Charters and Statutes of Columbia University

CHARTERS AND STATUTES

Columbia University

in the City of New York

Edition of April 6, 1959

With Amendments as of January 2022

The Charters and Statutes are maintained by

The Office of the Secretary

211 Low Memorial Library

535 West 116th Street, MC 4324

New York, NY 10027

212-854-5017 (voice)

[email protected]

http://www.columbia.edu/cu/secretary

iii

CONTENTS

Preface v

Part One Charters (in brief)

of 1754 ..................................................................................... 3

of 1784 ..................................................................................... 3

of 1787 ..................................................................................... 3

of 1810 ..................................................................................... 3

Change of Corporate Name ...................................................... 9

Part Two Statutes

I The President ........................................................ 13

II The University Senate ............................................ 16

III Faculties and Administrative Boards .................... 29

IV Departments .......................................................... 32

V Officers of Administration ..................................... 35

VI Officers of Instruction and Research .................... 39

VII Code of Academic Freedom and Tenure .............. 53

VIII Retirement Program and Employee Benefits ....... 72

IX The Libraries ......................................................... 74

X Religious Activities ................................................. 76

XI Columbia College ................................................... 79

XII Faculty of Law ...................................................... 80

XIII Faculty of Medicine (College of

Physicians and Surgeons) .................................. 82

XIV Faculty of Engineering and Applied Science ........ 84

XV Graduate School of Arts and Sciences .................. 86

XVI [Deleted] .................................................................. 90

XVII Faculty of Architecture, Planning

and Preservation ................................................ 91

XVIII Faculty of Journalism ............................................ 92

XIX Faculty of Business ................................................. 93

XX Faculty of Dental Medicine .................................... 94

XXI Faculty of Climate ..................................................... 96

XXII Faculty of General Studies ..................................... 97

XXIII Barnard College ...................................................... 98

XXIV Teachers College .................................................... 102

XXV Faculty of Professional Studies ............................. 105

XXVI Union Theological Seminary ................................. 106

XXVII Faculty of Social Work ........................................... 107

XXVIII International Studies.............................................. 108

XXIX Faculty of Arts and Sciences .................................. 110

XXX Faculty of the Arts .................................................. 112

XXXI Faculty of Nursing .................................................. 113

XXXII Faculty of Public Health ........................................ 114

XXXIII Faculty of Health Sciences ..................................... 115

XXXIV Summer Session ..................................................... 117

XXXV Institutes ................................................................. 118

XXXVI The American Assembly......................................... 119

XXXVII Fees ......................................................................... 120

XXXVIII Students ................................................................. 122

XXXIX Academic Calendar ................................................ 124

XL Academic Costume ................................................. 126

XLI [Deleted] .................................................................. 129

XLII Foundations ............................................................ 130

XLIII Externally Funded Research and Instruction ....... 132

XLIV Rules of University Conduct .................................. 136

XLV Amendments ........................................................... 160

Index ................................................................................ 161

PREFACE

So far as can be ascertained, this is the forty-eighth edition of the

Statutes of King’s College, Columbia College, and Columbia Univer-

sity, which comprise a consecutive series covering a period of 205

years. The first Statutes were adopted by the Governors of the College

of the Province of New York in the City of New York in America on

June 3, 1755, and they are entered in full on the minutes of that

date. These Statutes were revised in 1763. Subsequent editions were

published in 1785, 1788, 1811, 1816, 1821, 1827, 1830, 1836, 1843,

1848, 1851, 1853, 1856, 1857, 1859, 1860, 1865, 1866, 1870, 1874,

1878, 1880, 1882, 1884, 1885, and 1887.

In 1890 an exhaustive study was made of the then existing Stat-

utes and of all previous legislation of the Trustees as far back as

1820, with a view to the codification of the Statutes, resolutions, and

administrative practice, and for the purpose of establishing the prac-

tice of embodying in the Statutes and Bylaws all resolutions of con-

tinuous operation. A complete revision of the Statutes had become

necessary at this time owing to the fact that the College had grown

into a university and had thereby become a far more complex organi-

zation, calling for definitions and delimitations of power as to offices,

schools, and departments. As the result of this study, a revised edition

of the Statutes was published in 1892, and at the same time much

obsolete legislation was repealed.

Since 1890 the Statutes have been printed with amendments in

1891, 1892, 1894, 1896, 1897, 1899, 1900, 1902, 1905, 1908, 1909,

1911, 1916, 1922, 1926, 1930, 1938, 1947, 1952, and 1956, and, as

contained in the present edition, they constitute the organic adminis-

trative law of the University as it now exists.

George E. Warren, Clerk

April 1959

* * * *

Part one–charters

(in brief)

Part One—Charters (in brief) 1

charters

On October 31, 1754, in the twenty-eighth year of the reign of George

II, a royal charter was granted by Letters Patent to the Governors of

the College of the Province of New York, in the City of New York, in

America, creating them a “Body Corporate to erect and maintain a col-

lege to be known as King’s College for the Instruction and Education

of Youth in the Learned Languages and Liberal Arts and Sciences”;

with power to elect their successors, to hold property, to appoint a

president, fellows, professors, and tutors, and to confer degrees.

This charter remained in force until May 1, 1784, when the Legis-

lature, at its first session after the adoption of the Constitution of the

State of New York, passed an act entitled “An Act for granting certain

privileges to the college heretofore called King’s College, for altering

the name and charter thereof, and erecting a university within this

state.”

By the terms of this act the franchises and property of the Gover-

nors of King’s College were vested in a corporation styled the Regents

of the University of the State of New York, who were thereby empow-

ered to appoint a president and professors and to make ordinances for

the government of King’s College, the name of which was changed to

Columbia College, and of such other colleges as they should found,

composing the University.

This act was repealed by “An Act to institute an university within

this state and for other purposes therein mentioned,” which was passed

April 13, 1787, largely through the efforts of Alexander Hamilton, then

a member of the Legislature, and a regent of the University. By the

terms of the repealing act, the original charter granted to the Governors

of King’s College was amended, ratified, and confirmed, and the fran-

chises and property formerly enjoyed by the Governors of King’s Col-

lege were vested in the Trustees of Columbia College in the City of New

York, who were named in the act and declared and constituted Trustees

of Columbia College, in perpetual succession, according to the true

intent and meaning of said charter.

On March 23, 1810, the original charter was further amended by

the following act:

charters 3

4 charters

An Act Relative to Columbia College

in the City of New York

[Laws of 1810—Chapter 85]

WHEREAS the Trustees of Columbia College in the City of New

York have represented, that sundry impediments to their trust, and

to the interest of literature in the college, are found by experience

from certain restrictions and defects in their charter, and have prayed

relief, and that their charter, when amended, may be comprised in

one act: Therefore,

I. Be it enacted by the people of the State of New York repre-

sented in Senate and Assembly, That John H. Livingston,

Richard Varick, Brockholst Livingston, Abraham Beach,

John Lawrence, Gershom Seixas, Richard Hairson, John

Watts, William Moore, Cornelius I. Bogart, John M. Mason,

Edward Dunscomb, George C. Anthon, John N. Abeel, James

Tillary, John H. Hobart, Benjamin Moore, Egbert Benson,

Gouverneur Morris, Jacob Radcliff, Rufus King, Samuel

Miller, Oliver Wolcott, and John B. Romeyn, the present

Trustees of the said college, and their successors, shall be and

remain forever hereafter, a body politic and corporate, in

fact and in name, by the name of The Trustees of Columbia

College in the City of New York, and by that name shall and

may have continual succession for ever hereafter, and shall

be able in law to sue and be sued, implead and be impleaded,

answer and be answered unto, defend and be defended, in

all courts and places whatsoever, and may have a common

seal, and may change and alter the same at their pleasure,

and also, shall be able in law to take by purchase, gift, grant,

devise, or in any other manner, and to hold any real and

personal estate whatsoever; Provided always, The clear yearly

value of the real estate to be so acquired, shall not exceed

the sum of twenty thousand dollars; and also that they and

their successors shall have power to give, grant, bargain, sell,

demise, or otherwise dispose of, all or any part of the said

real and personal estate, as to them shall seem best for the

interest of the said college.

charters 5

II. And be it further enacted, That the said Trustees, and their

successors, shall forever here-after have full power and author-

ity to direct and prescribe the course of study, and the disci-

pline to be observed in the said college, and also to select by

ballot or otherwise, a president of the said college, who shall

hold his office during good behavior; and such professor or

professors, tutor or tutors, to Tutors, and assist the President

in the government and education Officers of the students

belonging to the said college, and such other officer or offi-

cers, as to the said Trustees shall seem meet, all of whom shall

hold their offices during the pleasure of the Trustees; Pro-

vided always, That no such professors, tutor, or other assistant

officer shall be Trustee.

III. And be it further enacted, That if complaint shall be made in

writing to the said Trustees, or their successors, by any mem-

ber of the said corporation of any misbehavior in office by the

President, it shall be lawful for the said Trustees, or their suc-

cessors, from time to time, upon examination, and such due

proof of misbehavior, to suspend or discharge such President,

and to appoint another in his place.

IV. And be it further enacted, That eleven of the said Trustees,

lawfully convened, as is hereinafter directed, shall be a quo-

rum for the despatch of all business, except for the disposal

of real estate, or for the choice or removal of a president, for

either of which purposes there shall be a meeting of at least

thirteen Trustees.

V. And be it further enacted, That the said Trustees shall have full

power and authority to elect by ballot their own chair once in

every year, or at such other periods as they shall prefer.

VI. And be it further enacted, That the said Trustees shall also

have power, by a majority of votes of the members present, to

elect and appoint, upon the death, removal out of the state, or

other vacancy of the place or places of any Trustee or Trust-

ees, other or others in his or their places or stead as often

as such vacancy shall happen; and also to make and declare

vacant the seat of any Trustee who shall absent himself or

herself from five successive meetings of the board; and also

6 charters

to meet upon their own adjournment, and so often as they

shall be summoned by their chair, or in his absence by the

senior Trustee; whose seniority shall be accounted according

to the order in which the said Trustees are named in this

act, and shall be elected hereafter; Provided always, That the

said chair or senior Trustee shall not summon a meeting of

the corporation unless required thereto in writing by three

of the members; And provided also, That he cause notice of

the time and place of the said meeting to be given in one or

more of the public newspapers printed in the City of New

York, at least three days before such meeting; and that every

member of the corporation resident in the City shall be pre-

viously advertised in writing of the time and place of every

such meeting.

VII. And be it further enacted, That the said Trustees and their

successors, shall have power and authority to grant all such

literary honors and degrees, as are usually granted by any uni-

versity, college, or seminary of learning in this state, or in the

United States; and in testimony of such grant to give suitable

diplomas under their seal, and the signatures of the President

and such professors, or tutors of the college, as they shall

judge expedient; which diplomas shall entitle the possessors

respectively to all the immunities and privileges which either

by usage or statute are allowed to possessors of similar diplo-

mas from any university, college, or seminary of learning.

VIII. And be it further enacted, That the said Trustees, and their

successors, shall have full power and authority to make all

ordinances and by-laws which to them shall seem expedient

for carrying into effect the designs of their institution; Pro-

vided always, That such ordinances or by-laws shall not make

the religious tenets of any person a condition of admission to

any privilege or office in the said college, nor be inconsistent

with the constitution and laws of this state, nor with the con-

stitution and laws of the United States.

charters 7

IX. And be it further enacted, That all the real and personal

estate whatsoever and wheresoever, which were formerly

vested in the governors of the college of the province of New

York in the City of New York in America, or in the Trustees

of Columbia College in the City of New York, be and the

same is hereby confirmed to and vested in the said Trustees

of Columbia College in the City of New York, and their suc-

cessors forever, for the sole use and benefit of the said col-

lege; and that it shall and may be lawful to and for the said

Trustees, and their successors, to grant, bargain, sell, demise,

improve and dispose of the same as to them shall seem meet;

Provided always, That the lands given and granted to the gov-

ernors of the college of the province of New York in the City

of New York in America by the corporation heretofore styled

“The Rector and Inhabitants of the city of New York, in com-

munion of the Church of England, as by law established,” on

part whereof the said college is erected, shall not be granted

for any greater term of time than sixty-three years.

X. And be it further enacted, That the eighth, ninth, tenth, and

eleventh sections of the act, entitled, “an act to institute an

university within this state and for other purposes therein

mentioned,” passed the thirteenth day of April, in the year of

our Lord one thousand seven hundred and eighty-seven, be

and the same are hereby repealed.

CHANGE OF CORPORATE NAME 9

CHANGE OF CORPORATE NAME

The name of the corporation was changed from The Trustees of

Columbia College in the City of New York to The Trustees of Colum-

bia University in the City of New York by an order of the Supreme

Court of the State of New York, held in and for the County of New

York, at the County Court House in the County of New York, on the

17th day of July 1912.

Part Two—Statutes 11

Part Two—Statutes

THE PRESIDENT

§1. PowersThe President shall be the chief officer of the Uni-

versity and, subject to the Trustees, shall have general charge of the

affairs of the University. The President shall be the presiding officer

of the University Senate and the chair of every Faculty and Admin-

istrative Board established by the Trustees. His or her concurrence

shall be necessary to every act of a Faculty or of an Administrative

Board, unless after his or her nonconcurrence, the act or resolution

shall be again passed by a vote of two-thirds of the entire body at the

same or at the next succeeding meeting thereof. In all cases where

there shall be nonconcurrence between the President and a major-

ity of the faculty or Administrative Board present at the time, the

names of those voting on each side shall be entered on the minutes

and each member shall be entitled to have entered on the minutes

his or her reasons for his or her vote.

§2. DutiesIt shall be the duty of the President

a. to exercise jurisdiction over all the affairs of the

University.

b. to call special meetings of the University Senate and meet-

ings of the several Faculties and Administrative Boards and

to give such directions and to perform such acts as shall in

his or her judgment promote the interests of the University,

so that they do not contravene the Charter, the Statutes or

the resolutions of the Trustees, or of the University Senate,

or Faculties or Administrative Boards.

c. to report to the Trustees annually, and as occasion shall

require, the condition and needs of the University.

d. to administer discipline in accordance with the Statutes

of the University and the rules promulgated pursuant

thereto.

THE PRESIDENT 13

§3. Acting presidentIn the event of the death, disability, res-

ignation, or retirement of the President and pending the election

of a president or an acting president by the Trustees, the Provost

(or if there is more than one Provost, the Provost designated by the

Trustees) shall perform the duties and exercise the authority of the

President.

§4. Leave of absenceThe President shall have power to grant

leave of absence for reasonable cause and for such length of time

as he or she shall judge the occasion may require. Such leave of

absence shall be entered upon the minutes of the appropriate

Faculty.

In the case of professors absent on leave, the President shall

have power to make such temporary arrangements for the work

of the University as he or she may deem proper, provided that no

expenditure shall be incurred beyond the compensation waived in

each case by the absent professor, and provided, further, that no

part of such funds shall be used to give additional pay to anyone

already in the service of the University, except with the consent of

the Trustees.

§5. Scientific testsThe President shall have power to permit

members of the staff of instruction to use the various laboratories

of the University for scientific tests or experiments under arrange-

ments to be approved by the President, provided such use does not

interfere with the normal use of the laboratories for the purposes

of instruction and research.

§6. Degrees and certificatesThe President shall have power

to admit to the academic degrees for which they have qualified

candidates recommended by the Faculty or Administrative Board

concerned or by the University Senate as having satisfactorily ful-

filled the requirements of the Statutes; he or she shall also have

power to award such certificates for academic attendance and per-

formance as the University Senate shall from time to time approve.

The President shall have power to confer honorary degrees and

award University Medals for Excellence as authorized by the

Trustees.

14 THE PRESIDENT

§7. Loan of collections The property of the University shall

not be loaned without the permission of the President, and he or she

shall report such action to the Trustees from time to time.

THE PRESIDENT 15

16 THE UNIVERSITY SENATE

THE UNIVERSITY SENATE

§20. MembershipThe University Senate shall be a unicameral

body whose membership shall be composed of representatives from

the following categories:

a. Administration members

1. The President

2. The Provost (or if there is more than one Provost, the

Provost designated by the President)

3. The dean of the Faculty of the Graduate School of Arts

and Sciences

4. The dean of Columbia College

5. Five members, who shall be appointed by the President,

from among officers of administration who are part of the

central administration and administrators of Faculties

b. Faculty members

1. Forty-two officers of instruction having an appointment

without stated term as professor or associate professor as

defined in Sections 60 and 61, to be elected from and by

such officers of instruction, subject to the provisions of

Section 21

2. Sixteen officers of instruction having an appointment

for a stated term as defined in Sections 60 and 61 to be

elected from and by such officers of instruction, subject

to the provisions of Section 21

c. Student members

Twenty-two students as defined in Section 381 to be elected

from and by such students as provided in Section 21, one

student from Barnard College to be elected from and by the

students of Barnard College as provided in Section 21, and

one student from Teachers College to be elected from and by

the students of Teachers College as provided in Section 21

d. Affiliated institution members

1. Two representatives of the faculty of Barnard College

2. Subject to renegotiation of the existing affiliation agree-

ment with Teachers College, two representatives of the

faculty of Teachers College

3. Subject to renegotiation of the existing affiliation agree-

ment with the Union Theological Seminary, one represen-

tative of the faculty of the Union Theological Seminary

e. Professional library staff members

Two members who shall be elected from and by those per-

sons holding a full-time trustee or presidential appointment

to the professional library service

f. Research members

Six members who shall be elected from and by those persons

designated as senior research scientist or senior research

scholar, Lamont research professor, research scientist or

research scholar, Lamont associate research professor, associ-

ate research scientist or associate research scholar, Lamont

assistant research professor, postdoctoral research scientist,

postdoctoral research scholar, or postdoctoral research fellow,

senior staff associate and staff associate, as defined in Section

62 of these Statutes, and who are not entitled to vote as offi-

cers of instruction

g. Administrative staff members

Two members who shall be elected from and by those per-

sons having an appointment from the President or the Sec-

retary of the University, or who are in Grade VII or above of

the University Personnel Classification System for officers of

administration and supporting staff and who are not entitled

to vote in any other category for members of the University

Senate

h. Alumni members

Two alumni members who shall be chosen by the Alumni

Council of the Alumni Federation of the University

THE UNIVERSITY SENATE 17

§21. Elections, eligibility, recall, and term of office

a. Election of faculty members

1. The forty-two memberships for officers of instruction hav-

ing an appointment without stated term as professor or

associate professor as defined in Sections 60 or 61 shall

be apportioned by the University Senate every five years

among the Faculties of the Columbia Corporation in

proportion to the number of such officers of instruction;

provided, however, that each such faculty, other than

the Faculties of Arts and Sciences and Health Sciences,

which shall not be entitled to elect any members, shall

be entitled to elect at least one member; and for the pur-

poses of this paragraph (1), apportionment and election

of members from the Faculties of the College, General

Studies and the Graduate School of Arts and Sciences,

treated as one group, shall be among the three disciplines

of the Social Sciences, Humanities, and Pure Sciences,

respectively, as specified in Section 153 of the Statutes.

2. The sixteen memberships for officers of instruction with

stated term shall be apportioned by the University Sen-

ate every five years among the Faculties of the Columbia

Corporation other than the Faculties of Arts and Sciences

and Health Sciences. All such officers of instruction having

an appointment as preceptor, associate, lecturer, instruc-

tor, and assistant professor, regardless of whether all such

officers are full time or part time, shall be entitled to vote.

Officers of instruction having an appointment with a stated

term above that of assistant professor also shall be entitled

to vote in this category. For the purposes of this paragraph

(2), apportionment and election of members from the

Faculties of the College, General Studies and the Graduate

School of Arts and Sciences, treated as one group, shall

be among the three disciplines of the Social Sciences,

Humanities, and Pure Sciences, respectively, as specified

in Section 153 of the Statutes.

b. Election of student members

The twenty-four memberships for students shall be appor-

tioned by the University Senate every five years as follows:

twenty-two among the Faculties of the Columbia Corporation;

18 THE UNIVERSITY SENATE

provided, however, that at least one student member shall

be elected from each Faculty other than the Faculties of Arts

and Sciences and Health Sciences; two additional student

members shall be elected from the Faculty with the largest

number of full-time students; one additional student member

shall be elected from each of the Faculties with the next larg-

est number of students; until the limit of twenty-two student

seats for the Columbia Corporation is reached; one student

member shall be elected from Barnard College; and one stu-

dent member shall be elected from Teachers College. For the

purposes of this subsection (b), the Faculty of the Graduate

School of Arts and Sciences shall be treated as consisting of

three separate Faculties, comprised of the disciplines of the

Social Sciences, Humanities, and Pure Sciences, respectively,

as specified in Section 153 of the Statutes.

c. Election of members from professional library staff and

administrative staff

Two members shall be elected from and by the research staff

and administrative staff.

d. Election of members of officers of research

The six memberships for officers of research shall be appor-

tioned by the University Senate biennially as follows: four

among officers of research members designated as senior

research scientist or senior research scholar, Lamont research

professor, research scientist or research scholar, Lamont asso-

ciate research professor, associate research scientist or associ-

ate research scholar, and Lamont assistant research professor;

one additional research officer member shall be elected from

those persons designated as postdoctoral research scientist,

postdoctoral research scholar, or postdoctoral research fellow;

and one additional research officer member shall be elected

from those persons designated senior staff associate or staff

associate.

e. Representatives from affiliated institutions

Each of the affiliated institutions shall choose representatives

from among their respective Faculties to serve as members in

such manner as each of them may determine.

THE UNIVERSITY SENATE 19

f. Direct and indirect elections

All members elected under subsections (a), (b), and (c) shall be

chosen by direct election, except that student members may

be chosen by indirect election as hereinafter provided. If the

indirect election method is chosen, then the student member

of the University Senate shall be elected by the elected stu-

dent governing body of the Faculty from which the student

member of the University Senate is being chosen. Such choice

shall be exercised only by a referendum of the students within

such Faculty and shall stand unless and until reversed by a

succeeding referendum. If there is no elected student govern-

ing body of the Faculty which is authorized to hold indirect

elections, and if either a seat assigned to a student member

has remained vacant for six months or longer, or elections

have failed to fill such a seat, then a member may be elected

from one or more departments within that Faculty in rotation,

as may be prescribed by the body designated of the University

Senate, to administer University Senate elections.

g. Time of election and term of office

There shall be two regular election periods each year, one in

the spring and one in the fall. The regular term of office for

each member shall be as follows:

1. For each member elected in the spring elections, the term of

office shall begin fourteen days before the day of Commence-

ment next following his or her election and shall be for two

years; provided that a member elected to a vacant seat shall

assume office immediately; and provided further that if the

spring elections are not completed by the date set for the

beginning of his or her term, the member shall assume office

immediately upon the completion of the elections.

2. For each member elected in the fall elections, the term of

office shall commence immediately upon election and shall

expire fourteen days before the day of the second Com-

mencement next following his or her election.

3. For each appointed member, the term of office shall com-

mence immediately upon appointment and shall expire

fourteen days before the day of the second Commence-

ment next following his or her appointment.

20 THE UNIVERSITY SENATE

It shall be the responsibility of each member to advise the

commission supervising elections of members to the Univer-

sity Senate, as early as possible, if he or she will be unable

to serve his or her full term. When such commission is so

advised, provision will be made to vote, at the next election,

for a member to fill the anticipated vacancy. The term of

such member shall be the same as that of all other members

elected in the same election period, except that if the seat is

occupied at the time of election, the term shall commence

upon the effective date of resignation of the retiring member.

Except as provided in subsection (f), any vacancy occurring

between election periods shall be filled in the same manner

in which the original member was chosen, and the term of

office for each member so elected shall commence immedi-

ately upon election and shall expire fourteen days before the

day of the second Commencement next following the elec-

tion. The Executive Committee of the University Senate may

designate a date for the expiration of terms and beginnings of

new terms different from the date set herein, if such a redes-

ignation is necessary to allow for an orderly transition of the

work of the University Senate from one session to the next.

No person shall be disqualified from election because he or

she will be a member of the category from which he or she is

elected for less than two years. However, his or her member-

ship shall terminate when he or she is no longer a member of

the category from which he or she was elected.

h. Recall

Every elected member shall be subject to recall. Upon peti-

tion signed by one-fourth of the number of members of the

category from which the member was elected, a recall elec-

tion shall be held. A majority of votes cast for recall shall

cause the recall of the member and his or her membership

shall thereupon become vacant.

The provisions of subsection (f) shall also apply to recall elec-

tions.

§22. DutiesIt shall be the duty of the University Senate

a. to report to the Trustees its opinion as to any exercise of

power proposed by a Faculty under Section 35;

THE UNIVERSITY SENATE 21

22 THE UNIVERSITY SENATE

b. to submit such proposals to the Trustees or to the President

or to the several Faculties as in its judgment may serve to

increase the efficiency of University work;

c. to consider any question that may arise as to the conduct or

efficiency of any officer of administration or instruction, and

to report thereon to the Trustees through the President.

§23. General policiesSubject to the reserve power of the

Trustees and the provisions of Section 25, the University Senate shall

be a policy-making body which may consider all matters of University-

wide concern, all matters affecting more than one Faculty or school,

and all matters pertaining to the implementation and execution of

agreements with the other educational institutions that are now or

may hereafter become affiliated with the University. Without limita-

tion by enumeration the University Senate shall

a. develop and review plans and policies to strengthen the edu-

cational system of the University;

b. work on the long-range master plan for the physical

development of the University; recommend ways in which

it can be improved; and keep the same under continuing

review;

c. work for the advancement of academic freedom and the pro-

tection of faculty interests;

d. work for the promotion of student welfare and the enhance-

ment of student life;

e. initiate and review policies to govern the University’s rela-

tions with outside agencies for research, instruction, and

related purposes;

f. foster policies for cooperative and mutually beneficial rela-

tions with the neighboring community;

g. review by broad categories the annual budget of the Univer-

sity after its adoption and advise the Trustees as to its general

conformity with the goals of the University;

h. consider and recommend policies relating to the awarding of

University prizes and honors, and assist the Trustees in the

selection of recipients of such prizes and honors;

THE UNIVERSITY SENATE 23

i. promulgate a code of conduct for faculty, students, and staff

and provide for its enforcement;

j. initiate proposed changes in Chapter II of these Statutes

which have been passed by a vote of at least three-fifths of all

incumbent members of the University Senate.

