C. Regulations on Appointments, Tenure, and Academic Freedom

These REGULATIONS are designed to enable Colgate University to protect academic freedom and tenure and the requirements of academic due process. The principles implicit in these REGULATIONS are for the benefit of all who are involved with or are affected by the policies and programs of the institution.

1. Statement of Terms of Appointment

a. The terms and conditions of every appointment to the faculty will be stated or confirmed in writing, and a copy of the appointment document will be supplied to the faculty member. Any subsequent extensions or modifications of an appointment, and any special understandings, or any notices incumbent upon either party to provide, will be stated or confirmed in writing and a copy will be given to the faculty member.

b. With the exception of special appointments as described below, and reappointments of retired faculty members on special conditions, all full-time appointments to the rank of instructor or higher are of two kinds: (1) probationary appointments; or (2) appointments with continuous tenure.

c. Continuous tenure shall normally apply only to staff members listed as full-time or Category I faculty whose duties are primarily instructional or in direct supervision of instruction.

d. Faculty members whose duties are primarily administrative may be appointed to, and be retained in, any designated rank without limit of time. They may be granted tenure at the discretion of the President and with the approval of the Board of Trustees.

e. Librarians are members of the faculty and have faculty rank and status. Contractual arrangements are defined in Section III.N. They may be granted tenure at the discretion of the President and with the approval of the Board of Trustees.

f. Faculty members in the Division of Physical Education, Recreation and Athletics may be retained as instructors, or in any designated rank, without limit of time. Contractual arrangements are defined in Section III.M. Faculty members of the Division of Physical Education, Recreation and Athletics may be granted tenure at the discretion of the President and with the approval of the Board of Trustees.

g. The provisions noted above are not to be construed as preventing the administration from making special contracts or short-term appointments.

h. Except for faculty members who have appointments with tenure, every person with a teaching appointment of any kind will be informed each year in writing of his or her appointment matters relative to eligibility for the acquisition of tenure.

2. Appointments by Rank

a. Faculty who have not completed the Ph.D. at the time the initial contract letter is issued are appointed to the rank of instructor. Promotions to the rank of assistant professor are normally entertained only after an individual has successfully completed the Ph.D. New members of the faculty are automatically promoted to assistant professor rank if written notification from the degree-granting institution is received prior to July 1, indicating that all Ph.D. requirements have been satisfactorily completed. After that date the promotion will take place on the first of the month following the first Board of Trustees meeting after official written notification has been received.

b. Initial appointment to the rank of assistant professor shall be granted only to those whose potential worth as teachers and as productive scholars is sufficiently promising to warrant the confidence of their senior colleagues. An assistant professor should embody maturity and achievement in scholarship, of which the doctor’s degree is the normal testimonial. There is no presumption in appointing an assistant professor that he or she will later be promoted, nor does reappointment as an assistant professor imply any subsequent appointment at a higher rank.

c. Initial appointment to the rank of associate professor shall be granted only to those who, in addition to all of the qualifications of an assistant professor, have proved their worth as teachers and given substantial evidence of productive scholarship. There is no presumption in appointing an associate professor that he or she will later be promoted, nor does reappointment as an associate professor imply any subsequent appointment at a higher rank.

d. Initial appointment to the rank of professor shall be granted only after careful consideration of a candidate’s scholarship, productivity, teaching ability, and reputation among peers in his or her own field. Length and quality of service may be taken into account. The rank should be granted only to individuals who have been so tested that there is reasonable certainty of their continued usefulness throughout the remainder of their working years.

3. Probationary Appointments

Probationary appointments may be made for one year or for other stated periods and are subject to renewal.¹

The total period of full-time teaching service at Colgate prior to the acquisition of continuous tenure shall not exceed seven years, except as specifically described below.

Except for Category I faculty (see 5 below), persons hired into the tenure stream at Colgate who have had one to three years of previous full-time teaching experience at Colgate or other comparable institutions will normally be credited with that service minus one year. Persons with more than three years of teaching experience will normally receive two years of credit toward the probationary period. However, at the time of hiring, a new faculty member may—with the agreement of the Dean of the Faculty and the Department Chair—choose to have more of his/her prior service counted. There may be circumstances where that prior service (or some portion of it) will not count toward the probationary period at Colgate—e.g., teaching that occurs before the attainment of the Ph.D.², service at a community college, technical institute, or other institution very dissimilar to Colgate or where there has been a long break between the prior teaching experience and the commencement of service at Colgate.

The number of years of previous teaching experience that will be credited toward the probationary period at Colgate will be stated in writing at the time of initial appointment.

Faculty hired as beginning assistant professors will stand for tenure with at least one year of teaching beyond the semester in which third-year- review occurs. Leaves or combinations of leaves (including combinations of junior faculty leave, other scholarly leaves, leaves without pay, study group leadership semesters, or other non-teaching semesters) that prevent a tenure evaluation with this requisite teaching will result in a delay of tenure review. The postponement of tenure review in such cases will be non-discretionary.

Tenure review postponements are also granted for leaves that negatively impact a faculty member’s scholarly activities. A one-year extension of the probationary period will be automatically granted for any FMLA leave of six weeks or more, including childbirth or other disability periods during the summer months. More than one such leave will normally result in a two-year postponement of tenure review. First time leadership of a semester- length study group also impacts scholarship and will result in a one-year postponement of tenure review. Postponements of tenure review for leaves that impact scholarship will be automatically granted unless the faculty member requests in writing to the Dean of the Faculty that there be no delay, and the request is submitted prior to March 1 of the year in which the tenure review was originally scheduled (i.e., the earlier year).

In unusual cases, such as ongoing serious issues that do not result in an extended FMLA leave, the Dean of Faculty may, at his or her discretion, grant a faculty member’s request for a one-year postponement of tenure review.

Except in the most unusual cases, the postponement of tenure review as a result of any combination of circumstances will not exceed two years. Postponement based on study group leadership (whether under the teaching or scholarship category) will not exceed one year.

