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 2024 Faculty Handbook
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; Paid Parental 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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