Keck Science Handbook Section 4 Other Important Faculty Policies

4.1 Statement on Professional Ethics

4.2 Policy on Conflict of Interest

4.3 Grievance Procedures

4.4 Policy on Discrimination and Harassment

4.5 Restrictions on Sexual Relationships

4.6 Dismissal and Other Sanctions

4.7 CMC Administrative Policies

4.1 Statement on Professional Ethics

The Department recognizes the importance of upholding the highest ethical standards and accordingly endorses the following Statement on Professional Ethics issued by the American Association of University Professors:

1. 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 subject is to seek and to state the truth as they see it. To this end professors devote their energies to developing and improving their scholarly competence. They accept the obligation to exercise critical self-discipline and judgment in using, extending, and transmitting knowledge. They practice intellectual honesty. Although professors may follow subsidiary interests, these interests must never seriously hamper or compromise their freedom of inquiry.
2. As teachers, professors encourage the free pursuit of learning in their students. They hold before them the best scholarly and ethical standards of their discipline. Professors demonstrate respect for students as individuals and adhere to their proper roles as intellectual guides and counselors. Professors make every reasonable effort to foster honest academic conduct and to ensure that their evaluations of students reflect each student’s true merit. They respect the confidential nature of the relationship between professor and student. They avoid any exploitation, harassment, or discriminatory treatment of students. They acknowledge significant academic or scholarly assistance from them. They protect their academic freedom.
3. As colleagues, professors have obligations that derive from common membership in the community of scholars. Professors do not discriminate against or harass colleagues. They respect and defend the free inquiry of associates, even when it leads to findings and conclusions that differ from their own. Professors acknowledge academic debt and strive to be objective in their professional judgment of colleagues. Professors accept their share of faculty responsibilities for the governance of their institution.
4. As members of an academic institution, professors seek above all to be effective teachers and scholars. Although professors observe the stated regulations of the institution, provided the regulations do not contravene academic freedom, they maintain their right to criticize and seek revision. Professors give due regard to their paramount responsibilities within their institution in determining the amount and character of work done outside it. When considering the interruption or termination of their service, professors recognize the effect of their decision upon the program of the institution and give due notice of their intentions.
5. As members of their community, professors have the rights and obligations of other citizens. Professors measure the urgency of these obligations in the light of their responsibilities to their subject, to their students, to their profession, and to their institution. When they speak or act as private persons, they avoid creating the impression of speaking or acting for their college or university. As citizens engaged in a profession that depends upon freedom for its health and integrity, professors have a particular obligation to promote conditions of free inquiry and to further public understanding of academic freedom.

4.2 Policy on Conflict of Interest

This policy sets forth certain principles governing both actual and potential conflicts of interest that may arise. Faculty members should bear in mind that the application of good judgment is essential and that no guidelines can provide direction for all circumstances that could arise.

• All faculty members have a duty to avoid conflicts of interest with the College and to exercise their professional responsibilities at the College to the extent required by their appointment.
• Faculty members who have, directly or through family or personal business connections, an interest in suppliers of goods or services or in contractors or potential contractors with the College may not undertake to act for the College in any transaction involving that interest. No faculty members may participate in the selection or award of a contract with any party with whom they are negotiating respecting potential employment or ha any arrangement concerning employment.
• Faculty members shall avoid outside employment or business activities which create a conflict of time commitment. A conflict of time commitment is considered to exist if outside activities unduly interfere with a faculty member’s abilities to fulfill responsibilities to the College.
• Faculty members shall refrain from personal business or investment activities, including but not limited to the purchase or sale or securities, real property or other goods or services, in which they could use, or might appear to have the opportunity to use, for personal gain, confidential information obtained as a result of their relationship with the College.
• Faculty members may not coerce or pressure students or employees of the College to perform services for themselves or others if improper personal gain or benefit would result.
• It is sound practice to discourage personal gifts from people with whom the College has a business relationship or from students who may receive either a grade or a recommendation from you. Such personal gifts of more than nominal value should be tactfully declined or returned to avoid any appearance or suggestion of improper influence. Faculty members involved in the awarding or administration of contracts using federal or other government funds should keep in mind that they are prohibited by law from soliciting or accepting gratuities, favors or anything of monetary value from contractors or potential contractors.
• Faculty members shall disclose in writing their relationship with a member of their family or domestic partner, before acting in matters affecting that person’s employment, evaluation or advancement in the College. This disclosure shall be made to the appropriate administrator.
• Each faculty member shall-on an annual basis and whenever a significant change in relevant business, activity, or interest occurs-disclose to the appropriate administrator, any business or financial interest or activity which might constitute a conflict of interest or the potential for such.

4.3 Grievance Procedures

4.3.a Purpose

Claremont McKenna College, Pitzer College and Scripps College (“Keck Science Colleges”) adopt policies designed to serve their educational function, to protect academic freedom and academic due process, to protect the health and safety of individuals, to promote responsible social interaction within the colleges’ community and to maintain a hospitable and productive working environment. To help implement these goals, this policy describes grounds and procedures for student, staff, and faculty grievances against Keck Science (“Keck Science”) faculty members and for Keck Science faculty grievances against administrators and/or administrative entities within the Keck Science Department. Grievances filed by students or staff members against Keck Science staff members will normally be handled administratively by the CMC HR Department.

