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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)

    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, 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. 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 for professional reasons to no more than one week's worth of class meetings in each course. Longer absences should be approved in advance by the Vice President for Academic Affairs. Planning for professional absences should be done well in advance, and students should be notified of the faculty member's absence 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, 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.

    B. 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, school dean, or program director will work with faculty colleagues to provide coverage for their missed classes.

    If family or personal medical emergencies require a faculty member to miss three or more consecutive days, he or she must complete appropriate paperwork available from the Human Resources Office. If personal medical emergencies or problems require an absence of five or more consecutive days, the faculty member must present medical evidence documenting his or her illness. 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 and the Vice President for Academic Affairs.

    C. Inclement Weather

    It is the policy of the University to remain open during periods of severe weather; however, the University recognizes that because of hazardous conditions, some faculty members may find it difficult to report to work. If a faculty member cannot report to work because of inclement weather, he or she should promptly report this to the department’s chair, the school’s dean, or the program’s director.

    D. Reporting Missed Classes and Obtaining Approval for Extended Absences

    In addition to promptly reporting class absences to his or her students, the faculty member should notify his or her department chair or school dean of the absence and of the arrangements for covering the class. A faculty member who finds that he or she must cancel classes at the last minute may ask the department’s, school’s, or program’s secretary to post a notice in the classroom to the students announcing that the class is canceled; such absences also should be promptly reported to the department chair. A faculty member who needs to miss more than one week's worth of classes for any course should first discuss this need with the Vice President for Academic Affairs before completing arrangements. If, as a result of unplanned absences, a faculty member misses as much as one week's worth of classes, he or she should report this to the Vice President for Academic Affairs along with a summary of how the absences were covered.

    E. 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.

    F. 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

    (Approved June 30, 2002; updated May 12, 2005)

    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 Controlwebsite.

    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 Life and Academic Atmosphere Committee (SLAAC) will periodically review this policy.

  3. 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).

  4. Alcoholic Beverage Policy for Students

    (Approved by President's Cabinet, August­ 20, 2013)

    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 objective is to help our students make responsible decisions to reduce the harms associated with 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 expect our students to follow Indiana law regarding alcohol consumption and direct our greatest educational efforts toward curbing high-risk alcohol use. Members of the DePauw community who are 21 or over and decide to use alcohol are expected to do so responsibly and 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 substance-free 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 of 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.

    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 in addressing these issues before any Community Standards actions are instituted will not face judicial charges. Student 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.

    Section II:  Safe Community Clause

    The health and safety of DePauw students should always be of the highest priority. We recognize that students may be reluctant to get immediate medical attention for their peers who have been consuming alcohol because of concern that their own drinking may be a violation of University policy, or in the case of a student organization, that their organization could be found responsible for their guest’s consumption of alcohol. In order to keep the emphasis on student safety, a student or organization who calls for help for a peer will not be held accountable through the Community Standards process for policy violations connected to that specific situation. 

    Section III:  Laws of the State of Indiana

    Any violation of the laws of the State of Indiana regarding alcohol is grounds for University judicial action. 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 University and local police forces have the power of arrest and can, and do, arrest students for violations of Indiana law.

    Section IV:  Responsible Management of Events Involving Alcohol

    We are a campus that strives to provide a safe and healthy environment that allows for a positive experience in a vibrant social scene.  To this end the University expects that:

