Handbooks

DePauw University Handbooks

Academic Handbook

The academic handbook governs the faculty, and serves as the foundation for shared governance between the faculty, the Administration and Board of Trustees. When questions arise concerning the interpretation of the procedures and policies in this Handbook, the decision is made by the Vice President for Academic Affairs in consultation with faculty committees, the Dean of the School of Music, the President and the Board of Trustees as appropriate. These policies and procedures are not contractual. Therefore, the University, including its trustees, the faculty, and the administration reserve the right to change those sections for which each respectively has responsibility as identified in the handbook itself. Further, the University, including the trustees, reserves the right to add to or delete from this handbook from time to time as they decide is appropriate.

The Academic Handbook is divided into four sections:

BY-LAWS AND STANDING RULES OF THE FACULTY

(Initially rewritten in 1986-87; Faculty Handbook Committee did review and update in 2004-05; change in the faculty governance structure resulted in large changes in spring 2015; frequently amended by faculty approval.)

ACADEMIC POLICIES

(Written and approved by the faculty.)

PERSONNEL POLICIES

(Some sections by faculty action; others by administrative decision; and some sections developed mutually.)

DePauw University strongly affirms the principles of academic freedom and tenure as stated in the 1940 Statement of Principles on Academic Freedom and Tenure, with 1970 Interpretive Comments of the American Association of University Professors. (See AAUP Redbook, 9th Edition, pp. 3-7.)

GENERAL POLICIES

(Written by the administration; some sections approved or acknowledged by the faculty.)

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Contents for Academic Handbook

By-Laws and Standing Rules of the Faculty

The Faculty
Faculty Meetings
The Officers
Academic Organization and Operations
Curricular Areas
Elections
Committees
Core Faculty Committees
University-wide Committees
Standing Appointed Committees
Ad Hoc Committees
Amendments to and Suspension of By-Laws and Standing Rules
Standing Rules
The Constitution and Authority of the Faculty

Academic Policies

Academic Integrity
Student-Initiated Grievance on Grading and Other Forms of Evaluation by Faculty
Academic Expectations for DePauw Students
Satisfactory Academic Progress for Financial Aid and Academic Standing
Class Attendance and Absences
Conflict Between Class and Extracurricular Activities
Religious Holy Days
Classroom Atmosphere
Examinations in Courses
Freedom of Academic Expression of Students
Timely Feedback

Personnel Policies

Appointment
1. Part-time Faculty Positions
2. Full-time Faculty Positions
Periodic Evaluation
Guidelines for Term, Interim, Tenure and Promotion Reviews
Procedures for Term, Interim, Tenure, and Promotion Reviews
Criteria for Decisions on Faculty Status

Standards and Procedures for Termination: Release, Dismissal and Non-reappointment
Reconsideration and Review in Release, Dismissal, and Non-Reappointment Cases
Faculty Grievance Process
Faculty Review of Lesser Sanctions
1. Overview
2. Process

Appendices to Personnel Policies

Appendix 1: Faculty Personnel Policy and Review Committee Hearing Procedures for Faculty Sanctions

Appendix 2: Terminal Degrees

Appendix 3: Conflict of Interest Policy and Procedures for Faculty Personnel Matters

INTRODUCTION

DEFINITION

PERSONAL RELATIONSHIPS SUBJECT TO THIS POLICY

CONFLICT OF INTEREST PROCEDURES

CONFIDENTIALITY AND RECORDKEEPING

General Policies

Absence from Campus During the Academic Year
1. Absences for Professional Reasons
2. Illness, Emergency Medical and Family Care Reasons for Absences
3. Inclement Weather
4. Reporting Missed Classes and Obtaining Approval for Extended Absences
5. Making Up Canceled Classes
6. Discretionary Personal Absences
AIDS Policy
Alcohol and Controlled Substance Policy
Alcoholic Beverage Policy for Students
1. Section I: Philosophy
2. Section II: Medical Amnesty Policy (MAP)
3. Section III: Laws of the State of Indiana
4. Section IV: University Policies
5. Section V: Responsible Management of Events Involving Alcohol
Alternate Class Activities for a Scheduled Class Meeting
Animal Use and Care in Research Policy
Classroom Observation Policy for Faculty Members on Full-time Term and Part-time Appointments
1. For Full-Time Term Appointments
2. For Part-Time Appointments
Compensation for Professional Assistance
Conflict of Interest Policy
1. Article I: Purpose
2. Article II: Definitions
3. Article III: Procedures
4. Article IV: Violations
Consensual Relations Policy
Deceased Student Policy
1. Posthumous Degree
2. Posthumous Degree Policy
3. Posthumous Degree Procedure
4. If a posthumous degree is approved
5. Posthumous Award.
Drug Free Workplace
1. Voluntary Treatment
2. Use of Prescription Drugs
3. University Responsibilities
Electronic Communications and Acceptable Use Policy
1. Introduction
2. Policies
3. Monitoring and Disclosure
4. Retention and Archival Storage of Electronic Communications
5. Acceptance of Electronic Signature
6. Violations
7. Relationship to Other University Policies
8. Definitions
Employment Outside the University
Equal Opportunity Policy
Ethical Conduct Statement
Exam Proctoring Policy
Faculty Development Benefits
Field Trip and Special Event Funds
1. Field Trip Funds
2. Attendance Policy / Missing Other Classes
3. Special Event Funds
4. Request Guidelines
5. Planning Events and Submitting Receipts
Harassment Policy
Hospitality Funds
Human Subject Research Policy and Review Procedure
1. Introduction
2. Human Subject Review Procedures
3. Category I Research
4. Category II Expedited Review Research
5. Category III Full Review Research
6. Composition of the Board
7. General Procedures
8. Appendix A.
9. Appendix B.
Insurance and Other Benefits
Intellectual Property Policy
1. Preamble
2. Rights of Ownership
Open Access Policy
Opening Convocation and Commencement
Record Retention and Document Destruction Policy
1. Purpose
2. Document Retention
3. Corporate Records
4. Accounting and Corporate Tax Records
5. Bank Records
6. Payroll and Employment Tax Records
7. Employee Records
8. Donor and Grant Records
9. Legal, Insurance, and Safety Records
10. Student Records
11. Electronic Documents and Records
12. Emergency Planning
13. Document Destruction
14. Compliance
Retirement Agreement for a Tenured Faculty Member
1. Post Retirement
2. Pre-Retirement Arrangements
Student Leave of Absence Procedure
1. Requesting a Leave of Absence
2. Processing a Leave of Absence
3. Returning from a Leave of Absence
Student Records Policy -- Access to Records and Release of Information
Whistleblower Policy: Protection for Those Reporting Fraudulent, Dishonest, or Unlawful Behavior
Extended Studies (Winter Term and May Term)

By-Laws and Standing Rules of the Faculty

The Faculty
The faculty consists of the President, the Vice President for Academic Affairs, the Dean of the School of Music, and those persons appointed to tenure-track, term, or part-time positions with academic rank or nominal rank. (See the Appointment Section of Personnel Policies for a description of the types of faculty positions.)

The President, Vice President for Academic Affairs, and the Dean of the School of Music are administrative appointments. Every search committee for all three positions shall have faculty representatives.
Faculty Meetings
1. Regular and Called
  
  There shall be one regular voting meeting of the faculty each month of the academic year. Additional meetings when desired may be called by the Chair of the Faculty.
2. All faculty members may attend faculty meetings and participate freely in discussions.
3. Voting
  1. Full-time faculty members holding positions with academic or nominal rank, including those on sabbatical, pre-tenure, or academic leave, may vote. (See Article I.B. in the Personnel Policies for a definition of full-time faculty positions.) The President, the Vice President for Academic Affairs, the Dean of the School of Music, and the Registrar also have voting privileges.
  2. Faculty members in Part-Time Faculty Positions with Academic Rank may vote in any semester that their teaching load exceeds the equivalent of 1.5 courses or in any active teaching semester after 12 semesters of teaching service to the University. Librarians serving as part-time renewable term faculty may vote in any semester that their load exceeds the equivalent of 50% of full-time, or in any active semester after 12 semesters of librarianship at the University. All other faculty members in part-time positions may attend faculty meetings and participate in debate, but not vote; however, Senior (Emeriti) Professors are eligible to vote during any semester in which they are teaching at least one course.
  3. A quorum shall consist of 40% of the full-time faculty eligible to vote and not on approved leave (rounded to the nearest whole number). This number shall be determined for each semester by the Vice President for Academic Affairs, using the faculty roster as of the Friday immediately preceding the first faculty meeting of each semester. Immediately after the call to order at the first faculty meeting of each semester, the Vice President for Academic Affairs shall announce the quorum requirement for that semester. The next order of business after the call to order at each faculty meeting shall be the verification of a quorum by the Chair of the Faculty; (for the first meeting of the semester, the quorum verification shall occur after the Vice President for Academic Affairs has announced the requirement).
  4. All voting in meetings, unless otherwise stipulated, shall be by show of hands. However, at the request of any faculty member the vote shall be by secret ballot.
  5. Any voting faculty member may object to including an item on the Consent Agenda. Such an objection will result in full debate of the item under the appropriate order of business.
4. Order of Business
  
  At all regular voting faculty meetings the following list of items must be included on the agenda, however with the exceptions of the call to order, verification of the quorum, consent agenda and adjournment the order may be adjusted to best facilitate faculty business. The Chair of the Faculty with Faculty Priorities and Governance Committee will consider how to best organize the agenda each month.
  1. Call to order and verification of quorum
  2. Consent Agenda
    1. Approval of minutes
    2. Approval of new courses and announcement of course changes (as needed)
    3. Approval of election results (as needed)
    4. Conferring of baccalaureate degrees (as needed)
    5. Other (as needed)
  3. Reports from Core Faculty Committees
  4. Reports from other committees
  5. Remarks from the Vice President for Academic Affairs
  6. Remarks from the President
  7. Unfinished business
  8. New business
  9. Announcements
  10. Adjournment
5. Parliamentary Procedure
  1. The following shall be circulated at least three days before each faculty meeting: copies of the minutes of the last meeting and an agenda including the specific committee motions to be voted on at the next meeting including the exact text of the consent agenda. All committee motions on which there is to be a vote at a faculty meeting must have been announced in the agenda circulated before that meeting.
  2. All business shall be conducted according to proper parliamentary procedure as set forth in Robert's Rules of Order.
The Officers
1. The Presiding Officer
  
  The Chair of the Faculty shall preside at all meetings of the faculty. In the event of absence due to illness, a substitute designated by the Chair of the Faculty shall preside.
2. The Chair of the Faculty
  1. The Chair of the Faculty shall be a tenured faculty member elected by the faculty for a term of two years under the election rules provided in Article VI.
  2. The Chair of the Faculty shall appoint an assistant to help in preparing the first draft of the minutes of the faculty meeting, with faculty elections, with maintenance of the Academic Handbook, and any other record keeping functions. The Chair, aided by the assistant, shall have responsibility for the tabulation of ballots in any faculty election, and, in cooperation with the office of Academic Affairs, shall be responsible for the Academic Handbook. The Chair shall ensure that every faculty member shall have a copy (or access to electronic editions) of all revisions, amendments and new editions of the Academic Handbook. Financial and resource support for the assistant and the functions of the Chair shall be given by the chief academic officer of the University.
3. The Parliamentarian
  
  The Parliamentarian shall be tenured or in at least the seventh year of full-time faculty status elected by the faculty for a term of three years under the election rules provided in Article VI. The Parliamentarian shall advise the Chair on rules of procedure in the faculty meeting and shall have final authority to resolve disputes regarding those rules. In case of vacancy in the office of Parliamentarian, the Chair shall appoint an Interim Parliamentarian and conduct an election for a new Parliamentarian to serve a full term as soon as possible.

Academic Organization and Operations

Schools, Departments and the Library
1. There are two schools: Asbury College of the Liberal Arts and the School of Music. All academic departments are in the College of Liberal Arts, and the music faculty members are in the School of Music. The Library is a separate non-academic department, which includes all libraries on campus and the University archives.
2. 2. There are nineteen departments in the Asbury College of Liberal Arts: Art and Art History, Biology, Chemistry and Biochemistry, Classical Studies, Communication and Theatre, Computer Science, Economics and Management, Education Studies, English, Earth and Environmental Geoscience, History, Kinesiology, Mathematical Sciences, Philosophy, Physics and Astronomy, Political Science, Psychology and Neuroscience, Religious Studies, Sociology and Anthropology. Each department and the School of Music are responsible for the maintenance of an academic program according to which degrees are awarded. (DePauw University Catalog for details.)
3. Academic positions: Faculty members with academic rank are appointed to positions in the School of Music or the Asbury College of Liberal Arts, as outlined in Article I in the Personnel Policies. (In those cases where the principal duties of the academic appointment are to administer and teach in Interdisciplinary, Honors and Competence Programs, particular rules apply. See below.)
4. Responsibilities: Except when specified by faculty action as described in the University Catalog, Academic Handbook, and/or the appropriate faculty meeting minutes, schools and departments shall have immediate supervision over:
  1. their respective fields and disciplines and the courses of instruction;
  2. the definition of teaching positions in those fields and disciplines;
  3. the proposals for full-time faculty positions;
  4. the recruitment, appointment, evaluation, tenure, and promotion of their faculty members;
  5. the definition of major and minor concentrations of studies in their respective fields and disciplines;
  6. their schedules of courses and laboratories;
  7. their organizational structure; and
  8. the support personnel and budget needed to carry out their respective missions.
5. Committees (Approved by the Faculty, March 7, 2005; amended October 5, 2009)
  1. Personnel Committee
    
    The Personnel Committee is created anew for each specific review.
    (Procedures for this committee are described in Article IV. C. in the Personnel Policies.)
    1. Membership:
      1. For a faculty member with an appointment in a single department or school, the Personnel Committee shall consist of all tenure-track faculty members, librarians with faculty rank, and term faculty members with significant administrative duties of the department or school except the person being reviewed and those in the first year or last year of service. Probationary tenure-track faculty members, term faculty members with significant administrative duties, and those on leave may excuse themselves from any case without prejudice. For a faculty member with an appointment in two or more departments or programs, the Personnel Committee will be constituted as stipulated in the letter of appointment in keeping with the general spirit of the preceding provision.The Vice President for Academic Affairs and the Dean of the School of Music will not serve on the committee. (For definitions of types of full-time faculty, see Article I. B. in the Personnel Policies)
      2. Membership exclusion based on Conflicts of Interest as covered by the policy established by the Faculty Personnel Policy and Review Committee and the Administration and published in Appendix 3 in the Personnel Policies of the Academic Handbook apply.
      3. If the description and actions above would create a Personnel Committee of two or fewer members, or if they would create a Personnel Committee with less than a majority of tenured members, then additional Personnel Committee members shall be selected from related departments, according to a procedure established by the Faculty Personnel Policy and Review Committee and the Administration. Enough additional members shall be selected so that there are at least three members total and a majority of tenured members.
    2. Chair and Organization:
      1. Normally, the chair of the department, director of the interdisciplinary program, or the Associate Dean of the School of Music serves as the committee chair and communicates the recommendation of the committee to the Vice President of Academic Affairs (for positions in the College of Liberal Arts) or the Dean of the School of Music (for positions in the School of Music), following procedures detailed in Article IV.C. in the Personnel Policies of the Academic Handbook. In the event that the chair of the department, director of the interdisciplinary program, or the Associate Dean of the School of Music is the person under review or otherwise unable or ineligible to serve as chair, the Vice President for Academic Affairs (for positions in the College of Liberal Arts) or the Dean of the School of Music (for positions in the School of Music) will designate a member of the department, program, or school as the convener of the first meeting. In this case, the members will elect a chair at their first meeting.
      2. Prior to the first meeting, the chair or convener shall determine if additional members of the committee will be needed [per section 1(c) above]. At its first meeting, the members of the committee will initiate the process of selecting the additional members.
    3. Function and Duties:
      
      The committee makes recommendations regarding interim, term, tenure, and promotion decisions affecting members of the department, following procedures specified in Article IV.C. in the Personnel Policies of the Academic Handbook. It also makes recommendations regarding the extension of term appointments.
  2. Search Committee
    
    The Search Committee is created anew for each search to fill a full-time position and ceases to exist once the position has been filled. This section applies only to searches for full-time positions. (For information about part-time appointments, see Article I.A. in the Personnel Policies of the Academic Handbook.)
    1. Membership:
      1. Search Committee shall consist of all tenure-track faculty members, librarians with faculty rank, and term faculty members with significant administrative duties of the department except those in their first year or last year of service; there will be additional members, one from each of two other departments, programs or the School of Music, chosen by the Vice President for Academic Affairs (for positions in the College of Liberal Arts) or the Dean of the School of Music (for positions in the School of Music), after consultation with the Faculty Personnel Policy and Review Committee, from a list provided by the department, program, or the School of Music. Additional members from other departments, programs, or the School of Music are not required in searches for positions lasting one year. In special circumstances, at the request of the Search Committee, the Vice President for Academic Affairs (for positions in the College of Liberal Arts) or the Dean of the School of Music (for positions in the School of Music), with the approval of the Faculty Personnel Policy and Review Committee, may appoint additional faculty members from the department, program, or the School of Music to serve on the committee, such as those who are in their first or last year of service. Probationary tenure-track faculty members, term faculty members with significant administrative duties, and those on leave may excuse themselves from any search without prejudice. The Vice President for Academic Affairs and the Dean of the School of Music will not serve on the committee. (For definitions of types of full-time faculty, see Article I.B. in the Personnel Policies).
      2. Membership exclusion based on Conflicts of Interest as covered by the policy established by the Faculty Personnel Policy and Review Committee and the Administration and published in Appendix 3 in the Personnel Policies of the Academic Handbook applies.
    2. Chair and Organization:
      
      Normally, the chair of the department, the program director or the Associate Dean of the School of Music shall serve as the chair of the Search Committee. In the event that the chair of the department, the program director, or the Associate Dean of the School of Music is unable or ineligible to serve as chair, the Vice President for Academic Affairs (for positions in the College of Liberal Arts) or the Dean of the School of Music (for positions in the School of Music) will designate a member of the department, program, or school as the convener of the first meeting. In this case, the members will elect a chair at their first meeting.
    3. Function and Duties:
      
      The committee will co-ordinate all facets of the search process, according to the procedures for searches established by the Faculty Personnel Policy and Review Committee and the Administration, in consultation with the Diversity and Equity Committee. It will then make a recommendation for hiring to the Vice President for Academic Affairs (for positions in the College of Liberal Arts) or the Dean of the School of Music (for positions in the School of Music) based upon all available evidence. The Vice President for Academic Affairs makes the job offer for College of Liberal Arts searches and the Dean of the School of Music makes the job offer for the School of Music searches.
  3. Full-Time Position Request Committee
    
    The Full-Time Position Request Committee is created solely to request a position, and exists only until the request has been submitted and processed.
    1. Membership:
      
      Requests for a tenure-track or term faculty position shall be made by tenure-track faculty members of the department, or program or of the School of Music, except those ineligible to participate in the ensuing search (see section (1)b above). Those not tenured or who are on leave may excuse themselves from any case without prejudice. A good faith effort must be made to inform and include in the process all eligible members, whether on leave or not. At the request of the Full-Time Position Request Committee, the Vice President for Academic Affairs, with the approval of the Faculty Personnel Policy and Review Committee, may appoint additional faculty members from the department, program, or school to serve on the committee. Membership exclusion based on Conflicts of Interest as covered by the policy established by the Faculty Personnel Policy and Review Committee and the Administration and published in Appendix 3 in the Personnel Policies of the Academic Handbook apply.
    2. Chair and Organization:
      
      Normally, the chair of the department, director of the program, or Associate Dean of the School of Music shall serve as the chair of the Full-Time Position Request Committee. In the event that the department chair, program director, or Associate Dean is unable or ineligible to serve as chair, the Vice President for Academic Affairs (or Dean of the School of Music for tenure lines within the School of Music) will designate a member of the department, program, or school as the convener of the first meeting. In this case, the members will elect a chair at their first meeting.
    3. Function and Duties:
      
      For departments and programs within the College of Liberal Arts, the Full-Time Position Request Committee submits a request to the Vice President for Academic Affairs for a term position, and to the Curricular Policy and Planning Committee through the Tenure-line Committee for a tenure-track position. Every member of the committee must either sign the request for staffing or a separate opinion.
      
      For the School of Music, the Full-Time Position Request Committee works in consultation with Curricular Policy and Planning Committee to develop recommendations which are submitted directly to the Dean of the School of Music. Every member of the committee must either sign the request for staffing or a separate opinion.

Interdisciplinary, Honor Scholar, Fellows and Competency Programs

There are fourteen Interdisciplinary Programs in Asbury College of Liberal Arts associated with the awarding of a degree. In addition, there are the Honor Scholar and five Fellows Programs and three Competency programs. Each program has an Executive or Steering Committee responsible for it; each has a director or coordinator for the administration of the program.

Interdisciplinary Programs Granting a Major and a Minor	Interdisciplinary Programs Granting Only a Minor	Honor Scholar and Fellows Programs	Competency Programs
Africana Studies Asian Studies Business Film and Media Arts German Studies Global French Studies Global Health Hispanic Studies Italian Cultural Studies Peace and Conflict Studies Women’s, Gender and Sexuality Studies	Ethics in Society Latin American and Caribbean Studies World Literature	Environmental Fellows Global Studies Fellows Honor Scholar Management Fellows Media Fellows Science Research Fellows	Oral Communication Quantitative Reasoning Writing

Interdisciplinary programs which offer a major may have full-time faculty appointments, including tenured and tenure-track appointments, made directly and exclusively to the program. Honor Scholar, Fellows, and Competency Programs, and Interdisciplinary Programs that do not offer a major, may neither request nor define their own, full-time academic positions; they do not have full-time, ranked academic position made exclusively to them.

Interdisciplinary Programs
1. Steering Committees
  1. Function: The Steering Committee will oversee and guide the continuance of the program; it shall conduct the self-study and draft the long-term plans and goals as appropriate. It shall make recommendations to the Vice President for Academic Affairs regarding the needs and goals of the curricular program.
  2. Responsibilities: Except when specified by faculty action as described in the University Catalog, the Academic Handbook, and/or the appropriate faculty meeting minutes, the Steering Committee shall have supervision over (1) the courses of instruction in its respective field or interdisciplinary area; (2) the definition of the major and/or minor concentration; (3) the program’s academic structure; (4) the criteria for identifying courses which may satisfy requirements in the programs and the selection of such courses; (5) the designation of affiliated faculty members; and (6) the programs organizational structure. Steering committee members may also advise majors and minors.
    
    Steering Committees for programs which grant the major may have the additional responsibility (1) to serve on Personnel Committees; (2) to prepare and approve position requests and descriptions; (3) to mentor junior colleagues working within the program.
  3. Membership: Steering committees for major-granting interdisciplinary programs shall include the following:
    - The director
    - Those whose appointment is fully in or who contribute substantially to the interdisciplinary program; they will be permanent members of the steering committee.
    - The remainder of the steering committee is to be composed of members of the faculty whose appointments are not within the interdisciplinary program but who are affiliated with the program by teaching either in the core or in cross-listed courses, or who are deemed by the program and the Vice President for Academic Affairs to have appropriate scholarly or artistic background or developed expertise. These rotating members should serve three-year terms, with the possibility of reappointment. Each steering committee should include at least two rotating members, who should be drawn from at least two different departments. Efforts should be made to involve junior faculty, and to bring in those new to the program or new to DePauw. The total number of steering committee members will normally be between 5 and 8.
    - For programs which grant only a minor, the steering committee may be smaller, but should be formed according to the same principles.
    - For programs which house a faculty appointment directly to the program, the majority of the steering committee must be tenured. Normally, all members of the steering committee will be fulltime faculty members, although exceptions may be made by the VPAA for part-time faculty members whose contributions to the program are significant.
    - Steering committees are appointed by the VPAA, upon recommendation from the director or coordinator of the program after consultation with the sitting members of the steering committee. (These appointments should be made every Spring, at the same time the Governance Committee considers other committee appointments.)
2. Leadership
  
  The director or coordinator of an Interdisciplinary Program is a faculty member appointed by the Vice President of Academic Affairs. The director or coordinator may hold their DePauw appointment directly in the interdisciplinary program, or in another department or program. Normally the term of office will be three years.
  
  For interdisciplinary programs that grant a major, selection of the director shall fall under the same procedures used to appoint chairs to academic departments, whereby a team appointed by the Review Committee conducts interviews and makes recommendations to the Vice President of Academic Affairs. Those interviewed must include all sitting members of the program steering committee. The steering committee may also submit a short list of additional faculty members to be interviewed, who teach core courses or are otherwise centrally involved with the program. This process will normally be completed in the Fall of the last year of a sitting director’s term of service.
  
  For Interdisciplinary programs which do not grant a major, the Vice President of Academic Affairs will appoint a coordinator after surveying faculty members and consulting with the Review Committee. This process will normally be completed by the Spring of the last year of the sitting coordinator’s term of service.
Honor Scholar and Fellows Program
1. Steering Committees
  
  (1) Function: The Steering Committee will oversee and guide the continuance of the program; it shall conduct the self-study and draft the long-term plans and goals as appropriate. It shall make recommendations to the Vice President for Academic Affairs regarding the needs and goals of the program.
  (2) Responsibilities: Except where specified by faculty action in the University Catalog, the Academic Handbook, and/or the appropriate faculty meeting minutes, the Steering Committee shall have supervision over the courses of instruction in its respective field or area; the program’s academic structure; the criteria for identifying courses which may satisfy requirements in the program and the selection of such courses; the designation of affiliated faculty members; and the program’s organizational structure. The Steering Committee is encouraged to provide evidence of participation for the decision file of faculty members teaching in the program.
  (3) Membership: The members of the Steering Committee shall be appointed by the Vice President for Academic Affairs based on the recommendations of the director or coordinator of the program and the qualifications set forth when the program was created and/or reviewed during the most recent self-study. Normally the term will be three years.
2. Leadership
  The Vice President for Academic Affairs will appoint a director after surveying faculty who teach in the program and in consultation with the Review Committee. This process will normally be completed by the spring of the last year of a sitting director’s term of service.
Competency Programs
1. Steering Committees
  1. Function: The Steering Committee will oversee and guide the program; it shall conduct the self-study and draft the long-term plans and goals as appropriate. It shall make recommendations to the Vice President for Academic Affairs regarding the needs and goals of the curricular program.
  2. Responsibilities: The Steering Committee of each Competency Program provides curriculum coherence and development as part of DePauw’s general education requirements. In consultation with related academic departments and participating faculty members, these committees have supervision over the selection of courses for inclusion in the program.
  3. Membership: The members of the Steering Committee shall be appointed by the Vice President for Academic Affairs based on the recommendations of the director or coordinator of the program and the qualifications set forth when the program was created and/or reviewed during the most recent self-study. Normally the term will be three years.
2. Leadership
  These programs have two leadership positions. The Associate Faculty Development Coordinator for each competency program is appointed by the Vice President for Academic Affairs for a three-year term. The coordinator chairs the Steering Committee and has major oversight of the program. The director of the Competency Center is a faculty member having significant administrative duties; in addition, he or she may have an academic position.
Other
There are a number of other elements of the curriculum which are not covered by this section. For example, the following are governed by provisions of this handbook describing faculty committees: Writing Curricular Committee (see Curricular Policy and Planning Committee); Independent Internships (see Course and Calendar Oversight Committee); Off-Campus Study (see Curricular Policy and Planning Committee). For more information on the Interdisciplinary Major, the Business Administration Minor and the International Business Program, see the DePauw University Catalog.

Chair of the Department, Director or Coordinator of the Interdisciplinary Program, Associate dean of the School of Music
1. If selected as a result of a national search, department chairs, program directors or coordinators, or the Associate Dean of the School of Music, are appointed by the President following the usual faculty search procedures; the term of these appointments will be stipulated at the time of the appointment, after consultation with the members of the department or the school. Renewal may follow the consultation process described for internal appointment. If selected as a result of an internal search, department chairs, program directors or coordinators, or the Associate Dean of the School of Music, are appointed by the President upon the recommendation of the Vice President for Academic Affairs, the Dean of the School of Music (for the Associate Dean) and the Faculty Personnel Policy and Review Committee after consultation with the members of the department, school, or program; the term of these appointments is three years with the possibility of renewal. Ordinarily, no more than two consecutive terms will be served by a department chair, program director or coordinator, or Associate Dean of the School of Music.
  
  Heads of Interdisciplinary, Honors, and Competency Programs are appointed by the Vice President for Academic Affairs. For more details about selection and term length, see the description of these positions in Article IV.B. above.
  
  A chair, program coordinator or director, or Associate Dean of the School of Music, may receive a stipend or have reassigned time from teaching according to an established schedule. If there are co-dean or co-chairs, associate deans or associate chairs, similar arrangements shall be followed.
2. Chairs, program directors and coordinators, and the Associate Dean of the School of Music are expected to be leaders within the University at large through consultation with the Administration and committees. They meet as a body monthly during the academic year to discuss mutual concerns and share expertise. The Chair of the Faculty also attends the monthly meeting. The body may select officers, organize committees, conduct workshops, etc., to advance their work.
3. Chairs, program directors and coordinators, and the Dean of the School of Music lead curriculum planning within the department, program, or school. Chairs, program directors, and the Associate Dean of the School of Music chair the Personnel Committee; directors have the same responsibility for tenure lines held within their program. Chairs, program directors and coordinators, and the Dean of the School of Music prepare and administer the department, program, or school budget. In these areas, they should lead, but also consult others in the school, department, or program and involve them in the decision-making process. They are responsible for maintaining good morale within the school, department or program and for encouraging excellence in teaching and other professional activities.
4. Chairs, program directors and coordinators, and the Dean of the School of Music, link the department, program, or school with other University constituencies, serving as spokespersons for the school, department, or program's interests, but also interpreting for their discipline the larger needs and goals of the University.
5. Chairs, program directors and coordinators, and the Associate Dean of the School of Music serve as mentors to the members of the school or department, particularly the newer members, informing them of development opportunities, facilitating peer teacher observations, communicating University and departmental expectations, and helping faculty members to meet those expectations.
6. Responsibilities of chairs, program directors, and the Associate Dean of the School of Music in the personnel process are described in Articles II and Article IV in the Personnel Policies of the Academic Handbook.
7. A faculty member may request a review of any action by a department chair, program director, or the Associate Dean of the School of Music. For faculty in the School of Music, the first appeal is made to the Dean of the School of Music. An appeal by faculty of the College of Liberal Arts, and further appeal by faculty in the School of Music, is made to the Vice President for Academic Affairs. If the request is related to personnel decisions such as changes in job status or responsibilities that directly relate to their employment with the University, the faculty member should follow the Grievance Procedures outlined in Article VIII. Faculty Grievance Process in the Personnel Policies section of this Handbook.

Curricular Areas
1. Definition and Function
  
  There are some committees within the governance structure for which representation from different disciplines facilitates the committee's best work, Curriculum Policy and Planning, Faculty Personnel Policy and Review, Faculty Development, and Course and Calendar Oversight Committees. To ensure perspectives from all areas of the curriculum are represented on such committees, members of the faculty with voting status will choose their curricular home for that purpose. Under this model it is likely that there will be some departments and programs where members choose different curricular areas.
  
  Over the course of a career, changes in faculty member' professional interests and expertise may cause them to switch their area affiliation, it is expected that such changes would be infrequent. Changes must be declared by March 1 each year so curricular affiliations are clear when committees are populated (elected and appointed) for the coming academic year.
  
  The Chair of the Faculty with the assistance of Academic Affairs will make sure lists are up to date and available to faculty members.
2. List of Curricular Areas
  
  Arts
  
  Humanities
  
  Mathematical, Computational and Natural Sciences
  
  Social Sciences
3. Meetings of the Curricular Areas
  
  Committees or members of a Curricular Area may call a meeting when needed. Effort should be made to choose a time that seems likely to make possible the largest attendance at each meeting. All listed members of the Curricular Area must be invited. The group organizing the meeting should distribute an agenda for the meeting and written summary of discussion after the meeting to all Curricular Area members and submit the agenda and written summary to the Chair of the Faculty for appropriate archiving available to all voting members of the faculty.
Elections
1. Method of Election
  1. By February 15 each spring the Chair of the Faculty shall release a list of committee vacancies for both elected and appointed committees noting any curricular area restrictions.
  2. Nominations for elected committees will be accepted through deadline for the March faculty meeting when a list of all nominations received will be circulated with the agenda. After the March meeting is adjourned there will be an open conversation to facilitate finalizing nominations for elected committee vacancies.
  3. Ballots will be released one week after the March faculty meeting. Voting shall be conducted via an electronic ballot. The ballot must be available to all voting members of the faculty for at least three in-session days. Brief position descriptions will be in displayed with the list of nominees for each elected position. The names of the individuals nominated shall be arranged in random order on the official ballot. The Chair of the Faculty shall conduct all elections and will archive the results of elections for a minimum of four years.
  4. The Chair of the Faculty shall announce the results of all elections by the April faculty meeting and record them in the April faculty meeting minutes.
  5. Individuals not serving on an elected committee in the coming year will submit their preferences regarding appointed committee service by April 8. The Faculty Priorities and Governance Committee will announce appointments by the May faculty meeting and the Chair of the Faculty shall record them in the May faculty meeting minutes.
  6. All offices for the same committee which have the same term shall be considered as one group in the election of faculty representatives to faculty committees. Nominees receiving the highest numbers of votes in the general election shall be elected.
  7. No persons may be elected or appointed to any faculty position without their consent.
  8. Student members of faculty committees will be chosen by the Student Congress from among those students in good standing petitioning for the positions.
  9. Administrative appointments for the coming year will be announced by the administration on or before July 5.
2. Vacancies
  
  In the event of a vacancy in any faculty office or committee after the spring elections, the Chair of the Faculty will send out a general call for nominations. The Chair of the Faculty will then conduct an election by electronic ballot. If there is only one nominee for a vacancy, the Chair of the Faculty may appoint that person to the position, subject to the approval of the faculty at its next faculty meeting.
3. Special Elections
  
  Other special elections may be held at the discretion of the Chair of the Faculty or at the direction of the faculty.
Committees

There are four categories of Committees:

-Core Faculty Committees (Article VIII)

These committees will supervise and integrate, singly or in conjunction, the formulation and execution of policy in five areas: Faculty Governance and Priorities, Curricular Policy and Planning, Faculty Personnel Policy and Review, Student Academic Life, and Faculty Development. These committees shall recommend all policies to the faculty for adoption. These committees shall be responsible for the interpretation of policy in their respective areas.

They shall consider all issues submitted by faculty members or referred by the Chair of the Faculty. They shall report to the faculty at each faculty meeting.

Membership on Core Faculty Committees is by election by the entire voting faculty.

-University-wide Committees (Article IX)

These committees, in order to carry out their function, need to have broad representation from most major constituencies on campus. The purview of the University-wide Committees is broader than that of the Core Faculty, Standing Appointed and Ad hoc Appointed Committees.

-Standing Appointed Committees (Article X)

These committees will carry out specific policies and programs in the areas of their respective assignments. They shall submit their policy recommendations to the relevant Core Faculty Committees for consideration, and they may report such recommendations directly to the faculty. Upon request of the appropriate Core Faculty Committee they shall present a report of their particular actions. They shall consider all issues submitted by faculty members or referred by the relevant Core Faculty Committees or the Chair of the Faculty.

These committees may be assisted in the execution of their duties by an administrative director appointed by the President.

Membership on Standing Appointed Committees is based on appointment by the Faculty Priorities and Governance Committee considering individual interest and institutional need after elected committees have been seated.

-Ad Hoc Committees (Article XI)

These committees do not necessarily need to meet each year. However, they oversee areas on which faculty may periodically want to provide input. They are described here, therefore, in order to streamline appointment to them in years when a need is known or arises. Faculty members and administrators with issues under the mandate of each committee make a request to the Faculty Priorities and Governance Committee to appoint the committee. Such requests must suggest an anticipated length of needed service. Every effort should be made to identify the need by spring break of the previous year for anticipated issues spanning at least one semester of the coming academic year.

Membership on Ad hoc Committees is based on appointment by the Faculty Priorities and Governance Committee in consultation with the Core Faculty Committees considering individual interest and institutional need after elected committees have been seated.
1. Delegation of Powers
  
  Faculty committees may delegate matters of specialized study, program direction, and administration to ad hoc or permanent sub-committees. (The members of such sub-committees need not be members of the committee making the delegation.)
2. Eligibility, Restrictions, Terms
  1. Faculty members must be tenured to serve on the Grievance Committee, Faculty Priorities and Governance Committee, and Faculty Personal Policy and Review Committee.
  2. Faculty members, librarians with renewable term faculty positions, and faculty members with full-time term appointments eligible for promotion must have had a successful interim or third-year term review to be eligible for election to any of the other Core Faculty Committees.
  3. Faculty members appointed to tenure-track positions, librarians with renewable term faculty positions, and faculty members with term appointments subject to review are eligible for service on appointed committees. Usually tenured faculty members or those in at least the seventh year of full-time status serve on University-wide Committees.
  4. The Faculty Personnel Policy and Review Committee may have representation from no more than two individuals serving from the same department.
  5. All terms of service on faculty committees filled by elections shall be two years, unless otherwise specified. Members may be re-elected to one successive term. After a break of at least one-year faculty members may choose to stand for election again.
  6. No faculty member may serve in more than one elected position. Eligible faculty members should only be appointed to one governance committee by the Faculty Priorities and Governance Committee. Preferably, faculty members holding elected positions should not be selected for appointed committee positions by the Faculty Priorities and Governance Committee. The Faculty Priorities and Governance Committee should strive to have the overall appointed committee membership represent the balance of tenured to untenured faculty present in the faculty at the time appointments are made.
  7. A faculty member should not run for election or be appointed to any committee if they have an approved leave (e.g. pre-tenure leaves, sabbatical leaves, leaves for renewable term faculty members, pre-retirement leaves, and special leaves) or their standing leave schedule suggests they should be on leave at any time during the two-year term of service.
  8. Representatives to committees will do their best to consider the broad needs of students, the faculty, the administration and the institution in making decisions.
3. Election of Chairs and Representatives of Faculty Committees
  
  To ensure inclusion and equity, chairs should be elected by secret ballot from a slate of all those committee members eligible and willing to serve. This election shall take place at the last committee meeting of the academic year except where otherwise specified. If no one expresses interest, the chair will be selected by the Faculty Priorities and Governance Committee. Officers of committees shall have voting rights.
4. Communications and Reports
  
  Minutes of all committees shall be made available to all members of the faculty, unless restricted access is required due to confidentiality considerations. Where confidentiality is a concern, a list of topics discussed must be posted. Committees should strive to approve minutes from the previous meeting at the next meeting.
  
  Each Core Faculty Committee shall report at all faculty meetings. Other committees meeting throughout the year should report at least once a semester.
  
  By May 15 of each year all committees that met at any time during the academic year will submit an approximately two-page annual report to the Chair of the Faculty. These reports should include a bulleted list of decisions made, pending issues, and recommendations about when issues need to be revisited or assessed in the future and on what schedule that review is recommended.
  
  Each committee should maintain a list of membership responsibilities that is consistent with the committee's function and charge. These descriptions should be available to all members of the faculty and should be shared with all members of the committee and the Faculty Priorities and Governance Committee annually.
  
  To facilitate the work of faculty governance committees, when the President, a member of the Cabinet, or the Board of Trustees commissions a consulting project that is relevant to the charge of a faculty governance committee, as determined by the Vice President for Academic Affairs in consultation with the Chair of the Faculty Priorities and Governance Committee (FPGC), the VPAA will share the project’s commissioning with the FPGC. The commissioning of the project will then be announced by the FPGC at the next faculty meeting.
  
  When reports on these projects are received, the VPAA will share them with the FPGC. The reports will then be reviewed by the FPGC and shared with relevant faculty governance committees which can then determine whether or when to share them more broadly with the faculty. The confidentiality of these reports will be maintained through a document host such as Box.
  
  Occasionally, prior to sharing a completed report with the Faculty Priorities and Governance Committee, the Vice President for Academic Affairs will redact and/or summarize confidential information related to personnel matters. The VPAA will then meet with the Faculty Priorities and Governance Committee to explain why this redaction was necessary.
  
  In very rare cases, in consultation with the Faculty Priorities and Governance Committee, the Vice President for Academic Affairs may determine that a report may only be shared orally through an Executive Session of the faculty with confidentiality expectations that are similar to those associated with a departmental personnel committee.
  
  Implementation of the above policy concerning the commissioning and sharing of consultant reports will be reviewed annually by the Faculty Priorities and Governance Committee in consultation with the Vice President for Academic Affairs.
5. Creation of New Committees
  
  The faculty may create new committees whose members shall be elected by the faculty, except in cases where the faculty, by a two-thirds vote of those present and voting, shall authorize some other procedure.
(Revisions adopted by Faculty December 7, 2020)
Core Faculty Committees
1. Faculty Priorities and Governance Committee
  1. Function. This committee oversees the faculty governance system and meets regularly to engage in or delegate strategic planning matters for the faculty. The committee regularly considers how to balance major faculty conversations and other faculty business over the course of the academic year. Additionally, this committee serves as a convenient venue for committees to share information and concerns. The Faculty Priorities and Governance Committee decides how the faculty should address issues that do not clearly fall within the purview of existing committees or whose impact would overlap the charge of multiple committees. The committee will assist the administration in directing its inquiries and requests for input to the appropriate faculty committee and, where necessary, in balancing faculty service and interest. All appointments of faculty members to Standing Appointed and Ad Hoc committees (including “working groups”) are made by the relevant faculty core committee as determined by the Faculty Priorities and Governance Committee. Committee appointments for summer committees must be announced the spring prior to the last faculty meeting. At the conclusion of its work, Ad Hoc committees should provide a written report to relevant faculty committee(s). The Faculty Priorities and Governance Committee will be the final authority on faculty appointments to all appointed committees.
    
    The following Standing Appointed Committees report to the Faculty Priorities and Governance Committee: None.
    
    The following Ad hoc Committees report to the Faculty Priorities and Governance Committee: Hartman Center Committee, Nature Park Committee and Arts Advisory Committee.
    
    A member of the Faculty Priorities and Governance Committee should be assigned as a liaison to each Standing Appointed Committee and Ad hoc Committee when formed.
  2. Membership.
    Faculty membership: Seven (7) directly elected faculty members: one (1) representative from each of the four Curricular Areas, one (1) representative for the School of Music, and two (2) representatives at-large.
    
    Administrative members: Ex officio (without vote): None.
    
    Student members: None.
2. Curricular Policy and Planning Committee
  1. Function. The committee shall be responsible for general and long-range academic policy. It shall recommend to the faculty policies and programs relating to the academic interests of the University.
    
    This committee shall supervise programs and recommend policies relating to: admission requirements, ROTC, Experimental Division, University Studies, Extended Studies, graduation requirements, pre-professional programs, and other programs of similar relevance to academic policy. All new majors and minors, whether departmental or interdisciplinary in nature, shall be considered by the Curricular Policy and Planning Committee and subsequently voted on by the faculty. This committee will review reports from external review of departments and programs to facilitate their overall supervision of the academic program. Furthermore, this committee shall be responsible for policies and actions of the faculty relating to the daily operation of academic programs, and it shall have the responsibility for making recommendations to the faculty concerning the institution and implementation of these policies and details.
    
    The following Standing Appointed Committees report to the Curricular Policy and Planning Committee: Assessment Committee, Course and Calendar Oversight Committee, Quantitative Reasoning Curriculum Committee, Resource Allocation Subcommittee (RAS), Speaking and Listening Curriculum Committee, and Writing Curriculum Committee.
    
    The following Ad Hoc Committees report to the Curricular Policy and Planning Committee: Admission Committee, Library and Academic Technology Committee, Advising, and Teacher Education Admissions Committee.
    
    A member of the Curricular Policy and Planning Committee should be assigned as a liaison to each Standing Appointed Committee and ad hoc appointed committee when formed.
  2. Membership.
    Faculty membership: Five (5) elected representatives; each Curricular Area must be represented.
    
    Administrative members: Ex officio (without vote): Vice President for Academic Affairs or representative, Dean of the School of Music or representative, Registrar.
    
    Student members: Two (2) appointed by Student Congress.
3. Faculty Personnel Policy and Review Committee
  1. Function. This committee shall represent the faculty by (a) recommending policy and procedures for personnel decisions to the faculty; (b) communicating procedures for personnel decisions to faculty members; (c) ensuring that candidates interviewing for initial appointment are informed of the procedures and criteria by which they will be evaluated; (d) considering evidence and testimony and consulting with and making recommendations to the President in the following areas: appointment of new faculty members when requested by the Vice President for Academic Affairs (for positions in the College of Liberal Arts) or the Dean of the School of Music (for positions in the School of Music); retention, advancement to tenure, promotion and dismissal of faculty members; and appointment, reappointment, and evaluation of department chairs and associate department chairs; program directors and coordinators; and the Associate Dean of the School of Music; (e) considering the legal propriety and risks of all faculty personnel procedures of possible legal concerns. The committee should be informed by a lawyer knowledgeable in the application of law to institutions of higher education. No members of the Faculty Personnel Policy and Review Committee may participate at the Faculty Personnel Policy and Review Committee level in matters related to their departments or school.
    
    The Faculty Personnel Policy and Review and the Faculty Development committees must work in concert. Personnel expectations, particularly shifts in expectations, must be supported through faculty development programs. Additionally, since faculty development awards represent teaching, creative and scholarly endeavors of faculty members, the committees must regularly confer about the implications of new and existing faculty development programs in the review process.
    
    The following Standing Appointed Committees report to the Faculty Personnel Policy and Review Committee: None.
    
    The following Ad hoc Committees report to the Faculty Personnel Policy and Review Committee: None.
    
    A member of the Faculty Personnel Policy and Review Committee should be assigned as a liaison to each Standing and Ad Hoc Committee.
  2. Membership.
    
    Faculty membership: Nine (9) elected representatives with a minimum of one from each curricular area.
    
    Administrative members: Ex officio (without vote): Vice President for Academic Affairs and Dean of the School of Music.
    
    Student members: None.
  3. Organization and Orientation
    1. Members of the committee shall be elected by the faculty during the spring election (described in Article VI.).
    2. The committee of the coming year shall elect as its chair a member with experience on the committee.
    3. A quorum shall consist of the six committee members.
    4. At a meeting early in the academic year, there shall be an orientation to the work of the committee in which both faculty members of the committee and administrators will discuss their respective roles; the personnel decision calendar; types of admissible evidence; hypothetical difficult cases and the procedures for dealing with such; and legal guidelines and risks.
  4. Subcommittees. The Faculty Personnel Policy and Review Committee may form subcommittees (e.g., those to consider interim reviews, candidate interviews, review of department chairs), but the committee shall act on all recommendations.
  5. Responsibilities and Privileges of the Chair
    1. The chair with the Vice President for Academic Affairs shall arrange the agenda of the committee, setting the calendar for its orientation, the evidentiary and deliberative sessions, and shall arrange the keeping of personnel documents.
    2. The chair shall preside at the sessions of the committee and report to the faculty and the University community regarding the progress of the committee.
    3. The chair assisted by designated members of the committee shall provide notice and guidance to those participating in personnel matters (school or department personnel committees, nominations for promotions, candidates for personnel actions, etc.) regarding the time and form of recommendations, procedures for gathering and evaluating evidence, and statement of reasons for the recommendations.
  6. Coordinator for Faculty Personnel Policy and Review Committee
    1. The coordinator shall be a staff person provided by the office of the Vice President for Academic Affairs.
    2. The coordinator shall attend and keep the minutes of the committee.
    3. The coordinator shall assist the chair, the Vice President for Academic Affairs, and the chairs of subcommittees in preparing and maintaining documents, including model documents that might be helpful to the school or department personnel committees, to recommenders, and to candidates for personnel actions, and in communicating with others participating in personnel matters.
4. Faculty Development Committee
  1. Function. This committee shall encourage and facilitate faculty development at DePauw including support for scholarly and artistic work, pedagogical innovation, course development and renewal, and further development of professional competencies.
    
    The committee shall review and make funding recommendations on proposals from faculty members for internal awards, both competitive (faculty fellowships, faculty summer stipends, etc.) and non-competitive (sabbatical and pre-tenure leaves, professional development fund, etc.). Awards may consist of funding and/or course reassignment. Committee members shall also advise faculty members as they prepare applications for internal awards, and they shall respond to reports based on these awards. This committee shall not review applications for competitive student awards except in the case of collaborative student-faculty projects.
    
    This committee shall also discuss current and future funding needs and shall, on an ongoing basis, consider how policies and priorities for faculty development funding fit with the mission and strategic plan of the University. This committee shall consult regularly with the Faculty Development Coordinator, who shall oversee programming for faculty development (Faculty Forum, teaching roundtables, etc.) at DePauw. Both the Faculty Development Committee and the Faculty Development Coordinator shall work closely with the Dean of Faculty, to ensure clear and consist communication and collaboration between faculty and administration on faculty development funding and programming.
    
    This committee shall make recommendations to the Vice President for Academic Affairs on policies and priorities for funding for faculty development, including support for attendance and participation at professional conferences and workshops.
    
    Faculty Development and the Faculty Personnel Policy and Review committees must work in concert as described in the function of the Faculty Personnel Policy and Review Committee. (Article VIII.C.1.).
    
    The following Standing Appointed Committees report to the Faculty Development Committee: None.
    
    The following Ad Hoc Committees report to the Faculty Development Committee: None.
    
    A member of the Faculty Development Committee should be assigned as a liaison to each Standing and Ad Hoc Committee.
  2. Membership.
    
    Faculty membership. Five (5) elected representatives; each curricular area must be represented.
    
    Administrative members: Ex officio (without vote): Dean of Faculty or representative, Faculty Development Coordinator.
    
    Student members: None.
5. Student Academic Life Committee
  1. Function. This committee shall be responsible for the policies and actions of the faculty relating to student life and general academic atmosphere of the University.
    
    This committee, with faculty approval, shall deal with policies, guidelines, and information on all factors affecting student life and campus-wide academic atmosphere; these factors include policies stated in the Student Handbook (e.g., academic dishonesty, the student judicial process, or sexual harassment), policies on campus-wide academic atmosphere (e.g., collecting data on University-wide GPAs or studying the effects of social activities on classroom work), policies related to international student life, and policies which encourage faculty-student interactions which foster the intellectual life of the University.
    
    This committee shall coordinate the faculty representation on those committees, councils, and boards which supervise student life and campus-wide academic atmosphere issues participated in jointly by faculty members and students including the University Review Committee, which deals with grade grievances and cases of academic integrity (See the Article I. in the Academic Policies section of the Academic Handbook), Community Conduct Council (See Article VI of the Student Judicial Code in the Student Life section of the Student Handbook), and Athletic Board.
    
    The following Standing Appointed Committees report to the Student Academic Life Committee: Academic Standing and Petitions Committee, Student Publications Committee, and Athletic Board.
    
    The following Ad Hoc Committees report to the Student Academic Life Committee: None.
    
    The Chair of the Student Academic Life Committee will request annual reports from each Standing and Ad Hoc Committee. Additionally the Chair of the Student Academic Life Committee will maintain regular communication with the Diversity and Equity Committee.
  2. Membership.
    Faculty membership: Five (5) elected representatives.
    
    Administrative members: Ex officio (without vote): Dean of Academic Programs, Assessment and Policies, Vice President for Student Academic Life or representative.
    
    Student members: Two (2) Student Body President or his/her representative, and Vice President for Student Life from Student Congress or his/her representative. Two additional Ex officio members (without vote) appointed by Student Congress.
6. Grievance Committee
  1. Function. The faculty grievance process provides eligible faculty members with an opportunity for a review of recommendations of the Faculty Personnel Policy and Review Committee regarding their employment with the University, or of other personnel decisions such as changes in job status or responsibilities that directly relate to their employment with the University. The Grievance Committee operates through three-member Mediation Panels and five-member Appeals Panels, on which its members serve. Mediation Panels attempt to facilitate mutually agreeable resolutions of matters brought before them. Appeals Panels review recommendations and offer their resolution to the President if mediation is not successful. For a complete description of the function, membership and processes of this committee, see Article VIII. in the Personnel Policies.
  2. Membership.
    Faculty membership: Eight (8) elected representatives, two from each Curricular Area, and eight (8) elected alternate representatives, two from each Curricular Area. Ideally these sixteen representatives will come from sixteen different departments. In no case may more than two representatives to the Grievance Committee be from a single department.
(Revisions adopted by Faculty December 7, 2020)
University-wide Committees
1. University Strategic Planning Committee
  1. Function. The University Strategic Planning Committee (SPC) is a university-wide committee that reports directly to the President and provides the President and the President’s cabinet with advice on strategic priorities of the University and on initiatives that support those priorities.
    
    At times when the University is developing or revising its strategic plan, the members of SPC offer input into this process in addition to any other priorities about which the President or cabinet seek input. At the request of the President or the President’s Cabinet, the Strategic Planning Committee also provides advice on short-term implementation of previously ongoing strategies, initiatives and policies that support the strategic direction of the University. Some strategic topics, such as maintaining competitive employee compensation and benefits, will be considered regularly but at least annually. The SPC may also identify strategic topics that it wants to consider as a group.
    
    The SPC shall provide regular updates on its meetings at faculty and staff council meetings and through other means as appropriate, including sharing meeting minutes, to ensure members of the University community have a full understanding of SPC’s work. The SPC may also be invited to participate in Board of Trustee meetings.
    
    The Strategic Planning Committee shall record and maintain minutes of all its committee meetings and shall make the record of those minutes available to the entire DePauw University community. In the event that confidential information is discussed during the SPC meeting, a list of topics discussed will be posted. The SPC will strive to approve minutes from the previous meeting at the next meeting.
  2. Membership. Four (4) administrators consisting of the Vice President for Academic Affairs, Vice President for Finance and Administration, Vice President for Institutional Equity and the Chief of Staff, two (2) other staff members or administrators appointed by the President, including at least one member of staff council. Six (6) faculty members (one elected from each curricular area and two elected at-large*). Other administrators and staff may be invited to attend meetings as needed, depending on initiatives the SPC is working on at the time. The President attends when needed to exchange information with the SPC. The committee will be co-chaired by a cabinet member, appointed by the president, and faculty representative, selected by the faculty representatives.
    
    * In consultation with faculty governance, representation may be revised upon the launch of the new Three School Model.
2. Diversity and Equity Committee
  1. Function. In matters regarding diversity, inclusiveness, and equity, the Diversity and Equity Committee advises the administration and the faculty on policy; identifies issues regarding diversity and equity in campus life and refers them to the appropriate University office and/or committee(s) for action; and annually reviews and assesses aspects of the University's efforts to attract and retain a diverse campus community.
  2. Membership.
    Faculty membership: Three (3) appointed full-time faculty members, one (1) appointed part-time faculty member.
    
    Administrative members:
    Voting: Two (2) administrators appointed by the President, Director of Human Resources, Director of Multicultural Affairs.
    Ex officio (without vote): Vice President for Academic Affairs or representative, Dean of the School of Music or representative.
    
    Student members: Two (2) appointed by Student Congress.
    
    Staff members: Two (2) hourly staff members appointed by the Hourly Support Staff Committee.
3. Sustainability Committee
  1. Function. The Sustainability Committee coordinates curricular, co-curricular, operational, and administrative sustainability initiatives; reviews assesses the University’s progress toward sustainability objectives as defined by the University and the Association for the Advancement of Sustainability in Higher Education (AASHE); facilitates the collection of data and other information required for AASHE’s Sustainability Tracking, Assessment & Rating System or other appropriate assessment tools; and supports efforts to inform the campus and general public about the University’s leadership in campus sustainability and environmental citizenship.
  2. Membership.
    Faculty membership: Three (3) appointed representatives.
    
    Administrative members:
    Voting: Director of Sustainability and Associate Vice President for Facilities Management or representative
    Ex-officio (without vote): Faculty Sustainability Director, Vice President for Academic Affairs or representative, and Vice Presidents for Student Academic Life or representative.
    
    Student members: Two (2) appointed by Student Congress.
4. Honorary Degrees and University Occasions Committee
  1. Function. This committee solicits suggestions for campus convocation speakers and events with either small-group or campus-wide appeal. It then approves and funds programs that, with the President, it determines to be beneficial to the University community
    
    Also, this committee shall call for nominations for candidates for honorary degrees. Nominations should be solicited from the faculty, students and Board of Trustees. After review the committee will present a slate of candidates to the faculty for recommendation to the Board of Trustees. The Trustees and faculty delegate the approval of an honorary degree for the commencement speaker to a joint subcommittee of the Nominations and Trusteeship of the Board of Trustees, composed of three Trustees, including the Chair of the Board and the three faculty members appointed to the Honorary Degrees and University Occasions Committee. An affirmative vote shall require approval of four of the six members.
  2. Membership.
    Faculty membership: Three (3) appointed representatives.
    
    Administrative members:
    Voting: The Coordinator of Convocations, the President.
    Ex Officio (without vote): The Director of Media Relations, Vice President for Academic Affairs or representative.
    
    Student members: Two (2) appointed by Student Congress, one of whom must be a senior.
Standing Appointed Committees
1. Resource Allocation Subcommittee
  1. Function. The Resource Allocation Subcommittee (RAS) is a subcommittee of the Curricular Policy and Planning Committee. RAS considers all requests for new faculty tenure lines in any major-granting department or program in the College of Arts & Sciences, School of Music (through academic year, 2023-2024), and, starting Fall 2024, for in the School of Business and Leadership, and the Creative School. Major-granting academic units (such as departments, interdisciplinary programs and/or the Institute of Music) will submit requests for new faculty tenure lines by responding to RAS’s request for such proposals during an academic year. If an academic unit wishes to put forward a request outside of this call, and the President is willing to entertain such a request for strategic reasons, the request will first be discussed with the Vice-President of Academic Affairs. The proposal can then be developed and submitted to the Vice-President of Academic Affairs, who will forward the proposal to RAS for consideration outside of its standard timeline.
    
    RAS also considers all requests to move tenure-lines from one department or program into another for any length of time. All such requests are first developed in conversation with the Vice-President of Academic Affairs and relevant parties (such as chairs and directors of respective academic units). Once developed, the Vice-President of Academic Affairs will bring forth the proposals and responses from the academic units directly impacted by the move to RAS for its consideration.
    
    For all requests, whether for new tenure-track faculty lines or movements of tenure-lines from one major-granting academic unit to another, RAS will send its recommendations to the Curricular Policy and Planning Committee, which the committee will share with the President and the entire faculty. The final decision for all new tenure-track line requests, or requests for moving any tenure-lines for any length of time, rests with the President. If the President is considering a decision against the recommendation(s) of RAS, the President shall communicate this fact and the underlying reasons to RAS, Curricular Policy and Planning Committee and the relevant parties (individual faculty, and relevant academic units).
    
    Senior administrative appointments (such as Presidents, Vice-President of Academic Affairs, etc.) that generally carry tenure at hire are exempt from this process.
    
    RAS reports to and is appointed by the Curricular Policy and Planning Committee, as needed.
  2. Membership.
    Faculty membership: Nine (9) members; the five (5) faculty members of the Curricular Policy and Planning Committee, and one from each curricular area (4). In appointing the representatives from each curricular area, the Curricular Policy and Planning Committee shall avoid appointing faculty members whose departments or interdisciplinary programs have submitted, during the current academic year, a request for a new faculty member.
    
    Administrative members:
    Voting: None.
    Ex Officio (without vote): Vice President for Academic Affairs or representative.
    
    Staff members: None.
2. Course and Calendar Oversight Committee
  1. Function. This committee shall supervise the independent major, calendar, scheduling, individual course changes, approval of individual courses, the grading system, and comprehensives. The committee will be consulted concerning changes to the registration process and classroom assignments.
    
    This committee reports to the Curricular Policy and Planning Committee.
  2. Membership.
    Faculty membership: Four (4) appointed representatives, one from each curricular area.
    
    Administrative members:
    Voting: None.
    Ex Officio (without vote): Vice President for Academic Affairs or representative, Dean of the School of Music or representative, Vice Presidents for Student Academic Life or representative, Registrar or representative.
    
    Student members: Two (2) members appointed by Student Congress.
3. Writing Curriculum Committee
  1. Function. Oversees all aspects of the writing program including supporting the W competency, faculty development programming to support the program, reviewing guidelines and the program more generally. Oversees and supports the Writing in the Major (WIM) programs. Oversees and supports the curricular aspects for the First Year Seminar (FYS) program.
    
    This committee reports to the Curricular Policy and Planning Committee.
  2. Membership.
    Faculty membership: Three (3) appointed representatives.
    
    Administrative members:
    Voting: Director of the Writing Program, Administrator of the FYS program, the Writing Center Director.
    Ex Officio (without vote): Vice President for Academic Affairs or representative, a librarian.
    
    Student members: None.
4. Academic Standing/Petitions Committee
  1. Function. This committee shall consider all matters affecting academic classification and academic standing of students. It oversees the application of Satisfactory Academic Progress (SAP) criteria and actions (warning, probation and suspension) and reviews appeals and readmission applications from students suspended for failing to meet these criteria. Additionally, this committee shall consider and decide upon student petitions concerning academic matters.
    
    This committee reports to Student Academic Life.
  2. Membership.
    Faculty membership: Three (3) appointed representatives. Other members (voting): Registrar or representative, Vice President for Academic Affairs or representative, Dean of the Academic Life or representative, Associate Dean of the School of Music or representative (for School of Music students only).
    
    Other members (voting): Registrar or representative, Vice President for Academic Affairs or representative, Dean of Academic Programs, Assessment and Policies or representative, Associate Dean of the School of Music or representative (for School of Music students only).
    
    Ex Officio (without vote): Vice President for Student Life or representative, Representative from Financial Aid, Associate Registrar.
    
    Student members: None.
    
    The Associate Registrar convenes the meetings and manages committee business.
5. Student Publications Committee
  1. Function. This committee shall exert final authority over The DePauw and the Mirage. The board functions much as would the owner of a private publishing operation except that it does not dictate editorial policy.
    
    This committee reports to Student Academic Life.
  2. Membership.
    Faculty membership: Three (3) appointed representatives.
    
    Administrative members:
    
    Voting: A permanent treasurer appointed from the faculty by the President, Instructor of journalism courses.
    Ex Officio (without vote): Vice President for Academic Affairs or representative.
    
    Student members: Three (3) appointed by Student Congress, one each from the sophomore, junior and senior class. One student must be actively engaged in The DePauw or Mirage.
6. Athletic Board
  1. Function. The primary concern of the Athletic Board is the quality of the academic and athletic experience of the student-athlete. Hence, it makes recommendations on athletic department policies regarding the student-athlete's academic experience as well as rules and guidelines mandated by the NCAA and our athletic conference, and how these affect the student academic experience.
    
    This committee reports to the Student Academic Life Committee.
  2. Membership.
    Faculty membership: One (1) appointed representative, two (2) Faculty Athletic Representatives.
    
    Administrative members:
    
    Voting: Advisor for the Student-Athlete Advisory Committee.
    Ex Officio (without vote): Director of Athletics; the Director of Alumni Relations; Vice Presidents for Student Academic Life or representative.
    
    Student members: One (1) student appointed by Student-Athlete Advisory Committee.
7. Assessment Committee:
  
  Function. Members of this committee will attend workshops and conferences to learn about assessment best practices. This committee will liaise with departments and programs on collecting and analyzing assessment data. It will receive action plans from each department and program for each three-year assessment cycle. It will provide feedback to departments and programs on their assessment processes and action plans.
  
  This committee reports to the Curricular Policy & Planning Committee once a semester on its activities.
  
  Membership:.
  
  Faculty membership: Four (4) appointed representatives, one from each curricular area.
  
  Administrative members:: Voting: Dean of Academic Programs or representative
  Ex Officio (without vote): Registrar or representative.
8. Quantitative Reasoning Curriculum Committee:
  
  Function. This committee will oversee all aspects of the quantitative reasoning program, including tutoring and mentoring programs across multiple disciplines, academic support services for students and faculty, and faculty development workshops for Q competency training. This committee will also oversee and support the UNIV 101 course.
  
  This committee reports to and is appointed by the Curricular Policy and Planning Committee.
  
  Membership.
  
  Faculty membership: Three (3) faculty representatives appointed by Curricular Policy and Planning Committee.
  
  Administrative members:: Voting: Associate faculty development coordinator for quantitative reasoning (Q Program Director), the Q Center Director.
9. Speaking and Listening Curriculum Committee:
  
  Function. This committee will oversee all aspects of the speaking and listening program including supporting the S competency, faculty development programming to support the program, reviewing guidelines, and the program more generally.
  
  This committee reports to and is appointed by the Curricular Policy and Planning Committee.
  
  Membership.
  
  Faculty membership: Five (5) appointed representatives comprised of one from each curricular area, one representative from Communication & Theatre, and one at-large representative.
  
  Administrative members: Voting: Director of the Speaking & Listening Program (Chair of the Committee). Ex Officio (without vote): Vice President for Academic Affairs or representative.

Ad Hoc Committees
1. Library and Academic Technology Committee
  1. Function. This committee will advise the Dean of Libraries and the Chief Information Officer on matters related to the libraries, technology and associated support services that impact, or have the potential to impact, teaching, learning and research.
    
    This committee reports to the Curricular Policy and Planning Committee.
  2. Membership.
    Faculty membership: Three (3) appointed representatives, one must be a librarian.
    
    Administrative members:
    Voting: Director of FITS (or other Chief Information Officer appointed Information Services designate).
    Ex Officio (without vote): Dean of Libraries, Chief Information Officer, Vice President for Academic Affairs or representative, Vice Presidents for Student Academic Life or representative, Registrar.
    
    Student members: Two (2); one appointed by Student Congress, one appointed by the committee.
2. Advising Committee
  1. Function. The purpose of the committee is to consider, develop, and promote effective strategies for academic advising that assist students in the development of meaningful educational plans that are compatible with their academic, career, and personal goals. To accomplish this, the committee provides development opportunities and information to faculty advisors, enhances student and faculty awareness of advising processes and resources, and assesses the academic advising program.
    
    This committee reports to the Curricular Policy and Planning Committee.
  2. Membership.
    Faculty membership: Three (3) appointed representatives.
    
    Administrative members:
    Voting: Two (2) including a dean responsible for academic advising.
    Ex Officio (without vote): None.
    
    Student members: Two (2) appointed by Student Congress.
3. Teacher Education Admissions Committee
  1. Function. This committee evaluates student applications to the Educator Preparation Program. The Program Coordinator for Education Studies and Music Education and the Director of Music Teacher Education convene meetings and manage committee business.
    
    This committee reports to the Curricular Policy and Planning Committee.
  2. Membership.
    Faculty membership: Three (3) appointed representatives, including the Director of Music Teacher Education, one Education Studies faculty member, and one additional faculty member.
    
    Administrative members:
    Ex Officio (without vote): Vice President for Academic Affairs or representative, Program Coordinator for Education Studies and Music Education.
    
    Student members: None.
4. Admissions and Enrollment Management Committee
  1. Function. Provides perspective when changes to admission standards are considered.
    
    This committee reports to the Curricular Policy and Planning Committee.
  2. Membership.
    Faculty membership: Three (3) appointed representatives.
    
    Administrative members:
    Voting: Vice President for Admission and Financial Aid or representative.
    Ex Officio (without vote): Vice President for Academic Affairs or representative.
    
    Student members: One (1) appointed by Student Congress.
5. Hartman Center Committee
  1. Function. The role of the Hartman Center Committee is to evaluate and develop Hartman Center programs. Additionally, this committee will develop long-range plans for the center.
    
    This committee reports to the Faculty Priorities and Governance Committee.
  2. Membership.
    Faculty membership: Three (3) appointed representatives.
    
    Administrative members: Voting: Director of the Hartman Center, representative for the Center for Diversity and Inclusion, a faculty member representing Community Engaged Alliance, a member of the Greencastle community. Ex Officio (without vote): Vice President for Academic Affairs or representative and Vice Presidents for Student Academic Life or representative.
    
    Student members: Three (3) representing Bonner Scholars Program, Community Outreach and Winter Term in Service, and two (2) appointed by Student Congress for a total of five (5) students. .
6. Nature Park Committee
  1. Function. This committee advises the Nature Park staff and university administration on matters of planning, policy, and procedures, and assists in formulating plans, goals, and priorities, and in determining the overall role of the Nature Park in providing education, research, reflection, and recreation for the members of the University and neighboring communities.
    
    This committee reports to the Faculty Priorities and Governance Committee.
  2. Membership.
    Faculty membership: Three (3) appointed representatives, one must be from Biology.
    
    Administrative members:
    Voting: One (1) representative appointed by the President in consultation with the Mayor of Greencastle, the Director of the Janet Prindle Institute for Ethics or representative, Vice President for Student Affairs or representative, and Nature Park Ecologist.
    Ex Officio (without vote): Nature Park Biological Coordinator, Nature Park Intern, Manager of Grounds and Landscaping, Associate Vice President for Facilities or representative, Vice President for Academic Affairs or representative, and DePauw Police Chief or representative.
    
    Student members: Two (2) appointed by Student Congress.
7. Arts Advisory Committee
  1. Function. DePauw University owns and stewards a large collection of visual art, including but not limited to painting, photography, sculpture, and large-scale artistic productions. The University seeks to maintain this collection for pedagogical purposes and displays pieces of the University's collection, and works on temporary loan, in and on University property. The committee is charged to offer advice and recommendations regarding the long-term installation or display of University-owned visual art on the campus and in campus buildings, excluding faculty-directed art, art produced by students or faculty as part of the art curriculum, and art displayed in the University galleries as part of a curated exhibit.
    
    This committee reports to the Faculty Priorities and Governance Committee.
  2. Membership.
    Faculty membership: Three (3) appointed representatives.
    
    Administrative members:
    Voting: None.
    Ex Officio (without vote): Vice President for Academic Affairs or representative.
    
    Student members: Two (2), one appointed by Student Congress and one appointed by the Department of Art and Art History.
Amendments to and Suspension of By-Laws and Standing Rules

Previous notice must be given on the written agenda of a regular meeting of the faculty at least one month preceding a vote for amendments proposed for these By-Laws and may be passed at any regular faculty meeting by a majority vote of those present and voting.

By-Laws relating to the transaction of business (such as order of business and method of election) may be suspended by two-thirds vote of those present and voting at any regular faculty meeting. Any motion to suspend the By-Laws at a faculty meeting, in any other way, must be announced in the written agenda circulated at least three days prior to the meeting.

Standing rules may be amended at any regular meeting by a two-thirds vote of those present and voting.
Standing Rules
1. The regular meeting of the faculty shall be held once a month during the academic year. The time and place of these regular meetings shall be determined and announced by the Chair of the Faculty to all faculty members by May 1 of the previous academic year. Also, by May 1, the Chair of the Faculty will announce for the coming year at least one open discussion time per month, which can be used by committees to facilitate conversations leading up to governance work that may require a vote.
2. In addition to faculty members as defined in Section 1, the following persons may attend faculty meetings: student members of core committees, the President of the student body, and representatives (two from each) of THE DEPAUW, WGRE, and Student TV Board of Directors. Additional representatives may be permitted at the discretion of the Chair of the Faculty before the meeting starts.
3. The following persons may attend and may also make presentations, respond to questions, and participate in discussions: vice presidents, deans, other senior administrators as designated by the President, and others to whom permission is granted by prior agreement with the presiding officer or by majority faculty vote at the beginning of the meeting.
4. Motions will normally be voted upon at the meeting at which the motion is made. However, previous notice must be given on the written agenda of a regular meeting of the faculty at least one month preceding a vote for changes in graduation requirements, academic policies and personnel policies. Other motions may be postponed by the vote of the house.
The Constitution and Authority of the Faculty

(from Charter and By-Laws of DePauw University, 1986)

Section 1. Members. The Faculty shall consist of the President, all professors, associate professors, assistant professors, instructors, and lecturers on full-time appointment, and others officially admitted to faculty membership by action of the Trustees, all of whom may participate freely in discussions, provided, however, that on matters of academic policy and practice only those persons who have been on the faculty or admitted to faculty status for such period as determined by the faculty may vote.

Section 2. Appointment. Professors, associate professors, assistant professors, instructors, lecturers and other assistants required by the educational program of the University shall be appointed by the President subject to review by the Board. After an appropriate period of service, faculty members in the rank of professor, associate professor, and assistant professor may enjoy the privilege of tenure as this privilege arising from academic custom and usage among American colleges and universities is specifically defined by faculty personnel policies approved by the Board of Trustees.

Section 3. Duties. Subject to the final authority of the Board, the faculty shall have charge of and responsibility for the institution and implementation of policies and programs relating to the academic interests of the University, including the fixing of academic requirements for admission, class advancement and graduation, the institution, development and supervision of courses of instruction, the procedures for the conduct of studies, the promulgation of rules for the conduct of students in the classrooms and the granting of degrees to be conferred by the University. The faculty shall adopt its own rules of order and procedure, keep minutes of its meetings, and make reports to the Board of Trustees.

Section 4. Relations with Board of Trustees. All actions of the faculty materially affecting any segment of the University shall be reported to the Academic Affairs Committee which shall be responsible for determining the matters to be referred to, reviewed and approved as necessary by the Board of Trustees. Reasonable opportunity shall be provided for faculty representatives to attend meetings of the Academic Affairs Committee and to present to the Trustees their recommendations concerning the University.

Academic Policies

(Written and approved by the faculty.)

Academic Integrity
1. Introduction
  
  Academic integrity refers to the ethical standards and policies that govern how people work and interact in the academic enterprise at a college or university. These standards and policies attempt to do more than define and condemn what is wrong or unethical; they also attempt to provide a foundation for the mutual trust and individual responsibility necessary in a healthy academic community.
  
  Both faculty members and students have the responsibility of upholding the principles of academic integrity. Faculty and staff members should create an environment in which honesty is encouraged, dishonesty discouraged and integrity is openly discussed. Faculty members should follow the principles of academic integrity in their own work and conduct. Students are obligated not only to follow these principles, but also to take an active role in encouraging other students to respect them. If students suspect a violation of academic integrity, they should make their suspicions known to a faculty member or staff member in Academic Affairs. Students reporting dishonesty must be prepared to give evidence in a hearing before the University Review Committee (URC).
  
  Many faculty members ask students to work collaboratively with others on written projects, oral presentations, revisions, labs, or other course work. Similarly, guidelines for using artificial intelligence (AI) may differ from course to course. The guidelines for work differ substantially from course to course, but in most cases part or all of a collaborative project must be completed independently and AI may not be used in place of student work. Faculty members should make clear, in writing, their expectations for collaborative work. Students should make sure they understand what is expected of them; they are responsible for knowing when collaboration or the use of AI is permitted, and when not. Handing in a paper, lab report, or take-home exam written by AI or entirely by a member of one’s collaborative group, except when given explicit permission to do so by the instructor of the course, is an act of academic dishonesty.
  
  Almost all the types of academic dishonesty described below have to do with working with others or using the work of others. This is not to suggest that working with others or using their work is wrong. Indeed, the heart of the academic enterprise, learning itself, is based on using the ideas of others to stimulate and develop your own. In this sense, all academic work is collaboration, and therefore academic integrity focuses on those acts that demean or invalidate fruitful collaboration.
2. Types of Academic Dishonesty
  
  Cheating. Using or attempting to use unauthorized materials in any academic exercise or having someone else do work for you. Examples of cheating include looking at another student’s paper during a test, bringing an answer sheet to a test, obtaining a copy of a test prior to the test date or submitting homework borrowed from another student and using AI to generate answers to questions during class discussions without permission of the instructor.
  
  Fabrication. Inventing or falsifying information. Examples of fabrication include inventing data for an experiment you did not do or did not do correctly or making reference to sources you did not use in a research paper.
  
  Facilitating academic dishonesty. Helping someone else to commit an act of academic dishonesty. This includes giving someone a paper or homework to copy from or allowing someone to cheat from your test paper.
  
  Plagiarism. Using the words or ideas of another writer, including AI-generated text, without attribution, so that they seem as if they are your own. Plagiarism ranges from copying work not written by the person taking credit for it , to rewriting such work with only minor word changes (mosaic plagiarism), to summarizing work (including that done by AI) without acknowledging the source. (See the Writing Center Guide to Avoiding Plagiarism for further information on plagiarism.)
  
  Multiple submission. Submitting work you have done in previous classes as if it were new and original work. Although professors may occasionally be willing to let you use previous work as the basis of new work, they expect you to do new work for each class. Students seeking to submit a piece of work to more than one class must have the written permission of both instructors.
  
  Abuse of academic materials. Harming, appropriating or disabling academic resources so that others cannot use them. This includes cutting tables and illustrations out of books to use in a paper, stealing books or articles and deleting or damaging computer files intended for others' use.
  
