Faculty Affairs

The Role of the Faculty

The Board of Regents assigns a major role in the governance of this institution to the faculty of Texas Tech University in the areas of general academic policies and welfare, student life and activities, requirements for admission and graduation, honors and scholastic performance generally, approval of candidates for degrees, and the faculty rules of procedure. All actions taken by the faculty are subject to the authority of the Board of Regents.

The general faculty delegates the detailed exercise of its powers to the Faculty Senate, a group consisting of faculty members who do not hold administrative positions higher than department chair. This provides a deliberative body that makes recommendations to the Provost and the President concerning a wide range of policies affecting the University.

Matters relevant to graduate studies are referred to the Graduate Council, a body of elected representatives of the colleges chaired by the Dean of the Graduate School and including associate deans of the Graduate School. This is the legislative body of the University's graduate degree programs. It determines minimum criteria for admission to and continuation in graduate degree programs, approves new graduate degree programs, and can recommend the abolition or modification of existing degree programs. It provides advice to the Graduate Dean on graduate program matters in general.

College, school, and department faculties establish the rules of membership and procedures for themselves according to University guidelines. Voting members consist of professors, associate professors assistant professors, and­in some instances­visiting professors and adjunct professors as set by previously determined procedures. Each faculty member at the University provides an annual report to the department chair; this is made a part of the permanent file. The department chair communicates the results of the annual evaluation to each faculty member.

Faculty responsibilities include teaching, research, and service. Faculty members at Texas Tech are expected to perform their teaching and other duties well and to be loyal to the University in its purposes. Faculty members are also expected to make reports to University offices as may be requested and to turn in periodic and final semester grade reports in a timely fashion.

Texas Tech University subscribes fully to the general principles endorsed by the Association of American Colleges in January 1941 and by the American Association of University Professors in December 1941 to the statement of principles included in the standards of the Southern Association of Colleges and Schools. Statement of principles confirms that:

Institutions of higher education are conducted by the common good and not to further the interest of either the individual teacher or the institution as a whole. The common good depends upon the free speech for truth in its free exposition.

Academic freedom is essential to these purposes and applies to both teaching and research. Freedom in research is fundamental for the protection of the rights of the teacher in teaching and of the student to freedom and learning. It carries with it duties correlated with rights.

Academic Freedom

Institutions of higher education are conducted for the common good. The common good depends upon a free search for truth and its free expression. Hence, the faculty member must be free to pursue scholarly inquiry without undue restriction and to voice and publish conclusions concerning the significance of evidence considered relevant. The faculty member must be free from the corrosive fear that others, inside or outside the University community, because of their differing view, may threaten the faculty member's professional career or the material benefits accruing from it.

Each faculty member is entitled to full freedom in the classroom in discussing the subject taught. Each faculty member is also a citizen of the nation, state, and community, and when speaking, writing, or acting as an individual citizen, must be free from institutional censorship or discipline.

Academic Misconduct

The University is strongly committed to upholding standards of academic integrity. These standards require that students never present the work of others as their own. Any student found to have committed the following academic misconduct is subject to the disciplinary sanctions, conditions, and/or restrictions outlined below and in Part IX, Section E of the Student Affairs Handbook. All references are to sections of this publication.

Cheating. This violation includes, but is not limited to: (1) use of any unauthorized assistance or assisting others in taking quizzes, tests, or examinations; (2) dependence upon the aid of sources beyond those authorized by the instructor in writing papers, preparing reports, solving problems, or carrying out assignments; (3) the acquisition, without permission, of tests or other academic material belonging to a member of the University community; (4) alteration of grade records; or (5) bribing or attempting to bribe a member of the University community or any other individual to alter a grade.

Plagiarism. This violation includes, but is not limited to, the use, by paraphrase or direct quotation, of the published or unpublished work of another person without full and clear acknowledgment. It also includes the unacknowledged use of materials prepared by another person or agency engaged in the selling of term papers or other academic materials.

Instructor Responsibilities. The instructor in a course is responsible for initiating action in cases where there is an admitted act or convincing evidence of academic misconduct. Before taking such action, the instructor should attempt to discuss the matter with the student. If the alleged misconduct involves a final exam, the instructor will withhold the grade until a reasonable attempt can be made to contact the student after the end of the semester.

Instructor Sanctions. If academic misconduct is determined by the instructor, a failing grade shall be assigned to either the assignment in question or to the course grade. When a student is given a failing grade in a course as a result of academic misconduct, the instructor shall report in writing to the instructor's department chair the facts of the case and the action to be taken against the student. The chair shall provide a copy to the student, to his or her academic dean (and the Graduate Dean in the case of graduate students) and to the Dean of Students.

Grade Appeal Procedure. The Grade Appeal Procedure (Part V of the Student Affairs Handbook) may be used to appeal a failing course grade, but not a failing grade given for a class assignment. The disciplinary penalty of a grade of F shall not be implemented until the disciplinary procedures or grade appeal process has been exhausted. A student may continue the academic class and course work until a final decision is made.

Repeated Academic Dishonesty. In cases of repeated violations, either the instructor (through his or her department chair and/or academic dean) or the academic dean may refer the case to the Dean of Students for further disciplinary proceeding.

Referrals to the Dean of Students. A student referred to the Dean of Students for alleged violation of academic misconduct is entitled to all substantive and procedural guarantees provided in the Code of Student Conduct.

Disposition by the Dean of Students or Designee. A written report of any disciplinary action taken by the Dean of Students or designee will be sent to the appropriate academic dean and to the student. The final results of a grade appeal shall be reported to the instructor by the appropriate academic dean in the manner required by the grade appeals procedure (Part V of the Student Affairs Handbook).

School of Law. Law students are subject to discipline procedures as described in the Honor Code of the School of Law.

Academic Regulations

Regulations concerning admission, registration, grading practices, class attendance, the University calendar, and other similar matters are stated in the current Undergraduate and Graduate Catalogs. Faculty members are advised to consult the catalogs in order to become familiar with those regulations. Information concerning admission of graduate students is contained in the current Graduate Catalog. Additional information may be distributed as needed by memoranda or letters.

Adoption and Sale of Textbooks and Related Materials

Texas Tech University encourages faculty members to publish textbooks and other professional works. Such textbooks may be used by the author or by other staff members in their classes if the textbook has been printed by a recognized and reputable publishing house at its own risk and expense, has been made available for open sale, and has been approved for classroom use by a textbook committee of the department. Such approval must be made in writing and is to be secured annually.

Educational material in any multigraphed form, which is to be sold for use in class or in laboratory work, must be approved by a departmental textbook committee. Such material is to be made available to students through an established bookstore or copying service. A member of the faculty or staff may not have any financial interest in, or receive any financial compensation from, the sale of such material. Under no circumstances shall money be paid by a student to a teacher or instructor for any instructional material.

A committee shall be appointed by the Faculty Senate to render an advisory opinion or to hear any appeal lodged with the Provost by either faculty, administrator, or student, concerning any alleged conflict of interest from the sale of textbooks or other materials. The decision of the committee shall be final. (OP 30.18)

Americans With Disabilities Act (ADA)

The Americans with Disabilities Act, Public Law 101-336, was signed into law on July 26, 1990. This far-reaching statute does more than simply add "disability" to the list of protected classes under federal law and is not simply a duplication of The Rehabilitation Act of 1973. It was Congress' intent to effect sweeping changes in the attitudes and practices of American businesses and state and local government agencies in order to remove barriers to employment and services for persons with disabilities. The ADA has wide ranging effects and it will take most universities substantial time to review and revise their policies to bring them into compliance with the law.

With the growing number of disabled students on campus, it is most important that faculty members be aware of how they are identified, when and how to make reasonable accommodation, the services available to disabled students, and the assistance available to faculty in this process.

Section 504 of the Rehabilitation Act of 1973, as amended, and the Americans with Disabilities Act (ADA) require that universities, and all faculty and staff therein, make reasonable accommodation for all students with disabilities in all programs and activities, both academic and non-academic. If such reasonable accommodation is denied to any disabled student, the institution may be held in violation of the law.

It is advisable that you ask in each first class session that students with disabilities or health problems identify themselves to you (privately after class or during your office hours) and indicate to you any special accommodations you will need to make for them during the semester (for example, extended time examinations). Examples of how this may be done are included below. While disabled students are always told to notify their professors, some may be reluctant to do so.

Faculty are not obligated to provide accommodation for a student's disability needs unless the student provides proof of a disability for which the accommodation requested is appropriate. Ideally, such proof should be provided at the beginning of the semester.

The University-approved mechanism for doing so is written notification from Disabled Student Support. The written notice indicates to professors that the student has given proof of his or her disability and that the accommodation noted is considered appropriate and reasonable.

