationanddifferenttreatmentbasedonsex.ReportinganIncidenceofSexualMisconductAnyonemayreportSexualMisconducttotheUniversityby:

• ContactingtheTitleIXCoordinator:KimberlyJones,J.D.(phone:920-832-7496;office:MemorialHall109),[email protected].

• CompletingaReportorComplaintForm:https://www.lawrence.edu/students/share/get-help-now/processes-for-filing-a-complaint.

• ContactingCampusSafety:920-832-6999(x6999).• Makingareporttoothercollegeemployees(e.g.,ResponsibleEmployeesorCampus

SecuritiesAuthoritydesignees:staff,faculty,ResidenceLife,campussecurity,orastudent).

ResponsibleEmployeesAllUniversityemployees(withtheexceptionofConfidentialResources)whobecomeawareofincidentsorallegationsofsexualmisconductareResponsibleEmployees.UniversityemployeesincludeResidentLifeAdvisors(RLAs).ResponsibleEmployeeshavearesponsibilitytoreportthemattertotheTitleIXCoordinator.AllLawrenceUniversityemployeesareencouragedtocompletedyearlyTitleIXtraining,aswellasBystanderIntervention.Ifthecomplainantwouldprefertoremainconfidential,areportcanbemadetooneofthe



University’sConfidentialResources,CounselorsintheWellnessCenterortheCampusAdvocate:https://www.lawrence.edu/students/share/about-share.TheTitleIXCoordinatorisNOTaConfidentialResource.ComplaintProcessProceduresAnyLawrenceUniversitycommunitymemberwhobelievesthatshe/he/theyhavebeensubjectedtodiscriminationprohibitedbyTitleIX,ortowhomtheUniversityhasfailedtomeetitsTitleIXobligations,maybringtheconcerntotheattentionoftheUniversityTitleIXCoordinator.TheLawrenceUniversityTitleIXCoordinatorhastheauthoritytoinitiateaninvestigationbasedonallegationsofdiscriminationprohibitedbyTitleIX,evenabsentthefilingofaformalgrievance,orafteritssubsequentwithdrawal.Insuchacircumstance,theUniversityTitleIXCoordinatorwilltakeallreasonablestepstoinvestigateandrespondtothematterinamannerthatisinformedbythecomplainant’sarticulatedconcerns.Inaddition,onsomeoccasions,theUniversitymayneedtomoveforwardwitharesponseregardlessofthecomplainant’spreference.Arequestforconfidentialityornoactionwillbeconsideredinthedualcontextsof:

1) TheUniversity’scommitmenttoprovidingasafelivingandlearningenvironmentfreefromSexualMisconduct;and

2) Therightofarespondenttobeinformedoftheallegationsagainstthem.Somelevelofdisclosuremaybenecessarytoensureacompleteandfairinvestigation,althoughtheUniversitywillcomplywithrequestsforconfidentiality,totheextentpossible.TheTitleIXCoordinatorwillconsidervariousfactors,includingthefollowing,indecidingtheextenttowhichdisclosureofinformationmaybenecessary:

• Theseriousnessoftheallegedsexualmisconduct;• Thecomplainant’sage;• Therespondent’sage;• Whethertherehavebeenothercomplaintsofsexualmisconductagainstthesame

respondent;• Theabilitytoconductaninvestigationwithoutrevealingidentifiableinformation;and• TheextentofanythreattotheUniversitycommunity.

Inmostsituations,theTitleIXCoordinatorwillcoordinatehis/heractivitieswithotherUniversityofficeschargedwithresponsibilitiesforstudent,faculty,andstaffconductanddiscipline,andforenforcingtheUniversity’spoliciesandprocedures,generally.



