Contractual Relationships between the University and the Faculty

Contractual relationships exist between individual faculty members and the University. The relationships described in this section pertain to the faculty as individuals, and not to the deliberative body known as the General Faculty.

2.1 Deliberative Body

The General Faculty (consisting of those designated in Article I, Section 2 of the Faculty Constitution) is a deliberative body with duties and responsibilities designated in Article II, Section 1 of the Faculty Constitution. Some members of the General Faculty do not hold ranked faculty status.

2.2 Definition of Faculty Status

The faculty of the University is composed of:

  1. the President of the University
  2. the Provost of the University
  3. employees of the University who hold the academic rank of Instructor, Assistant Professor, Associate Professor, Professor, or other academic rank designated by the President and approved by the General Faculty.

2.2.1 Ranked Full-time Faculty

Full-time Faculty hold the academic ranks of Instructor, Assistant Professor, Associate Professor, or Professor. Full-time appointments may be tenured, tenure-track, or non-tenure track, according to the contractual status with the University. In addition to teaching responsibilities, full-time Faculty participate in the governance of the University by serving on committees, hold voting rights on the General Faculty, serve as academic advisors, and perform other duties by agreement with the Provost of the University.

2.2.2 Ranked Significant Part-Time Faculty

Significant Part-Time faculty positions are designated by the Provost’s Office as having special significance to the academic program of the University. These positions have contractual responsibilities comprising more than one-half of a full academic teaching load. Significant part-time faculty are eligible for certain benefits, including participation in the employee health-care program. Significant part-time faculty are eligible to hold the academic rank of Instructor or Assistant Professor, subject to qualifications in Section 2.2.7 of the Faculty Manual. Significant Part-time Faculty are eligible to participate in University governance through committee service and may be granted voting rights in the General Faculty by vote of the Faculty.

2.2.3 Adjunct Faculty

Adjunct Faculty are contracted to teach on a per-course basis, and normally teach less than a full annual teaching load. Adjunct Faculty are not considered to have faculty rank as designated in Section 2.2.7. Adjunct faculty are not eligible for University benefits.

2.2.4 Emeritus Faculty

Upon retirement or later, the title of Emeritus Faculty may be conferred by recommendation of the Faculty Personnel Committee and confirmation by the Board of Trustees. Request for appointment to Emeritus may be initiated by the Provost, the Chair/Director, or by individual faculty members. Appointment to Emeritus requires a minimum of 10 years service prior to retirement at Heidelberg, at the rank of Associate Professor or Professor. Appointment to Emeritus Faculty may be at the rank of Emeritus Associate Professor or Emeritus Professor. Emeritus status confers certain privileges, including:

  1. participation in the University email system;
  2. use of library and campus facilities;
  3. use of office and/or research space, upon availability and assignment by the Provost of the University;

2.2.5 Administrators with Faculty Rank

The President of the University, the Provost of the University, and the Associate Vice-Presidents for Academic Affairs hold faculty rank, and are members of the Faculty. In addition, other employees with administrative appointments who demonstrate adequate professional credentials may be granted academic rank by action of the Faculty Personnel Committee and the President of the University.

2.2.6 Special Academic Staff and Coaches

These positions may involve responsibilities including, but not limited to, athletics, athletic training, forensics/speech, music, or other designated positions which involve specialized work outside the classroom. These employees may be granted academic rank, depending upon the specific requirements of the position, and frequently combine classroom teaching with other designated work as part of the contractual arrangement with the University. These positions may be full-time or part-time.

2.2.7 Criteria for Personnel Action

Criteria to be used at Heidelberg University for consideration of promotion, continuation, tenure, and other personnel actions are:

  1. Effectiveness in teaching;
  2. Development of competence in professional fields, in ways such as the following: working to improve knowledge of one’s professional field(s); working to improve teaching skills; participating in professional organizations; expanding student exposure to new areas of interest; establishing programs of research and publication, which involve qualified students and external funding whenever possible;
  3. Maintenance of professional and ethical relationships with faculty colleagues, with staff members of the University, and with students within the guidelines of the following statements: faculty members encourage the free pursuit of learning and hold before students the best scholarly standards; they demonstrate respect for students as individuals, protect academic freedom, and adhere to a proper role as intellectual guides and counselors; they foster integrity and assure that their evaluation of students reflects true merit; faculty members respect the confidential nature of the relationship between professor and student, avoid exploitation of students, and acknowledge significant assistance from them;
  4. Participation in the academic advising system, either as a faculty facilitator for new students or by fulfillment of other advising assignments;
  5. Acceptance and fulfillment of University service activities, including committee memberships and special assignments.
  6. Service to the community beyond the University.

In addition to these criteria, the Faculty Responsibilities described in 2.9.2 may be considered among criteria for personnel action.

2.2.8 Qualifications for Appointment to Rank

The following minimum academic requirements (in terms of graduate credit and time of service) shall be regarded as prerequisites for initial appointment to faculty rank. Qualifications for promotion to rank are described in 2.2.9.

The prerequisite qualifications for appointment to the several academic ranks shall be as follows:

To rank of Instructor:

Master’s Degree in teaching area; prior teaching experience highly desirable. The rank of Instructor is considered probationary. Faculty members with an initial appointment at the rank of Instructor are expected to qualify for promotion within three years of initial appointment. Failure to qualify for promotion will result in receipt of a terminal contract. In special cases, the Provost, in consultation with the Faculty Personnel Committee, may issue a Memorandum of Understanding (See 2.2.9.2).

To rank of Assistant Professor:

Terminal degree in the faculty member’s teaching area or twenty semester hours of graduate study beyond the Master’s degree in the teacher's major field and/or in fields which bear directly on the major field, to be completed either in a school or with a professional mentor/artist teacher. A minimum of two to four years successful teaching experience or equivalent professional experience is desirable.

To rank of Associate Professor:

Doctor's degree or terminal degree in the faculty member’s teaching area; Evidence of outstanding achievement in teaching, service, and professional activity. A minimum of four to six years teaching experience at the rank of Assistant Professor, or equivalent professional experience is expected.

To rank of Professor:

Doctor's degree or terminal degree in the faculty member’s teaching area; Evidence of continuing excellence in teaching, service, and professional activity. A minimum of six to eight years teaching experience at the rank of Associate Professor or equivalent professional experience is expected.

2.2.9 Qualifications for Promotion to Rank

The following minimum academic requirements (in terms of graduate credit and time of service) shall be regarded as prerequisites for serious consideration for promotion, but do not in themselves constitute an automatic claim to promotion.

Outstanding achievement in teaching, service, and/or professional activity shall provide the basis for consideration for promotion. Additional criteria are listed in 2.2.7.

The prerequisite qualifications for promotion to the several academic ranks shall be as follows:

To rank of Assistant Professor:

Terminal degree in the faculty member’s teaching area or twenty semester hours of graduate study beyond the Master’s degree in the teacher's major field and/or in fields which bear directly on the major field, to be completed either in a school or with a professional mentor/artist teacher. Appropriate professional activity and a minimum of two to four years successful teaching experience or equivalent professional experience is expected.

To rank of Associate Professor:

Doctor's degree or terminal degree in the faculty member’s teaching area; Evidence of outstanding achievement in teaching, service, and professional activity. A minimum of four to six years teaching experience at the rank of Assistant Professor or equivalent professional experience is expected.

To rank of Professor:

Doctor's degree or terminal degree in the faculty member’s teaching area; Evidence of continuing excellence in teaching, service, and professional activity. A minimum of six to eight years teaching experience at the rank of Associate Professor or equivalent professional experience is expected.

2.2.9.1 Requests for Promotion

After consultation between the faculty member and the Chair/Director, requests for promotion are sent by the applicant to the Faculty Personnel Committee, with a portfolio supporting the request. This shall include:

  1. a current vita
  2. evidence of effective teaching
  3. summary of professional activity, including presentations, research, etc.
  4. summary of service activities, including advising, committee work, and other activities supporting the work of the University.
  5. a letter of support from the Chair/Director or appropriate Provost.
  6. other documentation as chosen by the applicant.

As part of developing the letter of support, the Chair/Director shall consult with the full-time faculty of the department. The consultation may be a departmental meeting, by written contact with the faculty, or by meeting with individual faculty members. The Chair/Director’s letter of support shall include a summary of faculty support for the proposed promotion. Any full-time faculty member in the applicant’s department may submit letters to FPC concerning the promotion request. These letters will be added to the portfolio.

After examining all materials, the Faculty Personnel Committee will vote on the promotion request and send a recommendation to the Provost of the University. The Provost will notify the faculty member and Chair/Director of the result of the promotion request after confirmation by the Board of Trustees.