§24. PowersThe University Senate, subject to the reserve power

of the Trustees and the provisions of Section 25, shall have power,

and it shall be its duty:

a. Academic correlation: to secure the correlation of courses

offered by the several Faculties and Administrative Boards;

to adjust all questions involving more than one Faculty or

Administrative Board;

b. Degrees: to prescribe, by concurrent action with the appro-

priate Faculty or Administrative Board, the conditions upon

which the following degrees shall be conferred and to recom-

mend candidates for such degrees:

Doctor of Philosophy (Ph.D.)—Faculty of the Graduate School

of Arts and Sciences and Administrative Board of the Gradu-

ate School of Arts and Sciences

Doctor of the Science of Law (J.S.D.)—Faculty of Law

Juris Doctor (J.D.)—Faculty of Law

Doctor of Medical Science (Med.Sc.D.)—Faculties of

Medicine and Dental Medicine

Doctor of Medicine (M.D).—Faculty of Medicine

Doctor of Dental Surgery (D.D.S.)—Faculty of Dental

Medicine

Doctor of Occupational Therapy (O.T.D.)—Faculty of

Medicine

Doctor of Physical Therapy (D.P.T.)—Faculty of Medicine

Doctor of Nursing Practice (Dr.N.P.)—Faculty of Nursing

Doctor of Public Health (Dr.P.H.)—Faculty of Public

Health

24 THE UNIVERSITY SENATE

Doctor of Education (Ed.D.)—Faculty of Teachers

College

Doctor of Engineering Science (Eng.Sc.D.)—Faculty of

Engineering and Applied Science

Doctor of Musical Arts (D.M.A.)—Faculty of the Graduate

School of Arts and Sciences

Master of Philosophy (M.Phil.)—Faculty of the Graduate

School of Arts and Sciences and Administrative Board of the

Graduate School of Arts and Sciences

Master of Architecture (M.Arch.)—Faculty of Architecture,

Planning and Preservation

Master of Arts (M.A.)—Faculties of the Graduate School of

Arts and Sciences, the Arts, Journalism, Teachers College,

Union Theological Seminary, Climate, and the Administrative

Board of the Graduate School of Arts and Sciences

Master of Science (M.S.)—Faculties of Medicine; Engineering

and Applied Science; Journalism; Teachers College; Archi-

tecture, Planning and Preservation; Dental Medicine; Social

Work; Business; Nursing; Public Health; and Professional

Studies

Master of Business Administration (M.B.A.)—Faculty of

Business

Master of Health Administration (M.H.A.)—Faculty of Public

Health

Master of Professional Studies (M.P.S.)—Faculty of Profes-

sional Studies

Master of International Affairs (M.I.A.)—Faculty of

International and Public Affairs

Master of Public Administration (M.P.A.)—Faculty of

International and Public Affairs

Master of Laws (LL.M.)—Faculty of Law

Master of Public Health (M.P.H.)—Faculty of Public Health

Master of Fine Arts (M.F.A.)—Faculty of the Arts

Master of Education (Ed.M.)—Faculty of Teachers College

Bachelor of Arts (B.A.)—Faculty of Barnard College

Bachelor of Arts (B.A.)—Faculty of Columbia College

Bachelor of Arts (B.A.)—Faculty of General Studies

Bachelor of Science (B.S.)—Faculty of Engineering and

Applied Science

Bachelor of Science (B.S.)—Faculty of Nursing

Bachelor of Science (B.S.)—Faculty of General Studies

c. Certificates: to prescribe the conditions upon which certifi-

cates and such other certificates as the University Senate may

from time to time approve, shall be awarded upon recom-

mendation of the several Faculties, Administrative

Boards, or committees;

d. College courses: to prescribe, by concurrent action with the

Faculties of Columbia College, Barnard College, and Gen-

eral Studies, severally, the extent to which courses offered

by other Faculties and leading to graduate or professional

degrees or diplomas shall be included in the programs of

studies under those Faculties, and the conditions upon which

such courses may be elected by candidates for a nonprofes-

sional first degree;

e. Barnard College: to prescribe the manner in which the

degree of bachelor of arts conferred upon graduates of Bar-

nard College shall be maintained at all times as a degree of

equal value with the degree of bachelor of arts conferred

upon the graduates of Columbia College;

f. Other institutions: to adopt regulations, subject to approval

by the Trustees, providing for the proper execution, as

regards educational matters, of agreements that are now in

existence or that may hereafter be made between the Uni-

versity and such other educational institutions as are now or

may hereafter become affiliated with the University, and to

THE UNIVERSITY SENATE 25

26 THE UNIVERSITY SENATE

prescribe what degrees, diplomas, and certificates may be

granted by said institutions and the conditions for granting

the same;

g. Summer Session: to adopt regulations governing the relation

of instruction in the Summer Session to the other work of

the

University;

h. Fellowships and scholarships: to determine the conditions

upon which fellowships and University scholarships shall be

awarded, to appoint all fellows and University scholars, and

to make rules for their government, subject to such restric-

tions as may be prescribed by the Statutes or by the terms

upon which the several fellowships and University scholar-

ships are established;

i. Academic Calendar: to fix, annually in advance the Aca-

demic Calendar, the dates for entrance and final examina-

tions, the date of Commencement, and the order of Com-

mencement exercises;

j. Research bureaus: to encourage original research and to

authorize the establishment of research bureaus to be

conducted by a Faculty or by one or more departments

under such terms as the University Senate may prescribe;

k. Libraries: to advise in such matters pertaining to the

administration of the libraries as may be laid before it

by the Provost or Provosts or by the University Librarian;

§25. Limitations of powers

a. Unless Trustee concurrence is required, acts of the Univer-

sity Senate under Sections 22 and 23 shall become final

on passage. In all matters involving a change in budgetary

appropriations, involving the acquisition or disposition of

real property, affecting contractual obligations of the Uni-

versity, or as required by law, such concurrence shall be

required. In all other matters, the action of the University

Senate will be final unless the President shall advise the

University Senate not later than its next regularly scheduled

meeting that Trustee concurrence is necessary. Acts of the

University Senate under Sections 22 and 23 shall be con-

curred in or not concurred in by the Trustees by the second

stated meeting of the Trustees following the submission of

the University Senate’s action to the Trustees, except when

the Trustees shall advise the University Senate of their need

for a longer specified period of time to consider such actions.

Whenever the Trustees do not concur in an act of the Univer-

sity Senate under Sections 22 and 23, they shall return the

measure to the University Senate with an explanation of the

reason for their action.

b. No exercise of the powers conferred on the University Senate

by Section 24 that involves a change in the educational

policy of the University in respect to the requirements of

admission or the conditions of graduation shall take effect

until the same shall have been submitted to the Trustees at

one meeting and another meeting of the Trustees shall have

been held.

c. Notwithstanding the provisions of subsections (a) and (b),

the President may convene a special meeting of the Univer-

sity Senate within fifteen class days of any University Senate

action, and may request it to reconsider such action.

§26. By-Laws and committeesThe University Senate shall

have the power to organize itself and to make all such By-Laws

and regulations for its own proceedings as shall not contravene the

Charter of the University or these Statutes. Such By-Laws shall be

amended only by a three-fifths vote of all incumbent members of the

University Senate. Any such By-Laws and regulations may provide for

such committees as may be necessary or desirable. Such committees

shall include an Executive Committee. The Trustees shall work with

the Executive Committee of the University Senate in the nomination

of six Trustees as provided in the By-Laws of the Trustees. The Trust-

ees shall work with the Executive Committee of the University Senate

in the selection of a President of the University as provided in the

By-Laws of the Trustees. The President shall work with the Executive

Committee of the University Senate in the selection of the Provost or

Provosts as provided in Section 50. The Executive Committee of the

University Senate shall participate in the appointment of University

THE UNIVERSITY SENATE 27

Professors as provided in Section 61.

§27. MeetingsThe University Senate shall meet regularly as

provided in its By-Laws. Special meetings shall be held on the call of

the President and in accordance with its By-Laws. When practicable,

meetings of the Senate shall be conducted in person. Virtual meet-

ings of the Senate may be called by the President, by the chair of the

Executive Committee of the University Senate in consultation with

the members of the Executive Committee of the University Senate,

and in accordance with other methods specified in its By-Laws. The

President shall be the presiding officer of the University Senate. In

the absence of the President, the chair of the Executive Committee of

the University Senate shall preside.

§28. StaffThe University shall furnish, to the extent provided

for in the University’s budget, assistance to the University Senate as a

whole and to its committees in connection with its official business, as

may be authorized by the Executive Committee of the University Sen-

ate.

28 THE UNIVERSITY SENATE

III

FACULTIES AND ADMINISTRATIVE

BOARDS

§30. FacultiesThe following Faculties are established: The Facul-

ties of the Graduate School of Arts and Sciences; Columbia College; Arts

and Sciences; Health Sciences; Law; Medicine; Engineering and Applied

Science; Dental Medicine; Architecture, Planning and Preservation;

Journalism; Business; General Studies; International and Public Affairs;

Barnard College; Teachers College; Social Work; the Arts; Nursing; Pub-

lic Health; Professional Studies; and Climate.

§31. Members of FacultiesA Faculty shall consist of those

officers of administration and instruction who have been assigned to

it by the Trustees, on the nomination of the faculty. A Faculty may

nominate any full-time officer of instruction whose appointment to

the University is for full-time service in instruction for such time as

such full-time service is maintained. A retired officer of instruction

who is appointed a special lecturer and who served on a Faculty

immediately prior to his or her retirement may be nominated by that

Faculty for such time as his or her service as special lecturer contin-

ues. In addition, any other officer of instruction whose appointment

to the University is for part-time service in instruction shall, after his

or her second consecutive year of such service to the University, be eli-

gible for an annual nomination by a Faculty during each year of such

subsequent service to the University. Notwithstanding the provisions of

this section, no officer of administration or instruction shall be nomi-

nated or assigned to a Faculty of the University in which he or she is a

candidate for a degree or a certificate.

§32. Administrative BoardsThe following Administrative

Boards are established: Parker School of Foreign and Comparative

Law, Administrative Board for the Master of Arts in Teaching, and

the Administrative Board of the Graduate School of Arts and Sci-

ences, with respect to the programs outlined in Section 152b.

FACULTIES AND ADMINISTRATIVE BOARDS 29

30 FACULTIES AND ADMINISTRATIVE BOARDS

§33. Members of Administrative BoardsAn Adminis-

trative Board shall consist of those officers of administration and

instruction who have been assigned to it by the Trustees; provided,

however, that no officer of administration or instruction shall be

assigned to an Administrative Board of the University under which he

or she is a candidate for a degree or certificate.

§34. Right to voteAny Faculty or Administrative Board (as

defined in Sections 31 and 33 of these Statutes, the members of

which are hereinafter referred to as “statutory members”) may

invite other officers of administration and instruction and students

registered in such Faculty or Administrative Board to participate in

its deliberations and in the deliberations of its committees or other

subordinate bodies. Subject to such conditions and restrictions as it

may determine, a Faculty or Administrative Board may grant such

invited individuals the right to vote in decisions of its committees or

other subordinate bodies; provided, however, that a majority of the

members of any such committees or other subordinate bodies shall

be statutory members of the Faculty or Administrative Board; and

provided, further, that only statutory members shall have the right to

vote in decisions of the full Faculty or Administrative Board. Nothing

in this section shall impair the right of the Faculty or Administrative

Board to conduct meetings open only to its statutory members.

§35. PowersExcept for the Faculties of Arts and Sciences and

of Health Sciences, the several Faculties and Administrative Boards,

subject to the reserve power of the Trustees and the provisions of the

Statutes, shall have power and it shall be their duty

a. to fix the academic requirements of admission, the program

of studies, and the conditions of graduation, and to recom-

mend for degrees students who have fulfilled these conditions;

b. to establish rules for ascertaining the proficiency of students,

and for the assignment of honors;

c. to fix the times of examinations other than the entrance and

final examinations;

d. to prepare and publish from time to time a statement of the

program of studies, specifying the studies to be pursued in

each year, and in each of the departments of instruction;

FACULTIES AND ADMINISTRATIVE BOARDS 31

e. to make all such regulations for their own proceedings, and

for the better government of their respective schools and col-

leges, as shall not contravene the Charter of the Corporation,

the Statutes, or any resolution of the Trustees or University

Senate.

§36. Limitation of powersEvery proposed exercise of the

powers conferred on any of the Faculties and Administrative Boards,

which involves a change in the educational policy of the University

in respect to the requirements of admission, the program of studies,

or the conditions of graduation, shall be submitted to the University

Senate before being recommended to the Trustees, and such recom-

mendation shall not be laid before the Trustees until the University

Senate has acted thereon, or until another meeting of the University

Senate has been held. No exercise of such power by any Faculty or

Administrative Board shall take effect until the same shall have been

submitted to the Trustees at one meeting, and another meeting shall

have been held.

§37. Secretaries Each Faculty and Administrative Board shall

elect annually a secretary, who shall perform the usual duties of a

recording officer, and such other duties as may be assigned to him or

her by the President, by the dean of the Faculty or the director of the

Administrative Board, or by the Faculty or the Administrative Board.

§38. Meetings Each Faculty and Administrative Board shall

meet at least once during the academic year, unless otherwise

directed by the President, and special meetings shall be held on the

call of the President, or, in his or her absence, any Provost, or the

dean or the director.

§39. Minutes Each Faculty and Administrative Board shall keep

a book of minutes of its proceedings, which shall be submitted by the

President at meetings of the Trustees.

32 DEPARTMENTS

DEPARTMENTS

§40. Departments The following departments of instruction are

established in the University:

African American and African Diaspora Studies

Anesthesiology

Anthropology

Applied Physics and Applied Mathematics

Architecture, Planning and Preservation

Art History and Archaeology

Arts, The

Astronomy

Biochemistry and Molecular Biophysics

Biological Sciences

Biomedical Engineering

Biomedical Informatics

Biostatistics

Business

Chemical Engineering

Chemistry

Civil Engineering and Engineering Mechanics

Classics

Climate

Computer Science

Dental Medicine

Dermatology

Earth and Environmental Engineering

Earth and Environmental Sciences

East Asian Languages and Cultures

Ecology, Evolution and Environmental Biology

Economics

Education

Electrical Engineering

Emergency Medicine

English and Comparative Literature

Environmental Health Sciences

Epidemiology

French

Genetics and Development

Germanic Languages

Health Policy and Management

History

Industrial Engineering and Operations Research

International and Public Affairs

Italian

Journalism

Latin American and Iberian Cultures

Law

Mathematics

Mechanical Engineering

Medical Humanities and Ethics

Medicine

Microbiology and Immunology

Middle Eastern, South Asian, and African Studies

Molecular Pharmacology and Therapeutics

Music

Naval Science

Neurological Surgery

Neurology

Neuroscience

Nursing

Obstetrics and Gynecology

Ophthalmology

Orthopaedic Surgery

Otolaryngology/Head and Neck Surgery

Pathology and Cell Biology

Pediatrics

Philosophy

Physical Education and Intercollegiate Athletics

Physics

Physiology and Cellular Biophysics

Political Science

Population and Family Health

Professional Studies

Psychiatry

DEPARTMENTS 33

34 DEPARTMENTS

Psychology

Radiation Oncology

Radiology

Rehabilitation and Regenerative Medicine

Religion

Slavic Languages

Social Work

Sociology

Sociomedical Sciences

Statistics

Surgery

Systems Biology

Urology

§41. Members of departmentsEach department shall con-

sist of those officers of administration and of instruction who are

appointed by the Trustees, or pursuant to their authority, to render

academic service within the scope of the subject covered by the title

of the department.

§42. Right to voteIn each department,professors, associate

professors, assistant professors, and instructors shall be entitled to

vote on matters of instruction being considered by the department.

§43. Chairs of departmentsThe President shall appoint a

chair of each department of instruction.

OFFICERS OF ADMINISTRATION

§50. Officers of administration

a. The officers of administration, in addition to the President, are

one or more Provosts, one or more vice presidents (who may be

designated senior executive, executive, or senior vice presidents),

the general counsel, the secretary, the deans of the several Facul-

ties, and such other officers as the Trustees may appoint. The

President from time to time may appoint one or more additional

officer or officers to perform specific assignments.

b. All officers of administration appointed by the Trustees shall

be appointed on nomination of the President and shall be

answerable to him or her and subject to his or her general

supervision. They shall hold their offices at the pleasure of

the Trustees. The President may, from time to time, reas-

sign duties and responsibilities among the various officers of

administration. The President shall work with the Executive

Committee of the University Senate on a confidential basis in

the selection of the Provost or Provosts, by exchanging with it

suggestions and comments as to possible nominees and their

qualifications, and endeavoring through consultation to resolve

any differences in viewpoint, all to the desired end that a com-

mon endorsement of the ultimate nominee or nominees may

result.

c. The President, any Provost, and any senior executive or execu-

tive vice president shall have power, subject to the require-

ments of the By-Laws and the Statutes and to any limitations

prescribed by the Trustees thereof, to execute in the name of

and on behalf of the University any and all contracts, leases,

deeds, assignments, agreements, orders, or other instruments.

The President, with the approval of the Trustees, may autho-

rize other officers of administration to execute such documents

pertaining to their assigned duties as the President may desig-

nate.

OFFICERS OF ADMINISTRATION 35

§51. ProvostThe Provost or Provosts shall be appointed by

the Trustees on the nomination of the President. In the event of the

absence or disability of the President, the Provost (or the Provost

designated by the Trustees, if there is more than one Provost) shall

be the chief executive officer of the University and shall perform the

duties and exercise the authority of the President. The Provost or

Provosts, subject to the direction of the President, shall be the chief

academic officer(s) of the University. The Provost or Provosts shall

develop and implement a University-wide academic plan, periodically

evaluate University programs and activities, and receive and evalu-

ate the annual reports of the deans of the Faculties and directors of

Administrative Boards of the University. The Provost or Provosts shall

be members of all Faculties and Administrative Boards, and may call

meetings of the same; in the absence of the President, the Provost

(or the Provost designated by the President, if there is more than one

Provost) shall preside at such meetings.

§52. Executive vice presidentsEach senior executive and

executive vice president or equivalent officer and any other executive

reporting directly to the President shall be appointed by the Trustees

on the nomination of the President and shall have such duties as the

President may prescribe.

§53. Executive vice president for Health and Biomedi-

cal Sciences The executive vice president for Health and Biomedical

Sciences shall be appointed by the Trustees on the nomination of the

President. He or she shall be directly responsible to the President. He

or she shall be in immediate charge of the educational administration

of the work of the Faculty of Health Sciences; shall be its executive

officer; and shall be dean of the Faculty of Health Sciences. He or she

shall have general supervision of the relationships of the University with

other institutions concerned with the health sciences. He or she shall

perform such further duties as shall be determined by the President.

§54. Executive vice president for Arts and Sciences The

executive vice president for Arts and Sciences shall be appointed by the

Trustees on nomination of the President. In subordination to the Presi-

dent and the Provost, he or she shall be responsible for matters of plan-

36 OFFICERS OF ADMINISTRATION

ning and policy, and academic and budgetary matters, in the Arts and

Sciences.

This officer shall chair the Planning and Budgeting Committee of the

Arts and Sciences, which shall include the deans of the several

Faculties within the Arts and Sciences; shall be in immediate charge

of the educational administration of the work of the Faculty of Arts

and Sciences; and shall be its executive officer. This officer shall per-

form such further duties as shall be determined by the President.

§55. General counselThe general counsel shall be appointed

by the Trustees on the nomination of the President. The general

counsel shall, under the President, be responsible for the manage-

ment of the legal affairs of the University and shall have such other

duties as the President may prescribe.

§56. SecretaryThe Secretary of the University shall receive

and keep the President informed concerning the minutes of all Facul-

ties and Administrative Boards; shall be custodian of the University

documents and records placed in his or her care; and shall have such

other duties as the President may prescribe.

§57. Deans

a. The deans of the several faculties, in subordination to the

President and the Provost or Provosts (and, in the cases of

the dean of the Faculty of Medicine, the dean of the Faculty

of Dental Medicine, the dean of the Faculty of Nursing, and

the dean of the Faculty of Public Health, to the executive

vice president for Health and Biomedical Sciences and dean

of the Faculty of Health Sciences, and of the dean of the Fac-

ulty of Columbia College, the dean of the Faculty of General

Studies, the dean of the Faculty of the Arts, the dean of the

Faculty of the Graduate School of Arts and Sciences, and the

dean of the Faculty of Professional Studies, to the executive

vice president for Arts and Sciences), shall have immediate

charge of the educational administration of the work of the

Faculty to which they may be appointed, and they shall be

the executive officers of their respective Faculties.

b. It shall be the duty of the dean of each Faculty, subject to

OFFICERS OF ADMINISTRATION 37

the reserve powers of the President and the Provost or Pro-

vosts, to enforce the rules and regulations of such Faculty;

to administer discipline in the school or college of which he

or she is dean; and to report to the President the condition

and needs of the Faculty to which he or she may have been

appointed, as occasion may require.

c. Each dean shall be a member of the Faculty of which he or

she is the dean. The dean of each of the following Faculties

shall also be a member of the Faculty of Arts and Sciences:

Columbia College, General Studies, Graduate School of Arts

and Sciences, the Arts, and Professional Studies. The dean of

each of the following Faculties shall also be a member of the

Faculty of Health Sciences: Dental Medicine, Medicine, Nurs-

ing, and Public Health.

38 OFFICERS OF ADMINISTRATION

OFFICERS OF INSTRUCTION AND

RESEARCH

§60. AppointmentsThe appointment of all officers of instruc-

tion and research, except as otherwise provided in the Statutes or

directed by the Trustees, shall be made upon nomination of the sev-

eral departments, subject to approval by the Faculties in which or

the Administrative Boards under which such officers are primarily to

serve. The appointment of all officers of instruction and research shall

be subject to these Statutes and to such other rules regarding submis-

sion and review of nominations for appointments to these offices as

the President may prescribe. All appointees to offices of instruction

and research shall hold their offices during the pleasure of the Trust-

ees in accordance with this Chapter. Except with the approval of the

President, no officer of instruction shall be appointed as an officer

of research, or vice versa, except that an officer of instruction who is

a lecturer may also be appointed a senior research scientist or senior

research scholar, a Lamont research professor, a research scientist or

research scholar, a Lamont associate research professor, an associate

research scientist or associate research scholar, a Lamont assistant

research professor, or a postdoctoral research scientist or postdoctoral

research scholar, and vice versa. Neither an officer of instruction nor

an officer of research shall engage in any outside occupation which

interferes with the thorough, efficient, and earnest performance of the

duties of his or her office. No officer of instruction or research shall

use the official title of the University, or of any of its parts, or refer to

his or her professional connection therewith, without the prior written

approval of the Trustees, in any opinion or certificate which he or she

may give as to the merits or claim of any business undertaking or of

any scientific or practical invention. Any appointment of a member of

the staff of an affiliated hospital or institute as an officer of instruction

or research shall terminate on the expiration or termination of the

applicable affiliation agreement or the termination or separation of the

person so appointed from the affiliated hospital or institute.

OFFICERS OF INSTRUCTION AND RESEARCH 39

§61. Officers of instruction: Grades of office

a. The following grades of office shall be recognized in all

appointments of officers of instruction:

University Professor

professor

professor of (department) at the Columbia University Medical

Center

professor of clinical (department)

clinical professor

clinical professor of law

professor of professional practice in (department)

visiting professor

visiting professor (of department) at the Columbia University

Medical Center

visiting professor of clinical (department)

adjunct professor

adjunct professor of clinical (department)

adjunct clinical professor (department)

associate professor

associate professor of (department) at the Columbia

University Medical Center

associate professor of clinical (department)

associate clinical professor

associate clinical professor of law

associate professor of professional practice in (department)

visiting associate professor

visiting associate professor (of department) at the Columbia

University Medical Center

visiting associate professor of clinical (department)

adjunct associate professor

adjunct associate professor of clinical (department)

adjunct associate clinical professor (department)

assistant professor

assistant professor of (department) at the Columbia

University Medical Center

assistant professor of clinical (department)

assistant clinical professor

assistant clinical professor of law

assistant professor of professional practice in (department)

visiting assistant professor

40 OFFICERS OF INSTRUCTION AND RESEARCH

visiting assistant professor (of department) at the Columbia

University Medical Center

visiting assistant professor of clinical (department)

adjunct assistant professor

adjunct assistant professor of clinical (department)

adjunct assistant clinical professor (department)

instructor

instructor at the Columbia University Medical Center

instructor in clinical

adjunct instructor

adjunct instructor in clinical

senior lecturer

senior lecturer at the Columbia University Medical Center

senior lecturer in (discipline)

lecturer

lecturer at the Columbia University Medical Center

lecturer in (discipline)

special lecturer

associate

associate at the Columbia University Medical Center

associate in clinical

associate in (discipline)

assistant

assistant at the Columbia University Medical Center

assistant in clinical

senior affiliate physician/dentist

affiliate physician/dentist

preceptor

teaching assistant

reader

Professorial and other instructional titles may be held only by

persons with teaching duties. All appointments to the grades

of professor and associate professor without a stated term

described in subsections (c) through (e) which follow shall be

made by the Trustees. All other officers of instruction shall be

appointed by the President.

b. The title University Professor is conferred upon a senior

officer of the highest distinction. Such University Professors

shall be eight in number, except that the number may be

OFFICERS OF INSTRUCTION AND RESEARCH 41

increased if officers appointed to that rank are aged 70 or

above. University Professors shall be appointed by the Trust-

ees with the affirmative advice of a majority of those mem-

bers of the Executive Committee of the University Senate

holding an appointment without a stated term as professor or

associate professor as defined in this section. The scope of his

or her service shall be on a University-wide basis. His or her

exact teaching assignment shall be determined by the chair of

his or her former department, the dean of his or her faculty,

and the Provost or Provosts.

c. Professors and associate professors are officers, holding the

doctorate or its professional equivalent, who ordinarily are

appointed for full-time service without a stated term. Appoint-

ments for full-time service for a stated number of years may

also be made to these two grades subject to approval by the

President. In the Faculties of Medicine, of Dental Medicine,

of Nursing, and of Public Health, a professor of (department)

at the Columbia University Medical Center and an associate

professor of (department) at the Columbia University Medical

Center are appointed annually for full-time service, and their

terms of appointment shall be subject to the provisions of

Section 60.

