Preface

In furtherance of maintaining and promoting New York University’s reputation for excellence and integrity, the Board of Trustees has promulgated this Code of Ethical Conduct, which sets forth the general principles to which we subscribe and to which we expect every member of the University--every part-time and full-time employee, faculty member, officer, trustee, overseer, and advisory board member--to adhere. These principles have been derived from federal, state, and local laws and regulations, University policies and procedures, contractual and grant obligations, and generally accepted principles of ethical conduct.

• Adherence to the Highest Ethical Standards
  
  Every member of the University shall, at all times, conduct his or her activities in accordancewith the highest professional and community ethical standards.



• Respect for and Compliance with the Law
  
  Every member of the University is expected to become familiar with those laws, regulations, and University rules which are applicable to his or her position and duties, and to comply with both their letter and spirit. The University will implement programs to further members’ awareness and to monitor and promote compliance. All questions and concerns about the legality or propriety of any action or failure to take action by or on behalf of the University should be referred to either the member’s supervisor or to the Office of Legal Counsel.



• Compliance with all Contractual and Grant Terms and Conditions
  
  Every member of the University is expected to comply strictly with the terms and conditions of each University grant and contract on which he or she is working and to provide access to records of such grants and contracts to authorized University officials upon request Questions or concerns about grant or contract terms and conditions should be referred to the Contract Office or the Office of Sponsored Programs.



• Support of the University’s Goals and Avoidance of Conflicts of Interest
  
  New York University is a not-for-profit institution which is dedicated to teaching and research.Every member of the University is expected to faithfully carry out his or her professional duties in furtherance of the University’s mission. Every member has a duty to avoid conflicts between his or her personal interests and official responsibilities and to comply with University and applicable School codes and guidelines for reporting and reviewing actual and potential conflicts of interest and conflicts of commitment. Additionally, a member may not utilize his or her position with the University for his or her personal benefit. Members are also expected to consider and avoid, not only an actual conflict but also, the appearance of a conflict of interest.



• Maintenance of the Highest Standards of Academic Integrity
  
  Every member of the University involved in teaching and research activities is expected to conform to the highest standards of honesty and integrity. Activities such as plagiarism, misrepresentation, and falsification of data are expressly prohibited. All research at the University must be conducted in strict conformity with the applicable University policies, procedures, and approvals and the requirements of all governmental and private research sponsors.



• Respect for the Rights and Dignity of Others
  
  New York University is committed to providing equal educational, employment, and health care opportunities and providing an environment which respects the dignity of students, faculty, employees, patients, and others who come into contact with the University. Every member of the University is expressly prohibited from: physically assaulting anyone; discriminating on the basis of race, color, religion, sexual orientation, gender and/or gender identity or expression, marital or parental status, national origin, ethnicity, citizenship status, veteran or military status, age, disability and any other legally protected basis; sexually harassing anyone; and depriving anyone of rights in his or her physical or intellectual property.



• Striving to Attain the Highest Standards of Patient Care
  
  Every member of the University involved in furnishing medical and dental services is expected to provide the highest quality of services responsive to the needs of patients, their families, and the communities in which the University functions. All patient care must be reasonable, necessary, and appropriate to the situation and be provided only by duly qualified University personnel. All patient records and documentation must conform to all applicable legal and payor requirements as well as professional standards. Every member of the University is expected to protect the confidentiality of patient information.



• Maintenance and Preservation of Accurate Records
  
  Members of the University are expected to create and maintain records and documentation which fully conform to all applicable laws and professional, and ethical standards. Every member of the University who is involved, directly or indirectly, in the preparation or submission of a bill to any governmental or private payor is expected to use his or her best efforts to ensure the bill addresses only those services rendered and products delivered and in the correct amount, supported by appropriate documentation.



• Conducting Business Practices with Honesty and Integrity
  
  Every member of the University is expected to conduct all business with patients, payors, vendors, competitors, and the academic community with honesty and integrity. This duty includes, but is not limited to: adherence to federal and state anti-fraud and referral prohibitions in dealing with vendors and referral sources; adherence to all antitrust laws (such as those governing prices and other sales terms and conditions, improper sharing of competitive information, allocation of territories, and group boycotts); and protecting and preserving University property and assets--including proprietary intellectual property, buildings, equipment, books, supplies, and funds.



• Concern for Health and Safety; Respecting the Environment
  
  Every member of the University is expected, in the performance of his or her duties, to comply with all laws and regulations which govern occupational and patient health and safety and to make every reasonable effort to ensure that students, faculty, patients, employees, and visitors are protected from undue health risks and unsafe conditions.
  
  Every member of the University is expected, in the course of his or her activities: to comply with all applicable environmental laws and regulations; to ensure that the University has obtained all necessary licenses, permits, and approvals; and to employ the proper procedures and controls in the storage and handling of radioactive and toxic materials and in the handling and disposition of hazardous and biohazardous wastes.



• Reporting Suspected Violations of the Code; Enforcement of the Code
  
  This Code of Conduct has been created and exists for the benefit of the entire University and all of its members. It exists in addition to and is not intended to limit the specific policies, procedures, and rules enacted by the University and each of its Schools.
  
  Each member of the University is expected to uphold the standards of New York University and to report suspected violations of the Code or any other apparent irregularity to either his or her Supervisor, the Human Resources Department, the Director of Internal Audit, the Vice President of Finance, the School Compliance Officer, the Office of Legal Counsel, the Chief Compliance Officer, or the NYU NO CALLER ID toll-free HOT LINE (877) 360-7626. If a member prefers, he or she may make the report anonymously (by mail or by hotline). The University, will if requested, make every reasonable effort to keep confidential the identity of anyone reporting a suspected violation, to the extent permitted by law, and except if doing so would effectively prevent the University from conducting a full and fair investigation of the allegations.
  
  This Code of Ethical Conduct will be enforced. Reports of suspected violations will be investigated by authorized University personnel. Officers, managers, and supervisors have a special duty to adhere to the principles of the Code, to encourage their subordinates to do so, and cooperate fully with any investigation undertaken. If it is determined that a violation has occurred, the University reserves the right to take corrective and disciplinary action against any person who was involved in the violation or who allowed it to occur or persist due to a failure to exercise reasonable diligence. Additionally, the University may make an appropriate disclosure to governmental agencies (including law enforcement authorities). Disciplinary actions will be determined on a case-by-case basis and in accordance with the applicable disciplinary codes.



• Promise of no Retaliation
  
  The University promises that there will be no adverse action, retribution, or other reprisal for the good faith reporting of a suspected violation of this Code, even if the allegations ultimately prove to be without merit. The University will, however, pursue disciplinary action against any member who is shown to have knowingly filed a false report with the intention to injure another.
  
  The University reserves the right, at any time, to amend this Code of Conduct in its sole, good faith, discretion.

New York University is committed to a policy of equal treatment and opportunity in every aspect of its relations with its faculty and staff members, without regard to race, color, religion, sexual orientation, gender and/or gender identity or expression, marital or parental status, national origin, ethnicity, citizenship status, veteran or military status, age, disability and any other legally protected basis. This includes, but is not limited to, recruitment, hiring or appointment, selection for training, transfer, layoff, promotion, granting of tenure, rates of pay and other forms of compensation, and participation in University-sponsored educational, social and recreational programs.

It is likewise the established policy of New York University to foster the full realization of equal economic opportunity at all levels and in all segments of the faculty and staff through a positive and continuing affirmative action program. It is the aim of the University to provide opportunities for all faculty members and employees to realize their potential, and to assist them both to function more effectively and to reach a level commensurate with their ability.

A full copy of New York University’s Affirmative Action Policy is available for inspection by any employee or applicant for employment. It can be found at Bobst Library (consult BOBCAT for specific location), the Office of Human Resources, 7 East 12th Street, as well as the office of an employee's Human Resources Officer.

Inquiries concerning the application of the laws and regulations concerning equal employment and educational opportunity at New York University (including Title VI--equal opportunity regardless of race, color, or national origin; Section 504--equal opportunity for the disabled; and Title IX--equal opportunity without regard to gender) may be referred to: The Office of Equal Opportunity, New York University, 70 Washington Square South, Room 1225, New York, New York 10012. Inquiries may also be referred to: The Office of Federal Contract Compliance Programs, U.S. Department of Labor, 26 Federal Plaza, New York, NY 10278.

Employees who believe they have been discriminated against may contact their Human Resources Officers; the Sr. Director of Employee Relations, 7 East 12th Street, (212) 998-1242; or the Vice Provost and Coordinator for the Office of Equal Opportunity, Bobst Library, 70 Washington Square South, (212) 998-2370.

Those with complaints may also contact: the District Director, Employment Standards Administration, Office of Federal Contract Compliance Programs, 26 Federal Plaza, Room 36-116, New York, New York 10278, (212) 264-7742, or the US Equal Employment Opportunity Commission (EEOC), 1801 L Street, N.W., Washington, D.C. 20507, or an EEOC field office by calling toll free (800) 669-EEOC. For individuals with hearing impairments, EEOC’s toll free TDD number is (800) 800-3302.

Statement of Policy

New York University is committed to maintaining a learning and working environment that is free of bias, prejudice, and harassment - an environment that supports, nurtures, and rewards career and educational advancement on the basis of ability and performance. Harassment based upon race, color, religion, sexual orientation, gender and/or gender identity or expression, marital or parental status, national origin, ethnicity, citizenship status, veteran or military status, age, disability and any other legally protected basis is prohibited by law and undermines the character and purpose of the University. Such harassment is illegal and against University policy, and will not be tolerated.

This policy covers all members of the University community and those who affect the University community such as vendors or visitors. The University encourages everyone to report all incidents of harassment regardless of who the offender may be.

• Definition of Prohibited Harassment
  
  Prohibited harassment is conduct based on race, gender and/or gender identity or expression, color, religion, age, national origin, ethnicity, disability, veteran or military status, sexual orientation, marital status, citizenship status, or any other legally protected status when:
  
  
  1. submission to or rejection of the conduct is either an explicit or implicit term or condition of employment, basis for participation or advancement in an academic program, or basis for participation in a University activity or benefit; or
  
  
  
  2. such conduct creates an intimidating, hostile or offensive work, academic or residential environment; or
  
  
  
  3. such conduct otherwise adversely affects employment or academic opportunities
  
  
  
  Examples of such prohibited conduct when based upon a legally protected status include, but are not limited to:
  
  
  • Verbal abuse or hostile behavior such as insulting, teasing, mocking, degrading or ridiculing another person or group;
  
  
  
  • Unwelcome or inappropriate physical contact, comments, questions, advances, jokes, epithets or demands;
  
  
  
  • Physical assault or stalking;
  
  
  
  • Displays or electronic transmission of derogatory, demeaning or hostile materials;
  
  
  
  • Unwillingness to train, evaluate, assist, or work with an employee, faculty member, or student.
  
  
  
  Harassment is unacceptable in the workplace, classroom, student and faculty housing, sports, University facilities, and in other University-related settings, such as study abroad programs and University-sponsored social functions and events. This behavior violates University policy even when it may not be sufficiently severe or pervasive to constitute a violation of law.
  
  
• Responsibilities to Report
  
  All members of the University community should report incidents of harassment in order to support the University policy. In order to assure the University is free of prohibited harassment, University officers, deans, department heads, faculty members, directors, and supervisors are required to report all incidents of harassment that they may have witnessed or have been advised of.
  
  The most appropriate recipients of reports are:
  
  
  1. The Office of The Vice President for Student Affairs or the appropriate School’s designee if the alleged harasser is a student (See Contact List below or call Title IX & Title VI Officer, Thomas Grace at 212-998-4403);
  
  
  
  2. The Human Resources Officer of the appropriate School or Department or The Office of Employee Relations of the Human Resources Division if the alleged harasser is an employee, including a student employee (See Contact List below).
  
  
  
  3. The Dean of the appropriate School or Faculty or the Dean’s designee if the alleged harasser is a faculty member (See Contact List below); or
  
  
  
  4. The Director of Equal Opportunity if the alleged harasser is a visitor, vendor, third-party, or the Dean of an NYU School (contact e. Frances White at 212-998-2370).
  
  
  
  Contact information for these individuals can be found in the Anti-Harassment Policy Contact List at http://www.nyu.edu/eo/AHPCL.pdf
  
  It is not always easy to interpret words or actions that may be ambiguous and one may think are inappropriate. Therefore, the offices noted above are available to discuss the circumstances and address matters before they become severe or pervasive.
  
  If a report is made to any of these offices, and that is not the appropriate office to receive the report, it becomes the responsibility of that office to forward the report to the appropriate office. If any of the persons at these offices is implicated in the harassment, or if a conflict of interest arises, the report should be made to the Director of Equal Opportunity. If that office is implicated, the report should be made to the Provost.
  
  
• Reporting a Harassment Complaint
  
  All individuals who believe they have been harassed should file a complaint with the appropriate individuals or offices cited above. Verbal complaints should be reduced to writing by either the complainant or the individual who receives the complaint in order to preserve an accurate record. The written complaint should identify the parties involved; describe the harassing behavior; when and where it occurred; and identify by name or description any witnesses.
  
  Complaints should be promptly reported so that appropriate action may be taken in a timely manner. However, the late reporting of complaints may not prevent appropriate remedial action.
  
  Any conduct that may be in violation of this policy will be investigated, regardless of whether a complaint is filed, and appropriate remedial action will be initiated. Effort shall be made to complete the investigation of a complaint within thirty (30) days of the report of the harassment. Extensions of the time frame may be necessary in some circumstances. The complainant and alleged harasser will be notified of the extension.
  
  
• Confidentiality
  
  The University will maintain the confidentiality of the complaint to the greatest extent consistent with our goal of conducting a thorough and complete investigation. Effort will be made to safeguard the privacy and rights of all persons involved.
  