2.2.9.2 Memorandum of Understanding

The University reserves the right to establish alternative standards for the appointment, promotion and tenure of individuals with the following provisions:

  1. A department chair or search committee wishing to establish alternative standards for faculty must provide written request to the Provost of the University, who, in consultation with the Faculty Personnel Committee, shall determine the validity of the request. The request must include a complete rationale and suggested procedure for application of the alternative standards. Any such request will be considered on an individual basis and upon its own merits. Such a determination should be made before advertising the vacancy.
  2. If the request is approved by FPC, a Memorandum of Understanding shall be prepared by the Provost in collaboration with the Faculty Personnel Committee. The Memorandum of Understanding will state the type of appointment, and the academic ranks for which the new faculty member may eventually qualify, with requirements for promotion to each of those ranks. The Memorandum should be explicit in listing the amount of additional study and academic credentials expected. These requirements are in lieu of the Criteria for Personnel Action in Section 2.2.8. Modifications may be made to the Memorandum with the approval of the faculty member, the Department chair, the Provost, and the Faculty Personnel Committee.
  3. A Memorandum of Understanding may also be prepared allowing up to two additional years to complete requirements for promotion from the rank of Instructor to Assistant Professor. In this case, the Memorandum may be requested by the Faculty member or Chair/Director. The request must clearly specify progress toward promotion and a plan for completing requirements. The Memorandum is issued by the Provost after consultation with the Faculty Personnel Committee.

2.3 Types of Contract

Full-time faculty contracts are designated either as tenure-track, in which the faculty member is eligible for an appointment with continuous tenure upon meeting the designated criteria in Section 2.7, or non-tenure track, which is reserved for positions which do not lead to tenure or a tenure decision. This status will be clearly indicated in the initial letter of appointment.

2.3.1 Term

  1. Non-tenure track, full-time
    Full-time non-tenure track contracts are issued on a limited-term basis, with the term clearly specified in the contract. These are generally one-year contracts, although under special circumstances terms may be extended to a limit of three years. If a faculty member holding a non-tenure track full-time contract is later offered a tenure-track contract, the Faculty Personnel Committee and the Provost may consider giving credit toward tenure consideration for time served under the previous status. This ordinarily will be limited to two years credit.
  2. Part-time and Adjunct
    All adjunct and part-time contracts are issued on a limited-term basis, with the term clearly specified in the contract. These are generally one-year contracts. If a faculty member holding a term contract is later offered full-time employment, the Faculty Personnel Committee and the Provost may consider giving credit toward promotion and/or tenure for time served under term contracts. This will ordinarily be limited to two years credit.
    Adjunct faculty are not eligible for University benefits.

2.3.2 Early Tenure-Track

Early tenure-track contracts are considered probationary, with the performance of the faculty member being evaluated by the department, the Faculty Personnel Committee, and the Provost of the University at the conclusion of the second, fourth, and sixth years of employment. Criteria for the awarding of tenure are described in Section 2.7.

2.3.3 Continuous Tenure

A tenured appointment is a means to certain ends: freedom in teaching, research and extramural activities and a sufficient degree of economic security to make the profession attractive to persons of ability. In that sense, tenure is essential to Heidelberg University as it seeks to fulfill its obligations to its students, its faculty and to society. Tenure may be awarded as described in Section 2.7. Tenured faculty members receive continuing contracts in accordance with the terms of tenure and the terms of separation from the University described in Section 2.8.

2.4 Search, Appointment, Orientation

2.4.1 Search Procedures

In order to ensure consistency and equity in filling faculty vacancies at Heidelberg University, the following steps for seeking approval of a faculty position are to be followed.

  1. A Chair/Director, in consultation with the appropriate Dean, will complete required personnel forms for each new or vacant position and forward it to the Faculty Personnel Committee with a copy to the Provost. The appropriate personnel form is available from the office of the Provost and on Server Six.
  2. FPC will review the request, especially to determine whether or not the position is a tenure-track position, and will make recommendation to the Provost, who forwards both the personnel form and the recommendations of FPC and the Provost to the President.
  3. The Provost will initiate the hiring process. A Search Committee must be formed for all full-time faculty. For significant part-time or one-year replacement positions, the Provost in cooperation with FPC will determine whether a Search Committee is necessary. Adjunct positions and part-time positions do not ordinarily require a Search Committee. Search Committee procedures are described in Appendix C.

2.4.2 Appointment Procedures

An appointment agreement will be issued by the Provost. The terms and conditions of appointment shall be stated in the appointment agreement. Any special understandings, arrangements, obligations or expectations of the faculty member shall be clearly stated in the appointment agreement.

2.4.3 Orientation

New Faculty members attend an Orientation program, unless excused by the Provost. The orientation program takes place prior to the beginning of Fall semester classes. Orientation will serve as an introduction to policies and procedures of the University, including expectations for faculty members, library and media resources available, faculty development and mentoring, registration and grading, and an overview of Academic Affairs. In addition to the New Faculty Orientation, further activities are coordinated by the Faculty Development Committee.

2.4.4 Equal Opportunity, Affirmative Action

"From its founding, Heidelberg University has believed in the dignity of the individual, and it is an affirmative action, equal opportunity institution. Heidelberg does not discriminate on the basis of race, color, national and ethnic origin, religion, age, political affiliation, socioeconomic status, sex, or handicap in the administration of its admissions policies, educational policies and programs, financial aid programs, employment practices, and athletic and other school-administered programs and activities." (Heidelberg University Catalog.)

This statement, expressing a fundamental fact of Heidelberg's approach to education, has long been an imperative in setting and achieving goals at Heidelberg. With the increasing awareness that, however salutary, such statements are prohibitory rather than positive, the University now adopts a restatement of that position, emphasizing the University's affirmative posture and its determination to continue to plan programs which reflect that posture.

Documents pertaining to compliance with provisions of Title II are available in the office of the Provost.

2.4.5 Employment Conflict of Interest

The position of a faculty member as a professional, and the special relationship between faculty members and students require that the University and faculty members take reasonable precautions to reduce the possibility of conflict of interest or compromising circumstances.

Although not all-encompassing, the following guidelines are intended to minimize conflicts of interest. Combined with appropriate professional judgment, they will assist in eliminating questions of propriety toward the faculty member and the University.

  1. Billing for all instruction by a faculty member is through the Business Office. This includes instruction under University auspices, using University facilities, or other instruction which parallels University instruction. Faculty members may not receive direct payment for instructional services from students, their parents, or their agents.
  2. Faculty members may not offer independent arrangements of a regular class or independent study to a family member without prior written approval from the Provost of the University.
  3. Full-time faculty may teach beyond the full-time contract, whether at the University or elsewhere, only with written notification to the Provost.

2.4.6 Special Appointment Categories

Certain positions may combine administrative and teaching responsibilities. These employees may be granted academic rank and be eligible for promotion, according to requirements in Sections 2.2.8 and 2.2.9. Recognizing the individual nature of such appointments, FPC may develop alternate criteria for promotion for individuals in this category.

2.5 Personnel Records

Each faculty member of Heidelberg University will have a Personnel File in the Office of the Provost. No other official faculty file will be maintained by Heidelberg University, with the exception of the Human Resources Office, where a copy of the appointment letter and other records necessary for payment, benefits, and tax purposes may be kept. The Human Resources file shall be considered a subset of the Personnel File, kept for specific purposes. The Provost shall be responsible for the safekeeping of all personnel files. The Personnel File may never leave the Office of the Provost unless it is in the possession of the Provost or the President.

Documents to be found in each faculty member’s official personnel file are:

  1. Letter of application
  2. Appointment and acceptance letters, and subsequent personnel actions.
  3. The faculty member’s employment contracts
  4. Letters of recommendation
  5. Academic transcripts from all undergraduate and graduate institutions attended
  6. Summaries of student evaluations
  7. Current vitae and self-evaluations
  8. Records of awards, grants, and exceptional service to the institution
  9. Records of occasions requiring discipline or official warnings to the faculty member from the Provost or President. The faculty member must receive copies of any entry under this category and FPC must approve any entry under this category.
  10. Appropriate background checks conducted by Human Resources.

FPC recommendations for personnel action are based only upon items in the Personnel File or Promotion and Tenure Portfolios.

Faculty Personnel Files may be viewed only by the President, the Provost, Associate Vice Presidents for Academic Affairs, the Provost’s secretary for filing purposes, the Board of Trustees and the Faculty Personnel Committee. A faculty member may review the contents of the Personnel File upon written request to the Provost. Such review shall occur in the Office of the Provost. The file may not be taken from the Provost’s Office.

Electronic and paper copies of certain faculty records, including student evaluations and contracts, are also kept in appropriate administrative offices.

2.5.1 Promotion and Tenure Portfolios

Promotion and tenure application portfolios are submitted to the Provost’s office according to a published schedule, and are returned to the faculty member at the completion of the application process. Records of initial appointment status, including initial rank and tenure eligibility, and subsequent promotion and tenure decisions are part of the Personnel file. Guidelines for completion of Promotion and Tenure files are distributed by the Faculty Personnel Committee (FPC) upon request.

2.5.2 Other Records

In addition to the Personnel File, the Provost may maintain informal records of meetings and conversations with faculty, memos and emails, issues raised by outside constituencies, and other issues brought to the attention of the Provost.

In addition to files in the Provost’s Office, certain files may be maintained in the office of the Chair/Director, including:

  1. copies of student evaluation summaries
  2. current vitae
  3. Faculty Data Forms or other self-evaluation forms
  4. other records applicable to the work of the Department

2.6 Faculty Evaluation

2.6.1 Criteria

Faculty evaluation is based upon the Criteria for Personnel Action, described in Section 2.2.7, and Faculty Responsibilities described in 2.9.2.

2.6.2 Evaluation Process

Faculty evaluation is a three-part process, consisting of:

  • Student Questionnaires;
  • Annual evaluations by the Chair/Director or appropriate Dean.
  • Self-evaluation.