    • Students take responsibility for their actions in a community where alcohol is served responsibly.
    • Students do not drink to excess and the serving of hard alcohol use is decreased on campus.
    • Students and organizations intervene with others when signs of potentially problematic behaviors appear and excessively intoxicated students are not allowed into parties or served alcohol.
    • Students call Public Safety if concerned about the safety of others and hosts embrace responsibility for their guests.
    • Students exhibit civility and responsibility in social settings and show respect for the physical environment.
    1. Parties, events and other situations where alcohol is served or where students are consuming may not be held during times at which regularly scheduled classes are in session, on the evening before a day on which classes are regularly scheduled to meet or during new student Orientation, including the early arrival period.
    2. Parties or events hosted by student organizations where alcohol is served or consumed must be registered in advance. Greek organizations and students living in University-owned housing register with the Campus Living and Community Development office in Anderson Street Hall; other student groups register with the Campus Life Office in UB 210. Any occasion deemed to be an event with alcohol that has not been registered with CLCD or the Campus Life Office will be considered an unregistered social event and will be subject to Community Standards action.  Any unregistered event that has the appearance of a party or results in negative consequences from high risk drinking will be considered a violation of the event registration policy.
    3. In Greek living units, any party or event involving alcohol at an open, closed or off-campus event must be registered in advance. An open event is defined as one which is open to all DePauw students and not limited to a guest list. A closed event has a specified guest list, submitted in advance. 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.
    4. Greek living units are limited to three (3) open events per semester.  Dates will be requested and registered with CLCD at the beginning of each semester.  All registered open events must have outsourced event security utilizing a DePauw approved vendor, and follow event security expectations outlined by DePauw Public Safety.
    5. Neither University funds or fees collected by the University, chapter funds or fees, or living unit funds or 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 chapter premises or during a fraternity or sorority event, in any situation sponsored or endorsed by the chapter, or in 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 are encouraged to follow either BYOB or Third Party Vendor guidelines available from CLCD.
    6. Public advertising of alcohol for a party or event is not permitted. This includes flyers, emails, internet sites, sheet signs, etc.
    7. University policy and regulations govern all events, regardless of whether or not the event takes place during the academic year. Because students maintain their status when school is not in session if they are officially enrolled at the University, students may be held accountable for violations of University policy and regulations occurring outside the academic year.
    8. Participation in or sponsorship of drinking games or drinking contests is prohibited.
    9. Hard alcohol is prohibited at all registered open events.  Living units hosting an open registered event may not have any hard alcohol present in common areas, nor may it be served from anywhere in the living unit.  Any hard alcohol present must be stored out-of-sight and be inaccessible to all guests.  In addition, kegs of beer and other common containers are prohibited.
    10. Alcoholic beverages are not permitted in any nonresidential University-owned and operated property and must not be consumed outdoors in the vicinity of any University-owned property or Greek living unit. The only exception to this policy is the Inn at DePauw and events that have gone through the appropriate approval process. Tailgating is allowed at home football games and must adhere to all guidelines outlined by the Athletic Department Tailgating Policy.
    11. 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 Campus Living and Community Development Office apply even when organizations hire a third party vendor.
    12. 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.  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.
    13. Students are responsible for ensuring that their behavior and that of their guests does not violate policies, laws, or rights of others. Because the actions of guests also impact members of the DePauw community, students assume responsibility for those they host in the community.
  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

    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 that the AUPF be submitted to Academic Affairs. 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 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 Committee on Faculty and the Administration and published in the Personnel Policies section (Appendix 3) of the Academic Handbook. In this case the alternate will replace the regular committee member for this review.  For additional information, please see the IACUC website.

  7. Classroom Observation Policy for Faculty Members on Full-time Term and Part-time Appointments

    See also Peer Observations of Faculty Members in Probationary Tenure-Track Positions (See Article IIB of 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 Chair, Director, or Dean 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 Chair, Director, or Dean and to the Vice President for Academic Affairs 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 IIB of 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

    (Revised and effective December 4, 2011)

  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

    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

  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 Procedures:

    • 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 11/5/2007

  13. Electronic Communications and Acceptable Use Policy

    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 promote or contain offensive, unlawful or inappropriate content, including, but not limited to content that is slanderous, defamatory, harassing, vulgar, threatening, intimidating, offensive, or that promotes hate or violence; or which is racially inflammatory or inappropriate; or which is pornographic, or sexually offensive; or which consists of offensive comments based on gender, or any other content that denigrates or demeans persons on the basis of race, age, gender, national origin, disability, religion, sexual orientation or any basis protected by law. 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.

    (January 7, 2006)

  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.

