New and Updated Policies Approved by the Faculty Senate:
G. Pretenure Period, p31-32
J. 1. Review and Decision, p33
E. Teaching and Service Workload Release, p37
4. d. Conduct of the Hearing, p40
X. p78, second paragraph
University Policy on Custody of Research Data, p61-62
Large Updates (Adobe PDF download)
B. Human Policy on Research Protection, p51 - 56
II. The University Policy for Responding to Allegations of Research Misconduct, p64 - 74
G. Pretenure Period
1. Within Case Western Reserve University the pretenure period may vary with particular academic circumstances among the constituent faculties, but provision for a period beyond six years shall require specific Faculty Senate approval.
2. Each faculty member whose appointment leads to tenure consideration shall be considered for tenure in accordance with Section I, subsections I, J, and K no later than six to nine years after the date of initial appointment. The by-laws of the constituent faculty shall specify whether the maximum period is six, seven, eight, or nine years; and such period shall apply uniformly within that faculty. If after this period tenure has not been granted, reappointment may normally be made only for one additional year except where the provisions of Section I, H have been adopted.
3. Service at other institutions at the rank of assistant professor or higher may be taken into consideration in establishing the length of a faculty member's pretenure period.
4. Upon written notification by the care-giving parent or parents within one year after each live birth or after each adoption, an extension of one year of the pretenure period shall be granted by the provost.
5. Subject to the limitation in Section I, G, 7 below, individual extensions of the pretenure period of up to three years may be made for exceptionally worthy candidates in the event of unusual constraints in the University, or part or parts thereof, which would prevent tenure award at the end of the normal period. No guarantee is implied, however, that tenure will ultimately be granted. Such an extension shall require tenured faculty or appropriate constituent faculty body recommendation at the departmental or equivalent level, approval by the provost, and concurrence by the faculty member.
6. Subject to the limitation in Section I, G, 7 below, individual extensions of the pretenure period may also be made for the purpose of compensating special earlier circumstances disadvantageous to a candidate's tenure consideration. Such circumstances may include, but are not limited to, serious illness, family emergency, responsibility as a primary care-giver, or extraordinary teaching or administrative assignments. Such an extension shall require tenured faculty or appropriate constituent faculty body consideration at the departmental or equivalent level, approval by the provost, and concurrence by the faculty member.
7. Pretenure extensions may not be used to defer tenure consideration of a faculty member more than three years beyond the normal pretenure period except for provisions stated in Section I, G, 4. The normal pretenure period is determined by the by-laws of the constituent faculty body where the faculty member has his or her primary appointment.
*approved by the Faculty Senate 4/27/06 and by the Board of Trustees 5/24/06
J. Review and Decision
1. The faculty in a particular field has a responsibility to render favorable or unfavorable judgments on the work of its colleagues in an objective manner. All recommendations from departments or constituent faculties regarding mandatory tenure review or regarding promotion, if initiated by the faculty member according to Section I, I, 5, and any affirmative recommendations for initial appointment, promotion, or tenure shall receive full higher review up to and including the president's. Such review shall extend to the level where authority for decision rests and may be extended beyond an intermediate level at the discretion of the dean of the faculty member's academic unit. Self initiations are entitled to such full review at 3 year intervals. A tenure review is mandatory if
(i) a denial of tenure would result in a terminal appointment or
(ii) the candidate has already received one denial of a tenure application which had received full higher review.
* approved by the Faculty Senate 3/23/06 and by the Board of Trustees 5/24/06
E. Teaching and Service Workload Release
The University wishes to provide eligible faculty members with a period of time in which to adjust to the demands of parenting newly born or adopted children under the age of six. A faculty member who is the primary care-giving parent and whose duties as a faculty member include teaching and service duties shall be granted a workload release from teaching and service duties for one academic semester following each live birth or each adoption of a child under the age of six.
1. This policy applies to tenured and tenure-track faculty whose faculty appointment requires that the faculty member assume teaching or service duties. It does not provide a workload release for a faculty member from research or scholarship duties.
2. The policy is not applicable to faculty who do not have significant research, scholarship or other duties aside from teaching.
3. The policy is not applicable to special faculty.
4. The policy does not apply to faculty members who have been issued a terminal appointment.
5. The request for a workload release of teaching and service duties is to be made, in writing, to the department chair, where the constituent faculty is organized into departments, or to the Dean. The request is forwarded to the Dean for approval. This policy does not preclude the individual negotiation of release time or leave for any faculty member, whether tenured, tenure track or non-tenure track, and under special circumstances not covered by this policy.