2.6.2.1 Student Questionnaires

Student opinion of individual courses and professors is sought by means of a questionnaire. These questionnaires are collected by the office of the Provost of the University, where results are tabulated. While protecting the anonymity of respondents, results are distributed to Chair/Directors. After reviewing results, Chairs distribute them to individual faculty members, discussing them when appropriate. Summaries of results are retained for Personnel Files (see 2.5). Results of the questionnaire are used in a summative manner for Faculty Personnel Action (see 2.2.7, 2.2.9, and 2.7), as well as formative assessment for the improvement of teaching effectiveness.

Student questionnaires will be completed each semester for all courses taught by adjunct, part-time, and all non-tenured faculty. For tenured faculty, student questionnaires will be completed one semester every two years. The Provost of the University and FPC may distribute questionnaires more frequently if the need arises.

The questionnaire may be an institutional instrument developed by faculty and distributed by the office of the Provost of the University, or a form developed by departments. All such forms must be approved by the Faculty Personnel Committee and the Provost of the University.

Individual professors or departments are encouraged to administer additional evaluation instruments for the improvement of course and teaching effectiveness. These forms will be the property of the individual professor, and will not be collected by the department or the Provost of the University.

2.6.2.2 Chair/Director Evaluations

Chairs, Directors, and Deans of Schools will complete an annual evaluation for all members of the department/school based upon the Criteria for Personnel Action. These evaluations are discussed with the faculty member, and forwarded to the office of the Provost of the University, with a copy to the Faculty Personnel Committee. The process for Chair, Director, or Dean Evaluations is developed within individual departments.

2.6.2.3 Self-evaluation

All Faculty members submit an annual self-evaluation by means of the Faculty Data Form, or other instrument developed by FPC and the Provost of the University. Self-evaluations should address individual and departmental goals, philosophies of teaching, personal evaluations of teaching effectiveness, scholarship and professional activity, and service. Self evaluations will also include plans for professional growth.

Tenure-track faculty submit additional materials as part of the portfolio during the second, fourth, and sixth year of service (see 2.2.9.1 and 2.7.1).

2.6.2.4 Other forms of evaluation

Faculty members are encouraged to conduct other forms of evaluation, including reviews of teaching and scholarship by peers within the University, or from outside. These evaluations may be used to supplement tenure and/or promotion portfolios, but more commonly might be used as a means of professional growth and improvement. Faculty also might wish to conduct more frequent student evaluations of courses, or do so on a less formal basis for the purpose of course improvement.

2.6.2.5 Uses of Faculty Evaluation Data

The Faculty Personnel Committee and Provost of the University use data obtained under sections 2.6.2.1, 2.6.2.2, 2.6.2.3 and 2.6.2.4 to make recommendations to the President and the Academic Affairs Committee of the Board of Trustees on tenure, promotion, non-renewal of contract, dismissal, and merit increases. These data might constitute only part of the criteria for such personnel decisions. External factors, including budget considerations, might also play a part in the final decision.

2.6.2.6 Standards of Accrediting Bodies

In cases where a program is accredited or is anticipating accreditation by a professional organization, the guidelines in Section 2.6 shall include the guidelines for faculty evaluations established by the professional organization.

2.7 Tenure

2.7.1 Tenure Acquisition

Tenure, if granted, is usually announced at the conclusion of the sixth year of service. In the normal tenure evaluation process, faculty members collect materials for a tenure portfolio during the second year of service. Second and Fourth year portfolios are intermediate steps which lead to the tenure application.

Second and Fourth year portfolios include:

  • Evaluation from the Chair/Director addressing teaching, scholarship and service, and including a detailed summary of departmental support. The Faculty member requests the evaluation from the Chair/Director, and the evaluation is forwarded directly to FPC by the Chair/Director.
  • summaries of student questionnaires.
  • A self-evaluation based upon the criteria listed in Sections 2.2.7 and 2.2.8.
  • Letter(s) of support from colleagues (optional).
  • Other materials as specified by FPC and the Provost.

The second and fourth year portfolios are reviewed by the Faculty Personnel Committee, which recommends to the Provost one of the following actions:

  1. continuation of probationary status, indicating acceptable progress toward tenure;
  2. completion of an action plan to improve perceived minor deficiencies;
  3. one year’s notice of non-renewal, in accordance with Section 2.8.1.

The Provost will determine what action shall be taken and notify the Faculty Member and Chair/Director.

The tenure application (“sixth year”) portfolio contains materials described in Section 2.2.9.1.

As part of developing the letter of support, the Chair/Director shall consult with the full-time faculty of the department. The consultation may be a departmental meeting, through written communication, or by meeting with individual faculty members. The Chair/Director’s letter of support shall include a summary of faculty support for tenure. Any full-time faculty member in the applicant’s department may submit letters to FPC concerning the tenure request. These letters will be added to the portfolio.

After examining material in the tenure portfolio and the Faculty Personnel File, the Faculty Personnel Committee will vote on the tenure request and send a statement to the President. The statement will contain one of the following recommendations, or a rationale for failing to reach a decision:

  1. the granting of continuous tenure;
  2. one year’s notice of non-renewal

If the FPC recommendation is not unanimous, the differing opinions will be forwarded to the President. The Provost also submits to the President his or her recommendation. The Board of Trustees has authority in the awarding of tenure, as described in 2.7.5.

The Provost will notify the faculty member and Chair/Director of the result of the tenure request after action by the Board of Trustees. Upon request by the Faculty member, FPC will provide a letter explaining its recommendation. However, no letter shall be issued before the final decision on tenure by the Board of Trustees.

In some cases, faculty members may be given credit in the initial contract for experience prior to appointment at Heidelberg, including a shortened calendar for tenure consideration. Such credit will be clearly specified in the contract. In these instances, the preliminary (“second year” and/or “fourth year”) portfolio(s) may be waived.

2.7.2 Requests for Early Tenure Consideration

Although tenure evaluation is most often completed at the conclusion of the sixth year of service (or other term specified in the initial contract), Faculty members may request such consideration earlier by following the procedure described in 2.2.9.2

2.7.3 Chair/Director Evaluator

If a Chair/Director is eligible for tenure review, he or she will select a tenured faculty member, subject to the approval of the Provost in consultation with the Faculty Personnel Committee, to act as an evaluator for the Chair/Director for the purpose of tenure consideration. The evaluator will consult with the faculty of the department and issue a recommendation to FPC in lieu of the Chair/Director’s recommendation.

2.7.4 Tenure Advocate

A candidate for tenure may choose an advocate from the voting faculty to meet with FPC to discuss the Committee’s consideration of the candidate. The advocate may present a written statement of recommendation for the candidate, may speak with the Committee, and shall have access to the documents given to the Committee regarding the candidate’s tenure request.

2.7.5 Board Authority in Awarding Tenure

After receiving the tenure recommendation from FPC, and the recommendation of the Provost, the President makes recommendation to the Board of Trustees. The President’s recommendation includes the recommendations of FPC and the Provost. The Board of Trustees has sole authority for the granting of tenure. The Board will either grant tenure, or direct a one-year notice of non-renewal.

2.7.6 Grievances in the Tenure Process

If tenure is not granted, the faculty member may pursue the grievance procedures described in Section 2.15.

2.8 Separation

2.8.1 Retirement and Resignation

Faculty members who choose to terminate their appointment through retirement or resignation should notify the Provost in writing of their intention. Such notice should be sent as early as possible, preferably by January 1 for an appointment ending in May, or six months prior to the end of the contract term for appointments ending during the academic year.

Faculty members who retire from the University might be eligible for certain benefits, as described in Section 2.2.4.

2.8.2 Notification of Expiration of Appointment

Notice of non-reappointment, or of intention not to recommend reappointment, will be given according to the following time line:

  1. Not later than March 1 of the first academic year of service, if the appointment expires at the end of that year; or, if a one-year appointment terminates during an academic year, at least three months in advance of its termination.
  2. Not later than December 15 of the second academic year of service, if the appointment expires at the end of the year; or, if appointment terminates during an academic year, at least six months in advance of its termination.
  3. At least twelve months before the expiration of an appointment after two or more years of service in the institution.

Faculty members who do not intend to return to the University for the succeeding year should notify the Provost or the President as soon as possible, and preferably by January 1. Under all circumstances notification should be given no later than May 15.

2.8.3 Termination of Contract

Non-tenured faculty contracts may be terminated for cause in instances of egregious behavior, including, but not limited to professional negligence, failure to meet terms of the contract, moral turpitude, and/or unethical behavior. Such termination shall be recommended to the President by the Provost of the University in conjunction with the Faculty Personnel Committee. Termination for cause will ordinarily result in an immediate cessation of teaching responsibilities.

2.8.4 Termination of Tenure

Tenure appointment refers to a condition of continuous appointment that may be terminated for the following reasons only:

  1. Flagrant and/or continuing failure to fulfill the criteria for personnel action described in Section 2.2.7, or failure to perform assigned duties;
  2. Moral turpitude or illegal conduct unacceptable to the University;
  3. Demonstrable bona fide financial exigency declared in good faith by the Board of Trustees. During the process of arriving at such determination, the Board of Trustees may consult with faculty committees appropriate to the determination, especially in the areas of resources and programs;
  4. Changes in the educational program approved by the Board of Trustees. Such changes normally will originate in appropriate faculty committees, be approved by the General Faculty, and forwarded for action to the Board of Trustees. However, this shall not preclude the authority of the Board to initiate changes.