4. Continuous Tenure Appointments

a. Appointments with continuous tenure are normally made for the seventh year of service at Colgate [or the equivalent as calculated according to the descriptions of 3(a) above] after the tenure review and recommendations of the Promotion and Tenure Committee, the Dean of the Faculty, and the President are forwarded to the Board of Trustees for final action in the sixth year.

b. Appointment with continuous tenure carries with it the promotion to the rank of Associate Professor, if not previously achieved.

c. Appointments with continuous tenure are made to those who have satisfied the criteria set forth in Chapter III, Section D, and when there is every reasonable expectation for such standards to be maintained for a full and fruitful academic career.

5. Category I Appointments Persons whose instructional load is at least one-half the normal load spread through the academic year may be appointed Professor (part-time), Associate Professor (part-time), Assistant Professor (part-time), or Instructor (part-time). These part-time appointees will have responsibility for teaching, scholarly activity, and service to the University community, and will be extended full voting privileges. The conditions of appointment to a Category I part-time position are as follows:

a. Appointment to one of the above-mentioned part-time ranks shall be granted only to those who meet the professional qualifications for appointment to the corresponding full-time rank.

b. Appointments shall be for one year during the first four years of service. Notification of renewal of appointment for the first three years of service shall be made in March of the preceding year; for the fourth and subsequent years until the tenure review, notification shall be made at least twelve months before the expiration of the appointment.

c. In the notification of terms and conditions of renewal, the appointee’s teaching load will be specified as a fraction of a normal full-‐time load. Annual salary and non-‐teaching responsibilities, such as governance, advising, and research, will be determined as that fraction of the salary and non-‐teaching responsibilities appropriate to the corresponding full-‐time rank.

d. Standards for promotion of Category I faculty will be the same as for full-‐time faculty.

e. Procedures for tenure and promotion of Category I faculty members are comparable to those for full-time, tenure stream faculty. However, because of the special importance of institutional need in these positions, normally no countable time will be given. Extensions of the probationary period will be made in accordance with the rules established for full-time faculty (see section III.C.3 of the Handbook).

i. Category I faculty members will undergo the first review in the spring of their fourth year of teaching at Colgate The Fourth Year Review is based on the quality of the individual’s teaching, scholarly promise in addition to the Ph.D. dissertation, and service to the University. A decision to terminate a Category I faculty member in the tenure stream after the fifth year will be made on the basis of considerations (1) –(4) outlined for full-time faculty at Third Year Review (see section III.E.6 of the Handbook).

ii. In the spring of the sixth year of teaching, institutional need for the position by the department, program, and university (consideration (5) under Third Year Review for full-time tenure stream faculty, see section III.E.6 of the Handbook) will be evaluated. The evaluation of institutional need in the Sixth Year Review will be based on the original need for the position as well as the evolution of the position. If it is concluded that the position is no longer needed, then the Category I faculty member will be given a terminal contract for one additional year at Colgate.

iii. If institutional need for the position is established in the Sixth Year Review, then the Category I faculty member will stand for tenure and promotion to associate professor in the fall of his or her ninth year of teaching at Colgate. The tenure review will be based solely on the achievement of the faculty member; institutional need for the position will not be a consideration. As is the practice with other tenure- stream appointments at Colgate, unsuccessful Category I candidates for tenure will receive terminal contracts for one additional year at Colgate.

f. Dismissal procedures shall be the same as for full-time faculty members.

g. Appointees may apply for leaves of absence without pay on the same basis as full-time faculty. Such leaves of absence, while not counting as service, will not affect their standing with regard to notification and benefits.

6. Other Academic Appointments

a. Adjunct Professors On rare occasions, the title Adjunct Professor may be awarded to persons of unusual merit and prestige who have had a close association with or demonstrated a particular commitment to Colgate University. Normally, such persons will be recognized scholars who have a full-time position elsewhere. The title may also be awarded to persons of outstanding literary or artistic talent. An adjunct professorship carries with it no compensation but individuals who are appointed are expected to be of occasional service to the University. The period of appointment may not exceed three years. If an Adjunct Professor is appointed to a regular position at Colgate, he or she will receive compensation and be given the title “Visiting” at the appropriate rank.

b. Part-time Faculty Appointments Held by Administrators Some administrative positions carry with them part-time faculty appointments in an academic department or program. Appointment to appropriate faculty rank for these individuals is made by the Dean of the Faculty in consultation with the department chair or program director. Teaching responsibilities within the specific academic department or program are determined through discussions among the division director, chair of the department, the administrative supervisors, and the individual part-time faculty member. Part- time teaching for persons occupying such appointments is normally not more than half-time and does not normally count toward the probationary period for tenure consideration.

c. Non-academic Administrative Staff A member of the non-academic administrative staff who teaches a regularly scheduled course may be considered for the rank of Lecturer. The individual’s credentials will be reviewed by the appropriate department, by the division director, and the Dean of the Faculty. The Dean of the Faculty will make the final determination concerning the award of the rank of Lecturer. Such an appointment will be for the academic term in which the course is taught.

d. Lecturers Persons who teach or assist with specified courses but carry no faculty responsibilities beyond their course-related duties are appointed to the rank of Lecturer. Salary is normally determined on a per-course basis. Those individuals with appointments who teach at least four courses a year and at least two each in the fall and spring will be entitled to benefits for the months of September through May.

e. Senior Lecturers Lecturers who have taught at least four courses annually over a period of at least four years may be promoted, after review by their department/program and the DAC, to Senior Lecturer. Promotion is based on a continuing institutional need for the position and demonstrated excellence in teaching. Senior Lecturers receive annual salary and, when teaching at least four courses, full-year benefits. Senior Lecturers receive renewable annual contracts, but, because the positions do not carry scholarly obligations, are not eligible for tenure even if their teaching load is fulltime. Any additional non-teaching duties will be specified in the contract letter. Senior Lecturers undergo annual reviews in their department or program. This review is forwarded to the Division Director as a letter of consultation.

f. Laboratory Instructors Persons who teach or assist with laboratory courses on a continuing basis may receive the title of Laboratory Instructor. Laboratory Instructors are appointed annually to positions that are full- or part-time, involve teaching less than a normal faculty load and may carry additional duties beyond teaching and grading of laboratory sections. These additional duties are to be specified in the annual appointment letter. Those individuals holding positions that are at least half-time (20 hours per week combined instructional and other duties) will be entitled to full-year benefits. Laboratory Instructors receive an annual review by the department chair. This review is forwarded to the Division Director as a letter of consultation.

g. Research Associates The title of Research Associate may be awarded to persons who have established a cooperative research relationship with one or more continuing faculty members at Colgate. Such persons will normally hold faculty rank at another academic institution or hold a research position in government, industry, or with a research institute. Research Associates will normally be expected to be in residence at Colgate for some portion of their appointment, and they will usually be expected to provide some service to the institution in the form of an occasional departmental seminar or colloquium. The need for any university facilities or support services must be clearly specified by the sponsoring department or program at the time of application. Research Associate status carries with it no compensation. The period of appointment is for one year and may be renewed.

h. Research Affiliates The title of Research Affiliate may be awarded to persons who have established an institutional relationship with Colgate that may involve adjunct teaching or cooperative research with Colgate faculty or students. The need for any university facilities or support services must be clearly specified by the sponsoring department or program at the time of application. Research Affiliate status carries with it no compensation. The period of appointment is for one year and may be renewed.

