Faculty Handbook

FACULTY HANDBOOK

OCTOBER 2014 TABLE OF CONTENTS

MESSAGE FROM THE PRESIDENT ...... 6 MESSAGE FROM THE CEO AND SENIOR PROVOST...... 7 ORGANIZATION CHART TUC ...... 8 HISTORY OF THE TOURO COLLEGE AND UNIVERSITY SYSTEM ...... 9 HISTORY OF TOURO UNIVERSITY CALIFORNIA ...... 9 VISION OF TOURO UNIVERSITY CALIFORNIA ...... 9 MISSION OF TOURO UNIVERSITY CALIFORNIA ...... 9 MISSION STATEMENTS FOR COLLEGES AND PROGRAMS ...... 10 College of Education and Health Sciences (CEHS) ...... 10 Graduate School of Education (GSOE) ...... 10 School of Health Sciences Joint MSPAS/MPH Program (MPAS/MPH) ...... 10 School of Health Sciences Public Health Program (MPH) ...... 10 School of Nursing (SON) ...... 10 College of Osteopathic Medicine (COM) ...... 10 College of Pharmacy (COP) ...... 10 ACCREDITATION ...... 11 University Accreditation ...... 11 Program Specific Accreditation ...... 11 College of Osteopathic Medicine (COM)...... 11 College of Education and Health Sciences (CEHS) ...... 11 College of Pharmacy (COP)...... 12 ORGANIZATION CHART TCUS ...... 13 ADMINISTRATIVE STRUCTURE ...... 13 Board of Trustees ...... 14 President ...... 14 Chief Executive Officer and Senior Provost Western Division ...... 14 Provost/Chief Operating Officer ...... 14 Director of Fiscal Affairs and Accounting ...... 14 Associate Vice President of Administration ...... 14 Associate Vice President for Institutional Advancement ...... 14 Dean of Student Services ...... 15 Associate Dean of Students ...... 15 Director of Institutional Research and Assessment ...... 15 Director of External Relations ...... 15 Director of Annual Fund and Alumni Relations ...... 15 Director of Information Technology ...... 15 Director of Human Resources ...... 16 Director of the Library ...... 16 Director of Research Development and Sponsored Programs ...... 16 Dean of the College of Education and Health Sciences (CEHS) ...... 16 Assistant Dean of the College of Education and Health Sciences (CEHS) ...... 16 Director, Joint MSPAS/MPH Program (MSPAS/MPH) ...... 16 2

Director, Public Health Program (MPH) ...... 17 Director, Graduate School of Education (GSOE) ...... 17 Dean of the College of Osteopathic Medicine (COM) ...... 17 Senior Associate Dean ...... 17 Associate Dean for Academic Affairs ...... 17 Associate Dean for PreClinical Education ...... 17 Associate Dean for Clinical Education ...... 17 Assistant Dean for Clinical Education ...... 18 Associate Dean for Research ...... 18 Director of the Master of Science in Medical Health Sciences (MS-MHS-COM) ...... 18 Dean of the College of Pharmacy ...... 18 Associate Dean for Academic Affairs and Research ...... 18 Associate Dean for Clinical Affairs ...... 18 Assistant Dean for Administration ...... 18 Assistant Dean for Student Services ...... 19 Director of the Master of Science in Medical Health Sciences-COP (MSMHS-COP) ..... 19 THE FACULTY ...... 19 Academic Department Chairpersons ...... 19 THE TOURO UNIVERSITY CALIFORNIA FACULTY SENATE ...... 20 FACULTY APPOINTMENT, PROMOTION, AND TENURE ...... 20 Faculty Appointments ...... 20 Faculty Tracks ...... 22 Annual Evaluation of Faculty ...... 24 Promotion of Faculty ...... 24 SEPARATION ...... 24 Resignation ...... 24 Retirement ...... 25 Dismissal ...... 25 Termination without Prejudice ...... 25 Exit Interview ...... 26 FACULTY EMPLOYMENT POLICIES AND PRACTICES ...... 26 Integration Clause and Revision Procedure ...... 26 Equal Employment Opportunity Statement (EEO)...... 26 Employment Process ...... 27 The Americans with Disabilities Act (ADA) Title I ...... 27 Disability Accommodation ...... 27 Pregnancy and Lactation Accommodation ...... 28 Personnel Files ...... 28 Privacy of Employee Personal and Medical Information ...... 29 Names and Addresses ...... 29 Employee References ...... 29 Academic Freedom ...... 29 Travel Policy ...... 30 Kosher Food Policy ...... 39 Unlawful Harassment ...... 40 Retaliation Prohibited ...... 42 3

Bullying Prohibited ...... 42 Grievance Committee, Policy and Procedure ...... 43 Appeals Committee, Policy and Procedure ...... 44 Immigration Reform & Control Act Compliance ...... 45 Drug-Free Work Place ...... 45 Drug or Alcohol Rehabilitation ...... 45 Prior Treatment Nondiscrimination ...... 45 Smoking Policy ...... 46 Payment of Wages ...... 46 Personnel Records ...... 46 Use of Electronic Media ...... 46 Ownership of Courses and Course Materials ...... 46 Outside Employment ...... 47 FACULTY CODE OF PROFESSIONAL ETHICS...... 47 CONFLICT OF INTEREST ...... 51 FACULTY BENEFITS ...... 52 Health Insurance ...... 52 COBRA ...... 52 Dental and Vision Insurance ...... 53 Flexible Spending Accounts ...... 53 Life Insurance ...... 53 Supplemental Life Insurance ...... 53 State Disability Insurance ...... 54 Long-Term Disability ...... 54 Worker’s Compensation ...... 54 Social Security ...... 55 Unemployment Insurance ...... 55 Tuition Remission ...... 55 Qualified Tuition Reduction Program ...... 55 Retirement Plans (403B) ...... 56 FACULTY LEAVE POLICIES ...... 56 Holidays ...... 56 Vacation ...... 57 Sick Leave ...... 57 Personal ...... 58 Faculty Development Leave ...... 58 Sabbatical Leave ...... 58 Family and Medical Leave ...... 60 Family Leave and Pregnancy ...... 60 Additional Requirements for Serious Health Condition ...... 60 Certification by Health Care Providers ...... 61 Return to Work Certification ...... 61 Coordination with Health Insurance ...... 61 Use of Accrued Paid Leave Time for Family/Medical Leave ...... 62 Return from Family/Medical Leave...... 62 Time Accrual ...... 62 Carryover ...... 63

Intermittent Leave ...... 63 Return from Pregnancy Leave ...... 63 Coordination with Family Leave ...... 64 Bereavement Leave ...... 65 Jury Duty ...... 65 Military Leave ...... 65 Leave of Absence Without Pay ...... 66 COMMITTEES ...... 66 Administrative Committees ...... 66 The Executive Council ...... 66 Strategic Planning Committee...... 67 Institutional Assessment Committee ...... 67 Financial Aid ...... 67 Tech Team ...... 67 Web Team ...... 67 Master Calendar Committee ...... 68 Safety Committee ...... 68 Emergency Management Committee ...... 68 Parking Appeals Committee ...... 68 Institutional Review Board (IRB) ...... 68 Institutional Biosafety Committee (IBC) ...... 68 Institutional Animal Care and Use Committee (IACUC) ...... 69 Program Review Committee ...... 69 WASC Executive Team ...... 69 Faculty Committees ...... 69 Faculty Senate Executive Committee ...... 69 Faculty Technology Advisory Committee ...... 69 Grievance Committee ...... 70 Library Committee ...... 70 Rank and Promotions Committee ...... 70 Research Committee ...... 70 Faculty Benefits and Retention Committee ...... 70 Shared Committees ...... 70 Admissions Committee ...... 70 Curriculum Committee...... 70 Student Promotions Committee ...... 71 Interprofessional Education Committee ...... 71 Ad hoc Committees ...... 71 APPENDIX A: FACULTY SENATE BY-LAWS ...... 72 APPENDIX B: RANK AND PROMOTION GUIDELINES ...... 76 APPENDIX C: CONFLICT OF INTEREST POLICY ...... 86 APPENDIX D: ACADEMIC INTEGRITY POLICY ...... 95 APPENDIX E: INTELLECTUAL PROPERTY ...... 118

MESSAGE FROM THE PRESIDENT

In the four decades that have passed since Dr. Bernard Lander founded Touro College, our institution has grown significantly and achieved remarkable success. When launched with its first class of 35 students, Touro was envisioned as a great experiment in higher education, blending the best of Jewish and secular scholarship in an atmosphere of personal attention and academic excellence. Our mandate was to respond in innovative ways to the educational needs of the growing Jewish communities of New York and elsewhere, and to provide accessible and quality academic opportunities to underserved populations. Today, Touro College - recognized as Touro University in California and Nevada – remains faithful to its original mission, educating over 18,000 students of diverse backgrounds, worldwide. We offer a wide range of undergraduate, graduate, and professional degree programs in a variety of disciplines – from Jewish studies to education to law and to the health sciences - including outstanding programs for students pursuing careers in medicine and the allied health professions.

As the second president in Touro’s history, I am deeply committed to Touro’s mission of providing academic excellence and personal attention for students seeking to maximize their personal and professional growth. In carrying out our goals, we continue to work with our students in a collective effort to help make the world a better place for all. Touro University California works towards these objectives by launching pioneering programs in medicine, allied health care, and education. These programs have helped to make Touro a national leader in health science education, as well as enabled Touro to address acute shortages of professionals in these rapidly-changing fields. Touro University California’s quality professional and graduate programs remain at the forefront of developments in health care education, demonstrating an enduring commitment to excellence.

Thank you for joining us in the pursuit of our mission. I wish you the greatest success in achieving your academic and professional aspirations.

Sincerely,

Alan Kadish, MD President

MESSAGE FROM THE CEO AND SENIOR PROVOST

Touro University Western Division

The strength and vitality that Touro University California enjoys today is due in no small part to the many important contributions made by each of its members. The University benefits from the dedication and professionalism that each of you brings to your work. Credit for our success is attributable to the accomplishments of every member of our team. We consider our faculty, administrative, and professional staff to be the University’s most valuable resources and have always maintained that the collaborative efforts of our people is the primary reason for TUC’s success.

As an institution founded on Judaic values, Touro University California takes special interest in the well-being of everyone in its community. As an employee, you are part of an institution which is proud of its heritage and the accomplishments that have made it a first-rate university. Touro University California, as an employer, recognizes the importance of providing a working environment that is conducive to carrying out the University’s mission. For employees, this means the administration of policies as well as benefit and compensation programs that are competitive, fair, and understandable. This handbook intends to communicate terms and conditions of employment that apply to each of us as we carry out our responsibilities.

Whether you have just joined us or have been employed at TUC for a while, we are confident that you will find our University a friendly and rewarding place to work. I look forward to a productive and successful, professional association. I hope you will find much satisfaction and personal fulfillment in knowing the contributions you make have a direct impact on the success of our University.

Sincerely,

Shelley Berkley CEO & Senior Provost Western Division

ORGANIZATION CHART TUC

HISTORY OF THE TOURO COLLEGE AND UNIVERSITY SYSTEM

The Touro College and University System (TCUS) is a Jewish-sponsored, not-for-profit, independent institution of higher and professional education. It was charterer in New York State in 1970 by Rabbi Bernard Lander, Ph.D., L.H.D and originally named Touro College. The institution derives its name from Judah and Isaac Touro, leaders of colonial America, who represented the ideals upon which the Touro System bases its mission.

The Touro family was inspired by the democratic ideals of George Washington who visited the Touro Synagogue in Newport, Rhode Island in 1790. Their generosity funded major university endowments, community health facilities, the first free library in North America, and pioneering settlements in Israel.

After Touro College was chartered in 1970, it admitted an entering class of 35 Liberal Arts and Sciences students in 1971. Since that time, Touro College demonstrated dynamic growth and is now known as the Touro College and University System (TCUS). With more than 19,000 students worldwide, the TCUS now operates five medical schools, 2 schools of pharmacy, a law school, and numerous baccalaureate and master’s programs.

HISTORY OF TOURO UNIVERSITY CALIFORNIA

Touro University California (TUC) opened in the fall of 1997 in downtown San Francisco with the first College of Osteopathic Medicine in the Touro System. The campus moved to Historic Mare Island in 1999 seeking space for expansion of academic programs. The 44 acre Mare Island property was the site of the first West Coast Naval Yard and first West Coast Naval Hospital which served the US Navy from 1854 to the late 1990s.

In the spring of 2003, TUC expanded to include a College of Health Sciences which provided a Master’s degree in Physician Assistant Studies and a Master’s degree in Public Health. In 2004, a College of Education opened and a College of Pharmacy followed in 2005. December 2010, the College of Education and College of Health Sciences merged into a single entity now known as the College of Education and Health Sciences. Within this College, are the Graduate School of Education (GSOE), a School of Health Sciences which includes a Joint Physician Assistant Studies/Master of Public Health Program (MSPAS/MPH), a Master of Public Health Program (MPH), and a School of Nursing (SON) which opened Fall 2014.

TUC is accredited by the Western Association of Schools and Colleges (WASC). All academic programs are accredited by their respective accrediting agencies as a mark of programmatic excellence.

VISION OF TOURO UNIVERSITY CALIFORNIA

TUC has the vision of Educating Caring Professionals To Serve, To Lead and To Teach

MISSION OF TOURO UNIVERSITY CALIFORNIA

The mission of TUC is to provide quality educational programs in the fields of health care and education in concert with the Judaic commitment to social justice, intellectual pursuit, and service to humanity.

MISSION STATEMENTS FOR COLLEGES AND PROGRAMS

College of Education and Health Sciences (CEHS) Graduate School of Education (GSOE)

The mission of the Graduate School of Education is to promote social justice by serving the Community and larger society through the preparation and continuous support of professional education to meet the needs of a constantly changing, challenging and diverse student population.

School of Health Sciences Joint MSPAS/MPH Program (MPAS/MPH)

Through the integration of the Physician Assistant (PA) and Public Health disciplines, the mission of the Joint MSPAS/MPH Program is to: ● train quality PAs to work with underserved populations, ● recruit applicants from these communities or individuals with a demonstrated interest in serving these communities, and ● increase access to care for underserved populations

School of Health Sciences Public Health Program (MPH)

The mission of the MPH program is to promote the health and wellbeing of local and global communities through education, service, and research with a focus on underserved populations.

School of Nursing (SON)

The mission of the School of Nursing is to promote social justice by serving the community and larger society through the preparation of professional nurses as transformational leaders to meet the needs of the complex health care environment with diverse populations. College of Osteopathic Medicine (COM)

The mission of Touro University Osteopathic Medicine Programs is to prepare students to become outstanding osteopathic physicians who uphold the values, philosophy and practice of osteopathic medicine and who are committed to primary care and the holistic approach to the patient. The program advances the profession and serves its students and society through innovative pre-doctoral and post-doctoral education, research, community service, and multidisciplinary and osteopathic clinical services. College of Pharmacy (COP)

The mission of the College of Pharmacy is: • To benefit society through its programs in pharmacy education, research, scholarship, and service. • To prepare our students to become competent, caring and ethical pharmacists dedicated to optimizing health care outcomes. • To develop students and faculty to be leaders and provide them with the tools to practice effectively and be role models in a wide variety of professional settings. • To promote life-long learning in a culture of collegiality, respect, and diversity. 10

ACCREDITATION

University Accreditation

Touro University California, and its branch campus Touro University Nevada in Henderson, Nevada, are fully accredited by the Western Association of Schools and Colleges (WASC). The WASC Commission reaffirmed Institutional Accreditation on July 13, 2010 after a three stage review which demonstrated core commitments to Institutional Capacity and Educational Effectiveness. The next accreditation review is scheduled for Spring 2018. Program Specific Accreditation

College of Osteopathic Medicine (COM)

In April 1995, the Bureau for Private and Postsecondary Education (BPPVE), authorized Touro University College of Osteopathic Medicine (TUCOM) to confer the Doctor of Osteopathic Medicine degree. After obtaining both pre-accreditation and provisional accreditation from the Bureau of Professional Education of the American Osteopathic Association (AOA), TUCOM was authorized to open its doors to students in San Francisco during the 1997-1998 academic year. Institutional accreditation for the new program was awarded by the Middle States Commission on Higher Education (MSCHE) which accredited the parent institution, Touro College. In April 2001, the AOA awarded full accreditation status to the College of Osteopathic Medicine (TUCOM – California). In 2008, the Commission on Osteopathic College Accreditation (COCA) of the AOA awarded a 7-year accreditation status to TUCOM, with the next onsite evaluation scheduled Spring 2015.

College of Education and Health Sciences (CEHS)

Joint Physician Assistant/Public Health Program (MSPAS/MPH) The Accreditation Review Commission on Education for Physician Assistants (ARC- PA) has granted Continued Accreditation to the Touro University California PA Program. Continued accreditation is an accreditation status granted when a currently accredited program is in compliance with the ARC-PA Standards. Continued Accreditation remains in effect until the program closes or withdraws from the accreditation process or until accreditation is withdrawn for failure to comply with the Standards. The approximate date for the next comprehensive review of the program by the ARC-PA is September 2018. Public Health Program (MPH) The Council on Education for Public Health (CEPH) is an independent agency recognized by the US Department of Education to accredit schools and programs of public health. The TUC public health program has two curricular tracks: the Community Health Track and the Global Health Track. The Master of Public Health (MPH) Program is fully accredited by the Council on Education for Public Health (CEPH) for a five-year term, effective October 30, 2009 extending to December 31, 2014. Graduate School of Education (GSOE) In 2000, the Graduate School of Education (GSOE) was granted the authority to offer Masters of Arts in Education (MA. Ed) and Masters of Education (M.Ed.) degrees by the MSCHE. In 2005, degree granting authority was transferred to WASC. Master of Arts degrees include: Teaching and Learning, Teaching Mathematics, Urban 11

Education, Educational Technology, Special Education, Autism Spectrum Disorders and Educational Leadership. The Master of Education program in Innovative Learning is taught online in a blended format.

In 2004, the GSOE was granted the authority to approve and authorize teacher credentials by the California Commission on Teacher Credentialing (CCTC). Special education teaching credentials were added in 2005, and administrative services credentials were added in 2008. All GSOE credential programs were reaccredited for the maximum period in 2010. A total of eight credential programs are offered by the GSOE including multiple subject, single subject, special education, and several combinations of regular and special education dual teaching credentials along with the administrative services credential. School of Nursing (SON) As a new program launched August 1, 2014, the SON will apply for accreditation through the Commission on Collegiate Nursing Education (CCNE) July 2015. The program anticipates a 3 to 5 year accreditation period commencing January 2016. College of Pharmacy (COP)

In December 2003, the College of Pharmacy was approved by the Bureau for Private Post- Secondary and Vocational Education (BPPVE), to offer a Doctor of Pharmacy degree (PharmD) and applied for pre-candidate status for accreditation with the Accreditation Council for Pharmacy Education (ACPE). ACPE granted pre-candidate status to the College of Pharmacy in June, 2005 and candidate status in June, 2006. Full accreditation was granted with the graduation of the first class in June 2009, and continues to be accredited through Spring 2015.

ORGANIZATION CHART TCUS

ADMINISTRATIVE STRUCTURE

TOURO COLLEGE AND UNIVERSITY SYSTEM Board of Trustees

As specified in the Charter granted by the Board of Regents of the University of the State of New York, the Board of Trustees exercises authority in the governance of the Touro College and University System (TCUS). See organizational chart on page 13. President

The President is the Chief Executive Officer for the entire Touro College and University System and reports to the Touro Board of Trustees. Chief Executive Officer and Senior Provost Western Division

The CEO/Senior Provost is the chief executive for Touro University California and Touro University Nevada, which comprise the Western Division. The position reports directly to the Touro President/CEO. Provost/Chief Operating Officer

The Provost/COO of Touro University California reports to the CEO/Senior Provost of the Western Division and is responsible for the day to day management of the university. The position has direct oversight of all academic programs, as well as service units that support the academic mission. Director of Fiscal Affairs and Accounting

The Director of Fiscal Affairs and Accounting (DFAA) is responsible for all financial activities of the university, including budget preparation and management, compliance with Touro financial policies and procedures, accounting, purchasing, and administering contracts/MOUs. The DFAA also assists with reviewing and verifying grant proposals and budgets. The position reports directly to the Provost/COO and interacts regularly with the VP for Finance of the Western Division and Touro System Controller and Budget Director. Associate Vice President of Administration

The Associate Vice President of Administration is responsible for all university Facilities and Grounds, Food Service, Parking and Public Safety. The position is involved in planning and implementation of all capital construction and renovation projects and is a liaison to the City of Vallejo Planning Office, Historical Society and Department of Emergency Services. The position reports to the Provost/COO. Associate Vice President for Institutional Advancement

The Associate Vice President for Institutional Advancement is responsible for all aspects of university advancement including cultivation of gifts from major donors and private foundations, annual fund campaigns, and relationships with alumni, the community and government officials. The position supports the activities of the University Advisory Board and works closely with the Western Division CEO/Senior Provost and the Directors of External Relations and Annual Fund/Alumni Relations which the position supervises. The position reports to the campus Provost/COO.

Dean of Student Services

The Dean of Student Services is responsible for the administrative leadership, coordination and oversight of student learning and support services. These services include enrollment management functions of Admissions, Financial Aid, Bursar and Registrar; as well as the student affairs functions of Counseling, Academic Support, Student Health, and Campus Activities. In addition, oversight is provided for student ADA accommodations, student conduct issues, and student crises. The position insures institutional compliance with the Clery Act, Title IX, and Campus SAVE Act regulations, and coordinates the role of Student Services in commencement planning. The Dean of Student Services will help coordinate the implementation of the new student information system. The position reports to the campus Provost/COO. Associate Dean of Students

The Associate Dean of Students provides oversight to the Student Health Center (SHC), Campus Life, Counseling Services, Housing Referrals, Master Calendar, Student Government Association, and Academic Support Services. The position works with the Deans and SHC to provide student health screening and immunization clinics. He/she also coordinates student medical insurance, student background checks, drug screening policies and procedures, and commencement ceremonies. The position reports to the Dean of Students. Director of Institutional Research and Assessment

The Director of Institutional Research and Assessment is responsible for collection, analysis, and reporting of data to support accreditation, institutional and programmatic assessment, strategic planning, program review, and institutional decision making. The position leads the university Assessment Committee, university Program Review Committee and serves as Vice Chair of the university Strategic Planning Committee. The position is responsible for compiling and submitting data reports to national and state agencies. The position reports to the Provost/COO. Director of External Relations

The Director of External Relations is responsible for cultivating and maintaining community and government relationships and serving as the campus point person for public relations activities. The position develops media contacts to generate positive press, television and radio coverage about the university. It serves as the primary media spokesman for the campus in times of emergencies, serves on the university Emergency Management Team, and works to standardize and publicize the university brand and image. The position works closely with the CEO/Senior Provost and reports to the Associate VP for Advancement. Director of Annual Fund and Alumni Relations

The Director of Annual Fund and Alumni Relations develops and manages the university’s annual fund campaign, serves as the university liaison to the Alumni Association Board, works with alumni to organize reunion events, and develops communication strategizes to keep alumni informed and engaged with the university. The position reports to the Associate VP for Advancement. Director of Information Technology

The Director of Information Technology is responsible for providing operational and strategic leadership for the University in the areas of personal computing, information systems, voice and electronic communication systems, classroom technologies and presentation systems. The Director 15 leads the Web Update Coordination Committee and the TUC Tech Team, which provides a communication forum for campus-wide technology issues and initiatives. The Director also serves on the campus Emergency Management Team and Infrastructure Space Committee. The Director of IT reports to the Provost/COO. Director of Human Resources

The Director of Human Resources works with other campus leaders to develop and implement effective faculty and staff recruitment and retention policies and procedures. The Director services as a management and employee resource on personnel issues requiring knowledge of California labor laws and Touro System policies and procedures. He/she provides oversight to the employee benefit program, payroll and time keeping process, maintenance of personnel and health files. The position serves as the Campus Title IX Officer serving both employees and students and reports to the Provost/COO. Director of the Library

The Director of the Library reports to the Provost/COO and is responsible for all library services and activities. The Director provides oversight for library collections, electronic resources, reference services, technical services, instructional programs, library operations, budget preparation and management, and program development to support the academic, clinical, research and community service mission of the University. Director of Research Development and Sponsored Programs

The Director of Research Development and Sponsored Programs advises the Provost/COO on policy and administrative initiatives needed to advance the university’s research enterprise. He/she leads strategic planning for campus research activity, oversees the use and assignment of campus research space, manages university intramural research programs, coordinates Research Appreciation Day, and participates in planning and development of new research facilities. The Director and support staff are housed organizationally in the Office of Sponsored Programs (OSP). Dean of the College of Education and Health Sciences (CEHS)

The CEHS Dean is the chief academic officer of the college and reports directly to the Provost/COO of Touro University California. The Dean is responsible for all academic, fiscal, personnel, assessment, planning, and accreditation matters affiliated with the college, as well as other assignments which serve the larger university and Touro System. Assistant Dean of the College of Education and Health Sciences (CEHS)

The Assistant Dean of the College of Education oversees all CEHS marketing and recruiting activities, interfaces with student services departments including the admissions office, financial aid, the registrar’s office and the bursar’s office, and provides oversight and guidance for all assessment activities within the college.

Director, Joint MSPAS/MPH Program (MSPAS/MPH)

The Joint Program Director is responsible for the overall planning, management, delivery and evaluation of the program to meet the program’s stated purpose, mission, and goals. The Director insures compliance with accreditation standards and works with the Dean to recruit and retain faculty and staff and develop and manage fiscal, physical, and personnel resources.

Director, Public Health Program (MPH)

The MPH Program Director is responsible for all aspects of the Public Health Program including curriculum development, program assessment, and student recruitment. The MPH Director insures compliance with accreditation standards and works with the Dean to recruit and retain faculty and staff and develop and manage fiscal, physical, and personnel resources.

Director, Graduate School of Education (GSOE)

The Director of the Graduate School of Education is responsible for the day to day operation of the GSOE, including oversight of credential programs, evaluation of faculty and staff, program evaluation, and budget management. The Director insures compliance with accreditation standards and serves as a key liaison with local and regional community organizations and schools. Dean of the College of Osteopathic Medicine (COM)

The Dean of the COM is the chief academic officer and reports directly to the Provost/COO of Touro University California. The Dean is responsible for all academic, fiscal, personnel, planning, and accreditation matters within the College, and works with university colleagues to advance the mission and goals of the larger university and Touro System.

Senior Associate Dean

The Senior Associate Dean reports to the Dean of the COM and substitutes for the Dean when not available. The Senior Associate Dean has direct oversight of all the external programs of the COM including developing core clinical rotation sites as well as graduate medical education.

Associate Dean for Academic Affairs

The Associate Dean for Academic Affairs reports to the Dean of the COM and is responsible for oversight of the four year COM curriculum to ensure a seamless transition from the preclinical to clinical program.

Associate Dean for PreClinical Education

The Associate Dean for Preclinical Education reports to the Dean of the COM and is responsible for the administrative coordination of the first two years of the osteopathic medical program. The position works closely with the Departments of Academic Affairs and Clinical Education to develop academic and administrative policies and procedures for departments, faculty and students.

Associate Dean for Clinical Education

The Associate Dean for Clinical Education reports to the Dean of the COM and is responsible for the direct management of student clinical rotations, sustaining clerkship sites, clinical clerkship curriculum and clinical preceptor development. The position negotiates and monitors all affiliation agreements with hospital sites. The Associate Dean for Clinical Education is also responsible for monitoring and credentialing all adjunct faculty.

Assistant Dean for Clinical Education

The Assistant Dean for Clinical Education reports to the Associate Dean for Clinical Education of the COM and is responsible for administrative oversight, program assessment and development of clinical rotations.

Associate Dean for Research

The Associate Dean for Research is responsible for research development, administration and external relations, which foster excellence in research that enhances the mission of the COM. The position is responsible for management of fiscal and physical resources supporting COM research activity as well as allocation of research space, safety in laboratory facilities, and ethical conduct of research activity in the College. The position serves as a liaison to connect the college with TUN and Touro-COM senior research managers.

Director of the Master of Science in Medical Health Sciences (MS-MHS-COM)

The Director of the Master of Science in Medical Health Sciences (MSMHS) reports to Dean of the COM and is responsible for the program’s infrastructure including, developing and arranging the program’s academic curriculum and research experiences in coordination with participating faculty and other college program activities. Dean of the College of Pharmacy

The Dean serves as Chief Academic Officer of the College of Pharmacy and reports to the Provost/COO. The Dean is responsible for all academic, fiscal, personnel, planning, assessment and accreditation matters within the College. He/she leads and supports educational, research, and service activities of the college and works with university colleagues to advance the mission and goals of the larger university and Touro System.

Associate Dean for Academic Affairs and Research

The Associate Dean for Academic Affairs and Research, acting under the direction of the Dean, is responsible for the development and management of the preclinical curriculum. The Associate Dean serves as an academic administrator and leader of the sciences faculty. He/she is responsible for hiring and evaluating faculty and defining faculty workloads. The Associate Dean also serves as a role model and mentor fostering the professional development of faculty, and guides the development of the basic science research program.

Associate Dean for Clinical Affairs

The Associate Dean of Clinical Affairs, acting under the direction of the Dean, is responsible for the development and management of all clinical training programs of the College of Pharmacy, including Introductory Pharmacy Practice Experiences and Advanced Pharmacy Practice Experiences. The Associate Dean serves as academic administrator for the pharmacy practice faculty with responsibilities to hire and evaluate faculty, establish workloads, and serve as a professional role model and mentor.

Assistant Dean for Administration

The Assistant Dean for Administration serves as an advisor to the Dean on financial and contractual matters in the College of Pharmacy. Assistant Dean responsibilities include preparation and monitoring of clinical affiliation agreements and contracts, contracts with 18

clinical partners related to residencies and fellowships, and contracts related to faculty research activities.

Assistant Dean for Student Services

The Assistant Dean for Student Services works with students, faculty, administration and staff to support curriculum, scholarship, academic performance and academic progress, remediation, probation and dismissal. The Assistant Dean oversees scholarship selection, Rho Chi membership, the Dean’s List, residency selection and other student honors.

Director of the Master of Science in Medical Health Sciences-COP (MSMHS- COP)

The Director of the Master of Science in Medical Health Sciences (MSMHS) reports to the Dean of the COP. He/she is responsible for the program’s infrastructure including, developing and arranging the program’s academic curriculum and research experiences in coordination with participating faculty and other college program activities.