“PreponderanceoftheEvidence”StandardTheLawrenceUniversityTitleIXCoordinatorandthoseauthorizedtoaddressissuesandviolationsunderTitleIX(e.g.,theTitleIXFormalSanctionCounselandAppealsBoard),shallreviewallegationsofdiscriminationandmisconduct,prohibitedbyTitleIX,byapplyinga“byapreponderanceoftheevidence”standard.InformalResolutionInmanyinstances,counseling,advice,orinformaldiscussionmaybeusefulinresolvingconcernsaboutallegationsofdiscriminationprohibitedbyTitleIX.AcomplainantwishingtoinformallyresolveanissueshallbringtheconcernstotheTitleIXCoordinator,forinformaland/ormediatedresolution.Ifaninformalresolutionispursued,theTitleIXCoordinatorwillattempttofacilitatearesolutionthatisagreeabletothecomplainantandtherespondent.Anyinformalresolutionmustadequatelyaddresstheconcernsofthecomplainant,aswellastherightsoftherespondent,andtheoverallintentoftheUniversitytostop,remedy,andpreventpolicyviolations.Participationininformalresolutionisvoluntary,andthecomplainantandrespondenthavetheoptiontodiscontinuetheinformalprocessatanytime,andrequestaformalinvestigation.TheTitleIXCoordinatoralsoalwayshasthediscretiontoinitiateaformalinvestigation.Ifatanypointduringtheinformalresolutionprocess,thecomplainantorrespondent,ortheUniversity,wishestoceasetheinformalresolutionprocessandtoproceedtotheformalresolutionprocess,theinformalresolutionprocesswillstopandtheformalresolutionprocessoutlinedbelowwillbeinvoked.Incasesinvolvingsexualassault,informalresolutionsarenotappropriateandareneverpermissible.FilingaReportORFormalComplaintAnymemberoftheLawrenceUniversitycommunityconsideringsubmittingareportoraformalcomplaintmay:

• Atanytime,contactand/ormeetwiththeTitleIXCoordinator,whowilllistenanddiscussthematterwiththeComplainant,andprovidethedetailsofthereportingandformalcomplaintprocess.

• Alternativelyprovideawrittenaccountoftheincident,eitherviatheonlineformalcomplaintprocess,viaemail,orsomeotherwrittenformat,providedtotheTitleIXCoordinator.

• SpeaktoaConfidentialResource:https://www.lawrence.edu/students/share/about-



share.ResponsetoaFormalComplaintLawrenceisobligatedtofollowupon,andresolveallreportsofsexualmisconductinatimely,fair,andimpartialmanner.TheresolutionprocesswillproceedregardlessofwhethereitherpartychoosestowithdrawfromtheUniversity,orgoesonleaveafterareporthasbeenmadetotheUniversity.Furthermore,silence,inresponsetoanallegation,willnotbeviewedasanadmissionoftheallegationsindispute.Atanytime,apartymaydeclinetoprovideinformationorparticipatefurtherintheProcess.Whenthisoccurs,theUniversitywillreviewthematterbasedonalloftheotherinformationgathered.NoticeofAllegationsWhentheTitleIXCoordinatorreceivesaformalcomplaintofsexualmisconduct,TheCoordinatorwillmeetwiththerespondenttoprovidenoticeofthecomplaintandtheallegedpolicyviolationbeinginvestigated.AccommodationsAccommodationsareactionstakenbytheUniversitytoensureequalaccesstoitseducationprogramsandactivitiesandtofosteramorestableandsafeenvironmentduringtheprocessofreporting,investigation,(“interimaccommodations”)and/orafteradjudication.Thesemeasuresmaybeextendedormadepermanentasremedies,attheconclusionoftheinvestigation.Sampleaccommodationsinclude,butarenotlimitedto:

• Accesstocounselingservicesandassistanceinsettingupinitialappointments,bothonandoffcampus.

• Impositionofacampus“No-ContactOrder.”• Reschedulingofexamsandassignments.• Providingalternativecoursecompletionoptions.• Changeinclassschedule,includingtheabilitytodropacoursewithoutpenaltyorto

transfersections.• Changeinworkscheduleorjobassignment.• Changeinstudent’scampushousing.• AssistancefromUniversitysupportstaffincompletinghousingrelocation.• LimitingaccesstocertainUniversityfacilitiesoractivitiespendingresolutionofthe

matter.• Voluntaryleaveofabsence.• Optionsforchangingcampustransportationarrangements.