In the Faculties of Medicine, of Dental Medicine, of Nursing and of

Public Health, an assistant professor of (department) at the Columbia

University Medical Center is appointed annually for full-time service, and

their terms of appointment shall be subject to the provisions of Section

60.

A professor of clinical (department) and an associate professor

of clinical (department) are appointed for part-time service annu-

ally, and a clinical professor and an associate clinical professor are

appointed annually for part-time service in a department in the Facul-

ties of Medicine, of Dental Medicine, of Nursing, or of Public Health,

or in an affiliated hospital or institute. A clinical professor of law and

an associate clinical professor of law are ordinarily appointed annu-

ally or for a stated term of years for full-time service in the Faculty of

Law. The clinical qualifications of professors and associate professors

with clinical titles shall correspond to those of University officers in

the grades of professor and associate professor.

42 OFFICERS OF INSTRUCTION AND RESEARCH

A professor of professional practice in (department) and an associ-

ate professor of professional practice in (department) are officers with

substantial professional experience and expertise who are appointed for

full-time service annually. Professors and associate professors of profes-

sional practice in (department) fulfill specialized instructional needs

but may lack the research and publishing qualifications of University

officers in the grades of professor and associate professor.

d. A visiting professor is an officer who normally teaches at

another institution or otherwise possesses such special status

or qualifications as to make this title appropriate and who is

appointed annually for full-time or part-time service to give

instruction for a stated term of one year or less. Such an

appointment may be made to the grade of visiting professor,

visiting associate professor, or visiting assistant professor.

Appointments for full-time service may also be made to the

three grades of visiting professor of (department) at the

Columbia University Medical Center, visiting associate pro-

fessor of (department) at the Columbia University Medical

Center, or visiting assistant professor of (department) at the

Columbia University Medical Center in the Faculties of Medi-

cine, of Dental Medicine, of Nursing, or Public Health, such

appointments being for officers whose clinical qualifications

correspond to those of University officers in the three grades

of visiting professor.

Appointments for part-time service may also be made to the

three grades of visiting professor of clinical (department),

visiting associate professor of clinical (department), or visiting

assistant professor of clinical (department) in a department in

the Faculties of Medicine, of Dental Medicine, of Nursing, or

of Public Health, such appointments being for officers whose

clinical qualifications correspond to those of University offi-

cers in the three grades of visiting professor.

e. An adjunct professor is an expert appointed annually for part-

time service to give instruction in his or her special field. Such

an appointment may be made to the grade of adjunct profes-

sor, adjunct associate professor, or adjunct assistant professor

and, except with the approval of the President, may be held

only by persons who serve the University in no other capacity.

OFFICERS OF INSTRUCTION AND RESEARCH 43

Appointments for part-time service may also be made to these

three grades in a nonclinical department in the Faculties of Medicine,

of Dental Medicine, of Nursing, or of Public Health, such appoint-

ments being for officers whose qualifications correspond to those of

University officers in the three grades of adjunct professor.

Individuals appointed to the modified suffix, or modified prefix

titles at Cornell University Medical College also may be appointed

in the Faculties of Medicine, of Dental Medicine, of Nursing, or of

Public Health, to the equivalent title of adjunct professor of clinical

(department), adjunct clinical professor, adjunct associate professor

of clinical (department), adjunct associate clinical professor (depart-

ment), adjunct assistant professor of clinical (department), or adjunct

assistant clinical professor.

f. An assistant professor is an officer, holding the doctorate or

its professional equivalent, who is appointed for full-time ser-

vice for a stated term.

In the Faculties of Medicine, of Dental Medicine, of Nursing and of

Public Health, an assistant professor of (department) at the Columbia Uni-

versity Medical Center is appointed annually for full-time service, and their

terms of appointment shall be subject to the provisions of Section 60.

An assistant professor of clinical (department) is an officer

appointed annually for part-time service and an assistant clinical pro-

fessor is appointed annually for part-time service in a department in

the Faculties of Medicine, of Dental Medicine, of Nursing, or of Public

Health, or in an affiliated hospital or institute. An assistant clinical

professor of law is ordinarily appointed annually or for a stated term

of years for full-time service in the Faculty of Law. The clinical quali-

fications of assistant professors with clinical titles shall correspond to

those of University officers in the grade of assistant professor.

An assistant professor of professional practice in (department)

is an officer with professional experience and expertise who is

appointed annually for full-time service. An assistant professor of

professional practice in (department) fulfills specialized instructional

needs but may lack the research and publishing qualification of Uni-

versity officers in the grade of assistant professor.

44 OFFICERS OF INSTRUCTION AND RESEARCH

g. An instructor is an officer appointed for full-time service for a

stated term to whom is assigned independent teaching or the

conduct of laboratory work or classes under the direction and

supervision of an officer of higher rank. Except in the Facul-

ties of Medicine, of Dental Medicine, of Nursing, or of Public

Health, this title may not be held for more than five years of

continuous service. In a department in the Faculties of Medi-

cine, of Dental Medicine, of Nursing, or of Public Health, an

instructor or an instructor at the Columbia University Medi-

cal Center is an officer, holding the doctorate, who may be

appointed for full-time or part-time service for a stated term. In

a department in the Faculties of Medicine or Public Health or

in the Faculties of Dental Medicine or Nursing, an instructor in

clinical (department) is an officer, holding the doctorate, who

may be appointed for part-time service for a stated term. Indi-

viduals appointed as instructor or clinical instructor at Cornell

University Medical College also may be appointed annually for

part-time service in the Faculties of Medicine, of Dental Medi-

cine, of Nursing, or of Public Health, to the equivalent adjunct

title of adjunct instructor in (department) or adjunct instructor

in clinical (department).

h. A senior lecturer or lecturer is an officer, holding the doctor-

ate or its professional equivalent, who is appointed for full-

time service for a stated term or annually for part-time service,

and who does not qualify for the title of adjunct professor. In

a department in the Faculties of Medicine or Public Health or

in the Faculties of Dental Medicine or Nursing, a senior lec-

turer or lecturer can only be appointed for part-time service.

In a department in the Faculties of Medicine or Public Health

and in the Faculties of Dental Medicine and Nursing, a senior

lecturer at the Columbia University Medical Center or a lec-

turer at the Columbia University Medical Center is an officer,

holding the doctorate or its professional equivalent, who is

appointed for full-time service for a stated term, and who does

not qualify for the title of professor.

i. A senior lecturer in (discipline) or lecturer in (discipline)

is an officer who is appointed for full-time or part-time ser-

vice for a stated term, which is renewable, to offer practical

OFFICERS OF INSTRUCTION AND RESEARCH 45

instruction in that discipline.

j. A special lecturer is a retired Columbia University officer of

instruction who is appointed annually for part-time service to

give instruction for a stated term of one year or less.

k. An associate is an officer who, because of special competence

in a given field, is appointed for full-time service for a stated

term or annually for part-time service, and who does not qual-

ify for the title of lecturer. In a department of the Faculties

of Medicine or Public Health and in the Faculties of Dental

Medicine or Nursing, an associate in clinical is an officer who

teaches or provides clinical care, but who has only a Master’s

degree in a discipline for which the Master’s degree is not the

terminal degree. In a department in the Faculties of Medicine

or Public Health and in the Faculties of Dental Medicine or

Nursing, an associate at the Columbia University Medical Cen-

ter is an officer who, because of special competence in a given

field, is appointed for full-time service for a stated term, and

who does not qualify for the title of lecturer at the Columbia

University Medical Center.

l. An associate in (discipline) is an officer who is appointed for

full-time or part-time service for a stated term, which is renew-

able, to offer practical instruction in that discipline and who

does not qualify for the title of lecturer in (discipline).

m. An assistant at the Columbia University Medical Center is an

officer, holding the doctorate, who is appointed annually for

full-time service in a department in the Faculties of Medicine

or Public Health or in the Faculties of Dental Medicine or

Nursing, to whom is assigned the conduct of instruction under

the direction and supervision of an officer of higher rank. An

assistant in clinical is an officer, holding the doctorate, who

is appointed annually for full-time or part-time service in a

department in the Faculties of Medicine or Public Health or

in the Faculties of Dental Medicine and Nursing, to whom is

assigned the conduct of instruction under the direction and

supervision of an officer of higher rank.

n. A senior affiliate physician/dentist or affiliate physician/

dentist is an officer who is appointed annually for part-time

service in the Faculties of Medicine or of Dental Medicine.

46 OFFICERS OF INSTRUCTION AND RESEARCH

A senior affiliate physician/dentist is an individual in good

standing who performs extraordinary service in clinical care

and/or who contributes to teaching. An affiliate physician/

dentist is an individual in good standing who is primar-

ily engaged in clinical care and/or contributes to teaching.

These appointments will be limited to physicians throughout

the Columbia University physician networks and to dentists

throughout the Columbia University dental networks.

o. A preceptor is a full-time candidate for a doctoral degree

at Columbia University who has completed the residence

requirement for that degree and who is appointed annually,

for not more than three consecutive years, to offer, under the

direction and supervision of an officer of higher rank, part-

time instruction not to exceed two course sections a term.

p. A teaching assistant or reader is ordinarily a full-time can-

didate for a graduate degree who is appointed annually for

part-time service and who is charged, under the direction and

supervision of an officer of higher rank, with giving part of the

instruction in a course or the reading and grading of written

course work.

§62. Officers of research:Grades of office

a. senior research scientist or senior research scholar

visiting senior research scientist or visiting senior research

scholar

adjunct senior research scientist or adjunct senior research

scholar

Lamont research professor

research scientist or research scholar

visiting research scientist or visiting research scholar

adjunct research scientist or adjunct research scholar

Lamont associate research professor

associate research scientist or associate research scholar

visiting associate research scientist or visiting associate

research scholar

OFFICERS OF INSTRUCTION AND RESEARCH 47

48 OFFICERS OF INSTRUCTION AND RESEARCH

adjunct associate research scientist or adjunct associate

research scholar

Lamont assistant research professor

postdoctoral research fellow or postdoctoral clinical fellow

postdoctoral residency fellow

senior staff associate

staff associate

graduate research assistant

departmental research assistant

All officers of research shall be appointed by the President.

b. A senior research scientist or senior research scholar is an

officer holding the doctorate or its professional equivalent,

who is appointed for a term not to exceed five years, which

shall be renewable, for full-time or part-time service, who is

primarily engaged in research and whose qualifications corre-

spond to those of University officers in the grade of professor.

c. A Lamont research professor is an officer of research in the

Lamont-Doherty Earth Observatory holding the doctorate or

its professional equivalent, who is appointed for a term not to

exceed five years, which shall be renewable, for full-time or

part-time service, who is primarily engaged in research and

whose qualifications correspond to those of University offi-

cers in the grade of professor.

d. A research scientist or research scholar is an officer holding

the doctorate or its professional equivalent, who is appointed

for a term not to exceed twelve months, which shall be

renewable, for full-time or part-time service, who is primarily

engaged in research and whose qualifications correspond to

those of University officers in the grade of associate professor.

e. A Lamont associate research professor is an officer of research

in the Lamont-Doherty Earth Observatory holding the doctor-

ate or its professional equivalent, who is appointed for a term

not to exceed twelve months, which shall be renewable, for full-

time or part-time service, who is primarily engaged in research

and whose qualifications correspond to those of University offi-

cers in the grade of associate professor.

f. An associate research scientist or associate research scholar

is an officer holding the doctorate or its professional

equivalent, who is appointed for a term not to exceed twelve

months, which shall be renewable, for full-time or part-time

service, who is primarily engaged in research and whose

qualifications correspond to those of University officers in

the grade of assistant professor.

g. A Lamont assistant research professor is an officer of research

in the Lamont-Doherty Earth Observatory holding the doctor-

ate or its professional equivalent, who is appointed for a term

not to exceed twelve months, which shall be renewable, for full-

time or part-time service, who is primarily engaged in research

and whose qualifications correspond to those of University offi-

cers in the grade of assistant professor.

h. A visiting senior research scientist or visiting senior research

scholar is an officer whose primary affiliation is at another

institution or who otherwise possesses such special status

or qualifications as to make this title appropriate and who

is appointed annually for full-time or part-time service to

engage in research for a stated term of one year or less. Such

an appointment may also be made to the grade of visiting

research scientist, visiting research scholar, visiting associate

research scientist, or visiting associate research scholar.

i. An adjunct senior research scientist or adjunct senior

research scholar is an expert appointed annually for part-time

service to engage in research in his or her special field. Such

an appointment may also be made to the grade of adjunct

research scientist, adjunct research scholar, adjunct associate

research scientist, or adjunct associate research scholar.

j. A postdoctoral research scientist or postdoctoral research

scholar is an officer holding the doctorate or its professional

equivalent and who is appointed for a term not to exceed

twelve months, which shall be renewable, for full-time or

part-time service for the primary purpose of cooperating in

research. Except with the permission of any Provost, this title

OFFICERS OF INSTRUCTION AND RESEARCH 49

may be held for a period of no more than three years.

k. A postdoctoral research fellow or postdoctoral clinical fellow

is an officer holding the doctorate or its professional equiva-

lent, who holds a fellowship, and who is appointed for a term

not to exceed twelve months, which shall be renewable, for

full-time or part-time service for the purpose of cooperating

in research and obtaining additional training. Except with

the permission of any Provost, this title may be held for a

period of no more than three years.

l. A postdoctoral residency fellow is an officer holding the doc-

tor of medicine, dental medicine, or dental surgery degree,

who is appointed for a term not to exceed twelve months,

which shall be renewable, for part-time service for the pri-

mary purpose of obtaining additional clinical training at an

affiliated hospital or institute. This title may not be held for

longer than the duration of the training program in which

the fellow is enrolled.

m. A senior staff associate is an officer holding a bachelor’s

or higher degree, who has had at least eight years of profes-

sional experience in his or her field, and who is appointed

for a term not to exceed twelve months, which shall be

renewable, for full-time or part-time service for the primary

purpose of cooperating in research or conducting equivalent

professional activity.

n. A staff associate is an officer holding a bachelor’s or higher

degree, who has had at least four years of professional experi-

ence in his or her field, and who is appointed for a term not

to exceed twelve months, which shall be renewable, for full-

time or part-time service, for the primary purpose of cooperat-

ing in research or conducting equivalent professional activity.

o. A graduate research assistant is a full-time candidate for a

graduate degree at Columbia University, who is engaged in

research that is in direct fulfillment of a requirement for the

degree, and who is appointed for a term not to exceed twelve

months, which shall be renewable, except that this title may

not be held for more than a total of five years.

p. A departmental research assistant is ordinarily a full-time can-

didate for a graduate degree at Columbia University who is

50 OFFICERS OF INSTRUCTION AND RESEARCH

appointed annually, for not more than a total of four years, to

assist a department or one of its regular members in research.

§63. Conditions of appointment:Officers of instruc-

tion Appointments tendered by the Trustees or the President to

any instructional grade shall be designated as full time or part time

and shall be for service in the University as a whole, not in a particu-

lar subdivision. Full-time service implies a program of teaching, schol-

arly research, and, in the Faculties of Medicine, of Dental Medicine,

of Nursing, and of Public Health, patient care. The standards of con-

duct expected of an officer of instruction are exemplified in part in

the Statement on Professional Ethics and Faculty Obligations adopted

by the University Senate on September 29, 1972.

Except in the Faculties of Medicine, of Dental Medicine, of

Nursing, or of Public Health, where appointments are for twelve

months of service, any teaching assignment entails a period of resi-

dence of two terms totaling not more than nine months (less stated holi-

days), and including, if required, one week before and after each term.

All absences during a period of residence must be excused by the Presi-

dent through administrative procedures established for this purpose.

Each professor and associate professor who holds an appointment

without a stated term shall be entitled to a sabbatical leave of absence

of one year on half pay or one-half year on full pay after complet-

ing twelve terms of full-time teaching, including time in the grade of

assistant professor. The period of leave shall be considered as service

to the University. In accordance with Section 4 of these Statutes, the

President may grant other leaves of absence and may adjust all leaves

of absence.

§64. Professor emeritus/emerita The title professor emeri-

tus/professor emerita is conferred upon distinguished senior officers of

instruction at or after retirement in recognition of length of service and

eminence in their fields. It is bestowed at the pleasure of the Trustees

on the recommendation of the President when approved by the Trust-

ees.

§65. Emeritus/emerita designation may be conferred upon

other distinguished full-time or part-time officers of instruction in the

grades of adjunct professor, professor at an affiliated hospital or insti-

OFFICERS OF INSTRUCTION AND RESEARCH 51

tute, professor at the Columbia University Medical Center, professor

of clinical, clinical professor, and professor of professional practice,

after nomination by the appropriate dean and department at or after

their retirement, in recognition of length of service and eminence

in their fields. Emeritus/emerita designation is bestowed at the plea-

sure of the Trustees on the recommendation of the President when

approved by the Trustees.

52 OFFICERS OF INSTRUCTION AND RESEARCH

CODE OF ACADEMIC FREEDOM AND TENURE 53

VII

CODE OF ACADEMIC FREEDOM AND

TENURE

§70. Academic freedom

a. Academic freedom implies that all officers of instruction are

entitled to freedom in the classroom in discussing their sub-

jects; that they are entitled to freedom in research and in the

publication of its results; and that they may not be penalized

by the University for expressions of opinion or associations in

their private or civic capacity; but they should bear in mind

the special obligations arising from their position in the aca-

demic community.

b. Officers of instruction. As used in this Chapter, “officer of

instruction” means any person whose appointment in the

Columbia Corporation is primarily for teaching, whether

full time or part time, with or without tenure, whatever his

or her title or type of appointment held, and whether or not

assigned to membership in any Faculty. Where the provisions

of this Chapter apply only to full-time officers of instruction,

or only to those with tenure, necessary qualification is made.

§71. Tenure

a Definition. To protect their academic freedom, officers of

instruction are granted term appointments (i.e., for a speci-

fied length of time), during the currency of which they can-

not be dismissed without cause; or appointments with tenure

(i.e., without stated term), in which case they cannot be dis-

missed without cause, except in extraordinary circumstances

in case of Discontinuance of a Unit (Section 74).

b. Eligibility and time limit.

1. Except as described in Sections 71(b)(2), 71(b)(3), 71(b)

(4), 71(c) and 71(g) below, no officer of instruction shall

be appointed or reappointed for full-time service for a

period longer than eight consecutive years unless granted

54 CODE OF ACADEMIC FREEDOM AND TENURE

tenure. Ad hoc committee review for these officers is nor-

mally expected to occur no later than the officer’s seventh

year of service, except with the special permission of any

Provost.

2. Except as described in Sections 71(b)(4), 71(c) and 71(g)

below, no officer of instruction in the Faculties of Dental

Medicine, Medicine, Nursing, and Public Health with sub-

stantial clinical responsibilities in any patient care setting

shall be appointed or reappointed for full-time service

for a period longer than eleven consecutive years unless

granted tenure. Ad hoc committee review for these offi-

cers is normally expected to occur no later than the offi-

cer’s tenth year of service, except with the special permis-

sion of any Provost. For the purpose of this provision,

substantial clinical responsibility is defined as an average

clinical commitment of two months per year in each of

the first four years of appointment, with the expectation

that the officer will continue to perform at least the same

average level of clinical responsibilities for the remainder

of his or her nontenured service.

3. When the departmental recommendation [of an officer]

for promotion to tenure of an officer without substantial

clinical responsibilities is not reviewed by an ad hoc com-

mittee until the officer’s eighth year of service and, after

receipt of the recommendation of the ad hoc committee,

the appointment is not approved by the President or the

Trustees, the officer shall be offered reappointment for a

ninth and terminal year of service and shall not be deemed

to have tenure as a consequence of such reappointment.

4. When the departmental recommendation for promotion

to tenure of an officer with substantial clinical responsi-

bilities is not reviewed by an ad hoc committee until the

officer’s eleventh year of service and, after receipt of the

recommendation of the ad hoc committee, the appoint-

ment is not approved by the President or the Trustees,

the officer shall be offered reappointment for a twelfth

and terminal year of service and shall not be deemed to

have tenure as a consequence of such reappointment.

CODE OF ACADEMIC FREEDOM AND TENURE 55

5. Any officer of instruction with a full-time appointment

whose teaching obligation has for any reason been light-

ened by the appropriate officials will still be considered

a full-time officer. Part-time service, discontinuous

full-time service, service elsewhere than at Columbia

University, one year of full-time service in a nonprofes-

sorial rank, and certain leaves of absence (as provided

in Section 71f) shall not count in setting the eight-year

limit for officers of instruction without substantial clini-

cal responsibilities or the eleven-year limit for officers of

instruction with substantial clinical responsibilities. In

addition, the President may rule that a year of appoint-

ment is not to count for this purpose when an officer

without substantial clinical responsibilities who is in the

seventh, eighth or ninth year of counted service or an

officer with substantial clinical responsibilities who is in

the tenth, eleventh or twelfth year of counted service has

been denied tenure, the Faculty Affairs Committee of the

University Senate has recommended that the officer be

given a new review after a grievance hearing under Sec-

tion 73b, and the Provost or the President has accepted

that recommendation. However, part-time service of offi-

cers given career appointments under Section 71c shall

count toward the limit in the manner there prescribed.

c. Part-time career appointments for parents; additional eligibil-

ity of service for parents.

1. To enable persons who are professionally committed to

University service to care for their children, departments

may make part-time career appointments of eligible

persons to junior ranks leading to tenure. Persons shall

be eligible for this status only if they have one or more

children under nine years of age at the beginning of the

first academic year for which part-time career status is

held. They must be primarily responsible for the raising

of these children and must plan to spend a very substan-

tial amount of time in that capacity. Eligible persons

may be originally appointed to part-time career status or,

with the consent of their departments, may change from

full-time to part-time career status, or vice versa. Because

of the purpose for which, and the circumstances in which

such status is accorded, holders of such appointments are

expected not to engage in gainful employment outside the

University. Each year of part-time career status shall be

counted as one-half year of full-time service in calculating

the eight-year limit on appointments without tenure for

officers without substantial clinical responsibilities and

the eleven-year limit on appointments without tenure for

officers with substantial clinical responsibilities.

2. Any professor, associate professor, assistant professor

or instructor appointed with stated term who assumes

primary responsibility for the care of a child within one

year of the birth or adoption of the child may, at the dis-

cretion of the President and upon written request to his

or her department, be eligible for one additional year of

full-time service, which will not count in setting the limits

on nontenured service set forth in Section 71(b). In the

case of the birth or adoption of multiple children at the

same time, eligibility is limited to one year of full-time

service for each set of children. Faculty who have periods

of appointment excluded from the eight-year limit on

nontenured service by virtue of leaves of absence to care

for a child may not have additional periods excluded

under this Section 71(c)(2) for that child. The additional

year or years of nontenured service provided in this

Section 71(c)(2) may be taken in addition to the other

exceptions to the normal limits on nontenured service

provided in Sections 71(b), 71(c)(1) and 71(f).

d. Term appointments.

1. All officers of instruction without tenure shall initially

be appointed for one year. Reappointment of full-time

officers so appointed with at least one year of residence

at Columbia University may be for one, two, or three

years. However, at the conclusion of any term appoint-

ment, an officer of instruction may with due notice be

offered a one-year terminal appointment, even though

such appointment will not complete eight years of service

56 CODE OF ACADEMIC FREEDOM AND TENURE

in the case of officers without substantial clinical respon-

sibilities or eleven years of service in the case of officers

with substantial clinical responsibilities.

2. In no case will term appointments of officers without

substantial clinical responsibilities continue beyond eight

years of full-time continuous service, except as provided

above (Section 71b). Any such officer appointed for a

ninth or subsequent year of full-time continuous service

shall, except as provided above (Section 71b), be deemed

to have tenure (i.e., to have an appointment without stated

term) regardless of his or her University title, salary or

other conditions of employment, and whether or not the

appointment has been considered by an ad hoc committee.

3. In no case will term appointments of officers with substan-

tial clinical responsibilities continue beyond eleven years

of full-time continuous service, except as provided above

(Section 71b). Any such officer appointed for a twelfth

or subsequent year of full-time continuous service shall,

except as provided above (Section 71b), be deemed to

have tenure (i.e., to have an appointment without stated

term) regardless of his or her University title, salary, or

other conditions of employment, and whether or not the

appointment has been considered by an ad hoc committee.

e. Formal consideration for tenure.

1. A full-time officer of instruction holding a term appoint-

ment may be considered by his or her department for

tenure at any time.

2. If an officer without substantial clinical responsibilities

is reappointed and reaches the fourth, fifth, or sixth year

of full-time service, the officer of instruction must, if he

or she so requests, be considered for tenure during such

year of service. Such an officer must be considered for

tenure in any case not later than the end of the penulti-

mate (i.e., seventh) year of his or her full-time service, in

order that sufficient time may be allowed so that

a. if the departmental decision is favorable, budgetary

CODE OF ACADEMIC FREEDOM AND TENURE 57

approval may be given and approval by an ad hoc

committee (where applicable) concluded prior to May

31 of the following (i.e., his or her eighth) year of

service; and so that

b. if the decision of the department is unfavorable, the

officer can be given clear and unambiguous notice,

in writing, of his or her reappointment for an eighth

and terminal year of service, not later than May 31 of

his or her seventh year of service; and so that

c. if the departmental decision is favorable but, in cases

where ad hoc committee review has been deferred to

the eighth year of service with the special permission

of a Provost, the decision of the ad hoc committee

is unfavorable, or if a tenure appointment is not

granted by the President or the Trustees, the officer

can be given clear and unambiguous notice, in writ-

ing, of the decision and notification of his or her

reappointment for a ninth and terminal year of ser-

vice before the end of his or her eighth year of ser-

vice. If the department’s decision is unfavorable, the

officer may ask for a written statement of reasons,

in response to which request the chair of the depart-

ment must state in writing his or her belief as to the

reasons for the department’s decision.