Persons on tenure appointment who are dismissed for reasons described in 2.8.4 (a), (c), and (d) will receive their salaries and benefits for at least one year from the date of notification of dismissal, whether or not they are continued in their duties at the institution. Persons who receive a termination of tenure for reasons described in 2.8.4 (b) will not receive salaries or benefits after the time of the termination.

2.8.4.1 Termination of Tenure for Cause

No action involving possible loss of tenure under Section 2.8.4 (a)-(b) may be undertaken unless initiated by the Provost of the University or the President. Such officer shall submit to the Chair of the Faculty Personnel Committee, in writing, either a formal charge or a request for an appropriate investigation, together with a summary of the grounds for the complaint.

The Chair of the Faculty Personnel Committee shall promptly notify the faculty member, in writing, of the complaint and offer that member the opportunity to meet with the Faculty Personnel Committee and any parties bringing the complaint. Faculty members will have the opportunity to be heard in their own defense by all bodies that pass judgment upon their cases. Faculty members should be permitted to have with them a Heidelberg University colleague of their own choosing who may act as advocate.

The Chair of the Faculty Personnel Committee shall promptly assemble the Committee for the purpose of setting in motion a formal investigation, with the purpose of assembling and examining evidence. The investigation may lead to a hearing. If FPC finds, as a result of the formal investigation, that the charge is without sufficient merit or evidence, the Committee by majority vote may dismiss charges without a hearing. If held, the purpose of the hearing will be to examine the charge(s) against the faculty member, to report the results of the formal investigation, and to allow the faculty member an opportunity to speak and/or present evidence on their own behalf. The hearing will be attended by members of the Faculty Personnel Committee, the faculty member and advocate, the person(s) originating the charge, and the Provost of the University. Minutes of the hearing will be kept by FPC, and a full record will be made available to the parties concerned. In hearings where the charge involves failure to fulfill the criteria for personnel action or to perform assigned duties, the testimony should include that of teachers and other scholars, either from Heidelberg or from other institutions.

At the conclusion of its investigation of the charges, the Faculty Personnel Committee shall decide one of the following actions:

  1. dismissal of the complaint without prejudice to the faculty member;
  2. a formal reprimand of the faculty member with possible recommendations for disciplinary actions;
  3. removal of the faculty member from tenured status and immediate termination of appointment.

The Chair of FPC will convey the committee’s decision to the President. If the decision is to remove the faculty member from tenured status and to terminate the contract, the President shall refer the FPC decision to the Board of Trustees. If the Faculty Personnel Committee decision is not unanimous, all opinions shall be forwarded to the President.

The Chair of the Faculty Personnel Committee will send a letter to the faculty member explaining the Committee’s decision.

If it is not possible to assemble a quorum of the Full Board, the Executive Committee may act for the Board.

Termination of tenure will be by action of the Board of Trustees, or the Executive Committee acting on behalf of the Board of Trustees.

2.8.4.2 Termination of Tenure for Financial Exigency or Program Change

The President shall recommend to the Board of Trustees the termination of tenure and appointment of faculty members under 2.8.4 (c)-(d) after consultation with the Faculty Personnel Committee, the Undergraduate and/or Graduate Curriculum Committees, and the Strategic Budgeting Committee, or their designated representatives, on the basis of such criteria as educational needs, teaching flexibility, quality of performance or length of service.

Termination of tenure will be by action of the Board of Trustees, or the Executive Committee acting on behalf of the Board of Trustees. If the Board approves such termination of tenure, the faculty member will be given a twelve-month notice of termination of tenure and appointment, consistent with Section 2.8.2. A copy of the President's recommendation to the Board of Trustees will be sent to the faculty member, who may pursue the grievance procedures under Section 2.15.

The University will make every effort to place the faculty member in another position with the University, consistent with the faculty member's competencies.

Further, a position abolished under 2.8.4 (c) or (d) will not be re-established for three years from the date of the Board of Trustees abolishment. If, within that time, the University should re-establish that position, or a portion thereof, the faculty member released under these provisions shall be offered the position, or established portion thereof, before employment is offered to any other individual.

2.9 Faculty Rights and Responsibilities

In addition to other rights, all members of the campus community have the right to be treated fairly and professionally by students, colleagues, and the administrative officers of the University.

2.9.1 Academic Freedom

Members of the faculty are entitled to all rights secured to them by the Constitution of the United States, the Constitution of the General Faculty, and by the principles of academic freedom as they are generally understood in higher education. These principles of academic freedom include:

  1. The right to discuss in the classroom material which has a significant relationship to the subject matter identified in the course description printed in the University Catalog;
  2. The right to determine course content, grading, and procedures for the classrooms in which they teach;
  3. The right to engage in scholarly and creative endeavors related to their teaching appointments;
  4. The right to publish or present research findings, and the products of creative work;
  5. The right to engage in service activities;
  6. The right to participate in institutional governance as defined in the Faculty Constitution.
  7. The University teacher is a citizen, a member of a learned profession, and a professional member of an educational institution. When speaking or writing as a citizen, the teacher is free from institutional censorship or discipline, but the special position held in the community imposes special obligations. As persons of learning and educational leaders, faculty members must remember that the public may judge the profession and the institution by their words and deeds. For these reasons, they should strive at all times to be accurate, to exercise appropriate restraint, to allow for and respect the opinions of others, and to make clear and reasonable efforts to indicate that they are not speaking for Heidelberg University.

2.9.2 Faculty Responsibilities

Along with the academic freedoms described in 2.9.1, faculty members have required responsibilities associated with their positions. These responsibilities include:

  1. carrying out teaching responsibilities, including distribution of a course syllabus, meeting class during scheduled times, and maintaining office hours or availability to students outside class.
  2. covering material consistent with the course description;
  3. maintaining accurate records for student grading and attendance, and submitting grades in a timely fashion.
  4. pursuing scholarship and professional development;
  5. maintaining fair and professional relationships with students and colleagues;
  6. attending meetings of the department and of the general faculty
  7. participation in service to the University, including committees and advising.

These responsibilities may be considered in addition to the Criteria for Personnel Action described in Section 2.2.7. Other faculty responsibilities are described in the employment contract.

2.9.3 Academic Responsibility and Professional Ethics

Heidelberg adopts the Statement on Professional Ethics of the American Association of University Professors:

  1. Professors, guided by a deep conviction of the worth and dignity of the advancement of knowledge, recognize the special responsibilities placed upon them. Their primary responsibility to their subject is to seek and to state the truth as they see it. To this end professors devote their energies to developing and improving their scholarly competence. They accept the obligation to exercise critical self-discipline and judgment in using, extending, and transmitting knowledge. They practice intellectual honesty. Although professors may follow subsidiary interests, these interests must never seriously hamper or compromise their freedom of inquiry.
  2. As teachers, professors encourage the free pursuit of learning in their students. They hold before them the best scholarly and ethical standards of their discipline. Professors demonstrate respect for students as individuals and adhere to their proper roles as intellectual guides and counselors. Professors make every reasonable effort to foster honest academic conduct and to ensure that their evaluations of students reflect each student’s true merit. They respect the confidential nature of the relationship between professor and student. They avoid any exploitation, harassment, or discriminatory treatment of students. They acknowledge significant academic or scholarly assistance from them. They protect their academic freedom.
  3. As colleagues, professors have obligations that derive from common membership in the community of scholars. Professors do not discriminate against or harass colleagues. They respect and defend the free inquiry of associates. In the exchange of criticism and ideas professors show due respect for the opinions of others. Professors acknowledge academic debt and strive to be objective in their professional judgment of colleagues. Professors accept their share of faculty responsibilities for the governance of their institution.
  4. As members of an academic institution, professors seek above all to be effective teachers and scholars. Although professors observe the stated regulations of the institution, provided the regulations do not contravene academic freedom, they maintain their right to criticize and seek revision. Professors give due regard to their paramount responsibilities within their institution in determining the amount and character of work done outside it. When considering the interruption or termination of their service, professors recognize the effect of their decision upon the program of the institution and give due notice of their intentions.
  5. As members of their community, professors have the rights and obligations of other citizens. Professors measure the urgency of these obligations in the light of their responsibilities to their subject, to their students, to their profession, and to their institution. When they speak or act as private persons, they avoid creating the impression of speaking or acting for their University or university. As citizens engaged in a profession that depends upon freedom for its health and integrity, professors have a particular obligation to promote conditions of free inquiry and to further public understanding of academic freedom.

2.10 Faculty Development

Professional development of the faculty and staff is essential to maintain academic vitality. Both the individual and the University benefit from the professional growth of the faculty and the cost and responsibilities for the professional development program must be shared by both.

The University attempts to sustain an atmosphere which is conducive to the professional growth of individual faculty members and of the faculty as a whole, and financially supports professional development programs including travel abroad opportunities. However, for true professional development the most important factor is the initiative, motivation, scholarly interest, and enthusiasm of faculty members who voluntarily contribute their time, energy, and resources in seeking professional improvement and advancement. Without these factors a professional development program will not be successful no matter how well planned, intentioned, or financed.