TheLawrenceUniversityTitleIXCouncil:Roles,Procedure,andResponsibilitiesTheroleoftheUniversityTitleIXCouncilistoreviewtheinformationpresentedintheinvestigationreportandtodetermineifanindividualorindividualsviolatedtheUniversitypolicy.Iftheanswerisyes,theCouncilisalsoresponsiblefordetermininganappropriatesanctionorsanctions.Ahearingpanelof4(four)membersfromtheCouncilwillbeformedforeachcase,includingtheChairoftheCouncil.MembersoftheTitleIXCouncilmaybehumanresourcesprofessionals,designatedfaculty,residencelifepersonnel,and/orotherresponsibleemployees.TheRoleoftheChairTheChairoftheCouncilwillpresideovertheHearingPanelasanon-votingmember.TheChairisresponsiblefortheadministrationofthehearingprocess,includingensuringtheintegrityoftheprocedureandprocess.TheVicePresidentofStudentLife,orhis/herdesigneeshallserveastheChairoftheCouncil.HearingProcessPriortoconveningtheHearingPanel,theVicePresidentofStudentLifewillprovidealistofpotentialTitleIXCouncilmemberstoserveontheHearingPanel.TheHearingPanelshallconsistoffacultyandstaffmembersoftheLawrenceUniversityCommunity,toincludetheDeanofStudentsordesignee,theDirectorofHumanResourcesordesignee,theDeanoftheConservatoryordesignee,theDirectorofAthleticsordesignee,andFacultymembersnominatedbytheFacultyGovernanceCommittee.Thecomplainantandrespondentwillthenhave48hourstosubmitawrittenobjectiontoanyoftheprospectivepanelists,duetopotentialconflictofinterestorconcernsrelatedtoalackofobjectivity.Afterthepanelisselected,theTitleIXCoordinatorwillthenprovidethenamesofthepartiestotheChair,toensurethatsimilarconflictsorconcernsdonotexist.TheTitleIXCoordinatorwillevaluateanywrittenobjectionsbyallpartiesandpanelmembers,andthen,determinewhichmembersoftheCouncilwillserveonthepanel.TheTitleIXCoordinatorwillthensubmitthefinalizedpanellisttotheHearingPanelChair.TheHearingPanelwillconvenewiththeinvestigator(althoughtheChairhasdiscretiontodetermineiftheInvestigator’spresenceisnecessary).Thecomplainantandrespondentwillnotbepresentinthehearingroom.TheHearingPanelmayasktheinvestigatorquestionsrelatedtotheinvestigativereport.Thepanelmayalsorequesttohearfromoneormoreofthewitnesses.TheChairhasdiscretiontoapproveordenytherequesttosummonwitnesses.ThepresumptionisthattheInvestigatorhasprovidedallnecessaryinformationfortheHearingPanel,torenderitsdecision,anddeterminesanctions.However,ifanyadditionalrelevantinformationisgatheredaftertheinvestigativereportisfinalized,theinformationwillbesharedwithbothparties,andeachwillhaveanopportunitytorespondwithinthree(3)businessdaysofthedatetheinformationisreceived.



Again,thepresumptionisthattheInvestigatorhasprovidedallnecessaryinformationfortheHearingPanel,torenderitsdecision,anddeterminesanctions.However,thecomplainantandrespondentshallbegrantedtheopportunity,atthediscretionoftheTitleIXCoordinatorandthePanelChair,toappearbeforetheHearingPanel,ifeitherthecomplainantorrespondentwishestomakeanoralstatementrelatedtothefacts.Thisisnotanopportunitytorestateinformationalreadyprovidedtotheinvestigator.Further,thecomplainantandrespondentwillnotbeinthehearingroomtogether,unlessbothagreetodosoinwriting.Ifnecessary,theHearingPanelmayaskdirectandfollowupquestions.SanctionandDecisionTheHearingPanelwillconvenetodeliberateandrenderadecision,byamajorityvote,regardingwhetherornottherespondenthadviolatedtheLawrenceUniversitySexualMisconductPolicy,bythepreponderanceoftheevidence.Nomembermayabstain.IftheHearingPaneldeterminesthataviolationhasoccurred,thepanelshallconsideroneormoresanctions.Samplesanctionsinclude,butarenotlimitedto:

• DismissalfromtheUniversity• Suspensionforoneormoreterms,withorwithoutconditionsforreturn• DisciplinaryProbation• NoContactorLimitedContactAgreement• NoContactorOrder• ChemicalHealthAssessment• RestrictedCampusAccess• RestrictedCourseEnrollment• ChangeofHousing• Warning• Requirededucationortraining

Sanctionsmaybecombined.AmajorityvoteoftheHearingPanelisrequiredforallsanctions.AppealsBoththerespondentandcomplainantmayappealthedecisionoftheHearingPanel.However,thefollowingthresholdmustbemettoqualifyforappeal:

a. Therequestmustbetimely;andb. Theappealisonthebasisofanyofthefollowingthreearticulatedgrounds:

i. Aproceduralerroroccurredthatsignificantlyimpactedtheoutcomeoftheinformalorformalresolution(e.g.,substantialbias,materialdeviationfromestablishedprocedure,etc.);and/or

ii. Toconsidernewevidence,unavailableduringtheoriginalhearing,informalor



formalresolution,orinvestigation,thatcouldsubstantiallyimpactthefindingorsanction;and/or

iii. Thesanctionsfalloutsidetherangetypicallyimposedforthisoffense,orforthecumulativeconductrecordoftherespondent;

c. Whenviewedinthelightmostfavorabletotheappealingparty,theappealstatesgroundsthatcouldresultinanadjustedfindingorsanction.