3. If an officer with substantial clinical responsibilities is

reappointed and reaches the seventh, eighth, or ninth

year of full-time service, the officer of instruction must,

if he or she so requests, be considered for tenure during

such year of service. Such an officer must be considered

for tenure in any case not later than the end of the pen-

ultimate (i.e., tenth) year of his or her full-time service, in

order that sufficient time may be allowed so that

a. if the departmental decision is favorable, budgetary

approval may be given and approval by an ad hoc

committee (where applicable) concluded prior to May

31 of the following (i.e., his or her eleventh) year of

service; and so that

58 CODE OF ACADEMIC FREEDOM AND TENURE

b. if the decision of the department is unfavorable, the

officer can be given clear and unambiguous notice, in

writing, of his or her reappointment for an eleventh

and terminal year of service, not later than May 31 of

his or her tenth year of service; and so that

c. if the departmental decision is favorable but, in cases

where ad hoc committee review has been deferred to

the eleventh year of service with the special permis-

sion of a Provost, the decision of the ad hoc com-

mittee is unfavorable, or if a tenure appointment

is not granted by the President or the Trustees, the

officer can be given clear and unambiguous notice,

in writing, of the decision and notification of his or

her reappointment for a twelfth and terminal year of

service before the end of his or her eleventh year of

service. If the department’s decision is unfavorable,

the officer may ask for a written statement of rea-

sons, in response to which request the chairman of

the department must state in writing his or her belief

as to the reasons for the department’s decision.

f. Leaves of absence (term appointments).Upon written request,

and with the approval of his or her department and the dean

or vice president of his or her Faculty, a full-time officer of

instruction holding a term appointment of professorial rank

may be granted leave of absence or full exemption from teach-

ing duties for a period up to and including one academic year.

Except in the case of officers of instruction with one year of

full-time service in a nonprofessorial rank, the first year of

such leave or exemption from teaching duties will not count

as part of the maximum number of years of service allowed

for term appointments provided above (Section 71b). Sub-

sequent periods of leave or exemption from teaching duties

shall normally count as part of the maximum number of years

allowed for term appointments. In cases of medical, maternity,

or compulsory military service leave, however, or for reasons

of personal hardship, the President, upon written request

from the officer of instruction and with the approval of his or

her department and the dean or vice president of his or her

CODE OF ACADEMIC FREEDOM AND TENURE 59

Faculty, may rule that the leave of absence is not to count for

this purpose. Leaves do not constitute a break in continuous

service.

g. Exceptions.Subsections (b), (d), and (e) of this Section shall

not apply to the following officers of instruction:

1. members of the Faculties of Medicine, of Dental Medicine,

of Nursing, or of Public Health who hold clinical titles or

titles indicating an appointment in an affiliated hospital or

institute or at the Columbia University Medical Center;

2. persons with appointments as senior lecturer in (disci-

pline), lecturer in (discipline), and associate in (disci-

pline);

3. persons with appointments as clinical professor of law,

associate clinical professor of law, and assistant clinical pro-

fessor of law; and

4. persons with appointments as professor of professional

practice in (department), associate professor of profes-

sional practice in (department), and assistant professor of

professional practice in (department).

A person who has once held an appointment as a clinical professor

of law, associate clinical professor of law, or assistant clinical professor

of law may not ordinarily thereafter receive a tenure appointment; a

person who has once held an appointment as professor of law, associ-

ate professor of law, or assistant professor of law may not ordinarily

thereafter receive an appointment as clinical professor of law, associ-

ate clinical professor of law, or assistant clinical professor of law.

§72. Appointment, reappointment, resignation, and

retirement

a. Written appointments.Terms and conditions of every

appointment or reappointment of an officer of instruction

will be stated or confirmed in writing by the chair of the

department at the time the offer of appointment or reap-

pointment is made. The notification will state whether

the appointment or reappointment is for full-time or for

part-time service. All written communications by a chair of

60 CODE OF ACADEMIC FREEDOM AND TENURE

a department stating the terms and conditions of an offer

of appointment or reappointment shall state that the offer

of appointment or reappointment is made subject to the

approval of the Trustees, the President, or the Secretary, as

the case may be, with respect to the proposed appointment or

reappointment, and shall be approved in advance of delivery

by the dean of the Faculty in which the appointment or reap-

pointment is proposed to be made.

b. Notice of renewal.Every full-time officer of instruction hold-

ing a term appointment will, if reappointed, be so informed in

writing. Notification of renewal should follow the time sched-

ule outlined in Section 72c below. Notification of the terms

and conditions of renewal of a term appointment should be

made by March 15, and in no case later than May 1, unless

the President has announced delay in formal approval of the

University budget for the next academic year. (Note: The provi-

sions of this subparagraph have been suspended by the Trust-

ees until the President notifies the Trustees that administrative

budgeting procedures have been developed to ensure that the

University budget and appointment procedures shall be com-

pleted by March 15 of each year.)

c. Notice of nonrenewal.Written notice to a full-time officer of

instruction who holds a term appointment, informing him or

her that his or her appointment is not be to renewed, will be

given in advance of the expiration of his or her appointment,

as follows:

1. not later than March 1 of the first academic year of full-

time service;

2. not later than December 15 of the second academic year

of full-time service, if the appointment expires at the end

of that academic year;

3. at least twelve months before the expiration of an

appointment after two and up to seven years of full-time

service;

4. at least eighteen months before the expiration of an

appointment after seven and up to twelve years of full-

time service; and

CODE OF ACADEMIC FREEDOM AND TENURE 61

5. at least twenty-four months before the expiration of an

appointment after twelve or more years of full-time service.

The provisions of this subsection (c) shall not apply to members

of the Faculties of Medicine, of Dental Medicine, of Nursing, or of

Public Health who are non-tenured full-time officers of instruction

who hold titles modified by “at the Columbia University Medical Cen-

ter”, provided, however, that written notice will be given to such an

officer, informing him or her that his or her appointment is not to be

renewed, for any reason, other than the termination or modification

of the affiliation between the University and an affiliated institution,

or the closing or curtailment of the operations of such institution, in

advance of the expiration of his or her appointment, as follows:

1. at least three months before the expiration of an appoint-

ment up to two years of full-time service;

2. at least six months before the expiration of an appointment

after two years and up to eight years of full-time service, pro-

vided that the appointment will terminate on December 31

or June 30; and

3. at least twelve months before the expiration of an appoint-

ment after eight years of full-time service, which may be

given at any time during the academic year with the appoint-

ment ending on the date twelve months from the notice of

nonrenewal, whether or not that date falls on June 30 or

December 31.

The notice provisions of this subsection (c) are subject to the dis-

missal and suspension provisions of Section 75, and shall not apply

in the event of existence of grounds for dismissal in accordance with

University policy.

d. Notice of resignation.A full-time officer of instruction who

wishes to resign at the end of the academic year should give

notice in writing at the earliest possible opportunity, but not

later than April 1, or 30 days after receiving notification of the

terms of his or her appointment for the coming year, whichever

date occurs later. The officer of instruction may properly request

a waiver of this requirement of notice, in case of hardship or in

62 CODE OF ACADEMIC FREEDOM AND TENURE

CODE OF ACADEMIC FREEDOM AND TENURE 63

a situation in which he or she would otherwise be denied sub-

stantial professional advancement or other opportunity.

e. Disability.The University may at any time retire an officer

of instruction on clear and convincing medical grounds.

The University may require an officer of instruction at the

expense of the University to undergo a medical examination

by a physician designated by the University in any case in

which a question of medical disability arises. If the officer of

instruction denies such grounds and claims continued fitness,

he or she may appeal to the University Senate Committee

on Faculty Affairs, Academic Freedom, and Tenure (“The

Faculty Affairs Committee”), which will attempt to resolve

the matter. If the officer of instruction is still not satisfied,

he or she may ask for a hearing (Section 75). The retirement

of a full-time officer of instruction on medical grounds shall

be effective as of the date on which the disability is deter-

mined to have occurred, and the officer shall be entitled to

six months’ salary from such date and in addition thereafter

to the benefits to which he or she is entitled under the terms

of any disability insurance or similar plan maintained under

Section 84 in which he or she is a participant.

§73. Grievance procedures

a. General.Where an officer of instruction has a grievance

against his or her department, or against the University

administration, he or she should complain in writing to the

University Senate Committee on Faculty Affairs, Academic

Freedom, and Tenure (“The Faculty Affairs Committee”).

The Faculty Affairs Committee may inquire into the mat-

ter and mediate between the officer and the department, or

between the officer and the University administration.

b. Reappointment and promotion.If any officer of instruction

holding a term appointment (including instructional appoint-

ments restricted to graduate students) alleges that discrimi-

nation because of race, color, religion, sex, age, or national

origin, prejudice or violation of academic freedom signifi-

cantly contributed to a decision not to reappoint him or her,

or not to promote to tenure, or alleges that procedures were

64 CODE OF ACADEMIC FREEDOM AND TENURE

defective in reaching a decision not to promote to tenure,

or alleges that student opinion as to his or her teaching abil-

ity was not effectively sought in reaching a decision not to

promote to tenure, he or she may complain in writing to the

Faculty Affairs Committee, stating the grounds for the allega-

tion. These are the only grounds on which the Faculty Affairs

Committee will recognize a challenge to such a decision. If

they are alleged, the Faculty Affairs Committee will inquire

into the circumstances and may make recommendations for

resolving the dispute. The Faculty Affairs Committee and its

duly constituted subcommittees shall have access to informa-

tion relevant in grievance investigations, pursuant to guide-

lines for such access as agreed upon between the committee

and the Provost. If the matter remains unresolved, and if,

but only if, the Faculty Affairs Committee finds substantial

grounds for believing that a violation of academic freedom

or discrimination because of race, color, religion, sex, age,

or national origin has occurred, it may provide for a formal

hearing (Section 75). However, in such case the burden of

proof shall rest upon the complainant.

§74. Discontinuance of a unit

a. General.The bona fide discontinuance of a unit of instruc-

tion on account of demonstrated serious financial exigency is

the only circumstance that should make possible the termina-

tion, outside the dismissal procedures defined in Section 75,

of the appointment of an officer of instruction with tenure.

The unit must be large enough to exclude the possibility that

the discontinuance could be aimed at specific individuals.

Termination of appointments under this section may not be

used to redeploy resources in those cases where attrition over

a period of time is a reasonable alternative. The broad issues

involved in any discontinuance must have been reviewed by

the University Senate. The provisions of this Section are not

intended to prevent the University from altering its educa-

tional policies by means other than abrogation of appoint-

ments; nor are they intended to encourage major redeploy-

ment without due consultation. Moreover, any merger,

consolidation, or similar reorganization of two or more units

of instruction into a single such unit, which continues to

provide instruction in the same or equivalent subject areas,

shall not constitute a discontinuance of the pre-existing units

that could justify the termination of appointments under the

provisions of this section.

b. Tenured faculty.If a unit of instruction within the Univer-

sity is discontinued, every holder of a tenure appointment

currently assigned to the unit affected should be placed in a

suitable position elsewhere in the University. In the extreme

case where the administration, after making a bona fide effort

to reassign an affected officer of instruction, concludes that

the only feasible course of action is to terminate the latter’s

appointment, it shall give him or her at least twelve months’

notice, or one year’s severance salary in lieu thereof. Prior to

any such decision to terminate, the administration shall notify

the Faculty Affairs Committee of the reasons why reassignment

is not feasible and the Committee shall be given an opportu-

nity to discuss the matter. When the appointment of an officer

of instruction with tenure is terminated because of the discon-

tinuance of his or her unit, for a period of at least five years

his or her place shall not be filled by a replacement, unless he

or she has first been offered reappointment and a reasonable

time in which to accept or decline such reappointment.

c. Nontenured faculty. An officer of instruction holding a term

appointment, whose unit of instruction has been discon-

tinued, shall not be terminated with less notice than is pre-

scribed in Section 72c.

§75. Dismissal procedures

a. Definition of dismissal.Termination of an appointment with

tenure, or of a term appointment before the end of the speci-

fied term, or of an appointment with special conditions (e.g.,

as visiting, retired, or professor emeritus/emerita) before the

end of the specified term, shall be considered a dismissal and

shall be effected only in pursuance of the procedure specified

below; except that an officer of instruction who is charged

with a violation of the Rules of University Conduct, and who

chooses to accept jurisdiction of the Hearing Officer, shall

thereby lose his or her right to be judged, and shall not be

CODE OF ACADEMIC FREEDOM AND TENURE 65

charged, according to the provisions of this Section.

b. Grounds for dismissal.No dismissal shall be effected by the

University except for adequate cause. By “adequate cause” is

meant the clear manifestation by an academic staff member

of his or her professional unfitness for the position. Evidence

to demonstrate professional unfitness, under the above stan-

dard, may include, but is not limited to, evidence of gross

inefficiency, habitual and intentional neglect of duty, or seri-

ous personal misconduct.

c. Preliminary actions:

1. When reason appears to question the fitness of an officer

of instruction, the President should discuss the matter

with him or her in a personal conference and explore the

possibility of a mutually satisfactory settlement.

2. If a settlement cannot be reached by this means, the mat-

ter should be referred to the Faculty Affairs Committee,

which will attempt to use its good offices to effect a reso-

lution acceptable to both parties.

3. Should conciliatory and mediatory efforts fail, the Presi-

dent, if he or she so desires, may initiate formal action

against the officer of instruction. Dismissal proceedings

should be commenced by a written communication to the

officer by the President or his or her representative, stat-

ing the particular charges, summarizing the evidence on

which the charges are based, and informing the officer of

the procedures set forth herein to determine whether he

or she should be removed from his or her position on the

stated grounds.

4. The Faculty Affairs Committee shall receive a copy of the

communication sent to the officer of instruction by the

President or his or her representative.

5. The officer of instruction should acknowledge the Presi-

dent’s letter and indicate whether he or she wishes to

contest the charges in whole or in part. If he or she

wishes to contest the charges, the Faculty Affairs Com-

mittee shall arrange for a hearing.

6. If a hearing is to be held, the Faculty Affairs Committee

66 CODE OF ACADEMIC FREEDOM AND TENURE

shall promptly inform the officer of instruction of the

time and place of the hearing which it shall schedule in

consultation with the faculty members who will hear the

case.

7. The hearing shall be scheduled for no sooner than four-

teen days and no later than twenty-eight days after the

issuing of charges, unless compelling circumstances ren-

der such a time table manifestly unattainable.

d. The hearing committee:

1. The Faculty Affairs Committee shall, as its first order

of business every year, choose twenty officers of instruc-

tion from among the tenured faculty of the University

(excluding those currently serving on the Faculty Affairs

Committee) to constitute a panel of potential hearers.

Competence and representativeness shall be the primary

criteria used in their selection. Members of this hearing

panel shall serve for two-year terms.

2. When a case arises, the Faculty Affairs Committee shall

select by lot five members of the panel that will serve as

the hearing committee for that case. Each party shall

have the right to two peremptory challenges; the Faculty

Affairs Committee shall select required replacements

from the same source and again by lot.

e. Hearing procedures:

1. The hearing committee shall have the duty and the power

to protect the integrity of the proceedings. It shall elect its

own chair. After consultation with the President and the

officer of instruction, it shall exercise its judgment as to

whether the hearing shall be public or private, except that

the hearing shall not be public without the agreement

of the officer involved. If the hearing is to be public, the

hearing committee shall determine which media shall be

admitted and what limits on attendance shall be set. It

may, in the interest of preserving order, close a hitherto

public hearing or change its site. At the request of either

party or of the hearing committee, a representative of a

responsible educational or other association shall be

CODE OF ACADEMIC FREEDOM AND TENURE 67

68 CODE OF ACADEMIC FREEDOM AND TENURE

permitted to attend the proceedings as an observer.

2. During the proceedings, the officer of instruction and

the representative of the administration shall be permit-

ted the assistance of counsel. The hearing committee

may also avail itself of the assistance of counsel.

3. A verbatim record of the hearing shall be taken and shall

be accessible to both parties.

4. Insofar as it is possible to do so, the administration shall

secure the cooperation of witnesses; it shall make avail-

able to the officer of instruction the necessary documents

and other evidence within its control.

5. The officer of instruction and the administration shall

have the right to confront and cross-examine all witnesses.

Where the witness cannot or will not appear, but the

hearing committee determines that the interests of justice

require the admission of his or her testimony, the commit-

tee will identify the witness, disclose his or her statement

and if possible provide for interrogatories. Notwithstand-

ing the foregoing sentence, if the hearing committee does

not provide for interrogatories with respect to the prof-

fered testimony of such a witness who will not or cannot

appear, or if there is no response to any interrogatories

directed to such a witness, the evidence of the witness shall

not be received or considered by the hearing committee.

6. The hearing committee will not be bound by rules of

evidence applicable in a court of law, but may admit any

evidence which in its opinion is of probative value in

deciding the issues involved.

7. The burden of proof that adequate cause exists for dis-

missal rests with the administration and shall be satisfied

only by clear and convincing evidence in the record con-

sidered as a whole.

8. The hearing committee shall base its findings of fact and

recommendations for the disposition of the case solely on

the hearing record.

9. The hearing committee shall make explicit findings with

respect to each of the charges presented.

10. The hearing committee may recommend dismissal, a

penalty short of dismissal, or no penalty, depending

upon the substantiation or lack of substantiation of the

charges, the presence or absence of extenuating cir-

cumstances, and the gravity of the proved offense. If it

recommends dismissal, the committee should also state

whether the dismissal should be summary,

11. or with notice, or salary in lieu of notice; and, if the lat-

ter, for what period. The committee shall in every case

offer reasons for its recommendations.

12. The hearing committee shall report its findings and rec-

ommendations simultaneously to the officer of instruc-

tion, to the President of the University, and to the chair

of the Faculty Affairs Committee.

f. Review procedures:

1. If the President rejects the report of a majority of the

hearing committee, in whole or in part, he or she shall

state his or her reasons for doing so, in writing, to the

committee and to the officer of instruction and shall

provide them with an opportunity to respond before

asking the Trustees to review the case. If the officer of

instruction rejects the report, he or she shall have the

option of appealing directly to the Trustees.

2. In reviewing the case, at the behest of the President or

the officer of instruction, the Trustees shall be guided

by the record of the hearing. They shall, however, pro-

vide opportunity for argument, oral or written or both,

by the principals or their representatives, if requested

and deemed necessary.

3. Should the Trustees sustain the decision of the hearing

committee, the proceeding will terminate to that point.

Should they reject the decision of the hearing commit-

tee, the Trustees shall return the case to that committee

with specific objections in writing. The hearing commit-

tee shall then reconsider, taking into account the stated

objections and receiving new evidence if necessary. The

CODE OF ACADEMIC FREEDOM AND TENURE 69

Trustees shall make the final decision only after study

of the hearing committee’s reconsideration; they shall

offer a reasoned opinion for a decision to overrule. The

Faculty Affairs Committee shall receive the record at the

conclusion of the proceedings.

g. Suspensions:

1. Until final decision has been reached, the officer of

instruction shall not be suspended from his or her duties,

or assigned to other duties, unless immediate harm to

himself or herself or others is threatened by continuance

of his or her normal service.

2. The decision as to whether immediate harm is threat-

ened shall be made by the President of the University,

but not until after he or she has consulted the Faculty

Affairs Committee. A suspension can be effected only

by the President or his or her duly authorized represen-

tative. An interim suspension, as provided in Section

75g(1), while the case is being decided, shall be with pay.

A suspension imposed as a penalty short of dismissal, as

provided in Section 75e(10), shall be without pay.

h. Notwithstanding any provision of this Section 75,

1. A member of the Faculty of Medicine, of Dental Medicine,

of Nursing, or of Public Health who is a non-tenured full-

time officer of instruction who holds a title modified by

“at the Columbia University Medical Center”, may have

his or her clinical salary discontinued immediately, may

be suspended with or without pay, or may be terminated

immediately if he or she is found to be unfit to practice

medicine, nursing or dentistry, as applicable, at the Uni-

versity based on the existence of the following circum-

stances:

(i) suspended or terminated hospital privileges as deter-

mined by a Medical, Dental or Nursing Board process

including Columbia faculty;

(ii) loss of New York State medical, dental or nursing

license, as applicable, resulting from a process before an

official or accrediting body, including the State of New

70 CODE OF ACADEMIC FREEDOM AND TENURE

York’s Office of Professional Medical Conduct and The

New York State Education Department’s Office of the

Professions;

(iii) voluntary relinquishment of a New York State medi-

cal, dental or nursing license, as applicable, as part of a

legal procedure; or

(iv) loss of DEA certification after a formal federal pro-

ceeding.

CODE OF ACADEMIC FREEDOM AND TENURE 71

VIII

RETIREMENT PROGRAM AND

EMPLOYEE BENEFITS

§80. Retirement Subject to the exceptions and limitations

under applicable federal and state law in force from time to time, no

officer of administration, officer of research, or officer of instruction

shall be retired involuntarily from active service in the University on

account of his or her age.

§81. Optional retirementAny officer of administration or

research may, at his or her own written request to the President or

on motion by the Trustees, be retired from active service in the Uni-

versity at any time after he or she attains the age of 65 years or at

any time on clear and convincing medical grounds. The University

may require an officer of administration or research, at the expense

of the University, to undergo a medical examination by a physician

designated by the University in any case in which a question of medi-

cal disability arises. The retirement of an officer of administration or

research on medical grounds shall be effective as of the date on which

the disability is determined to have occurred, and the officer shall be

entitled to six months’ salary from such date and in addition there-

after to the benefits to which he or she is entitled under the terms of

any disability insurance or similar plan maintained under Section 84

in which he or she is a participant. Any officer of instruction may, at

his or her own written request to the President, be retired from active

service in the University at any time after he or she attains the age of

65 years or in accordance with Section 72e.

§82. Appointment of retired officers for special ser-

vices Any retired officer of administration or instruction may be

appointed by the Trustees to render special services to the University.

Appointments for such purposes shall be for periods of not more than

one year (subject to renewal), and shall be on such conditions and

with such compensations as the Trustees may determine.

§83. Retention of names of retired officers The names

72 RETIREMENT PROGRAM AND EMPLOYEE BENEFITS

of all living retired officers shall be retained in the Directory or other

appropriate announcements of the University.

§84. Retirement and benefit plansThe University recog-

nizes its responsibility to provide a program of retirement and other

benefits for its officers and staff. In order to provide such benefits,

the Trustees may from time to time adopt one or more retirement

plans, group insurance plans, or other employee benefit plans. Offi-

cers shall be entitled to participate in such plans on the terms and

conditions set forth in such plans.

RETIREMENT PROGRAM AND EMPLOYEE BENEFITS 73

74 THE LIBRARIES

THE LIBRARIES

§90. University LibrarianThere shall be a University Librar-

ian appointed by the Trustees on the nomination of the President.

He or she shall be the executive officer of all libraries under the

control of the University. It shall be his or her duty, under the direc-

tion of the President, to enforce the Statutes relating to the libraries;

to develop and implement programs supportive of University goals;

to give continuous study to the needs and conditions of the libraries;

and from time to time to report his or her findings and recommen-

dations to the President through the Provost or Provosts. He or she

shall appoint all needed personnel and fix their duties, titles, and

compensation; shall be the custodian of all collections and other prop-

erty of the libraries; shall have charge and control of library buildings

and rooms; and shall make and enforce all needed rules relating to

the libraries and their use.

§91. Officers of the librariesOfficers of the libraries shall

consist of librarians and such additional persons who are appointed

for full-time or part-time service by the Trustees or the President on

the nomination of the University Librarian. The number and amount

of compensation of officers of the libraries appointed under this

Chapter shall be determined in advance by the Trustees. All officers

of the libraries shall hold their offices during the pleasure of the

Trustees. The designation “librarian” shall apply only to an officer

who is appointed on the nomination of the University Librarian as

professionally qualified to serve instruction and research by assem-

bling appropriate collections of library materials; by developing and

maintaining library services; and by furthering the use of library and

information resources for instruction and scholarship. Officers of the

libraries will rank with officers of instruction with respect to Univer-

sity benefits and privileges.

§92. Library resources The University Librarian shall be

THE LIBRARIES 75

responsible for establishing and implementing policies governing the

development and maintenance of collections of library materials in

the University. All books, serials, other printed matter, manuscript

materials, and recorded information in other forms, given to the

University or purchased from funds appropriated by the Trustees or

given for the purchase of library materials, shall be deemed a part of

the libraries and shall be marked and cataloged as such. No less than

three copies of all reports and other matter printed by authority of

the Trustees, except such as may be printed for their exclusive use,

shall be deposited in the libraries.

§93. Use of the collectionsPolicies governing the consulta-

tion and borrowing of materials from the collections by officers,

employees, registered students, and others will be prescribed by the

University librarian with the approval of the President. Students who

fail to comply with rules governing the care and use of the collec-

tions, including the proper charging and return of books, may, after

review by the appropriate dean or other officer, be deprived of good

standing in the University.

RELIGIOUS ACTIVITIES

§100. The Earl Hall Center The Earl Hall Center shall consist

of Earl Hall and the Chapel. The center shall have as its purpose the

furtherance of the spiritual, philanthropic, and religious life of the

University.

§101. Director There shall be a director of the Earl Hall Center

who shall be appointed by the Trustees on the nomination of the

President for an initial term of three years with no limitation upon

renewal of the appointment at the Trustees’ pleasure. The director

shall have the following duties:

a. to administer the budget and supervise the personnel of the

Earl Hall Center;

b. to initiate and administer programs for the furtherance of the

spiritual, philanthropic, and religious life of the University;

c. to administer the activities of, and to encourage cooperative

efforts among, those participating in the programs of the Earl

Hall Center;

d. to coordinate the activities of counselors to groups participat-

ing in the programs of the Earl Hall Center; and

e. to prepare, annually, a written report to the President with

respect to the foregoing. The counselors shall not be appoin-

tees of the University.