6. The teaching and service workload release may be granted for one semester during the academic year following the live birth of a child or adoption of a child under the age of 6. The workload release is ordinarily granted for the academic semester following the faculty member’s return to work. If the faculty member comes back to work during an academic semester, the workload release will be granted for the next complete academic semester. Based on the faculty member’s particular circumstances, the timing of the request in relation to the progress of the current academic semester, and the needs of the School, the chair and/or dean have the discretion to determine, the appropriate semester for which a teaching and service workload release will be granted. A faculty member may not structure his/her teaching load for an academic year so as to use this work release policy alone to eliminate all teaching and service duties for that academic year. This workload release policy is intended to operate independently, however, from the family, medical, maternity or sabbatical leave policies of the university.
7. The workload release shall be granted without a reduction in pay for the academic semester.
8. The workload release is to be granted to the primary care-giving parent. The primary care-giving parent is the parent principally responsible for the child’s care and well-being. If both parents are faculty members eligible under this policy for a teaching and service workload release, the teaching and service workload release may be granted to one faculty member for each live birth or adoption.
9. Faculty on teaching and service workload release will be expected to fulfill their other professional responsibilities during the teaching and service workload release period, including research and scholarship activities and those responsibilities for which the faculty member is uniquely qualified such as advising doctoral candidates and students involved in projects under the supervision of faculty members.
10. The period of time during which there is a teaching and service workload release does not automatically affect a faculty member’s pre-tenure period. A faculty member may be granted an extension of the pre-tenure period under the separate provision governing the Pre-tenure Period, I.G.
11. The period of time during which there is a teaching and service workload release does not in itself constitute a leave of absence under the University’s leave of absence policies. However, for a faculty member who is granted family or medical leave and requests intermittent leave requiring a reduced work schedule, that intermittent leave may run concurrently with the period of time in which there is a teaching and service workload release.
12. The chair and/or dean may request documentation from the faculty member that supports that the faculty member meets the eligibility requirements for a teaching and service workload release.
* approved by the Faculty Senate 12/19/05 and by the Board of Trustees 2/25/06
4. Conduct of the Hearing
d. The president's representative and the faculty member shall each have the right
to an advisor of his or her choice, chosen from the faculty or administration, excluding the office of the University Attorney. Such advisor shall have no right to participate in the proceedings except to advise his or her principal.
* approved by the Faculty Senate 3/23/06 and the Board of Trustees 4/26/06
X
and will include the University Marshal, ex officio.
* approved by the Board of Trustees 8/10/88, revised by the Faculty Senate 3/23/06 and approved by the Board of Trustees 4/26/06
6. University Policy on Custody of Research Data
a. Rationale and Purpose of the Guidelines
This policy establishes the assurance that research data are appropriately recorded, archived for a reasonable period of time, and available for review under the appropriate circumstances.
1. Research support agencies, journals, clinical care sites, or colleagues in the field may need or be legally entitled to review primary research data well after publication or dissemination of results and will hold the University accountable for the availability of these data.
2. Researchers involved in multi-investigator projects have rights to access to data gathered by all members of the group.
3. The University may be required to review internally the adequacy and integrity of data if findings of university research are called into question.
b. Contact person
Vice President for Research and Technology Transfer
c. Applicability and Definitions
This policy shall apply to all Case Western Reserve University faculty, staff, students, and other persons at Case Western Reserve University involved in the design, conduct, or reporting of research at or under the auspices of Case Western Reserve University or with the use of university resources or facilities. It shall apply to all research projects on which those individuals work, regardless of the source of funding for each project.
Research is defined as "a systematic investigation designed to develop and contribute to generalizable knowledge." Examples of activities that constitute research include any study intended to result in publication or public presentation; any activity resulting in publication or public presentation, even though it involves only review of existing data that were collected with no intent to publish; or any use of an investigational drug or device.
Research data are defined as the material, originally recorded by or for the investigator, commonly accepted in the scientific community as necessary to validate research findings. Research data include but are not limited to laboratory notebooks, as well as any other records that are necessary for the reconstruction and evaluation of reported results of research and the events and processes leading to those results, regardless of the form or the media on which they are recorded.
