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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 2020 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

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, Postdoctoral Scholar, and Staff Appointments
Employment Policies and Affirmative Action
Administrative Appointments of Faculty Members
Administrative Committees
Emeritus Faculty Members
Research Faculty
          Research Professors
          Research Assistant Professors
          Faculty Associates and Senior Faculty Associates
Teaching Faculty
          Teaching Professors
          Teaching Assistant Professors
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 Emeritus Professors
          Overview of Retirement Transition Options
          Other Information
Non-Tenured Faculty
Resignation
Scholarly Leave of Absence for Professorial Faculty Members
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
          General
          Scope
          Definitions
          Rights and Responsibilities
          Research Integrity Officer
          Complainant
          Respondent
          Witness
          Responsibility to Report Misconduct
          Confidentiality, Retaliation, and Damage to Reputation
          The Assessment of the Allegation
          The Inquiry
          The Investigation
          Adjudication
          Interim Administrative Action and Reporting
          Completion of Cases
          Obligations to and Actions by Sponsors
          Recordkeeping
Candidacy for Public Office
Classified Work on Campus
Controlled Unclassified Information
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
Environmental Health and Safety
Gifts to the Institute
Lobbying and Political Endorsements
Nepotism
Patent Policy
Procedure for Acquiring New Facilities
Protection of Human Subjects
Publications
          Costs of Publications
          Depositing Publications
Research Involving Vertebrate Animals
Royalties and Copyrights
Authorship Disputes
          Avoiding Authorship Disputes
          Resolving Authorship Disputes
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 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

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