  
• Investigation and Disposition of the Complaint
  
  The investigator will conduct a prompt, thorough and impartial investigation of the complaint in the manner he or she deems necessary. The parties to the complaint will each have an opportunity to be heard during the investigation. The parties will also be informed of the status of the investigation as deemed appropriate. The investigation process is strictly internal to NYU, so the presence of legal counsel or third parties is not permitted at any stage of the process unless otherwise required by law.
  
  If it is determined that a violation of the University's harassment policy has occurred, prompt remedial action shall be taken. The nature of the remedial action and the process for its implementation will depend upon the particular facts and circumstances. If remedial action involves the imposition of sanctions, appropriate disciplinary procedures will be used. Sanctions imposed may be appealed through the appropriate appeals process depending on the status of the accused. The disposition of the complaint shall be communicated to the complainant and the alleged harasser.
  
  If it is determined that no violation has occurred, such findings shall be communicated to the complainant and the alleged harasser.
  
  If the results of an investigation show that the complainant knowingly filed false accusations of harassment, or that a witness gave false statements, such individuals will be subject to the appropriate disciplinary action.
  
  
• Retaliation
  
  The University will take every step necessary to protect the complainant and any witnesses against retaliation for reporting the harassment or for participating in the investigation of a complaint.
  
  Any employee, faculty member, or student who retaliates against an individual who complains of harassment, witnesses harassment, or participates in the investigation of a harassment complaint violates University policy and may be subject to sanctions. Complaints of retaliation should be reported as violations of this policy.
  
  
• Sexual Assault
  
  Sexual assault is a sexual act against the will and without the consent of the victim or where the victim is incapable of giving consent. This includes conduct that would be considered criminal under the New York State Penal Code. Since the medical, emotional, and legal needs of a sexual assault complainant may differ from those of other harassment complaints, sexual assault victims should, in addition to filing a University complaint, report the assault to the police and pursue counseling and other services available at the University. Students should consult the publication, New York University’s Polices and Procedures Concerning Sexual Assault for guidance on medical and counseling services. Faculty members and employees should consult New York University’s Faculty and Staff Assistance Program for medical and counseling service referrals.
  
  
• Consensual Relationships
  
  Sexual behavior that is welcome or consensual does not constitute sexual harassment under the law. However, romantic relationships in situations where one individual has greater power or authority over another frequently result in claims of harassment when the relationship ends and a perception of favoritism while the relationship continues. Such relationships are inappropriate. A "consensual" relationship between a professor and his/her student, a supervisor and a subordinate, or a coach and team player are examples of inappropriate relationships. If a consensual relationship occurs, any situation of authority must be discontinued and appropriate action may be taken.
  
  
• Education
  
  The University supports a complete program for the education of its community with respect to the meaning and implementation of this policy. Training will be scheduled accordingly.
  
  

Policy

In order to ensure the safety and security of the workplace, the University strictly prohibits violence or threatening behavior. Anyone who engages in any violence in the workplace or in threats of violence or threatening behavior is subject to disciplinary action, up to and including termination of employment and, in the case of an employee who also is a student at the University, additional student disciplinary action up to and including expulsion. The University may, as it deems appropriate, seek legal sanctions against violators.

Prohibited Behavior

Prohibited behavior includes but is not limited to hitting, shoving, sexual assault, attacks, stalking, verbal or non-verbal threats, electronically communicated threats or threatening behavior, vandalism, arson and possession, use or threatened use of a weapon of any type.

Workplace Security Measures

To fulfill this commitment to a safe work environment for all, the following is University policy:

• Access to the University’s property is limited to those with legitimate interest.



• All students, staff and faculty on or in the vicinity of the University’s premises must display NYU identification on the request of NYU Protection Department personnel, faculty, administrators or other authorized personnel.



• All visitors must produce and display identification while on the University’s premises upon the request of the Protection Department or other authorized personnel.



• The University reserves the right to enter and inspect its property and work areas under appropriate circumstances.

• Department Head or Manager



• Human Resources Officer



• Office of Employee Relations in Human Resources X81242

• Frequent, angry outbursts; difficulty controlling temper.



• Expression by the employee that others are out to get him or take his job; chronically disgruntled.



• Recent isolation of employee from co-workers; unusually poor social skills.



• Rash, impulsive behavior without apparent forethought.



• Acute sensitivity to criticism; blaming others when things go wrong.



• Bragging about past acts of violence; fascination with firearms or violence.



• Impaired judgement and performance; mood swings.



• Acutely hostile reaction to discipline or employment termination.

1. be employed by another academic institution other than while on leave of absence from the University,



2. have a significant financial interest in, or accept a substantial consulting assignment with an entity, which would do business with, or compete against the University,



3. engage in sponsored research to which the sponsor has established access limitations or presentation or publication delays beyond a 60-day period for patent filing, etc.; free and widespread dissemination of information is an essential ingredient of faculty activity,



4. grant an exclusive license to a sponsor of research,



5. assume an executive or managerial position in a public or private organization.

1. Prior to approval of a proposal or acceptance of an award by the University, all Researchers who plan to conduct research at the various units of the University at Washington Square must disclose to their deans any Financial Interest which they ormembers of their Immediate Family have in any commercial entity that will participate in the proposed research.



2. A Researcher with a Financial Interest in any commercial entity that will participate in the research, may not engage in such research, except upon the written approval of his or her dean, after review by the dean or his or her designee(s).



3. During the Research Period, a Researcher may not acquire a Financial Interest (or, if approval has been obtained based upon disclosure of a Financial Interest, an additional Financial Interest) in a commercial entity participating in such research unless the Researcher has disclosed the intent to do so and received approval for such acquisition as provided by these Guidelines. This prohibition also applies to the Researcher’s Immediate Family.

1. The term Researcher includes all faculty members and other research staff, including the Principal Investigator/Project Director and Co-Principal Investigator/Project Director, who will assume responsibility for the design, conduct or reporting of the research, or are in a position to control the expenditure of research funds.



2. The term research extends to all research and related activities, including research training, demonstrations and evaluations.



3. A commercial entity is participating in the research whenever it sponsors such research, or supplies substances, materials or services for such research, or may in any way derive benefits from such research, or engages in licensing discussions with New York University with respect to inventions in which a property right may be claimed by the Researcher.



4. Having a Financial Interest means:
   
   
   • Owning or having an agreement to acquire stocks or stock options or other securities which have a fair market value of $10,000 or more, or which constitute an ownership interest of greater than 1% in a commercial entity, but does not cover ownership of stocks, stock options or other securities in such entities in a form over which the Researcher has no control, such as in mutual funds or blind trusts; or
   
   
   
   • Serving as a compensated consultant, manager, or director of a company or entity; or
   
   
   
   • Otherwise having an expectation of financial gain as a result of performing the research, other than compensation paid to the Researcher by New York University or the Researcher’s share of proceeds, if any, of royalties or other income received by New York University as a result of commercialization of an invention made by the Researcher.
   
   
   



5. Immediate Family means the Researcher’s spouse, children, siblings, parents, or equivalent relatives by marriage, or other individuals regularly residing in the Researcher’s household.



6. The Research Period means the period from the time the Researcher’s active and personal involvement in the research begins until: a) the Researcher’s active and personal involvement in the research ends; or b) the University’s involvement in the research ends, whichever is later.

1. A Principal Investigator/Project Director submitting a proposal for review by his or her dean, or receiving an award based on an informal request, will complete and file a Researcher’s Disclosure Statement, and will ensure that all Researchers appointed by him or her also complete and file Researcher’s Disclosure Statements as required by these Guidelines.



2. If neither the Principal Investigator/Project Director nor a member of his or her Immediate Family has a Financial Interest in a commercial entity that will participate in the research, and there is no other Researcher (or any member of his or her Immediate Family) who has such an Interest, the Researcher’s Disclosure Statement(s) should accompany the proposal or award for administrative processing as usual by the Dean’s Office.



3. If the Principal Investigator/Project Director (or a member of his or her Immediate Family) has a Financial Interest in a participating commercial entity, and/or if any other Researcher (or a member of his or her Immediate Family) has such an Interest, the Researcher’s Disclosure Statement(s) should be transmitted in confidence directly to the dean or to his or her designee for review. Processing of the proposal or award will be postponed, pending the written approval of the dean or of his or her designee; or, if there is a deadline for submission or acceptance, processing will proceed on condition such approval is forthcoming within 30 days, after which the proposal may be withdrawn or the award returned.



4. Upon receiving a confidential disclosure of the Financial Interest of a Researcher or of a member of his or her Immediate Family, the dean will within 30 days undertake a review of such disclosure, or at his or her option, submit such disclosure to another individual or committee duly appointed by him or her to advise him or her in these matters, and determine in a written notice to the Principal Investigator/Project Director whether the research should proceed. All such determinations, and the basis for them, will be documented by the dean, maintained together with the Researcher’s Disclosure Statement(s) in official school records, and reported to sponsors as required by the terms of any sponsored agreement.



5. Disclosure review will take into account, among other considerations, the nature and extent of the conflict of interest, as weighed against the interests of the research, what steps, if any, may serve to eliminate or mitigate it, and whether, and under what conditions, if any, a waiver is appropriate.



6. Failure to comply with the requirements of these Guidelines may lead to sanctions, including reprimand, censure, termination of funding, ineligibility for proposal submission, suspension, and dismissal or expulsion.

• The University’s Obligation
  
  The University is obligated by the State Board of Regents to provide indemnification under specified conditions to trustees, officers, and employees. Section 18 of the University Charter provides that “Any person made a party to any action, suit or proceeding by reason of the fact that he or she, his or her testator or his or her intestate, is or was an officer or employee of New York University, or an officer or member of the Board of Trustees of said University, or an officer or member of the managing board of any separate administrative unit of said University, or of any corporation which he or she served as such at the request of said University, shall be indemnified by said University against the reasonable expenses, including attorneys’ fees, actually and necessarily incurred by him or her in connection with the defense of such action, suit or proceeding, or in connection with any appeal therein, except in relation to matters as to which it shall be adjudged in such action, suit, or proceeding that such person is liable for negligence or misconduct in the performance of his or her duties. Such right of indemnification shall not be deemed exclusive of any other rights to which such person may be entitled apart from the provisions of this paragraph.”



• Additional Activities Deemed To Be Within the Scope of Employment of Faculty Members
  
  In addition to the normal range of intramural activities traditionally considered to fall within the scope of employment of a member of the New York University faculty, it is recognized that members of the faculty, as members of a collegial and learned profession, are called upon from time to time and for nominal or no compensation to evaluate the scholarship or other qualifications of members of faculties of other institutions of higher learning for purposes of promotion or tenure. Where a member of the University faculty undertakes such activity, he or she shall be afforded the same degree of legal protection by the University for that activity as for his or her other faculty duties whenever an equivalent degree of protection is not provided by the other institution.
  
  Similarly, it is recognized that faculty members of other institutions of higher learning often participate in tenure and promotion evaluations of members of the New York University faculty. Where such external persons are not entitled to receive legal protection from their own institutions for such participation in New York University faculty evaluations, the University is prepared to offer them such protection on the same terms and conditions as it is afforded to our own faculty.



• Litigation over Confidential Evaluations
  
  In order to preserve a meaningful process of peer review for promotion and tenure, it is vital to obtain candid analysis and opinion from qualified scholars. Therefore, it is the general policy of New York University to treat as confidential all evaluations of University faculty, making only such limited exceptions as are necessary to permit informed review of promotion and tenure decisions by the appropriate decision makers and review panels within the University. Where external litigation arises, it is the policy of the University to preserve the confidentiality of evaluations wherever possible. It is recognized, however, that situations may arise in which binding and enforceable court orders will compel the University either to surrender confidential documents or information or to face contempt proceedings. In such cases, the University must make a conscientious judgment as to the appropriate course to follow. Where a faculty member of the University properly maintains exclusive possession of a confidential document or exclusive knowledge of facts which are the subject of a court disclosure order, he or she may similarly be faced with a choice between compelled disclosure and contempt. It is the policy of the University under such circumstances, to furnish the faculty member with legal assistance should he or she choose to resist such order by asserting in good faith, a conscientious belief that disclosure would significantly infringe on academic freedom. In the event legal services are supplied directly to a faculty member or by outside counsel in connection with any actual or threatened action to hold such faculty member in contempt, this shall not be construed as reflecting any view of the University in support of the position expressed by the faculty member. Should the faculty member eventually be subject to a final order or judgment imposing sanctions or penalties for a refusal to make disclosures, such sanctions or penalties would be borne by the faculty member.



• Procedures for Furnishing Legal Assistance to Faculty
  
  Where a faculty member wishes to request indemnification under the provisions of Section 18 of the University’s charter (and as further defined by this memorandum), he or she must promptly notify the University’s Office of Legal Counsel, in writing, of any actual or threatened action, suit, or proceeding, as to which entitlement to indemnification is claimed.
  
  The Office of Legal Counsel shall have the option to provide legal services directly to an entitled faculty member or to have the matter referred to appropriate outside counsel. Where the Office of Legal Counsel determines that the matter should or must (because of a conflict of interest between the faculty member and the University) be referred to outside counsel, the final choice of the particular outside counsel shall be made jointly by the Office of Legal Counsel and the faculty member, and the fee arrangements must be approved by the Office of Legal Counsel.



• Questions of Entitlement
  
  Where a question arises as to a faculty member’s entitlement to indemnification, the matter shall be referred to the General Counsel of the University for a determination. If a request for indemnification is denied in a case arising from a faculty member’s refusal to comply with a court order to disclose confidential information, the faculty member may request a review of the determination by the Faculty Senators Council Grievance Committee. That committee shall make a recommendation to the Chancellor of the University, whose decision shall be final. These provisions, however, shall not preclude any faculty member denied indemnification from thereafter seeking judicial review of such denial.

• Consultation Procedure.
  
  Because one of the main responsibilities of the faculty is the curriculum, no program leading to a degree or certification in any school of the University should be discontinued or reorganized without the involvement of the faculty of that school in reaching the decision.
  