7. Termination of Appointment by the Faculty A faculty member may terminate his or her appointment effective at the end of an academic year, provided that he or she gives notice in writing at the earliest possible opportunity, but not later than two weeks after receiving notification of the terms of the appointment for the coming year. The faculty member may properly request a waiver of this requirement of notice in case of hardship or in a situation where he or she would otherwise be denied substantial professional advancement or other opportunity.

8. Termination of Appointments by the Institution

a. Termination of an appointment with continuous tenure, or of a special or probationary appointment before the end of the specified term, may be effected by the institution only for adequate cause.

b. If termination takes the form of a dismissal for cause, it will be pursuant to the procedures specified in Section III.C.9.

c. Financial Exigency

(1) Termination of an appointment with continuous tenure, or of a probationary or special appointment before the end of the specified term, may occur under extraordinary circumstances because of a demonstrably bona fide financial exigency, i.e., an imminent financial crisis which threatens the survival of the institution as a whole and which cannot be alleviated by less dramatic means.

(2) If the administration issues notice to a particular faculty member of an intention to terminate the appointment because of financial exigency, the faculty member will have the right to a full hearing before a faculty committee. The hearing need not conform in all respects with a proceeding conducted pursuant to Section III.C.9, but the essentials of an on-the-record adjudicative hearing will be observed. The issues in this hearing may include:

(a) The existence and extent of the condition of financial exigency. The burden will rest on the administration to prove the existence and extent of the condition. The findings of a faculty committee in a previous proceeding involving the same issue may be introduced.

(b) The validity of the educational judgments and the criteria for identification for termination; but the recommendations of a faculty body on these matters will be considered presumptively valid.

(c) Whether the criteria are being properly applied in the individual case.

(3) If the institution, because of financial exigency, terminates appointments, it will not at the same time make new appointments except in extraordinary circumstances where a serious distortion in the academic program would otherwise result. The appointment of a faculty member with tenure will not be terminated in favor of retaining a faculty member without tenure, except in extraordinary circumstances where a serious distortion of the academic program would otherwise result.

(4) Before terminating an appointment because of financial exigency, the institution, with faculty participation, will make every effort to place the faculty member concerned in another suitable position within the institution.

(5) In all cases of termination of appointment because of financial exigency, the faculty member concerned will be given notice or severance salary not less than as prescribed in Section III.C.12.

(6) In all cases of termination of appointment because of financial exigency, the place of the faculty member concerned will not be filled by a replacement within a period of three years, unless the released faculty member has been offered reinstatement and a reasonable time in which to accept or decline it.

d. Discontinuance of Program or Department Not Mandated by Financial Exigency Termination of an appointment with continuous tenure, or of a probationary or specified appointment before the end of the specified term, may occur as a result of bona fide formal discontinuance of a program or department of instruction. The following standards and procedures will apply:

(1) The decision to discontinue formally a program or department of instruction will be based essentially upon educational considerations, as determined primarily by the faculty as a whole or an appropriate committee thereof.

(2) Before the administration issues notice to a faculty member of its intention to terminate an appointment because of formal discontinuance of a program or department of instruction, the institution will make every effort to place the faculty member concerned in another suitable position. If placement in another position would be facilitated by a reasonable period of training, financial and other support for such training will be proffered. If no position is available within the institution, with or without retraining, the faculty member’s appointment then may be terminated, but only with provision for severance salary equitably adjusted to the faculty member’s length of past and potential service.

(3) A faculty member may appeal a proposed relocation or termination resulting from a discontinuance and has a right to a full hearing before a faculty committee. The hearing need not conform in all respects with a proceeding conducted pursuant to Section III.C.9, but the essentials of an on-the-record adjudicative hearing will be observed. The issues in such a hearing may include the institution’s failure to satisfy any of the conditions specified in this section. In such a hearing a faculty determination that a program or department is to be discontinued will be considered presumptively valid, but the burden of proof on other issues will rest on the administration.

e. Termination for Medical Reasons Termination of an appointment with tenure, or of a probationary or special appointment before the end of the period of appointment, for medical reasons, will be based upon clear and convincing medical evidence that the faculty member cannot continue to fulfill the terms and conditions of the appointment. The decision to terminate will be reached only after there has been appropriate consultation and after the faculty member concerned, or someone representing the faculty member, has been informed of the basis of the proposed action and has been afforded an opportunity to present the faculty member’s position and to respond to the evidence. If the faculty member so requests, the evidence will be reviewed by the elected members of the Faculty Committee on Promotion and Tenure before a final decision is made by the Board of Trustees on the recommendation of the administration.

f. Review In cases of termination of appointment, the Board of Trustees will be available for ultimate review.

9. Dismissal Procedures

a. Adequate cause for a dismissal will be related, directly and substantially, to the fitness of the faculty member in his or her professional capacity as a teacher or researcher. Dismissal will not be used to restrain faculty members in their exercise of academic freedom or other rights of U.S. citizens.

b. Dismissal of a faculty member with continuous tenure, or with a special or probationary appointment before the end of the specified term, will, if desired by the faculty member, be preceded by: (1) discussions between the faculty member and appropriate administrative officers looking toward a mutual settlement; (2) informal inquiry by the Faculty Committee on Promotion and Tenure which may, failing to effect an adjustment, determine whether in its opinion dismissal proceedings should be undertaken, without its opinion being binding upon the President; and (3) a statement of charges, framed with reasonable particularity by the President or the President’s delegate.

c. A dismissal, as defined in Section III.C.8.b, will be preceded by a statement of reasons, and the individual concerned will have the right to be heard initially by the elected faculty members of the Committee on Faculty Affairs. Members deeming themselves disqualified for bias or interest shall remove themselves from the case, either at the request of a party or on their own initiative. Each party will have a maximum of two challenges without stated cause. The remaining elected faculty members of the Committee shall elect replacements for members who are disqualified or challenged.