  Deception and misrepresentation. Lying about or misrepresenting your work, academic records or credentials. Examples of deception and misrepresentation include forging signatures, forging letters of recommendation and falsifying credentials in an application. Of particular concern, given the current popularity of collaborative projects, is taking credit for group work to which you did not contribute significantly or meet your obligations. In a collaborative project, all members of the group are expected to do their share. Group members may work together on each phase of the project or they may divide the tasks--one person might do background research; another might take charge of the lab experiments; another might be responsible for drafting the report. Even in a modular project, however, each member of the group is responsible for being familiar and involved with the entire project. Be sure to get clear instructions on your individual and collective responsibilities from each faculty member for each course. Similarly, submitting work in any fashion (written, in a presentation, or in class discussion) that was generated by AI and taking credit for that work is an act of academic deception. Be sure to only use AI to generate submitted work if you have clear, written instructions documenting your permission to do so.
  
  Electronic dishonesty. Using network access inappropriately, in a way that affects a class or other students' academic work. Examples of electronic dishonesty include using someone else's authorized computer account to send and receive messages, breaking into someone else's files, gaining access to restricted files, disabling others' access to network systems or files, knowingly spreading a computer virus or obtaining a computer account under false pretenses.
  
  Carelessness. When does carelessness become dishonesty? Students sometimes make minor mistakes in completing academic assignments. Mistyping one of many endnotes in a long paper, for example, may in most cases be considered a careless mistake, rather than an act of deliberate dishonesty.
  
  When students make multiple mistakes in acknowledging sources, however, these mistakes cannot be considered simply careless. Students who copy long passages from a book or a Web source, for example, make a deliberate choice to do so. Such students have taken a shortcut; instead of explaining the source of their ideas, they have simply stolen ideas from others. In such cases, carelessness is a form of dishonesty.
  
  Students are responsible for knowing the academic integrity policy and may not use ignorance of the policy as an excuse for dishonesty.
  
  Other types of academic dishonesty. The list above is a partial one. Instructors may explain in their syllabi other types of academic dishonesty relevant to the work in particular disciplines or particular courses.
3. Overview of the Process
  
  All cases of academic dishonesty must be reported by faculty members and settled through the process outlined below. Faculty members may not impose a grade penalty for academic dishonesty except through the process outlined below.
  
  The process is designed 1) to provide prompt resolution of cases, 2) to help the student understand both the charge and penalty, and 3) to allow the student to discuss what happened and/or contest the charge or penalty being made. At all stages of the process, the focus should be on education, and open, frank discussion should be encouraged. Students frequently commit acts of dishonesty when they are under pressure of one sort or another; or they may persuade themselves that borrowing someone else's words and ideas is not a serious offense. This settlement process gives faculty members and students a chance to discuss why academic integrity is so important to the university community.
  
  In the process of investigating the charge, the instructor may discuss his or her suspicions with the student. In cases of cheating on exams, it may be appropriate to confront the student during the exam or immediately after; however, even in cases when the student admits to the violation verbally, a formal conference to review and sign the written settlement form should be arranged. In confronting students with charges of academic dishonesty, instructors may choose to have a colleague present to act as an observer. That colleague need not be a member of the same department, but should be someone knowledgeable about the academic integrity policy.
4. The Settlement Process
  
  Academic Dishonesty Settlement Form
  
  When an instructor becomes aware of a possible case of academic dishonesty, he or she should move quickly (usually within three days) to investigate the violation and to contact the student. If suspected violations occur at the end of the term, the instructor should assign a grade of Incomplete and begin the settlement process as quickly as possible but no later than the start of the following semester. Even when suspected violations occur after grades have been submitted, the settlement process must be started before the end of the semester following the suspected violation.
  
  The formal process of initiating a charge and settlement involves the following steps, with occasional minor variations depending on the nature and timing of the case:
  1. The instructor arranges to confer with the student to discuss the integrity violation and the evidence supporting it. During or shortly after the instructor's conversation with the student, the instructor presents the student with a written statement of the charge and the proposed penalty (see the Academic Dishonesty Settlement Form ). The student has the opportunity to respond to the charge. After listening to the student, the instructor may decide to revise the charge or penalty, or drop the charge all together. If, for any reason, the faculty member believes that the violation deserves a penalty more severe than failure in the course, he or she may immediately refer the case to the University Review Committee (URC).
  2. The student has three business days to respond to the charge, either by assenting to the charge and penalty by signing the settlement form, or by requesting a hearing before the URC. At that hearing, the student may either dispute the charge or the severity of the penalty. While considering how to respond to a charge, students are encouraged to seek advice from someone knowledgeable in matters of academic integrity, such as a faculty advisor, the Dean of Academic Programs, Assessment and Policies, or another trusted advisor. If a student charged with a violation does not respond in the specified time, the matter is immediately turned over to the URC for a hearing.
  3. Once the settlement form has been signed, it is forwarded to the Academic Affairs Office to be kept for five years. If this proves to be a second violation of the academic integrity policy, an academic dean will convene a disciplinary hearing of the URC.
    
    Note: Once an academic integrity charge has been initiated against a student, he or she may not withdraw from the course in question unless the charge is dropped by the faculty member or the student is found to be not responsible through a hearing or an appeal. A hold is placed on the student's transcript until the charge has been settled.
5. Penalties for Academic Dishonesty
  
  Students who have violated the academic integrity policy are penalized more severely than students who have simply not turned in an assignment. While the degree of penalty varies according to the judgment of the instructor, a first offense is usually penalized in three ways:
  1. the settlement form itself, which when signed is filed in the Academic Affairs Office;
  2. a grade of zero on the relevant assignment; and
  3. a lowered final course grade.
    
    Occasionally, even for a first offense, the penalty is failure in the course. If a more severe penalty is called for, the instructor may request a hearing of the University Review Committee (URC).
    
    Academic dishonesty outside of a particular class (forged signatures and fabricated resumés, for example) also leads to penalties. Students will be asked to sign the academic dishonesty settlement form. Either the accused student or the faculty/staff member making the charge may request a hearing before the URC.
    
    A second violation of the academic integrity policy leads automatically to a disciplinary hearing before the URC, and may result in suspension or dismissal.
6. Student Records
  
  First Offenses. Signed settlement forms for first offenses are filed in Academic Affairs Office for five years. The name of the student is kept confidential. The settlement form does not become part of the student's permanent record, except if the student is found responsible for a second violation of the academic integrity policy.
  
  Second Offenses. In cases where a student is found to be responsible for a second violation of the academic integrity policy, a copy of the URC decision will be placed in the student's permanent record (kept in the Student Academic Life Office) and will be reported if the student releases the record to employers or other schools. A second offense is defined to be one that takes place in whole or in part after a student has been presented with a settlement form for a prior case, unless the student is found not responsible for the prior case.
7. The Academic Integrity Hearing
  
  If a hearing before the University Review Committee is necessary, either because the charge or penalty is disputed or because this is a second offense, it will be convened by an Academic Dean as quickly as possible, but usually no later than three weeks after the Dean has received the signed or unsigned settlement form. Committee members will be provided with a detailed outline of the hearing process.
  
  The URC consists of three teaching faculty members, with the chair being a member who has served on prior hearings, and two students. Faculty and student members are chosen by the convenor from a pool of volunteers identified by the Student Academic Life Committee. The Student Academic Life Committee will identify this pool in February of each year with the pool to begin service on March 1st. The Student Academic Life Committee may add members to the pool as needed. In the event an insufficient number of members of the pool are available when a URC needs to be convened, the convenor may ask other faculty members or students to serve on the URC. In such cases the convenor will share the names of the URC with the Chair of the Student Academic Life Committee. Each URC board member will receive training prior to serving on their first URC, and the chair will receive additional training as well. The convenor observes and records the hearing, but does not participate in committee deliberations.
  
  The membership of this committee is made known to parties involved prior to a hearing. Student, faculty members and administrative alternates are also designated for the committee. Either party can ask the committee's chair that a committee member not serve on the hearing panel because of bias or conflict of interest. The chair shall decide if there are sufficient grounds to honor this request. If a committee member is unable to attend the hearing, or if a member is excluded because of potential bias or conflict of interest, an alternate will be asked to serve. Committee members are required to attend the hearing in person.
  
  Nature of the hearing. There are two types of academic hearings: one to decide a disputed charge or penalty, the other to consider disciplinary matters following a second offense. A hearing of the University Review Committee is intended to be an orderly, fair inquiry into the facts bearing on the case and only material related to the written charges may be considered during the hearing. The hearing is not intended to be a trial concerned with technical formalities.
  
  The party bringing the charge and the accused student will usually attend the hearing in person. If there is no reasonable alternative that permits a timely hearing, either or both parties may participate remotely or may provide only a written statement with the permission of the convenor. If one or both parties fails to participate in a previously scheduled hearing, the hearing will go forward and the committee will reach its conclusion on responsibility and the appropriate penalty on the basis of evidence presented at the hearing.
  
  Related Cases. At the discretion of the convenor, related cases may be heard sequentially by the same hearing board. When structured in this way, the parties involved in the first case will be heard, followed by the parties involved in the second case and so on. The hearing board will then deliberate before deciding if it wishes to call the parties for one or more cases back in sequence for additional questions. This process may be repeated as necessary before the hearing board starts its final deliberations. At the discretion of the convenor, a hearing for related cases may span multiple days.
  
  Confidentiality. Hearing proceedings are confidential. Committee members, students, faculty members, recorders, advisors, and witnesses are enjoined from mentioning names of those involved or details that might reveal the identity of the student or faculty member, and from discussing presentations or committee deliberations.
  
  Presentation; burden of proof; rights. When a hearing is convened to hear a disputed charge or penalty, the faculty member referring the case presents the evidence of the offense to the panel. The student may present counter-evidence if he or she wishes. Either party may have a faculty member, staff member, or student advisor and each has the right to call and question witnesses. The burden of proof is on the faculty member, who must establish the responsibility of the student by a preponderance of the evidence. (In matters of academic integrity, the evidence does not have to constitute overwhelming, irrefutable proof of responsibility, but only has to convince the panel that the violation took place.) Faculty members may refer cases based on the testimony of other students; in doing so, however, the faculty member should make sure either that the students who provided the testimony are willing to appear as witnesses at the hearing or that there is corroborating evidence that substantiates the charge. Other procedures for due process shall be followed, and records (including a tape recording of the hearing) shall be kept. Tapes will be erased after the appeal period has elapsed. Written records will be destroyed after five years.
  
  URC penalties. The URC imposes penalties for dishonesty according to the nature of the violation. URC penalties may include a letter of warning, grade penalties, failure in the class, suspension, or dismissal. If the URC finds that there has been no violation, or if the URC does not find a preponderance of evidence that a violation has taken place, the student will be exonerated.
  
  Second Offense. When a hearing is convened to consider disciplinary penalties related to a second offense, the chair reviews the offenses, as put forth in the settlement forms or in previous hearing reports, and asks the student if there are any comments he or she would like to make in regard to these offenses. Since these cases have already been decided, either through settlement or previous hearing, there is no need to reconsider them. In most cases, it is unnecessary to call witnesses, unless the committee or the student feels the reports are unclear in some respect that a witness can clarify. The sole consideration of the committee at a second offense hearing is whether further disciplinary sanctions (usually suspension or dismissal) should be applied.
8. Appeals
  
  Either the instructor or the student may appeal the decision of the URC to the Vice President for Academic Affairs who will consult with the Vice President for Student Academic Life while considering an appeal. Appeals must be made in writing to the Vice President for Academic Affairs within three business days of receiving the written notification of the decision. Appeals will be considered only if they are based on one or more of the following criteria:
  1. new evidence not reasonably available at the time of the original hearing and which is provided as part of the written appeal; or
  2. procedural error that can be shown to have affected the outcome of the hearing; or
  3. appropriateness of sanction only in cases of suspension or dismissal.
  The Vice President for Academic Affairs will decide whether or not there is a basis for appeal, and, if so, upon consideration of the appeal, may revise the URC decision or the penalty. The decision of the Vice President for Academic Affairs is final and will be communicated to both parties involved in the hearing, to the convenor of the URC and to the chair of the URC.
  
  (Approved by the Faculty, November 4, 2002; updated April 14, 2014; updated November 7, 2016. Minor updates to revise titles on July 31, 2019. University Review Committee (URC) Hearing Procedures are available in the office of Academic Affairs. Hearing Procedures are updated and revised periodically by the Academic Affairs administration in consultation with the Student Academic Life Committee.)
Student-Initiated Grievance on Grading and Other Forms of Evaluation by Faculty

The normal presumption at DePauw is that the faculty member alone is qualified to evaluate and assign grades to the academic work of students in his or her courses. For this reason, questions regarding a faculty member's grades are not normally subject to review. The following procedure is for exceptional cases only.

At all levels of the procedure outlined below, those who hear grade grievances are to be concerned only with whether the faculty member acted in a fair, reasonable manner and whether the faculty member used the same methods of evaluation for all students in the class.

In addressing a grievance:
1. The student must first attempt to meet with the faculty member involved, thus permitting an opportunity for an informal resolution of the case.
2. If the situation is not settled, then either the student or the faculty member may ask the chair of the department (or director of program) in which the course is taught to try to resolve the issue. If the course is cross-listed, both chairs/program directors will be asked. The student, faculty member, and department chairs may consult with the Dean of Academic Programs, Assessment and Policies to ask questions about procedure and to discuss the issues involved.
3. At the request of the student or faculty member, or on the chair's initiative, the chair(s) may appoint and preside over a special departmental committee, which will recommend a resolution to the grievance. If the faculty member involved is also the chair or program director, the Dean of Faculty will take the role of appointing and presiding over the special departmental committee.
4. Either the student or the faculty member may decide to appeal the departmental recommendation to the University Review Committee (URC). Such appeals must be made within two weeks after the departmental recommendation has been given. Arrangements for a hearing before the URC are made through the Dean of Academic Programs, Assessment and Policies.
  
  The URC consists of an appointed member of the Student Academic Life Committee, who will chair the hearing, two teaching faculty members, and two students. Faculty and student members are chosen by the Dean of Programs, Assessment and Policies from a pool of volunteers identified by the Student Academic Life Committee. The dean observes and records the hearing, but does not participate in committee deliberations.
  
  The membership of this committee is made known to parties involved prior to a hearing. Student, faculty and administrative alternates are also designated for the committee. Either party can ask the dean to replace a committee member because of bias or conflict of interest. The dean shall decide if there are sufficient grounds to honor this request. If a committee member is unable to attend the hearing, or if a member is excluded because of potential bias or conflict of interest, an alternate will be asked to serve.
5. The decision reached by the URC is final. Appeals of the committee's decision, on procedural grounds only, may be made to the Vice President for Academic Affairs.
6. If the faculty member involved in the grade grievance is also the Dean of Academic Programs, Assessment and Policies, the Dean of the Faculty will stand in as the procedure advisor and URC convener. If the Dean of Academic Programs, Assessment, and Policies is also the chair of the affected department, the Dean of Academic Services will stand in as the procedure advisor and URC convener. Further information, including the details about the hearing procedures, is available in the office of Academic Affairs. Hearing procedures are established and periodically reviewed by the Student Academic Life Committee in consultation with the Vice President for Academic Affairs.
Time Line:
1. Neither a departmental review committee nor the University Review Committee may be convened to hear a grievance until after the student's full term of work has been completed and a final course grade has been given.
2. A student who has a grievance should talk to the faculty member as soon as possible after the disputed grade has been given, and no later than the last week of the first full primary term following the disputed evaluation.
3. The student must present an unresolved grievance to the department chair or dean within the first full primary term following the disputed evaluation.
4. Appeals of the departmental decision to the URC by either the student or faculty member must be made within two weeks of receiving a written decision from the department chair.
5. After a hearing, the decision of the URC will be delivered in writing to the student's mailbox (or home address if the semester is over) and to the faculty member within two working days after the committee has met.
6. A student or faculty member who wishes to appeal the URC decision on procedural grounds must do so in writing to the Vice President for Academic Affairs within three business days of receiving the decision from the committee. The Vice President for Academic Affairs will consult with the Vice President for Student Academic Life while considering the appeal. The decision of the Vice President for Academic Affairs is final and will be communicated to both parties involved in the hearing, to the convenor of the URC and to the chair of the URC.
(Adopted by the Faculty November 4, 2002; revised April 3, 2006; revised November 7, 2016. Minor updates to update titles on July 31, 2019. Minor updates to address conflicts of interest and cross-listed courses on September 18, 2019. Hearing Procedures are updated and revised periodically by the Academic Affairs administration in consultation with the Student Academic Life Committee.)
Academic Expectations for DePauw Students

DePauw has considerably different academic expectations from those of high school and it is important that students adjust to these new expectations early in their college careers.
1. College is not the end of the educational process but a foundation for a lifetime of continued learning and growth. Therefore, one of the central goals of college is to help students develop a sense of responsibility for their own learning and the ability to learn on their own.
2. Accordingly, college students spend much less time in class than they did in high school but are correspondingly expected to do much more work outside class than they did in high school.
3. Students should expect to spend between forty and fifty hours a week (or more) on their academics, the equivalent of a full-time job.
4. Students are responsible for learning a great deal of the material on their own outside of the classroom.
5. Students should expect that course material will be covered at a much more rapid pace than they have experienced before. This expectation is partially based on the assumption that students are preparing carefully for class so that more material can be covered in class.
6. Students are expected to come to class prepared and ready to participate actively in the class session. They are expected to have read the texts and used other required materials carefully and comprehensively before the class session.
(Adopted by the Faculty April 1997; revised February 2004)

Satisfactory Academic Progress for Financial Aid and Academic Standing

This policy was approved at the September 8, 2014, faculty meeting to become effective for the Fall 2014 term. It replaces the Academic Probation and Dismissal policy that had been in effect through the 2013-14 academic year.

Satisfactory Academic Progress (SAP) is used to determine financial aid eligibility and academic standing. The main goal of the SAP system is to make sure that all degree seeking students are making timely progress toward earning a degree.

Students pursuing the Bachelor of Arts, Bachelor of Music, Bachelor of Musical Arts, and Bachelor of Music Education degrees are expected to complete their degrees in eight semesters; students in the dual degree Bachelor of Music/Bachelor of Arts program have ten semesters to complete the degree.*

There are four SAP statuses:

Satisfactory

Warning

Suspension

Probation

Two primary measures are used to determine SAP status: academic performance as measured by grade point average and progress toward degree as measured by earned college credits applicable to the degree. GPA is referred to as a qualitative measure; credits earned as a quantitative measure. The quantitative measures include both credits earned and percentage of credits attempted that are earned. The qualitative measures include both cumulative and major GPAs.

To graduate from DePauw with a Bachelor of Arts, Bachelor of Music, or Bachelor of Musical Arts degree requires 31 course credits and minimum 2.0 GPA, cumulative and in the major. The Bachelor of Music Education Degree requires 33 course credits with a 2.0 cumulative GPA.

DePauw uses a graduated scale of minimum standards students must achieve to be in satisfactory standing.

Semester	1	2	3	4	5	6	7	8
Minimum Cumulative GPA	1.5	1.7	1.9	2.0	2.0	2.0	2.0	2.0
Major GPA				2.0	2.0	2.0	2.0	2.0
Minimum Credits Earned	2	5	9	13	17	21	25	29
Percent of Attempted Earned	50%	75%	75%	75%	75%	75%	75%	75%

Minimum GPA and Credit Earned
Full-time students must earn at least 2.0 course credits and at least a 1.0 GPA each primary term (Fall and Spring). Students who fall below these primary term minimums are suspended.

SAP Process
At the end of each primary term, student performance is reviewed by members of the Financial Aid and Registrar's offices. Students who are meeting the above minimum standards are judged to be making satisfactory academic progress toward a degree.

Students who have been doing satisfactorily and then fall below any of the above standards are given a warning to improve performance. If they fail to meet the benchmark for the next semester or perform below the minimums for the primary terms, they are suspended. They may appeal the suspension (see Appeals Process below) or apply for readmission after spending some time away from DePauw.

Students who successfully appeal a suspension are placed on probation. In most cases, they will have one probationary semester to bring their performance into line with the satisfactory academic progress standards. If they fail to do so they are again suspended. However, some students who come close to reaching the target may be continued on probation.

SAP progress is evaluated at the end of the Fall and Spring primary terms in order to give students who are suspended a chance to submit an appeal before the beginning of the next semester. Status determinations are provisional until the extended term is completed.

Appeals of Suspensions
Students who are suspended for failing to meet SAP guidelines may appeal their suspension in writing to the Academic Standing Committee, which includes representatives from the faculty, Academic Affairs, Student Academic Life and Financial Aid. Usually, appeals are heard approximately two weeks after grades for the primary terms have been posted (approximately January 15 and June 10). In the appeal the student presents his/her case for continuing. If the student is behind in credit earned, the appeal should include a plan for catching up, which may include taking courses elsewhere over the summer. If the student has fallen below the minimum GPA standards, the appeal should include a plan for improving performance. Note that course work done elsewhere or online does count toward the quantitative, but not the qualitative measures, because course work done elsewhere does not count into DePauw GPAs.

Students who successfully appeal a suspension may continue on probation in the following semester. Those whose appeals are denied may apply for readmission after being away for a minimum of one semester.

* DePauw's academic calendar consists of two semesters each of which has a primary term and an extended term. Semester I includes Fall and Winter terms; Semester II Spring and May terms.

(Approved by the DePauw Faculty, October 20, 1990; revised April 5, 1999; June 6, 2002; June 13, 2005, September 8, 2014)

Class Attendance and Absences

DePauw is a residential college and students are expected to attend classes in-person. Regular attendance at class, laboratory and other appointments for which credit is given is expected of all students according to the guidelines established by individual faculty members. The university has no universal policy of “allowed cuts” or “free” absences from class sessions, although individual faculty members at their own discretion may make such policies in their respective courses. Faculty members may drop students from their classes or other appropriate action may be taken if absences are too frequent.

Under certain circumstances all students enrolled in a course will be exempt from this in-person attendance requirement. For example, some courses are always offered remotely, such as internship courses and courses offered jointly with another college. The university may also make a temporary partial or complete shift to remote instruction, for example in response to inclement weather or community illness.

Other courses may be offered remotely (for some or all enrolled students) on a case-by-case basis with the approval of the VPAA and the faculty member teaching the course.

Exceptions to the in-person attendance for individual students (as opposed to all students) are rare and occur only with the prior approval of the faculty member. Examples include accordance with ADA accommodations and/or appropriate communications from the CARE Team. In addition, in some classes, the curriculum and/or pedagogy, as determined by the instructor, may preclude this option entirely.

Absences for medical reasons: When an absence due to medical reasons will result in a student being unable to fulfill academic responsibilities--for example, papers and examinations--the student should notify the faculty member in advance. Each faculty member should let the students know how to give this notification. The faculty member and student should work out arrangements for possible extension or makeup work. In cases where students are hospitalized, the University physician will, with the student's permission, notify the Office of Student Academic Life. It is the student's responsibility to contact the faculty member; in addition, the faculty member will be notified by Student Academic Life personnel.

If a student misses two or more weeks of class for medical or other reasons beyond the student's control, the student's faculty members, in consultation with a member of the Academic Affairs staff, will decide whether the student may reasonably make up the missed work. As a general rule, students who miss two or more weeks of class may no longer be eligible to continue in the class. The final decision about whether a student may continue with a class rests with the faculty member subject to constraints set by other academic policies.

Absences for personal or psychological reasons: Occasionally Student Academic Life staff will encounter students who must miss class for personal or emotional reasons. These cases include such events as death or illness of a family member or emergency psychological crisis. When possible, Student Academic Life staff will ask the student to notify faculty members and indicate that faculty members may call Student Academic Life staff for confirmation if such validation is deemed necessary. In some of these cases, the Student Academic Life staff member has no real way to validate the student's statement. Maintaining such information over a period of time, however, could help determine possible patterns of dishonesty for an individual student. In some extreme emergencies, Student Academic Life staff may notify faculty members directly.

Early departure or late return from breaks: Faculty members are expected to hold class on the days immediately before and after breaks. Students will not be excused from class attendance or from taking examinations at their announced time to accommodate travel schedules. It is the responsibility of students and their families to make travel arrangements accordingly.

Conflicts with other courses: Whenever possible out of class requirements should be specified in the syllabus and/or the schedule of classes and the faculty member should provide options, or an alternative time, for students who have another class obligation scheduled at the same time. If there is a conflict between two course-related activities, the faculty members should resolve it. The Dean of Academic Programs, Assessment and Policies will be responsible for the resolution if an agreement is not reached.

(Adopted by the faculty November 1988, revised May 2005, revised May 2014.

Minor revisions to update titles, July 31, 2019. )
Conflict Between Class and Extracurricular Activities

DePauw University believes that both curricular and extracurricular activities make important contributions to the education of students. The University reminds students, however, that classroom performance takes priority over all extracurricular activities. When conflicts between regularly scheduled classes and academically approved extracurricular activities (approved by the Vice President for Academic Affairs) arise, all parties involved in such conflicts have certain responsibilities toward reducing, if not resolving, them.

Responsibilities of the Student:
- At the beginning of the term inform each instructor about any conflict with an approved extracurricular activity scheduled during the term.
- Take the initiative to complete in advance any work which will be missed without expecting that the instructor will necessarily provide makeup examinations.
- Keep informed how missing class for the activity jeopardizes your standing in the class.
- Give priority to class attendance whenever an insoluble conflict occurs between a required class session (especially an examination) and an extracurricular event.
- Choose between the class or the activity if it becomes apparent that both cannot be served in a satisfactory manner.
Responsibilities of the Instructor:
- Try to accommodate a student who must miss an occasional class because of an extracurricular activity approved by the Vice President for Academic Affairs. Provide all assistance possible to the student without necessarily giving make-up examinations.
- When such scheduling does not interfere with the integrity of the course content, consider giving examinations or quizzes on days that do not conflict with the student's previously stated and approved extracurricular activities.
- Do not require that students attend events held outside the scheduled classroom hours, if such events conflict with a previously scheduled, announced and approved extracurricular activity.
Responsibility of the Sponsor of the Activity:
- Attempt as much as possible to avoid scheduling events that will conflict with normal class sessions. No approved extracurricular activity may require a student to miss more than a week in any course during a primary term. No extracurricular event may be scheduled during the final examination period.
- At the beginning of the term provide each instructor affected with the names of students involved in an activity and the days and hours in which participation in the event conflicts with scheduled class sessions.
- Remind students that they should be prepared to miss a given event where there is an insoluble conflict with a scheduled examination or to drop the activity if academic performance is being undermined by absence.
(Adopted by the Faculty December 1981)
Religious Holy Days

DePauw University embraces the religious diversity of its students, faculty, and staff. Accordingly, faculty members are expected to excuse students from class and be flexible with respect to deadlines for required coursework in order to enable students to observe religious holy days. Faculty are also expected to make it possible for students observing holy days to make up any work they miss, provided arrangements are made in advance. Students are expected to notify their instructors of their intent to observe holy days at least one week in advance of these days. For the sake of this policy, “holy days” are defined as periods of time in which either:
1. activities required by normal class participation are prohibited by a religious tradition, or
2. a special worship obligation is required by a religious tradition.
Students with questions or concerns about this policy should contact the Office of Student Academic Life.
Classroom Atmosphere

Exchange of Ideas during Class

At DePauw University, academic discourse within the framework of our courses is of fundamental importance and faculty members should work to provide and maintain an environment that is conducive to learning for all students. We strive to encourage the free exchange of ideas always in an environment of respect and civil discourse. Inappropriate comments or behavior can sometimes seriously undermine that environment. For example, while students and faculty are encouraged to debate ideas and offer differing viewpoints, even when these exchanges are uncomfortable, they should recognize that personal attacks are unacceptable. The use or misuse of technology can also impact the ability to exchange ideas during class and faculty members generally have discretion to set guidelines for, and restrictions on, the use of technology during class. See Appendix A of this policy for additional information, including limitations on the faculty member’s broad discretion.

Resolving Conflicts

In addition to this Classroom Atmosphere Policy, DePauw University has other policies and protocols for reporting and resolving some types of incidents. In particular, individuals who have concerns that may involve harassment, should review the University Harassment Policy. Similarly, individuals who have concerns that may involve bias should review the University Bias Incident Reporting Protocol. Other classroom atmosphere concerns are best addressed through this Classroom Atmosphere Policy. In some cases, it may be difficult for a person with a concern to categorize the nature of the incident. In addition, some incidents may span categories. Such difficulties should not dissuade individuals from reporting a concern using any of these policies and protocols. Individuals who are uncertain of which policy to use should follow the steps below.

Frank yet respectful informal discussions between faculty members and students are the preferred response to problems that are covered by the Classroom Atmosphere Policy. However, each case is different and given these complexities faculty members or students who have concerns may wish to seek advice, as outlined below, to prepare for these discussions or to take other steps.
1. Options for Students
  1. Get advice from resources including faculty advisors, department chairs, or staff members in a variety of offices including Academic Affairs, Multicultural Student Services, International Student Services and the Women's Center. Based on their judgment, these staff members may consult with, or encourage students to consult with, the Dean of the Faculty or the Dean of Academic Programs, Assessment and Policies. Students may also consult informally with either of these Deans as a first step.
  2. Provide their input using the student opinion form that is administered at the end of the semester in almost all DePauw courses. When students feel comfortable doing so, they are also encouraged to talk with faculty members in person, either during the semester or after the course ends.
  3. File a formal grade grievance, depending on the nature of the student’s concern. See Student-Initiated Grievance on Grading and Other Forms of Evaluation by Faculty.
  4. File a formal complaint by submitting a signed letter to the Dean of the Faculty during the semester, or at any time after the course concludes.
  When concerns are raised, Academic Affairs Administration will be responsible for follow-up, if warranted, which could include informal mentoring; formal improvement plans; faculty development opportunities; documentation placed in personnel files with a copy to the faculty member; and/or consideration during the annual re-appointment, renewal and compensation processes, which could have employment ramifications. Any necessary follow-up will be undertaken in accordance with DePauw's Personnel Procedures. Actions taken through these procedures are typically confidential.
2. Steps for Faculty Members
  
  Faculty members may wish to consult with the student’s academic advisor, the Department Chair, and/or a designated member of Academic Affairs (currently the Dean of Academic Programs, Assessment and Policies), even at the stage of informal interventions. If informal measures are unsuccessful, faculty members should follow these procedures:
  1. The faculty member should warn the student in writing that the disruptive behavior is unacceptable and that if it continues the student may not be allowed to remain in the course. Depending on circumstances, a warning may need to be made during class, as well; for example, the faculty member may ask the student to leave the classroom for the day. The faculty member should also encourage the student to talk to an academic advisor or dean in Academic Affairs.
  2. The faculty member should keep notes on the dates, times, and details of the incidents of disruption, the impact of disruption on those present, and warnings conveyed to the student, as these are useful in later stages of the proceedings.
  3. If the behavior continues after a written warning has been given, the faculty member should notify the Dean of Academic Programs, Assessment and Policies in writing, giving a summary of what happened and the action that has been taken. Upon receipt of this summary, the dean sets up a three-way meeting involving the faculty member, student, and dean. In order to minimize the procedure's interference with courses, this meeting is scheduled as soon as possible, preferably before the next class meeting.
  4. At the meeting, the faculty member and student are invited to discuss the situation. The goal of the meeting is to give both parties a chance to discuss, in a safe space, what has happened. Such a discussion may enable the faculty member and student to see the problem from a different point of view or to hear the perspective of the other person in a new way. The dean's role is to moderate the discussion, insuring that the conversation remains civil and on target. Either party may, but neither must, bring an advisor (DePauw student, faculty member, or staff member) to the meeting. Advisors may consult privately with the person whom they are accompanying, but they do not enter the discussion.
  5. As soon as possible after the meeting the faculty member makes a recommendation to the Dean of Academic Programs, Assessment and Policies.
    1. If the faculty member recommends that the student be allowed to remain in the course then the dean and faculty member should consult regarding how best to convey this decision and any stipulations or conditions to the student.
    2. If the faculty member recommends that the student be dropped from the course, he or she reports this conclusion in writing to the Dean of Academic Programs, Assessment and Policies; the dean then conveys the faculty member's conclusions along with a written summary of the three-way meeting to the Vice President for Academic Affairs.
    3. A recommendation to dismiss the student from the course must be approved by the Vice President for Academic Affairs. If the student is not allowed to return to the course, the Vice President for Academic Affairs decides what appears on student's transcript for the course: W, F, or no entry.
  6. A pattern of disruptive behavior in several courses may be addressed by representatives of the offices of Academic Affairs and Student Academic Life.
  Please note: This policy is not meant to cover behavior that occurs outside the classroom and/or involves harassment. Other policies are in place to handle those situations; the University's harassment policies are published in the Student and Academic Handbooks. Incidents of harassment should be reported immediately to the Vice President for Academic Affairs, the Dean of Students, Title IX Office, or Campus Public Safety officers.
  
  Appendix A: Use of Technology during Class
  
  Faculty members generally have discretion to set guidelines for, and restrictions on, the use of technology during class, with the goals of supporting learning while also minimizing distractions for all students. Expectations will naturally vary from course to course, instructor to instructor, and even from class period to class period based on differences in teaching and learning objectives. In many cases, faculty members will choose to allow students to use technology, but will limit this use to activities that support the learning process. In other cases, for example to minimize distraction, instructors may implement additional restrictions on the use of technology. In each case, faculty members may find it helpful to explain their expectations as part of the course outline or in other ways. Students will benefit from a clear statement of faculty expectations in this area, just as they benefit from a clear statement of faculty expectations with respect to attendance, academic integrity, and other policies.
  
  Notes: There are two exceptions to the broad discretion given to faculty members above.
  1. The Americans with Disabilities Act (ADA) gives students the right to use assistive technology or a suitable alternative if this has been determined to be an appropriate accommodation for their disability. ADA procedures require that such accommodations be reached by the Director of Student Accessibility Services in consultation with the student and that they be communicated in writing to the instructor with the student's consent. Instructors may work with students and the Director of Student Accessibility Services to determine the most effective way to implement the accommodation. Whenever possible, students should be allowed to use the assistive technology without disclosing their disability. For advice and guidance please consult with DePauw's Director of Student Accessibility Services.
  2. DePauw University uses an electronic notification system to distribute campus emergency alerts via text messages. When class policies require phones to be stored out of sight and/or reach during class, phones should still be set to vibrate. Emergency messages will cause multiple phones to vibrate at nearly the same time.
  Revised and adopted by the Faculty, November 7, 2016. Minor revisions to update titles, August 31, 2020.
Examinations in Courses

Instructors schedule all but the final examination in their courses. No hour examinations may be given the last five class days of the Fall or Spring term except for laboratory portions of final exams. (Note: If Thursday is the last day of classes, this period includes the previous Friday.) Only assignments that substitute for a final exam should be given a due date during finals week and no assignments may be given a due date that is after the end of finals week. In addition, during the Fall and Spring terms, instructions for paper and project assignments due in the last five days of class should be provided at least 14 calendar days prior to the due date.

Final examinations during primary terms. An examination period is provided at the end of each primary term for instructors to give such examinations as they deem proper to cover the course work. Normally, a final examination should not exceed three hours. Final examinations are not to be given at any time other than that announced in the official schedule, although the laboratory portion of final examinations in science courses may be given in a regularly scheduled lab period in the last week of classes. The Vice President for Academic Affairs must approve any requests to move an exam time for a whole class. Instructors may allow individual students with unusual circumstances (such as a death or serious illness in the family, postseason athletic events, or having three exams in one day) to take an examination at another time; problems involving transportation, family occasions and/or jobs, for example, are not sufficient grounds for changing an examination. No student may be excused from taking the final examination in any course in which an examination is a requirement for credit in the course.

Multiple or Conflicting Exam Policy. No student may be required to take more than two in-class final exams on the same day or choose between exams offered at the same time. Any student with three final exams in one day is responsible for trying to reach a solution by talking with the professors involved at least two weeks before the beginning of the final exam period. If none of the professors involved voluntarily agrees to give the student his/her exam on another day, the professor whose exam is scheduled second in the day will offer an alternative date for the exam. The student should obtain a multiple exam form from the Registrar's Office to provide written verification to the professors involved that three final exams are actually scheduled and being given on the same day. When a student is in two courses whose designated final examination periods conflict, the student is responsible for trying to reach a solution by talking with the professors involved at least two weeks before the beginning of the final exam period. If neither of the professors involved voluntarily agrees to give the student his/her exam on another day or time, the professor whose course carries the lesser credit will offer an alternative time for the exam. If both courses carry the same credit, then the professor of the course that meets latest in the week will offer an alternative time for the exam.

(Approved by the DePauw University faculty, May 1, 2000; revised May 5, 2013, last modified December 1, 2014)
Freedom of Academic Expression of Students

Preamble

Freedom of Expression* is an integral part of a growing mind in a diverse, equitable and inclusive community. Furthermore, allowing students to share their thoughts and feelings openly in a responsible and respectful manner is vital to DePauw's Educational Mission. All students have the guaranteed right to question, defend, and express a wide variety of beliefs and ideas. Indeed, they are encouraged to do so in partial fulfillment of their responsibility to seek truth wherever it may lead. The exercise of this precious freedom requires a nurturing environment to allow exploration of diverse opinions, even those that may seem offensive or repulsive. Even so, as with all freedoms, there are recognized limits. Activities that are unlawful such as defamation, harassment and encouragement of violence are not condoned or sanctioned.

Moreover, to the extent justifiable privacy or confidentiality interests do not exist, students are expected to embrace responsibility for their expressions; anonymity can be a detrimental barrier to free and open exchange of ideas. Additionally, we must be ever mindful of the powerful duality of words. They can wound as well as illuminate and teach. Care should be exercised in word choice keeping in mind some words and phrases may cause discomfort and by doing so can reveal important concepts.
- Freedom of Speech refers to the individual right, guaranteed by the first amendment of the U.S. Constitution, to articulate ideas and opinions without fear of government retaliation, censorship or other sanction.
- Freedom of Expression refers to the right to hold opinions without interference and includes the “freedom to seek, receive, and impart information and ideas of all kinds […] orally, in writing or in print, in the form of art, or through any media[...]” (International Covenant on Civil and Political Rights Article 19)
1. In the Classroom
  
  The professor in the classroom and in conference has the obligation to maintain an atmosphere of free discussion, inquiry, and expression, and should take no action to penalize students because of their opinions or because of their conduct in matters unrelated to academic standards. The professor also has the obligation to evaluate their performance justly.
  1. Protection of the Freedom of Expression. Students should be free to take reasoned exception to the data or views offered in particular courses of study. They may be required to know the particulars set out by the instructor, but they should be free to reserve personal judgment as to the truth or falsity of what is presented. Knowledge and academic performance should be the basis on which students are measured.
  2. Protection Against Unjust Grading or Evaluation. Students must maintain standards of academic performance set by the faculty if they are to receive the certificate of competence implied by the course credits and degrees. The student should have protection against unjust grading and evaluation due to error and prejudice. The basis of the final evaluation in any course should be available to the student on request. It is recommended that examinations be returned to students or kept for reference by the professor for at least one semester. The faculty should have an orderly procedure whereby student allegations of prejudice or error in the awarding of grades may be reviewed.
  3. Protection Against Improper Disclosure. Information about student views, beliefs, and political associations which professors acquire in the course of their work as instructors, advisers, and counselors should be considered confidential. Protection against improper disclosure is a serious professional obligation.
2. Student Records
  
  DePauw University should maintain a carefully considered policy as to the information which should be part of a student's permanent educational record and as to the conditions of its disclosure. To minimize the risk of improper disclosure, academic and disciplinary records should be separate and the conditions of access to each should be set forth in an explicit policy statement. Transcripts of academic records should contain only information about academic status. Data from disciplinary and counseling files should not be available to unauthorized persons on campus or to any person off campus except for the most compelling reasons. No records should be kept which reflect the political activities or beliefs of students. Provision should also be made for periodic routine destruction of noncurrent disciplinary records. Faculty, administrative staff, and student personnel officers should respect confidential information about students which they acquire in the course of their work.
3. Student Affairs
  
  In student affairs, certain standards must be maintained if the academic freedom of students is to be preserved.
  1. Freedom from Arbitrary Discrimination. Colleges and Universities should be open to all students who are academically qualified. University facilities and services should be open to all students. Furthermore, DePauw University should use its influence to secure equal access for all students to public facilities in the local community.
  2. Freedom of Association. The University should protect the freedom of students to organize to promote their common interests. Institutional intervention in the activities of student organizations should be exceptional. Activities of student organizations that clearly hamper the implementation of established academic programs and student activities which violate stated university regulations are instances in which intervention might occur. Generally, however, institutional policies should be supportive, not restrictive, of student freedom.
    1. Affiliation with an extra-mural organization should not of itself affect recognition of a student organization.
    2. A student organization seeking University recognition must have a campus adviser of its own choosing. Institutional recognition should not be withheld or withdrawn solely because of the inability of a student organization to secure an adviser. Employees serve the college community when they accept the responsibility to advise and consult with student organizations; they should not have the authority to control the policy of such organizations.
    3. Student organizations may be required to submit a current list of officers, but they should not be required to submit a membership list as a condition of institutional recognition.
    4. Campus organizations should be open to all students without respect to race, religion, creed, gender identity, sexual orientation, or national origin.
    5. Students and student organizations should be free to examine and to discuss all questions of interest to them, and to express opinions publicly or privately. They should also be free to support causes by non-disruptive counterspeech or protest. What constitutes non-disruptive counterspeech or protest is outlined in detail in the section labeled “Right to Demonstrate Policy” of the Student Academic Handbook. In short, this includes “…support[ing] causes in a non-violent manner, including organized demonstrations that do not materially and substantially disrupt the normal and essential functions of the University. To be considered a disruption, demonstration actions need to be more than simply creating discomfort and unpleasantness or temporarily interrupting University operations.”
    6. Students should be allowed to invite and to hear any person of their own choosing. While the orderly scheduling of facilities may require the observance of routine procedures before a guest speaker is invited to appear on campus, institutional control of campus facilities should never be used as a device of censorship. It should be made clear to the academic and larger community that sponsorship of guest speakers does not necessarily imply approval or endorsement of the views expressed, either by the sponsoring group or DePauw University.
  3. Student Participation in Institutional Government. As constituents of the academic community, students should be free, individually and collectively, to express their views on issues of institutional policy and on matters of general interest to the student body. The student body should have clearly defined means to participate in the formulation and application of regulations affecting student affairs. Student government should be protected from arbitrary intervention, such as removal or suspension of officers, by the withholding of funds, or by unilateral changes in the charter which defines its organization and competence.
  4. Freedom of Student Publication. An academic community requires freedom to exchange information and ideas. DePauw University should promote and sustain institutional policies which will provide students the freedom to establish their own publications and to conduct them free of censorship or of faculty or administrative determination of content or editorial policy, yet within the limits of the laws concerning libel and slander. Editors and managers should subscribe to canons of responsible journalism. At the same time, they should be protected from arbitrary suspension and removal because of student, faculty, administrative, or public disapproval of editorial policy or content. Only for proper and stated causes should editors and managers be subject to removal and then by orderly and prescribed procedures. Students should be free to establish, publish, and distribute publications without institutional censorship.
4. Off- Campus Freedom of Students
  
  While within the jurisdiction of the United States of America, the faculty and administration have an obligation to ensure that institutional authority and disciplinary powers are not employed to circumvent or limit the rights of students as members of the larger community.
  1. Exercise of Rights. Students should enjoy freedom of religion, speech, press and assembly, and the right to petition the authorities. Exercise of these rights on or off the campus should not subject them to institutional penalties.
  2. Institutional Authority and Civil Penalties. Activities of students may upon occasion result in violation of law. In such cases, institutional officials should apprise students of their legal rights and may offer other assistance. Students who violate the law may incur penalties prescribed by civil authorities, but institutional authority should never be used merely to duplicate the function of general laws. Only where the institution’s interests as an academic community are distinct from those of the general community should the special authority of the institution be asserted. The student who incidentally violates institutional regulations in the course of off- campus activity, such as those relating to class attendance, should be subject to no greater penalty that would normally be imposed on campus. Institutional action should be independent of community pressure. The University has no obligation to protect students from the penalties of civil law.
  3. International Programs and Activities. When participating in DePauw University sponsored courses or activities that occur outside the sovereign boundaries of the United States of America, participants are subject to the local laws and regulations of the host country. Those laws and regulations may be in direct conflict with the freedom expression policies of DePauw University as well as those of the United States Constitution. Participants who violate local laws may be subject to criminal prosecution, detention or deportation by local authorities. DePauw University will have little recourse or resources to advocate or intervene for participants accused of violating local laws. In these circumstances, if the participant is a U.S. citizen, the participants' case will be turned over to the U.S. Department of State who will follow the protocols for response to an arrest or detention of U.S. citizens abroad. Other foreign nationals are advised to work with their respective foreign ministries for relief.
  4. Procedural Standards in Disciplinary Proceedings
    
    The faculty has an obligation to see that students are not disciplined for alleged misconduct without adequate procedural safeguards. The following procedures are recommended to assure reasonable protection of the student, a fair determination of the facts, and the application of appropriate sanction.
    1. of Standards of Conduct Expected of Students. Disciplinary proceedings should be instituted only for violation of standards of conduct defined in advance and published through such means as a student handbook or a generally available body of university regulations. Offenses should be as clearly defined as possible without the use of vague phrases.
    2. Investigation of Student Conduct.
      1. Except under emergency circumstances, premises occupied by students and the personal possessions of students should not be searched unless appropriate authorization has been obtained. For premises such as dormitories controlled by the institution, an appropriate and responsible authority should be designated to whom application should be made before a search is conducted. The application should specify the reasons for the search and the objects or information sought. The student should be present, if possible, during the search. For premises not controlled by the institution, the ordinary requirements for lawful search should be followed.
      2. Students detected or arrested in the course of serious violations of institutional regulations, or infractions of ordinary law, should be informed of their rights. No form of harassment should be used by institutional representatives to coerce admissions of guilt or information about conduct of other suspected persons.
      3. Status of Student Pending Final Action. Pending action on the charges, the status of a student should not be altered, or their right to be present on the campus and to attend classes suspended, except for reasons relating to the safety of students, faculty, or university property.
    3. Disciplinary Procedures. The formality of the procedures to which a student is entitled in disciplinary cases would be proportionate to the gravity of the offense and the sanctions which may be imposed. Both major and minor penalties would be assessed by the University under prescribed consistent procedures. In the case of a grave offense, where severe sanctions may be imposed, the student should, on their request, be given a formal statement in writing containing the particular reasons for the disciplinary action. The student should be given sufficient time to prepare a defense, have the right to an adviser of their choice, and to hear and have the opportunity to rebut adverse evidence, inferences or witnesses in a hearing presided over by an impartial party.
    4. Debate and Deliberation at Sanctioned University Events Students and invited guests have the rights described above as well as the freedom to engage in non-disruptive counterspeech or protest to thoroughly vet, critique and question ideas and views presented in any event through public opportunities. Those participating in the discussion should also abide by the standards articulated above.
      
      (Adopted by the DePauw Faculty, April 11, 2022)
5. Timely Feedback
  
  Timely and adequate feedback is essential to student learning. Faculty members are expected to respond to student work in a time frame and manner that allow students to learn from and apply this feedback to subsequent work.
  
  (Approved by the Faculty, April 4, 2011)
Personnel Policies

(Some sections by faculty action; others by administrative decision; and some sections developed mutually.)

DePauw University strongly affirms the principles of academic freedom and tenure as stated in the 1940 Statement of Principles on Academic Freedom and Tenure, with 1970 Interpretive Comments of the American Association of University Professors. (See AAUP Redbook, 9th Edition, pp. 3-7.)
1. Appointment
  
  The University appoints each faculty member to one of the following types of faculty positions each year. Each faculty member will be afforded the rights and privileges consistent with the position designated in that faculty member's letter of appointment and with other provisions of these Personnel Policies. Faculty members who work more than half time in a given fiscal year (which runs from July 1 to June 30) taking into account both faculty responsibilities and other responsibilities are eligible for certain benefits as set forth in the University's Employee Handbook.
  
  (Article written by the administration. Last revised August 1, 2005.)
  1. Part-time Faculty Positions
    1. Types
      1. Part-time Faculty Positions with Academic Rank. These positions carry titles of "Part-time Instructor," "Part-time Assistant Professor," "Part-time Associate Professor," or "Part-time Professor." "Part-time" in the title may be replaced by "Adjunct" at the discretion of the Vice President for Academic Affairs (for positions in the College of Liberal Arts) or the Dean of the School of Music (for position in the School of Music). "Part-time" in the title may be replaced by "Senior Professor" for formerly tenured faculty members in the semesters in which they teach part-time after retirement.
        
        This category includes those appointed by the University who perform only part-time teaching duties as well as those employed full- or part-time for other duties at the University who are also assigned part-time teaching duties. Normally, these positions carry instructional duties (teaching, service and professional growth) corresponding to less than half the instructional workload of a full-time faculty member. The University will make such appointments in one or more than one department or program or in the School of Music. Appointments are made for a specified period, typically either for a semester or an academic year, and there is no guarantee of continued employment beyond the period specified. These positions are subject to the provisions of the Personnel Policies Articles IA, IIA, VI, and VII (note: as the Personnel Policies are a document relating only to faculty members, the Articles cited apply only to the faculty portion of an appointment). In addition, Article VII of the Personnel Policies applies to persons appointed to such positions only with regard to grievances concerning dismissal or release from faculty duties. Persons holding these types of position are subject only to the parts of the Personnel Policies cited in this paragraph.
      2. Part-time Faculty Positions with Nominal Rank. These positions carry titles of "with rank of Part-time Instructor," "with rank of Part-time Assistant Professor," "with rank of Part-time Associate Professor," or "with rank of Part-time Professor." "Part-time" in the title may be replaced by "Adjunct" at the discretion of the Vice President for Academic Affairs. This category includes those appointed by the University who perform only part-time teaching duties as well as those employed full- or part-time for other duties at the University who are also assigned part-time teaching duties. Normally, these positions carry instructional duties (teaching, service and professional growth) corresponding to less than half the instructional workload of a full-time faculty member. The University will make such appointments in a department or several departments, in the School of Music, or in a program. Appointments are made for a specified period, typically either for a semester or an academic year, and there is no guarantee of continued employment beyond the period specified. These positions are subject to the provisions of the Personnel Policies Articles IA, IIA, VI, and VII. (Note: as the Personnel Policies are a document relating only to faculty members, the Articles cited apply only to the faculty portion of an appointment.) In addition, Article VII of the Personnel Policies applies to persons appointed to such positions only with regard to grievances concerning dismissal or release from faculty duties. Persons holding these types of position are subject only to the parts of the Personnel Policies cited in this paragraph.
    2. Policies and Guidelines for Part-Time Faculty Members
      
      Part-time faculty members are recognized as members of the faculty and are accorded some of the rights and privileges pertaining to faculty status. However, part-time faculty may not be granted tenure as long as they are part-time, and they may not serve on the faculty's coordinating or executive committees, though they may be appointed to certain other regular and ad hoc committees and subcommittees (when specified). In principle, part-time appointments should meet emergency needs and certain on-going needs of the schools and departments which may require special expertise or routine assistance where tenure or term appointments may be unwarranted.
      
      Part-time teachers should be current in their credentials and expertise in their fields and they should pursue professional development in their fields.
      1. Appointment.
        
        Appointments shall be made by the President or the Vice President for Academic Affairs (for positions in the College of Liberal Arts) or the Dean of the School of Music (for positions in the School of Music) after consultation with the department chair, program director or coordinator, or Associate Dean of the School of Music who requests such appointments. Each appointment should carry with it a designation of rank and should be for a specific semester or academic year. No announcement of courses to be staffed by part-time faculty members should be made without prior approval of the Vice President for Academic Affairs (for positions in the College of Liberal Arts) or the Dean of the School of Music (for positions in the School of Music). Contracts stating conditions of appointment should be executed in all cases, and these should make provision for possible cancellation of classes and appointment based upon low registration. The contract should include a provision for compensation for preparation time for courses that have been cancelled by the University. Appointments or contingency plans should be made in time to allow adequate course preparation, and contracts should be executed as soon as possible after agreement has been reached. A person may receive reappointment at a higher rank consistent with degree status, teaching effectiveness, professional development, and quality of service.
      2. Compensation.
        
        The basis for compensation of part-time faculty members should reflect both prevailing market conditions and the levels of compensation paid to faculty members in tenure-track or term positions holding the same rank and having comparable experience. This basis for compensation as defined by the President of the University should be consistently applied; however, in cases of special need for tutorial courses, compensation may be below the defined standard. The standard for a minimum course enrollment should be the same for course taught by tenure-track, term and part-time teachers. Part-time teachers who must commute more than 50 miles (one way to the campus) should receive a travel allowance according to a policy defined by the President of the University.
      3. Continuation of Employment.
        
        The University, by employing a part-time faculty member once or repeatedly, is not undertaking a commitment to provide future employment. Nevertheless, a part-time teacher who has satisfactorily performed prior contractual obligations, should receive special consideration when the University next seeks a part-time faculty member with that specialty; and such part-time teachers should be informed as early as possible about the probability of continued or repeated employment.
      4. Evaluation, Reappointment, Promotion.
        
        The department chair, program director or coordinator, or Associate Dean of the School of Music is responsible for annual evaluation of part-time faculty members. Student opinion surveys shall be administered every semester; copies of these surveys will be sent to the faculty member, the Vice President for Academic Affairs, and department chair, program director or coordinator, and the Associate Dean of the School of Music and the Dean of the School of Music (for positions in the School of Music) to be placed in the faculty member's departmental personnel file. Peer evaluations, professional activities, service to the University and participation in faculty development should also figure in the annual evaluation. In determining the impact of the evaluation, the Vice President for Academic Affairs (for positions in the College of Liberal Arts) or the Dean of the School of Music (for positions in the School of Music) will consult with the department chair, program director or coordinator, or Associate Dean of the School of Music concerned, but, in view of the limited term of part-time teachers and of the fact that they are ineligible for tenure, the decision of the Vice President for Academic Affairs (for positions in the College of Liberal Arts) or the Dean of the School of Music (for positions in the School of Music) about compensation, continued employment, and promotion is final.
      5. Rights and Privileges.
        
        With regard to faculty governance, the faculty will define rights and privileges of part-time faculty members. Part-time teachers may apply for funds for professional development, including faculty development and travel funds according to guidelines determined by the Faculty Development Committee and the administration. They are also entitled to participate in other faculty development programs and activities. They should be given the same initial instruction and continuing information concerning academic and community affairs as is given to faculty members in tenure-track and term positions. Each should have access to the university's instructional services, including office space, telephone, secretarial aid and library and information technology support.
  2. Full-time Faculty Positions
    1. Types
      1. Full-time Faculty Positions with Academic Rank. Those appointed to such positions are granted such titles as "Instructor," "Assistant Professor," "Associate Professor," or "Professor." Appointments made by the University to positions of this type are to departments or interdisciplinary programs which offer a major in the College of Liberal Arts or to the School of Music, although some duties or obligations may be specified in the letter of appointment as being within interdisciplinary programs or administrative areas. Ordinarily, the duties of someone appointed to this type of position include a full range of faculty responsibilities (teaching, service and scholarly and artistic work), though some duties may be replaced by administrative responsibilities at the discretion of the President. Normally, this status is granted only to those employed for at least one academic year. There are two subcategories of full-time faculty positions with academic rank: Tenure-track positions and term positions, as described below.
        
        The responsibilities of a full-time faculty member are many and varied within the inter-related categories of teaching, scholarly and artistic work, and service. These responsibilities are shared by all faculty members as defined in the Detailed Job Description, which is specific for each faculty member. The Detailed Job Description may be updated by the administration in collaboration and consultation with the Faculty Personnel Policy and Review Committee. The Appendix B may be changed only by mutual agreement of the faculty member and the University.
        
        Tenure-track Positions with Academic Rank
        
        Tenured positions. These positions are held without limit of time unless otherwise specified at the time of appointment. The time limit is subject to the provisions of Article VI in the Personnel Policies. These positions are subject to the provisions of the Personnel Policies Articles IB, IIA & D, III, IV, V, VI and VII. Persons holding these types of position are subject only to the parts of the Personnel Policies cited in this paragraph.
        
        Probationary tenure-track positions (also called probationary positions). Such positions are identified at the time of appointment by the University as those that may lead to tenure. Probationary tenure-track appointments are for the period of time specified in the faculty member's letter of appointment, and there is no guarantee of continued employment beyond the period specified. These positions are subject to the provisions of the Personnel Policies Articles IB, IIA, B & C, III, IV, V, VI and VII. Persons holding these types of position are subject only to the parts of the Personnel Policies cited in this paragraph.
        
        Term Positions with Academic Rank. Persons holding term appointments are not eligible for tenure. Recognizing the policies and principles of the AAUP regarding tenure, the University will not appoint a person to more than a total of six years in a term position, except that this limit shall not count years in which significant administrative duties make a person holding such a term position ineligible for tenure as specified in the letter of appointment. Term positions are for the period of time specified in the letter of appointment, and there is no guarantee of continued employment beyond that period. These positions are subject to the provisions of the Personnel Policies Articles IB, IIA & E, III, IV, V, VI and VII. Persons holding these types of position are subject only to the parts of the Personnel Policies cited in this paragraph.
      2. Full-time Term Positions with Nominal Rank. These positions carry titles of "with rank of Instructor," "with rank of Assistant Professor," "with rank of Associate Professor," or "with rank of Professor." These positions carry significant administrative duties and typically carry less than half of the normal instructional duties of full-time faculty members with academic rank. Persons holding term appointments are not eligible for tenure. The University makes such appointments for specified periods of time and there is no guarantee of continued employment beyond the periods specified. These appointments are made to a department, an interdisciplinary program that offers a major, the School of Music, or the library. These positions are subject to the provisions of the Personnel Policies Articles IB, IIA, IIE (except that Librarians shall be subject instead to Article IIF), III, IV, V, VI, and VII. Persons holding these types of position are subject only to the parts of the Personnel Policies cited in this paragraph.
    2. Policies And Guidelines for Full-Time Faculty Members
      1. Recruitment
        
        Departments, interdisciplinary programs, and the School of Music are the primary agencies in recruitment to fill tenure-track and term faculty positions (see Article IV.A.5.b. and c. in the Faculty By-Laws). For term positions with significant administrative responsibilities and for appointments with nominal rank the Vice President for Academic Affairs (for positions in the College of Liberal Arts) or the Dean of the School of Music (for positions in the School of Music) appoints search committees after consultation with the Faculty Personnel Policy and Review Committee. Such search committees will include representation from the relevant academic unit (department, school, program, or library).
      2. Notice of Terms
        
        Financial contracts are for one fiscal year only. In addition to this contract, a written statement of the precise terms of appointment shall be given to the appointee before the appointment is consummated.
      3. Time Limits and Renewal
        
        In the final year of the probationary period, the faculty member in a tenure-track position must be either granted tenure or given a one-year terminal contract.
        
        The conditions of possible renewal of term appointments shall be specified at the time of initial appointment.
      4. Probationary Period and Tenure
        
        Faculty members appointed to tenure-track positions are given a specified probationary period (six years or less as stated in the initial letter of appointment) and are normally considered for tenure in the final year of the probationary period. The initial letter of appointment shall specify the years of credit for prior experience elsewhere granted toward time to be served before review for tenure.
        
        A faculty member in a tenure-track position who is appointed for a seventh year is entitled to tenure unless the seventh-year contract specifies the appointment that year is a terminal appointment.
        
        The probationary period for a person appointed initially as associate professor shall normally be no longer than three years.
        
        Initial appointment at the rank of professor may carry tenure, but normally the appointment involves a probationary period of no longer than three years.
        
        If a faculty member in a term position at DePauw University is appointed to a tenure-track position, the years spent in the term appointment shall count in the probationary period unless the job descriptions are substantially different. At this time, a faculty member may negotiate for shortening the time in rank required for tenure and/or promotion based on prior service at other institutions.
        
        When the time served at DePauw is less than five years, prior service elsewhere may also be considered in the tenure review.
        
        In exceptional cases, and if a candidate has served at least five years in rank at DePauw or elsewhere, a recommendation for early tenure may be made at the time of the interim review.
      5. Qualifications for Rank and Promotion
        
        Appointments shall carry rank appropriate to the degree and experience of the appointee. The initial letter of appointment shall specify the years of credit for prior experience elsewhere granted toward time in rank for promotion.
        
        Faculty members in tenure-track and term appointments shall be eligible for consideration for initial rank and promotion according to the following schedule.
        
        Normally an instructor must have the M. A., M. S., or equivalent degree. Promotion to Assistant Professor will take effect immediately upon completion of requirements of the doctorate or the appropriate terminal degree for the field or discipline.
        
        Normally, an assistant professor must have the Ph.D. or equivalent terminal degree. (See Appendix 2 in the Personnel Policies. Exceptions may be made for temporary appointments and when there are compensating factors.) When an assistant professor is reviewed for tenure, that review will also include a review for promotion according to the criteria in Section V; if tenure is granted without promotion, specific reasons for doing so must be made clear to all parties. When a tenured assistant professor is reviewed for promotion the criteria will be those of Section V. An assistant professor may not be reviewed for promotion prior to the tenure review. The review of an assistant professor for promotion should consider performance over all prior years of service at DePauw regardless of rank, and, if the faculty member has served fewer than five years at DePauw, evidence of immediately prior years of immediately prior service at other institutions also may be included at the discretion of the candidate so that the span of time considered in the performance review is at least five years.
        
        Normally, an associate professor must have the Ph.D. or equivalent degree. (See Appendix 2 in the Personnel Policies. Exceptions may be made when there are compensating factors.) To be considered for timely promotion to Professor, an Associate Professor must have completed seven years in rank at DePauw unless this time is shortened by the initial letter of appointment. In cases of exceptional performance promotion may be granted earlier. When the time in rank at DePauw is less than seven years, prior service elsewhere may also be considered in the promotion review.
        
        Normally, a professor must have the Ph.D. or equivalent degree. (See Appendix 2 in the Personnel Policies. Exceptions may be made when there are compensating factors.) There is no promotion beyond the rank of professor.
        
        For promotion of persons with term appointments with administrative responsibilities the time sequence may differ from this schedule owing to differences in continuity and extent of service and in patterns of career development. Consideration of these persons for promotion shall be conducted in a manner similar to that for faculty members in tenure-track and term appointments, except that bodies or persons other than the department personnel committee and the Faculty Personnel Policy and Review Committee shall evaluate the administrative performance of the faculty member.
      6. Teaching duties
        
        The normal teaching duties of a full time member of the DePauw faculty within the College of Liberal Arts shall be equivalent to twelve contact hours per week each semester (18 hours for applied faculty within the School of Music) and the whole range of attendant duties involved in teaching (preparation, evaluation, and reflection) necessary to support these hours. Within the College of Liberal Arts, individual departments, interdisciplinary programs and schools are responsible for determining, with the approval of the Vice President for Academic Affairs (for the College of Liberal Arts) and the approval of the Dean of the School of Music (for the School of Music), what counts as a normal teaching load under this general guideline. Faculty members also must teach periodically in the Extended Studies program. (See Article XXXII of the General Policies.)
2. Periodic Evaluation
  
  (Article written and approved by the faculty)
  1. Annual Consultation
    
    For purposes of self-study, the department chair, program director or Associate Dean of the School of Music shall confer annually with individual members of the school or department about their role in, and expectations for, the school's or department's mission in the University. With tenure-track faculty members between interim review and tenure decision, this consultation provides opportunity to review progress toward tenure.
  2. Peer Observation of Faculty Members in Probationary Tenure-Track Positions
    
    (See Article VII. of the General Policies.)
    
    In the first year, peer observations are voluntary. If done, observations shall be initiated and arranged by the probationary faculty member. After visiting a class or classes, the observing faculty member should arrange a meeting with the first-year faculty member to provide feedback. Any written materials provided to the first-year faculty member based on these class observations shall be under the sole control of the first-year faculty member.
    
    Peer observations are required after the first year of the probationary period. Required course observations shall be conducted by tenure-track faculty members who are appointed by the department chair in consultation with the DPC. Observers shall be from the probationary faculty member's department; in exceptional cases, as deemed appropriate by the chair, faculty members from outside the department may be chosen for this purpose. No single faculty member shall do a majority of the observations. At least half of the observations shall be done by tenured faculty. The timing of classroom observations shall be arranged by the department chair in consultation with the faculty member being observed. The courses observed should reflect the range and type of courses* normally taught by the observed faculty member. Each observation should cover an entire session of the class. Following the observation of each course, the observing faculty member shall provide both written and oral feedback in a timely fashion to the observed faculty member. The observer will also provide a copy of the written feedback to the chair and the Vice President for Academic Affairs to be placed in the observed faculty member's personnel file and in the decision file for interim and tenure reviews.
    
    In the second year, two courses shall be observed in each semester.
    
    In the third, fourth, and fifth years of the probationary period, a total of four courses (at least one course each year) taught by the probationary faculty member shall be observed.
    
    Probationary faculty can always request additional observations. Departments wishing to conduct more classroom observations than the required number shall do so only with the written consent of the probationary faculty member.
    
    If the probationary period is three years or fewer, peer observations will be required in the first year and will follow the process outlined for the second year.
    
    * In the sciences, labs may count for one of the course observations
    
    (Revised and effective November 3, 2003)
  3. Evaluation of Faculty Members in Probationary Tenure-Track Positions
    1. Following the end of each academic year of a faculty member's probationary period, he or she shall submit to the department chair, program director or Associate Dean of the School of Music, a written annual report providing a self-reflective evaluation of his or her performance for that year relative to the criteria for tenure. A written response to the faculty member shall be made by the chair, director or Associate Dean of the School of Music following the consultation and written report.
    2. At the end of each semester of the probationary period, faculty members shall arrange to have student opinion surveys conducted in each course, according to procedures approved by the Faculty Personnel Policy and Review Committee and the administration. These surveys will be kept with the personnel file used by the Faculty Personnel Policy and Review Committee and the Vice President for Academic Affairs and the Dean of the School of Music (for positions in the School of Music). Copies will be sent to the faculty member, the chair, director, the Associate Dean of the School of Music (for positions in the School of Music), the Vice President for Academic Affairs, and the Dean of the School of Music (for positions in the School of Music).
    3. Requests for special leaves; reassigned time for research, service, and innovative teaching programs; and grants for research projects, equipment, and continuing education are reviewed by designated faculty committees and approved by appropriate university officers if they lead toward professional development of the faculty member and further the goals of the University.
    4. Interim evaluation. At the mid-point of the probationary period, an interim evaluation shall be made according to the following schedule.
      
      Probationary Period......Interim Review
      6 years..........3^rd year
      5 years..........3^rd year
      4 years..........2^nd year
      3 years.........At the faculty member's option unless requested by the chair, program director, or the Associate Dean of the School of Music, the Faculty Personnel Policy and Review Committee, the Vice President for Academic Affairs, or the Dean of the School of Music (for positions in the School of Music).
    5. Tenure evaluation. In the final year of the probationary period, the tenure evaluation and decision are made, according to stated procedures and criteria.
  4. Evaluation of Faculty Members in Tenured Positions
    1. (In mandating merit awards, the Board of Trustees at its 1994 October meeting authorized the administration to change or supersede this paragraph. For current administration policy on evaluation see the special notice distributed by the Vice President for Academic Affairs.) Every third semester, the tenured faculty member shall arrange to have student opinion surveys conducted in each course, according to procedures approved by the Faculty Personnel Policy and Review Committee and the administration. These surveys shall be returned to the faculty member for his or her own personal development and improvement.
    2. Promotion evaluations (for associate professor and professor ranks) shall be carried out for candidates nominated for promotion to associate and full professor, using the stated guidelines, procedures, and criteria for promotion. (See below.)
    3. Requests for sabbatical and special leaves; released time for research, service, and innovative teaching programs; and grants for research projects, equipment, and continuing education are reviewed by designated faculty committees and approved by appropriate university officers if they lead to toward professional development of the faculty member and further the goals of the University.
  5. Evaluation of Faculty Members in Full-Time Term Appointments
    
    Such faculty shall be evaluated according to similar requirements for periodic evaluation as faculty members in tenure-track positions. Those having completed two years of service and being considered for reappointment to another term shall be evaluated in a manner similar to the interim review of faculty members in probationary tenure-track positions. (See II.C.4 above.)
    
    Those term positions that combine both instructional and administrative responsibilities shall be evaluated as follows:
    1. In their capacity as instructors or classroom teachers, these faculty shall be evaluated in a manner similar to the interim review of faculty members in tenure-track positions.
    2. In their administrative capacities, these faculty shall be evaluated by their superiors in accordance with their job descriptions.
    3. Requests for special leaves; reassigned time for research, service, and innovative teaching programs; and grants for research projects, equipment, and continuing education are reviewed by designated faculty committees and approved by appropriate university officers if they lead toward professional development of the faculty member and further the goals of the University.
  6. Evaluation of Librarians Serving in Renewable Term Faculty Positions
    
    Effective with the 2014-15 Academic Year, librarians shall be evaluated as follows:
    
    -   3rd Year Term Review
    
    -   7th Year Term and Promotion to "with rank of Associate Professor" review
    
    -   After completing seven years in "with rank of Associate Professor," a librarian is eligible for timely promotion review to "with rank of Professor"
    
    -   After promotion to "with rank of Professor," librarians are no longer subject to a formal review
    
    The Vice President for Academic Affairs appoints a review committee consisting of the Dean of Libraries, all full-time professional librarians (excluding the candidate under review and those in their first year of service), and two faculty members from outside the library. The librarian develops a file for review in the same way as do full-time faculty members. The committee submits a report and recommendation to the President through the Faculty Personnel Policy and Review Committee and the Vice President for Academic Affairs. The Dean of Libraries and associate director are reviewed in this manner to evaluate their work as librarians; the Vice President for Academic Affairs separately reviews their administrative performance.
    
    If a librarian has taught a credit-bearing course, the annual report shall include reflection about the teaching of that course which will be reviewed by the Vice President for Academic Affairs in consultation with the Faculty Personnel Policy and Review Committee if necessary.
3. Guidelines for Term, Interim, Tenure and Promotion Reviews
  
  (Article mutually agreed to by the administration and faculty)
  1. Reviews shall serve the programs and purposes of the University as well as the particular missions of the various departments and schools within it.
  2. Criteria, particularly in regard to tenure, shall be regarded as long-term standards, and changes in the criteria may be made only after full discussion, agreement between the Faculty and the President, and ample time for adjustments.
  3. Membership exclusion based on Conflict of Interest as covered by the policy established by the Faculty Personnel Policy and Review Committee and the Administration and published in Appendix 3 in the Personnel Policies of the Academic Handbook apply. A faculty member may not serve on the Faculty Personnel Policy and Review Committee or the Grievance Committee for cases involving a member of their department or school.
  4. Each review shall be considered first by the Personnel Committee of the department, program or school (membership of the Personnel Committee is described in Article IV.A.5a of the By-Laws) and second by the Faculty Personnel Policy and Review Committee and Vice President for Academic Affairs and the Dean of the School of Music (for positions in the School of Music) (procedures for Personnel Committees and the Faculty Personnel Policy and Review Committee are defined in Article IV.C. and Article IV.D. respectively). Final decisions for term, interim and tenure appointments and for promotions rest with the President.
  5. All term, interim, tenure and promotion recommendations and decisions shall be based entirely and exclusively upon material in the candidate's decision file (as defined in Article IV.B.) with respect to the criteria stated in Article V. Criteria for Decisions on Faculty Status and only those additional criteria clearly stated in the job description and the initial letter of appointment or established later by mutual consent.
  6. The reliability and credibility of those submitting information to a decision file shall be tested or capable of being tested in a procedure which preserves the maximum possible openness of evidence consistent with the need to maintain the confidentiality of the deliberative process. In the interest of protecting this confidentiality, each member of a Personnel Committee and the Faculty Personnel Policy and Review Committee shall agree, by virtue of his or her service, to honor the confidentiality of the process and not to breach the obligation of confidentiality absent a legal obligation to do so.
    1. Each individual or committee placing a document in the decision file must be identified in order for that document to be considered.
    2. Each individual submitting a letter to the decision file must sign the letter.
    3. Personnel Committees and the Faculty Personnel Policy and Review Committee may redact the names of interviewees from the record placed in the decision file (but not from the Personnel Committee or Faculty Personnel Policy and Review Committee minutes). Such interviews must be recorded via an audio or video recording device in a manner specified by the Faculty Personnel Policy and Review Committee. The committee conducting the interview will place the evidence or a summary of the evidence in the decision file and forward the recording of the interview to the Coordinator for the Faculty Personnel Policy and Review Committee for storage until the case is resolved.
  7. The candidate shall have opportunity, prior to the recommendation of the committees considering the evidence, to respond in person and in writing to all testimony and evidence present in the decision file. If a candidate submits a written request for an interview with the Personnel Committee or the Faculty Personnel Policy and Review Committee by the published deadline to respond to the testimony and evidence, that committee must honor the request prior to making its recommendation.
  8. Candidates have the right to appeal recommendations of the Faculty Personnel Policy and Review Committee as defined in Article VIII.
4. Procedures for Term, Interim, Tenure, and Promotion Reviews
  1. Preliminary Steps
    1. By no later than the third week of April the Vice President for Academic Affairs will notify the chair of the Faculty Personnel Policy and Review Committee of all candidates scheduled for term, interim and tenure reviews during the following academic year. In addition, for tenure reviews the Vice President for Academic Affairs will indicate whether the candidate is eligible for timely promotion as defined in Article I.B.2.e.
    2. In August the chair of the Faculty Personnel Policy and Review Committee will call for nominations for promotion to be considered during the upcoming academic year. Any faculty member may nominate a colleague for promotion; self-nominations also are acceptable.
    3. The chair of the Faculty Personnel Policy and Review Committee, the Vice President for Academic Affairs, and the Dean of the School of Music (for candidates from the School of Music) shall meet with candidates preparing decision files to explain the process, to provide a schedule of deadlines and to answer questions. This meeting must occur no later than 20 in-session days before the close of the decision file, according to the schedule of deadlines provided to the candidate (see Article VIII.J.1. for an explanation of in-session days).
    4. Candidates for tenure may petition the Faculty Personnel Policy and Review Committee for a change in deadlines no later than the last day of the semester proceeding the semester in which the review is originally scheduled. Exceptions may be made to the deadlines for such requests only in extraordinary circumstances.
    5. The chair of the Faculty Personnel Policy and Review Committee shall make known to the University community the names of persons being considered for term, interim and tenure reviews and those who have accepted nomination for promotion and request that those with relevant information submit letters to the decision files.
  2. Preparation of Decision File
    
    A decision file is constructed for each personnel case according to the stated procedures of the Faculty Personnel Policy and Review Committee. These procedures shall be distributed to candidates and chairs of departmental or school Personnel Committees, in accordance with scheduled deadlines provided by the Chair of the Faculty Personnel Policy and Review Committee and the Vice President for Academic Affairs as explained in A.3 above. With the exception of materials generated during investigative mode (as defined in C.3 and D.3 below), materials submitted to the decision file after the established deadlines are placed in a buffer file which is not available to the Personnel Committee. The candidate will be afforded an opportunity to view all materials added to the buffer file and provide a response to them in a reasonable period of time. The following persons or committees may submit materials to the decision file subject to the published deadlines:
    1. The Vice President for Academic Affairs may transfer to the decision file materials from the candidate's personnel file deemed by the Vice President for Academic Affairs (in consultation with the Dean of the School of Music for candidates from the School of Music) to be relevant to the review as stipulated in Article III.E. The Vice President for Academic Affairs shall include in the decision file the following required materials for the review of faculty members not holding tenure as specified in Article II: the faculty member's annual reports, the responses made to those reports by the department chair, program director or Associate Dean of the School of Music; peer observations, and student opinion forms, and all documents written for funded competitive, sabbatical, and pre-tenure leave awards. Award materials placed in the file will include the proposal, the report, and the response from the Faculty Development Committee. The Vice President for Academic Affairs shall include in the decision file the following required materials for the review of faculty members for promotion not linked to a tenure review: the student opinion forms from the last eighteen full credit courses (or equivalent), or all courses taught during the review period, if fewer than eighteen, and all documents written for funded competitive, sabbatical, and pre-tenure leave awards. Award materials placed in the file will include the proposal, the report, and the response from the Faculty Development Committee. Notification of the placement of these funded awards in the candidate review files will be stated on the Faculty Development application form.
    2. Individuals with knowledge of the candidate's performance in the areas under review may submit to the decision file information about and evaluation of the candidate's performance. Faculty members who so desire may also request, in writing to the Chair of the Personnel Committee, an interview with the departmental or school Personnel Committee. The Personnel Committee will notify the Chair of the Faculty Personnel Policy and Review Committee of the request and conduct the interview as described in Article III.F. The departmental or school Personnel Committee may solicit other relevant information to be included in the decision file from the following:
      1. a representative sample of students who have direct knowledge of the candidate's teaching effectiveness,
      2. colleagues in the University whom Personnel Committee members consider qualified to judge the candidate's teaching effectiveness, professional competence, or service, and
      3. persons outside the University whom Personnel Committee members consider qualified to judge an appropriate aspect of the decision file. The Personnel Committee must notify the candidate that it intends to seek letters from persons outside the University. The committee must limit its solicitation to external evaluators agreeable to both the candidate and the committee.
    3. The candidate should provide documentation to be placed in the decision file according to the criteria stipulated in Article III.E.
    4. The Faculty Personnel Policy and Review Committee or the Personnel Committee in investigative mode may add material to the decision file.
    5. The Personnel Committee's report shall be sent to the Faculty Personnel Policy and Review Committee, the Vice President for Academic Affairs, and the Dean of the School of Music (for positions in the School of Music). After approval, the report will be released to the candidate.
  3. Personnel Committee Procedure
    
    The Personnel Committee shall follow a standard procedure approved by the Faculty Personnel Policy and Review Committee, the administration, and the faculty. It shall include the following steps.
    1. All members of the Personnel Committee shall read the entire decision file before reaching a recommendation and preparing a report.
    2. The Personnel Committee shall meet as a group and discuss the evidence in the decision file prior to arriving at its recommendation.
    3. If the Personnel Committee finds that it cannot reach a recommendation based on the contents of the decision file it may request to enter investigative mode. Such requests must be addressed to the chair of the Faculty Personnel Policy and Review Committee and must state the specific information needed to reach a recommendation, the anticipated source(s) of that information and why the Personnel Committee believes investigative mode is appropriate to obtain that information. The chair of the Faculty Personnel Policy and Review Committee will determine if the request is appropriate within the context of the review and make a decision as to whether to authorize such an investigation. The Personnel Committee may appeal the chair's decision to the Faculty Personnel Policy and Review Committee, whose decision will then be final. If an investigative mode is approved, following procedures and a schedule provided by the chair of the Faculty Personnel Policy and Review Committee the Personnel Committee will
      1. suspend its evaluation of the decision file,
      2. gather the requested information and place the evidence or a summary of the evidence in the decision file,
      3. allow the candidate to respond to the material added to the decision file, and
      4. recommence its evaluation of the decision file.
    4. In preparing its report the Personnel Committee shall detail its procedures, including actions taken to place evidence in the decision file prior to its closure and any investigations completed during investigative mode. In addition, the Personnel Committee will:
      1. In the case of a term review, make an assessment about the evidenced strengths and concerns with regard to the candidate's job performance, clearly stating areas of desirable or necessary improvements and a recommendation regarding an extension of the term, subject to the needs of the department or school.
      2. In the case of an interim review, make an assessment about the evidenced strengths and concerns of the candidate, clearly stating areas of desirable or necessary improvement.
      3. In the case of tenure or promotion, make a recommendation, stating clearly the evidence and the reasons for the recommendation.
      4. The Personnel Committee may make a recommendation for early tenure or promotion even though the candidate has not been nominated in accordance with the procedure given in Article IV.A.2.
        