TheAppealsBoardTheTitleIXCoordinatorshallissueawrittenacknowledgementoftheAppealtothecomplainantandrespondent,within48hoursoftheappeal.TheTitleIXCoordinatorwillthenconvenetheAppealsBoard,anditshallreviewanylegitimateappealwithinfive(5)businessdaysofthesubmittedappeal.TheAppealsBoardwillconsistofthree(3)membersoftheTitleIXCouncil,includingtheVicePresidentofDiversityandInclusion.TheVicePresidentofDiversityandInclusionshallactastheChairoftheAppealsBoard.NomemberoftheAppealsBoardmaybethesameasthemembersoftheHearingPanelwhoheardtheoriginalcomplaint.Thedecisiononappealmustbeunanimousamongallmembers.NomemberoftheAppealsBoardmayabstain.TheAppealsBoardwillrenderadecisionapplyingthefollowingprinciples:

a. DecisionsbytheAppealsBoardaretobedeferentialtotheoriginaldecision,makingchangestothefindingonlywherethereisclearerror,andtothesanction/remedialactiononlyifthereisacompellingjustificationforreview.

b. Appealsarenotintendedtobefullre-hearingofthecomplaint.Inmostcases,appealsareconfinedtoareviewofthewrittendocumentationorrecordoftheformalorinformalresolution,andpertinentdocumentationregardingthegroundsforappeal.AppealsgrantedbasedonnewevidenceshallberemandedtotheoriginalHearingPanelortotheTitleIXCoordinatorforreconsideration.

c. SanctionsimposedareimplementedimmediatelyunlesstheHearingPanelorTitleIXCoordinator(ordesignee)staystheimplementation,pendingoutcomeoftheappeal.

d. TheTitleIXCoordinatorshallrenderawrittendecisionontheappealtoallpartieswithinfive(5)businessdaysfromacceptingtherequestforappeal.

e. Allpartiesshallbeinformedofwhetherthegroundsforappealareacceptedandtheresultsoftheappealdecision.

f. Afteranappealisdecided,theoutcomeisfinal;furtherappealisimpermissible.ConsensualRelationshipsPolicyThereareprofessionalandethicalrisksassociatedwithconsensualamorousand/orsexualrelationshipsbetweenmembersoftheUniversitycommunity.Relationshipsinvolvingapowerdifferentialinviteaccusationsofpreferentialtreatmentorexploitation,andethical



principlesprecludeindividualsfromevaluatingtheworkoracademicperformanceofthosewithwhomtheyhaveanintimaterelationship.RelationshipsbetweenFacultyand/orStaffTheuniversitystronglydiscouragesromanticorsexualrelationshipsbetweenasupervisorandanyemployeewhoreportstothatpersonbecausesuchrelationshipscreateapparentconflictsofinterest.Ifthereissucharelationship,thepartiesneedtobeawarethatoneorbothmaybemovedtoadifferentdepartmentorotheractionsmaybetaken.Ifasupervisorrespondstochargesofsexualharassmentbyclaimingthattherelationshipwasconsensual,theburdenwillbeonthesupervisortoprovideevidencethattherelationshipwasbothconsensualandvoluntary.Whetherinasupervisoryorcollegialrole,facultyorstaffmembersshouldrecusethemselvesfromanyprofessionalassessmentofindividualswithwhomtheyhaveapastorcontinuingconsensualamorousand/orsexualrelationship.RelationshipsbetweenFacultyorStaffandStudentsConsensualamorousand/orsexualrelationshipsbetweenstudentsandfaculty,advisors,coaches,orothersholdingpositionsofauthorityoverthemareferventlydiscouragedandincaseswhereadirectsupervisoryroleexists,expresslyprohibited.Theterm“directsupervisoryrole”referstofacultyresponsibilitiesbothinandoutoftheclassroom,including,butnotlimitedto,teaching,academicadvising,coaching(athletics,drama,etc.),andserviceonevaluationcommittees(honors,awards,prizes,etc.).ProceduresIfanyuniversityemployeeentersintoaconsensualamorousorsexualrelationshipwithasupervisorordirect-reportemployee,orifeitherpartyisinasupervisorycapacityinthesamedepartmentinwhichtheotherpartyworks,thenthepartiesmustnotifythesupervisor’smanager.Thisrequirementdoesnotapplytoemployeeswhodonotworkinthesamedepartmentortopartieswhodonotsuperviseorotherwisemanageresponsibilitiesovertheother.Oncetherelationshipismadeknown,themanagerwillreviewthesituationwiththehumanresourcesdirectorinlightofallthefacts(jobtitles,reportingrelationship,effectonco-workers,etc.)andwilldeterminewhetheroneorbothpartiesneedtobemovedtoanotherjobordepartment.Ifthemanagerdeterminesthatapartymustbemovedandtherearenosuitablejobsavailable,thenthepartieswillbegiventheoptionofterminatingtheirrelationshiporresigning.Facultymemberswhoareaskedtoparticipateintheprofessionalassessmentofindividualswithwhomtheyhaveapastorcontinuingconsensualamorousand/orsexualrelationshipmustreporttherelationshiptotheProvostandDeanoftheFacultytoensurethatallsuchconflictsofinteresthavebeenadequatelyaddressed.Arecordofsuchreports