THE FACULTY

The Touro University California (TUC) faculty shall consist of all individuals who have been appointed to the rank of instructor, assistant professor, associate professor or professor, and whose appointment process has been vetted through the appropriate faculty committee and approved by either the Dean of the respective College or, for library faculty, the Director of the Library and submitted to the Provost/COO and President for final approval. These faculty members assume the responsibility of developing, recommending and executing all approved policies of instruction. Regular faculty may be full-time (.5 FTE to 1.0 FTE) or part-time (.49 FTE or less). TUC is not a tenure granting institution.

Full-time (regular) faculty is defined as individuals who are employed by the University and are eligible for benefits. They hold a 12-month appointment, and have faculty rank. Rank assignment will be at the level of instructor, assistant professor, associate professor or professor.

Part-time (regular) faculty are defined as individuals who have appropriate terminal degrees and substantial teaching responsibilities (such as acting as Course Coordinator) but who are not full-time faculty as defined above. Rank assignment will be at the level of instructor, assistant professor, associate professor, or professor.

Non-regular faculty are non-salaried and do not have the rights and privileges of regular faculty. Non- regular faculty includes Adjunct Clinical, Adjunct Basic Science, Research, and Emeritus faculty, as well as non-salaried instructors. Academic Department Chairpersons

An Academic Department Chairperson is the immediate supervisor and administrative leader of the faculty in a department. The Chairperson derives responsibility and authority as delegated by the Provost/COO, through the Dean, and the applicable Associate Dean. Through his/her authority over the Department, the Chairperson is responsible for the day to day operation of the Department and the long-term development of the Department. The Chairperson is responsible for the judicious use of all resources allocated to the Department. The Chairperson has authority over the expenditure of the Department budget, distribution of Departmental space and use of Departmental capital equipment.

As supervisor and academic and administrative leader of the Department, the Chairperson works closely with the applicable Associate Deans and Dean. By this mechanism, the Chairperson is responsible for:

● Reporting to the applicable Associate Dean or Dean the academic progress of the Department ● Evaluating the needs of the Department and reporting those to the Dean through the applicable Associate Dean ● Assuring that programs within the Department are commensurate with the overall goals of the institution. ● In the development and implementation of academic programs within the institution the Chairperson works closely with the Chairpersons of other academic departments.

THE TOURO UNIVERSITY CALIFORNIA FACULTY SENATE

The representative assembly of faculty at TUC shall be known as the Faculty Senate. Membership qualifications, rights and duties of the TUC Faculty Senate are defined in the By-Laws of the Faculty Senate (see Appendix A).

FACULTY APPOINTMENT, PROMOTION, AND TENURE

Faculty Appointments

Faculty Recruitment

Departmental chairpersons will include with their annual report an assessment of faculty needs. Requests must include a description of the necessity for new faculty appointments, the academic requirements and responsibilities that this individual must meet, and the level of rank at which the individual should be recruited.

For the Library, the Library Director will provide the Provost/COO with an assessment of library faculty needs and make requests for new library faculty. For faculty searches, the Library Director will submit names of successful candidate(s) to the Provost/COO.

Upon receipt of written approval for recruitment of a full-time regular faculty member, the applicable Associate Dean or Library Director shall direct the Departmental chairperson to appoint a Search Committee. The Human Resources Department shall be responsible for the placing of advertisements in the appropriate professional journals. The Department Chairperson will be responsible for assembling candidate files. The top candidates will be brought to the campus for interviews and to deliver a professional lecture to the university. The Departmental Search Committee will recommend up to three candidates to the Departmental Chairperson. The Departmental Chairperson shall submit the name(s) of successful candidates through the appropriate channels, and through the Dean of the respective College to the Provost/COO, who makes the final recommendation to the President.

The recommendation for recruitment of part-time faculty members must be included in the annual assessment of faculty needs but does not require a formal search process.

Initial Appointment of Rank

Upon approval by the Dean of the College and verification of credentials by Human Resources, the candidate’s file shall be submitted to the Rank and Promotion Committee for assignment of initial rank. It is the charge of the Rank and Promotion Committee to evaluate all salaried candidates for academic appointment of faculty rank in any of the regular professorial tracks according to the criteria set forth in the TUC Rank and Promotion (RP) Guidelines (see Appendix B). Adjunct faculty are ranked by the appropriate Dean and recommendation from the Rank and Promotion committee is not required. The recommendation of the Rank and Promotion Committee shall be forwarded by the Chair of the Rank and Promotion Committee within five working days from the Committee’s decision, to the appropriate Departmental Chairpersons, Directors and Deans. The Dean of the respective College shall submit the recommendation to the Provost/COO. For the Library, the Director of the Library will submit the recommendation to the Provost/COO.

Faculty Appointment Letters

After receipt of the rank recommended by the Rank and Promotion, the College Dean, or Library Director, shall provide a letter of appointment to the faculty member. Appointment letters must be signed by the candidate, Dean or Library Director, Provost/COO and Touro President.

All faculty appointment letters will contain the following information:

● Identification of the Department to which the primary appointment is made ● Initial rank and salary level ● The duration of the appointment period ● Notification that the appointment is subject to the rules and provisions of the faculty handbook and faculty by-laws

A job description will be provided with the appointment letter.

Initial appointment letters will generally be awarded for one (1) year with notification of non- renewal three (3) months prior to the final date of the initial appointment period unless a position is terminated for cause. Under some conditions, negotiations will be considered for longer initial term appointments.

Appointment Letter Renewal

The decision regarding reappointment is based on an evaluation of faculty performance and assessment of the needs of the institution. Appointment renewals must be approved by the appropriate Dean/Library Director and Provost/COO.

Instructors may be awarded renewal appointments for up to one year.

Assistant Professors may be awarded renewal appointments of up to two (2) years duration.

Faculty members at the level of Associate Professor or Professor may be awarded renewal appointments of up to five (5) years duration but three (3) years is customary.

Notification of Non-Renewal

Faculty members in good standing will be notified, by the dates noted below, of non-renewal of their appointments. The time frames identified below do not apply if a position is terminated for cause.

Instructors: three (3) months prior to the final date of the appointment.

Assistant Professors: six (6) months prior to the final date of the appointment.

Associate and Full Professors: one (1) year prior to the final date of the appointment. Faculty Tracks

All initial faculty ranks and promotions will follow Rank and Promotion (RP) Guidelines (see Appendix B).

Academic Track

Regular Academic Faculty Regular Academic Faculty members are appointed full-time or part-time in the capacities of teaching, scholarly activity and/or research and institutional service. Non- clinician employees for whom regular faculty rank is appropriate are assigned to the Academic Track even if their involvement in services such as curricular design and evaluation does not match the standard capacities of teaching, scholarship and service. Appointments are at the level of Assistant Professor, Associate Professor and Professor. Adjunct Academic Faculty Adjunct Academic Faculty members are appointed to the rank of adjunct (non-regular) faculty. Members are appointed to teaching positions if they provide instructional service to TUC classes on an irregular basis. They are generally non-salaried. Adjunct faculty in the academic track includes those individuals who provide special topic lectures or seminars, for example, but who do not staff a course for its duration. Adjunct professors are ranked at the Adjunct Assistant Professor, Adjunct Associate Professor and Adjunct Professor levels. Ranking in an Adjunct appointment is not transferable to a Regular Academic Faculty track.

Clinical Track

Regular Clinical Faculty Regular clinical faculty members are employed full-time or part-time in the capacities of teaching, university service, scholarly activity and/or clinical patient care responsibilities. Assignment of rank is at the level of Assistant Professor, Associate Professor or Professor.

Adjunct Clinical Faculty Adjunct (non-regular) clinical faculty members are appointed to teaching positions if they provide instructional service to TUC classes on an irregular basis at affiliated hospitals, clinics, and other training institutions, based on academic need, and are generally non-salaried. They function in clinical roles at off campus (non-University operated) sites and may also become involved in on campus instruction. Assignment of rank in this track is at the Adjunct Assistant Clinical Professor, Adjunct Associate Clinical Professor or Adjunct Clinical Professor level. Ranking in an Adjunct appointment is not transferable to a Regular Clinical Faculty track. Continued appointment is reassessed on a regular basis.

Library Track

Regular Library Faculty Library Faculty engage in library and information management, foster information literacy, teach the skills necessary to navigate the expanding information environment, create opportunities for resource sharing, and make contributions to the University and to the profession through service. Library Faculty members hold regular faculty rank and are appointed to the rank of Assistant Professor, Associate Professor or Professor.

Research Track

Research Faculty Research (non-regular) faculty members are employed in the capacity of Research Track Scientists. Assignment of rank is at the level of Postdoctoral Fellow, Research Assistant Professor, Research Associate Professor, or Research Professor. Holders of these positions have a primary responsibility to do research. This position is usually dependent upon outside funding. Research faculty may teach in lecture and/or laboratory settings, and in both basic and clinical sciences. Research faculty at the level of Research Assistant Professor and above may be Principal Investigators on intramural and extramural research grants.

Instructors

Instructors may teach students in both lecture and laboratory settings, and in both basic and clinical sciences. Instructors are not required to have previous teaching experience at the university level. Instructors are not required to conduct research or to practice in clinical settings but are expected to participate in university service if they are employed full-time. Instructors may be regular or non-regular, salaried or non-salaried. Instructors are eligible for promotion by application for available regular faculty positions.

Emeritus Faculty

The rank of Emeritus Professor is appointed without salary to retired individuals who have served TUC at the rank of Professor for more than five years and have demonstrated exemplary accomplishments in the capacities of education, scholarship and service. An Emeritus Professor is appointed by the Deans and the Provost/COO.

Annual Evaluation of Faculty

All regular faculty will be reviewed by their Departmental Chairperson on an annual basis. Faculty will submit documentation of their activity in teaching/research/scholarly activity/clinical practice, and service to the Chair, who will then meet with the faculty member to review the latter’s performance and completion of annual goals. Together the faculty member and chairperson will identify goals for the following year and academic assignments. Following these discussions, the Chair shall submit a written evaluation to the faculty member. As acknowledgment of receipt of the evaluation, both the Chair and the faculty member will sign and date it. A copy of the annual evaluation is to be submitted with requests for contract renewal and will be placed in the personnel file by the Director of Human Resources. Promotion of Faculty

The Rank and Promotions (RP) Committee is charged with developing and reviewing guidelines for initial faculty rank and faculty promotion. The guidelines can be found in Appendix B. Guidelines will be reviewed biennially.

The members of the RP Committee shall be nominated by vote of the Faculty Senate with concurrence of the college Deans. The composition of the committee shall be reflective of the faculty. The Chair shall be nominated by vote of the Faculty Senate from among the approved committee members and approved by college Deans. Members shall be appointed to terms of three years and the terms staggered to ensure continuity of expertise. The Committee will be required to meet at least once annually and as needed.

Procedure for Promotion

Candidates requesting promotion are responsible for submitting the documentation detailed in the RP Guidelines to their Department Chair (Director for Librarians) by December 31. Department Chairs are responsible for reviewing the application, determining suitability in accordance with the guidelines in Appendix B, and providing a letter of nomination and support or non-support to the RP Committee by January 31. The RP Committee will review the applications of all properly nominated candidates, and then recommend an action to the applicable Dean by March 31. The Dean’s recommendation, based upon an independent review, will be submitted to the Provost/COO. The Provost/COO then conducts an independent review of the candidate’s file and makes a final decision as to the promotion recommendation. Department Chairs seeking promotion will follow the same procedure, except their documentation will be provided to the applicable Associate Dean.

SEPARATION

Resignation

This is an action wherein a faculty member voluntarily terminates their appointment with TUC. All full and part-time faculty members are required to provide notice of their intent to terminate employment to their Departmental Chair and to the Dean (Director for Librarians) of their college six months prior to the end of their appointment. A waiver of this timely notice period may be granted upon request in cases of hardship or where substantial professional advancement or opportunity would be denied.

Retirement

Retirement is a voluntary separation by a faculty member from all duties and responsibilities to the University. A retiring faculty member must provide notice to their Department Chair and Dean (Director for Librarians) of their College six months prior to the end of the academic year. Dismissal

Dismissal for cause shall be:

1. Immoral character, sexual harassment or other conduct unbecoming a teacher. 2. Incompetence or neglect of duty; 3. A major act of insubordination; 4. Failure to perform administrative or academic duties or breach of terms of an appointment. 5. Failure to teach in a manner consistent with the University’s standards.

Dismissal without Warning or Suspension

In the event of an egregious violation of the Faculty Code of Professional Ethics, a faculty member may be suspended or dismissed without warning.

Dismissal Process

In the event that the Provost/COO dismisses a faculty member for cause following consultation with the CEO/Senior Provost, Director of Human Resources, and Touro Legal Counsel, the following procedures will be followed. The faculty member shall be informed in writing of any charge of sufficient magnitude to constitute dismissal for cause. The faculty member dismissed for cause shall be entitled to a hearing before the Grievance Committee, if requested in writing within ten (10) working days of notification of dismissal. Details regarding the Grievance and Appeal Process are provided later in this document. Termination without Prejudice

A faculty member’s appointment may be terminated without prejudice prior to the stipulated end of his/her appointment period under special circumstances. The Dean of the College, upon recommendation by the faculty member’s Departmental Chair or Associate Dean, shall make the decision to terminate without prejudice. That decision must be approved by the Provost/COO of Touro University California. Reasons for consideration of termination without prejudice include, but are not limited to:

● Prolonged mental or physical illness that precludes the ability to perform the faculty member’s job as set forward in their current appointment ● Program changes that eliminate an academic or clinical program or department ● Financial exigency

Faculty members whose positions are terminated without prejudice will receive written notification of termination of their appointment. Notification will include the rationale by which the decision to terminate was made.

Exit Interview

Faculty who are separating from the university because of resignation, retirement, or a terminated position are asked to participate in an exit interview in Human Resources. At this time all benefits due the employee will be reviewed.

FACULTY EMPLOYMENT POLICIES AND PRACTICES

Integration Clause and Revision Procedure

This Faculty Handbook contains the employment policies and practices of Touro University California in effect at the time of publication. Nothing contained herein shall modify or diminish the University’s rights and prerogatives regarding faculty personnel decisions, including terminations, suspensions, or lay-offs, as provided in this Handbook. Should there be a conflict between this Handbook and current state or federal law, the University will be governed by the existing law. All previously issued handbooks and any inconsistent policy statements or memoranda are superseded.

This Handbook, in its entirety, will be reviewed annually in the spring by the Provost/COO or his/her designee. In addition, revision to this handbook may be proposed by any member or group of the University’s faculty, Faculty Senate, or administration. Suggestions for revision will be presented in writing to the Provost/COO. Proposed Handbook changes will be presented to the Faculty Senate for comment and require approval by the Provost/COO and CEO/Senior Provost who are delegated this authority by the President of the Touro College and University System.

The effective date of the Handbook with approved changes is the date of publication. Equal Employment Opportunity Statement (EEO).

Touro University California is an Equal Opportunity Employer and does not discriminate against employees or applicants for employment on the basis of race, color, creed, gender, religion, marital status, age, national origin or ancestry, physical or mental disability, medical condition including genetic characteristics, sexual orientation, or any other consideration made unlawful by federal, state, or local laws. Our policy also proscribes discrimination based upon a perception that anyone has any of those characteristics, or is associated with a person who has or is perceived as having any of those characteristics. All such discrimination is unlawful. The University is committed to a diverse faculty within its overall Mission Statement.

The principles of affirmative action have guided the development of the University’s employment policy. Two goals stress this commitment:

● To recognize the dignity of each human being; ● To provide fair opportunities for all.

This policy is adopted by Touro University California pursuant to its commitment to the principles of equal opportunity and specifically pledges the University to a policy of non-discrimination against any person in employment or in any of its programs.

An employee who believes that he or she has been subjected to any form of unlawful discrimination should submit a written complaint to his/her supervisor or to the Human Resources Department. The complaint should be specific and should include the names of the individuals involved and the names of 26 any witnesses. Touro University California will immediately undertake an effective, thorough, and objective investigation and attempt to resolve the situation. Employment Process

All applicants considered for employment are carefully screened. References are contacted and a background check is conducted to verify education, previous employment, licensure/credentials and DMV records. The investigation also includes criminal history to insure the safety of employees and students.

In accordance with the requirements of the Fair Credit Reporting Act and applicable state laws, job applicants shall be informed in writing and sign their consent to authorize the University to conduct a background check. In the event a job applicant is denied employment because of findings in their background check, the applicant shall have right to obtain a copy of the investigation report and the name, address, and telephone number of the company that conducted the investigation.

Touro University California relies upon the accuracy of information contained in the employment application, as well as the accuracy of other data presented throughout the hiring process and employment. Any misrepresentations, falsifications or material omissions in any of this information or data may result in Touro’s exclusion of the individual from further consideration for employment or, if the person has been hired, termination of employment. The Americans with Disabilities Act (ADA) Title I

The ADA is a civil rights law that provides protection to people with disabilities and furthers their goal of more fully participating in American society. It was signed and enacted July 26, 1990.

Touro University California does not discriminate against a qualified individual because of disability in regard to: job application procedures, hiring, advancement or discharge of employees, employee compensation, job training, and/or other terms, conditions and privileges of employment.

The assignment of a disabled person to a position shall be based on whether or not the person can perform the essential functions of the employment position in a reasonable manner. Proper placement means using the “whole person” concept, assessing the candidate on the basis of his/her total capacity, experience, training, aptitudes, skills and physical qualifications. All these factors will be considered in order to place the disabled person in a job where the impairment does not interfere with job performance.

It is the policy of Touro University California to offer employment opportunities to qualified disabled persons for jobs within their capabilities to perform in a safe and reasonable manner, provided that the disability is known or should have been known to Touro University California. Reasonable accommodations in the work environment are made when required for successful placement. Disability Accommodation

Touro University California provides equal employment opportunities to, and does not discriminate against, applicants or employees with physical or mental disabilities with respect to: job application procedures, hiring, advancement, transfers, compensation, job training, discharge, and other terms, conditions and privileges of employment.

If an applicant or employee has a known qualifying disability which may result in one or more job- related limitations, the applicant or employee is encouraged to discuss the limitations with his or her 27 hiring manager, supervisor or Human Resources representative. The University will engage in a good- faith interactive process with the applicant or employee to determine whether he or she can perform the essential functions of the position, with or without reasonable accommodation. The University will provide reasonable accommodation for known disabilities, unless (1) to do so would impose undue hardship on the University, or (2) it is determined that the applicant or employee could not perform his or her essential job duties in a manner that would not endanger his or her health or safety, or the health or safety of others, even with reasonable accommodation. Touro University will request that the treating medical provider verify any and all limitations , and verify that with accommodation, the employee is medically cleared to perform essential job duties.

Examples of potential reasonable accommodations include, but are not limited to, making existing facilities used by employees readily accessible to disabled individuals, job restructuring, part-time or modified work schedules, reassignment to a vacant position, acquisition or modification of equipment or devices, adjustment or modification of equipment, devices, examinations, training materials, or policies, and the provision of qualified readers or interpreters. If more than one reasonable accommodation is available, the University will determine in its discretion which accommodation will be granted. Pregnancy and Lactation Accommodation

Besides pregnancy disability leave, discussed in the leave section of this handbook, Touro University California will make every effort to reasonably accommodate the limitations of pregnant employees who continue during pregnancy. Pregnant employees are strongly encouraged to consult their physician to determine what, if any, workplace accommodations may be necessary during pregnancy and to promptly notify the University of the need for such accommodation. Touro University California is committed to providing pregnant employees a work environment free from discrimination based on pregnancy status.

In addition, new-mother employees who are lactating are permitted breaks as needed to express breast milk during lactation and will be provided with private facilities to do so. Whenever possible, breast milk expression should take place during an employee’s normally scheduled break or meal periods. Personnel Files

All employee personnel, medical, workers’ compensation, and payroll records will be kept private, unless disclosure is authorized in writing by the employee or required by law. Although employee privacy is an uppermost concern for the University, employee information may be given to persons outside of the University at certain times. These include: • Responses to subpoenas, court orders, or orders of administrative Government agencies • In a lawsuit in which you and/or the University are parties • To administer employee benefit plans • To a healthcare provider • Personnel files of all University employees shall be maintained under secure conditions in the Human Resources Department and shall contain all official papers concerning appointment, recommendations, promotions, evaluations, evidence of research and other matters concerning the professional, educational, and employment experiences of the employee. These files are open for inspection only to the individual employee and authorized administrative personnel. In addition, the University will provide an employee or a former employee with copies of his or her payroll records within 21 calendar days of his or her written request. The contents of an employee’s personnel file, except for letters of reference and certain other limited kinds of information, are open for his or her inspection,

28 upon request at reasonable times. An employee may request and receive from the University a copy of documents in his or her file. An employee may inspect only his or her own personnel file. The employee is required to notify the Human Resources Department of changes in the home address, phone number, marital status, dependents, insurance plan beneficiaries, etc. The file should always be current with this information. Privacy of Employee Personal and Medical Information

The Health Insurance Portability and Accountability Act (HIPAA), a federal law, is designed to protect the privacy of an individual’s medical information. Touro University California complies with HIPAA. Only authorized personnel may have access to private employee medical information and records. Authorized employees must make every effort to keep such information private and confidential, and inaccessible to others.

Non-authorized employees who become aware of private medical information concerning a coworker, contractor, or other persons who does business with the University must not reveal that information to any other person, except to medical professionals or other first responders, as may be necessary in an emergency. Gossiping about or otherwise disclosing the private medical information of others, except in an emergency, may result in discipline, up to and including termination of employment.

The University will not, and no employee may, disclose private or personal information about any employee of the University to third parties without prior authorization from Human Resources. The University will disclose employee medical information only in limited circumstances. These circumstances are: • In response to a subpoena or court order • With prior authorization from the employee • In a workers’ compensation hearing • If required by any other law Names and Addresses

The company is required by law to keep current all employee names and addresses. Employees are responsible for notifying the University in the event of a name or address change by filling out a new IRS Form W-4. Employee References

All inquiries for employment references (either personal or credit) made by outside organizations on behalf of a current or former employee must be directed to Human Resources. The Human Resources department will only confirm job titles and dates of employment. Credit and compensation information will not be released without the written approval of the employee.

Managers shall not disclose any information regarding previous or current employees. Requests for salary information for credit purposes (mortgage loan application, credit cards, etc.) must be made by creditors in writing, with a signed release from the employee, and sent to the Human Resources Department.

Academic Freedom

Touro University California is committed to the pursuit of truth and to its transmission. The integrity of the University as an institution of higher learning requires proper autonomy and freedom. This freedom is the freedom to examine data, to question assumptions, to be guided by evidence, to be a learner, and to be a scholar. Such freedom implies that any faculty member whose teaching is questioned should be subject to the judgment of one’s peers only in accordance with the accepted rules of academic due process. It also implies the active, defined and recognized role of the faculty in those policy-making decisions, which affect the educational program.

The obligation of the faculty is to distinguish in their teaching between personal and partisan opinion and convictions grounded in sources and methods appropriate to their respective disciplines. The faculty member should, to the best of his/her ability, present materials in a manner that respects the cultures and sensitivities of the students. The obligation of the student is to be a responsible participant in the academic activities of Touro University California.

The University further endorses the 1940 Statement of Principles of Academic Freedom of the American Association of University Professors. Each faculty member is expected to uphold the goals, aims and mission of Touro University California. Travel Policy

Introduction

This document establishes the basis for Touro System reimbursement for out of town travel and entertainment expenses for employees, students and consultants. Out of town travel is defined as travel requiring an overnight stay. The purpose of the Travel and Entertainment (T&E) policy is to provide the university community with broad guidelines to ensure only reasonable and necessary expenditures for authorized business travel and entertainment are incurred, documented, and paid for by the College in conformity with applicable laws, and general business practice. In some cases, departments may impose more restrictive guidelines than those set forth in this policy.

This policy and all its documentation requirements apply to all employees, students and consultants regardless of the particular source of funding.

The Internal Revenue Service imposes the following requirements on reimbursement of business expenses: 1) there must be a business reason for the expenses; 2) the individual must substantiate the expenses; and 3) the individual must return to the employer or organization any amount advanced in excess of the substantiated expenses.

All travel outside of the immediate geographic area of an employee's primary job location requires prior approval. The Travel and Conference Requisition Form (T & C Requisition Form) is used for this purpose (Appendix A). It must be submitted to the Purchasing Department prior to undertaking such travel along with any supporting documentation for conference/seminar and presentations. For travel and entertainment expenses to be paid or reimbursed, they must be properly accounted for, with the business purpose stated and proper supervisory approvals obtained before and after the trip.

The Travel & Entertainment Reimbursement Form (T & E Reimbursement Form) is used to obtain reimbursement. (A copy is contained in Appendix B). The latest version of all forms will be found on the Touro Portal Page under Staff Administrative Departments within the purchasing community. Approved requests for payments, reimbursements, and settlement of travel advances must be submitted to the Accounts Payable department within a reasonable period of time, normally within 30 days of the completion of the travel. Expense reimbursement requests received more than 90 days of the

30 occurrences will not be paid. (A copy of the approved Travel and Conference Requisition Form must be attached to the pertinent expense report(s)).

Exceptions to this policy (not otherwise covered by laws, grants, or contractual commitments) may be made on an individual basis, but require the traveler to obtain written pre-approval from the Senior Vice President of Operations or the Senior Vice President of Finance.

Responsibilities of Travelers

Travel and entertainment expenses will be paid or reimbursed by the College if they are reasonable, appropriately documented, properly authorized, and within the standards of this policy. A specific list of reasonable and unreasonable expenditures is contained in Appendix C.

Student travelers will need to complete an emergency information contact form to be included with the travel requisition form.

Responsibilities of Supervisors

The Supervisor of the individual who is traveling is responsible to review and approve all travel and entertainment expenses and to ensure sufficient funds are available in the relevant budget lines. The Supervisor may delegate authority to review and approve expenditures (except for their own - see note below) providing such delegation is communicated in writing to Accounts Payable and Purchasing Departments. It is the responsibility of the approving party to be familiar with the need for the travel prior to approving it.

Note: Travelers may not authorize reimbursement of their own travel and entertainment expenses. Also, employees may not approve T&E expenses for an individual to whom they report.

Responsibilities of the Purchasing Department

• Reviewing and approving all requests for trips prior to their being undertaken. • Verifying that business units and accounts are correct and that sufficient funding is available prior to travel. i. Returning forms to employees when items appear unreasonable, incomplete, personal in nature, or not in accordance with government regulations or College policies.

Note: The above does not relieve the traveler or supervisor from their obligations under this policy.

Responsibilities of the Controller/Accounts Payable

ii. Reviewing reimbursement forms and attachments for completeness, accuracy, reasonableness, and compliance with government regulations and College policies. iii. Maintaining auditable records of travel expenses. iv. Monitoring to ensure that advances are cleared in a timely manner. v. Verifying required approval signatures. vi. Ensuring proper tax treatment of taxable income items and compliance with IRS regulations.

Travel & Expense Reimbursement Form (Out of town travel)

Requests for payments, reimbursements and settlement of travel advances should be submitted on a completed, signed and approved Travel & Expense Reimbursement Form, accompanied by the required receipts, within a reasonable period of time, normally within 30 days of the completion of the travel, 31 but not to exceed 90 days. Traveler must submit original receipts (copies will not be accepted) and organized on a daily basis and attached an 8 ¥2 x 11 page. Receipts for items less than $20 are not required. The reimbursement form must contain all pertinent information: travel dates, purpose, destinations, business unit and object accounts, and appropriate authorization signatures. Travelers must sign the forms to certify to the best of their knowledge that the information contained on the Travel and Expense Reimbursement Form is accurate and that all claimed expenses were allowable and incurred in the conduct of official College business.

If the traveler's signature cannot be obtained due to extraordinary circumstances, the form may be processed with the departmental authorizing signature, provided that an adequate explanation is attached.

Expenses incurred in foreign currency must be converted to U.S. dollars at the exchange rate during the time of travel. http://fx.sauder.ubc.ca/data.html or a similar website should be used to determine the appropriate daily exchange rate. If expenses in foreign currency are paid by credit/charge card, the exchange rate used on the credit card is to be used for the conversion.

Please organize the expenditures by day.

Travel Agencies/Online Booking Tool

The Touro System has an official travel agency/online booking tool that is available to employees only. To use this tool you must have the information listed below along with your home business unit and account number. To get started click on the link below and set up your user profile. A detailed explanation of the new service is enclosed in appendix E. For your convenience we have preloaded the Touro account with a charge card to pay for your airfare and hold you hotel and car rental. The hotel and car rental companies may still require you to present your personal card at the time of check in. This tool will eliminate the use of your personal credit card at the time of booking. If you prefer to use your personal credit card you can still do that using this system. You will still need to comply with all policies prior to making your reservation. At the end of your booking you will be asked to provide your approved purchase order number for this trip. This service will cost $8.00 per booking. If you need airfare, hotel and car rental you should have all the necessary information at the time of booking since each transaction will cost $8.00. The $8.00 fee will be deducted from the amount you request for travel.

Link: http://wcp.getthere.com/marathoncorporate

Site ID: touro_college Password Key: touronew

Air Travel

The College will only reimburse coach fare tickets, unless prior approval to purchase a more expensive tickets was received from the Senior Vice President of Operations, the Senior Vice President Finance or the President. All efforts should be made to obtain the lowest nonstop coach fare available. If you choose to upgrade your seat it will be at your expense. When attending a conference or meeting, employees should check the group airfare rate negotiated by the sponsor before booking your trip. Often, these group rates are quite a bit lower than fares that can be obtained directly from the airlines.

For electronic tickets, please submit the web page receipt or confirmation letter that is mailed to the employee. (This letter lists itinerary and amount charged to credit card). In addition, please attach the seat receipt to the expense report to confirm the flight was taken.

The employee may retain frequent flier miles; however, an employee should always travel on the least expensive airline, not the airline with which they have a frequent flier account. If an employee uses frequent flier miles, personal credit vouchers, etc., to pay for business travel, they will not reimbursed.

Baggage fees: The College will reimburse a maximum of 1 baggage check-in fee per flight, if a free bag is not provided by the airlines. If you are traveling for recruitment purposes and you are taking recruitment materials along you may be eligible for 1 additional baggage check in fee per flight.

Saturday night stay: When the savings generated by traveling and staying over a Saturday night exceed the cost of lodging and meals for a pre-or post-business period, the College encourages the employee to make the Saturday night stay. Entertainment and other personal expenses (including health club fees) incurred by the employee during this period, or at any other time will not be covered by the Touro System.