§102. The directorate of the Earl Hall CenterAssociate

and/or assistant directors of the Earl Hall Center may be appointed

by the President to assist the director in the performance of his or

her duties. Together with the director they shall constitute the direc-

torate. The organization of the staff of the directorate shall be at the

discretion of the director in consultation with the groups participat-

ing in and using the Earl Hall Center and in consultation with the

76 RELIGIOUS ACTIVITIES

administrative officer of the University who has been designated by

the President as the person to whom the director shall report.

§103. Student Governing BoardThere shall be established a

Student Governing Board consisting of representatives of the various

student groups participating in the activities of the Earl Hall Center.

The board shall have the duty of supervising the student activities in

the Earl Hall Center. The director may allocate available space to the

Student Governing Board which, in turn, may assign such space to

such student groups.

§104. The Earl Hall Center Coordinating Council There

shall be established an Earl Hall Center Coordinating Council to con-

sult with the director on matters of common concern. The council

shall be composed, in equal numbers, of representatives designated,

in accordance with the by-laws of the Earl Hall Center Coordinating

Council, by the directorate, the Student Governing Board, and the

counselors to groups participating in the programs of the Earl Hall

Center, respectively.

§105. Advisory CommitteeThere shall be an Advisory Com-

mittee for the Earl Hall Center. Its members shall be seven in num-

ber, appointed by the President, with the advice and consent of the

University Senate, of whom at least one shall be a member of the Uni-

versity Senate and none of whom shall be members of the directorate,

Student Governing Board, Coordinating Council, or any administra-

tive officer one of whose principal concerns shall be the affairs of

the Earl Hall Center. The members shall be appointed for staggered

three-year terms not normally renewable and the chair shall be a

member in his or her last year of service on such committee. The

Advisory Committee shall meet at least annually to consider the writ-

ten report of the director to the President, after which the Advisory

Committee shall transmit the report to the President and the Univer-

sity Senate with its comments. In response to a publicly announced

request of

a. a person or group appealing an action of the Student Govern-

ing Board;

b. the Student Governing Board;

c. the Earl Hall Center Coordinating Council; or

RELIGIOUS ACTIVITIES 77

d. the director of the Earl Hall Center

The Advisory Committee will seek to resolve in an informal man-

ner any conflict relating to the Earl Hall Center. It shall make formal

recommendations to the President when it cannot resolve any such

conflict. The Advisory Committee shall also be empowered to make

formal proposals to the University Senate, through the appropriate

University Senate Committee, that the University Senate propose

legislative amendments to the Statutes to implement the committee’s

proposals.

§106. Gifts, bequests, and devisesNothing contained in

this Chapter X shall be construed to permit the violation of any cov-

enant, condition, or restriction contained in any deed of gift or any

bequest or devise or other instrument heretofore made relating to

Earl Hall or the Chapel.

78 RELIGIOUS ACTIVITIES

COLUMBIA COLLEGE

§110. Faculty The Faculty of Columbia College shall consist of

the President, the Provost or Provosts, the executive vice president for

Arts and Sciences, the dean, and such officers of administration and

of instruction as may be assigned thereto by the Trustees.

§111. Admission Every candidate for admission shall be required

to present, before examination, a certificate of good moral character

from his or her last teacher, or from some citizen in good standing;

and students from other colleges shall be required to bring certificates

from such colleges of honorable discharge.

§112. Degree Every student who shall have completed an

approved course of not less than 124 points (a point being one hour

a week of attendance for an autumn term or a spring term, or the

equivalent thereof), and shall have passed satisfactorily all examina-

tions required of him or her, shall be qualified to receive the degree

of bachelor of arts.

FACULTY OF law 79

COLUMBIA COLLEGE 79

XII

FACULTY OF LAW

§120. Faculty The Faculty of Law shall consist of the President,

the Provost or Provosts, the dean, and such officers of administration

and of instruction as may be assigned thereto by the Trustees.

§121. Program of studyThe program of studies shall be

designed to afford a thorough, practical, and scientific education in

the principles of law.

§122. Degrees

a. J.D. Every candidate shall be entitled to be recommended

for the degree of juris doctor who, being of good moral char-

acter, shall have completed the approved curriculum and

passed all the examinations required of him or her.

b. LL.M. Candidates for the degree of master of laws shall be

qualified to receive that degree upon compliance with the

conditions prescribed by the University Senate by concurrent

action with the Faculty of Law.

c. M.C.L. Candidates for the degree of master of comparative

law shall be qualified to receive that degree upon compliance

with the conditions prescribed by the University Senate by

concurrent action with the Faculty of Law.

d. J.S.D. Candidates for the degree of doctor of the science of

law shall be qualified to receive that degree upon compliance

with the conditions prescribed by the University Senate by

concurrent action with the Faculty of Law.

§123. Legislative Drafting Research Fund

a. There shall be a Legislative Drafting Research Fund to pro-

vide opportunity for study of, and practical laboratory work

in the legislative development of, the law.

b. Director and advisory board. There shall be a director of the

Legislative Drafting Research Fund, who shall be appointed

80 FACULTY OF LAW

by the Trustees on the nomination of the President.

To assist the director in the performance of his or her duties,

there shall be an advisory board consisting of the dean of the

Faculty of Law, ex officio, and not fewer than four other per-

sons nominated by the President and appointed by the Trust-

ees for a term of three years. In making a nomination for

director, the President shall consult with the advisory board.

FACULTY OF LAW 81

82 FACULTY OF MEDICINE COLLEGE OF PHYSICIANS AND SURGEONS

XIII

FACULTY OF MEDICINE

(College of Physicians and Surgeons)

§130. Faculty The Faculty of Medicine shall consist of the Presi-

dent, the Provost or Provosts, the executive vice president for Health

and Biomedical Sciences and dean of the Faculty of Health Sciences,

the dean of the Faculty of Medicine, and such officers of administra-

tion and of instruction as may be assigned thereto by the Trustees.

The faculty shall be responsible for the educational programs in

medicine, occupational therapy, and physical therapy.

§131. Degrees

a. M.D. Every candidate shall be entitled to be recommended

for the degree of doctor of medicine who, being of good

moral character, shall have completed the required curricu-

lum and passed all the examinations required of him or her.

b. M.S. Candidates for the degree of master of science shall be

qualified to receive that degree upon compliance with the

conditions prescribed by the University Senate by concurrent

action with the Faculty of Medicine.

c. Med.Sc.D. Candidates for the degree of doctor of medical

science shall be qualified to receive such degree upon compli-

ance with the conditions prescribed by the University Senate

by concurrent action with the Faculty of Medicine.

d. O.T.D. Candidates for the degree of doctor of occupational

therapy shall be qualified to receive such degree upon com-

pliance with the conditions prescribed by the University Sen-

ate by concurrent action with the Faculty of Medicine.

e. D.P.T. Candidates for the degree of doctor of physical ther-

apy shall be qualified to receive such degree upon compliance

with the conditions prescribed by the University Senate by

concurrent action with the Faculty of Medicine.

FACULTY OF MEDICINE COLLEGE OF PHYSICIANS AND SURGEONS 83

§132. Certificates

a. Candidates for the certificates in occupational therapy, physi-

cal therapy, and psychoanalytic training shall be qualified to

receive the appropriate certificate upon compliance with the

conditions prescribed by the University Senate in concurrent

action with the Faculty of Medicine.

84 FACULTY OF ENGINEERING AND APPLIED SCIENCE

XIV

FACULTY OF ENGINEERING AND

APPLIED SCIENCE

§140. FacultyThe Faculty of Engineering and Applied Science

shall consist of the President, the Provost or Provosts, the dean, and

such officers of administration and of instruction as may be assigned

thereto by the Trustees.

§141. School of Engineering and Applied Science The

School of Engineering and Applied Science shall conduct the courses

of instruction in the several branches of engineering, applied science,

and related fields.

§142. Programs of Study Programs of study shall be designed

to provide undergraduate, graduate, and professional instruction and

research in the various fields of engineering, applied science, and

related fields.

§143. Degrees

a B.S. Every student who shall have completed an approved

course and passed examinations as required by the Faculty of

Engineering and Applied Science shall be qualified to receive

the degree of bachelor of science.

b. M.S. Candidates for the degree of master of science shall be

qualified to receive that degree upon compliance with the

conditions prescribed by the University Senate by concurrent

action with the Faculty of Engineering and Applied Science.

c. Professional degrees. Candidates for the professional degree

in chemical (Ch.E.), civil (C.E.), electrical (E.E.), indus-

trial (I.E.), mechanical (M.E.), mining (E.M.), metallurgical

(Met.E.), nuclear (N.E.), or mineral engineering (Min.E.),

or the professional degrees of Mechanics Engineer (Eng.M.)

or computer systems engineer (C.S.E.) shall be qualified to

receive that degree upon compliance with the conditions pre-

scribed by the Faculty of Engineering and Applied Science.

FACULTY OF ENGINEERING AND APPLIED SCIENCE 85

d. M.A., M.Phil., and Ph.D. Candidates for the degrees of mas-

ter of arts, master of philosophy, and doctor of philosophy

shall be qualified to receive these degrees upon compliance

with the conditions prescribed by the University Senate by

concurrent action with the Faculty of the Graduate School of

Arts and Sciences.

e. Eng.Sc.D. Candidates for the degree of doctor of engineering

science shall be qualified to receive that degree upon compli-

ance with the conditions prescribed by the University Senate

by concurrent action with the Faculty of Engineering and

Applied Science.

§144. Henry Krumb School of Mines The name Henry

Krumb School of Mines shall be the designation of the work of the

Department of Earth and Environmental Engineering.

86 GRADUATE SCHOOL OF ARTS AND SCIENCES

GRADUATE SCHOOL OF ARTS AND

SCIENCES

§150. Faculty and Administrative Board

a. Faculty.The Faculty of the Graduate School of Arts and Sci-

ences shall consist of the President, the Provost or Provosts, the

executive vice president for Arts and Sciences, the dean of the

Faculty of the Graduate School of Arts and Sciences, and such

officers of administration and of instruction as may be assigned

thereto by the Trustees on the nomination of the faculty.

b. Administrative Board.The Administrative Board of the Grad-

uate School of Arts and Sciences shall consist of the President,

the Provost or Provosts, the executive vice president for Arts

and Sciences, the dean of the Faculty of the Graduate School

of Arts and Sciences, and such officers of administration and

of instruction as may be assigned thereto by the Trustees on

the nomination of the Faculty of the Graduate School of Arts

and Sciences.

§151. Graduate School of Arts and SciencesThe Gradu-

ate School of Arts and Sciences shall be responsible for advanced

instruction and research in the several branches of the social sciences,

humanities, and pure sciences, as well as in related fields.

§152. Powers

a. The Graduate School of Arts and Sciences, subject to the

reserve power of the Trustees and the provisions of the Statutes,

shall have the power, and it shall be its duty, to prescribe the

manner in which standards for the degrees of master of arts,

master of arts in liberal studies, master of philosophy, and doc-

tor of philosophy shall be maintained within the University,

except as the degree of master of arts may be awarded by either

the Faculty of Teachers College or the Faculty of Union Theo-

logical Seminary.

GRADUATE SCHOOL OF ARTS AND SCIENCES 87

b. The Administrative Board of the Graduate School of Arts

and Sciences shall have the power, and it shall be its duty,

through such subcommittees as it shall designate, to pre-

scribe the requirements and regulations for all programs of

study leading to the degrees defined in subsection (a) which

are not within the jurisdiction of a specific department of

instruction offering advanced instruction and research within

the Faculty of the Graduate School of Arts and Sciences.

Subject to the provisions of subsection (a), candidates in such

special programs of study for the degrees defined in said

subsection shall be qualified to receive those degrees upon

compliance with the conditions prescribed by the University

Senate under Section 24b by concurrent action with the

Administrative Board of the Graduate School of Arts and Sci-

ences.

c. The Faculty and the Administrative Board of the Graduate

School of Arts and Sciences shall, in their respective roles,

exercise any powers of that Faculty and Administrative Board

under Section 35; and thus they shall have the power, and it

shall be their duty, to make all such by-laws and regulations

for their own proceedings and for the better governance of

the Graduate School of Arts and Sciences as shall not con-

travene the Charter of the Corporation, the Statutes, or any

resolution of the Trustees or of the University Senate.

§153. Programs of studyThe programs of study shall include

advanced instruction and research in

a. The disciplines of the social sciences, humanities, and pure

sciences, as offered by the following departments:

1. Social sciences.African American and African Diaspora

Studies, Anthropology, Economics, History, Political

Science, and Sociology

2. Humanities.Art History and Archaeology, Classics, East

Asian Languages and Cultures, English and Comparative

Literature, French, Germanic Languages, Italian, Latin

American and Iberian Cultures, Middle Eastern, South

Asian and African Studies, Music, Philosophy, Religion,

and Slavic Languages

3. Pure sciences.Applied Physics and Applied Mathematics,

Astronomy, Biochemistry and Molecular Biophysics, Biologi-

cal Sciences, Biomedical Engineering, Biomedical Informat-

ics, Chemical Engineering, Chemistry, Civil Engineering and

Engineering Mechanics, Computer Science, Earth and Envi-

ronmental Engineering, Earth and Environmental Sciences,

Ecology, Evolution and Environmental Biology, Electrical

Engineering, Genetics and Development, Industrial Engi-

neering and Operations Research, Mathematics, Mechanical

Engineering, Microbiology and Immunology, Molecular

Pharmacology and Therapeutics, Neuroscience, Pathology

and Cell Biology, Physics, Physiology and Cellular Biophys-

ics, Psychology, Statistics, and Systems Biology.

b. All other programs of study as may, from time to time, be

provided for under Section 152b.

§154. Degrees

a. M.A. Subject to the provisions of Section 152a, candidates for

the degree of master of arts shall be qualified to receive that

degree upon compliance with the conditions prescribed by the

University Senate under Section 24b by concurrent action with

the Faculty of the Graduate School of Arts and Sciences.

b. M.A.L.S. Subject to the provisions of Section 152a, candi-

dates for the degree of master of arts in liberal studies shall

be qualified to receive that degree upon compliance with the

conditions prescribed by the University Senate under Section

24b by concurrent action with the Faculty of the Graduate

School of Arts and Sciences.

c. M.Phil. Subject to the provisions of Section 152a, candidates for

the degree of master of philosophy shall be qualified to receive

that degree upon compliance with the conditions prescribed by

the University Senate under Section 24b by concurrent action

with the Faculty of the Graduate School of Arts and Sciences.

d. Ph.D. Subject to the provisions of Section 152a, candidates for

the degree of doctor of philosophy shall be qualified to receive

that degree upon compliance with the conditions prescribed by

the University Senate under Section 24b by concurrent action

with the Faculty of the Graduate School of Arts and Sciences.

§155. Certificates.Candidates for the certificates in medieval and

88 GRADUATE SCHOOL OF ARTS AND SCIENCES

Renaissance Studies, conservation biology, and in environmental policy

shall be qualified to receive the certificate upon compliance with the

conditions prescribed by the University Senate by concurrent action

with the Faculty of the Graduate School of Arts and Sciences.

GRADUATE SCHOOL OF ARTS AND SCIENCES 89

XVI

[deleted]

FACULTY OF ARCHITECTURE, PLANNING AND PRESERVATION 91

XVII

FACULTY OF ARCHITECTURE,

PLANNING AND PRESERVATION

§170. Faculty The Faculty of Architecture, Planning and Pres-

ervation shall consist of the President, the Provost or Provosts, the

dean, and such officers of administration and of instruction as may

be assigned thereto by the Trustees.

§171. Graduate School of Architecture, Planning and

Preservation The Graduate School of Architecture, Planning and

Preservation shall conduct the courses of instruction in architecture

and related fields.

§172. Program of study The program of studies shall be

design-ed to furnish technical and professional instruction in the his-

tory, theory, and practice of architecture.

§173. Degrees

a. M.Arch. Candidates for the degree of master of architecture

shall be qualified to receive that degree upon compliance

with the conditions prescribed by the University Senate by

concurrent action with the Faculty of Architecture, Planning

and Preservation.

b. M.S. Candidates for the degree of master of science shall be

qualified to receive that degree upon compliance with the

conditions prescribed by the University Senate by concurrent

action with the Faculty of Architecture, Planning and Preserva-

tion.

c. B.Arch. Every student who prior to July 1, 1973, was validly

matriculated in an approved course leading to the award of

the degree of bachelor of architecture and who shall have

completed said course and passed examinations as required

by the Faculty of Architecture, Planning and Preservation

shall be qualified to receive the degree of bachelor of archi-

tecture.

92 FACULTY OF JOURNALISM

XVIII

FACULTY OF JOURNALISM

§180. FacultyThe Faculty of Journalism shall consist of the Pres-

ident, the Provost or Provosts, the dean, and such officers of adminis-

tration and of instruction as may be assigned thereto by the Trustees.

§181. Program of studyThe program of studies shall be designed

to furnish technical and professional instruction in journalism.

§182. Degrees

a. M.S. Candidates for the degree of master of science shall be

qualified to receive that degree upon compliance with the

conditions prescribed by the University Senate by concurrent

action with the Faculty of Journalism.

b. M.A. Candidates for the degree of master of arts shall be

qualified to receive that degree upon compliance with the

conditions prescribed by the University Senate by concurrent

action with the Faculty of Journalism.

§183. CertificatesCandidates for the certificate in advanced

international reporting and the advanced science writing program shall

be qualified to receive the certificate upon compliance with the condi-

tions prescribed by the University Senate by concurrent action with the

Faculty of Journalism. The certificate for the advanced science writing

program shall become effective with Commencement, 1965.

§184. Advisory BoardThe Advisory Board on the Pulitzer

Prizes (formerly the Advisory Board of the School of Journalism)

shall consist of twelve members, in addition to the President of the

University. Five members shall constitute a quorum for the transac-

tion of business. Vacancies occurring by death or resignation, except

in the case of the President of the University, shall be filled by the

Trustees on the nomination of the advisory board for a term of four

years, the terms of service to be so adjusted that eventually the terms

of three members of the advisory board shall expire on June 30 of

each year.

FACULTY OF BUSINESS 93

XIX

FACULTY OF BUSINESS

§190. FacultyThe Faculty of Business shall consist of the Presi-

dent, the Provost or Provosts, the dean, and such officers of adminis-

tration and of instruction as may be assigned thereto by the Trustees.

§191. Program of studyThe program of studies shall be

designed to furnish professional instruction in business and

its management.

§192. Degrees

a. M.B.A. Candidates for the degree of master of business

administration shall be qualified to receive that degree upon

compliance with the conditions prescribed by the University

Senate by concurrent action with the Faculty of Business.

b. M.S. Candidates for the degree of master of science shall be

qualified to receive that degree upon compliance with the

conditions prescribed by the University Senate by concurrent

action with the Faculty of Business.

94 FACULTY OF DENTAL MEDICINE

FACULTY OF DENTAL MEDICINE

§200. The College of Dental Medicine, founded to bring about

greater union between dental education and medical education and

given its title by agreement between the College of Dental Medicine

of New York and the University, is a Faculty of the University. The

title shall be used in all announcements of programs of teaching and

research conducted by the Faculty of Dental Medicine.

§201. FacultyThe Faculty of Dental Medicine shall consist of the

President, the Provost or Provosts, the executive vice president for

Health and Biomedical Sciences and dean of the Faculty of Health

Sciences, the dean, and such officers of administration and of instruc-

tion as may be assigned thereto by the Trustees. The Faculty shall be

responsible for the educational programs in dental medicine and in

dental hygiene.

§202. Degrees

a. D.D.S.The requirements for the degree of doctor of dental

surgery shall be l28 points to be acquired in four years of two

sessions each, unless advantage is taken of the courses of the

Summer Session. Every candidate shall be recommended for

the degree who, being of good moral character, shall have

1. completed the required curriculum, and

2. passed satisfactorily all the required examinations.

b. B.S.The Faculty of Dental Medicine shall furnish instruc-

tion in the field of dental hygiene. Every student who has had

not less than two years of college work in a college acceptable

to this University and who shall have completed the course of

study as prescribed by the Faculty of Dental Medicine shall

be eligible to receive the degree of bachelor of science.

c. M.S. Every student who shall have completed an advanced

program of instruction in the field of dental hygiene as pre-

FACULTY OF dental medicine 95

scribed by the University Senate by concurrent action with

the Faculty of Dental Medicine shall be qualified to receive

the degree of master of science.

d. Med.Sc.D. Candidates for the degree of doctor of medical

science shall be qualified to receive such degree upon compli-

ance with the conditions prescribed by the University Senate

by concurrent action with the Faculty of Dental Medicine.

§203. CertificatesCandidates for the certificates in orthodontia,

periodontia, pediatric dentistry, prosthodontics, oral surgery, end-

odontics and advanced education in general dentistry shall be quali-

fied to receive the certificate upon compliance with the conditions

prescribed by the University Senate by concurrent action with the

Faculty of Dental Medicine.

§204. Dental clinicThe dean of the Faculty of Dental Medicine

shall be responsible for the management of the dental clinic.

FACULTY OF DENTAL MEDICINE 95

XXI

FACULTY OF CLIMATE

§210. Faculty  The Faculty of Climate shall consist of the Presi-

dent, the Provost or Provosts, the dean(s), and such officers of admin-

istration and instruction as may be assigned thereto by the Trustees.

§211. Program of Study  The program of studies shall be

designed to provide technical and professional instruction and

research in climate studies and related fields.

§212. Degrees 

a. M.A. Candidates for the degree of Master of Arts shall be

qualified to receive that degree upon compliance with the

conditions prescribed by the University Senate by concurrent

action with the Faculty of Climate.

§213. Nothing contained herein shall be deemed to impair the pow-

ers of the Faculties of Columbia College, General Studies, the Gradu-

ate School of Arts and Sciences, the Arts, Professional Studies (which

together constitute the Faculty of Arts and Sciences); Architecture,

Planning and Preservation; Business; Engineering and Applied Sci-

ence; Journalism; International and Public Affairs; Law; Dental Medi-

cine; Medicine; Nursing; Public Health (which together constitute

the Faculty of Health Sciences); and Social Work and of their several

deans.

96 FACULTY OF CLIMATE

FACULTY OF GENERAL STUDIES 97

XXII

FACULTY OF GENERAL STUDIES

§220. Faculty The Faculty of General Studies shall consist of the

President, the Provost or Provosts, the executive vice president for

Arts and Sciences, the dean, and such officers of administration and

of instruction as may be assigned thereto by the Trustees.

§221. Admission The School of General Studies offers the Univer-

sity’s undergraduate program for nontraditional students who have

had at least a one-year break in their educational history since high

school, who have a compelling reason to attend part time, or who pur-

sue one of the Faculty’s joint/dual degree programs. Admission into

the full-time or part-time degree programs of the school is available

to nontraditional candidates who shall have satisfied the admissions

requirements prescribed by the Faculty. Exceptions to these require-

ments shall be made only by the President of the University.

§222. Program of studyThe program of studies shall be

designed to offer to nontraditional students the opportunity of

obtaining a liberal arts education.

§223. Degrees

a. Every student who shall have met the admission require-

ments, completed an approved course of study of not less

than 124 points in the natural sciences and passed satisfacto-

rily all the required examinations shall be qualified to receive

the degree of bachelor of science.

b. Every student who shall have met the admission require-

ments, completed an approved course of study of not less

than 124 points in the social sciences or the humanities, and

passed satisfactorily all the required examinations shall be

qualified to receive the degree of bachelor of arts.

XXIII

BARNARD COLLEGE

The following statutes are enacted in accordance with the terms of

the agreement between the University and Barnard College, dated as

of July 1, 1973, and as amended through December 7, 2007 (“the

Agreement”).

§230. President of the University The President of the Uni-

versity shall be ex officio a Trustee of the college. He or she shall

exercise such supervision and direction of the college as will promote

the effective coordination of its activities with the other activities of

the University, and may perform such acts as shall in his or her judg-

ment promote the interests of the college and as shall not contravene

the college’s Charter, as amended, or the provisions of the Agree-

ment. As occasion may require, he or she may present, through the

president of the college, matters for the consideration of the Trustees

or faculty

of the college. He or she may attend meetings of the faculty of the

college and shall receive copies of the minutes of all its meetings.

§231. President and Dean of Barnard College

The internal administration of the college shall be conducted by

a president, with the rank of dean in the University, who shall be

appointed by the Trustees of the college with the advice and consent

of the President of the University. In the absence of the president of

the college, an acting president may be appointed by the Trustees of

the college.

§232. Representation in the University Senate

The college shall be represented in the University Senate by such

members as shall be provided from time to time by these Statutes.

§233. FacultyThe faculty of the college shall consist of the presi-

dent of the college and such officers of instruction as shall from time

to time be appointed and reappointed by the University in accordance

with Section 234.

98 BARNARD COLLEGE

§234. Officers of instructionThe college shall provide for,

support, and maintain such officers of instruction as may from time

to time be agreed on, as follows:

They shall be nominated by the president of the college, acting as

dean in the University, with the approval of the Trustees of the col-

lege and of the University, and shall be appointed and reappointed by

the University according to its custom.

Their standing shall be the same in all respects as that of other

like officers in the University.

The college and the University shall consult on appointments in

accordance with the Agreement.

Tenure procedures for faculty of the college shall be in accor-

dance with the Agreement, provided that the University’s participa-

tion in the procedures leading to the award of tenure to members of

the faculty of the college shall not create any obligation on the part

of the University to such members for their financial support nor any

“tenure of title” in the University in the event of the termination or

suspension of their employment by the college or in the event of the

severance of the contractual relationship now or hereafter existing

between the college and the University under the Agreement.

§235. Degree The college will continue to admit and recommend

women for the degree of bachelor of arts. The University will confer

the degree of bachelor of arts upon the students of the college who

shall have satisfactorily fulfilled in the college the requirements of the

University for that degree. To the extent permitted by these Statutes,

all requirements for admission and the degree of bachelor of arts for

students registered in the college shall be determined by the faculty of

the college. The diploma shall be signed by the President of the Uni-

versity and by the president of the college. The degree of bachelor of

arts conferred upon the graduates of Barnard College shall be main-

tained at all times as a degree of equal value with the degree of bach-

elor of arts conferred upon the graduates of Columbia College. The

equivalency of the degrees shall be maintained in such manner as

the University Senate may prescribe. Students of both the college and

the University shall have common access to courses offered by the

BARNARD COLLEGE 99

100 BARNARD COLLEGE

college or the University, subject only to normal prerequisites and to

such exceptions as may be designated by the respective committees on

instruction of the college and the various divisions of the University,

with the goal of enhancing the quality of undergraduate education at

both institutions by common access to faculty and courses and joint

utilization of facilities between the college and the University.