shouldbemaintainedbytheOfficeoftheProvostandDeanoftheFacultyandacopyprovidedtotheOfficeofHumanResources.Recordswillbekeptconfidentialbutmadeavailableasevidenceintheprocessingofanyrelatedsexualharassmentcomplaints.Ifastudentinapriororcontinuingamorousand/orsexualrelationshipwithafacultyorstaffmembercomesunderthesupervisionofthatfacultyorstaffmember,theindividualinthesupervisoryrolemustreporttherelationshiptotheProvostandDeanoftheFacultysothattheconflictofinterestmayberemovedormitigated.FailuretofollowanyoftheseguidelinesconstitutesaviolationofUniversitypolicyandmayresultindisciplinaryaction.GrievanceProcedureThegrievanceprocedureisawaytoaddressconcernsthatarenotcoveredbyotheruniversityprocesses(academicpetitions,honorcouncilorjudicialboardhearings,orcomplaintsofsexualmisconductoremployeediscrimination).IfyouhaveaconcernabouttheactionsorlackofactionofanothermemberoftheLawrencecommunity,youshouldfollowtheprocedurebelow.

1. Discussion:Wherepossible,discusstheconcernwiththeotherpersontoseekamutuallyacceptableresolution.Ifyoufeeluncomfortableorunsafedoingso,proceedto#2or3.

2. Consultation/Mediation:Seekcounselfromasupervisor,advisor,residencehall

directororresidencelifeadvisor,counselor,dean,colleague,etc.,whomaysuggestpossiblesolutions,referyoutoauniversityprocedureforaddressingthistypeofconcern,oractasaninformalmediatortohelpresolvethedispute.

3. FormalReview:Ifthematterremainsunresolved,requestaformalreviewbythe

appropriateuniversityauthority:• VicePresidentforStudentLifeforaconcernaboutastudent’sactions;

• ProvostandDeanoftheFacultyforaconcernaboutafacultymember’sactions;or

• VicePresidentforFinanceandAdministrationforaconcernaboutastaffmember’s

actions.Tocallforaformalreview,sendtheuniversityauthorityawrittenstatementoftheconcernandanyactiontakentoresolveit.Thepreferredwaytoreceiveagrievanceisbyemailwith“grievance”inthesubjectline.Theauthoritywillacknowledgereceiptofthegrievancewithintwoweeksandwillworktoresolvethematterasquicklyaspossible.Theauthoritymayguidethepartyto



anapplicableuniversityprocedureorinvestigatethematterby:a. sharingthestatementwiththeotherpartyandaskingforawrittenresponse;b. seekingadditionalinformationfromoneorbothpartiesorfromotherswhohave

knowledgeofthedispute;andc. consultingsourcesonuniversityproceduresandregulationsorseekingadvice

fromappropriatecounsel.Onthebasisofthisinformation,theauthoritywilldeterminewhethereitherpartyactedinappropriatelyandwhatcorrectiveactionneedstobetaken.Iftheauthoritydeterminesthatthesituationisnotamatterforuniversitygovernance,theauthoritymayrecommendactions,butneitherpartyisboundtoactonthoserecommendations.Theauthority’swrittendecisionanddirectivesorrecommendationswillbesenttobothparties,preferablybyemail.

4. Appeal:Iftheauthority’sdecisiondoesnotresolvethematter,youortheotherpartymayrequestthatapanelhearthegrievance.Tocallforapanel,sendtheauthorityawrittenstatementofyourreasonfortheappealandyourwillingnesstoabidebythepanel’sdecision.Thepreferredwaytoreceiveanappealisbyemailwith“appeal”inthesubjectline.Theauthoritywillacknowledgereceiptoftheappealwithintwoweeksandwillcomposeapaneltohearthegrievance.Theuniversityauthoritywillaskyouandtheotherpartyeachtosubmitthenamesofthreefacultyorstaffmembers.Theauthoritywillselectonepersonfromeachlistandnameathirdpersontothepanel.Ifeitherpartytothegrievanceisastudent,thethirdpersonwillbeastudentmemberofthejudicialboardwhohasnoinvolvementwiththedispute;otherwise,thethirdpersonwillbeamemberofthefacultyorstaff.Theauthoritywilldesignateonepanelmemberaschair.Thepanelwillbegivenallwrittenstatementsrelatedtothegrievance,includingtheuniversityauthority’sdecisionanddirectivesorrecommendations.Thepanelmayinterviewanyorallpartiesandotherswithknowledgerelatedtothedispute.Onthebasisofthisinformation,thepanelwillrenderitsdecision,preferablybyconsensusbutotherwisebymajorityvote.Thepanel’swrittendecisionwillbesenttobothpartiesandtheuniversityauthority,preferablybyemail.Allpartiesareexpectedtoabidebythatdecision.