  When discontinuance or reorganization of a particular program is proposed, the entire matter is to be considered by an appropriate elected standing committee of the faculty of the school concerned (e.g., Policy and Planning Committee, Academic Affairs Committee, etc.) with the President of the Student Council of the affected school as an ad hoc member.
  
  The department concerned should have the opportunity to present a proposal for continuation and/or reorganization to the committee. Such a proposal should have the support of a majority of the voting members of that department, although minority reports should be admissible for consideration.
  
  The committee should have access to all pertinent information including, but not limited to:
  
  
  1. The reasoning behind the proposed termination or reorganization.
  
  
  
  2. The administrative history of the program, including what actions have been taken over the preceding five years which were supportive or non-supportive of the program.
  
  
  
  3. All recent academic evaluations of the program by both internal and external evaluators.
  
  
  
  4. All financial data relevant to the program and related programs, including estimated costs for retaining it or reorganizing it as a quality program consistent with the standards of New York University, and the probable impact such expenditures would have on other programs in the school.
  
  
  
  The committee should also allow and encourage other appropriate members of the University community to provide further information and opinions, orally or in writing.
  
  When it has concluded its study, the committee should report to the dean of the school and to the faculty of the school.
  
  After the committee has made its report, the faculty will have the opportunity to vote on whether the program should be maintained.



• Decision Making.
  
  If the faculty recommends that a program be discontinued or reorganized, this should be done. If the faculty recommends that the program be maintained, and if this is not feasible, the degree, if any, to which it can be maintained/supported should be negotiated between faculty and administration. After a final decision has been reached, the administration must issue a written report to the faculty stating the reasons for the decision.
  
  Should termination or reorganization involve an entire school, the above procedure would be conducted by the Faculty Council.
  
  (Resolution of the Board of Trustees adopted on December 1, 1997)
  
  WHEREAS, on December 10, 1979, the Board of Trustees of New York University adopted a resolution providing for “Procedures for Termination or Reorganization of Academic Programs” (the “Prior Resolution”); and
  
  WHEREAS, it has become advisable to adopt the resolutions set forth below concerning the applicability of the Prior Resolution in connection with the potential merger or other combination of the NYU Hospitals Center and/or NYU Health System with the Mt. Sinai hospitals and/or Mt. Sinai Health Systems (the “Potential Hospital Combination”) and the potential affiliation between Mt. Sinai School of Medicine and New York University (the “Potential Affiliation”);
  
  Now therefore, it is hereby
  
  RESOLVED that, the Board of Trustees reaffirms that the Prior Resolution shall apply only to (i) a proposed discontinuation of an existing academic program (or programs) leading to a degree or certification at New York University which, at the time such discontinuance is authorized, explicitly provides for the complete discontinuance of such academic program (or programs), or (ii) a proposed reorganization of an existing academic program (or programs) leading to a degree or certification at New York University which, at the time such reorganization is authorized, explicitly provides for an immediate reduction in the number of existing tenured faculty holding positions in such program (or programs); and it is further
  
  RESOLVED that, in any event, the Prior Resolution shall not apply to the Potential Hospital Combination or the Potential Affiliation unless the Potential Hospital Combination and/or the Potential Affiliation were explicitly to provide for (i) the complete discontinuance of any academic program (or programs) at the NYU School of Medicine, or (ii) an immediate reduction in the number of existing tenured faculty holding positions in any program (or programs) at the NYU School of Medicine; and it is further
  
  RESOLVED that, neither these resolutions nor the Prior Resolution shall create or confer any private right of action or standing on any person or group employed by or affiliated in any way with New York University to pursue any claim or cause of action whatsoever in law or equity, or to pursue any other type of proceeding, in any court, agency of government or other forum or tribunal external to the University; and it is further
  
  RESOLVED that, any question or dispute as to the meaning, applicability or implementation of these resolutions or the Prior Resolution shall be decided solely by the Board of Trustees of New York University whose decision shall be final and binding.

• Members of the same immediate family, or of the same household, cannot work in the same department without prior approval from the Sr. Vice President for Operations and Administration;



• A supervisor/employee relationship between members of the same family or household may not exist at the time of hire or at any time thereafter;



• One member of a family or household may not make decisions or recommendations concerning the conditions of employment, salary, or promotion of another member of the same family or household.

1. Research Ethics
   
   All members of the faculty are expected to conduct their scholarly research and publish the results of that research consistent with the highest standards of ethical conduct, truth, and accuracy. Any instance of suspected academic fraud or misconduct should be reported to the dean of the relevant school and the Provost. In accordance with federal regulations, the University has established policies and procedures for responding to allegations of research misconduct. The policies and procedures describe the University process for conducting resulting inquiries and investigations. Faculty and students are required to cooperate fully in any inquiry or formal investigation of such allegations, e.g., by providing requested documents and information.



2. Openness of Research
   
   The University does not conduct or permit its faculty to conduct secret or classified research. This policy arises from concern about the impact of such restrictions on two of the University’s essential purposes: to impart knowledge and to enlarge humanity’s store of knowledge. Both are clearly inhibited when open publication, free discussion, or access to research are limited. For the same reasons, the University requires that investigators be able to publish the results of their research without prior approval of a sponsor. Agreements may, however, permit sponsors a brief period to review proposed publications and presentations to identify 1) proprietary information that may require patent or copyright protection, or 2) information confidential to the sponsor that must be removed. In general sponsors are granted review periods of 30 to 45 days prior to submission for publication, but review and delay periods should total no more than 90 days.



3. Data Management
   
   The University requires that all documents related to federally sponsored projects, including primary research data, be available to federal auditors for the period specified by federal regulation – in most cases, a period of three years from the filing of the final financial report. NYU expects faculty members to retain all research data, whether resulting from federal sponsorship or not, in their laboratories or other bona fide research locations, and to provide access to the data when requested to do so by authorized institutional officials. Requests from sponsors for access to research data should be forwarded to the appropriate Offices of Sponsored Programs before a response is made. Subpoenas for research data should be promptly forwarded to the Office of Legal Counsel for review.



4. Principal Investigator Status
   
   In order to ensure that research is conducted by those who have the requisite training and skill, as well as the appropriate relationship to NYU, the University will normally sponsor proposals only when the principal investigator or project director is employed full-time by the University and holds an appointment as assistant professor, associate professor or professor. For the special case of training grants clinical professors, clinical associate professors and clinical assistant professors are permitted to serve as Principal Investigators with the approval of the department chair and the dean. For research scientists/scholars or senior research scientists/scholars, requests for Principal Investigator status must come from the department chair and be directed to the Provost or, where appropriate, the dean of the relevant professional school.



5. Intellectual Property
   
   It is University policy to take title to patents that result from the research activities of faculty, staff and students. In contrast, faculty may retain copyright of their lecture notes, manuscripts and other writings, subject to certain well-defined exceptions [See the Statement of Policy on Patents, Statement of Policy on Copyrights]. The University has created the Office of Industrial Liaison [www.nyu.edu/oil] whose mission is to manage all activities relating to the protection and commercial promotion of intellectual property and to assist faculty in such commercialization.



6. Research Involving Human Subjects
   
   In accordance with federal regulations and University policy, the University has negotiated a Federal Wide Assurance, filed with the U.S. Department of Health and Human Services, which requires that every NYU investigator conducting human subjects research, whether or not funded by a federal sponsor, must submit a proposed research plan to the appropriate NYU institutional review board (IRB) for review. In addition, investigators who participate in human subjects research must complete training in human subjects research, and otherwise must comply with IRB policies and procedures. Research may not begin until the IRB has fully approved the research plan and all related consent documents, and the required training has been completed. Further information and a full statement of applicable University policies and procedures are available on the Research page of the University’s website (at Washington Square: http://www.nyu.edu/ucaihs/ and at the School of Medicine: http://www.med.nyu.edu/irb/).



7. Research Involving Animals
   
   The study of live vertebrate animals is an integral part of the University’s research and teaching missions and is a privilege regulated by legal, state, and federal agencies. Faculty members contemplating using live vertebrate animals in research, teaching, or testing should refer to the websites for the University Animal Welfare Committee (UAWC), at Washington Square: http://www.nyu.edu/uawc/ and the Division of Laboratory Animals at the School of Medicine, http://www.med.nyu.edu/DLAR/. Work with live vertebrate animals may not begin until all required training and approvals are obtained.



8. Environmental Safety
   
   The University has developed guidelines and procedures for handling radioactive materials, hazardous chemicals, potentially hazardous biological materials, and controlled substances, as well as for other aspects of research relating to occupational and environmental safety. These policies are generally administered by the Office of Environmental Services (OES). Any investigator planning to use such materials must consult with OES for guidance on required training, required protocol review, proper handling, state and federal safety regulations, proper procedures in the event of spillage, etc., prior to initiating a study or bringing such materials into a laboratory. In most instances, a laboratory must be inspected and approved by OES before hazardous substances are brought to that location at the University. Protocols calling for the use of certain substances must receive prior review by the cognizant Safety Committee.
   
   All research that involves recombinant DNA must be conducted in accordance with the NIH Guidelines for Research Involving Recombinant DNA Molecules. All non-exempt rDNA research at both Washington Square and the Medical School must be approved by the University's Institutional Biosafety Committee, http://www.med.nyu.edu/spa/compliance/biosafety/policies.html
   
   For more information, see the OES website,
   http://www.nyu.edu/environmental.services/biosafety.shtml

• There be a significant departure from accepted practices of the relevant research community; and



• The misconduct be committed intentionally, knowingly, or recklessly; and



• The allegation be proven by a preponderance of the evidence.

1. That research, teaching, and patient care should conform to the highest standards;



2. That members of the academic community have a responsibility to report what they believe to be research misconduct and to cooperate in investigations of research misconduct; this duty of cooperation includes the obligation to provide all documentation reasonably requested by those charged with investigatory responsibilities herein;



3. That allegations of research misconduct are to be investigated promptly, thoroughly, objectively and fairly; and



4. That the rights and reputation of all parties involved in allegations of research misconduct, including those suspected of research misconduct and those who report research misconduct in good faith, are to be protected.

• Reporting Allegations
  
  
  • An initial report of suspected research misconduct should be brought to the attention of a faculty member, the Director of Undergraduate or Graduate Studies of the school or the Director of Compliance, either anonymously or in person. Those individuals should inform the Dean of the school in which the respondent is employed. Allegations involving the Dean should be brought directly to the Provost. In any instance involving an allegation against a Dean, the word “Dean” as used below shall be deemed to mean the Provost or his or her designee.


• Initial Inquiry
  
  
  • The Dean shall determine whether to authorize a preliminary inquiry or to resolve the allegations through informal processes without further inquiry, and ensure that such resolution is consistent with the appropriate agencies. When reviewing an allegation of research misconduct, the Dean shall determine: (1) if the factual allegation falls within the definition of research misconduct as set forth in “Principles” above and (2) is sufficiently credible and specific so that potential evidence of research misconduct may be identified. If the allegation does not meet both of these requirements, the Dean shall dismiss the complaint and set forth the reasoning therefore in a memorandum maintained for a period of seven (7) years. If the allegation does meet both the above-stated requirements, the Dean shall begin an Inquiry in the manner set forth as follows. The Dean shall appoint at least three persons, with no more than two members from the accused’s (designated as the respondent) department or accuser’s (designated as the complainant) department. They shall make a determination as to whether or not a formal investigation should be carried out. The individuals appointed to undertake the inquiry must be fair, objective and impartial and must possess, where required, the competence to understand the research in question.
    
    At the time of or before the beginning of the inquiry the respondent, shall be advised in writing of the accusation and of the existence of the preliminary inquiry. The inquiry committee must, on or before the date on which the respondent is notified or the inquiry begins, whichever is earlier, and whenever additional items become known or relevant, promptly take all reasonable and practical steps to obtain custody of all research records and evidence needed to conduct the research misconduct proceeding. The inquiry and its findings shall not otherwise be disclosed by the investigators, except as necessary to carry out the assignment, or as otherwise provided herein. Upon initial inquiry the committee will prepare a written report. The form of such report shall conform to the sponsoring agency’s requirements. The preliminary inquiry must be completed within sixty (60) calendar days of its initiation, unless circumstances warrant a longer period. If more than sixty (60) days is taken, the record must include documentation of the reasons for the extension of time. Alternatively if the sponsoring agency requires a different time frame, the inquiry will follow the agency’s requirements.
  
  
  
  • Based on the recommendations of the inquiry committee, the Dean shall either dismiss the allegations for lack of merit, or initiate a formal investigation. Should the Dean decide not to investigate, sufficiently detailed documentation of the inquiry to permit a later assessment must be kept for at least seven (7) years after the termination of the inquiry. Should the Dean determine that a formal investigation is warranted, the Dean shall notify the complainant, the respondent, and the department chair, following the sponsoring agency’s regulations. If the charges are dismissed for lack of merit, the Dean shall give notice of that fact to the respondent and complainant in writing. Should the Dean decide to initiate an investigation, he or she will notify the Compliance Officer of the University, and the Provost who is responsible for notifying any sponsoring agency, and, if a pending work is in question, the publisher or any other recipient organization.
  
  
  
• Formal Investigation and Action



• If the Dean has determined that formal investigation is warranted, he or she will promptly appoint a five member ad hoc committee. Such committee may decide that the investigation will encompass the review of all research with which the individual has been involved. The individuals appointed must be fair, objective and impartial and must possess sufficient competence to understand the research in question. The committee should include one or more persons with expertise in the area in question, persons from at least two different schools of the University, and no person with prior involvement in the subject matter of the inquiry. When required by federal regulations, the Provost shall notify the appropriate Federal Office as required. If the respondent leaves the institution or refuses to cooperate, the investigation will continue according to the prescribed procedures.



• In conducting the investigation, the committee shall comply with such procedures as may have been promulgated by the Provost of the University and as may be required by the regulations of the sponsoring agency. Because the findings of this committee will serve as the factual basis for any subsequent disciplinary proceedings against the respondent, the procedures will provide an impartial and unbiased investigation and a full and fair opportunity for the person to be informed of and defend against the charges.
  