Professional growth of individual faculty members is encouraged and recognized both on and off campus. On-campus opportunities include mentoring programs, academic classes, convocations, special lectures and performances, special workshops, seminars, funds for inviting individuals of special competence to campus, library support for research, funds and one-course release for support of research projects, and other matters related to intellectual inquiry. Off-campus opportunities include sabbatical leaves, leaves of absence and support for participation in professional meetings and workshops.

2.10.1 Sabbatical Leave

Sabbatical leaves are designed to contribute to the professional growth and all-around effectiveness of faculty members and thereby to the value of their subsequent services to Heidelberg University. Such leaves, when granted, are to be used for the pursuit of scholarly activities, such as study, research and/or writing.

After consultation with the Chair/Director or appropriate administrative officer, any full-time faculty member may apply to the Faculty Personnel Committee for a sabbatical leave after a minimum of six years of full-time service, or after completing six years of service since the individual’s last sabbatical. FPC will announce each fall the deadline for submitting sabbatical proposals. The applicant must supply in writing the objectives and plan of the faculty member's proposed program, including expected outcomes of the plan. The application must also indicate a plan for coverage of the applicant’s teaching responsibilities during the sabbatical period. The Faculty Personnel Committee, in consultation with the Provost, shall determine the relative merits of the proposed program. If FPC and the Provost approve the proposal, FPC will send to the President a recommendation for granting of sabbatical. All leaves must be approved by the President of the University and the Academic Affairs Committee of the Board of Trustees. Preference for sabbatical leaves will be given to faculty who possess a terminal degree.

Sabbatical leaves may be either for one year with half-salary, or for one semester at full salary. The University will continue its contributions to all supplementary benefits in force at the time the leave is granted. Potential sources of support or other remuneration, if known, should also be included in the application letter.

If additional funding or support for the maintenance of two households and related expenses is required, the faculty member should indicate a need for such funds in the letter of application for the sabbatical. The granting of sabbatical leaves shall be subject to budgetary considerations and the personnel needs of the departments involved.

At the conclusion of their leaves, recipients of sabbatical leaves will be required to file a full report of their sabbatical activities with the Provost of the University and will be expected to give a presentation of these activities to faculty colleagues.

Recipients of sabbatical leaves agree to return to their position with the University for a minimum of one year at the completion of the sabbatical.

2.10.2 Leaves of Absence

After consultation with the Chair/Director or appropriate administrative officer, any faculty member may apply to the Faculty Personnel Committee for a Leave of Absence without pay. FPC will announce each fall the deadline for submitting proposals for Leaves of Absence. The applicant must supply in writing the rationale for requesting the leave. The application must also indicate a plan for coverage of the applicant’s teaching responsibilities during the leave period. The Faculty Personnel Committee, in consultation with the Provost, shall determine the relative merits of the requested leave. If FPC and the Provost approve the proposal, FPC will send to the President a recommendation for granting of Leave of Absence, including the duration of the leave.

Leave of Absence without pay is usually granted to complete a degree, perform a research project, participate in a public service project, or for other types of professional development. Leaves of Absence are ordinarily for a period of one semester or one full academic year. Longer terms will be considered under special circumstances. All leaves must be approved by the President of the University and the Academic Affairs Committee of the Board of Trustees.

During Leave of Absence, the University will ordinarily continue contributions to retirement, hospitalization, and other insurance costs based upon base salary at the time of the leave, provided the participant maintains individual contributions to the plans. Upon recommendation of the President, the Board of Trustees may determine that such Leave of Absence is not of benefit to the University. In such cases, Heidelberg will not continue contributions, but participants may continue the insurance and retirement plans in full force by paying the entire premium.

A Leave of Absence will not count toward service time for the consideration of sabbatical leaves. However, all service time prior to the Leave of Absence shall remain in effect, and count toward service time for sabbatical considerations.

2.10.3 Faculty Professional Development Release Time Awards

To help stimulate and support the professional development of faculty, the University has developed a program of release time awards for professional activities. Up to five awards, subject to budget and personnel constraints, will be made annually. Each award provides release time from one 3-credit course (or its equivalent) for a semester. The awards are intended to supplement the existing sabbatical leave policy by providing additional opportunities for the pursuit of scholarly growth.

Faculty from all disciplines within the University are encouraged to consider participation in the program. A wide range of professional activities will be supported, including research, writing, study, and public performance. Activities may focus on content or pedagogy within one's discipline, including the development of new courses. Activities normally considered to fall within the scope of faculty responsibilities, such as preparation for current courses or for committee assignments, will not be considered for release-time awards.

Applications should be made to the Faculty Personnel Committee according to a published schedule, for either semester of the succeeding year. Letters of application should include a brief description of the professional development activity and how that activity would be enhanced by a release-time award. Recommendations of awards will be made by the Faculty Personnel Committee to the Provost of the University who will announce recipients by April 15.

Only full-time faculty members with teaching responsibilities are eligible to participate in the program. Faculty participants are not eligible to receive a supplemental contract during the semester of release-time. Preference for awards will be given to individuals with a terminal degree and to those who have not received a release-time award within the preceding two years. The granting of an award pre-supposes that the faculty member intends to serve on a full-time basis during the year subsequent to the receipt of the release time award.

Participants are required to submit a brief written report of the semester's professional activities to the Faculty Personnel Committee after the completion of the semester for which release-time was awarded. Participants also may be requested to present their activities at a Faculty Forum or other public event.

2.10.4 Conferences and Professional Travel

The University encourages annual attendance at regional and national professional meetings or workshops. The Provost will determine the policy for financial support and reimbursement of costs associated with conference attendance. Support will be available to all qualified faculty, subject to budgetary limitations. University support for professional travel may be reimbursed up to 100% of the cost. Faculty members seeking support for conference attendance and professional travel submit requests to the Chair/Director, showing expected expenses. Chair/Directors forward requests to the Provost for approval.

2.10.5 Faculty Awards

Heidelberg supports three major awards for faculty, awarded on an annual basis: the Ream-Paradiso Distinguished Teaching Award, the Distinguished Scholarship/Research Award, and the Jane Frost-Kalnow Professorship in the Humanities.

2.10.5.1 Ream-Paradiso Distinguished Teaching Award

Each year since the 1995-1996 academic year, one faculty member has been selected by his or her colleagues to receive the prestigious Ream-Paradiso Distinguished Teaching Award. The recipient of this honor receives a cash award of $2,000 and is offered the opportunity to give a presentation to the faculty and campus community, after which he or she is honored at a reception.

The Ream-Paradiso Distinguished Teaching Award Selection Committee consists of one representative from each of the following standing committees: the Community Engagement Committee, the Undergraduate Curriculum Committee, the Faculty Development Committee, and the Faculty Personnel Committee. When possible, the Selection Committee also includes the last three recipients of the award, who are ineligible to receive the award while serving on the Selection Committee. Faculty from the ranks of Assistant Professor, Associate Professor, and Full Professor should be represented on the Committee. If each of these ranks is not included, the Provost of the University, in consultation with the Selection Committee, will appoint as necessary.

Any faculty member or member of the administration may nominate a full-time faculty member in at least his or her fourth year of teaching at Heidelberg University. The Selection Committee has the flexibility to determine its method of soliciting nominations and evaluating how well the nominees meet the below stated criteria for selection. Generally, after reviewing all nominations, the Committee determines up to five finalists and asks each to submit a three to five page professional self-evaluation addressing how he or she has met the four principal criteria for selection, which include:

Teaching effectiveness, including stimulating classroom methods; successful guidance in independent student work, including research; imaginative pedagogy; and willingness to experiment with teaching methodology.

Professional activities and development, including involvement in research; publications and performances; and participation in professional organizations.

Service as mentor to faculty and/or students, including presence in the department providing a model for students; and contributions to the Heidelberg community providing a model for faculty.

Service to the community, including service to the University which has improved the quality of the institution; and service to the community outside the campus.

When possible, the most recent recipient of the award shall serve as chair of the selection committee. The Chair of the Selection Committee should convey the name of its choice for winner of the Award to the Provost early in the second semester, according to the schedule published by FPC.

2.10.5.2 Distinguished Scholarship/Research Award

Each year since the 1997-1998 academic year, one faculty member has been selected by his or her colleagues to receive the prestigious Distinguished Scholarship/Research Award for outstanding research, scholarship, or other creative accomplishments. The award, which includes a cash prize of $2,000, is presented early in second semester, according to a schedule determined by FPC.

The Distinguished Scholarship/Research Award Selection Committee consists of the previous year’s award recipient, the Provost of the University or designee, and one representative from each of the following standing committees: the Faculty Development Committee, the Community Resources Committee, and the Faculty Personnel Committee.

Any faculty member or member of the administration may nominate a full-time faculty member in at least his or her fourth year of teaching at Heidelberg University. The Selection Committee has the flexibility to determine its method of soliciting nominations and evaluating how well the nominees meet the criteria for selection stated below. The criteria for selection concern the quality and significance of the nominee’s scholarly endeavors or research and include:

  • Significance within the respective academic discipline.
  • Regional, national, and international importance.
  • Overall contribution to knowledge, culture, or professional practice.
  • Applicability and service to the University community (e.g., recognition resulting from work), professional organizations, and the surrounding local communities.

After receiving nominations, the Selection Committee will request that each nominee submit a summary of his or her scholarly work, composition, or research completed while at Heidelberg; a one page synopsis of the most meaningful item of scholarship or research conducted by the nominee; a curriculum vitae enumerating the nominee’s cumulative scholarly and research achievements; and relevant external review documents.

