C. Appointments, Tenure, and Academic Freedom

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 in III.C.1.e-f, 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.P. 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.O. 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. Every person with a teaching appointment of any kind will be informed each year in writing of their appointment.

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 tenured 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 they 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 they 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 their 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.

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

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 will normally undergo pre-tenure review in the spring of their third year and tenure review in the fall of their sixth year.

Pre-tenure scholarly leaves of 2 courses may extend the timing of the tenure review by one semester and leaves of 3 or more courses may extend the timing by two semesters.  The timing of the tenure review should be discussed following a successful pre-tenure review, and a final decision of whether to stand for review in a particular semester will be made no later than the meeting with the division director that begins the preparation of the tenure dossier. 

In addition, pre-tenure and tenure review extensions are granted for leaves that negatively impact a faculty member’s scholarly activities. A one-year extension of pre-tenure and tenure reviews will be automatically granted for any FMLA leave of six weeks or more. (Childbirth or other certified disability periods during the summer months also trigger this provision, regardless of whether FMLA is officially taken). More than one such leave will normally result in a two-year extension of pre-tenure and tenure review. First time leadership of a semester-length study group also impacts scholarship and will result in a one-year extension of pre-tenure and tenure review. Extensions will be automatically granted unless the faculty member requests otherwise in writing to the Dean of the Faculty. This request must be submitted prior to March 1 in the case of a Fall review and October 1 in the case of a Spring review (i.e., the semester before). A faculty member who takes FMLA leave before pre-tenure review may extend both pre-tenure review and tenure review or undergo pre-tenure review on schedule and extend tenure review; extension of pre-tenure review necessarily extends tenure review so that there is sufficient time between the two reviews. 

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

At the time of hire, faculty with previous full-time teaching experience, at either Colgate or another college or university, may request that they be credited with time toward the probationary period based on that prior experience. The review schedule for faculty who have been credited with prior experience is described in III.G.6 below.

Requests to count prior full-time teaching experience towards the probationary period must be made at the time of hire: the number of years that will be credited will be stated in writing at the time of initial appointment. All requests are subject to approval by the Department Chair (or Program Director) and the Dean of the Faculty, but requests will usually be granted subject to the following provisions: 

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

In all cases, faculty will stand for tenure with at least two semesters of teaching beyond the semester in which pre-tenure review occurs. Leaves or combinations of leaves (including combinations of pre-tenure 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.

b. The faculty member will be advised, at the time of initial appointment, of the substantive standards and procedures generally employed in decisions affecting renewal and tenure. The faculty member will be advised of the time when decisions affecting renewal or tenure are ordinarily made, and will be given the opportunity to submit relevant material. The institution will normally notify faculty members of the terms and conditions of their renewals by March 15.

c. Regardless of the stated term or other provisions of any appointments, written notice that a probationary appointment is not to be renewed will be given as follows: (1) not later than March 1 of the first academic year of service if the appointment expires at the end of that year; or, if a one-year appointment terminates during an academic year, at least three months in advance of its termination; (2) not later than December 15 of the second academic year of service if the appointment expires at the end of that year; or if an initial two-year appointment terminates during an academic year, at least six months in advance of its termination; (3) at least twelve months before the expiration of an appointment after two or more years of service at the institution. (These provisions on nonrenewal do not apply to faculty in the Division of Physical Education, Recreation and Athletics, See Section O, Regulations on Appointments for Division of Physical Education, Recreation and Athletics.)

d. In the case of non-renewal of a probationary appointment (i.e. not reviewed by the Promotion and Tenure Committee), faculty members may request the Dean of the Faculty to state in writing the reasons which contributed to the decision within 30 days of the date of the notice. The Dean of the Faculty will respond within 30 days of the date of the request, at which point the faculty member may also request reconsideration of the decision within 30 days from the date of the Dean of the Faculty’s written response. The Dean of the Faculty will notify the faculty of the decision on reconsideration within 30 days.

e. Decisions on promotion (pre-tenure review and tenure) will follow the REGULATIONS ON APPOINTMENTS, TENURE, AND ACADEMIC FREEDOM (contained in this Section, III.C.) and the GUIDELINES FOR REAPPOINTMENT, TENURE, AND PROMOTION (III.F). The current guidelines, which may be modified at the discretion of the Promotion and Tenure Committee, Division Directors, and Dean of the Faculty, are described in Chapter III.G.10.