  Any such procedures shall include, at the minimum, the following provisions:
  
  
  1. right of the respondent to a clear written statement of the charges, such notice to be provided within a reasonable time after determining an investigation is appropriate, but before the investigation begins;
  
  
  
  2. right of the respondent to appear before the committee and present testimony on his or her behalf;
  
  
  
  3. right of the respondent to be accompanied by counsel when appearing before the committee;
  
  
  
  4. right of the respondent to a copy of a tape-recording which shall be made of all testimony; however, the committee shall deliberate and may discuss procedural matters in executive session;
  
  
  
  5. right of the respondent to examine the committee’s file of non-confidential documents, receive a draft of the committee’s final report, and comment upon it in writing and/or by appearing before the committee to present arguments in rebuttal;
  
  
  
  6. right of the respondent to a finding determined by majority vote on the basis of a preponderance of evidence;
  
  
  
  7. right of the respondent to a prohibition on all committee members, additional staff, and secretarial assistants from disclosing committee proceedings at any time, except as otherwise provided by these rules or required by law.
  
  
  
• The committee shall conduct its investigation with all deliberate speed and submit to the Dean a written report of its findings of fact and conclusions along with the entire file on the case. A copy of the report shall also be submitted to the respondent by certified mail, with return receipt. The respondent may, if he or she desires, make a statement in writing within ten (10) working days of delivery of the report, and this statement shall be considered by the Dean in conjunction with the committee report. If the Dean finds the report of the committee deficient in any major respect, the Dean may remand the report to the same committee for further consideration or may appoint a new committee.
  
  The outcome of the fact-finding shall be reported to any organization given prior notice under the provisions of section II-B.



• If the investigation determines that the allegations are without merit and the Dean agrees, he or she shall make all reasonable efforts to protect or restore the reputation of the respondent. If the Dean finds that allegations were made in bad faith, he or she shall recommend appropriate action against the complainant in accord with the relevant disciplinary regulations of the University.



• If the Dean agrees that the alleged misconduct is substantiated by a thorough investigation, and determines that 1) research misconduct has occurred by significant departure from accepted practices of the research community for maintaining the integrity of the research record, 2) the misconduct was committed intentionally, or knowingly, or in reckless disregard of accepted practices and 3) the allegations have been proven by a preponderance of evidence, he or she shall recommend sanctions including but not limited to the following: dismissal, suspension, reprimand, limitation on grant submissions, suspension or monitoring of research. The Dean shall submit this recommendation to the disciplinary committee or administrator appropriate to the employment status of the accused:
  
  
  1. The procedure to be followed in the case of faculty misconduct is as outlined in Title IV of the University’s Statement in Regard to Academic Freedom and Tenure (see page 21), unless the Dean recommends dismissal of a tenured faculty member, in which case he or she shall follow University rules set forth in Title III of the University’s Statement in Regard to Academic Freedom and Tenure.
  
  
  
  2. In the case of students implicated in an inquiry into misconduct, the outcome of fact-finding and the Dean’s finding that allegations are substantiated, shall be reported to the discipline committee (or its equivalent) of the School in which the student is enrolled.
  
  
  
  3. In the case of all other employees implicated in an inquiry of misconduct, the outcome of fact-finding and the Dean’s finding that allegations are substantiated shall be referred to the appropriate Dean or Vice President for action in accordance with applicable procedure.
  
  
  
• Because of the special and technical nature of the facts and issues in these cases, the hearing committees provided for in Titles III and IV of the University’s Statement in Regard to Academic Freedom and Tenure (see page 21), the disciplinary committees established pursuant to the various school disciplinary procedures, or the Dean or Vice President responsible for disciplinary action with respect to other employees shall not re-find the facts, but shall treat the report of the formal investigative committee, established in section III-A of this report, as the factual basis for their proceedings. If the Title III or IV hearing committee or, in the case of students or non-faculty employees, the relevant discipline committee or administrator, finds the report to be inadequate, the discipline committee or administrator shall refer the report back to the Dean of the affected school for clarification or augmentation.



• When a decision reached by the hearing committee under Title III or IV or other appropriate person or committee in the case of a non-faculty employee or student has become final, the Dean shall notify the individuals and agencies listed in section IIB of the decision. In addition, if alleged misconduct is substantiated, the dean shall notify editors of any other affected journals and publications as well as institutions, individuals, and sponsoring agencies (or their designees) with which the individual has been affiliated.



• Any appeal shall proceed under the appropriate provisions of Title III or IV (as amended) or other applicable rule in the case of a non-faculty employee or student.

1. Favoring of outside interests. When a university staff member (administrator, faculty member, professional staff member, or employee) undertaking or engaging in Government-sponsored work has a significant financial interest in, or a consulting arrangement with, a private business concern, it is important to avoid actual or apparent conflicts of interest between his or her Government-sponsored university research obligations and outside interests and other obligations. Situations in or from which conflicts of interest may arise are the:
   
   
   • Undertaking or orientation of the staff member’s university research to serve the research or other needs of the private firm without disclosure of such undertaking or orientation to the university and to the sponsoring agency;
   
   
   
   • Purchase of major equipment, instruments, materials, or other items for university research from the private firm in which the staff member has the interest without disclosure of such interest;
   
   
   
   • Transmission to the private firm or other use for personal gain of Governmentsponsored work products, results, materials, records, or information that are not made generally available. (This would not necessarily preclude appropriate licensing arrangements for inventions, or consulting on the basis of Governmentsponsored research results where there is significant additional work by the staff member independent of his or her Government-sponsored research);
   
   
   
   • Use for personal gain or other unauthorized use of privileged information acquired in connection with the staff member’s Government-sponsored activities.
     
     (The term “privileged information” includes, but is not limited to, medical, personnel, or security records of individuals; anticipated material requirements or price actions; possible new sites for Government operations; and knowledge of forthcoming programs or of selection of contractors or subcontractors in advance of official announcements);
   
   
   
   • Negotiation or influence upon the negotiation of contracts relating to the staff member’s Government-sponsored research between the University and private organizations with which he or she has consulting or other significant relationships;
   
   
   
   • Acceptance of gratuities or special favors from private organizations with which the university does or may conduct business in connection with a Governmentsponsored research project, or extension of gratuities or special favors to employees of the sponsoring Government agency, under circumstances which might reasonably be interpreted as an attempt to influence the recipients in the conduct of their duties.
   
   
   



2. Distribution of effort. There are competing demands on the energies of a faculty member (for example, research, teaching, committee work, outside consulting). The way in which a faculty member divides his or her effort among these various functions does not raise ethical questions unless the Government agency supporting the faculty member’s research is misled in its understanding of the amount of intellectual effort the faculty member is actually devoting to the research in question. A system of precise time accounting is incompatible with the inherent character of the work of a faculty member, since the various functions he or she performs are closely interrelated and do not conform to any meaningful division of a standard work week. On the other hand, if the research agreement contemplates that a staff member will devote a certain fraction of effort to the Government-sponsored research, or the faculty member agrees to assume responsibility in relation to such research a demonstrable relationship between the indicated effort or responsibility and the actual extent of his or her involvement is to be expected. Each university, therefore, should—through joint consultation of administration and faculty—develop procedures to assure that proposals are responsibly made and complied with.



3. Consulting for Government agencies or their contractors. When the staff member engaged in Government-sponsored research also serves as a consultant to a Federal agency, his or her conduct is subject to the provisions of the Conflict of Interest Statutes (18 U.S.C. 202-209 as amended) and the President’s memorandum of May 2, 1963, Preventing Conflicts of Interest on the Part of Special Government Employees. When the staff member consults for one or more Government contractors, or prospective contractors, in the same technical field as his or her research project, care must be taken to avoid giving advice that may be of questionable objectivity because of its possible bearing on the staff member’s other interests. In undertaking and performing consulting services, he or she should make full disclosure of such interests to the university and to the contractor in so far as they may appear to relate to the work at the university or for the contractor. Conflict of interest problems could arise, for example, in the participation of a staff member of the university in an evaluation for the Government agency or its contractor of some technical aspect of the work of another organization with which he or she has a consulting or employment relationship or a significant financial interest, or in an evaluation of a competitor to such other organization.

• Objectives
  
  The policies and procedures with respect to patentable inventions developed at New York University are directed toward the following objectives and purposes: (a) establishment of an orderly system whereby inventions resulting from research conducted under University auspices will be developed and utilized in the best interests of the public, the inventor, and the University; (b) provision for both the University and the inventor to share equitably the royalties and other income arising out of inventions developed under University auspices.



• Administration
  
  
  • Any school or college of the University may establish a school or college patent committee that shall make recommendations to the dean on matters pertaining to inventions and patents within the school or college.
  
  
  
  • The recommendations of the school or college shall be subject to the general oversight of the University Sponsored Research Committee and approval by the Chancellor of the University.
  
  
  
• Contract with University Patents, Inc.
  
  
  • The University, exclusive of the Medical Center, has entered into an agreement with University Patents, Inc., a patent management firm engaged in the business of promoting patentable inventions, whereby the University will submit to University Patents, Inc., any invention to which the University has acquired or has the right to acquire title and rights to commercial exploitation and which the University believes may be patentable and should be developed for use by the public. Such invention may or may not be accepted by University Patents, Inc., depending upon the evaluation of the invention made by University Patents, Inc.;
  
  
  
  • Upon accepting an invention (i) University Patents, Inc., acquires sole right and title, subject to contractual obligations of the University, to the invention and all patents obtained thereon; (ii) University Patents, Inc., uses its best efforts to obtain a patent on and to license the invention; (iii) University Patents, Inc., pays to the University a certain portion of the royalties or other income arising from the invention as set forth in the agreement with University Patents, Inc.;
  
  
  
  • Copies of the agreement between the University and University Patents, Inc., are kept on file in the Office of the Chancellor.
    
    Research is an integral part of the educational program at New York University. Such activity, stemming from the interests of the University staff, is part of the staff’s regular employment, and, in some instances, is covered by contractual arrangements with sponsors. In the latter situation, patent and invention rights of the inventor and the University are generally defined.
    
    The next two sections, IV and V, of this Patent Policy delineate procedures for processing inventions developed under these two different sets of circumstances: (a) inventions developed by faculty, staff, and students and (b) inventions developed on University research projects and sponsored research projects.
  
  
  
• Inventions Developed by Faculty, Staff, and Students
  
  
  • As a condition of either employment or continued employment by the University, or the receipt or continued receipt by a student of support from or through the University, every member of the faculty or research staff, or other employee or student shall promptly after discovery submit to the Office of Sponsored Programs or to his or her school or college committee if one exists, any invention, which reasonably could be considered patentable, developed by him or her, or with some other person, either in the course of his or her employment by the University or in connection with research or related activities as a student. The University shall offer the invention to University Patents, Inc., pursuant to the terms of the aforementioned agreement between it and the University; or shall offer said invention to some other entity under similar conditions; or shall take other steps to evaluate and exploit the invention; or declare its lack of interest to the inventor within a reasonable time. In the event the University rejects the invention, it shall become the property of the inventor or inventors, subject, however, to the limitations set forth in paragraph (f) hereof.
  
  
  
  • The term “in the course of his or her employment by the University” shall not, however, include activities arising in approved consulting work.
  
  
  
  • If such invention is accepted by University Patents, Inc., or other entity, both the University and the inventor or inventors thereof shall assign all their right, title, and interest in the invention to University Patents, Inc., or to said other entity, and the invention shall become the sole property of University Patents, Inc., or of said other entity, pursuant to the terms of the aforesaid agreement between the University and University Patents, Inc., or between the University and said other entity, as the case may be. Should the University itself choose to exploit the invention, the inventor or inventors shall assign all right, title, and interest in the inventions to the University. Regardless of the identity of the assignee, the inventor or inventors shall at all times cooperate with the assignee in patenting and exploiting the invention.
  
  
  
  • The University shall pay to the inventor or inventors, his, her, or their heirs, executors, administrators, or assigns a portion of the net proceeds paid to the University, and such portion shall consist of and be computed exclusively from money received by the University from University Patents, Inc., or other entity and arising out of commercial exploitation of the invention. The University shall establish rules and procedures for determining what portion of the monies paid to the University by University Patents, Inc., or other entity and arising out of a particular invention shall be paid to the inventor or inventors of such invention. All decisions of the University determining the payments to be made to a particular inventor and the reasons for such decision shall be set forth in writing. The inventors’ collective share of such net proceeds received by the University from the invention shall ordinarily be fifty percent (50%). Royalties and other income shall, where appropriate, be allocated and expended by the University in accordance with federal regulations governing the use of such funds. Where an invention is developed by more than one person, the inventors shall decide among themselves their respective shares of the inventors’ collective share of net proceeds and shall provide to the Office of Sponsored Programs a written agreement signed by all of the inventors designating their respective shares and authorizing the University to make payments in accordance therewith. One-third of the net proceeds retained by the University shall be allocated to the department in which the invention was made, one third to the school or college in which the invention was made, and one third to the University.
  
  
  
  • The payments to which any inventor shall be entitled hereunder shall be made within ninety (90) days after the receipt by the University of the monies derived from his or her invention during the year. In addition the University shall furnish the inventor or inventors with a copy of the statement of activity and computation furnished to the University by University Patents, Inc., or other entity, pursuant to its contract with the University.
  
  
  
  • In the event University Patents, Inc., or other entity shall reject an invention submitted to it, the Office of Sponsored Programs, with the approval of the Chancellor, may nevertheless, on behalf of the University determine to pursue the exploitation of such invention and shall so indicate by notice mailed to the inventor or inventors within a reasonable time after receipt of notice of the rejection by University Patents, Inc., or other entity. In such event, the inventor or inventors shall assign all their right, title, and interest in the invention to New York University, which shall diligently pursue the exploitation of the invention. The invention shall become the sole property of the University, and the provisions of paragraphs (d) and (e) hereof shall be applicable with respect to the distribution of all monies received by the University and arising out of commercial exploitation of the invention.
    