        A consensus recommendation is strongly encouraged. However, if after prolonged discussion the Personnel Committee is unable to reach consensus, then the members will write and sign two or more separate reports, each stating the reason(s) for their recommendation. All members of the Personnel Committee shall have access to all reports, which together comprise the Personnel Committee's report.
    5. The Personnel Committee's report shall be sent to the Faculty Personnel Policy and Review Committee and the Vice President for Academic Affairs, and the Dean of the School of Music (for positions in the School of Music). After approval, the report will be released to the candidate.
  4. Faculty Personnel Policy and Review Committee Procedure
    
    The Faculty Personnel Policy and Review Committee shall meet with the Vice President for Academic Affairs and the Dean of the School of Music (for positions in the School of Music), and make a recommendation to the President for each candidate reviewed. In reaching its recommendation the Faculty Personnel Policy and Review Committee shall follow a standard procedure that includes the following steps.
    1. The Faculty Personnel Policy and Review Committee will interview any faculty member who has requested such an interview in a signed writing to the Chair of the Faculty Personnel Policy and Review Committee according to the established schedule. The committee will complete the interview as described in Article III.F.3 and provide the candidate with a summary of the interview and an opportunity to respond.
    2. All members of the Faculty Personnel Policy and Review Committee will read the report from the Personnel Committee and any response from the candidate. All members of the Faculty Personnel Policy and Review Committee will read at least the core decision file before making recommendations. File guidelines established by the Faculty Personnel Policy and Review Committee clarify the core decision file includes everything except the scholarly and artistic work appendix.
    3. If the Faculty Personnel Policy and Review Committee finds that it cannot make a recommendation it may proceed into investigative mode during which it can request information from the Vice President for Academic Affairs, conduct interviews with any member of the university community whom the Faculty Personnel Policy and Review Committee believes to have relevant information, request an evaluation by a person outside the university who is qualified to judge an appropriate aspect of the decision file (such individuals must be acceptable to both the candidate and the Faculty Personnel Policy and Review Committee) or collect additional documentation from the candidate, other individuals or University offices. The Faculty Personnel Policy and Review Committee will place the additional evidence or summary of the evidence into the decision file and provide the candidate with an opportunity to respond before resuming deliberations.
    4. The Faculty Personnel Policy and Review Committee and the Vice President for Academic Affairs and the Dean of the School of Music (for positions in the School of Music) will present their tentative conclusions to each other and discuss their respective reasons with openness to any opposing points of view.
    5. If the PC report is unanimous and positive, and if the evidence in the core decision file is sufficient for the Faculty Personnel Policy and Review Committee to reach a positive recommendation, Faculty Personnel Policy and Review Committee may proceed to examine the buffer file (see Article IV.D.6. below) and finalize the recommendation. However, if even a minority of the Faculty Personnel Policy and Review Committee reaches a negative conclusion based on the scholarly and artistic work section of the core file or if the PC report is not unanimously positive based on the scholarly and artistic work section of the core file, all members of the Faculty Personnel Policy and Review Committee must return to the decision file and read the appendices before Faculty Personnel Policy and Review Committee examines the buffer file (see Article IV.D.6. below) and finalizes the Faculty Personnel Policy and Review Committee recommendation.
    6. Before reaching a final recommendation, the Faculty Personnel Policy and Review Committee will examine the contents of the buffer file. Materials deemed relevant to the case will be transferred to the decision file.
    7. In preparing its report the following options are available to the Faculty Personnel Policy and Review Committee.
      1. If the report of the Personnel Committee is judged inadequate, the Personnel Committee may be asked to reconsider and resubmit its report, at which time deliberation and decision recommence.
      2. If the consensus recommendation from a Personnel Committee is judged valid, the Faculty Personnel Policy and Review Committee shall prepare a report endorsing the Personnel Committee's recommendation.
      3. If the report from a Personnel Committee contains two or more separate recommendations, the Faculty Personnel Policy and Review Committee shall determine which recommendation is valid (if either) and prepare a report endorsing that recommendation.
      4. If the Faculty Personnel Policy and Review Committee does not concur with the Personnel Committee's recommendation(s) it shall state its reasons and cite evidence in the decision file to support its own recommendation.
      5. The Faculty Personnel Policy and Review Committee may make a recommendation for early tenure or promotion even though the candidate has not been nominated in accordance with the procedures described in Article IV.A.2.
    8. The chair of the Faculty Personnel Policy and Review Committee shall communicate the action of the Faculty Personnel Policy and Review Committee to the President, who may meet with the Faculty Personnel Policy and Review Committee for further clarification.
    9. If the President is considering a decision against the recommendation of the Faculty Personnel Policy and Review Committee, he or she shall communicate this fact and the underlying reasons to the Faculty Personnel Policy and Review Committee. The Faculty Personnel Policy and Review Committee shall respond to the President regarding the President's tentative decision and reasoning.
    10. The President shall inform the candidate of the decision and reasoning in writing and share with the candidate the Faculty Personnel Policy and Review Committee's recommendation.
5. Criteria for Decisions on Faculty Status
  
  (Article mutually agreed to by administration and faculty. Amended April 5, 2021. This change will take effect on July 1, 2021).
  
  Decisions should express judgments about a candidate's merit using the principles of equity, which considers each individual faculty member in terms of his or her unique talents, abilities, and accomplishments in relation to the criteria for personnel decisions, and quality. A large amount of activity per se does not necessarily contribute to a superior academic environment. Criteria for possible dismissal (Article VI.B. below) are also applicable to decisions on faculty status.
  - Term review. Required: Strong teaching during the period under review, promise of accomplishment in the scholarly and artistic work category, and adequate service. Candidates who have not yet completed the terminal degree must show clear progress toward completion of the terminal degree for a satisfactory review as noted in Appendix 2 of the Personnel Policies.
  - Interim review. Required: Strong teaching during the probationary period, promise of accomplishment in the scholarly and artistic work category, and adequate service. Candidates who have not yet completed the terminal degree must show clear progress toward completion of the terminal degree for a satisfactory review as noted in Appendix 2 of the Personnel Policies.
  - Tenure decision. Required: Strong teaching, including teaching in the school or department in which tenure will be granted; demonstrable achievement or unquestioned promise of accomplishment in the scholarly and artistic work category; and adequate contributions in service.
  - Promotion to associate or full professor. Required: continued strong teaching; significant achievement or contribution in either scholarly and artistic work or service and at least adequate performance in the other category.
  1. Teaching
    Strong teaching is essential for a positive personnel decision. Candidates are required to provide broad-based and representative evidence of strong teaching.
    
    Candidates are required to show evidence in all of the following:
    1. Professional Competence
      Completion of a terminal degree in the field (see Appendix 2 Terminal Degrees). Continued professional mastery of content, critical scholarship, and methodologies of teaching in areas of responsibility. Demonstrated awareness and engagement with trends and practices in pedagogy that promote a diverse and inclusive classroom climate appropriate for teaching in areas of responsibility. (Note: This requirement described in the previous sentence will take effect in the fall of 2017 for those faculty members hired to begin teaching in the 2017-18 academic year; for current faculty members and those hired during the 2015-16 academic year, it will take effect after their next satisfactory promotion review). Evidence may include: professional activities to stay current in the field combined with evidence of use of such current materials in courses; attendance at meetings or workshops on content or teaching methodologies, combined with evidence of use of that material and experience.
    2. Content and rigor
      1. Content: evidence to be drawn from course goals, syllabi, examinations and assignments, course materials, such as handouts, primary and secondary textual sources, textbooks and other course materials. Such evidence can also include meetings/workshops attended relative to the content of the courses taught. The evidence should demonstrate that courses meet standards appropriate to the level of the course.
      2. Rigor: evidence to be drawn from quizzes, tests, examinations, paper assignments, marked and graded material, distribution of grades as submitted to department chairs by the Office of Institutional Research, etc.. The evidence should demonstrate that the course requirements are sufficiently challenging for the level of the course.
    3. Teaching methods
      
      Evidence to be drawn from teaching philosophy, course goals, syllabi, examinations and assignments, other course materials, etc.; evidence should demonstrate that teaching methods are appropriate, given the contexts of the discipline, topic, and specific characteristics of a given class. Such evidence can also include meetings/ workshops attended related to teaching methods.
    4. Effectiveness
      
      Evidence to be drawn from student opinion surveys, peer observations, annual reports, etc.; evidence should demonstrate that the candidate has been successful in implementing her or his teaching methods, has treated students with professional fairness and integrity, and has established relations with students that are conducive to the learning process.
  2. Scholarly and Artistic Work
    Scholarly and Artistic Work shall be given full consideration in personnel decisions. In scholarship we recognize all categories identified by the Carnegie Foundation for the Advancement of Teaching: the scholarship of discovery, the scholarship of integration, the scholarship of application, and the scholarship of teaching. [Boyer, Ernest L. 1990. Scholarship Reconsidered: Priorities of the Professoriate, Chapter 2. Princeton, NJ: The Carnegie Foundation for the Advancement of Teaching.]
    
    Candidates are required to show:
    1. Continued development as a scholar or artist in one's broadly defined field(s) or discipline(s). The evidence might include participation in learned societies, professional organizations, and attendance at conferences, as well as supporting documents in area b and similar activities.
    2. Between the following areas (b (1) and b (2)), more activity in one category may compensate for less in another, but not to the exclusion of activity in either category.
      1. Intellectual liveliness outside the university.
        
        Scholarly outreach. Evidence might include publications, presentations at conferences, public performances and exhibits outside of DePauw, writing grant proposals for external funding, scholarship related to teaching and other activities of a similar nature.
        
        ii. Professional contributions. Evidence might include organizing conferences or competitions, reviewing manuscripts and grant proposals, giving master classes outside of DePauw, and scholarly work for publication houses, institutes, and governmental agencies, etc. Evidence related to professional service should not be included in this area (See 3.C. below.)
      2. Intellectual liveliness within the university community. Evidence might include workshops, participation at university, school, or departmental forums, panel discussions and presentations, on-campus recitals.
  3. Service
    
    Part-time faculty positions and faculty positions with special responsibilities (e.g., pre-doctoral scholars, post-doctoral scholars) have service obligations as defined in the appointment letter. The faculty service obligation is fulfilled through service that is not afforded extra compensation by stipend or reassigned time. Effective July 1, 2020 the service expectations for all other faculty members are those described here. Any review of service after this date uses these criteria; any review of service prior to this date uses the criteria listed below.
    
    Adequate service to both the department (or school) and the university is necessary for positive personnel decisions. In establishing a record that goes beyond adequate service the candidate is free to provide further evidence of service to the department (or school), university or profession. The three areas of service to be considered are Departmental (School), University, and Professional. More activity in Professional service can compensate for less activity in categories Departmental (School) and University, but not to the exclusion of departmental and university service.
    1. Departmental Service.
      
      All members of a department or program, during semesters in which they teach, must engage in the following service contributions: attend departmental meetings, work on curricular development, participate in advising, engage in course observations and other mentoring of junior colleagues, represent the department as needed, manage commercial cards and budget processes as needed, and serve on personnel committees and search committees following membership rules specified in Article IV. A. 5 in the By-Laws and Standing Rules of the Faculty section of the Academic Handbook. The following service contributions are to be distributed among departmental or program members in accordance with a distribution agreed upon by the department or program: subcommittee work, admissions liaisons, programming, mentor associated student organizations, mentor individual or informal groups of students, instrument or equipment maintenance, student testing or juries at all levels, student awards, advising on or supervising internships, advising independent research projects, and any other projects that further the community and academic experience of the department.
    2. University Service.
      
      Service within the University is distributed across faculty committees and other engagements that advance curricular and co-curricular experiences for students. Faculty without a leave in a given academic year are expected to fulfill University service obligations. Faculty members engaging in the following activities will fulfill their University service through one of these activities: Faculty Personnel Policy and Review Committee, Curricular Policy and Planning Committee, Faculty Priorities and Governance Committee, University Strategic Planning Committee, Student Academic Life Committee, Faculty Development Committee, Institutional Review Board (IRB), and other single committee work that the Review Committee assesses to fulfill University service, and substantive leadership work that addresses institutional racism and supports anti-racist practices at DePauw (i.e. mentoring student groups, advising faculty committees and administration, supporting faculty colleagues in developing and refining anti-racist pedagogy, and/or work with historically marginalized communities on campus, etc.). Faculty members not serving in one of those roles will instead fulfill their University service through any combination of two or more of the following activities: all other faculty committees, interdisciplinary program committees, Q, W, S competency committees, Honors and Fellows program steering committees and mentoring of student work in these programs, any ad hoc committee, participation in community outreach programs affiliated with the university; and similar activities that show a commitment to the good of the university.
    3. Professional Service.
      
      Beyond scholarly activities directly related to participation in learned societies, a candidate could fulfill their professional service by participation in professional societies, journals, institutes, governmental agencies, and the like. This might include organizing conference sessions, being a juror at competitions, visiting schools for accreditation reviews, holding office in professional societies or foundations, and similar service activities which are related to the individual's fields as either a scholar or teacher.
    For time preceding July 1, 2020, the following standards should be used in the evaluation of service:
    1. Departmental Service
      
      Evidence might include effective participation in departmental governance, including committee assignments; effective advising of majors and minors; participation in curriculum and course development; resource acquisition, laboratory supervision, maintenance of office and lab equipment or musical instruments; and similar activities.
    2. University Service
      
      Evidence might include effective participation in university governance, including committee assignments; effective advising of first year students and/or student organizations related to academic life; effective work in developing interdisciplinary or general education programs; administrative assignments and appointments; participation in community outreach programs affiliated with the university; and similar activities that show a commitment to the good of the university.
    3. Professional Service
      
      Beyond scholarly activities directly related to participation in learned societies, a candidate could supply evidence of service to professional societies, journals, institutes, governmental agencies, and the like. Evidence might include chairing conference sessions, being a juror at competitions, visiting schools for accreditation reviews, holding office in professional societies or foundations, and similar service activities which are related to the individual's fields as either a scholar or teacher.
  4. Librarians serving as renewable term faculty
    Librarians serving as renewable term faculty are evaluated in areas of teaching, scholarly and artistic work, and service, with the following difference: in the evaluation of teaching, the evaluation has a primary focus on library effectiveness. Therefore, professional competence in teaching is defined parallel to Article V.1.
    
    Professional Competence: Completion of a terminal degree in the field (see Appendix 2 Terminal Degrees). Continued professional mastery of content, critical scholarship, and methodologies of librarianship in areas of responsibility. Demonstrated awareness and engagement with trends and practices in librarianship that promote a diverse and inclusive climate appropriate for areas of responsibility. Evidence may include: professional activities to stay current in the field combined with evidence of use of such current materials in practice; attendance at meetings or workshops on content or methodologies, combined with evidence of use of that material and experience.
    
    Librarians may also show evidence related to teaching (Article V.1.), but they must show evidence in at least two of the following areas of library effectiveness:
    1. reference services for the university community;
    2. development of library collections and information resources;
    3. provision of bibliographic organization and control over library collections;
    4. instruction in the use of information resources and services including workshops, library and information instruction sessions, and research consultations ;
    5. creation of instructional materials and tools on the use of information resources and services including catalogs, bibliographies, and indexes.
6. Standards and Procedures for Termination: Release, Dismissal and Non-reappointment
  
  (Article mutually agreed to by the faculty and administration. Updated October 2004)
  
  The President may not terminate or otherwise punish a faculty member for exercising his or her academic freedom or for exercising freedoms such as speech, assembly, and association as they would apply in the federal constitutional context. Terminations should represent deliberate exercise of professional judgments in the particular institutional circumstances. Such terminations fall into three categories: Release, dismissal, and non-reappointment before the end of a specified period of employment, as detailed below.
  1. Release
    
    This termination is based on factors outside the control of the faculty member who is released, and occurs prior to the end of a faculty member's appointment. The action takes effect at the end of the semester during which the release occurs.
    1. Bases for Release:
      1. Release of a tenured or tenure-track faculty member must be based on either: (1) bona fide financial exigency as defined below or (2) discontinuance of program, school, or department by administrative initiative.
      2. Release of any other faculty member from faculty responsibilities must be based on one or more of the following reasons: (1) substantial change in the institution's academic program requiring a change in the job description under which the faculty member was hired; (2) bona fide budgetary constraints requiring elimination of the faculty member's position; or (3) discontinuance of program, school, or department.
    2. Procedure for release of a tenured or tenure-track faculty member and/or termination of academic departments or programs for reason of bona fide financial exigency:
      1. a) Termination of an appointment with tenure, or of a probationary or other nontenured appointments before the end of the specified term, may occur under extraordinary circumstances because of a demonstrably bona fide financial exigency, i.e., a severe financial crisis that fundamentally compromises the academic integrity of the institution as a whole and that cannot be alleviated by less drastic means. Under such circumstances, the DePauw Board of Trustees shall make a formal declaration that:
        
        After reasonable alternatives have been exhausted, the University as a whole faces an imminent and continuing financial crisis due to a lack of adequate and sustainable revenue and/or funds of such magnitude that
        
        it is or will be impossible to maintain current programs or activities at a level to fulfill the university’s educational programs and goals, and therefore
        
        it is necessary for the fiscal stability of the university to not reappoint some tenured and/or other fulltime, continuing, tenure-track or term faculty members.
      This formal declaration of financial exigency by the Board of Trustees, along with clear articulation of the financial crisis as noted above, including a list of short-term cost control measures already employed, shall be shared with the Faculty Priorities and Governance Committee by the Vice President for Academic Affairs. The Faculty Priorities and Governance Committee will be provided with an opportunity to review the process leading to the declaration of financial exigency and to offer feedback and advice on the declaration and the circumstances by which it was created.
    3. Following this consultation, if the Board elects to proceed, the formal declaration of financial exigency shall then be conveyed by the President to the Chair of the Faculty and announced to the faculty at a regular or called meeting.
      
      After this formal declaration of financial exigency is presented to the faculty at a regularly scheduled meeting, the Faculty Priorities and Governance Committee, with the advice from the Curricular Policy and Planning Committee and the Resource Allocation Subcommittee shall then be given 30 in-session days from the faculty meeting announcement, or 30 in-session days after the resumption of classes in the fall for announcements made at the May faculty meeting, to undertake and report on a study to determine whether in its view:
      1. a state of financial exigency exists and
      2. it is necessary to terminate positions as a way of coping with it.
      To aid in this process, within 5 in-session days of the formal declaration above, Faculty Priorities and Governance committee shall be given access to at least five years of audited financial statements, the current year budget, and detailed financial projections for future years.
      
      In order to make informed recom¬mendations about the financial impact of program closures, Faculty Priorities and Governance Committee will have access to detailed program, department, and administrative-unit budgets. In addition, the committee will consult with financial experts as is necessary at no cost to the university and applying appropriate standards of confidentiality for the review of financial documents.
      
      If the Faculty Priorities and Governance Committee determines its position is that a state of financial exigency does not exist, that it is not necessary to terminate positions as a way of coping with it, or both, it shall prepare a report stating the reasons for its finding. That report shall be shared by in-session day 30 with the Vice President for Academic Affairs, the President, and the faculty, and will petition the President and the Board of Trustees not to proceed with reductions. The President will consider and address the details of this report and reply in writing to the Faculty Priorities and Governance Committee which will then share the response with the faculty. Under these circumstances, if the Board and the President elect to continue with a declaration of financial exigency, the Faculty Priorities and Governance Committee’s participation in this process ceases and the committee will share this decision and the reasoning behind it with the faculty. The Board of Trustees and the President will then proceed as they deem appropriate.
      
      If the Faculty Priorities and Governance Committee determines that a state of financial exigency does exist and that it is necessary to terminate faculty positions as a way of coping with it, it shall prepare a report by in-session day 30 stating the reasons for its finding as well as a proposal for the manner in which it should impact the faculty ranks. That report shall be shared with the Vice President for Academic Affairs, the President, and the faculty.
      
      If the Faculty Priorities and Governance Committee determines that a state of financial exigency does exist and that it is necessary to terminate positions as a way of coping with it, and the Board and the President elect to continue with a declaration of financial exigency, the following shall be the review procedures for reduction of individual faculty member or members, an interdisciplinary program or programs, school, or department or departments.
    4. In considering the reduction of any faculty member or members, departments, or interdisciplinary programs for reasons of financial exigency, the primary concern shall be the University’s commitment to a sound liberal arts curriculum with appropriate intellectual variety. Important, though unranked, considerations include the desirability of preserving sound major, interdisciplinary, honors, and fellows programs, general education programs, the diversity of the faculty of the University, the desirability of preserving a variety of courses that address diversity and inclusion, long term trends in department enrollments, and the value of faculty members with tenured or tenure-track status.
      1. In the case of a determination of financial exigency by the Board of Trustees, the President shall charge the VPAA with making a recommendation about which interdisciplinary program or programs, school, or department or departments are to be reduced in size or eliminated and which faculty positions within a relevant department or interdisciplinary program are to be eliminated or reassigned. The recommendations of the VPAA are made to the President, the Faculty Priorities and Governance Committee, and the Resource Allocation Subcommittee.
      2. The President, with the advice of the Faculty Priorities and Governance Committee, shall then charge the Resource Allocation Subcommittee with vetting the recommendations of the VPAA. If any party involved identifies a conflict of interest for a committee member/s, that declaration will be assessed by the Vice President for Academic Affairs. If a conflict of interest is determined, that member or members of the Resource Allocation Subcommittee may be replaced by faculty members with no conflict of interest chosen by the same process used to select the original committee members. Any member of the Resource Allocation Subcommittee who is not tenured will be replaced by a former member of Resource Allocation Subcommittee who is tenured, chosen by the same process used to select the original committee members.
      3. The Resource Allocation Subcommittee may proceed as it determines, but it must begin its deliberation in the following way: First, the committee will hear the report from the VPAA presenting a detailed proposal for reductions, including supporting arguments. After the VPAA has presented this proposal, impacted faculty member or members, departments, or interdisciplinary programs shall have 30 in-session days to analyze data and prepare arguments. After this 30 in-session day period, Resource Allocation Subcommittee shall have 15 in-session days to hear and report on arguments from impacted faculty member or members, the interdisciplinary program(s), school(s), and/or department(s) potentially affected. The Resource Allocation Subcommittee may make recommendations of reductions other than those proposed by the VPAA, but only on the basis of full and proper hearing of those potentially affected by such recommendations following the addition of time to analyze and prepare arguments noted above. The Resource Allocation Subcommittee may consult as widely within the faculty and administration as it sees fit. The Resource Allocation Subcommittee shall make its recommendations with full consideration of the general criteria for reduction listed in VI.A.2.c). above.
      4. During the 15-day deliberation period stated in VI.A.2.c).(3), the Resource Allocation Subcommittee shall discuss its recommendation with the VPAA and deliberations shall continue following guidelines in VI.A.2.c).(3), above, until either the Resource Allocation Subcommittee and the VPAA jointly support a final recommendation or the two parties reach impasse. If the two parties jointly support final recommendations, these recommendations are made to the President, the Faculty Priorities and Governance Committee, and are formally made known to the entire faculty and faculty support of the process continues as outlined below. In the case where the VPAA cannot support the recommendations of the Resource Allocation Subcommittee, faculty support of the process ceases and the recommendations of the VPAA are made to the President, the Faculty Priorities and Governance Committee, and are formally made known to the entire faculty.
      5. When the Resource Allocation Subcommittee and/or the VPAA has made its recommendations, potentially affected interdisciplinary programs, schools, or departments, or impacted faculty members will then be allowed 15 in-session days to prepare and appeal these recommendations to the President and VPAA. The President and VPAA may proceed in hearing these appeals as they see fit, but they must hear appeals from the potentially affected interdisciplinary programs, schools, or departments which elect to prepare an appeal.
      6. When and if the President then names particular interdisciplinary programs, schools, or departments to be reduced in size or particular position(s) eliminated within a relevant department or interdisciplinary program, the Personnel Policy and Review Committee will be charged with vetting the President’s proposal of reductions and the process by which the recommendations were made. If any party involved declares a conflict of interest for a committee member/s, that declaration will be assessed by the Vice President for Academic Affairs. If a conflict of interest is determined, that member or members of Personnel Policy and Review Committee shall be replaced by faculty members with no conflict of interest chosen by the same process used to select the original committee members.
      7. The Personnel Policy and Review Committee may proceed as it determines but must begin its deliberations in the following way: First, the committee will hear the recommendations from the President, including supporting arguments. After hearing this report, the impacted faculty member or members, interdisciplinary program, school, or department under review for reduction or elimination is charged with the responsibility of making a defense of their place in the University, including supporting argument, and will be given 15 in-session days to prepare this defense, after which Personnel Policy and Review Committee will be given 15 in-session days to hear, deliberate, and report on that defense. If the Faculty Personnel Policy and Review finds that it cannot make a decision to support or challenge the recommendations of the President, it may gather information and consult as widely within the faculty and administration as it sees fit.
      8. During the 15-day deliberation period stated in VI.A.2.c).(7), the Faculty Personnel Policy and Review Committee shall discuss its conclusions with the President and deliberations shall continue following guidelines in VI.A.2.c).(7), above, until either the Faculty Personnel Policy and Review Committee and the President jointly support a final recommendation or the two parties reach impasse. If the two parties jointly support final recommendations, these recommendations are made known to the interdisciplinary program, school, or department and any potentially affected faculty member(s). In the case where the President cannot support the conclusions of the Faculty Personnel Policy and Review committee, faculty support of the process ceases and the recommendations of the President are made known to the interdisciplinary program, school, or department and any potentially affected faculty member(s).
      9. At this point, potentially affected faculty members may make an appeal to the VPAA and President according to the procedures outlined in Article VIII.G. of the personnel policies. At this point, too, the relevant interdisciplinary program, school, or department may make an appeal to the VPAA and President. The President and the VPAA may proceed in hearing the appeals as they see fit, but they must hear the potentially affected individuals, departments or programs which elect to prepare an appeal.
      10. Qualifications and limits to the reductions of positions are as follows:
        
        No position with a current occupant will be terminated before the termination of all unfilled positions in the same department or interdisciplinary program.
        
        No appointment without limit will be terminated before the termination of all limited appointments in the same interdisciplinary program, school, or department, unless special circumstances for an academic area are presented by the interdisciplinary program, school, or department that override this qualification.
        
        In each instance of termination of a position involving a particular faculty member, the faculty member whose position is terminated will be offered an employment appointment for one year beyond the letter or appointment of that member in force at the time the President informs such member, in writing, of the decision to terminate the position.
        
        The University is enjoined from reestablishing a position that is identical or nearly identical to a position that it has eliminated for a period of no less than five years after the end of the academic year in which the position was terminated. This proviso seeks to prevent the University from using the elimination of positions as a form of punishment either of a department or interdisciplinary program or of an individual.
        
        Similarly, except in cases of material impact to the integrity of the curriculum, the University is enjoined from adding new faculty or administrative positions at the same time that it is cutting others in the name of financial exigency.
        
        Before terminating any appointment because of financial exigency, the institution, with faculty participation, will make serious efforts to place the faculty member concerned in another suitable position within the institution. If placement in another position would be facilitated by a reasonable period of training, financial and other support for this training will be proffered. The University will consider requests for financial assistance and references in job searches.
        
        Immediately upon termination of an appointment because of financial exigency, the University will officially notify the relevant national learned societies of that fact.
      11. Following any instance in which this policy is implemented, in consultation with the President, Curricular Policy and Planning Committee, and Faculty Personnel Policy and Review Committee, the Faculty Priorities and Governance Committee will consider this implementation and will propose revisions to this policy if necessary. The President and VPAA will respond to these suggestions after consulting with the Board as appropriate.
    5. Procedure for the termination of an academic program, school, or department by administrative initiative independent of financial exigency.
      1. In the case of a declaration of intent by the Board of Trustees to eliminate a/an interdisciplinary program or programs, school, or department or departments, the President shall share this plan with the Faculty Priorities and Governance Committee. The Faculty Priorities and Governance Committee, in consultation with the Curricular Policy and Planning Committee and the Resource Allocation Subcommittee, will receive 30 in-session days to vet this declaration and the circumstances underlying its creation.
      2. Following this vetting process, if the President and the Board elect to proceed, the formal declaration of this plan shall then be conveyed by the President to the Chair of the Faculty and announced to the faculty at a regularly scheduled meeting. The following shall be the review procedures for reduction of an interdisciplinary program or programs, school, or department or departments.
      3. In considering the reduction of an academic program, school, or department for reasons of long-term University planning, the primary concern shall be the University’s commitment to a sound liberal arts curriculum with appropriate intellectual variety. Important, though unranked, considerations include the desirability of preserving sound major, interdisciplinary, honors, and fellows programs, the diversity of the faculty of the University, the desirability of preserving a variety of courses that address diversity and inclusion, the need to offer a compelling general education program, long term trends in department enrollments, and the value of faculty members with tenured or tenure-track status.
        
        Subsequent to the announcement at a regularly scheduled meeting of the faculty, any and all affected academic program(s), school(s), and/or department(s) shall then be given 30 in-session days from the faculty meeting announcement, or 30 in-session days after the resumption of classes in the fall for announcements made at the May faculty meeting, to analyze data and prepare arguments and share those arguments with the President and the Faculty Priorities and Governance Committee.
        
        Following this 30 in-session day period, within 15 in-session days the President is to convene at least two meetings: one in combined session with Faculty Priorities and Governance Committee and Curricular Policy and Planning Committee in which the President presents a detailed proposal for specific reductions, including supporting arguments, and receives feedback from the faculty; and at least one other meeting to hear from the interdisciplinary program(s), school(s), department(s) potentially affected. The President shall compose recommendations with full consideration of the general criteria for reduction listed in VI.3.c) above.
        
        If the President elects to continue with formal recommendations for reductions, potentially affected interdisciplinary programs, schools, or departments will be given 15 in-session days to prepare and then appeal these recommendations to the President and Vice President for Academic Affairs. The President and Vice President for Academic Affairs may proceed in hearing these appeals as they see fit, but they must hear from the potentially affected interdisciplinary programs, schools, or departments which elect to prepare an appeal.
        
        If the President elects to continue to call for reductions, the Personnel Policy and Review Committee will be charged with vetting the President’s proposal of reductions and the process by which the recommendations were made. If any party involved declares a conflict of interest for a committee member/s, that declaration will be assessed by the Vice President for Academic Affairs. If a conflict of interest is determined, that member or members of Personnel Policy and Review Committee shall be replaced by faculty members with no conflict of interest chosen by the same process used to select the original committee members.
        
        The Personnel Policy and Review Committee may proceed as it determines but must begin its deliberations in the following way: First, the committee will hear the recommendations from the President, including supporting arguments. After hearing this report, the impacted faculty member or members, interdisciplinary program, school, or department under review for reduction or elimination is charged with the responsibility of making a defense of their place in the University, including supporting argument, and will be given 15 in-session days to prepare this defense, after which Personnel Policy and Review Committee will be given 15 in-session days to hear, deliberate, and report on that defense. If the Faculty Personnel Policy and Review finds that it cannot make a decision to support or challenge the recommendations of the President, it may gather information and consult as widely within the faculty and administration as it sees fit and consult with other relevant institutions, specifically with members of the affected disciplines from other institutions.
        
        During the 15-day deliberation period stated in VI.3.e).(3) the Faculty Personnel Policy and Review Committee shall discuss its conclusions with the President and deliberations shall continue following guidelines in VI.3.e).(3), above, until either the Faculty Personnel Policy and Review Committee and the President jointly support a final recommendation or the two parties reach impasse. If the two parties jointly support final recommendations, these recommendations are made known to the interdisciplinary program, school, or department and any potentially affected faculty member(s). In the case where the President cannot support the conclusions of the Faculty Personnel Policy and Review committee, faculty support of the process ceases and the recommendations of the President are made known to the interdisciplinary program, school, or department and any potentially affected faculty member(s). The President will then proceed as the President deems appropriate.
        
        If the two parties jointly support final recommendations, the matter is to be brought before the faculty, which is, following its ordinary procedures, to debate the issue at one or more regularly scheduled meetings, and to vote upon it at the subsequent regularly scheduled meeting. A majority of 2/3 of those voting is required for a positive recommendation for terminating a department or interdisciplinary program.
        
        At this point, potentially affected faculty members may make an appeal to the VPAA and President according to the procedures outlined in Article VIII.G of the personnel policies. At this point, too, the relevant interdisciplinary program, school, or department may make an appeal to the VPAA and President. The President and the VPAA may proceed in hearing the appeals as they see fit, but they must hear the potentially affected departments and programs which elect to prepare an appeal.
        
        Qualifications and limits to the reduction of an academic program, school, or department are as follows:
        
        In each instance of termination of a position involving a particular faculty member, the faculty member whose position is terminated will be offered an employment appointment for one year beyond the letter of appointment of that member in force at the time the President informs such member, in writing, of the decision to terminate the position.
        
        The University is enjoined from reestablishing an academic program, school, or department that is identical or nearly identical to an academic program, school, or department that it has eliminated, for a period of five years after the end of the academic year in which the position was terminated. This proviso seeks to prevent the University from using the elimination of positions as a form of punishment either of a department or interdisciplinary program or of an individual.
        
        Similarly, except in cases of material impact to the integrity of the curriculum, or without extensive consultation with Curricular Policy and Planning Committee and clear strategic reasons for adding new academic programs or administrative leadership, the University is enjoined from adding new faculty members or administrators outside of the faculty governance structure at the same time that it is cutting others.
        
        The University is enjoined from adding new programs, schools, or majors outside of the faculty governance process at the same time that it is cutting others, except in instances where faculty members from eliminated programs, schools, or majors can be transferred to new or existing programs, schools, or majors.
        
        Before terminating an appointment, the institution, with faculty participation, will make serious efforts to place the faculty member concerned in another suitable position within the institution. If placement in another position would be facilitated by a reasonable period of training, financial and other support for this training will be proffered. The University will consider requests for financial assistance in job searches.
        
        Immediately upon termination of an academic program, school, or department by administrative initiative, the University will officially notify the relevant national learned societies of that fact.
        
        Following any instance in which this policy is implemented, in consultation with the President, Curricular Policy and Planning Committee, and Faculty Personnel Policy and Review Committee, the Faculty Priorities and Governance Committee will consider this implementation and recommend revisions to the policy if necessary. The President and VPAA will respond to these suggestions after consulting with the Board as appropriate.
  2. Dismissal
    
    The President may dismiss any faculty member prior to the stated end of the faculty member’s appointment for one or more of the reasons stated below. A dismissal may take effect either during a semester or at the end of a semester as determined by the President.
    1. Bases for Dismissal: Dismissal must be based on one or more of the following:
      1. dishonesty in teaching or research;
      2. substantial and clear neglect of duty including violation of stated University policies;
      3. personal conduct which substantially impairs the individual's fulfillment of institutional responsibilities;
      4. conviction of a felony or of a serious misdemeanor of a type that reflects adversely on the University or on the faculty member's ability to perform the responsibilities of his or her University position;
      5. performance which falls distinctly below the standards which the University may justly expect in terms of the criteria for personnel decisions on tenure and promotion (Article V. in the Personnel Policies); or
      6. inability to perform the duties of the appointment due to sustained or recurrent incapacity without expectation of timely resumption of duties.
    2. Procedure for Dismissal
      
      A recommendation to the President for dismissal may arise as part of the personnel review process outlined in Article IV in the Personnel Policies. Alternatively, a recommendation to the President for dismissal may result from a complaint registered with or by the Vice President for Academic Affairs following procedures outlined in Article VI. D. below.
  3. Non-reappointment
    
    Non-reappointment before the end of a term appointment or before the end of the probationary period of a tenure-track position. The President may decide not to re-appoint a faculty member prior to the stated end of a faculty member's term of employment for one or more of the reasons stated below. The action will take effect no sooner than at the end of the semester in which the non-reappointment decision occurs.
    1. Bases for Non-reappointment
      
      Non-reappointment before the end of a specified period of employment must be based upon one or more of the following: (a) failure to meet conditions set forth in the letter of appointment (for example, failure to attain a terminal degree by a specified date); (b) unsatisfactory performance; or (c) any of the bases for dismissal stated in sections B.1.a.-B.1.d. (not serious enough to warrant immediate dismissal).
    2. Procedure for Non-reappointment
      
      A recommendation to the President for non-reappointment may arise as part of the personnel review process outlined in Article IV in the Personnel Policies. Alternatively, a recommendation to the President for non-reappointment may result from a complaint registered with or by the Vice President for Academic Affairs following procedures outlined in Article VI. D. below.
  4. Procedures for Dismissal or Non-reappointment Based on Complaints
    1. All complaints that are sufficiently serious to warrant the possibility of dismissal or non-reappointment are to be directed to the Vice President for Academic Affairs who will conduct a preliminary investigation, including consultation with the faculty member who is the subject of the complaint. The Vice President for Academic Affairs will reach a conclusion as to whether the complaint is without merit, warrants only minor sanction, or justifies further investigation.
    2. If the Vice President for Academic Affairs decides that further investigation is warranted, the Vice President for Academic Affairs will inform the Faculty Personnel Policy and Review Committee which will conduct a hearing according to its established procedures (see Appendix 1 in the Personnel Policies) and provide its recommendation to the President.
    3. The President may dismiss a faculty member or not reappoint a faculty member before the end of the specified period of employment after receiving the recommendation made by the Faculty Personnel Policy and Review Committee after it completes its hearing process. If the Faculty Personnel Policy and Review Committee should fail to provide its advice to the President in accordance with the schedule established in its hearing procedures following a request by the Vice President for Academic Affairs for it to hold a hearing, the President may notify the Faculty Personnel Policy and Review Committee in writing of the President's intention to act without its advice. The President may then proceed to act without the advice of the Faculty Personnel Policy and Review Committee if the Committee's recommendation is not received within five (5) in-session days (as defined in Article VIII.J.1.) of the date the President sends notification of intent to act to the Committee.
    4. All decisions about release of information about the decision shall rest with the President.
      
      Faculty members who have been released, dismissed, or not re-appointed have an opportunity for reconsideration or review in accordance with the Faculty Grievance Procedure described in Article VIII in the Personnel Policies.
      
      The President may suspend a faculty member effective immediately, with pay, pending conclusion of hearing proceedings described in these Personnel Policies.
      
      In the event of release, dismissal, or non-reappointment before the end of a stated term, salary in addition to that earned as of the date of notice of the action shall be paid according to the following schedule, notwithstanding the effective date of the release, dismissal, or non-reappointment:
      1. Faculty members in their first academic year of service shall receive three months' salary from the date of notice of the release, dismissal, or non-reappointment unless notice of action that is to be effective at the end of the academic year is given by March 1, in which case the faculty member shall receive salary through the end of the academic year.
      2. Faculty members in their second year of academic service shall receive six months' salary from the date of notice of the release, dismissal, or non-reappointment unless notice of action that is to be effective at the end of the academic year is given by the prior December 15, in which case the faculty member shall receive salary through the end of the academic year.
      3. Faculty members who have more than two years of academic service shall receive 12 months’ salary from the date of notice of the release, dismissal, or non-reappointment.
7. Reconsideration and Review in Release, Dismissal, and Non-Reappointment Cases
  
  (Article mutually agreed to by administration and faculty)
  
  Even with the best standards and procedures, faculty who have been released, dismissed, or not reappointed may believe that they have been improperly judged or unfairly treated and may wish a reconsideration or review of the case. Such faculty shall have such an opportunity, and the reconsideration or review shall be in accordance with the faculty grievance procedure.
8. Faculty Grievance Process
  
  (Article written and approved by the faculty. Revised February, 2005)
  
  Note: Full descriptions of the following areas are available as follows:
  - Section H: Grievance Committee Membership and Selection
  - Section I: Conflicts of Interest
  - Section J: Committee and Panel Operating Rules
  - Section K: Grievance Procedure Interpretation
  1. Overview of the Faculty Grievance Process
    
    The Faculty Grievance Process provides eligible faculty members an opportunity for review of recommendations of the Faculty Personnel Policy and Review Committee regarding their employment with the University, or of other personnel decisions such as changes in job status or responsibilities that directly relate to their employment with the University. The Grievance Committee operates through three-member Mediation Panels and five-member Appeals Panels, on which its members serve. Mediation Panels attempt to facilitate mutually agreeable resolutions of matters brought before them. Appeals Panels review the recommendations and offer their resolution to the President if the mediation is not successful.
  2. Persons Covered by the Faculty Grievance Process
    1. Full-Time Faculty Members. This Article applies to all full-time faculty members (i.e., those holding positions described in Article I.B.1. in the Personnel Policies.)
    2. Part-Time Faculty Members. This Article applies to part-time faculty members (i.e., those holding positions described in Article I.A.1. in the Personnel Policies) only with regard to grievances concerning release or dismissal from faculty responsibilities. Any other type of complaint by a part-time faculty member must be taken up directly with the Vice President for Academic Affairs whose decision is final.
  3. Petition for Faculty Personnel Policy and Review Committee Review of Actions That Were Not Previously the Subject of a Faculty Personnel Policy and Review Committee Recommendation
    
    A faculty member may request Faculty Personnel Policy and Review Committee review of a certain personnel action that was not previously the subject of a Faculty Personnel Policy and Review Committee recommendation under the following procedure.
    1. Types of Actions Subject to Review
      1. Full-Time Faculty. Full-time faculty members as defined in VIII.B.1 above may request review of personnel decisions that directly relate to that faculty member's employment with the University that were not the subject of a Faculty Personnel Policy and Review Committee recommendation, such as changes in job status and responsibilities.
      2. Part-Time Faculty. Part-Time Faculty members as defined in VIII.B.2 above may request Faculty Personnel Policy and Review Committee review only of decisions releasing or dismissing them from faculty responsibilities.
    2. Procedure for Requesting Faculty Personnel Policy and Review Committee Review
      1. Written Request. A petition requesting Faculty Personnel Policy and Review Committee review must be in writing and include a specific description of the decision the Petitioner is asking the Faculty Personnel Policy and Review Committee to review, along with copies of all other documents the Petitioner wishes the Faculty Personnel Policy and Review Committee to consider regarding the subject of the grievance.
      2. Deadline for Request. The request for Faculty Personnel Policy and Review Committee review must be submitted within 30 in-session days after the Petitioner is advised of the decision that is the subject of the Petitioner's request. (See Calculation of Time, Article VIII.J.1. in the Personnel Policies.)
    3. Faculty Personnel Policy and Review Committee Discretion to Grant or Deny Review. The Faculty Personnel Policy and Review Committee has discretion to grant or deny review in response to requests made under VIII.C.2. If the Faculty Personnel Policy and Review Committee denies review, the Petitioner's opportunity for review under this Article is concluded.
    4. Faculty Personnel Policy and Review Committee Response and Review
      1. Deadline for Response. The Faculty Personnel Policy and Review Committee has five days from the receipt of the Petitioner's request to respond to the Petitioner in writing, stating whether or not it will grant review.
      2. Deadline for Review. If the Faculty Personnel Policy and Review Committee decides to grant review, it then has 10 days from the date of its decision to grant review to issue a written recommendation.
  4. Petition for Faculty Personnel Policy and Review Committee Review of a Faculty Personnel Policy and Review Committee Recommendation
    
    A Petitioner may request review of a Faculty Personnel Policy and Review Committee recommendation, including a recommendation issued under VIII. C.4 above, under the following procedure.
    1. Consultation with Department Chair or Dean and Vice President for Academic Affairs. The Petitioner is encouraged, although not required, to consult with his or her Department Chair or Dean and the Vice President for Academic Affairs regarding the challenged recommendation before requesting Faculty Personnel Policy and Review Committee review.
    2. Deadline for Petition. The Petitioner must submit to Faculty Personnel Policy and Review Committee a written petition for review of its recommendation within 10 in-session days of being informed in writing of the recommendation.
    3. Subjects of Mandatory and Discretionary Review. Upon timely written request, the Faculty Personnel Policy and Review Committee must review recommendations regarding tenure or reappointment. Normally, in cases involving promotion, the Faculty Personnel Policy and Review Committee will not review recommendations unless there has been a prolonged denial of promotion. The Faculty Personnel Policy and Review Committee has discretion to deny review of other types of recommendations.
    4. Deadlines for Faculty Personnel Policy and Review Committee Response.
      1. Denial of Review. If the Faculty Personnel Policy and Review Committee exercises its discretion to deny review, it must advise the Petitioner in writing of the denial within five days of receiving the request for review. The Petitioner may then request review by the Grievance Committee. (See section E. below.)
      2. Review. If review is mandatory based on the type of recommendation involved, or if the Faculty Personnel Policy and Review Committee grants review, it must respond in writing to the petitioner within 10 days of receiving the petition.
        
        Reissuance of Original Recommendation. If the original Faculty Personnel Policy and Review Committee recommendation stands, the Faculty Personnel Policy and Review Committee response must give the reason(s) for the original recommendation.
        
        Revision of Original Recommendation. If the Faculty Personnel Policy and Review Committee 's original recommendation is revised, the Faculty Personnel Policy and Review Committee response must give the reason(s) for the revised recommendation and the procedure followed in arriving at the original and revised recommendations. If the Petitioner decides not to petition the Grievance Committee, the revised recommendation will then be forwarded to the President.
        
        No Successive Requests for Faculty Personnel Policy and Review Committee Review. If the Petitioner disagrees with a revised Faculty Personnel Policy and Review Committee recommendation, he or she may not again petition the Faculty Personnel Policy and Review Committee for review, but may proceed with appeal through the Grievance Committee as described in section E. below.
  5. Petition to Grievance Committee
    1. Deadline for Petition. The Petitioner has three days after receiving notice of the Faculty Personnel Policy and Review Committee’s response per section D.4. above to submit to the Chair of the Faculty a written request to be shared with the Grievance Committee for review on an as needed basis only.
    2. Content of Petition. The Petitioner's request for Grievance Committee review must include a description of the subject matter of the grievance and the reasons for requesting review, along with an explicit waiver allowing disclosure to the Grievance Committee of the Faculty Personnel Policy and Review Committee 's grounds for recommendation.
    3. Grievance Committee Response and Deadline. The Chair of the Faculty will convene the Grievance Committee members and alternates within four days of receiving the petition for Grievance Committee review. The Grievance Committee will select by random lot from its membership a three-member Mediation Panel and a five-member Appeals Panel. Once the Mediation Panel members are selected, the Appeals Panel members are excused from the proceeding and will have no further involvement if the matter is resolved through mediation.
  6. Mediation Panel Process
    1. Submission of Statement Requesting Review to Panel. The Chair of the Faculty will provide the petitioner's statement requesting Grievance Committee review to the Mediation Panel at the time of the panel's selection.
    2. Meeting of Panel with Petitioner. The Mediation Panel will meet with the Petitioner within three days of the panel's selection and will decide at that meeting whether mediation efforts appear worthwhile.
      1. Submission of Documents by Petitioner. At this initial meeting of the Mediation Panel with the Petitioner, the Petitioner will provide the panel chair either three paper copies (or an electronic copy to be shared with members of the Mediation Panel) of all documents the Petitioner wishes to submit in support of his or her written statement describing the subject matter of the grievance.
      2. Notification of Cessation of Mediation Efforts. If the Mediation Panel determines at this time, or at any later point in its proceedings, that mediation efforts (or further efforts) are unlikely to be worthwhile, the chair of the Mediation Panel will report in writing that conclusion within two days to the Petitioner, to the chair of the Faculty Personnel Policy and Review Committee, and to the chair of the Appeals Panel. The chair of the Mediation Panel will also return all materials received in connection with the proceeding to the person or persons from whom they were received.
    3. Collection of Information from the Faculty Personnel Policy and Review Committee. If the Mediation Panel decides to pursue mediation efforts it will, within one day of the initial meeting with the Petitioner, submit the Petitioner's statement describing the subject matter of the grievance to the Faculty Personnel Policy and Review Committee. The Faculty Personnel Policy and Review Committee will then, within three days of its next meeting provide the Mediation Panel with:
      1. A written response to the Petitioner's description of the subject matter of the grievance;
      2. A copy of the written statement of reasons for the original or revised recommendation that was previously given to the Petitioner, which would include the procedures followed and (if applicable) the revised recommendation (See VIII.D.4. above);
      3. Copies of all documents considered in its deliberations leading to the original or revised recommendation. With Mediation Panel approval, the Faculty Personnel Policy and Review Committee may first provide panel members access to these documents and ask the panel members to select documents they wish to have copied. The Faculty Personnel Policy and Review Committee shall redact identifying material from documents it deems highly confidential so that sources are not disclosed.
    4. Mediation Effort. After reviewing the materials described in VIII.F.1., 2.a. and 3. above, the Mediation Panel will try to resolve the matter through mutual agreement between the Petitioner and Faculty Personnel Policy and Review Committee. This agreement may, but need not, take the form of a compromise. The Mediation Panel will act as a facilitator in this process rather than as an advocate for either the Petitioner or the Faculty Personnel Policy and Review Committee.
      1. Mediation Panel Facilitation Meetings. As part of the facilitation process, the Mediation Panel may meet with the Petitioner and with the Faculty Personnel Policy and Review Committee or its designated representative together and/or separately. However, individual Mediation Panel members may not meet with individual Faculty Personnel Policy and Review Committee members regarding matters at issue in the proceeding unless both their respective bodies authorize them to do so.
      2. Attendance at Mediation Panel Proceedings. The only persons other than Mediation Panel members allowed to be in attendance during mediation efforts are the Petitioner, one or more designated Faculty Personnel Policy and Review Committee representatives, and the Petitioner's adviser per VIII.J.7. below. If the Faculty Personnel Policy and Review Committee participates via a single designated representative, that representative may also have an adviser present per VIII.J.7. below.
    5. Mediation Time Frame. The mediation time period should not exceed 10 days from the date the Mediation Panel received the documents described in VIII.F.3. above from the Faculty Personnel Policy and Review Committee. The mediation period may be extended by no more than five days by mutual agreement of the Petitioner and the Faculty Personnel Policy and Review Committee or its designated representative(s).
    6. Communication of Result. At the conclusion of its work and no later than the end of the time period described in VIII.F.5. above, the chair of the Mediation Panel will report in writing to the Petitioner, to the Faculty Personnel Policy and Review Committee chair, and to the Chair of the Faculty whether mediation has achieved resolution of the grievance. The Mediation Panel may, at its discretion, also provide its own statement defining the nature of the grievance as the panel members understand it.
  7. The Appeals Panel Process
    1. Request for Appeals Panel Review. To request Appeals Panel review, the Petitioner must, within three days of receiving the notification described in VIII.F.2.b. or 6. above that mediation efforts are concluded, submit the following materials to the Chair of the Faculty and to the chair of the Appeals Panel:
      1. A written request for Appeals Panel review;
      2. A copy of the statement, previously provided the Chair of the Faculty in VIII.E.2. above, detailing the description of the subject matter of the grievance and the reason for requesting review, or a copy of the Mediation Panel's statement defining the nature of the grievance (See VIII.F.6. above) along with a written endorsement of that statement which includes any qualifications or exceptions the Petitioner wishes to make.
    2. Submission of Documentation to Appeals Panel. Within an additional three days, the Petitioner must submit to the chair of the Appeals Panel either five paper copies or an electronic copy to be shared with members of the Appeals Panel all documents the Petitioner wishes to submit in support of his or her written statement describing the subject matter of the grievance.
    3. Notification to Faculty Personnel Policy and Review Committee and Submission of Documentation by Faculty Personnel Policy and Review Committee. Within two days of receipt of materials from the Petitioner described in VIII.G.2. above, the Appeals Panel chair will notify the Faculty Personnel Policy and Review Committee in writing of the request for Appeals Panel review. Within three days of receiving this notification, the Faculty Personnel Policy and Review Committee will send to the Appeals Panel the same documents described in VIII.F.3. that it previously sent to the Mediation Panel.
    4. Appeals Panel meeting with Petitioner on Nature of the Grievance. Within three days of receipt of the materials from the Petitioner described in VIII.G.2. above, the Appeals Panel will meet with the Petitioner to verify the Appeals Panel's understanding of the Petitioner's definition of the nature of the grievance. No arguments or evidence will be presented at the initial meeting of the Appeals Panel.
    5. Appeals Panel Meeting on Procedure. Within three days after the initial meeting with the Petitioner, Appeals Panel members will meet to discuss its procedures for review. The Petitioner and designated Faculty Personnel Policy and Review Committee representative may attend this meeting and may each bring an adviser as described in VIII.J.7. below. The Appeals Panel chair will describe the Appeals Panel's understanding of the grievance, and the Petitioner and Faculty Personnel Policy and Review Committee representative may respond. Again, no arguments or evidence will be presented at this meeting. The Appeals Panel will establish and describe the procedures it plans to follow in conducting its review and will set a date when it will begin the review.
    6. Appeals Panel Review Meeting. No less than five or more than 10 days after the procedural meeting described in VIII.G.5. above, the Appeals Panel will meet to allow the Petitioner and Faculty Personnel Policy and Review Committee representative to present additional information. Copies of any documents to be submitted at this meeting by or on behalf of the Petitioner must be provided to the Faculty Personnel Policy and Review Committee representative at least four days prior to the hearing, and, similarly, copies of documents to be submitted on behalf of the Faculty Personnel Policy and Review Committee must be provided to the Petitioner at least four days prior to the hearing.
      1. Earlier Meeting by Mutual Agreement. This meeting may be held earlier than five days after the procedural meeting described in VIII.G.5. above by mutual agreement of the Petitioner and the Faculty Personnel Policy and Review Committee representative that also includes an agreed-upon time frame for providing copies of documents to be submitted at the meeting.
      2. Consequence of Failure to Provide Documents in Advance. If a document is presented at the meeting that was not provided in advance in accordance with the above requirement, the person (Petitioner or Faculty Personnel Policy and Review Committee representative) who did not receive the document within the required time frame may have a three-day recess for purpose of preparing a response.
    7. Report of Appeals Panel Recommendation. Within three days after holding its review meeting (including, if necessary, continuance of that meeting following a recess as described in VIII.G.6.b. above), the Appeals Panel will report its recommendation in writing to the Petitioner, to the Faculty Personnel Policy and Review Committee, to the Vice President for Academic Affairs, and to the President. The report shall be accompanied by a statement of reasons for the recommendation.
      1. Correctable Procedural Error. If the Appeals Panel concludes that the Faculty Personnel Policy and Review Committee made a correctable procedural error, it shall direct the Faculty Personnel Policy and Review Committee in writing to correct the error and resume the recommendation process from the point of error, according to a time table set in consultation with Faculty Personnel Policy and Review Committee. This does not necessarily mean modification or reversal of the original recommendation.
        
        The Faculty Personnel Policy and Review Committee will report its reconsidered recommendation to the Appeals Panel and the Petitioner, along with a statement of reasons.
        
        Within three days of receiving the Faculty Personnel Policy and Review Committee’s report according to VIII.G.7.a.i. above, the Appeals Panel will state in writing to the Petitioner, the Faculty Personnel Policy and Review Committee, the Vice President for Academic Affairs, and the President its opinion as to whether or not the Faculty Personnel Policy and Review Committee's reconsidered recommendation appropriately resolves the matter. The President will then make a final decision.
      2. Other Forms of Error. If the Appeals Panel concludes that the Faculty Personnel Policy and Review Committee has made an error other than a correctable procedural error, it shall report its conclusion to the Faculty Personnel Policy and Review Committee, to the Petitioner, to the Vice President for Academic Affairs, and to the President along with its recommendation to the President for retaining, modifying, or reversing the original recommendation. The President will then make a final decision. Such a conclusion of the Appeals Panel might be based on any of the following:
        
        Bias or prejudice;
        
        Lack of availability of important documents or testimony;
        
        A recommendation deemed inappropriate in light of the evidence; or
        
        Violation of academic freedom. Cases involving academic freedom will be reviewed in accordance with the process described in Article VIII, applying principles of the American Association of University Professors as found in the “Recommended Institutional Regulations on Academic Freedom and Tenure (1999 revision)” and other AAUPP Policy Statements on Academic Freedom and Tenure.
    8. Appeals Panel Review Procedures.
      1. Scope of the Inquiry. During its review, as provided for in VIII.G.1.-7. above, the Appeals Panel will restrict its inquiry to the following questions:
        
        Did the Faculty Personnel Policy and Review Committee consider all important evidence in arriving at its recommendation? If not, would consideration of all such evidence have justified a different recommendation?
        
        Did the Faculty Personnel Policy and Review Committee consider any improper evidence in arriving at its recommendation? If such evidence had been disregarded, is it likely that a different recommendation would have been made?
        
        Was the Faculty Personnel Policy and Review Committee’s recommendation or the process followed in arriving at that recommendation so inappropriate in any other respect that the Faculty Personnel Policy and Review Committee should revisit that recommendation?
      2. Burden of Proof. The Petitioner will bear the burden of proof. As used herein, “burden of proof” means the responsibility for affirmatively proving, by a preponderance of evidence, disputed facts that bear on the recommendation under review.
      3. Closed Proceedings. The Appeals Panel proceeding attendance shall be limited to Appeals Panel members; the Petitioner; the Petitioner's adviser (if any, per VIII.J.7. below); an observer of the petitioner's choice selected from the general faculty; the designated Faculty Personnel Policy and Review Committee representative; the Faculty Personnel Policy and Review Committee representative's adviser (if any, per VIII.J.7. below); and an observer of the Faculty Personnel Policy and Review Committee representative's choice selected from the general faculty. A witness giving testimony, other than the petitioner or the Faculty Personnel Policy and Review Committee representative, will attend the proceedings only when giving that testimony or responding to questioning.
      4. Presentation of Testimony. The Petitioner and Faculty Personnel Policy and Review Committee representative will have an opportunity to present oral testimony bearing on the case as defined, either personally or through witnesses, and to question any person presenting testimony.
      5. Confidentiality of Sources. No person testifying before the Appeals Panel will be required to disclose confidential sources. However, panel members may take into account the fact that an anonymous source is not available for questioning in arriving at their conclusions.
      6. Panel Member Testimony; Faculty Personnel Policy and Review Committee Spokesperson. No member of the Mediation Panel will testify, and no member of the Faculty Personnel Policy and Review Committee except its designated representative shall speak for the entire Faculty Personnel Policy and Review Committee.
      7. Rules of Evidence and Basis for Conclusions. The Appeals Panel will not be bound by legal rules of evidence, but its findings will be based solely on information obtained as part of the review process.
      8. Record of Proceedings. A written or taped record shall be kept of Appeal Panel review proceedings, to which both the Petitioner and Faculty Personnel Policy and Review Committee representative will have reasonable access. The chair of the Appeals Panel will keep two copies of this record under his or her control until final disposition of the case. After the Appeal Panel's recommendation to the President (See VIII.G.7.), both copies of the record of the proceedings and one copy of all documents received by the Appeals Panel as part of its review will be deposited in the University Archives for confidential storage consistent with usual archival procedures. These materials will be available to the President during consideration of the Appeals Panel's recommendation.
  8. Grievance Committee Membership and Selection
    
    The Grievance Committee will consist of eight members and eight alternates, all elected from the full-time, tenured faculty (i.e., those holding positions described in Article I.B.1.(a)(1)(a) in the Personnel Policies). Eight (8) elected representatives, two from each Curricular Area, and eight (8) elected alternate representatives, two from each Curricular Area. Ideally these sixteen representatives will come from sixteen different departments. In no case may more than two representatives to the Grievance Committee be from a single department.
    1. Time of Election. Grievance Committee members and alternates will be elected at the time of spring faculty committee elections.
    2. Eligibility for Re-Election. Grievance Committee members and alternates are eligible for re-election without limit as to number of terms.
    3. Term of Office. Grievance Committee members and alternates will take office at the beginning of the spring semester of the academic year following the year of their election. If a new Grievance Committee takes office while a panel proceeding is pending or in progress, the outgoing Grievance Committee will decide whether to complete the proceeding or to hand it over to the newly-elected Grievance Committee.
    4. Balloting. In balloting, the two eligible candidates from each curricular area who receive the highest number of votes within that curricular area are elected as Grievance Committee members. The candidates ranking third and fourth in terms of number of votes received are elected as alternates.
    5. Equal Availability of Persons Elected. Once elected, all members are considered equally available to serve without regard to curricular area or to number of votes received, and all alternates are equally available to serve as alternates without regard to curricular area or to number of votes received.
    6. Faculty Personnel Policy and Review Committee Members Ineligible. Faculty Personnel Policy and Review Committee members may not serve as Grievance Committee members or alternates during their terms of membership on the Faculty Personnel Policy and Review Committee.
  9. Conflicts of Interest
    
    Membership exclusion based on Conflicts of Interest as covered by the policy established by the Faculty Personnel Policy and Review Committee and the Administration and published in Appendix 3 in the Personnel Policies in the Academic Handbook apply. Other Grievance Committee members, the faculty member who is seeking Faculty Personnel Policy and Review Committee or Grievance Committee review under the procedures described below (the “Petitioner”), the Faculty Personnel Policy and Review Committee, and/or the Vice President for Academic Affairs may request consideration of whether a Grievance Committee member or alternate should be excluded from participation in any particular matter due to a conflict of interest. The final determination whether a conflict of interest justifies the exclusion of a Grievance Committee member from participating in a particular matter will be made by the Chair of the Faculty. If the Chair of the Faculty is recused or challenged because of conflict of interest, then that role will be filled by the most recent past Chair of the Faculty in succession. Questions of conflict of interest may be raised at any time during a proceeding but must be raised prior to the conclusion of that particular proceeding.
  10. Committee and Panel Operating Rules
    1. Calculation of Time. All references to period of time in this Article shall be calculated on the basis of in-session days, defined as weekdays on which classes are scheduled during the spring and fall terms. For actions that must be performed within a certain number of days after occurrence of a certain preceding event (such as receipt of a notification), the day of occurrence of the preceding event will not be counted in the calculation of time. The day on which the action is performed will be counted.
    2. Panel Member Absence. Mediation Panels may meet and conduct business if at least two of the three panel members are present. Appeals Panels may meet and conduct business if at least four of the five panel members are present.
    3. Panel Chairs. If a panel cannot select a chair by consensus or by majority vote, the Chair of the Faculty will appoint the chair of the panel.
    4. Panel Openings. Panel openings due to resignations, withdrawals, etc. shall be filled by alternates based on an order determined at the beginning of each committee year by random lot.
    5. Limit on Panel Service. No member or alternate shall serve on more than one Appeals Panel or two total panels at any one time.
    6. Faculty Personnel Policy and Review Committee Representatives. The Faculty Personnel Policy and Review Committee will be represented in proceedings by one or more then-current Faculty Personnel Policy and Review Committee member(s) designated by the Faculty Personnel Policy and Review Committee, preferably from members who were serving on the Faculty Personnel Policy and Review Committee at the time of the challenged recommendation.
    7. Advisers. Both the Petitioner and the Faculty Personnel Policy and Review Committee Representative, if there is only one such representative, may have an adviser to assist in the proceedings; these advisers may attend and provide advice, but not participate in the proceedings. The Petitioner may select as adviser any full-time or part-time faculty member who is not a Faculty Personnel Policy and Review Committee member, a Grievance Committee member, or a Grievance Committee alternate who is serving on the Mediation or Appeals Panel for that Petitioner's grievance. If there is a single designated Faculty Personnel Policy and Review Committee representative, that person may be assisted by a faculty adviser who is not a Grievance Committee member or a Grievance Committee alternate who is serving on the Mediation or Appeals Panel for that Petitioner’s grievance.
    8. Confidentiality. Panel members may not disclose information concerning particular panel proceedings, whether in documents or from discussion, outside of those proceedings at any time. Any panel member found to have breached this duty of confidentiality may be removed as a Grievance Committee member or alternate at the discretion of the Chair of the Faculty.
    9. Consequence of Failure to Meet Deadlines.
      1. Failure by Petitioner. A Petitioner who fails to comply with time periods specified in this Article forfeits his or her right for further review unless the Chair of the Faculty determines that the failure was for good reason beyond the Petitioner's control, such as serious illness
      2. Failure by Faculty Personnel Policy and Review Committee or a Panel. A Petitioner shall notify the Chair of the Faculty within three days of a failure by the Faculty Personnel Policy and Review Committee or its designated representative or by a panel to comply with time frames specified in this Article. The Chair of the Faculty will review the reasons for the failure and, within three days of receiving the notification, establish an appropriately expedited schedule for completion of proceedings. Depending on the reason for the delay, the Chair of the Faculty has discretion to order replacement of one or more panel members or the Faculty Personnel Policy and Review Committee's designated representative to avoid further delay.
  11. Grievance Procedure Interpretation
    
    Matters of interpretation of this Faculty Grievance Process will be resolved by the Grievance Committee or its panels.
9. Faculty Review of Lesser Sanctions
  1. Overview
    
    The Lesser Sanctions Advisory Committee (LSAC) consists of three tenured faculty members, each of whom must have at least two years of experience on the Faculty Personnel and Policy Review Committee (Review Committee) or on its precursor, the Committee on Faculty (COF). The LSAC is appointed by the Review Committee from a pool of those eligible, which will be provided annually by the Governance Committee. Faculty members nominated to serve on the LSAC may decline participation for any reason. Upon review of appointments, either or both the Vice President for Academic Affairs and the faculty member have the option to strike one name from the list. The Review Committee will select the next eligible candidate(s) for the committee.
    
    The Lesser Sanctions process comes into play when the Vice President for Academic Affairs has determined that a faculty member has violated DePauw policy or behaved in a way inconsistent with professional and ethical standards, but does not rise to the level that warrants initiating the dismissal process [Section VI, B of Personnel Policies]. The Vice President for Academic Affairs will initially investigate and propose a resolution, following the procedure detailed in section B. Process.
    
    Lesser sanctions may consist of (and only of) one or more of the following: development of a plan for improvement, letter of reprimand placed in the personnel file, ineligibility for Faculty Development Awards, reduced salary, removal from eligibility for promotion, denial of promotion, demotion in rank, un-paid leave, change in job responsibilities. These sanctions may be temporary or permanent.
    
    Faculty members undergoing a Lesser Sanctions process are entitled to have a faculty advisor present throughout. All LSAC members shall agree, by virtue of their service, to honor the confidentiality of the process and not to breach the obligation of confidentiality absent a legal obligation to do so.
  2. Process
    
    (1) Initial Phase. The Vice President for Academic Affairs notifies the faculty member that a situation warranting a lesser sanction exists, gathers facts, and proposes a resolution in writing within three in-session days. The faculty member has five in-session days to respond to the Vice President for Academic Affairs. The VPAA and the faculty member meet to discuss the proposed implementation.
    
    If the faculty member contests the proposed resolution, the Lesser Sanctions process moves forward to the next phase.
    
    (2) Formal Phase. If the matter cannot be resolved between the faculty member and the Vice President for Academic Affairs, the formal Lesser Sanctions process begins with the assembly of the LSAC. The Vice President for Academic Affairs notifies the LSAC, and presents his or her findings in writing to the LSAC, along with a summary of the evidence used in reaching his or her decision, with a copy to the faculty member for whom the sanction is proposed. The faculty member has five in-session days to respond, and may bring forward additional evidence within three in-session days of the assembly of the LSAC.
    
    The LSAC makes a written recommendation to the Vice President for Academic Affairs and the President within ten in-session days of receiving the faculty member’s response. The recommendation is shared with the faculty member, who may respond in writing within five in-session days to the VPAA and the President. The LSAC will review evidence, deliberate, and communicate in writing to the Vice President for Academic Affairs and the President whether it agrees with the recommended sanction or feels that some other sanction or no sanction is warranted. If the LSAC determines that a different sanction is warranted, the LSAC will recommend a specific sanction. The recommendation will include the reasons for the sanction, any specific problems that must be addressed, and the time limits of the sanction.
    
    The President has the final authority to affirm the decision of either the VPAA or the LSAC. If the President reaches a decision contrary to the LSAC’s recommendations, he or she must report his or her reasons to the LSAC in writing.
    
    A sanctioned faculty member has the right to appeal the President’s decision. The appeal must be filed within five in-session days. The appeal process follows the regular procedures for appeals and grievances stated in the University’s Personnel Policies (VIII. Faculty Grievance Process).
    
    At the end of each semester, the Vice President for Academic Affairs shall report to the Faculty Personnel and Policy Review Committee the number and nature of any Lesser Sanctions that have been applied, without revealing the identity of those sanctioned. These reports will be available for consultation by the LSAC.
  Appendices to Personnel Policies
  
  Appendix 1: Faculty Personnel Policy and Review Committee Hearing Procedures for Faculty Sanctions
  
  (written by the Faculty Personnel Policy and Review Committee; reported to faculty and included in the by-laws for informational purposes)
  
  If personnel problems are brought for its review, the Faculty Personnel Policy and Review Committee will follow these procedures. In order to make a recommendation to the President concerning a faculty member, the Faculty Personnel Policy and Review Committee shall conduct a hearing to ascertain the facts relevant to the case, consider the circumstances both mitigating and aggravating, hear from all witnesses who have direct testimony to offer, test the evidence, and make a finding of fact. Further, based on the evidence obtained, the Faculty Personnel Policy and Review Committee is to deliberate and recommend either call for dismissal, or an alternative sanction, or a continuation of the appointment without further prejudice. The hearings will follow the rules of confidentiality that govern all Faculty Personnel Policy and Review Committee personnel deliberations.
  
  Prior to its evidentiary sessions the Faculty Personnel Policy and Review Committee is to receive a statement of the charges from the chief administrator working on the case as well as any other related documents. The chief administrator can be the Vice President for Academic Affairs or another appropriate Vice-President. The Faculty Personnel Policy and Review Committee is to receive a complete report of the investigations undertaken by the chief administrator and/or other officials of the University, such as the Campus Police, Chair of the Department, etc. The Faculty Personnel Policy and Review Committee is to receive lists of witnesses and relevant evidence from both the chief administrator and faculty member. The faculty member may provide a written response to the materials provided by the chief administrator. The Faculty Personnel Policy and Review Committee will notify the chief administrator and the faculty member involved of the witnesses and evidence at least two days prior to the commencement of each evidentiary session. The witnesses are restricted only to those who may offer material evidence. Character witnesses are excluded from testifying.
  
  The faculty member and chief administrator will be given at least four in-session days' notice before the Faculty Personnel Policy and Review Committee convenes its hearing. The Faculty Personnel Policy and Review Committee will consider legitimate reasons for delay, but only serious reasons, such as health difficulties should result in a delay.
  
  The hearing is to be conducted by the chair of the Faculty Personnel Policy and Review Committee. For its evidentiary sessions an official tape recording is to be made by the Coordinator for the Faculty Personnel Policy and Review Committee. This tape will be retained until the case is resolved. It shall be made available to the Appeals Board if it is convened. Once the case is resolved the tape will be destroyed. The following persons may attend the evidentiary sessions: the faculty members of the Faculty Personnel Policy and Review Committee; the faculty member who has been charged; an advisor to him or her, who may be anyone from the University community; the chief administrator; the Vice President for Academic Affairs (if not the chief administrator in the case); and the Coordinator for the Faculty Personnel Policy and Review Committee. Witnesses are to wait in separate areas until they are called in for their testimony. Each witness may be accompanied by advisor selected from the University community. Once a witness has given her/his testimony he/she will be excused from the proceedings.
  
  Both the chief administrator and the faculty member may call witnesses, the Faculty Personnel Policy and Review Committee may question both parties on any points relevant to the case. The Faculty Personnel Policy and Review Committee will determine the order of witnesses called. Witnesses may be questioned by the individual calling them and by Faculty Personnel Policy and Review Committee members. The Vice President for Academic Affairs, if s/he is not the chief administrator, will be given the opportunity to ask questions of the witnesses. In situations in which a witness is not comfortable providing evidence in front of the faculty member, the evidence will be given without the faculty member present. However, the advisor will be present to hear the witness and the faculty member will hear the tape or a transmission of that portion of the proceedings. Such safeguards are particularly important in cases in which a student is a key witness and/or sensitive issues (e.g. sexual harassment, racism) are involved. Witness concerns should be communicated to the chair of the Faculty Personnel Policy and Review Committee.
  
  If the Faculty Personnel Policy and Review Committee believes it is necessary to call additional witnesses, recall witnesses, or seek additional evidence as a result of its investigations, it may do so. The Faculty Personnel Policy and Review Committee may adjourn the evidentiary session at any time but shall reconvene at its earliest convenience.
  
  Following the Faculty Personnel Policy and Review Committee's usual procedures, the deliberations will take place in two phases. The initial deliberative session of the hearing will include the members of the Faculty Personnel Policy and Review Committee and the Vice President for Academic Affairs. After discussion of the evidence a straw vote will indicate the Faculty Personnel Policy and Review Committee's initial position. The Vice President for Academic Affairs will express her/his agreement or disagreement with the Faculty Personnel Policy and Review Committee's recommendations and explain his or her rationale. This is to ensure that both the Faculty Personnel Policy and Review Committee and the chief academic officer are aware of the issues considered by both sides and that communication of all issues and concerns has been clear and complete. Final deliberations will involve only the Faculty Personnel Policy and Review Committee faculty members. The Faculty Personnel Policy and Review Committee will deliberate on the evidence and decide (a) on a finding of fact that either supports or denies the culpability of the faculty member and (b) on a recommendation to the President. The recommendation may either call for dismissal, or an alternative sanction, or a continuation of the appointment without further prejudice. The recommendation shall include the finding of fact in the written report. Copies of the complete recommendation will be sent to the faculty member and the Vice President for Academic Affairs. The Vice President for Academic Affairs will inform the Faculty Personnel Policy and Review Committee of her/his final recommendation to the President.
  
  The President may seek further clarification from the Faculty Personnel Policy and Review Committee on its recommendation. The chair of the Faculty Personnel Policy and Review Committee will be responsible for communicating with the President. As with other personnel decisions, if the President decides against the Faculty Personnel Policy and Review Committee's recommendation, he or she shall communicate to the Faculty Personnel Policy and Review Committee explaining her or his rationale.
  
  If the decision by the President is for dismissal or other major sanctions, the faculty member will have four in-session days to call for a review of the Faculty Personnel Policy and Review Committee recommendation. The review process will follow the procedures stated in Article VIII.D. in the Personnel Policies but will include, when appropriate, further consideration of the case in light of the communications from the Vice President for Academic Affairs and the President.
  
  Appendix 2: Terminal Degrees
  
  The terminal degree in a field is usually a doctorate in the field with the following exceptions: Studio Music – Masters in Music; Studio Art – Master in Fine Arts; Creative Writing – Master in Fine Arts; Theater Practice or Professional Theater – Master in Fine Arts; Accounting – Masters in Accounting or Masters in Business Administration; Library - a master's degree from a program accredited by the American Library Association; and other special cases specified at the time of initial appointment. Prior completion of the terminal degree is not required for an initial full-time faculty appointment; however, completion of the terminal degree is required for the granting of tenure. Completion of the terminal degree or satisfactory progress towards completion of the degree in advance of the tenure decision is required for a satisfactory interim review.
  