No further proof of disability should be required of the student. Students presenting other kinds of verification should be referred to Disabled Student Support in the Dean of Students Office for the appropriate identification. No requirement exists that accommodation be made prior to completion of the approved University process.

Faculty should be aware of the related student grievance process as detailed in the Student Affairs Handbook.

It is our hope that this system will enable faculty and staff to easily and quickly access those resources necessary to respond effectively to these students' needs, particularly those students whose disabilities are not visible or as familiar as others. The Dean of Students Office is available to advise and assist faculty members in the accommodation process.

Keep in mind that the purpose of classroom accommodation is to eliminate the competitive disadvantage caused by the disability itself. Students with disabilities should be expected to do the same quality of work and the same quantity of work as every other student. It is the method by which this is accomplished that is sometimes different.

An example for a statement in class would be "I would appreciate hearing from anyone who has a disability that may require some special accommodations. I am sure we can work out whatever arrangements are necessary. Please see me after class or during my office hours."

Faculty are encouraged to insert one of the following into each course syllabus:

Option I: The University is committed to the principle that in no aspect of its programs shall there be differences in the treatment of persons because of race, creed, national origin, age, sex, or disability, and that equal opportunity and access to facilities shall be available to all. If you require special accommodations in order to participate, please contact the instructor at _______________. Students should present appropriate verification from Disabled Student Services, Dean of Students Office. No requirement exists that accommodations be made prior to completion of this approved University process.

Option II: Any student who, because of a disability, may require some special arrangements in order to meet course requirements should contact the instructor, _________________________, as soon as possible to make necessary accommodations. Students should present appropriate verification from Disabled Student Services, Dean of Students Office. No requirement exists that accommodations be made prior to completion of this approved University process.

Appointments

Original appointment to the faculty of Texas Tech University is confirmed by use of an official form which sets forth the regular and standard conditions of employment, including salary and period covered. Special provisions and conditions, if any, are included on the form. The form bears the signature of the President or of a designated representative at the time it is sent to the appointee, as well as instructions for completion and disposition of the copies. Notification will be given of subsequent changes in rank or salary. (OP 32.17)

Awards and Honors

Awards and honors are available to faculty through selection by the Honors and Awards Council, the Dads and Moms Association, Mortar Board and Omicron Delta Kappa, Faculty Development Committee, Research Council, Ex-Students Association, and deans. Some of these awards are Spencer A. Wells Faculty Award, Hemphill Wells New Professor Excellence in Teaching Award, Barney E. Rushing, Jr., Faculty Distinguished Research Award, Faculty Distinguished Leadership Award, Faculty Recognition Award by Mortar Board and Omicron Delta Kappa, President's Excellence in Teaching Award, President's Academic Achievement Award, and Ex-Students Association New Faculty Award.

Chairs and Designated Professorships

Designated academic positions are one means the University uses to honor certain faculty assignments. Designated positions affirm the importance of an area of scholarship and inquiry.

Certain professorships are designated to recognize outstanding service in one or more areas.

Horn Professorships

Horn Professorshipsthe highest honor the University may bestow on members of its facultyare granted to professors of international or national distinction for outstanding teaching, research, or other creative achievement. The number awarded is not limited, nor is any attempt made to maintain any fixed ratio between colleges or departments. The base salary of an appointee is increased by not less than $2,000. The first four appointments were made in 1967 and were named in honor of Texas Tech's first president, Paul Whitfield Horn.

Endowed Professorships and Chairs

Endowed professorships and chairs are important because they give the University the ability to attract and retain scholars of extraordinary talent. Policies and procedures related to establishing endowed chairs and professorships are in the Manual for Institutional Development.

Currently, chairs have been established in the colleges of Agricultural Sciences and Natural Resources, Arts and Sciences, Business Administration, Education, Engineering, and Human Sciences as well as in the School of Law.

Class Excuses from Student Health Services

Student Health is a primary care clinic staffed with licensed health care professionals who provide care for minor illnesses and injuries, with a focus on prevention.

Students enrolled for 4 or more semester hours pay a medical services fee which entitles them to necessary visits to Student Health Services and access to other services, when appointments are available. As over 150 appointments are available daily for care, we believe the students have a wide variety of choices for appointment times, and conflicts with class schedules are very few. We will not give excuses for missed classes due to a visit to the clinic. Students with a major illness may consult with their physician at Student Health Services and may request a physician's letter for excessive class absences due to major illness. The student may sign a release of medical information to allow Student Health administrators to discuss the situation with the Dean of Students.

In accordance with state law, a student's medical information is kept completely confidential and cannot be released to anyone without the student's written permission. Brochures about our services are available at the University Center, 1st floor at West Hall, Student Affairs administration office, Student Rec Center, and Student Health Services. Contact Student Health Services at 743-2860 with any questions or concerns.

Commencement

Three commencement ceremonies are scheduled each academic year. The December ceremony honors fall graduates. The May commencement honors spring graduates, and the August ceremony honors those students who complete their degree requirements during the summer. Faculty members are urged to attend commencement ceremonies.

Communicable and Transmittable Disease Control in the Employee Workforce

Texas Tech University is committed to providing fair and equal employment opportunities for all individuals, including those who have been exposed to communicable and/or transmittable diseases. The University is also committed to providing a safe workplace for all employees and a safe environment for its students which meets or exceeds federal, state, and local regulations.

The University is legally and ethically required to refrain from releasing any information pertaining to a person diagnosed as having a serious medical illness. Knowledge of any person so affected will be confined to those persons with a direct need to know.

This policy applies to all areas of the University and personnel administration including, but not limited to, hiring, job assignment, opportunities for training and development, pay, benefits, promotions and demotions, layoffs and terminations, and standards of personal conduct.

The following definitions apply:

a. Communicable Disease - A disease easily spread by casual contact and which poses a threat to other employees and/or to students.

b. Transmittable Disease - A disease not easily spread by casual contact but which may be blood borne, transmitted sexually or through other bodily fluids, or transmitted in other ways so as to pose only a limited threat to other employees and/or students.

c. Noncommunicable Disease - A disease not considered transferable from person to person so as to pose no threat to other employees and/or students.

An employee who is a victim of a communicable or transmittable disease as determined by medical certification may elect to utilize sick leave, vacation leave, and temporary disability leave without pay benefits in accordance with normal University policies (OP 70.01) and/or family medical leave policies (OP 70.32).

In addition, an employee who is a victim of a communicable or transmittable disease which poses a threat to other employees or students may be required by the applicable administrative officer to utilize additional sick leave, vacation leave and/or leave without pay benefits until such time as such threat is removed. The employee may also be required by the University to obtain a medical certification that he does not represent a threat to other employees or students prior to being permitted to return to work at the discretion of the applicable administrative officer.

The employee may also be reassigned to other work or to other work areas in order to reduce or remove the threat posed to other employees or students.

Each case will be evaluated on the basis of that particular case taking into consideration the desires and rights of the employee, the safety of the workplace, and the needs of the University.

An employee who is a victim of a noncommunicable disease as determined by medical certification may elect to use sick leave, vacation leave, family medical leave, and temporary disability leave without pay benefits in accordance with normal University policies. Such employees may be permitted to work as long as the employee is able to work a regular schedule and fulfill the duties and responsibilities of the position. (OP 70.24)

Compensation for Teaching Distance Learning or Extension Courses

Full-time University employees are compensated for teaching Distance Learning or Extension courses according to limitations expressed in the state appropriations bill for education in effect at a particular time. Faculty members who are approved by their department chairs may earn up to $1400 to develop Distance Learning courses. (OP 32.10)

Conflict of Interest Ethics Code

By state law, no officer or employee of a state agency shall have any interest, financial or otherwise, direct or indirect, or engage in any business or transaction or professional activity or incur any obligation of any nature which is in substantial conflict with the proper discharge of duties in the public interest. (The full text of this law may be found in Vernon's Civil Statutes of the State of Texas Annotated. Article 6252-9b.)

In November 1967 the voters of Texas approved an amendment to the Texas Constitution that would allow "non-elective state officers and employees to serve in other non-elective offices or positions under this state or the United States...if the offices or positions are of benefit to Texas or are required by state or federal law, and there is no conflict of interest with the original office or position . . ." (OP 32.33)

Notification of such appointments should be made in writing to the department chairperson.

In response to federal requirements, the University has established a policy on conflicts of interest in sponsored research (BOR 04.10). The policy requires that any faculty or staff member listed as a principal investigator or co-principal investigator on a proposal disclose any significant financial interests that would reasonably appear to be affected by the research of educational activities proposed for funding. Forms for the disclosure and further details can be found in the Board Policy Manual.