    If the invention is rejected by University Patents, Inc., or other entity, and the University shall thereafter in writing decline to exploit said invention or fail to pursue diligently its exploitation after written demand by one or more of its inventors to do so, the University shall be deemed to have waived its rights in the invention. The inventor or inventors shall then be free to take such action as he or she or they deem desirable to obtain a patent upon the invention and otherwise exploit and develop such invention. In no event shall the inventor or inventors use the name of the University in exploiting the invention without the consent of the University.
  
  
  
• Inventions Developed on University Research Projects and Sponsored Research Projects
  
  
  • The University conducts special research projects which may be sponsored (i) by the University through special appropriation; (ii) by some other person, corporation, or governmental agency under an agreement with the University. Such special research projects are understood to be those which operate under contractual agreements or Memoranda of Understanding.
  
  
  
  • No person shall be assigned to any special research project as defined above unless he or she shall first sign a written statement that he or she agrees (i) to be bound by the terms of any contract or agreement between the University and any person, corporation, or other agency sponsoring such special research project to the extent that the terms of such agreement provide for the disposition of inventions developed in connection therewith, or in the absence of any such contract or agreement (ii) to be bound by the provisions of Part IV hereof with respect to any invention developed by him or her, either alone or in conjunction with some other person, as a result of his or her assignment to such special research project; and (iii) to submit any such invention to the Office of Sponsored Programs to be processed pursuant to the procedure set forth in Part IV above.
  
  
  

1. If the matter of copyright protection is not explicitly made a part of any contractual document or grant between the sponsor and the University, the University staff whose activities are covered by such documents are free to seek copyright protection in accordance with the practice described in the introductory paragraph of this statement.



2. If the contractual or granting document covering any research or training program at the University has explicit reference to copyright protection, the University staff whose activities are so covered are bound by those conditions and are obligated to do all things necessary to enable the University to fulfill its obligations.



3. The University shall notify each research project director of obligations with respect to copyright which may exist by virtue of contract provisions relating to his or her particular activities.



4. If, in any particular case, it seems desirable to obtain copyright protection, the matter should be referred to the Office of Sponsored Programs at Washington Square. A decision based upon the particular facts presented will be made after consultation between personnel of that office and the research project director in charge of the matter in question.

1. The principles of the copyright law are designed to promote the creation, publication, and use of works of the intellect. These principles include both the exclusive rights of copyright owners to determine certain uses of their works (in not-for-profit as well as commercial contexts), and certain exceptions including the doctrine of “fair use”. These precepts are in the mutual interest of the university, author, and publisher communities and of the public.



2. Under the copyright laws, certain photocopying of copyrighted works for educational purposes may take place without the permission of the copyright owner under the doctrine of “fair use” (presently set forth in Section 107 of the Copyright Act). This principle is subject to limitations, but neither the statute nor judicial decisions give specific practical guidance on what photocopying falls within fair use. To achieve for faculty greater certainty of procedure, to reduce risks of infringement or allegations thereof, and to maintain a desirable flexibility to accommodate specific needs, the following policies have been adopted by the University for use through December 31, 1985 (and thereafter, unless modified). On or before December 31, 1985 the University will review these policies to determine their effect and whether modifications, based on our experience, might be needed. If members of the faculty experience any problems or have suggestions, they are asked to communicate them to the Office of Legal Counsel.



• The Guidelines set forth in Appendix I are to be used to determine whether or not the prior permission of the copyright owner is to be sought for photocopying for research and classroom use¹⁰. If the proposed photocopying is not permitted under the Guidelines in Appendix I, permission to copy is to be sought. An explanation of how permissions may be sought and a procedure for furnishing to the administration information concerning the responses by copyright owners to requests for permission is set forth in Appendix II. After permission has been sought, copying should be undertaken only if permission has been granted, and in accordance with the terms of the permission, except as provided in the next paragraph.



• The doctrine of fair use may now or hereafter permit specific photocopying in certain situations, within limitations, beyond those specified in the Guidelines¹¹ or those that might be agreed to by the copyright owner. In order to preserve the ability of individual faculty members to utilize the doctrine of fair use in appropriate circumstances without incurring the risk of having personally to defend an action by a copyright owner who may disagree as to the limits of fair use, a faculty member who has sought permission to photocopy and has not received such permission (or has received permission contingent upon conditions that the faculty member considers inappropriate) may request a review of the matter by General Counsel of the University. If upon review the General Counsel determines that some or all of the proposed photocopying is permitted by the copyright law, the General Counsel will so advise the faculty member. In that event, should any such photocopying by the faculty member thereafter give rise to a claim of copyright infringement, the University will defend and indemnify the faculty member against any such claim in accordance with the provisions of the Board of Trustees policy on Legal Protection for Faculty Members (see page 84).



• In the absence of the determination and advice by the General Counsel referred to in paragraph B, or in the event that permission has not been first requested by the faculty member as provided in paragraph A, no defense or indemnification by the University shall be provided to a faculty member whose photocopying gives rise to a claim of copyright infringement.

• Single Copying for Teachers
  
  A single copy may be made of any of the following by or for a teacher at his or her individual request for his or her scholarly research or use in teaching or preparation to teach a class:
  
  
  • A chapter from a book;
  
  
  
  • An article from a periodical or newspaper;
  
  
  
  • A short story, short essay or short poem, whether or not from a collective work; and
  
  
  
  • A chart, graph, diagram, drawing, cartoon or picture from a book, periodical, or newspaper.
  
  
  
• Multiple Copies for Classroom Use
  
  Multiple copies (not to exceed in any event more than one copy per pupil in a course) may be made by or for the teacher giving the course for classroom use or discussion; provided that:
  
  
  • The copying meets the tests of brevity and spontaneity as defined below; and
  
  
  
  • Meets the cumulative effect test as defined below; and
  
  
  
  • Each copy includes a notice of copyright.
  
  
  
  Definitions
  
  Brevity
  
  
  • Poetry: (a) A complete poem if less than 250 words and if printed on not more than two pages or, (b) from a longer poem, an excerpt of not more than 250 words.
  
  
  
  • Prose: (a) Either a complete article, story or essay of less than 2,500 words, or (b) an excerpt from any prose work of not more than 1,000 words or 10% of the work, whichever is less, but in any event a minimum of 500 words.
  
  
  [Each of the numerical limits stated in “i” and “ii” above may be expanded to permit the completion of an unfinished line of a poem or of an unfinished prose paragraph.]
  
  
  • Illustration: one chart, graph, diagram, drawing, cartoon or picture per book or per periodical issue.
  
  
  
  • “Special” works: Certain works in poetry, prose or in “poetic prose” which often combine language with illustrations and which are intended sometimes for children and at other times for a more general audience fall short of 2,500 words in their entirety. Paragraph “ii” above notwithstanding such “special works” may not be reproduced in their entirety; however, an excerpt comprising not more than two of the published pages of such special work and containing not more than 10% of the words found in the text thereof, may be reproduced.
  
  
  
  Spontaneity
  
  
  • The copying is at the instance and inspiration of the individual teacher, and
  
  
  
  • The inspiration and decision to use the work and the moment of its use for maximum teaching effectiveness are so close in time that it would be unreasonable to expect a timely reply to a request for permission.
  
  
  
  Cumulative Effect
  
  
  • The copying of the material is for only one course in the school in which the copies are made.
  
  
  
  • Not more than one short poem, article, story, essay or two excerpts may be copied from the same author, nor more than three from the same collective work or periodical volume during one class term.
  
  
  
  • There shall not be more than nine instances of such multiple copying for one course during one class term.
  
  
  [The limitations stated in “ii” and “iii” above shall not apply to current news periodicals and newspapers and current news sections of other periodicals.]



• Prohibitions as to I and II Above
  
  Notwithstanding any of the above, the following shall be prohibited:
  
  
  • Copying shall not be used to create or to replace or substitute for anthologies, compilations or collective works. Such replacement or substitution may occur whether copies of various works or excerpts therefrom are accumulated or reproduced and used separately.
  
  
  
  • There shall be no copying of or from works intended to be “consumable” in the course of study or of teaching. These include workbooks, exercises, standardized tests and test booklets and answer sheets and like consumable material.
  
  
  
  • Copying shall not:
    
    
    • substitute for the purchase of books, publishers’ reprints or periodicals;
    
    
    
    • be directed by higher authority;
    
    
    
    • be repeated with respect to the same item by the same teacher from term to term.
    
    
    
  • No charge shall be made to the student beyond the actual cost of the photocopying.
    
    Agreed March 19, 1976.
    Ad Hoc Committee on Copyright Law Revision:
    By Sheldon Elliott Steinbach.
    
    Author-Publisher Group:
    Authors League of America:
    By Irwin Karp, Counsel.
    
    Association of American Publishers, Inc:
    By Alexander C. Hoffman,
    Chairman, Copyright Committee.
    
    

• How to Obtain Permission
  
  When a proposed use of photocopied material requires a faculty member to request permission, communication of complete and accurate information to the copyright owner will facilitate the request. The Association of American Publishers suggests that the following information be included to expedite the process.
  
  
  1. Title, author and/or editor, and edition of materials to be duplicated.
  
  
  
  2. Exact material to be used, giving amount, page numbers, chapters and, if possible, a photocopy of the material.
  
  
  
  3. Number of copies to be made.
  
  
  
  4. Use to be made of duplicated materials.
  
  
  
  5. Form of distribution (classroom, newsletter, etc. ).
  
  
  
  6. Whether or not the material is to be sold.
  
  
  
  7. Type of reprint (ditto, photocopy, offset, typeset).
  
  
  
  The request should be sent¹², together with a self-addressed return envelope, to the permissions department of the publisher in question. If the address of the publisher does not appear at the front of the material, it may be obtained from The Literary Marketplace (for books) or Ulrich’s International Periodicals (for journals), both published by the R. R. Bowkey Company. For purposes of proof, and to define the scope of the permission, it is important that the permission be in writing.
  
  The process of considering permission requests requires time for the publisher to check the status and ownership of rights and related matters and to evaluate the request. It is advisable, therefore, to allow sufficient lead time. In some instances the publisher may assess a fee for permission, which may be passed on to students who receive copies of the photocopied material.



• Gathering Data on Responses to Requests for Permission to Photocopy
  
  In order to help assess the effect of this Policy Statement upon the faculty it will be useful for the administration to compile data on responses by copyright owners. Each member of the faculty is therefore requested to forward a dated copy of each request for permission and a dated copy of each response to the Office of Legal Counsel.

With Respect to Books and Periodicals
The purpose of the following guidelines is to state the minimum standards of educational fair use under Section 107 of H.R. 2223. The parties agree that the conditions determining the extent of permissible copying for educational purposes may change in the future; that certain types of copying permitted under these guidelines may not be permissible in the future; and conversely that in the future other types of copying not permitted under these guidelines may be permissible under revised guidelines.

Moreover, the following statement of guidelines is not intended to limit the types of copying permitted under the standards of fair use under judicial decision and which are stated in Section 107 of the Copyright Revision Bill. There may be instances in which copying which does not fall within the guidelines stated below may nonetheless be permitted under the criteria of fair use.

Title: Knowledge is Good, Second Edition
Copyright: Hypothetical Book Co., 1965, 1971
Author: Frances Jones
Material to be duplicated: Chapter 10 (photocopy enclosed)
Number of copies: 50
Distribution: The material will be distributed to students in my class and they will pay only the cost of the photocopying.
Type of reprint: Photocopy
Use: the chapter will be used as supplementary teaching materials.

Sincerely,

Faculty Member

1. In selecting candidates for honorary degrees at Commencement, the Board of Trustees seeks to present a balanced group that demonstrates the breadth of the University’s interests and concerns. At the same time, the number of candidates selected is kept relatively small (between six and eight in recent years) in order not to dilute the significance of the degree or to prolong the Commencement ceremonies.



2. One criterion for awarding honorary degrees is to signalize areas of unusual distinction within New York University.



3. The University has a deliberate policy of honoring alumni who have achieved outstanding positions and have made unusual contributions to their professions. There is an equal policy against awarding an honorary degree to any Trustee, administrative officer, or faculty member engaged in regular full-time service in the University.



4. The University prefers to award honorary degrees to those who have not already received a host of degrees from other institutions but are on the threshold of general recognition. In certain instances, however, such as those involving national leaders of great distinction, the fact that an individual has received a number of degrees from other institutions is not a deterrent to his or her being awarded a degree by New York University.



5. Recommendations for honorary degrees are received from Trustees, faculty, staff members, and other friends of the University. They are filed on a standard form, the contents of which are summarized by the Secretary of the University for consideration by the Board of Trustees.



6. The degrees granted at Commencement are planned months in advance and involve the concurrence of the entire Board of Trustees. The University considers it appropriate also to grant degrees on particular occasions during the year for the purpose of celebrating an event within the University or for honoring a particularly distinguished visitor to the University. These degrees need be approved only by the designated committee of the Board of Trustees.



7. An informal procedure for consultation with appropriate deans and senior faculty members, through the offices of the President and the Secretary, has been regularly followed in the past, particularly when it is desired through an honorary degree to recognize outstanding achievement in a particular area of academic activity. This procedure is to be continued with respect to honorary degrees awarded at times other than at Commencement.



8. A more formal procedure for consultation with a committee of the Senate has been developed with respect to honorary degrees to be awarded at the annual Commencement exercises in view of the special authority of the Senate under the University Bylaws over Commencement as an interschool function.

1. For the purpose of these Guidelines, the following definitions apply:
   
   
   • A University facility is one which is primarily academic, social, dormitoryresidential, or non-commercial in nature. Excluded from the scope of these Guidelines is space within a University facility used for offices of faculty, staff, or other employees; non-dormitory residences (e.g., Silver Towers apartments); or for commercial purposes (e.g., space rented to a public restaurant).
   
