Faculty Handbook
This handbook contains the By-laws of the Faculty and summarizes the most important principles, policies, and administrative procedures of the Institute concerning the faculty and academic staff. It may be modified from time to time by special memoranda as revisions or additions become necessary.
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Download the complete 2010 Faculty Handbook
TABLE OF CONTENTS
CHAPTER 1 The California Institute of Technology
The History of the Institute
Educational Policies and Objectives
Organization
Off-Campus Facilities
Support Groups
CHAPTER 2 The Faculty
Responsibility of the Faculty
Bylaws of the Faculty
CHAPTER 3 Obligations and Tenure of Faculty Members
Obligations
Academic Tenure
Statement on Tenure
Introduction
Purpose
Standards
Procedures
Additional Tenure Matters
The Standards for Notice
Salary and Residence of Faculty Members
CHAPTER 4 Faculty and Staff Appointments and Promotions
Employment Policies and Affirmative Action
Administrative Appointments of Faculty Members
Administrative Committees
Faculty Members Emeriti
Research Faculty
Senior Research Associates
Senior Research Fellows
Faculty Associates and Senior Faculty Associates
Instructors
Lecturers
Visiting Members of the Faculty
Visiting Professors
Visiting Associates
Faculty Records Office
Other Members of Staff of Research, Instruction, and Professional Service
Postdoctoral and Senior Postdoctoral Scholars
Visitors
Insurance Coverage for Visitors
Foreign National Visitors
Visitor Entitlements and Restrictions
Graduate Student Assistants
Members of the Professional Staff, Members of the Beckman Institute, and Librarians
Staff Employees
Grievance Procedures
Consultation
Informal Procedures
Formal Requests for Consideration of a Grievance
Appeals
Academic Freedom and Tenure Committee Guidelines
CHAPTER 5 Retirement, Leaves, Vacations, and Holidays
Professorial Faculty Retirement Options
Privileges of Professors Emeriti
Overview of Retirement Transition Options
Other Information
Non-Tenured Faculty
Resignation
Leave of Absence
Sick Leave
Disability; Child-bearing Leave; Child-Care Leave
Vacations and Holidays
CHAPTER 6 Insurance and Related Matters
Retirement Annuity Plan
TIAA-CREF Investments
Voluntary Tax-Deferred Retirement Plans
Additional Information
Survivor Benefit Policy
CHAPTER 7 Administrative Policies and Procedures
Caltech Policy on Research Misconduct
Preamble
Definitions
Findings
Procedure
Candidacy for Public Office
Classified Work on Campus
Conflict of Interest, Conflict of Commitment, and Technology Transfer
General Principles
Principles and Rules Concerning Investigator Responsibilities
Rules Concerning Patent Rights and Research Support
Consulting Activities
On-Campus Activities Outside the Line of Duty
Off-Campus Teaching
Gifts to the Institute
Lobbying and Political Endorsements
Nepotism
Patent Policy
Procedure for Acquiring New Facilities
Protection of Human Subjects
Publications of the Staff
Costs of Publications
Depositing Publications
Distribution of Technical Papers to the Industrial Associates
Research Involving Vertebrate Animals
Royalties and Copyrights
Sponsored Research and Other Sponsored Activities
Policies Governing Sponsored Research
Procedures for Submitting Proposals and for Accepting Awards
Taping of Public Speeches
Travel
Method of Transportation
Travel to Meetings
Travel on Institute Business
Travel Chargeable to Special Funds and Government Agreements
Tuition Exemption
Use of the Institute’s Name
Institute Policies
CHAPTER 8 Policies for Postdoctoral Scholars and Research Faculty
Purpose of Caltech’s Postdoctoral Program
Intellectual Independence and Academic Freedom
Academic Policies and Procedures
Patents and Intellectual Property
Access to Data, Programs, and Samples
Teaching, Consulting, and Professional Activities
Administrative Policies and Processes
Educational Programs
Scholars from Foreign Countries
Appointments and Reappointments
Terms
Salary
Limitations
The Standards for Notice
Processes and Communication
Completion of Postdoctoral Scholar Appointments
Affirmative Action and Employment Status
Benefits
Institute Facilities and Resources
Fringe Benefits
CHAPTER 9 Policies Relating to Students
Absence Reports
Auditing Courses
Course Changes
Examinations
Faculty Responsibilities for Students
Faculty/Student Relations
Guidelines for the Graduate Student-Faculty Advisor Relationship
Field Trips
The Honor System
Length of Classes
Overloading of Students
Scholastic Grading
Senior Ditch Day
Summer Research
CHAPTER 10 Services and Facilities
Archives
Athenaeum
Bookstore
Career Development Center
Central Engineering Services
Credit Union
Government and Community Relations
Graphic Resources
Health Center
Human Resources
Information Management Systems and Services
Library System
Mail Services
Miscellaneous Services
Notaries
Rental Listings Service
Parking
Facilities Management
Caltech Public Events
Office of Communications
Campus Programs and Community Relations
Editorial and Content Development
Media Relations
Online Publications
Purchasing Services
Environmental, Health and Safety
Security
Staff and Faculty Consultation Center
Women’s Center
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