Ticket exchange fees: Touro will reimburse a change ticket fee only when there is a compelling business reason for the change or there is an event beyond the traveler's control. Taking an earlier flight on the same day will generally not be considered a valid business reason.

Train Travel

The College will only reimburse coach fare. (The additional cost for the Acela train or business class seats will not be reimbursed)

Car Rental

The following should be considered before renting a car:

vii. Availability of hotel shuttle services and taxi cabs; viii. Airport transfers (included at some hotels); ix. Proximity of hotel to destination; x. Number of travelers (car sharing); xi. Length of stay; and xii. No-cost upgrades.

Justification for any car rental must be approved in advance on the Travel and Conference Requisition Form. The approved travel class is Intermediate size or below. Travelers will not be reimbursed for specialty rental vehicles (e.g., luxury, SUV, or convertibles). Unless a prepaid gas option is used, rental cars should be returned with a full tank of gas to avoid costly refueling charges and surcharges.

It is important to inspect any rented vehicle before driving it. Make sure any dents, scratches or other damage to the vehicle are noted on the rental form.

Travelers must comply with all applicable local, state, federal, or international laws and regulations pertaining to the operation of a motor vehicle. Tickets and resulting fines are the responsibility of the employee and will not be reimbursed by Touro.

If you rent a vehicle while working on behalf of Touro, you should rent the vehicle in the name of the university and your own name. This means that you should sign both your name and "Touro University California" on the rental agreement. The university's auto policy will then respond as if the rented vehicle is an "owned" vehicle, so you should consider whether it is necessary to accept liability and collision insurance, unless your department has specifically decided to purchase the collision waiver in the U.S. or Canada OR you are renting outside the U.S and Canada. Never rent a vehicle valued in 33 excess of $30,000. Please make sure that you retain a copy of the rental agreement. That will be provided to the insurance company in case of an accident.

Any employee involved in an automobile accident while using a rental vehicle on College business must contact the Controller's Office as soon as reasonably possible.

Car Rental Insurance

Collision Damage Waiver Insurance (Rental Car):In the U.S. and Canada, travelers should consider purchasing the Collision Damage Waiver (CDW) or Liability Damage Waiver (LDW) insurance offered by car rental agencies because the College's insurance carries a $500 deductible. All basic insurance, including collision damage MUST be purchased on all rentals in foreign countries other than Canada.

Personal Accident Insurance (PAI): The College will not reimburse travelers for PAl or other liability insurance offered by domestic rental car agencies, because the College provides coverage.

Other Transportation

Public transportation in metropolitan areas should be used whenever possible to realize greater savings and convenience (e.g., New York, Boston, Washington, Chicago, etc.) rather than renting a car. If public transport is not available, taxis are generally less expensive for local travel than renting a car and paying for parking.

Reasonable expenditures for local ground transportation to and from airports, railroad stations, hotels, meeting places, and business appointments are payable or reimbursable by the College. Parking fees and tolls are reimbursable. Commuting costs are not reimbursable.

Airport Parking

When traveling if you are using your personal vehicles and taking advantage of long term parking, we now have a discount parking club corporate discount at The Parking Spot. This discount can be used for both corporate and personal travel. The Parking Spot is available at JFK, La Guardia and Newark Airports. You must preregister in order to obtain your discount card. Using this card will give you 20% off of long term parking fees. Below is a link to the registration page: https://www.theparkingspot.com/promotions/comoratehome.aspx?CCode=Tour4032

Use of Personal Vehicle

If a personal vehicle is used; the traveler is eligible for mileage reimbursement which recognizes the cost of gas, oil, normal wear and tear, and insurance. The College reimburses the traveler's actual mileage at the College's reimbursement rate, which will be $.55 per mile. If claiming mileage a "MapQuest" or "Google Maps" (something similar) will be required.

The College will reimburse transportation costs only to the extent such costs exceed the normal daily commute to the office. Mileage reimbursement may not exceed the cost of available alternate transportation, i.e., the reimbursement for mileage should not exceed the lowest train or airfare available. In cases where the employee elects to drive rather than travel by plane or train, the lower of the available alternatives will be reimbursed to the employee.

When you drive your own car on College business, your own insurance policy serves as a "primary" policy for third party liability and physical damage to your vehicle. This means that if a claim arising out of an accident exceeds your policy limits, then the College's policy will cover the accident in excess of your policy.

If your vehicle is damaged as a result of an accident, whether it is your fault or not, your comprehensive/collision coverage would respond. You are responsible for any deductible amounts under your policy. If you do not carry any collision insurance, then the entire amount of the damage is your responsibility. Neither the College nor the College's insurance will pay for any physical damage to your vehicle.

Any employee involved in an at-fault accident which results in bodily injury to third party while using a personal vehicle for College business travel should contact the Controller's Office as soon as reasonably possible.

The reimbursement of parking or tolls in excess of $20 must be supported by receipts.

Lodging

Lodging costs should be kept to a minimum. The College normally will only reimburse for single room rates at moderately priced hotels. Many hotels offer conference, corporate, or educational rates, which should be utilized if savings result. Hotel costs vary around the country. Hotel rental rates vary substantially by city and time of year. Outside of New York City the approved rate is $200 without taxes. In Manhattan the approved nightly rental rate should be less than $250 without taxes and during the peak season September- December $290 per night.

Note: If attending a conference, the College will generally reimburse the cost of staying at the "conference hotel" unless the rate is substantially in excess of reasonable hotels in the area. When reservations are booked "guaranteed late arrival", travelers are responsible for all hotels "no show" charges unless mitigating circumstances prevail.

When traveling to New York City the College has negotiated a discount corporate rate at the Wyndham Gardens Hotel located at 37 west 24th Street between 5th and 6th avenue. You can make your reservation by calling Te1212-243-0800. You must make a reservation at least two weeks prior to travel. Rooms are available on a first come first serve basis. The Touro College rates for 2013-2014 are as follows:

Months: Occupancy rate: King/Double Style

January- February $159/$199 March-June $259/299

July-August $209/249

September-December $289/329

We have also negotiation rates for the following hotels:

Holiday Inn Rate: $ 289/309 125 West 26th Street New York, NY 10001 35

Tel: 212-430-8500

Hilton Garden Inn Rate:$ 89.00 1340 W. Warm Spring Rd Henderson NV 89014 Tel:702-322-9000

Wingate Henderson Rate: $69.00 3041 Saint Rose Parkway Henderson, NV 89052 Tel: 702-727-5044

Host Gifts

If staying with a friend rather than in a hotel, a "payment in lieu of' actual expenses up to a maximum value of $100 is reimbursable if the gift is less than the expense normally incurred, and the expense bears a reasonable resemblance to the benefit provided. This "payment in lieu of' actual expense is defined as a host gift and travelers may be reimbursed for one host gift per trip subject to the foregoing limitations. The host gift is intended to express the College's gratitude to the host. Cash payment to the host is not permitted. Appropriate host gifts might include a meal at a restaurant or a tangible household item. Gifts must be purchased and presented to the host during the trip. Host gifts are not reimbursed if the expense is incurred after the completion of the trip.

Meals and Incidentals – Per Diem Reimbursement

Touro College will reimburse a traveler for allowable meal and incidental expenses incurred during College-related travel. The College provides reimbursement for meals (and tips) on a per diem basis. The current per diem rate is $60.

Per diem rates presented in this policy represent the maximum per diem reimbursable by the College and are inclusive of incidental expenses. Under this method of reimbursement, there will be no reimbursement of meals charged to the lodging receipt.

Incidental expenses include fees and tips for persons providing services such as food servers. Incidental expenses do not include ground transportation, telephone calls or laundry. These expenses will be reimbursed based on actual costs.

Receipts and detailed documentation are not required when being reimbursed for meals and incidentals using the per diem method. The following rules apply:

Per Diem Meal Reductions: On the days of travel to or from the destination, per diems should be reduced for the individual's departure and return times, to exclude any meals not incurred during the time of travel using the reduction schedule below. In addition, the College's meal per diem will also be reduced to account for meals furnished at no cost to the traveler. For example, if meal costs are provided in the cost of a conference, those meals should be deducted from the per diem rate.

The percentage rates for reductions are:

Breakfast 20% ($12.00) Lunch 25% ($15.00) Dinner 55% ($33.00)

Entertainment

Business entertainment expenses include meals, related tips, transportation, lodging, and other entertainment expenditures incurred by College employees, consultants, et al. for the benefit of others, must be approved by the Senior Vice President of Operations or the Senior Vice President of Finance in advance. Entertainment expenses that only involve Touro employees will not be reimbursed.

A description (either a list of names or identification of the hosted group) and the total number in attendance at an entertainment function must be indicated on the reimbursement request along with the business purpose of the entertainment. It is critical that the Travel and Entertainment Expense Form ' clearly documents the business purpose of the entertainment. The per diem reimbursement must be reduced accordingly as described above.

Illustrative example of a meal which is NOT a business meal:

Two College employees decide to get together for lunch, and among other things, they discuss business. The cost of lunch is a personal expense even though business was discussed. The expense would be reimbursable only if it was necessary to meet to address specific issues and they were not able to arrange a meeting in the office.

Entertainment may be claimed if: it is for the purpose of advancing the College's business interest; it is within the bounds of good taste, moderation, and legal requirements; and the cost is within reasonable limits and does not include lavish, excessive, or inappropriate entertainment. The cost of alcoholic beverages is not reimbursable.

Examples of business entertainment include: xiii. Receptions for College guests and visitors; xiv. Alumni reunions or similar alumni functions; xv. Entertaining donors or prospective donors; and, xvi. Welcoming receptions for parents and students.

The receipts must specify the name of all participants, their relationship to Touro and the reason for entertaining.

Payment Methods

The following are the various methods of payment for official College business, travel and entertainment expenses. The payment types may have restrictions as to their use.

Personal Charge Card or Cash: Business, travel and entertainment expenses may be paid with a personal charge card or cash. For reimbursement, please submit these expenses with receipts on the proper form as indicated in the Expense Reimbursement Report section.

Travel Advances: Travel advances are available to employees only. These advances must be for reasonable and eligible out-of-pocket travel expenses. The check request must be accompanied by a copy of your get there travel itinerary. The dollar amount of your travel advance may be reduced at the discretion of the Director of Purchasing or the Controller's office.

Travelers may receive advances in the form of an Accounts Payable check to be issued less than one week prior to travel. Recipient of travel advances will be required to sign a Cash Advance Agreement (See Appendix D). Allow at least ten working days for check preparation. Travel advances must be

38 accounted for on the Travel and Expense Reimbursement form, as detailed in the Expense Reporting section. Failure to account for travel advances within the required time frame may result in the following outcomes: xvii. No future travel advances being granted to the individual; and/or xviii. The College will deduct charges from salary. xix. A new Travel Advance will not be authorized until all previous advances are closed out.

Prepaid Travel Expenses: These are paid directly to outside vendors from the departmental budget and are paid in advance by the College on behalf of the traveler. For prepay of a conference registration along with your travel request please submit a conference registration form along with a check request. Airfares and train travel will be automatically paid when you use the Touro travel tool. All you have to do is click on the Touro travel card when making your reservations. If you need prepayment for your hotel room this must be coordinated though the purchasing departments. Most hotels will require a prepayment authorization form. Please contact us once your trip request has been approved and you have received an approved purchase order.

Documentation

Individuals incurring business, travel and entertainment expenses are required to substantiate all payments generally by submitting dated original receipts with the proper form and explanations.

Expense Item Examples of Required Documentation (with adequate details) Air or Rail Original passenger coupon or E-ticket receipt Hotel Original itemized bill including final settlement Car Rental Original agreement including final settlement Meals/Entertainment Original credit card or cash register receipt sharing details of the meal for expenditures plus business purpose, discussion topic, and guests denoted regardless of amount

All Other Original credit card, cash register receipt, or signed statement by spender/traveler regardless of the dollar amount.

If an expense is partially covered by an organization other than the College, duplicate copies of the receipts may be submitted by attaching a copy of the request for reimbursement submitted to the other organization.

An individual incurring expense who loses a required receipt should seek a duplicate or faxed copy from the originator. When an acceptable duplicate cannot be obtained, the employee should submit substantiation in other ways, such as an expense diary, etc. An explanation of why a receipt was not obtained at the time of the transaction and the efforts afterward to obtain the missing documentation would be helpful. The Controller's Office may request further explanation, documentation, and has the final decision on the acceptance/rejection of any such expenses.

If the above information is not supplied, the IRS may require that the expenses be added to the traveler's taxable income regardless of amount.

Spouse/Family Accompaniment

The College will not reimburse for business, travel or entertainment expenses for spouses or family members who accompany College employees or students on College business except in those unusual circumstances which require their presence. Such exception must be approved in advance by the Senior Vice President of Operations or the Senior Vice President of Finance. Should a spouse or dependent be approved to accompany an employee on College business, reporting of expenses must follow this policy.

When a spouse or family member(s) for personal reasons accompanies a traveler, the College will only reimburse the traveler for the cost of a single room.

Travel Insurance

Business Travel Insurance: All College employees are covered in case of accidental death or dismemberment while traveling on College business.

Workers Compensation Insurance: If you are injured while working on a business trip, you are covered for medical expenses and lost wages by Workers Compensation Insurance. Contact Human Resources as soon as possible to file an accident report, and obtain further instruction. Failure to promptly report an injury may compromise your claim. Injuries sustained while not working, though you may be away from home on business travel, are not covered by Workers Compensation Insurance. If there is a question on this, as respects a specific incident, contact Human Resources for clarification.

Flight Insurance: Flight insurance purchased by individuals is not a reimbursable expense.

Personal Automobiles: College employees using personal automobiles to travel on official College business must maintain adequate liability insurance for their protection and for the protection of any passengers.

Other Personal Property: The College will not be responsible for loss or damage to personal property while an employee is traveling on official College business. Kosher Food Policy

Touro University California adheres to Touro Policy and follows Glatt Kosher dietary laws. This kosher food service policy extends to food operations, vending machine products, and food and beverages served at events on or off campus.

Touro University Food Service (TUFS) is certified Glatt Kosher by Rabbi Aharon Simkin. Rabbi Simkin serves as a consultant to the Associate Vice President for Administration, Kitchen Manager, and campus Mashgiachs to insure compliance with kosher dietary laws in the campus food service operation. Rabbi Simkin serves as the Rabbinic supervisor for TUFS and approves any outside caterer or vendor which is authorized to operate on campus.

TUFS has the first right of refusal when planning food and beverage service for university events or activities held on or off campus. In the event that TUFS cannot provide the requested refreshments, Rabbi Elchonon Tenenbaum, will coordinate arrangements with outside kosher caterers or for kosher food and beverage purchases. Rabbis Simkin and Tenenbaum, in a coordinated effort, will help assure compliance with kosher standards while insuring prompt facilitation of food and beverage requests. 39

This policy is intended to guide planning for university events or activities which are organized, and usually funded, by Touro University California. Individual members of the campus community are welcome to bring food and beverages to campus for their own personal consumption. Unlawful Harassment

Touro University California abides by federal and state laws, including the California Fair Employment and Housing Act, as found in California Government State Code Section 12940.

Touro University California is committed to providing a work environment free of unlawful harassment. Faculty are required to complete an on-line training course every two years detailing unlawful harassment and appropriate actions if unlawful harassment is observed or reported.

Touro University California policy prohibits sexual harassment and harassment based on pregnancy, childbirth or related medical conditions, race, religious creed, color, national origin or ancestry, physical or mental disability, medical condition, marital status, age, sexual orientation, or any other characteristic protected by federal, state, or local law or ordinance or regulation. All such harassment is unlawful. Touro University California’s anti-harassment policy applies to all persons involved in the operation of Touro University California and prohibits unlawful harassment by any employee of Touro University California, including supervisors and coworkers. It also prohibits unlawful harassment based on the perception that anyone has any of those characteristics, or is associated with a person who has or is perceived as having any of those characteristics.

Unlawful harassment is a form of discrimination that violates Title VII of the Civil Rights Act of 1964 and other federal authority. Unwelcome verbal or physical conduct based on race, color, religion, sex (whether or not of a sexual nature and including same-gender harassment and gender identity harassment), national origin, age (40 and over), disability (mental or physical), sexual orientation, or retaliation (sometimes collectively referred to as “legally protected characteristics”) constitutes harassment when:

1 The conduct is sufficiently severe or pervasive to create a hostile work environment, or 2 A supervisor’s harassing conduct results in a tangible change in an employee’s employment status of benefits (for example, demotion, termination, failure to promote, etc.)

Hostile work environment harassment occurs when unwelcome comments or conduct based on sex, race or other legally protected characteristics unreasonably interferes with an employee’s work performance or creates an intimidating, hostile or offensive work environment. Anyone in the workplace might commit this type of harassment – a management official, co-worker, or non- employee, such as a contractor, vendor or guest. The victim can be anyone affected by the conduct, not just the individual at whom the offensive conduct is directed.

Examples of actions that may create sexual hostile environment harassment include:

● Leering, i.e., staring in a sexually suggestive manner

● Making offensive remarks about looks, clothing, body parts

● Touching in a way that may make an employee feel uncomfortable, such as patting, pinching or intentional brushing against another’s body

● Telling sexual or lewd jokes, hanging sexual posters, making sexual gestures, etc.

● Sending, forwarding or soliciting sexually suggestive letters, notes, emails, or images. Other actions which may result in hostile environment harassment, but are non-sexual in nature include:

● Use of racially derogatory words, phrases, epithets

● Demonstrations of a facial or ethnic nature such as a use of gestures, pictures or drawings which would offend a particular racial or ethnic group

● Comments about an individuals’ skin color or other racial/ethnic characteristics. Making disparaging remarks about an individual’s gender that are not sexual in nature. Negative comments about an employee’s religious beliefs or lack of religious beliefs.

● Expressing negative stereotypes regarding an employee’s birthplace or ancestry

● Negative comments regarding an employee’s age when referring to employees 40 and over.

● Derogatory or intimidating references to an employee’s mental or physical impairment

Harassment that results in a tangible employment action occurs when a management official’s harassing conduct results in some significant change in an employee’s employment status, (e.g., hiring, firing, promotion, failure to promote, demotion, formal discipline, such as suspension, undesirable reassignment, a significant change in benefits, a compensation, decision, or a work assignment). Only individuals with supervisory or managerial responsibility can commit this type of harassment.

A claim of harassment generally requires several elements including:

1 The complaining party must be a member of a statutorily protected class;

2 The complaining party was subjected to unwelcome verbal or physical conduct related to his or her membership in that protected class.

3 The unwelcome conduct complained of was based on his or her membership in that protected class;

4 The unwelcome conduct affected a term or condition of employment and/or had the purpose or effect of unreasonably interfering with his or her work performance and/or creating an intimidating hostile or offensive work environment.

An employee, who believes that he or she has been unlawfully harassed, should submit a written complaint to their supervisor or the Director of Human Resources as soon as possible after the incident. The complaint should include details of the incident or incidents, names of the individuals involved, and names of any witnesses. Supervisors will refer all harassment complaints to the Director of Human Resources. The Human Resources Department will immediately undertake an effective, thorough, and objective investigation of the harassment allegations.

If Touro University California determines that unlawful harassment has occurred, effective remedial action will be taken in accordance with the circumstances involved. Any employee determined by 41

Touro University California to be responsible for unlawful harassment will be subject to appropriate disciplinary action, up to, and including termination. The Human Resources Department will advise all parties concerned of the results of the investigation. Touro University California will not retaliate against an employee for filing a complaint and will not tolerate or permit retaliation by management, employees or co-workers.

Touro University California encourages all employees to report any incidents of harassment forbidden by this policy immediately so that complaints can be quickly and fairly resolved. Any employee wishing to initiate an EEO (Equal Employment Opportunity) complaint arising out of the alleged incident of harassment must contact an FCC (Federal Communications Commission) EEO Counselor or other EEO official within 45 calendar days of the date of the incident. For information on how to contact an EEO Counselor, visit http://www.fcc.gov/owd/counselors.html. Employees who believe that they have been retaliated against for resisting or complaining, may file a complaint with the appropriate agency. Retaliation Prohibited

Employees who feel that they are being discriminated against or harassed for any reason should immediately report such conduct to their immediate supervisor or to any member of management or the Director of Human Resources Department.

Touro University California values an atmosphere of open communication for all employees; employees who report harassment and/or discrimination will not be retaliated against by management or any fellow employee. Making a report of harassment or discrimination will never, under any circumstances, be considered in any decision regarding hiring, firing, promotion, or any other term or condition of employment. Any employee who takes adverse action or otherwise retaliates against a subordinate or coworker because that person lodged a harassment or discrimination complaint will be subject to appropriate discipline, up to and including termination. Bullying Prohibited

In addition to harassment based, on a protected characteristic, Touro University California prohibits acts of bullying. A safe and civil environment is necessary for employees to achieve the high standards we expect. Demonstration of appropriate behavior, treating others with civility and respect, and refusing to tolerate harassment and bullying are expected of all employees.

Bullying is repeated, health-harming mistreatment of another employee. Examples of prohibited bullying include, but are not limited to: screaming; swearing; name calling; stealing; using threatening, intimidating, or cruel behaviors; deliberately humiliating a person; and denying advancement. Generally, bullying:

xx. Is committed by written, verbal, graphic, or physical acts (including electronically transmitted acts—e.g., using the Internet, a cell phone, a personal digital assistant (PDA), or a wireless handheld device). xxi. Substantially interferes with work, opportunities, and benefits of one or more employees, sometimes through actual sabotaging of work. xxii. Adversely affects an employee’s ability to function at work by placing the employee in reasonable fear of physical harm or by causing emotional distress.

Because bystander support can encourage bullying, Touro University California also prohibits both active and passive support for acts of bullying. Employees should either walk away from these acts

42 when they see them or attempt to stop them. In either case, employees should report incidents to a supervisor, management, or the Director of Human Resources. Reprisal or retaliation against any person who reports an act of bullying is prohibited.

Employees who engage in bullying will be subject to appropriate discipline, up to and including termination.

Employees who believe that they have been retaliated against for resisting or complaining, may file a complaint with the appropriate agency. Grievance Committee, Policy and Procedure

If any faculty member believes that his/her rights have been violated in such matters as academic freedom, suspension or dismissal for cause, assignment of teaching duties, issues relating to propriety of conduct and sexual harassment, disciplinary actions taken or other matters, he/she may petition the TUC Grievance Committee in writing for consideration. Disciplinary actions or suspension will remain in force until the appeal process is completed. Before filing a petition with the Grievance Committee, a faculty member shall first exhaust all administrative avenues for resolution (Department Chair, Dean, Human Resources). If the issue is not properly resolved, the faculty member has the right to petition the Grievance Committee.

The Grievance Committee shall function according to the policies and procedures described in the Touro University California Faculty Handbook, and shall not contravene any article therein. Approved changes to the Faculty Handbook will automatically be adopted by the Touro University California Faculty Grievance Committee (FGC) and will take precedence over the FGC bylaws.

The TUC Grievance Committee shall be a standing committee of at least five members of the faculty, appointed by the Faculty Senate in agreement with their college Dean and Provost/Chief Operating Officer (COO). The composition of the committee shall be reflective of the faculty. The Director of Human Resources shall be an ex officio (non-voting) member of the Committee. The Chair shall be selected by the Committee from among its approved committee members. Members shall be appointed to staggered terms of two years. The Grievance Committee shall function in a confidential manner and report directly to the Provost/COO. If a member of the Committee has a conflict of interest regarding the matter presented for review, or if the membership of the Committee is challenged by the petitioner for cause, the Committee member should be replaced by an ad hoc substitute chosen by the Faculty Senate with the concurrence of the college Deans and Provost/Chief Operating Officer (COO).

Filing a Grievance:

Faculty who want to file a grievance must submit a written, signed petition to the Chair of the Touro University California Faculty Grievance Committee within 28 calendar days of the date that the grievant has exhausted administrative procedures. The grievance must include the following information:

1. The specific policy or established practice that has allegedly been violated. 2. The date of the alleged violation and the date on which the grievant became aware of the alleged violation. 3. The facts relevant to the alleged violation 4. The person(s) against whom the grievance is filed 5. The good faith and reasonable steps that the grievant has taken to resolve the matter prior to taking it to the Grievance Committee and the outcome of those steps

6. List of witnesses (if applicable) 7. Redress being sought

In the event that the grievance is with the Chair of the Grievance Committee, the petition may be submitted to the Vice Chair who will keep the petition in confidence until the Committee is convened.

Upon receipt of the petition, the FGC will, within seven (7) working days after receiving the grievance petition, meet and determine whether the filing requirements have been met. The person(s) against whom the grievance was filed (respondent(s)) will be notified in writing at this time. The respondent(s) has the right to submit a list of witnesses to the FGC. Submission of a petition will not automatically entail investigation or detailed consideration thereof, as the Committee has the option of seeking resolution/settlement by informal methods. If in the opinion of the FGC, such settlement is not possible or is not appropriate, the Committee shall hold a grievance hearing within fourteen (14) working days after the receipt of the grievance petition by the FGC. The Committee will determine who will be interviewed during the grievance hearing. The Committee will report its findings and make written recommendations to the petitioner, to the respondent(s), and to the Provost/Chief Operating Officer within five (5) working days after the hearing.

In summary, the functions of the Touro University California Grievance Committee in the grievance process are as follows:

a. To determine whether or not the matter merits consideration by the Committee; b. To seek to settle the matter by informal methods; c. If the matter is unresolved, to hold a grievance hearing. The faculty member may invite a non-legal advisor to be present; d. To provide copies of its report and recommendation to the faculty member who petitions the Committee, to the Provost/COO, and to the person(s) against whom the grievance is directed.

All matters brought before the Grievance Committee will be confidential. Tape recorders will not be allowed. Appeals Committee, Policy and Procedure

If a faculty member wishes to pursue his/her grievance after action of the Grievance Committee, he/she may appeal to the Provost/COO. The Provost/COO may appoint an Appeals Committee, or may choose to respond considering findings of the Grievance Committee. If an Appeals Committee to hear the petition is appointed, it shall be composed of three (3) individuals chosen by the Provost/COO, , in consultation with the Deans. The Provost/COO will review the action of the Grievance Committee and /or the recommendation of the Appeals Committee, and forward a final decision to the faculty member. The decision of the Provost/COO is final.

All appeals shall be processed as follows:

a. The faculty member shall submit his/her appeal in writing to the Provost/COO within ten (10) working days after receipt of the determination of the Grievance Committee. b. If an Appeals Committee is appointed to hear the petition, the Committee shall hold a hearing within ten (10) working days after its receipt of the petition. c. The Appeals Committee will invite all concerned parties to the hearing. The faculty member may invite a non-legal advisor to be present.

d. The Appeals Committee must render a written recommendation to the Provost/COO within five (5) working days after the hearing, and the recommendation will be distributed to all concerned parties. e. The Provost/COO may take into consideration the recommendation of the Appeals Committee and will make a decision which will be forwarded to the faculty member. The decision of the Provost/COO is final.

All matters brought before the Appeals Committee will be confidential. Tape recorders will not be allowed. Immigration Reform & Control Act Compliance

It is Touro University California’s policy to conform to the Immigration Reform and Control Act of 1986. The University is required to verify the work authorization, identity, and citizenship of all employees and applicants for employment who are hired. U.S. Citizenship and Immigration Services Form I-9 must be completed on every new employee prior to or no later than three days after the starting date. The I-9 form must be retained in the Department of Human Resources. Drug-Free Work Place

The Drug-Free Work Place Act of 1988 requires that the University, as a recipient of federal grants, maintains a drug-free work place, and informs all employees of its policy. The illegal use or abuse of drugs that impair a person’s ability to perform his or her job responsibilities is prohibited. In addition, the sale, manufacture, possession or use of illegal drugs on the University’s campuses is strictly prohibited. Employees are required to notify the University if they are convicted of any criminal drug violation. Touro University California must then report this conviction to the federal agency with which the University does business. Any staff member who violates this policy will be subject to disciplinary action, up to and including dismissal.

Although the use of medical marijuana is permitted by the state of California, its use is not permitted in the workplace. Impairment due to marijuana use before arriving at work or during work hours can result in discipline, up to and including termination. Drug or Alcohol Rehabilitation

The University encourages treatment for alcohol or drug dependencies and will try to support requests for a treatment or rehabilitation leave if requested by the employee. . The University is not obligated, however, to continue to employ any person whose performance of essential job duties is impaired because of drug or alcohol use, nor is the University obligated to re-employ any person who has participated in treatment and/or rehabilitation if that person’s job performance remains impaired as a result of dependency. Employees who are given the opportunity to seek treatment and/or rehabilitation, but fail to successfully overcome their dependency, will not automatically receive a second opportunity to seek treatment and/or rehabilitation. Prior Treatment Nondiscrimination

Applicants for initial employment, or for transfer or promotion, who have a past history of substance abuse and who have demonstrated an ability to abstain from the substance, or who can provide medical assurance of acceptable control, may be considered for employment, transfer, or promotion as long as they are otherwise qualified for the position they are seeking. The individual’s previous participation in a drug or alcohol treatment program will not be considered as a factor in any hiring, transfer, or promotion decision. 45

Smoking Policy

Smoking of tobacco products or electronic cigarettes is not allowed in Touro University California buildings, university owned vehicles, or at university outdoor facilities or gatherings. Smoking cessation programs and methods are strongly encouraged. Payment of Wages

Paychecks are normally available by 11 a.m. on paydays in the Office of Human Resources. If you observe an error in your check, please report it immediately to Human Resources.

Paydays are scheduled on the 1st and the 16th of the month. When a payday falls on a Saturday, paychecks are distributed on the previous day. When a payday falls on a Sunday or a holiday, paychecks are distributed on the following day. Personnel Records

Faculty have a right to inspect documents in their personnel file, as provided by law, in the presence of a Touro University California representative at a mutually convenient time. A faculty may add comments to the file regarding any disputed file items.

TUC will restrict disclosure of personnel file contents to only authorized individuals within the university. Any request for information contained in personnel files must be directed to the Director of Human Resources. Only the Human Resources Department is authorized to release information about current or former employees. Disclosure of personnel information to outside sources is limited. However, TU California will cooperate with requests from authorized law enforcement agencies, and local, state, or federal agencies conducting official investigations as legally required. Use of Electronic Media

Proper use of electronic equipment and media should comply with the Institutional Technology Committee guidelines, which may be found on the Touro University California website. Ownership of Courses and Course Materials

Development of courses and course materials is part of the faculty member’s service obligation to the University. The ownership of the rights to course materials, including copyright, shall reside with the faculty member who creates them. Touro University California retains a fully paid, royalty-free, and non-exclusive license to any course materials for the purpose of continuing to teach the course of instruction for which the documents are prepared, with the non-exclusive right to revise and update them as required for this purpose. Course materials include, but are not limited to, lectures, lecture notes and materials, syllabi, examinations, study guides, bibliographies, visual aids, images, diagrams, multimedia presentations, web-ready content, and educational software. A course syllabus will generally consist of a course description, a statement of learning objectives, and a topical outline for an approved course of instruction.