4.3.b Covered Parties

These procedures are open to

• students, staff, and faculty to seek redress or remedy for grievances arising from actions by Keck Science faculty members and
• Keck Science faculty members to seek redress or remedy for grievances arising from actions by Keck Science administrators and/or administrative entities, but not administrators and/or administrative entities outside the Keck Science Department which are handled by the policies at the Respondent’s College.  

The jurisdiction for handling grievances arising from actions by a Keck Science faculty or staff member with an additional appointment at one of the Claremont Colleges will be determined by mutual agreement between the Keck Science Dean and the Dean of Faculty at that College.

4.3.c Covered Grievances

4.3.c.1

Except as indicated below, covered individuals may use these procedures to seek redress and/or remedy for

• Violations of policies or procedures published in the Keck Science Department Faculty Handbook including, but not limited to, unlawful discrimination or harassment, and violations of academic freedom or academic due process (See the AAUP’s Policy Documents and Reports).
• Violations of other established Keck Science Department policies or procedures (not covered by other Keck Science procedures); and
• Violations of federal or state law including, but not limited to, discrimination.

4.3.c.2

Grievances not covered by these procedures include:

• Grievances arising from appointment, reappointment, promotion, and tenure actions and decisions. These grievances are handled using the procedures in Section 2.7 Appeal of an RPT Decision , at the end of the section on RPT procedures.
• Grievances covered by the Keck Science policy for Dismissal and Other Sanctions (Section 4.6) which apply for cases of persistent teaching incompetence or a very serious incident or pattern of
  • research misconduct,
  • neglect of professional duties,
  • preventing or obstructing teaching or research or any other lawful function of the department, and
  • personal misconduct that is directly or substantially related to the fitness of a faculty member as a teacher and/or researcher.
• Keck Science faculty grievances against administrators and/or administrative entities at one of the Keck Science Colleges. These grievances are covered by the procedures of that college.
• Grievances arising from grade disputes which are covered by the procedures of the student’s college. Grievances that allege the challenged grade is the result of discrimination or retaliation in violation of federal or state law are, however, covered by these procedures.
• Other grievances, if any, that are explicitly assigned elsewhere.

4.3.d Definitions

Administrative Entity. An administrative unit including but not limited to an academic department, college committee, or administrative office. In cases where a grievance is brought against an administrative entity, the chair of that department or committee, or the head of the administrative office, serves as the Respondent on behalf of the administrative entity.

Administrator. Any member of the administration of the Keck Science Colleges.

Appellant. Either the Complainant or Respondent who files an appeal.

Complainant. The person or persons who file a complaint.

Day(s). Unless otherwise noted means calendar day(s).

Faculty. Any member of the Keck Science Faculty or anyone teaching a Keck Science course.

Keck Science ADC. The Keck Science Academic Deans Committee consisting of the Keck Science Dean and the Deans of Faculty of CMC, Pitzer, and Scripps College.

Keck Science Dean. The Dean of the Keck Science Department or the Dean’s designee.

Keck Science EC. The Keck Science Executive Committee.

Keck Science Presidents. The Presidents of Claremont McKenna, Pitzer, and Scripps Colleges.

Lead College President. The President of the lead College or the President’s designee.

Respondent. The person, persons, or administrative entity against whom a complaint is filed.

Staff. All exempt and non-exempt staff employees, including all administrators.

Student. Anyone currently enrolled as a full-time or part-time student at the Keck Science Colleges or enrolled in a class offered by the Keck Science Department.

4.3.e Confidentiality

4.3.e.1

Subject to applicable law, all filings, records of proceedings, decisions, and, in case of appeal, dispositions on appeal, may be disclosed only to the Complainant, the Respondent, the Keck Science Dean, the Keck Science ADC, Keck Science Presidents and the following officers of the College or Colleges of the Complainant and the Respondent: the Dean of Students (when a Student is involved), the Director of Human Resources, the Board of Trustees, and any others necessary to implement remedies.

4.3.e.2

The Complainant and the Respondent will be notified in writing that all documents will generally be disclosed to the other party during the grievance process. In individual cases, the Grievance Committee, the Keck Science Dean, or the lead College President may, for good reason, impose additional restraints on release of information related to the proceedings. The Colleges will endeavor to maintain confidentiality of any information obtained during both the informal and formal resolution procedures. However, subject to applicable law, there may be instances when information must be disclosed in order to conduct a thorough and fair investigation. Accordingly, the Colleges cannot guarantee complete confidentiality.

4.3.f Grievance Committee

4.3.f.1

Except as indicated below in Section 4.3.f.2, the Grievance Committee shall consist of six tenured faculty members. The Keck Science Dean will select two faculty members by random draw from among the membership of each of the following elected committees:

• the Claremont McKenna College Administration Committee,
• the Scripps College Faculty Executive Committee, and
• the Pitzer College Faculty Executive Committee.

If the Keck Science Dean requests to be recused from the process, the random draw of grievance committee members will be done by the Keck Science EC. The Complainant and the Respondent may each ask for a replacement of no more than one faculty member selected for the Grievance Committee prior to the first meeting of the Committee.  

