C. 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 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.

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 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.

3. Probationary Appointments

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:

New hires with one to three years of previous full-time teaching experience may be credited with a maximum of that service minus one year.
New hires with more than three years of full-time teaching experience will normally be granted up to two years of credit toward the probationary period. Requests to have more than two years of previous experience credited will be considered on an individual basis.
Some prior service (or some portion of it) cannot count toward the probationary period at Colgate - e.g., teaching that occurs before the attainment of the Ph.D.¹, 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.

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. A 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. The candidate's department or program may choose to make a separate appeal to the Due Process Committee within 60 days of the date of notice of the negative decision, but is not required to do so. 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;

2. Violations of Academic Freedom or Discrimination (III.C.3.g), which applies to all probationary appointments and promotions to Full Professor.

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.

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 F, 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. 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.

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, they 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 on a continuing basis 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. Lecturers 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.

All lecturers will undergo an annual consultation (see section III.G.2) with the appropriate supervisor (department chair, program director, or division director) that addresses both continued excellence in teaching following the guidelines of the Faculty Handbook (III.F.1) and also any other duties of the position. Lecturers who will not be continuing may waive this consultation. The results of the annual consultation are forwarded to the division director as a letter of consultation that addresses expectations about instructional performance and other duties of the position.

e. Senior Lecturers Lecturers who have taught at least four courses annually over a period of at least four years may be promoted to senior lecturer after review by their department/program and the Dean’s Advisory Council (DAC). Promotion is based on a continuing institutional need for the position and demonstrated excellence in teaching. In some rare cases, a person may be appointed initially as a senior lecturer.

Senior lecturers receive annual salary, based on teaching load and other duties specified in the annual contract letters, and, when teaching at least four courses, full-year benefits. Senior lecturers receive renewable contracts, but because the positions do not carry scholarly obligations, they are not eligible for tenure even if their teaching load is five courses. Contract letters will normally be received by senior lecturers by April 15, following completion of the annual consultation.

All senior lecturers will undergo an annual consultation (see Section III.G.2) with the appropriate supervisor (department chair, program director, or division director) that addresses both continued excellence in teaching following the guidelines of the Faculty Handbook (III.F.1) and also any other duties of the position. The results of the annual consultation are forwarded to the division director as a letter of consultation that addresses expectations about instructional performance and other duties of the position.

Senior lecturers initially receive renewable annual contracts. After two years of sustained excellence in teaching as demonstrated by annual consultations, senior lecturers will be eligible for contracts of up to three years in length and, after five years of appointment in rank, they will be eligible for contracts of up to five years in length. The length of the contract will be determined by the Dean of the Faculty in consultation with the appropriate supervisor (department chair, program director, or division director) and will be based on the level of ongoing institutional need and the results of annual consultations.

While there is no expectation, compensation, or reward for university service for senior lecturers, they may voluntarily stand for election or agree to be appointed to university committees. They are eligible for positions reserved for members of their division as well as for “at large” positions, so long as the position does not have a restriction based on rank.

If a senior lecturer’s performance, as documented by letters of consultation, has not met the expectations of the appointment, or if institutional need for the position has changed, the supervisor, in consultation with the division director, may recommend to the Dean of the Faculty (i) renewal with a shorter-term contract, (ii) redefinition of the position, or (iii) termination of the position at the end of the contract. Accordingly, the Dean of the Faculty shall notify the senior lecturer in writing of the terms and conditions of renewals no later than April 15 of the annual contract, or April 15 of the final year of the contract.

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 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. Laboratory instructors holding positions that are at least half-time (20 hours per week combined instructional and other duties) during both semesters of an academic year will be entitled to full-year benefits.

All laboratory instructors will undergo an annual consultation (see section III.G.2) with the appropriate supervisor (department chair, program director, or division director) that addresses continued effectiveness in laboratory instruction and/or laboratory performance and other duties of the position as specified in the contract letter. Laboratory instructors who will not be continuing may waive this consultation. The results of the annual consultation are forwarded to the division director as a letter of consultation that addresses expectations about instructional performance and other duties of the position. Contract letters will normally be received by laboratory instructors by April 15, following completion of the annual consultation.

g. Senior Laboratory Instructors After four years, laboratory instructors holding appointments that are at least half-time (20 hours per week combined instructional and other duties) during both semesters of the academic year may receive the title of senior laboratory instructor after review by their department/program and the Dean’s Advisory Council (DAC). Promotion is based on a continuing institutional need for the position and demonstrated excellence in the duties of the position.