Consulting or Outside Employment

It is desirable that the faculty be composed of persons with such competence in their fields that their service in a professional capacity will be sought outside the University. Hence, a faculty member may, with prior approval of administrative authorities, do outside work for pay during the months of regular employment. However, such outside work must not interfere with normal duties, including those extra responsibilities expected of all faculty members. Therefore, the amount of time involved and absence from the campus while rendering outside services are of primary concern.

Outside employment must be compatible with the interests of the institution and of such a nature that it will not impair the usefulness of the individual as a teacher and scholar.

Details regarding consulting or outside employment are covered in OP 32.07.

Correspondence Requiring Official Action

Correspondence requiring official action goes from the faculty member to the department chairperson for transmittal to the academic dean, to the Provost, and to the office of the President. Routine correspondence (such as request for leave of absence, budgetary matters, etc.) is normally routed only to the person designated to take the action requested. No correspondence of a personal nature should be transmitted on University letterhead.

Day of No Classes

During the day of no classes before final examinations, no University activities may be scheduled. These include study periods, make-up examinations, or any other activity that would interfere with the individual study time available to students.

Emeritus Appointments

The Board of Regents has established the following policy with respect to emeritus appointments. The title "Emeritus" may be conferred as a recognition for long and faithful service, or for very distinguished service to the institution. Members of the faculty with rank of Professor or Associate Professor at retirement may be given emeritus appointments provided they have completed at least ten years of service at Texas Tech University or have been recommended on the basis of "very distinguished service." If the emeritus status is proposed on the basis of very distinguished service, the advice of the Faculty Senate shall be sought by the President. Administrative officers in major positions at the time of retirement from administrative duties may be considered for emeritus appointments. Emeritus appointments are strictly honorary and without stipend. Each such appointment shall be subject to approval by the Board of Regents upon recommendation by the President. (OP 10.07, BOR 06.01)

Equal Employment Opportunity and Affirmative Action

Personnel practices of Texas Tech are based on fairness and honesty, and they are designed to provide equal opportunity in employment for all employees and applicants for employment. Texas Tech equal employment opportunity and affirmative action policies prohibit discrimination in employment based on race, color, religion, national origin, sex, age, disability, or Vietnam Era or special disabled veterans status.

Texas Tech adheres to the principles of affirmative action. The institution has affirmative action plans which require that special efforts be made to recruit, hire, and promote qualified women and members of racial and ethnic minorities for those job categories in which they are under-represented in relation to their availability in the labor market.

It is also a policy of the University to maintain a workplace free from sexual harassment and intimidation. Such conduct on the part of any employee is expressly prohibited, and the offenders will be subject to disciplinary action.

Equal employment opportunity and affirmative action policies have legal basis in the following legislative and executive acts: Equal Pay Act of 1963; Civil Rights Act of 1964, as amended; Age Discrimination in Employment Act of 1967, as amended; Vocational Rehabilitation Act of 1973; Title IX of the Education Amendments of 1972; Vietnam Era Veterans' Readjustment Act of 1974; Executive Order 11246; and American With Disabilities Act.

To implement the policies of equal employment opportunity and affirmative action, the Office of Equal Employment Opportunity provides the following services: (1)information on correct recruiting, screening, interviewing, selection, and termination procedures; (2)training workshops on EEO/AA issues; (3)employee counseling and reconciliation of employment grievances; (4)resource information on EEO/AA-related issues.

Questions regarding equal employment opportunity and affirmative action at Texas Tech can be referred to the Office of Equal Employment Opportunity.

Faculty Development Assignments

Faculty Development Leaves are provided by legislative action "designed to enable the faculty member to engage in study, research, writing, and like projects for the purpose of adding to the knowledge available to himself, his students, his institution, and society generally." There are attendant statutory regulations concerning such leave. The Provost annually makes notification of the number of leaves to be available and procedures for selection of such leaves. The Faculty Development Committee screens applications and makes recommendations concerning them. (OP 32.29)

Faculty Enrollment in Courses

Full-time members of the faculty and staff of Texas Tech may enroll for courses by permission of the department chairperson concerned. In registering for graduate work they become subject to the usual regulations of the Graduate School. However, members of the faculty who hold rank higher than instructor at Texas Tech are not normally eligible to pursue a graduate degree program at this institution; exceptions require prior approval of the Graduate Dean.

Faculty and staff enrolling for course work are exempt from payment of certain fees. The form "Application by Student Employees for Waiver of Nonresident Tuition of Other Fees" should be completed prior to registration. The completed form should be presented at the time of registration.

Families of faculty members who work half-time or more pay resident tuition. (OP 70.03)

Faculty Responsibility

Texas Tech University is a publicly supported institution which is obligated to provide instruction in higher education, to advance knowledge through scholarship and research, and to provide related services to the community, the state, and the nation. As a center of learning, the University has the obligation to maintain conditions which are conducive to freedom of inquiry and expression in the maximum degree compatible with the orderly conduct of its functions. The responsibilities of the University dictate, to a major extent, the responsibilities of the individual faculty member. The faculty member is properly concerned with the whole process of education and is aware of the responsibilities of the University in a free society. Responsibility is assumed for performing several essential functions: teaching, research, University service, professional service, and community service.

Teaching

As a teacher, the faculty member has responsibilities to students, to a discipline, to a profession, and to the University. These responsibilities entail facilitating the intellectual and emotional growth of students, encouraging free inquiry in the classroom, and striving to create and maintain a climate of mutual respect which will enhance the free interplay of ideas. A faculty member has a responsibility to recognize the varying needs and capabilities of students and to make every effort to assure that evaluations of student's work reflects the student's level of achievement. The faculty member as a teacher also has the responsibility to uphold the highest scholarly standards and encourage respect for such standards in the classroom, to engage in a continual and critical study of the subject matter of one's discipline, to ensure that class presentations contain the most current and useful knowledge and that the course being taught is consistent with the course of study outlined by a department or college, and to recognize the responsibilities of a teacher as a counselor and devote a reasonable portion of time and aiding, guiding, and counseling students outside the classroom. Finally, the faculty member has a responsibility to strive to maintain those skills and values that ensure the continuation of free and open inquiry.

Research

Through research a faculty member grows intellectually, stimulates students' learning, and adds to the accumulated knowledge of a discipline. A faculty member should strive constantly to contribute to the growth and understanding of knowledge in one's particular field through creative research and scholarship. The faculty member has an additional responsibility to share the results of research by disseminating them to students, colleagues, and professionals in one's discipline, and to the public.

University Service

A faculty member has a responsibility to participate in the various activities, programs, and functions related to the enhancement of the University, such as participating in the formulation of academic policies, service on University committees, and other assignments.

Professional Service

Within one's field of competence and as time and resources permit, the faculty member has a responsibility to respond to requests for advice and aid and to participate in the activities of one's profession. The faculty member should exercise care to avoid infringement upon obligations and responsibilities to the University.

Community Service

As a member of a community, the faculty member has the same obligations and responsibilities as those incumbent upon other members of the community to contribute to the effective functioning of the community. Such services should be consistent with regulations of the University and the state.

In the case of both professional and community service, the faculty member should exercise discretion in distinguishing between acts carried out or statements made as an individual or a professional and those carried out or made as a representative of the University. (OP 32.06)

Drug-Free Workplace

It has long been the policy of the University to maintain a drug-free workplace as exemplified by the Board of Regents Policy, Conduct of University Members, approved March 30, 1979. Furthermore, the Drug Free Schools and Communities Act Amendments of 1989 require that the University distribute appropriate written materials annually to each employee and student and conduct a biennial review of the Texas Tech drug prevention program.

The University has drug counseling through the Employee Assistance Program to assist employees and their family members with drug abuse problems. This service is also available for other common personal problems, such as emotional stress, trauma, divorce, parenting problems, financial problems, alcoholism, and legal difficulties. The program is designed to identify problems and then provide referral services to appropriate treatment sources for assistance. The Employee Assistance Program provides concerned assessment by professional counselors. As professionals, the counselors are pledged to confidentiality. There is no charge for initial assessment. When necessary, the employee or family is referred to the most appropriate service available at the least cost. The Employee Assistance Program is located at the Texas Tech University Health Sciences Center. To use the Employee Assistance Program, call 743-2800. Employees who feel they may have problems with drug use are urged to take advantage of this confidential treatment opportunity.

In addition to the Employee Assistance Program, the University also supports the Alcohol and Other Drug Abuse Awareness Committee to review and coordinate programs, services, and activities which are designed to educate the University community about the hazards of substance abuse. The committee is charged with keeping faculty and students informed about the dangers of drug abuse and other concerns related to this issue.

Conduct of University Members

Colleges and universities which are tax-supported must function in accordance with the public trust and the actions by faculty, staff, and students within them must be consistent with the execution of that trust.