The Chair of the Selection Committee should convey the name of its choice for winner of the Award to the Provost of the University early in second semester according to a schedule determined by FPC.

2.10.5.3 The Jane Frost-Kalnow Professorship

The Jane Frost-Kalnow Professorship in the Humanities has been established to foster educational excellence in humanities teaching at Heidelberg University and to recognize Humanities and other faculty whose teaching excellence and scholarship make the Humanities such a strong component of a liberal arts education at Heidelberg University.

The Jane Frost-Kalnow Chair/Professorship in the Humanities is a permanent endowment of $150,000 established to provide from the earnings and interest a stipend/honorarium, in addition to base salary, of $2,500 each to two senior members of the Heidelberg faculty, and an award of $1,000 to those same faculty members for the purpose of funding their faculty development activities during the two-year period in which they hold the Jane Frost-Kalnow Professorship.

One recipient is chosen annually. Each faculty member named to the Jane Frost-Kalnow Professorship holds that distinction for a period of two years, so there are always two faculty members designated as holders of the Jane Frost-Kalnow Professorship. Recipients will be eligible for reappointment after at least three years have intervened between conclusion of their prior term in the Jane Frost-Kalnow Professorship.

Annual selections are made as follows:

Faculty members may nominate one or more individuals for the Professorship. Each nomination must be signed by the nominator and should include a one-paragraph rationale for the nomination.

Applications will be reviewed by the Faculty Personnel Committee. Up to three finalists will be recommended by the Faculty Personnel Committee to the Provost of the University. The Provost of the University will recommend one of the finalists to the President of the University, who will appoint and announce recipients of the Jane Frost-Kalnow Professorship in the Humanities. Announcement of recipients will be made according to a schedule determined by FPC.

Faculty eligible for nomination or application to hold the Jane Frost-Kalnow Professorship in the Humanities must hold the rank of Professor and an earned Doctoral or terminal degree from an accredited University or university. Nominees should represent excellence in teaching, scholarship, and service to the Heidelberg University community, as well as a commitment to the value of the Humanities in academic and human endeavors.

Nominees will be considered from among faculty in the Humanities disciplines recognized by the University, as well as in the social sciences, education, arts, and music. If the top candidates for selection are judged to be equally deserving, preference for appointment to the Jane Frost-Kalnow Professorship will be given to faculty in the humanities.

2.11 Other Types of Leave

2.11.1 Medical Leave

After twelve months of continuous employment, full-time and part-time (over half-time) faculty members are eligible for short term paid medical leave benefits. The faculty member is to inform the Provost of the University of the need for a short term leave as soon as possible. Upon written certification from the faculty member’s licensed medical care provider of an inability to perform professional responsibilities due to medical condition, the faculty member will be granted leave with full appropriate pay for up to the duration of the current semester. The faculty member may be eligible to receive full pay for an additional time period up to a total accumulated period of six months. The decision to continue paid leave is made by the Provost on a case by case basis according to the circumstances of the individual faculty member. In such cases, the medical provider must certify the continuous necessity for medical leave. In addition, faculty members may also be eligible for unpaid leave according to the provisions of the Family and Medical Leave Act. Faculty should contact the Office of the Vice President for Administration and Business Affairs for additional information.

2.11.2 Legal and Bereavement Leaves

Heidelberg recognizes the necessity for paid leave for reasons commonly recognized by the laws of the State of Ohio and the United States. These include jury duty, some short-term military duty, maternity leave, holidays recognized by the University, and bereavement leave. When such absences from campus will be three or more class days, faculty members will notify the Provost of the University. Notification for leave shall indicate the reason for the leave, the expected duration of the leave, and expectations for covering the classes missed during the absence. Faculty should contact the Office of Human Relations for additional information.

2.12 Working Conditions

2.12.1 Academic Regalia

Heidelberg Faculty utilize appropriate academic regalia for designated formal occasions during the academic year, including opening ceremonies and graduation ceremonies. Faculty wear the gown and hood appropriate to their highest degree. Academic regalia may be rented from the University store for individuals who do not yet own regalia.

2.12.2 Heidelberg University Intellectual Property Policy

I. Introduction

Heidelberg University faculty, staff, and student personnel are regularly involved in a wide range of scholarly activities that stem from the core teaching, learning, research, and service missions of the University. While the primary focus of such efforts is the advancement of the purposes of the University, the products of scholarship often have implications for wider and differing applications. These products or intellectual properties thus may be of benefit to the individuals involved, to the University, and to the larger society in which we live. By establishing policy on Intellectual Property, Heidelberg University seeks to support faculty, staff, and students in identifying, protecting, and administering Intellectual Property matters and defining the rights and responsibilities of all involved. In doing so, it intends to promote the following goals:

  • To sustain a University environment that encourages learning and the generation of new knowledge by faculty, staff, and students.
  • To motivate the development and dissemination of intellectual property by providing appropriate financial rewards, flexible arrangements, and assistance to the creator (an individual or team throughout this policy) and to the University.
  • To facilitate wide transfer of useful Intellectual Property to society for public benefit.

Intellectual Property is the ownership and associated legal rights of creations, which are developed or guided chiefly by the intellect of their creators and which may be either tangibles or intangibles. In particular, Intellectual Property is created when something new has been conceived and developed or when a non-obvious result, which can be applied to some useful purpose, has been discovered using existing knowledge.

The purpose of this document is to provide the overarching policy framework under which Heidelberg University will manage the Intellectual Property resources of the University community consistent with Heidelberg’s mission. This policy statement does not and should not provide all the necessary specific details required to administer successfully Intellectual Property for the entire University. Rather, the Board of Trustees in approving this policy statement delegates the implementation and administration of this policy, along with the development of appropriate and necessary processes, to the President of the University.

This policy shall apply to all persons in the employ of Heidelberg University in any capacity and to all students enrolled in Heidelberg University. Furthermore, this policy applies to all Intellectual Property created by Heidelberg University employees and students.

II. Ownership

The broad principles governing ownership of all Intellectual Property created by all persons in the employ of Heidelberg University in any capacity and to all students enrolled in Heidelberg University are specified in this section. Ownership is the critical issue for the dissemination of Intellectual Property and the distribution of rewards from it.

The ownership principles established in this section are intended to help the Heidelberg community take maximum advantage of new opportunities to create Intellectual Property. In this spirit the University welcomes opportunities to create external and internal partnerships. The ownership principles provide constructive opportunities for forming such partnerships to the benefit of Heidelberg faculty, staff and students as well as the University. They also permit the development of specific operating procedures.

The application of these ownership principles shall be consistent with the use of University resources, shall always protect its legal status as a nonprofit institution, and shall never violate any laws of the United States or the State of Ohio.

The ownership principles are focused on the way the property is created, not on the nature of the property, and are presented in a hierarchal structure to make the order of precedence among them clear. Specifically, when any one principle applies to an Intellectual Property matter, higher numbered principles are not applicable to that specific matter. It follows from the last principle of ownership that the University is the default owner of Intellectual Property not covered by the others. In order of precedence, ownership of Intellectual Property shall be specified as follows:

  1. Sponsored Project Agreements: The University may negotiate and sign Sponsored Project Agreements, including contracts and grants between external sponsors such as a corporations, government agencies or foundations and the University that specify completely or partially the ownership of Intellectual Property created as a result of specific sponsored projects. This category includes ownership requirements that result from a government funding source by operation of law (e.g., laws pertaining to Intellectual Property created using federal funds). All individuals working on a project under such a Sponsored Project Agreement shall be notified in advance of the terms of ownership in said agreement for any Intellectual property they may create working on the project. Although most sponsored project agreements would be for funded research projects, they should be available for other kinds of work including pro bono projects.
  2. Individual Project Agreements: The University may negotiate and sign Individual Project Agreements between the University and an individual member(s) of the faculty, staff or students that specify completely or partially the ownership of Intellectual Property created as a result of work conducted on a specific project. Individual Project Agreements by the University and potential creators are encouraged especially in situations that lack precedent and do not naturally fit into standard Intellectual Property practices.
  3. University Sponsored Projects: The University may initiate and fund specific projects that produce Intellectual Property and shall own the Intellectual Property created as a result of such projects. Whether or not a project should be undertaken as a University Sponsored Project shall be determined by the purpose of the work and not the form of the Intellectual Property to be created. Intellectual Property produced when University employees or students are assigned or employed to specifically produce designated work shall be considered work for hire, and the University shall own all rights to the property. The financial terms or other terms of support for University Sponsored Projects can vary from project to project as long as the participants are properly informed of the terms of the agreement for the project before they begin work on it.
  4. Traditional Academic Rights: In keeping with academic traditions at the University, the creator shall retain ownership to the following types of Intellectual Property, without limitation unless part of an agreement under the above principles of ownership: books (fiction, nonfiction, poetry, textbooks etc.); articles; poems; published standardized tests; all class materials including notes, tests, and syllabi; student papers (themes, term papers, reports, exams, etc.); musical works; dramatic works including any accompanying music; pantomimes and choreographic works; pictorial, graphic and sculptural works; motion pictures; video recordings and sound recordings; computer software and computer-related documents. In all cases the student shall own the copyright to his/her master’s thesis and similar graduate documents. Consequently graduate advisors must take responsibility to ensure that the contents of graduate papers and/or projects do not fall under Intellectual Property agreements precluding the student owning the copyright to any portion of a graduate document. Intellectual Property, other than the copyright of the thesis/project, created doing research toward a graduate degree is subject to all the other terms of this policy. Heidelberg University reserves the right to maintain archival copies of graduate documents.
  5. Consulting Agreements: Intellectual Property created by Heidelberg personnel who are consulting with external entities (corporations, businesses, government agencies, foundations, etc.) without making essential use of University funds, resources or facilities is presumed retained by the external entity or the individuals as specified by the terms of the consulting agreement. Student employment with external entities will be considered as consulting under this policy, and externally employed students will be responsible for respecting the Intellectual Property policies of both Heidelberg and their employers.
  6. Independent Projects: Any Intellectual Property created by a University employee that is not part of its creator’s employment responsibilities and that is developed on his/her own time without making extraordinary use of University funds, resources or facilities shall be owned by the creator. For the purposes of this policy, extraordinary use will be defined as that which is not commonly available for instructional purposes, and which requires additional significant expenditures on the part of the University. The determination of extraordinary use will be made by the Provost of the University, in consultation with the employee. Projects which require extraordinary use of University funds, resources, or facilities will result in joint ownership between the creator and the University. The creator shall notify the Provost of the need for extraordinary use of resources, and a joint ownership agreement negotiated prior to approval for the use of such resources.