  Appendix 3: Conflict of Interest Policy and Procedures for Faculty Personnel Matters
  
  (Approved by the Faculty Personnel Policy and Review Committee and the Administration, Dec. 7, 2008.)
  
  In order to ensure that faculty personnel processes are as fair as possible, DePauw University has adopted the following policy and procedures.
  
  INTRODUCTION
  
  At an institution such as DePauw, a variety of personal relationships may exist among faculty members which create the potential of a conflict of interest between a person who handles personnel matters (performance reviews, hiring requests, supervision) or a member of a committee that handles personnel matters (Full-Time Position Request Committee, Search Committee, Special Review Committee (for faculty librarians) or Department (or School) Personnel Committee referred to hereinafter as the "DPC") or a member of the Faculty Personnel Policy and Review Committee or the Vice President for Academic Affairs and a faculty member or job candidate under review. However, in the shared work environment, common interactions – e.g., friendships and antagonisms, likes and dislikes, concurrences and disagreements, and praise or criticisms – do not represent Conflicts of Interest if they fall within the bounds of University policies governing professional working relationships (1). It is also in the best interests of the University (and of the confidence that should be placed in the faculty personnel processes) that appropriate steps be taken to limit the appearance of Conflicts of Interest by excluding the participation of some who might otherwise serve, if there are reasonable alternatives to participation in a faculty review process (i.e., when others may fairly judge the relevant evidence). This policy is intended to alert faculty members to the types of concerns for which a Conflict of Interest may exist and to encourage members of the relevant committees and the Vice President for Academic Affairs, and faculty members under review, to avoid situations for which a potential conflict of interest exists. The successful application of this policy requires all faculty members to familiarize themselves with the contents of this policy. Anyone with a Conflict of Interest should request to be recused from the committee in question and from other personnel responsibilities. Further, any faculty member who has knowledge that a conflict of interest may exist, or is in doubt as to whether a conflict exists regarding an issue before one of these committees, should follow the procedures set out within this policy.
  
  DEFINITION
  
  A Conflict of Interest exists when a faculty member is in a position to exercise judgment on a personnel matter, either personally or as a member of a committee reviewing a faculty colleague or candidate and when that exercise of judgment could be (or is perceived to be) influenced by a current or past personal relationship (as defined herein). A Conflict of Interest may exist even though it may not be acknowledged by one or more of the parties.
  
  PERSONAL RELATIONSHIPS SUBJECT TO THIS POLICY
  
  Circumstances that are of concern under this policy are those in which a person with personnel responsibilities has, or has the appearance of having, such a bias so strong as to undermine the presumption of fairness in the execution of those responsibilities. These circumstances include, but are not limited to, a situation of dependency or interdependency, or a commission of a policy violation in dealings with the faculty member to be affected by a pending committee recommendation. Examples of circumstances that could result in a conflict of interest, or the possibility of perceived conflict of interest, include, but are not limited to, the following:
  - shared financial interests;
  - familial relationship;
  - former or present marital, romantic, amorous, or other intimate relationships;
  - current co-living arrangement;
  - giving or receiving of substantial gifts or benefits;
  - employment relationship outside of DePauw; and
  - an incident involving violation of the harassment policy or the consensual relations policy.
  There may be other circumstances for which a faculty member believes that a colleague could not render an impartial judgment in a personnel matter. A faculty member concerned about a bias that might hinder impartiality due to any circumstance should report the situation or relationship to the Vice President for Academic Affairs (or to the designated prior chair of the Faculty Personnel Policy and Review Committee if the conflict involves the Vice President for Academic Affairs) for evaluation pursuant to these procedures. The designated prior chair of the Faculty Personnel Policy and Review Committee for matters of conflict of interest involving the Vice President for Academic Affairs shall be recorded on the annually published list of faculty members of committees.
  
  CONFLICT OF INTEREST PROCEDURES
  1. A faculty member who believing that his or her service in personnel matters will be affected by (or may be affected by) a Conflict of Interest should consult with the Vice President for Academic Affairs. In such circumstances the faculty member may request to be recused from service on these personnel matters. The Vice President for Academic Affairs will consider any request to be recused from work on personnel matters; and if the request is granted, the Vice President for Academic Affairs will notify the appropriate individuals about this recusal (such as the chair of the relevant committee).
  2. To report a conflict of interest of another faculty member, a faculty member should notify the Vice President for Academic Affairs confidentially of the existence of a conflict of interest as soon as practical after it is identified. However, to protect privacy, information regarding the nature of the circumstances leading to the conflict of interest (e.g., financial, family, romantic, etc.) need not be divulged beyond that information which the Vice President for Academic Affairs would reasonably require in order to determine whether a Conflict of Interest exists. If the Vice President for Academic Affairs is a party to the conflict of interest, then the most recent past chair of the Faculty Personnel Policy and Review Committee who is not currently serving on Faculty Personnel Policy and Review Committee and not on leave shall substitute for the roles designated in this policy for the Vice President.
  3. Once notified, the Vice President for Academic Affairs will exercise discretion in determining what are the prudent steps to take in order to determine whether a Conflict of Interest exists. The Vice President for Academic Affairs may investigate the conflict of interest through gathering information and interviewing relevant parties. While that determination is underway, the Vice President for Academic Affairs shall suspend the related work of the relevant committee if it has already begun. In assessing conflicts of interest, the Vice President for Academic Affairs should focus on whether the particular interest and/or personal circumstance of the faculty member are likely to compromise, or are likely to be perceived as compromising, a committee member's ability to function impartially.
  4. Once an assessment has been made, the Vice President for Academic Affairs must promptly share his or her decision by confidential memorandum to the faculty member about whom a question of conflict of interest has been raised. Where it has been decided that a Conflict of Interest exists, the Vice President for Academic Affairs must promptly instruct the person who has been determined to have a Conflict of Interest not to participate in the decisions regarding the affected faculty member with whom the Conflict of Interest exists. Depending on the nature of the Conflict of Interest, the exclusion of a member of a particular committee from personnel responsibility for another faculty member may apply for certain other personnel responsibilities and/or for a certain length of time as determined by the Vice President for Academic Affairs.
  5. The Vice President for Academic Affairs will also notify the chair of the relevant committee if a committee member is to be excluded for reason of Conflict of Interest. The Vice President for Academic Affairs shall also then authorize the committee to resume the review process; that authorization may include instructions returning the committee to an earlier point in its process so that the work is not influenced by the person (or persons) who has (have) been excluded, such as when a person determined to have a Conflict of Interest had already participated in part of the deliberations. The Vice President may also amend the evidence (such as in an application or decision file) on which the considerations are to be based in order to remove items that may have been influenced by the Conflict of Interest. For other personnel matters, the Vice President will take steps to reassign tasks and responsibilities as needed to re-create an impartial personnel process.
  6. Retaliation against any individual who discloses an actual or perceived conflict of interest is not permitted and may result in use of sanctions and disciplinary procedures for unprofessional conduct.
  7. Questions regarding this policy and/or its interpretation should be directed to the chair of the Faculty Personnel Policy and Review Committee and the Vice President for Academic Affairs.
  CONFIDENTIALITY AND RECORDKEEPING
  
  It is imperative that all information regarding conflicts of interest be kept as confidential as circumstances permit. It is legitimate for those involved in resolving a conflict of interest to seek advice and/or guidance from other University officials or faculty members with relevant experience. Internal disclosure of information about potential or actual conflicts of interest should be limited strictly to those faculty members or employees who need to have access for official purposes. However, if through investigation of a potential conflict of interest the Vice President for Academic Affairs (or surrogate) discovers a violation of a University policy, then this information may require additional action and some level of confidentiality may be lost in that case. Details of matters relating to conflicts of interest shall be kept in confidential files held in the Office of Academic Affairs and access to such files will be restricted to the Vice President for Academic Affairs or others serving in a surrogate role as provided for in this policy. All records shall be kept for a period of at least ten (10) years with the actual duration of the record keeping to be determined by the Vice President for Academic Affairs or the surrogate.
  
  Notes
  
  (1). Whenever the phrase "conflict of interest" is used, it means not only actual conflicts but potential or perceived conflicts of interest as well; whenever the phrase is capitalized "Conflict of Interest" this refers to an actual conflict of interest.
  
  General Policies
  
  (Written by the administration; some sections approved or acknowledged by the faculty.)
  1. Absence from Campus During the Academic Year
    
    (Written August 3, 2001; modified August 12, 2010; modified August 6, 2021)
    
    (This policy will be reviewed again in Spring 2023 after we have gained experience with online instruction.)
    
    As a residential liberal arts college, DePauw classes are generally expected to be held in-person. By publishing a list of class meetings in the Schedule of Classes and issuing a course syllabus, each faculty member enters into an agreement with his or her students as to when class is held. Although it is each faculty member's responsibility to meet those scheduled classes in-person, a faculty member may, on occasion, need to cancel one or more scheduled class meetings for professional reasons, for illness or emergency medical/family care, and for inclement weather. A faculty member may also, on occasion, need to shift a class meeting to an online format for similar reasons. Such shifts are not considered to constitute in-person teaching in the context of this policy.
    
    The University may institute a short-term or longer-term shift to online instruction (e.g., due to inclement weather, community illness, or problems with campus infrastructure). Such University decisions are exempted from this policy. The University will consult with faculty governance before making a shift to online instruction that lasts longer than one day.
    
    When it meets the needs of the University, a faculty member, department chair or program director, and the Vice President for Academic Affairs (for positions in the College of Liberal Arts) or the Dean of the School of Music (for positions in the School of Music) may agree in advance that a specific course will be taught online (e.g., internship courses, courses shared with other Universities). Faculty members who have appropriate medical documentation may also be granted an accommodation to teach one or more courses online. Online instruction offered in these contexts is exempted from this policy.
    1. Absences for Professional Reasons
      
      While teaching duties are paramount among the many responsibilities of a faculty member at DePauw, there are occasional conflicts between classes as originally scheduled and valuable professional activities. Because faculty members are encouraged to maintain active professional lives, occasional absences from class to complete professional activities are acceptable.
      
      As a matter of good practice, a faculty member should limit his or her absences and shifts to online instruction for professional reasons to the equivalent of no more than one week's worth of class meetings in each course in a fall or spring term and no more than one day’s worth of class meetings during an extended studies term. Longer absences/shifts should be approved in advance by the Vice President for Academic Affairs (for positions in the College of Liberal Arts) or the Dean of the School of Music (for positions in the School of Music). Planning for professional absences should be done well in advance, and students should be notified of the faculty member's absence/shift as soon as possible. When feasible, and when needed to complete the work of the course, the faculty member should make arrangements with students and/or colleagues for alternative assignments, alternative coverage of class meetings (which could include remote instruction), or both. Such arrangements should be made if the absence exceeds one week's worth of classes.
      
      As a matter of professional support and encouragement, faculty members are urged to provide assistance to each other by covering a colleague's missing classes for professional reasons.
    2. Illness, Emergency Medical and Family Care Reasons for Absences
      
      Occasionally a faculty member must cancel class because he or she is ill, has a personal medical emergency, or has unanticipated family care obligations. In such cases, the faculty member should promptly inform students of his or her absence and, if feasible, provide alternative learning activities for the students. When possible, the department chair, program director or Associate Dean of the School of Music, will work with faculty colleagues to provide coverage for their missed classes.
      
      If family or personal medical situations require a faculty member to miss three or more consecutive days of in-person instruction, the faculty member will need to request a Medical Leave. A request for Medical Leave must be supported by a physician’s certification of the medical need for leave. Faculty members must work with their physicians to complete appropriate paperwork as outlined in the Family Medical Leave Act and DePauw Medical Leave Policy. In this case the faculty member may not return to work unless medical clearance is provided by a physician to the Office of Human Resources. Human Resources will send a return to work notice to the Vice President for Academic Affairs (for positions in the College of Liberal Arts) or the Dean of the School of Music (for positions in the School of Music) with information about the release date, any relevant work restrictions and their duration.
    3. Inclement Weather
      
      It is the policy of the University to remain open and continue operation whenever it is safe to do so during periods of inclement or severe weather. However, the University recognizes that because of hazardous conditions or infrastructure disruptions, some faculty members may find it difficult to report to work and may need to cancel class or make arrangements for online instruction. If a faculty member cannot report to work because of inclement weather, the faculty member should promptly report this to the department chair, program director or Associate Dean of the School of Music. See further information about inclement weather in the Office of Human Resources' Employee Guide.
    4. Reporting Missed Classes and Obtaining Approval for Extended Absences
      
      In addition to promptly reporting class absences/shifts to his or her students, the faculty member should notify his or her department chair, program director or Associate Dean of the School of Music of the absence/shift and of the arrangements for covering the class. A faculty member who must cancel or shift classes at the last minute may ask the department's, school's, or program's administrative assistant to post a notice in the classroom to the students announcing that the class is canceled or shifted to an online format; such cancellations or shifts also should be promptly reported to the department chair, program director, or Associate Dean of the School of Music. A faculty member who needs to miss (and/or shift online) a total of more than one week's worth of classes for any course, regardless of the reasons, should first discuss this need with the Vice President for Academic Affairs (for positions in the College of Liberal Arts) or the Dean of the School of Music (for positions in the School of Music) before completing arrangements. If, as a result of unplanned absences or shifts to online instruction, a faculty member misses as much as one week's worth of in-person classes, the faculty member should report this to the Vice President for Academic Affairs (for positions in the College of Liberal Arts) or the Dean of the School of Music (for positions in the School of Music) along with a summary of how the absences and/or online shifts were covered.
    5. Making Up Canceled Classes
      
      A faculty member should endeavor to make up any canceled classes by rescheduling them or by arranging for appropriate alternative activities. Because students have other academic and non-academic obligations, it is not appropriate for a faculty member to require students to attend rescheduled class meetings or activities that meet outside the course's scheduled time bank. Any required make-up classes, activities or alternate assignments must include a sufficient number of options so that all students can reasonably complete the requirement. Make-up classes may not meet on the designated study day between the end of classes and the final examination period, or during the final examination period.
    6. Discretionary Personal Absences
      
      A faculty member should schedule discretionary activities, such as doctor's appointments and meetings with colleagues and students, so that they do not conflict with his or her scheduled classes.
  2. AIDS Policy
    
    AIDS (Acquired Immune Deficiency Syndrome) is a disease that is caused by HIV (Human Immunodeficiency Virus). More information about the condition is available on the Centers for Disease Control website.
    
    DePauw University will not tolerate discrimination against any faculty, staff, or student based on their HIV status. No person will be denied access to any University facility, be excluded from any University event or be denied membership in any University organization on this basis. All members of the DePauw community are guaranteed privacy and confidentiality of their HIV status. Information regarding anonymous and confidential HIV testing for students is available through the University Health Center. Employees are encouraged to consult with their individual physicians. The University will provide programs and make available educational materials about HIV and AIDS to the University community. Members of the DePauw community who have questions regarding AIDS or HIV are encouraged to consult with representatives from Health Services or Human Resources. The Student Academic Life Committee will periodically review this policy.
    
    (Approved June 30, 2002; updated May 12, 2005)
  3. Alcohol and Controlled Substance Policy
    
    Faculty and staff employees of the University are advised to take note of the significant difficulties that occur at DePauw and on other college campuses from a culture of excessive consumption of alcohol and the use of controlled substances. Employees are urged to be responsible in the consumption and service of alcohol and to exercise good judgment with regard to the provision of alcohol to students who are 21 or older or socializing with alcohol with students who are 21 or older. Employees are urged to be cognizant of the laws and legal liabilities that affect them with regard to serving, consuming or using alcohol or other controlled substances. University support for employees in their official roles on behalf of the University will be difficult to sustain in the face of violations of University policy. All employees of the University in their conduct of University business and in their participation in University activities must comply with the laws of the locality in which they pursue those activities.
    
    Alcohol and class activities: Alcohol is not permitted at mandatory class activities.
    
    Travel expenses (restatement of current travel policy): University expense reimbursements to employees may cover alcohol consumed in moderation with meals, but University expense reimbursements will not normally cover alcohol consumed between meals (exceptions require vice presidential approval). Note: Faculty Development and grant funded projects may have further restrictions.
    
    University funding: University funds may not be used for the purchase of alcohol for students. This includes University-sponsored travel in states or other countries where students may legally consume alcohol.
    
    Alcohol service on campus: Alcohol may not be served at events on campus (except at The Inn at DePauw) regardless of who is in attendance.
    
    Drinking socially with students: Employees are advised that they share a responsibility to see that students they entertain in their homes or in other places, as well as students with whom they socialize, consume alcohol legally and responsibly.
    
    Traveling with students: Faculty and staff traveling with students away from campus on university-sponsored activities should develop an alcohol policy in consultation with the students. All participants must agree to abide by the policy. This policy must comply with local laws and customs, make provisions for the group's academic or professional goals, and underscore responsible behavior and the exercise of good judgment with regard to the consumption of alcohol.
    
    Illegal use of controlled substances: No employee may use or distribute controlled substances in an illegal manner on University property or at University-sponsored events, or at any event at which University students are present.
    
    Sanctions: Sanctions against an employee for violation of the University Policy on Alcohol and Controlled Substances will be determined by the supervising Vice President and may include warning, suspension, or termination.
    
    Exceptions: Exceptions to the University Policy on Alcohol and Controlled Substances for special circumstances may be granted by the President on recommendation of the supervising Vice President(s).
    
    (Endorsed by the faculty, May 2001; established as University policy, June 2001;
    updated by President's Cabinet, July 18, 2005; updated by President's Cabinet, Aug. 8, 2008)
  4. Alcoholic Beverage Policy for Students
    
    Section I
    
    Excessive alcohol consumption is an unfortunate part of the student social culture on campuses today. The principles expressed in this policy are intended to guide the DePauw community in all matters regarding the use, misuse, and abuse of alcohol. This policy is intended to serve as a basis for institutional rules and regulations, as a guide for individual and group decision-making, and as a community standard for behavior.
    
    Our primary objectives are to support the educational mission of the University and for students to succeed academically. We do this by helping our students make responsible decisions regarding alcohol use. We commit ourselves to promoting a community that values, teaches, and models healthy life choices and to creating conditions that provide a safe environment for living and learning. We direct our greatest educational efforts toward curbing high-risk alcohol use. We expect our students to follow Indiana law regarding alcohol consumption. Members of the DePauw community who are 21 or over and decide to use alcohol are expected to do so responsibly. Any student using alcohol may be charged through University Community Standards for behavior that places them or others at risk or otherwise violates this policy.
    
    We work to help our students become responsible citizens and make informed decisions by: educating students on the behaviors that define high-risk drinking; developing a culture on campus that challenges high-risk alcohol use; reducing secondary effects of alcohol use that impact student success; empowering students who serve as advocates for reducing high-risk drinking on campus; reaching the majority of first-year students during the first two weeks of the semester with accurate information about the risks of alcohol use as well as University policy; identifying high-risk populations and developing specific interventions for these populations; sponsoring non-alcoholic social events and programs; offering healthy living housing so that students who choose to not use alcohol can live in an environment where their lifestyle is supported by their peers; teaching students and staff intervention skills and focusing on their responsibility to intervene when others are engaging in high-risk behaviors; building relationships with student organizations and their leadership relative to their engagement with alcohol issues on campus; providing resources that will assist students who have alcohol abuse issues; using technology and creative strategies to reach our students; holding students accountable to their choices and behaviors; and engaging faculty, staff, alumni, and parents in these efforts.
    
    We are a campus that strives to provide a safe and healthy environment that allows for a positive academic and social experience. To this end the University expects that:
    - Students will take responsibility for their actions in a community where alcohol is served responsibly.
    - Students will not drink to excess and will eliminate the serving of hard alcohol.
    - Students and organizations will intervene when signs of excessive drinking appear and excessively intoxicated students will be cared for and will not be allowed into parties or served alcohol.
    - Students will call DePauw Police or 9-1-1if concerned about the safety of others and hosts will embrace responsibility for their guests.
    - Students will exhibit civility and responsibility in social settings and show respect for the physical environment.
    Alcohol and other chemical dependency problems can be treated successfully if they are identified as early as possible and if appropriate treatment or prevention programs are promptly instituted. Students or organizations who request help as they attempt to address excessive drinking issues before any Community Standards actions are instituted will not face Community Standards charges.
    
    Student Academic Life staff will address students' behavior when policy violations occur and will act to correct the situation. University Community Standards charges will result from policy violations. DePauw Police may make arrests or issue citations as a result of violations of state law.
    
    Section II: Medical Amnesty Policy (MAP)
    
    The University’s Medical Amnesty Policy applies to situations involving alcohol. In the same spirit of the Medical Amnesty Policy, DePauw Police Officers follow the Indiana Lifeline Law for students who call for emergency attention for their peers who have been consuming alcohol.
    
    Section III: Laws of the State of Indiana
    
    Any violation of the laws of the State of Indiana regarding alcohol is grounds for University Community Standards charges. It is important for members of the community to understand that while we operate under standards that best serve our community, we are not exempt from state law. Under the laws of the state of Indiana, it is illegal to:
    1. Possess, consume, or transport any alcoholic beverage if under the age of 21;
    2. Provide an alcoholic beverage to a person under the age of 21;
    3. Operate a vehicle while intoxicated or with a blood alcohol content of .08 percent or higher;
    4. Become publicly intoxicated;
    5. Provide alcohol to an intoxicated person;
    6. Sell any alcoholic beverage without a license;
    7. Possess a false identification or in any other way make a false statement about one's age, if under 21, for the purpose of procuring an alcoholic beverage;
    8. Furnish false or fraudulent evidence of identification to a minor (under 21 years of age) for use in procuring an alcoholic beverage;
    9. Refuse to be chemically tested for blood alcohol level if stopped for suspicion of operating a vehicle while intoxicated; and
    10. Be present in a bar or liquor store where the primary purpose of business is to sell alcohol if you are under the age of 21.
    The above information on state laws is intended only to provide a brief summary of some relevant Indiana statutes. Students are personally responsible for awareness of the law.
    
    In addition to criminal penalties, civil liability may be incurred by one's behavior under the influence of alcohol or by the behavior of another person to whom one provided alcohol. Members of the DePauw Police and other local police forces have the power of arrest and can, and do, arrest students for violations of Indiana law.
    
    Section IV: University Policies
    
    This Policy governs all matters concerning alcohol on campus, regardless of whether or not the academic year is in session. Because students maintain their status when school is not in session, officially enrolled students will be held accountable for violations of University policy and regulations occurring outside the academic year.
    
    Individual and group responsibilities are not mutually exclusive. If violations occur, Community Standards action may result for individuals and organizations for the same incident or event. Individuals are responsible for their own alcohol consumption and any associated behavior.
    
    Students are responsible for the behavior of their guests. Because the actions of guests also impact members of the DePauw community, students assume a degree of responsibility for those they host in the community.
    
    Examples of conduct which can lead to Community Standards charges for DePauw students include:
    1. Becoming excessively intoxicated, regardless of age;
    2. Participating in or sponsoring drinking games or drinking contests;
    3. Use, possession or serving of alcoholic beverages in any nonresidential University-owned and operated property. The only exception to this policy is the Inn at DePauw and events that have gone through the appropriate approval process through the Vice President of Student Academic Life.
    4. Consuming alcohol outdoors in the vicinity of any University-owned property or Greek living unit. Tailgating is allowed at home football games and must adhere to all guidelines outlined by the Athletic Department Tailgating Guidelines. Designated areas of the Inn at DePauw are an exception to this policy.
    5. Consuming alcohol in the common areas of University residence halls that house first-year and/or sophomore students.
    6. Behavior involving alcohol that places themselves or others at risk or otherwise contradicts the philosophy of this policy
    7. Hosting events involving alcohol that do not adhere to the expectations listed in Section V.
    8. First year students attending events involving alcohol hosted by Greek chapters, either at the chapter living unit or at other locations. The University will set the date each academic year when first year students may attend events involving alcohol hosted by Greek chapters which will be published by the Office of Substance Abuse Prevention and Education.
    Section V: Responsible Management of Events Involving Alcohol
    
    Hosting social events assumes a degree of responsibility taken on by hosts as well as those distributing alcohol at an event. Students are responsible for ensuring the safety and well-being of others. In addition to hosts (individuals or organizations), others such as servers, social chairs, etc. may also be subject to Community Standards action.
    1. Events involving alcohol consumption may not be held during times when regularly scheduled classes are in session, the evening before a day on which classes or exams are regularly scheduled, or during the period following the end of classes and through the end of finals. Parties, events and other situations where alcohol is served or where students are consuming also may not be held during any early arrival periods. Events involving alcohol may not occur until after the first full week of classes each term.
    2. Events hosted by students or organizations where alcohol is served or consumed must be registered in advance with the Office of Substance Abuse Prevention and Education in the Memorial Student Union Building, room 002. Events with alcohol may not be registered for University residence halls.
    3. Events involving alcohol that are registered by the deadline are reviewed on a weekly basis by Student Academic Life staff. Registrations may not be accepted if there were incidents at a prior event or an organization is in the process of responding to charges of violations of the University Code of Conduct and/or University policies. Registrations may not be accepted if the event does not follow guidelines published by the Office of Substance Abuse Prevention and Education.
    4. For the purposes of this policy, an all-access or open event is defined as one which is open to all DePauw students and not limited to a guest list. A private event has a specified guest list, submitted following event guidelines.
    5. In University-owned living units, any event involving alcohol at which 10 or more non-residents of the unit will be present must be registered.
    6. All events involving alcohol hosted by a student organization must follow guidelines published by the Office of Substance Abuse Prevention and Education.
    7. Fraternity and sorority chapters hosting events with alcohol, no matter the location of the event, must do so in compliance with the guidelines and policies of their national organizations.
    8. Neither University funds nor fees collected by the University, chapter funds nor fees, or living unit funds nor fees may be used to purchase alcoholic beverages for an event. Pooling of funds to purchase alcoholic beverages on behalf of the organization is not permitted. The possession, sale, use or consumption of alcoholic beverages, while on a fraternity or a sorority chapter premises, during a fraternity or a sorority chapter sponsored or hosted event, or during any event an observer would associate with a fraternity or a sorority, must be in compliance with any and all applicable laws of the State of Indiana, Putnam County, and the City of Greencastle and must follow either BYOB or Third Party Vendor guidelines available from the Office of Substance Abuse Prevention and Education.
    9. Public advertising of alcohol for a party or event is not permitted. This includes flyers, emails, internet sites, sheet signs, social media, etc.
    10. Hard alcohol is prohibited at all events. Living units hosting a registered event may not have any hard alcohol present in common areas, nor may it be served from or consumed in any part of the living unit. Any hard alcohol must be stored out-of-sight and be inaccessible to all guests. Hard alcohol may be permitted at private events with a licensed third-party vendor.
    11. With approval by the Office of Substance Abuse Prevention and Education, kegs may be permitted at some events. For fraternities or sororities, additional written approval by the chapter advisor and president of the house corporation is required. Other forms of common containers of alcohol are prohibited.
    12. Hiring a third-party vendor to serve alcohol and/or security agencies to check IDs does not release a student organization from its responsibility to ensure compliance with the University’s Alcoholic Beverage Policy for Students. Appropriate risk management procedures approved by the Office of Substance Abuse Prevention and Education apply even when organizations hire a third-party vendor.
    (Approved by the President’s Cabinet, August 2018)
  5. Alternate Class Activities for a Scheduled Class Meeting
    
    When there are good pedagogical reasons for doing so, a faculty member may substitute alternative class activities, such as scheduling individual meetings with students or screening a film, for a regularly scheduled class meeting. If feasible, the faculty member should list such adjustments to the normal schedule of classes in the course syllabus. Any plans that involve canceling a substantial number of regularly scheduled class meetings should be reported to the Vice President for Academic Affairs. Any decision to cancel class meetings must conform to the faculty's policy requiring that classes met on the days before and after vacations.
  6. Animal Use and Care in Research Policy
    
    Institutional Animal Care and Use Committee website. (For Human Subjects Policy see Article XXII in the General Policies.)
    
    Federal regulations require that all procedures involving the use of vertebrate animals be approved by an Institutional Animal Care and Use Committee (IACUC) prior to initiation of the project. The DePauw University IACUC provides oversight for the animal care and use program at DePauw, which encompasses any use of vertebrate animals. The committee reviews all studies involving animal usage and inspects animal care facilities semiannually to ensure compliance with internationally accepted guidelines in the care and use of laboratory animals. Prior to initiation of any research project, testing, education, or any other use of vertebrates (fish, amphibians, reptiles, birds or mammals), the investigators must gain the approval of the IACUC.
    
    The IACUC Protocol Review Process
    1. The first step in this process is to obtain a copy of the Animal Use Protocol Form (AUPF) from the IACUC Web site or the Academic Affairs Office. The AUPF is completed by the investigator and turned in to IACUC through the Academic Affairs Office. The form is designed to allow research investigators to address animal welfare considerations as well as provide other information required by the Animal Welfare Act and other laws and policies of the federal government and other agencies. The investigator may obtain a copy of the Animal Welfare Act and guidelines of various agencies from the websites cited at the end of this document or by contacting the Academic Affairs Office. The investigator is required to complete all sections of the AUPF according to the instructions therein. Any investigations involving students must have a faculty supervisor as the principal investigator who must submit the form and take supervisory responsibility throughout the project.
    2. The IACUC requires one original and one copy of the AUPF to be submitted. To ensure timely review, initial applications should be submitted one month prior to the intended initiation date of the project. Revised protocols should be submitted to the IACUC two weeks prior to the intended initiation date of the project.
    3. The IACUC shall review and approve, require modification in, or withhold approval of the proposed project involving the use of animals. The person proposing the animal use will be notified in writing of the committee's decision, which will be one of the following:
      
      Approval - The project may commence.
      
      Approve/Revision - Minor revision or additional information is requested. Approval is withheld and the project may not commence until a satisfactory response is received.
      
      Disapproval - The reasons for disapproval are given, and the investigator may submit a revised protocol.
    4. The IACUC is authorized to suspend any project it has previously approved if it determines that the project is not being conducted in accordance with the approved project description provided by the principal investigator. The IACUC may suspend a project only after reviewing the matter at a convened meeting of a majority of the IACUC members who, by a majority vote, issue the suspension.
    Membership of IACUC
    
    The makeup of the IACUC is determined by federal guidelines. The committee is appointed annually by and reports to the Vice President for Academic Affairs. The Committee includes:
    1. A Doctor of Veterinary Medicine, with training or experience in laboratory animal sciences and medicine.
    2. A faculty member and an alternate from the Department of Biology with experience in research involving animals.
    3. A faculty member and an alternate from the Department of Psychology and Neuroscience with experience in research involving animals.
    4. A member whose primary concerns are in a nonscientific area.
    5. An individual who is not affiliated with the institution in any way other than as a member of the IACUC. This individual represents community interests and concerns.
    No member of the committee may review a project in which the member has a conflict of interest, such as a role as a participant in the project or those covered by the policy established by the Faculty Personnel Policy and Review Committee and the Administration and published in Appendix 3 in the Personnel Policies of the Academic Handbook. In this case the alternate will replace the regular committee member for this review.
  7. Classroom Observation Policy for Faculty Members on Full-time Term and Part-time Appointments
    
    (Revised and effective December 4, 2011)
    
    See also Peer Observations of Faculty Members in Probationary Tenure-Track Positions (Article II.B. in the Personnel Policies.)
    
    For term and part-time faculty members, peer observations serve a developmental purpose. They can also serve as evidence of teaching effectiveness when considering a request for an extension of the term or part-time appointment.
    
    No single faculty member shall do a majority of the observations. At least half of the observations shall be done by tenured faculty members. The timing of classroom observations shall be arranged by the department chair, program director, or Associate Dean of the School of Music in consultation with the faculty member being observed. The courses observed shall reflect the range and type of courses normally taught by the observed faculty member.* Each observation shall cover an entire session of the class. Following the observation of each course, the observing faculty member shall provide both written and oral feedback in a timely fashion to the observed faculty member. The observer shall also provide a copy of the written feedback to the department chair, program director, or Associate Dean of the School of Music, to the Vice President for Academic Affairs, and the Dean of the School of Music (for positions in the School of Music) to be placed in the observed faculty member's personnel file.
    
    Faculty members may request additional observations; faculty colleagues are encouraged, but not required to honor such requests. Departments wishing to conduct more classroom observations than the required number shall do so only with the written consent of the faculty member.
    
    A. For Full-Time Term Appointments
    - For an initial one-year term appointment, observe two courses in the fall semester. For any subsequent term appointment, follow the schedule for a tenure-track appointment (see Article II.B. in the Personnel Policies.).
    - For an initial multi-year term appointment, observe two courses in the fall semester of the first year and then observe according to the rules for a tenure-track appointment.
    - Spring semester observations are not required for a faculty member who has resigned or whose appointment will not be extended for the following year.
    Observers shall be selected from the full-time members of the faculty eligible to serve on the Department's or School's personnel committee.
    
    B. For Part-Time Appointments
    
    For a faculty member holding a part-time appointment, observe one course in each of the first five semesters in which the faculty member is teaching. Thereafter, observe one course in every fifth semester of teaching.
    
    Observers shall be selected by the department chair from the full-time members of the department, program, or school.
    
    * In the sciences, labs may count for one of the course observations
  8. Compensation for Professional Assistance
    
    On occasion, faculty members are asked to support or to participate in a University program or event, such as chairing a taskforce, organizing or participating in a symposium or speaker's series, serving on a thesis jury, giving a professional presentation or performance on-campus, giving a guest presentation in a colleague's class, serving as an accompanist for a visiting performer, or covering a class or exam for a colleague. Such routine professional assistance, when performed during the academic year is a normal part of a full-time faculty member's contractual obligations, and extra payment is not authorized. A faculty member is compensated for non-routine professional assistance, such as covering a colleague's classes during an extended leave.
  9. Conflict of Interest Policy
    
    Article I: Purpose
    
    DePauw University expects its trustees, officers, and employees to observe high standards of ethics and to report any conflict of interest, both in fact and appearance, while acting for or engaging in an activity affecting the University.
    
    This policy sets forth DePauw University's general policy and procedures regarding financial conflicts of interest in relationship to research or educational sponsored projects, as well as transactions and arrangements entered into that might benefit the private interest of a trustee, officer, or employee of the university or might result in a possible excess benefit transaction.
    
    This policy is intended to supplement, but not replace any applicable state and federal laws governing conflict of interest. The University will fully comply with reporting obligations required by federal and state agencies.
    
    Article II: Definitions
    1. Person with Interest
      
      Any trustee, officer, employee, principal investigator(s)/co-principal investigator(s) of an externally sponsored project (regardless of funding source), or member of a committee with governing board delegated powers, who has a direct or indirect financial interest, as defined below, is a person with interest.
    2. Financial Interest
      
      A person has a financial interest if the person has, directly or indirectly, through business, investment, or a family member
      1. An ownership or investment interest in any entity with which the university has a financial transaction or arrangement,
      2. A compensation arrangement with the university or with any entity or individual with which the university has a financial transaction or arrangement,
      3. A potential ownership or investment interest in, or compensation arrangement with, any entity or individual with which the university is negotiating a financial transaction or arrangement, or
      4. An arrangement as or through the principal investigator or co-investigator(s) responsible for the design, conduct, or reporting on research or educational activities funded or proposed for funding by an external sponsor.
      Compensation includes direct and indirect remuneration as well as gifts or favors that are not insubstantial.
    3. Conflict of Commitment
      
      A conflict of commitment exists when the external activities are so significantly demanding of the time and attention of the person with interest as to interfere with the responsibilities for which the individual is assigned.
    4. Conflict of Interest
      
      A conflict of interest arises when a person with interest is in a position to influence either directly or indirectly University business, research, or other decisions in ways that could lead to gain for the person with interest, the person's family members, or others to the detriment of the University's resources, integrity, mission, teaching, research or public image.
    5. Conflict of Interest Committee
      
      This committee shall consist of the Vice President for Academic Affairs, the Dean of the School of Music, and the Vice President for Finance and Administration, as well as three additional individuals designated by the President of the University.
    Article III: Procedures
    1. Duty To Disclose
      
      In connection with any actual or possible conflict of commitment or interest, all persons with interest will be required to annually disclose, as well as immediately upon the identification of any apparent or implied conflict disclose, in writing the existence of any financial interest (see Conflict of Interest Disclosure Form).
      
      In addition, with respect to sponsored programs, as required by Federal regulation, disclosure must be made prior to the time a proposal is submitted. All financial disclosures must be updated by the investigator(s) during the period of the award, either on an annual basis or as new reportable significant financial interests are obtained.
    2. Determining Whether a Conflict of Commitment or Interest Exists
      
      The Vice President for Academic Affairs, the Dean of the School of Music, and the Vice President for Finance and Administration will collect the annual Conflict of Interest Disclosure Forms and will conduct an initial review of each conflict of interest disclosure to determine if a potential conflict appears to exist, or, in fact, exists.
    3. Procedures for Addressing a Conflict of Commitment or Interest
      1. If a conflict appears to exist, the Vice President for Academic Affairs, the Dean of the School of Music, and the Vice President for Finance and Administration will consult with the other members of the Conflict of Interest Committee to confer, and if appropriate, discuss possible options to manage, reduce, or eliminate the conflict.
      2. If such conflict involves the President or a trustee, the matter will be handled by the Chairman or a Vice Chair of the Board of Trustees, who is not involved in the conflict being investigated, with advice of the Chair of the Audit and Risk Management Committee.
      3. If such conflict involves a member of the Conflict of Interest Committee, the Committee member involved will be excluded from consideration of the conflict.
      4. During the course of the Committee's investigation, persons with interest may be asked to provide additional information. It is understood that at this stage the committee members will share information so obtained only as necessary to resolve the conflict or as required by law.
      5. After exercising due diligence, the committee shall determine whether the University can obtain with reasonable efforts a more advantageous transaction or arrangement from a person or entity that would not give rise to a conflict of interest.
      6. The Committee shall, if appropriate, appoint a disinterested person or persons to investigate alternatives to the proposed transaction or arrangement.
      7. If a more advantageous transaction or arrangement is not reasonably possible, the Committee shall determine by a majority vote whether the transaction or arrangement is in the University's best interest, for its own benefit, and whether it is fair and reasonable. In conformity with the above determination, the Committee shall make its decision as to whether to enter into the transaction or arrangement.
        
        In the case of funded or potentially funded grant projects, investigators will be asked to certify their familiarity with DePauw's conflict of interest policy and disclosure requirements for each proposal submitted to an external funding source. If there is an apparent conflict to be disclosed, the investigator must complete the Conflict of Interest Disclosure Form and forward it to the Vice President for Academic Affairs or the Dean of the School of Music.
    Article IV: Violations
    
    If the Conflict of Interest Committee has reasonable cause to believe a person with interest has failed to disclose actual or possible conflicts of interest, it shall inform the person of the basis for such belief and afford the person an opportunity to explain the alleged failure to disclose.
    
    If, after hearing the response of the person with interest and after making further investigation as warranted by the circumstances, the Committee determines the person with interest has failed to disclose an actual or possible conflict of interest, it shall make a recommendation for disciplinary and/or corrective action to the person's supervising University officer.
    
    (Last updated June 4, 2008)
  10. Consensual Relations Policy
    
    The integrity of the faculty-student relationship as well as the staff-student relationship is the foundation of DePauw's educational mission. These relationships vest considerable trust in the faculty or staff member, who, in turn, bears authority and accountability as mentor, educator, and evaluator. At DePauw, it is understood that faculty and staff begin and sustain friendships with students that can last a lifetime. The unequal institutional power in these relationships, however, heightens the vulnerability of the student and the potential for coercion. It is the faculty or staff member's responsibility to avoid any relationship which compromises either the student's enjoyment of the University experience or the faculty or staff member's ability to discharge the obligations of his/her employment at DePauw. In furtherance of this philosophy, DePauw prohibits sexual relationships between faculty and students, and between staff and students where the faculty or staff member has or will have a direct or indirect supervising, teaching, or evaluating relationship with the student regardless of whether the relationship is consensual.
    
    If a complaint is initiated, even when both parties have consented to the development of such a relationship, it is the faculty or staff member, who, by virtue of his or her educational responsibility, will be held accountable for unprofessional behavior, and who is subject to disciplinary action, up to and including dismissal from employment with the University, for violation of this policy.
    
    Complaints will be handled according to the guidelines established for other harassment complaints, as described in this Handbook. (Established as University policy effective July 1, 1999)
  11. Deceased Student Policy
    
    Posthumous Degree
    
    When a student dies in the senior year, that event will be recognized at commencement with the consent of the family. If a student has completed seven semesters and is registered in courses that would complete all degree requirements, a posthumous degree may be awarded.
    
    Posthumous Degree Policy
    
    Students who die while actively pursuing a degree may be considered for a posthumous degree based on the following criteria:
    - Progressing satisfactorily and registered in the last semester of the degree program.
    - In good academic and social standing.
    - Completed or nearly completed all coursework and other degree requirements.
    - If all coursework has not been completed, approval is required by special faculty vote that the student should receive a degree posthumously.
    Posthumous Degree Procedure
    - University staff members, family or friends of the deceased contact a faculty member (such as the student's advisor or department chair/program director) or the Office of the Registrar to request award of a posthumous degree.
    - The Registrar reviews the student's record in consultation with the department chair or major program director, student's advisor and current instructors to determine if the student was likely to complete the work satisfactorily and determines that the student is in good academic and social standing.
    - On behalf of the student, the Registrar completes the Application for Graduation.
    - Faculty vote final approval (with the support of the Board of Trustees).
    - The Registrar notifies the individual who made the original request.
    If a posthumous degree is approved:
    - The deceased student's name will be listed in the next commencement program parenthetically noted "Posthumous." Posthumous degrees will be awarded at the next commencement date after approval.
    - On the diploma and transcript, the words "Awarded Posthumously" will be printed.
    - The diploma will be presented during commencement exercises, or if presentation is not appropriate, the diploma may be mailed from the Registrar's Office with an appropriate letter to the family.
    - The script for the next commencement will ensure that the President acknowledges the name(s) of each student who died during the senior year. (Students in the class who die earlier may be memorialized in other ways, but would not be specifically named during commencement ceremonies.)
    Posthumous Award
    
    In cases where it is determined that the student did not meet the above requirements for a degree but was in good standing while attending DePauw, a posthumous certificate may be awarded (if the family wishes). Consent for certificates will be given with the approval of the Dean of Students.
    
    The person requesting the certificate will provide the student's full name and proof of death. In addition, the person requesting the certificate will provide the following personal information: name, address, phone number, and relationship to the deceased.
    
    The request should be addressed in writing to the Registrar and signed and dated.
  12. Drug Free Workplace
    
    It is the policy of DePauw University that all employees comply with federal, state and local laws regarding drugs and alcohol while at the workplace. The University will not tolerate the unlawful manufacture, distribution, dispensing, possession, sale, or use of a controlled substance in the workplace. The workplace includes, but is not limited to, University owned buildings, grounds, vehicles, or anywhere during the workday, including breaks and lunch, with the limited exception of the use of alcohol at University-sponsored or sanctioned special events. Any employee who violates this policy is subject to disciplinary action, up to and including termination.
    
    The University expects all of its employees to adhere to this policy to promote the overall safety, health, productivity and welfare of our workforce and the University community.
    
    The University's Drug-Free Workplace policy includes the following provisions:
    1. Several handouts regarding drug and alcohol abuse awareness are available to all employees from the Office of Human Resources. The handouts include information about the effects and dangers of drug and alcohol abuse and describes sources of counseling and other assistance for affected employees.
    2. If an employee is discovered to be under the influence of drugs and/or alcohol while on the job, he or she will be required to leave the premises, will be advised to seek help and will be subject to corrective action, up to and including termination.
    3. As a condition of employment at DePauw, employees must:
      - Abide by the terms of this policy and all laws regarding drugs and alcohol.
      - Notify the Office of Human Resources in writing of all convictions for criminal drug statute violations in the workplace no later than five days after the conviction.
    4. Each employee is expected to cooperate in the University's good faith effort to implement this policy and maintain a drug-free workplace.
    Voluntary Treatment
    
    Early recognition and treatment of drug and/or alcohol abuse is important for successful rehabilitation. The University encourages the earliest possible diagnosis and treatment for substance abuse. Employees are urged to seek treatment for substance abuse problems and are reminded that treatment and counseling services are available through the Employee Assistance Program and under the University's health insurance plans. An employee needing assistance can contact the Employee Assistance Program, or the Office of Human Resources, which will make referral.
    
    Use of Prescription Drugs
    
    It is expected that when taking over-the-counter or prescribed medicine which may impair performance or function that employees will establish safe levels that will not alter their physical or mental ability to perform their job safely and effectively.
    
    It is the employee's responsibility if he/she believes that the use of a legally obtained drug may impair job performance or safety to immediately notify his/her supervisor of the concern. An employee shall report the concern prior to starting work or as soon as the condition becomes known. The employee's supervisor will then determine whether the employee may continue to work, needs to take a leave of absence, or if some other action is appropriate.
    
    University Responsibilities
    
    The University, in accordance with the Drug-Free Workplace Act of 1988 and related legislation, is committed to informing employees of the dangers of drug and alcohol abuse in the workplace through an ongoing drug-free awareness program which may include new employee orientation sessions, supervisory training and the availability of an employee assistance program.
    
    The University also understands and commits to its responsibility to notify federal contractor(s) of any conviction of an employee for a violation of a criminal drug statute occurring in the workplace within ten (10) days of receiving notice of the conviction.
    
    (Revised November 5, 2007)
  13. Electronic Communications and Acceptable Use Policy
    1. Introduction
      
      The University has adopted this Policy in part to: encourage employee and student productivity; maintain the integrity and security of its network and computing resources and electronic communication systems; preserve its academic and business interests; and protect confidential information. This Policy cannot and does not provide rules and requirements to address every possible situation that may arise. However, it does provide certain minimum standards and requirements with respect to electronic communication issues. The University reserves the right to change, revise or add to this Policy at any time with such notice as it deems appropriate.
      
      Under its Intellectual Property policy, the University has granted to faculty members the intellectual property rights to materials they have authored (articles, books, software, manuscripts, syllabi and course materials) and the results of their research. Faculty members may be required to provide copies of course materials or research protocols if needed for personnel reviews, program reviews, or campus disciplinary proceedings, including the enforcement of this or other policies. All other aspects of the University's electronic communication facilities, including all equipment and data, messages, or other information transmitted, stored or maintained on or in such facilities, are and remain at all times the property of the University, unless otherwise expressly noted in a written confirmation signed by an authorized University official. However, such ownership shall not include any such information that is in violation of any University policy, including, but not limited to, this Policy. DePauw University recognizes and honors the importance of academic freedom, and the provisions of the Policy will be enforced with respect to the teaching and research mission of the University.
    2. Policies
      1. Permissible Uses of Electronic Communication Facilities
        
        Electronic communication facilities are intended to be used primarily for official University business, including employee and student academic pursuits, and employee administrative, personnel and/or business matters. However, reasonable use of University-owned or operated electronic communication facilities for non-commercial personal purposes is permitted if it does not entail a direct cost to the University, interfere with the completion of job responsibilities, impede network operations, or violate University policies, including, but not limited to this Policy. Should users make use of the electronic communication facilities to transmit personal messages, such messages shall not be treated with a higher standard of privacy than any other electronic communication. The University reserves the right to place additional restrictions on the personal use of its electronic communication facilities if necessary to conserve network resources for University purposes. Further, those using the University's electronic communication facilities must use such facilities in a responsible and lawful manner. Unlawful use of electronic communication facilities or use of such facilities which violates any University policy, including this policy, by any user, as determined solely by University officials, will be cause for the University to deny such user further access to such facilities and may be cause for other University disciplinary action, up to and including termination from employment or expulsion.
        
        Consistent with this Policy, users may use the electronic communication facilities to initiate or receive electronic communication. Users should only use their own files, those that have been designated as "public" files, or those that have been made available to them with the knowledge and consent of the owner.
        
        Users shall always keep all copyright and trademark notices intact on University or third-party materials that are received or disseminated in electronic communication. An authorized University representative shall be consulted if there is any question about the form of such notice.
        
        Users of electronic communication facilities in all IS facilities (including any remote sites operated by IS) must: a) fully identify themselves (e.g., by showing a University ID card or other appropriate identification) to any IS staff member or student employee who requests such ID; b) act in an appropriate manner towards other users and IS staff; and c) respect and follow all applicable rules and any notices (e.g., those concerning hours of operation) posted in IS facilities.
      2. Prohibited Uses of University Electronic Communication Facilities
        
        Commercial Purposes: Electronic communication facilities shall not be used for commercial purposes unrelated to the business of the University or for any commercial purpose that has not been expressly authorized by the University.
        
        Other Prohibited Uses and Restrictions:
        Electronic communication facilities shall not be used to access or transmit electronic communication which contain unlawful content, including, but not limited to content that is defamatory or harassing. This prohibition shall not apply to educational and professional work that requires such access or transmission.
        
        Users should not attempt any unauthorized connection to a host using electronic communications facilities.
        
        Electronic communication facilities should not be used to transmit, copy, or store confidential information, except as authorized by University officials. Further, all users must exercise a great deal of caution in transmitting and storing confidential information due to the ease with which electronic communication may be reproduced, stored and/or redistributed. Users should be particularly cautious in using distribution lists if confidential information is being transmitted.
        
        Electronic communication facilities should not be used in any way that may infringe upon the rights of the holder of any copyright or trademark. Downloading, copying or installing software or other data that is subject to copyright, trademark or other legal protection without appropriate authorization or license is prohibited. Information Services (IS) staff will not knowingly provide support for software that a user possesses in violation of the applicable license agreement. IS staff may ask for proof of ownership before helping users with their software. IS staff will not knowingly allow infringing copies or otherwise unauthorized copies of software to be installed on electronic communications facilities and will remove any such suspect software loaded onto electronic communication facilities.
        
        Electronic communication facilities shall not be used in any manner that: is contrary to the University's interests; attempts to obscure, withhold or falsify the identity of the sender; impairs the electronic communication facilities in any way; attempts to gain access to the electronic communication of third parties (unless expressly authorized by such third party or by the University); interferes with, interrupts or obstructs the ability of others to use such facilities; is not related to the performance of an employee's job responsibilities or a student's academic work; and/or is not otherwise authorized by the University.
        
        Electronic communication facilities shall not be used in violation of University policies or local, state or federal laws, rules or regulations.
        
        Users shall not abuse or vandalize any electronic communication facilities. Users are to immediately report any observed or suspected instances of abuse or vandalizing of electronic communication facilities to University officials.
        
        Users should relinquish public computing facilities that they are using if they are doing non-essential work when the computers are in heavy demand. Electronic communication facilities should not be monopolized.
        
        Security/Breach of Security
        Although the University uses various methods in an effort to secure its electronic communication facilities, the University cannot guarantee such security. Electronic communication and electronic communication facilities shall not be used to breach the electronic security of others. A breach of security includes, but is not limited to: any unauthorized attempt to compromise any electronic communication facility, including the use of network privileges, accounts, access codes, identifiers or passwords, or equipment; knowing and unauthorized interception, access, disclosure, disruption, damage, destruction or unauthorized alteration/modification of any electronic information, or electronic communication facilities, including software or hardware; and any unauthorized and intentional disruption or interference with others' use of electronic communication facilities.
        
        Users of electronic communication facilities are responsible for protecting their personal account information and/or password. Any user holding a personal account and its password is, at all times, responsible for its use and all activity originating from that account or using that password. Any attempt to determine the passwords or personal account information of others is strictly prohibited.
      3. Privacy Although University email messages are encrypted by University systems as part of the regular transmission process, the University cannot guarantee the privacy of electronic communications, and users should not expect their use of electronic communication facilities will be private. Users who further encrypt an electronic communication must furnish the encryption key or software to the University upon request so that the University may fulfill its obligations under the provisions of this policy.
    3. Monitoring and Disclosure
      1. In General
        
        The University reserves the right to monitor or disclose the content of any electronic communication sent, received or stored using electronic communication facilities. Monitoring, investigation, and examination of electronic content will only be conducted in connection with a specific event, such as the delivery of a warrant for search and seizure or other permissible events as listed in the Policy. Employees are not permitted to engage in the monitoring, investigation, or examination of electronic communication content without prior specific authorization of the Chief Information Officer as specifically permitted under the Policy. Employees do regularly monitor the performance of the University's computing resources, and the University reserves the right to install or update files on any University-owned computer to assure the performance or security of the campus computing environment. Use of the electronic communication facilities shall be deemed to constitute consent to allow the University to exercise its rights outlined in this Policy and agreement to abide by this Policy.
      2. Monitoring and Disclosure
        As the owner or operator of electronic communication facilities and a private institution of higher education, the University will monitor or disclose the content of the electronic communication of users only under the following circumstances:
        
        A party to the communication consents; or
        
        The communication is readily accessible to the public (examples include, but are not limited to, web pages, e-mails sent to a public mailing list, or a newsgroup post); or
        
        The University has an administrative need to access an e-mail, voice mail or other electronic communication or electronic communication facilities (examples include routine maintenance, backup of data, monitoring of usage patterns, troubleshooting or investigation of an excessive use of network resources that adversely affects performance or protection of the University's rights or property); or
        
        The University is furnished with reasonable information causing it to conduct a review or investigation of any electronic communication or the use of electronic communication facilities (examples include reports or evidence of hacking, identity theft, harassment, commercial card fraud). The University has sole discretion to conduct such a review or investigation under this Policy; or
        
        The monitoring or disclosure occurs as a result of the University's obligations under local, state and/or federal laws, rules or regulations.
    4. Retention and Archival Storage of Electronic Communications
      1. Policies
        Records created or stored in digital format, including electronic communication, may be subject to state or federal laws or University record-keeping policies.
      2. Employee Responsibilities
        Employees are responsible for copying electronic communication for storage in departmental or office files as required by law or University policy.
        
        The University does not maintain centralized or distributed archives of electronic communication sent or received over its electronic communication facilities. Backups made for maintenance or troubleshooting purposes are erased at regular intervals.
        
        Staff should periodically store such copies in departmental or office files for subsequent review followed by either archival storage or destruction in accordance with general University record-keeping policies.
    5. Acceptance of Electronic Signature
      
      [User] understands and agrees that by clicking the "I ACKNOWLEDGE" button the [User] is electronically signing the Request for Release of Educational Records or is authorizing specific University action and that the electronic signature is [User]' s valid and binding signature for purposes of the Educational Records and authorization. [User] understands that: (1) All representations, information and electronic signature(s) [User] provides have the same force and effect they would have if made in non-electronic form; (2) DePauw University can and will rely on the Request for Release of Educational Records; and, (3) [User] intends to be bound to and electronically sign the Request for Release of Educational Records or other authorization by clicking the "I ACKNOWLEDGE" button. [User] further agrees that Indiana's version of the Uniform Electronic Transactions Act (the "Act") applies to the Request for Release of Educational Records, that the Request for Release of Educational Records is a transaction for purposes of the Act, and the [User] consents to the exclusive jurisdiction of Indiana courts in resolving any conflicts arising out of the Request for Release of Educational Records.
    6. Violations
      
      Violations of this Policy by any user will be cause for the University to deny such users further access to the electronic communication facilities and may result in disciplinary action, up to and including termination from employment or expulsion. In certain circumstances, violators may be prosecuted. Violations of this Policy or the alleged misuse of University electronic communication facilities should be reported to the Public Safety Office, the Human Resources Office, or the Chief Information Officer. Reports and violations will be investigated and adjudicated according to the applicable University policies and procedures. The University reserves the right to delete any electronic communication from its electronic communication facilities that violates any provision of this Policy or any other University policy.
    7. Relationship to Other University Policies
      
      This Policy is a supplement to other University policies including, but not limited to, policies governing the appropriate or acceptable use of University property and/or electronic communication facilities.
    8. Definitions
      1. "Confidential information" means any information, data, documents or tangible things which contain proprietary or private information including, but not limited to information not generally known to persons outside of the University concerning students, academic or business matters, donors, alumni, financial or scholarship matters, grant matters, personnel matters, trade secrets, and/or development or business plans.
      2. "Direct cost" means a cost, fee or charge assessed for a product or service provided for some purpose other than a valid University purpose (for example, unauthorized long-distance telephone charges and printing costs).
      3. "Electronic communication" includes, but is not limited to, electronic mail ("e-mail"), newsgroup posts, internal or external bulletin board posts, Internet or World Wide Web pages ("web pages"), data and file transfers, voice mail, telephone and pager messages, facsimile transmissions, any other electronic communication sent, published, or received by an employee, student or guest using electronic communication facilities, and any other information transmitted, stored or maintained in or on such electronic communication facilities.
      4. "Electronic communication facilities" includes, but is not limited to, all University-owned or operated: equipment, data, telephones, computers, computer networks, servers, workstations, personal computers, removable media, electronic voice mail systems, e-mail systems, pagers, facsimile machines, scanners, electronic external or internal bulletin boards, wire services, on-line services, the Internet or World Wide Web, or any other communication system or electronic technical resource provided, owned or operated by the University.
      5. "Monitor" and "monitoring" mean to intercept, access, or inspect an electronic communication with the purpose of viewing the data contained therein. "Monitor" does not include automatic scanning of an electronic communication by network security and performance software such as a firewall, anti-virus, or packet shaper program.
      6. "Employees" means any and all full- and part-time, temporary and regular University employees including, but not limited to faculty members, administrators, instructors, staff members, classified personnel and student employees who have been authorized to use the electronic communication facilities.
      7. "Students" means any and all students who have paid a deposit or are currently enrolled in the University, as well as former students who have been authorized to use the electronic communication facilities.
      8. "Guests" means any and all persons not directly connected to the University, but who have been authorized to use the electronic communication facilities.
      9. "University authorization", "University authorized", or authorization from the "University", a "University official", or "University officials" means any written or oral express permission granted by one of the following University representatives: the President, the Vice President for Academic Affairs, the Dean of the School of Music, or the Chief Information Officer.
      10. "User" means any and all employees, students and guests.
      11. "IS" means University Information Services.
      May 13, 2022 – Revised section B.2.a.i. Other Prohibited Uses and Restrictions.
      (May 13, 2022)
  14. Employment Outside the University
    
    The University permits a faculty member to accept outside employment, such as consulting work, performances, or teaching assignments, with the clear understanding that these commitments will not interfere with his or her contractual obligations to DePauw University.
    
    During the academic year, including Winter Term, a full-time faculty member's external employment outside the University may not exceed the work equivalent to teaching one course, typically 160–190 hours. All professional appointments outside the University during the academic year must be reported to the appropriate department chair or school dean and the Vice President for Academic Affairs. These limits do not apply during the summer when the University is not in session. These limits also do not apply during a full-year sabbatical leave, when faculty members may accept and be paid for employment equivalent to teaching up to two courses during the year.
    
    (Revised August 14, 2014)
  15. Equal Opportunity Policy
    
    DePauw University, in affirmation of its commitment to excellence, endeavors to provide equal opportunity for all individuals in its hiring, promotion, compensation and admission procedures. Institutional decisions regarding hiring, promotion, compensation and admission will be based upon a person's qualifications and/or performance without regard to race, color, creed, religion, national origin, sexual orientation, disability, age, gender, gender identity or gender expression, except where religion, gender, or national origin is a bona fide occupational qualification.
    
    DePauw University's goals and commitments are best served if the institution reflects the diversity of our society; hence, DePauw seeks diversity in all areas and levels of employment and abides by all local, state, and federal regulations concerning equal employment opportunities. The University admits, hires, and promotes individuals upon their qualities and merits.
    
    General Statement of Policy (endorsed by the faculty September 2000, established October 2, 2000)
  16. Ethical Conduct Statement
    
    As a nonprofit organization at the forefront of undergraduate liberal arts education, DePauw University's policy is to uphold the highest legal, ethical, and moral standards. DePauw's donors and volunteers support DePauw University because they trust the University to be good stewards of their resources and to uphold rigorous standards of conduct. DePauw's reputation for integrity and excellence requires the careful observance of all applicable laws and regulations, as well as a scrupulous regard for the highest standards of conduct and personal integrity.
    
    DePauw University will comply with all applicable laws and regulations and expects its trustees, officers, and employees to conduct business in accordance with the letter and spirit of all relevant laws; to refrain from any illegal, dishonest, or unethical conduct; to act in a professional, businesslike manner; and to treat others with respect. Trustees and officers should not use their positions to obtain unreasonable or excessive services or expertise from DePauw University's faculty and staff.
    
    In general, the use of good judgment based on high ethical principles will guide trustees, officers, and employees with respect to lines of acceptable conduct. However, if a situation arises where it is difficult to determine the proper course of conduct, or where questions arise concerning the propriety of certain conduct by an individual or others, the matter should be brought to the attention of DePauw University. Employees should contact their immediate supervisor and, if necessary, the Director of Human Resources. Board members should raise any such concerns with their Committee Chair or the Secretary of the University's Board of Trustees.
    
    Infractions of this Policy for the Promotion of Ethical Conduct are to be reported as set forth in DePauw University's Policy for Reporting Fraudulent, Dishonest, or Unlawful Behavior.
    
    --Endorsed by the Audit and Risk Management Committee of the Board of Trustees, April 19, 2007
  17. Exam Proctoring Policy
    
    If a faculty member cannot be present for a regularly scheduled exam, or if a faculty member needs to administer a make-up exam, it is the faculty member's responsibility to make appropriate arrangements for distributing, proctoring, and collecting the exam(s). (In the context of this policy, proctoring means providing direct supervision of the student(s), including enforcing the faculty member's or the University's academic policies, enforcing time limits, and deciding whether to take action or what action to take when witnessing a potential instance of academic dishonesty.)
    
    For an exam administered during a regularly scheduled class session or at an alternatively scheduled time, the faculty member should arrange for the exam to be proctored by a faculty colleague.
    
    For a make-up exam administered to individual students outside of a regularly scheduled class period, it is acceptable to ask a department secretary or an administrative staff member to hand the exam to the student and/or to receive it when the student is done with the exam, provided that this occurs during the department secretary's or administrative staff member's regularly scheduled hours. It is inappropriate to ask a department secretary or administrative staff member to proctor the exam. It is also inappropriate to require that the student take the exam in the department secretary's or administrative staff member's office as this may impede the employee in carrying out fully his or her primary duties.
    
    Please see the University's policy on the proctoring of exams for students requiring accommodations under the American Disabilities Act.
    
    Please see the University's policy on proctoring exams for student athletes who are traveling for athletic competitions. Also see the associated student athlete exam integrity agreement.
  18. Faculty Development Benefits
    
    Policies and procedures for sabbatical leaves and other faculty development benefits are described on the Faculty Development web site.
  19. Field Trip and Special Event Funds
    
    Please see below for request guidelines.
    
    Field Trip Funds
    
    Limited funds are available for class-related field trips to off-campus sites, usually within 100 miles of Greencastle. Faculty members are encouraged to propose field trips designed to enrich the work of a specific course or set of courses. Field trip funding may not be used for departmental trips. Recent field trips have taken students to museums, plays, films, concerts, and architectural sites in Indiana and nearby states. In recent years, a few weekend trips to museums in New York City and Washington, D.C. have received partial funding, with students covering a substantial portion of the cost.
    
    Attendance Policy / Missing Other Classes
    
    Faculty members may not require student attendance for trips held outside the regularly scheduled class meeting times. We know from experience, however, that if students learn about a trip at the beginning of the semester, most will adjust their schedules in order to be able to attend. Students who choose not to attend a field trip due to a personal or class related conflict may not be penalized but may be required to complete an alternative assignment.
    
    Faculty members are cautioned to avoid scheduling field trips that conflict with regularly scheduled classes. If a trip will conflict with students' other class meetings, faculty members should
    1. prepare a note well in advance for students to take to their other professors, and
    2. explain carefully and more than once that students must ask their other professors, in person, about the possibility of missing a class meeting and about the best way to make up missed work.
    If a student's professors are unwilling to make an exception to the absence policy (or if they are unwilling to reschedule an exam), the student must either forego the field trip or accept the consequences of missing a class meeting.
    
    Field trips will be funded first-come, first-served. Modest requests ($50-250) will be given priority, and some funds will be set aside in the fall to support field trips during second semester.
    
    Special Event Funds
    
    Limited funds are available for class-related events, such as end-of-semester performances or local speakers invited to attend a class meeting. Please apply for these funds at least two weeks ahead of time.
    
    Faculty members should apply to the Public Occasions Committee to request speakers for whom the cost will be substantial (over $100) or to schedule an all-campus performance or lecture.
    
    Request Guidelines
    
    Requests from College of Liberal Arts faculty members may be sent to the Dean of Academic Programs, Assessment and Policies. Requests from School of Music faculty members may be sent via email to the Dean of the School of Music.
    
    Please submit your request at least two weeks prior to the date of your trip or special event, and include the following information:
    - Course number and title.
    - Proposed date for the field trip or special event.
    - Brief explanation of how the trip or event will support the work in your course.
    - Rough budget for the trip or event, including anticipated cost of transportation, tickets, meals, etc., and approximate total cost.
    - Proposed share of cost (about 30% of total) to be charged to student accounts for off-campus field trips. When car-pool to travel to an off-campus trip the estimated cost of the transportation can count as all or part of the cost share, depending on the total cost of the trip. Cost sharing is not required for on-campus special events such as in-class speakers.
    Approval of requests for Field Trip and Special Event Funds will be made by email, usually within a week of submission of your request. College of Liberal Arts faculty members who have questions should contact the Dean of Academic Programs, Assessment and Policies. School of Music faculty members who have questions should contact the Dean of the School of Music.
    
    Planning Events and Submitting Receipts
    1. University policy allows students and faculty members to use their own vehicles for optional events such as the Field Trips supported by this fund. Moreover, it is typically cheaper to use personal vehicles as compared to using vehicles provided by the University. However, there may be situations where a faculty member prefers to use a vehicle obtained through the University. Field Trip funding can be applied toward the use of personal vehicles or vehicles obtained through the University. (Note: Out of class trips and events must be optional unless they are listed in the Schedule of Classes. If an event is required for students, then University policy requires the use of vehicles obtained through the University. Student carpools are generally more economical than renting vehicles. However, University insurance is not available when personal vehicle are used and students should be informed of this. You can read about University rental car options and the We-Car Program as you consider your options.)
    2. To reserve a University vehicle, see the Transportation and Vehicle Use Policy website.
    3. Student drivers must receive certification from Public Safety (ext. 4261) before they may drive a van. For trips out of state, one adult must ride in each van.
    4. Whenever possible, use a University commercial credit card to cover expenses and submit original, itemized receipts to the Office of the Dean of Academic Programs, Assessment and Policies.
    5. For expenses not charged to a University commercial credit card, original, itemized receipts and a signed reimbursement voucher sheet must be submitted to the Office of the Dean of Academic Programs, Assessment and Policies.
    6. Faculty members must submit a list of students participating in the field trip to the Office of the Dean of Academic Programs, Assessment and Policies prior to the trip. No reimbursements may be made until the list of students is received.
    (Revised August 31, 2020)
  20. Harassment Policy
    
    The University is committed to a policy of equal opportunity for all members of the University community, including, but not limited to, members of the faculty and staff, students, guests of the University, and applicants for employment and admission. In this regard, the University reaffirms the right of its students to live and learn, and its employees to teach and work, in an environment free from harassment and inappropriate and/or offensive comments or conduct.
    
    The University’s detailed Harassment Policy is available for students, faculty, staff and others at this URL: https://www.depauw.edu/handbooks/employee-guide/harassment/
  21. Hospitality Funds
    
    Full-time and part-time teaching faculty members are eligible for up to $200 per academic year to help support non-required student-faculty gatherings and meals.
    
    These funds are limited and will be distributed on a first-come, first-served basis.
    - Hospitality Funds may not be used for snacks or meals during regular class meetings or exams or other required components of a course.
    - Department and program entertainment funds, rather than Hospitality Funds, should be used to pay for department related events (such as interest group or academic club meetings, meals for newly declared majors, food for senior celebrations and readings, etc.).
    It is appropriate to draw on Hospitality Funds for the following activities:
    - Meal at faculty member's house.
    - Meal in campus dining rooms and restaurants (students with meal plans should use their IDs to cover a portion of the cost).
    - Meal at a local restaurant (there is a cap of $10 per meal per person, although students or faculty members may make up the difference for more expensive meals).
    - Meal related to non-required class meeting (for example, pizza and film in the evening). Reminder: students may be encouraged, but not required, to attend class meetings held outside of regular time banks.
    - Reunions of classes from past semesters.
    Whenever possible, faculty members should use a University commercial credit card to cover expenses. College of Liberal Arts faculty members should send original, itemized receipts and a signed voucher reimbursement sheet promptly to the Dean of Academic Programs, Assessment and Policies. School of Music faculty members should submit materials for reimbursement through the Dean of the School of Music.
    
    (Revised August 31, 2020)
  22. Human Subject Research Policy and Review Procedure
    
    Introduction
    
    DePauw IRB Website. (For Animal Use and Care Policy see Article VI. in General Policies.)
    
    The purposes of this procedure are as follows:
    1. The primary reason is for the protection of the rights and safety -- both physical and emotional -- of human subjects. The subjects benefit and DePauw benefits by these efforts to ensure responsible conduct and informed participation by human subjects.
    2. A review procedure that upholds human research standards also protects the researcher in two ways:
      - It helps to assure that the research is done properly according to standards for ethical and responsible research conduct
      - Compliance with institutional standards and procedures shifts the burden of responsibility to the University if a subject makes a complaint or brings legal action
    3. Federal and professional standards require institutional review and approval of human subject research. In fact, federal grant proposals require advance approval of subject procedure
    4. Students learning how to do research should also learn about research ethics and the need for review procedures
    Human Subject Review Procedures
    
    These procedures apply to activities engaged in for the purpose of research, which means a systematic investigation, including research development, testing and evaluation, designed to develop or contribute to generalizable knowledge, whether or not the activities are conducted under a program which is considered research for other purposes (e.g., some demonstration and service programs may include research activities).
    
    Research with human subjects will be conducted in a manner consistent with federal guidelines and the guidelines of the professional organizations of the disciplines. The policies and procedures described here and in implementing documents apply to all members of the University, including faculty members, administrators, staff and students.
    
    Activities that involve manipulation of humans or data obtained from them for other purposes (e.g., work done to study the effectiveness of common educational techniques, or for the purpose of institutional assessment) should be guided by similar principles, but do not come under the purview of the Institutional Review Board (IRB). Researchers must report any relevant changes in their research procedures to the Board.
    
    Category I Research
    
    Category I Proposal Form
    
    Criteria:
    
    Category I research involves no more than everyday stress, minimal risk, most field observations, and the study of existing data. If participants can be identified, the research must receive an expedited review or full review as described below. To qualify as Category I, all of the following must be true. The research:
    - Does not involve a special or protected population (e.g., participants under 18 years of age, prisoners, in/outpatients, mentally/physically disabled, pregnant women)
    - Does not involve deception (beyond not informing subjects about every aspect of this study and hypotheses)
    - Poses no reasonably foreseeable physical risks to participants
    - Poses no reasonably foreseeable stress or discomforts to participants (beyond everyday levels)
    - Does not involve private records (e.g., medical and/educational data linked to names)
    - Does not probe for sensitive personal information (including disease/disorder/disability status)
    - Obtains informed consent from participants (if all other conditions are met there may be cases-field studies, for example-when informed consent is not required; the category I form asks for an explanation/justification in such cases)
    - Does not present offensive, threatening, or degrading material
    - Preserves confidentiality of participants
    - Debriefs participants (there may be exceptional circumstances--field studies--where debriefing is not feasible; the category I form will ask for an explanation/justification in such cases)
    Procedure:
    
    Faculty and students whose research meets the above criteria should submit a Category I online application form from the DePauw IRB web site. Students must consult a faculty sponsor before submitting an online form. One or more members of the IRB will review the proposal and respond, generally within 10 working days. Category I research requires approval and research may not begin until researchers have received notification of approval from the IRB reviewer(s).
    
    Category II Expedited Review Research
    
    Category II Proposal Form
    
    Criteria:
    
    The research involves minimal/some risk, or deception or moderate stress, or intrusive procedures such as venipuncture. The research must satisfy basic requirements.
    
    Procedure:
    
    The researcher(s) submits a Category II online application form from the DePauw IRB web site. Students must consult with a faculty sponsor before submitting the form. Two or more members of the IRB will review the proposal and respond, generally within two (working) weeks. Category II research may not begin until researchers have received notification of approval from the IRB reviewers.
    
    Category III Full Review Research
    
    Category III Proposal Form
    
    Criteria:
    
    The research involves more than minimal risk, or use of especially vulnerable populations, for example, children, prisoners, pregnant women, or persons with mental or physical disabilities.
    
    Procedure:
    
    The researcher(s) submits a Category III online application form from the DePauw IRB web site. The project description should give special attention to the nature of potential risks, how the risks will be managed, and the qualifications of the researchers for conducting research of this nature. Students must consult with a faculty sponsor before submitting the form. The full committee will review the proposal and respond, generally within two (working) weeks. Category III research requires full committee approval and research may not begin until researchers have received notification of approval from the IRB.
    
    Composition of the Board
    
    The Institutional Review Board must consist of at least five members, appointed by the chief academic officer, on the recommendation of current members. The members must have varying backgrounds sufficient to assure complete and adequate review of research activities commonly conducted by the institution. The committee must be sufficiently qualified in expertise, experience and sensitivity to issues such as community attitudes (which might arise from their race, gender or cultural backgrounds). In addition, the committee should strive for diversity of intellectual and methodological traditions in its membership. If the IRB regularly reviews research involving a vulnerable category of subjects, consideration must be given to inclusion of one or more individuals who are knowledgeable in working with these subjects. The committee must include at least one person whose chief concern is scientific issues and at least one whose primary concerns are in nonscientific areas, and at least one member neither affiliated with the institution nor a member of the immediate family of a person affiliated with the institution. A member who has a conflicting interest (Conflicts of Interest as covered by the policy established by the Faculty Personnel Policy and Review Committee and the Administration and published in Appendix 3 in the Personnel Policies of the Academic Handbook or other conflict such as serving as a consulting researcher or having a relationship to the subject of the research) may not participate in a review, except to provide information. The IRB may invite individuals with special expertise to assist in a review, but that person may not vote. Full reviews must be carried out at the convened meetings with a majority of members present, including the nonscientific member; approval requires a majority vote of those present.
    
    General Procedures
    
    The IRB must have written procedures for carrying out its reviews, for determining which projects require review more often than annually and which projects need verification from sources other than the investigators that no material changes have occurred since previous IRB review, and for securing reports of proposed changes in a research activity and for ensuring that such changes will not be initiated without IRB approval except when necessary to eliminate immediate hazards to the subject. The IRB is responsible for determining its procedures within these guidelines, with the input of affected initials and the chief academic officer. The policies of the IRB must be in accord with the guidelines of the appropriate federal agencies and the various professional organizations of the disciplines; modifications in policies must be approved by the chief academic officer.
    
    Appendix A
    
    The federal guidelines are available at the Web site of the Office for Human Research Protections (http://www.hhs.gov/ohrp/index.html).
    
    Other Resources:
    - American Anthropological Association: http://www.americananthro.org/
    - American Historical Association: www.historians.org
    - American Psychological Association: http://www.apa.org/research/responsible/index.aspx
    - American Sociological Association: https://www.asanet.org/research-methods/?hilite=research
    - National Communication Association: www.natcom.org
    Appendix B
    
    The following basic principles apply to all categories of research:
    - Informed consent. Subjects' participation must be voluntary and informed. Before participation, subjects must receive an explanation of the purposes of the research, what they will be asked to do, and any potential risks involved. They must be told that they may refuse to participate in the study and may discontinue participation at any time.
    - Protection from harm. Stress to subjects shall be minimized as much as possible. Signed consent must be obtained from all subjects.
    - Anonymity and/or confidentiality must be observed when possible. If anonymity or confidentiality cannot be maintained, the investigator must provide strong justification.
    - Risks to subjects must be outweighed by the sum of the benefit to subjects and the importance of the knowledge to be gained.
    - Debriefing. The exact nature and purpose of the student must be explained to subjects after completing the study; subjects have a right of access to a report of the results of the study.
    (This list of principles was excerpted from the guidelines of the Denison University Institutional Review Board.)
    
    (Adopted by the University, October 1998; modified December 2007)
  23. Insurance and Other Benefits
    
    Information and brochures pertaining to insurance and other employee benefits available to members of the faculty are available in the Office of Human Resources.
  24. Intellectual Property Policy
    
    Preamble
    
    DePauw University benefits from an active and productive faculty, and from encouraging faculty work and creativity both on and off the Greencastle campus. Intellectual property inevitably will be created in the course of research, teaching and service activities of DePauw University's faculty members and staff members. By longstanding practice, DePauw University has recognized and honored the academic tradition that individual faculty members own the copyrights of course-related, scholarly, and other creative original works of authorship that they produce in the course of their employment by DePauw University. DePauw University continues to recognize and honor this academic tradition, notwithstanding that federal law may give DePauw University presumptive ownership of original works of authorship created by its faculty within the scope of their employment. Accordingly, this DePauw University Intellectual Property Policy (the "Policy") identifies the ownership interests of DePauw University and its faculty members and staff members with respect to original works of authorship created in the academic setting. This Policy is incorporated by reference into the policies governing conditions of employment of all DePauw University employees, and is binding as between DePauw University and its employees. In the event that this Policy, in conjunction with federal copyright or intellectual property law, does not effect the desired rights of ownership described below, DePauw University and its employees shall work in a good faith manner consistent with the principles in this Policy and execute any documentation necessary to carry out the intent of this Policy and its desired results.
    