The following offenses are hereby defined to exemplify and define actions which are in breach of that trust:

1. Academic dishonesty such as giving or receiving aid on a test, examination, quiz, or other academic assignment plagiarism;

2. Forgery, alteration, or unauthorized use of University documents, records, or identification materials;

3. Knowingly furnishing false information to the University;

4. The use of force or violence or other methods of obstructing the functions of the University which include teaching, research, administration, public service, presentations by guest lecturers and speakers, and other authorized activities;

5. Physical abuse of any person on University-owned or controlled property or at University-sponsored or supervised functions or conduct which threatens or endangers the health or safety of any such person;

6. Theft of or damage to the tangible property of the University or of a member of the University community or campus visitor;

7. Unauthorized entry to or use of University facilities;

8. Unlawful manufacture, distribution, dispensing, possession or use of a controlled substance, or any substance the possession or distribution of which is regulated by federal or Texas law, except where the manufacture, distribution, dispensing, possession or use are in accordance with the laws of each;

9. Lewd, indecent, or obscene conduct on University-owned or controlled property or at a University-sponsored or supervised function;

10. Failure to comply with the lawful directions of University officials where such directions are issued in the performance of their duties;

11. Violation of other promulgated University policies or rules.

Each faculty, staff and/or student employee is required to notify the University of any criminal drug conviction no later than five days after such conviction.

Adjudication of a violation of the standards established in this policy will result in the assessment of a penalty ranging from an oral reprimand to separation from the University.

Each employee of the University shall be furnished a copy of this policy and shall be required to abide by the terms of this policy as a condition of employment. (BOR 04.06)

Sexual Harassment

A basic objective of the University is to provide an environment in which faculty, staff, and students may pursue their careers and studies with a maximum of productivity and enjoyment. Behavior or conduct which interferes with this goal is not to be condoned or tolerated.

It is the policy of the University to maintain a work place and a learning environment free of sexual harassment and intimidation. Harassment of students on the basis of sex is a violation of Section 106.31 of Title IX of the Education Amendments of 1972. Harassment of Texas Tech University employees on the basis of sex is a violation of Section 703 of Title VII of the Civil Rights Act of 1964 and the Texas Commission on Human Rights Act. Sexual advances, requests for sexual favors, and other verbal or physical conduct of a sexual nature constitute sexual harassment when:

1. Submission to such conduct is made either explicitly or implicitly a term or condition of an individual's employment, participation in a University-sponsored educational program or activity, or in return for a grade or other consideration;

2. Submission to or rejection of such conduct by an individual is used as the basis for an academic or employment decision affecting such individual; or

3. Such conduct has the purpose or effect of unreasonably interfering with an individual's academic or work performance or of creating an intimidating, hostile, or offensive working or educational environment.

Any faculty member, staff member, or student may pursue a grievance within the procedures outlined in the Operation and Procedure Manual (OP 10.09) without fear of reprisal, stigma, or threats.

In conducting an investigation, the right to confidentiality, both of the complainant and of the accused, will be respected.

The entire Sexual Harassment Policy (OP 10.09) appears in Appendix I.

Pursuant to Article IX, Section 123.5 of the General Appropriations Act, Texas Tech is implementing EEO-Sexual Harassment training for each new benefits-eligible employee whose first day of work was after December 31, 1997. This is required training. Supplemental training for all employees (faculty and noninstructional staff) will be required biennially.

Faculty Sick Leave

A regular faculty member shall, without deduction in salary, be entitled to sick leave subject to the following conditions:

A faculty member shall earn sick leave entitlement beginning on the first day of employment and terminating on the last day of duty.

Sick leave entitlement shall be earned by a full-time regular faculty member at the rate of eight hours for each month or fraction of a month of employment and shall accumulate with the unused amount of such leave carried forward at the end of each month. A part-time regular faculty member shall earn a pro rata share based upon the percentage of time worked. Sick leave accrual shall terminate on the last day of duty. A faculty member shall not earn sick leave during those months when he or she does not have an appointment to teach.

Sick leave with pay may be taken when sickness, injury, or pregnancy and confinement prevent the faculty member's performance of duty or when the faculty member is needed to care for and assist a member of his or her immediate family who is actually ill. For purposes relating to regular sick leave, immediate family is defined as those individuals who reside in the same household and are related by kinship, adoption, or marriage, as well as foster children certified by the Texas Department of Protective and Regulatory Services. Minor children of the faculty member, whether or not living in the same household, will be considered immediate family for purposes of regular sick leave. A faculty member's use of sick leave for family members not residing in that faculty member's household is strictly limited to the time necessary to provide care and assistance to a spouse, child (minor or adult), or parent of the faculty member who needs such care and assistance as a direct result of a documented medical condition. Faculty members who must be absent from duty because of illness should notify their chairperson or other appropriate administrative officer at the earliest practical time. If the faculty member is unable to make this notification personally, the faculty member is responsible for arranging to have someone else do it.

To be eligible for accumulated sick leave with pay during a continuous period of more than three working days, a faculty member absent due to illness shall send his or her administrative officer a doctor's certificate showing the cause or nature of the illness or some other written statement of the facts concerning the illness which is acceptable to such administrative officer.

Upon return to duty after sick leave, the faculty member shall complete the prescribed application for sick leave and submit the same through normal administrative channels for consideration.

Sick leave forms must be submitted for all sick leave even though no classes were missed if the absence occurs during the normal workday for regular employees.

Absence of a faculty member because of illness shall ordinarily be defined in terms of half-day or whole-day units. A request for a half-day sick leave is to be made when the faculty member is not present during normal working hours at his or her normal duty station (office, classroom, laboratory, etc.) for a major portion of the half-day period. Illness of longer duration shall be reported in whole (eight hour) or whole and half-day (four hour) units.

Absence from significant responsibilities outside the normal work day, such as teaching an evening class, should be levied against the half-day in which the absence occurred, but the faculty member shall not be charged with more than one day of absence for any calendar pay period.

When an official University holiday occurs during a paid sick leave, the holiday shall not be charged against the sick leave.

Faculty members transferring between Texas Tech departments or state agencies will retain unused sick leave, provided service is uninterrupted.

Faculty members separated from state employment for reasons other than a reduction in force will have their sick leave balance restored if reemployed by the state within 12 months of separation, provided there has been a break in service of at least 30 calendar days. Employees separated under a reduction in force will have their sick leave balance restored immediately if reemployed by the agency or institution within 12 months of separation, or if reemployed by the state with an agency or institution other than the agency or institution from which the employee separated, within 12 months of separation.

Effective September 1, 2001, a member of the Teacher Retirement System may upon retirement purchase one additional year of membership service credit, provided the employee has 50 days or 400 hours of accumulated state sick leave that is unused as of the last day of employment before retirement. Only five days per year of unused sick leave may be accumulated per year toward the 50 days or 400 hours.

In the event of a faculty member's death, one half of his or her unused sick leave accumulation, not to exceed 336 hours, shall be paid to his or her estate as a death benefit.

Malingering and other abuses of sick leave shall constitute grounds for dismissal from University employment.

A Sick Leave Pool is maintained to benefit regular employees who suffer catastrophic injuries or illnesses. Refer to OP 70.01 for details.

Exceptions to the amount of sick leave an employee may take may be authorized by the President on an individual basis after a review of the merits of each particular case. Requests must be made through administrative channels to the Provost and then to the President.

The proper reporting and accounting for sick leave is mandated by the legislature. (OP 32.11)

Faculty-Student Conflict of Interest

The University is responsible for ensuring the integrity of the roles of faculty and students during the period of graduate or undergraduate enrollment and protecting them from conflict of interest. Faculty must avoid academic supervisory, teaching, or evaluative relationships with students that pose significant conflicts of interest from the standpoint of personal or professional connections. Such connections might include husband-wife or other affectional liaisons, supervisor-employee relationships, or parent-child relationships. The appearance of conflict of interest should be avoided. OP 32.33 sets forth details of procedures that are to be followed in this regard.

Faculty Workload

The faculty workload policy adopted by the Board of Regents conforms to the regulations of the Texas Higher Education Coordinating Board and the legislature. The current policy is set forth in the prevailing financial plan of the institution. In summary, the policy indicates that faculty members in their normal academic assignments are expected to carry out a number of essential functions, including the teaching of organized classes; academic advising and counseling; supervising practica, internships, and clinical teaching; directing individual study, theses, and dissertations; developing curricula; researching in scholarly areas; and serving related institutional and public entities.

Responsibilities for assigning appropriate workloads shall rest with the department chairpersons and deans; assignments are reviewed at the Provost level and reported to the President and Board of Regents each term.

Final Examinations

The official University policy on final examinations is as follows:

Five days are to be scheduled for final examinations at the end of each long semester. Summer term final examinations are scheduled for two days.

A 2-1/2 hour period of time is to be available for administering individual final examinations.