(1) Pending a final decision by the hearing committee, the faculty member will be suspended, or assigned to other duties in lieu of suspension, only if immediate harm to the faculty member or others is threatened by his or her continuance. Before suspending a faculty member, pending an ultimate determination of his or her status through the institution’s hearing procedures, the administration will consult with the Faculty Committee on Promotion and Tenure concerning the propriety, the length, and the other conditions of the suspension. A suspension, which is intended to be final, is a dismissal and will be treated as such. Salary will continue during the period of the suspension.

(2) The hearing committee may, with the consent of the parties concerned, hold joint pre-hearing meetings with the parties in order to (i) simplify the issues; (ii) effect stipulations of facts; (iii) provide for the exchange of documentary or other information; and (iv) achieve such other appropriate pre-hearing objectives that will make the hearing fair, effective, and expeditious.

(3) Service of notice of hearing with specific charges in writing will be made at least twenty days prior to the hearing. The faculty member may waive a hearing or may respond to the charges in writing at any time before the hearing. If the faculty member waives a hearing, but denies the charges or asserts that the charges do not support a finding of adequate cause, the hearing tribunal will evaluate all available evidence and rest its recommendation upon the evidence in the record.

(4) The committee, in consultation with the President and the faculty member, will exercise its judgment as to whether the hearing should be public or private.

(5) During the proceedings, the faculty member will be permitted to have an academic adviser and legal counsel of his or her own choice.

(6) At the request of either party or the hearing committee, a representative of a responsible educational association shall be permitted to attend the proceedings as an observer.

(7) A verbatim record of the hearing or hearings will be taken and a typewritten copy will be made available to the faculty member without cost, at the faculty member’s request.

(8) The burden of proof that adequate cause exists rests with the institution and shall be satisfied only by clear and convincing evidence in the record considered as a whole.

(9) The hearing committee will grant adjournments to enable either party to investigate evidence as to which a valid claim of surprise is made.

(10) The faculty member will be afforded an opportunity to obtain necessary witnesses and documentary or other evidence. The administration will cooperate with the hearing committee in securing witnesses and making available documentary and other evidence.

(11) The faculty member and the administration will have the right to confront and cross-examine all witnesses. Where the witnesses cannot or will not appear, but the committee determines that the interests of justice require admission of their statements, the committee will identify the witnesses, disclose their statements, and if possible provide for interrogatories.

(12) In the hearing of charges of incompetence, the testimony shall include that of qualified faculty members from this or other institutions of higher education.

(13) The hearing committee will not be bound by strict rules of legal evidence and may admit any evidence which is of probative value in determining the issues involved. Every possible effort will be made to obtain the most reliable evidence available.

(14) The findings of fact and the decision will be based solely on the hearing record.

(15) Except for such simple announcements as may be required, covering the time of the hearing and similar matters, public statements and publicity about the case by either the faculty member or administrative officers will be avoided so far as possible until the proceedings have been completed, including consideration by the governing board of the institution. The President and the faculty member will be notified of the decision in writing and will be given a copy of the record of the hearing.

(16) If the hearing committee concludes that adequate cause for dismissal has not been established by the evidence in the record, it will so report to the President. If the President rejects the report, he or she will state the reasons for doing so, in writing, to the hearing committee and to the faculty member, and provide an opportunity for response before transmitting the case to the Board of Trustees. If the hearing committee concludes that adequate case for a dismissal has been established, but that an academic penalty less than dismissal would be more appropriate, it will so recommend, with supporting reasons.

10. Action by the Board of Trustees When dismissal or other severe sanction is recommended, the President will, on request of the faculty member, transmit to the Board of Trustees the record of the case. The Board’s review will be based on the record of the committee hearing, and it will provide opportunity for argument, oral or written or both, by the principals at the hearings or by their representatives. The decision of the hearing committee will either be sustained, or the proceeding returned to the committee with specific objections. The committee will then reconsider, taking into account the stated objections and receiving new evidence, if necessary. The Board of Trustees will make a final decision only after study of the committee’s reconsideration.

11. Procedures for Imposition of Sanctions Other than Dismissal

a. If the administration believes that the conduct of a faculty member, although not constituting adequate cause for dismissal, is sufficiently grave to justify imposition of a severe sanction, such as suspension from service for a stated period, the administration may institute a proceeding to impose such a severe sanction; the procedures outlined in Section III.C.9. shall govern such a proceeding.

b. If the administration believes that the conduct of a faculty member justifies imposition of a minor sanction, such as a reprimand, it shall notify the faculty member of the basis of the proposed sanction and provide the faculty member with an opportunity to persuade the administration that the proposed sanction should not be imposed. A faculty member who believes that a major sanction has been incorrectly imposed under this paragraph, or that a minor sanction has been unjustly imposed, may petition the elected faculty members of the Committee on Faculty Affairs as outlined in Section III.C.17. below.

12. Terminal Salary or Notice If the appointment is terminated, the faculty member will receive salary or notice in accordance with the following schedule: at least three months, if the final decision is reached by March 1 (or three months prior to the expiration) of the first year of probationary service; at least six months, if the decision is reached by December 15 of the second year (or after nine months but prior to eighteen months) of probationary service; at least one year, if the decision is reached after eighteen months of probationary service or if the faculty member has tenure. This provision for terminal notice or salary need not apply in the event that there has been a finding that the conduct which justified dismissal involved moral turpitude. On the recommendation of the faculty hearing committee or the President, the Board of Trustees, in determining what, if any, payments will be made beyond the effective date of dismissal, may take into account the length and quality of service of the faculty member.

15. Political Activities of Faculty Members Faculty members are free to engage in political activities. Where necessary, leaves of absence may be given for the duration of an election campaign or a term of office, on timely application, and for a reasonable period of time. The terms of such leave of absence shall be set forth in writing, and the leave will not affect unfavorably the tenure status of a faculty member, except that time spent on such leave will not count as probationary service unless an agreement has been made otherwise.