   
   
   • A University organization is an organization whose membership is limited exclusively to students, faculty, administration, staff, or alumni of New York University. A non-University organization is any organization whose membership is not so limited.
   
   
   
   • Members of the University community are persons who are currently students, faculty, administration, staff, or alumni of New York University.
   
   
   
2. The use of University facilities shall be limited to lawful purposes consistent with the educational purposes of the University. The assignment of space within University facilities shall be determined within the Guidelines by the primary function of the facility, the attendant priority in its use, and the purpose for which the space is designed and for which it is suitable.



3. It is recognized that the assignment of space in University facilities for academic and administrative use is not covered by these Guidelines, and is the responsibility of administrative officials designated by the President.



4. Reasonable charges, including overhead, for the use of space and related equipment, facilities or amenities may be made to users of University facilities.



5. For each University facility the President shall designate the appropriate dean or Officer (hereinafter, the local office) who shall be primarily responsible for allocating space available for non-academic purposes and for coordinating the non-academic use of such space with its academic use. A local office may be responsible for more than one facility.
   
   
   • The local office shall prepare a list of space within the facility available for nonacademic use, which shall be determined in accordance with the purposes for which the space was designed and its customary use. Such space may include classrooms or seminar rooms when not in academic use or held in reserve for academic use.
   
   
   
   • The Office of the Vice President for Administration in consultation with the local offices shall prepare and publish, consistent with these Guidelines, a schedule of fees, if any, for the use of space within the facility for non-academic purposes. The schedule may include the requirement of a deposit according to the proposed use of the facility.
   
   
   
   • The local office shall prepare a reservation form¹³ and a summary of special rules and regulations governing the use of space for non-academic purposes within the facility. The reservation form shall indicate the persons assuming responsibility for the use of the space and the nature of the responsibility for charges, extra expenses, and damages. The form shall also indicate whether persons other than members of the University community are to participate, whether by invitation or otherwise, in the use of the facility. The summary of the rules and regulations shall include notice of legal limitations on the number of persons who can be accommodated in the given space, and opening and closing hours.
   
   
   
6. The assignment of space listed as available for non-academic use will be governed by these Guidelines. If an applicant, otherwise qualified to reserve and use space within a University facility, is denied requested space by the local office on the grounds that the proposed use is inappropriate, the Office of the Vice President for Administration shall endeavor to find alternative space suitable for the user’s purpose.



7. All space assignments for non-academic purposes must be made in writing on the appropriate reservation form and approved by the local office responsible for the facility.



8. Assignment of the use of space within a University facility available for non-academic purposes may be made to a non-University organization on meeting the following conditions:
   
   
   • The applicant must be sponsored by a unit of the University administration or faculty, by a faculty organization, or by a registered student organization that will assume responsibility, including financial obligations, for the non-University organization in connection with the application.
   
   
   
   • The purpose and objectives of the non-University organization must be consistent with the educational purposes of the University and not conflict with any legal restrictions on the use of University facilities.
   
   
   
   • The organization must qualify as a non-profit organization eligible for tax exemption under section 421 of the New York Real Property Tax Law. The burden of establishing eligibility rests with the organization, but doubtful cases shall be referred to the Office of General Counsel for decision.
   
   
   
9. An application for assignment of space for one or more occasions made by a member of the University community or in the name of a University organization shall be deemed to be made by a non-University organization and subject to all the requirements of those guidelines applying to non-University organizations when, for any occasion, the expected attendance of persons who are not members of the University community exceeds the expected attendance of persons who are members of the University community.



10. The acceptance of reservations and the assignment of space within a University facility available for non-academic purposes will be made in accordance with the following schedule of priorities:
    
    
    • Members of the University community for whose use the facility was primarily designed, e.g., School of Education administration, faculty, or students in Education Building; Weinstein residents in Weinstein.
    
    
    
    • University organizations of faculty, administration, staff, or alumni and registered student and student-faculty organizations.
    
    
    
    • Meetings (limited to two) to organize a University organization, as defined above, sponsored by a member of the student body, faculty or administration.
    
    
    
    • Other use by students, faculty, and administration.
    
    
    
    • Non-University organizations meeting the requirements of paragraph 8 above.
    
    
    
11. Recognizing the need to create conditions in which people of all shades of political opinion are given an opportunity to meet and discuss their views, University facilities may be used by members of the University community for the purposes of engaging in political activities when those activities are directed to and conducted within the University. However, the University cannot under its charter and the obligations of a not-for-profit educational institution in New York State become a source of subsidy for strictly political action groups. University facilities are not available to non-University organizations for use in political activities. Questions of appropriate use of University facilities for political activities should be referred to the Office of Legal Counsel (see the NYU Public Directory for contact information).



12. The use of University facilities for the purpose of raising funds whether through charter admission to an event, by soliciting voluntary contributions, or otherwise, is permitted only under the following conditions:
    
    
    • By University organizations, provided the funds raised are intended for purposes consistent with the purposes of the University and its exemption from registration under the New York Social Services Law, and in no event are intended to be used for the support of political activities.
    
    
    
    • By non-University organizations, qualifying under paragraph 8 above to use University facilities, provided the funds are to be used for the purposes upon which their eligibility for tax-exempt status is based.
    
    
    
13. Local offices may designate areas within University facilities for the distribution of literature or other materials by students as long as such activity does not (a) impede the flow of traffic or (b) disrupt the normal functions of the facility. Sales persons, advertising distributors or other persons not members of the University community are prohibited from soliciting or distributing literature in University facilities at any time.



14. The University Senate Committee on Public Affairs shall be responsible for the review of these Guidelines and for developing additional Guidelines, if needed, for approval by the Senate; for hearing grievances and arbitrating disputes; and for determining violations of the Guidelines. Appeals from decisions of the Committee may be made to the Senate.



15. Any violation of University regulations, including these Guidelines, shall be sufficient cause for the cancellation of, or limitation on, assignment of space without prejudice to any other sanctions that may be imposed by any disciplinary body within the University.

• Rules of Conduct
  
  
  • All members of the University community—students, faculty members, and members of the staff—shall comply with city, state, and federal laws and ordinances affecting the maintenance of order on University premises.
    
    
    1. Conduct that is violative of such laws and ordinances occurring on University premises may be subject to both University discipline and public sanctions as circumstances may warrant or dictate.
    
    
    
    2. Conduct that is violative of such laws and ordinances occurring off University premises will ordinarily not be subject to University discipline, unless such conduct:
       
       
       • Seriously affects the interests of the University or the position of the member within the University community; or
       
       
       
       • Occurs in close proximity to University premises and is connected with violative conduct on University premises.
       
       
       
  • All members of the University community are prohibited from engaging in conduct leading to or resulting in any of the following:
    
    
    1. Interference with or disruption of the regular operations and activities of the University.
    
    
    
    2. Denial of, or unreasonable interference with, the rights of others—including persons not members of the University community who are present as invitees or licensees—on University premises. These rights include the right of academic freedom as well as constitutionally protected rights.
    
    
    
    3. Injury to University property, real or personal.
    
    
    
    4. Unauthorized access to or occupation of nonpublic areas on University premises, including but not limited to classrooms, seminar rooms, laboratories, libraries, faculty and administrative offices, auditoriums, and recreational facilities.
    
    
    
    5. Unauthorized access to or use of personal property, including files and records.
    
    
    
    6. Recklessly or intentionally endangering mental or physical health or forcing consumption of liquor or drugs for the purpose of initiation into or affiliation with any organization.
    
    
    
  • Visitors, including invitees and licensees, shall at all times conduct themselves in a manner that is consistent with the maintenance of order on University premises, and their privilege to remain on University property shall automatically terminate upon breach of this regulation. The University in addition reserves the right in its discretion to withdraw at any time the privilege of an invitee or licensee to be on University premises. A trespasser has no privilege of any kind to be on University property but is nevertheless subject to these regulations governing the maintenance of order.
  
  
  
  • Any authorized member of the University community, after properly identifying himself or herself, may in the course of performing his or her duties request identification from members of the University community. Refusal to identify oneself shall be considered prima facie evidence of non-University status. “Authorized” members of the University community shall include:
    
    
    1. Members of the University Administration;
    
    
    
    2. Faculty in the performance of teaching or supervisory duties;
    
    
    
    3. Faculty or student marshals designated by the University Senate or the University Administration;
    
    
    
    4. University security officers.
    
    
    
  • Nothing contained in these rules is intended, nor shall it be construed, to limit or restrict the freedom of speech or peaceful assembly.
  
  
  
• Program of Enforcement
  
  
  • Visitors (Invitees, Licensees, and Trespassers). When an administrative officer or member of the protection service of the University in his or her discretion determines that the privilege of an invitee or licensee to be on University premises should be withdrawn, he or she shall ask the invitee or licensee to leave the premises, and the invitation or license shall thereby be terminated. If any person, whether initially a trespasser, licensee, or invitee, fails to leave University premises promptly upon request, the University will use all reasonable means, including calling for the assistance of the police, to effect that person’s removal.
  
  
  
  • Summary Suspension of Members of University Community. Penalties for violation of University rules shall not be imposed upon members of the University community except after compliance with the disciplinary procedures applicable to students, or faculty members, or members of the University staff (administrative and other employees). However, summary suspension pending disciplinary proceedings may be imposed upon students in accordance with the Bylaws, or upon faculty members in accordance with the Rules of Tenure and Related Provisions, as adopted and subsequently amended by the Board of Trustees, or upon members of the University staff in accordance with administrative practice.
  
  
  
  • Disciplinary Action. A member of the University community who is charged with a violation of the University rules set forth in Section I above shall be subject to appropriate disciplinary action as follows:
    
    
    1. Students
       
       
       • If the alleged violation of University rules involves a matter affecting more than one school, disciplinary proceedings shall be carried out under the Rules Regulating Student Disciplinary Proceedings adopted by the Senate in accordance with the authority delegated to it under paragraph 34(c) of the University Bylaws.
       
       
       
       • If the alleged violation of University rules involves a matter affecting only one school, disciplinary action shall be carried out by the faculty of the school in which the student charged is enrolled.
         
         The authority of the faculty is derived from paragraph 61(b) of the University Bylaws. Disciplinary proceedings shall be in accordance with the established practice of the school. In the absence of an established practice in a school, the following procedure shall be used:
         
         
         • When a charge of misconduct has been made, the dean of the school, or such other administrative officers or faculty members as may be designated, shall try to resolve the matter on an informal basis.
         
         
         
         • If the matter cannot be disposed of on an informal basis, the hearing procedure shall follow in principle, though not necessarily in detail, the provisions in the Rules Regulating Student Disciplinary Proceedings, with the following exceptions: (a) no verbatim record of the proceeding shall be required, (b) the hearing tribunal shall be composed of such persons as the faculty of the school may designate, and (c) the appellate tribunal, if any, shall be a person or persons within the school or the University.
         
         
         
    2. Faculty Members
       
       
       • When a faculty member is charged with a violation of these rules, an effort shall be made to resolve the matter informally under the direction of the dean of the faculty member’s school at the departmental level or with a committee of the faculty of that school.
       
       
       
       • When the matter cannot be resolved as provided in the preceding paragraph, disciplinary action shall proceed as follows:
         
         
         • If the faculty member charged with a violation has permanent or continuous tenure (and the charge is brought specifically to terminate service), the Rules of Tenure and Related Provisions shall apply.
         
         
         
         • If the faculty member does not have continuous or permanent tenure, his or her case shall be referred to a special committee of the faculty designated for that purpose. The special committee shall adopt its own rules of procedure. It shall have the authority to impose any of the penalties, other than dismissal, listed in section II-D and to recommend the penalty of dismissal. A recommendation for dismissal for a faculty member who does not have continuous or permanent tenure shall be submitted to the dean of the faculty member’s school for approval and shall not become effective except on the concurrence of the President as provided in paragraph 52(a) of the University Bylaws.
         
         
         
    3. University Staff: Administrative Officers and Other Employees
       
       When a member of the University staff, other than a faculty member, has been charged with a violation of University rules, the charge shall be considered and determined administratively in accordance with established practices of the department to which the staff member is assigned. If the person against whom the charge has been made is both an administrative officer and a faculty member his or her case shall be governed by this section unless the violative conduct was of such a nature as to call into question his or her continued qualification for service on the faculty; in the latter event, disciplinary action will proceed in accordance with section IIC-2, above.
    
    
    
    4. Organizations
       
       Any organization which authorizes conduct prohibited under Section I.B.(6) shall be subject to having its permission to use the facilities of New York University and to operate as a University organization rescinded, and shall be subject to any additional penalties pursuant to the penal law or any other applicable provision of law.
    
    
    
  • Penalties. Penalties for violation of University rules that may be imposed upon members of the University community include, but are not limited to, the following:
    
    
    1. Reprimand
    
    
    
    2. Censure
    
    
    
    3. Removal of privileges
    
    
    
    4. Suspension
    
    
    
    5. Dismissal or expulsion
    
    
    

1. Statement of Principles
   
   It is our judgment that the University, like other communities and organizations in our society, has an inherent right to require the cooperation of its members in the performance of its educational functions, and to control and regulate the conduct and behavior of such members which tend to impede, obstruct, or threaten the maintenance of order and achievement of the University’s educational goals. We further believe that the relationship between the University and its students is a special educational relationship involving rights, and obligations, as well as considerations and procedures, which are distinct from those in the courtroom, the political arena, or the market place, and that from the very nature of the University as an educational community both the substantive rules and the procedural processes related to student conduct must be equitable and just.



2. Basic Rules of Conduct
   
   Students are expected to conduct themselves as mature and law-abiding members of both the University community and the general community, and to comply with requests of the administrative authorities of the University for maintenance of order on University premises. Behavior which jeopardizes the health or safety of the University community, or disrupts the educational activities and supporting services of the University, is subject to review and possible penalty in accordance with the procedures and practices of the University and its colleges, schools, or divisions. Where activities sponsored by student organizations constitute violations of University rules or of public laws and regulations, sanctions may be imposed on such organizations as well as on individual students.
   