The principal investigator (PI) is defined as the person responsible for the research or who is the signatory person for sponsored research. Confidential information is specified in the “Case Western Reserve University Intellectual Property Policy” and the “University Policy on the Involvement of Human Participants in Research.” For student research involving human subjects, the faculty member who is serving as the responsible investigator with respect to the human subject research is considered the PI.
d. Rights and responsibilities
Both the University and principal investigator (PI) have responsibilities and rights concerning access to, use of, and maintenance of research data. The PI is responsible for maintenance and retention of research data in accord with this policy. Case Western Reserve University's responsibilities with regard to research data include, but are not limited to:
1. Complying with terms of sponsored project agreements;
2. Ensuring the appropriate use of animals, human subjects, recombinant DNA, etiological agents, radioactive materials, and the like;
3. Protecting the rights of faculty, students, postdoctoral scholars, and staff, including, but not limited to, their rights to access data from research in which they participated;
4. Securing intellectual property rights other than copyright;
5. Facilitating the investigation of charges, such as scientific misconduct or conflict of interest;
6. Responding to legal actions involving the University related to research carried out under its auspices.
e. Collection and retention of research data
Case Western Reserve University must retain research data in sufficient detail and for an adequate period of time to enable appropriate responses to questions about accuracy, authenticity, primacy, and compliance with laws and regulations governing the conduct of the research.
The PI is the custodian of research data, unless agreed on in writing otherwise, and is responsible for the collection, management, and retention of research data. The PI should adopt an orderly system of data organization and should communicate the chosen system to all members of a research group and to the appropriate administrative personnel, where applicable. Particularly for long-term research projects, the PI should establish and maintain procedures for the protection of essential records.
Research data must be archived for not less than three years after the final close-out or publication, whichever occurs last, with original data retained whenever possible. This should include reasonable and prudent practice for off-site back-up of electronic and hard-copy data. Where applicable, appropriate measures to protect confidential information must be taken. In addition, any of the following circumstances may justify longer periods of retention:
1. Data must be kept for as long as may be necessary to protect any intellectual property resulting from the work;
2. If any charges regarding the research arise, such as allegations of scientific misconduct or conflict of interest, data must be retained until such charges are fully resolved; and
3. If the data involved constitute part of a student's work toward a degree, they must be retained at least until the degree is awarded or it is clear that the student has abandoned the work.
Beyond the period of retention specified here, the destruction of the research record is at the discretion of the PI and his or her department or laboratory.
To enable the University to meet its responsibilities related to custody of research data (as previously described), the PI is obligated, upon appropriate request, to make all data available for review by the University, its officials or bodies, or the external funding agency or journals, or other external regulatory agencies. This obligation continues even after the PI leaves the University.
In group research projects, the PI is obligated to give co-investigators access to the research data or copies thereof for review and/or use in follow-on research, with proper acknowledgment. Data sharing and custody arrangements by co-investigators or group projects should be determined by the investigators when joining the project and preferably defined in a data use agreement.
Research data will normally be retained in the unit where they are produced. Research data must be retained in such a manner that they are accessible for inspection and copying by authorized representatives of Case Western Reserve University at reasonable times and in a reasonable manner.
f. Transfer in the event a researcher leaves Case Western Reserve University
When individuals involved in research projects who are not PI's at Case Western Reserve University leave the University, they may take copies of research data for projects on which they have worked. The PI must, however, retain original data, at Case Western Reserve University, unless specific permission to do otherwise is granted by the vice president for research and technology transfer. In the case of student research where the student is not the PI, the individual who is the PI may allow the student to take the original data (except for original informed consent documents if the study involves human subjects) when the student leaves the university as long as the student signs a written agreement (also signed by the PI and the vice president for research and technology management or his/her designee) agreeing to accept custodial responsibilities for the data and that Case Western Reserve University will be given access to the data should that become necessary.
If a PI leaves Case Western Reserve University, custody of the data may be transferred as long as there is a written agreement signed by the vice president for research and technology management or his/her designee and either the PI or (in the event the project is moved to another institution) both the PI and the new institution that guarantees:
1. acceptance of custodial responsibilities for the data, and
2. that Case Western Reserve University be given access to the data should that become necessary.
Approved by the Board of Trustees 5/18/93. Amended by the Faculty Senate 12/14/00 and approved by the Board of Trustees 6/13/01. Amended by the Faculty Senate 2/27/06 and approved by the Board of Trustees 4/26/06.
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