    When a student creates Intellectual Property independently, using only resources available in common to all students, such Intellectual Property is owned by the student. However, Intellectual Property created by a student(s) when working for pay or academic credit, or voluntarily working on faculty projects or University Sponsored Projects is subject to the other six ownership principles.

  7. Other Intellectual Property Generated by University Activities: University personnel and/or students might produce Intellectual Property from their work within the scope of the mission of the University that is not covered by the above ownership principles. The University shall be the owner of Intellectual Property, when its ownership is not governed by any of the previous items and when said Intellectual Property was created within the normal scope of employment and/or study or a direct result thereof, and shall share with the creator any revenues from it. The creator of any Intellectual Property that is or might be owned by the University under this policy is required to make reasonably prompt written disclosure of the work to the University. Depending on the nature of this Intellectual Property, it may be subject to patent or copyright policies.

III. Arbitration

In the case of a dispute between the creator(s) and the University regarding ownership of Intellectual Property, both parties agree to submit to binding arbitration. Upon notice of the dispute, the Chair of the Faculty Personnel Committee (FPC) will arrange for the appointment of an arbiter. The arbiter should be from outside the university community, and able to rule fairly and impartially upon the dispute. When possible, the arbiter should be a member of the American Arbitration Association.

Upon appointment of the arbiter, both parties shall have up to three working days to accept or reject the arbiter. No more than one arbiter may be rejected by either party. If the arbiter is rejected, the Chair of FPC will designate another individual to serve as arbiter.

Once chosen, the arbiter shall convene the arbitration at an appropriate time and place. The arbitration will be attended by both parties, as well as the Chair of FPC. Within 14 days of the completion of the arbitration, the arbiter shall notify in writing the parties and the Chair of FPC of the ruling.

Heidelberg University will be responsible for all costs of the arbiter, and in no case will the faculty member be held responsible for these costs. The University is not responsible for costs incurred by the faculty member in the arbitration process, including attorney’s fees.

2.12.3 Copyright and Photocopying Policy

Heidelberg recognizes and abides by all applicable law regarding photocopying and fair use of copyrighted documents. Copying machines are available in designated campus locations, including Beeghly Library and the University Copying Center. Faculty members are responsible for adherence to all applicable statutes.

Beeghly Library publishes the following policy regarding Copyright and Fair Use:

Copyright is a constitutionally conceived property right given to creators of literary works; musical works; computer software; dramatic works; pictorial, graphic, and sculptural works; motion pictures; sound recordings and other audiovisual works. Included in The Copyright Act, Title 17, United States Code, is the fair use doctrine, which is the legal right to use copyrighted materials in a reasonable manner without the consent of the author.

Copyright law provides little guidance as to what in particular constitutes educational fair use of copyrighted materials. However library and higher educational groups have developed guidelines, to help determine what does constitute fair use of copyrighted materials in a library or classroom setting. The guidelines address photocopying or scanning of materials, library reserves and interlibrary loan, classroom use, and other uses.

In general, the guidelines address four main factors of the fair use doctrine:

  1. The purpose and character of the use, including whether such use is of a commercial nature or is for nonprofit education purposes. However, even if the use is purely educational there are limits to the amount and uses of copies of the material. (Section 107(1) of the Federal Copyright Statute)
  2. Nature of the copyrighted work, which takes into account the amount of creativity invested in the original work. (Section 107(2) FCS)
  3. Amount and substantiality of the portion used in relation to the copyrighted work as a whole (Section 107(3) FCS)
  4. The effect of the use upon the potential market for or value of the copyrighted work. This is considered to be the most important when considering whether the use of an item falls under the fair use doctrine. (Section 107(3) FCS)

2.12.4 Human and Animal Research Policy

Research involving human subjects must be approved by the Institutional Review Board (Section 1.3.4.6) prior to the beginning of the research.

2.13 Fringe Benefits

Fringe Benefits are applicable to faculty members on full time appointment or faculty employed half time or more. Faculty should consult with the Vice President for Business Affairs for additional information regarding fringe benefits.

2.13.1 Mandatory Benefits

Heidelberg participates in all mandatory benefits for faculty, including workers compensation, social security, and unemployment compensation programs.

2.13.2 Admission to University Events

During the academic year, faculty members and their families are admitted free to most campus activities such as athletic contests, music performances, guest performances and lectures. Procedures for obtaining free tickets for events which require tickets will be announced. Certain activities and/or performances carry a designated charge for admission, and are exempt from this policy.

2.13.3 Disability Insurance

Total disability insurance is available to all full-time employees. (For the purpose of this program only, full-time employees are those working at least 32 hours per week.) The policy includes a monthly income benefit and a monthly waiver benefit of retirement annuity payments.

Employees become eligible for total disability insurance effective on the date of hire. Employees must complete an application within 31 days from employment. Employees electing not to join the plan must complete a waiver form and return it to the Business Office. Forms are available in the Business Office. Enrollment after 31 days will require evidence of insurability.

2.13.4 Flexible Benefit Plan

All full-time employees and those employed one-half time or more are eligible to participate in the Flexible Benefit Plan. This benefit program allows payment for certain expenses using “pre-tax” dollars. The Flexible Benefit Plan utilizes payroll deduction to establish an account which can reimburse participants for expenses including:

  • Un-reimbursed medical expenses
  • Dependent Care Assistance Program
  • Insurance Premium Payment Plan

    1. Health Insurance Premium
    2. Disability Insurance Premium
    3. Dental Insurance Premium

On September 3, 2003, the Internal Revenue Service (IRS) and the U.S. Treasury department announced that certain over-the-counter medications may now be reimbursed with pre-tax dollars through health care flexible spending accounts (FSA). Thus, reimbursements through this FSA may now be possible for many medications, provided the employee properly and sufficiently substantiates the expense.

The Internal Revenue Service has set certain rules and regulations that must be carefully considered before enrolling in a medical reimbursement plan:

  1. You cannot change your deposit amount during the plan year, unless justified by a change in your family status.
  2. Medical expenses reimbursed through your Flexible Benefit Plan cannot be taken as federal income tax deductions.
  3. Any amount left over in your account after all qualified claims have been processed at the end of the plan year will be forfeited.

Additional information regarding eligibility and enrollment can be obtained from the Humans Relations Office.

2.13.5 Medical Coverage

All full-time employees, and those employed one-half time or more, are eligible to participate in the health care plan made available by the University. This insurance program includes both medical and prescription drug insurance benefits.

New full-time employees should apply for health insurance coverage when hired, no later than 15 days from the date of employment. Coverage becomes effective on the date of hire. The University shares in the cost of the premiums for all covered employees.

Details on the health insurance plan are available from the Human Relations Office and may be picked up when applying for these benefits at the time of employment. For answers to specific questions, contact the Vice President for Business Affairs or the Human Relations Office.

The Consolidated Omnibus Budget Reconciliation Act (COBRA) allows employees who lose health coverage because of termination or a reduction in the number of hours of employment, or employee dependents who lose coverage because of the death of the employee, divorce, legal separation, or because of the 23-year age limitation for dependent children to continue their coverage ranging from 18 to 36 months provided:

  1. They exercise their option for continual coverage within 60 days after the date of loss of coverage;
  2. They pay the applicable monthly premium plus a 2 percent administrative charge on a timely basis;
  3. The employee or dependent does not qualify for coverage under another group health plan or Medicare;
  4. The University continues to offer the health plan in which the employee or dependent was enrolled.

It is the faculty member’s responsibility to inform the spouse and children of their COBRA rights under the law and to inform the University in writing when a member of the family becomes eligible for COBRA benefits.

2.13.6 Dental Plan

All full time employees are eligible to participate in a voluntary dental plan. This plan offers a variety of coverage to meet the varying needs of employees. Faculty members interested in participation in the dental plan should contact the Human Relations Office.