Senior laboratory instructors receive annual salary, based on the duties specified in the annual contract letters, and full-year benefits. Senior laboratory instructors receive renewable contracts, but because the positions do not carry scholarly obligations, they are not eligible for tenure even if their teaching load is five courses. Contract letters will normally be received by senior laboratory instructors by April 15, following completion of the annual consultation.

All senior laboratory instructors will undergo an annual consultation (see section III.G.2) with the appropriate supervisor (department chair, program director, or division director) that addresses continued effectiveness in laboratory instruction and/or laboratory performance and other duties of the position as specified in the contract letter. The results of the annual consultation are forwarded to the division director as a letter of consultation that addresses expectations about instructional performance and other duties of the position.

After two years of sustained excellence in the duties of the position as demonstrated by annual consultations, senior laboratory instructors holding continuing appointments will be eligible for contracts of up to three years in length, and after five years of appointment, they will be eligible for contracts of up to five years in length. The length of the contract will be determined by the Dean of the Faculty in consultation with the appropriate supervisor (department chair, program director, or division director) and will be based on the level of ongoing institutional need and the results of annual consultations.

While there is no expectation, compensation, or reward for university service for senior laboratory instructors, they may voluntarily stand for election or agree to be appointed to university committees. They are eligible for positions reserved for members of their division as well as for “at large” positions, so long as the position does not have a restriction based on rank.

If the senior laboratory instructor’s performance, as documented by letters of consultation, has not met the expectations of the appointment, or if institutional need for the position has changed, the supervisor, in consultation with the division director and Dean of the Faculty may recommend (i) renewal with a shorter-term contract, (ii) redefinition of the position, or (iii) termination of the position at the end of the contract. Accordingly, the Dean of the Faculty shall notify the senior laboratory instructor in writing of the terms and conditions of renewals no later than April 15 of the annual contract, or April 15 of the final year of the contract.

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 initial period of appointment is for one year and may be renewed.

7. Termination of Appointment by the Faculty A faculty member may terminate their appointment effective at the end of an academic year, provided that they give 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 they 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

a. Adequate cause for a dismissal will be related, directly and substantially, to the fitness of faculty members in their professional capacities. Dismissal will not be used to restrain faculty members in their exercise of academic freedom or other rights of U.S. citizen. Throughout Sec. III.C.9, “faculty member” will refer to faculty members with continuous tenure, and to faculty members in the following categories before the ends of their terms: (1) faculty members in the Library, (2) faculty members with graduated appointments or annual contracts in the Department of Physical Education, Recreation, and Athletics, and (3) instructors of record in credit-bearing academic courses.

b. A dismissal, as defined in Section III.C.8.b, will be accompanied by a statement of charges, framed with reasonable particularity by the Dean of Faculty. If the faculty member does not accept the dismissal, they may, within five business days of receiving the dismissal notice, notify the Dean of Faculty that they have requested a meeting with appropriate administrative officials to seek a mutual settlement. If the meeting does not result in a resolution, the faculty member may then, within five business days of the meeting, request a consultation with the Faculty Due Process Oversight Committee, excluding any members who also currently serve on the Committee on Faculty Affairs. Alternatively, if the faculty member chooses to waive the meeting with administrative officials, they may proceed directly to requesting the consultation with the Faculty Due Process Oversight Committee within five business days of receiving the dismissal notice. The Faculty Due Process Oversight Committee will consider the statement of charges, along with any response from the faculty member. The committee will offer confidential advice to both the faculty member and the Dean of Faculty on whether a formal hearing should occur. The opinion of the committee will not be binding on either the Dean of Faculty or the faculty member.

c. If the consultation with the Faculty Due Process Oversight Committee does not result in a resolution, the faculty member has the right to appeal to the elected faculty members of the Committee on Faculty Affairs before the dismissal takes effect. The role of this hearing committee is to assess whether the charges are supported (as described in (9) below), to decide whether the proposed sanctions are appropriate, and to report its decision and reasoning to the President. A formal hearing before the committee will take place according to the guidelines held in the Dean’s Office and to be found here: [https://www.colgate.edu/about/offices-centers-institutes/provost-and-dean-faculty. The request for such a hearing must be made by the faculty member within five business days of being informed of the opinion of the Faculty Due Process Oversight Committee.

d. The hearing committee is constituted and acts according to the following process.