    Rights of Ownership
    1. University Works
      
      DePauw University shall own all "University Works," meaning original works of authorship or invention that are created, in whole or in part:
      - with the use of "Substantial University Resources," meaning financial, material, personnel or other support provided to an employee that is beyond the level of common research and teaching support typically provided by DePauw University to that employee. [Note: This accounts for, and by implication assumes, that faculty members may be supported at differing levels, i.e. there is not a standard/definable support applicable to all]; or
      - as a specific requirement of employment, pursuant to an explicit DePauw University assignment by a supervisor or duty, on commission from DePauw University for its own use, or pursuant to a gift, grant or contract which requires ownership by DePauw University.
      University Works shall be owned by DePauw University as works made for hire within the scope of employment by DePauw University. The following works presumptively shall be considered University Works: "Courses," meaning the copyrightable videotapes and other recordings of all course lectures, classes, or presentations;
      
      "University Publications," meaning DePauw University-sponsored or owned journals, periodicals, newsletters, yearbooks and other print or electronic publications; and
      
      "University Administrative Materials," meaning policies, curricula, promotional materials, web sites, and similar works, including but not limited to works created for faculty and DePauw University committees, works created by faculty members in assigned administrative roles, and works created by department chairs and program coordinators on behalf of their programs.
      
      DePauw University grants faculty members and staff members non-exclusive rights to non-commercial use and distribution of University Works that they have authored unless otherwise prohibited by contractual or legal restrictions.
    2. Staff Works
      
      DePauw University shall own all "Staff Works," meaning original works of authorship that are created:
      - by non-faculty employees within the scope of employment by DePauw University; or
      - by non-employees, consultants, or contractors expressly for DePauw University.
      Exceptions may be granted in particular circumstances, such as for work done in an approved consultancy for another institution, or creative and scholarly work produced with DePauw University resources not related to the job description if so identified by the supervising vice president. DePauw University does not claim ownership of works created by non-faculty employees outside of the scope of employment by DePauw University.
    3. Faculty Works
      
      Faculty members shall own all "Faculty Works," meaning original works of authorship that reflect scholarly research and creativity produced by and on the initiative of faculty members within the scope of their employment by DePauw University, including but not limited to: syllabi for courses, tests, assignments, instructor's notes, instructional materials (including websites and videos), textbooks, monographs, journal articles, other works of non-fiction and fiction, poems, speeches and other creative works such as musical compositions and visual works of art. As an exception, the University Communication Policy governs the right of the University to take possession of or to provide access to materials produced using the University's electronic communications system when required by law or when there is evidence of violation of University policies.
      
      Academic departments, the Faculty Personnel Policy and Review Committee in the course of its deliberations, or the DePauw University administration may require individual faculty members to share copies of scholarly research and creativity, such as instructional and other materials used for ordinary classroom and program use, as part of the ordinary processes of administration, evaluation and internal or external review or in case of a disciplinary hearing. Additionally, faculty members may be asked to provide copies of scholarly research and creativity as part of internal or external review processes or in the course of applying for DePauw University funding of scholarly and other creative work. Such requirements to share and permit limited use of these works shall not otherwise limit a faculty member's copyright in scholarly research and creativity.
      
      In cases where DePauw University is asked to make an extraordinary investment to enable faculty research or other work, ownership conditions will be negotiated at the time of the approval of the request for investment so that DePauw University may receive a fair return on its investment. In the case of scholarly, creative, or pedagogical work done collaboratively with other institutions or for-profit corporations, or where granting bodies take a different approach to ownership, agreements may be worked out ahead of time and subject to review and revision by the Chief Academic Officer, who shall apply the principle of maximizing academic freedom, fair use, open scholarly inquiry, and respect for the rights of authors and inventors.
    4. Student Works
      
      Students shall own all "Student Works," meaning materials produced as part of their academic work for graduation credit, including materials produced for particular courses, such as, written assignments, creative and artistic work, quizzes and examinations. As an exception, the University Communication Policy governs the right of the University to take possession of or to provide access to materials produced using the University's electronic communications system when required by law or when there is evidence of violation of University policies.
      
      Materials produced by students as employees of the University are governed by the "staff works" section of this policy.
      
      Work by students produced in collaborative projects with faculty members or other DePauw employees shall be governed by the policies that govern the University employees unless there are particular stipulations made at the time of the start of the collaborative project.
      
      Student works may be copied and retained by faculty members for use as needed in fulfilling their responsibilities as faculty members (such as verifying authenticity and originality) and as part of the academic personnel evaluation policy. A student work may not be shared by a faculty member with others outside of the previous provisions without permission of the student.
      
      In cases where DePauw University is asked to make an extraordinary investment to enable student research or other work, DePauw University ownership conditions will be negotiated prior to the approval of the investment so that DePauw University may receive a fair return (minimally reimbursement) on its investment. In the case of scholarly, creative, or pedagogical work done collaboratively with other institutions or for-profit corporations, or where external funding agencies take a different approach to ownership, agreements may be worked out ahead of time and are subject to review and revision and final approval by the Chief Academic Officer, who shall apply the principle of maximizing academic freedom, fair use, open scholarly inquiry, and respect for the rights of authors and inventors.
      
      Students who produce work during internships for hosts other than DePauw University (even if for academic credit and if partially supported by stipends from DePauw) shall retain ownership of those products except as they may be required to assign those rights to their internship hosts.
    Copyright Notice and Use of the DePauw University Name
    1. Notice
      
      The following form of copyright notice shall be used on all University Works or any other works owned by DePauw University:
      
      ©[year of first publication] DePauw University. All Rights Reserved.
    2. Use of the DePauw University Name
      
      The DePauw University name, associated symbols, and seal are important and valuable representations of DePauw University and its academic reputation. Therefore, use of the DePauw University name, associated symbols, and seal in connection with a work, other than for the sole purpose of identifying the author as a university employee or as a student affiliated with DePauw University, requires the advanced written permission of the supervising DePauw University Vice President. This does not limit the right of university employees or students to use the DePauw University name in accurate descriptions of events and activities that have taken place at DePauw. Furthermore, faculty members, staff members and students at DePauw University may not participate in the creation or use of works that might give the impression of DePauw University sponsorship where there is none. If the DePauw University name, associated symbols, or seal is to be used in connection with any works created under collaborative agreements with outside entities, other than to identify the creator by his or her title at DePauw University, such agreements must be approved in advance and in writing by an authorized DePauw University administrator.
    Administration, Interpretation and Dispute Resolution
    
    Interpretation of this Policy
    1. Administration
      
      This policy shall be administered by the supervising vice presidents.
    2. Interpretation and Dispute Resolution
      
      All issues of interpretation and dispute resolution shall be managed by either the Vice President for Academic Affairs, the Dean of the School of Music, or the Vice President for Finance and Administration, or another senior officer designated by the President.
    (Adopted by the University, January 2008)
  25. Open Access Policy
    
    The faculty of DePauw University is committed to disseminating the results of its published research and scholarship as widely as possible. In keeping with that commitment, the faculty adopts the following open-access policy:
    
    Each faculty member will, henceforth, retain – where feasible and appropriate – copyright privileges with respect to his or her scholarly articles. Whenever possible, faculty authors will negotiate open-access agreements with scholarly publishers. Whenever and wherever faculty authors negotiate open access agreements with a publisher, said authors will henceforth grant to DePauw University special permission to make available his or her scholarly articles in the university's institutional repository. (For the purposes of this Open Access policy, scholarly articles are understood to be articles published in peer-reviewed journals).
    
    Each faculty member grants to DePauw University a non-exclusive worldwide license to exercise any and all rights under copyright relating to each of his or her scholarly articles, in any medium, provided that the articles are not sold for a profit. The policy applies to all scholarly articles authored or co-authored while the author is a member of the faculty. As the copyright holder of the article, the faculty author maintains the exclusive and irrevocable right to withhold from DePauw University the granted worldwide license for any given article provided that the faculty author submit the appropriate waiver to the Vice President for Academic Affairs or the Vice President for Academic Affairs' designate.
    
    The policy does not apply to: any articles completed before the adoption of this policy; any articles for which the faculty member entered into an incompatible licensing or assignment agreement before the adoption of this policy; or any articles for which the author requests a waiver. The Vice President for Academic Affairs or the Vice President for Academic Affairs' designate will waive application of the policy for a particular article or delay access to said article for a specified period of time upon express direction by the author.
    
    To facilitate access to his or her scholarly articles, authors will provide one electronic copy of the final peer-reviewed version of each article for which no waiver has been obtained, along with the appropriate bibliographic data. This electronic copy will, whenever practical, be delivered no later than the date of publication for the article to the appropriate representative of the Vice President for Academic Affairs' Office in an appropriate format (such as PDF) specified by Library and Academic Technology Committee in consultation with the Vice President for Academic Affairs' Office.
    
    The Vice President for Academic Affairs' Office may make the article available to the public in an open-access institutional repository for as long as the faculty author and copyright holder grants such access. The current policy is in no way intended to hinder faculty efforts to publish their work in the best peer-reviewed scholarly journals but is, rather, an attempt to make articles more widely available, when and where possible. The faculty-led Library and Academic Technology Committee will maintain responsibility for protecting faculty interests and overseeing the operation of the repository as well as interpreting this Open Access policy, resolving disputes concerning its interpretation and application, and recommending changes to the faculty from time to time.
    
    (Approved by the faculty, April 2014)
  26. Opening Convocation and Commencement
    
    All members of the faculty are expected to attend the annual opening day convocation and commencement as a part of their professional obligations. Requests for an excused absence should be sent to the Vice President for Academic Affairs. Such requests are limited to professional obligations, an emergency, or urgent business.
  27. Record Retention and Document Destruction Policy
    
    Purpose
    
    Consistent with the Sarbanes-Oxley Act, which makes it a crime to alter, cover up, falsify, or destroy any document with the intent of impeding or obstructing any official proceeding, this policy provides for the systematic review, retention, and destruction of documents received or created by DePauw University in connection with the transaction of University business. This policy covers all records and documents, regardless of physical form, contains guidelines for how long certain documents should be kept, and how records should be destroyed (unless under a legal hold). The policy is designed to ensure compliance with federal and state laws and regulations, to eliminate accidental or innocent destruction of records, and to facilitate DePauw University's operations by promoting efficiency and freeing up valuable storage space.
    
    Document Retention
    
    DePauw University follows the document retention procedures outlined below. Documents that are not listed, but are substantially similar to those listed in the schedule, will be retained for the appropriate length of time.
    
    Corporate Records
    
    Annual Reports to Secretary of State/Attorney General ---------- Permanent
    
    Articles of Incorporation ---------- Permanent
    
    Board Meeting and Board Committee Minutes ---------- Permanent
    
    Board Policies/Resolutions   ---------- Permanent
    
    Bylaws ---------- Permanent
    
    Construction Documents ---------- Permanent
    
    Contracts (after expiration)    ---------- 7 years
    
    Correspondence (general) ---------- 3 years
    
    Fixed Asset Records ---------- Permanent
    
    IRS Application for Tax-Exempt Status (Form 1023)    ---------- Permanent
    
    IRS Determination Letter ---------- Permanent
    
    State Sales Tax Exemption Letter     ---------- Permanent
    
    Accounting and Corporate Tax Records
    
    Annual Audits and Financial Statements Permanent
    
    Business Expense Records    ---------- 7 years
    
    Cash Receipts ---------- 3 years
    
    Credit Card Receipts ---------- 3 years
    
    Depreciation Schedules    ---------- Permanent
    
    General Ledgers    ---------- Permanent
    
    Invoices    ---------- 7 years
    
    IRS Form 990 Tax Returns ---------- Permanent
    
    IRS Forms 1099 ---------- 7 years
    
    Journal Entries     ---------- 7 years
    
    Petty Cash Vouchers ---------- 3 years
    
    Sales Records (box office, concessions, gift shop) ---------- 5 years
    
    Bank Records
    
    Bank Deposit Slips    ---------- 7 years
    
    Bank Statements and Reconciliations     ---------- 7 years
    
    Check Registers ---------- 7 years
    
    Electronic Fund Transfer Documents ---------- 7 years
    
    Payroll and Employment Tax Records
    
    Earnings Records ---------- 7 years
    
    Garnishment Records ---------- 7 years
    
    Payroll Registers ---------- Permanent
    
    Payroll Tax Returns ---------- 7 years
    
    State Unemployment Tax Records    ---------- Permanent
    
    W-2 Statements    ---------- 7 years
    
    Employee Records
    
    Accident Reports and Worker's Compensation Records ---------- 5 years
    
    Employment and Termination Agreements ---------- Permanent
    
    Employment Applications     ---------- 3 years
    
    I-9 Forms ---------- 3 years after termination
    
    Records Relating to Promotion, Demotion, or Discharge    ---------- 7 years after termination
    
    Retirement and Pension Plan Documents ---------- Permanent
    
    Salary Schedules ---------- 5 years
    
    Time Cards    ---------- 2 years
    
    Donor and Grant Records
    
    Donor Records and Acknowledgment Letters     ---------- 7 years
    
    Fund/Trust Agreements and Statements ---------- Permanently
    
    Grant Applications and Contracts     ---------- 7 years after completion
    
    Grant Applications – Non-awarded    ---------- 3 Years
    
    Legal, Insurance, and Safety Records
    
    Appraisals ---------- Permanent
    
    Copyright Registrations ---------- Permanent
    
    Environmental Studies    ---------- Permanent
    
    General Contracts ---------- 3 years after termination
    
    Insurance Policies ---------- Permanent
    
    Leases ---------- 6 years after expiration
    
    OSHA Documents     ---------- 5 years
    
    Real Estate Documents   ---------- Permanent
    
    Stock and Bond Records ---------- Permanent
    
    Trademark Registrations ---------- Permanent
    
    Student Records
    
    Academic Advising Files ---------- 3 Years
    
    Academic Integrity Files ----------5 Years from last incident
    
    ADA Files    ---------- 5 Years
    
    Admission Applications – Non-enrolled Students   ---------- 1 Year
    
    Financial Aid Files    ---------- 4 Years
    
    Health Files    ---------- 7 Years
    
    Perkins Loan Files    ---------- 3 Years after payoff
    
    Scholastic Standing Files ---------- 5 Years
    
    Student Life Files ---------- 6 Years
    
    Transcripts    ---------- Permanent
    
    Vaccine Records ---------- Permanent
    
    Electronic Documents and Records
    
    Electronic documents will be retained as if they were paper documents. Therefore, any electronic files, including records of donations made online, that fall into one of the document types on the above schedule will be maintained for the appropriate amount of time. If a user has sufficient reason to keep an e-mail message, the message should be printed in hard copy and kept in the appropriate file or moved to an "archive" computer file folder. Backup and recovery methods will be tested on a regular basis.
    
    Emergency Planning
    
    DePauw University's records will be stored in a safe, secure, and accessible manner. Documents and financial files that are essential to keeping DePauw University operating in an emergency will be duplicated or backed up at least every week and maintained off-site.
    
    Document Destruction
    
    DePauw University's chief financial officer is responsible for the ongoing process of identifying its records, which have met the required retention period, and overseeing their destruction. Destruction of financial and personnel-related documents will be accomplished by shredding.
    
    Document destruction will be suspended immediately, upon any indication of an official investigation or when a lawsuit is filed or appears imminent. Destruction will be reinstated upon conclusion of the investigation.
    
    Compliance
    
    Failure on the part of employees to follow this policy can result in possible civil and criminal sanctions against DePauw University and its employees and possible disciplinary action against responsible individuals. The Chief Financial Officer and the Audit and Risk Management Committee Chair will periodically review these procedures with legal counsel or the University's Independent Certified Public Accountants to ensure that they are in compliance with new or revised regulations.
    
    --Endorsed by the Audit and Risk Management Committee of the Board of Trustees, April 17, 2007
  28. Retirement Agreement for a Tenured Faculty Member
    
    A retirement agreement is a formal agreement by a tenured faculty member to retire by a particular date. The agreement is signed by the faculty member and the Vice President for Finance and Administration after the faculty member has consulted with the Vice President for Academic Affairs and they are in accord about the terms of the agreement.
    
    Post Retirement
    
    Under DePauw's employee policies, certain retirement benefits accrue to employees who meet the "Rule of 80" (age of at least 55, currently continuous years of service at DePauw of at least 15, and sum of age and currently continuous years of service at DePauw of at least 80) as long as they were hired before January 1, 2013. There are no continuing health care benefits for employees hired on or after January 1, 2013. For more information contact Office of Human Resources.
    
    For those employed at DePauw whose years of continuous service began before July 1, 1996, the eligibility requirements are: as stated above, or they must be at least age 62 and have at least 15 years of continuous service, without any threshold on the total. These benefits are:
    - Eligibility to participate in the DePauw Voluntary Employee Benefit Association (VEBA) which acts as a post-retirement medical spending account and allows for use of the DePauw contributions and investment earnings designated for the employee for qualifying medical expenses.
    - Continuation after retirement for eligible dependents to obtain tuition remission benefits (free tuition at DePauw, and substantially reduced tuition for enrollment at a college participating in the GLCA tuition remission exchange program).
    - Certain eligibility for employee and eligible dependents to participate in group health insurance options.
    Employees who retire before their 65th birthday:
    
    After retirement and until the month before turning 65, the retiree and eligible dependents will be able to purchase group health insurance through DePauw's group health insurance plan at the pre-65 retiree rate.
    
    Beginning in the month in which the retiree turns 65, Medicare becomes the primary health insurance coverage and the retiree may purchase secondary health insurance coverage through DePauw's group health insurance plan at the post-65 retiree rate which includes a defined contribution amount by DePauw for the retiree and eligible dependents. This benefit will continue until June 30, 2030, plus one additional full year for each year or fraction thereof in which the employee retires before the 65^th birthday. The retiree and/or eligible dependents will be responsible for the balance of all insurance premiums for secondary health insurance coverage. After that time, the retiree and/or eligible dependent will be responsible for all costs related to their health insurance coverage. However, the retiree and/or eligible dependents will be able to remain on the DePauw group plan at the group rates.
    
    If an eligible dependent is older than the pre-65 retiree, the dependent remains on the pre-65 retiree plan until the first day of the month in which the retiree turns age 65. At that time, both the retiree and the dependent will transition to the post-65 plan.
    
    Employees who retire after their 65^th birthday:
    
    Medicare will become the primary health insurance coverage and the retiree and eligible dependents may purchase secondary health insurance coverage through DePauw's post retirement group health insurance plan at the post-65 retiree rates until June 30, 2030. After that time, the retiree and/or eligible dependents will be responsible for the balance of all insurance premiums for secondary health insurance coverage, however, the retiree and/or eligible dependents will be able to remain on the DePauw group plan at the group rates.
    
    If an eligible dependent is under age 65 (and the retiree is over age 65), the dependent will remain on the pre-65 retiree plan until the first day of the month in which the dependent turns age 65. At that time they will join the retiree on the post-65 plan.
    
    Pre-Retirement Arrangements
    
    DePauw is willing to enter into a pre-retirement arrangement with a tenured faculty member if it benefits the University and if the faculty member finds it of benefit as well. Agreements are individualized since the needs and desires of each individual and University in particular cases may differ.
    
    Pre-retirement arrangements may include the following as part of an agreement that sets a definite retirement date:
    - Eligibility to take instead of the last scheduled sabbatical leave a “pre-retirement leave” (full year at half pay or half year at full pay). A pre-retirement leave may be for a pre-retirement project, perhaps preparing for post-retirement activities) that would not normally be approved for a regular professional sabbatical.
    - Removal of the normal obligation to return to teach for a full year following the final sabbatical or pre-retirement leave.
    - Up to one half year of reduced teaching without reduction in compensation, which may be spread over the last three years prior to retirement.
    With the approval of the Vice President for Academic Affairs, other reductions of teaching for reduction of salary in the amount of one or two courses per year (for salary reductions of 12.3% of base salary per course; and 5% of base salary for each semester of no teaching for which no service would be expected). (These percentages have been determined by allocating the salary of a normal full-time job as follows: 80% for teaching spread on average over 6.5 courses per year including Winter Term; 10% for service; 10% for professional growth.) These arrangements can only be made for the last five years prior to retirement. Otherwise in each of these years prior to retirement except for a semester in which there are no teaching obligations the faculty member is expected to complete the normal obligations of service and professional growth.
    
    A retired faculty member may be appointed to teach as a Senior Professor (part-time faculty status) under the usual arrangements for senior professors, which require both departmental need and mutual approval by the individual, the department chair and the Vice President for Academic Affairs. The pay will be no less than the current arrangement which is that a senior professor is paid per course at least $2,000 more than the then current per-course rate for part-time faculty who hold a terminal degree. The selection and scheduling of the courses are to be completed in the usual way of consultation with and ultimate decision by the chair of the department. With the approval of the individual, the department chair and Vice President for Academic Affairs, Senior Professors will also be paid at this rate if they supervise eight or more research students. Additionally, with the same approvals, Senior Professors will be compensated $100 per day for service activities that meet a Department or University need. (See Article I.A.1.(a) in the Personnel Policies for other details regarding the faculty status of Senior Professors.)
    
    A retired faculty member receives the benefits of emeriti professors as stated in the Academic Handbook, such as, on-campus Internet connection, email account, attendance privileges at faculty meetings including the right to vote in semesters in which the person is teaching, library use and borrowing privileges and access to and use of the recreational facilities.
    
    After retirement a faculty member will be assigned an office according to the current University policies for emeriti faculty members. In the years of service as a Senior Professor (teaching) the retiree will be assigned a single office. After retirement the retiree may retain use of the current University-supplied computer or a designated replacement provided by the University. For at least three years after a retiree ceases teaching, if the retiree plans to remain professionally active and to work regularly on campus, and on request, the retiree will be assigned office space, which may be shared, including a desk, computer with Internet connection, and phone. Toward the end of the second year of this three-year period the Vice President for Academic Affairs will review the retiree's recent use of the office and the level of professional activity and the retiree's projected future needs to determine whether the arrangement should be renewed. The University will endeavor to minimize the number of office moves that are required of a retiree but cannot assure that the office assignment after retirement will be the same from year to year.
    
    Other employee benefit changes resulting from retirement:
    - Retired employees are no longer eligible for such employee benefits as employee contributions to a flexible spending benefit plan or long-term disability insurance.
    - After the retirement date, DePauw-funded life insurance coverage will be $3,500.
    - Retired employees are no longer eligible to receive employer contributions into the tax deferred annuity 403(b) plan, or the VEBA account for active employees.
    - A retired employee may not make personal contributions to a 403(b) account through the University's programs except when the retiree is working part-time for the University.
    Benefits for those who meet the Rule of 80:
    
    Employees who satisfy the rule of 80 (age at least 55, years of service in continuous benefit-eligible employment at least 15, and the total of age and years of service at least 80; both age and years of service are counted in full years completed) will be eligible for the following benefits:
    - Tuition benefit: For qualified dependent children even after your retirement.
    - Group Health benefits:
    For an employee who retires before his or her 65th birthday, after retirement and until the month before the retiree turns 65, the retiree will be eligible to purchase health insurance through DePauw at the pre-65 retiree rate;
    
    Beginning in the month in which the retiree turns 65 Medicare becomes the retiree's primary health coverage and the retiree may purchase secondary medical coverage through DePauw at the post-65 retiree rates until June 30, 2030 plus one full year for each year or fraction thereof the retiree retires before his or her 65th birthday; and
    
    The retiree is vested (able to use) the funds invested by DePauw in the medical expense investment account (VEBA) for qualifying medical expenses.
    
    NOTE: The retiree will be responsible for the balance of all medical costs including the full premium for secondary coverage after the expiration of eligibility for the post-65 retiree rates, though the retiree may choose to reserve the funds of the medical expense investment account (VEBA) to draw upon tax free to address these expenses.
    
    VEBA Account:
    
    DePauw makes monthly tax-free contributions to a Voluntary Employee Benefit Association (VEBA) investment account designated for the future benefit of each active, benefit-eligible employee hired prior to January 1, 2013. If the employee satisfies the rule of 80 before retiring, upon retirement the retiree and eligible dependents may use these funds and tax-free earnings for qualified medical expenses (QMEs), as recognized by the IRS, including most insurance premiums, deductibles, co-pays, etc. The active employee and subsequently, the retiree, may select any of the funds provided by the financial custodian as investment options. An employee may make after-tax contributions to the VEBA investment account for the benefit of the employee and eligible dependents to be used for QMEs (qualified medical expenses recognized by the IRS, including most insurance premiums, deductibles, co-pays, etc.). Insurance premiums due from the retiree are deducted from this fund prior to deductions being made from other accounts (retiree-designated checking or savings accounts). Unused funds in a DePauw VEBA account (due to unqualified retirement or early departure of an employee from employment at DePauw, death of the retiree and eligible dependents or dependents meeting the age of majority) revert to DePauw.
    
    Clarifications
    
    Faculty members wishing clarifications of any aspect of this policy are welcome to consult the Vice President for Academic Affairs.
  29. Student Leave of Absence Procedure
    
    A student in good academic and social standing may be granted a Leave of Absence for up to two semesters. (Good standing includes the status at the end of the semester prior to the leave.) The student must have definite plans to return to DePauw within one year. A leave can be granted for many non-medical reasons, such as study or research purposes, personal/family issues. The benefit of the Leave of Absence policy is primarily for registration, financial aid and housing purposes. In addition, the student will continue to have access to e-mail and Student e-Services (advising transcript and Searchable Schedule of Classes). The Registrar and Dean of Students give final approval for each leave. Note: Although students may be off two semesters, the grace period for student loan repayment begins after one semester's absence.
    
    Requesting a Leave of Absence
    
    The student completes an exit interview with the Class Dean before the semester in which s/he would like to take a leave of absence. Students who have loans must also complete a loan exit interview, and these students with loans who plan to enroll in another school must have the other school complete an in-school deferment form. If the student plans to study at another U.S. college during his/her leave, the student follows the standard transfer credit approval process (credit approval form) in order for credit to transfer back to DePauw. All off campus study approval processes must be followed for credit to transfer from programs that the Committee on Experiential Learning would normally be responsible for approving.
    
    Processing a Leave of Absence
    
    After consulting with the Dean of Students, the registrar's office notifies campus offices of the Leave of Absence by placing the student's name on the withdrawal list. The withdrawal list will provide ‘Leave of Absence’ and the length of leave. Information Services (soon to be the registrar's office) changes the student to a special status (such as ‘V’) after grades are produced. [The ‘V’ status indicates the student plans to return to DePauw within one or two semesters.] This status is significant for housing, registration and financial aid (loans, scholarships, etc.) purposes. The student's name is placed on the readmit list for the semester s/he plans to return as a pending readmit (meaning the name is placed on the list for tracking purposes but notification is not sent to campus offices until the student verifies s/he is returning).
    
    Returning from a Leave of Absence
    
    It is the student's responsibility to notify the Class Dean of his/her intent to return.
    1. The student completes the Leave of Absence Return form at least one month prior to the term of intended return. It is to the student's advantage to complete the process prior to registration for that term however; as the form must be received before the student may register or arrange for University housing. The form is available on the Web and in the registrar's office.
    2. The Class Dean in consultation with the Dean of Students processes the form and notifies the student that s/he is approved to return. The student must have met all financial obligations to the University before returning. The student is held to the same behavioral standards as current students while on a leave of absence.
    3. If the student studied elsewhere, an official transcript and the Dean of Students Recommendation (form available in the registrar's office) are required prior to taking formal action.
    4. The registrar's office notifies the student and campus offices of the returning student. Information services/ registrar's office changes the student's status to ‘L’.
    The student contacts:
    - his/her advisor for the RAC number for registration
    - Campus Living & Community Development Office or the president of his/her fraternity/sorority for housing arrangements
    - The financial aid and loan offices, if appropriate*
    - The Cash Receipts Office. Any unpaid balance due on the student's account must be resolved before his/her return to DePauw University.
    If the student decides not to return to DePauw, s/he needs to notify the registrar's office (765.658.4141). If nothing is heard from the student by the beginning of the semester of intended return, the student's status will be changed to a regular withdrawal.
    
    * Students must refile the FAFSA as normally required. A maximum of 180 days (one semester) in one 12-month period is allowed for Title IV loans before the grace period begins.
    
    (Approved May 2, 2003)
  30. Student Records Policy -- Access to Records and Release of Information
    
    DePauw complies fully with the Family Educational Rights and Privacy Act (FERPA). Students have the following rights regarding their educational records:
    1. The right to inspect and review the records within 45 days of the day the University receives a request for access. The request should be in writing to the registrar, dean or other appropriate official and should identify the record(s) they wish to see. The official will arrange for access and notify the student of the time and place where the records may be inspected. The official will advise the student of the appropriate person to whom the request should be addressed if the records are maintained by another office.
    2. The right to request the amendment of the student's records that the student believes are inaccurate or misleading. To do this, the student should write the University official responsible for the record, clearly identify the part of the record he or she wants changed and specify why it is inaccurate or misleading. If the University official decides not to amend the record as requested by the student, the official will notify the student of the decision and advise the student of his or her right to a hearing regarding the request for amendment. Additional information regarding the hearing procedures will be provided at that time.
    3. The right to release personally identifiable information contained in the student's education records, except to the extent that FERPA authorizes disclosure without consent. One exception that permits disclosure without consent is disclosure to school officials with legitimate educational interests. A school official is a person employed by the University in an administrative, supervisory, academic, research or support staff position (including law enforcement unit personnel and health staff); a person serving on the Board of Trustees; or a student serving on an official committee, such as a disciplinary or grievance committee, or assisting another school official in performing his or her tasks. A school official has a legitimate educational interest if the official needs to review an education record in order to fulfill his or her professional responsibility. Upon request, the University discloses education records without consent to officials of another school in which a student seeks or intends to enroll.
    4. The right to withhold directory information--items generally considered to be public information. The following items may be made available at the institution's discretion and without student authorization unless students notify the registrar's office by August 1 of each year that they wish this information be withheld. Directory information includes:
      - name, address (local and home) and telephone numbers
      - e-mail user name
      - school in which enrolled
      - student classification
      - dates of enrollment
      - date and place of birth
      - major field of study
      - past and present participation in officially recognized activities and sports
      - photographs and videos for University and other publications
      - physical factors (weight and height of athletes)
      - previous educational institutions attended
      - degrees conferred and dates as well as awards received
      - eligibility (not grades) for institutionally recognized organizations and honoraries, including sororities and fraternities
    5. The right to file a complaint with the U.S. Department of Education concerning alleged failures by the University to comply with the requirement of FERPA. The name and address of the office is: Family Policy Compliance Office, U.S. Department of Education, 600 Independence Avenue, SW, Washington, D.C. 20202-4605.
      
      Because of the nature of the student body, DePauw assumes all unmarried students age 22 and under are dependent. Students who are financially independent and wish to control their parents' or guardian's access to educational records should report to the Office of the Registrar.
      
      Contact: Registrar's Office, Extension 4141
      
      (University policy established 1975; updated periodically)
    Holds on Student Records
    
    Appropriate University offices and fraternity and sorority living units may place holds for financial reasons on transcripts or official statements of student records, registration and/or diplomas after:
    - giving the student written notice of the amount due and the consequences of the hold (i.e., no transcripts or early registration), and
    - allowing 10 working days to pay or make satisfactory arrangements for payment.
    A hold is placed on transcripts or official statements if a student loan is past due, delinquent or in a default status. Holds may be placed on seniors for any amount due; other students may have holds placed on them for debts of $25 or more or for the following reasons:
    - Unpaid University bills, including tuition, fees, room and board, miscellaneous charges and fraternity and sorority room and board bills. If students owe a debt from a previous semester, they may be prevented from enrolling at DePauw the following semester.
    - Failure to have an exit interview with the appropriate Class Dean whenever students cease enrollment at the University. This would include transferring or withdrawing from the University, reducing the course load to less than one and one-half course credits, or graduation.
    - Failure to contact the Financial Aid Office to discuss possible repayment obligations of current year awards whenever students cease eligible enrollment at the University for those awards. This includes withdrawing from the University or reducing the course load to less than three course credits.
    - Failure to declare a major by the end of the sophomore year.
  31. Whistleblower Policy: Protection for Those Reporting Fraudulent, Dishonest, or Unlawful Behavior
    
    DePauw University requires its trustees, officers, and employees to observe high standards of business and personal ethics in the conduct of their duties and responsibilities. The University's internal controls and operating procedures are intended to deter and prohibit activity that is contrary to University policy, or is in violation of federal, state or local laws and regulations. This policy is intended to protect any student or employee who engages in good faith disclosure of an alleged action or omission, reasonably believed to be a violation of laws, regulations, or the University's policies or procedures, by a University official or employee. Violations may include, but are not limited to:
    - A violation of a federal, state, or local law;
    - Fraud or financial irregularities;
    - Violation of any University policy;
    - Fraudulent financial reporting;
    - Forgery or alteration of any documents;
    - Unauthorized alteration or manipulation of computer files;
    - The use of University, property, resources or authority for personal gain or for non-University-related purpose except as authorized or provided under University policy;
    - Authorizing or receiving compensation for services not received or services not performed;
    - Requesting reimbursement for expenses not incurred;
    - Authorizing or receiving compensation for hours not worked;
    - Activities endangering the health and safety of others.
    This policy prohibits retaliation in any form against an employee or student who in good faith reasonably believes and reports such alleged violations to the University's attention. However, any employee or student who knowingly makes false accusations of misconduct shall be subject to disciplinary action. This policy also prohibits retaliation in any form against an employee or student who participates in or otherwise assists with an administrative proceeding, judicial proceeding, or investigation under this policy by the University, the Audit and Risk Management Committee of the Board of Trustees, or government agencies. Any employee or student who takes any actions whatsoever in retaliation against an employee or student of the University who has in good faith and with reasonable belief of a violation raised any question or concern or made a report under this policy shall be subject to discipline, up to and including termination of employment. Any employee or student who encourages others to retaliate also violates this policy and will be subject to such disciplinary action.
    
    The University will investigate any reported violation of laws, regulations, policies, or procedures by a University official or employee. Anyone found to have engaged in such violations is subject to disciplinary action, up to and including termination of employment, subject to applicable University procedures. All members of the University community are expected and encouraged to report possible violations through appropriate University procedures published elsewhere or by contacting the Vice President supervising the university official or employee whose conduct is in question; however, anyone concerned about possible retaliation may use the special reporting mechanisms of this policy ("whistleblower reporting"). Regardless of how the report of possible violations is filed, any concern about apparent retaliation for reporting a possible violation should be reported through the procedures outlined in this policy.
    
    REPORTING AND INVESTIGATION
    This section applies both to whistleblower reporting and to reporting retaliation against whistleblowers.
    
    Reports of suspected violations can be made confidentially and/or anonymously. The University will investigate such reports, but the promise of confidentiality cannot be assured, depending on the nature of the violation and the course of the investigation. Efforts within legal limits will be made to protect the confidentiality of the source. To the extent possible, any report or complaint should be factual and contain as much specific information as possible setting forth all of the information about which the employee or student has knowledge. In conducting the investigation, the University may retain outside legal or accounting expertise.
    
    Staff members should direct their reports under this policy to the Director of Human Resources. If the Director of Human Resources is not available, or if the staff member is uncomfortable reporting the suspected violation to the Director of Human Resources, he or she may direct the report to the Vice President for Academic Affairs.
    
    Faculty members should direct their reports under this policy to the Vice President for Academic Affairs. If the Vice President for Academic Affairs is not available, or if the faculty member is uncomfortable reporting the suspected violation to the Vice President for Academic Affairs, he or she may direct the report to the Director of Human Resources.
    
    Students should direct their reports under this policy to the Vice President for Student Academic Life. If the Vice President for Student Academic Life is not available, or if the student is uncomfortable reporting the suspected violation to the Vice President for Student Academic Life, he or she may direct the report to the Vice President for Academic Affairs.
    
    Supervisors and Department Chairs who receive reports of suspected violations under this policy should not investigate those reports but should forward them to the Director of Human Resources or Vice President for Academic Affairs, as indicated above.
    
    The Vice President for Student Academic Life, Director of Human Resources and Vice President for Academic Affairs who receive reports of suspected violations under this policy should immediately forward them to the President who shall designate a coordinator to investigate the suspected violations. The procedures for investigation and for decisions regarding actions to take in light of the findings will follow other relevant university policies and procedures if the suspected violation is covered by another policy; otherwise appropriate procedures will be selected by the Coordinator after consultation with the President.
    
    The Coordinator of the investigation of the suspected violations will report findings to the President who will share findings of violations and actions taken with the Chair of the Board of Trustees and the Chair of the Audit and Risk Management Committee.
    
    Exceptions: If the investigation is of the President, the Dean of Students, Director of Human Resources or Vice President for Academic Affairs who receives the report should forward the report to the Chair of the Board of Trustees who shall designate a coordinator whose consultation on procedures will be with the Chair of the Board of Trustees, and the decision on action will be made by the Chair of the Board of Trustees. If the investigation is of a trustee, it will be handled by the Chair of the Board of Trustees with advice of the Chair of the Audit and Risk Management Committee.
    
    On an annual basis, the University will provide the Audit and Risk Management Committee a summary of all reports under this policy. The Whistleblower Policy was approved by the Audit and Risk Management Committee and effective as of January 1, 2007. Anonymous reporting of violations of this policy can be made by calling Campus Conduct Hotline at (866) 943-5787. Campus Conduct Hotline is a confidential, independent call-in service for Whistleblower reporting.
  32. Extended Studies (Winter Term and May Term)
    
    Extended Studies Responsibilities for Faculty Members (Effective with the 2020-21 Academic Year)
    
    New full-time faculty members will have their first Extended Studies obligation in their second year of service. Faculty members on one-year term appointments will not have Extended Studies responsibilities unless their term is extended to a second year, in which case their first obligation will be in their second year of service. Part-time faculty members will not have Extended Studies obligations.
    
    Faculty members will generally have Extended Studies obligations every third year. For example, a faculty member would have an obligation in year two, then in year five, then in year eight and so on. However, if a faculty member takes a one-semester or full-year leave during the year that they have an Extended Studies obligation, they may delay their next Extended Studies obligation (and subsequent obligations) by one year. If a faculty member meets an Extended Studies obligation by supervising interns (as described below) their next Extended Studies obligation will be in two years rather than in three years. For example, a faculty member who supervises interns during year two would have their next Extended Studies Obligation in year four rather than in year five.
    
    Most faculty members will fulfil their Extended Studies obligations by teaching an on-campus or by co-teaching an off-campus Winter Term course. Subject to expected enrollment demand, and with the approval of the Course and Calendar Oversight Committee, faculty members may request to teach in May Term in place of a Winter Term or they may request to supervise approximately 20-30 interns during Winter Term or May Term. Opportunities to teach in May Term or to supervise interns are generally limited.
    
    Faculty members who teach Extended Studies Winter Term or May Term courses in years when they do not have an obligation will be compensated with $3,000 for an on-campus course or $4,000 for an off-campus courses. Such courses will be approved by the Course and Calendar Oversight Committee in consultation with Academic Affairs and the Hubbard center only as justified by expected enrollment demand.
    
    Off-campus Extended Studies courses (Winter Term and May Term) will be selected based on educational merit from among those for which there are completed applications, which require fully developed proposals for an intentional educational, instructional and learning activity. The number and size of the Extended Studies courses each year will be determined by the Course and Calendar Oversight Committee, in consultation with the Office of Academic Affairs and the Hubbard Center, with regard to the availability of financial aid and travel subsidies, the number of meritorious proposals, and the likely enrollment pressure.
    
    Selection of specific courses will be based on academic and educational merit of the proposed programs, diversity of locations and fee structures for the projects, projected demand for Winter Term and May Term, safety and risk management, alignment of the faculty member’s expertise with the course goals and other criteria developed by and announced by the Course and Calendar Oversight Committee.
    
    For equally meritorious proposals, preference will be given to faculty members having Extended Studies obligations and to courses that diversify the geographic locations to be studied that year and in recent years. Further preferences will be given to faculty members who have not previously led off-campus courses. Applicants for off-campus courses should generally submit proposals with a co-leader.
    
    Selection of on-campus courses and the assignment of intern supervision responsibilities will be determined by the Course and Calendar Oversight Committee. Preference for the teaching of equally meritorious courses will be given to those with Extended Studies obligations and to those who have not previously taught on-campus courses. It is possible that faculty members without Extended Studies obligations will not be selected to teach courses. Staff members may also submit proposals to teach (or co-teach) on-campus or off-campus Extended Studies courses. Before submitting a proposal, staff members should have the approval of their supervisor, the VP of the appropriate division, and the approval of the VP for Academic Affairs. When staff members teach Extended Studies courses they do so in lieu of other duties and, therefore, are not compensated.
    
    The Course and Calendar Oversight Committee will issue a call for on-campus and off-campus Winter Term and May Term proposal for courses and internship supervision each year. Proposals will be due near the start of the spring term for the Winter Term and May Term of the following academic year. The Committee will review proposals for off-campus courses first, using the priorities established above. Faculty members whose off-campus courses are not accepted will be invited to submit proposals for on-campus courses or internship supervision in time for the Committee to review. The Committee will review proposals for on-campus courses and internship supervision using the priorities established above.

Employee Guide

Introduction
This Guide was prepared to assist University employees. It supersedes any prior written instructions issued
by the University that are inconsistent with its provisions.
Full-time employees will attend a general orientation session conducted by Human Resources. However,
we ask that supervisors communicate to full-time employees (and as well as part-time employees)
information specific to their department. On the first day of employment supervisors should advise new
employees of the following:
- the need to report to Human Resources to complete Federal and Indiana State Withholding Forms and Form I-9
- assigned meal periods
- office hours/regular work schedule
- restroom locations
- refreshment/break/meal areas
- emergency exit locations
- outgoing U.S. and campus mail locations
- pay issue dates
- paycheck distribution
- the procedure for reporting absences
- the procedure for requesting time off
- parking locations
- other items of interest specific to your department
- In addition, new employees should
- be introduced to coworkers and others with whom they will have regular contact,
- contact Information Services for e-mail and network accounts, if applicable,
- contact DePauw Public Safety (x4261) to register their vehicle(s), and
- contact I.D. Office (x4253) to obtain their DePauw I.D. Card.
Contact the Human Resources staff with any questions at extension 4181
Alphabetical Index
Appendix
Alcohol and Controlled Substance Policy

(Endorsed by the faculty, May 2001; established as University policy, June 2001; updated by President's Cabinet, July 18, 2005; updated by President's Cabinet, Aug. 8, 2008)

Faculty and staff employees of the University are advised to take note of the significant difficulties that occur at DePauw and on other college campuses from a culture of excessive consumption of alcohol and the use of controlled substances. Employees are urged to be responsible in the consumption and service of alcohol and to exercise good judgment with regard to the provision of alcohol to students who are 21 or older or socializing with alcohol with students who are 21 or older. Employees are urged to be cognizant of the laws and legal liabilities that affect them with regard to serving, consuming or using alcohol or other controlled substances. University support for employees in their official roles on behalf of the University will be difficult to sustain in the face of violations of University policy. All employees of the University in their conduct of University business and in their participation in University activities must comply with the laws of the locality in which they pursue those activities.

Alcohol and class activities:Alcohol is not permitted at mandatory class activities.

Travel expenses (restatement of current travel policy):University expense reimbursements to employees may cover alcohol consumed in moderation with meals, but University expense reimbursements will not normally cover alcohol consumed between meals (exceptions require vice presidential approval).

University funding:University funds may not be used for the purchase of alcohol for students. This includes University-sponsored travel in states or other countries where students may legally consume alcohol.

Alcohol service on campus:Alcohol may not be served at events on campus (except at The Inn at DePauw) regardless of who is in attendance.

Drinking socially with students:Employees are advised that they share a responsibility to see that students they entertain in their homes or in other places, as well as students with whom they socialize, consume alcohol legally and responsibly.

Traveling with Students:Faculty and staff traveling with students away from campus on university-sponsored activities should develop an alcohol policy in consultation with the students. All participants must agree to abide by the policy. This policy must comply with local laws and customs, make provisions for the group's academic or professional goals, and underscore responsible behavior and the exercise of good judgment with regard to the consumption of alcohol.

Illegal use of controlled substances:No employee may use or distribute controlled substances in an illegal manner on University property or at University-sponsored events, or at any event at which University students are present.

Sanctions:Sanctions against an employee for violation of the University Policy on Alcohol and Controlled Substances will be determined by the supervising Vice President and may include warning, suspension, or termination.

Exceptions: Exceptions to the University Policy on Alcohol and Controlled Substances for special circumstances may be granted by the President on recommendation of the supervising Vice President(s).

Annual Hours

Each hourly position is budgeted for a specified number of annual hours. Budgeted hours include regular hours worked, vacation time taken, sick time taken, personal time taken, paid holidays, bereavement leave and any other hours for which the employee is paid excluding overtime. The calculation of annual hours will be based upon the 26 biweekly, pay periods that encompass the fiscal year. The 26 pay periods are identified on the Bi-Weekly Payroll Schedule issued annually by the Office of Human Resources. It is the responsibility of the supervisor to develop a schedule that will be within the hours budgeted for the position.

Employees are not permitted to exceed the annual hours budgeted for their position without the prior written approval of the vice president to which their department reports. A Personnel Action Sheet (see Personnel Action Sheet) is required for authorization of additional hours and it must indicate the approved account from which the hours will be paid. The department will be required to locate funds for excess work hours that were not approved.

Work Schedule Based on Annual Hours

1535 9 ½ months 41 weeks 20.5 pays	Academic Year Only 40 weeks of 37.5 hours 1 week of 35 hours	Mid-August thru Memorial Day Holiday Pay periods 5 thru 24 and ½ of 25
1605 10 months 43 weeks 21.5 pays	Academic Year and 2 Summer Weeks Academic Year: 40 weeks of 37.5 hours 1 week of 35 hours Summer (at the direction of supervisor): 2 weeks of 35 hours, prior to the beginning of Academic Year Or 70 hours, which can be taken as approximately 7 hours per week	End of July thru Memorial Day Holiday Pay periods 4 thru 24 and ½ of 25
1710 10 ½ months 46 weeks 23 pays	Academic Year and 5 Summer Weeks Academic Year: 40 weeks of 37.5 hours 1 week of 35 hours Summer: 1 week of 35 hours after the end of Academic Year 4 weeks of 35 hours prior to beginning of Academic Year	Mid-July thru end of May Pay periods 3 thru 25
1780 11 months 48 weeks 24 pays	Academic Year and Summer Academic Year: 40 weeks of 37.5 hours 1 week of 35 hours Summer: 3 weeks of 35 hours after end of Academic Year 4 weeks of 35 hours prior to beginning of Academic Year	Mid-July thru end of Fiscal Year Pay periods 3 thru 26
1920 12 months 52 weeks 26 pays	Academic Year and Summer Academic Year: 40 weeks of 37.5 hours 1 week of 35 hours Summer: 3 weeks of 35 hours after end of Academic Year 8 weeks of 35 hours prior to beginning of Academic Year	All Year Pay periods 1 thru 26
2080 12 months 52 weeks 26 pays	Academic Year and Summer 52 weeks at 40 hours per week	All Year Pay periods 1 thru 26

revised 03/18

Attendance and Punctuality
Policy Statement

This policy explains the employee’s responsibilities to the University for regular, reliable and prompt attendance. This policy also addresses the consequences for employees who do not fulfill their responsibility to the University for regular, reliable and prompt attendance.
Regular, reliable and prompt attendance is essential for the functioning of the University. Poor attendance makes it difficult for the University to function effectively. Additionally, employees who do not maintain regular, reliable and prompt attendance place a hardship on other employees who must cover their absence. While some allowances may be made for situations beyond the control of the employee, chronic or excessive absenteeism will be cause for corrective action, up to and including termination.

Reporting Absences

You must notify the University of an intended absence at least thirty (30) minutes before your scheduled starting time. Absences should be reported to your supervisor or his/her designee.

Definitions

Absence: An absence is the failure to be on the job at any time during your scheduled hours of work, including arriving after your scheduled start time or leaving before the end of your scheduled hours of work.

Tardiness: You will be considered tardy if you fail to report to work at the designated starting time, including return from lunch. Tardiness (for purposes of payroll deduction) for an employee occurs on the eighth (8th) minute past the scheduled start time and is rounded up in fifteen (15) minute increments..

Approved Absence: A pre-approved absence scheduled in advance (e.g. scheduled and approved vacation, sick leave/salary continuation with proper notification to your supervisor, jury duty, bereavement leave, etc.) with your immediate supervisor or his/her designee (see the Vacation, FMLA and Medical Leave and related policies for additional information concerning the scheduling of such leave). You should receive approval for such absences at least twelve (12) hours in advance of the event if the need for leave is foreseeable. In cases of illness or emergency, you must notify your supervisor of the absence not later than thirty (30) minutes before the scheduled start of work or as soon as reasonably possible.

Absences covered as approved under the Family and Medical Leave Act are not considered absences under this policy.

Unapproved Absence: An unscheduled and unapproved absence is an absence not pre-approved by your immediate supervisor or his/her designee.

No Call/No Show: A no call/no show is any time an employee is absent and fails to notify their immediate supervisor or his/her designee according to the prescribed procedures outlined above.

Chronic Absenteeism: Chronic absenteeism occurs when a pattern of absenteeism becomes noticeable to the supervisor. This may include such situations as calling in sick or being tardy primarily on Mondays or Fridays or before or after holidays or on paydays. A pattern of chronic absenteeism will be addressed by the supervisor through the progressive disciplinary policy and procedures (see Progressive Discipline).

Excessive Absenteeism: Excessive absenteeism occurs when the employee has missed work or is late to work to the extent that it a) exceeds the standards set by the supervisor, b) is higher the average absenteeism for the work unit or department, and/or c) results in or contributes to the employee’s failure to perform his/her duties in a satisfactory manner. Missing more than 10 days in a calendar year without a doctor's notice is generally considered excessive absenteeism. Generally, excessive absenteeism will also be addressed by the supervisor through the progressive disciplinary policy and procedures (see Progressive Discipline). However, NoCall/No Shows of three (3) or more consecutively scheduled work days can be construed as voluntary resignation of the employee without providing proper notification to the University and may result in immediate termination of employment.

The University reserves the right in all cases to, at its sole discretion, take disciplinary action up to and including termination of employment of employees who demonstrate poor attendance and punctuality even if the employee meets other performance expectations of the position held.
Bereavement Leave
Date: February, 2012 (replaces all preceding policies)

Contact: Office of Human Resources, x4181

Purpose: When a death occurs, family and loved ones of the deceased need time to be with one another to provide solace and comfort. The University recognizes the need and normally grants time off with or without pay, depending upon the circumstances.

Policy covers: Employees in a full-time, benefit status position are eligible for bereavement leave if the leave is needed during the employee’s scheduled work time. Paid bereavement leave may be used only on days an employee is scheduled to work.
1. Employees must always advise their immediate supervisor of the need for bereavement leave.
2. Employees will receive compensation for bereavement leave based on their normal hours worked in their assigned schedule.
3. Employees will be granted an absence of three (3) scheduled workdays with pay following the death of a member of their immediate family to facilitate arrangements and attend the funeral. “Immediate family” refers to the employee’s:
  
  Spouse Parent Brother Sister Child
  
  These designations include relationships by blood, marriage (in-law relationship), legal adoption or those in a “step” or legal guardianship relationship.
4. There may be circumstances under which an employee is ultimately responsible for funeral arrangements for a person not specifically listed above but is a very close relationship (i.e., domestic partners, other familial relationships), or in which other mitigating circumstances, such as international travel, may be a consideration. When such circumstances arise, the employee will need to present a specific request for additional paid bereavement leave and documentation to support the unique circumstances to the supervisor who, in consultation with the Office of Human Resources, may grant a limited number of days with pay to facilitate arrangements and attend the funeral.
5. Employees will be granted an absence of one (1) scheduled workday with pay following the death of a close relative. “Close relative” refers to the employee's: Grandparent Grandchild Aunt Uncle Nephew Niece These designations include relationships by blood, marriage, legal adoption or those in a "step" or legal guardianship relationship.
6. When the death of a fellow employee occurs, employees may be granted an absence of up to four (4) hours with pay to attend the funeral service at the discretion of the supervisor.
7. When the death of an individual not otherwise outlined in this policy occurs, the supervisor has the discretion to grant an employee up to two (2) hours with pay to attend the funeral service.
8. Employees who desire more time off than outlined in this policy may request vacation time , personal time (for non-exempt employees) or unpaid time (under the parameters outlined in the Fair Labor Standards Act) with the approval of the supervisor.
Break Periods
Break periods are normally available and encouraged when the interruption of work for a break does not interfere with the effective operations of a department. There is no law governing compulsory breaks but when work schedules permit, the privilege of a break period is permitted. Employees must schedule break periods with their supervisor in accordance with the following guidelines:
1. Break periods may not exceed twenty (20) minutes per day.
2. Breaks periods are considered paid time.
3. Supervisors may require employees to remain at their workstation during a break period while slowing or reducing their normal workload.
4. Break periods may not be taken during the first or last hours of the workday nor should the workday be shortened because a break has not been taken.
5. Meal periods may not be extended by adding a break period immediately before or after the meal period.
6. Break periods may not be accumulated from one day to the next to add to other time off benefits.
7. Break periods are not normally available for employees who work less than four hours a day.
Cellular Equipment/Service Policy and Procedures
Effective: October 1, 2015 (supersedes all prior policies)

Contact: Human Resources

Summary

The University recognizes that some positions require cellular service in order to fulfill the essential job duties required. Employees occupying positions which have been identified as requiring this type of technology may be eligible to receive additional compensation in the form of a cell phone or wireless handheld device allowance.

The allowance is based on the business need and may or may not cover the entire cost of the employee’s choice in cellular plan. The allowance is considered by the IRS to be a taxable benefit and will be added to the employee’s payroll.

Policy Applies to

All new arrangements will use this policy effective October 1, 2015.

All current employees with cellular allowance arrangements will review their usage and allowances with the supervisor and allowances will be adjusted to the rates listed below effective January 1, 2016.

Authorization

To receive an allowance, an employee must meet at least one of the following two criteria:

1. The employee’s job requires them to spend a considerable amount of time outside of their assigned office or work area during normal working hours and requires them to have regular access to telephone and/or internet connections.

2. The employee’s job requires them to be regularly accessible outside of scheduled or normal working hours. (This does not include occasional, incidental, or purely voluntary access, such as checking email from home.)

Procedure

If a supervisor deems it appropriate for someone in his/her department to receive an allowance the supervisor must:
1. complete a Cellular Service Allowance Request Form,
2. attach the employee’s most recent monthly cell phone bill with the appropriate amount circled,
3. forward it to the employee’s departmental Vice President for approval, who will then
4. forward to the Office of Human Resources for approval and processing.
Payment Amounts

Eligible allowance for a phone plan is based upon what is required for the job. An employee may choose whatever s/he desires, but allowance is based on business need, not employee choice.

Plan Allowance

A fixed plan allowance will be established based on the requirements of the job and agreed upon by the supervisor. The allowance will not cover multi-user features, or features not required for the job.

Plan Type

Voice or Data Only: $25 per month

*Primary need to be accessible by phone with occasional need for data

*Primarily need access to data with occasional need for phone

Voice and Data: $50 per month

*Job requires employee to spend a considerable amount of time outside of assigned office or work area during normal working hours and requires substantial use of both phone and data.

Example: If the job requires a basic cell phone and the employee chooses to select an enhanced, smartphone package that includes a data package, or adds a line for another family member, the university will provide an allowance for the basic cell phone plan of $25 per month.

Employees are strongly encouraged to select devices that are compatible with Google email/calendar. Find a list of compatible devices at http://www.google.com/support/mobile.
COBRA
Employees and their families will have the opportunity for a temporary extension of health insurance coverage in certain circumstances where coverage under the University’s health plan would otherwise end. Only those employees, spouses of employees and their dependents who were covered under the University’s plan on the day before the event which triggered termination of coverage are eligible to elect continuation of coverage.
Events which may trigger the option to continue coverage are as follows:
1. Termination of the covered employee’s employment (except in instances of gross misconduct);
2. Death of a covered employee;
3. Divorce or legal separation of a covered employee from his or her spouse;
4. A covered employee becoming entitled to receive Medicare benefits; or
5. A dependent child of a covered employee ceasing to be a dependent.
Employees are responsible for notifying the Office of Human Resources (the Plan Administrator) of the occurrence of a qualifying event that is either a dependent child’s ceasing to be a dependent child or the divorce or legal separation of a covered employee. When a qualifying event occurs, the Plan Administrator will provide the employee and/or qualified beneficiary with the appropriate notice regarding his/her rights under COBRA. For further information on the continuation of coverage, see a representative of the Office of Human Resources.
Code of Ethics: Policy for the Promotion of Ethical Conduct
As a nonprofit organization at the forefront of undergraduate liberal arts education, DePauw University’s policy is to uphold the highest legal, ethical, and moral standards. DePauw’s donors and volunteers support DePauw University because they trust the University to be good stewards of their resources and to uphold rigorous standards of conduct. DePauw’s reputation for integrity and excellence requires the careful observance of all applicable laws and regulations, as well as a scrupulous regard for the highest standards of conduct and personal integrity.

DePauw University will comply with all applicable laws and regulations and expects its trustees, officers, and employees to conduct business in accordance with the letter and spirit of all relevant laws; to refrain from any illegal, dishonest, or unethical conduct; to act in a professional, businesslike manner; and to treat others with respect. Trustees and officers should not use their positions to obtain unreasonable or excessive services or expertise from DePauw University’s faculty and staff.

In general, the use of good judgment based on high ethical principles will guide trustees, officers, and employees with respect to lines of acceptable conduct. However, if a situation arises where it is difficult to determine the proper course of conduct, or where questions arise concerning the propriety of certain conduct by an individual or others, the matter should be brought to the attention of DePauw University. Employees should contact their immediate supervisor and, if necessary, the Director of Human Resources. Board members should raise any such concerns with their Committee Chair or the Secretary of the University’s Board of Trustees.

Infractions of this Policy for the Promotion of Ethical Conduct are to be reported as set forth in DePauw University’s Policy for Reporting Fraudulent, Dishonest, or Unlawful Behavior.

Endorsed by the Audit and Risk Management Committee – April 19, 2007
Compensation for Training Time for Non-Exempt Employees
Training programs conducted during regular working hours constitute work time and must be compensated as such, according to the Fair Labor Standards Act. (Work time includes all time an employee must be on duty, on the employer’s premises, or at any other prescribed place of work, as well as any additional time the employee is permitted to work.)

After-hours training need not be compensated if:
- Attendance is entirely outside normal working hours and is voluntary (attendance will not be found voluntary if the employee is led to believe that attending is critical to his or her job).
- The training is not directly related to the employee’s present job.
- The employee does not do any productive work related to the employee’s job during the program.
A training program is considered directly related to the job if the training is designed to help the employee handle the present job more effectively. Time spent in training for a new job or in the development of new skills is less likely to be classified as compensable work time.

Questions concerning training time should be directed to the Office of Human Resources. Assistance is available to review the training program, identify compensable time and provide guidance in completion of the time report to ensure compliance with Department of Labor regulations.
Compensation for Travel Time for Non-Exempt Employees
Travel time that constitutes work time must be compensated as such, according to the Fair Labor Standards Act.

Time that an employee spends traveling as part of his or her principal activity, such as travel from job site to job site during the workday, must be counted as hours worked. Where an employee is required to report at a meeting place to receive instructions, pick up tools, or to perform other work there, the travel from the designated place to the workplace is part of the day’s work and must be counted as hours worked.

Travel that keeps an employee away from home overnight is designated as “travel away from home” by the Wage and Hour Division. Travel away from home is paid work time when it “cuts across the employee’s normal workday.” This is because the employee is deemed to be simply substituting travel for other duties. The time is not only hours worked on regular workdays during normal work hours, but also during the corresponding hours on non-work days. The Wage and Hour Division, however, does not consider that time spent in travel away from home outside of regular working hours as a passenger on a plane, train, boat, bus, or car is paid time.

If an employee regularly works from 9 a.m. to 5 p.m. from Monday through Friday, the travel time during these hours is work time on Saturday and Sunday as well as on the other days. Regular meal period time is not counted as work time. For example, if an employee who normally works 9 a.m. to 5 p.m. from Monday though Friday is a passenger on a plane departing at 9 a.m. on a Saturday, his time spent traveling is work time because it cuts across his normal working hours. It does not matter that Saturday is not a normal workday. However, if the plane departed at 6 p.m. instead, his travel time would not be counted as paid work time because he would be traveling outside of normal working hours.

Any work that an employee is required to perform while traveling must, of course, be counted as hours worked. An employee who drives a truck, bus, car, boat, or airplane, or an employee who is required to ride as an assistant or helper, is working while riding.

Questions concerning travel time should be directed to the Office of Human Resources. Assistance is available to review work time and travel time, identify compensable time and provide guidance in completion of the time report to ensure compliance with Department of Labor regulations.
Conflict of Interest Policy and Procedures

Conflict of Interest Policy and Procedures

Article I: Purpose

DePauw University expects its trustees, officers, and employees to observe high standards of ethics and to report any conflict of interest, both in fact and appearance, while acting for or engaging in an activity affecting the University.

This policy sets forth DePauw University’s general policy and procedures regarding financial conflicts of interest in relationship to research or educational sponsored projects, as well as transactions and arrangements entered into that might benefit the private interest of a trustee, officer, or employee of the university or might result in a possible excess benefit transaction.

This policy is intended to supplement, but not replace any applicable state and federal laws governing conflict of interest. The University will fully comply with reporting obligations required by federal and state agencies.

Article II: Definitions

1. Person with Interest

Any trustee, officer, employee, principal investigator(s)/co-principal investigator(s) of an externally sponsored project (regardless of funding source), or member of a committee with governing board–delegated powers, who has a direct or indirect financial interest, as defined below, is a person with interest.

2. Financial Interest

A person has a financial interest if the person has, directly or indirectly, through business, investment, or a family member

a. An ownership or investment interest in any entity with which the university has a financial transaction or arrangement,

b. A compensation arrangement with the university or with any entity or individual with which the university has a financial transaction or arrangement,

c. A potential ownership or investment interest in, or compensation arrangement with, any entity or individual with which the university is negotiating a financial transaction or arrangement, or

d. An arrangement as or through the principal investigator or co-investigator(s) responsible for the design, conduct, or reporting on research or educational activities funded or proposed for funding by an external sponsor.

Compensation includes direct and indirect remuneration as well as gifts or favors that are not insubstantial.

3. Conflict of Commitment

A conflict of commitment exists when the external activities are so significantly demanding of the time and attention of the person with interest as to interfere with the responsibilities for which the individual is assigned.

4. Conflict of Interest

A conflict of interest arises when a person with interest is in a position to influence either directly or indirectly University business, research, or other decisions in ways that could lead to gain for the person with interest, the person’s family members, or others to the detriment of the University’s resources, integrity, mission, teaching, research or public image.

5. Conflict of Interest Committee

This committee shall consist of the Executive Vice President and the Vice President for Finance and Administration, as well as three additional individuals designated by the President of the University.

Article III: Procedures

1. Duty To Disclose

In connection with any actual or possible conflict of commitment or interest, all persons with interest will be required to annually disclose, as well as immediately upon the identification of any apparent or implied conflict disclose, in writing the existence of any financial interest (see Conflict of Interest Disclosure Form).

In addition, with respect to sponsored programs, as required by Federal regulation, disclosure must be made prior to the time a proposal is submitted. All financial disclosures must be updated by the investigator(s) during the period of the award, either on an annual basis or as new reportable significant financial interests are obtained.

2. Determining Whether a Conflict of Commitment or Interest Exists

The Executive Vice President and the Vice President for Finance and Administration will collect the annual Conflict of Interest Disclosure Forms and will conduct an initial review of each conflict of interest disclosure to determine if a potential conflict appears to exist, or, in fact, exists.

3. Procedures for Addressing a Conflict of Commitment or Interest

a. If a conflict appears to exist, the Executive Vice President and the Vice President for Finance and Administration will consult with the other members of the Conflict of Interest Committee to confer, and if appropriate, discuss possible options to manage, reduce, or eliminate the conflict.

b. If such conflict involves the President or a trustee, the matter will be handled by the Chairman or a Vice Chair of the Board of Trustees, who is not involved in the conflict being investigated, with advice of the Chair of the Audit and Risk Management Committee.

c. If such conflict involves a member of the Conflict of Interest Committee, the Committee member involved will be excluded from consideration of the conflict.

d. During the course of the Committee’s investigation, persons with interest may be asked to provide additional information. It is understood that at this stage the committee members will share information so obtained only as necessary to resolve the conflict or as required by law.

e. After exercising due diligence, the committee shall determine whether the University can obtain with reasonable efforts a more advantageous transaction or arrangement from a person or entity that would not give rise to a conflict of interest.

f. The Committee shall, if appropriate, appoint a disinterested person or persons to investigate alternatives to the proposed transaction or arrangement.

g. If a more advantageous transaction or arrangement is not reasonably possible, the Committee shall determine by a majority vote whether the transaction or arrangement is in the University’s best interest, for its own benefit, and whether it is fair and reasonable. In conformity with the above determination, the Committee shall make its decision as to whether to enter into the transaction or arrangement.

In the case of funded or potentially funded grant projects, investigators will be asked to certify their familiarity with DePauw’s conflict of interest policy and disclosure requirements for each proposal submitted to an external funding source. If there is an apparent conflict to be disclosed, the investigator must complete the Conflict of Interest Disclosure Form and forward it to the Executive Vice President.

Article IV: Violations

If the Conflict of Interest Committee has reasonable cause to believe a person with interest has failed to disclose actual or possible conflicts of interest, it shall inform the person of the basis for such belief and afford the person an opportunity to explain the alleged failure to disclose.

If, after hearing the response of the person with interest and after making further investigation as warranted by the circumstances, the Committee determines the person with interest has failed to disclose an actual or possible conflict of interest, it shall make a recommendation for disciplinary and/or corrective action to the person’s supervising University officer.

Last updated June 4, 2008
Conflict of Interest Questionnaire
If you feel you have a conflict of interest, please complete the form below and submit to the Vice President for Finance and Administration.
- Conflict of Interest Form
For reference:
- Board of Trustee Members
- University Officers
Consensual Relations

The integrity of the faculty-student relationship as well as the staff-student relationship is the foundation of DePauw's educational mission. These relationships vest considerable trust in the faculty or staff member, who, in turn, bears authority and accountability as mentor, educator, and evaluator. At DePauw, it is understood that faculty and staff begin and sustain friendships with students that can last a lifetime. The unequal institutional power in these relationships, however, heightens the vulnerability of the student and the potential for coercion. It is the faculty or staff member's responsibility to avoid any relationship which compromises either the student's enjoyment of the University experience or the faculty or staff member's ability to discharge the obligations of his/her employment at DePauw. In furtherance of this philosophy, DePauw prohibits sexual relationships between faculty and students, and between staff and students where the faculty or staff member has or will have a direct or indirect supervising, teaching, or evaluating relationship with the student regardless of whether the relationship is consensual.

If a complaint is initiated, even when both parties have consented to the development of such a relationship, it is the faculty or staff member, who, by virtue of his or her educational responsibility, will be held accountable for unprofessional behavior, and who is subject to disciplinary action, up to and including dismissal from employment with the University, for violation of this policy.

Complaints will be handled according to the guidelines established for other harassment complaints, as described in this Handbook. (Established as University policy effective July 1, 1999)
Definition of Dependent
Qualified Dependents - Tuition policies and other non-healthcare related policies

A qualified dependent is:
1. Your legal spouse;
2. Any unmarried child who is your biological child, step child or legally adopted* child, or a child whom you have legal guardianship and a child for whom you (the employee) legally claims as a dependent for federal income tax purposes, and who is:
  - less than 19 years old; or
  - 19 years old but less than 25 years old, enrolled in school as a full-time student and primarily supported by you; or
  - any age if permanently and totally disabled at any time during the year.
Qualified Dependents - Healthcare related policies

As defined in the Employee Benefit Guide as Benefit Eligible:
1. For Medical, Dental and Vision your qualified dependents include:
  - your legal spouse;
  - children to age 26;
  - 19 or more years old and primarily supported by you and incapable of self-sustaining employment by reason of mental or physical disability.**
2. For Voluntary Dependent Life, your covered dependents include your spouse and children to age 25 provided they are full-time students.
3. Anyone who is eligible as an Employee will not be considered as a Dependent.
4. No one may be considered as a Dependent of more than one Employee.
*A child includes a legally adopted child including: (a) a child who has been placed with you for adoption provided the child is not removed from placement prior to legal adoption; or (b) a child for whom entry of an order granting custody to you has been made

** Proof of the child's condition and dependence must be submitted to our healthcare provider within 120 days after the date the child ceases to qualify above. Our healthcare provider may, from time to time, require proof of the continuation of such condition and dependence.
DePauw Identification (I.D.) Cards
DePauw identification (I.D.) cards are issued to all regular, part-time and full-time employees and their dependents (as defined by DePauw’s DEFINITION OF DEPENDENT and/or the Internal Revenue Code). Only dependents, age 16 and over, will be issued separate I.D. cards. I.D. cards are required to gain access to some buildings on campus and are used to access various employee benefits including but not limited to: use of Lilly Center athletic facilities, admission to home athletic events, use of DePauw libraries, and receipt of discounts at the University bookstore. I.D. cards can only be issued after employees have completed withholding forms and fulfilled the requirements of Form I-9. Employees should allow up to three (3) business days for processing of paperwork before reporting to the Campus I.D. Office to receive the I.D. card(s). The Campus I.D. Office is located in the Julian Science and Math building, room 163. This office may be reached at extension 4253.
Drug-Free Workplace Policy
It is the policy of DePauw University that all employees comply with federal, state and local laws regarding drugs and alcohol while at the workplace. The University will not tolerate the unlawful manufacture, distribution, dispensing, possession, sale, or use of a controlled substance in the workplace. The workplace includes, but is not limited to, University owned buildings, grounds, vehicles, or anywhere during the workday, including breaks and lunch, with the limited exception of the use of alcohol at University-sponsored or sanctioned special events. Any employee who violates this policy is subject to disciplinary action, up to and including termination.

The University expects all of its employees to adhere to this policy to promote the overall safety, health, productivity and welfare of our workforce and the University community.

The University’s Drug-Free Workplace policy includes the following provisions:
1. Several handouts regarding drug and alcohol abuse awareness are available to all employees from the Office of Human Resources. The handouts include information about the effects and dangers of drug and alcohol abuse and describes sources of counseling and other assistance for affected employees.
2. If an employee is discovered to be under the influence of drugs and/or alcohol while on the job, he or she will be required to leave the premises, will be advised to seek help and will be subject to corrective action, up to and including termination.
3. As a condition of employment at DePauw, employees must:
  - Abide by the terms of this policy and all laws regarding drugs and alcohol.
  - Notify the Office of Human Resources in writing of all convictions for criminal drug statute violations in the workplace no later than five days after the conviction.
4. Each employee is expected to cooperate in the University’s good faith effort to implement this policy and maintain a drug-free workplace.
Voluntary Treatment

Early recognition and treatment of drug and/or alcohol abuse is important for successful rehabilitation. The University encourages the earliest possible diagnosis and treatment for substance abuse. Employees are urged to seek treatment for substance abuse problems and are reminded that treatment and counseling services are available through the Employee Assistance Program and under the University’s health insurance plans. An employee needing assistance can contact the Employee Assistance Program, or the Office of Human Resources, which will make referral.

Use of Prescription Drugs

It is expected that when taking over-the-counter or prescribed medicine which may impair performance or function that employees will establish safe levels that will not alter their physical or mental ability to perform their job safely and effectively.

It is the employee’s responsibility if he/she believes that the use of a legally obtained drug may impair job performance or safety to immediately notify his/her supervisor of the concern. An employee shall report the concern prior to starting work or as soon as the condition becomes known. The employee’s supervisor will then determine whether the employee may continue to work, needs to take a leave of absence, or if some other action is appropriate.

University Responsibilities

The University, in accordance with the Drug-Free Workplace Act of 1988 and related legislation, is committed to informing employees of the dangers of drug and alcohol abuse in the workplace through an ongoing drug-free awareness program which may include new employee orientation sessions, supervisory training and the availability of an employee assistance program.

The University also understands and commits to its responsibility to notify federal contractor(s) of any conviction of an employee for a violation of a criminal drug statute occurring in the workplace within ten (10) days of receiving notice of the conviction.

Revised 11/5/2007
Early Return to Work (for Work-Related Illness or Injury)
Date: August, 2011
Contact: Human Resources, x4181

Purpose:
The purpose of this policy is to facilitate the early return to work by providing accommodations for a staff member who has a work related illness or injury.

Policy:
When an employee is injured or becomes ill due to a work-related incident, the treating physician may find it necessary to return the employee to work with medical restrictions which will impact the individual‟s ability to perform their regular job function. In such instances, the first choice for the home department/office should always be to seek to accommodate the employee by adjusting the work assignment in such a way as to permit the employee to continue to perform the regular job while operating within the restrictions. When this is not possible, the next desirable approach is for the home department/office to temporarily assign the employee to other duties which he/she can perform within the parameters of the medical restrictions.

However, in some cases, a department/office will not be able accommodate the employee in any kind of light duty assignment. In such cases, the last option available prior to taking the employee off-work completely is to temporarily loan the employee to another department/office which can accommodate the restrictions.

Procedures
1. Department Reviews Release to return to work documentation.Upon return from the medical appointment, the employee will present the supervisor with the release-to-return-to-work paperwork prepared by the treating physician. If this release indicates light duty is required the supervisor has the following options.
  Options available
  1. Accommodations within regular position:Consider whether the employee‟s regular job can be temporarily modified to permit the employee to work within the restrictions.
  2. Accommodations cannot be met within regular position:If the restrictions cannot be met within the regular position, the supervisor will then determine if the employee can be accommodated in a special light duty assignment in their regular department.
    1. The employee will sign a participation form available in the Office of Human Resources indicating clear understanding of the responsibilities associated with the assignment.
  3. Accommodations cannot be met within the department: If restrictions cannot be met anywhere in the home department, the supervisor will send supporting documentation to the Office of Human Resources.
2. Find a Host Department for Light Duty.The Office of Human Resources has on file a listing of self-identified light duty sites and will determine if any of the sites can accommodate the employee given the restrictions identified in the report.
3. Arranging a Host Site.The Office of Human Resources will contact and make arrangements with a host department supervisor and follow-up with the home department supervisor if arrangements can be made. The employee and the site host supervisor will sign a participation form available in the Office of Human Resources indicating clear understanding of the responsibilities associated with the assignment.
4. No suitable light duty. If no suitable light duty assignment can be found for the employee on the University campus, the employee will be placed off-work until such time as the restrictions are lifted or modified.
Equal Opportunity Policy

General Statement of Policy (endorsed by the faculty September 2000, established October 2, 2000)

DePauw University, in affirmation of its commitment to excellence, endeavors to provide equal opportunity for all individuals in its hiring, promotion, compensation and admission procedures. Institutional decisions regarding hiring, promotion, compensation and admission will be based upon a person’s qualifications and/or performance without regard to race, color, creed, religion, national origin, sexual orientation, disability, age, gender, gender identity or gender expression, except where religion, gender, or national origin is a bona fide occupational qualification.

DePauw University’s goals and commitments are best served if the institution reflects the diversity of our society; hence, DePauw seeks diversity in all areas and levels of employment and abides by all local, state, and federal regulations concerning equal employment opportunities. The University admits, hires and promotes individuals upon their qualities and merits.
Electronic Communications and Acceptable Use
A. Introduction

The University has adopted this Policy in part to: encourage employee and student productivity; maintain the integrity and security of its network and computing resources and electronic communication systems; preserve its academic and business interests; and protect confidential information. This Policy cannot and does not provide rules and requirements to address every possible situation that may arise. However, it does provide certain minimum standards and requirements with respect to electronic communication issues. The University reserves the right to change, revise or add to this Policy at any time with such notice as it deems appropriate.

Under its Intellectual Property policy, the University has granted to faculty members the intellectual property rights to materials they have authored (articles, books, software, manuscripts, syllabi and course materials) and the results of their research. Faculty members may be required to provide copies of course materials or research protocols if needed for personnel reviews, program reviews, or campus disciplinary proceedings, including the enforcement of this or other policies. All other aspects of the University's electronic communication facilities, including all equipment and data, messages, or other information transmitted, stored or maintained on or in such facilities, are and remain at all times the property of the University, unless otherwise expressly noted in a written confirmation signed by an authorized University official. However, such ownership shall not include any such information that is in violation of any University policy, including, but not limited to, this Policy. DePauw University recognizes and honors the importance of academic freedom, and the provisions of the Policy will be enforced with respect to the teaching and research mission of the University.