  15. 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.

  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, 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 click here for the University’s policy on the proctoring of exams for students requiring accommodations under the American Disabilities Act.

  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 Application 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

    a) prepare a note well in advance for students to take to their other professors, and

    b) 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 (Keith Nightenhelser, k_night@depauw.edu, x 4712) to request speakers for whom the cost will be substantial (over $100) or to schedule an all-campus performance or lecture.

    APPLICATION GUIDELINES

    Applications from CLA faculty members may be sent via email to Becky Wallace (bwallace@depauw.edu).  Applications from SOM faculty members may be sent via email to Debbie Noll (dnoll@depauw.edu).

    Please submit your application 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 applications for Field Trip and Special Event Funds will be made by email, usually within a week of submission of your application. CLA faculty members who have questions should contact Dave Berque, Dean of Academic Life (ext. 4601, dberque@depauw.edu). SOM faculty members who have questions should contact the Dean of the School of Music.

    PLANNING EVENTS & 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: If an event is required for students, then University policy requires the use of vehicles obtained through the University.)

    2. To reserve a University vehicle see www.depauw.edu/offices/finance-administration/faculty-and-staff-information/vehicle-use-policy/

    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 Becky Wallace in Academic Affairs.

    5. For expenses not charged to a University commercial credit card, original, itemized receipts and a signed voucher sheet must be submitted to Becky Wallace in Academic Affairs or to Debbie Noll for SOM faculty members.

    6. Faculty members must submit a list of students participating in the field trip to Becky Wallace (or to Debbie Noll for SOM faculty members) prior to the trip. No reimbursements may be made until the list of students is received.

    revised August 18, 2014

  20. Harassment Policy
    1. 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.

    2. 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."
    3. 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.

    4. 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)

  21. Hospitality Funds

    Hospitality Funds / All Teaching Faculty

    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).

         

      • Meals 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. CLA faculty should send original, itemized receipts and a signed voucher sheet promptly to Becky Wallace (ext. 6555), Julian 377.  SOM faculty should submit materials for reimbursement to Debbie Noll.

      revised August 18, 2014

  22. Human Subject Research Review Procedure

    Introduction

    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. (See Appendix A.) 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. Researchers must report any relevant changes in their research procedures to the Board.

    Category I Research

    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 asks for an explanation/justification in such cases)

    Research procedures must satisfy basic requirements. (see Appendix B.)

    Procedure:

    Faculty and students whose research meets the above criteria should fill out the Category I form. The form may be obtained from the Office of Academic Affairs or from the DePauw IRB web site. Researchers should complete the form, attach any additional information that is requested, and submit the proposal to the Office of Academic Affairs. Students must have a faculty sponsor endorse and sign the form. One or more members of the IRB will review the proposal and respond, generally within 10 working days. Category I research requires approval; research may not begin until researchers have received notification of approval from the IRB reviewer(s).

    Category II. Expedited Review Research

    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 proposal to the Office of Academic Affairs. Students must have a faculty sponsor endorse and sign the form. Two or more members of the IRB will review the proposal and respond, generally within two (working) weeks. Category II research requires approval; research may not begin until researchers have received notification of approval from the IRB reviewers.

    Category III. Full Review Research

    Criteria:

    The research involves more than minimal risk, or use of specially vulnerable populations, for example, children, prisoners, pregnant women, or persons with mental or physical disabilities.

    Procedure:

    The researcher(s) submits a proposal to the Office of Academic Affairs. 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 have a faculty sponsor endorse and sign the form. The full committee will review the proposal and respond, generally within two (working) weeks. Category III research requires approval; 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 Committee on Faculty and the Administration and published in the Personnel Policies section (Appendix 3) 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://ohrp.osophs.dhhs.gov/index.htm).

    Other Resources:

    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. Human Subjects in Research Policy

    Guidelines for Using Human Subjects in Research

    Do I need to submit a form to the Institutional Review Board (IRB)?