4.3.f.2

When either the Complainant or the Respondent is a staff member, one senior or administrative staff member from CMC, Pitzer, or Scripps College (chosen at random) shall be added to the Grievance Committee as a voting member, as designated by that College’s Director of Human Resources. The staff member must be acceptable to both the Complainant and the Respondent. If not so acceptable and if no staff member can be mutually agreed upon by the Complainant and the Respondent, the President of the randomly chosen Keck Science College shall then select the staff member. Further information about the Grievance Committee can be found in Section 4.3.j.3.1.

4.3.g Conflicts of Interest and Designees

4.3.g.1

Individuals charged with implementing this grievance policy may know the parties to a grievance action, they may know other members of the college community who provide information bearing on the resolution of the grievance, and they may have a general prior knowledge of the grievance. Acquaintance with the parties or others involved and general knowledge of the grievance do not in themselves constitute conflicts of interest, for the grievance policy presumes that the individuals implementing the policy will conscientiously discharge their duties, acting in good faith. Direct involvement, including but not limited to involvement as an immediate party, a third party (e.g. as a witness), or as a participant in rendering a decision related to the grievance, does constitute a conflict of interest. Persons charged with implementing these policies must exercise their good judgment in declaring conflicts of interest where the conflicts may not be immediately apparent.

4.3.g.2

In the event any members of the Keck Science College committees from which Grievance Committee members are drawn declare that they have a conflict of interest in the case, the members shall recuse themselves from service on the Grievance Committee. If, because of recusals, or otherwise, the Faculty membership of the Grievance Committee falls below five in number, the Keck Science Dean (or Keck Science EC, if necessary) will make another random draw from the membership of the under-represented college committee to bring the Grievance Committee membership up to five faculty members. 

4.3.g.3

In the event that the Keck Science Dean has a conflict of interest in the case, or for other good reason, the Keck Science Dean shall designate one of the other members of the Keck Science ADC or else a tenured Keck Science Faculty member who has no conflict of interest to perform the functions assigned herein to the Keck Science Dean. The designee must be mutually acceptable to both the Complainant and the Respondent. If either the Complainant or the Respondent does not accept the person designated by the Keck Science Dean, the Keck Science Dean shall convene the Grievance Committee and the Committee shall select from outside its membership a tenured Keck Science Faculty member with no conflict of interest to perform the functions assigned herein to the Keck Science Dean. The Grievance Committee does not need to solicit approval of the designee from either the Complainant or the Respondent. The Keck Science Dean will notify in writing the Complainant and the Respondent of the designee. Within 10 days of receipt of the written notification of the designee, the decision of the Grievance Committee can be appealed in writing to the lead College President by the Complainant or the Respondent. The President shall render a decision within 10 days of receiving the written appeal and send written notice of the decision to the parties and the Grievance Committee within 5 days thereafter. 

4.3.g.4

If any of the College Presidents have a conflict of interest or, for other good reason, wish to designate another person to fill the functions assigned to them herein, they may choose a replacement to serve in their place.

4.3.g.5

If, for any reason, the lead College President designates a replacement to serve in the lead College President’s place, one of the other Keck Science Presidents (drawn by lot) shall perform the functions assigned herein to the lead College President. If all three Presidents have a conflict of interest, the role of the lead College President will be assigned to a person with no conflict of interest chosen by the Chair of the Board of the lead College.

4.3.h Time Limits

The Complainant has one year to initiate the informal or formal grievance process from the time he or she becomes aware of the action, inaction or decision in question. However, prompt initiation of the grievance process is strongly urged, because facts often become more difficult to establish as times passes after an action, lack of action or decision has occurred. For good cause, the lead College President or the Keck Science Dean shall have the discretion to extend any of the time limits described in these procedures except that required for the Presidents to bring their recommendation to their Boards of Trustees when required in Section 4.3.j.4.6 below.

4.3.i Procedures: Informal Resolution

4.3.i.1

In cases alleging discrimination, including sexual or other unlawful harassment, a Complainant may proceed directly to the Formal Resolution Procedures. In all other cases, a Complainant must first attempt informal resolution of a grievance before filing a formal grievance. The Complainant may use either the informal oral option and/or the informal written option, as described below. 

4.3.i.2 Informal Oral Option

The Complainant shall orally notify the Keck Science Dean of the Complainant’s grievance, identifying (a) the action or decision complained about, (b) relevant grounds as set forth above in Section 4.3.c Covered Grievances, and (c) the requested remedy. The Keck Science Dean will apprise the Keck Science ADC of the complaint and shall orally notify the Respondent of the grievance, including the action, inaction, or decision complained about, the grounds, and the requested remedy. The Keck Science Dean shall attempt to devise a solution satisfactory to both parties (which attempt may include meetings with the Complainant and the Respondent together and with the Dean(s) of Faculty of the Complainant’s and Respondent’s Colleges), and, if successful, shall record the solution in writing, with copies to each party. If a mutually satisfactory solution is not reached within 14 days of the Complainant’s original notification to the Keck Science Dean, the Complainant may proceed to the informal written option, or may proceed directly to file a formal complaint within an additional 14 days.