Individual faculty members determine whether a final examination or some other summary submittal or performance is appropriate for the course being taught. Departmental objectives, student welfare, and faculty responsibilities should be considered in reaching this decision.

Individual faculty members decide whether student exemptions from a final examination are appropriate.

All faculty members giving final examinations adhere to the printed scheduled time unless granted permission to deviate from the official time by the departmental chairperson and the dean. Final examination schedules are printed in the Schedule of Classes for each semester.

Examinations other than bona fide make-up examinations are not to be given during the last week of classes or during the day of no classes. Courses wherein lab examinations are normally scheduled the week prior to finals are excluded from this policy. (OP 34.10)

Grade Records

Grade records should be retained for a minimum of four calendar years. Grade records are defined as grade books, computer and noncomputer-generated grade sheets, and other such materials that permit a reconstruction of a student's graded performance in a course. Grade records are not limited to the final grades submitted at the end of a semester. The need to retain grade materials for at least four years is based on reviews that have occurred following student appeals both on and off campus, including grade appeals, charges of racial discrimination and sexual harassment, and appeals to federal agencies.

Chairpersons and division directors must collect grade records, or copies of grade records, from instructors who retire or who otherwise leave the University. Each college will determine how materials are to be stored and, in general, how the process will be monitored.

Grade Replacement

After a course has been retaken at Texas Tech, a student may apply to the Registrar for grade replacement. This policy applies to students enrolled at the University during spring 1993 or thereafter and applies only to those who have not received a baccalaureate degree at the time of the request.

The grade replacement is for the purpose of providing an adjusted grade-point average. The most recent passing grade will replace all previous grades in that course. The cumulative adjusted GPA will be posted on the bottom of the student's transcript. A notation will indicate the original course which is being replaced. The original grade and original cumulative GPA will remain. The cumulative (not the adjusted) GPA will be used for honors.

An application may be obtained and initiated by the student in the Office of the Registrar after the current semester academic procedures have been completed. The four copies of the form are for the dean's office, the student's academic home department, the student, and the original for the Registrar. Students may apply after the passing grade is received in the replacing course. A student wanting to replace a grade received before fall 1983 should contact the student's academic dean's office.

Holding Public Office

The Board of Regents does not undertake to determine whether an employee or a member of the faculty of the institution shall become a candidate for, or shall accept, an elective, full-time public office.

A faculty member or staff employee may accept a public office or membership on the governing board of a school district, city, town, or other local governmental district provided no salary is received by virtue of such office. A faculty member or staff employee must maintain as a priority the full and complete performance of her or his assigned duties while holding such office. (OP 32.07)

Intellectual Property Rights*

Statement of Basic Philosophy and Objectives

It is recognized that research and scholarship on the part of members of the faculty, staff, and students of Texas Tech University (hereinafter referred to as TTU) will result in inventions, manuscripts, computer software, and trade secrets of other products that are potentially marketable.

It is the policy of the Board of Regents to encourage scholarly activity without regard to potential gains from royalties and other forms of income; however, all TTU policies governing patentable or copyrightable inventions, publications, or other marketable products will provide adequate recognition and incentives to sponsors, inventors assignees, and authors and at the same time assure that TTU's duty to serve the public interest will be served.

1.General Policy

The Intellectual Property Policy, as adopted, shall apply to all persons employed by the component faculties of TTU, to all students of TTU, and to anyone using TTU facilities or under the supervision of TTU personnel. Every employee, faculty, staff, or student is expected to be aware of the TTU policies regarding such copyright or patentable developments or discoveries and agrees to accept and abide by them as a condition of employment or enrollment.

It is the intent of this policy to foster the traditional freedoms of the TTU faculty, staff, and students in matters of publication and invention, through a fair and reasonable balance of the equities among authors, inventors, sponsors, and TTU. The purpose of the policy is to outline the respective rights that members of the faculty, staff, and students have in intellectual materials created while they are affiliated with TTU.

As a public institution, TTU is entrusted with the responsibility to facilitate application of scientific, technical, artistic, and intellectual endeavors of its faculty and staff for public use and to provide for an equitable disposition of interests among the authors and inventors, TTU, and, where applicable, the sponsoring or contracting funding source.

2.Classification of Intellectual Property

a. The patentable or copyrightable product is not related to the individual's employment responsibility and has resulted from the individuals efforts solely on his or her own time, with no TTU support or use of TTU facilities.

b. The patentable or copyrightable product has resulted from research or other activities performed by the individual utilizing less than a substantial level of direct support from TTU.

c. The patentable or copyrightable product has resulted from research or other activities performed by the individual utilizing a substantial level of direct support from TTU in excess of the customary use of TTU facilities and personnel.

d. The patentable or copyrightable product has resulted from research, in whole or in part, supported by a grant or contract with any government or governmental agency, federal, state, or local, nonprofit foundation or commercial, corporate or for profit organization of any kind whatsoever.

3.OwnershipBasic Policy

a. TTU claims no ownership in copyrightable and patentable works under section 2.a.

b. TTU does not claim copyright or patent rights on material resulting from teaching, research, scholarly and artistic activities such as scholarly articles, research bulletins, monographs, paintings, dance choreography, musical and dramatic compositions, sculptures, architectural designs, books, textbooks, theses, dissertations, submissions to scientific and technical journals, reference works and the like, when it provides no substantial direct support beyond regular salary, customary use of secretarial assistance, and the use of libraries, studios, or offices.

c. Copyrightable or patentable material resulting from individual, group, or interdisciplinary efforts receiving a substantial level of direct support from the University or its departments or units in the form of money, personnel, or facilities beyond those levels of support described in section 3.b., is regarded as TTU sponsored and shall be the property of TTU, and at TTU's option shall be copyrighted or patented in the name of TTU except for material produced or developed under grants or contracts from agencies of the federal, state, or local government or private sources. A substantial contribution, further, is one that is significant in the context of the situation and the practices of particular disciplines, school, and departments or other units of TTU. Each unit shall have on file with the Office of the Vice Provost for Research a statement of what constitutes a substantial level of direct support for that unit.

(1) A substantial level of direct TTU support can generally be defined as follows:

(a) When equipment, materials, and staff services from any of a variety of TTU departments other than the home department or unit are used in the development of the copyrightable or patentable materials at no expense to the author or inventor or home department or unit;

(b) When the author or inventor has received support for the development of copyrightable or patentable materials, such support being in the form of money in excess of normal teaching salary, reduced teaching load in excess of that customarily given, or other resources from a department, college, or any unit of TTU;

(c) When the author or inventor receives a faculty development leave with its principal purpose involving the creation of a work of intellectual property.

(2) In all cases of substantial TTU support, an appropriate agreement determining the ownership of the copyrightable or patentable product between TTU and the author or inventor shall be entered into prior to the beginning of the project. Questions as to whether particular research projects or other activities are considered TTU-sponsored should be addressed to the TTU Intellectual Property Committee if they cannot be resolved by the affected parties.

d. Copyrightable and patentable works produced under grants or contracts as described in section 3.d. shall be subject to the conditions of the contract or grant with respect to ownership, distribution, and other rights. If the contract or grant does not specify the allocation of the rights in the copyrightable or patentable works, TTU will claim the copyright or patent on the work.

e. Copyrightable or patentable works prepared by students as part of the requirements for a TTU degree program are deemed to be the property of the student unless the student is being funded in full or in part through an agreement. If the student is funded by TTU, then the general provisions of this policy shall apply.

f. Copyrightable or patentable works such as computer software prepared by TTU faculty and staff using TTU computers or laboratories cannot be easily categorized. Therefore, for all research and other activities using TTU computers and laboratories there must be an agreement signed in advance as to whether there is a substantial level of direct support. Departments or other TTU units are encouraged to develop guidelines on computer and laboratory use which may provide for a general finding that there is not a substantial level of direct support. These guidelines must be approved by the Provost. Normal usage of computers and laboratories within the respective discipline should be a major factor in determining whether there is a substantial level of direct support being provided by TTU. In the event there is a disagreement on the level of TTU support, the dispute shall be forwarded to the Intellectual Property Committee. The final decision shall be made by the Provost.

4.TTU Intellectual Property Committee

The TTU Intellectual Property Committee is established to administer the TTU Intellectual Property Policy and to make recommendations to the appropriate administrative officers for further referral to the Office of the President of TTU and the Board of Regents of TTU (in those cases when action by the Office of the President and/or the Board of Regents is required). The composition of the Intellectual Property Committee shall be determined by the President and shall include representatives of the Provost, the Vice President for Fiscal Affairs, the General Counsel, and the Faculty Senate. A majority of the voting members of the committee shall be full time (e.g. nonadministrative) faculty members of TTU representing a variety of disciplines.