16. New York State Oath Section 3002 of the Education Law of the State of New York requires that college instructors sign and subscribe to a statement to support the federal and state constitutions. New faculty members may obtain the necessary form from the Dean of the Faculty’s office. The statement must be signed and filed with that office soon after the faculty member arrives on campus.

AMENDED OATH OF ALLEGIANCE

"I do hereby pledge and declare that I will support the Constitution of the United States of America and the Constitution of the State of New York, and I will faithfully discharge the duties of the position of _______________________________ according to my the best of my ability."

17. Equity Grievance Policy

This policy is accessible online at: http://www.colgate.edu/egppolicy

I. Policy Statement

Colgate is proud to be a community comprised of diverse individuals from all backgrounds. Colgate values the social and intellectual vibrancy that occurs when students, faculty and staff with different life experiences, viewpoints, and belief systems come together. This policy prohibits acts of discrimination, harassment, sexual assault and sexual exploitation, as well as domestic violence, dating violence and stalking. Any and all such acts are serious violations of our community values. This policy is a fundamental part of a Colgate community where all members can study, live, and work together in a community characterized by equal opportunity, inclusiveness, safety and mutual respect.

Colgate fully subscribes to all federal and state civil rights laws banning discrimination in private institutions of higher education. These include but are not limited to Title IX and Title VI of the Education Amendments of 1972, Title VII of the Civil Rights Act of 1964, the American with Disabilities Act, the Rehabilitation Act, and the New York State Human Rights Law. Colgate is committed not only to compliance with these laws but with promoting a community that lives out the values these equal opportunity laws envision.

II. Policy Coverage

This policy sets forth behavioral expectations for all members of the Colgate community: students, faculty and staff. This policy applies to conduct that occurs on Colgate’s campus or property and to all Colgate programs and sponsored activities. Non-‐community members (guests, alumni, vendors, parents, etc.) visiting our campus or participating in University programs or events are also expected to abide by the behavioral expectations set forth here. This policy also applies to off-‐campus conduct under certain circumstances. For example, it applies when students travel off campus as part of a university activity or team, or when employees travel on Colgate business.

Conduct that occurs off-‐campus and not in connection with Colgate programs may violate this policy if the conduct creates a threatening or hostile environment on campus or within a Colgate program, or if the incident causes concern for safety or security of the Colgate’s campus.

A complaint that this policy has been violated will be addressed through the university’s Equity Grievance Process, as detailed below. The Equity Grievance Process applies regardless of the status of the parties involved, who may be students, student organizations, faculty, administrators, or staff. Complaints made by non-‐members of the Colgate community against students, student organizations, faculty, administrators, or staff are also subject to the Equity Grievance Process.

The associate provost for equity and diversity serves as Title IX Coordinator and oversees implementation of the Equity Grievance Process for responding to complaints of sexual harassment, sexual assault, discrimination, discriminatory harassment and other violations of this policy.

Inquiries may be made to:

Marilyn (“Lyn”) Rugg, Ph.D.
Associate Provost for Equity and Diversity
The Office of Equity and Diversity
102 Lathrop Hall
Colgate University
13 Oak Drive
Hamilton, NY 13346
315-228-6161

III. Definitions

A. Discrimination

Colgate University complies with all federal and state civil rights laws banning discrimination in private institutions of higher education. Colgate will not discriminate against any person because of race, color, sex, pregnancy, religion, creed, national origin (including ancestry), citizenship status, physical or mental disability, age, marital status, sexual orientation, gender identity and expression, veteran or military status (including special disabled veteran, Vietnam-‐era veteran, or recently separated veteran), predisposing genetic characteristics, domestic violence victim status, or any other protected category under applicable local, state, or federal law.

The term “discrimination” refers to an act that disadvantages a person and that occurs because of the affected individual’s race, color, sex, pregnancy, religion, creed, national origin (including ancestry), citizenship status, physical or mental disability, age, marital status, sexual orientation, gender identity and expression, veteran or military status (including special disabled veteran, Vietnam-‐era veteran, or recently separated veteran), predisposing genetic characteristics, domestic violence victim status, or any other characteristic protected by applicable law. This list is often referred to as “protected characteristics”. Examples of discrimination include but are not limited to denying a student a research opportunity because of the student’s race, disability, sexual orientation or other protected characteristic; giving a student a lower grade than deserved because of the student’s gender, military service, religion, or other protected characteristic; denying an employee a raise because of the employee’s age, marital status, or other protected characteristic.

B. Harassment

Harassment is unwelcome, offensive conduct that occurs on the basis of race, color, sex, pregnancy, religion, creed, national origin (including ancestry), citizenship status, physical or mental disability, age, marital status, sexual orientation, gender identity and expression, veteran or military status (including special disabled veteran, Vietnam-‐era veteran, or recently separated veteran), predisposing genetic characteristics, domestic violence victim status, or any other protected category under applicable local, state, or federal law. Sexual harassment is one form of harassment that is characterized by unwelcome conduct that is sexual in nature.

Harassing conduct can occur in various forms, including:

i. Verbal - such as unwelcome sexually suggestive, demeaning, or graphic comments; using ethnic, racial, religious, or other slurs to refer to a person; or jokes or comments that demean a person on the basis of gender, race, color, religion, ethnicity, national origin, sexual orientation, gender identity or expression, age, or disability.

ii. Physical - such as unwanted sexual contact; sexual intimidation through physical threats; physical threats toward or intimidation of another on the basis of gender, race, color, religion, ethnicity, national origin, sexual orientation, gender identity or expression, age, or disability.

iii. Visual - such as exposing another person to unwanted pornographic images; creating or displaying racially, ethnically, religiously offensive pictures, symbols, cartoons, or graffiti.

iv. Communication-based - such as phone calls, e-‐mails, text messages, chats, or blogs that offend, demean, or intimidate another on the basis of gender, race, color, religion, ethnicity, national origin, sexual orientation, gender identity or expression, age, or disability.