Touro University California and Faculty recognize that the re-utilization of course materials has a time limited period of value due to the need for constant revision and update of educational materials.

Creators of course materials will be credited for their authorship of original materials when utilized by others.

Outside Employment

Full-time TUC faculty who wish to pursue outside paid or non-paid activities requiring a regular commitment off campus, must submit a written request describing these activities in advance to the appropriate Department Chair and Dean for approval. Failure to do so could be grounds for termination. Outside employment should be of an appropriate professional nature which enhances the skills of the faculty member and the standing of the university in the larger community. Such additional work, if approved, could be considered part of faculty workload. In all instances, outside activities should not interfere with the performance of academic responsibilities of the faculty member at TU California. No full-time faculty members will be permitted to hold another full-time academic position. Department chairs may require a yearly written accounting of a full-time faculty member’s outside activities. Faculty must complete TU California’s Conflict of Interest form yearly.

FACULTY CODE OF PROFESSIONAL ETHICS

Faculty members are expected to act at all times in a manner befitting members of the teaching profession. Faculty members are expected to maintain and exhibit the highest level of integrity in all of their behaviors. They should conduct themselves with respect for others and should serve as models of the teaching profession to their students and their community.

Dress and deportment often characterize the person, and interpersonal relationships mark the nature and effectiveness of institutions. Therefore, appropriate attire, courtesy and cooperation at all times, with students, staff and colleagues, are considered essential to the well-being of the University. Professionalism of a high order should be Touro University California’s hallmark.

Providing the best climate within which a student can learn and grow intellectually is a major professional contribution that the faculty member can make to the development of students. This includes frequent and active presence on campus, student counseling and advising, and participation in the activities that promote interaction between student life and the academic environment.

TU California promotes adherence to the American Association of University Professors , “Statement on Professional Ethics”, revised 2009. The codes of professional ethics stipulated here do not constitute a comprehensive policy of faculty behavior. These codes elaborate on the standards of acceptable and unacceptable conduct in the course of fulfilling faculty duties and are independent of other guidelines for activity of individuals while on campus, such as university policies on drug use, etc. with the understanding that TUC seeks to provide and sustain an environment conducive to education, scholarly exchange and faculty and student development, the Faculty Senate further stipulates the following codes of faculty conduct:

A. The primary responsibility of faculty conduct is to promote respect for knowledge, inquiry and education. Faculty are free to execute their teaching responsibilities in a manner that they determine to be appropriate. Faculty conduct must not, however, diminish or interfere with their responsibility to maintain proficiency and competency in the discipline(s) that they teach. Faculty conduct must ensure that classes are held as scheduled and that students are not denied opportunities to learn in the normal course of the academic term. Faculty must never exercise their professional position as a means to coerce or intimidate students to accept unethical or incompetent behavior.

B. Faculty must not discriminate among their colleagues or students on the basis of age, sex, religion, nationality, ethnicity, advocacies, political preferences, or any other individual

personal attribute that is independent of professional interaction. Faculty objectivity in evaluation of student competence is an essential standard of faculty conduct.

C. Faculty must abide by the conduct standards to avoid sexual harassment specified in this document.

D. Faculty should promote academic honesty through teaching and example. Faculty must neither facilitate nor ignore instances of dishonesty.

E. Faculty should respect the confidentiality of individual faculty –student interactions. Faculty should exercise foresight and maturity in conversation and activities with students.

F. Dating or engaging in sexual relationships with students is forbidden and may constitute grounds for dismissal for cause.

G. In the exercise of scholarship faculty must conduct themselves honestly and must not intentionally misappropriate the work of others. Faculty is obligated to adhere to all established copyright and ownership guidelines.

H. Faculty conduct must demonstrate respect and fairness in the use of university resources and facilities. Faculty should use university property only in the pursuit of their faculty responsibilities.

I. Faculty must maintain strict confidentiality when requested with respect to colleague evaluation and personnel matters. Anonymity in peer-review for the purposes of promotion and advancement is an essential standard of ethical conduct.

J. Faculty must not exercise professional seniority as a means to coerce or intimidate the behavior or activity of university staff or junior colleagues.

K. Ethics in research and scholarly activities, intellectual honesty and ethical behavior while performing scholarly activities is of paramount importance. To this end, TUC adopts the U.S. Department of Health and Human Services Office of Research Integrity definition of research misconduct . (http://ori.dhhs.gov):

Research misconduct means fabrication, falsification, or plagiarism in proposing performing, or reviewing research, or in reporting research results. Fabrication is making up data or results and recording or reporting them. Falsification is manipulating research materials, equipment, or processes, or changing or omitting data or results such that the research is not accurately represented in the research records. Plagiarism is the appropriation of another person’s ideas, processes, results, or words without giving appropriate credit. Research misconduct does not include honest error or differences of opinion.

In addition, research efforts should minimize restrictions on publications or dissemination of information and use university resources and facilities for academic and not commercial purposes.

College of Osteopathic Medicine Faculty are additionally expected to comply with the American Osteopathic Association code of ethics which guides its member physicians in their professional lives. The standards address the osteopathic physician's ethical and professional responsibilities to 48 patients, to society, to the AOA, to others involved in health care and to self. Further, the American Osteopathic Association has adopted the position that physicians should play a major role in the development and instruction of medical ethics.

Section 1. The physician shall keep in confidence whatever she/he may learn about a patient in the discharge of professional duties. The physician shall divulge information only when required by law or when authorized by the patient.

Section 2. The physician shall give a candid account of the patient's condition to the patient or to those responsible for the patient's care.

Section 3. A physician-patient relationship must be founded on mutual trust, cooperation and respect. The patient, therefore must have complete freedom to choose her/his physician. The physician must have complete freedom to choose patients who she/he will serve. However, the physician should not refuse to accept patients for reasons of discrimination, including, but not limited to, the patient’s race, creed, color, sex, national origin, sexual orientation, gender identity or handicap. In emergencies, a physician should make her/his services available.

Section 4. A physician is never justified in abandoning a patient. The physician shall give due notice to a patient or to those responsible for the patient's care when she/he withdraws from the case so that another physician may be engaged.

Section 5. A physician shall practice in accordance with the body of systematized and scientific knowledge related to the healing arts. A physician shall maintain competence in such systematized and scientific knowledge through study and clinical applications.

Section 6. The osteopathic medical profession has an obligation to society to maintain its high standards and, therefore, to continuously regulate itself. A substantial part of such regulation is due to the efforts and influence of the recognized local, state and national associations representing the osteopathic medical profession. A physician should maintain membership in and actively support such associations and abide by their rules and regulations.

Section 7. Under the law a physician may advertise, but no physician shall advertise or solicit patients directly or indirectly through the use of matters or activities, which are false or misleading.

Section 8. A physician shall not hold forth or indicate possession of any degree recognized as the basis for licensure to practice the healing arts unless he is actually licensed on the basis of that degree in the state in which she/he practices. A physician shall designate her/his osteopathic school of practice in all professional uses of her/his name. Indications of specialty practice, membership in professional societies, and related matters shall be governed by rules promulgated by the American Osteopathic Association.

Section 9. A physician should not hesitate to seek consultation whenever she/he believes it advisable for the care of the patient.

Section 10. In any dispute between or among physicians involving ethical or organizational matters, the matter in controversy should first be referred to the appropriate arbitrating bodies of the profession.

Section 11. In any dispute between or among physicians regarding the diagnosis and treatment of a patient, the attending physician has the responsibility for final decisions, consistent with any applicable osteopathic hospital rules or regulations.

Section 12. Any fee charged by a physician shall compensate the physician for services actually rendered. There shall be no division of professional fees for referrals of patients.

Section 13. A physician shall respect the law. When necessary a physician shall attempt to help to formulate the law by all proper means in order to improve patient care and public health.

Section 14. In addition to adhering to the foregoing ethical standards, a physician shall recognize a responsibility to participate in community activities and services.

Section 15. It is considered sexual misconduct for a physician to have sexual contact with any current patient whom the physician has interviewed and/or upon whom a medical or surgical procedure has been performed.

Section 16. Sexual harassment by a physician is considered unethical. Sexual harassment is defined as physical or verbal intimation of a sexual nature involving a colleague or subordinate in the workplace or academic setting, when such conduct creates an unreasonable, intimidating, hostile or offensive workplace or academic setting.

Section 17. From time to time, industry may provide some AOA members with gifts as an inducement to use their products or services. Members who use these products and services as a result of these gifts, rather than simply for the betterment of their patients and the improvement of the care rendered in their practices, shall be considered to have acted in an unethical manner. (Approved July 2003)

Section 18. A physician shall not intentionally misrepresent himself/herself or his/her research work in any way.

Section 19. When participating in research, a physician shall follow the current laws, regulations and standards of the United States or, if the research is conducted outside the United States, the laws, regulations and standards applicable to research in the nation where the research is conducted. This standard shall apply for physician involvement in research at any level and degree of responsibility, including, but not limited to, research, design, funding, participation either as examining and/or treating provider, supervision of other staff in their research, analysis of data and publication of results in any form for any purpose.

CONFLICT OF INTEREST

As a general principle, all trustees, officers and administrators, faculty, and other employees of the College should avoid any actions or situations that might result in or create the appearance of using their association with the college for private gain, giving unwarranted preferential treatment to any outside individual or organization, or losing their independence or impartiality of judgment in the discharge of duties and responsibilities on behalf of the college.

The purpose of this Conflict of Interest Policy (this “Conflict of Interest Policy”) is to continue to protect and enhance Touro College’s reputation by ensuring that all officers, faculty and employees of Touro College and its affiliates (which we refer to as “Touro College”), everywhere, understand how Touro College seeks to avoid even the appearance of impropriety. Protecting our ethical standing is not only the right thing to do -- it's good university practice. Students, the public and educational partners judge us by our conduct, as well as our courses and offerings. Potential employers of our students as well as donors want to be associated only with an institution that meets high standards for honesty, integrity, and public responsibility. Our Conflict of Interest Policy reflects the evolution of Touro College, as well as changes in applicable laws and regulations.

A conflict of interest exists when an individual has an external interest that affects or provides an incentive to affect the individual’s conduct of his or her College activities. Conflicts of interest can arise naturally from an individual’s engagement with the world outside the College and the mere existence of a conflict of interest does not necessarily imply wrongdoing on anyone’s part. When conflicts of interest do arise, however, they must be recognized, disclosed and either eliminated or properly managed.

A conflict of commitment occurs when the commitment to external activities of a faculty or staff member adversely affects his or her capacity to meet College responsibilities. This form of conflict is easily defined and recognized since it involves a perceptible reduction of the individual’s time and energy devoted to College activities.

The consequences of not complying with this Conflict of Interest Policy can be severe -- ranging from ruining your reputation and your career to possible criminal prosecution and incarceration. This may sound harsh, but it is the reality of not adhering to acceptable standards in the conduct of your job. Illegal and unethical conduct will also result in disciplinary action, which may include termination. It is not an excuse that an individual’s questionable conduct was intended to “benefit” the College or was done with good intentions.

If you become aware of a possible violation of this Conflict of Interest Policy or behavior that could be incompatible with its spirit or that looks improper, we expect you to report it to your supervisor, the Office of the General Counsel or other appropriate members of our management team.

Please read this Conflict of Interest Policy carefully and refer to it often. It is your responsibility to understand what is expected of you. New employees and faculty will be asked to sign acknowledgements of their receipt and review of the Policy. If there is something you are unclear about or if you are not sure what is required in a particular situation, don't guess at the answer. Ask for help from one of the many sources listed in the Conflict of Interest Policy. (See Appendix C)

FACULTY BENEFITS

Unless otherwise noted .50 FTE faculty members are eligible for the following benefits. Faculty who are .5 FTE and above are considered full-time for benefits purposes. Vacation, personal and sick leave are prorated according to the percentage of full-time appointment. Health Insurance

Full-time regular faculty members and their dependents become eligible to join the employee- contributory Health Insurance plan within 60 days of employment. The institution currently pays 60% for health benefits for employees and dependents and the employee share can be deducted from the paycheck on a pre-tax basis. Faculty are advised to consult the TUC Human Resources Department for the most up-to-date information regarding health benefits.

COBRA

As per the COBRA Act of 1986, the Federal Law requires Touro University California to provide extended health care coverage to employees and their dependents under certain qualifying events. The employee or dependent pays the full cost of coverage at Touro’s group rates. Touro provides each employee who terminates his/her employment with the University with a written notice describing rights granted under COBRA. The notice contains important information about the employee’s rights and obligations.

The employee and dependents are eligible to continue health insurance coverage for 18 months following: • Resignation or termination of employment for reasons other than gross misconduct; • Reduction of employee’s hours or a leave of absence.

COBRA coverage is available for 29 months for the following individuals: Employees and their dependents, when employees terminate their employment while disabled.

In addition, COBRA coverage is available for 36 months for the following individuals: • Spouses and dependents of covered deceased employees; • Divorced or legally separated spouses and dependents of covered employees; • Spouses and dependents of employees covered by Medicare; • Dependent children who would no longer be covered because they have reached the age of 19 or are full-time students who have reached the age of 25.

The HIPAA Act of 1996 made three important changes to the COBRA Act. • An employee who becomes disabled during the first 60 days of COBRA coverage is entitled to 29 months of coverage. Coverage also applies to the employee’s dependents. • A child born to, or placed for adoption with an employee who is receiving COBRA is also entitled to COBRA. • HIPAA limits a group health plan’s ability to impose pre-existing condition exclusions. Therefore, COBRA coverage can be terminated when the COBRA beneficiary becomes covered under another group health plan whose pre-existing condition exclusion will not apply to the beneficiary under the new HIPAA rules.

Human Resources should be contacted for questions regarding COBRA. Dental and Vision Insurance

Full-time regular faculty members become eligible to purchase dental and vision insurance within 60 days of employment. This coverage is fully paid for by the employee through a pre-tax payroll deduction. Flexible Spending Accounts

Touro University California maintains a Flexible Spending Accounts program. Eligible employees may set aside an amount of money to be taken out of their paycheck, before taxes, for a medical, dependent care, or qualified transportation account. This money can be used for three purposes: a. For medical expenses not covered by insurance, such as deductibles and co-pays, dental care, eyeglasses or contact lenses. b. For dependent care for a child under the age of 13, a child older than 13 who is either physically or mentally disabled, or a dependent parent who is either physically or mentally disabled. Covered expenses include those for licensed nursery schools, day care centers or summer day camps and for centers that provide adult day care. c. For qualified transportation to and from work on a subway, train, bus, ferry; parking near or on Touro campus, or parking at a commuter lot where you transfer to mass transit or carpool.

Eligible full-time employees may only enroll in the Flexible Spending Account during the month of June or after successful completion of their 90 day introductory period. The plan year runs from July 1 through June 30. For either type of Flexible Spending Account, money is deducted on a pretax basis from each of your paychecks. As you incur qualified expenses, you are required to submit a Reimbursement Claim Form to the third party plan administrator. If, by the end of the plan year, the claims that you have submitted are less than the amount of the money that you have had deducted from your paycheck, you will forfeit the difference. For this reason, it is extremely important to estimate your expenses carefully.

The limits set for the Flexible Spending Accounts are $2,500 a year for the medical and $5,000 a year for the dependent care. Participants can set aside up to $245.00 each month to pay for qualified transportation expenses and up to $245.00 each month to pay for qualified parking expenses. Life Insurance

Life insurance coverage is paid for in full by the University after 90 days of employment. The total dollar amount of the insurance is equal to one time your base annual salary, up to a maximum of $250,000. The premium paid by the University for life insurance coverage in excess of $50,000 is considered additional income to you. The value of this premium, which is determined by the IRS based on your age, will be reported on your W-2 form and is subject to federal income tax. In addition, the University’s insurance program covers you for accidental death and dismemberment. Benefits are payable under this plan if you should die as the result of an accident, or if you should lose a limb or your eyesight as the result of an accident. Supplemental Life Insurance

Effective October 1, 2007 you can purchase supplemental life insurance up to three times your annual salary to a maximum of $1,500,000 combined Basic and Supplemental Life. In addition, you can purchase life insurance for your spouse and children. Eligibility requirements apply.

State Disability Insurance

Each employee contributes to the State of California to provide disability insurance mandated by the California Unemployment Insurance Code. Contributions are made through a payroll deduction. Disability insurance is payable when the employee cannot work because of illness or injury not caused by employment at Touro University California or when entitled to temporary workers’ compensation at a rate less than the daily disability benefit amount. Specific rules and regulations governing disability are available from the Human Resource Department. Long-Term Disability

This benefit is fully paid by the University and will pay, after 26 weeks, or six consecutive months, 50% of employee salary up to a maximum of $7,000 per month. Worker’s Compensation

Touro University California, in accordance with state law, provides insurance coverage for employees in case of work-related injury. The workers’ compensation benefits provided to injured employees may include: ● Medical care; ● Cash benefits, tax free, to replace lost wages; and ● Vocational rehabilitation to help qualified injured employees return to suitable employment.

To ensure workers’ compensation benefits, the employee will need to: ● Immediately report any work-related injury to his/her supervisor; ● Complete a written Employee's Claim Form (DWC Form 1) and return it to the Human Resources Department; ● Seek medical treatment and follow-up care if required, which may be directed by Touro University California for the first 30 days of any work related injury; and ● Provide Touro University California with a certification from the healthcare provider regarding the need for workers’ compensation disability leave, as well as the eventual ability to return to work from the leave.

Upon submission of a medical certification that an employee is able to return to work after a workers’ compensation leave, the employee under most circumstances will be reinstated to his or her same position held at the time the leave began, or to an equivalent position, if available. An employee returning from a workers’ compensation leave has no greater right to reinstatement than if the employee had been continuously employed rather than on leave. For example, if the employee on workers’ compensation leave would have been laid off had he or she not gone on leave, or if the employee’s position has been eliminated or filled in order to avoid undermining Touro University California’s ability to operate safely and efficiently during the leave, and no equivalent or comparable positions are available, then the employee would not be entitled to reinstatement.

An employee’s return depends on his or her qualifications for any existing openings. If, after returning from a workers’ compensation disability leave, an employee is unable to perform the essential functions of his or her job because of a physical or mental disability, Touro University California’s obligations to the employee may include reasonable accommodation, as governed by the Americans with Disabilities Act.

The law requires Touro University California to notify the workers’ compensation insurance company of any concerns of false or fraudulent claims.

Any person who makes or causes to be made any knowingly false or fraudulent material statement or material misrepresentation for the purpose of obtaining or denying workers’ compensation benefits or payments is guilty of a felony. A violation of this law is punishable by imprisonment for one to five years, or by a fine not exceeding $50,000 or double the value of the fraud, whichever is greater, or both. Additional civil penalties may also apply. Social Security

Touro University California employees are covered by Social Security which is paid by the employer and the employee in accordance with Federal law. Unemployment Insurance

This insurance is provided at no cost to the employee, and is in accordance with the California State law.

If a faculty member is terminated because of misconduct, he or she will not be eligible to receive unemployment benefits. Tuition Remission

After 3 months of employment, full-time Touro University California faculty and staff, their dependent children and spouses are eligible for employee scholarships that cover 100% of the tuition and fees at the undergraduate level, and 25% of the tuition and fees at the graduate or professional level for courses taken at Touro College or an affiliated university provided they fulfill the admission requirements and, once admitted, maintain good academic standing. However, the attendee must file the free application for federal student aid. The College/University will determine the amount of such grants before tuition remission funds are awarded. Tuition remission will endure for the length of service of the faculty or staff member. If service ends in mid-semester, the tuition will be prorated and payment for the rest of the semester is due before finals.

Employees must submit their supervisor’s written approval to the Financial Aid Office when applying for tuition remission. This approval must indicate if the hours of class will fall outside of normal working hours for the employee.

Full-time employees may take up to fifteen hours of College/University courses per term at the undergraduate level. Full time employees may not in any case take more than nine credit hours of post- baccalaureate work per term. All course registrations must have the written approval of the supervisor.

Employees who are in default of any student loans cannot receive tuition remission.

The school reserves its right to re-evaluate the tuition remission provided pursuant to this provision at the commencement of any semester. Qualified Tuition Reduction Program

Touro College implemented a Qualified Tuition Reduction Program in November of 1996. The employee may allocate a portion of his/her salary, on a pre-tax basis, to this program. This money will be used to pay tuition for the employee, his/her spouse or dependent children, This reduction is in 55 addition to any employee discount granted by Touro and is paid directly to the educational institution indicated by the employee. Election to participate in this program occurs once a year in June for the fiscal year starting July 1. Touro’s obligation to make the monthly tuition payments to the designated education institution continues as long as the employee remains employed at Touro. The maximum amount that can be allocated to this program is 40% of the annual salary.

Please note that one’s salary is reduced by the amount allocated to this program. Therefore, taxes and benefits, such as life insurance, short and long term disability, workers compensation, and retirement plans are then based on the reduced salary. Retirement Plans (403B)

Touro University California has implemented a tax-deferred savings program known as a 403B Retirement Savings Plan. This program allows employees to contribute part of their income into one or more investment plans offered by the University on a pre-tax basis through payroll deductions. Employees may contribute from 5% up to a maximum amount determined annually by the IRS. Details about the Supplemental Retirement Account (SRA) and the Retirement Account (RA) plans follow:

Supplemental Retirement Account

The first of the month following the first day of employment, an employee is eligible to participate in the Supplement Retirement Account on a pre-tax basis. There is no contribution made by Touro at this time.

Retirement Account

After 18 months of full-time employment employees are eligible to participate in the College Retirement Account on a pre-tax basis. The minimum contribution is 5% of the salary and this is matched by Touro’s contribution of 5%. Contact the Human Resources Department if the employee contribution is to exceed 5%.

There are two possible investment firms: Fidelity Retirement Services and Teachers Insurance Annuity Association/ College Retirement Equities Fund (TIAA/CREF).

FACULTY LEAVE POLICIES

Holidays

A list of holidays is prepared by the Human Resources Department and distributed to employees before the 1st of each calendar year. TUC observes the following paid holidays:

Martin Luther King Jr. Day Presidents’ Day Passover – First 2 days & last 2 days Shavuot – 2 days Memorial Day Independence Day Labor Day Rosh Hashanah – 2 days Yom Kippur Sukkot – First 2 days & last 2 days

Thanksgiving – Thursday and Friday Floating Holiday New Year’s Day

Vacation

All full-time faculty of TUC accrue 15 days paid vacation leave in their first year of employment. All full-time faculty will accrue one additional vacation day per year to a maximum of 20 days. Vacation is prorated based upon the percentage of time worked .50 FTE and above. Example: 1.0 FTE faculty receive 1.25 days of vacation per month/15 days per year during Year One, .50 FTE faculty accrue 0.625 vacation per month/7.5 days vacation per month/7.5 days vacation per year during Year One.

Year One Accrual: 1.25 days/month, 15 days/year Year Two Accrual 1.33 days/month, 16 days/year Year Three Accrual 1.42 days /month, 17 days/ year Year Four Accrual 1.50 days/month, 18 days/year Year Five Accrual 1.58 days/month, 19 days/year Year Six and beyond 1.67 days/month, 20 days/year

Vacation leave days begin to accrue monthly on the date of appointment of the individual faculty member. Days may be taken upon accrual.

Unused vacation leave may be accrued to a maximum of 40 days. The faculty should make every effort to ensure that vacation leave is taken with minimal disruption to her/his academic duties. Prior to taking vacation leave, faculty must obtain written approval from the appropriate Department Chair, Director, Associate Dean or Dean.

Upon termination of employment at Touro University California, faculty members will be paid for accrued vacation at their current base rate of pay. Sick Leave

Full-time faculty are credited with 6 days of sick leave per year at the beginning of the new fiscal year (July 1). If employment begins on or after January 1, the employee is credited with 3 days of sick leave for that fiscal year. Sick leave is prorated based upon the percentage of time worked .50 FTE and above. Example: 1.0 FTE faculty receive 6 days of sick leave per fiscal year (July 1-June 30); .5 FTE faculty receive 3 days of sick leave per fiscal year. Sick leave does not accrue from year to year. Days may be taken upon accrual.

Faculty must report all absences from work to their Department Chair by 9:30 a.m. of the day in question. In the event of a prolonged illness, the faculty member may be required to provide documentation of the illness to the Human Resources Department.

Vacation time and personal days may be used during prolonged illness.

Sick leave may not be used as vacation time, or combined with vacation and personal days.

Upon termination of employment from Touro the faculty member will not be paid for unused sick leave.

Full-time faculty who do not use the allocated days may petition the Human Resources Department to convert sick time to vacation leave as follows:

a 4 days 1 day

b 5 days 2 days

c 6 days 3 days

Personal

Full-time faculty are credited with 3 days of personal leave per year beginning July 1 of each fiscal year. Faculty who start working on or after January 1 are entitled to 1.5 days of personal leave. Personal leave days cannot be carried over into the next fiscal year. Personal days cannot be taken after submitting a resignation but faculty will be paid for all credited but unused personal leave time.

Scheduling of personal time must be requested in writing by submitting an “Employee Leave Request Form” to the employee’s supervisor for approval. A copy of the approved Request Form must be given to the Human Resources department for their attendance records. No vacation or personal leave will be paid unless there is an approved request form.

Taking a Personal day on Friday will be counted as a half personal leave day. However, only two Fridays per fiscal year can be taken as half personal leave days. Faculty Development Leave

A well-conceived and comprehensive program of faculty development is essential for the success of the university. The major goals of an excellent faculty development program include rewarding and providing motivation for quality performance, creating opportunities for effective and constructive participation on substantive matters and implementing structured, well-funded and staffed programs that are supported by the commitment of management and participation of faculty. The essence of faculty development programs is to enhance and promote growth of scholarly activities.

To this end, Touro University California will provide funding and time to faculty members in support of their development, based on budgetary and academic planning. This includes time away from campus both as a learner and as an educator or presenter at conferences, conventions and symposiums. The faculty member must request approval of Faculty Development Leave in writing from the Department Chair with the approval of the appropriate Associate Dean, Dean or Director. New faculty members may not take Faculty Development Leave for the first 3 months of employment. Faculty Development Leave does not accrue and it is the responsibility of the faculty member to request such leave and funding when available. Sabbatical Leave

The primary purpose of the sabbatical leave is to provide an opportunity for faculty members to engage in scholarly, creative, professional, research and/or intellectual activities as will enhance their further service to the University. A sabbatical leave is to be granted at the sole exclusive discretion of the University as a privilege, and not as an automatic right. However, the University will make every effort to accommodate granting faculty sabbaticals. The University recognizes the enhanced value to itself in encouraging and granting sabbaticals.

Full-time members of the University faculty may apply for a sabbatical leave after six years of continuous full-time service. A sabbatical leave may be granted for one-half year at full salary or one year at half-salary. A second sabbatical can only be granted after a minimum of another 5 years of continuous full-time service.

The sabbatical proposal will be submitted to the College Dean and to the Sabbatical Review Committee (SRC) composed of at least two faculty members from each of the Colleges of TUC. The SRC is designated by the Faculty Senate, and each member serves a 3 year staggered term and will evaluate by academic merit and sort the proposed sabbatical projects into three categories, as follows:

xxiii. Proposals judged to be among the best of the proposals submitted, based on features of unusual value or promise, will be recommended for approval regardless of equity. Unusual promise may be manifested in such features as the perceived value of the project to the discipline and to the University, its academic substance, the clarity with which it is defined and elaborated into practicable tasks, its timeliness, etc.

xxiv. Proposals which do not offer convincing evidence of a well-defined and worthwhile project will be judged to be not acceptable.

xxv. All other proposals will be judged to be acceptable and ranked in order of accrued service.

The sabbatical proposal must include the following elements in order to be judged complete and should be formatted as follows: 1. A brief and explicit summary of the particular tasks that will be performed in the accomplishment of the objectives. 2. A concise statement of objectives. 3. An overview of relevant background information and a description of the project's significance to the academic field of interest. 4. A brief description of the anticipated benefits of the project. 5. The dates of a prior sabbatical or difference-in-pay leave (if applicable).

The sabbatical leave will not be used to accept routine responsibilities elsewhere. Compensation shall not be paid in lieu of taking a sabbatical leave. As a condition of accepting a sabbatical, the recipient must agree to continue his/her service at the University for at least one year following the completion of a sabbatical leave.

Timeline: A detailed plan for use of the sabbatical leave shall be submitted by January 1, preceding the academic year in which the sabbatical leave is to commence. The proposal is submitted to the college Dean who will forward the proposals to the SRC by January 15th. The SRC will complete the evaluation and categorization of the sabbatical proposals by the end of February to the Provost/COO and to the respective college Dean. The college Dean will notify the Provost/COO of his/her approval or disapproval taking into account the personnel needs of the University and budgetary considerations by the end of March. The FS strongly urges a standard and ongoing university line item fund to cover any costs (e.g. adjunct faculty, etc) of faculty on approved sabbatical. The faculty will be notified of approval or disapproval by April 15th.

Within three months after the return to the University, the recipient of the sabbatical leave will present to the Dean a written report describing his/ her professional or academic activities during the sabbatical leave. This report will be place in the employee personnel file in Human Resources. Family and Medical Leave

Employees who have more than 12 months of service, and who have worked at least 1,250 hours during the previous 12-month period before the date the leave is to begin, are eligible under federal Family and Medical Leave Act and state California Family Rights Act family leave laws to take up to a maximum of 12 work weeks of unpaid family/medical leave within a 12-month period.

Family/medical leave time is permitted for the birth of the employee’s child, or placement of a child with the employee for adoption or foster care, to care for the employee’s spouse, child or parent who has a serious health condition, or for a serious health condition that makes the employee unable to perform his or her job.

Family Leave and Pregnancy

Time off from work because of the employee’s disability due to pregnancy, childbirth, or related medical condition is not counted as time used for California Family Rights Act leave, but is counted as time used for Family and Medical Leave Act leave. Pregnant employees may have the right to take a pregnancy disability leave in addition to family or medical leave. Such employees should contact their supervisor regarding their individual situation. Any leave taken for the birth, adoption, or foster care placement of a child does not have to be taken in one continuous period of time. California Family Rights Act leave taken for the birth or placement of a child will be granted in minimum amounts of two weeks. However, Touro University California will grant a request for a California Family Rights Act leave (for birth/placement of a child) of less than two weeks’ duration on any two occasions. Any leave taken must be concluded within one year of the birth or placement of the child with the employee.