WhilethegrievanceprocedureismeanttoresolvedisagreementsthataffectmembersoftheLawrencecommunity,itmaynotbepossibletosolveaproblemtoeveryone’ssatisfaction.Theuniversityexpresslyforbidsanyretaliationorthreatofretaliationforfilingagrievance,andanypartythatfailstofollowthedirectivesoftheuniversityauthorityorgrievancepanel



willbesubjecttodisciplinaryaction.Thisensuresthattheprocesscanleadtoagenuineresolution.BackgroundCheckPolicyPurposeHiringqualifiedindividualstofillpositionscontributestotheoverallstrategicsuccessoftheUniversity.Backgroundchecksserveasanimportantpartoftheselectionprocess.ItisimportantthatLawrenceUniversitytakemeaningfulactionstopromoteasafeenvironmentforstudentsandemployeesandtoprotectitsfunds,propertyandotherassets,whileatthesametimereaffirmingitsresponsibilitytoprotecttheprivacyofallLawrencecommunitymembers.Thispolicyisintendedtosupporttheverificationofcredentials,criminalhistoryandotherinformationrelatedtoemploymentdecisions(e.g.referencesandoccupationalandprofessionallicenses)thatassisttheUniversityinmeetingitscommitments.Theuniversity’ssenioradministrationrecognizestheneedforthoughtfuljudgmentwhendetermininghowbackgroundcheckresultsimpactanindividual’semployment.PolicyandProcedureAbsenttheapplicationoflimitedexceptionsormodificationsdescribedbelow,backgroundcheckswillbeconductedonalljobfinalists,includinginternaltransfersandstaffpromotions.Inaddition,anemployeewhoisrequiredtodriveaUniversity-owned/rentedorpersonalvehicleasapartoftheirpositionwillbesubjecttoadrivingrecordcheck.Exceptionsormodificationstoaformalbackgroundcheckincludethefollowing:

• Positionreclassificationsthatresultinatitlechangewithnochangeinresponsibilities.

• Facultycareerprogression,suchaspromotiontoassociateorfullprofessorthatoccurswithinanindividual’scurrentdepartment.

• Involuntarytransfersorreclassifications.• Currentstaff,unlesspromotedortransferredtoasecurity-sensitiveposition.• Studentemployeeswhodonotworkinsecurity-sensitivedepartmentsorpositions

(e.g.,Registrar’sOffice,FinancialAid,FinancialServices,BoxOffice,Development,HumanResourcesandResearchAdministration).

Backgroundchecksmayincludethefollowing,ifapplicable:socialsecuritynumbersearch;previousemployers;references;sexoffenderregistryreview;criminalrecordssearch;verificationofacademiccredentials;driver’slicenseanddrivingrecordcheck;andverificationofoccupationalandprofessionallicenses.Acreditcheckalsomaybecompletedwhenitisdeemedrelevanttothejobresponsibilities(e.g.financialfiduciaryresponsibility)forwhichthecandidateisapplying.HumanResourceswillcoordinatethe