A determination as to whether harassment occurred depends on the totality of the circumstances, including the context of a communication or incident, the relationship of the individuals involved in the communication or incident, whether an incident was an isolated incident or part of a broader pattern or course of offensive conduct, the seriousness or severity of the incident, the intent of the individual who engaged in the allegedly offensive conduct, and its effect or impact on the individual and the learning community. A “hostile environment” is created when the offensive behavior reaches a level of severity or

pervasiveness such that it interferes with an individual’s ability to participate in the University’s programs (i.e., to work and to learn) when judged against a reasonable person standard. However, Colgate encourages individuals experiencing or witnessing offensive behavior to make a report as early as possible so as to have the situation corrected before it reaches the level of a hostile environment. Individuals with a concern need not worry about whether the behavior is sufficiently serious to constitute a hostile environment. Colgate may, and in the appropriate circumstances will, take action to respond to offensive behavior even if the behavior does not rise to the level of a hostile environment within the meaning of the law.

The fact that a person was personally offended by a statement or incident does not alone constitute a violation of this policy. The determination as to whether this policy has been violated takes into account the totality of the circumstances. Colgate considers the context of a communication or incident, the relationship of the individuals involved in the communication or incident, whether an incident was an isolated incident or part of a broader pattern or course of offensive conduct, the seriousness or severity of the incident, the intent of the individual who engaged in the allegedly offensive conduct, and its effect or impact on the individual and the community.

In all instances, a key factor is whether the complained-‐of behavior occurred because of one of the protected characteristics listed here. If it did not, the behavior is not regulated by this policy.

Colgate also prohibits “quid pro quo” sexual harassment, which means “this for that” harassment. It is a violation of this policy for any person to condition any benefit (such as a grade in a class, a research opportunity, a promotion, etc.) on submission to sexual activity. No person should believe that any other person -‐-‐ no matter their position of authority -‐-‐ has a right to require sexual activity in exchange for any benefit or advantage; they do not.

Faculty and administrators need to be especially sensitive to the power/authority relation in their interactions with students. Amorous relations between faculty and students, between administrators and students, or between coaches and students, contradict both professional ethics and this policy and are prohibited by Colgate.

C. Sex Offenses

Sexual activity or contact must be based on mutual consent to the specific sexual activity.

Consent is knowing, voluntary and clear permission by word or action, by all participants to a sexual activity. Since individuals may experience the same interaction in different ways, it is the responsibility of each party to make certain that the other has consented before engaging in the activity. For consent to be valid, there must be a clear expression in words or actions that the other individual consented to that specific sexual conduct.

A person cannot consent if that individual is unable to understand what is happening or is disoriented, helpless, asleep, or unconscious for any reason, including due to alcohol or other drugs. An individual who engages in sexual activity when the individual knows, or should know, that the other person is physically or mentally incapacitated has violated this policy. It is not an excuse that the individual respondent was intoxicated and, therefore, did not realize the incapacity of the other.

Incapacitation is defined as a state where someone cannot make rational, reasonable decisions because they lack the capacity to give knowing consent (e.g., to understand the “who, what, when, where, why or how” of the sexual interaction). This policy also covers a person whose incapacity results from mental disability or physical restraint.

Consent to some sexual contact (such as kissing or fondling) cannot be presumed to be consent for other sexual activity (such as intercourse). A current or previous dating relationship is not sufficient to constitute consent. Further, past consent to engage in sexual activity cannot be presumed to be consent to sexual activity in the future. The existence of consent is based on the totality of the circumstances, including the context in which the alleged incident occurred and any similar previous patterns that may be evidenced. Silence or the absence of resistance alone is not consent. A person can withdraw consent at any time during sexual activity by expressing in words or actions that he or she no longer wants the act to continue, and, if that happens, the other person must stop immediately.

In New York State, a minor (meaning a person under the age of 17 years) cannot consent to sexual activity. This means that sexual contact by an adult with a person younger than 17 years old is a crime as well as a violation of this policy, even if the minor wanted to engage in the act.

Sex offenses occur between members of the same sex and the opposite sex. In all cases, the issue is not the gender or sexual preference of the individuals involved but rather the activity and whether the parties to the activity knowingly and freely consented to engage in it.

i. Sexual Misconduct I: The sexual penetration, no matter how slight, of the vagina or anus with any body part or object, or oral penetration by a sex organ of another person, forcibly or without consent or where the victim is incapable of consent due to mental or physical incapacity. Sexual penetration includes vaginal or anal penetration by a penis, tongue, finger, or object, or oral copulation by mouth to genital contact, or genital to mouth contact. Sexual Misconduct I also includes non-‐forcible sexual intercourse with a person who is under the statutory age of consent (which in New York is age 17). It should be noted that the university uses the term ‘sexual misconduct’ to address behaviors like rape and sexual assault. The use of this term is not intended to diminish or minimize a victim’s experience, but is instead a recognition that the university has no authority to determine that a crime occurred. The university does not view sexual misconduct as a lesser form of misconduct than rape or sexual assault.

ii. Sexual Misconduct II: Any intentional sexual contact, however slight, with an object or bodily part, by a person upon another person that is without consent. This includes any bodily contact with the breasts, groin, genitals, mouth or other bodily orifice of another individual, or any other bodily contact in a sexual manner. Sexual Misconduct II also includes any disrobing of another or unwelcome exposure from one person to another without consent.

iii. Sexual Exploitation: When one takes non-consensual sexual advantage of another. Examples of sexual exploitation include but are not limited to observing or recording others engaged in sexual or private activity (such as undressing or showering) without the consent of all involved; or taking intimate pictures of another but then distributing the pictures to others without the photographed person’s consent or in a way that exceeds the bounds of consent; or exposing one’s genitals in non-‐consensual circumstances; or engaging in sexual activity with another while knowingly infected with a sexually transmitted disease (STD) without informing the other person of such infection.

D. Dating Violence

Dating violence refers to a pattern of behavior in which an individual uses physical violence (hitting, punching, kicking, etc.), coercion, threats, intimidation, isolation or other forms of emotional, sexual, verbal and/or economic abuse to control their current or former intimate partner. Intimate partner violence can occur within heterosexual and same sex relationships, and can happen to a person of any gender.