   The University should not use its powers to interfere with the rights of a student outside the University campus. In general, a student’s off-campus activities should be subject only to sanctions of the public authorities. Where a student is convicted of a violation of law, he or she should not be subject to University discipline for the same offense unless the student’s conduct seriously affects his or her position as a member of the academic community. Where a student’s conduct on campus constitutes violations of both University rules and public law, the student may be subject to both University discipline and public sanctions.



3. Academic Freedom
   
   The University is a community where the means of seeking to establish truth are open discussion and free discourse. It thrives on debate and dissent. Free inquiry, free expression, and free association are indispensable to the purposes of the University, and must be protected as a matter of academic freedom within the University, quite apart from the question of constitutional rights.
   
   Accordingly, conditions must be such as to allow this freedom for all. Causes may be supported by orderly means; but the University cannot tolerate suppression of ideas, nor the forceful disruption of the regular and essential operations of the University community. Regardless of sincerity, no individual or group of individuals has the right to disrupt or to interfere unreasonably with the workings of the colleges, schools, or divisions of the University or with the regular process of education and service to its members. Regardless of moral impetus, no student or group of students has the right to deny the freedom of other members of the University community.



4. Invitations, Demonstrations, Protests
   
   Students are entitled to invite and hear persons of their own choosing. Since no outside person or agency has an independent right to use University facilities, each must be directly or indirectly invited through appropriate University channels, and each is entitled to the courtesy owed by the University to an invited visitor. It is improper for students to harass the visitor or impede the purposes of his or her visit by violent means or threats, or by any other method that is offensive or unacceptable to an educational community.
   
   Forums are to be encouraged, particularly on subjects where there are differences of opinion. Career counseling and job interviewing are also considered a legitimate part of the activities of the University in support of its educational program. Where counseling or recruitment is connected with a controversial issue, every effort should be made to allow a general discussion of the issue, but apart from the job interviewing. Such discussion of the issue should not be considered a necessary condition precedent to counseling or interviewing. It is improper, as inconsistent with the purpose of the University, to subject speakers, recruiters, job interviewers, or other official visitors to political, social, or moral sanctions or tests.
   
   It is expected that all such activities, whether forums, lectures, recruitment programs, job interviews and the like, will be conducted in a manner appropriate to an academic community. The right to engage in peaceful protest must be honored and protected, but such protests must take place in a manner that does not interfere with normal academic procedures. Freedom of discussion does not include the license to disrupt a meeting or interview. Demonstrations, including those which are described as peaceful, cannot be allowed to interfere with the rights of others to have normal access to the persons against whom the demonstration is addressed; nor can demonstrations be used to harass or intimidate other individuals or groups.



5. Use of University Facilities
   
   The University administration necessarily has the right to control the access to and use of institutional facilities. If in the judgment of a University official, or an administrative officer of a college, school, or division, or a member of the faculty who has responsibility for a particular activity, a student or group of students or other persons are interfering with the rights of other individuals or groups, as above, said official has the right to ask the student or group of students to leave the room, hall or building. Refusal of a student or group to do so after warning shall be considered a sufficient basis for the institution of disciplinary proceedings, subject to the defense in such proceeding that the order to leave was ultra vires or unreasonable.



6. Disciplinary Proceedings
   
   The University Bylaws provide that the power of suspending or dismissing a student in any school is lodged with the faculty of that school, but the President or the dean of a school may suspend a student pending consideration of the student’s case by the faculty. Each faculty has the duty of enforcing not only its own rules of conduct but also, in appropriate cases, the University rules of conduct established by the Senate under the authority granted to it by the University Bylaws.

• Division of Jurisdiction Between the Faculties of the Several Schools and Colleges and the Senate
  
  Under Sections 34(c), 61(b), and 62 of the Bylaws of New York University, jurisdiction over student disciplinary proceedings is granted under certain circumstances to the faculty of the school in which the student is enrolled and under other circumstances to the Senate. In order to carry out the intention of the Bylaws, the following areas of jurisdiction are designated:
  
  
  • Cases of Faculty Jurisdiction
    
    
    1. Cheating, plagiarism, forgery of academic documents with intent to defraud.
    
    
    
    2. Disruption of a lecture hall, laboratory, or any other premises used for academic purposes.
    
    
    
    3. Failure to return library books, or destruction of all or part of a library book or archival document.
    
    
    
    4. Interference with access to classrooms, laboratories, or academic offices.
    
    
    
    5. Physical detention or restraint of a student, instructor, University staff member, or administrator while that person is attempting to exercise his/her duties.
    
    
    
  • Cases of Senate Jurisdiction
    
    
    1. Disruptive or riotous activity in student residence halls by non-resident students, or student centers of non-academic activity.
    
    
    
    2. Violation of dormitory rules by residents (but see I.E.4).
    
    
    
    3. Forgery of instruments of identification with intent to defraud.
    
    
    
    4. Theft of, or wanton damage to University property.
    
    
    
    5. Engaging in conduct which interferes with or disrupts any academic function involving more than one school or which prevents or limits the free expression of ideas, or which physically obstructs or restrains another member of the University community or a visitor.
    
    
    
    6. Failing to surrender University identification card upon request by clearly identifiable University personnel, or failing to comply with the direction of clearly identifiable University personnel in the performance of their assigned duties.
    
    
    
  • Resolution of Questions of Jurisdiction in Any Particular Case
    
    While questions of jurisdiction are not expected to be numerous or difficult, the following procedures shall be used where such questions arise:
    
    
    1. Where a question arises as to whether a case should come within Faculty or Senate jurisdiction, the question shall be referred for decision to the Office of Legal Counsel of the University.
    
    
    
    2. The decision of the Office of Legal Counsel shall be both telephoned and mailed to each student who is the subject of the same or a similar complaint as the one in which the question of jurisdiction has been raised, to the Dean of the faculty of each school in which any such student is enrolled and to the Chairman of the University Judicial Board (hereinafter defined).
    
    
    
    3. If either a student who is the subject of a complaint, or the Dean or Chairperson of the disciplinary committee of a faculty in which such student is enrolled, or the Chairperson of the University Judicial Board disagrees with the decision rendered by the Office of Legal Counsel, such person shall have the right to appeal the decision to the Committee on Organization and Governance of the University Senate.
    
    
    
    4. Notice of such appeal must be received by the Office of the Secretary of the Senate no later than three days after the initial decision of the Office of Legal Counsel has been communicated to the person taking the appeal. In cases in which the student has been temporarily suspended or dismissed pending disciplinary proceedings, such notice of appeal must be received within eight hours.
    
    
    
  • Violations of Federal, State, or Local Law
    
    
    1. In addition to falling within one of the categories defined in I.A. or I.B. above, certain offenses may violate city, state, or federal laws. It is the policy of the University to discourage such acts by its members, and such offenses, or persons complaining of such offenses, may be referred to the appropriate outside authority. To the extent that such acts also fall within one of the categories defined in I.A. or I.B., above, they may also be subject to applicable disciplinary measures within the University.
    
    
    
  • Delegates of Jurisdiction
    
    
    1. Jurisdiction over offenses listed in I.A. above is in the faculty of the school in which the student is registered, and may but need not be delegated by the faculty to the Dean of that school or to the school’s Discipline Committee or its equivalent (hereinafter referred to as “Discipline Committee” in all cases).
    
    
    
    2. Offenses listed in I.B. above shall first be referred to the Vice President for Student Affairs, or the equivalent person at the NYU Medical Center (all references hereinafter made to the Vice President for Student Affairs shall be deemed to include the equivalent person at the School of Medicine). The Vice President for Student Affairs shall meet with the student(s) complained against and shall try to resolve the matter with the consent of the student(s). In the absence of a resolution by the Vice President for Student Affairs, the matter shall be referred to the University Judicial Board (defined below).
    
    
    
    3. In any case of an offense listed in I.B. above in which the Vice President for Student Affairs has been unable to achieve a resolution by consent, the case shall be referred to a new standing committee of the Senate to be known as the University Judicial Board.
       
       
       • The Board shall consist of nine members all of whom shall be members of the Senate including three students who shall be chosen by the Student Senators’ Council, three faculty members who shall be chosen by the Faculty Council, and three Deans who shall be chosen by the Dean’s Council.
       
       
       
       • The Board shall elect its own chairperson.
       
       
       
       • Any case referred to the Board shall be heard and decided by a threeperson panel consisting of one Senator from each constituency.
       
       
       
       • The Board shall adopt its own procedures for the selection of panels to hear individual cases, but such procedures shall be designed to achieve a fair system of rotation in which each member of the Board shall sit in a comparable number of cases and in which members of the Board sit in varying combinations.
       
       
       
       • The Senate shall temporarily increase the size of the Board at the request of the Board whenever the hearing and/or appellate caseload (defined below) require it. Any such temporary increase shall include equal numbers of representatives from each of the constituencies comprising the Board.
       
       
       
       • Panels of the Board shall serve in place of the previously created University Review Board wherever any rules of the University call for the participation of the Review Board.
       
       
       
    4. Jurisdiction over dormitory offenses shall lie with the Judiciary Committee of such residence and with the Residence Hall Manager, in accordance with dormitory procedures, where established. If no Judiciary Committee exists, jurisdiction shall be the same as for other offenses listed in I.B. above.
    
    
    
• Procedures
  
  
  • Filing and Notice of Complaint
    
    Any member of the faculty, administration, or staff or any student may file a complaint against any student for a student offense with the Dean of the school in which the student complained of is enrolled or with the Vice President for Student Affairs. Notice of the filing shall be mailed to the student within 48 hours.
  
  
  
  • Interim Suspension
    
    A student should not be summarily suspended either completely or for certain purposes, except for reasons relating to his/her physical or emotional safety and well-being, the safety and well-being of students, faculty, staff, or University property, the maintenance of public order, or the effective continuation of the educational process.
    
    As provided in Bylaw 62, the President or the dean of a school, or their respective representatives, depending on the nature of the infraction, may suspend a student pending consideration of his/her case. When this occurs, the student shall be afforded the opportunity to expedite disciplinary proceedings so as to enable the determination of the appropriate sanction, if any, at the earliest possible time, preferably within 48 hours. Any period of interim suspension shall be deducted from any ultimate sanction involving suspension.
  
  
  
  • Investigation and Notice of Hearing
    
    Whenever a student discipline case has not been satisfactorily resolved by consent, the Discipline Committee of a faculty or the University Judicial Board shall conduct further proceedings. These proceedings may include such lawful investigatory actions as the Committee or Board deems appropriate under the circumstances. Thereafter, the Disciplinary Committee or the University Judicial Board shall send a written notice to the student advising him or her of the date and time of its hearing to take place not earlier than seven days after the sending of such notice except upon the consent of the student. Should the student fail to appear, the hearing may proceed and sanctions may be imposed in his/her absence.
  
  
  
  • Hearings
    
    Each Discipline Committee and the University Judicial Board shall provide hearings and make decisions on all disciplinary cases within their respective jurisdictions. They shall conduct such proceedings as they deem appropriate, but shall include the following provisions:
    
    
    1. That a tape recording be made of all hearings (to be forwarded to and preserved by the Secretary of the University until the appeal period has elapsed or until all appellate procedures have been completed).
    
    
    
    2. That at the end of a hearing, a final written report shall be prepared and submitted to the Dean, the student, and the Secretary of the University within seven calendar days. The report shall state its findings of fact and the reasons for its decision.
    
    
    
    3. That the student has the right to be accompanied by counsel or an adviser. The student or his or her counsel or adviser shall have the right to examine and cross-examine each witness either by putting questions directly to the witness, or by asking questions through members of the hearing body. The method shall be determined by the hearing body, and may be altered by it at any time.
    
    
    
  • Faculty Discipline Committee Procedures
    
    Each faculty Discipline Committee shall, pursuant to Section 61(b) of the Bylaws of the University, file its own additional written rules of procedure with the Secretary of the University. Revisions to such procedures shall be promptly forwarded to the Secretary of the University.
  
  
  
  • Appeals
    
    
    1. A student shall have the right to appeal the decision of the hearing panel in any case involving Senate jurisdiction on the ground that the decision or the proceedings at the hearing were arbitrary or unfair. In cases of Faculty jurisdiction, the right of appeal shall be that provided by the rules of the particular faculty.
    
    
    
    2. In Senate cases the following appeal procedures shall apply.
       
       
       • Whenever the sanction of suspension or dismissal shall have been imposed in a Senate case, the appeal shall lie to the faculty of the school in which the student is enrolled.
       
       
       
       • In all other cases of Senate jurisdiction, the appeal shall lie to the University Judicial Board. The appeal shall be heard by a threemember panel consisting of one student, one faculty member, and one Dean, none of whom shall have served on the panel which conducted the hearing in the case.
       
       
       
       • Any appeal must be taken within fifteen (15) calendar days from the date on which the final report of the hearing body was sent to the student. The appeal shall be taken by the filing of a written notice requesting an appeal with the dean of the school in cases involving the imposition of the sanction of suspension or dismissal or with the Chairperson of the University Judicial Board in other cases.
       
       
       
       • The hearing body which has imposed a sanction may stay the sanction pending an appeal. The appellate body shall have the power to stay the sanction imposed by the hearing body but may not vacate the stay granted by the hearing body.
       
       
       
       • The appellate process shall not consist of a new hearing and shall be limited to a review of the report of and proceedings before the hearing body. The appellate body may accept the report without modification; accept the report but reduce the sanction imposed; dismiss one or more of the charges entirely; or remand the case for further proceedings. When the report is accepted by the appellate body, the matter shall be deemed finally decided without further recourse as of right.
       
       
       
       • Upon the discovery of new and previously unavailable evidence, which might have had a substantial bearing on the decision rendered, the case may be reconsidered by the hearing body.
       