In the case of a negative decision, the faculty member may request the Dean of the Faculty to state in writing the reasons that contributed to the decision within 30 days of the date of the notice. The Dean of the Faculty will respond within 30 days of the date of the request. The faculty member may decide to appeal in writing to the Faculty Due Process Oversight Committee (hereafter Due Process Committee) within 60 days of the date of notice of the negative decision or within 30 days of the date of the Dean’s written explanation of the negative decision, whichever is later. Appeals to the Due Process Committee will only be considered on the grounds of:

1. Procedural error (III.C.3.f), which applies only to cases involving the Promotion and Tenure Committee: Pre-tenure Review, Tenure, Promotion to Full, and to cases involving the Library Promotion Review Committee;

2. Violations of Academic Freedom or Discrimination (III.C.3.g), which applies to all probationary appointments and promotions to Full Professor, and to cases involving the Library Promotion Review Committee.

The Due Process Committee shall ensure due process for probationary and promotion appeals and will not substitute its judgment on the merits of the case for that of the Promotion and Tenure Committee. The Due Process Committee shall consist of five members of the Faculty, including the chair of the Committee on Faculty Affairs (or a designee), a tenured member of the Faculty Affirmative Action Oversight Committee (or a designee) and three Professors who have served as elected members of the Promotion and Tenure Committee. The three former Promotion and Tenure Committee Professors will come from at least three different Academic Divisions. In all, the committee members will represent the four academic divisions. The Due Process Committee will be assembled by the elected members of the Faculty Affairs Committee each Spring for the following academic year. Excluded from the committee will be those faculty who are current Division Directors or members of the Promotion and Tenure Committee, faculty who are on leave for either semester, or who have a conflict of interest as determined in line with the practice of the Promotion and Tenure Committee. Appeals that are received after May 15th will be considered in the Fall Semester.

f. Appeals Process: Procedural Error (Pre-tenure Review, Tenure and Promotion to Full) If the faculty member alleges that the decision against renewal was based on procedural error, the Due Process Committee will review the written appeal and decide if it is the proper body to deliberate the case. If the Due Process Committee deems it is not the correct committee to review the case, it will report the reasons it is not the correct committee to the faculty member, the Dean of the Faculty, the Promotion and Tenure Committee, and the President. If the Due Process Committee deems it is the correct committee, it will review the materials relevant to the appeal. The Due Process Committee will report its findings and recommendation to the faculty member, the Dean of the Faculty, the Promotion and Tenure Committee, and the President. The Due Process Committee may make one of two recommendations to the President based on its findings:

1. Finding - No Significant Procedural Error: Dismissal of the appeal;

2. Finding - Significant Procedural Error: Recommendation for reconsideration by the Promotion and Tenure Committee indicating the respects in which it believes a procedural error may have influenced the case. In the unlikely event that the procedural error originated in the Promotion and Tenure Committee, the President may appoint the Due Process Committee to reconsider the case.

The President will make a decision that either adopts or rejects the recommendations of the Due Process Committee, and supply a written statement to the faculty member and the Due Process Committee. The President will afford each an opportunity to respond. The final decision is that of the President. The President should treat the Due Process Committee’s recommendation with a high degree of deference.

