The following is a summary of several important University policies applicable to members of the Academic Senate, together with a description of the corresponding campus implementation procedures. Please note that this summary is not intended to modify or replace the policies themselves.

The Faculty Code of Conduct, adopted through resolution of the Academic Senate and the Regents of the University, details the ethical and professional standards which University faculty are expected to observe. Ethical principles and types of unacceptable conduct are set forth for the areas of Teaching and Students, Scholarship, the University, Colleagues and the Community. A complaint of an alleged violation of the Faculty Code of Conduct by a member of the Academic Senate may be brought by any student, staff member, or faculty member of the University of California, in accordance with campus procedures for enforcement of the Faculty Code of Conduct and for resolution of complaints.

The Faculty Code of Conduct is appended to the Manual of the UCSB Academic Senate; the text can be found at:  http://www.ucop.edu/acadadv/acadpers/apm/apm-015.pdf
Campus Procedures for Enforcement of the Faculty Code of Conduct can be found at: http://senate.ucsb.edu/bylaws.and.regulations/division/Part_III/Appendix_4/B.

In December 2005, the UCSB Interim Sexual Harassment Procedures were issued to the campus (see link below). In addition the University of California's revised sexual harassment policies and procedures were issued in December 2004, with the Policy document being updated in February 2006 (see links below).

The UCSB document, in combination with the UC Systemwide documents, provides a clear definition of what may constitute sexual harassment. It also provides a detailed description of the campus procedures for the resolution of sexual harassment complaints at UCSB. In the event that a complaint is lodged against a member of the Academic Senate and a subsequent investigation by the Campus Sexual Harassment Officer results in a prima facie finding of a possible violation of the sexual harassment policy, the matter will be referred to the Executive Vice Chancellor for further review. The Executive Vice Chancelllor, in consultation with the Chancellor, may then either dismiss the charges or refer the case to the Academic Senate Charges Officer. Since certain forms of unacceptable behavior listed in the Faculty Code of Conduct are interpreted to apply to sexual harassment, a violation of the sexual harassment policies and procedures may also constitute a violation of the Faculty Code of Conduct.

Regarding Consensual Relationships between UCSB faculty and students over whom they have supervisory or instructional authority, the Faculty Code of Conduct was amended in July 2003 to include certain types of romantic or sexual relationships between faculty and students as unacceptable conduct. The relevant text is located in APM 015-Part II-A-6&7 (University Faculty Code of Conduct). According to UCSB's Interim Sexual Harassment Procedures, inappropriate consensual relationships may constitute sexual harassment.

• UCSB Sexual Harassment & Title IX Office: http://www.shot9.ucsb.edu
• UCSB Interim Procedures for Responding to Reports of Sexual Harassment: http://www.policy.ucsb.edu/InterimSHProcedures.pdf
• UC Policy on Sexual Harassment: http://www.ucop.edu/ucophome/coordrev/policy/PP021006Policy.pdf
• UC Procedures for Responding to Reports of Sexual Harassment: http://www.ucop.edu/ucophome/coordrev/policy/PP121404procedures.pdf
• Faculty Code of Conduct: http://www.ucop.edu/acadadv/acadpers/apm/apm-015.pdf

Informal complaints of violations of the Faculty Code of Conduct by members of the Academic Senate may be received by a number of campus officers, as specified in the Campus Procedures. If the recipient of a complaint is unable to resolve the matter informally, or is of the opinion that informal resolution is inappropriate, the complainant is then referred to the Charges Officer of the Academic Senate. If the Charges Officer is also unsuccessful in attempting an informal resolution, the complainant may then submit a written statement of the charges. At this point the process becomes formal and the faculty member is notified that a complaint has been lodged and is provided with a copy of the written complaint. The Charges Officer requests the Divisional Committee on Committees to appoint a Charges Committee, consisting of at least three members, to investigate the complaint. The Charges Committee must then determine, following the Campus Procedures, whether any of the allegations in the complaint, if true, would constitute a violation of the Faculty Code of Conduct. If it determines that none of them would, it shall transmit the complaint, with its findings to the Chancellor. If the Chancellor also concludes that none of them would, the matter is terminated. If the Charges Committee and the Chancellor conclude that any or all of the allegations, if true, would constitute a violation of the Faculty Code of Conduct, the Charges Committee shall then conduct a factual investigation to determine whether there is probable cause for imposing disciplinary sanctions. After completing its investigation, the Charges Committee shall transmit its findings to the Chancellor. If the Chancellor determines there is probable cause for disciplinary action against a member of the Academic Senate, the findings of the Charges Committee shall be transmitted to the Committee on Privilege and Tenure.

The Divisional Committee on Privilege and Tenure has jurisdiction to deal with grievance cases, disciplinary cases and early termination cases. Any member of the Academic Senate may complain to the Committee that their rights or privileges have been violated. With respect to personnel review involving tenure, promotion or reappointments, Senate members may base a complaint on a claim of procedural violations and/or impermissible criteria, such as race, sex or political conviction. The committee may determine the validity of complaints but is not empowered to reevaluate the academic qualifications or professional competence of the complainant. In cases of disciplinary action commenced by the administration against a member of the Academic Senate and in cases of a proposed termination of a Senate (or non-Senate) faculty member before the expiration of the faculty member's contract, the faculty member may request, and is entitled to, a hearing before the Privilege and Tenure Committee. Prehearing and hearing procedures are clearly articulated in the Senate Bylaws. In the case of a grievance, the Committee must first determine whether or not the Senate member has established a prima facie case. If the Committee determines that a prima facie case of violation or a right or privilege has been made out, the Committee will attempt to promote a settlement of the complaint between the faculty member and the administrative officer or others concerned. If no settlement can be reached, the Committee will then conduct a formal hearing, in accordance with the provisions in the Bylaws for such formal hearings. At the conclusion of the hearing, the Committee shall make its findings of fact, conclusions and recommendations which are forwarded to the parties in the case. A case may be reconsidered if either party presents, within a reasonable time after the decision, newly discovered facts or circumstances that might significantly affect the previous decision.

• Faculty Code of Conduct
• Campus Procedures for Enforcement of the Faculty Code of Conduct
• Policy on Sexual Harassment and Complaint Resolution Procedures
• Divisional Bylaw 245: Jurisdiction and Procedures, Divisional Committee on Privilege and Tenure
• Senate Bylaw 335: Privilege and Tenure, Divisional Committees

CMC, 2/15/00 [Am 2 Feb 08]