    Some activities that gather data from human subjects do not require you to submit a form. These include most in-class activities, demonstrations, lab exercises, or other collection of information from students in a DePauw University class that is conducted for demonstration purposes, rather than for the purpose of developing or contributing to a knowledge base. In addition, gathering data for purposes of institutional assessment does not generally require IRB notification/approval. While these activities should be guided by similar principles, they do not come under the purview of the institutional review board.

    As a general rule, your project is considered research that requires you to submit a form to the IRB if you are manipulating and/or obtaining data from human subjects and:

    • the activity is considered research by your discipline and/or you are gathering data with the purpose of building or contributing to a knowledge base and/or
    • you are using invasive procedures and/or your participants are members of a special or protected population (e.g. , participants under 18 years of age, prisoners, in/outpatients, mentally/physically disabled, pregnant women) and/or
    • the data collection is for senior thesis projects and/or
    • the work is connected to a DePauw University class and gathers data from subjects outside of the class

    If you are not certain whether your proposed activity requires the submission of a form, the IRB recommends that you go ahead and submit one.

    Which form should I submit?

    The IRB has two forms. One is for Category I (Monitored Research), and the other form is for both Categories II and III (Expedited and Full Review Research, respectively). To decide which form to submit you should first decide whether your proposal falls under category I, II, or III.

    Category I (Monitored Research)
    http://www.depauw.edu/admin/acadaffairs/researchProtocols/irb/documents/IRBmonitored.pdf

    Category I research requires only notification, and the form is quite brief. Research described on the form may begin one week after the forms are submitted to Academic Affairs. Category I includes research that involves no more than everyday stress, the use of educational tests or comparison of educational techniques, most field observations, and the study of existing data. [If subjects can be identified, the research must receive an expedited review or full review as described below.] You should use the Category I form if all of the following are true of your 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)

    Faculty and students whose research meets the above criteria should fill out the Category I form. Please note that students must have a faculty sponsor endorse and sign the form. The faculty member then submits the form to the Office of Academic Affairs.

    You may obtain the form from one of the following sources: the Office of Academic Affairs, the IRB chair or other IRB committee member, or download the form from the DePauw web site. Complete the form, and attach any additional information that is requested, and submit the form to the Office of Academic Affairs. This research does not require formal approval; you may begin your research one week after submission of the form. The form will be reviewed by one or more members of the committee, and if the conditions for Category I are not met, the research may be suspended.

    Category II (Expedited Review Research) and Category III (Full Review Research)
    http://www.depauw.edu/admin/acadaffairs/researchProtocols/irb/documents/IRBfullreview.pdf

    If your research does not fall under Category I, it falls under either Category II or Category III. Both categories require the same form (you may obtain the form as described above). On the Category II/III form you will need to designate which category your research falls under.

    The primary difference between Categories II and III is the level of stress, discomfort, deception, etc., involved, and the characteristics of your participants. Check the Category II space on the form if your research: does not involve special or protected populations (participants under 18 years of age, prisoners, in/outpatients, mentally/physically disabled, pregnant women), and involves only minimal risk, minimal discomfort, moderate stress, etc.

    Complete the form and attach any additional information that is required or requested. Students must have a faculty sponsor endorse and sign the form. The faculty member then submits the form to the Office of Academic Affairs. Two or more members of the committee will review the proposal and you will be notified by the Office of Academic Affairs when the work is approved. This will generally take less than one (working) week and nearly always less than two (working) weeks. Because category II research requires approval you should not begin data collection until you have received notification from the Office of Academic Affairs, based on the recommendations of two or more members of the IRB.

    If your proposed research involves:

    more than minimal risk, minimal discomfort, moderate stress, etc., or involves special or protected populations (participants under 18 years of age, prisoners, in/outpatients, mentally/physically disabled, pregnant women)

    then the research falls under Category III, and you should check that space on the form. Complete the form, attach any required or requested information, and submit the form to the Office of Academic Affairs. The full committee will review the proposal and the Office of Academic Affairs will notify you upon approval. This will generally take less than one (working) week and nearly always less than two (working) weeks.