B. Policies

1. Permissible Uses of Electronic Communication Facilities

a. Electronic communication facilities are intended to be used primarily for official University business, including employee and student academic pursuits, and employee administrative, personnel and/or business matters. However, reasonable use of University-owned or operated electronic communication facilities for non-commercial personal purposes is permitted if it does not entail a direct cost to the University, interfere with the completion of job responsibilities, impede network operations, or violate University policies, including, but not limited to this Policy. Should users make use of the electronic communication facilities to transmit personal messages, such messages shall not be treated with a higher standard of privacy than any other electronic communication. The University reserves the right to place additional restrictions on the personal use of its electronic communication facilities if necessary to conserve network resources for University purposes. Further, those using the University’s electronic communication facilities must use such facilities in a responsible and lawful manner. Unlawful use of electronic communication facilities or use of such facilities which violates any University policy, including this policy, by any user, as determined solely by University officials, will be cause for the University to deny such user further access to such facilities and may be cause for other University disciplinary action, up to and including termination from employment or expulsion.

b. Consistent with this Policy, users may use the electronic communication facilities to initiate or receive electronic communication. Users should only use their own files, those that have been designated as "public" files, or those that have been made available to them with the knowledge and consent of the owner.

c. Users shall always keep all copyright and trademark notices intact on University or third-party materials that are received or disseminated in electronic communication. An authorized University representative shall be consulted if there is any question about the form of such notice.

d. Users of electronic communication facilities in all IS facilities (including any remote sites operated by IS) must: a) fully identify themselves (e.g., by showing a University ID card or other appropriate identification) to any IS staff member or student employee who requests such ID; b) act in an appropriate manner towards other users and IS staff; and c) respect and follow all applicable rules and any notices (e.g., those concerning hours of operation) posted in IS facilities.

2. Prohibited Uses of University Electronic Communication Facilities

a. Commercial Purposes: Electronic communication facilities shall not be used for commercial purposes unrelated to the business of the University or for any commercial purpose that has not been expressly authorized by the University.

b. Other Prohibited Uses and Restrictions:

i. Electronic communication facilities shall not be used to access or transmit electronic communication which contain unlawful content, including, but not limited to content that is defamatory or harassing. This prohibition shall not apply to educational and professional work that requires such access or transmission.

ii. Users should not attempt any unauthorized connection to a host using electronic communications facilities.

iii. Electronic communication facilities should not be used to transmit, copy, or store confidential information, except as authorized by University officials. Further, all users must exercise a great deal of caution in transmitting and storing confidential information due to the ease with which electronic communication may be reproduced, stored and/or redistributed. Users should be particularly cautious in using distribution lists if confidential information is being transmitted.

iv. Electronic communication facilities should not be used in any way that may infringe upon the rights of the holder of any copyright or trademark. Downloading, copying or installing software or other data that is subject to copyright, trademark or other legal protection without appropriate authorization or license is prohibited. Information Services (IS) staff will not knowingly provide support for software that a user possesses in violation of the applicable license agreement. IS staff may ask for proof of ownership before helping users with their software. IS staff will not knowingly allow infringing copies or otherwise unauthorized copies of software to be installed on electronic communications facilities and will remove any such suspect software loaded onto electronic communication facilities.

v. Electronic communication facilities shall not be used in any manner that: is contrary to the University's interests; attempts to obscure, withhold or falsify the identify of the sender; impairs the electronic communication facilities in any way; attempts to gain access to the electronic communication of third parties (unless expressly authorized by such third party or by the University); interferes with, interrupts or obstructs the ability of others to use such facilities; is not related to the performance of an employee's job responsibilities or a student's academic work; and/or is not otherwise authorized by the University.

vi. Electronic communication facilities shall not be used in violation of University policies or local, state or federal laws, rules or regulations.

vii. Users shall not abuse or vandalize any electronic communication facilities. Users are to immediately report any observed or suspected instances of abuse or vandalizing of electronic communication facilities to University officials.

viii. Users should relinquish public computing facilities that they are using if they are doing non-essential work when the computers are in heavy demand. Electronic communication facilities should not be monopolized.

c. Security/Breach of Security

i. Although the University uses various methods in an effort to secure its electronic communication facilities, the University cannot guarantee such security. Electronic communication and electronic communication facilities shall not be used to breach the electronic security of others. A breach of security includes, but is not limited to: any unauthorized attempt to compromise any electronic communication facility, including the use of network privileges, accounts, access codes, identifiers or passwords, or equipment; knowing and unauthorized interception, access, disclosure, disruption, damage, destruction or unauthorized alteration/modification of any electronic information, or electronic communication facilities, including software or hardware; and any unauthorized and intentional disruption or interference with others' use of electronic communication facilities.

ii. Users of electronic communication facilities are responsible for protecting their personal account information and/or password. Any user holding a personal account and its password is, at all times, responsible for its use and all activity originating from that account or using that password. Any attempt to determine the passwords or personal account information of others is strictly prohibited.

3. Privacy

Although University email messages are encrypted by University systems as part of the regular transmission process, the University cannot guarantee the privacy of electronic communications, and users should not expect their use of electronic communication facilities will be private. Users who further encrypt an electronic communication must furnish the encryption key or software to the University upon request so that the University may fulfill its obligations under the provisions of this policy.

C. Monitoring and Disclosure

1. In General

The University reserves the right to monitor or disclose the content of any electronic communication sent, received or stored using electronic communication facilities. Monitoring, investigation, and examination of electronic content will only be conducted in connection with a specific event, such as the delivery of a warrant for search and seizure or other permissible events as listed in the Policy. Employees are not permitted to engage in the monitoring, investigation, or examination of electronic communication content without prior specific authorization of the Chief Information Officer as specifically permitted under the Policy. Employees do regularly monitor the performance of the University’s computing resources, and the University reserves the right to install or update files on any University-owned computer to assure the performance or security of the campus computing environment. Use of the electronic communication facilities shall be deemed to constitute consent to allow the University to exercise its rights outlined in this Policy and agreement to abide by this Policy.

2. Monitoring and Disclosure

As the owner or operator of electronic communication facilities and a private institution of higher education, the University will monitor or disclose the content of the electronic communication of users only under the following circumstances:

a. A party to the communication consents; or

b. The communication is readily accessible to the public (examples include, but are not limited to, web pages, e-mails sent to a public mailing list, or a newsgroup post); or

c. The University has an administrative need to access an e-mail, voice mail or other electronic communication or electronic communication facilities (examples include routine maintenance, backup of data, monitoring of usage patterns, troubleshooting or investigation of an excessive use of network resources that adversely affects performance or protection of the University’s rights or property); or

d. The University is furnished with reasonable information causing it to conduct a review or investigation of any electronic communication or the use of electronic communication facilities (examples include reports or evidence of hacking, identity theft, harassment, commercial card fraud). The University has sole discretion to conduct such a review or investigation under this Policy; or

e. The monitoring or disclosure occurs as a result of the University's obligations under local, state and/or federal laws, rules or regulations.

D. Retention and Archival Storage of Electronic Communications

1. Policies

a. Records created or stored in digital format, including electronic communication, may be subject to state or federal laws or University record-keeping policies.

2. Employee Responsibilities

Employees are responsible for copying electronic communication for storage in departmental or office files as required by law or University policy.

a. The University does not maintain centralized or distributed archives of electronic communication sent or received over its electronic communication facilities. Backups made for maintenance or troubleshooting purposes are erased at regular intervals.

b. Staff should periodically store such copies in departmental or office files for subsequent review followed by either archival storage or destruction in accordance with general University record-keeping policies.

E. Acceptance of Electronic Signature

[User] understands and agrees that by clicking the “I ACKNOWLEDGE” button the [User] is electronically signing the Request for Release of Educational Records or is authorizing specific University action and that the electronic signature is [User]’ s valid and binding signature for purposes of the Educational Records and authorization. [User] understands that: (1) All representations, information and electronic signature(s) [User] provides have the same force and effect they would have if made in non-electronic form; (2) DePauw University can and will rely on the Request for Release of Educational Records; and, (3) [User] intends to be bound to and electronically sign the Request for Release of Educational Records or other authorization by clicking the “I ACKNOWLEDGE” button. [User] further agrees that Indiana’s version of the Uniform Electronic Transactions Act (the “Act”) applies to the Request for Release of Educational Records, that the Request for Release of Educational Records is a transaction for purposes of the Act, and the [User] consents to the exclusive jurisdiction of Indiana courts in resolving any conflicts arising out of the Request for Release of Educational Records.

F. Violations

Violations of this Policy by any user will be cause for the University to deny such users further access to the electronic communication facilities and may result in disciplinary action, up to and including termination from employment or expulsion. In certain circumstances, violators may be prosecuted. Violations of this Policy or the alleged misuse of University electronic communication facilities should be reported to the Public Safety Office, the Human Resources Office, or the Chief Information Officer. Reports and violations will be investigated and adjudicated according to the applicable University policies and procedures. The University reserves the right to delete any electronic communication from its electronic communication facilities that violates any provision of this Policy or any other University policy.

G. Relationship to Other University Policies

This Policy is a supplement to other University policies including, but not limited to, policies governing the appropriate or acceptable use of University property and/or electronic communication facilities.

H. Definitions

1. "Confidential information" means any information, data, documents or tangible things which contain proprietary or private information including, but not limited to information not generally known to persons outside of the University concerning students, academic or business matters, donors, alumni, financial or scholarship matters, grant matters, personnel matters, trade secrets, and/or development or business plans.

2. "Direct cost" means a cost, fee or charge assessed for a product or service provided for some purpose other than a valid University purpose (for example, unauthorized long-distance telephone charges and printing costs).

3. "Electronic communication" includes, but is not limited to, electronic mail ("e-mail"), newsgroup posts, internal or external bulletin board posts, Internet or World Wide Web pages ("web pages"), data and file transfers, voice mail, telephone and pager messages, facsimile transmissions, any other electronic communication sent, published, or received by an employee, student or guest using electronic communication facilities, and any other information transmitted, stored or maintained in or on such electronic communication facilities.

4. "Electronic communication facilities" includes, but is not limited to, all University-owned or operated: equipment, data, telephones, computers, computer networks, servers, workstations, personal computers, removable media, electronic voice mail systems, e-mail systems, pagers, facsimile machines, scanners, electronic external or internal bulletin boards, wire services, on-line services, the Internet or World Wide Web, or any other communication system or electronic technical resource provided, owned or operated by the University.

5. Monitor and “monitoring” mean to intercept, access, or inspect an electronic communication with the purpose of viewing the data contained therein. "Monitor" does not include automatic scanning of an electronic communication by network security and performance software such as a firewall, anti-virus, or packet shaper program.

6. "Employees" means any and all full- and part-time, temporary and regular University employees including, but not limited to faculty members, administrators, instructors, staff members, classified personnel and student employees who have been authorized to use the electronic communication facilities.

7. "Students" means any and all students who have paid a deposit or are currently enrolled in the University, as well as former students who have been authorized to use the electronic communication facilities.

8. "Guests" means any and all persons not directly connected to the University, but who have been authorized to use the electronic communication facilities.

9. "University authorization", “University authorized”, or authorization from the “University”, a “University official”, or “University officials” means any written or oral express permission granted by one of the following University representatives: the President, the Vice President of Academic Affairs, or the Chief Information Officer.

10. "User" means any and all employees, students and guests.

11. "IS" means University Information Services.

I. Revisions

1. May 13, 2022 – Revised section B.2.a.i. Other Prohibited Uses and Restrictions.

(May 13, 2022)
Emergency Safety Procedures

DePauw University and our DePauw Police Department staff are committed to ensuring a safe campus environment. Although our safety initiatives and risk management measures help to keep our campus safe, unforeseen emergencies can and will occur. Emergency preparedness is the individual responsibility of all. Understanding how to prepare and respond during times of crisis will assist everyone in making clear and well informed safety decisions. It is very important to be proactive and have a personal plan for all emergencies such as fire, emergency evacuation, tornado/severe weather and other critical situations. Please ensure your personal plan is based upon the emergency action plans for the University and your residential living unit. Please review the following emergency procedures located on DePauw Police Department’s web site.

An emergency warning siren is located atop the Julian Science and Math Center. This siren is operated by the Putnam County 911 Center in the event of imminent severe weather. As with all warning signals, if you hear a warning signal outside (tornado siren), immediately proceed inside for shelter. If a warning signal is activated inside (fire alarm), please immediately evacuate the building via the closest exit to a place of safety. Another means of emergency notification from the 911 Center is through (SMS) text messaging. Student local numbers are collected through their verification form on e-services, the majority of which are cell phones. This measure allows one more level of emergency notification helping ensure comprehensive emergency alerts to our campus community.

Our DePauw Police Department and Emergency Management staff welcome the opportunity to help you better understand emergency procedures and develop individual or student organization Emergency Action Plans.
Employee Status Definitions
All employees regardless of employment status or employee definition, are subject to all University rules and procedures.
The Department of Labor classifies employees into two categories as follows:
Nonexempt: These employees are not employed in an executive, administrative, or professional capacity and are covered by the federal minimum wage and maximum hours law. These positions are generally paid on an hourly basis.
Exempt: These employees are employed in an executive, administrative, or professional capacity and are not covered by the federal minimum wage and maximum hours laws. Other tests must be met for employees to be eligible for this category. These positions are paid on a salary basis but paying employees on a salary basis does not automatically qualify them for exempt status.

Within the Department of Labor categories, DePauw University maintains standard classifications as follows:

Full-time: Employment in an established position requiring a regular schedule of 35 to 40 hours of work per week and more than 1000 regular hours of work per fiscal year for a period of 9, 9 ½, 10, 10 ½, 11, or 12 months. Full-time employees are eligible for full participation in benefit programs.
Part-time: Employment in an established position with a regular schedule of less than 40 hours of work per week and up to 1000 regular hours per fiscal year. Part-time employees are eligible for limited participation in benefit programs.
Temporary: Employment in a job established for a specific purpose, for a specific period of time, or for the duration of a specific project or group of assignments. Temporary employees have a defined employment period that includes a beginning employment date and an ending employment date. They are limited to 1000 regular hours per fiscal year. Participation in benefit programs is limited to eligibility for worker’s compensation benefits.
On-call: Employment in a job on an “as needed” basis. On-call employees do not work a defined/regular schedule. They are limited to 1000 regular hours per fiscal year. Participation in benefit programs is limited to eligibility for worker’s compensation benefits.
Please be advised that all hours worked in all part-time, temporary, and on-call positions are combined when calculating the 1000 annual hour maximum for employees in these categories.
Employee Title IX Policy
(Reviewed and endorsed by the President’s Cabinet, August 2020)

DePauw University is committed to providing a safe and non-discriminatory learning, living, and working environment for all members of the University community. In accordance with the provisions of Title IX of the Higher Education Amendments Act (Title IX), the University does not discriminate on the basis of sex or gender in any of its education or employment programs and activities. For more information on Title IX or to report a potential violation of Title IX, please see Title IX: Equity and Access, which includes relevant contact information for the Title IX Coordinator. If you would like to view the full Employee Title IX Policy as a PDF, please see the link at Policies, Forms, Reference Materials and Training Information.
1. Preamble
  I. Preamble
  
  The University does not discriminate on the basis of sex or gender in any of its education or employment programs and activities, and it does not tolerate discrimination or harassment on the basis of sex or gender. The requirement not to discriminate on the basis of sex extends to admissions and employment at the University. Title IX of the Education Amendments of 1972 (Title IX) provides, “No person in the United States shall, on the basis of sex, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any education program or activity receiving Federal financial assistance.” In the intervening half century since the law’s passage, federal guidance on how to implement the law have evolved to recognize that sexual harassment, including sexual assault, are forms of discrimination prohibited under Title IX. In May 2020, the U.S. Department of Education issued revised Title IX regulations which provide prescriptive procedural requirements for responding to reports and formal complaints of sexual harassment, including sexual assault, dating violence, domestic violence, and stalking. DePauw University also believes that harassment and/or violence based on gender or sex are a barrier to equal access to education. The following policy is intended to comply with current federal Title IX regulations by providing a prompt and equitable process to conduct addressed by the Title IX regulations. The policy also addresses conduct outside of the Title IX regulations that DePauw University also considers to constitute discrimination based on gender and/or sex.
  
  The University prohibits sexual misconduct and interpersonal violence encompassing a broad spectrum of behaviors, including sexual harassment, sexual assault, dating violence, domestic violence, and stalking as defined by the Title IX regulations (collectively, Title IX Sexual Harassment). The University also prohibits retaliation against any persons who, in good faith, discloses or makes a formal complaint of sexual misconduct or interpersonal violence or who testifies, assists, or participates or refuses to participate in any manner in an investigation or resolution process under this Policy. Collectively, these behaviors are referred to in this policy as prohibited conduct. The University does not tolerate any form of sexual misconduct or interpersonal violence, and will promptly respond to any disclosure of prohibited conduct made to either the Title IX Coordinator or the University police, DePauw Police. Individuals who are found responsible for engaging in prohibited conduct in violation of this Policy are subject to disciplinary action by the University, up to and including termination. Conduct that potentially violates state law may result in a separate criminal prosecution.
  
  The University has designated a Title IX Coordinator to oversee the implementation of this policy and to ensure compliance with Title IX and its implementing regulations, relevant portions of the Jeanne Clery Disclosure of Campus Security Policy and Campus Crime Statistics Act (Clery Act), as amended by the Violence Against Women Reauthorization Act of 2013 (VAWA), Title VII of the Civil Rights Act of 1964, and other applicable law. This Policy is overseen by the Title IX Coordinator. Disclosures of prohibited conduct can be made to the Title IX Coordinator or, if the prohibited conduct is potentially a crime, reported to DePauw Police.
  
  It is the responsibility of every member of the University community to foster an environment free from prohibited conduct. All members of the community are strongly encouraged to take reasonable and prudent actions to prevent or stop an act of prohibited conduct. This may include direct intervention when safe to do so, enlisting the assistance of others, contacting law enforcement, or seeking assistance from a person in authority. The University also encourages all members of the community to report prohibited conduct and to participate in any subsequent investigation. Community members who choose to exercise these positive responsibilities will be supported by the University and protected from retaliation.
2. Scope
  II. Scope
  
  This Policy applies to conduct committed by a University Employee when the prohibited conduct occurs in the University’s education program or activity.
  
  The University’s Education Program or Activity includes all of the University’s operations, including: 1) locations, events, or circumstances over which the University exercises substantial control over both the Respondent and the context in which conduct occurs; and 2) any building owned or controlled by a student organization that is officially recognized by the University. The Title IX regulations, which direct the University’s response to reports of Title IX Sexual Harassment, do not draw a line between on-campus, off-campus, or online conduct, provided the conduct occurred in an Education Program or Activity in the United States. Examples include University-sponsored, University-funded or University-supported study off campus, research, internship, mentorship, summer session, conferences, meetings, social events, or other affiliated programs or premises.
  
  Formal Complaints against University Students or Student Organizations, and the rights of Student Complainants, are addressed under the University’s Sexual Misconduct and Interpersonal Violence Policy in the Student Handbook. Other University policies (including but not limited to the Protected Class Harassment Policy, Minors on Campus Policy, and Consensual Relations Policy) address areas of University concern outside the Title IX framework.
3. Key Policy Definitions
  III. Key Policy Definitions
  
  Administrator: Employees who are part of University leadership at the cabinet level or who serve in the capacity of assistant/associate vice president (or similar title) over an operational area of the University.
  
  Advisor: an individual who provides the Complainant or Respondent support, guidance or advice. An Advisor may be any person, including an attorney. The University discourages having a Witness serve as an Advisor.
  
  Coercion: unreasonable pressure to participate in an activity that is sufficient to overcome an individual’s freedom of will whether to voluntarily consent to participate in the activity. Additional guidance about Coercion can be found in Section VIII.
  
  Complainant: the individual who reportedly experienced prohibited conduct, regardless of whether the individual makes a Formal Complaint or participates in an investigation of prohibited conduct.
  
  Confidential Resource: individuals who have the legally-protected ability to maintain the confidentiality of a disclosure. Additional guidance about Employee disclosure responsibilities can be found in Section IV.
  
  Consent: Clear, knowing and voluntary agreement to participate in sexual activity. Consent can be given by words or actions, as long as those words or actions create mutually understandable clear permission regarding willingness to engage in (and the conditions of) sexual activity. Consent is active, not passive. Silence, in and of itself, cannot be interpreted as Consent, and relying on nonverbal communication alone may not be sufficient to establish consent. Additional guidance about Consent can be found in Section VIII.
  
  Decision Panel: the panel of decision-makers that reviews evidence, determines responsibility for Policy violations, and decides appropriate disciplinary action.
  
  Decision Panel Meeting: the meeting during which the Decision Panel hears live testimony from parties and Witnesses, including questioning from the Decision Panel and Advisors, in order to determine credibility of evidence.
  
  Designated Employees: University employees who are required to immediately disclose all details of prohibited conduct of which they become aware to the Title IX Coordinator. Additional guidance about employee disclosure responsibilities can be found in Section IV.
  
  Employee: all individuals employed by DePauw University regardless of employment status or employee definition. Employees include 1) all part-time, full-time, term, interim, temporary, or on-call employees; 2) exempt and non-exempt employees; and 3) faculty, staff, student employees (for conduct committed in their role as an employee only), and administrators.
  
  Formal Complaint: a document filed by a Complainant or signed by the Title IX Coordinator alleging prohibited conduct against a Respondent and requesting that the University investigate the conduct. Formal Complaints may be made for conduct that is prohibited in Section VII of this Policy.
  
  Incapacitation: a state where a person is unable to give consent because they are temporarily or permanently incapable of appraising or controlling their own conduct, physically unable to verbally or otherwise communicate consent or unwillingness to an act, asleep, unconscious, or unaware that sexual activity is occurring. Additional guidance about Incapacitation can be found in Section VIII.
  
  Interpersonal Violence: dating violence, domestic violence, and stalking, as those terms are defined in Section VII of the Policy.
  
  Intimidation: communicating a threat to another person such that a reasonable person in such a circumstance would be placed in fear.
  
  Respondent: the Employee who has been accused of prohibited conduct.
  
  Student: any person pursuing studies at the University, including: (a) a person who is enrolled; (b) a person who is not currently enrolled, but who was enrolled at the time of the alleged violation; (c) a person who, while not currently enrolled, has been enrolled in the University and may reasonably be expected to seek enrollment at a future date; or (d) an accepted student who has paid a deposit.
  
  Student Organization: a group consisting of a number of students who have followed the University requirements for recognition.
  
  Supportive Measures: non-disciplinary, non-punitive individualized services designed to restore or preserve equal access to the University’s education programs or activities without unreasonably burdening the other party, including measures designed to protect the safety of all parties or the educational environment, or deter prohibited conduct.
  
  Title IX Coordinator: the University Employee who coordinates the University’s compliance with Title IX and administers this Policy, including receiving and reviewing disclosures and Formal Complaints under this Policy, implementing Supportive Measures and Protective Measures, overseeing the Title IX Process (investigations, adjudications, and sanctioning); ensuring appropriate education and training for students and Employees; and ensuring appropriate action to eliminate, prevent, and address prohibited conduct.
  
  Violence: the use, attempted use, or threatened use of physical force against the person or property of another.
  
  Witness: any individual other than a Complainant or Respondent who provides evidence regarding a Formal Complaint.
4. Disclosures, Confidentiality, and Preservation of Evidence
  IV. Disclosures, Confidentiality, and Preservation of Evidence
  
  DePauw strongly encourages anyone who experiences or Witnesses prohibited conduct to talk with someone promptly about what happened and disclose the conduct to the University so that they can get any support they need and so DePauw can respond appropriately. Section XVII of this policy identifies community and campus resources, including emergency resources, medical resources and Confidential Resources.
  
  Options for Disclosing or Seeking Assistance:
  
  A Complainant or Witness may choose to:
  - Seek assistance from a Confidential Resource (see below), who will not report the disclosure to the Title IX Coordinator;
  - Disclose incidents of conduct prohibited under this Policy directly to the Title IX Coordinator or a Designated Employee (see below), who is obligated to report the disclosure to the Title IX Coordinator;
  - Report incidents of conduct that may violate state law to DePauw Police (the University’s police department), who are obligated to report the disclosure to the Title IX Coordinator, or to another appropriate external law enforcement agency.
  A Complainant or Witness may make a disclosure to the University, report to law enforcement, to neither, or to both. The Title IX Process and law enforcement investigations operate independently of one another, although the University will coordinate information with DePauw Police where the Complainant or Witness has elected to report to law enforcement or as otherwise required by law.
  
  Privacy and Confidentiality:
  
  The University is committed to protecting the privacy of all individuals involved in a disclosure of prohibited conduct under this Policy. Except as otherwise permitted by law, as required to conduct an investigation or Decision Panel Meeting under this Policy, and as required in an external legal proceeding, the University will not share the identity of a Complainant, Respondent or Witness. The University will also maintain as confidential any Supportive Measures provided to the Complainant, to the extent that maintaining such confidentiality would not impair the University’s ability to provide the Supportive Measures. All Employees who are involved in the University’s response to harassment and discrimination, including the Title IX Coordinator, investigators and adjudicators, receive specific training and guidance about safeguarding private information, including the protections set forth in Title IX, the Clery Act and Family Educational Rights and Privacy Act (“FERPA”). The University is precluded by law from restricting the parties’ ability to discuss the allegations under investigation or to gather and present relevant evidence, although the University may encourage privacy to maintain the integrity of the investigation.
  
  Privacy and confidentiality have distinct meanings under this Policy.
  
  Privacy: refers to the discretion that will be exercised by the University in the course of any investigation or disciplinary processes under this Policy. Information related to a disclosure of prohibited conduct will be handled discreetly and shared with a limited circle of University Employees or designees who need to know in order to assist in the assessment, investigation, and resolution of the disclosed conduct and related issues.
  
  Confidentiality: refers to the statutory protections provided to individuals who disclose information in legally-protected or privileged relationships, including professional mental health counselors, medical professionals, and ordained clergy (Confidential Resources). These Confidential Resources must maintain the confidentiality of communications disclosed within the scope of the provision of professional services. Confidential Resources will not disclose protected information unless: 1) given permission by the patient/client; 2) there is an imminent threat of harm to self or others; 3) the conduct involves suspected abuse of a minor under 18 year of age; or, 4) as otherwise required or permitted by law or court order. Similarly, medical and counseling records cannot be released without the individual's written permission or unless permitted or required consistent with ethical or legal obligations.
  
  Employee Disclosure Responsibilities:
  
  Different University employees have different abilities to maintain information as confidential. Confidential Resources, as defined below, are not required to share any information with the Title IX Coordinator. Other University employees, referred to as Designated Employees, are required to immediately share with the Title IX Coordinator all known information, including the identities of the parties, the date, time and location, and any details about the disclosed incident with the Title IX Coordinator. Employees with reporting obligations will only share the disclosure with the Title IX Coordinator (and no other administrators) unless otherwise required by law. The report of a disclosure to the Title IX Coordinator does not obligate a Complainant to take any action or participate in any process unless they voluntarily choose to do so.
  
  Seeking Assistance from a Confidential Resource:
  
  A Complainant or Witness may seek assistance from an individual who has the legally protected ability to maintain the confidentiality of the conversation, identified above as Confidential Resources. University Employees who are Confidential Resources include ordained clergy acting in a pastoral care capacity. University Employees may consult Confidential Resources through their employment benefits or otherwise whom they may use for support and guidance, regardless of whether they make a disclosure to the University or participate in a University investigation. Complainants can reach the Center for Spiritual Life at 765-658-4615.
  
  Designated Employees:
  
  Designated Employees include all faculty and staff who are not otherwise Confidential Resources.
  
  Designated Employees may provide support and assistance to a Complainant, a Witness, or a Respondent, but because of their roles at the University, they cannot promise confidentiality or anonymity or withhold information from the Title IX Coordinator about prohibited conduct which is disclosed to them in the course of their employment. Some Employees, because of the nature of their positions, may also be required to report to the Title IX Coordinator disclosures of prohibited conduct of which they learn even outside of the scope of their employment. Employees with these enhanced reporting obligations include all administrators, department chairs and program directors, supervisors, human resources staff, DePauw Police personnel, and Campus Security Authorities.
  
  Even when information is shared by a Designated Employee with the Title IX Coordinator, the Complainant retains the discretion to choose whether to file a Formal Complaint. In some instances, the Title IX Coordinator may file a Formal Complaint on behalf of a Complainant. Where a Complainant requests to maintain their anonymity, or not to pursue an investigation, the Title IX Coordinator will determine whether the Complainant’s request can be honored as described further below.
  
  Disclosing Prohibited Conduct to the Title IX Coordinator:
  
  DePauw strongly encourages Complainants and third-parties to immediately disclose incidents of prohibited conduct to the Title IX Coordinator. An individual does not need to know whether they wish to request any particular course of action or how to label what happened in order to disclose an incident of prohibited conduct. A Complainant is advised to seek immediate medical treatment and preserve physical evidence following an incident of prohibited conduct even if they have not decided whether they wish to disclose the incident or make a Formal Complaint with the University. When a disclosure is made to the University, the Complainant will receive written notification about Supportive Measures and resources within the University and community. The University will make reasonable efforts to respond to disclosures of prohibited conduct, regardless of how the information was brought to the University's attention or the extent to which the Complainant wishes to participate or be involved. An individual may disclose prohibited conduct in person, by telephone, or online as follows:
  
  Title IX Coordinator: Dionne Jackson, Ed.D.
  Email: titleixcoordinator@depauw.edu
  Phone: 765-658-4155
  Online: Report An Incident Of Sexual Misconduct
  
  Timeframe for Disclosing:
  
  Complainants and other disclosing individuals are encouraged to disclose any violation of this Policy as soon as possible in order to maximize the University's ability to respond promptly and effectively. There is no time limit for disclosing; an individual may disclose prohibited conduct under this Policy at any time without regard to how much time has elapsed since the incident(s) in question. If at the time of disclosure, the Complainant is not participating in, or seeking to participate in, the University’s Education Program or Activity, the ability to file a Formal Complaint may be limited. If the Respondent is no longer actively employed at the time of the disclosure, the University may not be able to take disciplinary action against the Respondent. In all reports of prohibited conduct, however, the University will still seek to provide reasonably available Supportive Measures for the Complainant, and take steps, as available and appropriate, to address the concerns raised. In addition, the University will assist the Complainant in identifying and contacting law enforcement and other external enforcement agencies.
  
  Reporting Potential Criminal Conduct to Law Enforcement:
  
  A Complainant has the right to report, or decline to report, potential criminal conduct to law enforcement. The University will upon request assist a Complainant in contacting law enforcement at any time, including during a Title IX Process. Under limited circumstances that are deemed to pose a threat to the health or safety of any University community member, the University may independently notify law enforcement.
  
  If a criminal complaint is made, it must proceed via the county, state, or federal criminal justice system with jurisdiction over the conduct. DePauw Police Officers are fully sworn law-enforcement officials and may take reports and complete criminal investigations. Employees interested in filing criminal charges may also seek assistance directly from other law enforcement agencies. DePauw Police can assist the Complainant with the involvement of local police. The filing of criminal charges does not preclude pursuing the administrative Title IX process.
  
  In instances where a criminal complaint is made against a current Employee, and where the conduct occurs on campus or elsewhere within the United States as part of the University’s Education Program or Activity, a concurrent Title IX Process will also commence where a Formal Complaint is filed by the Complainant or signed by the Title IX Coordinator. DePauw Police investigators will share available information with the Title IX Administrators to aid in the administrative process.
  
  Definitions of crimes involving sexual or interpersonal violence under the Indiana Criminal Code can be found here:
  
  https://iga.in.gov/legislative/laws/2017/ic/titles/035#35-42-4
  
  Anonymous Disclosures:
  
  An individual can make a disclosure of conduct prohibited under this Policy to the University without disclosing one’s name at http://www.depauw.edu/studentacademiclife/title-ix/report-an-incident-of-sexual-misconduct or by calling the Campus Conduct Hotline at (866) 943-5787. Depending on the level of information available about the incident or individuals involved, the University’s ability to respond to or investigate an anonymous disclosure may be limited.
  
  Preservation of Evidence:
  
  It is important to preserve all evidence related to any disclosure of prohibited conduct, including but not limited to letters, notes, emails, text messages, social media posts, and/or voicemails. Employees should comply with any University directive issued regarding document holds or other preservation of evidence contained within University information technology systems or physical facilities that could be relevant to a Formal Complaint. Employees are encouraged to seek prompt medical attention in cases of sexual assault and to preserve all evidence of the incident.
  
  Clery Reporting:
  
  Campus Security Authorities (CSA) include members of DePauw Police or other individuals who have responsibility for campus security, as well as other individuals to whom students or Employees may disclose crimes, as well as individuals who have significant responsibility for student campus activities. They are all required to share nonidentifiable information for consideration of Timely Warnings and inclusion in crime statistic data.
  
  Any disclosure of alleged sexual assault or interpersonal violence shall be included in crime statistics in accordance with the Jeanne Clery Disclosure of Campus Security Policy and Campus Crime Statistics Act (the Clery Act). These statistics will be made without disclosing the names of either the Complainant or the Respondent. If the University determines that matters of public safety are involved, the University may disclose the name of an Employee who has been reasonably deemed to pose an active threat to the campus in Timely Warning or Emergency Notifications if this information is necessary to address that threat.
5. Supportive Measures
  V. Supportive Measures
  
  Supportive Measures:
  
  Supportive Measures are non-disciplinary, non-punitive individualized services designed to restore or preserve equal access to the University’s Education Programs or Activities without unreasonably burdening the other party, including measures designed to protect the safety of all parties or the educational environment, or deter prohibited conduct.
  
  Supportive Measures are offered as appropriate, as reasonably available, and without fee or charge to the Complainant or the Respondent. Supportive Measures are available to the Complainant regardless of whether the Complainant makes a Formal Complaint. The options for Supportive Measures will be discussed upon receipt of a disclosure and will be outlined in writing. Supportive Measures are also available to a Respondent. Examples of Supportive Measures that may be implemented include, but are not limited to:
  - issuing mutual no-contact directives to each of the parties;
  - assisting in requesting a criminal restraining order;
  - rearranging work schedules or spaces if available;
  - assisting with local law enforcement; and,
  - adjustments to job responsibilities.
  The availability of Supportive Measures will be determined by the specific circumstances of each disclosure. The University will consider a number of factors in determining which measures to take, including:
  - the needs of the Employee seeking Supportive Measures;
  - the severity or pervasiveness of the disclosed conduct;
  - any continuing or disproportionate effects on the Complainant;
  - whether the Complainant and the Respondent share the same job location(s); and,
  - whether judicial measures have been taken to protect the Complainant (e.g., protective orders).
  The University will work in good faith to implement the requirements of judicially issued protective orders and similar orders, to the extent that doing so is within its authority.
  
  Any Supportive Measures will not disproportionately impact the other party. Requests for Supportive Measures may be made to the Title IX Coordinator. The Title IX Coordinator is responsible for ensuring the implementation of Supportive Measures and coordinating the University's response with the appropriate offices on campus. The Title IX Coordinator has the discretion to provide and/or modify any Supportive Measure based on all available information and is available to meet with a Complainant or Respondent to address any concerns about the provision of Supportive Measures. The University will maintain the confidentiality of any Supportive Measures provided under this policy to the extent practicable and will promptly address any violation of Supportive Measures.
  
  Emergency Removal and other Restrictive Forms of Supportive Measures:
  
  In contrast, other forms of Supportive Measures may involve more restrictive actions. Such Supportive Measures, listed below, are typically only available when the University has an articulable factual foundation that would support the taking of a restrictive measure against a Respondent prior to the conclusion of the investigation or in lieu of an investigation. More restrictive Supportive Measures may include:
  - Emergency removals
  - Unilateral no-contact directives
  Unilateral No Contact Directive: At times it becomes necessary to restrict an Employee’s privileges and/or prohibit contact with specified individuals, or specific locations, by issuing a “no contact” directive. This directive is issued when it is believed necessary to protect a person’s safety and preserve a peaceful environment for all students and Employees to work, study and live on campus. Violation of a “no contact” directive issued in relation to a violation of this Policy is considered violation of this Policy and may result in University action that could include paid or unpaid interim administrative leave from the University.
  
  Emergency removal: The University may remove a Respondent from the University’s Education Program or Activity on an emergency basis, provided that the University undertakes an individualized safety and risk analysis, and determines that an immediate threat to the physical health or safety of any student, Employee, or other individual arising from the disclosed misconduct justifies such measures.
  
  During any emergency removal, the Respondent may be denied access to the campus and/or placed on paid or unpaid administrative leave. Specific details of the emergency removal will be outlined in written communication to the Employee.
  
  Challenging a Restrictive Supportive Measure: Upon receipt of notice of a restrictive Supportive Measure, a Respondent may challenge the decision in writing to the Vice President for Finance and Administration or their designee. Upon review of the challenge, the Vice President or their designee may continue the Supportive Measure for a designated period, may determine conditions for the termination of the Supportive Measure, or take any other action in the best interest of the University. If the Supportive Measure is upheld after the Respondent’s challenge, it shall be reviewed periodically by the Vice President or their designee to determine whether there is a continuing threat to health or safety that warrants the Supportive Measure’s continuation.
  
  All individuals are encouraged to disclose to the Title IX Administrators any concerns about the failure of another to abide by any restrictions imposed through Supportive Measures. In the event of an immediate health or safety concern, individuals should contact 911 immediately. The University will take immediate action to enforce a previously implemented Supportive Measure, and disciplinary penalties can be imposed for failing to abide by a University-imposed Supportive Measure.
  
  The Title IX Coordinator will create and maintain records of any Supportive Measures offered and provided; the Title IX Coordinator must also maintain records regarding any decision not to provide Supportive Measures.
6. Rights of Employees
  VI. Rights of Employees
  
  DePauw strives to ensure that all Employees, whether Complainants or Respondents, are afforded the following rights:
  - To be treated respectfully and equitably by University Employees and officials.
  - To receive a prompt, fair, and impartial resolution process.
  - To have disclosures responded to promptly and sensitively, which may include the provision of Supportive Measures and/or an investigation following a Formal Complaint.
  - To have a Formal Complaint investigated appropriately, and addressed competently by trained individuals free from conflict of interest or bias.
  - To have a support person or Advisor of one’s own choosing present during any meetings concerning this Policy, including the review of the case file and Decision Panel Meeting.
  - To have an Advisor provided at the Decision Panel meeting if the party does not have an Advisor.
  - To obtain assistance in requesting a criminal restraining order from the State if so desired.
  - To receive assistance from University officials and staff with any Supportive Measures if such measures are reasonable and requested.
  - To receive timely notice of a Formal Complaint and of any meetings concerning this Policy at which their presence will be requested or required, including sufficient details to prepare for such meeting.
  - To be promptly notified, in writing, of decisions related to the investigation and determination regarding responsibility to the extent permitted by the law, regardless of whether or not one participates in the process.
  - To have irrelevant prior sexual history and legally privileged information (unless waived by the person holding the privilege) be made inadmissible during any process to determine responsibility for prohibited conduct.
  - To discuss the disclosed conduct under investigation with others to gather relevant evidence, to present witnesses and other evidence, and to ask relevant questions of the other party or Witnesses through their Advisor, during any Decision Panel Meeting.
  - To have an objective evaluation of all relevant evidence – including both inculpatory and exculpatory evidence – and to have credibility determinations made without consideration of a person’s status as a Complainant, Respondent, or Witness during any process to determine responsibility for prohibited conduct.
  - To receive timely and equal access to all evidence obtained as part of an investigation that is directly related to the disclosed conduct, regardless of whether the information will be relied on in reaching a determination regarding responsibility.
  - To appeal the dismissal of a Formal Complaint or the outcome of an adjudication.
  - To decline to answer some or all questions posed by an Investigator, Decision Panel member, or Advisor, with the qualification that such refusal to answer during a Decision Panel Meeting may impact the ability of the Decision Panel to consider any of their statements in making their determination on responsibility.
  - To be free from any form of retaliation by members of the University community.
  Complainants also have the following rights:
  - To not be discouraged from disclosing to the University or reporting to law enforcement, whether on-campus or off-campus, and to be supported by University Employees or officials in so doing.
  - To meet with the Title IX Coordinator to discuss the availability of Supportive Measures and the process for filing a Formal Complaint, to have their wishes considered with respect to Supportive Measures, and to receive reasonably available Supportive Measures with or without the filing of a Formal Complaint.
  - To submit a written statement to be considered by the Decision Panel when determining sanctions, indicating the impact the disclosed conduct has had on them and hopes they may have for disciplinary action assigned to the Respondent.
  Respondents also have the following rights:
  - To be presumed not responsible for the disclosed conduct until a determination regarding responsibility is made at the conclusion of a Title IX Process.
  - To submit a written statement to be considered by the Decision Panel when determining disciplinary action, indicating any factors they would like the Decision Panel to take into consideration in imposing disciplinary action, if the Decision Panel finds the Respondent responsible for violating the Policy.
7. Prohibited Conduct
  VII. Prohibited Conduct
  
  This Policy prohibits Sexual Harassment as defined in the Title IX regulations, which includes Sexual Assault, Dating Violence, Domestic Violence, and Stalking (collectively, Title IX Sexual Harassment), and Retaliation. Conduct under this Policy is prohibited regardless of the sexual orientation, gender, gender identity, or gender expression of the Complainant or Respondent. The University prohibits the following conduct:
  1. Sexual Harassment: (A) Unwelcome conduct determined by a reasonable person to be so severe, pervasive, and objectively offensive that it effectively denies the Complainant equal access to the University’s education program or activity; or (B) An Employee of the University conditioning the provision of an aid, benefit, or service of the University on a Complainant’s participation in unwelcome sexual conduct.
  2. Sexual Assault: Having or attempting to have sexual contact with another individual without consent or where the individual cannot consent because of age or temporary or permanent mental incapacity (see below for definition of consent and incapacitation). [1] Sexual contact includes:
    1. sexual intercourse (anal, oral, or vaginal), including penetration with a body part (e.g., penis, finger, hand, or tongue) or an object, or requiring another to penetrate themselves with a body part or an object, however slight; or
    2. sexual touching of the private body parts, including, but not limited to, contact with the breasts, buttocks, groin, genitals, or other intimate part of an individual’s body for the purpose of sexual gratification.
  3. Dating Violence: Violence committed by a person—
    1. who is or has been in a social relationship of a romantic or intimate nature with the victim; and
    2. where the existence of such a relationship shall be determined based on a consideration of the following factors: (i) The length of the relationship; (ii) The type of relationship; (iii) The frequency of interaction between the persons involved in the relationship.
  4. Domestic Violence: felony or misdemeanor crimes of Violence committed by a current or former spouse or intimate partner of the victim, by a person with whom the victim shares a child in common, by a person who is cohabitating with or has cohabitated with the victim as a spouse or intimate partner, by a person similarly situated to a spouse of the victim under the domestic or family violence laws of the jurisdiction receiving grant monies, or by any other person against an adult or youth victim who is protected from that person’s acts under the domestic or family violence laws of the jurisdiction.
  5. Stalking: engaging in a course of conduct directed at a specific person that would cause a reasonable person to—
    1. fear for his or her safety or the safety of others; or
    2. suffer substantial emotional distress.
  6. Retaliation: Conduct against an individual for the purpose of interfering with any right or privilege secured under Title IX, or because the individual has made a disclosure or complaint, testified, assisted, or participated or refused to participate in any manner in a Title IX Process. Retaliation includes intimidation, threats, coercion, or discrimination for the purpose of interfering with any right or privilege secured by Title IX. The exercise of rights protected under the First Amendment does not constitute Title IX Retaliation. A good-faith pursuit by either party of civil, criminal or other legal action does not constitute Title IX Process Retaliation.
  [1] The statutory definition of sexual assault referenced by the Title IX regulations also includes having or attempting to have sexual contact between persons who are related to each other within the degrees where marriage is prohibited by law.
8. Statement on Consent and Incapacitation
  VIII. Statement on Consent and Incapacitation
  
  Consent is clear, knowing, and voluntary agreement to participate in sexual activity. Consent can be given by words or actions, as long as those words or actions create mutually understandable clear permission regarding a willingness to engage in (and the conditions of) sexual activity. Consent is active, not passive. Silence, in and of itself, cannot be interpreted as consent, and relying on nonverbal communication alone may not be sufficient to establish consent.
  
  Consent to any one form of sexual activity does not automatically imply consent to any other forms of sexual activity. Previous relationships or prior consent do not imply consent to future sexual acts. Even in the context of a relationship, there must be mutual consent to engage in sexual activity each time it occurs. Consent to engage in sexual activity with one person is not consent to engage in sexual activity with any other person.
  
  When it is unclear whether someone consents to activity, it is the responsibility of the person who initiates the activity to ensure that their partner clearly communicates consent. To continue to engage in sexual activity without consent from their partner is a violation of this Policy.
  
  Consent can be withdrawn by either party at any point. Once consent is withdrawn, the sexual activity must cease immediately.
  
  Consent must be mutually understandable. That is, a reasonable person would have to consider the words or actions of the parties to indicate that there was a clear agreement to engage in the given activity with each other at the same time.
  
  Consent cannot be obtained through force, coercion, or taking advantage of another person’s incapacitation. Force is the use of physical violence and/or imposing on someone physically to gain sexual access. Force also includes threats, intimidation (implied threats), and coercion that overcome resistance or produce consent. Note: There is no requirement that a party actively resist the sexual advance or request, but resistance is a clear demonstration of non-consent. Sexual activity that is forced is by definition nonconsensual, but lack of physical force or coercion does not indicate consent.
  
  Coercion is unreasonable pressure for sexual activity that is sufficient to overcome an individual’s freedom of will whether to voluntarily consent to participate in the sexual activity. Coercive conduct includes intimidation and express or implied threats of immediate or future physical, emotional, reputational, financial or other harm to the Complainant or other that would reasonably place an individual in fear and that is employed to compel someone to engage in sexual activity.
  
  Consent cannot be given by minors, by mentally disabled persons, or by otherwise physically or mentally incapacitated persons. Consent cannot be gained by taking advantage of the incapacitation of another, where the person initiating sexual activity knew or reasonably should have known that the other was incapacitated.
  
  Incapacitation is the inability, temporarily or permanently, to give consent because an individual is incapable of appraising or controlling their own conduct, physically unable to verbally or otherwise communicate consent or unwillingness to an act, asleep, unconscious, or unaware that sexual activity is occurring. People who are unconscious, asleep, unaware the sexual activity is occurring, incapacitated as a result of alcohol or drugs (whether consumed voluntarily or involuntarily), or who are physically or mentally incapacitated cannot give consent.
  
  Incapacitation is an important and specific concept. Incapacitation means that a person lacks the ability to make informed, rational judgments about whether or not to engage in sexual activity. A person who is incapacitated is incapable of recognizing what is going on around them. An incapacitated person is not able to recognize the sexual nature or extent of the situation they are in. To engage in sexual activity with a person one knows or should know is incapacitated is a violation of this Policy.
  
  When alcohol or other drugs are involved, incapacitation is a state beyond drunkenness or intoxication. A person is not necessarily incapacitated merely as a result of drinking or using drugs; the level of impairment must be significant enough to render the person unable to give consent. The impact of alcohol and other drugs varies from person to person, and a person’s level of intoxication may vary based upon the nature and quality of the substance imbibed, the person’s weight, tolerance, ingestion of food and other circumstances. A person’s level of impairment may also change rapidly.
  
  In evaluating consent in cases of potential incapacitation, the University asks two questions: (1) Did the person initiating sexual activity know that the other party was incapacitated? and, if not, (2) Should a sober, reasonable person, in the same situation, have known that the other party was incapacitated? If the answer to either of these questions is “yes,” consent was absent and the conduct is likely a violation of this Policy.
  
  One is not expected to be a medical expert in assessing incapacitation. One must look for the common and obvious warning signs that show that a person may be incapacitated or approaching incapacitation. Although every individual may manifest signs of incapacitation differently, typical signs often include slurred or incomprehensible speech, unsteady manner of walking, combativeness, emotional volatility, vomiting, or incontinence. A person who is incapacitated may not be able to understand some or all of the following questions: “Do you know where you are?” “Do you know how you got here?” “Do you know what is happening?” “Do you know whom you are with?”
  
  One should be cautious before engaging in sexual activity when a party has been drinking alcohol or using drugs. The use of alcohol or other drugs may impair a party’s ability to determine whether consent has been sought or given. If one has doubt about a party’s level of intoxication, the safe thing to do is to forego all sexual activity. A Respondent’s intoxication will not excuse the Respondent from the obligation to obtain consent as described in this Policy.
9. Overview of the Title IX Process
  IX. Overview of Title IX Process
  
  The Title IX Process is an administrative process that is informed by Title IX and the relevant provisions of VAWA. The Title IX Coordinator provides oversight of a prompt, fair, and equitable process in both cases. While the parties involved have certain procedural rights, the procedures described are not intended to constitute legal proceedings.
  
  The Title IX Process is described in greater detail in Section XI below. The University utilizes this decision model in which the Title IX Coordinator, or their designee, investigates and the Decision Panel resolves Formal Complaints of prohibited conduct and any other related violations. The Decision Panel shall use the designated process described in the subsequent section to determine facts and responsibility for the disclosed conduct and any applicable sanctions.
  
  Initial Assessment
  
  Upon receiving notice of prohibited conduct, the Title IX Coordinator will conduct an initial assessment by promptly contacting the Complainant to address any immediate physical safety and emotional support needs, discuss the availability of Supportive Measures, consider the Complainant’s wishes with respect to Supportive Measures, inform the Complainant of the availability of Supportive Measures with or without the filing of a Formal Complaint, provide a copy of the Policy, and explain to the Complainant their rights under the Policy (see Section VI) and their options for addressing the prohibited conduct, including both formal and informal resolution and the process for making and resolving a Formal Complaint. The Complainant may request Supportive Measures only, or may make a Formal Complaint. Alternatively, as described below, the Title IX Coordinator may determine that it is appropriate to file a Formal Complaint even in the absence of a Formal Complaint filed by a Complainant. After the filing of a Formal Complaint, the Complainant may decide to seek either formal or informal resolution. A Complainant is always entitled to reasonably available Supportive Measures, regardless of whether a formal or informal resolution process is initiated. As part of the initial assessment, the Title IX Coordinator will be responsible for determining whether the disclosed conduct falls within the scope of the Policy and which resolution options are appropriate. If the disclosed conduct falls within the scope of the Policy, the University may move forward with an informal resolution, Title IX Process, or University Process, as appropriate. If not, the University may be required to dismiss any Formal Complaint received. If the disclosed conduct does not fall within the scope of the Policy, the Title IX Coordinator may forward information regarding the disclosed conduct to other appropriate individuals within the University for appropriate handling as outlined below.
  
  Required and optional dismissals and commencement of a formal Title IX Process or University Process are described in Section XI below.
  
  The University will seek to complete the Initial Assessment as promptly as possible, typically within ten (10) business days. There may be circumstances, however, where the Initial Assessment takes longer based on the availability of the Complainant or other necessary information, the need to gather additional information, or other factors outside of the University’s control. The University also understands that a Complainant may need additional time to make decisions regarding their options, which may impact the timing of the conclusion of the Initial Assessment.
  
  The Title IX Administrators will document each report or request for assistance, including requests for supportive measures, as well as the response to any such report or request; and will review and retain copies of all reports generated as a result of any investigation. The University will maintain the records in accordance with the provisions of Section XV below.
  
  Requests for Anonymity and Process Options:
  
  Even when choosing to disclose prohibited conduct, a Complainant may request that their name or other personally-identifiable information not be shared with the Respondent, that no Formal Complaint or investigation be pursued, or that no disciplinary action be taken. In these instances, before taking any further investigative steps, the Title IX Coordinator will discuss the Complainant’s concerns and seek to address and remedy barriers to disclosing or participation in a process to address the prohibited conduct. The University will balance any request for anonymity with its obligation to provide a safe and nondiscriminatory environment for all members of the DePauw community. The Title IX Coordinator will evaluate the risk to public or individual safety, will provide Supportive Measures and timely warnings to address those issues, and may choose to file a Formal Complaint in the Title IX Coordinator’s name and proceed with the Title IX Process with or without the participation of the Complainant. The Title IX Coordinator will balance the Complainant’s request for anonymity and/or that no Formal Complaint or investigation be pursued against the following factors in reaching a determination whether the request can be honored:
  - The totality of the known circumstances;
  - The nature and scope of the alleged conduct, including whether the disclosed behavior involves the use of a weapon;
  - The respective ages and roles of the Complainant and Respondent;
  - The risk posed to any individual or to the campus community by not proceeding, including the risk of additional violence;
  - Whether there have been other disclosed incidents of prohibited conduct or other misconduct by the Respondent;
  - Whether the disclosed incident reveals a pattern of misconduct related to prohibited conduct (e.g., via illicit use of drugs or alcohol) at a given location or by a particular group;
  - The Complainant’s interest in the University’s not pursuing an investigation or disciplinary action and the impact of such actions on the Complainant;
  - Whether the University possesses other means to obtain relevant evidence;
  - Fairness considerations for both the Complainant and the Respondent;
  - The University’s obligation to provide a safe and non-discriminatory environment; and
  - Any other available and relevant information.
  The Title IX Coordinator will consider what other steps may be possible or appropriate when the Respondent is unknown or the Complainant requests anonymity, and what other measures or remedies might be considered to address any effects of the disclosed behavior on the campus community. The Title IX Coordinator will make a determination regarding the appropriate manner of resolution under the Policy. The University will seek resolution consistent with the Complainant’s request, if it is possible to do so, based upon the facts and circumstances, while also protecting the health and safety of the Complainant and the University community.
  
  Where the Title IX Coordinator determines that a Complainant’s request(s) can be honored, including a request for Supportive Measures only, the University may nevertheless take other appropriate steps to respond to the disclosed conduct and seek to prevent recurrence or remedy its effects on the Complainant and the University community. In addition to Supportive Measures for the Complainant, those steps may include providing targeted training and prevention programs, and/or providing or imposing other remedies. The Title IX Coordinator may later reconsider disclosed conduct and institute action under this Policy if any new or additional information becomes available, and/or if the Complainant subsequently decides that they would like to make a Formal Complaint.
  
  In those instances when the Title IX Coordinator determines that the University must proceed with an investigation despite the Complainant’s request that it not occur, the Title IX Coordinator will notify the Complainant that the University intends to initiate a Formal Complaint and investigation, but that the Complainant is not required to participate in the investigation or in any of the proceedings or actions taken by the University.
  
  The University’s ability to fully investigate and respond to alleged prohibited conduct may be limited if the Complainant requests anonymity or declines to participate in an investigation. The University will, however, pursue other steps to limit the effects of the potential prohibited conduct and prevent its recurrence. In all cases, the final decision on whether, how, and to what extent the University will make a Formal Complaint and conduct an investigation, and whether other measures will be taken in connection with disclosed prohibited conduct, rests solely with the Title IX Coordinator.
  
  Obligation to Provide Truthful Information
  
  DePauw takes disclosures of sexual harassment, including sexual assault and interpersonal violence, seriously. Disclosures that are made in good faith, whether the outcome results in a finding of responsibility or not, are not considered to be false reports. However, if a Complainant, Respondent, Witness, or third party who discloses a violation of this Policy is later found to have intentionally misled or made false claims of prohibited conduct under this Policy, they may be subject to disciplinary action under the Employee Guide.
  
  Standard of Proof:
  
  The standard for determining responsibility is a preponderance of evidence (more likely than not that the disclosed conduct happened). If a Respondent is found responsible by the Decision panel for a violation of the Employee Title IX Policy, the Decision Panel will determine disciplinary action for the University to issue.
  
  Timeframes:
  
  The University will proceed with the Title IX Process in a timely manner, and will seek to complete the process (from initial assessment through disciplinary action, not including any appeal that is filed by a party) in approximately seventy-five (75) calendar days following the notice of allegations provided after receipt of the Formal Complaint. This Policy designates reasonably prompt time frames for the major stages of the Title IX Process, but the University may extend any time frame in this Policy for good cause, including extension beyond 75 calendar days. An extension may be required for good cause to ensure the integrity and thoroughness of the investigation; to comply with a request by law enforcement; in response to accommodate the unavailability of the parties or Witnesses; accommodate delays by the parties; or for other legitimate reasons, including but not limited to the complexity of the investigation, the need for language assistance or accommodation of disabilities, and the severity and extent of the alleged misconduct. While requests for delays by the parties may be considered, the University cannot unduly or unreasonably delay the prompt resolution of a Formal Complaint under this policy. The University will notify the parties in writing of any extension of the timeframes for good cause and the reason for the extension.
  
  Although cooperation with law enforcement may require the University to temporarily suspend the fact-finding portion of an investigation under this Policy, the University will promptly resume its investigation as soon as it is notified by the law enforcement agency that the agency has completed the evidence gathering process. The University will not, however, wait for the conclusion of a criminal proceeding to begin its own investigation and, if needed, will take immediate steps to provide appropriate Supportive Measures.
  
  ADA Accommodations:
  
  It is the policy and practice of the University to provide reasonable accommodations related to the Title IX Process for Employees with officially documented restrictions as a result of a disability. It is the responsibility of the Employee to inform the Title IX Coordinator of their need for an accommodation, provide documentation of their restrictions as a result of a disability from Human Resources, and request the accommodation that they need. Employees may be required to sign a waiver of confidentiality to allow the Title IX Coordinator to communicate with Human Resources regarding the reasonableness of the requested accommodations and other potential alternatives to the requested accommodation. Accommodations are not retroactive.
10. Informal Resolution
  X. Informal Resolution
  
  Informal Resolution is a voluntary process that may result in the parties and the University agreeing on a resolution of the allegations of a Formal Complaint in lieu of an investigation and/or adjudication under the Title IX or University Process. Where the parties agree to consider an Informal Resolution and the Title IX Coordinator concludes that it may be appropriate, the University will work with the Complainant and Respondent to craft an Informal Resolution process based on the unique circumstances of the parties and the disclosed prohibited conduct. Both parties must agree to the Informal Resolution process voluntarily and in writing. An Informal Resolution may be requested at any time between the making of a Formal Complaint and the commencement of a Decision Panel Meeting to determine responsibility. Informal Resolution will not be permitted to resolve reports of an Employee engaging in Title IX Sexual Harassment against a Complainant who is a Student.
  
  Potential elements of an Informal Resolution include but are not limited to targeted or broad-based educational programming or training, supported direct confrontation of the Respondent through restorative justice or mediation practices, and/or indirect action by the Title IX Coordinator. Measures designed to maintain the Complainant’s access to the educational and employment activities of the University and to eliminate a potential hostile environment may also be included regardless of whether they disproportionately impact the Respondent, if agreed to by the parties. An Informal Resolution does not necessarily involve the Respondent admitting to a Policy violation or taking disciplinary action against the Respondent; however, the parties may agree on a resolution that includes such elements. Likewise, although relevant information disclosed during an Informal Resolution is not necessarily excluded from any subsequent Title IX Process, the parties may agree on a resolution structure that does so. The University will not compel a Complainant to engage in mediation, to directly confront the Respondent, or to participate in any particular form of Informal Resolution. The decision to pursue Informal Resolution will be made when the University has sufficient information about the nature and scope of the conduct, which may occur at any time after a Formal Complaint is received.
  
  Participation in Informal Resolution is voluntary for both the Complainant and Respondent, and any party can request to end Informal Resolution and pursue the Title IX or University Process at any time prior to the completion of the terms of the Informal Resolution. Information shared within an Informal Resolution is not admissible as evidence in any formal process that might result after a withdrawal from the Informal Resolution. The Title IX Coordinator will maintain records of all disclosed prohibited conduct and conduct referred for Informal Resolution, which will typically be complete within seventy-five (75) calendar days of the parties’ agreement to engage in Informal Resolution.
  
  If the parties are interested in pursuing Informal Resolution, the Title IX Coordinator (or a designee) will send written notices to the parties describing:
  1. The details of the conduct at issue;
  2. The requirements of the Informal Resolution;
  3. The circumstances under which the parties are precluded from resuming a Formal Complaint arising from the same allegations;
  4. The right to end the Informal Resolution process at any time prior to completion and resume the Formal Complaint process;
  5. The consequences resulting from participating in the Informal Resolution;
  The Title IX Coordinator will maintain records of all disclosed prohibited conduct and conduct referred for Informal Resolution, which will typically be complete within seventy-five (75) calendar days of the parties’ agreement to engage in Informal Resolution.
11. Investigation and Resolution Process
  XI. Investigation and Resolution Process
  
  The University investigates and resolves issues related to Formal Complaints of prohibited conduct, and any other related violations. While the parties involved will have certain procedural rights, the procedure described is an administrative process and not intended to constitute a legal proceeding. The University shall use the process described below to determine facts and responsibility for the disclosed conduct by impartially weighing the credibility of the evidence and whether it meets the preponderance of evidence standard.
  
  Notice of Formal Complaint and Commencement of Process/Dismissal of Complaint:
  1. A Complainant may make a Formal Complaint of prohibited conduct if they are participating in or attempting to participate in the University’s Education Program or Activity at the time the Formal Complaint is made. Alternatively, the Title IX Coordinator may file a Formal Complaint on behalf of a Complainant.
  1. The Title IX Coordinator will ask the Complainant questions to gather information related to jurisdiction for the Formal Complaint and will then evaluate the available information surrounding the Formal Complaint to determine whether: (a) the conduct could, if proved, constitute a violation of Title IX Sexual Harassment; (b) the conduct occurred in the University’s Education Program or Activity, and (c) the conduct occurred in the United States. If all three of the conditions above are met, the Formal Complaint will proceed under the Title IX Process. If any of the conditions are not met, the Formal Complaint must be dismissed under the Title IX Process but will be forwarded to the Associate Vice President of Human Resources for review under other University policies. The decision to dismiss a Formal Complaint under this Policy and/or to refer disclosed conduct to Human Resources will be communicated in writing to the Complainant generally within (3) days of receipt of the Formal Complaint and is subject to appeal as provided in Section XIII.
  1. If the requirements of Paragraph 2 are met for a Title IX Process to commence, the Title IX Coordinator will provide both the Complainant and Respondent with a written notice of allegations in the Formal Complaint that includes (a) a description of the Title IX Process (b) sufficient details of the disclosed conduct constituting a violation of the Policy to prepare a response, including the identities of the parties, if known, the disclosed conduct which could be a violation of the Policy, and the date and location of the disclosed conduct, (c) the potential Policy violations at issue; (d) a statement that the Respondent is presumed not responsible for the disclosed conduct and that a determination regarding responsibility is made at the conclusion of the Title IX Process; (e) the name of the assigned investigator and an opportunity to object to the investigator on the basis of bias or conflict of interest; (f) a statement that the party may have an Advisor of their choice, who may be but is not required to be an attorney, and that if the party does not have an Advisor present at the Decision Panel Meeting, the University will provide them an Advisor to ask questions of the other party and Witnesses; (g) a statement that the parties may inspect and review evidence at the conclusion of the investigation phase; (h) a statement about preservation of evidence; and (i) the prohibition against retaliation. Typically, the parties will receive notice of the allegations in the Formal Complaint within three (3) business days of the date the Formal Complaint was received by the Title IX Coordinator. If, in the course of the investigation of the Formal Complaint, information is gathered that indicates that additional violations may warrant investigation as well, the Title IX Coordinator will send revised notice to the parties to include those potential violations. After notifying the Respondent of the Formal Complaint, the Title IX Coordinator will also meet with the Respondent to explain the investigation/adjudication process, available resources, and Supportive Measures.
  1. If a Complainant or Respondent believes that the assigned investigator(s) may have a conflict of interest or bias which could result in their inability to provide a fair investigation to the Complainant or Respondent, the Complainant or Respondent should notify the Title IX Coordinator immediately, in writing, of this concern, including an explanation or reason for the conflict of interest or bias. If the Title IX Coordinator determines an actual conflict exists, the Title IX Coordinator will assign a new investigator.
  1. At any time during the investigation or Decision Panel Meeting, certain circumstances may occur that make dismissal of a Formal Complaint appropriate, including written notification to the Title IX Coordinator that the Complainant wishes to withdraw the Formal Complaint, the Respondent is no longer employed by the University, or specific circumstances prevent the University from gathering evidence sufficient to make a determination of responsibility for the disclosed conduct. In such cases, written notice of the decision to dismiss will be provided to the parties, and such decision is subject to appeal as provided in Section XIII of this Policy.
  1. For a Formal Complaint that is dismissed under this subsection which is subsequently found after full investigation pursuant to other University policy to constitute severe or pervasive harassment based on sex (including sexual orientation, gender identity, or gender expression), the Formal Complaint will be reinstated to determine any responsibility under this Policy in accordance with the provisions below.
  Investigation of a Formal Complaint:
  1. The investigators shall conduct a fair, impartial and thorough investigation, which may include, but is not limited to, interviews or written statements with the Complainant, the Respondent, and relevant Witnesses, as well as collection of available evidence, including electronic and social media communications, documents, photographs, and communications between the parties. The investigation is designed to provide both parties a full, equal, and fair opportunity to be heard, to submit relevant inculpatory or exculpatory information, and to identify fact or expert witnesses. Neither party’s ability to discuss the disclosed conduct under investigation or to gather and present relevant evidence will be restricted.
  1. The Complainant and the Respondent are encouraged to have an Advisor(s) to assist during the investigation and adjudication of a Formal Complaint. The Advisor may be an attorney. The University will provide a list of trained Advisors from its administrative staff, and can assist in connecting the Employee and an Advisor from the list if requested by an Employee. An Advisor accompanying an Employee at any meeting may provide support, guidance or advice to the Employee during the meeting, but may not otherwise participate in the meeting except as provided below regarding questioning during a Decision Panel Meeting in the Title IX Process or unless requested to do so by the University. An Advisor may not in any manner delay, disrupt, or interfere with meetings and/or proceedings. Advisors should plan to make themselves reasonably available, and the University will not unduly delay the scheduling of meetings or proceedings based on the Advisor’s unavailability. An Advisor may be asked to meet with a University administrator in advance of any participation in the proceedings to understand the expectations of the role, privacy considerations, and appropriate decorum. Advisors who are unable or unwilling to adhere to the University’s expectations may not be permitted to continue participating in the Title IX Process.
  1. The University, not the parties, is responsible for the burden of proof and the burden of gathering relevant evidence to the extent reasonably possible. Both the Complainant and Respondent will be asked to identify Witnesses and provide other relevant information, such as documents, communications, photographs, and other evidence. Both parties are encouraged to provide all relevant information in a timely manner to facilitate prompt resolution. In the event that a party declines or delays in voluntarily providing material information, the University’s ability to conduct a prompt, thorough, and equitable investigation may be impacted. All parties or Witnesses whose participation is invited or expected will be provided written notice of the date, time, location, participants, and purpose of all meetings, including investigative interviews or Decision Panel Meetings, with sufficient time for the party to prepare to participate.
  1. The investigators may visit relevant sites or locations and record observations through written, photographic, or other means. In some cases, the investigators may consult medical, forensic, technological, or other experts when expertise on a topic is needed in order to achieve a fuller understanding of the issues under investigation. The University will not consider polygraph results.
  2. In general, the University cannot access, consider, disclose, or otherwise use a party’s records that are made or maintained by a physician, psychiatrist, psychologist, attorney, clergy member, or other recognized professional or paraprofessional acting or assisting in that capacity, and which are maintained in connection with the provision of services to the party, unless that party gives their voluntary, written consent to do so. In those instances, the relevant information from the records must be shared with the other party.
  1. The investigators will review all information identified or provided by the parties and will determine the relevance of the information developed or received during the investigation.
  1. Prior or subsequent conduct of the Respondent may be considered in determining pattern, knowledge, intent, motive, or absence of mistake. For example, evidence of a pattern of prohibited conduct by the Respondent, either before or after the incident in question, regardless of whether there has been a prior finding of a policy violation, may be deemed relevant to the determination of responsibility for the prohibited conduct under investigation. The determination of relevance of pattern evidence will be based on an assessment of whether the previous or subsequent conduct was substantially similar to the conduct under investigation or indicates a pattern of similar prohibited conduct. The investigators (and the Decision Panel chair during a Decision Panel Meeting) will determine the relevance of this information and both parties will be informed if evidence of prior or subsequent conduct is deemed relevant.
  1. The sexual history of the Complainant is not relevant, except in two circumstances: (1) to show that someone other than Respondent committed the conduct; and, (2) where the Respondent alleges the sexual contact was consensual, evidence of the manner and nature of how the parties communicated consent in the past may be relevant in assessing whether consent was communicated in the reported conduct. As set forth in the consent definition, the mere fact of a current or previous dating or sexual relationship, by itself, is not sufficient to constitute consent and, even in the context of a relationship, consent to one sexual act does not constitute consent to another sexual act, and consent on one occasion does not constitute consent on a subsequent occasion.
  1. The University expects all members of the University community to cooperate fully with the investigation and Title IX Process. It is understood that there may be circumstances in which a Complainant or Respondent wish to limit their participation, and the University will respect the choice of the Complainant or Respondent as to how to engage in the Title IX Process. The University may, however, move forward with the investigation without the participation of a party or parties. No adverse inference will be drawn from a party’s election to not participate in the Title IX Process.
  1. The University may consolidate Formal Complaints of prohibited conduct against more than one Respondent, or by more than one Complainant against one or more Respondents, or by one party against the other party, where the prohibited conduct arises out of the same facts or circumstances.
  1. At the conclusion of the fact-gathering portion of the investigation, the investigators will provide to each party and their Advisor, if any, the opportunity to review evidence that is directly related to the disclosed prohibited conduct, including any evidence upon which the University does not intend to rely in reaching a determination regarding responsibility and inculpatory or exculpatory evidence, whether obtained from a party or other source, so that each party can meaningfully respond to the evidence prior to conclusion of the investigation. The parties will have ten (10) business days to submit a written response, which the investigators will consider prior to completion of the investigative report. The investigators will consider requests made in writing for additional Witnesses or submission of new evidence, and the investigators will provide each party notice of the submission of additional information and provide an abbreviated opportunity to review and respond. The investigators will also consider written requests for additional time to review the evidence. The Complainant and Respondent are not permitted to remove evidence from its secure physical location, nor make copies, downloads, screenshots, printouts, photographs, or any other reproduction electronic or otherwise, of the information provided for review.
  1. The investigators will prepare an investigative report that fairly summarizes relevant evidence, both inculpatory and exculpatory, and provide the Complainant and Respondent, and their Advisors, with an opportunity to review the investigative report and provide a written response. Access to the final investigative report will be provided to each party and their Advisor, if any, at least ten (10) business days prior to the Decision Panel Meeting for the parties’ review and written response.
  Decision Panel Meeting and Determination Regarding Responsibility:
  1. Upon completion of the investigation of a Formal Complaint, the Title IX Coordinator shall assign a Decision Panel consisting of three (3) members (including the Decision Panel Chair) to hold a live meeting (“Decision Panel Meeting”) during which they will review evidence and hear live statements from the parties and Witnesses including answers to relevant questions. The Title IX Coordinator will provide the parties and all Witnesses who will be requested to participate written notice including details on the date, time, and location of the Decision Panel Meeting, the anticipated Witness list, and the names of the Decision Panel members, at least ten (10) business days in advance of the Decision Panel Meeting. The Title IX Coordinator will consider written requests from either party for a reasonable delay in the date of the Decision Panel Meeting, if such delay is necessary to maintain the fairness and integrity of the Title IX Process. The request must be made no later than three (3) business days before the original scheduled date of the Decision Panel Meeting.
  1. A party may add Witness(es) to the list of those named in the notice only if they were not known at the time of the completion of the final investigative report. The party must provide the Witness’s name, contact information (if not a University Student or Employee), an explanation of why the Witness was previously unavailable, and a brief description of what information the Witness is expected to provide at the Decision Panel Meeting, at least three (3) business days prior to the date of the Decision Panel Meeting. The Witness will be interviewed by the investigators and an addendum to the investigative report completed. The Title IX Coordinator has the discretion to reschedule the Decision Panel Meeting to allow the parties equal and timely access to any new information.
  1. If a Complainant or Respondent believes that an assigned Decision Panel member may have a conflict of interest or bias which could result in their inability to provide a fair determination regarding responsibility and/or sanctions to the Complainant or Respondent, the Complainant or Respondent should notify the Title IX Coordinator immediately, in writing, of this concern, including an explanation or reason for the conflict of interest or bias. If the Title IX Coordinator determines an actual conflict exists, the Title IX Coordinator will assign a new Decision Panel member.
  1. The Decision Panel Meeting will be conducted with the parties located in separate rooms with technology enabling the Decision Panel and participants to simultaneously see and hear each other. However, if all parties and the Title IX Coordinator agree, the Decision Panel Meeting may alternately be conducted with all parties physically present in the same location. An audio or audiovisual recording or transcript of the Decision Panel Meeting will be created and maintained by the Title IX Administrators and will be available to the parties for inspection and review.
  1. Decision Panel Meetings shall not be publicized or open to the public; only participants in the meeting (Decision Panel members, the parties, their respective Advisors, and Witnesses), the Title IX Coordinator, or another University Employee as deemed appropriate by the Title IX Coordinator may be present. All participants shall hold matters relating to the Decision Panel Meeting in strict confidence. Witnesses are not permitted to attend Decision Panel Meetings to observe; their role is limited to giving their statements and answering questions.
  1. The Complainant and Respondent shall have the opportunity to attend the hearing and to hear and respond to evidence and questions posed by the Decision Panel, and will be provided copies of all directly related evidence for reference at the hearing. The Complainant and Respondent may not directly question one another. However, each party’s Advisor is permitted to directly ask the other party and any Witnesses relevant questions and follow up questions, provided that the Decision Panel will determine whether any question to be asked by an Advisor is relevant prior to the party or Witness answering. If a question is determined to not be relevant, the Decision Panel chair will explain the decision to exclude the question. If a party does not have an Advisor present at the Decision Panel Meeting, the University will provide a trained member of its administrative staff at no cost to the party to serve as the party’s Advisor for purposes of asking questions of the other party and Witnesses during the Decision Panel Meeting.
  1. If a party or witness does not submit to questioning by the other party’s advisors at the hearing, the Hearing Officer may exercise their judgment in evaluating whether their statements have a sufficient indicia of reliability to be admissible, and if so, in evaluating what weight, if any, to give to the statements of a party or witness not subject to cross-examination. In determining the relevance, admissibility, and weight, the Hearing Officer may consider longstanding principles of jurisprudence and evidence. The Hearing Officer may not draw any adverse inference from the decision of a party or witness to not participate at the hearing. If deemed reliable and relevant by the decision-maker, and not otherwise subject to exclusion under this Policy, the decision-maker may consider the statements of persons who were not present at the hearing, or persons who were present at the hearing but who nevertheless were not subject to cross-examination. This includes, but is not limited to, opinions and statements in police reports or other official reports, medical records, court records and filings, investigation notes of interviews, emails, written statements, affidavits, text messages, social media postings, and the like.
  1. At the conclusion of the Decision Panel Meeting, the Decision Panel will assess the credibility and weight of the evidence and make a determination regarding responsibility for a violation of University Policy. If the Decision Panel determines that the Respondent is responsible for violation of University Policy, it will also make a determination regarding appropriate disciplinary action to be taken (see Section XII Disciplinary Actions below). The Complainant may submit a statement about the impact of the prohibited conduct on them to the Decision Panel for consideration in its determination regarding disciplinary action, and the Respondent may submit a statement about factors that could mitigate the disciplinary action taken. Decisions regarding responsibility will be made by a preponderance of the evidence standard by majority vote of the Decision Panel. The decisions regarding responsibility and disciplinary action will be provided simultaneously in writing to the Complainant and Respondent and will include (a) identification of the disclosed prohibited conduct; (b) a description of the procedural steps taken from the receipt of the Formal Complaint through the determination, including any notifications to the parties, interviews with parties and Witnesses, site visits, methods used to gather other evidence, and meetings held; (c) findings of fact supporting the determination; (d) conclusions regarding the application of this Policy to the facts; (e) a statement of, and rationale for, the result as to each potential violation of University Policy, including a determination regarding responsibility, any disciplinary action to be issued to the Respondent, and whether remedies designed to restore or preserve equal access to the University’s education program or activity will be provided to the Complainant; and (f) the procedures and permissible bases for the Complainant and Respondent to appeal.
12. Disciplinary Actions
  XII. Disciplinary Actions
  
  If the Respondent is found to be responsible for a violation of the Policy, the Decision Panel shall determine disciplinary action to be imposed by the University, including whether the discipline will be recorded in the Respondent’s employee file in Human Resources, in their Academic Affairs file (as applicable), or both. Disciplinary action can range from written warning up to termination of employment. Any disciplinary level may also include completion of assigned educational requirements and counseling. Supportive Measures, including no-contact directives, no trespass orders and changes to job schedules or conditions, may also be implemented upon a finding of responsibility.
  