Please contact Human Resources as soon as you realize the need for family/medical leave.

If the leave is based on the expected birth, placement for adoption or foster care, or planned medical treatment for a serious health condition of the employee or a family member, the employee must notify TUC at least 30 days before leave is to begin. The employee must consult with his or her supervisor regarding scheduling of any planned medical treatment or supervision in order to minimize disruption to the operations of TUC. Any such scheduling is subject to the approval of the health care provider of the employee or the health care provider of the employee’s child, parent, or spouse.

If the employee cannot provide 30 days’ notice, Touro University California must be informed as soon as practical.

Additional Requirements for Serious Health Condition

If the Family and Medical Leave Act/California Family Rights Act request is made because of the employee’s own serious health condition, TUC may require, at its expense, a second opinion from a health care provider that Touro University California chooses. The health care provider designated to provide a second opinion will not be one who is employed on a regular basis by TUC.

If the second opinion differs from the first opinion, TUC may require, at its expense, the employee to obtain the opinion of a third health care provider designated or approved jointly by the employer and the employee. The opinion of the third health care provider shall be considered final and binding on TUC and the employee.

Certification by Health Care Providers

Touro University California requires the employee to provide certification as explained in the following policy within 15 days of any request for Family and Medical Leave Act/California Family Rights Act leave, unless it is not practicable to do so. TUC may require recertification from the health care provider if additional leave is required.

. If the leave is needed to care for a sick child, spouse, or parent, the employee must provide a certification from the health care provider stating: . Date of commencement of the serious health condition; . Probable duration of the condition; . Estimated amount of time for care by the health care provider; and . Confirmation that the serious health condition warrants the participation of the employee.

• When both parents are employed by TUC and request simultaneous leave for the birth or placement for adoption or foster care of a child, TUC will not grant more than 12 workweeks total of family/medical leave for each employee.

• If an employee cites his or her own serious health condition as a reason for a leave, the employee must provide a certification from the health care provider stating: . Date of commencement of the serious health condition; . Probable duration of the condition; and . Inability of the employee to work at all or to perform any one or more of the essential functions of his or her position because of the serious health condition.

Return to Work Certification

Touro University California will require certification by the employee’s health care provider that the employee is fit to return to his or her job.

Coordination with Health Insurance

An employee taking family/medical leave will be allowed to continue participating in any health and welfare benefit plans in which he or she was enrolled before the first day of the leave (for up to a maximum of 12 work weeks) at the level and under the conditions of coverage as if the employee had continued in employment for the duration of such leave. TUC will continue to make the same premium contribution as if the employee had continued working. The continued participation in health benefits begins on the date leave first begins under Family Medical Leave Act (e.g., for pregnancy disability leaves) or under Family Medical Leave Act/California Family Rights Act (e.g., for all other family care and medical leaves). In some instances, TUC may recover from an employee premiums paid to maintain health coverage if the employee fails to return to work following family/medical leave.

Employees on family/medical leave who are not eligible for continued paid coverage may continue their group health insurance coverage through TUC in conjunction with federal 61

COBRA guidelines by making monthly payments to TUC for the amount of the applicable premium. Employees should contact the Human Resources department for further information.

Use of Accrued Paid Leave Time for Family/Medical Leave

Accrued sick leave is required to be used during Family and Medical Leave Act/California Family Rights Act leave for the employee’s own serious health condition, or to attend to the illness of a child, parent, or spouse of the employee. Vacation and other accrued time (other than sick leave) may be used for any family/medical leave qualifying event.

Return from Family/Medical Leave

Under most circumstances, upon return from family/medical leave, an employee will be reinstated to his or her original job or to an equivalent job with equivalent pay, benefits, and other employment terms and conditions. However, an employee has no greater right to reinstatement than if he or she had been continuously employed rather than on leave. For example, if an employee on family/medical leave would have been laid off had he or she not gone on leave, or if the employee’s job is eliminated during the leave and no equivalent or comparable job is available, then the employee would not be entitled to reinstatement. In addition, an employee’s use of family/medical leave will not result in the loss of any employment benefit that the employee earned before using family/medical leave.

Reinstatement after family/medical leave may be denied to certain salaried “key” employees under the following conditions:

■ An employee requesting reinstatement was among the highest-paid 10 percent of salaried employees employed within 75 miles of the work site at which the employee worked at the time of the leave request;

■ The refusal to reinstate is necessary because reinstatement would cause substantial and grievous economic injury to Touro University California’s operations;

■ The employee is notified of Touro University California’s intent to refuse reinstatement at the time Touro University California determines the refusal is necessary; and

■ If leave has already begun, Touro University California gives the employee a reasonable opportunity to return to work following the notice described previously.

For additional information about eligibility for family/medical leave, contact the Human Resources department.

Time Accrual

Employees on Family and Medical Leave Act/California Family Rights Act leave will not continue to accrue vacation, sick leave, or other paid time off during unpaid Family and Medical Leave Act/California Family Rights Act leave.

Carryover

Leave granted under any of the reasons provided by state and federal law will be counted as family/medical leave and will be considered as part of the 12-workweek entitlement in a 12- month period. The 12-month period is measured forward from the date any employee’s first Family and Medical Leave Act leave begins. Successive 12-month periods commence on the date of an employee’s first use of such leave after the preceding 12-month period has ended. No carryover of unused leave from one 12-month period to the next 12-month period is permitted.

Intermittent Leave

Employees may take Family and Medical Leave Act/California Family Rights Act leave intermittently (in blocks of time, or by reducing their normal weekly or daily work schedule) if the leave is for the serious health condition of the employee’s child, parent, or spouse, or of the employee, and the reduced leave schedule is medically necessary as determined by the health care provider of the person with the serious health condition. The smallest increment of time that can be used for such leave is one day.

Return from Pregnancy Leave

Pregnancy, childbirth, or related medical conditions will be treated like any other disability, and an employee on leave will be eligible for temporary disability benefits in the same amount and degree as any other employee on leave.

Any female employee planning to take pregnancy disability leave should advise the personnel department as early as possible. The individual should make an appointment with the personnel manager to discuss the following conditions:

● Employees who need to take pregnancy disability must inform Touro University California when a leave is expected to begin and how long it will likely last. If the need for a leave or transfer is foreseeable, employees must provide notification at least 30 days before the pregnancy disability leave or transfer is to begin. Employees must consult with the HR Director regarding the scheduling of any planned medical treatment or supervision in order to minimize disruption to the operations of TUC. Any such scheduling is subject to the approval of the employee’s health care provider;

● If 30 days’ advance notice is not possible, notice must be given as soon as practical;

● Upon the request of an employee and recommendation of the employee’s physician, the employee’s work assignment may be changed if necessary to protect the health and safety of the employee and her child;

● Requests for transfers of job duties will be reasonably accommodated if the job and security rights of others are not breached;

● Temporary transfers due to health considerations will be granted when possible. However, the transferred employee will receive the pay that accompanies the job, as is the case with any other temporary transfer due to temporary health reasons;

● Pregnancy leave usually begins when ordered by the employee’s physician. The employee must provide Touro University California with a certification from a health care provider. The certification indicating disability should contain:

● The date on which the employee became disabled due to pregnancy;

● The probable duration of the period or periods of disability; and

● A statement that, due to the disability, the employee is unable to perform one or more of the essential functions of her position without undue risk to herself, the successful completion of her pregnancy, or to other persons.

● Leave returns will be allowed only when the employee’s physician sends a release;

● An employee will be required to use accrued sick time if otherwise eligible to take the time during a pregnancy disability leave. An employee will be allowed to use accrued vacation or personal time if otherwise eligible to take the time during a pregnancy disability leave; and

● Duration of the leave will be determined by the advice of the employee’s physician, but employees disabled by pregnancy may take up to four months. Part- time employees are entitled to leave on a pro rata basis. The four months of leave includes any period of time for actual disability caused by the employee’s pregnancy, childbirth, or related medical condition. This includes leave for severe morning sickness and for prenatal care.

● Leave does not need to be taken in one continuous period of time and may be taken intermittently, as needed. Leave may be taken in increments of one day.

● Under most circumstances, upon submission of a medical certification that an employee is able to return to work from a pregnancy disability leave, an employee will be reinstated to her same position held at the time the leave began or to an equivalent position, if available. An employee returning from a pregnancy disability leave has no greater right to reinstatement than if the employee had been continuously employed.

● Return to the employee’s previously held job shall be guaranteed for six months, provided that the employee complies with the terms of the leave, which are six (6) to twelve (12) months.

● Return from leave after 6 to 12 months shall result in the assignment of the employee to any vacant position as a regular job, provided the job can be performed satisfactorily.

Coordination with Family Leave

If the employee takes a pregnancy disability leave and is eligible under the federal or state family and medical leave laws, TUC will maintain group health insurance coverage for up to a maximum of 12 workweeks (if such insurance was provided before the leave was taken) on the same terms as if the employee had continued to work. Leave taken under the pregnancy

disability policy runs concurrently with family and medical leave under Federal Law, but not family and medical leave under California Law. If the employee is ineligible under the federal and state family and medical leave laws, while on pregnancy disability the employee will receive continued paid coverage on the same basis as other medical leave that TUC may provide when eligible. In some instances, Touro University California may recover premiums it paid to maintain health coverage if the employee fails to return to work following pregnancy disability leave

If on pregnancy disability leave and not eligible for continued paid coverage, or if paid coverage ceases after 12 workweeks, the employee may continue group health insurance coverage through TUC in conjunction with federal COBRA guidelines by making monthly payments to TUC for the amount of the relevant premium. Contact the personnel manager for further information. Bereavement Leave

In the event of death of an immediate member of the employee’s family, the University grants up to five work days paid leave. The University defines immediate family as the employee’s spouse, parent, step parent, grandparent, child, step child, grandchild, sibling, and registered domestic partner. A two day leave with pay is granted in the event of the death of the employee’s spouse’s parent, step parent, grandparent or sibling registered domestic partner, and the spouse of an employee’s sibling.

Employees may, with their supervisor’s approval, get additional unpaid time off if necessary, or use their vacation and personal days. Jury Duty

Full-time employees called for jury duty will receive their full salary for up to 21 days within a two year period. Employees must present the jury duty summons to their supervisor or to Human Resources. If an employee receives salary from TUC while on jury duty, monies received from state or federal authorities as compensation for jury duty service must be submitted to the Human Resources office.

The supervisor should be consulted when a jury duty notice is received. Postponements are available and sometimes necessary if such duty should occur during a peak period in the department. Military Leave

Reserve Active Duty Training. An employee may receive a leave of absence for performance of active duty with the National Guard or the U.S. Armed Forces Reserves in accordance with state and federal law. An employee who is required to participate in two (2) weeks annual training as part of a military service program will be paid the difference between his/her regular salary and the pay received for the reserve training.

Active Duty In the case of a reservist called to Active Duty, the University in compliance with Federal Veteran’s Reemployment Rights Law, will rehire veterans to their former job or job with similar status and pay. The veteran must apply for reemployment within 90 days of discharge.

Benefits

TUC will not pay medical or other benefits for the employee while on leave for reserve military duty (except for the two weeks). However, benefits will be reinstated upon reemployment. If the employee wishes to maintain coverage in the TUC plan, he/she may do so by paying the full group plan cost for individual and/or dependent coverage. Leave of Absence Without Pay

A leave of absence without pay may be arranged by giving the Chairperson and the Dean at least one semester advance notice in writing. Final approval will rest with the Dean. A full-time person will generally be granted a leave of absence, provided a suitable replacement can be appointed or other arrangements made to handle all the teaching assignments.

Employees out on a qualified leave will be subject to leave without pay once they have exhausted all available vacation, sick, and personal time.

COMMITTEES

Administrative Committees are constituted by the administration and faculty may be invited to serve. Faculty may or may not chair these committees. The term of membership for faculty is determined by the administration which may desire long term stability and would prefer that it be stipulated that faculty may (rather than must) step down at the end of the term. No faculty member will be required to remain on a committee against his/her will. Administrative committees report through the appropriate Administrative lead to the Provost/COO. They recommend policies through these channels. Individual college committees are considered Administrative Committees.

Faculty Committees are designed to fairly represent the faculty and are comprised of sufficient number of faculty members from each College or Program to satisfy the needs of the committee. Administrators are not precluded from chairing these committees, but usually do not. The term of membership for faculty is determined by the Faculty Senate. Faculty Senate committees report through the Faculty Senate Executive Committee unless specified otherwise to the Provost/COO. The FSEC recommends policies through these channels. Each committee may establish its own bylaws, but must include: mission and purpose of committee, how chairs are selected and duration of term of office, how committee members are selected and duration of term, meeting frequency, what constitutes a quorum proved the quorum is not less than 20% of the membership. All Faculty Senate committee bylaws must be approved by the Faculty Senate. Faculty Senate committees are constrained by the Faculty Senate bylaws.

Shared Committees are constituted nearly equally by administration and faculty, with names of members submitted by each group essentially as above. Administrators or Faculty may chair these committees. The term of membership for faculty is determined by the Faculty Senate. These committees report and recommend policies through the appropriate Deans or Vice-Presidents to the Provost/COO.

The following is a listing of committees. Administrative Committees The Executive Council

The Executive Council includes the CEO/Senior Provost, Provost/COO, 3 academic Deans and Dean of Students, Assistant Dean of Students, Associate VP for Administration, Associate VP 66 for Advancement, Director of Fiscal Affairs and Accounting, Director of Information Technology, Director of Human Resources, Director of Institutional Research and Assessment, Director of Research Development and Sponsored Programs, Director of Library, and Faculty Senate Chair. The group is charged with development and implementation of policy at the university level and serves in an advisory capacity to the CEO/Senior Provost and Provost/COO.

Strategic Planning Committee

The charge of the Strategic Planning Committee (SPC) is to review relevant data and make recommendations to the Provost /COO regarding planning, action priorities, and funding priorities for the university. With representation from key constituencies, the SPC analyzes and responds to significant TUC issues including the development of a strategic plan. The Plan ultimately will identify core values, priorities, and goals of the University and help reveal assessment strategies by which to monitor the University’s success in achieving its mission and goals.

Institutional Assessment Committee

The Institutional Assessment Committee ensures that assessment of Student Learning Outcomes is sustainable, meaningful, and becomes part of the culture of TUC. It provides leadership and assistance in developing and implementing university-wide assessment policies, procedures and activities. It reports through the Director of Institutional Research and Assessment to the Provost/COO.

Financial Aid

The Financial Aid Committee meets to insure that scholarships, or other means of financial support, are available to support students and are allocated in a fair and timely manner. This committee reports to the Dean of Students.

Tech Team

The TUC Tech Team is made up of members of the Information Technology Department and representatives of all colleges and administrative divisions of TUC including faculty representatives from each college. A representative from the TUC Faculty Technology Advisory Committee is also a member of the TUC Tech Team. The Tech Team meets biweekly and follows a regular agenda of announcements and project updates. Representatives present issues and initiatives in their colleges and divisions that would benefit from group discussion, require interdepartmental coordination or require focused attention from the Information Technology Department. Pilot projects initiated at the division level are presented and frequently expanded as a result of Tech Team interactions. The TUC Tech Team members are also provided an opportunity to provide input on technology related policies under consideration by the TUC Executive Council. The committee reports to the Provost/COO through the Director of Information Technology.

Web Team

The TUC Web Update Coordination Committee (WUCC) is made up of active website editors, representing all colleges and administrative divisions of TUC. The WUCC proposes changes to the site, prioritizes expansion of the web content management system and participates in

67 seminar-type activities covering a wide range of web publishing activities, including writing style, SEO and site analytics. Members of the Committee develop minimum standards for pages published by decentralized editors throughout the University and serve as the focal point for ensuring continued web quality, accuracy and freshness through guidelines and peer page review activities. The committee reports to the Provost/COO through the Director of Information Technology.

Master Calendar Committee

The Master Calendar Committee is made up of representatives from all four colleges and departments on campus. The purpose of the committee is to develop a master calendar of major events for each academic year. The Master Calendar is approved by the Executive Council and returned to the Master Calendar Committee to maintain the calendar throughout the academic year.

Safety Committee

The role of the Safety Committee is to insure that TUC is fully compliant with all federal, state and local health and safety regulations. The committee is led by the campus Safety Officer who conveys reports and recommendations to the Provost/COO.

Emergency Management Committee

The primary purpose of this group is to develop and implement an Emergency Response plan for incidents or natural disasters that may occur. The group develops protocols for internal and external communication, updates the campus emergency response plan that is posted to Blackboard, and makes recommendations related to personnel training. The committee reports to the Provost/COO.

Parking Appeals Committee

The purpose of the Parking Appeals Committee is to evaluate and recommend disputed vehicle citation’s dispositions. The committee reports to the Associate VP for Administration.

Institutional Review Board (IRB)

The IRB assesses risks and anticipated benefits of research involving human subjects as required by local, state and federal law. The IRB also determines the adequacy of the provisions to protect the privacy of subjects and to maintain the confidentiality of the data. The IRB has the authority to approve, require modifications before approval, or withhold approval of proposal submitted to it for review. No activity, including student originated projects, involving human subjects can begin unless it is first approved by the IRB. The IRB reports through its Chair to the Director of Research Development and Sponsored programs (OSP).

Institutional Biosafety Committee (IBC)

TUC is committed to protection of our faculty, staff, students and community through careful analysis of all biological research occurring at or affiliated with Touro University California. The University recognizes a shared responsibility with its investigators to insure research using biological materials meets or exceeds federal, state, and local regulations. The IBC and its Chair are appointed by the TUC Provost/COO upon recommendations from the College Deans or their designees. The Biological Safety Officer (BSO) is ultimately responsible for the oversight of biological research activities at TUC. No person or other committee - whether 68

internal or external - can overturn an IBC decision to disapprove, terminate, or suspend a research protocol. The IBC Chair reports to the Biological Safety Officer (BSO) on all matters relating to work with bio hazardous agents at TUC. The Biological Safety Officer reports to the Director of Research Development and Sponsored Programs.

Institutional Animal Care and Use Committee (IACUC)

The IACUC has an obligation to review all research projects or proposed projects involving animal subjects. The IACUC has authority to approve, require modifications before approval, or withhold approval of proposals submitted to it for review. No activity involving animals can begin unless it is first approved by the IACUC. The IACUC reports through its Chair to the Provost/COO who serves as the Institutional Official.

Program Review Committee

The Program Review Committee (PRC) provides systematic program reviews designed to evaluate and enhance the quality of academic programs through a focus on student learning outcomes, evidence-based decisions, and integration with institutional planning. The PRC includes at least one faculty member from each academic program. Faculty members are elected by the Faculty Senate. The Director of Institutional Research and Assessment serves as an ex-officio member. The Program Review Committee is a university committee and reports directly to the university Provost/COO.

WASC Executive Team

The WASC Executive Team (WET) provides oversight and guidance for the Touro University (TUC & TUN) WASC accreditation activities. WET is comprised of five representatives from each campus and meets quarterly by teleconference or in person to discuss assessment and accreditation timelines and activities and review reports from the Institutional Assessment Committee. Faculty Committees Faculty Senate Executive Committee

The Executive Committee of the Faculty Senate is composed of the officers of the Faculty Senate and one Member-at-Large. The Executive Committee represents the Faculty in discussions with the Administration on any issue of common interest. This committee reports to the Faculty Senate and communicates directly with the Provost/COO.

Faculty Technology Advisory Committee

The Faculty Technology Advisory Committee considers technology issues that are related to either classroom instruction or the performance of faculty members’ assigned duties. It provides a forum for the sharing of technology-related issues and information amongst its members. The committee reports to the Faculty Senate and makes specific recommendations through its Faculty Senate representative to the administrative Institutional Technology Committee.

Grievance Committee

The Grievance Committee reviews petitions submitted by faculty who believe that their rights have been violated in such matters as academic freedom, suspension or dismissal for cause, assignment of teaching duties, issues relating to propriety of conduct and sexual harassment, disciplinary actions taken or other matters. This committee reports to the Provost/COO.

Library Committee

The role of the Library Committee is to insure that the TU California library functions to meet the academic needs of students and faculty. It recommends policies governing the operations of the library and also makes recommendations concerning the collections (books, periodicals) and electronic resources that should be available to meet the needs of the College. This committee reports to the Director of the Library.

Rank and Promotions Committee

The Rank and Promotion Committee has the responsibility to develop and apply guidelines for assignment of faculty rank. The Committee recommends initial faculty rank, reviews applications for promotion in rank, and recommends in favor or against promotion according to the guidelines. This committee reports to the Faculty Senate administratively, and sends rank and promotion recommendations to the Dean (Library Director) to be considered in their recommendations to the Provost/COO.

Research Committee

The Research Committee participates in strategic planning related to the research infrastructure of the campus, increasing faculty productivity in research and grant writing, and developing intramural incentives to promote research activity. The committee reports through the Faculty Senate to the Director of Research Development and Sponsored Programs.

Faculty Benefits and Retention Committee

The Faculty Benefits and Retention Committee works to promote job satisfaction and retention of faculty through advocacy for policies and practices that are equitable within Touro University California and competitive with other Universities with regard to compensation (benefits, salaries, retirement), working conditions, resources, teaching load, research and service. The committee reports to the TUC Faculty Senate and to the Provost/COO through the Faculty Senate Executive Committee. Shared Committees

Admissions Committee

Admissions Committees review the qualifications of student applicants to respective programs within the university and ranks the applicants accordingly. Decisions on applicants are consistent with College policies and are based on application files and interviews. This committee recommends eligible candidates to the respective College Dean for acceptance.

Curriculum Committee

The Curriculum Committees oversee the respective programs’ curriculum and make recommendations regarding additions, deletions, or substantive changes in courses and clinical 70

rotations as it monitors trends in education and the needs and performance of TUC students. These committees report to the respective College Deans.

Student Promotions Committee

Each college has its own Student Promotions Committee which reviews and evaluates academic performance of students in its program and recommends appropriate actions if a student does not main satisfactory academic progress. The College of Pharmacy Student Promotions Committee is called the Academic Standards Committee.

Interprofessional Education Committee

The IPE committee provides leadership and guidance for the development of academic structures and resources necessary to support inter-professional education for TUC students and inter-professional practice in the health care environment. Membership consists of both faculty and administrative representatives from each academic program. It reports to the Provost/COO through the academic deans of the colleges and to the Faculty Senate through its Chair. Ad hoc Committees

Ad Hoc Committees can be established by either administration or faculty and are created for a specific goal or purpose for a specified period of time. Examples of Ad Hoc Committees are: Faculty Handbook Revision Committee, Academic Honesty Committee, Infrastructure Space Committee, and Faculty Search Committees. These committees report to the Faculty Senate, the respective College deans, or directly to the Provost/COO as appropriate to their function.

APPENDIX A: FACULTY SENATE BY-LAWS

Revised and Ratified by the Faculty Senate on March 30, 2009

The name of the organization will be the Touro University – California (TUC) Faculty Senate.

The purpose of the TUC Faculty Senate will be to represent the interests of the entire faculty including, but not limited to:

• Establishment and oversight of faculty standards; Curriculum development and oversight; • Salary and contract negotiations; • Hiring of faculty, including determination of initial rank; Faculty promotion; • Academic resources and staffing; • Composition and constitution of standing and special committees, including search committees; • Faculty development and morale; • Addressing any matters of importance to the faculty of TUC and making recommendations to the Dean, President, and Board of Trustees when deemed appropriate; • Promotion, support and enhancement of research and scholarly activities; Establishment and oversight of educational standards; • Active participation in long-range planning and institutional development.

Article I: Membership qualifications, rights and duties to the Touro University- California Faculty Senate, hereinafter known as the Faculty Senate. 1. All regular faculty of Touro University-California (Touro University-C) are voting members of the Faculty Senate. Regular faculty members are defined as individuals who hold faculty rank and have gone through the formal ranking process by the TUC Rank and Promotion Committee, have at least a 50% time appointment and whose primary employer is Touro University - C. Faculty holding administrative titles of Associate Dean or ranks above that level are ineligible for membership. 2. All other faculty will be non-voting members of the Faculty Senate. This includes individuals holding faculty rank who work less than 50% time and those faculty members who have not gone through the formal ranking process by the TUC Rank and Promotion Committee. 3. Individuals who hold faculty appointments with specifically defined terminations, such as research fellows, will be non-voting members of the Faculty Senate. 4. The Faculty Senate Secretary will verify employment status of Faculty Senate members annually with the Human Resources Department. Verification will be done at the beginning of the academic year. Article II: The duties of the officers and executive committee of the Faculty Senate are as follows: 1. The Chair will: • Preside over Senate meetings and Executive Committee meetings. • Vote only under circumstances in which no clear majority has been obtained (tie vote). • Voice the concerns and issues of the faculty to the administration and act as a liaison. • Serve a term of not more than 2 years. Will be eligible for reelection to a second two-year

term.

2. The Vice-Chair will: • Assume responsibilities of the Chair in the absence of the Chair. • Take over as Chair if the Chair resigns or is unable to continue in his/her duties. • Serve a term of not more than 2 years. Will be eligible for reelection to a second two-year term. • Act as parliamentarian of the Faculty Senate. • Be a member of the Self-Study Steering Committee.

3. The Secretary-Treasurer will: • Record, maintain and distribute minutes to the membership. • Verify employment status of Faculty Senate members with the Human Resources Department at the beginning of each academic year. • Notify the membership of all special and regular meetings and of the results of all votes. • Receive and tally all electronic votes and notify the membership of the results. • Record, maintain and distribute minutes to the membership. • Accept new agenda items submitted by the membership and present them to the Executive Committee for inclusion. • Serve a term of not more than two years. Will be eligible to for reelection to a second two- year term. • Collect dues, maintain banking records and present annual financial reports to the Faculty Senate.

4. Member-at-Large will: • Attend the Faculty Senate Executive Committee meetings with full voting privileges. • Serve a term of not more than two years. Will be eligible to for reelection to a second two- year term.

5. The Executive Committee • Consists of the faculty officers and one member-at-large who is elected by the membership and retains full voting membership in the Executive Committee. • Sets the agenda for all meetings. • Acts as the interface between the faculty and the administration. • Maintains contact with all standing and ad hoc committees of the Faculty Senate.

Article III. Regular meetings will be held once per month during the Academic year and shall be suspended during July.

Article IV. A QUORUM, necessary for the conduct of business and for non-ballot voting, shall consist of 20% of the eligible voting membership.

Article V. The secretary/treasurer of the Faculty Senate shall notify all members of regular and special meetings no less than one (1) week prior to the meeting, except in the case of emergency meetings when one (1) week notice is not possible.

Article VI. Election provisions Section 1. Nominations The Secretary/Treasurer of the Faculty Senate will solicit nominations for the Faculty Senate Executive Committee from all eligible members. The time of the April Faculty Senate meeting will commence the nomination process which will continue for a two week (14) day period. Such nominations will be in written or email form and received at least 14 days prior to the election. If fewer than two (2) names are placed in nomination for any office, a candidate may run unopposed. A potential candidate’s name will be placed in nomination on a ballot only with his/her consent.

Section 2. Elections The Secretary/Treasurer of the Faculty Senate will conduct the election of the Executive Committee. All elections will be conducted by secret electronic ballot. Only eligible faculty members will receive electronic voting instructions. Electronic voting will take place over a two week (14 day) period. The nominees receiving the greatest number of votes cast will be elected to serve on the Executive Committee for a two-year term. If the Secretary/Treasurer is running for a position on the Executive Committee, a special Elections Committee will be appointed to count the electronic ballots. In the event of a tie, a run-off election by electronic secret ballot will be held. In the event that the results of the run-off election also results in a tie, the membership will keep voting until one candidate receives a majority vote. (Per Roberts Rules of Order).

Section 3. Announcement of Election Results The Secretary/Treasurer of the Faculty Senate will forward the winners of the election and vote tallies to the Chair of the Senate prior to the May Faculty Senate meeting. Actually vote tallies will not be reported to the Faculty Senate membership. If the Chair of the Faculty Senate is running for a position on the Executive Committee, a Special Elections Committee will be appointed to report the results of the election. The Chair of the Faculty Senate will announce the names of the persons elected to serve on the Executive Committee by official balloting upon verification of the election results by the Faculty Senate. Officers begin their terms immediately following the June Faculty Senate meeting.

Section 4. Resignation from Office Resignation from office will be made by signed formal letter to the Chair stating the date the resignation is effective and the reason for the resignation.

Section 5. Vacancies All vacancies on the Executive Committee will be filled as soon as possible. The Chair of the Faculty Senate will appoint an individual from the Faculty Senate, with the Senate’s concurrence as determined by secret electronic ballot, to serve for the unexpired term, after which time he/she is eligible for election.

Article VIII. Designation of the organization’s fiscal year The fiscal year shall follow that of Touro University – California.

Article IX. Standing and special rules No standing or special rules of order pertain at this time. Provision for standing rules shall be made only by amendment to the By-laws (see Article XI).

Article X. The parliamentary procedure for this organization shall be Robert’s Rules of Order

Article XI. Methods for amendment and revision of the By-laws. Proposed amendments and revisions to the By-laws will be announced by the sponsoring senator on the agenda for two consecutive meetings of the Faculty Senate. The proposal will be written in a clear and succinct fashion and distributed to each member of the Senate for consideration via email at least seven (7) days in advance of the electronic voting. Voting on amendments or revisions to the By-laws will be by secret electronic voting. Approval of the motion for amendment or revision to the By-laws will require affirmation of two-thirds of those voting.

Upon approval, the amendment will be attached to the main body of the By-laws and made a permanent addition to the document. Revisions to the By-laws will be incorporated in the By- laws document.

APPENDIX B: RANK AND PROMOTION GUIDELINES

Rank and Promotion Committee

Introduction and Purpose

The goal of the University is to evaluate objectively and thoroughly each candidate for appointment and promotion based upon their activities in teaching, scholarship and service. Promotions are not automatic but based on merit. Therefore, the purpose of these guidelines is to provide a blueprint from which the Rank and Promotion Committee (hereafter called RP Committee) can objectively assess and recommend rank for a candidate to the appropriate Dean, and in case of library faculty, to the Library Director.