The Committee shall hear disputes between academic units regarding the allocation of royalty where under section 7. of this OP the units have not been able to agree on such allocation. The committee shall notify all affected parties and hold a hearing prior to making its recommendation to the Provost

Decisions of the TTU Intellectual Property Committee shall be reviewed by the Provost whose decision shall be final. TTU will provide patent and copyright review and management services through appropriate administrative offices.

5.Disclosure Requirements and Implementation Procedure

a. Authors or inventors of a patentable or copyrightable product which falls under sections 3.a. or 3.b. need not have their products reviewed by the committee because TTU is not claiming any intellectual property interest in said works. [This does not excuse a faculty or staff member from disclosing compensable work under TTU's existing outside consulting or theft of services policies.] TTU faculty, staff, and students may choose to have TTU provide assistance in developing or marketing a copyrightable or patentable product even where TTU does not claim ownership under this policy. In these situations, the Provost may refer the request to the Intellectual Property Committee. The final decision in these voluntary submission cases shall be made by the Provost.

b. In cases involving projects which require a substantial level of direct support from TTU, the proponents of the project must send a notification to the Provost through their immediate administrative supervisor. The notification should include the following information:

(1) The extent to which TTU equipment, facilities, personnel or money are to be used;

(2) The nature of the intellectual property to be produced;

(3) The relative contribution of the authors or inventors in light of the substantial level of direct support by TTU; and

(4) Any other information relevant to determining the level of direct support being provided by TTU.

Where the author or inventor or any other interested party, including the relevant administrative personnel, cannot agree on whether there is a substantial level of interest, the dispute shall be forwarded to the committee along with all of the relevant documents. The committee shall send its recommendation to the Provost for a final decision.

c. In cases where extramural funding or contracts are involved, including the use of TTU facilities or personnel, any employees, students, faculty, or staff must disclose the pending contracts to their immediate administrative supervisors. The notification shall include the following information:

(1) The sponsor of the project and the proposed terms of the agreement, including the ownership of the intellectual property that is to be created by the TTU employee, faculty, staff, or student;

(2) The extent to which TTU equipment, facilities, or personnel are to be used;

(3) The nature of the intellectual property to be produced; and

(4) Any other relevant information.

The administrator receiving such a notification must forward it immediately to the Provost for prompt evaluation. It is to be expected that a decision on the ownership interests in the patentable or copyrightable products shall be made within two weeks of the submission unless the parties agree otherwise.

d. The decision regarding extramural agreements shall be based on the following guidelines. Administrative approval of application requests to, and acceptance of grants or contracts with, a federal, state, or local government unit, or any agency thereof, or with a nonprofit foundation or a private donor, implies a definite decision that the value to TTU of receiving the grant or performing the contract outweighs the impact of any resulting change in the basic Intellectual Property Policy of TTU. The Intellectual Property Policy of TTU is subject to, and thus amended and superseded by, the specific terms pertaining to patent and copyright right included in federal, state, or local governmental grants and contracts, or grants and contracts with nonprofit foundations, or private donors to the extent of any conflict.

(1) TTU recognizes the academic advantages that can come from close scientific cooperation between the research staffs of TTU and the research staffs of industry. The provisions of joint research arrangement with industry shall take into account:

(a) The extent of the industrial participant's contribution of funds and other services, including unique knowledge;

(b) The impact of the joint effort on the research and educational program of TTU;

(c) The protection of the personal achievements of the TTU participant or participants; and

(d) The interests of the state and its citizens who provide basic financial support.

(2) Balancing the equities between these different interests may require the joint arrangement to contain provisions for:

(a) Nonexclusive licensing;

(b) Granting exclusive information prior to publication or patent or copyright application;

(c) Royalty-free, nonexclusive license;

(d) Exclusive license for some limited period of time;

(e) Exclusive license for the life of the patent or copyright; or

(f) Such other provisions as will properly equate the equities involved, including the right of TTU to terminate an exclusive license upon failure of the industrial participant to develop or exploit the idea in a manner which will enhance the interest of the public.

(3) For commercial sponsors, patent privileges correspond to the level of funding provided. Each contract shall be individually negotiated with the following guidelines to be considered:

(a) When the sponsor pays all direct and indirect costs (including an appropriate share of any faculty salary and benefits) for the research to be undertaken, the sponsor may be granted a right of first refusal to an exclusive or nonexclusive license for the life of any U.S. patent. The right to sublicense may be granted under an exclusive license only.

(b) When the sponsor pays less than all direct and indirect costs in the form of money, expendable materials or supplies, or other substantial assistance, the sponsor may be granted a right of refusal to a nonexclusive license for the life of any U.S. patent.

(c) When the sponsor pays only salaries or stipends in support of a fellowship or research assistantship for an individual, the sponsor may not be assured of a license but may be considered as a licensee.

(4) Subject to the guidelines in section (3) above, research funding agreements may provide a time-limited right of first refusal by the sponsor for a license to patentable inventions conceived and reduced to practice in the course of the sponsored research. All licenses will:

(a) Be royalty-bearing, rates negotiable and based on general industry practices for the type of invention involved;

(b) Provide for diligent development, commercial marketing, or use as one condition for retention of the license; and

(c) Normally require a license issue fee and appropriate minimum annual royalties.

(5) Licenses under corresponding foreign patents may be granted, where possible, on terms and conditions similar to U.S. licenses, except that the sponsor usually must agree to reimburse the University for its foreign patent prosecution and maintenance costs.

e. To evaluate the copyrightability or patentability of products developed with a substantial level of direct support, TTU, after consultation with the employee, student, faculty, or staff, will use whichever of the procedures listed below is most appropriate for the particular case:

(1) Evaluation by the Intellectual Property Committee;

(2) Evaluation by an outside patent management organization chosen by TTU; and

(3) Evaluation by a corporation or group that might have an interest in pursuing a patent.

(4) Where a patentable or copyrightable product is developed with a substantial level of direct support, the author or inventor must notify the Provost of the product prior to this completion so that TTU can determine whether an actual copyright or patent application will be filed by TTU.

If the evaluation and the final product indicate that a formal patent application or copyright should be filed, the employee(s) will execute an assignment of rights to TTU, or its nominees, as outlined in section 7.

In the event that evaluation of the disclosure results in a decision that TTU will not seek a copyright or patent, TTU will transfer to the individual the right to exploit the intellectual property. TTU shall retain an ownership interest in the intellectual property and the individual must agree to pay to TTU five percent (5%) of all royalties received, or a negotiated portion of any income received from the exploitation of the intellectual property.

6.Assignment of Copyright or Patent Rights to TTU or Its Nominees

a. Where TTU claims ownership in a copyrightable or patentable end product created by an employee, faculty, staff, or student of TTU, the employee will execute all documents necessary to assign to TTU or its nominee(s) all rights that he or she may have to such intellectual property both in the United States and in foreign countries. In addition, he or she agrees to do everything that is required subsequently to assist all subject property. TTU acknowledges that an equity in the property remains with the employee. The determination of the employee's equity and share of income derived from royalties from a copyright or patent is as set forth in section 8.

b. Where TTU either has entered into a voluntary agreement with an individual to exploit his or her intellectual property or has an equity interest in the intellectual property pursuant to this policy, TTU through the Provost shall work together with the individual in the licensing, developing, and marketing of the intellectual property. The Provost shall discuss issues relating to potential liability and indemnity of the individual in the exploitation of the intellectual property product. Final authority to make licensing, developing, and marketing decisions shall reside with the Provost. TTU may enter into Confidential Disclosure Agreements with private investors, developers, or corporations to license, develop, or market the intellectual property where it would best serve in the interest of both TTU and the creator of the intellectual property.

Where multiple TTU departments or units are involved, the distribution to those units under the guidelines specified in section 7. shall be determined prior to the time the product is exploited, after negotiations with all affected parties.

7.Guidelines for Distribution of Royalties

Where TTU has an ownership interest in the intellectual property pursuant to this policy, the following provisions will govern the distribution of royalties and other income after TTU has recouped all direct costs associated with the processing of the patent or copyright application:

Net Royalty Individual TTU Department College
$0--$50,000 70% 10% 10% 10%
$50,001--$100,000 $35,000 plus 55% of 15% 15% 15%
amount over $50,000
$100,001--$500,000 $62,500 plus 30% of 20% 30% 20%
amount over $100,000

$500,001--Up $182,500 plus 30% of as set by the Board of Regents
amount over $500,000

Net royalties are to be paid according to the above schedule as the net royalties are earned; that is, the individual will receive 70 percent of the first $50,000, 55 percent of the next $50,000 and 30 percent of all net royalties over $100,000. Funds received by the department and college will be placed in unrestricted accounts under their control. Such funds will not be used to substitute for funds budgeted for expenditure in the routine annual operating budget which is approved by the Board of Regents.