    Because Category III research requires approval, you should not begin to collect data until you have received formal approval from the Office of Academic Affairs, based on the recommendation of the IRB.

  24. Insurance and Other Benefits

    Information and brochures pertaining to insurance and other employee benefits available to members of the faculty are available in the Human Resource Office.

  25. 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.

  26. Open Access Policy

    (Approved by the Faculty, April 2014)

    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 (VPAA) or the VPAA’s 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 VPAA or the VPAA’s 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 VPAA’s Office in an appropriate format (such as PDF) specified by Library Advisory Committee (LAC) in consultation with the VPAA’s Office.

    The VPAA’s 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 LAC 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. 

  27. 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.

  28. 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
    lectronic 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

  29. 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 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 healthcare 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 65th 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 65th 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. Note that the compensation for a pre-retirement leave differs from that of a regular professional sabbatical (full year at 2/3 pay or a four-course reduction from the normal teaching duties at full pay).

    • 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 the rate of 10% of what would have been the base salary in the year of teaching had the person continued as a full-time faculty member. 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. (Other details regarding the faculty status of Senior Professors are described in the Academic Handbook.)

    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.

  30. 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 appropriate office 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 registrar’s office 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 Registrar 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

    • the University Housing 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)

  31. 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: Ken Kirkpatrick, Registrar
    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 in the Student Loan Office 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.
  32. 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 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.  

     

  33. Extended Studies (Winter Term and May Term)

    Effective February 2014

    In approving the launch of Extended Studies and specific changes to the Winter Term and May Term, the Vice President for Academic Affairs and Academic Deans expressed a desire to staff Winter Term and May Term through voluntary participation by faculty members. At the same time, discussions with the faculty emphasized that should voluntary participation fail to yield a sufficient number of faculty members and courses to staff Winter Term and May Term course schedules, the University would return to some sort of required faculty participation. The following passage, entitled "Winter Term Responsibilities for Faculty Members," is therefore temporarily suspended during a trial period, beginning with Winter Term in January 2015, during which the Extended Studies program and changes to Winter Term and May Term will be evaluated.

    Winter Term Responsibilities for Faculty Members
    (effective with Winter Term 2001; updated July 2009; suspended February 2014)

    The following has been instituted for full-time faculty members to fulfill their Winter Term obligation.

    Study Projects 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 Study Projects each year will be limited by the Committee on Experiential Learning in consultation with the Office of Academic Affairs with regard to the availability of financial aid and trip subsidies, the number of meritorious proposals, and the likely enrollment pressure. Selection of Study Projects will be based on academic and educational merit of the proposed programs, diversity of locations for the projects, and other criteria developed by and announced by the Committee on Experiential Learning in keeping with the faculty-approved guidelines for the Winter Term program. (Recall that the Committee on Experiential Learning, in addition to having responsibility for oversight, staffing, and selection of courses and projects each year, is charged reviewing the program each year, providing a report to CAPP each year, and recommending to CAPP any policy changes.) For equally meritorious proposals, preference will be given to faculty members having Winter Term Obligations and to project proposals, which diversify the locations of projects offered that year and in recent years. Preference among equally meritorious proposals will be given to faculty members who have not previously led Study Projects. Applicants are encouraged to make proposals with a co-leader or to recruit an accompanying faculty member.

    Leaders of Winter Term in Service Trips will be selected by the Committee on Experiential Learning from among those who apply based on their interest and qualifications. When faculty applicants are deemed roughly equally qualified, preference will be given to those who are obligated to fulfill winter term duties that year.

    Faculty members with Winter Term obligations not selected to participate in Study Projects or Winter Term in Service Trips will be invited to make proposals to teach on-campus courses or to supervise interns. Other faculty members may also apply to teach on-campus courses or to supervise interns. Applications to teach courses must include fully developed proposals with syllabi and clear arguments for educational merit. Selection of courses and the assignment of intern supervision responsibilities will be determined by the Committee on Experiential Learning. Preference for the teaching of equally meritorious courses will be given to those with Winter Term obligations and to those who have not previously taught on-campus courses. It is possible that those without Winter Term obligations will not be selected to do either courses or internship supervision.