I. ACADEMIC TRACK (AT)

This broadly defined track includes all faculty members except librarians and those faculty members whose clinical service will be a significant part of their application for initial rank or promotion. This includes, but is not limited to, scientists, public health professionals, educators and higher education professionals for whom faculty rank is appropriate. Faculty members who were initially ranked in the Basic Sciences or the College of Education track will be considered under the Academic Track when applying for promotion.

The AT is divided into three separate and non-sequential tracks consisting of Instructor, Professorial and Adjunct tracks. Placement into the specific track is done prior to review by the RP committee. The RP committee is responsible for recommendations to the advancement within each track listed below.

1. Regular Instructor Track-AT Instructors may teach and supervise students in lecture or clinical settings. Field Supervisors may be included in the Instructor rank if they are regular (non-adjunct) faculty members of Touro University California. Instructors and Field Supervisors are required to have the appropriate degree and credential/license for the teaching or field supervision assignment and are expected to have previous related experience. This category applies to faculty members without significant curricular development or research responsibilities. Instructors are expected to participate in university service if they are employed full time.

2. Regular Professorial Track-AT Assistant Professor – AT Appointment to the rank of Assistant Professor in the Academic Track will be based upon completion of the following requirements:

i. The highest degree, appropriate to the position and educational field, from a regionally accredited college or university or its international equivalent. ii. Appropriate amount of scholarly activity for the position. iii. Demonstrated commitment to quality teaching, student enrichment and a spirit of scholarship necessary to ensure that his /her teaching continues to develop towards excellence.

iv. Willingness to participate in institutional service, teaching, professional development, and/or scholarly activities.

References: A minimum of two (2) reference letters from professional colleagues or supervisors qualified to evaluate the candidate’s academic/professional competency are required. In addition, a nominating letter from the appropriate department chair or dean/associate dean/program director must accompany RP application materials. Associate Professor - AT Appointment or promotion to the rank of Associate Professor in the Academic track will be based upon meeting the following requirements:

i. All requirements for the Assistant Professor rank must be met. ii. Candidates should have a minimum of five (5) years at the rank of Assistant Professor or the equivalent before being considered for this rank. Equivalent experience will be defined by the RP Committee. iii. A sustained record of academic achievements in teaching, service, and scholarship as described in the following:

a. Teaching Faculty will be evaluated on quantity and quality of teaching efforts. Evidence may include recognition and evaluation by peers and students for merit in teaching and/or in clinical/field supervision as well as leadership in the development and delivery of innovative programs, courses, curriculum, and/or methodology.

b. Service Significant achievements in the area of service to the University are expected for promotion to the rank of Associate Professor. Faculty should demonstrate evidence of increasing leadership roles in his/her department, the University, the local community, and/or professional organizations. Service may include leadership in the department, chairing committees, involvement in curricular management, mentoring of junior faculty and students, or involvement in university activities.

c. Scholarship The quality and quantity of the candidate’s scholarship will be used to determine advancement to this rank. Evidence of scholarly activity can be demonstrated by published materials in journals, unpublished manuscripts accepted for publication, pending or accepted patent applications, abstracts as well as participation in local, state, regional or national policy initiatives and/or research or clinical conferences. In addition, evidence of current and continued grant funding and/or major contributions to graduate education that significantly improve the method or quality of instruction at Touro University California or affiliated institutions, will aid in advancement to this rank.

77 department chair or dean/associate dean/program director must accompany RP application materials. Professor – AT The attainment of full professorship is a mark of exceptional academic achievement and merit. Candidates must possess national and/or international reputation and be recognized by his or her peers as a significant contributor in his or her field.

The minimum requirements for advancement to the rank of Professor are:

1. All requirements of an Associate Professor or equivalent must be met.

2. Candidates should possess at least five (5) years experience at the associate level.

In addition to the minimum requirements the candidate should have demonstrated excellence in teaching, service, and scholarship and/or research as outlined in the following:

a. Teaching Faculty will be evaluated on the quantity and quality of teaching efforts. Evidence of excellence must be provided. Evidence may include recognition and evaluation by peers and students for their outstanding work in teaching and/or in clinical/field supervision as well as leadership in the development and delivery of innovative programs, courses, curriculum, and/or methodology. Where appropriate, training of graduate students and post-doctoral candidates will aid in the promotion to this rank.

b. Service The candidate for appointment or promotion to Professor is expected to have made significant contributions to further the goals and mission of their respective program/department, the University and the profession. The candidate should have assumed a leadership role in institutional activities evidenced by chairing or showing major impact on institutional committees and community activities. He or she must have gained national reputation within his/her field as evidenced by memberships in study sections, officer/director positions on advisory or editorial boards, prestigious professional societies, and chairing symposia. Other notable academic achievements considered include the organization of national/international conferences or meetings.

c. Scholarship Candidates for the rank of Professor must demonstrate significant contributions to the profession at the national and/or international levels and be recognized by peers as an expert in their area of specialization. Candidates for rank of Professor must show evidence of scholarship through publication in peer- reviewed journals or commercially published books/chapters/articles, participation in state, national, and/or international educational policy initiatives, invited presentations, receipt of major awards or honors, or other scholar/practitioner activities. The candidate should have demonstrated a sustained pattern of educational and/or research productivity as well as grant

funding. Serving as a resource to junior faculty within the institution, and initiating formal cooperative research ventures with colleagues inside or outside the University may also be considered in promotion to the rank of Professor.

References: The candidate should provide a minimum of three (3) letters of recommendation. For the case of internal promotion, at least 1 of them must come from peers outside the University. The external references must provide evidence of outstanding academic attributes of the candidate. The references must be from senior faculty or individuals of similar established credentials in the candidate’s own area of expertise. In addition, a nominating letter from the appropriate department chair or dean/associate dean/program director must accompany RP application materials.

3. Adjunct Academic Track Adjunct (non-regular) faculty are individuals appointed by the appropriate department/program who provide instructional and/or field supervision service to TU California students. The Adjunct Track is comprised of four contiguous ranks:

Adjunct Instructor Adjunct Assistant Professor Adjunct Associate Professor Adjunct Professor

The requirements for ranking and initial appointments are similar to the Regular Academic Track requirements. Adjunct faculty are ranked by the appropriate Dean; recommendation from the Rank & Promotion Committee is not required. Ranking in an Adjunct appointment is not transferable to a Regular Faculty track. II. CLINICAL TRACK (CT)

The CT is divided into three separate and non-sequential tracks consisting of Instructor, Professorial and Adjunct tracks. Placement into the specific track is done prior to review by the RP committee. The RP committee is responsible for recommendations to the advancement within each track listed below.

1. Regular Instructor Track – CT Instructors may teach students in lecture or laboratory settings in clinical science courses. Instructors are required to have the appropriate degree for the teaching assignment. This category applies to faculty members without significant curricular responsibility and who deliver lectures or assist in the instructional laboratory. Instructors are not expected to conduct research but are expected to participate in university service if they are employed full-time.

2. Regular Professorial Track Assistant Professor – CT Appointment to the rank of Assistant Professor, Regular Clinical Faculty, will be based upon meeting the following criteria:

i. The highest degree, appropriate to the position and educational field, from a regionally accredited college or university or its international equivalent. ii. Applicable Board Eligibility, Board Certification, or Certification (where applicable). iii. Demonstrated commitment to quality teaching, student enrichment, and a spirit of scholarship necessary to ensure that his/her teaching continues to develop towards excellence. iv. Willingness to participate in institutional service, clinical and/or scholarly activity.

References: A minimum of two (2) reference letters from a professional colleague or supervisor qualified to evaluate the candidate’s academic/clinical competency is required. In addition, a nominating letter from the appropriate department chair or dean/associate dean/program director must accompany RP application materials. Associate Professor – CT Appointment or promotion to the rank of Associate Professor, Regular Clinical Faculty, will be based upon meeting the following criteria:

i. All requirements for assistant professor must be met. ii. Candidates should have a minimum of five (5) years at the rank of Assistant Professor or the equivalent before being considered for this rank is required. Equivalent experience will be defined by the RP committee. iii. Applicable Board Certification or Certification (where applicable). iv. Substantial clinical experience. v. A sustained record of academic achievements in teaching, service, and scholarship as outlined in the following:

a. Teaching Faculty will be evaluated on quantity and quality of teaching efforts. Evidence may be demonstrated by recognition of peers and students for their merit in teaching in clinical and/or didactic endeavors as well as leadership in the development and delivery of innovative programs, courses, curriculum, and/or methodology.

b. Service Significant achievements in the area of service to the University are expected for promotion to the rank of Associate Professor. Faculty should demonstrate evidence of increasing leadership roles in his/her department, the University, the local community, and or professional organizations. Service may include leadership in the department, chairing committees, involvement in curricular management, mentoring of junior faculty and students, or involvement in university activities.

c. Scholarship or Clinical Productivity Satisfaction of this requirement can be accomplished by any combination of scholarship and clinical activity. Evidence of scholarly activity can be demonstrated by published materials in journals, unpublished manuscripts accepted for publication, pending or accepted patent applications, abstracts as well as participation in local, state, regional or national policy initiatives and/or

research or clinical conferences. In addition, evidence of current and continued grant funding and/or major contributions to graduate education that significantly improve the method or quality of instruction at Touro University or affiliated institutions, will aid in advancement to this rank. Clinical productivity may be demonstrated by the quality and quantity of involvement in a University sponsored practice plan, University affiliated clinics, or other noteworthy clinical accomplishments.

References: A minimum of three (3) reference letters from a professional colleague or supervisor qualified to evaluate the candidate’s academic/ clinical competency is required. For internal promotions at least one of the references must be from a Touro University California faculty senate member. In addition, a nominating letter from the appropriate department chair dean/associate dean/program director must accompany RP application materials. Professor - CT The attainment of full professorship is a mark of exceptional academic achievement and merit. Candidate must possess national and/or international reputation and be recognized by his or her peers as a significant contributor in his or her field.

The minimum requirements for advancement to the rank of Professor are:

1. All requirements of an Associate Professor or equivalent must be met.

2. Candidate should possess at least five (5) years experience at the associate level

In addition to the minimum requirements the candidate should have demonstrated excellence in teaching, service, and scholarship and/or research as outlined in the following:

a. Teaching Faculty will be evaluated on quantity and quality of teaching efforts. Evidence of excellence must be provided. This evidence may be demonstrated by recognition of peers and students for their outstanding work with regards to teaching in clinical and/or didactic endeavors as well as leadership in the development and delivery of innovative programs courses, curriculum, and/or methodology. Where appropriate, training of graduate students and post-doctoral candidates will aid in the promotion to this rank. In addition, evidence of teaching excellence on a national level should be demonstrated.

academic achievements considered include the organization of national/international conferences or meetings.

c. Scholarship/Clinical Productivity Candidates for the rank of Professor must demonstrate significant contributions to the profession at the national and/or international levels and be recognized by peers as an expert in their area of specialization. Candidates for rank of Professor must show evidence of scholarship through publication in peer-reviewed journals or commercially published books/chapters/articles, participation in state, national, and/or international educational policy initiatives, invited presentations, receipt of major awards or honors, or other scholar/practitioner activities. The candidate should have demonstrated a sustained pattern of educational and/or research productivity as well as grant funding. Serving as a resource to junior faculty within the institution, and initiating formal cooperative research ventures with colleagues inside or outside the University may also be considered in promotion to the rank of Professor. A continuous and exemplary record of clinical practice in a University sponsored practice plan, University affiliated clinic, or other noteworthy clinical accomplishments may also be considered.

1. Adjunct Clinical Science Track Adjunct (non-regular) faculty are individuals appointed by the appropriate department/program who provide instructional service to TU California students in the classroom, affiliated hospitals, clinics and other training institutions, based on academic need. The Adjunct Track is comprised of four contiguous ranks:

Adjunct Instructor Adjunct Assistant Professor Adjunct Associate Professor Adjunct Professor

The requirements for ranking and initial appointments are similar to the Regular Clinical Track requirements, with more emphasis on the clinical setting. Adjunct faculty are ranked by the appropriate Dean; recommendation from the Rank & Promotion Committee is not required. Ranking in an Adjunct appointment is not transferable to a Regular Clinical Faculty track. Continued appointment is reassessed on a regular basis.

III. Library Track (LT) Assistant Professor - Library Track Appointment to the rank of Assistant Professor, Library, will be based upon completion of the following criteria:

i. The highest appropriate degree (M.L.S., M.L.I.S., M.I.M.S.) from an American Library Association accredited library school or its foreign equivalent. An equivalent or higher graduate degree from a Carnegie Level 1 Research Institution may be considered. ii. Demonstrated potential for significant contributions as librarians and scholars as evidenced by participation in organizations, publications, and previous experience. iii. An interest in and willingness to participate in institutional service, teaching, and professional development activities.

References: A minimum of two (2) reference letters from professional colleagues qualified to evaluate the candidate’s academic qualifications is required. In addition, RP-application- materials must be accompanied by a letter from the candidate’s supervisor requesting and evaluating the rank appointment. Associate Professor – Library Track Appointment or promotion to the rank of Associate Professor, Library tract, will be based upon completion of the following criteria:

i. All requirements for Assistant Professor must be met. ii. Candidates should have a minimum of five (5) years at the rank of Assistant Professor or the equivalent before being considered for this rank. Equivalent experience will be defined by the RP committee. iii. Substantial professional library experience. iv. A sustained record of professional achievements in librarianship, service and scholarly/professional activities as described below:

a. Librarianship For promotion to this rank, librarians are expected to have made significant achievements in their professional roles as identified in their position descriptions. These may include but are not limited to: initiating innovative programs or services; promoting library services and information literacy programs; enhancing access to library services and materials; developing and implementing information systems; developing course-related materials; participating in campus research activities; teaching. Achievements of merit and leadership may be recognized by peers and students.

b. Service Significant achievements in the area of service to the University are expected for promotion to the rank of Associate Professor. Faculty should demonstrate evidence of increasing leadership roles in his/her department, the University, the local community, and/or professional organizations. Service may include leadership, chairing committees, involvement in curricular management, mentoring of junior faculty and students, and involvement in University activities.

c. Scholarship Candidates for Associate Professor must demonstrate contributions to the profession through publication in peer-reviewed journals or commercially

published books/chapters/articles; presentations at conferences; research grants and activities.

References: Minimum of three (3) reference letters from a professional colleague or supervisor qualified to evaluate the candidate’s academic competency. For internal promotions at least one of the references must be from a Touro University’s faculty senate member. In addition, a nominating letter from the supervising senior Administrator must be included. Professor - Library Track The attainment of professorship is a mark of exceptional academic achievement of demonstrated merit not longevity. Candidates must be of national and / or international reputation and acknowledged by his or her peers as an authority in his or her field.

The minimal requirements for advancement to the rank of professor are listed below. 1. All requirements of an Associate Professor or equivalent must be met.

2. Candidate should possess at least five years experience at the associate professor level.

In addition to the minimal requirements the candidate should have demonstrated excellence within the librarianship, teaching, scholarship and/or research, and services as outlined below.

a. Librarianship The candidate must have a record of solid, lasting accomplishment, excellent performance and productivity that includes development and delivery of innovative programs. Evidence of excellence in teaching is necessary for promotion to this rank. There must be a strong, continuous record of accomplishment of progressively more challenging goals, as documented in reviews and demonstrated by recognition of peers and students.

b. Service The candidate for appointment or promotion to Professor is expected to have made significant contributions to further the goals and mission of the Library, the University and the profession. The candidate should have assumed a leadership role in institutional activities evidenced by chairing or showing major impact on institutional committees and community activities. The candidate must have gained a national reputation within the field. Evidence of such includes positions on advisory and editorial boards, chair of symposia; officer level positions on national/international organizations.

c. Scholarship Candidates must demonstrate significant contributions to the profession at national and/or international levels and must be recognized by their peers as an expert in their areas of specialization. Publication in peer-reviewed journals or commercially published books/chapters/articles; presentation at conferences (preferably invited or guest); chairing of conferences or symposia, and grants and/or research activities are expected.

APPENDIX C: CONFLICT OF INTEREST POLICY

I. GENERAL STATEMENT OF POLICY

A. Touro College's policy is to conduct university business in an honest and ethical manner and in accordance with the laws that apply to it.

Touro College seeks to be a good corporate citizen and to achieve its educational goals in a manner that enhances its reputation for integrity. In order to do that, all Touro College, officers, faculty and employees must act in an honest and ethical manner and in accordance with law. We have instituted this Conflict of Interest Policy as part of our efforts:

• to prevent unethical or unlawful behavior,

• to stop such behavior as soon as reasonably possible after its discovery.

B. Touro College expects you to follow this Conflict of Interest Policy and to report any violations of which you become aware.

Under this Conflict of Interest Policy, every Touro College officer, faculty member and employee, regardless of job, title or level of responsibility:

• is responsible for his or her own actions with respect to proper conduct and behavior; and

• who sees or becomes aware of unethical or unlawful activity is obligated to report such activity immediately to the Office of the General Counsel referred to in Section III.C of this Conflict of Interest Policy or other appropriate members of our management team.

We also expect our contractors and consultants to be guided by these standards.1 It is the responsibility of any Touro College employee retaining such persons to make sure that they are aware of this Conflict of Interest Policy and follow its principles in their work for Touro College.

C. Violations of this Conflict of Interest Policy will lead to disciplinary action

To ensure compliance with this Conflict of Interest Policy, Touro College will investigate and take such action as it determines necessary to protect its best interests. In those cases where violations have occurred, disciplinary action will be taken -- ranging from reprimand to termination. Violators may also be subject to criminal prosecution or civil lawsuits.

1 The terms “Touro College employee” and “Touro College personnel,” as used throughout this Conflict of Interest Policy, are generally intended to include -- in addition to faculty (professors, adjuncts and others), researchers, grant writers and employees (full-time and part-time) of Touro College who may also be subject to additional and more specific conflict of interest policies -- contractors, consultants and similar persons providing services at Touro College’s direction. In some cases, implementation of the principles contained in this Conflict of Interest Policy may be different for third party service providers, depending on the scope and nature of the services provided. For example, certain “conflicts of interest” that would not be acceptable for an employee may be acceptable for a contractor, depending on the nature of the specific relationship. Please consult the Office of General Counsel for guidance about this. It is important to remember, however, that even

though this Policy applies to third party services providers, that such applicability in no way transforms such relationship into an employment relationship. Contractors are not Touro College employees. II. FACULTY & EMPLOYEE GUIDELINES

The following guidelines cover the major "do’s and don'ts" and spell out acceptable conduct in specific situations. Of course, no set of guidelines can answer every conflict question that may arise. In addition, we sometimes face complicated issues, where the right path to take may not be obvious or where there may be a difference of opinion regarding proper behavior. It is each employee’s responsibility to work through those issues, seek appropriate advice and reach the right result for the college. This Conflict of Interest Policy is intended to help you identify the types of situations that require extra concern or guidance. Questions with respect to application of this Conflict of Interest Policy may be referred to members of the Office of the General Counsel.

Touro College may require certification, from time to time, from some or all of its employees regarding their compliance with this Policy, including their compliance with respect to disclosure requirements set forth in Section B below for conflicts of interest. Touro College relies on the accuracy and completeness of these certifications. If you are asked to provide such a certification, please make sure to complete the form carefully and sign and return it in a timely matter.

A. You may not use funds or assets of Touro College for any unlawful or unethical purpose or for personal gain or advantage.

• Touro College policy is to forgo any opportunity that can be obtained only by making improper or illegal payments or kickbacks.

 No payment or gift shall be offered or made to a government official to influence any discretionary decision by such person in his official capacity. Should any such gifts or payments be requested, our Office of the General Counsel should be contacted immediately. Giving any gifts – even gifts or entertainment of nominal value – to government officials is highly regulated and often illegal.

. In circumstances where it would not violate any other Touro College policy and would not create an appearance of impropriety or be considered an inducement, you may provide non-monetary gifts or entertainment. In general, such gifts or entertainment must be of nominal value, generally less than $25 per person. Amounts in excess require advance written approval.

. Meals with contractors or other educational partners are permitted and expenses for those meals will be reimbursed by Touro in accordance with applicable expense reimbursement policies.

• Subterfuge of any kind or illegal use of Touro College assets is forbidden.

 No payment by a third party on behalf of Touro College may be authorized with the intention that any part of it is to be used for any unlawful purpose.

 No payment or other use of assets or funds of Touro College may be offered or made for a purpose other than that described by the records supporting the payment.

 You may not accept payments or gifts that obligate you with respect to Touro College educational, contractual or business matters.

 Gifts of any type or amount for personal use (as opposed to legitimate donations to the institution) may never be solicited from students, parents, or relative of students, suppliers, contractors or other educational partners.

 Any form of a gift and/or in kind offering (such as, but not limited to: gratuities, vacations, free airline tickets, free hotel, free use of an apartment, and cars, tuition payments, etc.) that obligates a Touro College faculty member or employee to act in a particular manner with regard to Touro College business is a bribe and is not allowed, regardless of its value. In addition, you may not accept cash gifts, regardless of amount.

. If a supplier, student or other educational partner offers a Touro College employee a bribe, kickback or other improper payment, the employee should report the attempt to the Office of General Counsel.

 Employees may accept gifts of nominal value ordinarily used for sales promotion (for example, calendars, appointment books, pens, etc.).

 Ordinary "lunches" or reasonable entertainment consistent with local social and educational custom may also be permissible if reasonable in cost and frequency.

If an employee receives a gift that does not fall in the nominal category, such as tickets or flights, it must be reported to the employee's supervisor and returned or, if return of the gift is not practical, it should be given to Touro College for charitable disposition or such other disposition as may be appropriate. Please note that it is not Touro College's desire for its employees to appear unfriendly or unsociable. However, it is Touro College’s policy to avoid any actions that may throw doubt on the integrity or motivation of our employees or Touro College.

• Do not advance personal interests at the expense of Touro College.

 You may not take for yourself any opportunity for financial gain that you find out about because of your position at Touro College or through the use of Touro Property or information, unless Touro College’s Board of Trustees, Chief Compliance Officer or President has made a decision to relinquish the opportunity in writing.

 See below, under “Additional Rules under the Conflict of Interest Policy” for additional guidelines that apply.

• Protect Touro College property and assets and ensure their proper use.

 Touro College faculty member and employees must protect Touro College’s property and assets from loss, waste, damage or theft and must use them only for legitimate educational purposes. All employees have a responsibility to report any theft or attempted theft to appropriate Touro College management. 88

. Touro College’s assets include funds, investments, facilities, equipment, proprietary information, technology, educational plans, ideas for new offerings and services, secrets, inventions, copyrightable materials, other intellectual properties and student information and lists.

B. Additional Rules under the Conflicts of Interest Policy

• Failure to disclose a conflict of interest is a violation of this Conflict of Interest Policy.

 We expect our faculty and employees to be free from any influence that is inconsistent with their obligations to Touro College. There are many types of situations that may result in an employee having a conflict of interest or a potential conflict of interest with Touro College. Having a conflict of interest does not necessarily mean you have done something improper – however, the failure to disclose the conflict of interest is a violation of this Conflict of Interest Policy. (see Disclosure Section II.C)

 Because there are many different types of conflicts of interest, there are also many different ways they can be resolved. For example, if a conflict arises because a family member of an employee takes a job with a supplier of Touro College, Touro College can take steps to make sure that the family member is not in a decision- making position with respect to transactions with that supplier. However, those steps cannot be taken unless prompt and complete disclosure has been made. Disclosure should be made to the Office of General Counsel.

• Your dealings on behalf of Touro College should not be influenced, or appear to be influenced, by your personal interests or your relationships with others.

Touro College expects its faculty members and employees, in their work for Touro College, to act at all times in the best interests of Touro College and its students. Accordingly, faculty members and employees should remain free from obligations to or relationships with, any person or college with whom Touro College does business or competes that could interfere with that. In addition, as described above, it is also the duty of faculty members and employees not to utilize their position with Touro College for personal advantage or gain.

The rights of Touro College faculty members and employees will be respected in the conduct of their personal affairs and investments, provided such conduct does not adversely reflect upon Touro College or conflict with its interests or stem from knowledge of its portfolio or investment decisions. Please note that any employee invited to join any Board of Directors or Board of Trustees must obtain the approval of the Office of the General Counsel prior to accepting such position.

Please note that this Conflict of Interest Policy is not intended to cover political, civic or charitable activities, or professional organizations, in which faculty and employees are encouraged to participate. However, approval should be secured in advance if there is a possibility that such outside activities might interfere with normal duties and responsibilities to Touro College. Furthermore, Touro College as a not-for-profit entity is prohibited by law from making certain political or civic donations.

• The following are examples of conflict of interest situations:

While it is not possible to describe all situations and conditions that might involve a conflict of interest, the following examples indicate areas where conflicts may arise:

 Financial interests in contractors or competitors. Where an employee, close relative ” means (a) a covered individual’s spouse; (b) a covered individual’s child or stepchild (and their descendants), parent or stepparent, parent- or step parent-in law, sibling, and brother- or sister-in-law; next of kin and other blood relations and their spouses (c) the spouse of any person referred to in clause (b); and (d) any person (other than a tenant or employee) sharing the household of the covered individual. Or any other person with whom the employee has a close personal relationship, has a direct or indirect financial interest in an organization which engages in educational business or is a competitor of Touro College, a conflict of interest may exist. A conflict of interest might exist, where the employee is in a position to control or influence Touro College's decisions or actions related to that company.

 Serving in the management of vendors, contractors, or competitors. Where faculty or an employee serves as director, officer, or in any other management or consulting capacity with, or renders other services to another organization which does or is seeking to do business with Touro College, or which is a competitor, a conflict of interest will normally exist.

 Transactions with contractors, students, or vendors of Touro College. Where a Touro College employee or faculty buys, sells, or leases any kind of property, facilities, services, or equipment from or to any person or organization which is, or is seeking to become, a contractor, student, or vendor of Touro College, a conflict of interest may arise.

. A conflict would not normally exist, however, in cases of routine personal purchases, sales, or leases made in the ordinary course, such as for the employee's personal household needs.

. On the other hand, if the employee, as part of the job responsibilities with Touro College, is in a position to make or influence decisions pertaining to transactions with such a vendor, a potential conflict of interest might exist, depending on the circumstances, if he or she has any private transactions with that vendor.

• Transactions with Touro College. Any proposed transaction between Touro College itself and an employee (other than those relating to the employee’s employment or services as an employee), faculty, close relative, or any other person with whom the employee or faculty member has a close personal relationship would generally involve or could lead to a conflict and must be fully disclosed to appropriate management in advance and requires approval by the Office of the General Counsel.

 Potential opportunity. Where an employee, close relative, or any other person with whom the employee has a close personal relationship, participates in any personal venture or transaction involving any existing or potential activity or opportunity in which Touro College has an expressed interest or is of the type that Touro College would be expected to consider, a conflict of interest may be present, particularly if the employee or faculty is aware of Touro College's interest. A

small subset of such opportunities includes requiring students to purchase self- authored textbooks, software or other materials that are used for teaching purposes.

The above examples are not intended to be an all-inclusive list of possible conflicts. In addition, there are other situations which, while not clear-cut conflicts of interest, are, nevertheless, inconsistent with the high standards of educational ethics that all Touro College employees are expected to follow. As noted above, you should disclose any conflicts of interest or potential conflicts of interest to the Office of General Counsel.

Individuals who violate any of the above regulations are subject to disciplinary action at the sole discretion of the college, up to and including, suspension without pay or termination of employment.

C. Disclosure of actual or potential conflicts of interest:

1. Disclosure Reporting. The responsibility for avoiding a conflict of interest or commitment rests, in the first instance, with the individual. An essential step in addressing an actual or apparent conflict of interest or commitment is for the individual involved to make full disclosure of relevant information to the appropriate supervisor. There are two kinds of disclosures.

• Annual Filing Process. All full time faculty (Touro University defines as .5 PTE and above) and staff members must file an annual Conflict of Interest Disclosure Statement (see Attachment B) by July 1. The individual shall, to the best of his/her knowledge, include in his/her Disclosure Statement the same information for his/her close relative, as defined by this Policy.

• The Disclosure form is to be sent to the New York Human Resources Department. Upon receipt of each annual or updated Disclosure Statement, the Human Resources Department will make a review for adequacy, requesting additional information, as necessary. If the answers to the five questions on the Disclosure Statement are "no," then no further review is required. No additional action will be required of the faculty or staff member or other submitter unless a significant change occurs prior to the next annual due date. • If the answer to any of the five questions of the Annual Conflict of lnterest Disclosure Form is "yes", the Human Resources Department will forward the disclosure to the Office of General Counsel. The Office of General Counsel will gather further information and supporting documentation from the individual. All such documentation and subsequent discussions will be confidential. • The individual will have an opportunity to explain the financial documentation and to discuss options for management of the conflict. Should the findings indicate significant potential conflict of interest, a plan to effectively eliminate, reduce, or otherwise manage the conflict will be discussed. If a significant conflict of interest appears to remain, the individual will be asked to stop or recuse themselves from the activity or project. All determinations are final. Conflict of Interest determinations

may not be grievanced through any internal Faculty or Administration Grievance Committee.

• Material Change

- Whenever, significant financial interests, external activities or internal responsibilities change materially from those described in the annual disclosure, the disclosure form is to be updated as soon as possible. -Updates using Attachment B shall be submitted according to the same procedures as the annual disclose describe above. Whenever possible, individuals should attempt to disclose expected changes or newly anticipated conflicts before they occur in order to allow any conflicts to be resolved or mitigated in advance.

The Disclosure Form includes check boxes in which the respondent shall indicate whether or not a conflict of interest exists or is likely to exist in connection with the proposal being submitted or activity conducted. Whenever an application for funding of a new research project is submitted, the investigator and all associated college employees will be required to certify that he or she has submitted a complete and accurate annual disclosure form and that the new research project does not present the potential for any actual or apparent conflicts of interest or commitment not already identified on the annual disclosure form. III. COMPLIANCE AND ENFORCEMENT

A. How to Get Your Questions Answered

Whenever you have questions about the requirements of this Conflict of Interest Policy or how they apply to your job, you should call one or more of the following persons:

• Any member of the Office of General Counsel.

For technical questions directly relating to financial reporting, accounting and related matters, you may contact the Chief Financial Officer or other senior members of the Finance Department.

B. Complaints - Reporting Violations of this Conflict of Interest Policy

• Reporting known or suspected violations of this Conflict of Interest Policy or any breach of legal or ethical obligations is the responsibility of every Touro College employee

If you suspect or believe that another Touro College employee (including part-time and temporary employees), consultant or contract worker, or a Touro College department or division is violating the law or Touro College’s policies or is engaging in activities on Touro College’s behalf that otherwise could damage Touro College’s reputation, you must report this to the Office of

General Counsel. Do not assume that “senior management already knows” or that someone else will make the report.