This OP recognizes that in addition to the traditional academic units such as departments and colleges, research, and specifically interdisciplinary research, can be sponsored by other academic units, such as centers and institutes. Because of the many different combinations that may occur, this OP cannot specify how the royalties are to be allocated. It is, however, the general policy of the Intellectual Property OP to allocate royalties to the units which have provided the substantial level of indirect support that triggers TTU's ownership of the intellectual property. The policy encourages voluntary agreements between such units prior to the development of intellectual property (to allocate the percentage of royalty share that is appropriate for each unit). In the event that no agreement can be reached prior to the generation of royalties, the Vice Provost for Research will be consulted. If resolution is not forthcoming, the dispute will be sent to the Intellectual Property Committee. The committee will forward a recommendation to the Provost regarding the allocation of royalties between the various affected academic units.

The division of net royalties and other income from patents and copyrights managed by a patent or copyright agent will be controlled by TTU agreement with such agent, as approved by the TTU Board of Regents. Any deviation from this rule requires the prior approval of the TTU Board of Regents.

8.Equity Ownership

This policy allows equity ownership and business participation by TTU faculty, staff, and students consistent with state law as presently stated in Texas Education Code 51.912 or any other future statutory provision relating to the subject matter of this Intellectual Property Policy.

Leaves of Absence

It is a policy of the University to grant leaves of absence to members of the faculty and staff to attend conferences and professional meetings when such attendance will enhance the prestige of the University and contribute to the professional development of the individual and to the advancement of knowledge within his or her professional field.

Request for such leaves should be initiated at the departmental level well in advance of the date of departure. If approved by the department chair, such requests are forwarded through normal channels to the President for action. All requests for leaves should be filed as early as possible prior to the departure date.

Only in rare instances should applications be submitted for absence during critical periods of operation of the University. Critical periods are those during which the responsibilities of the position are particularly involved. The beginning or close of any semester or term or at any time when reports are customarily due are examples of critical periods.

Applications for leave due to illness, etc., will be considered on an individual basis. (OP 32.15)

Faculty who are in the Teacher Retirement System of Texas with five or more years of service may purchase up to two years of credit for a personal development leave of absence within one year of their return to service by (1) notifying the TRS in advance of their intention to take leave and having the leave certified by the University and (2) making deposits for both state and member contributions, based on salary for the year prior to taking leave.

Established developmental leave credit cannot be used in computing retirement benefits until the person has at least 10 years of actual Texas public school service.

Nepotism

All appointments will be made on the basis of qualifications and suitability of the appointee, subject to applicable statutes and the provisions of Board of Regents Policy 04.23.

No person related within the second degree of affinity or the third degree of consanguinity to any member of the Board of Regents, the President, or the Provost shall be eligible for appointment to any position in Texas Tech University when the compensation is paid directly or indirectly from public funds. Any employee who has been continuously employed for thirty (30) days prior to the date of appointment of a member to the Board of Regents or President who is related within a prohibited degree may continue employment. Any employee who has not been continuously employed for thirty (30) days prior to the appointment of a member to the Board of Regents or President and is related within a prohibited degree will be terminated.

No persons shall be eligible for initial appointment to a position over which an administrator has appointive authority in whole or in part when the person is related to the administrator within a prohibited degree (i.e., appointment of a relative within an administrative chain of command is prohibited). Any exception to this restriction on the initial appointment of a person will be made only by the Board of Regents upon recommendation of the President and then only when the administrator in question does not directly supervise the person to be appointed. Exceptions will only be made rarely and only to appoint individuals with special qualifications for faculty or executive management positions.

If the appointment, reclassification, reassignment, or promotion of an employee results in the employee being placed under an administrative supervisor who is related within a prohibited degree, all subsequent personnel and compensation actions affecting the employee shall become the responsibility of the next higher administrative supervisor. The provisions of this subparagraph shall apply when two employees marry and one spouse becomes the administrative supervisor of the other. (OP 70.08, BOR 04.23)

Off-Campus Student Trips and Activities

Registered student organizations are free to make such off-campus trips as are deemed worthwhile by the membership and sponsors of the organization. Students and their parents should understand that participation in such off-campus trips and activities is at the student's own risk. If personal injury or accident should occur to students or other persons during such activities, Texas Tech will assume no responsibility, financial or otherwise. Faculty and staff sponsors and organization officers are urged to take all possible precautions to ensure the safety and well-being of all persons participating in the off-campus activity. The questions of financial liability for accident or injury and appropriate insurance coverage should be specifically identified by each group making an off-campus trip as being either the responsibility of each individual student or a responsibility which has been assumed by the group for that specific occasion.

There is no official registration procedure for off-campus trips, and there are no official excused class absences for students who participate in off-campus trips by student organizations. Each student will be responsible for making individual arrangements with instructors for class work missed while participating in an off-campus trip. Instructors will be free to set their own requirements for class work missed under such circumstances, although they are encouraged to grant students an opportunity to make up all course work missed while participating in an off-campus trip.

The University provides an optional group accident and health insurance plan for students, with enrollment during registration for the fall and spring semesters. Also available is a very economical trip insurance plan for student groups and their faculty or staff sponsor. Insurance application forms may be obtained by the sponsor at the Contracting Office. Trip insurance may also be purchased from private insurance companies. (OP 34.06)

Office Hours

Each faculty member should maintain scheduled office hours as directed by the dean of the college and/or the individual department. Schedules should be posted and made available to students.

Plagiarism

Recent experience at several United States universities indicates that from time to time an allegation of fraudulent conduct in research or scholarly activity may be made against a member of an institution's faculty. Such allegations normally have accused the individual of data falsification or fabrication, improper manipulation of data, plagiarism, or other misrepresentations of research findings. Fraudulent conduct in research and scholarship is totally antithetical to accepted academic procedures.

If an allegation of fraudulent conduct in research or other scholarly activity is made against a member of the Texas Tech University faculty, the Provost shall appoint an ad hoc committee to review and investigate the charges, to hear testimony from the parties concerned, and, after careful deliberation, to report to the Provost the committee's findings as to whether or not the allegations have, in their opinion, sufficient basis in fact for the University to consider disciplinary action against the individual.

Such an ad hoc committee will consist of five persons, chosen by the Provost in consultation with the chairperson or other appropriate official having administrative jurisdiction over the academic unit in which the individual charged holds his or her principal academic appointment.

Insofar as possible, the members of the committee will be persons having sufficient acquaintance with research and scholarship in the discipline in question so that they can assess the allegation.

If the ad hoc committee finds that there is sufficient evidence to indicate fraud by the individual charged in the conduct of research or scholarship, this may be considered equivalent to the filing of a formal charge of unfitness for continued employment, and for termination of continuing appointment of the individual as described in the then-current Faculty Handbook. (OP 74.08)

Political Activity

As a citizen, a staff member of Texas Tech University has the same rights and responsibilities of free speech, thought, and action as any other American citizen.

As an educated person and an employee of the State of Texas, a teacher should remember that the public may judge the profession and the University by his or her utterances. Hence, a faculty member should at all times be accurate, should exercise appropriate restraint, should show respect for the opinions of others, should emphasize that he or she is not an institution spokesperson, and should be mindful of the best interests of the institution.

A staff member has a binding obligation to discharge instructional and other duties. Performance of these duties may be impaired by private activity requiring a large portion of time and energy. As a person of judgment and mature perspective, the teacher will not allow an interest and participation in public political affairs to be so consuming that work and influence will suffer as a teacher in the University. The classroom and the student have the first call on the teacher's time and interest. These are considered primary responsibilities. The teacher is entitled to freedom in the classroom in discussing the subject but should be careful not to introduce into the teaching controversial matters which have no relation to the subject.

The Board of Regents may compel a faculty member or staff employee to take a leave of absence without pay while campaigning for any other public office and may terminate employment upon acceptance of such an office.

The above regulations shall not restrict the acceptance of appointments or offices of a temporary or part-time nature for which the teacher is prepared to render exceptional service, which will not involve him or her in direct relationships with the University or make him or her a partisan in matters that have University implication and which will not interfere with normal University duties.

Nothing in these regulations shall be construed as abridging the rights of citizenship guaranteed citizens of Texas and of the United States under the state and federal constitutions. When University employees appear at the polls in any capacity, they will do so as private citizens acting under their constitutional rights, and not as representatives of the University.

Teachers and other employees of the University should take an interest in public affairs. They should exercise their right to vote and to work for good government.

This policy is intended to safeguard the freedom of speech, thought, and action of University teachers and employees and to avoid impairment of the significant contributions they are capable of making toward improved local, state, and federal government. (OP 32.07)

Post-Tenure Review

In compliance with SB 149, each faculty member who is tenured or who receives an academic promotion at Texas Tech University will receive a comprehensive performance evaluation no more often than once every year, but no less often than once every six years after the date the faculty member was granted tenure or received an academic promotion. Standardized procedures developed by a committee of the Faculty Senate and the Office of the Provost and approved by the Board of Regents may be found in Appendix J.