  In determining the appropriate disciplinary action, the Decision Panel shall consider the following factors: the nature and violence of the conduct at issue; the impact of the conduct on the Complainant; the impact or implications of the conduct on the community or the University; prior misconduct by the Respondent, including the Respondent’s relevant prior discipline history, both at the University or elsewhere (if available), including criminal convictions; whether the Respondent has accepted responsibility for the conduct; maintenance of a safe and respectful environment conducive to living, learning, and working; protection of the University community; and, any other mitigating, aggravating, or compelling circumstances in order to reach a just and appropriate resolution in each case.
  
  Disciplinary action may be imposed individually or in combination.
  
  Disciplinary Action for All Employees:
  
  Counseling: Discussion with the Employee of the prohibited conduct.
  
  Verbal Warning: A verbal discussion with an Employee about an Employee’s failure to comply with this Policy. Human Resources will document that the meeting occurred, the subject of the meeting and the outcome of the meeting and will submit the documentation to the Employee’s file.
  
  Written Warning: Documentation of a violation of this Policy. Documentation goes to the Employee’s file in Human Resources.
  
  Final Warning: Documentation clearly stating that any additional violations of University Policy will be likely to result in termination which is issued to the Employee and filed in the Employee’s file in Human Resources.
  
  Suspension: Removal of an Employee from their position for a period of time, either with or without pay. Suspensions must be documented to the Employee’s file in Human Resources. Salaried Employees can only be suspended for a full day of work and can be suspended only in instances of severe or gross misconduct.
  
  Termination of Employment: Removal of the Employee from their status as an active Employee of the University.
  
  Additional Disciplinary Action for Faculty:
  
  Lesser Sanctions: Lesser sanctions as defined in the Academic Handbook may be imposed. These sanctions may be temporary or permanent.
13. Appeals
  XIII. Appeals
  
  Procedure:
  
  A party may appeal the determination of responsibility or sanction imposed, or the dismissal of a Formal Complaint or any allegations therein, by filing their full and complete written appeal with the Vice President for Finance and Administration (for staff or administration Respondents) or the Vice President of Academic Affairs (for faculty Respondents) within ten (10) business days of the date of the letter of notification of the decision being appealed, unless that time is extended in writing by the Vice President. Appeals may be based only on the following reasons:
  1. New evidence that was not reasonably available at the time of the determination regarding responsibility or dismissal was made that could affect the outcome of the matter
  2. Procedural irregularity that affected the outcome of the matter
  3. Conflict of interest or bias of the Title IX Coordinator, investigator(s), or decision-maker(s) for or against complainants or respondents generally or the individual complainant or respondent that affected the outcome of the matter
  4. Appropriateness of disciplinary action
  All materials supporting any appeal must be submitted at the time the appeal is filed. The Vice President will advise the non-appealing party in writing of the receipt of an appeal and will provide a copy of the appeal to the non-appealing party. The non-appealing party(ies) will have ten (10) business days from the date of their receipt of the appeal to respond in writing to the appeal. A copy of the response will be issued to the appealing party. No additional review or response to submissions related to the appeal may be made by either party after this point, unless requested by the Vice President. After receipt of the non-appealing party’s response, the Vice President will determine the disposition of the appeal. For decisions involving termination as a sanction, the Vice President will confer with the President of the University as part of their determination process.
  
  Disposition of Appeals by the Vice President:
  
  The Vice President may:
  1. Affirm the action taken.
  2. Reverse the decision and refer the case back for reconsideration.
  3. Reverse the decision, in whole or in part, and vacate or modify any disciplinary action.
  4. Reverse or impose different disciplinary action.
  The Vice President will advise both parties in writing of the decision on appeal and the rationale for the result within ten (10) business days of submission of the non-appealing party’s response. Decisions by the Vice President are final.
  
  The determinations regarding responsibility and disciplinary action become final on the date that the Vice President provides the parties with the written determination of the result of the appeal, if an appeal is filed, or if an appeal is not filed, the date on which the appeal would no longer be considered timely.
14. Communication of Outcomes
  XIV. Communication of Outcomes
  
  Both the Complainant and the Respondent will be notified simultaneously in writing of the outcome of an investigation and determination of responsibility concerning sexual harassment, including sexual assault or interpersonal violence, and of any appeal decisions following such determination. The University is committed to fulfilling its obligations under the Jeanne Clery Disclosure of Campus Security Policy and Campus Crime Statistics Act. Statistics citing the number of disclosed incidents of sexual misconduct and interpersonal violence and their disposition are included in the Annual Security and Fire Safety Report which can be found on the DePauw Police Website.
15. Title IX Records
  XV. Title IX Records
  
  Record Retention
  
  An Employee’s file related to the Employee Title IX Policy, including but not limited to any Supportive Measures, investigation, formal hearing, appeal, informal resolution, and remedies will be maintained for seven (7) years, after which records are archived and cannot be accessed for reporting.
  
  Release of Information and Notification:
  1. The Associate Vice President of Human Resources or designee is responsible for the release of any information relating to Employee Title IX cases.
  2. Names of Employees being investigated for violations of the Employee Title IX Policy will not be released.
  3. Employers and representatives of undergraduate and/or graduate/professional schools will be informed of all Employee Title IX Policy violations resulting in a disciplinary action of final warning or higher if information is requested and a release has been signed by the employee, according to the record retention policy above.
  Family Educational Rights and Privacy Act:
  
  Access to records and release of information and notification shall be construed and applied in a manner consistent with the requirements of employment laws and regulations as well as the Family Educational Rights and Privacy Act (FERPA), as amended from time to time, including parental notification and participation in Title IX or University Processes where the Complainant is a minor. The University will keep confidential the identity of any individual who has disclosed prohibited conduct, any Complainant, any Respondent, and any Witness, except as may be permitted by the FERPA statute, regulations or as required by law (including by subpoena, court order, or search warrant), or to carry out the conduct of any Title IX Process.
16. Training and Education
  XVI. Training and Education
  
  The University is committed to the prevention of sexual misconduct and interpersonal violence through regular and ongoing education and awareness programs. All incoming students and new Employees (faculty and staff) receive primary prevention and awareness programming, and returning students and current Employees receive ongoing training and related programs. Individuals involved in the implementation of this Policy also receive regular, comprehensive mandated training on this Policy and Related Processes, which incorporates all required training, including specific training as required by the Clery Act and Title IX.
17. Annual Review
  XVII. Annual Review
  
  This Policy reflects the University’s good faith efforts to implement the newly-promulgated legal requirements under the Title IX regulations issued in May 2020, to synthesize those regulations with other Federal law, including the Clery Act, and with state law applicable to students and Employees. The University reserves the right to modify this Policy and the accompanying procedures as necessary to comply with Federal or state law, and such modifications may be made before or during an ongoing resolution process.
  
  Given the rapidly evolving nature of the legal requirements applicable to sexual misconduct, and the desire to provide accessible, effective, and legally compliant policies and procedures, the University will review this Policy on at least an annual basis. The review will capture evolving legal requirements, evaluate the supports and resources available to the parties, and assess the effectiveness of the resolution process (including as to the fairness of the process, the time needed to complete the process, and the sanctions and remedies imposed). The review will consider feedback from individuals affected by the Policy and will incorporate an aggregate view of reports, resolution, and climate.
18. Resources
  XVII. Resources
  
  Campus Resources:
  
  DePauw Police 765-658-5555
  
  Title IX Coordinator 765-658-4155
  
  Community Resources:
  
  Family Support Services 765-653-4820
  
  Greencastle Police 765-653-3155
  
  Putnam County Hospital 765-301-7300
  
  Putnam County Sheriff 765-653-3211
  
  National Resource:
  
  RAINN 1-800-656-HOPE (4673)
19. External Reporting
  XVIII. External Reporting
  
  Concerns about the University’s application of Title IX and the Clery Act may be addressed to the University’s Title IX Administrators; the United States Department of Education, Clery Act Compliance Division (at clery@ed.gov); the United States Department of Education, Office for Civil Rights, at (OCR@ed.gov or (800) 421-3481); and/or the Equal Employment Opportunity Commission (at info@eeoc.gov or (800) 669-4000).
Employer-Employee Relationship
The employer-employee relationship between DePauw University and its employees remains at-will which means either party may terminate the relationship at any time. No supervisor, manager, or representative of DePauw other than the president has the authority to enter into any agreement with the employee regarding the terms of employment that changes the at-will relationship or deviates from the provisions in this Guide. DePauw University reserves the right to change wages, hours and working conditions as deemed necessary.
Employment Candidate Travel Costs
Employment Candidate Travel Costs

Date: March 2015
Contact: Office of Human Resources, x4181

Policy Statement
In accordance with the University’s Business Expense Policy, the University will reimburse candidates traveling to the University for employment interviews. No more than three candidates should be scheduled for interviews if travel costs are involved. Any exceptions must receive prior approval by the Vice President of the business unit seeking the new employee.

Authorization
All travel and expenses must be pre-approved by the Vice President of the business unit seeking the new employee.

Guidelines
- Transportation
- Consideration should be given both to cost-effectiveness as well as efficient travel scheduling in determining whether to fly in a candidate or permit them to drive a personal vehicle.
  
  Determining Car vs. Air: If the candidate chooses to drive on a trip that would normally be taken by air, reimbursement for travel by personal automobile will be limited to the lesser of the cost of mileage or economy class airfare. Always use the most economical and direct mode of transportation available, consistent with the authorized purpose of the travel.
  - Air Travel: Candidates are expected to secure the lowest available airfare offered. The University provides reimbursement at the economy fare rate for domestic travel and at the business class rate for international travel. Individuals are allowed one luggage fee per trip. Early bird seat assignments are not permissible. The University has a special contract with Travel Leaders for obtaining airfare, lodging and rental cars. You may contact them at 1-800-525-1570. Any exception to economy fare rates for domestic travel and business class rate for international travel requires approval of the Vice President for Finance and Administration.
  - Travel by Personal Car:
    - Reimbursement allowance:
      
      Mileage: 62.5 cents/per mile as of 2023.
      
      Tolls and parking are reimbursed per receipt
      
      For trips that would normally be undertaken by air transportation, reimbursement for travel by personal automobile will be limited to the lesser of mileage or economy class airfare.
  - Rental car
    - Economy to mid-size automobile rental is allowed.
    - The candidate is responsible for fuel fill-up before the return to the rental agency. Fuel Service Option (FSO) which can be purchased at the time of rental or refill prior to the return of the rental care is allowed. However, a Fuel Service Charge that is charged at a much higher rate due to neither option occurring when the rental care is returned will not be allowed.
    - Collision Damage Waiver and Personal Accident Insurance are not covered expenditures for rental vehicles. However, roadside assistance charges are allowable when renting a vehicle.
- Lodging
  The University will reimburse for single occupancy accommodations. Candidates should be booked into moderately priced hotel accommodations. The Inn at DePauw University is the preferred venue.
- Meals
  - The actual costs of meals, including taxes and tips, are reimbursable.
  - Breakfast will be allowed if the candidate arrives before the normal breakfast time.
  - Lunch will be reimbursed if the candidate is on-campus during the normal lunch hour.
  - Dinner will be reimbursed only if the candidate is still on-campus during the normal dinner hour.
  - Purchase of snacks, beverages, etc., not associated with a meal are not reimbursable.
- Non-Reimbursable Expenses
  - Include but not limited to:
    - Accessories for laptops, PDAs and cell phones (unless there is advance approval from the Vice President)
    - Airline seat upgrade or early bird assignment
    - Automotive repair
    - Baby-sitter fees
    - Barber/manicurist/shoe shine
    - Dry Cleaning, pressing and laundry
    - Collision damage waiver
    - Gasoline charges for travel in personal vehicle (will be reimbursed through mileage)
    - Hotel gym and health facilities charges
    - Hotel room bar charges
    - Loss/theft of personal property
    - Membership fees in airline club
    - Movie rentals
    - Newspapers, magazines, brochures or books
    - Passport/visa application/other costs
    - Permanent equipment purchases
    - Personal entertainment
    - Personal medical costs
    - Personal phone calls except to report changes in schedule, or to speak with family members once a day (for a reasonable period of time)
    - Snacks/vending machine purchases (unless in lieu of a meal)
    - Traffic violations and toll fines
    - Traveler’s check fees
    - Extravagant charges deemed unnecessary
    - Club organization dues
    - Any other non-allowable items specified in the University Travel and Expense Policy
Procedures
1. Notify the Office of Human Resources, prior to the scheduling of candidates for interviews, the proposed schedules and the anticipated travel costs.
2. Book and arrange transportation and hotel arrangements for candidate(s) using Departmental Corporate Card or,
  
  Request that the Office of Human Resources book and arrange the travel and hotel for your candidate(s).
  
  If the candidate books and arranges his/her own transportation arrangements, make sure that the restrictions on travel reimbursements are made clear to the candidate and that the candidate is also clear on the documentation required for reimbursement.
3. Prepare documentation for reimbursement.
  Original, itemized receipts for all travel related costs of the candidate (e.g., airfare, hotel, rental car, mileage, meals, taxi, tolls, parking, etc.) must be submitted to the Office of Human Resources to document costs to be reimbursed, however, photocopies of itemized receipts will be accepted when the original is not available. Credit card receipts should not be submitted in lieu of these itemized receipts. If the candidate fails to request documentation at the time of charges, it is the responsibility of the candidate to contact the vendor to request duplicate documentation. If itemized receipts cannot be obtained, a memo to the file explaining the situation, as well as the business purpose of the expenses, should be sent to the Human Resources office and be signed by the appropriate division Vice President.
NOTE: Expenses should be submitted for reimbursement within 60 days of being incurred. IRS regulations require reimbursements that are requested after the 60 day period be reported as taxable income and will be reported as such on a 1099-misc., if necessary.

NOTE: Each division Vice President and/or Department Budget Supervisor and the Director of Human Resources have the authority to impose additional and more restrictive requirements for authorizing or approving candidate travel reimbursements.

Employment Eligibility Verification (Form I-9)

In accordance with regulations established by the U.S. Department of Homeland Security, U.S. Citizenship and Immigration Services (USCIS), all employees hired after November 6, 1986 must complete Form I-9. Employees are required to present acceptable documents that establish identity and employment eligibility to Human Resources within three (3) business days from the date employment begins. The employee may present one item from List A or one item from List B and one item from List C (see below).

List A	OR	List B	AND	List C
Documents that Establish Both Identity and Employment Authorization		Documents that Establish Identity		Documents that Establish Employment Authorization
U.S. Passport or U.S. Passport Card Permanent Resident Card or Alien Registration Receipt Card (Form I-551) Foreign passport that contains a temporary I-551 stamp or temporary I-551 printed notation on a machine-readable immigrant visa Employment Authorization Document that contains a photograph. (Form I-766) In the case of a nonimmigrant alien authorized to work for a specific employer incident to status, a foreign passport with Form I-94 or Form I-94A bearing the same name as the passport and containing an endorsement of the alien’s nonimmigrant status, as long as the period of endorsement has not yet expired and the proposed employment is not in conflict with any restrictions or limitations identified on the form. Passport from the Federated States of Micronesia (FSM) or the Republic of the Marshall Islands (RMI) with Form I-94 or Form I-94A indicating nonimmigrant admission under the Compact of Free Association Between the United States and the FSM or RMI.		Driver’s license or ID card issued by a state or outlying possession of the United States provided it contains a photograph or information such as name, date of birth, gender, height, eye color, and address. ID card issued by federal, state, or local government agencies or entities, provided it contains a photograph or information such as name, date of birth, gender, height, eye color, and address. School ID card with a photograph. Voter’s registration card. U.S. Military card or draft record. Military dependent’s ID card. U.S. Coast Guard Merchant Mariner Card. Native American tribal document. Driver’s license issued by a Canadian government authority For persons under age 18 who are unable to present a document listed above: School record or report card. 11. Clinic, doctor, or hospital record. Day-care or nursery school record.		U.S. Social Security Account Number card other than one that specifies on the face that the issuance of the card does not authorize employment in the United States Certification of Birth Abroad issued by the Department of State (Form FS-545). Certification of Birth Abroad issued by the Department of State (Form DS-1350) Original or certified copy of birth certificate issued by a State, county, municipal authority, or territory of the United States bearing an official seal Native American tribal document. U.S. Citizen ID Card ( Form I-197) Identification Card for Use of Resident Citizen in the United States (Form I-179) Employment authorization document issued by Department of Homeland Security

Employment Outside of Regular Position
The Human Resources Office may give authorization for full-time employees to perform duties outside of their regular position for events that include but are not limited to: Alumni Reunion Weekend, Commencement, Old Gold Weekend, and Freshman Testing for Institutional Research. Authorization must be obtained from Human Resources before employees are hired for these events. Normally, employees who work these events do not experience a conflict with their regular positions because these hours are worked at a time when they are not normally scheduled to work in their regular position. However, if employees wish to work these events during a time when they are normally scheduled to work in their regular position, they may request the use of vacation or personal time to cover the absence from their regular position. Approval is granted at the supervisor’s discretion.
A Personnel Action Sheet (see Personnel Action Sheet) is required for authorization of these hours. The approved account number from which the hours will be paid must be specified on the Personnel Action Sheet. A flat hourly rate is normally established for these positions. Employees are paid the greater of the established flat rate or their overtime rate. Hours must be reported on the yellow time card that is used for part-time, temporary, and on-call employees. Hours worked will be paid as special earnings and no benefits will be calculated on these hours. The payroll manager will process these hours for employees so they will not be applied toward those hours budgeted for their regular position.
Family and Medical Leave Act (FMLA) of 1993 and DPU Medical Leave
FMLA Eligibility – Employees who have worked at least one year (does not have to be continuous but separation cannot exceed seven (7) years unless the break-in-service was due to National Guard or Reserve Military service obligations) and for at least 1250 hours over the prior 12 months.

DPU Medical Leave Eligibility – All full-time, benefit status employees

Maternity, Adoption and Parental Leave (MAPL) – Employees who have worked at least one year (does not have to be continuous but separation cannot exceed seven (7) years unless the break-in-service was due to National Guard or Reserve Military service obligations) and for at least 1250 hours over the prior 12 months.

Reasons for FMLA Leave
An eligible employee may take FMLA leave of up to 12 weeks per leave year (26 weeks in the case of leave to care for a seriously-ill family member who is member of the Armed Forces, National Guard or Reserves on active combat duty or on the Temporary Disability Retired List (TDRL) or who is a veteran discharged or released under conditions other than dishonorable discharge up to five years prior to the date the employee’s military caregiver leave begins and whose injury or illness occurred or was aggravated in the line of combat duty) for any of the following reasons:
- to care for the employee’s newborn child, or to care for a child newly placed in the employee’s custody through adoption or foster care, for a period of up to one year after such birth or placement (see Parental Leave Policy); or
- to care for the employee’s spouse, child, or parent who has a serious health condition; or
- to care for a spouse, son or daughter, parent or next of kin who is a covered military service member with a serious injury or illness, or
- for the employee’s own serious health condition, if that condition makes the employee unable to perform his or her job duties, or
- due to a qualifying exigency arising out of the fact that your spouse, son, daughter, or parent is on covered active duty (limited to members deployed to a foreign country) or call-to-active-duty status, or
- to care for a military member’s parent (not necessarily the parent of the employee) who is incapable of self-care when the care is necessitated by the military member’s covered active duty (care may include arranging for alternative care, providing care on an immediate need basis, admitting or transferring the military member’s parent to a care facility, or attending meetings with staff at a care facility).
Leave taken may be continuous or intermittent for a medically-related leave. Leave can only be taken continuously for a non-medically-related leave (with the exception of Rest and Recreation leave under the qualifying exigency leave category), unless agreed upon by the employee’s supervisor. Any leave taken by an eligible employee for one or more of these reasons in combination will be counted against that employee’s annual FMLA leave entitlement.

FMLA Leave Year Defined

For the purposes of this policy, the leave year will be determined by a “rolling” 12-month period measured backward from the date the employee first takes time off for an FMLA qualified leave (except in the case of leaves to care for a seriously ill or injured covered military service member or veteran, in which case by law the leave must be measured forward from the date the employee first takes off).

Serious Health Condition Defined

For the purpose of determining whether an eligible employee or his or her non-military spouse, child or parent has a serious health condition, such a condition includes any injury, illness, impairment, or physical or mental condition that either requires inpatient care in a medical facility (i.e., overnight hospitalization) and/or continuing treatment by a healthcare provider (i.e., treatment two or more times which must take place within a 30-day period) or for a chronic condition (i.e., requires periodic visits for treatment of a least twice a year).

For the purposes of determining whether a military (active duty) spouse, son or daughter, parent or next of kin has a serious health condition, such condition includes any injury, illness, impairment, or physical or mental condition, incurred or aggravated, by the individual in the line of duty while on active combat duty and which renders the individual medically unfit to perform the duties of the individual’s office, grade, rank or rating,

For the purposes of determining whether a covered veteran spouse, son or daughter, parent or next of kin has a serious health condition, such condition includes:

1)      a continuation of a serious injury or illness that was incurred or aggravated when the covered veteran was a member of the Armed Forces and rendered the service member unable to perform the duties of the service member’s office, grade, rank or rating,

2)      a physical or mental condition for which the covered veteran has received a VA Service Related Disability Rating (VASRD) of 50 percent or greater and such VASRD is based, in whole or in part, on the condition precipitating the need for caregiver leave,

3)      a physical or mental condition that substantially impairs the veteran’s ability to secure or follow substantially gainful occupation by reason of a disability or disabilities related to military service or would do so absent treatment, or

4)      an injury, including a psychological injury, on the basis of which the covered veteran has been enrolled in the Department of Veterans Affairs Program of Comprehensive Assistance for Family Caregivers.

Next of Kin Defined

The term is defined as the “nearest blood relative” of the employee in the following order of priority: 1) blood relative designated in writing by the service member as next of kin, 2) blood relative granted legal custody of the service member by court decree or statutory provision, 3) brothers and sisters, 4) grandparents, 5) aunts and uncles, and 6) first cousins.

Qualifying Exigency Defined

A qualifying exigency is a non-medical activity that is directly related to the covered military member’s active duty or call to active duty status. For an activity to qualify as an exigency, it must fall within one of nine categories of activities or be mutually agreed to by the University and the employee (including agreement on timing and duration of such a leave). The nine categories are: 1) short-notice deployment (leave permitted up to seven days if the military member receives seven or less days’ notice of a call to active duty), 2) military events and activities, 3) certain temporary childcare arrangements and school activities (but not ongoing childcare), 4) financial and legal arrangements, 5) counseling by a non-medical counselor (such as a member of the clergy), 6) rest and recuperation (leave permitted up to fifteen days when the military member is on temporary rest and recuperation leave), and 7) post-deployment military activities within 90 days of termination of active duty, 8) parental care leave for parent of military member when parent cannot self-care, and 9) additional activities where the employer and employee agree to the leave, timing and duration..

Compensation for FMLA Leave

Under the law, FMLA leave is unpaid. However, under DePauw University’s Leave policies, employees enjoy the benefit of receiving certain kinds of paid leave in substitution for unpaid leave. However, such paid leave is still counted towards and runs concurrently with the employee’s 12 (or 26) weeks of FMLA leave granted for the leave year.

For Birth/Adoption of a Child: See Parental Leave Policy.

For Leave for a Qualifying Exigency: An hourly (nonexempt) full-time, benefit eligible employee is required to use accumulated vacation and personal time prior to the commencement of unpaid leave. A salaried (exempt) full-time, benefit eligible non-faculty employee is required to use accumulated vacation time for the same purpose.

For Care of Seriously Ill Spouse, Child, Parent or Next of Kin: An hourly (nonexempt) full-time, benefit eligible employee is required to use accumulated sick leave and in addition is required to use all remaining accumulated vacation and personal time to care for a seriously ill spouse, child, parent or next of kin prior to the commencement of unpaid leave. A salaried (exempt) full-time, benefit eligible non-faculty employee will be granted up to 10 days under salary continuance in addition to the required use of all remaining accumulated vacation time for the same purpose. A full-time, benefit eligible faculty member may use up to 10 days of salary continuance only under the same circumstances.

For Serious Illness of the Employee (including pregnancy):

For Hourly (nonexempt) Full-Time, Benefit Eligible Employees - The employee is required to use accrued sick time; once exhausted, then personal time and vacation time are to be used at rates based on his/her regular work schedule (an exception is made if the use of sick time rather than personal/vacation will penalize the employee (for example, if the employee has accrued the maximum vacation time)). During a paid medical leave, benefits continue as though the employee is actively working. Benefits include but are not limited to:
- The employee will continue to accrue sick and vacation time based upon pay period hours reported.
- The employee will be paid for holidays occurring during his/her regular schedule.
- Health insurance contributions made by the employee will be deducted from pay issued.
- The employee will remain an active participant in the retirement program(s).
For Salaried Full-Time Benefit Eligible Employees – A salaried employee will be considered in salary continuance at full pay up to 180 calendar days when it is medically necessary for the employee to be away from work. The salary continuation period will run concurrently with the Family and Medical Leave Act (FMLA) of 1993 leave period. During the salary continuance period all benefits continue as though the employee is actively working.

After 180 calendar days, salary continuation will cease. Non-faculty employees will then use accrued vacation leave until it is exhausted.

Unpaid Medical Leave – An employee will be considered in unpaid medical leave when the employee has exhausted all available paid time, regardless of LTD approval. The benefits affected for an employee on unpaid medical leave include but may not be limited to:
- The employee will not accrue vacation time.
- The employee will not be paid for holidays.
- The employee may continue participation in the group health insurance program during the unpaid leave. The University will continue to pay the employer portion of the group health insurance premium only if the employee makes arrangements for payment of the employee portion.
- All employer retirement plan contributions will be discontinued.
Duration of Leave, Job Benefits and Job Protection

For the duration of the FMLA leave (which, whether continuous, part-time or intermittent, will not exceed the equivalent of twelve (12) work weeks in a rolling calendar year based upon the first day of FMLA leave (except in the case of leave to care for a seriously ill military service member where the leave may be for as much as 26 weeks), the University must maintain the employee’s health coverage under any “group health plan”. The employee continues to be responsible for the employee portion of the group health insurance premium. Under the University Medical Leave policy, the employee is permitted to extend his/her personal medical leave to a full twelve (12) months and the group health insurance coverage can be extended until the end of that time period (again, so long as the employee continues to be responsible for payment of the employee portion of the group health insurance premium).

Upon return from FMLA leave, employees must be restored to their original or equivalent positions with equivalent pay, benefits, and other employment terms (except in specific and limited cases where the reinstatement of certain highly-paid “key” employees would result in substantial and grievous economic injury to the employer). The use of FMLA leave cannot result in the loss of any employment benefit that accrued prior to the start of an employee’s leave. After the exhaustion of the FMLA leave, (i.e., for the balance of the University authorized twelve (12) month personal Medical Leave) the University cannot guarantee reinstatement of the employee upon completion of the approved leave of absence. Nonetheless, the University will make every effort to return the employee to the same or a comparable job, subject to budgetary restrictions, the University’s need to fill vacancies, and the University’s ability to find qualified temporary replacements.

If an employee is unable to return to work after 12 months, the employee will be terminated.

Request for Medical Leave

A medical leave is defined as an absence of more than five (5) consecutive work days due to illness, injury or other disability (including pregnancy) as supported by a physician’s certification. The medical leave will run concurrently with the twelve (12) weeks under the Family and Medical Leave Act (FMLA) of 1993.

An employee who expects to be absent from work for more than five (5) consecutive work days due to medical reasons, must submit a written request for medical leave to his/her supervisor at least thirty (30) days before the anticipated commencement of the leave.

In the case of an emergency or when 30-days’ notice cannot otherwise be provided, the employee or a member of the employee’s immediate family must notify the employee’s supervisor as soon as possible. A written leave request should follow the verbal request by no more than five (5) days.

The employee must also send a copy of the request for medical leave to the Human Resources Office.

The employee’s request for medical leave must be supported by a physician’s certification of the medical need for leave.

Physician’s Certification Requirement

A physician’s certification is required for any period which exceeds an absence of five (5) consecutive days; however, the University reserves the right to request a physician’s statement for absence periods of five (5) days or less.

The employee must contact the Human Resources Office for the Certification by Health Care Provider form which must be completed by the employee’s health care provider and returned to the Human Resources office within 15 days. Please refer to the Certification by Health Care Provider form for additional information.

If the completed certification form is not received by the Human Resources Office within 15 days, the employee’s absence may be considered “unexcused” and appropriate disciplinary action may be taken. In addition, no payment for wage continuance, salary continuance, vacation, sick, or personal time will be issued.

The employee may also be required to submit to an examination at the University’s expense by a physician selected by the University before the leave of absence will be approved

During a medical leave, the employee must provide the University with periodic physician certifications. Such certifications should be provided after each physician’s visit (but the University may choose to require recertifications to be provided with a frequency not to exceed thirty (30) days between such certifications.

Certification for Qualifying Exigency

The University will require the employee to provide a copy of the covered military member’s active duty orders the first time the employee requests exigency leave. This information need only be provided once for each separate call to active duty. Further documentation which must be supplied in order to support the request includes:
1. A statement, signed by the employee, of the facts supporting the leave request and including any available documentation such as a copy of a meeting notice announcement, appointment or copy of a bill of service.
2. The approximate date the qualifying exigency commenced or will commence.
3. If the request is for a specific period of time, the beginning and end dates of the absence.
4. If the request is for intermittent or reduced schedule basis, an estimate of the frequency and duration of the exigency.
5. If the exigency involves meeting with a third party or entity, contact information for the third party or entity and a brief description of the purpose of the meeting.
Authorization of Medical Leave of Absence
The Human Resources office will send written notification to the employee and the employee’s supervisor indicating the approval or denial of the request for medical leave within five (5) days of receipt. For an approved medical leave, the employee will also receive a Continuation of Benefits While on Leave notification which includes information about the employee’s health insurance, flexible benefit plan, life insurance, and LTD insurance, when applicable.

Extension of Medical Leave

If circumstances require an extension of the leave for any reason, the employee must provide the University the appropriate documentation including, in the case of a personal medical leave, a physician’s certification attesting to the employee’s continued medical condition and inability to work. The maximum duration of a medical leave, however, will be twelve (12) months.

Return to Work

The employee is required to present a completed Release to Return to Work form from his/her health care provider prior to being restored to employment. This statement must indicate the employee’s ability to work including any work-related restrictions and their duration. If this statement is not received, the employee’s return to work may be delayed until the statement is provided.

Unlawful Acts by Employers

FMLA makes it unlawful for any employer to:
- interfere with, restrain, or deny the exercise of any right provided under the FMLA;
- discharge or discriminate against any person for opposing any practice made unlawful by the FMLA or for involvement in any proceeding under or relating to the FMLA.
Enforcement of the FMLA
The U.S. Department of Labor is authorized to investigate and resolve complaints of violations.
An eligible employee may bring civil action against an employer for violations.

The FMLA does not affect any Federal or State law prohibiting discrimination, or supersede any State or local law or collective bargaining agreement which provides greater family and medical leave rights.

Procedures

The employee should contact the Human Resources Office as soon as a leave of absence is anticipated. This applies for any paid or unpaid leave (a leave is defined as any absence that exceeds five (5) consecutive days).
Federal and Indiana State Withholding Forms
New employees must report to Human Resources located on the first floor level of the Administration Building to complete Federal and Indiana State Withholding Forms. These forms must be completed within three (3) business days from the date employment begins and before a pay check or DePauw I.D. card can be issued.
Employees who have had a break in employment, change of address, or a change in other personal information may also need to complete new withholding forms. Employees may contact the payroll manager, in the Accounting Office located on the lower level of the Administration Building to review the current information on file. The payroll manager may be reached at extension 4126.
Firearms Policy
On July 1, 2010, the State of Indiana introduced a new law concerning firearms and employer policies. Employers are prevented from adopting any policies which would prohibit employees from bringing firearms onto an employer’s property so long as the firearm is kept out of plain sight in a locked vehicle.

The Law, However, Contains Several Exemptions

including but not limited to:

“Property belonging to an approved postsecondary education institution.”
(As defined by IC 21-7-13-6(b))

DePauw University, under the Indiana State Law, is an approved postsecondary educational institution, therefore firearms are not permitted on DePauw University property per Indiana State Law and DePauw University Policy.

Harassment Policy

Definition of Harassment and Notice of Non-Discrimination
The University is committed to a policy of equal opportunity for all members of the University community, including, but not limited to, members of the faculty and staff, students, guests of the University, and applicants for employment and admission. In this regard, the University reaffirms the right of its students to live and learn, and its employees to teach and work, in an environment free from harassment and inappropriate and/or offensive comments or conduct.

The University encourages a workplace and learning environment free of discrimination, harassment, and/or inappropriate treatment of any employee, student or guest because of any person's race, sex, color, creed, religion, age, national origin, sexual orientation, veteran status, gender identity, gender expression, disability, or any category protected under federal, state or local law. To be unlawful, conduct must be sufficiently serious that it unreasonably interferes with an employee's ability to work or a student's ability to learn or benefit from the University's programming. The University does not, however, condone or tolerate any inappropriate conduct, whether by employees or non-employees, based on a person's race, sex, color, creed, religion, age, national origin, sexual orientation, veteran status, gender identity, gender expression, disability, or any category protected under federal, state or local law.

Harassing conduct may include, but is not limited to:
- Ethnic, racial, religious, age, disability or sex-related jokes, epithets, stereotypes or slurs.
- Foul or abusive language.
- Offensive graffiti, cartoons or posters.
- Insulting or derogatory nicknames.
- Mimicking another.
- Starting or spreading rumors.
- Teasing about religious or cultural observances, retirement, age, ability to learn, or absenteeism.
- Threatening or offensive mail, e-mail, voicemail or messages.
The University also recognizes the fundamental importance of the open and free exchange of ideas and opinion. It recognizes that conflicts may arise between individuals' desire to express their opinions and the right of individuals to be free from harassment. The University also recognizes that every act that might be offensive to an individual or a group is not necessarily a violation of the law or of this policy.
Sexual Harassment
DePauw prohibits any form of sexual harassment or discrimination on the basis of sex and enforces the requirements of Title IX of the Education Amendments of 1972 and its implementing regulations through student and employee guidelines. DePauw is committed to providing students, employees and University guests an environment and workplace free of inappropriate comments or conduct of a sexual nature. Inquiries concerning the application of Title IX should be directed to the University's Title IX coordinators. Prohibited sexual harassment may include, but is not limited to:
- Unsolicited and unwelcome comments or conduct of a sexual nature or that are demeaning to women or men as a group (for example, offensive or vulgar jokes, name-calling, comments about one's body or sex life, or stereotyping based on a person's sex);
- Unwelcome and unwanted sexual jokes, language, gestures, epithets, innuendoes, advances or propositions; sexually oriented "kidding," "teasing" or "practical jokes;"
- Unsolicited and unwelcome demands or requests, implicit or explicit, for sexual favors or sexual encounters;
- Sexually oriented propositions, slurs, suggestions or questions;
- Stalking;
- Persistent, unsolicited and unwelcome demands or requests, implicit or explicit, for social encounters;
- Written or verbal abuse of a sexual nature, including, for example, using sexually degrading or vulgar words to describe an individual;
- The display of sexually suggestive or revealing objects, other material or offensive pictures, electronic communications or photographs (this prohibition does not apply to University approved art exhibitions or other University approved displays or communications);
- Unwelcome and unsolicited information about another's sexual prowess, activities, deficiencies or sexual orientation;
- Asking questions or commenting about another's sexual activity or making unwelcome sexual advances or expressed or implied requests for sexual activity;
- Offensive or inappropriate behavior targeted at only one sex, even if the content of the conduct or comments is not sexual;
- Unwelcome physical contact, such as patting, pinching, touching, leering, ogling, whistling, indecent exposure, brushing against the body, or suggestive, insulting or obscene comments or physical gestures.
- Any instance in which a supervisor, faculty member or another in a position of authority uses his/her authority to require or to urge an employee or student to submit to sexual activity. Such behavior can be explicit or implicit - for example, a supervisor or another person in a position of authority states to an employee or student: "Things could be a lot better for you here if you would be a little nicer to me."
Reporting Procedure

Any employee, student or guest who believes that he/she either has witnessed or been subjected to behavior that violates this policy is encouraged to and has a responsibility to immediately report the suspected policy violation. The University cannot investigate and take appropriate action if the behavior is not reported. The method of reporting suspected policy violations is as follows:

Staff members and guests should immediately report suspected policy violations to the Office of Human Resources. The phone number for the Director of Human Resources is (765) 658-4181. If the Director of Human Resources is unavailable or the staff member or guest is uncomfortable reporting the suspected policy violation to the Director of Human Resources, he or she may report the suspected violation directly to the Vice President for Finance and Administration at (765) 658-4161.

Faculty members should immediately report suspected policy violations to Academic Affairs. The phone number for the Vice President for Academic Affairs and Dean of the Faculty is (765) 658-4359. If the Vice President for Academic Affairs and Dean of the Faculty is unavailable or the faculty member is uncomfortable reporting the suspected policy violation to the Vice President for Academic Affairs and Dean of the Faculty, he or she may report the suspected violation directly to the Director of Human Resources at (765) 658-4181.

Students should immediately report suspected policy violations to the Office of Student Life. The phone number for the Dean of Students is (765) 658-4199. If the Dean of Students is unavailable or the student is uncomfortable reporting the suspected policy violation to the Dean of Students, he or she may report the suspected violation directly to the Director of Human Resources at (765) 658-4181.

Complaints of inappropriate behavior by a Vice President of the University should be directed to the President of the University and/or the Director of Human Resources.

Supervisors and department chairs who receive complaints or who observe inappropriate behavior must immediately inform the appropriate office listed above. Failure to report potential violations may result in appropriate discipline, up to and including termination.

Investigation and Resolution of Complaint

Given the nature of the type of conduct prohibited by this policy and the serious effects such conduct can have on the target of the conduct and the one accused of the conduct, the University takes every complaint of harassing behavior seriously and each report shall be investigated. The investigation will be conducted in as confidential a manner as circumstances permit to protect all parties involved, including witnesses. The University will not tolerate any retaliation against anyone who makes a report of harassing behavior or cooperates in an investigation of any complaint under this policy.

The responsibility for determining the need for and degree of administrative action to address a harassment complaint varies and is based upon the group to which the accused belongs. These groups include: faculty, staff, students and guests. Generally, complaints involving students only will be processed under the Community Standards process, and complaints involving non-students will be processed according to the procedures identified below.

The chart below indicates investigation and disciplinary authority as it relates to policy violations at DePauw:

Complainant	Accused	Investigating Responsibility	Disciplinary Responsibility	Procedural Guidance
Student	Student	Office of Student Life – Title IX Coordinators	Office of Student Life	Student Handbook
	Staff or Guest	Office of Student Life – Title IX Coordinators Human Resources	Human Resources	Employee Guide
	Faculty member	Office of Student Life – Title IX Coordinators Academic Affairs Human Resources	Vice President for Academic Affairs and Dean of the Faculty	Academic Handbook
Staff or Guest	Student	Human Resources Office of Student Life – Title IX Coordinators	Office of Student Life	Student Handbook
	Staff or Guest	Human Resources	Human Resources	Employee Guide
	Faculty member	Human Resources Academic Affairs	Vice President for Academic Affairs and Dean of the Faculty	Academic Handbook
Faculty	Student	Academic Affairs Office of Student Life – Title IX Coordinators Human Resources	Office of Student Life	Student Handbook
	Staff or Guest	Academic Affairs Human Resources	Human Resources	Employee Guide
	Faculty member	Academic Affairs Human Resources	Vice President for Academic Affairs and Dean of the Faculty	Academic Handbook

The President and Director of Human Resources will be responsible for investigating complaints and determining the need and degree of administrative action for complaints against a Vice President of the University.

Violations of this policy will not be tolerated and will result in appropriate disciplinary action, up to and including discharge or dismissal. Please help us maintain a comfortable learning and work environment free from inappropriate and offensive conduct.

(endorsed in principle by the faculty in March 1999; established as University policy April 1999; revised August 2003; revised August 2011)

Holidays
The University recognizes several holidays each year. Please refer to Human Resources Holiday Schedule for exact dates. These dates will be considered paid time off for those employees eligible as outlined in this policy:

Martin Luther King Day
Friday of Spring Break
Memorial Day
Independence Day Labor Day
Thanksgiving Day
Winter Break

Paid holidays are subject to the following:
1. Employees in a full-time, benefit status position and on the regular payroll are eligible for the paid holidays that occur during their normal work schedule. For example: An individual employed in a 9 ½ month position whose normal work schedule is mid August through May would not be eligible for the Independence Day paid holiday.
2. There is no waiting period for paid holidays. However, the first day of employment cannot be a paid holiday that employees are not scheduled to work.
3. Compensation for paid holidays will be based on normal hours per day (i.e., 7.50, 8.00).
4. To be eligible for the paid holiday, employees cannot have an unexcused absence the last scheduled day before the holiday or the first scheduled day following the holiday.
5. Employees who are scheduled to work but call in sick on the day before and/or the day after a designated holiday, may be required to present a doctor's statement of illness prior to authorization for payment of the holiday. Employees who have been requested to provide a doctor's statement and cannot or do not do so, will not be compensated for the holiday.
6. Employees who received prior authorization to use vacation or sick time during a period when a holiday occurs will receive the paid holiday and vacation or sick time accumulation will not be decreased for that day.
7. Two alternatives are available when it is necessary for an employee to work on a holiday recognized by the University.
  - Under the first alternative, employees will be paid at their overtime rate for that day and be granted another day off as a paid holiday. This day off will be scheduled at a time convenient for the employee and the department.
  - The second alternative allows employees to be paid at two and one-half times their regular rate of pay for that day.
  The appropriate alternative will be determined by the department supervisor. The department that requires employees to work on a scheduled holiday must have an approved overtime account from which holiday overtime can be paid.
8. Employees will be compensated at their regular rate when they are required to work on an actual holiday that is observed by the University on a different day.
9. Employees in a full-time, 12-month, benefit status position are eligible for all paid holidays even though they might not be scheduled to work on the day the University observes the holiday. In the event employees are not scheduled to work on the holiday; they will take another day off during the pay period in which the holiday occurs. For example: An employee's normal work schedule is Sunday through Thursday. Independence Day is on Friday and the University recognizes the holiday on Friday; a day this employee is not scheduled to work. Since this employee is a full-time, benefit status employee, he is eligible for the Independence Day holiday and will observe the holiday on another scheduled workday during the pay period.
10. Employees who have a certified work-related injury are paid by the University's Worker's Compensation carrier at a rate equivalent to two-thirds their regular pay. Employees will be eligible for paid holidays recognized by the University only when they are supplementing the two-thirds Worker's Compensation benefit with their vacation, sick, or personal time. When supplementing, the paid holiday will be equivalent of one-third of their normal hours per day. Employees who choose not to supplement the Worker's Compensation benefit, will not be on the University's regular payroll and therefore will be ineligible for the paid holiday.
11. Employees may use vacation time, personal time or time off without pay to observe religious holidays that are not listed in this policy.
Inclement Weather
Purpose

It is the policy of the University to remain open and continue operations whenever it is safe to do so during periods of inclement or severe weather. However, the University recognizes that because of potentially hazardous conditions or infrastructure disruptions, employees may find it difficult to report to work or work remotely. Therefore, this policy establishes work expectations and procedures for employees during both inclement weather and severe weather emergencies. This policy does not apply to student employees. Faculty members should also refer to the Absence from Campus during the Academic Year policy in the Academic Handbook for guidance regarding class cancelations due to inclement weather.

Procedures
1. Severe Weather Emergency Declared by the University
Determination of a Severe Weather Emergency

A Severe Weather Emergency will be determined by the President of the University or another designated official of the University. The Putnam County snow emergency status, campus conditions, and other factors are considered when determining a severe weather emergency for the University. A declaration of a snow emergency by the Putnam County Emergency Agency (EMA) does not necessarily restrict travel for work purposes.

Operations

In severe weather emergencies, the University may suspend in-person business operations and activities and will communicate expectations via email. Virtual business operations and activities should continue for employees who are able to work remotely.

If in-person business operations and activities are suspended, employees who are able to work remotely should record their time as usual. Employees who cannot work remotely will be compensated at their regular rate of pay for their regularly scheduled hours. Non-exempt (hourly) employees should use paycode WEATHER.

Certain functions are essential at the University during a severe weather emergency and will, therefore, require on-campus staffing. Vice Presidents will identify and notify employees who need to physically report to campus (Essential Employees).

Non-exempt (hourly) Essential Employees who report to work on campus will be paid BOTH their regular rate for scheduled hours AND will be paid at the overtime pay rate for actual hours worked on campus. These employees should record their scheduled hours using paycode WEATHER and should also record their actual hours worked on campus by using paycode WEATHER WORKED. For example: a non-exempt Essential Employee scheduled to work 8 hours who reports to work on campus during a severe weather emergency declared by the University and actually works a 10 hour day on campus will record 8 hours WEATHER and 10 hours WEATHER WORKED.

Exempt (salaried) Essential Employees who work on campus during a severe weather emergency will be compensated at their regular rate of pay.
1. Hazardous Conditions as Determined by the Employee
Definition

An employee may determine that they are unable to report to work on campus because of hazardous weather conditions, even when a Severe Weather Emergency has not been declared by the University.

Operations

When an employee determines that they are unable to report to work on campus due to hazardous weather conditions, the employee must notify their department in accordance with established departmental procedures for reporting absences. The employee should consult their supervisor to determine if working remotely during this time is appropriate.

Employees who have been approved by their supervisor to work remotely will be paid for their regular scheduled hours. Non-exempt (hourly) employees who are approved to work remotely should not work more than their regularly scheduled hours without prior supervisory approval.

Employees who have not been approved by their supervisor to work remotely may use paycode Personal or Vacation (up to amounts available to the employee as accrued), or as unpaid time off.
Indiana Military Family Leave Act
An eligible employee who is a family member of a person on active duty in the United States Armed Forces, or the National Guard, may be eligible to take leave of up to a total of ten (10) workdays per rolling calendar year under the Indiana Military Family Leave Act of 2007. www.in.gov/legislative/ic/code/title22/ar2/ch13.html

An employee is eligible if he/she has been employed by the University for at least twelve (12) months; has worked at least 1500 hours during the twelve (12) month period immediately preceding the day the leave beings; and is a spouse, parent, grandparent, or sibling of a military member called to active duty.

Active duty is defined as full-time service on active duty orders in the armed forces of the United States, or the National Guard, for a period that exceeds eighty-nine (89) consecutive calendar days.

The Act provides for unpaid leave of up to ten (10) workdays per rolling calendar year during one or more of the following periods:
1. Within the thirty (30) day period before active duty orders are in effect:
2. During a period in which the person ordered to active duty is on leave while active duty orders are in effect; or
3. During the thirty (30) day period after the active duty orders are terminated.
The employee must provide the University with at least thirty (30) days notice of the intention to take leave, unless the active duty orders are issued less than thirty (30) days before the date the requested leave is to begin. In addition, the employee must supply the University with documentation verifying the family member’s call to active duty. Non-faculty employees will be required to use available vacation, personal leave, and or compensatory time to cover the leave period being taken. Any time taken which is not covered by paid leave time will then be treated as unpaid leave.

In accordance with the Indiana Military Family Leave Act of 2007, the University hereby states that it will continue the employee’s benefits during the period of the leave (with the employee being responsible for payment of the employee portion of health benefits during the period of any unpaid leave) and will reinstate the employee to the same or an equivalent position upon the return from leave.
Intellectual Property Policy
Adopted by the University, January 2008

Preamble

DePauw University benefits from an active and productive faculty, and from encouraging faculty work and creativity both on and off the Greencastle campus. Intellectual property inevitably will be created in the course of research, teaching and service activities of DePauw University's faculty members and staff members. By longstanding practice, DePauw University has recognized and honored the academic tradition that individual faculty members own the copyrights of course-related, scholarly, and other creative original works of authorship that they produce in the course of their employment by DePauw University. DePauw University continues to recognize and honor this academic tradition, notwithstanding that federal law may give DePauw University presumptive ownership of original works of authorship created by its faculty within the scope of their employment. Accordingly, this DePauw University Intellectual Property Policy (the “Policy”) identifies the ownership interests of DePauw University and its faculty members and staff members with respect to original works of authorship created in the academic setting. This Policy is incorporated by reference into the policies governing conditions of employment of all DePauw University employees, and is binding as between DePauw University and its employees. In the event that this Policy, in conjunction with federal copyright or intellectual property law, does not effect the desired rights of ownership described below, DePauw University and its employees shall work in a good faith manner consistent with the principles in this Policy and execute any documentation necessary to carry out the intent of this Policy and its desired results.

Rights of Ownership

I. University Works

DePauw University shall own all “University Works,” meaning original works of authorship or invention that are created, in whole or in part:
1. with the use of “Substantial University Resources,” meaning financial, material, personnel or other support provided to an employee that is beyond the level of common research and teaching support typically provided by DePauw University to that employee. [Note: This accounts for, and by implication assumes, that faculty members may be supported at differing levels, i.e. there is not a standard/definable support applicable to all]; or
2. as a specific requirement of employment, pursuant to an explicit DePauw University assignment by a supervisor or duty, on commission from DePauw University for its own use, or pursuant to a gift, grant or contract which requires ownership by DePauw University.
University Works shall be owned by DePauw University as works made for hire within the scope of employment by DePauw University. The following works presumptively shall be considered University Works: “Courses,” meaning the copyrightable videotapes and other recordings of all course lectures, classes, or presentations;

“University Publications,” meaning DePauw University-sponsored or owned journals, periodicals, newsletters, yearbooks and other print or electronic publications; and

“University Administrative Materials,” meaning policies, curricula, promotional materials, web sites, and similar works, including but not limited to works created for faculty and DePauw University committees, works created by faculty members in assigned administrative roles, and works created by department chairs and program coordinators on behalf of their programs.

DePauw University grants faculty members and staff members non-exclusive rights to non-commercial use and distribution of University Works that they have authored unless otherwise prohibited by contractual or legal restrictions.

II. Staff Works

DePauw University shall own all “Staff Works,” meaning original works of authorship that are created:
1. by non-faculty employees within the scope of employment by DePauw University; or
2. by non-employees, consultants, or contractors expressly for DePauw University.
Exceptions may be granted in particular circumstances, such as for work done in an approved consultancy for another institution, or creative and scholarly work produced with DePauw University resources not related to the job description if so identified by the supervising vice president. DePauw University does not claim ownership of works created by non-faculty employees outside of the scope of employment by DePauw University.

III. Faculty Works

Faculty members shall own all “Faculty Works,” meaning original works of authorship that reflect scholarly research and creativity produced by and on the initiative of faculty members within the scope of their employment by DePauw University, including but not limited to: syllabi for courses, tests, assignments, instructor's notes, instructional materials (including websites and videos), textbooks, monographs, journal articles, other works of non-fiction and fiction, poems, speeches and other creative works such as musical compositions and visual works of art. As an exception, the University Communication Policy governs the right of the University to take possession of or to provide access to materials produced using the University’s electronic communications system when required by law or when there is evidence of violation of University policies.

Academic departments, the Committee on Faculty in the course of its deliberations, or the DePauw University administration may require individual faculty members to share copies of scholarly research and creativity, such as instructional and other materials used for ordinary classroom and program use, as part of the ordinary processes of administration, evaluation and internal or external review or in case of a disciplinary hearing. Additionally, faculty members may be asked to provide copies of scholarly research and creativity as part of internal or external review processes or in the course of applying for DePauw University funding of scholarly and other creative work. Such requirements to share and permit limited use of these works shall not otherwise limit a faculty member's copyright in scholarly research and creativity.

In cases where DePauw University is asked to make an extraordinary investment to enable faculty research or other work, ownership conditions will be negotiated at the time of the approval of the request for investment so that DePauw University may receive a fair return on its investment. In the case of scholarly, creative, or pedagogical work done collaboratively with other institutions or for-profit corporations, or where granting bodies take a different approach to ownership, agreements may be worked out ahead of time and subject to review and revision by the Chief Academic Officer, who shall apply the principle of maximizing academic freedom, fair use, open scholarly inquiry, and respect for the rights of authors and inventors.

IV. Student Works

Students shall own all “Student Works,” meaning materials produced as part of their academic work for graduation credit, including materials produced for particular courses, such as, written assignments, creative and artistic work, quizzes and examinations. As an exception, the University Communication Policy governs the right of the University to take possession of or to provide access to materials produced using the University’s electronic communications system when required by law or when there is evidence of violation of University policies.

Materials produced by students as employees of the University are governed by the “staff works” section of this policy.

Work by students produced in collaborative projects with faculty members or other DePauw employees shall be governed by the policies that govern the University employees unless there are particular stipulations made at the time of the start of the collaborative project.

Student works may be copied and retained by faculty members for use as needed in fulfilling their responsibilities as faculty members (such as verifying authenticity and originality) and as part of the academic personnel evaluation policy. A student work may not be shared by a faculty member with others outside of the previous provisions without permission of the student.

In cases where DePauw University is asked to make an extraordinary investment to enable student research or other work, DePauw University ownership conditions will be negotiated prior to the approval of the investment so that DePauw University may receive a fair return (minimally reimbursement) on its investment. In the case of scholarly, creative, or pedagogical work done collaboratively with other institutions or for-profit corporations, or where external funding agencies take a different approach to ownership, agreements may be worked out ahead of time and are subject to review and revision and final approval by the Chief Academic Officer, who shall apply the principle of maximizing academic freedom, fair use, open scholarly inquiry, and respect for the rights of authors and inventors.

Students who produce work during internships for hosts other than DePauw University (even if for academic credit and if partially supported by stipends from DePauw) shall retain ownership of those products except as they may be required to assign those rights to their internship hosts.

Copyright Notice and Use of the DePauw University Name

I. Notice

The following form of copyright notice shall be used on all University Works or any other works owned by DePauw University:

©[year of first publication] DePauw University. All Rights Reserved.

II. Use of the DePauw University Name

The DePauw University name, associated symbols, and seal are important and valuable representations of DePauw University and its academic reputation. Therefore, use of the DePauw University name, associated symbols, and seal in connection with a work, other than for the sole purpose of identifying the author as a university employee or as a student affiliated with DePauw University, requires the advanced written permission of the supervising DePauw University Vice President. This does not limit the right of university employees or students to use the DePauw University name in accurate descriptions of events and activities that have taken place at DePauw. Furthermore, faculty members, staff members and students at DePauw University may not participate in the creation or use of works that might give the impression of DePauw University sponsorship where there is none. If the DePauw University name, associated symbols, or seal is to be used in connection with any works created under collaborative agreements with outside entities, other than to identify the creator by his or her title at DePauw University, such agreements must be approved in advance and in writing by an authorized DePauw University administrator.

Administration, Interpretation and Dispute Resolution

Interpretation of this Policy

I. Administration

This policy shall be administered by the supervising vice presidents.

II. Interpretation and Dispute Resolution

All issues of interpretation and dispute resolution shall be managed by the Executive Vice President or another senior officer designated by the President.
Job Descriptions
All employees should have a current job description on file in Human Resources. Copies of job descriptions may be distributed to supervisors upon request. Supervisors are encouraged to review and update job descriptions on a regular basis. Please note, however, that changes to job descriptions must be approved by the appropriate vice president and the Director of Human Resources.
Lactation Accommodation Policy
DePauw University values a family-friendly environment for its employees, students and the community at large. To that end, the University strives to provide programs and services to assist employees to achieve a better work-life balance. The University recognizes the benefits of breastfeeding and supports the practice of breastfeeding, accommodates breastfeeding needs of employees, and provides adequate facilities for the expression of milk for the employee’s child in accordance with Indiana law (IC 22-2-14-2) and as described below.
1. Lactation Accommodation Requests
  1. Any employee who wishes to breastfeed or express milk in the workplace shall notify her supervisor and discuss any relevant workload or scheduling issues.
  2. Supervisors who receive a lactation accommodation request shall do the following:
    1. Review available space in the department and provide appropriate nearby space, as described below, for lactation. If the supervisor is unable to locate appropriate space to meet the employee’s needs, the Office of Human Resources should be contacted for advice and assistance.
    2. Assure there is a convenient cold storage facility for keeping milk that has been expressed until the end of the workday. If a departmental refrigerator is provided, the employee must ensure that containers are well marked. If a refrigerator is not available, refer the employee to the Office of Human Resources who will assist the employee in securing a compact refrigerator for use during work hours.
    3. Familiarize themselves with this policy, as well as several other relevant policies; questions can be directed to the Office of Human Resources. As part of the mandatory new supervisor orientation, this policy, as well as several other policies will be reviewed and discussed.
2. Lactation Breaks
  1. The required time needed for lactation breaks is impacted by individual needs and the proximity of a reasonable space for lactation. In general, approximately 30 minutes, 3 times per day, is needed. Lactation breaks should, if possible, run concurrently with any break time already provided to the employee.
  2. For non-exempt employees, in accordance with the Fair Labor Standards Act, breaks of less than thirty (30) minutes are considered paid time. Supervisors are expected to grant reasonable flex time scheduling to accommodate lactation needs and still allow for business needs to be accomplished.
3. Lactation Facilities
  1. Appropriate private space shall be provided with reasonable efforts made for the lactation to be in close proximity to the nursing mother’s work area.
  2. The location may be the place where the nursing mother normally works if there is adequate privacy with a closable and lockable door (e.g., the employee’s private office or a conference room that can be secured). The location must have good lighting and an electrical outlet.
  3. The location must be clean, well ventilated, have a suitable/comfortable chair, and available table space.
  4. The location should have access nearby to a clean, safe water source.
  5. Areas such as restrooms, closets or storage areas are not acceptable spaces for lactation purposes.
    
    Currently the Women’s Center is a designated lactation facility. Other additional spaces as they are identified will be listed on the Human Resources webpage.
4. Resources
  - La Leche League International - http://www.llli.org/
  - Kelly Mom Breastfeeding and Parenting -http://www.kellymom.com/
  - US Department of Health and Human Services – http://www.womenshealth.gov/breastfeeding
Off Campus Errands by Hourly (Non-Exempt) Staff
GUIDELINES

Off Campus Errands by Hourly (Non-Exempt) Staff

Date: August, 2011
Contact: Human Resources x4181

Purpose:
This policy is to guide supervisors on what is appropriate to ask hourly staff to do with regard to off campus errands which would include purchases for office supplies, food, and other assorted tasks. It also is intended to clarify how these tasks must be accounted and compensated for.

Definitions:

Hourly (Non-Exempt): This is a worker who is eligible to receive overtime pay. (The non-exempt refers to the fact that they are “not exempt” from overtime.)

Workweek: A workweek is defined as Sunday, 12:00 midnight through Saturday, 12:00 midnight.

Overtime pay: This pay equal to 1 ½ times the current hourly rate for the position for all hours worked over 40 in one workweek. A supervisor has the option of providing time off within the workweek in order to keep hours within the 40 regular hours. Example: If overtime is expected on Saturday of the workweek, time off must be provided prior to that Saturday to stay within the 40 regular hours. If overtime is expected on a Sunday, then time off can be scheduled during the same week.

Policy:
All on-campus options should be exhausted before asking an Hourly (non-exempt) staff member to run an errand off campus. Examples include:
1. Arranging for food for events should generally be done through on-campus catering. The university has a contract and they can provide the food and cleanup for any event.
  Contact: Catering Manager, x5421
2. Buying supplies should generally be done through suppliers with negotiated contracts for providing supplies at a lower cost.
  Contact: Business Services, x4020
However, there may be times when it is necessary to ask a staff member to run errands off campus. These tasks/errands must be:
1. Clearly identified as a critical part of the work product and support of the department/division (For example: student seminars, guest speakers, special emergency supplies).
2. Clearly identified in the job description as part of the work responsibilities for the staff member‟s job.
Examples of tasks/errands that are NOT appropriate for staff members to be asked to do:
1. personal errands for other department members
2. buying supplies/food which otherwise could be purchased through the university purchasing program unless it is agreed that the university provided solution is not appropriate either because of timing or cost.
Staff members should not be asked to do errands on their lunch hour or other personal time. All time spent on errands must be compensated in the same way by which all other hours are compensated (i.e., regular time or overtime, as defined above). In addition, if a personal car is used, mileage must be paid to the staff member at the rate established by the accounting office which is currently .42 per mile.
Other Time Off
Because DePauw University employees are members of the civic community, they must from time-to-time exercise certain responsibilities to that community. In recognition of these obligations, the University will grant time off for the following:

Jury Duty: When employees are selected for jury duty, they will continue to receive full pay from the University based upon their normal work schedule and normal hours per day up to a maximum of five (5) consecutive days. If employees are required to be absent from their job for a period longer than five consecutive days, pay from the University will be reduced by the amount received for jury duty up to twenty (20) additional workdays. Employees should present proof of jury attendance to their supervisor.

Voting: Because of the period of time the polls are open, most employees will be able to fulfill this obligation outside of their normal work schedule. However, if employees are unable to reach a polling place before or after their normal work hours, every effort will be made to allow employees the time necessary to vote and such time off will be given with pay when employees properly request time off through their supervisor. Voting pay will not exceed two (2) hours.

Military Leave: Military leaves of absence and re-employment rights of employees who serve in the armed forces of the United States will be determined on the basis of applicable Federal Laws. The University cannot require employees to use vacation time to cover their absence but employees may choose to use vacation time if they wish.

Civic Duty: Employees will be paid for time spent during working hours in fighting fires, answering public alarms, and in non-scheduled driving of an ambulance providing they are a member of such organization serving the community. Employees should present proof of membership in the organization to their supervisor. Time off for this purpose is limited to the equivalent of two (2) normal workdays per year.
Overtime
Effective Date: August 18, 2010
Contact Person for Non-Academic Affairs Staff: Bruce Burking, x 4180

Under the Fair Labor Standards Act, accurate records of all hours worked by non-exempt employees must be maintained and overtime must be calculated on a workweek basis.

Definition of workweek: For the purposes of calculating overtime the work week is defined as Sunday, 12 a.m. through Saturday, 12 a.m.

All hours worked and other paid time must be used when calculating overtime compensation. Paid time includes but is not limited to: vacation time, sick time, holidays, personal time, compensatory time taken, bereavement leave, jury duty, and wage continuance for pregnancy and/or delivery. All time that exceeds 40 hours in any workweek must be paid at a rate that is equal to at least one and one-half times the employee's regular hourly rate. There are no exceptions to this rule.

Supervisory Responsibility: It is the responsibility of the supervisor to ensure that any hours worked beyond 40 in any workweek are compensated at a rate that is equal to at least one and one-half times the employee's regular hourly rate. The supervisor has the right to determine the hours to be worked in a week to accomplish the job and these hours can vary to accommodate special events as the job may require.

Example: If a person has worked a 40 hour week and is asked to work a Saturday event, overtime will be required. If the person has taken off prior to Saturday, then no overtime would be required if the total number of hours for the workweek did not exceed 40. If a person is asked to work a Sunday event, overtime will be required unless the person takes off during the week following the event.

Comp Time: There is no comp time. Hours cannot be taken off to “compensate” for the possibility of overtime any time other than during the scheduled work week.
Parental Leave
Purpose

The purpose of this policy is to provide a leave of absence for those employees who are engaging in starting or building their families.

Eligibility

Employees are considered eligible if they have been employed by the University for at least one (1) year and at least 1250 hours over the prior 12 months.

Policy

An eligible employee who becomes a parent, for the first time or is adding to their family, through natural birth, surrogacy birth, or adoption, is entitled to a paid leave. Parental leave is concurrent with the Family Medical Leave Act (FMLA). The Parental leave will run concurrently with a medical leave associated with the birth.

The leave year will be determined by a “rolling” 12-month period measured backward from the date the employee starts an initial parental leave.

The birth of more than one (1) child from the same pregnancy constitutes one (1) birth for the purposes of this policy. Adoption is defined by legal adoption of a child(ren) six (6) years of age or less. The adoption of more than one (1) child within the same leave year constitutes one (1) adoption for the purposes of this policy.

Where both parents are eligible DePauw University employees, the parents are each entitled to share a twelve (12) week paid leave between them at their discretion.

During a parental leave, benefits continue as though the employee is actively working. Benefits include but are not limited to:
- The employee will continue to accrue sick and vacation time. (see Employee Guide/Vacation Policy)
- The employee will be paid for holidays occurring during their regular schedule.
- Health insurance contributions made by the employee will be deducted from pay issued.
- The employee will remain an active participant in the retirement program.
Procedures

Employees taking leave under this policy must submit a written request at least thirty (30) days before the anticipated commencement of the leave. Employees should submit their request to the Office of Human Resources. In the case of an emergency or when 30-days notice cannot otherwise be provided, the employee or a member of the employees’ immediate family must notify Human Resources and the VPAA, if faculty, or their immediate supervisor, if staff. In the event notice is provided verbally, a written leave request should follow the verbal request by no more than five (10) calendar days.

Faculty - Faculty do not have time off provisions under Vacation Time and therefore they may take up to 12 weeks of paid leave within the leave year. The leave will be effective in the semester during which the eligible faculty member will miss more than two (2) successive weeks of class due to the addition to their family. If the associated leave will not overlap more than two (2) successive weeks of class, the leave may be taken during the semester immediately following the addition to their family. During an approved Parental leave, the eligible faculty member is relieved of all teaching, service, and scholarly/artistic work obligations. The balance of the eligible faculty member’s work during the remaining weeks of the affected semester will be devoted to non-teaching duties (i.e., scholarly/artistic work, professional development or service) An eligible faculty member who takes a Parental leave during their probationary period for tenure may, upon request to and approval of the VPAA, receive a one (1) semester extension of the probationary period.

Staff - Staff may take up to twelve (12) consecutive weeks of leave when they combine eight (8) weeks of parental leave and up to an additional four (4) weeks of any accrued, but unused vacation time, within the leave year. During an approved Parental leave, the eligible staff member is relieved of all work obligations.
Parking
There is parking on campus that is designated for employees. Employees must contact the DePauw Police Department, 101 E. Seminary St., Lower Level, to register their vehicles and obtain parking stickers. This office may be reached at 765-658-5555.
Pay Distribution
Pay will be distributed by Direct Deposit according to the following schedule:

Hourly employees – Direct Deposit will be made on a biweekly basis. A copy of the biweekly Staff and Student Pay Schedule can be found on the Important Dates section of the HR website.

Salaried employees – Direct Deposit will be made on a semi-monthly basis (generally available on the 15th and the last working day of each month). A copy of the Semimonthly Pay Schedule can be found on the Important Dates section of the HR website.

Pay Statements are available via Employee Self Service in the ADP Portal. Instructions for Self Service Registration can be found under the Payroll section of the HR website.
Performance Reviews
Performance reviews should be conducted for all employees at the end of their initial 90-day probationary period and then conducted thereafter on an annual basis. Supervisors will be advised by the Office of Human Resources when annual performance reviews are to be completed.
Personal Day
Full-time, benefit status hourly employees are entitled to one personal day per calendar year.
1. Employees will receive a personal day equal to their normal hours per day.
2. Employees must obtain approval from their supervisor to use their personal day before it is taken.
3. Employees may only use their personal day at a time when they are normally scheduled to work.
4. Employees may use the personal day in quarter-hour increments.
5. The personal day may not be accrued. Any balance remaining as of December 31 will be forfeited. During the pay period in which January 1 occurs, the personal day balance will be set to an amount equal to the normal hours per day as indicated in each employee's personnel/payroll record.
6. The use of the personal day does not affect eligibility for attendance awards issued through the Sick Leave Incentive Award Program or the Savings Bond Award Program.
7. Upon retirement or separation of employment, no payment will be issued for any remaining personal day balance.
Personnel Action Sheets
A Personnel Action Sheet is used to communicate and process personnel changes, payroll changes, and personal information changes for all employees. This form is available from Human Resources. Reasons for completing and processing a Personnel Action Sheet include but are not limited to the following situations:
- Hiring a new employee
- Completion of a probationary period
- Extension of a probationary period
- Separation of employment
- Retirement
- Transfer to another position or department
- Begin, continue, or return from a leave of absence (Reminder; a leave of absence is defined as any absence that exceeds more than five consecutive days.)
- Change from paid status to unpaid status during a leave of absence
- Change in employment status (part-time to full-time, full-time to part-time, on-call to part-time, etc.)
- Change in annual hours
- Change in classification
- Change in job title
- Change in position status (change in hours per day, hours per week, annual hours)
- Change in rate of pay
- Change of shift
- Change in campus address or campus phone
- Change in home address or home phone
- When full-time employees work outside of their regular position for the following:
  Alumni Reunion Weekend, Commencement, Old Gold Weekend, Freshman Testing for Institutional Research.
Pets in the Workplace
While the University recognizes that pets are often an integral part of many of our employees’ families, it is also recognized that some of our students and employees may suffer from animal-related allergies or may be fearful of animals. In an effort to provide a work environment which reduces the potential for safety and health concerns, pets are not permitted in university buildings, with the exception of service animals.

As defined under the Americans with Disabilities Act, service animals are animals that are individually trained to perform tasks for people with disabilities such as guiding people who are blind, alerting people who are deaf, pulling wheelchairs, alerting and protecting a person who is having a seizure, or performing other special tasks.
Position Definitions
Regular, full-time, 12-month positions are categorized into two groups:
- A position budgeted for 1920 annual hours has a schedule of 37.5 hours per week for 40 weeks during the academic year and 35 hours per week for 12 weeks during summer hours.
- A position budgeted for 2080 annual hours has a schedule of 40 hours per week for 52 weeks.
- Positions budgeted for more than 1000 annual hours but less than 1920 annual hours may also be considered regular, full-time positions. These positions are considered 9 ½-, 10-, 10 ½-, or 11-month status. Normal schedules are given below, however, hours reported may be spread over the entire fiscal year as long as total hours reported do not exceed those budgeted for the position. The most common categories are as follows:
- A 9 ½-month position budgeted for 1535 annual hours has a normal schedule of 37.5 hours per week for 40 weeks during the academic year and 35 hours per week for one week during summer hours.
- A 10-month position budgeted for 1605 annual hours has a normal schedule of 37.5 hours per week for 40 weeks during the academic year and 35 hours per week for three weeks during summer hours.
- A 10 ½-month position budgeted for 1710 annual hours has a normal work schedule of 37.5 hours per week for 40 weeks during the academic year and 35 hours per week for six weeks during summer hours.
- An 11-month position budgeted for 1780 annual hours has a normal schedule of 37.5 hours per week for 40 weeks during the academic year and 35 hours per week for eight weeks during summer hours.
- A 9 ½-month position budgeted for 1640 annual hours has a normal schedule of 40 hours per week for 41 weeks during the fiscal year.
- A 10-month position budgeted for 1720 annual hours has a normal work schedule of 40 hours per week for 43 weeks during the fiscal year.
- A 10 ½ -month position budgeted for 1840 annual hours has a normal work schedule of 40 hours per week for 46 weeks during the fiscal year.
- An 11-month position budgeted for 1920 annual hours has a normal schedule of 40 hours per week for 48 weeks during the fiscal year.
Progressive Discipline Policy
Where it appears appropriate and effective, the University will utilize a system of progressive discipline to address the remedy of situations where an employee demonstrates unacceptable conduct and/or performance. Under the University’s system of progressive discipline, each incident which may require disciplinary action will be examined carefully to ensure verification of facts and consistent application of corrective measures. Further, whenever reasonably feasible, an effort will be made to make certain the employee understands the rule that is involved, why the behavior is inappropriate or unacceptable, and specific changes which must be made in order to bring the employee’s conduct or performance to an acceptable level. The progressive discipline principle allows the employee to see the results of his/her actions if the problem persists and encourages the employee to develop good self-discipline habits so as to make further imposed discipline unnecessary.

Progressive discipline is not applicable in every instance where disciplinary action is warranted. Specifically, if an employee’s violation of University work rules or policies involves gross misconduct (such as actions which involve the violation of state or federal laws, actions involving workplace violence, public intoxication and/or disorderly conduct, etc), the employee may not be eligible for progressive discipline and instead will be subject to more serious disciplinary action, up to and including immediate termination. Actions requiring discipline and the progression of disciplinary steps which will be followed may vary at the sole discretion of the University and will not necessarily be limited to those actions listed in this policy. Not all actions which might warrant discipline are specifically included in this policy.

The progression of steps of discipline may include any or all of the following:
1. Counseling: Discussion by the supervisor with the employee of behavior which could result in progressive discipline. The discussion should be documented in the supervisor’s personal files but need not be filed in Human Resources.
2. Verbal Warning: A verbal discussion between a supervisor and an employee about an employee’s failure to comply with a rule or demonstrated unacceptable conduct or performance. This is the first step in the formal disciplinary process. The supervisor must document that the meeting occurred, the subject of the meeting and the outcome of the meeting and submit the documentation to the employee’s file in Human Resources.
3. Written Warning: A second or subsequent documentation of an ongoing disciplinary issue. Documentation goes to the employee’s file in Human Resources.
4. Final Warning: At the point of progressive discipline that a supervisor has decided that the only possible consequence of further problems with performance or behavior is termination of employment, a Final Warning clearly stating the consequences should be issued and filed in the employee’s file in Human Resources. This is not to imply that an employee can only be terminated if a Final Warning is on file. It is simply advised to best insure that the employee clearly understands the implications of further failure to perform.
5. Termination of Employment: This final step in the progressive disciplinary process requires both documentation of the rationale and circumstances and accompanying submission of a Personnel Action Sheet documenting the termination. Terminations require consultation with the Office of Human Resources.
  
  * Suspension: Suspension from work , with or without pay, is an OPTIONAL step in the disciplinary process. Suspending employees as punishment is not particularly effective nor is it encouraged by the Human Resources office. Suspension is generally called for when it is necessary to remove an employee from the work environment while decisions are being made on an appropriate progressive disciplinary step; for example, while investigating a sexual harassment complaint, as a result of an altercation between an employee and another individual, or when an employee is at work in an intoxicated state. Suspension can occur at any point in the progressive disciplinary process. Suspensions must be documented to the employee’s file in Human Resources. Salaried employees can only be suspended for a full day of work and can be suspended only in instances of severe or gross misconduct.
The following are some examples, but certainly not a comprehensive list, of the kinds of situations that might call for progressive discipline:
1. Chronic and/or excessive tardiness/absenteeism
2. Careless work resulting in waste, spoilage, or delay
3. Leaving the work area without authorization or not being in an assigned area as designated
4. Profanity directed at a supervisor, co-worker, student or campus visitor
5. Inefficient or ineffective work based upon established University and/or department standards
6. Tampering with or falsifying official University records including one’s own or another’s time card
7. Unauthorized soliciting in University work areas during work time and/or wandering in other departments without authorization
8. Fighting or threats of violence
9. Failure to report an accident, injury, or hazardous situation in a prompt manner
10. Violation of University policies including the policy on Harassment, Substance Abuse, Consensual Relations, etc.
Protection for Those Reporting Fraudulent, Dishonest, or Unlawful Behavior
DePauw University requires its trustees, officers, and employees to observe high standards of business and personal ethics in the conduct of their duties and responsibilities. The University’s internal controls and operating procedures are intended to deter and prohibit activity that is contrary to University policy, or is in violation of federal, state or local laws and regulations. This policy is intended to protect any student or employee who engages in good faith disclosure of an alleged action or omission, reasonably believed to be a violation of laws, regulations, or the University’s policies or procedures, by a University official or employee. Violations may include, but are not limited to:
- A violation of a federal, state, or local law;
- Fraud or financial irregularities;
- Violation of any University policy;
- Fraudulent financial reporting;
- Forgery or alteration of any documents;
- Unauthorized alteration or manipulation of computer files;
- The use of University, property, resources or authority for personal gain or for non-University-related purpose except as authorized or provided under University policy;
- Authorizing or receiving compensation for services not received or services not performed;
- Requesting reimbursement for expenses not incurred;
- Authorizing or receiving compensation for hours not worked;
- Activities endangering the health and safety of others.
This policy prohibits retaliation in any form against an employee or student who in good faith reasonably believes and reports such alleged violations to the University’s attention. However, any employee or student who knowingly makes false accusations of misconduct shall be subject to disciplinary action. This policy also prohibits retaliation in any form against an employee or student who participates in or otherwise assists with an administrative proceeding, judicial proceeding, or investigation under this policy by the University, the Audit and Risk Management Committee of the Board of Trustees, or government agencies. Any employee or student who takes any actions whatsoever in retaliation against an employee or student of the University who has in good faith and with reasonable belief of a violation raised any question or concern or made a report under this policy shall be subject to discipline, up to and including termination of employment. Any employee or student who encourages others to retaliate also violates this policy and will be subject to such disciplinary action.

The University will investigate any reported violation of laws, regulations, policies, or procedures by a University official or employee. Anyone found to have engaged in such violations is subject to disciplinary action, up to and including termination of employment, subject to applicable University procedures. All members of the University community are expected and encouraged to report possible violations through appropriate University procedures published elsewhere or by contacting the Vice President supervising the university official or employee whose conduct is in question; however, anyone concerned about possible retaliation may use the special reporting mechanisms of this policy (“whistleblower reporting”). Regardless of how the report of possible violations is filed, any concern about apparent retaliation for reporting a possible violation should be reported through the procedures outlined in this policy.

REPORTING AND INVESTIGATION
This section applies both to whistleblower reporting and to reporting retaliation against whistleblowers.