E. Stalking

Stalking is engaging in a course of conduct directed at a specific person that would cause a reasonable person to fear for his or her safety or the safety of others; or suffer substantial emotional distress. Stalking behavior may include but is not limited to repeated, intentional following, observing or lying in wait for another; or using “spyware” or other electronic means to gain impermissible access to a person’s private information; repeated, unwanted, intrusive, and frightening communications from the perpetrator by phone, mail, email, text, etc.; making direct or indirect threats to harm an individual or the individual’s relatives, friends, or pets; damaging or threatening to damage the property of the targeted individual.

F. Domestic Violence

Domestic violence refers to physical violence, or other forms of emotional, sexual, verbal and/or economic abuse between spouses or former spouses, cohabitating romantic partners or individuals who were formerly cohabitating romantic partners, individuals who share a child in common, or others in a family relationship.

Acts of sexual harassment, sex offenses, dating violence, domestic violence and stalking may be committed by any person upon any other person, regardless of the sex, gender, sexual orientation and/or gender identity of those involved. The issue in any case is not the gender or gender identity of the persons involved but the acts.

G. Hate Crimes

For the purpose of this policy, a “hate crime” is defined as violence to a person or damage to property (or a threat to do so) or any other criminal act that is motivated entirely or partly by hostility toward or intolerance of another’s race, color, religion, creed, ethnicity, ancestry, national origin, sexual orientation, gender identity or expression, marital status, military or veteran status, age, disability, or any other personal characteristic protected by law.

The following example demonstrates the difference between a crime and a hate crime. A student who selects a car at random in a campus parking lot and smashes the windshield has committed criminal mischief. A student who is biased against Muslims and smashes a windshield because he or she knows that the car belongs to a Muslim student has likewise committed criminal mischief. However, this second incident is also a hate crime because the student was motivated by anti-‐Muslim bias.

Federal and state laws prohibit hate crimes, and hate crimes often result in enhanced criminal penalties. Students who commit hate crimes are subject to criminal prosecution in addition to discipline pursuant to this policy. The criminal process is separate and distinct from this policy. The fact that a criminal complaint has been filed, prosecuted, or dismissed will not prevent Colgate from pursuing disciplinary action.

IV. Responding to Incidents

Any person who has been subjected to a violation of this policy is encouraged to understand their options and to seek out the support they need.

A. Confidential Support Resources

Victims are encouraged to seek support for their emotional and physical needs. A person seeking confidential emotional or healthcare may contact the following resources.

Students may contact:

- - - The Counseling Center, Conant House, 315-228-7385 or for an after-‐hours emergency, call Campus Safety at 315-‐228-‐7333 and ask to speak with the counselor on-‐call.
    - Office of the Chaplains, garden level of the Memorial Chapel, 315-228-7682
    - Student Health Services, 150 Broad Street, 315-228-7750
    - Victims of Violence, 24-hour hotline 315-366-5000

Employees may contact:

- - - Employee Assistance Program, 315-451-2161
    - Victims of Violence, 24-hour hotline 315-366-5000

A report to a Confidential Resource listed above is not a report to the University and will not result in remedial action or an investigation or disciplinary action. Information shared with the University’s Counseling Center, Student Health Center, and the University’s chaplains will not be shared with the Title IX Coordinator or the EGP Panel, unless the complainant requests this. Confidential Resources are there to support emotional, physical and spiritual needs only; any person who desires for the University to take investigatory/disciplinary action must make a report to one of the Responsible Administrators, listed below.

B. Responsible Administrators

The following offices and individuals have been trained to receive and respond to allegations of violations of this policy:

- - - Marilyn “Lyn” Rugg, Associate Provost for Equity & Diversity and Title IX Coordinator Office of Equity and Diversity
      102 Lathrop Hall
      315-228-7288
      mrugg@colgate.edu
    - Tamala Flack, Director for EEO/AA Office of Equity and Diversity
      102 Lathrop Hall
      315-228-7014
      tflack@colgate.edu
    - Any Equity Grievance Panel member (list of members can be found at www.colgate.edu/egpmembers)

If a report is made to anyone other than the Responsible Administrators listed above, the complainant risks the possibility that the information will not come to the attention of the proper University officials and may, therefore, not be acted upon.

i. What happens after contacting a Responsible Administrator. A Responsible Administrator will discuss with the complainant available avenues and options. A complainant may be able to take advantage of multiple options simultaneously. Options include contacting local law enforcement (if the incident involves a crime) and/or a disciplinary proceeding against the accused and/or mediation, in appropriate circumstances. (See Equity Grievance Process). In situations where the complainant’s well-‐being requires, other options may include interim changes in class assignments, residence hall assignments, transportation arrangements, or work assignments to assist the complainant in not having to interact with the accused, or other measures to enhance the complainant’s safety, such as escorts or increased monitoring of an area. The University will review the facts and circumstances of each case, as well the complainant’s wishes, in deciding whether and what steps are reasonable and appropriate.

ii. How information is shared within the University. A Responsible Administrator is not a confidential resource. A Responsible Administrator will share all reported information with the Title IX Coordinator. Information may be shared with others within the University on a need-‐to-‐know basis.

iii. How confidentiality and decisions about taking action are handled. A report to a Responsible Administrator often does, but need not necessarily, lead to an investigation or disciplinary action. The decision about what action(s) to take depend on many factors, including the complainant’s wishes, particularly in cases of sexual misconduct. A complainant may make a report to a Responsible Administrator and request that the University take no investigatory or disciplinary action. The University endeavors to comply with complainants’ wishes with respect to whether responsive action is taken. However, that is not always possible.

If a complainant requests that no action be taken against the accused (i.e., no investigation or disciplinary action), the Responsible Administrator will consult with the Title IX Coordinator and/or the Director for EE/AA (for cases involving staff), and the appropriate EGP Co-‐Chair(s). The University’s decision as to responsive action will depend on the seriousness of the offense, whether there was a single perpetrator or multiple, whether there is reason to believe that the accused has engaged in this or similar conduct previously, whether the circumstances suggest an ongoing or future risk to the campus community or the complainant, and similar considerations. A decision will be made and shared with the complainant. Ultimately, the University retains the right to act upon any information that comes to its attention.