All reports shall be treated confidentially to the extent possible consistent with fair and rigorous enforcement of this Conflict of Interest Policy. We don’t expect you to enjoy the prospect of informing on others; however, we must take steps to prevent and detect criminal or unethical conduct in order to avoid jeopardizing the welfare of Touro College and all of its employees, faculty, students, and donors. Please note that you should not conduct your own investigation of any suspected violation without the prior authorization by the General Counsel. Instead, immediately report your suspicions to the Office of the General Counsel. Any reports that relate to accounting, auditing, internal auditing, financial reporting, disclosure practices, will be presented to the Board of Trustees.

• You may make reports anonymously if you choose to do so

You do not need to give your name to report abuse. Simply call the Office of General Counsel to make an anonymous report. You may also make anonymous reports by writing to the Office of General Counsel. Any reports made to the Office of General Counsel that relate to accounting, auditing, internal auditing, financial reporting, disclosure practices, breach of student records, rigged bidding or securities law matters will be presented to the Board of Trustees.

• Non-Retaliation Policy

Our commitment to conducting our educational business in accordance with legal and ethical obligations requires an environment that allows employees and faculty to report known or suspected violations without fear of retaliation or retribution. No Touro College employee or faculty member should be discouraged from using any available channel to raise his or her concerns. It is Touro College’s intent to foster an environment where employees and faculty will choose whichever method they are most comfortable with to communicate their concerns.

NON-RETALIATION POLICY Touro College is committed to providing a workplace conducive to open discussion of its educational practices. It is our policy to protect employees who make reports, in good faith, of potential violations of our Conflict of Interest Policy, the policies in our Employee Handbook, other college policies or applicable law. In addition, it is our policy to comply with all applicable laws that protect employees against unlawful discrimination or retaliation by their employer as a result of their lawfully reporting information regarding fraud or other violations of law by Touro College or its employees.

Any employee who retaliates against another employee for reporting problems will be subject to disciplinary action, which may include termination of employment. If an employee believes that he or she has been subjected to any action that violates this Non-Retaliation Policy, he or she should file a complaint with the Human Resources Department, or the Office of the General Counsel. This Non- Retaliation Policy applies even if an allegation that was made in good faith ultimately turns out to be groundless. However, employees who file reports or provide evidence that they know to be false or without a good faith belief in the truth of such information will not be protected by this Non-Retaliation Policy and may be subject to disciplinary action, including termination of their employment.

C. Amendments, Waivers and Interpretations

While many of these policies set forth in this Conflict of Interest Policy must be strictly adhered to and no exceptions can be allowed, in other cases, some waivers or exceptions may be possible. Any employee who believes that an exception to any of these policies is appropriate in his or her case should contact the Office of General Counsel.

The decision of the Office of General Counsel or the Board of Trustees, as the case may be, is final and binding.

This Conflict of Interest Policy may be amended by Touro College at any time.

D. Investigation of Suspected Violations

Touro College policy allows the use of any lawful method of investigation that the college deems necessary to determine whether any person has engaged in any conduct that interferes or adversely affects its business.

All personnel are expected to cooperate in the investigation of any alleged violation of this Conflict of Interest Policy and/or applicable law. It is imperative, however, that even a preliminary investigation of any suspected violation NOT be conducted without consulting with or seeking the assistance and guidance of the General Counsel. Following the completion of the investigation, appropriate members of senior management will determine appropriate action.

APPENDIX D: ACADEMIC INTEGRITY POLICY

INTRODUCTION

In November 2010, President Alan Kadish appointed a broadly representative Task Force on Academic Integrity to examine the issue of Academic Integrity throughout the Touro College and University System. The Task Force was charged with the following mission:

1. To examine the current academic culture with regard to cheating and plagiarism, and the practices and policies of the various Schools and Divisions of the Touro College and University System (TUCS) regarding the same. 2. To consider issues concerning student plagiarism at Touro and recommend appropriate ways and best practices to eliminate the phenomenon, to the extent that it exists. 3. To analyze Touro’s approach to test administration and exam security—including repeating test questions, use of proctors, etc.—and recommend additional policies and actions, as appropriate. 4. To recommend a comprehensive structure and framework at Touro to ensure Academic Integrity throughout its schools, campuses, and programs.

In addressing the issues raised by the President, the Touro College and University System, under the leadership of the Task Force, joined the International Center for Academic Integrity (based in Clemson University), conducted surveys of faculty, administration, and students, and examined best practices in all areas concerning academic integrity both within the Touro College and University System and throughout academic institutions nationally and internationally. The Task Force has sought to define Policies and Procedures that are clear, uniform, and appropriate to address issues of Academic Integrity at Touro. The Touro College and University System owes a debt of gratitude to the Presidential Task Force, the members of which are listed in the Appendix.

In developing the TCUS Policy on Academic Integrity, the Task Force drew freely from exemplary policy documents that were already in place within units of the Touro College and University System, including those of the New York Medical College, the Touro College School of Health Sciences, Touro University-California and Touro University-Nevada. A college-wide survey was conducted in conjunction with Dr. Donald McCabe at Rutgers University, President of the Center for Academic Integrity. His participation and advice have been invaluable.

This document contains a Statement on Academic Integrity Policy followed by a comprehensive presentation of Violations of Academic Integrity. Additionally, this document provides Best Practices in the Promotion of Academic Integrity to be adopted by faculty, staff, and students regarding training, test administration, and plagiarism detection. Finally, the

95 document delineates Procedures in Response to Violations of Academic Integrity, and contains Recommendations on Implementation of this Policy.

As Dr. Kadish instructed the Task Force, “The issue of Academic Integrity is one that affects every unit and individual involved in academic life.” It is our hope that the Policies and Procedures Statement will foster Academic Integrity throughout the Touro College and University System.

STATEMENT ON ACADEMIC INTEGRITY

Touro College and University System is a community of scholars and learners committed to maintaining the highest standards of personal integrity in all aspects of our professional and academic lives. Because intellectual integrity is a hallmark of scholarly and scientific inquiry as well as a core value of the Jewish tradition, students and faculty are expected to share a mutual respect for teaching, learning and the development of knowledge. They are expected to adhere to the highest standards of honesty, fairness, professional conduct of academic work and respect for all community members.

Academic dishonesty undermines our shared intellectual culture and our ability to trust one another. Faculty and administration bear a major responsibility for promoting a climate of integrity, both in the clarity with which they state their expectations and in the vigilance with which they monitor students. Students must avoid all acts of dishonesty, including, but not limited to, cheating on examinations, fabricating, tampering, lying and plagiarizing, as well as facilitating or tolerating the dishonesty of others. Academic dishonesty lowers scholastic quality and defrauds those who will eventually depend on the knowledge and integrity of our graduates.

The Touro College and University System views violation of academic integrity with the utmost gravity. Such violations will lead to appropriate sanctions, up to and including expulsion from the college community. We commit ourselves to the shared vision of academic excellence that can only flourish in a climate of integrity.

The Touro College and University System’s policy on academic integrity, which is outlined in this document, is designed to guide students as they prepare assignments, take exams, and perform the work necessary to complete their degree requirements, and to provide a framework for faculty in fostering an intellectual environment based on the principles of academic integrity.

The International Center for Academic Integrity (ICAI), of which the Touro College and University System is a member, identifies five fundamental values of academic integrity that must be present if the academic life of an institution is to flourish: Honesty, Trust, Fairness, Respect, and Responsibility.1 To sustain these values, the TCUS Academic Integrity Policy, modeled after that of Rutgers University 2, requires that a student or researcher:

− Properly acknowledge and cite all ideas, results, or words originally produced by others; − Properly acknowledge all contributors to any piece of work; − Obtain all data or results using ethical means; − Report researched data without concealing any results inconsistent with student’s conclusions;

− Treat fellow students in an ethical manner, respecting the integrity of others and the right to pursue educational goals without interference. Students may neither facilitate another student’s academic dishonesty, nor obstruct another student’s academic progress; − Uphold ethical principles and the code of the profession for which the student is preparing.

Adherence to these principles is necessary to ensure that:

− Proper credit is given for ideas, words, results, and other scholarly accomplishment; − No student has an inappropriate advantage over others; − The academic and ethical development of students is fostered; − The Touro College and University System is able to maintain its reputation for integrity in teaching, research, and scholarship.

Failure to uphold the principles of academic integrity threatens not only the reputation of Touro, but also the value of each and every degree awarded by the institution. All members of the Touro community bear a shared responsibility for ensuring that the highest standards of academic integrity are upheld.

The Touro College and University System administration is responsible for working with faculty and students to promote an institutional culture of academic integrity, for providing effective educational programs that create a commitment to academic integrity, and for establishing fair procedures to deal with allegations of violations of academic integrity.

VIOLATIONS OF ACADEMIC INTEGRITY

The following are considered to be violations of academic integrity and are prohibited by the Touro College and University System. Students, faculty, and other members of the Touro College and University System community who are in violation of one of the offenses listed below or similar such offenses or who assist in the commission of such offenses may be subject to sanctions as described below in the section “Procedures in Response to Violations of Academic Integrity.”

Plagiarism

Plagiarism is defined as the unauthorized use of the writings, ideas and/or computer- generated material of others without appropriate acknowledgement and the representation of them as one’s own original work. Plagiarism encompasses acts of inadvertent failure to acknowledge sources, as well as improper attribution due to poor citation.

When using ideas/words from other sources, the student must clearly define the sources using standard methods of citation. Plagiarism can occur even when one does not use the exact words of another author. Paraphrasing written material by changing or rearranging words without the proper attribution is still considered plagiarism (even if it eludes identification by plagiarism detection software). It is therefore critically important that students understand how to cite. If students have any questions about the proper use and citation of material from other sources, they should seek help from their professors.

Intentional Plagiarism

Plagiarism takes many forms. Flagrant forms, or intentional plagiarism, as stated in the Thesis Guidelines of the New York Medical College 3, include, but are not limited to: purchasing or copying a paper from the Internet or from a fellow student or anyone else, whether or not that paper has been published; copying or cutting and pasting portions of others’ work (whether a unique phrase, sentence, paragraph, chart, picture, figure, method or approach, experimental results, statistics, etc.) without attribution; copying clinical notes/materials without personally performing the patient examination. Plagiarized sources may include not only print material but also computer programs, CD-ROM video/audio sources, emails and material from social media sites and blogs, as well as assignments completed by other students at Touro College and University System and elsewhere. A more subtle, but equally flagrant, form is paraphrasing or attempting to put in one’s own words the theories, opinions or ideas of another without proper citation.

Students may not reuse their own previous work without appropriate citation. This is a form of plagiarism called self-plagiarism, and may mislead the reader or grader into the erroneous belief that the current submission is new work to satisfy an assignment.

Students are cautioned against assuming that a fact or idea is common knowledge and are encouraged to provide citation, to deflect a charge of plagiarism.

Unintentional Plagiarism

Plagiarism is not only the failure to cite but the failure to cite sources properly. If a source is cited but in an inadequate way, the student(s) may still be guilty of unintentional plagiarism. It is therefore crucial that students understand the correct way to cite. The rules are relatively simple:

− For exact words, use quotation marks or a block indentation, with the citation.

− For a summary or paraphrase, show exactly where the source begins and exactly where it ends.

In its policies and disciplinary procedures, the Touro College and University System will seek to recognize and differentiate its penalties between intentional plagiarism (as defined above) and failure to cite sources properly. However, both forms are violations.

Cheating on Examinations and Other Class/Fieldwork Assignments

The Student Code of Academic Integrity at the New York Medical College 4 defines cheating as improperly obtaining and/or using unauthorized information or materials to gain an advantage on work submitted for evaluation. Providing or receiving assistance unauthorized by the instructors is also cheating.

Examples of cheating include, but are not limited to:

− Giving or receiving unauthorized assistance to or from another person on quizzes, examinations, or assignments; − Using materials or devices not specifically authorized during any form of a test or examination; − Exceeding the restrictions put in place for “take home” examinations, such as unauthorized use of library sources, intranet or Internet sources, or unauthorized collaboration on answers; − Sitting in for someone else or permitting someone to sit in for you on any form of test or examination; − Working on any form of test or examination beyond the allotted time; hiding, stealing or destroying materials needed by other students; − Altering and resubmitting for re-grading any assignment, test or examination; − Copying from another individual’s examination or providing information to another student during an examination; − Soliciting, obtaining, possessing or providing to another person an examination prior to the administration of the examination.

Examples of unauthorized assistance include 3:

− Giving or receiving person-to-person assistance or information in any manner, including notes, text messages, or e-mails, during an examination or in the preparation of other assignments without the authorization of the instructor; − Using crib sheets or unauthorized notes (unless the instructor provides explicit permission); − Copying from another individual’s exam.

Failure to comply with any and all Touro College and University System test procedures will be considered a violation of the Academic Integrity Policy.

Research Misconduct and Other Unethical Conduct

The integrity of the scientific enterprise requires adherence to the highest ethical standards in the conduct of research and research training. Therefore, students and other trainees conducting research are bound by the same ethical guidelines that apply to faculty investigators. These standards are described briefly in the New York Medical College Guidelines for Ethical Practices in Research and Policies for Dealing with Instances of 5 Alleged Violations of Ethical Standards and more fully in the US Public Health Service Policies on Research Misconduct. 6

Research misconduct is defined in the USPHS Policy as “fabrication, falsification, or plagiarism in proposing, performing, or reviewing research, or in reporting research results.”6 When appropriate, adjudication will be conducted according to Touro College and University System’s Guidelines for Ethical Practices in Research cited above.

In the Student Code of Academic Integrity, the New York Medical College uses the following as examples of research misconduct 4:

Fabrication

Fabrication means making up information, data, or research results, or pretending to have performed experiments that were not, in fact, conducted.

Falsification

Falsification means inappropriately altering or manipulating data, images, or information on clinical or laboratory records, practicum experiences, research results, equipment, and/or processes so that one possible conclusion or interpretation is favored over others.

Plagiarism (As Research Misconduct)

Plagiarism, on its own a violation of academic integrity, may additionally constitute research misconduct if it is committed in the context of a research effort.

Misleading or Fraudulent Behavior

Misleading or fraudulent behavior, put simply, is lying, and includes acts contributing to or associated with lying. It takes on any form of fabrication, falsification or misrepresentation.

Examples include, but are not limited to:

− Reporting false information to gain an advantage; − Omitting information or data resulting in misrepresenting or distorting findings or conclusions;

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− Providing false information to explain lateness or to be excused from an assignment, class or clerkship function; − Falsely accusing another of misbehavior, or otherwise misrepresenting information about another; − Providing false information about oneself, such as on an application or as part of some competition; − Taking credit for accomplishments achieved by another; − Omitting relevant information about oneself.

Tampering

Unauthorized removal or alteration of College documents (e.g., library books, reference materials, official institutional forms, correspondence), software, equipment, or other academic-related materials, including other students’ work, for the purpose of gaining an unfair academic advantage. It should be noted that tampering as a form of cheating may also be classified as criminal activity and may be subject to criminal prosecution.

Examples include, but are not limited to:

− Tearing out the pages of an article from a library journal to prevent other students from having access to the required reading material; − Intentionally sabotaging another student’s work; − Altering a student’s academic transcript, letter of recommendation, or some other official college document; − Electronically changing another student’s or colleague’s files, data, assignments, or reports.

BEST PRACTICES IN THE PROMOTION OF ACADEMIC INTEGRITY

By Faculty Academic integrity is the responsibility of all members of the Touro College and University System. As educators, we are obligated to demonstrate by word and action the importance of this core value. As members of the Touro College and University System, faculty members are committed to the pursuit of truth and the advancement of knowledge, tasks that can be realized only in an environment fully supportive of academic integrity. Faculty members are therefore expected to participate fully in establishing an academic environment in which the principles of integrity are understood and practiced by students.

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Training Faculty and Staff

Since promoting academic integrity is a shared responsibility, it is important that appropriate training and support be offered to both faculty and staff throughout the school year. − Faculty development programs shall include training regarding educational resources to promote academic integrity, such as articles/case studies, websites and tutorials. − Faculty development shall also include training in examination security and plagiarism prevention, including how to detect different types of plagiarism and awareness of proper citation. − Orientation, Faculty Development Days, and Faculty Assembly shall include opportunities to disseminate the policies and disciplinary procedures of Academic Integrity at the Touro College and University System.

Training Students

Factors that may influence cheating and plagiarism among students are grade pressure, time pressure, task pressure, negative personal attitude, lack of awareness, and lack of competence. It is, therefore, important to provide adequate training of students regarding all of the relevant parts of this Academic Integrity policy, as well as with as much education and as many opportunities as possible to learn about citation styles, proper writing skills, and plagiarism avoidance.

Students may find online resources, such as the self-test created by the University of Southern Mississippi, "How much have you learned about Plagiarism" 7 useful in clarifying how prepared they are in this area. This test is available to TCUS students via the Touro College Library Website.

Student Orientation programs shall include sessions on Touro’s Academic Integrity policy, and each student shall be provided with a copy of the policy at that time. Furthermore, each student must sign an honor statement. Since many Touro schools or units are mission-based or profession-oriented, the ethical values of the school mission should be referenced in the statement. Students will also be required to complete a library-developed session or sessions that demonstrate research method, information literacy, and proper use of sources.

Faculty members are expected to promote academic integrity in the following ways in their classes:

− Describe academic integrity policies on the first day of class, and refer, in class, to the policy of the Touro College and University System, including appeal processes. − Include a clear statement in the class syllabus with a reference to the Touro College and University System’s academic integrity policy (including the website where the policy may be found).

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− Create process-based or plagiarism-proof assignments (examples are abundant and available, if needed). Require up-to-date references. Assign oral reports. − Require that all term reports be submitted electronically, preferably through Blackboard. Students must be informed that the submitted material will be checked by the instructor for plagiarism. − Professors may choose to add an honor pledge to each written assignment and exam for students to sign.

Testing Procedures

In order to reduce the opportunity for cheating on examinations, faculty members should employ the following best practices whenever possible:

Test Preparation

− Modify or replace a significant portion of the exam questions each time an exam is re- administered in a course or administered in a separate section. − For courses with large numbers of students and close seating, prepare multiple versions of an exam for that section. − Prepare different versions of multiple choice exams for use in EACH section of a course, and two separate exams for very large sections. − Develop, to the extent possible, “cheat proof” essay or problem-solving questions. − Prepare a different version of the exam for make-up exams.

A copy of each examination is to be filed with the Department Chairperson or Dean so that he or she can maintain a historical file on exams used in the course.

Test Duplication and Storage

− Type exams on a secure computer. Do not use Touro computer labs, where students, work/study students and/or lab technicians can access the files. − Print and copy exams on secure printers and copiers. − When duplicating examinations, do the copying yourself, or have a trustworthy administrative assistant do the copying for you. Ensure that all original copies are removed from the copiers and copy room. − Store exams in a secure place, such as the Department office or the faculty member’s paper or computer files. All exams must be stored in locked file cabinets and secured computers.

Test Administration: Paper Examinations

− Be present during examinations and actively proctor your own examinations. The Touro College and University System may supplement the proctoring by assigning extra proctors.

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− Do not permit students to have any electronic devices (including cell phones, smartphones, iPADs or other tablet computers, and flash drives) or personal belongings (purses, backpacks) at their desks during the examination. − Separate students by at least one seat, if space permits. − Maintain control of the paper (including scrap) used during the exams.

Test Administration: Online Tests

− Use appropriate web-browser lock-down software, and a web-cam, as appropriate.

Post-Test Procedures

− If students are permitted to review their exams, conduct the post-exam review in a secure manner, just as you administered the test. − All exams must be collected at the end of the review period.

Detecting Plagiarism

The Touro College and University System offers SafeAssign, a plagiarism detection system accessed through Blackboard. SafeAssign helps faculty prevent plagiarism by detecting unoriginal content in student papers. Though not 100% foolproof, particularly in instances of paraphrase or translation, SafeAssign does act as a plagiarism deterrent, and has features designed to help educate students about plagiarism and the importance of proper attribution of any “borrowed” content.

In addition to SafeAssign, faculty can avail themselves of other anti-plagiarism search engines such as Yahoo! Google, Google Scholar, Plagiarism.Org, AltaVista, Lycos and library databases.

There are many excellent sources of information on plagiarism detection. One of the best is Harris, R.A. (2001). The Plagiarism Handbook. Glendale, CA: Pyrczak Publishing.

BEST PRACTICES IN THE PROMOTION OF ACADEMIC INTEGRITY IN ONLINE EDUCATION

The Touro College and University System is particularly sensitive to the challenges of academic integrity in online education because of the physical separation between faculty member and student. The online teaching environment poses specific difficulties regarding the administration of examinations and the assessment of student work. These challenges compel the College and University System to be conversant with developments and best practices in the field of online education, and to be receptive to both new opportunities and challenges associated with emerging technologies as they are being developed and implemented.

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Following are a number of best practices for promoting academic integrity in online education 8:

Faculty Training and Implementation

− Admission to online educational programs should be monitored carefully to ensure the integrity of the admissions application process as well as materials submitted to support the admissions application. − A secure student login and personalized password (meeting identity management system standards) should be required to access online courses and related resources, discussions, assignments and assessments. Information gathered as part of the identity management system for these purposes must be safeguarded carefully to protect student privacy. − Guidance on academic integrity issues in online education should be incorporated routinely in the training and orientation materials provided to online faculty. − A link to the Touro College and University System Academic Integrity website should be provided to online faculty for incorporation in their course materials. − Online faculty should be made aware of general Touro College and University System policies and procedures on academic integrity and the reporting procedure (see below) in the instance that suspected violations of academic integrity are discovered. Touro’s Vice President of Online Education should also be notified of any action or decision concerning online academic integrity violations.

Guidelines to Faculty

− Faculty members should present clearly the academic integrity policy within the online learning environment at the beginning of the course. The course outline for the online course should contain an explicit heading and section on ACADEMIC INTEGRITY in which appropriate guidelines and policies would be detailed. Faculty should offer the students the opportunity to discuss the meaning of academic integrity using the course discussion board or chat room. The URL link to the Touro College and University System Academic Integrity policy should be included in course postings. − Students should be required to read and sign an agreement to abide by the campus academic integrity policy. An effective way of accomplishing this is through a check-off box on the home page of the online course. − In the instance that collaborative projects are assigned, faculty should clarify to students in writing under a specific course headline the appropriate ground rules for collaboration in online education. The consequences for failure to abide by the guidelines provided should be clarified in writing. − Rubrics, or detailed grading criteria, should be provided for every assignment at the beginning of the course, so that students understand how they will be graded.

Multiple Assessment Strategies and Prevention of Plagiarism

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− Ensuring the academic integrity of the assessment of student learning is an essential faculty responsibility. Therefore, faculty must be actively involved in structuring appropriate course assessment. Faculty may choose to use multiple assessment techniques in place of, or to lessen reliance on, final examinations. Indeed, most distance learning providers use multi-faceted assessment strategies rather than traditional final examinations. Assessments should be designed to be frequent, varied, and directly relevant to course learning objectives. One suggestion would be to make assignments cumulative (students turn in parts of a project or paper throughout the semester) to minimize opportunities for fraudulent submissions. Examples of learning and assessment activities include: interactive threaded discussions, writing assignments, quizzes, capstone projects, group work, and online exams. − Assessment activities should be modified from semester to semester. − Instructors should become familiar with students' writing styles through multiple submissions and online discussions. − Plagiarism detection software (such as SafeAssign or Turnitin) should always be used for written assignments. − Both the research process and the product should be evaluated. After an assignment is due, have students post on the discussion board, describing the assignment and the research method used, a summary of conclusions, and an abstract (a meta-learning essay).

Examinations

− Since the Touro College and University System is a multi-campus institution, it may be possible to provide physically-proctored examinations on campus for regular Touro students undertaking a course through distance learning. In these instances, faculty members are encouraged to use proctored test sites as appropriate. The primary responsibility for proctoring an examination remains with the instructor, wherever that is possible. For undergraduate courses, the assignment of any proctor other than the instructor must be at the direction of the Dean of Faculties or his/her designee. For graduate courses, the assignment of any proctor other than the instructor must be at the direction of the Dean/Director of the program. − Students must be asked to provide a Touro ID or government-issued photo ID when they participate in a physically-proctored examination for a distance learning course. Students should be informed of this requirement when the examination is scheduled. − In the instance that an examination is given online, faculty must be aware of academic integrity issues in the administration of these exams and consider appropriate steps to minimize these issues, such as those described below: ◦ Use test banks with large numbers of questions and pull a smaller number of questions from the test bank. ◦ Randomize the order of answers for multiple-choice questions, so that, for example, the correct answer for a particular question might be “a” for one student and “b” for another.

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◦ Require forced completion on exams, so that students cannot re-enter a test. ◦ A Web browser lock-down service should be used during testing so that students cannot leave the exam once they have started.

− A variety of technological solutions to minimize the potential for cheating on online examinations are emerging, including online proctoring services and biometric measuring devices. At this point, the Touro College and University System has adopted no standard proctoring technology or approach for all online examinations. However, Touro will continue to monitor such technology, and such technology may be adopted by individual units on a pilot basis in coordination with the Touro Vice President of Online Education.

PROCEDURES IN RESPONSE TO VIOLATIONS OF ACADEMIC INTEGRITY

This Touro College and University System Academic Integrity Policy applies to all students in each of Touro's schools. Any act in violation of this Policy or any allegation of misconduct related to this Policy involving a student must be reported and addressed in accordance with the adjudication procedures outlined below or those of the student’s school, which at no time will be less stringent than the requirements and standards set forth in this Policy Statement.

Reporting a Case of Suspected Plagiarism or Cheating

Faculty members or other members of the Touro community who encounter cases of plagiarism or cheating, after discussion with the offending student, should contact the Chair of the relevant department. The Chair will report the incident, in writing, to the Dean. The Chair will provide faculty with advice specific to the individual incident. No grade may be entered onto the student’s record for the course in question before the issue is resolved, either informally or formally.

Resolution of Academic Integrity Violations

Students who are found to have violated the Touro College and University System’s Standards of Academic Integrity are subject to sanctions. Each school (see Appendix II for listing of schools) shall designate the Dean responsible for adjudicating violations of Academic Integrity (herein referred to as the “Dean” except where otherwise noted). Depending on the school’s Student Handbook or Bulletin, this may be the Dean of Students, the Dean of Faculties, or another appropriate responsible individual.

As stated above, incidents are reported to the department Chairperson, and a report by the Chair is submitted to the Dean. The method of resolution of the violation may be either informal or formal.

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At the discretion of the Dean or Chair, the student may be removed from the class pending a resolution of the matter. Should a student action be of such a nature that it is felt that he or she must be relieved of his/her right to attend the Touro College and University System, the student may be temporarily suspended from the Touro College and University System upon recommendation of the Dean. In the case of suspension, an expedited formal hearing will be scheduled. Suspended students may not avail themselves of the informal resolution process.

Informal Resolution

The student and faculty member may resolve the issue informally—with notice to the Chair of the Department and the Chair’s consultation with the Dean (which must be accompanied by a written synopsis of the matter)—and the faculty member, in consultation with the Chair, may impose any range of sanctions (Class C, D, or E) short of suspension and expulsion. If the student agrees to the decision, then any disposition will be final. Once accepted by the student, the decision of the faculty member and Chair is not subject to appeal, and is binding on both the student and faculty member.

The Chair must indicate whether the violation was a minor or inadvertent violation that is not subject to reporting, or whether the violation is significant enough to warrant reporting. The outcome of the informal resolution should be reported in writing to the Dean, who will maintain the record of significant violations for the duration of the student’s academic career.

The informal resolution process is not available to individuals who have been previously reported.

Formal Resolution

In the event that (1) the student denies the charge, (2) the student and faculty member do not agree to informal resolution, (3) the student is a repeat offender, or (4) for any other reason for which informal resolution is not appropriate as determined by the Chair or the Dean, then the matter shall be submitted for formal resolution.

The Touro College and University System has developed the following formal method of resolution to deal with academic integrity allegations and complaints.

To institute formal resolution, the following procedures shall be followed:

− The Dean receives a written statement from the instructor or any other complainant, as the case may be. − The written statement must include the name of the involved student, the name and status of the reporting person, and the nature of the alleged act.

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− The Dean shall arrange a hearing which, generally speaking, should take place no earlier than three (3) calendar days and no later than twenty (20) calendar days after receipt of the complaint. − The hearing shall take place before the Standing Committee on Academic Integrity of the School. See Appendix II. − All persons involved in a hearing shall be given adequate notice of all hearing dates, times and places. Such notice, which may be by e-mail and followed by a hard copy, will be given at least twenty-four hours prior to any hearing, unless waived by the parties involved. − Postponements of Committee hearings may be made by the interested parties or the administration. The student may be granted a postponement if pertinent information or interested parties cannot for good cause be present at the appointed time. Any postponement may not extend beyond a three-month period. − The student charged and the person making the charges will be afforded the following opportunities: ◦ To review, but not copy, all pertinent information to be presented to the Committee. The length of time for review shall be reasonable, as determined by the Committee Chair. ◦ To present fully all aspects of the issue before the Committee.

Committee Hearings will proceed under the following guidelines:

− All Committee hearings and meetings are to be closed sessions. The Committee may hear other people of its choosing who may be knowledgeable about the issue(s) under consideration, and may investigate relevant written reports, discussions with involved parties, examinations, papers, or other related documents. − A quorum of this Committee must be present in order to conduct official business and render a decision. − All decisions shall be made by majority vote, the mechanism to be determined by Committee membership. − The student has the right to appear in person before the Committee in order to present his/her case, but, after proper notice of a hearing, the Committee may proceed, notwithstanding the student’s absence. − The hearing is academic in nature and non-adversarial. Representation by an attorney is not permitted. − A recording secretary may be appointed by the Committee Chair. Transcripts of the proceedings are not mandatory or required. − All issues in dispute shall be presented orally by the Committee Chair. − All information supporting the charges made against a student shall be presented first. Following this presentation, the student who is under investigation will present his/her side of this issue, submitting to the Committee information that he/she chooses to submit to support the student’s stance or position. The Dean, his or her designee, or other members of the Administration may also meaningfully participate 109

in this information exchange. Pursuant to the Touro College and University System Code of Conduct, the student is expected not to obstruct the investigation or proceedings. − At the completion of all discussions, the student and his/her accuser may each make a closing statement. The administration may also be afforded an opportunity to make a statement. − At any time during the hearing the student, his/her accuser, the Committee, and/or the Touro College and University System’s representatives may raise questions about the information under review so that all aspects of the case are clarified.