§236. Certificates The college as such shall grant no degree and

shall not recommend to the University the granting of any degree

other than the degree of bachelor of arts, but shall retain the right to

grant certificates to students not candidates for a degree.

§237. Fees

a. The Trustees of the college shall continue to provide for

the financial support thereof. The University is and shall be

under no implied obligation, responsibility, or liability, of any

kind whatsoever, for the maintenance, support, direction, or

administration of the college, including, but not limited to,

the conditions of employment and rights and privileges of its

faculty, or for the disbursement of the income thereof, except

as stated in the Agreement.

b. The amount and direction of annual payments between the

two institutions with respect to

1. faculty exchange

2. instruction

3. special services

4. libraries

5. support costs

6. instruction of children of its own faculty and of its own

staff members, as well as for instruction of members of

its own academic and nonacademic staff will be com-

puted in accordance with the Agreement.

BARNARD COLLEGE 101

§238. LibrariesThe libraries of the University and of the college

shall be open upon equal terms to all students and faculty of either

institution, but each institution shall have sole control over the days

and hours during which its libraries are open to students and faculty.

102 TEACHERS COLLEGE

XXIV

TEACHERS COLLEGE

The following Statutes are enacted in accordance with the terms of

the agreement between the University and Teachers College, dated

January 20, 1966, and as amended through October 1, 2004.

§240. PresidentThe President of the University shall exercise

such supervision and direction of the college as will promote its

effectiveness and coordinate its activities with other activities of the

University and may perform such acts as in his or her judgment pro-

mote the interests of the college and do not contravene the college’s

Charter, as amended. As occasion may require, he or she may present

through the president of Teachers College, matters for the consider-

ation of the Trustees or faculty of the college. He or she may attend

meetings of the Trustees or faculty of the college and shall receive

copies of the minutes of all meetings. He or she shall have power of

approval or disapproval of all nominations for appointments or pro-

motion to the rank of assistant professor, associate professor, profes-

sor, or dean prior to their submission by the president of the college

to the Trustees of the college. He or she shall have power to confer

appropriate degrees upon recommendation of the faculty of the col-

lege, when the requirements of the Statutes of the University and col-

lege have been satisfactorily fulfilled.

§240a. President of Teachers CollegeThere shall be

a president of Teachers College, with the rank of dean in the Uni-

versity. The president of Teachers College shall be appointed by the

Trustees of Teachers College with the advice and consent of the Presi-

dent of the University and shall serve for such term as the Trustees of

the college may determine. The president of the college, subject to the

authority of the President of the University and the provisions of the

By-Laws and Statutes of the college and the resolutions of its Trustees

and the terms and provisions of this Agreement, shall have full charge

of the administration of the college.

§241. FacultyThe Faculty of Teachers College, or additional Fac-

ulties as hereafter may be constituted by division of the present faculty,

TEACHERS COLLEGE 103

when and after such division is approved by the President and Trustees

of the University, shall be a Faculty or Faculties of the University with

the same powers and limitations of powers as are or shall hereafter be

accorded to or placed upon the Faculties of the University.

§242. Appointment of officersThe officers in Teachers Col-

lege shall be appointed by the Trustees of the college in the manner

prescribed by its Statutes, subject to the limitations stated in Sections

240 and 240a of these Statutes, and their salaries shall be paid by the

college, and Columbia University shall have no responsibility for their

salaries, tenure, or retirement allowances. The various appointments

mentioned in Sections 240, 240a, and in this section shall be made by

the college and not by the University.

§243. DegreesThe University will confer appropriate degrees

and diplomas upon students under the jurisdiction of the Faculty of

the college and the Administrative Board for the master of arts in

teaching who satisfactorily fulfill the requirements for such degrees

and diplomas, as those requirements are from time to time estab-

lished by that faculty and the Administrative Board for the master

of arts in teaching, with the concurrence of the University Senate, in

conformity with the provisions of the Statutes of the University as to

degrees or diplomas. So long as this Agreement is in force, the college

shall grant no degrees or diplomas.

§244. Courses of instructionCourses of instruction, either in

the University or the college, shall be open, subject to the general reg-

ulations of each institution, to every qualified student, staff member

or employee registered or employed in either. During each instruc-

tional term, unless otherwise provided by special agreement, each

institution shall pay to the other at the statutory rate per point, for all

courses taken in the other institution by its students, staff members,

employees, or children of full-time officers of instruction or adminis-

tration.

§245. Doctor of philosophyThe University will maintain

under its jurisdiction, in such manner as the University Senate may

determine, the organization and procedures whereby the Faculty of

Teachers College or professors thereof duly designated by the Trust-

ees of the University, on nomination of the president of the college,

104 TEACHERS COLLEGE

may be charged with appropriate responsibility for the administration

and supervision of the work of instruction and research leading to the

degree of doctor of philosophy for all candidates for that degree elect-

ing agreed upon major subject.

§246. LibrariesEach institution shall bear all the expenses of

maintaining its own library. Both libraries shall be open, on equal

terms, to all officers and students of both institutions.

FACULTY OF PROFESSIONAL STUDIES 105

XXV

FACULTY OF PROFESSIONAL

STUDIES

§250. Faculty The Faculty of Professional Studies shall consist

of the President, the Provost or Provosts, the executive vice president

for Arts and Sciences and dean of the Faculty of Arts and Sciences,

the dean, and such officers of administration and of instruction as

may be assigned thereto by the Trustees.

§251. Program of Study The program of studies shall be

designed to provide graduate instruction in applied professional

fields.

§252. Degrees

a. M.P.S. Candidates for the degree of master of professional

studies shall be qualified to receive that degree upon compli-

ance with the conditions prescribed by the University Senate

by concurrent action with the Faculty of Professional Studies.

b. M.S. Candidates for the degree of master of science shall be

qualified to receive that degree upon compliance with the

conditions prescribed by the University Senate by concurrent

action with the Faculty of Professional Studies.

106 UNION THEOLOGICAL SEMINARY

XXVI

UNION THEOLOGICAL SEMINARY

The following statutes are enacted in accordance with the terms of

the agreement between the University and the Union Theological

Seminary, dated May 7, 1928.

§260. DegreesThe University shall confer the degree of master

of arts upon students under the jurisdiction of the faculty of the semi-

nary who may satisfactorily fulfill the requirements for that degree as

those requirements are from time to time established by that faculty

with the concurrence of the University Senate.

§261. Students and feesStudents enrolled in the University

may be admitted to courses of instruction and research offered by the

Faculty of the Seminary, and students enrolled in the seminary may

similarly be admitted to such courses offered by the several Facul-

ties of the University on such terms as may be mutually agreed upon

by the Faculties of the University and the Faculty of the Seminary.

Students enrolled in the University who register for courses given

at the seminary shall pay to the seminary its established charges for

tuition. Students enrolled in the Seminary who register for courses

given under the jurisdiction of any University Faculty or Administra-

tive Board shall pay to the University the University fee and its estab-

lished charges for tuition. Candidates for the degree of master of arts

enrolled under the Faculty of the Seminary in accordance with the

terms of Section 261 of the Statutes shall have the status of students

in the University and shall pay to the University during the sessions

of the academic year the University fee and, on application for the

degree, the established degree fee.

§262. LibrariesThe libraries of the University and of the semi-

nary shall cooperate with each other in affording library privileges to

the officers and students of the two institutions.

FACULTY OF SOCIAL WORK 107

XXVII

FACULTY OF SOCIAL WORK

§270. Faculty The Faculty of Social Work shall consist of the

President, the Provost or Provosts, the dean, the associate dean, and

such officers of administration and of instruction as may be assigned

thereto by the Trustees.

§271. The nameThe Columbia University School of Social Work

shall be the designation of the Department of Social Work.

§272. Program of studyThe program of studies shall be

designed to furnish technical and professional instruction in social

work and related fields.

§273. Degrees

a. M.S. Candidates for the degree of master of science shall be

qualified to receive that degree upon compliance with the

conditions prescribed by the University Senate concurrently

with the Faculty of Social Work.

b. D.S.W. Candidates for the degree of doctor of social welfare

shall be qualified to receive that degree upon compliance

with the conditions prescribed by the University Senate con-

currently with the Faculty of Social Work.

c. Ph.D. Candidates for the degree of doctor of philosophy

shall be qualified to receive that degree upon compliance

with the conditions prescribed by the University Senate by

concurrent action with the Faculty of the Graduate School of

Arts and Sciences.

§274. CertificatesCandidates for the professional certificate

in social work and the certificate in advanced social welfare shall be

qualified to receive the certificate upon compliance with the condi-

tions prescribed by the University Senate concurrently with the Fac-

ulty of Social Work.

108 INTERNATIONAL STUDIES

XXVIII

INTERNATIONAL STUDIES

§280. Parker School of Foreign and Comparative Law

There shall be a Parker School of Foreign and Comparative Law,

established in accordance with the terms of the agreement dated June

2, 1931, as amended October 19, 1949, between the University and

the Supervising Trustees under the will of the late Edwin B. Parker,

of Washington, D.C. The principal purpose of the school shall be to

cooperate with the School of Law and the School of International and

Public Affairs in equipping a limited number of advanced students

to render practical service of a high order to the Government of the

United States in its international relations, or to financial or indus-

trial institutions engaged in international trade or commerce whose

activities indirectly affect international relations. The school shall be

conducted as an institute of foreign and comparative law and shall,

among other things, provide the educational needs of the School of

Law and the School of International and Public Affairs with respect

to instruction in the laws of foreign countries. The direction of this

school shall be assigned to an Administrative Board consisting of

the President, the Provost or Provosts, the director, the Dean of the

Faculty of Law, the Dean of the Faculty of International and Public

Affairs, and not fewer than two other persons nominated by the Presi-

dent and appointed by the Trustees for a term of three years.

§281. School of International and Public Affairs

a. FacultyThe Faculty of International and Public Affairs

shall consist of the President, the Provost or Provosts, the

dean of the Faculty of International and Public Affairs, and

such officers of instruction and of administration as may be

assigned thereto by the Trustees.

b. Degrees

1. M.I.A.Candidates for the degree of master of interna-

tional affairs shall be qualified to receive that degree

upon the completion of an approved two-year course and

the passing of examinations prescribed by the University

Senate by concurrent action with the Faculty of Interna-

tional and Public Affairs.

INTERNATIONAL STUDIES 109

2. M.P.A.Candidates for the degree of master of public

administration shall be qualified to receive that degree

upon the completion of an approved two-year course and

the passing of examinations prescribed by the University

Senate by concurrent action with the Faculty of Interna-

tional and Public Affairs.

§282. Regional institutesThere shall be regional institutes

established, as they may be approved by the President, for the pur-

pose of teaching and research relating to specific areas of the world,

especially in connection with the School of International and Public

Affairs. Instructional and research activities shall be in conformity

with the policies of appropriate Faculty bodies as designated by the

President. The direction of each institute shall be assigned to an

administrative committee consisting of a director, the Dean of the

Faculty of International and Public Affairs, and no fewer than four

other persons nominated by the President and appointed by the

Trustees for a term of three years. Students who have completed the

graduate program of study in an institute shall be qualified to receive

the certificate of that institute.

§283. Relationship to other University work The Univer-

sity Senate shall have power to adopt regulations governing the rela-

tion of the schools and institutes provided for in this Chapter to other

parts of the University.

110 FACULTY OF ARTS AND SCIENCES

XXIX

FACULTY OF ARTS AND SCIENCES

§290. Purpose The Faculty of Arts and Sciences shall address the

common concerns of the departments of the Arts and Sciences and

their members, reserving to the Faculties of Columbia College, Gen-

eral Studies, the Graduate School of Arts and Sciences, the Arts, and

Professional Studies the powers set forth in Sections 35 and 152 of

the Statutes.

§291. Faculty The Faculty of Arts and Sciences shall consist of

the President, the Provost, the executive vice president for Arts and

Sciences, the deans of the Faculties within Arts and Sciences, officers

of instruction appointed to the departments of the Arts and Sciences

with professorial grades, and such officers of administration and of

instruction as may be assigned thereto by the Trustees on the nomina-

tion of the faculty.

§292. Officers The executive vice president for Arts and Sciences

shall be the executive officer of the Faculty.

§293. Powers

a. Subject to the reserve powers of the Trustees and the provi-

sions of the Statutes, the Faculty of Arts and Sciences shall

have power and it shall be its duty

1. to oversee the correlation and scheduling of courses

offered by the Faculties within Arts and Sciences;

2. to address all questions involving more than one Faculty

within Arts and Sciences;

3. to discuss and advise on issues affecting the Arts and Sci-

ences relating to academic planning, budget, housing and

facilities, and appointments and tenure;

4. to make all such regulations for its own proceedings, and

for the better government of the Faculty of Arts and Sci-

ences, as shall not contravene the charter of the Corpora-

tion, the Statutes, or any resolution of the Trustees or

University Senate.

FACULTY OF ARTS AND SCIENCES 111

b. Nothing contained herein shall be deemed to impair the pow-

ers of the Faculties of Columbia College, General Studies, the

Graduate School of Arts and Sciences, the Arts, and Profes-

sional Studies, which constitute the Faculty of Arts and Sci-

ences, and of their several deans.

112 FACULTY OF THE ARTS

XXX

FACULTY OF THE ARTS

§300. FacultyThe Faculty of the Arts shall consist of the Presi-

dent, the Provost or Provosts, the executive vice president for Arts

and Sciences, the dean of the Faculty of the Arts, and such officers

instruction and of of administration as may be assigned thereto by

the Trustees.

§301. Program of studyThe program of studies in the School

of the Arts shall be designed to provide undergraduate and graduate

instruction and research in the creative and performing arts and in

arts administration.

§302. Degrees

a. M.F.A.Candidates for the degree of master of fine arts shall

be qualified to receive that degree upon compliance with the

conditions prescribed by the University Senate concurrently

with the Faculty of the Arts.

b. D.M.A.Candidates for the degree of doctor of musical arts

shall be qualified to receive that degree upon compliance

with the conditions prescribed by the University Senate con-

currently with the Faculty of the Arts.

FACULTY OF NURSING 113

XXXI

FACULTY OF NURSING

§310. FacultyThe Faculty of Nursing shall consist of the Presi-

dent, the Provost or Provosts, the executive vice president for Health

and Biomedical Sciences and dean of the Faculty of Health Sciences,

the dean of the Faculty of Nursing, and such officers of instruction

and of administration as may be assigned thereto by the Trustees.

§311. Program of studyThe program of studies shall be

designed to provide graduate instruction in nursing, clinical research,

and health policy.

§312. Degrees

a B.S.Every student who shall have completed an approved

course and passed examinations as required by the Faculty of

Nursing shall be qualified to receive the degree of bachelor

of science.

b. M.S.Candidates for the degree of master of science shall be

qualified to receive that degree upon compliance with the

conditions prescribed by the University Senate by concurrent

action with the Faculty of Nursing.

c. Dr.N.P. Candidates for the degree of doctor of nursing prac-

tice shall be qualified to receive that degree upon compliance

with the conditions prescribed by the University Senate in

concurrent action with the Faculty of Nursing.

d. D.N.Sc. Candidates for the degree of doctor of nursing sci-

ence shall be qualified to receive that degree upon compliance

with the conditions prescribed by the University Senate in

concurrent action with the Faculty of Nursing.

§313. CertificatesCandidates for the certificates in maternity

nursing, critical care, nurse anesthesia, nurse midwifery, oncology,

primary care–adult, primary care–family, primary care–geriatric, pri-

mary care–neonatal, primary care–pediatric, and psychiatric/mental

health nursing shall be qualified to receive the appropriate certificate

upon compliance with the conditions prescribed by the University

Senate in concurrent action with the Faculty of Nursing.

114 FACULTY OF PUBLIC HEALTH

XXXII

FACULTY OF PUBLIC HEALTH

§320. FacultyThe Faculty of Public Health shall consist of the

President, the Provost or Provosts, the executive vice president for

Health and Biomedical Sciences and dean of the Faculty of Health

Sciences, the dean of the Faculty of Public Health, and such officers

of instruction and of administration as may be assigned thereto by

the Trustees.

§321. Program of studyThe program of studies shall be

designed to provide graduate instruction in public health education.

§322. Degrees

a. M.S. Candidates for the degree of master of science shall be

qualified to receive that degree upon compliance with the

conditions prescribed by the University Senate in concurrent

action with the Faculty of Public Health.

b. M.P.H. Candidates for the degree of master of public health

shall be qualified to receive that degree upon compliance

with the conditions prescribed by the University Senate in

concurrent action with the Faculty of Public Health.

c. M.H.A. Candidates for the degree of master of health

administration shall be qualified to receive that degree

upon compliance with the conditions prescribed by the

University Senate in concurrent action with the Faculty of

Public Health.

d. Dr.P.H. Candidates for the degree of doctor of public health

shall be qualified to receive that degree upon compliance

with the conditions prescribed by the University Senate in

concurrent action with the Faculty of Public Health.

FACULTY OF HEALTH SCIENCES 115

XXXIII

FACULTY OF HEALTH SCIENCES

§330. PurposeThe Faculty of Health Sciences shall address the

common concerns of the College of Physicians and Surgeons, the Col-

lege of Dental Medicine, and of the Schools of Nursing and Public

Health and their members, reserving to the Faculties of Medicine,

Dental Medicine, Nursing, and Public Health the powers set forth in

Sections 35 and 152 of the Statutes.

§331. FacultyThe Faculty of Health Sciences shall consist of the

President, the Provost or Provosts, the executive vice president for

Health and Biomedical Sciences and dean of the Faculty of Health

Sciences, the deans of the Faculties of Medicine, Dental Medicine,

Nursing, and Public Health, officers of instruction appointed to the

departments of the College of Physicians and Surgeons, of the Col-

lege of Dental Medicine, and the Schools of Nursing and of Public

Health with professorial grades, and such officers of instruction and

of administration as may be assigned thereto by the Trustees on the

nomination of the faculty.

§332. OfficersThe executive vice president for Health and Bio-

medical Sciences shall be the executive officer of the Faculty and

dean of the Faculty of Health Sciences.

§333. Powers

a. Subject to the reserve powers of the Trustees and the provi-

sions of the Statutes, the Faculty of Health Sciences shall

have power and it shall be its duty

1. to oversee the correlation and scheduling of courses

offered by the faculties within the Health Sciences;

2. to address all questions involving more than one Faculty

within the Health Sciences;

3. to discuss and advise on issues affecting the Health Sci-

ences relating to academic planning, budget, housing and

facilities, and appointments and tenure;

4. to make all such regulations for its own proceedings, and

116 FACULTY OF HEALTH SCIENCES

for the better government of the Faculty of Health Sci-

ences, as shall not contravene the charter of the Corpora-

tion, the Statutes, or any resolution of the Trustees or

University Senate.

b. Nothing contained herein shall be deemed to impair the pow-

ers of the faculties of Medicine, of Dental Medicine, of Nurs-

ing, and of Public Health, which constitute the Faculty of

Health Sciences, and of their several deans.

SUMMER SESSION 117

XXXIV

SUMMER SESSION

§340. DurationThere shall be a Summer Session held during

the period between Commencement Day and the opening of the

autumn term in September.

§341. AdministrationThe direction of the work of the Summer

Session shall be assigned to the Faculty of Professional Studies. The

University Senate shall have power to adopt regulations governing the

relation of Summer Session instruction to the other work of the Uni-

versity.

§342. AppointmentsSubject to Section 60 of the Statutes, per-

sons not otherwise in the service of the University may be appointed

by the President, on the nomination of the dean of the Faculty of

Professional Studies, to give instruction in the Summer Session.

118 INSTITUTES

XXXV

INSTITUTES

§350. InstitutesThere shall be institutes established, as approved

by the University Senate and authorized by the President, for the pur-

pose of coordinating and developing research and teaching in special

fields, particularly those of interest to more than one department.

Instructional and research activities shall be in conformity with the

policies of appropriate faculty bodies as designated by the President.

An institute may have a budget for research expenses, clerical and

technician help, and for allocations to departmental budgets for other

research expenses or salaries. Salaries of regularly appointed officers

of instruction will not be carried in an Institute budget. An institute

may be dissolved by action of the President.

§351. Director and committeeThe direction of each institute

shall be assigned to a coordinating committee or an administrative

committee consisting of a director and members nominated by the

President and appointed by the Trustees to serve for a term of three

years.

THE AMERICAN ASSEMBLY 119

XXXVI

THE AMERICAN ASSEMBLY

§360. President of the UniversityThe President of the Uni-

versity shall be ex officio a Trustee of The American Assembly. He or

she shall promote the effective coordination of its activities with the

activities of the University. As occasion may require, he or she may

present, through the president of The Assembly, matters for the con-

sideration of the Trustees of The Assembly.

§361. Officers of The American AssemblyThe chief execu-

tive officer of The American Assembly shall be the president thereof

who shall conduct the administration with the assistance of other offi-

cers, including a chair, all of whom shall be appointed by the Trust-

ees of The Assembly with the advice and consent of the President of

the University.

§362. Officers of the UniversityAppropriate officers of

The American Assembly may be nominated by the President of the

University to be officers of the University and appointed and reap-

pointed as such by the University according to its custom. Their

standing shall be the same in all respects as that of other officers of

the University.

120 FEES

XXXVII

FEES

§370. FeesThe fees to be paid by students in the several schools

and colleges of the University shall be in such amounts and in effect on

such dates as the Trustees shall from time to time fix and determine.

§371. DepositsA deposit for the use of apparatus or material,

and other like purpose, shall be charged when prescribed by the chair

of the department supplying the same, with the approval of the Presi-

dent.

§372. Payment of feesThe University fee, tuition fees, and labo-

ratory deposits shall be due and payable before the close of the regular

periods of registration, as announced in the Academic Calendar, and

no registration shall be complete until such payment has been made.

§373. Prepayment of duesNo candidate for a degree in any

school or college in the University shall be entitled to receive the same

until he or she shall have discharged all his or her dues to the University.

§374. Sons and daughters of officersSons and daughters

of full-time officers of instruction and administration who hold direct

appointments from the Trustees or the President of the University

shall be granted special tuition benefits in such amounts as the Trust-

ees shall from time to time determine.

§375. Officers of instructionOfficers of instruction and

administration who hold a direct appointment from the President

or Secretary of the University, or from the Trustees of one of the

corporations included in the University educational system, shall be

granted free tuition, when, with the consent of the department con-

cerned and the approval of the President, they are permitted to take

courses of instruction and research.

§376. Husbands and wives of officers Husbands and wives of

full-time officers of instruction and administration who hold a direct

appointment from the Columbia Corporation shall be granted free

FEES 121

tuition in the several schools and colleges of the Columbia Corpora-

tion.

122 STUDENTS

XXXVIII

STUDENTS

§380. Registration. Every person desiring to be admitted to

attendance in the University shall present himself or herself at the

office of the Registrar and shall there file a registration blank in the

form prescribed by the University stating the term for which he or

she desires to be registered and giving such information as may be

required. To complete his or her registration he or she shall pay the

prescribed fees to the Bursar.

§381. Duration of registration. Each person whose registra-

tion has been completed, and accepted by authority of the President,

shall be considered a student of the University during the term for

which he or she is registered or until his or her connection with the

University is terminated by the exercise of the power of discipline by

the appropriate University officer.

§382. Discipline. The continuance of each student upon the

rolls of the University, the receipt by him or her of academic credits,

his or her graduation, and the conferring of any degree or the grant-

ing of any certificate, shall be subject to the disciplinary powers of the

University, which shall be free to cancel his or her registration at any

time on any grounds it deems advisable.

§383. Discharge. An honorable discharge shall be granted to

any student not subject to discipline who may desire to withdraw

from the University; but no student, under the age of twenty-one

years, shall be entitled to a discharge without the assent of his or her

parent or guardian, furnished in writing to the proper dean or direc-

tor.

§384. Students in other institutions. No student registered in

any school or college of the University shall at the same time be

registered in any other school or college of Columbia University or

in any other institution without specific authorization of the dean or

director of the school or college of the University in which he or she is

first registered.

STUDENTS 123

§385. Use of the name of the University. The name of the

University may not be used by any student or any group or organiza-

tion of which a student is a member, without the approval of the

Trustees or that of the President acting by authority of the Trustees.

§386. Use of University rooms and grounds. The rooms

and grounds of the University may not be used for meetings, nor the

bulletin boards for announcements, by any student or any group or

organization of which a student is a member, without the approval of

the Trustees or that of the President acting by authority of the Trust-

ees.

XXXIX

ACADEMIC CALENDAR

§390. Academic year In each part of the University the aca-

demic year shall begin in early September and shall end in May.

Within that period there shall be an autumn term and a spring term,

the number of days of instruction and examination, or the equivalent

thereof, in each school or Faculty, to be fixed by the University Sen-

ate. Subject to the approval of the University Senate, the Faculties of

Law, Medicine, Journalism, Business, Dental Medicine, Nursing, Pro-

fessional Studies, and Public Health may adopt such other academic

year as may be more suited to their respective programs of study.

§391. Examinations The dates for entrance and final exami-

nations in each part of the University shall be fixed annually, in

advance, by the University Senate. Other examinations may be held at

the pleasure of each Faculty.

§392. Commencement There shall be an annual Commence-

ment on a day to be fixed annually, in advance, by the University Sen-

ate, when degrees shall be conferred.

§393. Baccalaureate sermon Commencement Week shall

begin on the Sunday preceding Commencement Day with religious

services, in which the officers and students of the University shall be

invited to participate.