Posting of Student Grades

Posting of student grades poses several legal problems for the University. Texas Tech policy is that no grades should be posted at any time. However, classes with several hundred students enrolled must have test grades returned during the semester, which is impossible on an individual basis. In these cases, grades may be posted by random numbers if these numbers are confidential and available to the student only. Furthermore, students may receive grades before they are mailed by the Registrar if they have provided the professor a signed statement with a self-addressed envelope.

Legal Counsel has advised us that a policy of posting no grades is the safest guideline for protection of student privacy. Failure to follow this policy could provide a basis for successful litigation in the future.

Private Use of University Property

By state law University property may not be used for the private benefit of members of the faculty and staff. Particular care must be taken that state-owned vehicles are used only for University business and that proper records are kept of such use. (OP 10.11, OP 61.01, and OP 63.08)

Promotion and Salary Increases

All salary increases for faculty shall be on a merit basis unless otherwise mandated by the legislature and shall be based on quality teaching, research productivity, and other contributory activities, including University community service. The procedure for merit salary increases is set forth in the prevailing instructions from the Office of the Provost for budget preparation.

It is the responsibility of the department chairperson (where applicable) to recommend salary rates and merit increases. Each faculty member is required to provide an annual report on his work to the department chairperson for use in consideration of a merit increase.

Religious Holy Days

Faculty.A regular faculty member shall, without deduction in salary, be entitled to absence for observance of Religious Holy Days subject to the following conditions:

1."Religious Holy Day" means a holy day observed by religion whose places of worship are exempt from property taxation under Section 11.20, Vernon's Texas Codes Annotated, Tax Code.

2.A faculty member who is absent from work for the observance of a religious holy day and gives proper notice of that absence shall not be discriminated against or penalized.

3.Proper notice shall be provided by the faculty member to the chairperson of the department. This notice shall consist of a listing of religious holy days to be observed during the semester.

4.Notice shall be in writing and shall be personally delivered to the chairperson of the department, receipt therefore being acknowledged and dated by the chairperson, or by certified mail, return receipt requested, addressed to the chairperson.

5.The chairperson will attempt to provide class coverage among regular faculty of the department or area.

6.Written notice, if needed, shall be provided in advance to all students whose class would be canceled due to the faculty member's absence. (OP 32.12)

Students.A student shall be allowed to observe Religious Holy Days without penalty, subject to the following conditions:

1."Religious Holy Day" means a holy day observed by religion whose places of worship are exempt from property taxation under Section 11.20, Vernon's Texas Codes Annotated, Tax Code.

2.A student who is absent from class for the observance of a religious holy day and gives proper notice of that absence shall not be discriminated against or penalized. (OP 34.19)

Salary Payment

Faculty members on nine-month contracts receive four and one-half months' salary for each semester. Faculty members have the option of receiving nine equal payments beginning on the first working day of October or of receiving the same amount divided into 12 equal monthly payments.

Salary checks are issued monthly, on the first working day of each month. These may be picked up at the Payroll Department or, if requested, they will be automatically forwarded to the faculty member's bank.

Salary for summer sessions is likewise paid at the first of the month. For the first term, a check for a full month's salary will be received on the first working day of July; a check for a half month's salary will be received on the first working day of August. For the second term, there will be a check on the first working day of August for a half month's salary; a check for a full month's salary will be received on the first working day of September.

Hourly employees are paid biweekly with checks ready for distribution on Wednesdays of each week.

Security Control of Keys

The procedure for the issue and return of campus keys is as follows:

All key issues will be made by the University Lockshop, 110 Physical Plant Building, to individuals who present a "Key Issue Request" signed by the departmental chairperson. There is no charge or deposit required. The department will be charged for any rekeying as a result of lost or unreturned keys.

Making keys, or having duplicates made, is prohibited.

Small Classes

In keeping with legislative directives and Coordinating Board guidelines, small organized classes may be taught only within certain limitations. Ordinarily, undergraduate courses taught as organized classes must include at least ten undergraduate students and graduate classes must include at least five students as of the 12th class day.

The Provost shall approve or disapprove the proposed offering of small classes according to conditions stated in the policy, shall monitor the offerings, and shall provide reports in accordance with state requirements. (OP 36.07)

Smoking

In order to provide for the health and safety of students, faculty, and staff, the University has enacted a policy designed to control fire hazards and assure a smoke-free environment in all academic and administrative facilities. In the interest of providing such a smoke-free environment, smoking is prohibited in all campus academic, administrative, and athletic facilities. OP 60.15, "Smoke-free Environment," details exceptions and procedures of this policy.

Student Organization Advisors

Promoting academic excellence and personal development are integral parts of the University's extracurricular student activities programs. To facilitate this educational process and to ensure the responsible functioning of registered student organizations, the University requires each organization to have a full-time faculty or staff advisor.

The advisor is selected by the organization and serves in that capacity for as long as is mutually agreeable. The advisor aids the organization in attaining its stated objectives, develops leadership within the group, and helps individual members when possible through constructive criticism and suggestion. It is the organization's responsibility to ask the advisor's assistance with problems and business affairs. The advisor's attendance at meetings and functions is desirable but not required. (OP 34.06)

Student organization advisors may direct questions or concerns to the Dean of Students Office (250 West Hall, 742-2192) or to the Student Organizations Services Office (210 University Center, 742-3621).

Summer Appointments

Summer appointments are based upon summer instructional needs. Summer employment is considered a supplemental appointment and is not guaranteed. The request for summer appointment is initiated by the department or area chairperson.

Tenure Policy

The current tenure policy, adopted by the Board of Regents on May 12, 1989, is found in Appendix A.

Travel Reimbursement

Policies governing reimbursement for travel are found in the state regulations and in the Operating Policy and Procedure Manual of the University. The following points are emphasized.

Travel expense shall be incurred only for official business approved in advance by the President or a designated representative. Approval, in the form of an official leave, must have the signature of the claimant, account manager, and the dean of the college involved. Suggested lead time is two weeks before departure. Out-of-country leaves must have prior approval of the President and requests must be submitted through proper channels at least 35 days prior to travel.

The University is participating in the Texas State Travel Management Program (OP 79.10). Certain airline fares, automobile rental agency rates, and a credit card company have been contracted by the State General Services Commission.

Expenses must be submitted within thirty days following the completion of travel on a travel voucher form. A completed voucher form requires the signatures of claimant, account manager, and claimant's supervisor.

At this time the following regulations are in effect:

Original receipts are required for airfare, car rental, and lodging. If the lodging receipt reflects double occupancy, the employee is entitled to reimbursement of only the single rate.

Employees may be reimbursed for the actual cost of lodging, not to exceed $70 per day, and actual cost of meals, not to exceed $25 per day. Employees traveling out-of-state, but within the continental United States, may be reimbursed for the actual cost of meals and lodging, not to exceed the locality-based allowance provided by the Federal Travel Regulations. (Refer to OP 79.06, Attachment C.)

If the claimant drives a personal automobile to an out-of-state destination served by commercial air, the claimant must claim the average coach airline fare plus per diem necessary to complete such a flight. (Refer to OP 79.06, 4., g.)

Forms for requesting leaves, Corporate Card applications, transportation requests, and travel vouchers for reimbursement are available in departmental and dean's offices. Questions may be directed to the Travel Office. (OPs 79.01 through 79.11)

Use of University Buildings and Grounds

Reservations must be made for the use of buildings and grounds under the control of the University. Faculty and staff may make requests to use campus grounds or academic space through the Academic Facilities Office. Requests for reservations will be granted according to the priorities of the designated area. (OP 61.02)

Visiting Speakers

The authorization for any and all on-campus speakers shall be under the direction and be the responsibility of the President of the University.

The Board of Regents of Texas Tech University respects the rights of the faculty and the student body of Texas Tech to have full freedom in the discussion and presentation of all information and issues. This includes the right to invite off-campus speakers whose ideas and views differ from those of the Board, its individual members, or the President of Texas Tech. It is the policy of this Board that the facilities of this institution, which were paid for by the taxpayers of Texas from their earnings in our society based on law and order, be not made available to any person or persons who by reason of their prior expressions or past actions would likely use the invitation to advocate (1) lawlessness and disregard for the laws of this country; (2) any change in the laws of this country, other than by peaceful means; and (3) the violent overthrow of our government. In determining the likely conduct or speech of the proposed speaker, consideration shall be given to his or her past performance.

Arrangements for the payment of professional fees and expenses for speakers must be made through administrative channels in advance. (OP 30.13)


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LAST UPDATE: 8-1-98