4.3.j Procedures: Formal Resolution

4.3.j.1 General

Except when the Complainant claims discrimination, including sexual or other unlawful harassment, the Complainant must first use the Informal Resolution process described above. If the Informal Resolution process produces no mutually satisfactory solution and the Complainant wishes to proceed further, the Complainant must file a complaint (as described below) in a timely fashion, which shall be no later than 14 days after the conclusion of the informal resolution process. If the Complainant claims discrimination, including sexual or other unlawful harassment, the Complainant may proceed directly to the provision in Section 4.3.j.2, below. 

4.3.j.2 Complaint

4.3.j.2.1

To initiate a formal grievance, the Complainant shall file a written request for a hearing (the complaint) with the Keck Science Dean, who shall forward it within 5 days of receipt to the Respondent and the other three members of the Keck Science ADC, and within 14 days of receipt to the Grievance Committee members chosen for this complaint. The complaint shall include the following information: 

• a detailed description of the activity or action, inaction or decision complained about,
• a specification of the covered grievance under which the complaint arises. (See Section 4.3.c above.),
• the requested remedy (to be included only in those cases where the Complainant requests remedial action other than, or in addition to, a penalty), and
• any available and relevant written or other documentation. (However, failure to include written or other documentation with the complaint does not preclude later submission of such material.)

4.3.j.2.2

The Keck Science Dean shall, within 14 days of receiving the complaint, provide the Grievance Committee with all relevant material from the informal process that is in the Dean’s possession, including all written filings and decisions.

4.3.j.2.3

The Keck Science Dean shall, within seven days of receiving the complaint select the initial members of the Grievance Committee (following the procedures shown in Section 4.3.f), notify the Respondent of the complaint, and provide the Complainant and the Respondent with the names of the Grievance Committee members. 

The Respondent shall respond in writing to both the Keck Science Dean and the Complainant within seven days of receipt of the Complainant’s written statement unless the Respondent receives an extension as described earlier in Section 4.3.h. 

The Keck Science Dean shall provide the Complainant and the Respondent with copies of all material forwarded to the Grievance Committee.

4.3.j.3 Hearing and Assignment of Penalty and/or Remedy

4.3.j.3.1

Within 14 days of the time the Keck Science Dean receives the complaint, the Dean shall convene the initial meeting of the Grievance Committee (described in Section 4.3.f above). At its initial meeting, the Grievance Committee shall randomly select five of its faculty members to act as voting members and one of its faculty members to serve as an alternate with respect to the deliberation process described below. On a grievance arising from a staff complaint against a faculty member, the staff person appointed under Section 4.3.f is an additional voting member of the Grievance Committee. Irrespective of the cause, in the event that the number of voting members are or become even in number, then the alternate will serve as an additional voting member to have the voting members be odd in number. The Grievance Committee shall select its Chair, and the Chair shall have the right to vote.

4.3.j.3.2

If, after reviewing all documents submitted, at least two members of the Grievance Committee agree that the grievance is not frivolous, the Committee shall grant a hearing to the Complainant, shall develop a tentative schedule for the grievance process, and shall establish any necessary internal procedures. If the Grievance Committee decides that the grievance is frivolous, the Committee shall, within four days after so convening, inform the Complainant in writing of the basis for its determination, and that the Complainant may appeal to the lead College President under the Appeals process described below in Section 4.3.j.4. 

4.3.j.3.3

The Grievance Committee shall normally complete the hearing process within 21 days of the Committee’s initial meeting, unless there are breaks in the academic calendar. The Grievance Committee shall allow the Complainant and the Respondent reasonably sufficient time to prepare for the formal hearing(s). 

4.3.j.3.4

The Grievance Committee’s hearings shall be closed, and the Grievance Committee shall keep an audio or other verbatim record of all sessions or portions of sessions in which it receives oral evidence (but not of its deliberations). This record or a copy of it shall be made available to the Complainant and the Respondent.

4.3.j.3.5

The Complainant and the Respondent may each be accompanied by an individual of their own choosing who is an employee of the Keck Science Colleges. In cases where a student is involved, the student may be accompanied by an individual of the student’s own choosing who may or may not be an employee of the Colleges. Because this is not a criminal investigation or hearing, legal counsel will not be permitted at the hearing, except in cases in which any party to the grievance faces potential criminal charges or if required by applicable law. In such cases an attorney will only be permitted in a non-participatory advisory role for each involved Complainant and Respondent. The Complainant and the Respondent shall each be permitted to make statements to the Grievance Committee. The Complainant and the Respondent shall have the right to question each other as well as all witnesses. The Grievance Committee may ask for statements from other parties and for relevant College records. It is the responsibility of the Grievance Committee to reasonably ensure that all relevant evidence is available and considered at the hearing.

4.3.j.3.6

Upon completion of the hearing, the voting members of the Grievance Committee, as selected pursuant to Section 4.3.j.3.1, shall complete the consideration of the grievance in closed session without the parties present and shall reach decisions by majority vote. It shall deliver to the Keck Science Dean a written report of its findings  within 14 days of the completion of the hearing process as provided in Section 4.3.j.3.3 and, if appropriate, its recommendations either

• for a penalty and/or other remedy, or
• for the dismissal of the complaint.