§394. Intermissions

a. In the discretion of the University Senate, there may be inter-

missions of the academic exercises of the University as follows:

during the autumn term for two periods not exceeding three

days each; at Christmastime for a period not exceeding four

weeks; during the spring term for a period not exceeding one

week; and on public holidays established by law. Subject to

the approval of the University Senate, the Faculties of Law,

Medicine, Journalism, Business, Dental Medicine, Nursing,

Professional Studies, and Public Health may adopt such other

124 ACADEMIC CALENDAR

intermissions of the academic exercises of their respective facul-

ties as may be more suited to their programs of study.

b. The President may, in extraordinary cases, grant an intermis-

sion for other days not exceeding three days at any one time;

and it shall be his or her duty to report the same at the next

succeeding meeting of the Trustees, together with the object

and the reason for granting such intermission.

§395. Summer SessionBetween the end of one academic year

and the beginning of the next academic year there shall be a Summer

Session of not less than six weeks in duration, consisting of not less

than thirty days for regular class exercises, the opening and closing

dates of which shall be fixed by the University Senate.

ACADEMIC CALENDAR 125

ACADEMIC COSTUME

§400. CostumeThe following described academic costume is

adopted to be worn upon all appropriate occasions, as indicating the

several degrees and the Faculties to which they pertain:

Gowns

1. Pattern. Those commonly worn, with pointed sleeves for the

bachelor’s degree, with long closed sleeves for the master’s

degree, and with round open sleeves for the doctor’s degree.

2. Material. Worsted stuff for the bachelor’s degree; silk for the

master’s and doctor’s degrees.

3. Color. Slate blue.

4. Trimmings. For the bachelor’s and master’s degrees the

gowns are to be untrimmed. For the doctor’s degree the gown

is to be faced down the front with black velvet, with bars of

the same across the sleeves, or the facing and crossbars may

be of velvet of the same color or piped with the same color

as the bindings or edges of the hood, being distinctive of the

Faculty to which the degree pertains.

Hoods

1. Pattern.The pattern usually followed by colleges and univer-

sities save as modified below.

2. Material. The same as that of the gown.

3. Color. Black.

4. Length.The length and form of the hood will indicate the

degree, as follows: For the bachelor’s degree, the length shall

be three-fourths that of the master’s degree; for the master’s

degree, the customary length, not exceeding four feet; for the

doctor’s degree, the same length but having panels at the sides.

5. Linings.The hoods shall be lined with the official colors of

the University: light blue with white chevron.

126 ACADEMIC COSTUME

6. Trimmings.The binding or edging, not more than six inches

in width, shall be of silk, satin, or velvet, of the color distinc-

tive of the subject to which the degree pertains, thus:

arts and letters, including journalism, white;

theology, scarlet;

law, purple;

medicine, green;

philosophy, dark blue;

science, yellow;

architecture and fine arts, brown;

music, pink;

dental medicine, lilac;

engineering, orange;

pharmacy, olive

business, drab;

library service, lemon;

education, light blue;

international affairs, peacock blue;

social welfare, citron;

7. Cap.The caps shall be of the material and form generally

called mortarboard caps. The doctor’s cap may be of velvet.

The color should be slate blue. Each cap shall be ornamented

with a long tassel attached to the middle point at the top. The

tassel of the doctor’s cap may be, in whole or in part, of gold

thread.

§401. Trustees and members of FacultiesMembers and

former members of the governing body shall be entitled, during and

subsequent to their term of office, to wear the gown of highest dig-

nity-that of the doctor’s degree-together with the hood appropriate to

the degree which they may have severally received. Members of Facul-

ties and any persons officially connected with the University who have

ACADEMIC COSTUME 127

been recipients of academic honors from other universities or colleges

in good standing, may assume the academic costume corresponding

to their degree, as described in the foregoing section, provided, that

such right shall terminate if such persons shall cease to be connected

with the University. The President and deans of Faculties may adopt

distinctive badges, not inconsistent with the costume hereinbefore

described.

128 ACADEMIC COSTUME

XLI

[deleted]

XLII

FOUNDATIONS

§420. ProfessorshipsA professorship may be founded in the

University by the payment to the University or other legal entity of

such sum, for such purpose, and on such terms as the Trustees may

approve.

§421. FellowshipsA fellowship is an academic honor awarded

by the University to a person of its selection and accompanied by a

fellowship grant to be used in the furtherance of his or her studies

or research. No services to the University or to the donor of the fel-

lowship are required of any fellow, nor shall there be any restriction

on his or her publication of studies or research as a condition of the

grant. A fellow may engage in remunerative employment while hold-

ing a fellowship only when permission is granted by authority of the

President. All fellows, except traveling fellows, shall comply with Sec-

tion 380, “Registration,” of the University Statutes.

A fellowship may be founded by the payment to the treasurer

of such sum as the Trustees may approve, for the encouragement

of advanced study and original research in such subject or subjects

and bearing such title as the founder may designate, subject to the

approval of the Trustees.

§422. ScholarshipsA scholarship is an award by the University

to a person of its selection, on grounds of scholarly competence and

need, of a stipend to be used in the furtherance of his or her stud-

ies and research. No services to the University or to the donor of the

scholarship are required of any scholar, nor shall there be any restric-

tion on his or her publication of studies or research as a condition of

the grant. A scholar may engage in remunerative employment without

authority of the President. All scholars, except traveling scholars, shall

comply with Section 380, “Registration,” of the University Statutes.

A scholarship may be founded in any part of the University by

the payment to the treasurer of such sum, and for such purpose, as

130 FOUNDATIONS

FOUNDATIONS 131

the Trustees may approve. The scholarship shall bear such title as the

founder may designate, subject to the approval of the Trustees.

§423. Grants-in-aidA grant-in-aid is a sum of money given by

the University on grounds of need to a student of its own selection.

No services to the University or to the donor of the grant-in-aid are

required of any student nor shall there be any restriction on his or

her publication of studies or research as a condition of the grant. A

recipient may engage in remunerative employment without authority

of the President. All recipients shall comply with Section 380, “Regis-

tration,” of the University Statutes.

§424. PrizesA prize may be founded by the payment to the

treasurer of such sum, and for such purpose, as the Trustees may

approve. The prize shall bear such title as the founder may designate,

subject to the approval of the Trustees.

§425. Award of fellowships, scholarships, and prizesFel-

lowships, scholarships, and prizes shall be awarded in accordance

with the terms and conditions specified by the founder as approved

by the Trustees and in accordance with the provisions of the Statutes.

XLIII

EXTERNALLY FUNDED RESEARCH

AND INSTRUCTION

§430. Regulations

a. The University shall enter into only such agreements for the

support of research, instruction, or other academic activities

(whether in the form of contracts or of acceptance of the

terms of grants or gifts) or for the acquisition, lease or dispo-

sition of any academic building as do not confer power upon

any external party, public or private, either to censor or to

exercise effective veto on:

1. the contents of instruction, or

2. the publication or other dissemination of results and

conclusions arising from research or instruction, or to

require delay for an unreasonable time before such pub-

lication or dissemination of results is permitted.

The foregoing sentence is not to be construed to apply to the des-

ignation of purpose inherent in the acceptance of funds for specific

research or instructional purposes or subjects.

b. The University shall enter into only such agreements for

the support of research or instruction as do not permit any

external party to determine the participation or nonparticipa-

tion, or the degree thereof, of individuals in such research or

instruction in the University on grounds of political or reli-

gious beliefs, political or religious affiliations, race, color or

sex. The foregoing sentence is not to be construed to apply to

restrictions based upon citizenship.

c. The University shall enter into only such agreements for the

support of research or instruction as do not require it, as a

university, to participate in:

1. handling or transmitting classified information, docu-

ments, material or equipment, or

132 EXTERNALLY FUNDED RESEARCH AND INSTRUCTION

2. processing the security clearance of any person or facil-

ity, or

3. controlling access to any information in accordance with

any security regulation, whether public or private.

§431. Existing agreementsExisting agreements that conflict

with these Regulations shall be modified accordingly or terminated as

soon as possible.

§432. ExceptionsAny exception to the Regulations must be

approved in accordance with the following procedures:

a. By and with the advice and consent of the University Senate,

the President shall appoint a review board consisting of seven

members of whom three shall be members of the appropriate

University Senate Committee and four shall not. Members of

the board shall serve for terms of three years, and any vacan-

cies that happen shall be filled promptly by the President with

the advice and consent of the University Senate. The members

of the review board need not be members of the University

Senate. The review board shall hear and review any applica-

tion for a particular exception to these Regulations.

b. Exceptions in broad categories shall be made only by the Uni-

versity Senate after consideration and report by the appropri-

ate University Senate Committee pursuant to Section 23e of

the University Statutes.

c. If and when an exception is approved, this fact shall be

promptly announced to the University community. The

nature of the agreement and the reasons for the exception

shall also be announced to the University community, unless

there are serious and unusual reasons for withholding or

delaying disclosures.

§433. Application of RegulationsThe Regulations shall not

apply to arrangements entered into by members of the University

community in their individual capacities—arrangements to which the

University is not a party.

§434. ProcedureThe Regulations shall be administered in

EXTERNALLY FUNDED RESEARCH AND INSTRUCTION 133

accordance with the following procedure:

a. The dean, director, or chair of each Faculty, institute, center,

or department of the University shall bring to the attention

of each member of the Faculty, institute, center, or depart-

ment, of which he or she is dean, director, or chair, who

has expressed an interest in or who to the knowledge of

such dean, director, or chair has conducted similar research

or instruction in the past, any solicitations for contracts or

grants to perform research or instruction addressed to the

University and forwarded to the Faculty, institute, center, or

department or addressed directly to the Faculty, institute,

center, or department.

b. The office administering University projects and grants will

examine each existing and proposed agreement for the sup-

port of research or instruction to which the University is or

would be a party to determine if the terms of the agreement

are or would be in conflict with the Regulations, as amended

from time to time, and any particular exceptions previously

made by the review board.

c. If the office administering University projects and grants

determines that the terms of an agreement do not comply

with the Regulations or particular exceptions previously

made by the review board, then, at the request of the princi-

pal investigator of the proposed project, said office will apply

to the review board for a particular exception to the Regula-

tions. The review board will act promptly on any such appeal.

If the application or the appeal is approved, the action will be

announced to the University community by the review board

and written authorization signed by the chair of the review

board will be given to said office for acceptance of the agree-

ment.

d. The office administering University projects and grants shall

regularly make available basic information concerning grants

and contracts awarded to the University to members of the

University community who request or have requested such

information, together with a brief abstract of the purpose

of the grant or contract. The principal investigator of each

grant or contract awarded to the University shall provide to

134 EXTERNALLY FUNDED RESEARCH AND INSTRUCTION

the office administering University projects and grants a brief

abstract of the purpose of each grant or contract awarded to

him or her for dissemination to members of the University

community who request or have requested information in

accordance with the preceding sentence.

e. The principal investigator of each grant or contract awarded

to the University shall forward to the office administering

University projects and grants a copy of periodic progress

reports of long-term projects, and of the final report required

to be filed pursuant to the terms of the project or grant, con-

currently with the delivery of such reports to the contractor

or granting agency. The office administering University proj-

ects and grants shall deposit all such copies of such reports in

one or more libraries of the University.

f. The University administration shall arrange for the communi-

cation to members of the University community through the

appropriate University Handbooks and by other means their

research or instructional obligations and privileges, including

the limitations on the use of University facilities for non-

University activities contained in Section 5 of these Statutes.

g. Nothing in this Chapter shall be interpreted to require the

University unilaterally to breach any existing agreement.

EXTERNALLY FUNDED RESEARCH AND INSTRUCTION 135

XLIV

RULES OF UNIVERSITY CONDUCT

§440. Affirmative Statement

The Rules of University Conduct, found in Chapter XLIV of the Stat-

utes of Columbia University, are intended to ensure that all members

of our community may engage in our cherished traditions of free

expression and open debate. The University, as a forum for the pur-

suit and attainment of knowledge in every field of human endeavor,

has a special role in fostering free inquiry. A principal reason why

universities have endured and flourished over centuries is that they

provide a place for ideas to be tested, for values to be questioned,

and for minds to be changed with as few constraints as possible. Like

society at large, but even more so, the University has a vital interest

in fostering a climate in which nothing is immune from scrutiny. And

Columbia, in particular, has a long tradition of valuing dissent and

controversy and in welcoming the clash of opinions onto the campus.

To be true to these principles, the University cannot and will not rule

any subject or form of expression out of order on the ground that it is

objectionable, offensive, immoral, or untrue. Viewpoints will inevitably

conflict, and members of the University community will disagree with

and may even take offense at both the opinions expressed by others and

the manner in which they are expressed. But the role of the University

is not to shield individuals from positions that they find unwelcome.

Rather, the University is a place for received wisdom and firmly held

views to be tested, and tested again, so that members of the Univer-

sity community can listen, challenge each other, and be challenged in

return.

The University recognizes only two kinds of limitations on the right of

freedom of expression, and both are to be narrowly construed. First,

the University reasonably regulates the time, place, and manner of

certain forms of public expression. In keeping with the University’s

dedication to the principle of uninhibited discourse, these regulations

do not turn on the content of any message that might be expressed.

Rather, they are necessary not because they would prevent any opin-

136 RULES OF UNIVERSITY CONDUCT

RULES OF UNIVERSITY CONDUCT 137

ion from being stated or heard, but, to the contrary, because they

protect the rights of free speech, free press, and academic freedom.

Just as all members of the University community have the right to

speak, to study, research, to teach, and to express their own views, so

must they allow others in the community to do the same. The right

to demonstrate, for example, cannot come at the expense of the right

of others to counter-demonstrate, to teach, or to engage in academic

pursuits requiring uninterrupted attention. As is true of the larger

community in which the University sits, the University must protect

the rights of all to engage in their callings and express their own

views.

Second, the University may restrict expression that constitutes a genu-

ine threat of harassment, that unjustifiably invades an individual’s

privacy, or that falsely defames a specific individual. These forms of

expression stand apart because they do little if anything to advance the

University’s truth-seeking function and they impair the ability of indi-

viduals at the University to participate in that function. The University

has an obligation to assure members of its community that they can

continue in their academic pursuits without fear for their personal

security or other serious intrusions on their ability to teach and to

study.

Because of the University’s function as an incubator of ideas and

viewpoints, the principle of free expression must be jealously

guarded. As President Bollinger has noted, “Our great institutions

of higher education bear a special social responsibility for educating

people to possess a nimble cast of mind, able to grasp multiple per-

spectives and the full complexity of a subject. And for centuries, great

societies of all types have understood that this kind of intellectual

capacity is essential to progress. But never have critical thinking and

tolerance been more important for individual well-being and for our

collective prosperity.” Every member of our community therefore

retains the right to demonstrate, to rally, to picket, to circulate peti-

tions and distribute ideas, to partake in debates, to invite outsiders to

participate, and to retain the freedom to express opinions on any sub-

ject whatsoever, even when such expression invites controversy and

sharp scrutiny. Although the University values the civil and courteous

exchange of viewpoints, it does not limit discussion because the ideas

expressed might be thought offensive, immoral, disrespectful, or even

dangerous. We expect that members of our community will engage in

public discussions that may confront convention, and free expression

would mean little if it did not include the right to express what others

may reject or loathe.

§441. Definitions Terms used in this Chapter shall have the

following meanings: (Comment: While gender-neutral language is

employed in these Rules whenever possible, “he,” “him,” or “his”

occasionally appear. They are used to avoid awkward locutions and

are not intended to perpetuate gender stereotypes.)

a. University means Columbia University in the City of

New York.

b. University facility means that place where a University func-

tion occurs.

c. University function means any charter or statutory operation

or activity of the University, including instruction, research,

study, administration, habitation, social life, space allocation

and control, food supply, and other functions directly related

thereto. Specifically included are both functions of fixed-time

duration (e.g., classes, examinations, lectures, etc.) and func-

tions of continuing duration (e.g., the operation of libraries,

research laboratories, maintenance shops, computers, busi-

ness offices, etc.). Also included are functions ancillary to

directly educational purposes, such as meetings, disciplinary

proceedings, and athletic and social events sponsored by any

University-approved organization.

d. Deans are persons appointed by the President, and approved by

the Trustees, either as dean, acting dean, or director of one of the

divisions or schools of the Columbia Corporation, or such staff

persons as they may assign to administer disciplinary affairs.

e. Delegates. Delegates are appointed by the President and/or the

Rules Administrator. In addition, all Deans and Deans of Stu-

dents are automatically considered Delegates under these rules.

Delegates have authority for the enforcement of these Rules.

They shall warn individuals and groups whose actions may violate

these Rules and may declare their belief that the demonstration

does not conform to the Rules of Conduct. They shall, when facts

138 RULES OF UNIVERSITY CONDUCT

known to them or brought to their attention warrant, file a com-

plaint with the Rules Administrator against alleged violators.

f. Day means a calendar day, regardless of whether the Univer-

sity is in academic session except for purposes of the proce-

dures set forth in Section 448 and 450. Whenever any time

limit expires on a nonworking day, it shall be extended to the

next working day.

g. Students are any persons registered in any division of the

University, whether for courses or research, and whether or

not they are candidates for a degree or certificate. They also

include persons who are on leave or suspended or continuing

matriculants for any degree or certificate, as well as persons

registered during any preceding terms and who have not

since that time earned the degree or certificate or withdrawn

from the University.

h. Faculty means officers of instruction appointed to any divi-

sion, school, or other department of the University, including

officers on leave.

i. Staff means members of the administration, administrative

staff, research staff, library staff, or supporting staff, and

includes all non-instructional officers.

j. Violation means the commission of an act proscribed by these

Rules. However, inadvertent or accidental behavior shall not

be considered to be the substance of a violation.

k. Respondent means a person against whom a charge for viola-

tion of these Rules has been filed.

l. Rules Administrator means the Rules Administrator

appointed under Section 445a.

§442. Jurisdiction The Rules of University Conduct shall apply

to all members of the University community: administrators,

administrative staff, research staff, library staff, supporting

staff, faculty, and students. Also visitors, licensees, and invi-

tees on a University facility shall be subject to the Rules of

University Conduct. Violations by such persons may result in

the revocation of their invitation or license to be on a Univer-

sity facility and their subsequent ejection. The Rules of Uni-

RULES OF UNIVERSITY CONDUCT 139

versity Conduct apply to any demonstration, including a rally

or picketing, that takes place on or at a University facility or

at any University sponsored activity. Such facilities include,

but are not limited to, all University campuses, research labo-

ratories, maintenance shops, business offices, athletic fields,

dormitories, classrooms, and meeting halls. The Rules of

University Conduct do not apply to participation in a demon-

stration, including a rally or picketing, by full-time employees

of the University represented by a collective bargaining agent,

where the demonstration arises in the course of or is incident

to a labor dispute involving the University.

§443. Violations

a. A person is in violation of these Rules when such person indi-

vidually or with a group, incident to a demonstration, includ-

ing a rally or picketing:

(1) (simple violation) engages in conduct that places another

in danger of bodily harm;

(2) (serious violation) causes or clearly attempts to cause

physical injury to another person;

(3) (simple) uses words that threaten bodily harm in a situa-

tion where there is clear and present danger of such bodily

harm;

(4) (serious) uses words in a situation of clear and present

danger that actually incite others to behavior that would vio-

late Sections 443a (2) or (6);

(5) (simple) causes minor property damage or loss, or endan-

gers property on a University facility;

(6) (serious) misappropriates, damages, or destroys books or

scholarly material or any other property belonging to the

University, or to another party, when that property is in or on

a University facility, and by such action causes or threatens

substantial educational, administrative, or financial loss;

(7) (simple) interferes over a short period of time with entrance

to, exit from, passage within, or use of, a University facility but

does not substantially disrupt any University function;

(8) (serious) continues for more than a short period of time

140 RULES OF UNIVERSITY CONDUCT

to physically prevent, or clearly attempt to prevent, passage

within, or unimpeded use of, a University facility, and thereby

interferes with the normal conduct of a University function;

(9) (serious) enters or remains in a University facility without

authorization at a time after the facility has been declared

closed by the University; (Comment: The University shall

make all reasonable attempts to publicize this declaration to

the fullest extent possible.)

(10) (simple) enters a private office without authorization;

(11) (serious) holds or occupies a private office for his own

purposes; (Comment: Persons may not enter a private office

unless invited and then not substantially in excess of the

number designated or invited by the occupant. Anyone so

entering must leave on request of a recognized occupant of

such office or on request of another authorized person. Pas-

sage through reception areas leading to private offices must

not be obstructed for more than a short period of time. Clear

and unimpeded passageway through lobbies, corridors, and

stairways must be maintained at all times. For this purpose,

the Delegate may advise demonstrators as to the permissible

number of participants in such restricted areas and regulate

the location of such participants. Persons may use rooms in

which instruction, research, or study normally take place only

when such rooms are assigned to them through established

University procedures.)

(12) (simple) causes a noise that substantially hinders others

in their normal academic activities;

(13) (simple) briefly interrupts a University function;

(14) (serious) disrupts a University function or renders its

continuation impossible;

(15) (serious) illicitly uses, or attempts to use, or make threats

with a firearm, explosive, dangerous or noxious chemical, or

other dangerous instrument or weapon;

(16) (simple) fails to self-identify when requested to do so by a

properly identified Delegate;

(17) (serious) prevents a properly identified Delegate from the

discharge of his official responsibilities under these Rules,

RULES OF UNIVERSITY CONDUCT 141

except through a mere refusal to self-identify;

(18) (simple) fails to obey the reasonable orders of a properly

identified Delegate regulating the location of demonstrators

or others within the vicinity of a demonstration to assure

unimpeded access to or use of a facility or to avoid physical

conflict between demonstrators and others; (Comment: This

regulation gives the Delegate authority to regulate assemblies.

The check against abuse of such authority is provided by

the test of reasonableness imposed by the University Judicial

Board in such disciplinary proceedings as may result from

noncompliance. Should a Delegate in the exercise of discre-

tion fail to disperse an assembly in which some or all of the

participants are violating or have violated the Rules, this

should in no way be construed as excusing the violators, who

remain liable for their acts under these Rules.)

(19) (simple) fails to disperse from an assembly upon order of

a properly identified Delegate when such order results from

repeated or continuing violations of these Rules by members

of the assembly and the Delegate has by verbal directions

made reasonable effort to secure compliance before ordering

dispersal;

(20) (serious) fails to disperse from an assembly upon order

of a properly identified Delegate when such order results

from serious violations of these Rules by members of the

assembly and the Delegate so states in his order to disperse.

§444. Enforcement

a. Summoning a Delegate. Should any member of the Univer-

sity community believe that participants in an assembly or

other demonstration are violating the Rules of University

Conduct, he or she should notify the appropriate Delegate(s)

by contacting the Rules Administrators and/or The Office of

Public Safety. The Delegate(s) shall proceed to the site of the

demonstration and gather information for possible transmis-

sion to the Rules Administrator. This includes the identities

of any participants who the Delegate feels are violating the

Rules and the facts surrounding the demonstration.

b. Warning and advice. Properly identified Delegates shall warn

142 RULES OF UNIVERSITY CONDUCT

those parties whose actions they consider to be in violation

of these Rules. However, a member of the University com-

munity may be charged with a violation of these Rules even

if no prior warning has been given or perceived. Only the

University Judicial Board shall, in either case, be empowered

to determine whether the actions of the accused were in vio-

lation of these Rules.

c. Creating separate areas for demonstrations believed to be in

violation of these Rules and for permissible demonstrations/

observation. Delegates believing that an assembly or other dem-

onstration is violating these Rules should, to the extent practi-

cable in their sole judgment, immediately make all reasonable

efforts to create separate areas for demonstrators whose actions

are believed to violate the Rules and for those wishing to dem-

onstrate permissibly, or to observe, or to report on, cover, pho-

tograph, or document the demonstration. There should be a

reasonable distance between these areas, with a presumption in

favor of allowing unobstructed view and observation, and they

should be graphically delineated without creating barriers, to

the extent feasible. Failure by a Delegate to create these areas

shall not excuse a violation of these Rules.

d. Distribution of a flier conveying pertinent information to

demonstrators and observers. Whenever an assembly or other

demonstration believed to be in violation of these Rules

continues for more than a short period of time, the Delegate

shall consider preparing a flier for distribution to persons

in the area of demonstration. The flier should repeat any

previous warning by a Delegate concerning the violation of

these Rules that are believed to be taking place, describe the

locations of any areas cordoned off under Section 444c, and

identify the locations where full copies of these Rules are

available. Failure by the Delegate to prepare and distribute

such a flier shall not excuse a violation of these Rules.

e. Self-identifying. A properly identified Delegate may request

individuals believed to be violating these Rules to identify

themselves. Members of the University community who do not

self-identify may be charged with a violation of these Rules.

f. Treatment of outsiders. In accordance with the jurisdiction of

RULES OF UNIVERSITY CONDUCT 143

these Rules, any visitor, licensee, or invitee who the Delegate

determines is violating these Rules, and who does not comply

with the Delegate’s warning and advice, may be ejected from

a University facility without regard to the procedures set

forth herein. Delegates also have a responsibility to protect

the rights of lawful demonstrators. Delegates may warn coun-

terdemonstrators or vigilantes whose actions the Delegate

may consider to be in violation of these Rules. Members

of the University community should not take enforcement

of these Rules into their own hands, since such action may

result in violations of these Rules.

If the President, upon consultation with a majority of a panel

established by the University Senate’s Executive Committee,

decides that a demonstration poses a clear and present danger

to persons, property, or the substantial functioning of any

division of the University, he or she shall take all necessary

steps to secure the cooperation of external authorities to bring

about the end of the disruption. The President shall make

public his or her decision to the fullest extent possible as soon

as it is feasible. Nothing in the above shall be construed to

limit the President’s emergency authority to protect persons or

property.