    Note: In the following section, the term “off” as applied to Winter Term duties means that the faculty member is not required to participate in Winter Term instructional activities. The faculty member remains a full-time employee and Winter Term is considered a period during which work is expected, however, it is a time during which the faculty member is free to exercise discretion as to how that work is divided among teaching, scholarly and artistic, and service activities.

    1. Those who organize (or co-organize) and teach and lead study projects and Winter Term in Service Trips will earn the right to be "off" for the next two Winter Term periods.

    2. Those who accompany study projects or Winter Term in Service Trips for faculty development reasons but without organizing or primary instructional responsibilities will earn the right to be "off" for the next Winter Term period. Application for "faculty development funding" and rights to accompany a trip will be reviewed and approved by the Vice President for Academic Affairs on a case-by-case basis.

    3. Those who organize and teach on-campus courses during Winter Term will earn the right to be "off" for the next two Winter Term periods.

    4. Those who supervise interns during Winter Term will earn the right to be "off" for the next Winter Term period.

    5. Those who administratively organize study projects or on-campus courses for which the primary instruction is provided by others will earn the right to be "off" for the next Winter Term period.

    6. A faculty member taking a pre-tenure leave or a sabbatical leave receives one year of Winter Term credit; however, a faculty member holding the Fisher Fellowship maintains his or her obligation. A faculty member who wishes to arrange for any other leave from teaching should discuss with the Vice President for Academic Affairs his or her Winter Term obligations.

    7. New full-time faculty members will have their first Winter Term obligation in their second year of service. No first-year faculty members will have Winter Term instructional duties, but instead first-year faculty members will be required to participate in several days of faculty development workshops during their first Winter Term. Faculty members on one-year term appointments will not have Winter Term duties.

    8. Those who fulfill Winter Term obligations more frequently than required may, with approval of the Vice President for Academic Affairs, correspondingly delay the date of their next Winter Term obligation, or for each additional year of Winter Term service they may defer the service, scholarly or course development work they would have done during Winter term and specified associated salary to the next full-year sabbatical. The amount of supplemental salary during the full-year sabbatical associated with the deferred work will be 10% of base salary for each extra course taught, project organized or Winter Term in Service Trip led. For those who accompany projects or trips and for those who supervise interns, the supplemental salary during the full-year sabbatical associated with the deferred work will be 7% of base salary for each extra Winter Term duty fulfilled. The total supplemental sabbatical salary associate with the deferred work added to a full-year sabbatical may not bring the total base salary for that year to more than 100%. Once any such deferred work and pay benefits are claimed for a given full-year sabbatical all other accumulated possibilities of deferred work and associated pay are nullified and, the earning for the following sabbatical begins with extra Winter Term Service following the sabbatical.

    9. Those who defer their Winter Term obligations either on approved requests or because staffing is not required as planned will accumulate a deficit in the number of years "off" which will be deducted from the number of years "off" earned by the next fulfillment of Winter Term duties.

    Sample Schedules

    Term Appointment

    Sample 1

    Year: 1 2 3 4 5 6
    Duty: off on
    course or trip/project leader
    off off on  

    Sample 2

    Year: 1 2 3 4 5 6
    Duty: off on
    interns
    off on
    interns
    off on

    Sample 3

    Year: 1 2 3 4 5 6
    Duty: off on
    interns
    off on
    course or trip/project leader
    off off

    Tenure-track appointment

    Sample 1

    Year: 1 2 3 4 5 6 7 8 9 10 11
    Duty off on
    course or trip/project leader
    off lv off on
    course or trip/project leader
    off lv off on off

    Sample 2

    Year: 1 2 3 4 5 6 7 8 9 10 11
    Duty off on interns off lv on
    course or trip/project leader
    off off lv on off depnds on project in yr 9