The Committee shall reach a decision using the following guidelines:

− The Committee will meet in closed session to reach a decision, including recommended sanctions, if applicable. Such meeting will generally be held within one school day following the hearing. − If the Committee seeks additional information following commencement of its deliberations, it will notify the parties within two school days, and reconvene the hearing within five school days of the conclusion of the original hearing. The Committee's final decision must then be made. − The Committee’s decision must be based solely on the evidence presented at the hearing and will be the final disposition of the issues involved, including sanctions. The Committee’s decision will be presented in writing to the Dean and the student. − In the absence of an appeal, the Dean will transmit the Committee’s decision to the Touro College and University System (TCUS) Academic Integrity Council. Solely in the event of a disparity or other irregularity in the sanction imposed, the TCUS Academic Integrity Council may remand the matter to the Dean, noting the new range of permissible sanction.

Academic Appeal Process

− Following notification of the Committee decision, a student may wish to appeal the decision. He or she has three (3) working days within which to submit a formal written appeal of the decision to the Dean of the Division or School. The appeal should be accompanied by a narrative explaining the basis for the appeal. The narrative should fully explain the student’s situation and substantiate the reason(s) for advocating a reversal or modification of the decision by the Committee. − After consideration of the Appeal, the Dean may accept, reject or modify the Committee’s decision, and will notify the student in writing of the decision. − The Dean, when notifying the student of the decision, shall inform the student of his/her right to appeal an adverse decision in the event the sanction imposed was a suspension, expulsion or revocation of the degree. In all other instances, the Dean’s decision will be FINAL. − A copy of the Dean’s Final decision will be transmitted to the Touro College and University System (TCUS) Academic Integrity Council. Solely in the event of a disparity

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or other irregularity in the sanction imposed, the TCUS Academic Integrity Council may remand the matter to the Dean, noting the new range of permissible sanctions, for action consistent with overall TCUS standards.

In the event the Dean and the Committee have decided to suspend, expel or revoke a student’s degree, following notification of the Dean’s decision, a student may wish to appeal the decision. He or she has five (5) working days within which to submit a formal written appeal of the decision to the respective Chief Academic Officer (e.g., the Provost or Senior Provost) or Presidential designee. The appeal should be accompanied by a narrative explaining the basis for the appeal. The narrative should fully explain the student’s situation and substantiate the reason(s) for advocating a reversal of the prior recommendation or decision by the Committee or the Dean.

The Provost may grant an appeal only on the basis of one of the following:

− Evidence of bias of one or more of the members of the Committee or of the Dean. − New material documenting information that was not available to the Committee or a relevant Dean at the time of the initial decision. − Procedural error.

The Provost may interview the student, but will not conduct a hearing. The Provost will consider the merits of the appeal and may even consult the Chair of the Committee. The Provost will notify the student in writing of the appeal decision. The decision of the Provost shall be final.

Status of Student Pending Action

Pending resolution on charges, the status of the student will not be altered except in cases where the student has been suspended, in which case an expedited resolution procedure will be in effect. If a student is suspended for any reason, all as-yet undisbursed financial aid may be withheld unless or until the action is fully resolved and the student is reinstated. If reinstated, the financial aid funds can be released to the student. If the student is dismissed, the funds will be returned to the proper agency or lender.

Sanctions

Sanctions may be imposed by the faculty, the Dean or the Committee.

Sanctions may include the following or combinations thereof 5:

Class A Sanctions: − Expulsion/dismissal; − Revocation of awarded degree in the event that the violation is identified after graduation.

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Class B Sanctions: − Suspension (up to twenty-four months)

Class C Sanctions: − Indication of the disciplinary action in a letter of reprimand, in reference letters, licensure and regulatory forms, etc. ; − Notification of the violation to the other schools within the Touro College and University System;

Class D Sanctions: − Placement on Probation; − Failure in the course and requiring the student to repeat the entire course/clerkship;

Class E Sanctions: − Ordering student to take additional ethics tutorials intended to assist student to avoid future misconduct; − Reduction of the grade for a particular submitted piece of work, segment of work required for a course/clerkship or the entire course/clerkship with or without the option of redoing the work; − Requiring the student to redo the assignment;

Other Sanctions: − Other sanctions, as deemed just and proper. For example, repeat offenders may be subject to more stringent sanctions.

Recordkeeping

Records of the resolution of proceedings shall be kept in accordance with the following:

− If the Committee finds no merit in the allegation under discussion, the Touro College and University System records of the proceedings shall be sealed and secured in the office of the Dean until such time as any legal statute of limitations has expired. Upon the running of the limitations period, all records shall be destroyed. Should a need arise to open the sealed records, the Provost, Dean, or Chief Compliance Officer shall issue an order to open the record. These records will not go into a student's file. − If the Committee determines that there is merit in the allegation, all matters relative to the resolution shall be entered in the student’s academic file, with a copy held by the Dean.

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A student may see his/her file in accordance with Touro College and University System regulations concerning inspection of records as spelled out in Guidelines for Access to and Disclosure of Educational Records Maintained by the Touro College and University System.

RECOMMENDATIONS ON IMPLEMENTATION OF POLICY

Oversight of Policy

A Touro College and University System (TCUS) Academic Integrity Council will be appointed by the President. The TCUS Council will receive reports on resolution of Academic Integrity issues from the various units of the TCUS (as spelled out in the above policy) and would be responsible to oversee and report to the President annually on the implementation of the Academic Integrity policy throughout the Touro College and University System. The Council would also be responsible for recommending to the President any changes to this policy.

Distribution of Policy

The official Touro College and University System Policy on Academic Integrity should be distributed by the President’s Office. It should be added to the Faculty Handbook, Student Handbook, etc.

Honor Statement

The TCUS Academic Integrity Council will draft a template of an Honor Statement that would be adopted by Division and Schools of the TCUS for use in their individual programs. This Touro College and University System Academic Integrity Policy applies to all students in each of Touro's schools. Any act in violation of this Policy or any allegation of misconduct related to this Policy involving a student is to be reported and addressed in accordance with the adjudication procedures outlined above or those of the student’s school, which in no event will be less stringent than the requirements and standards set forth in this Policy Statement.

Within three months of the distribution of the Touro College and University System Policy on Academic Integrity, the Dean of each Touro School or Division shall inform the Touro College and University System Academic Integrity Council that the School has adopted the Touro College and University System Policy on Academic Integrity and the existence of the more stringent requirements, if any. In addition, the Dean of each Touro school or division will inform the TCUS Academic Integrity Council of the identity of the Dean designated as responsible for Academic Integrity and the composition of the Individual School Academic Integrity Committee consisting of at least three members, and preferably five. A quorum of such committee shall be three members.

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REFERENCES

1. Center for Academic Integrity. The fundamental values of academic integrity. 1999. http://www.academicintegrity.org/fundamental_values_project/pdf/FVProject.pdf 2. Rutgers University. Academic Integrity Policy. 2011 http://academicintegrity.rutgers.edu/files/documents/AI_Policy_9_01_2011.pdf 3. New York Medical College: School of Health Sciences and Practice. Thesis Guidelines of the New York Medical College. 2011. http://library.nymc.edu/informatics/ThesisGuidelines.pdf 4. New York Medical College. Student Code of Academic Integrity and Professionalism. 2010. http://www.nymc.edu/universitypolicies/StudentCodeofAcademicIntegrityandProfession alism.html 5. Includes elements of New York Medical College. New York Medical College Guidelines for Ethical Practices in Research and Policies for Dealing with instances of Alleged Violations of Ethical Standards. 2004. http://www.nymc.edu/Research/OfficeOfResearchAdministration/assets/Ethical_Practice s_In_Research.pdf 6. U.S. Department of Health and Human Services. Public Health Services Policies on Research Misconduct; Final Rule. 2005. http://ori.hhs.gov/documents/42_cfr_parts_50_and_93_2005.pdf 7. With permission from the USM Library to link the Plagiarism test on the website of Touro Libraries. University of Southern Mississippi Libraries 8. Portions of the BEST PRACTICES IN THE PROMOTION OF ACADEMIC INTEGRITY IN ONLINE EDUCATION section are based on the following sources: "Best Practice Strategies to Promote Academic Integrity in Online Education Version 2.0, June 2009" and "Student Authentication" available on the WICHE* Cooperative for Educational Technologies Website (http://wcet.wiche.edu/).

*Western Interstate Commission for Higher Education

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APPENDIX I

Members of the Task Force

Dr. Stanley Boylan, Chair, Vice President of Undergraduate Education and Dean of Faculties Mr. David Raab, Chief of Staff to the President Rabbi Moshe Krupka, Senior Vice President of College Affairs

Plagiarism Subcommittee Professor April Schwartz, JD, Chair, Director of Law Library and Professor of Law Professor Laurie Bobley, Coordinator of Online Education and Special Education Dr. Howard Feldman, Chair, Faculty Senate; Professor of Biology, Lander College for Women Ms. Sara Tabaei, Touro Library Information Literacy Services Director Dr. Donne Kampel, Associate Dean of Faculties for Development and Evaluation

Examination Security Subcommittee Dr. Jim O’Connor, Chair, Dean of the College of Education (COE), Touro University, California Dr. Carole Beckford, Chair, Psychology, New York School of Career and Applied Studies (NYSCAS) Dr. Jutta Guadagnoli, Associate Professor in Basic Sciences, Touro University, Nevada (TUN) Dr. David Lenihan, Dean, Preclinical Medicine, Touro College of Osteopathy, NY (TouroCOM) Dr. Anthony Polemeni, Vice President of Graduate Education and Dean, Graduate Division Ms. Frada Harel, Chair, ESL and English, New York School of Career and Applied Studies (NYSCAS)

Campus Culture Subcommittee Dr. Mark Press, Chair, Chair, Department of Psychology, Division of Undergraduate Studies Dr. Nadja Graff, Associate Dean, School of Health Sciences Dr. Gordon McCarter, Assistant Dean in the College of Pharmacy (COP), Touro University, California; Chair, COP Academic Standards Committee

Ex Officio Mr. Michael Newman, JD, Chief Compliance Officer and General Counsel, Touro College

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APPENDIX II

Divisions and Schools of Touro College

DIVISION OF UNDERGRADUATE STUDIES LANDER COLLEGE FOR MEN LANDER COLLEGE FOR WOMEN – THE ANNA RUTH AND MARK HASTEN SCHOOL LANDER COLLEGE OF ARTS AND SCIENCES IN FLATBUSH NEW YORK SCHOOL OF CAREER AND APPLIED STUDIES SCHOOL FOR LIFELONG EDUCATION INSTITUTE FOR PROFESSIONAL STUDIES (IPS) – MACHON L’PARNASA TOURO COLLEGE SOUTH

DIVISION OF GRADUATE STUDIES THE GRADUATE SCHOOL OF BUSINESS THE GRADUATE SCHOOL OF EDUCATION THE GRADUATE SCHOOL OF JEWISH STUDIES THE GRADUATE SCHOOL OF PSYCHOLOGY THE GRADUATE SCHOOL OF SOCIAL WORK THE GRADUATE SCHOOL OF TECHNOLOGY THE SCHOOL OF HEALTH SCIENCES

THE JACOB D. FUCHSBERG LAW CENTER

TOURO COLLEGE OF OSTEOPATHIC MEDICINE – TouroCOM

TOURO COLLEGE OF PHARMACY

TOURO UNIVERSITY – CALIFORNIA SCHOOL OF EDUCATION AND HEALTH SCIENCES COLLEGE OF OSTEOPATHIC MEDICINE COLLEGE OF PHARMACY

TOURO UNIVERSITY – NEVADA COLLEGE OF HEALTH AND HUMAN SERVICES School of Education School of Nursing School of Occupational Therapy School of Physical Therapy COLLEGE OF OSTEOPATHIC MEDICINE School of Physician Assistant Studies

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TOURO COLLEGE WORLDWIDE TOURO COLLEGE – LOS ANGELES

INTERNATIONAL PROGRAMS LANDER INSTITUTE MOSCOW TOURO COLLEGE BERLIN TOURO COLLEGE FRANCE TOURO COLLEGE ISRAEL

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APPENDIX E: INTELLECTUAL PROPERTY

1.0 PURPOSE

Touro College and University System (“Touro”) recognizes that inventions may be made and copyrightable works may be created in the course of research supported by facilities, equipment or funds of or administered by Touro. Touro desires that such inventions and works be brought into use for the public benefit at the earliest possible time. Touro understands that this objective may be best accomplished through the patenting of such inventions and the licensing of such inventions and works consistent with the public interest. Touro also desires to foster the creation and publication of scholarly works by authors at Touro. This policy seeks to reconcile these interests on behalf of the public, Touro and the inventors and authors.

2.0 POLICY/PROCEDURE

All Inventions as defined in the Procedure section below, subparagraph

5.1, are owned by Touro. The copyright in Scholarly Works and Individual

Works (as those terms are defined in the Procedure section, subparagraph

5.2) will be owned by the Author. All other copyrightable works that are

Commercial Works (as defined in the Procedure section, subparagraph

5.2) are owned by Touro. Absent a written agreement between the Inventor and Touro College to the contrary, net cash proceeds from licensing transactions, after Touro recovers all costs and fees, will be paid as per section 5.6, which is, generally speaking, thirty-three and one-third percent (33.33%) to the inventors or authors as a group, thirty-three and

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one-third percent (33.33%) to the program to which they are affiliated with and thirty-three and one-third percent (33.33%) to Touro, up to five million ($5,000,000.00). Thereafter the proceeds shall be paid as per section 5.6, which is, generally speaking, thirty-three and one-third percent (33.33%) to the inventors or authors as a group, sixty percent (60%) to Touro, and the remainder, six and sixty-seven percent (6.67%), to the program to which the inventor is affiliated. Any equity or other class of securities derived from a license transaction will be held by Touro and

managed by Touro’s Office of Institutional Compliance (“OIC”) or its designee. Such equity or other class of securities will be liquidated as soon as reasonably practicable, with cash proceeds distributed as described above.

3.0 SCOPE

This policy applies to all members of the Touro community, including faculty members, administrative staff, and students.

4.0 DEFINITIONS

4.1 Inventions – inventions, discoveries and improvements, whether patentable or not, that are conceived, reduced to practice, or generated by employees or students of Touro or by others, using the facilities, equipment or funds of or administered by Touro. 4.2 Inventor – an individual who is or could reasonably be determined

to be an inventor under applicable Federal patent law of an Invention that is claimed or described in a patent or patent application and/or an individual who has substantially contributed to the conception, design or development of an Invention that is not claimed in a patent or patent application.

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4.3 Author – an individual determined to be an author or joint author of a Scholarly Work, Individual Work, or Commercial Work under applicable Federal copyright law. 4.4 Scholarly Work – copyrightable works that are submitted and

accepted for scholarly publication, such as a journal article or a text book 4.5 Individual Work – copyrightable works that are created outside of

the scope of employment or relationship with Touro and without using the facilities, equipment or funds of or administered by Touro, such as a novel or a painting. 4.6 Commercial Work – all copyrightable works that (a) are neither

Scholarly Works nor Individual Works and (b) are created by employees or students of Touro or others using the facilities, equipment or funds of or administered by Touro.

5.0 PROCEDURES (STEP BY STEP ANALYSIS OF THE DETAILS IN IMPLEMENTING THIS

POLICY/PROCEDURE)

5.1 Ownership of Inventions. All Inventions are hereby assigned by the Inventors to, and are the sole property of, Touro. Inventions, discoveries and improvements may be, for example, data, tangible materials and know how. 5.2 Ownership of Works. Touro acknowledges Scholarly Work, will be

owned by the Author. Touro further acknowledges that Individual Work will be owned by the Author. All Commercial Works are hereby assigned by the Authors to, and are the sole property of, Touro. Where applicable, Commercial Works are treated as works for hire under Federal copyright law. Examples of Commercial Works would include: the text of an invention disclosure written by an Author to be used in a patent application, courseware,

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databases, and the source code and documentation for a new computer software program created by an Author. 5.3 Exceptions. Touro reserves a royalty-free, non-exclusive right for itself and other profit and non-profit institutions it designates to use all Inventions, Scholarly Works, and Commercial Works for academic and research purposes. With respect to Inventions, Scholarly Works, or Commercial Works, Touro may choose to modify the disposition of its ownership under this Policy. With respect to joint invention or authorship with entities or individuals not covered by this Policy, Touro will seek to resolve any ownership questions by contract in a timely manner. All Inventors or Authors must sign an Assignment Agreement (as may be amended from time to time) giving such rights to Touro once disclosure has been made as detailed below. 5.4 Disclosure Process. At the commencement of his or her employment or relationship with Touro, each employee, student or other person who uses the facilities, equipment or funds of or administered by Touro is required to sign an Agreement Concerning Intellectual Property (Appendix A, as may be amended from time to time) and to be bound by this Policy. Any failure of an individual to sign such

Agreement shall not affect the applicability of this Policy or relieve any individual who is subject to this Policy from the obligations imposed by it, such as prompt and full written disclose of any Invention or Commercial Work to the OIC. An Inventor or Author must promptly disclose to OIC each Invention or Commercial Work conceived or made using funds from an entity, whether Touro or a different entity, that requires disclosure of any such Invention or Commercial Work. Additionally, an Inventor or Author must disclose an Invention or Commercial Work for which he or she wishes to seek commercialization. Each Inventor or Author will 121

cooperate with OIC at all times in the implementation of this Policy

(including executing assignments and other documents as

requested by OIC) in connection with each Invention or Commercial Work, which includes applying for, obtaining, maintaining and enforcing patents or copyrights anywhere in the world; licensing or other transactions; and cooperating in any litigation, other proceedings or any dispute resolution, such as mediation, arbitration, etc. Such cooperation is a condition of receiving a share of the Net Proceeds 5.5 Role of OIC. OIC will be the primary office at Touro responsible for

managing this Policy. OIC will, for example:

a. determine whether or not to seek patent or copyright protection for an Invention or Commercial Work and implement the selected strategy; b. determine whether or not releasing an Invention to the Inventor or Commercial Work to the Author is in the best interests of Touro; c. market Inventions and Commercial Works to potential licensees; d. structure, close and administer license and sponsored research transactions; e. facilitate the distribution of cash proceeds from license transactions consistent with the terms of Paragraph 6 of this Policy; and f. develop and administer procedures that are consistent with this Policy. 5.6 Allocation of Cash Proceeds.

a. The Author will retain any cash proceeds from Scholarly

Works and/or Individual Works.

122 b. The use of proceeds from sponsored research transactions for Inventions and Commercial Works will be governed by applicable contracts, this Policy, and any other applicable College and University policies. c. Cash proceeds (including proceeds from the liquidation of Equity as described in Paragraph 5.8 below) arising from an Invention or Commercial Work will be divided as follows: (i) first, Touro will recover all development, patenting, licensing, transactional, and other costs and fees (including e.g., fees and costs of litigation, arbitration, mediation or other proceedings) relating to the Invention or Commercial Work; and (ii) second, the remaining cash proceeds (“Net Proceeds”) will be divided as delineated in Section 2. d. If there is more than one Inventor of an Invention or Author of a Commercial Work, then the Inventors’ or Authors’ shares of the Net Proceeds will be divided as unanimously agreed among such Inventors or Authors according to a written share allocation agreement, a copy of which will be provided to OIC as soon as possible. e. Touro has no obligation to resolve disagreements among Inventors or Authors as to share allocation. However, in the event of an impasse, in the interest of fairness, OIC reserves the right to intervene, at its discretion, to facilitate a determination of the share allocation using an internal Touro process or external dispute resolution process, such as binding arbitration. The external dispute resolver may determine the shares of the individual Inventors or Authors and the share of dispute resolution fees and costs to be borne by each of them. All of the fees and costs of external dispute resolution will be borne by the Inventors or Authors. To the 123

extent Touro incurs any fees and costs (other than internal costs) in connection with determination of share allocation, such fees and costs will be recovered by Touro only from the Inventors’ or Authors’ share of Net Proceeds. This Policy will not affect any existing share allocation agreements among Inventors or Authors. f. If an Inventor or Author who is a Head of Laboratory electsto contribute any or all of his or her share of the Net Proceeds to his or her laboratory for the purposes of supporting ongoing research at Touro, then Touro will contribute a matching sum from Touro’s share of the Net Proceeds to such laboratory to support such research. 5.7 Distribution of Net Proceeds. Net Proceeds from licensing transactions for Inventions and Commercial Works will be distributed by Touro in its ordinary course of business to Inventors or Authors according to the share allocation agreement described in Paragraph 5.6(d). No interest will be paid on Net Proceeds. Touro will use reasonable efforts to distribute any Net Proceeds due to an Inventor or Author who is no longer associated with Touro, provided that it is the sole obligation of such Inventor or Author or his or her estate to provide current contact information to OIC. In the event of the death of an Inventor or Author, any Net Proceeds due to the Inventor or Author will be distributed to his or her estate in accordance with this Policy and applicable law. Payment of Net Proceeds to an Inventor or Author will be reported by Touro as payment of “other income” or “royalties” and not as “salary”. Distribution of Net Proceeds to an Inventor or Author may have tax consequences for the Inventor or Author, which tax consequences will be the sole responsibility of the Inventor or Author. Each

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Inventor or Author should consult his or her tax advisor to determine his or her tax consequences. 5.8 License-Derived Securities. If Touro receives any equity or other class of securities (“Equity”) of a licensee as consideration in a license transaction for Inventions or Commercial Works, then the Equity will be held by Touro and managed by its designee. It is the policy of Touro to liquidate such Equity as soon as reasonably practicable, usually in the public market, rather than seek to maximize the return on the Equity by trying to time the sale of the Equity. Touro does not act as a fiduciary for any Inventor or Author concerning such Equity, and no Inventor or Author will have any right to vote or direct the disposition of such Equity. Touro has no obligation or duty to an Inventor or Author regarding the value realized upon liquidation of such Equity, or regarding any personal tax consequences that may arise as a result of an Inventor’s or Author’s receipt of Net Proceeds from the disposition of such Equity. Once the Equity is liquidated, the proceeds will be treated as New Proceeds and distributed under the terms of this Policy. For a more detailed explanation of the considerations involved in Equity transactions, see the attached Appendix B on Guidelines for License Transactions Involving Securities, which is incorporated by reference into and made a part of this Policy. 5.9 Inventor or Author Compensation. All Inventors and Authors are

required to submit to OIC existing and proposed agreements, including proposed amendments to existing agreements, with any entity that is or becomes involved with Touro in a license transaction concerning the Inventor’s or Author’s Invention or Commercial Work. Should any Inventor or Author receive or have a right to receive compensation directly or indirectly (except for an Inventor’s or Author’s share under Paragraph 6 above) from such 125

an entity, OIC will determine whether the existing or proposed agreement would be inconsistent with the interests of Touro. If, in its sole discretion, OIC determines that such an agreement would be inconsistent with Touro’s interests, the agreement may be disclosed by OIC to the Investment Subcommittee of Touro’s Board of Trustees. This Committee may then recommend to Touro President appropriate action, including adjustment of Touro’s and the Inventors’ or Authors’ shares of Net Proceeds based on the particular circumstances of the situation. The President’s decision will supersede any inconsistent provisions set forth in Paragraphs 5.6 and 5.8.

6.0 DISPUTE RESOLUTION

Complaints concerning this Intellectual Property policy should be sent to the Compliance Officer, 43 West 23rd Street, New York, New York, 10010, or, alternatively, to [email protected]. If the complainant does not wish to resolve the complaint informally, the receiving school authority must immediately forward the complaint to the Compliance Officer who will initiate an investigation no later than twenty (20) days after receipt of a complaint.

Complaints should be filed as soon as possible after the date of the alleged misconduct, and a written complaint is preferable. A complaint, which must be submitted within the earlier of the following two dates: (a) thirty (30) days after the alleged misconduct; or, (b) the end of the semester in which the alleged incident occurred. A complaint should include the following information: a. Complainant’s full name, home address, email, telephone number, and Touro Student/Employee ID number.

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b. The basis for the alleged complaint including any documentation that can help substantiate the issues alleged in the complaint. c. A clear timeline of the activities or process giving rise to the

complaint.

d. Complainant should include the term and year of his/her most recent active employment, academic, or student status within Touro. e. The full name, address, and telephone number of

complainant’s advisor or supervisor, if any.

f. The specific harm that resulted from the alleged act and the remedy sought. g. The complainant’s signature and the date on which the

complaint was submitted.

Should there be any controversy or claim arising out of or relating to this Intellectual Property Agreement, or the breach thereof, Touro College will confer in good faith to resolve promptly such dispute with the party involved. In the event that the party and Touro are unable to resolve the dispute, then the dispute shall be exclusively heard and settled by expedited binding arbitration administered by the American Arbitration Association (the “AAA”) under its Commercial Arbitration rules by one arbitrator who shall be an attorney. Judgment on the award rendered by the arbitrator(s) may be entered in any court having jurisdiction thereof. Each party shall bear the cost of arbitration equally, with each party bearing their own attorney’s fees and costs of presenting their own proof. The Arbitration shall be held in the county and state where the party currently works, attends or is affiliated with Touro.

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This Policy will be reviewed periodically and will be updated, as necessary. All changes to this policy will be updated on the Touro Portal where the policy can normally be found. No notice is necessary when making changes to this policy and you are responsible for keeping current on any changes to this or any other Touro policy and acting accordingly.

7.0 WHO IMPLEMENTS POLICY/PROCEDURE

Michael Newman, Chief Compliance Officer

8.0 WHO APPROVED THIS POLICY

9.0 HISTORY – REVISIONS

10.1 Initiated: November 17, 2013 (Board Approval)

10.2 Last Review:

10.3 Next Review:

10.0 APPENDICES

10.1 Appendix A

10.2 Appendix B

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APPENDIX A: AGREEMENT CONCERNING INTELLECTUAL PROPERTY In consideration of my employment or engagement by Touro College ("Touro") or my use of the facilities, equipment or funds of or administered by Touro, I make this agreement with Touro: 1. I hereby agree:

a. to be bound by Touro’s Intellectual Property Policy, as it may

be amended from time to time (the “Policy”);

b. to make prompt and full written disclosures in accordance with the Policy, including disclosure of certain Inventions and/or Commercial Works (as those terms are defined in the Policy) and of existing and proposed agreements that I may have with an entity that is or becomes involved with Touro in a license transaction concerning my Inventions or Commercial Works;

c. to assign and do hereby assign to Touro all of my right, title and interest in, to and under the Inventions and/or Commercial Works of which I am an Inventor or Author; and d. that all right, title and interest in and to the Inventions

and/or Commercial Works discovered or created by me are the property of Touro under the terms of the Policy. 2. At the request of Touro at any time and in accordance with the

Policy, I will execute, without charge, all documents relating to the Inventions and/or Commercial Works, including those reflecting the assignment herein and assist Touro in applying for, obtaining, maintaining and enforcing associated patent and copyright applications, patents and copyrights anywhere in the world.

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3. At the request of Touro, I agree to assist Touro, without charge (except for reasonable compensation for extraordinary work, if I am no longer employed or engaged by Touro) in the following: a. Preparation, filing, prosecution of applications and

maintaining patents or copyrights anywhere relating to any

Invention or Commercial Work;

b. Licensing or other transactions relating to any Invention or

Commercial Work; and

c. Any litigation, other proceedings (in courts, patent offices, copyright offices or elsewhere), or any dispute resolution process, including mediation, arbitration or negotiation, relating to any Invention or Commercial Work. 4. This Agreement will inure to the benefit of Touro and its nominees

and their respective legal representatives, successors and assigns. This Agreement will be binding now and in the future on me and my heirs, legal representatives, executors, administrators and assigns. Except with the prior, written consent of an authorized official of Touro, no attempt by me to assign or transfer any rights in Inventions or Commercial Works will relieve me of any of my obligations under this Agreement or the Policy. 5. This Agreement, together with the Policy, supersedes any prior

agreements or understandings I may have signed or to which I may be bound with respect to the subject matter of this Agreement. I represent and warrant that I have not entered into any agreement, understanding or obligation with any person, organization or corporation that is in conflict with my obligations under this Agreement or the Policy. Signature: Dated: Printed Name:

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APPENDIX B GUIDELINES FOR LICENSE TRANSACTIONS INVOLVING SECURITIES One category of potential licensees for an Invention or Commercial Work that is evaluated by OIC is a start-up company. Typically, a start-up company’s survival will be tied to the development of the technology licensed to it by Touro, and the company’s research and development efforts will be focused on that technology. Often, a start-up company can represent the best opportunity for the development of an early-stage technology. In some cases, a start-up company may represent the only licensing alternative available.

Most start-up companies, whether just formed or in existence for a few years, have little cash and no revenues. Under these circumstances, the heavy cash burden on the company of a traditional license transaction would divert cash needed for research and development efforts and diminish the company’s ability to attract initial investors. In such a licensing transaction, equity or other class of securities (“Equity”) is issued to Touro at the commencement of the license, and most of the company’s cash obligations to Touro are postponed until milestones are reached and sales and sublicense fees are generated. Equity is not preferred to cash by Touro. Rather, in the absence of sufficient cash compensation available from the company and in lieu of all or part of the initiation fees, in addition to future fees and royalties, Equity may be accepted as compensation by Touro. Thus, the issuance of Equity in a license transaction is a reasonable business solution that enhances the overall potential financial return to Touro and remains acceptable to the start-up company and its investors.

OIC uses the following list, which must be read in context of the entire Policy, as a guideline in negotiating license transactions with start-up companies:

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• The company should be legally formed, managed by executives

experienced in the company’s industry, and have the potential for

credible investors.

• Touro, its officers, its employees, and the Inventors or the Authors should not hold management or fiduciary positions in the company. • If an Inventor or Author receives or has a right to receive Equity in the company, the requirements of Touro’s Policy on Conflict of Interest and Commitment in Research must be followed. • In the event that an Inventor or Author holds or will hold Equity in a company on an individual basis, the distribution of Net Proceeds may be determined according to Paragraph 5.9 of the Policy. • Touro should hold a minority Equity position, generally not more than fifteen percent (15%) of all outstanding Equity on a fully- diluted basis of the company post financing. • Touro should not invest cash directly in the formation of the company or in follow-on rounds of financing. This does not preclude, for example, investments in the company by venture capital funds in which Touro has invested or the exercise of warrants or options held by Touro. • Once Equity is received by Touro, the Equity will be held, managed and liquidated in accordance with the Intellectual Property Policy and other applicable policies and procedures of Touro.

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