2.13.7 Professional Insurance Coverage

Heidelberg University provides two forms of professional insurance coverage to faculty: professional liability and travel. Professional liability applies to a claim for damages caused by a “wrongful act” while the faculty member is performing professional duties appropriate to his/her contractual obligations. A “wrongful act” is defined as any actual or alleged act, error, omission, misstatement, misleading statement, neglect, or breach of duty by a faculty member in the discharge of his/her duties. Coverage includes legal representation for the faculty member. There are a number of exclusions to this coverage, the most pertinent of which includes a legal determination that the faculty member knowingly engaged in a dishonest, fraudulent, criminal or malicious action or recklessly violated any governmental regulation.

Travel insurance provides coverage for faculty traveling on University business, excluding commuting to and from campus. Coverage begins at the actual start of an anticipated trip from the faculty member’s place of employment, home, or other location. Coverage terminates upon return to the place of employment or home, whichever occurs first. The policy provides payment for losses due to accident and also includes provisions for disability and medical expenses. There are a number of exclusions to this coverage. Examples include intentional, self-inflicted injuries by the faculty member or the faculty member being under the influence of alcohol or a “controlled substance,” as legally defined, unless administered on the advice of a physician.

2.13.8 Reimbursement

The University will reimburse persons for use of privately-owned vehicles on University-related business at a designated rate per mile. Requests for reimbursements for travel expenses should be accompanied by receipts and must be approved by the Chair/Director.

Reimbursement for designated moving expenses is available to new faculty. Contact the Vice President for Business Affairs for further information.

2.13.9 Retirement

Heidelberg provides a Teachers Insurance and Annuity Association-University Retirement Equities Fund (TIAA-CREF) retirement plan for all faculty and administrative personnel. Full-time employees in these categories are required to participate in the plan upon completion of three years of service, although they may choose to participate upon completion of one year of service. Those employed at least half-time but less than full-time also may choose to participate following one year of service. For eligible persons who previously have participated in a TIAA-CREF plan, and who have retirement annuity plans in force, participation shall be optional from the beginning of service and required at the conclusion of the third year of service.

Each participant in the retirement plan shall contribute monthly, to the nearest dollar, 6% of the monthly salary.

For each eligible participant in this retirement plan, Heidelberg will contribute an amount equal to 6% of the monthly base salary. Beginning with the month in which the employee reaches age 50, Heidelberg will also contribute an additional 3% of the employee’s monthly base salary. Employees may also elect to make individual contributions to a Supplemental Retirement Annuity (SRA) account. The employee and employer contributions will be forwarded to TIAA-CREF each month. Employees receiving an Absence of Leave without pay might be eligible to continue participation in the Retirement Plan during the absence from campus. See Section 2.10.2 for details.

Upon enrollment in TIAA-CREF, participants will receive an enrollment packet with information about the TIAA-CREF system. Information booklets are available upon request.

Each retirement annuity plan written in accordance with this plan will be the property of the individual participant; the agreement is between the participant and TIAA-CREF.

Heidelberg reserves the right to discontinue its contributions toward retirement annuity premiums and its supplementary benefit payments at any time, as determined by the Board of Trustees.

By action of the Heidelberg University Board of Trustees, the effective date of this retirement plan shall be September 1, 1938, as amended June 11, 1965.

Those who plan to retire should meet with the appropriate Vice President to formulate retirement plans and celebrations.

2.13.10 Tuition Remission Benefits

Eligible children of faculty members employed on a full-time basis during and after the 1974-1975 academic year will be permitted to attend Heidelberg University without payment of tuition.

  1. Children must be unmarried, not over twenty-three years of age unless having served in the military, and dependent upon the parent employed by Heidelberg University.
  2. Children dependent on the employee as a result of adoption or marriage are eligible.
  3. No more than eight semesters or twelve quarters of full-time undergraduate work are permitted.
  4. Students in this program must stay in good academic standing as defined by the institution.

Full time faculty members who retire with a minimum of 10 years of full time service are eligible for the Tuition Remission program for dependent children, subject to the stipulations given above.

If the death of a faculty member occurs after a minimum of seven years of full time service, the Tuition Remission program will apply to the faculty member’s dependent children according to the stipulations above.

A faculty member or the spouse of any faculty member may attend Heidelberg University without charge for tuition except for course work taken by an Independent Course Contract.

Heidelberg participates in two tuition exchange programs: Tuition Exchange and the Council of Independent Universities’ Tuition Exchange Program. Both of these programs have restrictions which are not controlled by Heidelberg. As long as the program is available, children of persons hired after the 1974-1975 academic year meeting criteria 2.13.10 (1) – (4) above may participate. Information may be obtained from the Vice President for Business Affairs.

In all cases, the faculty member shall contact the Vice President for Business Affairs one year in advance of participation in Tuition Remission or Tuition Exchange programs.

Eligible children of faculty members may participate in the High School Options program without charge. Participation does not count toward the eight semester limitation for tuition remission or tuition exchange.

Eligible children and spouses of faculty members may receive tuition remission for Heidelberg summer classes which have sufficient enrollment. Participation does not count toward the eight semester limitation for tuition remission or tuition exchange.

Eligible children of faculty members employed on a full-time basis by the University/University during the 1973-1974 academic year are permitted to attend Heidelberg University without payment of tuition, or, if they choose to attend another University, Heidelberg will pay the tuition at that University, provided the faculty parent was so employed during the 1973-1974 academic year, including authorized leaves of absence.

2.14 Compensation Policies

Compensation is paid on a twelve month basis, on the first day of every month. Pay checks are ordinarily paid through electronic deposit at the financial institution of the faculty member’s choice. While contracts are in effect throughout the designated academic year, raises or changes in compensation are decided by the Board of Trustees, and take effect January 1, or other time decided by the Board. For more information, contact the Vice President for Business Affairs.

2.15 Grievance Policy

2.15.1 General Considerations

This Faculty Hearing Procedure pertains only to those faculty members with full-time appointment as identified in Section 2.3.

It is expected that all department problems will first be considered by the department involved and that most will be resolved within the department. The following procedure applies only after these resources have been utilized to the fullest extent.

2.15.2 Procedure for the Person Presenting Complaints

The person wishing to present the complaint(s) shall do so first to the Provost of the University. The Provost has the responsibility of consulting with the parties involved and of attempting to resolve the problem.

If a mutually satisfactory resolution cannot be attained through the Provost's office, the person presenting the complaint must formally request, in writing, consideration of the issue by the Faculty Personnel Committee, which shall attempt to resolve the problem. The Committee shall also submit its written report to the President of the University.

If the problem cannot be resolved at this point and if the person presenting the complaint desires a formal hearing, the individual must directly request, in writing, that the Faculty Personnel Committee initiate formal hearing procedures and the formulation of an ad hoc Faculty Hearing Committee. The letter must contain the specific grievances by the individual.

The ad hoc Faculty Hearing Committee shall present its report(s) and conclusion(s) to the President of the University. If the report and conclusion are not unanimous, separate reports must be filed. The person presenting the complaint shall receive a copy of all reports together with the President's decision.

The President shall consider all reports and prepare a written decision concerning the complaint. The President shall discuss the decision and the supporting documents with the person presenting the complaint. The President shall submit the decision along with all reports to the Academic Affairs Committee of the Board of Trustees.

In the event that the President is a party to the grievance, the report of the Hearing Committee will be submitted directly to the Academic Affairs Committee of the Board of Trustees.

2.15.3 Establishment of the ad hoc Faculty Hearing Committee

All full-time teaching faculty members at Heidelberg University are eligible.

The Secretary of the Faculty shall choose, by random methods, thirty members who shall be available as a panel. The names of those on the panel shall be known only to the Secretary.

Upon receiving instructions from the Faculty Personnel Committee, the Secretary of the Faculty will choose, by random methods, four names from the panel. These names are to be chosen in the presence of the involved parties, if they so desire. These four names shall constitute the list of the Hearing Committee, providing the following conditions are met:

  1. No faculty member who is in the same department(s) as the involved parties or who is involved in the hearing shall serve.
  2. Each party has the right to strike the name of one member of the original four and that person will be replaced by another randomly selected member.

No faculty member shall serve on such a committee more than once in two consecutive academic years.

The Hearing Committee shall be discharged upon receipt of its report(s) by the President.

2.15.4 Procedures of the Hearing Committee

A member of the Faculty Personnel Committee shall serve on the Hearing Committee in any capacity that the Hearing Committee chooses. The Faculty Personnel Committee member shall be present throughout the formal hearing and shall insure the confidentiality of all records of the hearing. Upon completion of this responsibility, the Faculty Personnel Committee member shall not be involved in the deliberations of the Hearing Committee.

The involved parties have the right to select a Heidelberg colleague of their own choosing who may act as advocate.

There shall be a single session in which all parties involved shall make their statements before the Hearing Committee. If the Hearing Committee feels that it needs further information or clarification, the Committee may call other sessions to which all involved parties must be invited. From the time of the original request for the hearing to the final recommendations, the hearings should be completed as speedily as schedules and conditions will allow. Excluding vacation periods, this period of time shall not exceed sixty days.

Testimony and all documents and information regarding the hearing are viewed as confidential. Any tapes or transcripts are the property of the Faculty Personnel Committee and are not for duplication or distribution. However, either parties to the complaint may have access to the records under the supervision of the Faculty Personnel Committee.