In evaluating an appeal on the grounds of Procedural Error, the Due Process Committee should first consult with the appropriate division director (or directors, in the case of a joint appointment). The Due Process Committee may, depending on the nature of the appeal, consult with all division directors as a group. If the Due Process Committee decides that the appeal warrants further consideration, the Due Process Committee should meet with elected members of the Promotion and Tenure Committee and the Dean of the Faculty in the presence of the relevant division director(s). The Due Process Committee may also consult with the candidate’s department(s) or program(s). The purpose of any consultation is for the Due Process Committee to gain a fuller understanding of the basis for the committee recommendation and of the intersection between the committee recommendation and procedural issues raised in the appeal.

g. Appeals Process: Violation of Academic Freedom or Discrimination (All Probationary Appointments and Promotion to Full)

If a faculty member alleges in writing that a decision not to reappoint them, or to grant them continuous tenure or promotion to Full Professor, was based in whole or in part on violations of (1) academic freedom (as defined in Section III.B.1) or (2) Colgate’s policies on non-discrimination/Title IX, (especially with respect to race; color; creed; religion; age; sex; pregnancy; national; origin; marital status; disability; protected veterans status; sexual orientation; gender identity, language, and expression; genetic information; being or having been a victim of domestic violence and stalking; familial status; and all other categories covered by law), the Due Process Committee will review the written appeal and decide if it is the proper body to deliberate the case. The written appeal shall be accompanied by a statement that the faculty member agrees to present to the appropriate faculty committees such reasons and evidence as the institution may allege in support of its decision. If the Due Process Committee deems it is not the correct committee to review the case, it will report the reasons it is not the correct committee to the faculty member, the Dean of the Faculty, the Promotion and Tenure Committee (if reviewed by this committee), and the President. If the Due Process Committee deems it is the correct committee, it will review the relevant materials. Should the Due Process Committee believe that the facts merit a detailed investigation and formal hearing, at its discretion the matter will be adjudicated in a manner similar to that set forth in Dismissal Procedures (III.C.9), except that the faculty member making the complaint is responsible for stating the grounds upon which the appeal is based, and the burden of proof shall rest upon the faculty member.

The Due Process Committee will report it findings and recommendation to the faculty member, the Dean of the Faculty, the Promotion and Tenure Committee (if reviewed by this committee), and the President. The Due Process Committee may make one of two recommendations based on its findings:

1. Finding: No violation of Academic Freedom or Discrimination Recommendation: Dismissal of the appeal;

2. Finding: Recommendation for reconsideration by the Promotion and Tenure Committee indicating the respects in which it believes a violation of academic freedom or discrimination may have influenced the case. In the unlikely event that the violation of academic freedom or discrimination originated in the Promotion and Tenure Committee, the President may appoint the Due Process Committee to reconsider the case.

The President will make a decision that either adopts or rejects the recommendations of the Due Process Committee, and supply a written statement to the faculty member and the Due Process Committee. The President will afford each an opportunity to respond. The final decision is that of the President. The President should treat the Due Process Committee’s recommendation with a high degree of deference.

In evaluating an appeal on the grounds of violations of Academic Freedom or Discrimination, the Due Process Committee may request evidence and testimony from or consult with the Dean of the Faculty, the chair of the Committee on Promotion and Tenure, Division Director(s), department(s), programs(s), the chair of the Faculty Affirmative Action and Oversight Committee (or designee), or administrators in the Office of Equity and Grievance or other appropriate parties.

h. No matter if the appeal is based on procedural error or violations of academic freedom or discrimination the candidate’s appeals document must not exceed 30 pages or 14,000 words. Appendices are allowed beyond this limit and should only contain information in support of the appeals document. The candidate may also petition the department or program for a separate, confidential letter as an additional part of the appeals document. This letter is considered confidential, not shared with the candidate, and should be submitted directly to the Due Process Committee. In the case where a department or program feels that the appeal has no grounds, the letter may simply affirm their original department or program’s position. This letter is prepared with and reviewed by all tenured members of the department who were involved in the original case. The Due Process Committee may solicit additional documentation related to any aspect of the case. 

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 F, and when there is every reasonable expectation for such standards to be maintained for a full and fruitful academic career. 

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. 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) –(3) outlined for full-time faculty at Pre-Tenure Review (see section III.G.6).

ii. The Category I faculty member will stand for tenure and promotion to associate professor in the fall of their 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.