The report must also include the vote for and against the recommendations. The Grievance Committee’s recommendations of penalty and/or remedy to the Keck Science Dean are only advisory.

4.3.j.3.7

The Keck Science Dean, in consultation with the other three members of the Keck Science ADC, shall review the record of the Grievance Committee’s proceedings, findings and recommendation. After consideration of the Grievance Committee’s recommendation regarding the penalty and/or other remedy, or dismissal of the complaint, the Keck Science Dean, in consultation with the other three members of the Keck Science ADC, shall determine what penalty, if any, will be levied and/or what other remedy is appropriate or if the complaint should be dismissed. 

4.3.j.3.8

The Keck Science Dean shall notify relevant parties and explain the decision in writing within 14 days of receiving the Grievance Committee’s findings and recommendations. Notification shall be made by sending a copy of the decision to the Complainant, to the Respondent, and to the Grievance Committee for review and comment. Comments by the Complainant, Respondent, or Grievance Committee must be made within 14 days of the Keck Science Dean’s notification. The Keck Science Dean shall also concurrently notify the Keck Science Presidents by submitting a copy of the decision to them. The decision and the Grievance Committee findings and recommendations shall also be reported to the Director of Human Resources and the Dean of Students (when a student is involved) of the College(s) of the Complainant and Respondent.

4.3.j.3.9

The Keck Science Dean, in consultation with the other three members of the Keck Science ADC, may modify the decision within seven days of receiving the comments mentioned in the paragraph above. If the Dean does not modify the decision, the Dean shall promptly forward these comments to the Presidents in the event the decision is appealed. If the Dean modifies the decision, then the Dean shall again be bound by the notification procedures set forth in Section 4.3.j.3.8.

4.3.j.4 Appeals

4.3.j.4.1

Either the Respondent or the Complainant may appeal to the Keck Science College Presidents the appropriateness of the Grievance Committee’s findings and/or the decision reached by the Keck Science Dean or the Dean’s designee. (Grounds for appeal are listed in Section 4.3.j.5 below.) All penalties, other remedies or dismissals that require action by any College’s Board of Trustees are deemed to have been automatically appealed to the Keck Science Presidents even if neither the Respondent nor the Complainant files a petition for appeal. Both parties will be notified if a penalty and/or remedy, or complaint dismissal will be automatically appealed within 10 days of the Keck Science Dean’s decision.

4.3.j.4.2

To request a review, an Appellant (either the Respondent or the Complainant) must submit a written petition to the lead College President within seven days after the Keck Science Dean issues the decision. The petition must state and explain the grounds for appeal. The lead College President shall, within seven days of receipt, forward a copy of the petition to the other party, the other Keck Science Presidents and the Keck Science ADC.

4.3.j.4.3

If an appeal is filed with the lead College President, the lead College President shall request and promptly receive from the Keck Science Dean the full record of the grievance proceedings prior to the appeal. 

4.3.j.4.4

The lead College President will promptly meet with the other Keck Science Presidents to discuss the appeal. The appeal will only be heard if at least one of the Keck Science Presidents believes there are sufficient grounds for an appeal. Within two weeks of receiving the Appellant’s petition, the lead College President shall communicate in writing to the Complainant, the Respondent, the Keck Science ADC and the Grievance Committee the decision of the Keck Science Presidents on whether to hear the appeal. 

4.3.j.4.5

Within three weeks of receiving the Appellant’s petition, or within three weeks of the decision of the Keck Science Dean in a case that is automatically appealed, the lead College  President shall in writing notify the Complainant, the Respondent, the other Keck Science Presidents, the Keck Science Deans, and the Grievance Committee, as well as the Director of Human Resources and the Dean of Students (if a student was involved) of the College(s) of the Complainant and Respondent of the decision by the Keck Science Presidents or of the date when the decision is expected (which shall not normally exceed three weeks after the lead College President’s such notification).

4.3.j.4.6

In all appeals, the Keck Science Presidents may by unanimous vote reject the Grievance Committee’s original findings or may disapprove the decision by the Keck Science Dean. In addition, as provided below, the Keck Science Presidents by unanimous agreement may dismiss the case for lack of substantial evidence. In the event that an appeal, or any issue on appeal, is brought to the Keck Science Presidents more than once, they shall have the authority to approve, disapprove, dismiss, or modify the decision, but only by unanimous agreement. If the Keck Science Presidents’ decision, in whole or in part, requires the approval of one or more of the Boards of Trustees, the Keck Science Presidents shall, recommend approval or disapproval of the Keck Science Dean’s decision to each such Board of Trustees, or their Executive Committee, at their next meeting, but not more than 45 days after the Presidents’ decision. 

4.3.j.5 Grounds for Appeal by Either the Respondent or the Complainant, and Additional Options for Presidential Disposition of Appeals 

4.3.j.5.1 Improper dismissal before hearing 

The Appellant may claim that the Grievance Committee improperly dismissed the case as frivolous before hearing it. If the Keck Science Presidents unanimously accept this claim, they may return the case to the Grievance Committee for a hearing within 30 days thereafter.