§445. Administrative and Judicial Personnel

a. Rules Administrator. The Rules Administrator (or his/

her designated Assistant Administrator) shall have primary

responsibility for the administration of these Rules. He/she

shall maintain and have custody of the records of proceed-

ings under these Rules; shall prepare and serve notices and

other documents required under these Rules; shall accept

and investigate complaints, file charges, organize informal

settlements, and present evidence in support of charges

to the hearing panels. The Rules Administrator shall be

appointed by the President after consultation with the Execu-

tive Committee of the University Senate, and shall serve at

the pleasure of the President. The Rules Administrator shall

be an individual appointed from the Office of the Executive

Vice President for University Life. The Rules Administrator

may appoint one or more Assistant Administrators, who may

144 RULES OF UNIVERSITY CONDUCT

act in his or her stead. Persons otherwise concerned with the

disciplinary procedures of a particular school or division may

not be appointed as the Rules Administrator or an Assistant

Administrator.

b. Delegate. Delegates may be called upon to enforce these

Rules by anyone subject to them, including faculty, students,

and staff, or they may proceed to enforce them on their own

initiative. A Delegate is obliged, upon the request of another

Delegate, to assist that Delegate. The Rules Administrator

shall be kept informed of all actions and charges undertaken

by a Delegate.

c. University Judicial Board. The University Judicial Board shall

hear all charges of violations of these Rules. The Executive

Committee of the University Senate shall at its first meeting

each year appoint or fill vacancies in a University Judicial

Board consisting of five members, one of whom shall be a

student, one of whom shall be a faculty member, and one of

whom shall be a staff member, as defined in Section 441i.

Each of these three groups—students, faculty, and staff—is eli-

gible for the two remaining seats, but none of the groups may

occupy both of those seats, and thereby form a majority of the

Board. The members shall be chosen after consultation with

the three groups. The Executive Committee shall designate

the chair of the Board, as well as an alternate chair, and shall

also appoint a pool of alternate board members. Appointments

to the board shall be for a term of three years, and shall be

staggered to ensure continuity. The members of the University

Judicial Board shall be persons from within the University,

and no person otherwise concerned with disciplinary proce-

dures may be appointed to the Board. Once confirmed by

the Executive Committee, members of the University Judicial

Board pool will be trained in the Rules of University Conduct

and the precedents for adjudications and sanctions.

d. Appeals Board. The Appeals Board shall hear all appeals

from decisions or sanctions imposed by the University Judi-

cial Board or, in cases of informal resolution, decisions or

sanctions imposed by the Chair of the UJB, or by the Chair’s

designee. The Appeals Board may overturn, affirm, or revise

RULES OF UNIVERSITY CONDUCT 145

RULES OF UNIVERSITY CONDUCT 146

the decision, and it may overturn, affirm, or lessen the sanc-

tion. The Executive Committee of the University Senate shall

at its first meeting each year appoint or fill vacancies in an

Appeals Board consisting of three members, each of whom is

a Dean of School or Division. The Executive Committee shall

designate the chair of the board and shall make appoint-

ments to the board, which shall ordinarily be for a term of

three years, so as to provide for staggered terms to ensure

continuity in the board. The members of the Appeals Board

shall be persons from within the University. Members of the

Board will not be from the school of the respondent.

e. Additional judiciary boards or members. The Executive

Committee of the University Senate may appoint additional

boards, or persons to a board, should the need arise. The

Executive Committee may divide the original University Judi-

cial Board, or the original Appeals Board, as equitably as pos-

sible to ensure maximum continuity of experience.

§446. Rights of the respondent In order to provide acces-

sible, prompt, and fair methods of investigation and resolution of

incidents of misconduct, the University has developed a process for

investigation and adjudication of allegations of misconduct. Through-

out this process, the respondent has the following rights:

• To respect, dignity, and sensitivity.

• To appropriate support from the University.

• To privacy to the extent possible consistent with applicable law,

University policy, and the respondent’s wishes.

• To information about the University’s Rules of University Con-

duct.

• To the presence of an advisor throughout the process.

• To participate or to decline to participate in the investigation

or hearing process. However, a decision to refrain from partici-

pating in the process either wholly or in part will not prevent the

process from proceeding with the information available.

• To a prompt and thorough investigation of the allegations.

• To adequate time to review documents during and following

the investigation.

146 RULES OF UNIVERSITY CONDUCT

• To adequate time to prepare for a hearing.

• To introduce evidence into the record and call witnesses on

one’s own behalf.

• To request access to University documents or camera footage

that can be used in one’s defense.

• To an opportunity to challenge the Rules Administrator,

members of the University Judicial Board, or members of the

Appeals Board for a possible conflict of interest.

• To refrain from making self-incriminating statements.

• To appeal the decision made by a hearing panel and any sanc-

tions.

• To notification, in writing, of a report of misconduct, any charge

filed, any resolution of the case, any factual findings of the inves-

tigation, any explanation of findings of responsibility, and any

imposed sanctions, including the outcome of any appeal.

• To understand that information collected in the process may

be subpoenaed in criminal or civil proceedings.

Privacy

The University will reveal information about its investigations and

adjudication of misconduct only to those who need to know the infor-

mation in order to carry out their duties and responsibilities. It will

inform all University personnel participating in an investigation, pro-

ceeding, or hearing that they are expected to maintain the privacy of

the process and of the respondent.

Advisor(s)

The respondent may be accompanied to any meeting or hearing

related to an incident of misconduct by the advisor(s) of his/her

choice. Advisor(s) may support the respondent and provide advice

about the investigation and disciplinary process. During meetings and

hearings, the advisor(s) may talk quietly with the respondent or pass

notes in a non-disruptive manner. The advisor may not intervene in

a meeting or hearing or address the Rules Administrator or hearing

panel, including by questioning witnesses or making objections. If a

respondent desires to have an attorney serve as his or her advisor, the

University will arrange for a volunteer attorney-advisor if the respon-

RULES OF UNIVERSITY CONDUCT 147

dent so requests. Advisors may include but are not limited to family

members, friends, counselors, therapists, clergy, attorneys, academic

advisors, professors, and administrators.

Declining to Participate

A respondent may decline to participate in the investigative or adjudi-

cative process. The University may continue the process without the

respondent’s participation. In most cases, a refusal to participate in

the investigative process will preclude a respondent from participat-

ing before the hearing panel.

Time Frame

The University will seek to resolve every report of misconduct within

approximately two (2) months of an incident, not counting any

appeal. Generally, the time line will be as follows:

• Investigation begins within five (5) business days after an inci-

dent.

• Investigation completed within fifteen (15) business days after

the investigation begins.

• Hearing (if any) held within fifteen (15) business days after the

conclusion of the investigation.

• Notice of a decision for cause to reject a request from the

respondent for an open hearing.

• Decision of the hearing panel issued within five (5) business

days after the hearing.

• Notice of sanctions issued within five (5) business days after

the decision of the hearing panel (or after the respondent

accepts responsibility).

• Notice of appeal to the Appeals Board filed by the Rules

Administrator and/or respondent within five (5) business days

after the notice of decision or sanctions.

• Decision of the Appeals Board within ten (10) business days

after notice of appeal received.

• Notice of appeal to the President filed by the Rules Administra-

tor and/or respondent within five (5) business days after the

decision of the appeal.

148 RULES OF UNIVERSITY CONDUCT

• Decision of the President within ten (10) business days after

notice of appeal.

Each of these stages is explained in greater detail below. The hear-

ing panel may extend any time frame for good cause, with a written

explanation to the Rules Administrator and respondent.

Notice

The Rules Administrator will give the respondent a written explana-

tion of his/her rights and options as soon as possible after an incident

is reported. The University will also ensure that the respondent is

updated throughout the investigative process, including with timely

notice of meetings where the respondent may be present. More spe-

cifically, the respondent will be given the following written notices:

• Notice that a complaint was dismissed or that an investigation

will proceed.

• Notice of a charge filed and any information that will be used

in the hearing process.

• Notice of the date and time of any hearing and a list of hearing

panel members.

• Notice of the hearing panel’s decision of “responsible” or “not

responsible.” This notice will include an explanation of the

University’s appeals process.

• Notice of the sanctions imposed. This notice will include an

explanation of the University’s appeals process.

• Notice of whether an appeal has been filed.

• Notice of whether the decision, or sanctions, have been modified.

• Notice when the decision and sanctions become final.

Conflicts of Interest

The University requires any individual participating in the investiga-

tion, hearing process, sanctioning or appeal process to disclose to the

University any potential or actual conflict of interest. If a respondent

believes that any individual involved in the process has a conflict

of interest, within three (3) business days of receiving notice of his/

her participation the respondent may make a written request to the

RULES OF UNIVERSITY CONDUCT 149

Rules Administrator that the individual not participate. Any request

should include a description of the conflict. If the Rules Administra-

tor determines that a conflict of interest exists, he/she will take steps

to address the conflict in order to ensure an impartial process. A

respondent who believes that the Rules Administrator has a conflict

of interest must submit the written request to the Office of the Execu-

tive Vice President for University Life.

§447. Prehearing Procedures/Investigation

Filing Complaint(s)

Any member of the University who believes a violation of the Rules

has been committed may file a written complaint, either on paper

or electronically via U.S. mail, email, or online portal, with the

Rules Administrator. The complaint shall state with particularity the

person(s) involved, the nature of the offense, and the circumstances

under which the offense may have been committed.

Complaint(s) Dismissed

If the Rules Administrator dismisses a complaint, he/she will notify

the complainant and respondent in writing.

Investigation of Complaints

If an investigation proceeds, the Rules Administrator will notify the

respondent in writing of the allegation(s). The Rules Administrator

will conduct interviews and will gather pertinent information and

documentation. The Rules Administrator will inform the Dean of the

relevant school(s) that an investigation is commencing and will seek

to coordinate any disciplinary proceedings. The University’s process

for responding to, investigating, and adjudicating allegations of mis-

conduct will continue during any law enforcement proceeding. The

University may need to temporarily delay an investigation while law

enforcement is gathering evidence, but it will resume the investiga-

tion after it learns that law enforcement has completed its evidence-

gathering and will generally not wait for the conclusion of any related

civil or criminal proceeding.

The Rules Administrator will follow the protocols set forth below:

150 RULES OF UNIVERSITY CONDUCT

• Preserving Evidence. The Rules Administrator will direct the

respondent, witnesses, and other interested individuals to pre-

serve any relevant evidence.

• Character Witnesses. The Rules Administrator will not inter-

view witnesses whose sole purpose is to provide character infor-

mation.

• Prior Conduct Violations. The Rules Administrator will not

consider the respondent’s prior conduct violations, unless

the respondent was previously found to be responsible, or

the previous incident was substantially similar to the present

allegation(s) and/or the information indicates a pattern of

behavior by the respondent.

Informal Resolution

The Rules Administrator may seek to resolve certain cases through an

informal process with the respondent. This type of informal resolu-

tion can take place during the investigation or after its conclusion. If

these efforts are unsuccessful, the disciplinary process will continue.

Charge(s) Filed

If a charge is filed, the Rules Administrator will prepare a report

detailing the relevant content from the interviews and the documen-

tation gathered. The report will include the Rules Administrator’s

assessment and recommended findings of responsibility.

The respondent will have the opportunity to review a copy of the

investigative report and any other information that will be used dur-

ing the hearing process. The names and other identifying information

of other individuals may be redacted from such materials.

Administrative Resolution

After the respondent has had an opportunity to review the investiga-

tive report and related material, the Rules Administrator will ask the

respondent to respond to the alleged violation in one of the following

ways: (1) Responsible; (2) Not Responsible; or (3) No Response. If

the respondent accepts responsibility, the matter will proceed to the

sanctioning stage, followed by any appeals. If the respondent declines

RULES OF UNIVERSITY CONDUCT 151

responsibility, or chooses not to respond, the matter will proceed to

the hearing stage. If the respondent selects not to respond, this shall

not be considered to be an admission of responsibility.

§448. Hearing Process

Hearing Panel

If administrative resolution is not available, the Rules Administrator

will submit the charge(s) to the University Judicial Board, which will

determine whether the respondent is responsible or not responsible

for a violation of the Rules. If the respondent is determined to be

responsible, the University Judicial Board will provide the sanction

based on their determination.

Written Submissions

Both the Rules Administrator and the respondent will have the oppor-

tunity to submit to the hearing panel written responses to the inves-

tigation report and other relevant information. The Rules Admin-

istrator and the respondent will have the opportunity to review any

written, recorded, photographic, or digital submissions by the other.

The hearing panel may set reasonable parameters for these written

submissions. The hearing panel will review the investigation report

and written submissions. The panel may determine that a hearing is

not necessary when all panel members agree that the information in

the investigation report and the written submissions (if any) is suf-

ficient to make a determination (for example, where the respondent

does not dispute relevant facts). If the panel decides that a hearing is

not necessary, the panel will proceed directly to make a determina-

tion, including an explanation of why a hearing is not necessary.

Either the Rules Administrator or the respondent may submit to the

hearing panel a request to consolidate, or sever, the hearings of this

and other respondents.

Hearing Procedures

The University will, whenever possible, give the respondent at least

five (5) business days’ advance notice of the hearing. The hearing is

a closed proceeding, meaning that the only individuals who may be

152 RULES OF UNIVERSITY CONDUCT

present in the hearing room(s) during the proceeding are: the panel

members, the Rules Administrator, the respondent, their respective

advisors, witnesses (when called), and necessary University personnel.

The Office of the Executive Vice President for University Life will

work with other University personnel so that any individual whose

presence is required may participate in the hearing.

A respondent may request in writing that a hearing be open to the

public, and the request shall be granted unless the University Judi-

cial Board decides to keep the hearing closed for cause. If the Board

decides to keep the hearing closed, it must provide written notice to

the respondent. In determining whether a hearing may be open to

the public, they may consider: (1) the risk to public safety, including

to witnesses who may be called, and (2) the deterrent or permissive

effect on the campus community, including on particular individuals

and organizations.

If a hearing is declared open, a dissenting member of the hearing

panel can declare a conflict of interest and withdraw from consider-

ation of the case.

In general, hearings will proceed as follows:

• Rules Administrator statement

• Respondent statement

• Questions to the Rules Administrator by the hearing panel

• Questions to the respondent by the hearing panel

• Witness testimony and questioning by the hearing panel

• Closing statement by Rules Administrator

• Closing statement by respondent

The panel may set reasonable time limits for any part of the hearing.

The Rules Administrator and the respondent will have the opportu-

nity to present witnesses and other information consistent with the

Rules. The panel may determine the relevance of, place restrictions

on, or exclude any witnesses or information. When the respondent

RULES OF UNIVERSITY CONDUCT 153

is not able to be present for the hearing panel, arrangements will be

made for participation via alternate means.

In cases where the respondent opts not to participate in the hearing,

the panel may still hear from the Rules

Administrator, but it may not draw an adverse inference from a

respondent’s refusal to participate.

Additional hearing rules include:

• Questioning. Only the panel may ask questions of the Rules

Administrator, the respondent, and any witnesses. Both the

Rules Administrator and the respondent will have the opportu-

nity to suggest questions of the other and of witnesses by sub-

mitting suggested questions to the panel in writing. The panel

may revise or not ask any or all submitted questions.

• Prior Conduct Violations. The hearing panel will not consider

the respondent’s prior conduct violations, unless the informa-

tion is provided because: the respondent was previously found

to be responsible, or the previous incident was substantially

similar to the present allegation(s) and/or the information indi-

cates a pattern of behavior by the respondent.

• Hearing Recording. If the hearing is closed, the University

will keep an audio recording of the hearing for the use of the

panel, for sanctioning, and for purposes of appeal. The Office

of the President, the panelists, the University Judicial Board,

the Rules Administrator, and the respondent may request a

transcript of the recording. If the hearing is open, the verbatim

record of the hearing must be a public record.

• Cell Phones and Recording Devices. Cell phones and record-

ing devices may not be used in the hearing room(s) unless

approved by the panel in writing in advance.

Panel Determinations/Standard of Proof

The panel will use “preponderance of the evidence” as the standard

of proof to determine whether a violation of the Rules occurred. Pre-

ponderance of the evidence means that a panel must be convinced

based on the information it considers that the respondent was more

likely than not to have engaged in the conduct at issue in order to

154 RULES OF UNIVERSITY CONDUCT

find the respondent responsible for violating the Rules.

The panel will find a respondent responsible, or not responsible, based

on a majority vote. The panel will generally render a decision within

five (5) business days after the conclusion of a hearing. The panel’s

decision will include an explanation of the basis for the decision.

If the panel finds the respondent responsible, the matter will proceed

to the sanctioning stage. The panel will transmit its determination to

the Rules Administrator and the respondent. The transmission must

include (1) the finding of the respondent as responsible or not respon-

sible; and (2) the reasoning behind the finding.

§449. Sanctions and Other Remedies

How Sanctions Are Determined

Available sanctions will be consistent across all University departments

and schools. Similar offenses may result in different sanctions where

there are distinguishing facts and circumstances in the opinion of the

University Judicial Board.

The University Judicial Board will impose sanctions that are:

• Fair and appropriate given the facts of the particular case.

• Consistent with the University’s handling of similar cases.

• Adequate to protect the safety of the campus community.

In cases where the respondent accepts responsibility through an infor-

mal resolution, the sanctioning will be designated to the chair of the

University Judicial Board (or his/her designee).

In determining what sanctions will protect the safety of the University

community, the University Judicial Board will be advised by Univer-

sity Public Safety or other experts and will consider: (1) the nature of

the violation (simple or serious); (2) the risk that the respondent may

engage in additional substantially similar misconduct; (3) the deter-

rent or permissive effect of a particular sanction on the campus com-

munity, including on particular individuals and organizations aware

of the offense (keeping in mind that a sanction must always be fair

and appropriate for the particular case); and (4) the precedent estab-

RULES OF UNIVERSITY CONDUCT 155

lished by the University Judicial Board in previous cases.

To ensure that sanctions imposed by the University Judicial Board

are consistent with the University’s handling of similar cases, the

Rules Administrator will be responsible for providing members of the

University Judicial Board with records of any similar past cases, with

the names and any other identifying information of past respondents

removed.

A respondent who is found responsible for a simple violation of these

Rules is subject to the full range of sanctions with the exception of:

Dismissal or restriction from University employment; Suspension;

Expulsion; and Revocation of degree. For repeated simple violations

of these Rules, the respondent is subject to the full range of sanctions

with the exception of: Expulsion, and Revocation of degree. A respon-

dent who is found responsible for a serious violation of these Rules is

subject to the full range of sanctions.

No notation, letter, or other record may be placed into the file of any

community member in connection with activities covered by these

Rules, either temporarily or permanently, unless the respondent has

been found responsible for a Rules of University Conduct violation

and has been sanctioned under these Rules.

The University Judicial Board will render a sanctioning decision

within five (5) business days following the receipt of the panel’s

determination (or notification of a case where the respondent accepts

responsibility). The sanctioning decision will be communicated in

writing to the Rules Administrator and the respondent. The transmis-

sion must include (1) the finding of sanctions; and (2) the reasoning

behind the imposition of sanctions.

List of Sanctions

The University may impose any one or more of the following sanctions

on a respondent determined to have violated the Rules:

• Private reprimand/warning.

• Public reprimand/warning.

• Disciplinary probation.

• Restricting access to University facilities.

156 RULES OF UNIVERSITY CONDUCT

• Community service.

• Issuing a “no contact” order to the respondent or requiring

that such an order remain in place (restricted to cases of

bodily harm and threats of bodily harm).

• Dismissal or restriction from University employment.

• Removal from University housing.

• Suspension (limited time or indefinite).

• Expulsion.

• Revocation of degree.

In addition to any other sanction (except where the sanction is expul-

sion or revocation of a degree), the University may require any respon-

dent determined to be responsible for a violation of the Rules to

receive appropriate education and/or training related to the violation

at issue. The University may also recommend counseling or other sup-

port services for the respondent.

Additional Responses

The University may also determine that additional measures are

appropriate to respond to the effects of the incident on the University

community. Additional responses for the benefit of the University

community may include:

• Increased monitoring, supervision, or security at locations or

activities where the misconduct occurred.

• Additional training and educational materials for faculty, stu-

dents, and staff.

• Revision of these Rules.

§450. Appeals

Appeals Board

Either the Rules Administrator or the respondent may appeal the

decision of the University Judicial Board by submitting an appeal, in

writing either by Registered U.S. mail or personal delivery, within five

(5) business days after receiving the sanctioning notice. Appeals are

decided by the Appeals Board. The three grounds for appeal are:

RULES OF UNIVERSITY CONDUCT 157

1. A procedural error affecting the determination or sanction;

2. New information that was not available at the time of the

investigation or hearing and that may change the determina-

tion or sanction; and

3. Excessiveness of the sanction.

Disagreement with the finding or sanctions is not, by itself, grounds

for appeals.

If either the Rules Administrator or the respondent submits an

appeal, the non-appealing party will be notified of the appeal and the

grounds of the appeal. The non-appealing party may submit a written

response within five (5) business days after notice of an appeal.

If the Appeals Board concludes that a change is warranted, based on

a majority vote, the Board may revise the determination, reconvene

the panel for it to reconsider the determination, or return the matter

for additional investigation. If both the Rules Administrator and the

respondent appeal, the appeals will be considered together.

The Rules Administrator and the respondent will be notified in writ-

ing of the final decision, which will be rendered within ten (10) busi-

ness days of the receipt of the written appeal.

The respondent, but not the Rules Administrator, may also appeal the

sanction set by the University Judicial Board. The Appeals Board may

affirm or reduce the sanction, but may not increase it.

Presidential Action

A final appeal may be made to the President for clemency or review,

which the President may hear in his/her discretion.

§451. Records Disclosure

Disciplinary proceedings conducted by the University are subject to the

Family Educational Records and Privacy Act (FERPA), a federal law

governing the privacy of student information. FERPA generally limits

disclosure of student information outside the University without the

student’s consent, but it does provide for release of student disciplinary

information without a student’s consent in certain circumstances.

158 RULES OF UNIVERSITY CONDUCT

A respondent who successfully requests an open hearing waives his or

her rights under FERPA.

Any information gathered in the course of an investigation may be

subpoenaed by law enforcement authorities as part of a parallel inves-

tigation into the same conduct, or required to be produced through

other compulsory legal process.

§452. Committee on Rules of University Conduct

a. The University Senate Committee on Rules of University Con-

duct shall prepare any material that will facilitate the func-

tioning of the procedures.

b. Persons otherwise connected with the disciplinary procedures

shall be excluded from the University Senate Committee on

Rules of University Conduct.

c. All changes in these Rules shall be passed by the University

Senate for approval and acceptance by the Trustees in accor-

dance with the Statutes of the University.

d. The University Senate Committee on Rules of University

Conduct shall, at least every four years, facilitate a public dis-

cussion, engaging faculty, students, and staff, about whether

revision of the Rules is merited.

RULES OF UNIVERSITY CONDUCT 159

XLV

AMENDMENTS

Method of amendment The Statutes shall not be amended,

altered, or repealed, unless notice in writing of such proposed amend-

ment, alteration, or repeal shall have been given the Trustees at least

thirty days in advance, and provided that with respect to any proposed

amendment, alteration, or repeal related to the University’s academic

programs or to other academic matters, notice in writing shall be

given at a previous meeting of the Trustees.

160 AMENDMENTS

Absence, leave of, 4; 63; 71f

Academic Calendar, 24i; 390

academic year, 390

baccalaureate sermon, 393

Commencement, 24i; 392

examinations, 24i; 391

intermissions, 394a; 394b

Summer Session, 24g; 340; 395

Academic correlation, 24a

Academic costume, 400

for Trustees and members of

Faculties, 401

Academic freedom, 23c; 70a; 71a;

73b

Academic year, 390

Acting president, 3

Adjunct assistant professor, 61a; 61e

Adjunct associate professor, 61a; 61e

Adjunct associate research scholar,

62a; 62f

Adjunct associate research scientist,

62a; 62f

Adjunct professor, 61a; 61e

Adjunct professor emeritus/emerita,

Adjunct research scholar, 62a; 62i

Adjunct research scientist, 62a; 62f

Adjunct senior research scholar, 62a;

62i

Adjunct senior research scientist,

62a; 62i

Administration, officers of

See Officers of administration

Administrative Board membership,

Graduate School of Arts and

Sciences, 150b

Parker School of Foreign and

Comparative Law, 280

Summer Session, 341

Administrative Boards

appointments, 60

certificates, 6; 24c

chairman, 1

degrees, 6; 24b; 35a

limitation of powers, 36

listing of, 32

Administrative Board for the master

of arts in teaching, 243

Administrative Board of the Gradu-

ate School of Arts and Sciences,

150b

Parker School of Foreign and

Comparative Law, 280

Summer Session, 341

meetings, 2b; 38; 51

members of, 33

minutes, 39; 56

nonconcurrence by President, 1

powers, 35

President, 1; 2b

Provost(s), member(s), 51

questions involving more than

one, 24a

INDEX

(The Arabic numerals used in this index refer to the section num-

ber of the Statutes and the roman numerals refer to the article num-

ber of the Charter unless otherwise indicated.)

INDEX 161

restriction on membership, 33

right to vote, 34

secretaries, 37

University Senate powers on, 24a;

24b; 24c

Administrative committees

certificates, 24c; 282

institutes, 282; 351

Administrative staff

University Senate members, 20g;

21c; 21e; 21f

Admission requirements

Columbia College, 111

General Studies, 221

involving a change in educational

policy, 25b; 36

power of Faculties and

Administrative Boards, 35a

Advisory boards

Legislative Drafting Research

Fund, 123b

Pulitzer Prizes, 184

African American and African

Diaspora Studies, Department of,

40; 153a(1)

Agreements, power to execute, 50c

Alumni

University Senate members, 20h

Amendments, method of, XLV

American Assembly, The

officers of The Assembly, 361

officers of the University, 362

president of, 360; 361

President of the University,

relation to, 360; 362

Anesthesiology, Department of, 40;

Anthropology, Department of, 40;

153a(1)

Apparatus

deposits on, 371

loan of, 7

Applied Physics and Applied

Mathematics, Department of,

40; 153a(3)

Appointments

affiliated hospital or institute, 60;

71g(1)

Barnard College, 234

clinical officers, 61a; 71g

conditions of, 63

Dental Medicine, 71g(1)

General Studies, 220

grades of office, 61a; 62a

language Officers, 61a; 71g(2)

library personnel, 90

medicine, 63; 71g(1)

Medical Center, 71g(1)

officers of administration, 50a;

50b

officers of instruction, 60, 61

officers of the libraries, 91

officers of research, 60; 62

retired officers, 80

Summer Session, 342

Teachers College, 240; 242