Reports of suspected violations can be made confidentially and/or anonymously. The University will investigate such reports, but the promise of confidentiality cannot be assured, depending on the nature of the violation and the course of the investigation. Efforts within legal limits will be made to protect the confidentiality of the source. To the extent possible, any report or complaint should be factual and contain as much specific information as possible setting forth all of the information about which the employee or student has knowledge. In conducting the investigation, the University may retain outside legal or accounting expertise.

Staff members should direct their reports under this policy to the Director of Human Resources. If the Director of Human Resources is not available, or if the staff member is uncomfortable reporting the suspected violation to the Director of Human Resources, he or she may direct the report to the Vice President for Academic Affairs.

Faculty members should direct their reports under this policy to the Vice President for Academic Affairs. If the Vice President for Academic Affairs is not available, or if the faculty member is uncomfortable reporting the suspected violation to the Vice President for Academic Affairs, he or she may direct the report to the Director of Human Resources.

Students should direct their reports under this policy to the Dean of Students. If the Dean of Students is not available, or if the student is uncomfortable reporting the suspected violation to the Dean of Students, he or she may direct the report to the Vice President for Academic Affairs.

Supervisors and Department Chairs who receive reports of suspected violations under this policy should not investigate those reports but should forward them to the Director of Human Resources or Vice President for Academic Affairs, as indicated above.

The Dean of Students, Director of Human Resources and Vice President for Academic Affairs who receive reports of suspected violations under this policy should immediately forward them to the President who shall designate a coordinator to investigate the suspected violations. The procedures for investigation and for decisions regarding actions to take in light of the findings will follow other relevant university policies and procedures if the suspected violation is covered by another policy; otherwise appropriate procedures will be selected by the Coordinator after consultation with the President.

The Coordinator of the investigation of the suspected violations will report findings to the President who will share findings of violations and actions taken with the Chair of the Board of Trustees and the Chair of the Audit and Risk Management Committee.

Exceptions: If the investigation is of the President, the Dean of Students, Director of Human Resources or Vice President for Academic Affairs who receives the report should forward the report to the Chair of the Board of Trustees who shall designate a coordinator whose consultation on procedures will be with the Chair of the Board of Trustees, and the decision on action will be made by the Chair of the Board of Trustees. If the investigation is of a trustee, it will be handled by the Chair of the Board of Trustees with advice of the Chair of the Audit and Risk Management Committee.

On an annual basis, the University will provide the Audit and Risk Management Committee a summary of all reports under this policy.
Providing a Healthy and Safe Workplace
GUIDELINES
Providing a Healthy and Safe Workplace

Date: August, 2011
Contact: Human Resources x4181

PURPOSE

The University values an atmosphere that fosters a healthy and safe work environment that is conducive for faculty/staff to accomplish their job duties. In addition, there are many areas where confidentiality must be preserved. In order to create and maintain this environment it is important faculty and staff remain aware of potential safety issues and disruptions that would be detrimental to the completion of the individual’s duties. This policy provides guidelines for identifying and remedying situations that could disrupt the environment.

POLICY

Faculty and Staff must be vigilant in maintaining a safe and healthy work environment for themselves and others. Everyone is encouraged to consider and respect the work of colleagues when making decisions that might be considered a disruption. If a situation arises and a faculty/staff member is questioning whether it is detrimental to the completion of an individual’s duties or those of others, the observer should bring the situation to the attention of the party involved or to the supervisor/department head. If the situation cannot be resolved within the area, a representative from Human Resources can be called to assist.

It is always advisable that supervisors and department heads have periodic discussions with all faculty and staff about expectations and responsibilities regarding the work environment of colleagues and agree on what might be considered a disruption and/or a safety/health hazard. Also, it is important to include a review of the confidentiality needs of the area.

Examples of Potential Disruptions

The following are examples only and not intended to be a complete list of potential situations causing disruptions. Any disruption should be brought to the attention of the individual responsible and/or the supervisor/department head.

Personal visitors/children:

Some workspaces are not suitable for personal visitors or children. In addition, strict guidelines should be maintained if a child is brought into the workplace. If there is any question about this, employees should seek guidance from their supervisor/department head.

Safety: A minor may never be allowed into an area that is potentially hazardous (i.e., where hazardous equipment, human-derived materials, radioactive materials, etc., are located); such prohibited areas include workshops and laboratories, areas where chemicals are stored, and plant rooms.

Supervision: Children must be supervised by the parent or guardian at all times with consideration to the workplace issues. Employees supervising children must be able to complete their own work. No other colleague or student should be asked to supervise a child. If a complaint is made about disruption being caused by a child in the workplace, the supervisor/department head will ask the parent/guardian to immediately correct the situation even if this requires the parent/guardian to take vacation time or personal leave time in order to do so. No employee may use the workplace as an alternative to childcare.

Illness: Children exhibiting symptoms of potentially contagious illnesses should not be brought into the workplace. Provision for sick children should be made within the context of various forms of leave available to employees such as: leave relating to caring for a sick family member (sick leave), annual leave, or unpaid leave.

Computer Use: Institutional computers are University property and intended for use only by employees in the course and scope of assigned duties; they should not be used to entertain visiting children.

The University does not accept any liability for injuries to children who are not authorized to be in the workplace.

Personal Electronic Equipment

Staff and faculty may have personal electronic equipment (radios, music playing devices, computers, etc). The use of these items may not interfere with the individual’s work or the work of colleagues in the area. If there is a complaint, the supervisor/department head will review and recommend a solution.

The university does not accept any liability for damage, loss, or theft of any of these personal items.

Other Disruptions/Safety Issues

Other issues may be brought to the attention of the individual or the supervisor/department head. The supervisor will resolve the issue and may call upon Human Resources to help in deciding the best solution.

Record Retention and Document Destruction Policy

Purpose

Consistent with the Sarbanes-Oxley Act, which makes it a crime to alter, cover up, falsify, or destroy any document with the intent of impeding or obstructing any official proceeding, this policy provides for the systematic review, retention, and destruction of documents received or created by DePauw University in connection with the transaction of University business. This policy covers all records and documents, regardless of physical form, contains guidelines for how long certain documents should be kept, and how records should be destroyed (unless under a legal hold). The policy is designed to ensure compliance with federal and state laws and regulations, to eliminate accidental or innocent destruction of records, and to facilitate DePauw University’s operations by promoting efficiency and freeing up valuable storage space.

Document Retention

DePauw University follows the document retention procedures outlined below. Documents that are not listed, but are substantially similar to those listed in the schedule, will be retained for the appropriate length of time.

Corporate Records

Annual Reports to Secretary of State/Attorney General	Permanent
Articles of Incorporation	Permanent
Board Meeting and Board Committee Minutes	Permanent
Board Policies/Resolutions	Permanent
Bylaws	Permanent
Construction Documents	Permanent
Contracts (after expiration)	7 years
Correspondence (general)	3 years
Fixed Asset Records	Permanent
IRS Application for Tax-Exempt Status (Form 1023)	Permanent
IRS Determination Letter	Permanent
State Sales Tax Exemption Letter	Permanent

Accounting and Corporate Tax Records

Annual Audits and Financial Statements	Permanent
Business Expense Records	7 years
Cash Receipts	3 years
Credit Card Receipts	3 years
Depreciation Schedules	Permanent
General Ledgers	Permanent
Invoices	7 years
IRS Form 990 Tax Returns	Permanent
IRS Forms 1099	7 years
Journal Entries	7 years
Petty Cash Vouchers	3 years
Sales Records (box office, concessions, gift shop)	5 years

Bank Records

Bank Deposit Slips	7 years
Bank Statements and Reconciliations	7 years
Check Registers	7 years
Electronic Fund Transfer Documents	7 years

Payroll and Employment Tax Records

Earnings Records	7 years
Garnishment Records	7 years
Payroll Registers	Permanent
Payroll Tax Returns	7 years
State Unemployment Tax Records	Permanent
W-2 Statements	7 years

Employee Records

Accident Reports and Worker’s Compensation Records	5 years
Employment and Termination Agreements	Permanent
Employment Applications	3 years
I-9 Forms	3 years after termination
Records Relating to Promotion, Demotion, or Discharge	7 years after termination
Retirement and Pension Plan Documents	Permanent
Salary Schedules	5 years
Time Cards	2 years

Donor and Grant Records

Donor Records and Acknowledgment Letters	7 years
Fund/Trust Agreements and Statements	Permanentv	Grant Applications and Contracts	7 years after completion	Grant Applications – Non-awarded	3 Years

Legal, Insurance, and Safety Records

Appraisals	Permanent
Copyright Registrations	Permanent
Environmental Studies	Permanent
General Contracts	3 years after termination
Insurance Policies	Permanent
Leases	6 years after expiration
OSHA Documents	5 years
Real Estate Documents	Permanent
Stock and Bond Records	Permanent
Trademark Registrations	Permanent

Student Records

Academic Advising Files	3 Years
Academic Integrity Files	5 Years from last incident
ADA Files	5 Years
Admission Applications – Non-enrolled Students	1 Year
Financial Aid Files	4 Years
Health Files	7 Years
Perkins Loan Files	3 Years after payoff
Scholastic Standing Files	5 Years
Student Life Files	6 Years
Transcripts	Permanent
Vaccine Records	Permanent

Electronic Documents and Records

Electronic documents will be retained as if they were paper documents. Therefore, any electronic files, including records of donations made online, that fall into one of the document types on the above schedule will be maintained for the appropriate amount of time. If a user has sufficient reason to keep an e-mail message, the message should be printed in hard copy and kept in the appropriate file or moved to an “archive” computer file folder. Backup and recovery methods will be tested on a regular basis.

Emergency Planning

DePauw University’s records will be stored in a safe, secure, and accessible manner. Documents and financial files that are essential to keeping DePauw University operating in an emergency will be duplicated or backed up at least every week and maintained off-site.

Document Destruction

DePauw University’s chief financial officer is responsible for the ongoing process of identifying its records, which have met the required retention period, and overseeing their destruction. Destruction of financial and personnel-related documents will be accomplished by shredding.

Document destruction will be suspended immediately, upon any indication of an official investigation or when a lawsuit is filed or appears imminent. Destruction will be reinstated upon conclusion of the investigation.

Compliance

Failure on the part of employees to follow this policy can result in possible civil and criminal sanctions against DePauw University and its employees and possible disciplinary action against responsible individuals. The Chief Financial Officer and the Audit and Risk Management Committee Chair will periodically review these procedures with legal counsel or the University’s Independent Certified Public Accountants to ensure that they are in compliance with new or revised regulations.

--Endorsed by the Audit and Risk Management Committee, April 17, 2007

Retirement
Eligibility for retirement and continuation of group health insurance coverage is determined by the employee’s age and years of continuous full-time employment with the University. Employees will be considered eligible when the criteria in one of the following options is met. There is no continuation of group health insurance if an employee was hired on or after January 1, 2013.

Option A: Employees may continue group health insurance at the retiree rate if by the retirement date they
- are at least age 55 years, and
- have completed at least 15 years of continuous full-time employment, and
- have a combination of age and years of continuous full-time employment that totals at least 80.
- were hired prior to January 1, 2013.
OR

Option B: (Available only for employees hired prior to July 1, 1996): Employees may continue group health insurance at the retiree rate if by the retirement date they
- are at least age 62 years, and
- have completed at least 15 years of continuous full-time employment.
Dependent Coverage
1. Group health insurance may also be continued for eligible dependents insured at the time of retirement.
2. Retirees may terminate group health insurance coverage for an eligible dependent at any time but may not add new dependents.
Disability Provision / “Bridge” Policy

The Disability Provision is intended to act as a bridge which may allow the employee to meet eligibility requirements for retirement and transition to retiree benefits. If applicable, this provision allows an employee to remain covered on the group health insurance plan from the date of disability as follows:

Years of continuous, full-time Service:

Continuation Period:

0-10 years

1 year

11-20 years

2 years

21-30 years

3 years

31-40 years

4 years

41+ years

5 years

Employees must continue to pay the employee’s share of the health insurance premium through the continuations period.

Example of how this provision works: If an employee is 55 years old with 23 years of service and becomes disabled, this employee does not meet the eligibility requirements of the Retirement Policy (55 + 23 = 78). However, the bridge would allow this employee to continue for up to 3 more years on the active coverage at which time the employee would meet eligibility requirements for retirement and transition to retiree benefits.

Procedures
1. The employee who elects to retire must submit a letter of retirement, which includes the retirement date to his/her supervisor. A copy of the letter must be forwarded to Human Resources.
2. The employee considering retirement should contact the Social Security Office six months prior to the planned retirement.
3. The employee who has participated in a University-sponsored retirement plan should contact the carrier six months prior to the planned retirement to discuss options for distribution of funds.
4. The Human Resources Staff is available to assist the employee in the transition from active employment status to retirement. Employees are encouraged to contact Human Resources to discuss retirement date, benefits (i.e., Health Insurance, Life Insurance, Retirement Plan) and any other questions regarding retirement.
Shift Differential
Full-time employees are entitled to supplemental or shift bonus pay differentials under the following conditions:
- For employees to be eligible for shift differential of 5% of their base rate, they must be regularly scheduled to work what is referred to as second (2nd) shift. Second shift is determined to be a schedule that extends a minimum of four hours past 5:00 p.m. Shift differential will apply to all hours worked within the shift.
- For employees to be eligible for shift differential of 12% of their base rate, they must be regularly scheduled to work what is referred to as third (3rd) shift. Third shift is determined to be a schedule that extends a minimum of four hours past midnight. Shift differential will apply to all hours worked within the shift.
- Shift differential does not apply where original or subsequent wage and salary arrangements have previously taken into consideration the schedules to be worked.
- Employees are not eligible for shift differential when a flexible work arrangement has been agreed to primarily for their benefit and convenience.

Sick Time

Full-time, benefit status hourly employees accrue sick time according to the following schedule:

Annual Hours (Based on 26 Pays Per Year)	Hourly Accrual Factor	Approximate Annual Entitlement (Based on 26 Pays Per Year)	Maximum Accrual
1920	0.046875/hour	90.00 hours	900.00 hours
2080	0.046154/hour	96.00 hours	960.00 hours

Full-time, benefit status salaried employees do not accrue sick leave but they are covered under the Salary Continuation policy.

Sick time benefits are subject to the following:

Employees must follow the normal procedures for reporting absences as established by their department.
Employees may use sick time as it is earned.
Employees are not required to complete their 90-day probationary period before sick time may be taken.
Employees may only use sick time at a time when they are normally scheduled to work.
Employees may use sick time in quarter-hour increments.
Employees may use sick time when they are ill or need time off for doctor visits. In addition, non-exempt employees may use accrued sick time to care for an ill child, spouse, or parent. Exempt employees may use up to 10 days of sick time per calendar year to care for an ill child, spouse, or parent. Absence of more than five (5) consecutive days will require the submission of an FMLA Physician’s Certification (see FMLA policy).
Employees who reach their maximum sick time accrual become eligible for the Sick Leave Incentive Program. When the maximum sick time accrual is reached and maintained for the following 12-month period, an incentive award equivalent to up to 3 days pay will be processed.
At separation of employment (retirement or termination), no payment will be issued for sick time accrued but not taken.

Sick Time Bonus at Retirement of the Employee or Upon Death of the Employee
For Full-time, Hourly Employees
The employee must be considered an official retiree from DePauw University by meeting the criteria specified in the University Retirement Policy. The sick time bonus at retirement of the employee will be based on the employee’s accumulated sick time balance as of the date of retirement.

If Your Sick Time Balance is:

800 or more hours
700 - 799 hours
500 - 699 hours
300 - 499 hours
200 - 299 hours
Less than 200 hours Your Bonus is:

$5,000
$4,000
$3,000
$2,000
$1,000
Zero

In the event of the death of an employee, the Bonus amount will be issued to the same beneficiary or beneficiaries as designated on the employee’s life insurance benefit record. The Bonus amount will be determined by the employee’s accumulated sick time balance as of the date of death and will follow the payout schedule specified above in item #2. The employee does not have to meet the University’s definition of retirement in order for the beneficiary or beneficiaries to receive this benefit.
Separation from Employment Procedures
Purpose

The purpose of this policy is to define the exit interview process, required paperwork and notification to various university departments upon a faculty/staff member’s separation.

Policy
Supervisors/Department Heads will complete the Personnel Action Sheet (found on HR page of the website under “Helpful Forms”) and send it to the Office of Human Resources as soon as he/she knows that a faculty/staff member will be leaving the university. The Personnel Action Sheet should be accompanied by a letter of resignation, if applicable, and must document the reason for termination, date of termination and bear the signatures of all appropriate individuals.

All appropriate departments will be notified and the necessary steps will be taken to complete the separation process in a timely, efficient and professional manner.

Procedures
A separation check list will be emailed to the exiting employee and their immediate supervisor to provide guidance to transition the employees work and work related materials. The immediate supervisor shall make arrangements with the exiting employee for return of University property.

Questions regarding benefits should be directed to the HR Office via phone 765-658-4181 or email (HR@depauw.edu).

Exit Interview

Once the Personnel Action Sheet reaches the HR office, the HR team will offer to conduct an exit interview (generally on the last day of work) to give the separating faculty/staff member the opportunity to share information about their university experience. This information will be used to help make improvements to ongoing programs and support. In lieu of a formal exit interview meeting, exiting employees may opt to fill out the online Employee Exit Survey which can be found on the Human Resources website.

Expectations of the Separating Faculty/Staff Member
1. Expected Notice:
  1. Non-Exempt (Hourly) Staff Member (voluntary resignation or retirement): A minimum of two weeks’ notice of intention to separate from the University is preferred in order to allow a reasonable amount of time to transfer ongoing workloads.
  2. Exempt Non-Management Staff: A minimum of two weeks’ notice of intention to separate from the university is preferred in order to allow a reasonable amount of time to transfer ongoing workloads.
  3. Exempt Management Staff: Four weeks’ notice is preferred for management staff to be provided to supervisor.
  4. Faculty: A faculty member who is retiring or resigning his or her position should inform the Vice-President of Academic Affairs as soon as practicable, but no later than June 30. A decision to retire or resign after this date may result in the need for the faculty member to repay salary to the university.
2. Vacation: A Staff Member who voluntarily resigns is expected to work on the last day of employment. Any available vacation should be taken prior to the last day or paid out in the final paycheck (see Employee Guide for how vacation time is granted).
Health and Welfare Benefits

DePauw medical, dental and vision insurance will terminate at the end of the pay period of the faculty/staff member’s last day of employment. At that time, you will be eligible to elect COBRA coverage to extend your coverage under the medical and dental plan. A packet of information regarding COBRA enrollment and costs will be mailed to your home directly from HRPro.

Basic and voluntary life, accident and disability insurance will terminate at midnight on your last actual day of work at the University. If enrolled in voluntary life, employees do have the opportunity to convert to a portable policy.

Participants in the DePauw 403(b) Retirement Plan are 100 percent vested. Approximately two weeks after you receive your final pay, you may contact TIAA at 877-267-4507 for information on your options. You may wish at this time to start thinking about whether you can roll over the funds into your new employer’s retirement plan or whether you would like to open a personal IRA for the funds. You may also receive cash benefits, which are subject to tax penalties, or leave your money in your TIAA retirement account with TIAA.

If you participated in the Our Healthy Tigers HSA Incentive Program, any unpaid earned funds will be distributed to your HSA savings account upon your exit. Funds in your health savings account (HSA) will be converted to an independent account through HSA Bank. You will receive information about your account directly from HSA Bank or you may call them directly at 800-357-6246, for additional information about the terms and conditions of your account as an independent account holder.

Contact the benefits manager with additional questions.

Vacation/Sick Leave Payout
1. Exempt Staff: Unused available vacation will be paid out on the last paycheck. There is no sick time accrual.
2. Non-Exempt Staff (hourly): Unused, accrued vacation hours will be paid out on the last paycheck. There is no sick time accrual paid out.
  
  Staff members who are retiring, may be eligible for sick leave payment at retirement if he/she meets the requirements as stated in the Employee Guide.
3. Faculty: There is no vacation or sick leave pay out.
Re-Hire Eligibility
A faculty/ staff member who leaves the University in good standing and is classified as eligible for rehire may be considered for reemployment. An application must be submitted to the Office of Human Resources, and the applicant must meet all minimum qualifications and requirements for the position. Supervisors must obtain approval from the Director of Human Resources or designee prior to rehiring a former faculty/staff member. Rehired faculty/staff members begin benefits just as any other new faculty/staff member. Previous employment with DePauw will not be considered in calculating longevity, leave accruals or any other benefits.

IS Accounts—Disabling and Removal
Staff Member
Each employee separating from the University will have all accounts access disabled immediately upon his/her last day of service.

Faculty
Separated faculty members will retain their email (only) account access for one semester following their last teaching semester at which point those email accounts will be disabled. All other account access is disabled immediately upon his/her last day of service.

Retiring Faculty/Staff
Emeriti
A retiring faculty member (emeritus) will retain email, e-Services access (with the role of “retiree‟ or “emeritus‟), and IS account access necessary to enable authorized library access. Access to all other IS accounts will be disabled immediately upon his/her last day of service.

Teaching Emeriti
A retired or emeritus faculty member who is teaching as a “Senior Professor” as designated by the Vice President of Academic Affairs will be assigned additional IS account access needed to support his/her teaching and scholarship activities.

Retiring Staff Member
A retiring staff member will retain email, e-Services access (with the role of “retiree‟), and an IS account access necessary to enable authorized library access will be retained. These accounts will be tagged to identify the person’s “retiree‟ status. Access to all other IS accounts will be disabled immediately upon his/her last day of service.

Preserving Account Information
Account information will be preserved on disabled accounts for 90 days or until instructed that it should be removed. The former employee’s supervisor will be notified of the impending removal, at 90 days, and the account will be removed.

Auto-Reply Notification
Separated employees whose accounts have been disabled will have an auto-reply on their email account stating the "person is no longer with the University." An email address will be listed where University business information can be sent, as will an email address for future personal correspondence with the separated employee (if desired). The auto-reply will remain in effect until the account is removed.

ID Cards
ID cards should be returned as University property to the exiting employee's supervisor. Supervisors will send to the HR office. Retirees may request an ID with all rights, privileges and access including discounts, access to Lilly Center, etc. associated with the ID card.

Parking Permit
Parking permits should be returned as University property to the exiting employee's supervisor. Supervisors will send to HR office. Retirees may continue to use their parking permits and update their information with the University police as needed.

Notifying Other Offices
The Office of Human Resources will notify, by email, the Accounting Office, Facility Management, Public Safety, the ID Desk, and Information Services (and other appropriate individuals/departments if appropriate) of the termination of the faculty/staff member upon receipt of the Personnel Action Form confirming the termination.

Contact Human Resources with any questions: 765-658-4181
Smoking Policy
DePauw University seeks to promote the health and safety of its employees, guests and students, while safeguarding individual rights. To provide a healthful campus, DePauw prohibits smoking in the following locations:
1. All University buildings, and within 40 feet of those buildings;
2. All University vehicles, with the exception of University owned vehicles assigned to an individual: and
3. All University outdoor facilities (e.g., Blackstock Stadium, athletic fields).
Smokers are encouraged to dispose of used cigarettes and cigars in proper receptacles.
You can also find the City Ordinance in the Appendix Section.
Smoking Ordinance
ORDINANCE NO. #2007-3

ORDINANCE PROHIBITING SMOKING IN PUBLIC PLACES AND PLACES OF EMPLOYMENT

WHEREAS, numerous studies have found that tobacco smoke is a major contributor to indoor pollution, and that breathing secondhand smoke is a cause of disease, including lung cancer in non-smokers; and
WHEREAS, people at special risk to secondhand smoke include children, the elderly, individuals with cardiovascular disease or impaired respiratory function, including asthmatics, and those with obstructive airway disease; and
WHEREAS, health hazards induced by breathing secondhand smoke including lung cancer, heart disease, respiratory infection, decreased respiratory function, and bronchospasm; and
WHEREAS, the City of Greencastle (hereinafter “City”) finds and declares that the purposes of this ordinance are: 1) to protect the public health and welfare by prohibiting smoking in public places, and places of employment; and 2) to guarantee the right of persons to breathe smoke-free air, and to recognize that the need to breathe smoke-free air shall have priority over the desire to smoke.

NOW, THEREFORE, BE IT ORDAINED BY THE CITY COUNCIL OF THE CITY OF GREENCASTLE, INDIANA as follows:

Section 1. Definitions.

As used in this Ordinance, the following words and phrases have the following meanings unless otherwise designated:
1. "Bar" means any establishment used primarily for the sale of alcoholic beverages for consumption by guests on the premises and in which the sale of food is merely incidental to the sale of alcoholic beverages, including but not limited to taverns, nightclubs, and cocktail lounges.
2. "Person" means any individual, firm, partnership, association, corporation, company or organization of any kind.
3. “Private Club” means a facility:
  1. owned or operated by an association or corporation which shall:
    1. not be operated for pecuniary gain;
    2. consists of a membership:
      
      formed as a lodge, local chapter, or corresponding unit of a fraternal order recognized on a national basis; or
      
      comprised of persons who have served in the armed forces of the United States; or
      
      formed as a recognized, exclusive association of persons organized for a joint or common purpose for which application for membership, the payment of dues, and self-governance by the membership are distinguishing characteristics; and
    3. Registered under Indiana law; and
    4. Determined by the Internal Revenue Service to be operating under not-for-profit status.
  2. where entry into and use of the facility is restricted to members and guests of members.
4. "Restaurant" means any establishment used as or held out to the public as having food available for payment to be consumed on the premises, including coffee shops, cafeterias, cafes, luncheonettes sandwich stands and soda fountains. The term "restaurant" shall include a bar area within the restaurant.
5. “Theater” means any enclosed facility, open to the public, which is primarily used for or designed for the purpose of exhibiting any motion picture, stage drama, musical recital, dance, lecture or other similar performance.
6. "Smoke" or "smoking" means the act of lighting, carrying, inhaling from, or leaving a lighted or smoldering cigar, cigarette, or pipe of any kind.
7. "Public place" means any enclosed area used by the general public, including, but not limited to, retail stores and financial institutions, department stores, banks, laundromats and beauty and barber shops, retail food production and marketing establishments, retail service establishments, and other commercial establishments, regardless of whether a fee is charged for admission to the place.
8. "Enclosed Area" means all space between a floor and ceiling that is enclosed on all sides by solid walls or windows (exclusive of doorways), which extend from the floor to the ceiling.
9. "Place of Employment" means any enclosed area under the control of a public or private employer which employees normally frequent during the course of employment, including but not limited to, work areas, private offices, employee lounges and restrooms, conference and class rooms, employee cafeterias and hallways.
10. "Retail Tobacco Store" means retail store utilized primarily for the sale of tobacco products and accessories and in which the sale of other products is merely incidental. The term does not include retail stores where food or beverages are sold for consumption on the premises or where an area has been set-aside on the premises for customers to consume food or beverages.
11. "Health Care Facility" means an office or institution providing care or treatment of diseases, whether physical, mental, or emotional, or other medical, physiological, or psychological conditions, including but not limited to, hospitals, rehabilitation hospitals or other clinics, including weight control clinics, nursing homes, homes for the aging or chronically ill.
Section 2. Application of Chapter to City-Owned Facilities

All properties, except public rights-of-way and easements, including buildings and vehicles owned, leased, or operated by the City of Greencastle , shall be subject to the provisions of this Chapter.

Section 3. Smoking prohibited in public places.

Smoking shall be prohibited in all enclosed public places within the City of Greencastle, including but not limited to, the following places:
1. Areas available to and customarily used by the general public in businesses and nonprofit entities patronized by the public, including but not limited to, professional offices, banks, laundromats, bowling alleys, hotels, and motels.
2. Bars.
3. Bingo facilities.
4. Convention facilities.
5. Elevators.
6. Facilities primarily used for exhibiting a motion picture, stage, drama, lecture, musical recital, or other similar performance.
7. Galleries, libraries, and museums.
8. Health care facilities, except where required by law.
9. Licensed childcare and adult day care facilities.
10. Lobbies, hallways, and other common areas in apartment buildings, condominiums, trailer parks, retirement facilities, nursing homes, and other multiple-unit residential facilities.
11. Polling places.
12. Private Clubs, during any period of time that the public is present and invited on the premises.
13. Public transportation facilities, including buses and taxicabs.
14. Restaurants.
15. Restrooms, lobbies, reception areas, hallways, and other common-use areas.
16. Retail businesses and stores.
17. Rooms, chambers, places of meeting or public assembly, including school buildings, under the control of an agency, board, commission, committee or council of the City or a political subdivision of the State when a public meeting is in progress, to the extent the place is subject to the jurisdiction of the City.
18. Schools
19. Service lines
20. Enclosed shopping malls
21. Sports arenas, including enclosed place in outdoor arenas.
Section 4. Prohibition of Smoking in Places of Employment.

Smoking shall be prohibited in all enclosed areas within places of employment. This includes, but is not limited to, common work areas, auditoriums, classrooms, conference and meeting rooms, private offices, elevators, hallways, medical facilities, cafeterias, employee lounges, service areas, stairs, restrooms, vehicles, and all other enclosed facilities.

Section 5. Where Smoking is Not Regulated.

The prohibitions of Section 3 shall not apply to the following:
1. Private residences, except when used as a licensed childcare, adult day care, home occupation where the public is invited or health care facility.
2. Hotel and motel rooms that are rented to guests and are designated as smoking rooms; provided however, that not more than twenty five (25%) of rooms rented to guests in a hotel or motel may be so designated. The status of rooms as smoking or nonsmoking may not be changed, except to add additional nonsmoking rooms.
3. Retail tobacco stores; provided that smoke from these places does not infiltrate into areas where smoking is prohibited under the provisions of this Ordinance.
4. Private clubs, as described in Section 1. Definitions, item c., and as regulated in Section 3.(l).
5. Outdoor areas of places of employment.
Section 6. Declaration of Establishment as Nonsmoking.

Notwithstanding any other provision of this Chapter, an owner, operator, manager, or other person in control of an establishment, facility, or outdoor area may declare that entire establishment, facility, outdoor area or parking lot as a nonsmoking place. Smoking shall be prohibited in any place in which a sign conforming to the requirements of Section 8 is posted.

Section 7. Posting of Signs.

Every public place and place of employment where smoking is prohibited by this Ordinance shall have posted a conspicuous sign clearly stating that smoking is prohibited.

Section 8. Enforcement.
1. This Chapter shall be enforced by the Office of the Mayor of the City of Greencastle, or his/her designee.
2. Any citizen who desires to register a complaint under this Chapter may initiate enforcement by contacting the Office of the Mayor or the Greencastle Police Department.
3. The City’s Building Inspector or Fire Inspector, or their designees may, while an establishment is undergoing otherwise mandated inspections, inspect for compliance with this Ordinance.
4. An owner, manager, operator, or employee of an establishment regulated by this Ordinance shall inform persons violating this Ordinance of the appropriate provisions thereof.
Section 9. Violations and Penalties.
1. A person who smokes in an area where smoking is prohibited by the provisions of this Ordinance shall be guilty of an infraction, punishable by a fine of fifty dollars ($50).
2. A person who owns, manages, operates, or otherwise controls a public place or place of employment and who fails to comply with the provisions of this Ordinance shall be guilty of an infraction, punishable by: 1. A fine of One Hundred Dollars ($100.00) for a first violation. A fine of Two Hundred Dollars ($200.00) for a second violation within one (1) year. A fine of Five Hundred Dollars ($500.00) for each additional violation within one (1) year.
3. Each day on which a violation of this Ordinance occurs shall be considered a separate and distinct violation.
4. Any person receiving a notice of violation and /or fines for a violation may appeal the violation and/or fine to the Mayor. The Appellant must file a written statement, outlining the reasons that the violation/fine is invalid or should otherwise not be enforced within fifteen (15) days of the violation. The Mayor shall investigate and review the appeal and issue a written determination.
  The Appellant may appeal the Mayor’s determination to the Common Council of the City of Greencastle by filing a written statement within fifteen (15) days of the Mayor’s determination. The Common Council will appoint a three member panel from its members to investigate and review the Appeal. The Common Council review panel shall issue a written determination, which decision shall be final.
  Failure to comply with the above appeals procedure constitutes a waiver of any further rights to appeal.
5. An action to enforce a violation and/or fine may be brought by the City in the court of jurisdiction.
Section 10. Other applicable laws.

This Ordinance shall not be interpreted to permit smoking where it is otherwise restricted by other applicable laws or to supersede any local laws which are more restrictive.

Section 11. Chapter to be broadly interpreted.

This Ordinance shall be construed broadly to effectuate the purposes described in the preamble of this ordinance.

Section 12. Severability.

If any section or sentence or provision of this Ordinance, or the application thereof to any person or circumstances shall be declared unconstitutional or invalid, such invalidity shall not affect any of the other sections, sentences, provisions or application of this ordinance which can be given effect without the invalid provision or application, and to this end, the provisions of this ordinance are declared to be severable.

Section 13. Effective Date.

This Ordinance shall be effective September 1, 2007, at 12:00 p.m. (noon).

PASSED AND ADOPTED by the Common Council of the City of Greencastle, Indiana this ____ day of __________________, 2007.

________________________________ ___________________________________

Thomas W. Roach John Lanie

________________________________ ___________________________________

Mark N. Hammer Russell W. Evans

________________________________

Robert Sedlack

Approved and signed by me this ______ day of _________________, 200 7, at ___________ o'clock ___.m.

________________________________

ATTEST: Nancy A. Michael, Mayor

________________________________

Teresa Glenn, Clerk-Treasurer
Staff Remote and Flexible Work Policy
(Faculty members at DePauw have flexible hours and are governed by the Academic Handbook; most instruction at DePauw is in-person.) A list of Frequently Asked Questions is also available on the Human Resources website.

Summary

As a residential university centered on providing an exemplary student experience, DePauw prizes personalized interactions, collaboration, student support, and vibrant campus life arising from the in-person presence of faculty, staff, and students. Therefore, most jobs at DePauw require staff to be physically present. At the same time, the University recognizes and values that flexible alternatives to traditional work schedules can support the University’s mission and goals and can also be beneficial to staff and the University.

Providing creative work solutions that are of mutual benefit to staff and the University is integral to DePauw’s vision as a great place to live, learn, and work. Based on the needs of specific areas of operation, having flexible work arrangements may be beneficial for:
- Employee wellbeing by helping employees balance work and personal responsibilities; reducing stress; enhancing staff morale and job satisfaction; and easing the financial and time constraints of commuting.
- Diversity and equity by increasing the diversity of hiring pools due to providing more flexible work arrangements; supporting financial benefits of staff, including reducing costs of commuting.
- Environmental sustainability by reducing automotive use and energy costs.
- Productivity by reducing turnover, decreasing absences, providing opportunities to expand and adapt service hours, and by providing more flexibility to those who require it due to extenuating circumstances
- Meeting other University goals for enhancing office space arrangements; work effectiveness; and greater use of technology as appropriate for services and work products that can be accomplished and/or delivered remotely.
Most importantly, a flourishing campus environment depends on effectively managing work arrangements by considering the needs of both employees and the University without sacrificing individual or collective quality of services and work.

Purpose

The purpose of this policy is to provide requirements, guidelines, and considerations to help supervisors and staff understand and implement Flexible Work Arrangements, where and when feasible, to maximize benefits and avoid potential issues.

Policy Statement

At DePauw, a Flexible Work Arrangement is an alternative arrangement or schedule to a typical work day or week. For consistency of service and support to students and colleagues, official administrative office hours are Monday through Friday from 8 a.m. to 5 p.m., when most department and program offices are required to be open. Although not every position at DePauw lends itself to remote work, many positions lend themselves to alternative or flexible/temporary schedules.

Definitions
- Alternative Schedule: permits an employee’s regular work schedule to vary from official office hours, while still working the same number of required hours. For example: an employee whose normal schedule is 7:00 a.m. to 4:00 p.m. instead of 8:00 to 5:00 or another who typically works evenings or weekends. Supervisors should ensure the staff member’s wellbeing in supporting alternative schedules (i.e., allow adequate time for lunch or breaks).
- Temporary Arrangements: allow adjustments in schedule to offset the weekend and/or after-hours work necessary for some positions, or short-term adjustments for occasional instances necessary for a temporary circumstance (i.e., urgent situations, home appointments, etc.)
- Fully Remote and Hybrid Remote Work Arrangements: Remote work arrangements, also known as telecommuting or telework, involve working from a remote or satellite location either all or part of the time on a regular, defined basis. Regional Employees, defined as those that are required to live in a specific location to complete their work, are separate from this policy.
- Fully Remote: There are a few full-time remote roles at DePauw for those for whom the nature of their work can be effectively done remotely, and those whose work involves minimal student contact, or arrangements for work on an interim basis.
- Hybrid Remote arrangements are more common and allow staff to maintain in-person interaction with colleagues and students while working from a remote location part of the time.
NOTE: Remote work is not permitted outside of the United States. Tax and other legal implications may exist when working outside of Indiana.

Procedures

Alternative Schedules and Temporary Arrangements

Supervisors are responsible for setting regular working hours and expectations related to office presence and availability. These types of arrangements should be approved by a staff member’s direct supervisor and do not require a written, signed agreement. When business operations permit, and the work of other team members is not compromised, the University encourages supervisors to accommodate staff in these instances.

Remote Work and Hybrid Remote Work

Not all positions are suitable for Hybrid or Fully Remote work. All requests should be considered by supervisors on an individual basis, based on the unique, specific needs of each department and role.

Remote work arrangements may be approved for employees living and working outside the state of Indiana. However, no remote work arrangements will be approved for employees living and working outside the United States.

General Requirements
- An initial in-person University orientation and a 90-day period of in-person employment is expected for all new employees (but may be waived for Fully Remote positions).
- Hybrid remote arrangements generally should be no more than one day per week.
- Non-student-facing roles may be considered for hybrid remote status beyond one day per week at the discretion of divisional Vice Presidents, based on the unique operating needs of each area.
- Any remote staff must be readily available by telephone, chat, email, and/or other established communication methods during agreed-upon work hours.
- Hybrid remote staff may be asked to share office space on the days or during the hours they are required to be on campus.
- Existing University policies regarding hours, attendance, and leave apply.
- Other than for illness or unavoidable conflict, hybrid remote staff are expected to be present on campus for required meetings and specific days or events that are important in the life of the University, as appropriate for the position, – e.g., orientation, faculty/staff convocation, Reunion or Family Weekends – and should plan their remote work schedules accordingly.
- Any remote work arrangements may be discontinued at the discretion of the supervisor, the divisional Vice President or the University at any time. Notice of changes will be provided to the employee at least 10 working days prior to effective changes. Employees who refuse to return to their campus or facility work location may be subject to discipline and/or dismissal under applicable university policies.
Review Criteria

Although any staff member may request a remote work arrangement, as noted above, not all such requests will be approved. Additionally, a vacant position may be considered for location flexible eligibility. Each position is reviewed on an individual basis and supervisors should consider the following factors for each:
- Out of State work is complex due to employment laws, taxation rules and data privacy and cybersecurity risks, and other compliance requirements in other states. Supervisors, in consultation with their divisional Vice President, should consult with the HR Office to identify tax or legal implications under IRS, state and local government laws, and/or restrictions of working out of a home-based office. The University may have restrictions for having employees in some states.
- The ability to conduct essential duties remotely with no impairment in productivity or the ability to meet University and job expectations.
- Offices, departments, and divisions must not experience any reduction in services, especially student-facing services, or quality of work in implementing remote work arrangements.
- The remote work arrangement does not negatively impact the workload or service delivery of other team members in the department or at the university
- Whether the remote location is suitable for performing the assigned duties.
- Whether on-campus office coverage during official University business hours can be maintained without negatively impacting other colleagues.
- The amount of work that requires face-to-face interaction with students, faculty, colleagues, and guests.
- The overall work performance of the employee as determined by the supervisor and, retrospectively, from the employee performance evaluations.
- Whether the request meets critical University goals such as increasing the use of shared office spaces and others.
Requesting and Formalizing Remote Work Agreements
- Staff members who believe their duties and responsibilities can be successfully accomplished through a remote arrangement, and who are interested in exploring such an option, should speak with their supervisor, who will consider whether all or a portion of the position lends itself to working remotely and whether it may benefit the University, the department and the staff member.
- If the direct supervisor determines that the request may be beneficial, an Agreement for Remote Work Arrangement that outlines the terms of the arrangement must be completed and forwarded to the divisional Vice President for consideration.
- If approved by the divisional Vice President, the agreement will be forward to by Human Resources.
Safety

Employees are expected to maintain their home workspace in a safe manner, free from safety hazards. DePauw will provide each remote worker with a safety checklist. Injuries sustained by the employee in a home office location and in conjunction with his or her regular work duties are normally covered by the DePauw’s workers’ compensation policy. Remote work employees are responsible for notifying Human Resources of such injuries as soon as practicable. The employee is liable for any injuries sustained by visitors to his or her home worksite.

Meetings with students, co-workers, or others conducting business with the University shall not be held in person in a remote employee’s home.

Time Worked

All remote work employees who are not exempt from the overtime requirements of the Fair Labor Standards Act will be required to accurately record all hours worked using DePauw’s time-keeping system. Hours worked in excess of those scheduled per day and per workweek require the advance approval of the remote worker’s supervisor. Failure to comply with this requirement may result in the immediate termination of the remote work agreement.

Dependent Care

Flexible work arrangements are not a substitute for ongoing dependent or child care; staff must make or maintain such dependent care arrangements during agreed-upon work hours. It is understandable that unplanned dependent care issues may arise during regular work hours on occasion that require adaptation; in these situations, staff and supervisors should work together for a solution.

Outside Business Interests

Staff participating in any remote work should not perform unrelated or outside work – such as for a personal business – during DePauw’s agreed upon office hours.

Equipment, Work Space Accommodations, Computer Usage, and Security
- A remote work environment, whether at home or another location, should be conducive to working effectively and without distractions. Home office furniture and supplies are the responsibility of the employee; however, the University may assist in arranging reasonable accommodations for disabilities, medical conditions, or other special or protected needs.
- An employee’s work location and specific work schedule must be specified in the Remote Work Agreement.
- All remote staff must have reliable internet and phone service, and a satisfactory workspace, maintained at their own expense (some employees, based on job requirements, may be provided a stipend for a cellular phone or internet).
- The employee and department will work together to determine whether an employee has the appropriate equipment and access necessary to perform the job. In most cases, remote workers will be authorized to use DePauw computer equipment, which should be used exclusively to conduct DePauw University business. DePauw reserves the right to require that employees working remotely use DePauw supplied computers. It is recommended that staff use a University-approved laptop for ease of transportation. DePauw will not supply duplicate equipment for remote work spaces. DePauw does not provide assistance with the set-up of a remote office.
- Staff members are responsible for using surge protectors and maintaining software updates and virus protection; the employee will incur costs for damages or repairs caused by failure to maintain and protect equipment.
- The University will reimburse employees for travel between the employee’s work location and campus if the distance exceeds a 60 –mile radius and such reimbursement arrangement is specifically authorized within the employee’s remote work agreement. Departments are responsible for funding such reimbursement.
- Security and confidentiality for all remote staff are the same for all work locations. Restricted or confidential material should not be removed from the campus worksite unless approved in advance.
- Use of computing equipment from remote locations must conform to DePauw’s Electronic Communications and Acceptable Use Policy.
- All records, documents, and correspondence, either in paper or electronic form must be safeguarded and protected for privacy and confidentiality.
- The University is not liable for damages to the employee’s property that may result from participating in remote work.
Evaluation

Supervisors are encouraged to review the arrangement for effectiveness after the first three months and are required to review remote work arrangements annually as part of the employee’s evaluation process; a remote staff member’s performance must meet or exceed job requirements.
Summer Hours
Summer Hours are recognized by administrative offices for a 12-week period during the summer. During this period, hourly employees who have a normal work schedule of 37.5 hours per week during the academic year will change their normal work schedule to 35 hours per week or seven (7) hours per day. The Vice President for Finance and Administration will distribute a memorandum annually to each department indicating the summer hours schedule.
Summer Fridays
Purpose

The University recognizes that the summer months are a time that faculty, staff and students can leverage to support a healthy work/life balance. Closing University Offices early on Fridays in the summer months allows employees to accomplish their work activities and project goals while also providing an opportunity for more time for the people and activities they enjoy.

Policy

University offices will officially close at noon each Friday in the summer, usually beginning the Friday after commencement through the last Friday of July, as communicated in the posted annual holiday schedule.

Eligibility

Staff employees in a full-time, benefit-eligible position, and whose normal full-time work schedule extends through the summer months may participate in this Paid Time Off program during their normal work schedule. Part-time employees are not eligible for the PTO program, but are not expected to work when the University is closed. Part-time employees should work with their supervisors regarding their work week schedules.

To be eligible to be paid for the Summer Friday PTO, employees cannot have an unexcused absence the last scheduled day before this day, or the following scheduled work day.

Compensation

Compensation for the ½ day Summer Fridays will be based on an employee’s regularly scheduled hours per day (i.e.: 3.5 hours for normal 7.0 hours per day, 4 hours for normal 8.0 hours per day). Employees should not schedule lunch breaks before the end of the half day.

Hourly paid employees should use the pay code SMRF to report these hours. SMRF time will count towards hours worked for purposes of overtime calculation, and will continue to count towards hourly vacation and sick accrual. SMRF time cannot be carried over from week-to-week, unless pre-approved by Human Resources as an alternative.

Vacation and Sick Time

Employees may, with supervisor approval, use a ½ day vacation, if available, in addition to the ½ day SMRF in order to have the whole day off.

Employees who are out sick during a Summer Friday will record the entire day as sick time as normal, and SMRF will not apply.

Operational Needs

As with all University closure periods, we recognize that several departments will have activities, service requirements, or varying shift schedules in the summer and therefore, will need to continue to have their offices fully operational and staffed during these times. In these cases, the Office of Human Resources will work closely with the departmental supervisors to determine possible alternative weekly SMRF options.
Time Cards
Time cards are official documents. When completing them the following guidelines should be used:
1. Record all hours for which compensation is to be received.

2. Record hours in quarter-hour increments using decimal form rather than fractions (i.e., .25, .50, .75).

3. The employee and supervisor must both approve the time card. Supervisors should not approve a blank or incomplete time card.

4. Submit time cards to the payroll office by the due date specified in the biweekly pay schedule distributed by that department. The payroll manager will send an e-mail message if time cards are due earlier than specified in the schedule.

Completing the Time Card for Full-time Employees whose Normal Hours per Day equal seven and one-half (7.50):

Regular: Record time worked and paid holidays up to your normal hours per day.

O/T Premium: Record time worked over 40 hours per week.

Vacation: Record vacation time taken up to your normal hours per day. Time taken cannot exceed the vacation balance available as specified on the on-line Time Card.

Sick: Record sick time taken up to your normal hours per day. Time taken cannot exceed the sick time balance available as specified on the on-line Time Card.

Personal: Record personal time taken up to your normal hours per day. Time taken cannot exceed the personal time balance available as specified on the on-line Time Card.

Other: Record time off for jury duty, bereavement leave, civic duty, voting, wage continuance for pregnancy and/or delivery and any other time for which pay is to be issued. Identify time on the time card in the drop down window.

Completing the Time Card for Full-time Employees whose Normal Hours per Day equal eight (8.00):

Regular: Record time worked and paid holidays up to your normal hours per day.

O/T Premium: Record time worked over 40 hours per week.

Vacation: Record vacation time taken up to your normal hours per day. Time taken cannot exceed the vacation balance available as specified on the on-line Time Card.

Sick: Record sick time taken up to your normal hours per day. Time taken cannot exceed the sick time balance available as specified on the on-line Time Card.

Personal: Record personal time taken up to your normal hours per day. Time taken cannot exceed the personal time balance available as specified on the on-line Time Card.

Other: Record time off for jury duty, bereavement leave, civic duty, voting, wage continuance for pregnancy and/or delivery and any other time for which pay is to be issued. Identify time on the time card in the drop-down window.

Completing the Time Card for Part-time, Temporary, and On-call Employees:
In the appropriate sections of the time card enter the following information:
- Print the name of the employee.
- Print the name of the department.
- Specify the biweekly pay period.
- Enter the date worked (i.e., 9/20/99) on the appropriate day of the week (i.e., Sun, Mon, etc.).
- Enter the total hours worked each day.
- Summarize total hours worked in the Summary Totals section of the time card.
- Enter the employee’s hourly rate.
- Calculate the total amount of pay due and enter in the Summary Total section of the time card.
Tuition Exchange Program Guidelines
Tuition Exchange (TE) is a reciprocal scholarship program involving a consortium of more than 650 colleges and universities which agree to sponsor an established number of employee children as prospective candidates for TE scholarships at other participating institutions, while also agreeing to host an equal number of students on their campuses. The receiving school determines the amount of the scholarship award, not DePauw University or Tuition Exchange..

Information about the Tuition Exchange Program can be found online at www.tuitionexchange.org.

The following guidelines are applicable to DePauw University employees who would like to participate in the Tuition Exchange.

Eligible Employee:

Employees are considered eligible for this benefit upon completion of two (2) years of continuous full-time, benefit status employment. The two-year waiting period may be waived only if the following conditions are met:
- The new employee was receiving a similar tuition benefit at the institution where he/she was employed prior to being employed by DePauw University, and
- The employee submits documentation to the Office of Human Resources at DePauw University from the institution at which he/she was employed describing the tuition benefit received, and
- All other eligibility requirements outlined in this policy are met.
Eligible Dependents:

A dependent child of a full-time benefit eligible employee who has met the two-year continuous employment requirement is considered eligible for the TE program. Eligibility is meant to extend to natural children, legally adopted children and step-children (married or unmarried). Dependent children shall be those defined by the dependent support test rules of the Internal Revenue Code of the United States of America. Eligibility does not extend to foreign exchange students, foster children or married children’s spouses or children.

In determining eligibility for the TE benefit, the student must apply for all state and/or federal aid for which he/she may be eligible.

Candidate

Defined as the dependent child of an eligible employee who has been certified (sponsored) by DePauw University for full time degree study at a college or university that participates in the Tuition Exchange program. Scholarships are not granted for graduate study, non-degree study, part-time study, or second undergraduate degrees.

Liaison Officer

DePauw’s Tuition Exchange Liaison Officer is Bruce Burking, Manager of Safety and Risk Management Services, Office of Human Resources.

Application Submission

Applications will only be considered for dependent children who will be attending a member institution for the following academic year. In order for applications to be considered, a completed Tuition Exchange Form must be submitted online on the Tuition Exchange.org website no later than 5:00 p.m. on the application deadline date. Applications received past the deadline may not be considered with the pool of prospective candidates.

If the number of applications received exceeds the number of slots which DePauw is willing to sponsor for the respective academic year, prospective candidates will be selected as follows:
1. First priority will be given to students who have already been enrolled in a member institution and who are currently holding a TE scholarship. The student holding a TE scholarship must report to the Liaison Officer at the end of the spring term indicating plans for the following year if the student intends to withdraw from the institution or transfer to another institution.
2. Second priority will be given to prospective candidates based upon employment seniority of the employee up to the limit on the number of certified students selected by DePauw University. Seniority is based upon years of continuous full-time service at DePauw University. In the event prospective candidates have equal seniority, ranking will be based on the date of submission of the application. A lottery system will be implemented in the case of employees with equal seniority submitting an application on the same date.
Alternates who are not selected may reapply for a TE scholarship for the following academic year in accordance with the priority ranking described above.

Tuition Remission for Dependents of Employees

Full-time, benefit status employees are eligible for Tuition Remission for their spouse and dependent children pursuing an initial undergraduate degree under the following terms and conditions:

Employees hired after December 31, 1995 are considered eligible for this benefit only upon the completion of two years of continuous full-time, benefit status employment. The two-year waiting period may only be waived if the following conditions are met:
Employees who are considered initially eligible for the benefit can apply and have the benefit effective for the Academic Semester in which the completion of two years of continuous full-time, benefit status employment is achieved.
1. The new employee was receiving a similar tuition benefit at the institution where he/she was employed prior to being employed by DePauw University, and
2. The employee submits documentation to the Office of Human Resources at DePauw University from the institution at which he/she was employed describing the tuition benefit received, and
3. All other eligibility requirements outlined in this policy are met.
Employees who are considered initially eligible for the benefit can apply and have the benefit effective for the Academic Semester in which the completion of two years of continuous full-time, benefit status employment is achieved.
This benefit covers tuition charges and audit fees. Fees not covered by this benefit include but are not limited to room and board fees, health service fees, student activity fees, information system fees, additional course fees, all off campus study fees (including tuition and fees for Tier 4 off campus study programs), lab fees, books and supplies.
A spouse or dependent child working toward an initial bachelor’s degree is eligible for Tuition Remission with course credit. A spouse or dependent who already has a bachelor’s degree is not eligible for Tuition Remission with course credit unless the class is in the education department.
A spouse or dependent child, including one with a bachelor’s degree, may audit a course for no course credit.
A spouse of an employee hired after July 1, 1971 may take courses at DePauw University on a space available basis provided the course would be offered without the spouse’s attendance.
A child of an employee hired prior to July 1, 1971 is considered eligible for Tuition Remission at DePauw University or at any post-secondary collegiate institution other than DePauw University. Eligibility is meant to extend to natural children, legally adopted children and step children (married or unmarried). Eligibility does not extend to foreign exchange students, foster children or married children’s children.
A child of an employee hired after July 1, 1971 is considered eligible for Tuition Remission at DePauw University or any other post-secondary collegiate institution in the Great Lakes College Association (see GLCA below). Eligibility is meant to extend to natural children, legally adopted children and step children (married or unmarried). Dependent children shall be those defined by the dependent support test rules of the Internal Revenue Code of the United States of America. Eligibility does not extend to foreign exchange students, foster children or married children’s spouses or children.
This benefit does not apply to independent study courses or applied instruction courses for a non-degree seeking spouse or a non-degree seeking dependent child. Applied instruction courses include but are not limited to group and individual classes for music and dance.
Continuation in the Tuition Remission Program is contingent upon making satisfactory academic progress.
The tuition benefits described herein are applicable only for resident study for undergraduate work up to eight (8) semesters, twelve (12) quarters, or thirty-one (31) course credits of full-time enrollment or pro-ration of equivalent for periods of part-time enrollment toward an initial bachelor’s degree or associate’s degree. Resident study is defined as regularly attending scheduled classes and is meant to exclude correspondence courses. This benefit is limited to eight (8) semesters of financial assistance from DePauw University. Financial assistance includes but is not limited to Tuition Remission and other institutional financial aid.

Further Eligibility Considerations

To qualify, an applicant must meet all admission and academic requirements stipulated in the DePauw University Catalog or the Bulletin or Catalog of the school to which application is being made.
When both parents are employed by the University, Tuition Remission for a dependent child is available to only one parent.
In determining eligibility for tuition benefits, the student must first apply for all state and/or federal aid for which he/she may be eligible.
If an eligible employee terminates employment with the University, a spouse or dependent child who has begun the semester receiving this benefit may continue through the semester in which the employee left. If an eligible employee retires (as defined under the University Retirement policy), dies (while in the employ of the University), or is forced to terminate employment due to a medically-certified physical or mental disability which renders the employee permanently unable to meet the essential requirements of their job, that employee’s spouse or dependent child(ren) remain eligible for tuition remission benefits. Such child(ren) are also eligible to continue participation in the GLCA Tuition Remission Exchange Program and the Tuition Exchange Program. In the case of children of employees hired prior to July 1, 1971, eligibility also continues for post-secondary institutions other than DePauw University, however, the child must file for financial aid assistance at the host institution and file a financial aid form. When financial need has been computed, the difference between any cash award and the amount of the host institution’s tuition will be made up by DePauw University; that amount not to exceed the prevailing DePauw University tuition charge.
A spouse may continue receiving this benefit only through the semester in which the employee retired, was placed on permanent disability or died.

Tuition Remission Application Procedures for a Spouse

A spouse interested in an initial undergraduate degree should apply to the Office of Admission.
A non-degree seeking spouse, a spouse with an undergraduate degree, or a spouse working toward teacher certification should apply as a special student through the Office of the Registrar.
The DePauw University “Application for Tuition Benefit for Spouse” should be requested from the Office of Human Resources.
The Application for Tuition Benefit for Spouse should be completed and returned to the Office of Human Resources for each semester the spouse is enrolled. That office will confirm employee eligibility and follow-up with the Registrar’s Office and the Cash Receipts’ Office.

Tuition Remission Application Procedures for Dependent Children at DePauw

A dependent child interested in an initial undergraduate degree should apply to the Office of Admissions of DePauw University.
A non-degree seeking dependent child, a dependent child with an undergraduate degree, or a dependent child working toward teacher certification should apply as a special student through the Office of the Registrar.
Application forms for DePauw University Tuition Remission should be obtained from and filed with the Office of Human Resources. The Office of Human Resources will provide assistance in the completion of the form. The Office of Human Resources will process the form each semester the dependent child is enrolled and, after eligibility determination, will forward it to the Financial Aid Office.
The Application for Tuition Remission for Dependent Child should be completed and returned to the Office of Human Resources for each academic year the dependent is enrolled.
The Financial Aid Office informs the applicant of the Tuition Remission award and credits the benefit to the Student Account once the Office of Human Resources has verified eligibility.

GLCA Tuition Remission Exchange Program for Dependent Children

DePauw University is a participant in the Tuition Remission Exchange Program as established by the Great Lakes College Association (GLCA). These include:

Albion College

Antioch College

Beloit College*

Denison College

Earlham College

Willamette College

Grinnell College*

Hope College

Kalamazoo College

Kenyon College

Wittenberg University

Washington & Lee University

Ohio Wesleyan University

Wabash College

The College of Wooster

Allegheny College

Oberlin College

Lake Forest College

The following additional terms and conditions (above those generally identified for the DePauw Tuition Remission Program) apply:

The student must be considered a full-time degree seeking candidate at the college to which application is being made.
Beloit and Grinnell Colleges are included as full participants on an interconsortial basis only. Student exchanges between Beloit and Grinnell Colleges, respectively, will not be included in the GLCA Tuition Remission Exchange, but remain within the jurisdiction of the ACM Exchange Program.
A participation fee must be paid by the student each year. This fee is equal to 10 percent of the mean tuition charge for the schools and is calculated annually by the GLCA. In cases where the employee was employed in a full-time, benefit status position prior to July 1, 1971, DePauw University will pay the student’s participation fee.

GLCA Application Procedures

The dependent will choose the school(s) in which there is interest and obtain an application from the Office of Admission for each school selected.
The dependent will file the application for admission in the usual way and pay all fees and deposits required with the application process.
Admission will be determined through the regular admission process established by the school without regard to the applicant’s potential eligibility for tuition remission.
The school(s) to which application is made will notify the applicant of acceptance or non-acceptance in the usual way and at the usual time.
After the dependent has received notification of acceptance by the participating school, the “GLCA Tuition Remission Exchange Program Application for Participation” must be obtained from the GLCA.org website, completed, and returned to the Office of Human Resources.
The Office of Human Resources will verify eligibility for the GLCA Tuition Remission Exchange Program. The Office of Human Resources will then forward copies of the verified application to the GLCA office and the attending college.
The participation fee will be billed by the attending school.

Tuition Waiver for Employees
Full-time, benefit status employees are eligible for Tuition Waiver at DePauw University under the following terms and conditions:
1. This benefit covers tuition charges and audit fees. Health service fees, student activity fees, and information system fees will be waived. Fees not covered by this benefit include but are not limited to additional course fees, lab fees, books and supplies.
2. Tuition Waiver applies to one class registration per semester not to exceed one course credit.
3. Registration is allowed on a space available basis.
4. An employee is eligible for Tuition Waiver with course credit or may audit a course for no course credit regardless of the degree(s) held.
5. Due to the time commitment associated with the professional semester, this policy must exclude supporting the student teaching portion of the teacher certification program.
6. Independent study courses and applied instruction courses are excluded from this benefit. Applied instruction courses include but are not limited to group and individual classes for music and dance.
7. Continuation in the Tuition Waiver Program is contingent on making satisfactory academic progress.
Eligibility Criteria
1. An employee is eligible for the Tuition Waiver benefit upon full-time, benefit status employment. If the employee becomes eligible after the course registration period is completed, eligibility for Tuition Waiver will begin the following semester. The dates of each course registration period are available from the Office of the Registrar.
2. The employee’s supervisor will approve or deny the request for Tuition Waiver based upon the ability to release the employee from job responsibilities during regular working hours.
3. Time missed from work to attend class must be made up unless the course is job related and is taken at the request of the employee’s supervisor. Time missed from work must be made up within the same work week. The hourly employee’s time report must reflect actual hours worked per day.
Procedures
1. An employee interested in Tuition Waiver must request an “Application for Tuition Waiver” from the Office of Human Resources. This form must be completed by the employee and the employee’s supervisor and then returned to the Office of Human Resources prior to registration.
2. The Office of Human Resources will verify eligibility for Tuition Waiver and process the application.
3. If the employee is eligible for Tuition Waiver, one copy of the approved application will be forwarded to each of the following: Office of the Registrar, Cash Receipts Office.
4. If the employee is not eligible for Tuition Waiver, the Office of Human Resources will notify the employee.
5. An employee seeking a DePauw University degree should apply to the Office of Admission.
6. A non-degree seeking employee (including an employee working towards a teacher certification) should apply as a special student to the Office of the Registrar.
7. After notification of approval for Tuition Waiver, the employee must register for the course with the Office of the Registrar during the dates specified by that office and before the last day to drop or add a class. The dates of each course registration period are available from the Office of the Registrar.
8. If an employee registered under this benefit withdraws from a course, the employee must notify the Office of the Registrar in writing of the withdrawal. The Office of the Registrar will end a copy of the withdrawal notice to the Cash Receipts Office and the Office of Human Resources. If the employee fails to properly withdraw from the course, the employee will be invoiced for the full tuition for the course.

Vacation Time

Vacation Guidelines for Full Time, Benefit Eligible, Hourly Employees

Full-time, benefit eligible hourly employees accrue vacation according to the following schedule:

Years of Service	Annual Hours (Based on 26 Pays Per Year)	Accrual Factor		Approximate Annual Entitlement (Based on 26 Pays Per Year)	Maximum Accrual
Years of Service	Annual Hours (Based on 26 Pays Per Year)	Hourly	Pay Period	Approximate Annual Entitlement (Based on 26 Pays Per Year)	Maximum Accrual
0 < 3	1920 hours	0.039064	2.88	75.00 hours	112.50 hours
0 < 3	2080 hours	0.038463	3.08	80.00 hours	120.00 hours
3 < 14	1920 hours	0.058595	4.33	112.50 hours	168.75 hours
3 < 14	2080 hours	0.057693	4.62	120.00 hours	180.00 hours
14+	1920 hours	0.078126	5.77	150.00 hours	225.00 hours
14+	2080 hours	0.076924	6.15	160.00 hours	240.00 hours

Vacation benefits are subject to the following:

Employees must request the use of vacation through their supervisor. Vacation time will be granted at the supervisor’s discretion.
Employees may use vacation time as it is earned.
Employees are not required to complete a 90-day probationary period before vacation time may be taken.
Employees may only use vacation at a time when they are normally scheduled to work.
Employees may use vacation in quarter-hour increments.
Employees will be discouraged from requesting more than 10 consecutive days of vacation. Operational needs of the department or University may preclude scheduling of vacation during peak work periods.
Seniority may be used as a preference factor in scheduling vacations.
When employees reach their maximum vacation accrual, pay period accruals are discontinued until vacation time has been taken to reduce the vacation balance.
At separation of employment (retirement or termination), vacation time accrued but not taken will be paid. However, there will be no payment issued for sick time accrued but not taken.
Vacation time paid out does not constitute extension of the employment date. Employment is terminated effective the last day worked.

Vacation Guidelines for Full Time, Benefit Eligible, Salaried, Non-Faculty Employees

Full-time, benefit eligible, salaried non-faculty employees receive up to 20 days vacation per fiscal year (July-June) The days will be prorated if employment is a position less than 12 months per fiscal year. In the first year of employment, salaried employees will receive a vacation allotment prorated based upon their date of hire. Salaried employees terminating employment will receive pay for vacation days not taken based on the number of days that would have been earned up to the date of termination minus any vacation days already taken.

The actual number of vacation days earned will be prorated at a rate of 1.67 days per month when an employee (1) works less than a twelve (12) month schedule, (2) begins employment after July 1 (beginning of the fiscal year), or (3) terminates employment prior to June 30 (end of the fiscal year).

Vacation days are to be taken during the fiscal year in which they are earned. Vacation days are not to be carried over to the next fiscal year nor will pay be issued in lieu of days not taken at the end of the fiscal year. Exceptions to this practice are to be permitted only under circumstances where needs of the department and/or University have prevented the supervisor from approving use of requested vacation time during the fiscal year in which the days were earned and must be approved by the Vice President for the respective division.

Vacation benefits are subject to the following:

Employees must request the use of vacation through their supervisor. Vacation time will be granted at the supervisor’s discretion.
Employees may use vacation time beginning each fiscal year (July 1 – June 30).
Employees are not required to complete a 90-day probationary period before vacation time may be taken.
Employees may only use vacation at a time when they are normally scheduled to work.
Employees will be discouraged from requesting more than 10 consecutive days of vacation. Operational needs of the department or University may preclude scheduling of vacation during peak work periods.
Seniority may be used as a preference factor in scheduling vacations.
At separation of employment (retirement or termination), available vacation time not taken will be paid. If the employee terminates employment prior to the end of the fiscal year, the vacation days earned will be prorated based on the actual time worked during the fiscal year minus the number of vacation days taken up to termination. For example, if the employee worked July 1 of the new fiscal year and terminated employment on December 31 of that fiscal year, the vacation days earned for that current fiscal year would be ten (10). This is based on the accrual of 1.67 days per month (20 days/12 months). If the employee has taken any days of vacation prior to the termination during that fiscal year, these would be subtracted from the ten available and the remainder will be paid at termination.
Vacation time paid out does not constitute extension of the employment date. Employment is terminated effective the last day worked. If employee is retirement eligible see Employee Guide, Retirement Policy

Vacation & Sick Time Schedules-Definitions and Explanation of Terms
Years of Service refers to years of continuous full-time employment.
Normal Pay Period Hours are those hours regularly scheduled for the position.
Pay Period Accrual Factor is determined by years of continuous full-time employment and normal pay period hours. The actual amount of vacation accrued is calculated at the end of each pay period. If the pay period hours reported are less than the normal pay period hours as indicated in the vacation schedule, accruals will be prorated based upon actual hours reported. If no paid time is reported for a pay period, no vacation will be accrued for that period. Employees will have an adjustment to their pay period accrual factor during the pay period in which their third (3rd) and fourteenth (14th) anniversary dates of employment occur. The anniversary date is determined by the date of hire that reflects full-time, benefit status employment.
Annual Entitlement applies to individuals employed in 12-month positions. Annual entitlement will be prorated for those employees whose work schedule is less than 12 months (i.e., 11 months, 10 months, 9 ½ months). The approximate prorated annual entitlement is calculated by multiplying the normal pay period accrual factor by the number of pays per fiscal year. An individual employed in a 9 ½ month position is scheduled to receive 20.5 pays per fiscal year. An individual employed in a 10-month position is scheduled to receive 21.5 pays per year.
The actual number of pays per fiscal year may vary for employees in their first year of employment and for employees who have a change in employment status during the fiscal year.
Annual entitlement will also be affected when an employee reports less than the normal pay period hours indicated above or does not report any paid time during a pay period.
An example of prorated accruals follows: An employee with less than 2 years of full-time service holds a 10 month position with 75 normal pay period hours (calculated as 43 weeks or 21.5 pays per fiscal year). This employee accrues 2.88 hours of vacation per pay period times 21.5 pays which equals 61.92 hours of vacation.
The Maximum Accrual for vacation is approximately one and one-half times the normal annual entitlement. The maximum accrual for sick time is 120 days times normal hours per day. The maximum accrual for vacation or sick time is not prorated for positions with less than a 12-month schedule.
Worker’s Compensation Policy
In accordance with Indiana’s Worker’s Compensation law and regulations, the University’s contracted Worker’s Compensation insurance carrier pays medical expenses related to a work-related injury or illness when a compensable injury or illness occurs. As provided by the law, the insurance carrier and the employer have the right to choose the medical provider who will provide treatment.

In addition, as required by Indiana’s Worker’s Compensation law, our carrier provides income compensation benefits after an employee has been absent from work for seven (7) calendar days. Income compensation is paid at 2/3 of the employee’s normal pay (up to the maximum required by Indiana law). More specifically:
1. The University, although not required to do so by law, pays the wage or salary for the day of the accident/incident if the employee must leave the workstation for medical attention. The next calendar day is considered day one (1). The University, again voluntarily, will pay the wage or salary at full pay for absences ordered by the Workers Compensation physician that occur on regularly scheduled work days during the first seven calendar days following the accident/incident. The payment received during these seven calendar days is not deducted from accumulated sick, personal or vacation time unless the insurance carrier later determines that the claim does not qualify under the Indiana Worker’s Compensation regulations.
2. The insurance carrier’s coverage for income compensation begins, in accordance with the Indiana Worker’s Compensation law, on the eighth (8th) full calendar day of absence. Compensation will be paid at 2/3 of the normal work day pay. The University will permit employees to choose to supplement the remaining 1/3 of each work day with available sick leave, Salary Compensation coverage, personal time and/or vacation time at the employee’s discretion. The use of paid time is not required by the employee, however, the decision not to use paid time will have implications for the continuation of the employee’s benefits (see #4 below).
3. If the absences extend beyond twenty-one (21) calendar days, the insurance carrier will, as required by Indiana Worker’s Compensation law, pay the employee for the regularly scheduled work days during the first seven (7) calendar days of the absence. The carrier will pay at 2/3 of the normal pay for each work day. Since the University will have already paid the employee for these same work days at full pay, the employee must agree to and will be required to sign over the check from the insurance carrier to the University so that the employee is not overcompensated for loss time during the first seven (7) calendar days of absence.
4. The University provides the benefit to its employees of allowing them to supplement the Worker’s Compensation payments received from the insurance carrier with available sick leave, Salary Compensation leave, personal time and/or vacation time in increments (1/3 of a normal work day’s pay) that will allow their total compensation to equal their normal pay. As covered in #2 above, this is a voluntary choice on the part of the employee and is not a requirement. However, it is important for the employee to note that the supplemental paychecks from the University generated by the voluntary decision to use available paid leave to supplement the insurance carrier compensation will permit the University to make deductions for the employee’s share of health insurance premiums, deductions for retirement plan contributions, and will allow the payroll system to continue to credit accrual of vacation and sick time for hourly employees. If the employee chooses not to supplement the insurance carrier compensation or if the employee exhausts all available leave time, the employee’s contributions for retirement and the hourly employee’s accrual of vacation and sick leave time will cease until such time as the employee returns to pay status. Health insurance benefits will continue for the duration of the Worker’s Compensation leave but the employee will need to make arrangements with Human Resources and the Cash Receipts office to pay the employee’s share of health insurance premiums directly to the University each month. Should arrangements not be made and followed through upon by the employee for payment of the insurance premiums, insurance coverage may be terminated.
5. If the injury/illness sustained by the employee results in a temporary partial disability (i.e., places restrictions on the employee which will allow the employee to work full-time or part-time with light duty or part-time with no other restrictions and results in reduction in the normal pay of the employee), all of the considerations listed above will still apply with the exception that the regular paycheck received by the employee from the University will address the issues outlined in #4 above, even if the employee chooses not to supplement the remaining compensation loss (and not covered by the insurance carrier) with available paid leave time.
Workplace Safety
The safety and well-being of employees is of primary concern. The University recognizes the importance of employee safety and accident prevention procedures as an essential part of an efficient, productive and quality operation. Your safety awareness on the job, including safe work habits, is our key to a good safety program. Violation of these or other safety rules will result in discipline, up to and including termination. Following is a list of “general” conduct that is prohibited to ensure the safety of University employees. Departments may issue more detailed safety rules as well.
1. Injuring other people or damaging equipment, tools, materials, or supplies maliciously or through carelessness or negligence.
2. Operating machines or equipment after the removal of safety devices, regulators or guards.
3. Fighting, running, playing practical jokes, throwing things, pushing people, making threats, or other obvious menaces to the safety of other workers.
4. Serious violation of established sanitary rules and regulations.
5. Unauthorized possession of any weapons (including, but not limited to, firearms, knives, explosives) on University premises.
6. Smoking in unauthorized areas of the University or violation of other fire regulations.
7. Failing to use required personal safety equipment (safety glasses, ear plugs, respirators, gloves, etc.).
Reporting Accidents

Employees must report all job-related injuries and illnesses to their supervisors immediately. Do not ignore small scratches or cuts, burns, bruises or abrasions – these should be treated at once. Failure to report an injury in a timely manner could jeopardize an employee’s workers compensation claims rights.
1. Report the accident to your supervisor immediately. If your supervisor is not available, report to the next responsible person or directly to the Office of Human Resources or DePauw Police Department.
2. Upon making a report, the employee will be instructed to fill out a First Report of Injury (except in cases of emergencies when the Report will be filled out at the earliest opportunity after emergency aid has been rendered).
3. The employee will be directed to a physician contracted by the University to provide Workers Compensation covered treatment or to the closest available hospital emergency room.
4. When assisting other injured employees, take care not to risk aggravating an injury through ill-advised attempts at treatment. In cases of emergency, call 911 or the DePauw Police Department.
5. If an injury or illness requires treatment after the end of the work day, first attempt to contact the Office of Human Resources so that an attempt can be made to make an appointment with the contracted physician. If the Office of Human Resources is closed and the situation is not an emergency, the employee should wait until the next work day and make the contact. If the situation is an emergency, the employee should go to the nearest hospital emergency room.
Working Hours
Employment, under the Fair Labor Standards Act (FLSA), is broadly defined to include all hours that an employee is “suffered or permitted to work” for the employer. Hourly employees are required to accurately record the actual hours worked each day on their own time card. Paid time off benefits must also be recorded on the time card. Paid time off benefits include but are not limited to: vacation time, sick time, holidays, personal time, compensatory time taken, bereavement leave, jury duty, and wage continuance for pregnancy and/or delivery.
Workweek
The FLSA’s workweek for non-exempt employees is generally a fixed period of 168 hours – seven consecutive 24-hour periods – which is established by the employer. The FLSA uses a single workweek as its standard and does not permit averaging of hours over two or more weeks. (The FLSA does have some exceptions to this rule; however, please note that DePauw University does not have any positions that qualify for those exceptions.) DePauw’s workweek coincides with the calendar week, which begins on Sunday and ends on Saturday.

Student Handbook
Student Handbook (Jan-23-2024)

Years of continuous, full-time Service:	Continuation Period:
0-10 years	1 year
11-20 years	2 years
21-30 years	3 years
31-40 years	4 years
41+ years	5 years

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Thomas W. Roach	John Lanie

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Mark N. Hammer	Russell W. Evans

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ATTEST: Nancy A. Michael, Mayor

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Teresa Glenn, Clerk-Treasurer

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Robert Sedlack

Academics

Admission & Aid

Campus Life

About DePauw

DePauw University Handbooks

BY-LAWS AND STANDING RULES OF THE FACULTY

ACADEMIC POLICIES

PERSONNEL POLICIES

GENERAL POLICIES

Contents for Academic Handbook

Academic Policies

Personnel Policies

By-Laws and Standing Rules of the Faculty

The Faculty

Faculty Meetings

Regular and Called

All faculty members may attend faculty meetings and participate freely in discussions.

Voting

Order of Business

Parliamentary Procedure

The Officers

The Presiding Officer

The Chair of the Faculty

The Parliamentarian

Academic Organization and Operations

Schools, Departments and the Library

Interdisciplinary, Honor Scholar, Fellows and Competency Programs

Chair of the Department, Director or Coordinator of the Interdisciplinary Program, Associate dean of the School of Music

Curricular Areas

Definition and Function

List of Curricular Areas

Meetings of the Curricular Areas

Elections

Method of Election

Vacancies

Special Elections

Committees

Delegation of Powers

Eligibility, Restrictions, Terms

Election of Chairs and Representatives of Faculty Committees

Communications and Reports

Creation of New Committees

Core Faculty Committees

Faculty Priorities and Governance Committee

Curricular Policy and Planning Committee

Faculty Personnel Policy and Review Committee

Faculty Development Committee

Student Academic Life Committee

Grievance Committee

University-wide Committees

University Strategic Planning Committee

Diversity and Equity Committee

Sustainability Committee

Honorary Degrees and University Occasions Committee

Standing Appointed Committees

Resource Allocation Subcommittee

Course and Calendar Oversight Committee

Writing Curriculum Committee

Academic Standing/Petitions Committee

Student Publications Committee

Athletic Board

Assessment Committee:

Quantitative Reasoning Curriculum Committee:

Speaking and Listening Curriculum Committee:

Ad Hoc Committees

Library and Academic Technology Committee

Advising Committee

Teacher Education Admissions Committee

Admissions and Enrollment Management Committee

Hartman Center Committee

Nature Park Committee

Arts Advisory Committee

Amendments to and Suspension of By-Laws and Standing Rules

Standing Rules

The Constitution and Authority of the Faculty

Academic Policies

Academic Integrity

Introduction

Types of Academic Dishonesty

Overview of the Process