4.3.j.5.2 Lack of substantial evidence

The Appellant may claim that the Grievance Committee’s findings were not supported by substantial evidence. If the Keck Science Presidents unanimously accept this claim and the Committee’s findings were against the Respondent, the Presidents may act under their general authority and modify such part of the decision so not supported or dismiss the case. If the Keck Science Presidents unanimously accept this claim and the Committee’s findings were against the Complainant, the lead College President will send the claim back to the Grievance Committee with direction to, within 30 days, reconsider the matter and to submit its reconsidered recommendation to the Keck Science Dean.

4.3.j.5.3 New evidence

The Appellant may claim that new evidence is available that could reasonably have led to different findings and/or a different decision. If the Keck Science Presidents unanimously accept these claims, they may, as appropriate, refer the case back to the Grievance Committee for a new hearing within 30 days and a new decision by the Keck Science Dean.

4.3.j.5.4 Bias

The Appellant may claim that the Committee was biased, suffered from conflicts of interest, or showed malice. If the Keck Science Presidents unanimously accept this claim, they may refer the case back to a differently constituted hearing panel designated by the Keck Science Presidents for a new hearing in accordance with the time provisions above. If the Keck Science Presidents unanimously order a new hearing, they shall refer the case back to the Keck Science Dean who shall, within ten days, select a new hearing panel following the process described in Section 4.3.f (but excluding members who served on the original hearing panel). 

4.3.j.5.5 Arbitrary penalty and/or remedy

The Appellant may claim that the penalty or remedy imposed was not appropriate to fit the circumstances of the case. If the Keck Science Presidents unanimously accept this claim, they shall refer the case back to the Keck Science Dean for a new decision on the penalty and/or remedy within ten days thereafter.

4.3.j.5.6 Improper procedures

The Appellant may claim that the Grievance Committee used improper procedures and that such procedures adversely affected the fundamental fairness of the hearing. The term “improper procedures” is restricted to the interpretation of the procedures outlined herein. If the Keck Science Presidents unanimously accept this claim, they may refer the case back to the Grievance Committee for a new hearing in accordance with the time provisions above.

4.3.k Decision on Appeals

The lead College President, acting with the Keck Science Presidents, shall dispose of all appeals by rendering a written decision within the time prescribed above in Section 4.3.j.4.5 and Section 4.3.j.4.6.

4.3.l Maintenance of Records 

The Keck Science Dean shall retain the record of the Grievance Hearing and all written and other material relating to the proceeding for at least five years after the date when the complaint was initiated. After that date all material not retained in personnel files may be destroyed.

4.3.m Schedule for Grievance Procedures

The following schedule should normally be followed for processing grievance complaints. However, Section 4.3.h states that the lead College President or the Keck Science Dean may extend any of the deadlines for the Grievance Procedures except that required of the Presidents to bring their recommendation to their Boards of Trustees if required.

4.4 Policy on Discrimination and Harassment

It is the policy of the Keck Science Department to maintain an environment for students, faculty, and staff that is free of sexual, racial, and other unlawful discrimination or harassment. All members of the Keck Science Colleges’ community should be aware that the Colleges are concerned about such unlawful action and are prepared to take prompt remedial action to prevent and correct such behavior. The Grievance Procedures described in Section 4.3 will be applied for claims made against Keck Science faculty or staff members. Other claims will be addressed using procedures at the College of the person being charged.

4.4.a Definition of Unlawful Harassment

Unlawful harassment is conduct

• that creates an intimidating, offensive, or hostile working or academic environment; or
• that threatens or endangers or is reasonably perceived to threaten or endanger a person’s health or safety; or
• that interferes with work or academic performance based on a person’s protected status, including race, color, religious creed, sex (including pregnancy, childbirth or related medical conditions), gender, gender identity, national origin, ancestry, age, physical disability, mental disability, medical condition, family care status, veteran status, marital status, sexual orientation, or other status protected by anti-discrimination and anti-harassment statutes such as Titles VII or IX or the Civil Rights Act, the Americans with Disabilities Act, the Age Discrimination in Employment Act, and the California Fair Employment and Housing Act.

Such harassment can be physical, verbal, or visual. Harassment can be committed by employers, co-workers, fellow students, and third parties. Generally, statements and/or conduct legitimately and reasonably related to the Colleges’ mission of education do not constitute harassment.

4.4.b Sexual Harassment

One form of unlawful harassment is sexual harassment. Sexual harassment may be either

• “quid pro quo” harassment, that is sexual advances or requests for sexual favors where submission is made an explicit or implicit term or condition of an individual’s employment or education or where submission or rejection is used as the basis for making employment or educational decisions affecting an individual, or
• “environmental” harassment, where the individual is subjected to a hostile or intimidating environment, in which verbal or physical conduct, because of its severity and/or persistence, is likely to interfere with an individual’s work or education, or to affect adversely an individual’s living conditions.

Occasional compliments that are generally accepted as not offensive or other generally accepted social behavior do not constitute sexual harassment. 