collectionofallbackgroundcheckinformation.Priortodenyingemploymentortakingadverseemploymentactionbasedonanindividual’sbackgroundverificationreport,anemployeeorapplicantwillbenotifiedinwriting,assoonaspracticableuponreceiptandreviewofthereport.Theindividualwillbeprovidedacopyofthereportand,ifapplicable,asummaryofrightsundertheFairCreditReportingAct.Duringthereviewperiodtheapplicant/employeewillbeprovidedtheopportunitytodisputetheresultsandmayberequestedtoprovideadditionalinformation.Backgroundchecksarebasedoninformationthecandidatehasprovided(e.g.resume/vita,referencecheckinformation,pastemploymentinformationandconsentform)andbyaccessingavailablecriminalrecordsinotherstates.LawrenceUniversitymayuseaprivate,commercialthird-partybackgroundcheckvendortoconductallorapartofthesechecks.TheUniversityreservesthediscretiontomodifytheexceptionslistedascircumstancesandthebestinterestsofLawrencemaywarrant.ThePresidentorPresident’sdesigneemaymandateacriminalbackgroundcheck(e.g.one’scriminalconvictionrecord)onacurrentemployeewhoisnotapartytoajobtransferorreclassification.ThemandatemaybemadeonthePresident'sorPresident’sdesignee’sowninitiativeorastheresultofawrittenrequestmadebytheemployee'ssupervisor.HumanResourceswillbeprovidedawrittenrationaleinsupportoftheneedtoconductabackgroundcheckbytherequestingparty.HumanResourceswillcoordinatethecollectionofallbackgroundcheckinformation.Ifthecurrentemployeerefusestocomplete,signandsubmitthecriminalbackgroundcheckauthorizationinresponsetoarequestmadeinaccordancewiththispolicy,Universityadministrationmaytakeappropriateactionuptoandincludingdischargefromemployment.Backgroundchecksthatincludeareviewofanapplicant’scredithistorymustbeauthorizedinwriting.Everyemployeemustinformhis/hersupervisorandHumanResourcesviaphonecall,emailorwrittennotificationifhe/shehasbeenconvictedofacrimeassoonaspossiblebutnolaterthan2businessdays.Reportingofconvictionsisapplicabletoallfacultyandstaff,whetherornottheirpositionissubjecttoanoriginalbackgroundcheck.TheUniversityalsoreservestherighttoassesswhethersuchconvictionsorpendingchargesagainstanyemployeebearasubstantialrelationshiptoone’spositionofemployment,compromisethatemployee’sabilitytoperformthedutiesandresponsibilitiesassociatedwiththeposition,orcreatearisktothehealth,safetyandwelfareofLawrenceemployeesand/orproperty.Shouldconvictionsorpendingchargesposesucharisk,theUniversityshalldeterminewhethercontinuedemploymentiswarranted,orwhethersomealternativeemploymentaction(e.g.administrativeleave)isappropriate.AllUniversitydecisionswillbemadeincompliancewithapplicableStateandFederallaw.EmployeeswhodriveonbehalfofLawrenceinaUniversityowned,rentedorleasedvehicle,orintheirownpersonalautomobile,areresponsibleforreportingmorethan2incidentsofmovingviolations,accidents,oracombinationofthetwo,overthepreviousthreeyearstotheDirectorofFacilityServices.Ifaviolationissevere(includingbutnotlimitedto:DWI,excessspeedingover20mphandrecklessdriving),theindividual’sdriving



privilegesonbehalfoftheUniversitywillbedenied.Forthesafetyandwell-beingofthepassengers,LawrenceUniversityreservestherighttodenydrivingprivilegesforanyapplicantoremployee.Inreviewingtheresultsofacriminalhistorybackgroundcheckonanapplicant/employee,theUniversitywillrevieweachsituationonacase-by-casebasisinordertodeterminewhetherthereisasubstantialrelationshipbetweenapendingchargeorconvictionandthepositiononehasappliedfororcurrentlyholds.Thefollowingfactorswillbeconsideredforthoseapplicants/employeeswithacriminalhistoryindeterminingwhethertohiretheexternalapplicantortotransferorpromotetheinternalcandidate:thenatureofthecrimeanditsrelationshiptothepositionanditsassociatedresponsibilities;timesincetheconviction;numberofconvictions;whetherhiring,transferringorpromotingtheapplicantwouldposeanunreasonablerisktotheUniversity,studentsoremployees;theindividual’sageatthetimeoftheoffense(s),andwhetherthereisadiscernablepatternofoffenses.Althoughadisqualificationispossible,apreviousconvictiondoesnotautomaticallydisqualifyanapplicantfromconsiderationforemploymentwithLawrenceUniversity.However,ifanapplicantisfoundtohavefalsifiedanyinformationregardingconvictionhistory,he/shewillnotbeconsideredforemployment.Ifanemployeeisfoundtohavefalsifiedinformationregardingconvictionhistory,s/hewillbeimmediatelydischarged.Anofferofemploymentmaybeextendedtoanapplicantpriortothecompletionofthecriminalcheck.However,theapplicant’sfirstdayofworkinthepositionmustnotbepriortothesatisfactorycompletionofthebackgroundcheckexceptunderspecialcircumstancesandapprovedbythePresidentorPresident’sdesignee.LawrenceUniversityguaranteesthatallinformationobtainedfromthebackgroundcheckprocesswillonlybeusedaspartoftheemploymentprocessandkeptstrictlyconfidential.HumanResourceswillreceive,maintainandstorethebackgroundcheckinformation,separatefromtheemployee’spersonnelrecord.HumanResourceswillprovidethePresidentandProvost/DeanofFacultywithanannualreportofadverseactionsonfacultyandstaffemploymentorcandidateselection.AcademicAccommodationsforDisabilitiesStudentswhowishtorequestacademicaccommodationsfordisabilitiesshouldcontacttheAccessibilityServicesCoordinatorintheCenterforAcademicSuccess.Tobeeligibleforaccommodations,studentsmustprovideappropriatedocumentationasdescribedontheAccessibilityServiceswebsite.Eligiblestudentsshouldconsultwiththeirinstructorsabouttheformatofinstructionandcoursematerialsandmeetwiththecoordinatortodetermineappropriateaccommodationsforeachcourse.