Similarly, a complainant may desire to have investigatory and/or disciplinary action taken, but may wish to have his/her identity as the complainant kept confidential. Depending on the circumstances, this may or may not be possible. If any number of people could have reported the incident, it may be possible for the complainant’s identity to remain confidential and not shared with the respondent. However, in other cases, it may not be possible to proceed with investigatory or disciplinary action without revealing the identity of the complainant. If a complainant requests that his/her name be kept confidential (or if the complainant makes an anonymous complaint), the University’s ability to respond to the complaint may be limited. The appropriate administrators will discuss the situation and the complainant’s request for confidentiality, and a decision will be made and shared with the complainant. Ultimately, the University retains the right to act upon any information that comes to its attention.

iv. Interim actions may be available. Interim actions may be taken by the University to immediately respond to a situation while an investigation or disciplinary action is pending or ongoing. Interim actions may include but are not limited to offering adjustments to academic deadlines and course schedules for students; altering work arrangements for employees; referral to counseling and health services or to the Employee Assistance Program; providing campus escorts; implementing no-‐contact orders directing the accused to have no contact with the complainant; altering the housing situation of one or more of the involved students, or imposing temporary suspensions from housing or the entire campus, pending the outcome of a disciplinary proceeding.

There is no time limit for making a report. However, the passage of time may make effective responsive action difficult. Further, if the respondent is no longer a member of the University community, the University’s ability to respond may be limited. Individuals with a concern are encouraged to make a report promptly.

Please refer to the Equity Grievance Process for detailed information about Colgate’s investigatory and disciplinary action. You may also contact the Title IX Coordinator, the Director for EEO/AA, or an EGP Panel member to discuss how the EGP Policy and Equity Grievance Process work. You need not disclose information about a specific incident in order to obtain general information about Colgate’s policies and procedures.

C. Law Enforcement

Any person may call 911 or Campus Safety (315‐228‐7911) for immediate safety assistance. If you or someone else needs help, call for immediate assistance. Campus Safety can also assist the individual in making a report of a crime to local law enforcement and/or contacting a Responsible Administrator to initiate the University’s internal response mechanisms.

A victim of a crime is encouraged to, but is not required to, report the incident to local law enforcement and pursue criminal charges. The criminal process and the University’s disciplinary processes are not mutually exclusive or dependent on each other, meaning that a person may pursue either a criminal complaint or University complaint or both. The fact that there is a criminal complaint filed will not prevent the University from taking its own internal investigatory and disciplinary action. However, in some cases, the University may delay temporarily its internal processes while a law enforcement investigation is ongoing.

In criminal cases, the preservation of evidence is critical and must be done properly and promptly. For example, in cases of rape or other forms of sexual assault, it is important not to shower, change clothes and even brush your hair, as physical evidence may be lost. In cases of violence or physical abuse, it is important to document injuries, including by taking photographs. Campus Safety or the Hamilton Police Department (315-824-3311, or 911 in an emergency) can assist in filing a criminal complaint and in securing appropriate physical examination, including by a Sexual Assault Nurse Examiner. Additionally, orders of protection and other forms of legal protection may be available to individuals who have experienced or are threatened with violence by another person. Colgate will abide by all legally issued orders of protection, including denying the restricted person access to Colgate’s property, if necessary.

V. Retaliation

Retaliation is defined as any adverse action taken against a person for participating in a protected activity. Retaliation against an individual for reporting a complaint or concern about a violation or suspected violation of this policy, supporting a complainant, or for assisting in providing information in the context of an investigation or disciplinary proceeding pursuant to this policy is a serious violation of Colgate’s policy and will be subject to discipline pursuant to this policy and the EGP Process. Acts of alleged retaliation should be reported immediately to the associate provost for equity and diversity or to a member of the Equity Grievance Panel and will be promptly investigated. Colgate is prepared to take appropriate steps to protect individuals who fear that they may be subjected to retaliation.

VI. Disability Accommodations

Colgate University is committed to full compliance with the Americans With Disabilities Act (ADA) and its amendments, Section 504 of the Rehabilitation Act of 1973, and the New York State Human Rights Law, which prohibit discrimination against qualified persons with disabilities, as well as other federal and state laws pertaining to individuals with disabilities.

The director for EEO/AA has been designated as the ADA Coordinator responsible for coordinating efforts to comply with these disability laws, including investigation of any employee complaint alleging noncompliance. The Equity Grievance Process covers claims of disability-related harassment and discrimination. Disability accommodation requests are handled separately from the Equity Grievance process.

Procedures for requesting accommodations are described elsewhere in the Faculty, Staff, and Student Handbooks. Employee requests for disability-related accommodations should be made to the employee’s supervisor and/or the director for EEO/AA. Student requests for accommodations should be directed to the director of academic support and disability services.

VII. Role of Academic Inquiry

Colgate encourages intellectual inquiry and debate and the open discussion of differing viewpoints in formal and informal settings. This policy is not intended to stifle academic exchange even when it may be offensive to some. Ideas offered in the course of respectful, responsible teaching, learning, working and academic debate are not violations of this policy.

VIII. Designation of Authority

Any person assigned a role pursuant to this policy may designate his/her authority to another appropriate person to avoid conflicts of interest or in other circumstances, as deemed necessary.

IX. Policy Enforcement

The person responsible for the implementation of this policy internally is:

Marilyn “Lyn” Rugg, Ph.D.
Associate Provost for Equity and Diversity & Title IX Coordinator
The Office of Equity and Diversity
102 Lathrop Hall
Colgate University
13 Oak Drive
Hamilton, NY 13346
315-228‐6161

Inquiries and complaints may be made externally to:

Office for Civil Rights (OCR)
U.S. Department of Education
400 Maryland Avenue, SW
Washington, DC 20202-‐1100
Customer Service Hotline #: 800-421-3481
Facsimile: 202-453‐6012
TDD#: 877-521-2172
E-‐mail: OCR@ed.gov
Web: http://www.ed.gov/ocr

It is the policy of Colgate University that all grievances alleged by faculty members should be heard and, if possible, resolved, informally and expeditiously, with the participation of all concerned parties. To that end, faculty members who have a grievance against the University or any of its officials are encouraged to speak directly to the appropriate official in an attempt to resolve the dispute amicably. If a resolution of the dispute is not forthcoming the faculty member is encouraged to bring the issue to the attention of his or her department chair or division director, or, if circumstances warrant, directly to the Dean of the Faculty.

C. Regulations on Appointments, Tenure, and Academic Freedom

Footnotes