Examples of sexual harassment may include such conduct as:

1. Physical assault or other unwelcome touching.
2. Direct or implied threats that submission to sexual advances will be a condition of employment, work status, promotion, grades, or letters of recommendations.
3. Direct propositions of a sexual nature.
4. Subtle pressure for sexual activity, an element of which may be repeated requests for private meetings without an academic or administrative purpose.
5. A pattern of conduct that would cause discomfort to and/or humiliate a reasonable person at whom the conduct was directed that includes one or more of the following: unnecessary touching, patting, hugging, or brushing against a person’s body; remarks of a sexual nature about a person’s clothing or body, whether or not intended to be complimentary; remarks about sexual activity or speculations about previous sexual experience; or other comments of a sexual nature, including sexually explicit statements, questions, jokes or anecdotes.
6. Visual displays of suggestive, erotic, or degrading sexually-oriented images.
7. Letters, notes or electronic mail containing comments, words or images as described in (5) and (6) above.

4.4.c False Reports

Filing a knowingly false or malicious complaint of harassment or of retaliation is also a violation of this policy. A complaint against such conduct may be pursued using the steps followed for a complaint of harassment. A complaint under this provision shall not constitute prohibited retaliation.

4.4.d Reporting Unlawful Discrimination or Harassment

Individuals who believe they are victims of, or witnesses to, unlawful discrimination or harassment are required to report such incidents as soon as possible to their supervisor, academic instructors, or one of the officials designated at the end of this section. However, under no circumstances is an individual required to report unlawful discrimination or harassment to a supervisor or academic instructor who is accused of the action. Any employee (including any faculty member) who receives a complaint, is a witness to, or who otherwise learns of an occurrence of unlawful discrimination or harassment from a reliable source has the responsibility to report that occurrence immediately to any of the individuals listed below, even if the victim declines to report it. Every reported complaint will be investigated, and appropriate action will be taken, based on the circumstances of the case, consistent with  policies and procedures at the Keck Science Colleges. Throughout the complaint and investigation process, the department will attempt to maintain confidentiality to the extent reasonably possible. Disciplinary sanctions for unlawful discrimination or harassment may include any of the following: required counseling, a verbal or written reprimand, a verbal or written warning, immediate suspension or termination of a third party contract/agreement, or immediate suspension or termination of employment/enrollment. For more information or to report a suspected incident, you may contact any of the individuals listed below:

For Staff: CMC Director of Human Resources, extension 71236
For Faculty: The Keck Science Dean, extension 72565 
For Students: The Dean of Students at your College 

4.4.e Policy Against Retaliation

It is a violation of the department’s Discrimination and Harassment policy to retaliate against any individual who has brought forth a complaint of discrimination or harassment (the “Complainant”) or who has testified, assisted or participated in any manner in an investigation, proceeding or hearing conducted by the Fair Employment and Housing Commission, the Equal Employment Opportunity Commission, or any other applicable administrative agency. Retaliation includes, but is not limited to, failure to give the Complainant equal consideration in making employment decisions; failure to treat the Complainant impartially in the context of any recommendations for subsequent employment; or adversely affecting the working conditions or otherwise denying any employment benefit to the Complainant.

4.4.f Government Agencies Enforcing Discrimination and Harassment Laws

In addition to the department’s internal remedies, external remedies are available for employees and students through the California Department of Fair Employment and Housing (offices in Los Angeles and San Bernardino), the United States Equal Employment Opportunity Commission (office in Los Angeles), and the United States Office of Civil Rights (office in San Francisco).

4.5 Restrictions on Sexual Relationships

All faculty members are strongly discouraged from becoming romantically or sexually involved with any student at the five undergraduate Claremont Colleges, and are prohibited from being romantically or sexually involved with a student who is currently registered in their class, is a member of a team that they coach, is someone whom they directly supervise, or is their academic advisee. In the case of a sexual relationship between faculty members or between a faculty member and a staff member, it is the obligation of all participants to take all necessary steps to remove themselves from professional or institutional actions, such as participating in performance and RPT reviews, making salary recommendations, or awarding departmental grants that involve another participant. 

Any violation of the above regulations will be treated as “personal misconduct that is directly and substantially related to the fitness of a faculty member as a teacher and/or researcher” and addressed under the policy for Dismissal and Other Sanctions (Section 4.6).

4.6 Dismissal and Other Sanctions

4.6.a Definition of Adequate Cause

Keck Science faculty members may be dismissed, suspended without pay, or receive other sanctions for “adequate cause” which is defined as:

• a persistent pattern of teaching incompetence as defined in the AAUP document entitled “Termination and Discipline” (2004), or
• a very serious incident or pattern of misconduct in one of the following areas:
  • research misconduct,
  • neglect of professional duties, such as failing to meet teaching obligations,
  • preventing or obstructing teaching or research or any other lawful function of the department,
  • personal misconduct that is directly and substantially related to the fitness of a faculty member as a teacher and/or researcher.

The thresholds for these definitions of adequate cause are meant to be high, and in every case adequate cause for dismissal or suspension without pay must be related to the faculty member’s fitness to remain a member of the academic community. It is also recognized that all levels of incompetence or misconduct need not lead to dismissal or suspension without pay. In some cases, another more appropriate sanction might be applied, such as a reprimand, reassignment of duties, foregoing of any salary increase and/or benefit improvements, and mandatory counseling and/or monitoring of behavior and performance.

 “Incompetence” or “misconduct” shall not be construed in a way that threatens faculty members in their legal rights and in the legitimate exercise of academic freedom, including the expression of dissenting or unpopular opinions. 