FacilitiesReservationPolicy

1. LawrenceUniversityfacilitiesinallareasarereservedfirstforinstructionalactivities,including,butnotlimitedto,scheduledclassesandUniversityconvocations,ensemblerehearsals,concerts,theatrerehearsalsandproduction,tutorials,andindependentstudy/research.Duringtheacademicyearallcampusfacilitiesarefortheprimaryuseandenjoymentofstudents,faculty,administrationandstaff.Schedulingofspaceduringtheacademicyearmustbeinitiatedbyanacademicdepartment,administrativeoffice,orLUCC-recognizedstudentorganization.

2. Whenuniversityfacilitiesandgroundsarenotinuseforinstructionalactivities,

theymaybescheduledbyuniversitydepartmentsforcampuseventsandactivitiesthatengagetheLawrencecommunityandgeneralpublic.

3. WhenfacilitiesarenotinusebyLawrenceUniversityforpurposeslistedabove,

thesefacilitiesmaybemadeavailableonarentalbasis,providedsuchrentalsareforpurposesinkeepingwiththeeducationalmissionoftheUniversity.Theseclientswouldrepresenteitheranot-for-profitorcommercialgroup.TheUniversityreservestherighttodeterminetheeligibilityofapotentialclientinthesecategories.Iftheeventisnotco-sponsoredbyanacademicdepartment,administrativeoffice,orLUCC-recognizedorganization,theclientshallclearlystipulateinpublicannouncementsthattheorganizationoreventisnotsponsoredbyoraffiliatedinanywaywithLawrenceUniversity

4. Theuseofuniversityfacilitiesfornon-instructionalpurposesissubjecttoapproval

oftheOfficeofConferencesandSummerPrograms.ConsiderationwillalwaysbegiventotherelationofsuchusetotheUniversity’seducationalmissionandpurposes.FundraisersmaynotbescheduledwithouttheexpressapprovaloftheOfficeofConferencesandSummerPrograms,DevelopmentOffice,andtheProvost.

5. SponsorshipofaneventbyLawrenceUniversitywillbeatthediscretionofthe

OfficeofConferencesandSummerProgramsandtheProvost.Theproposedeventmustbeinkeepingwiththeacademicmissionandmayprovidefreespaceorstafforequipment.

Formoreinformation,seetheinformationonConference&EventServicesathttp://www.lawrence.edu/info/services/facility_rentals.Toscheduleroomsforcampusactivities,followtheproceduresunder“CampusEventPlanning”inchapterVIII.



Smoke-FreePolicyTheUniversitycaresaboutthehealthandsafetyofeveryoneoncampus.Providingasmoke-freeenvironmentallowsustomaintainaclean-airworkplaceforthecomfortofallpersons.Smokingwillbeprohibitedasfollows:

• AllUniversityowned,leasedoroperatedbuildingsaredesignatedsmoke-free.

• AllUniversityowned,leasedorrentedvehiclesaredesignatedsmoke-free.

• Theentireacademicareaofcampusandoutdoorathleticareasaredesignatedsmoke-free.

• Atthebeginningofeachacademicyear,residentsineachresidencehallorsmall

housewillvotetodetermineifthereshallbeasmoke-freezoneof25feetinalldirectionsaroundtheperimeteroftheresidence.Amajorityofthevotingresidentsmustdesireasmoke-freezoneforazonetobeimplemented.Requestsforare-votemaybebroughttothegoverningbodyofaresidencenotmorethanonceperterm.OrmsbyandKohlerhallsshallhavepermanentsmoke-freezones.

Refertothecampusmapthatindicatesallsmoke-freeareasoncampus.Pleaseobeyallsignageoncampusanduseappropriateashtrayslocatedinthedesignatedsmokingareas.Itisimportantthatweallmakeacommitmenttorespectthenosmokingpolicy.

chapter vii university policies - lawrence university · chapter vii university policies ......

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