       
       
• Disciplinary Sanctions
  
  
  • The decision of a hearing body, in all circumstances, shall be discretionary, shall include what entry shall be made on the record of the student, and may include any one or more of the following sanctions:
    
    
    1. Warning—Notice to the student, orally or in writing that continuation or repetition of the conduct found wrongful, or participation in similar conduct, within a period of time stated in the warning, shall be a cause for disciplinary action.
    
    
    
    2. Censure—Written reprimand for violation of specified regulation, including the possibility of more severe disciplinary sanction in the event of conviction for the violation of a University regulation within a period of time stated in the letter of reprimand.
    
    
    
    3. Disciplinary Probation—Exclusion from participation in privileges or extracurricular University activities as set forth in the notice of disciplinary probation for a specified period of time.
    
    
    
    4. Restitution—Reimbursement for damage to or misappropriation of property. Reimbursement may take the form of appropriate service to repair or otherwise compensate for damages.
    
    
    
    5. Monetary Fine—For any offenses.
    
    
    
    6. Suspension—Exclusion from classes and other privileges or extracurricular activities as set forth in the notice of suspension for a definite period of time.
    
    
    
    7. Dismissal—Termination of student status for an indefinite period. The conditions for readmission, if any are permitted, shall be stated by the panel in the order of dismissal.
    
    
    
  • A student who has been suspended and who is found “not guilty” shall be allowed full opportunity to make up whatever work was missed due to the suspension.
  
  
  
  • No record of the disciplinary proceeding will be entered in the student’s file unless a final disciplinary sanction is found to be warranted.
  
  
  

• Commitment and Responsibilities of the University
  
  New York University is committed to maintaining an environment where open, vigorous debate and speech can occur. This commitment entails encouraging and assisting University organizations that want to sponsor speakers as well as informing members of the University community who seek guidance concerning forms of protest against speakers. It may also involve paying for extraordinary security measures in connection with a controversial speaker. Consistent with these obligations, the University promulgates these guidelines, which are intended to be applied without regard to the content of any proposed speaker’s speech.



• Application of Guidelines
  
  These guidelines apply to all meetings held at the University which are not part of academic courses of instruction or regular University or school or department administration to which speakers are invited.



• Meetings to be Designated as Open or Closed
  
  
  1. The sponsoring organization may designate a meeting to which a speaker is invited as “open” or “closed.” In either case, incidental University facilities such as a room and utilities may be used.
  
  
  
  2. If a University organization or group uses University funds for other than incidentals, the meeting must be designated and treated as open. Use of room and utilities is considered “incidental” and therefore available for a closed meeting; all expenses of substance (e.g., a speaker’s travel expenses or provisions of more than de minimus refreshments) are not considered “incidental,” and may only be paid from University funds if the meeting is open. This requirement does not apply to meetings for which University funds have been authorized to finance a training event carried on by an organization designated by the dean or appropriate administrator as a University training organization (e.g., University clinical organization or University journal).
  
  
  
  3. Closed Meetings
     
     
     • A meeting at which the sponsoring organization limits the attendance to membership in the organization or to invited or designated individuals or groups (including members of the press), and from which members of the University community, not related to the sponsoring organization or to the meeting are excluded, shall be deemed closed. The meeting may not be closed on the basis of any category which is, or is a pretext for, discrimination in violation of the University’s published anti-discrimination policies.
     
     
     
     • To the extent that a closed meeting is advertised to those who are not invited to attend, there must be clear disclosure that the meeting is closed.
     
     
     
  4. Open Meetings
     
     
     • A meeting is considered open even though the sponsoring organization limits the audience to members of the University community or to portions thereof (e.g., first-year graduate students) other than as provided in paragraph 3(a).
     
     
     
     • At an open meeting, the sponsoring organization must provide that at least a majority of the seats be available to the University community or portion thereof, as the case may be.
     
     
     
     • The sponsoring organization must provide adequate and timely notice for an open meeting.
     
     
     
• Identification
  
  
  1. The sponsoring organization or University administration may require attendees to produce identification, so long as:
     
     
     • Advance notice is given as to what specific types of ID will be required.
     
     
     
     • Identification procedures are enforced consistently and uniformly.
     
     
     
  2. When required in an open meeting, identification and, when appropriate, press credentials should be checked by any official perceived to be neutral (e.g., an administrator, or designated general student monitor), not by a member of the sponsoring organization or by any person perceived as partisan.
  
  
  
• Dissent/Protest
  
  
  1. General Principles
     
     The right to dissent is the complement of the right to speak, but these rights need not occupy the same forum at the same time. The speaker is entitled to communicate her or his message to the audience during her or his allotted time, and the audience is entitled to hear the message and see the speaker during that time. The dissenter must not substantially interfere with the speaker’s ability to communicate or the audience’s ability to hear and see the speaker.
     
     When a meeting is closed, dissent by non-attendees is limited to activity outside the meeting that does not impede access to the meeting or substantially interfere with the communication inside. When a meeting is open, the acceptable form of dissent will depend on whether the dissenter is inside or outside the meeting, and on whether the dissenter is acting before or after the meeting or during the meeting.
  
  
  
  2. Some Examples of Dissent
     
     The following guidelines, which are neither comprehensive nor absolute, suggest the limits of acceptable dissent:
     
     
     • Picketing; literature. Picketing in an orderly way or distributing literature outside the meeting is acceptable so long as it does not impede access to the meeting. Distributing literature inside an open meeting is acceptable before the meeting is called to order and after the meeting is adjourned.
     
     
     
     • Silent or symbolic protest. Protesting noiselessly such as by displaying a sign, wearing clothing, gesturing, or standing, is acceptable so long as the protest does not interfere with the audience’s view, or prevent the audience from paying attention to the speaker. Any use of signs, prolonged standing or other activity likely to block the view of any one in the audience should be confined to the back of the room.
     
     
     
     • Noise. Responding vocally to the speaker, spontaneously and temporarily, is generally acceptable, especially if reaction against the speaker is similar in kind and degree to reaction in his or her favor. Chanting or making other sustained or repeated noise in a manner which substantially interferes with the speaker’s communication is not permitted, whether inside or outside the meeting.
     
     
     
     • Force or violence. Using or threatening force or violence, such as defacing a sign or assaulting a speaker or a member of the audience is never permitted. Any interference with freedom of movement, or with freedom from personal force and violence, is a serious violation of personal rights.
     
     
     
  3. The Audience’s Responsibility
     
     The audience, like the host and the speaker must respect the right to dissent. A member of the audience or the host organization who substantially interferes with acceptable dissent is violating these guidelines in the same way as a dissenter who violates the rights of the speaker or audience.
  
  
  
  4. Question and Answer Period in Open Meetings
     
     In any open meeting the sponsoring organization is strongly encouraged to arrange with the speaker to assure a reasonable opportunity for a question and answer period.
  
  
  
• Security
  
  
  1. Senior University officials shall determine, either on their own initiative or after hearing from campus organizations or groups, whether the protection of free speech at an open meeting requires measures to provide security.
  
  
  
  2. Upon making this determination that security measures are required, these University officials, acting in consultation with the University Security Department, will have and will exercise the responsibility to determine the nature and extent of security measures required and ensure their implementation in a way which will not unfairly discriminate against nor intimidate any participant. The University will fund these measures. They may include but are not limited to, the following:
     
     
     • Bags and other containers may be subject to search by university security officers, and may be required to be put in a checkroom before entrance to the event.
     
     
     
     • Coats or outerwear may be required to be put in a checkroom before entrance.
     
     
     
     • Videotaping, audiotaping, and/or photographing of the event may be done, with prior notice to the audience.
     
     
     
  3. When a meeting is closed, the sponsoring organization will ordinarily be responsible for planning, obtaining, and funding its own security. Any provision for the use of force as a security measure will be planned with participation of the University Security Department. Only the Security Department or police officers may use force as a security measure.
  
  
  
• Use of Moderator/Facilitator
  
  
  1. Determination of Need
     
     Senior officials may determine that the protection of free speech at an open meeting requires the use of a moderator/facilitator. If so, the meeting shall be held with a moderator/facilitator.
  
  
  
  2. Selection
     
     The moderator/facilitator will be selected by the sponsoring organization, subject to approval by the University administration. The person selected shall be perceived to be neutral and non-partisan.
  
  
  
  3. Role
     
     The moderator/facilitator should make clear at the meeting that her or his role reflects no position for or against the views of the speaker or sponsoring organization. In any open meeting at which a moderator/facilitator has been assigned he or she shall be empowered to preside over any question and answer period.
     
     At the event, final decisions regarding balancing the rights of the speaker with the rights of those who disagree will be made by the moderator/facilitator. These decisions include, but are not limited to:
     
     
     • Whether to eject a disrupter from the room.
     
     
     
     • Whether to suspend a speech temporarily if disruption occurs.
     
     
     
     • Whether to move an event because of disruption or security.
     
     
     
     • Whether to cancel an event because of security concerns.
     
     
     
     The moderator/facilitator should take any of the above actions only as a necessary resort and, if possible, only after a good faith attempt to consult with the sponsoring organization.
     
     
• Sanctions
  
  Violation of the free speech rights of any person, as protected in these guidelines, will be treated seriously. Violators will be subject to the following sanctions:
  
  
  • Expulsion from the meeting or event.
  
  
  
  • Arrest or other legal action.
  
  
  
  • As to members of the University community, disciplinary procedures before the appropriate tribunal, which may impose any of the following sanctions:
    
    
    1. Warning
    
    
    
    2. Written reprimand
    
    
    
    3. Suspension
    
    
    
    4. Expulsion
    
    
    
  Pursuant to existing procedures, these sanctions may be noted on a student’s transcript or employee’s personnel file and later reported to appropriate external officials.



• Advisory Committee on Free Speech
  
  The Committee on Organization and Governance of the University Senate shall maintain its oversight of this subject and should as appropriate:
  
  
  • Advise the University administration concerning the further development and the enforcement of these guidelines through content-neutral policies related to time, place, and manner.
  
  
  
  • Review the effectiveness of these guidelines and proposals for change.
  
  
  
  • Development, recruitment, and training, if needed, of moderator/facilitators.
  
  
  
  Inquiries concerning the application of these Guidelines or the use of a moderator/facilitator should be addressed to the Office of Student Life (see the NYU Public Directory for contact information).

• Statement of Policy on Substance Abuse
  
  In addition to policies and practices that emphasize concern for the welfare of individuals, the University also recognizes the importance of maintaining the safety and well-being of the community as a whole. The University therefore adheres to the following guidelines concerning the unlawful possession, use, or distribution of drugs:
  
  
  1. The unlawful possession, use, or distribution of drugs will not be tolerated on University premises.
  
  
  
  2. Upon finding evidence of the unlawful possession, use, or distribution of drugs on its premises by any student, the University will take appropriate disciplinary action, including, but not limited to, probation, suspension, or expulsion.
  
  
  
  3. Using regularly established procedures, the University will take disciplinary action, up to and including discharge, against any member of the faculty or staff found unlawfully using, possessing, or distributing drugs.
  
  
  
  Faculty, staff, and students should also be aware that, in addition to University sanctions, they may be subject to criminal prosecution under federal and state laws that specify fines or imprisonment or loss of federal financial student aid for conviction of drug-related offenses.



• Statement of Policy on Alcoholic Beverages
  
  The sale¹⁴, service¹⁵, possession, and consumption of alcoholic beverages at New York University is governed by the New York State Alcoholic Beverage Control Law and other laws of the State of New York. Based on such laws, it is the policy of New York University that:
  
  
  1. Persons under the age of 21 years are prohibited from possessing any alcoholic beverage at New York University or at any event sponsored by the University or by a University organization, whether the event is at the University or not.
  
  
  
  2. The following rules are applicable to all events at which alcoholic beverages are served or sold at New York University and to all events or activities, whether or not at the University, which are sponsored by the University or by a University organization.
     
     
     • No person shall be sold or served any alcoholic beverage:
       
       
       • if that person is, or appears to be, under the legal drinking age of 21;
       
       
       
       • if that person is, or seems to be, intoxicated, or is known to the server or seller to be a problem drinker.
       
       
       
     • • No person under the age of 21 years shall present any written evidence of his or her age that is false, fraudulent, or not actually his or her own in order to purchase or be served or to try to purchase or be served, any alcoholic beverage or in order to gain access or to try to gain access to any event or activity at which any alcoholic beverage is being sold or served.
       
       
       
       • No person shall in any way misrepresent the age of any other person or help any other person to misrepresent the age of any other person or help any other person to misrepresent his or her age so that such person can purchase or be served or try to purchase or be served any alcoholic beverage or gain access to any event or activity at which any alcoholic beverage is being served or sold.
       
       
       
     • No alcoholic beverage shall be sold to any person unless:
       
       
       • a license or permit sanctioning the sale of such alcoholic beverage has been obtained by the seller; and
       
       
       
       • the license or permit sanctioning such sale and any posters, signs, notices, or other material or information required by applicable law or by the State Liquor Authority are prominently displayed at the site of such sale.
       
       
       
  3. The individual or group, or groups sponsoring an event or activity at which any alcoholic beverage is to be sold or served (the “sponsor”) shall be responsible to make sure that all New York State laws and regulations and all New York University rules and regulations regarding the sale, use, service, possession, and consumption of alcoholic beverages are observed at such event or activity. This responsibility shall include, without being limited to, the following:
     
     
     • complying with items 1 and 2 above, including examining attendees’ evidence of age;
     
     
     
     • notifying either the Student Activities Office (when the sponsor is a student group) or the Kimmel Center for University Life Operations Office (when the sponsor is a non-student group) prior to each on-campus event at which alcoholic beverages are to be sold or served; and
     
     
     
     • instructing the person or persons actually selling or serving alcoholic beverages at the event not to sell or serve alcoholic beverages to any person who is or appears to be intoxicated, or who such server or seller knows to be a problem drinker, or who is or appears to be under the legal drinking age.