This process is unrelated to normal decisions on reappointment, promotion, and tenure.

4.6.b Initiation of the Disciplinary Process and Emergency Suspension

The Complainant is either the Keck Science Dean or any other member of the Keck Science Colleges who proposes that a Keck Science faculty member be disciplined by bringing a complaint to the Keck Science Dean. The Keck Science Dean conducts whatever investigation the Keck Science Dean deems appropriate to determine the facts. If, in a charge of misconduct, a conflict of interest prevents the Keck Science Dean from acting, one of the Keck Science College Academic Deans, chosen by lot, handles the complaint and carries out all the steps assigned in this procedure to the Keck Science Dean.

The Keck Science Presidents, upon the recommendation of the Keck Science Dean, may at any time by unanimous vote institute an emergency suspension with pay of the faculty member until the complaint is resolved. An emergency suspension with pay is based on a determination by the Keck Science Dean and/or the lead College President that the faculty member’s continued presence on campus or continued teaching and research while the charge is being resolved could disrupt normal operations in the Keck Science Department or cause serious harm to the faculty member or to others in the Keck Science Department or the Keck Science Colleges.

4.6.c Informal Resolution of the Complaint

Before the formal resolution process is initiated, the Keck Science Dean (or the Dean’s replacement for handling the complaint) should attempt to reach a mutually satisfactory resolution of the matter if this is at all possible. At any time during this process, the Dean may consult with the Keck Science Executive Committee on the facts of the matter and an appropriate sanction (if any). If a mutually satisfactory resolution can be achieved, the matter is considered closed.

4.6.d Formal Resolution of a Complaint by a Hearing Panel

If the charges cannot be resolved by mutual agreement, the Keck Science Dean (or the Dean’s replacement for the complaint) should:

• Establish a Faculty Hearing Panel consisting of three tenured Full Professors in the Keck Science Department selected by the Keck Science Dean. The faculty member is notified of the membership on the Hearing Panel and may request the replacement of up to all three of the members. Additional members selected by the Dean may not be replaced once the faculty member has used all three of the faculty member’s challenges. 
• Provide the faculty member with a written statement of the charges and the proposed disciplinary action. Within one week of receiving the charges, the faculty member may prepare a written response. Both statements are submitted to the Faculty Hearing Panel.

4.6.d.1 The Hearing Process

The Hearing Panel elects its own chair, and establishes and documents its own procedures, consistent with any constraints imposed by the Faculty Handbook. The Panel shall gather any material or information it chooses to collect, including advice from consultants, attorneys, or other professionals that it deems necessary to conduct an adequate resolution of the complaint. The Panel may also hold informal pre-hearing meetings including ones with the parties.

During the formal Hearing:

• The Keck Science Dean brings the charges before the Hearing Panel, and the faculty member may make an oral response.
• The Keck Science Dean, the faculty member, and the Hearing Panel may call witnesses and may have reasonable opportunity to question witnesses.
• The Keck Science  Dean and the faculty member may have an advisor present at the hearing, but legal counsel is not permitted at the hearing.
• The Hearing Panel may set time limits for the hearing and for oral arguments and may also hold additional hearings, if needed, prior to making a final recommendation on the matter.
• An audio or other verbatim record of the formal hearing(s) will be made (but not of the subsequent deliberations). All statements and documents that become part of the hearing record are kept confidential by all parties to the process except as provided by law.
• The deliberations of the Hearing Panel in preparing its recommendation are closed and confidential.

4.6.d.2 The Hearing Panel Report

The Hearing Panel will attempt to complete its work within two weeks after the final hearing by delivering a report with its recommendation and all supporting documents to the Keck Science Dean. A recommendation for dismissal or suspension without pay requires a unanimous vote of the Panel.

The Chair of the Hearing Panel shall also prepare a report for the Dean describing the procedures employed. All working drafts and personal notes in the possession of members of the Hearing Panel shall be destroyed. 

4.6.e Final Resolution of the Complaint by the Keck Science Presidents

The Keck Science Dean shall deliver the Hearing Panel report and recommendation to the lead College President, the faculty member, and the complainant. Within one week after receiving the Hearing Panel Report, the faculty member and the complainant may submit written comments about the Report to the lead College President. The lead College President shall convene a meeting of the Keck Science Presidents who may also review all of the supporting material, including the record of the hearing, before preparing a resolution of the complaint. The lead College President shall then present the decision in writing to the faculty member, the Keck Science Dean, the Hearing Panel, and the complainant.

There can be no appeal to the final resolution of the complaint by the Presidents.

4.6.f Maintenance of Records 

The Keck Science Dean shall retain the audio or other record of the Hearing Panel and all written and other material relating to the proceeding for at least five years after the date when the complaint was initiated. After that date all material not retained in personnel files may be destroyed. 

4.7 CMC Administrative Policies

The following CMC policies apply directly to Keck Science faculty members. References cited are to the CMC Faculty Handbook .

Drug-Free Workplace Policy (Section 10.3)  

Non-Discrimination (Section 10.10)  

Policy on Theft, Abuse, or Misuse of College Resources (Section 10.13)  

Explosives, Firearms, and Other Weapons Policy (Section 10.14)