(1) The elected members of the Committee on Faculty Affairs disqualified for bias or interest shall remove themselves from the case and shall be replaced by a vote of the remaining members. Once disqualified members have been replaced, each party will have a maximum of two challenges without stated cause. All challenges must be made within three business days of the constitution of the hearing committee. The remaining faculty members of the hearing committee shall then elect replacements for any members who are removed. A party may challenge a replacement within three business days of their appointment, but only on the basis of bias or interest. This challenge will be decided by the original and replacement members not challenged.

(2) 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 their continuance. Before suspending a faculty member, pending an ultimate determination of their status through the institution’s hearing procedures, the Dean of Faculty will consult with the Faculty Due Process Oversight Committee concerning the conditions of the suspension.

(3) 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. The parties concerned will have five business days to respond to the request for such a pre-hearing meeting.

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

(5) The hearing will be private, and all people involved in it will be expected to maintain confidentiality regarding the proceedings until the entire process is concluded.

(6) During the proceedings, the faculty member, the hearing committee, and the Dean of Faculty will be permitted to have an academic adviser and legal counsel of their own choice. Counsels and advisers will not serve as advocates for the parties and, therefore, will not directly question or cross-examine the parties or witnesses or have a speaking role during the hearing, in any pre-hearing meetings or in related communications.

(7) 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. The hearing committee will have the authority to determine whether a proposed educational association is a responsible educational association.

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

(9) 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. Clear and convincing means that the evidence is highly and substantially more likely to be true than untrue; the fact finder must be convinced that the contention is highly probable.

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

(11) The faculty member will be afforded an opportunity to obtain necessary witnesses and documentary or other evidence. The Dean of Faculty will cooperate with the hearing committee in reasonable efforts under the circumstances to secure witnesses and to make available documentary and other evidence. It should be noted, however, that the university is not obligated to compel witnesses to testify.

(12) The faculty member and the Dean of Faculty will have the right to question all witnesses who appear at the hearing. 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.

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

(14) 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.

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

(16) 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.

(17) The hearing committee will decide whether the charges are supported by the evidence in the hearing record and whether the proposed sanctions are appropriate. The hearing committee may recommend a less severe sanction. The Dean of the Faculty, President, and the faculty member will be notified of the hearing committee’s decision with supporting reasons in writing.

(18) The President decides whether to accept or reject the decision of the hearing committee, treating the hearing committee’s decision with a high degree of deference. If the President is considering rejecting the decision, they will meet with the hearing committee prior to making a final decision. If they reject the hearing committee’s decision, they will state the reasons for doing so, in writing, to the hearing committee and to the faculty member. The decision of the President is final, subject to ratification by the Board of Trustees only as described in III.C.10 for decisions to dismiss a faculty member with continuous tenure.

10. Action by the Board of Trustees When the President upholds the dismissal of a faculty member with continuous tenure, the President will make available to the Board of Trustees the record of the case. If the hearing committee decides that the dismissal should not be upheld, the President’s written reasoning for rejecting that decision is also included. The hearing committee may add a rebuttal or additional statement to that reasoning. The Board may review these documents or sustain the decision of the President without review. If the Board of Trustees reviews the record, the decision of dismissal will be sustained or specific objections will be returned to the President and the hearing committee for reconsideration. The Board of Trustees will make a final decision only after study of the reconsideration.

11. 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. Grievance 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 their department chair or division director or, if circumstances warrant, directly to the Dean of the Faculty.

The University has also adopted formal grievance procedures in the foregoing Regulations; in particular, in Section 3, Probationary Appointments; Section 8, Termination of Appointments by the Institution; Section 9, Dismissal Procedures; and Section 11, Procedures for Imposition of Sanctions Other than Dismissal. In addition, the Equity Grievance Policy designates certain employees to coordinate Colgate’s efforts to comply with and carry out its responsibilities under Title IX of the Education Amendments of 1972, “including any investigation of any complaint alleging Colgate’s noncompliance with Title IX or alleging any actions which would be prohibited by Title IX.”

In the case of a negative decision in a Promotion and Tenure Committee review, or non-renewal of a probationary appointment, the faculty member may decide to appeal (see Sections III.C.3.d-g.).

If any faculty member feels that they have cause for grievance in any matter not covered by the procedures described above and in the foregoing Regulations, the faculty member may petition the elected faculty members of the Committee on Faculty Affairs. Such a petition should be directed to the Chair of the Committee. The petition shall set forth in detail the nature of the grievance and shall state against whom the grievance is directed. It shall contain any factual or other data which the petitioner deems pertinent to their case. The Committee will have the right to decide whether it is the proper body to hear such a petition and whether or not the facts merit a detailed investigation. Submission of a petition will not automatically entail investigation or detailed consideration thereof. The Committee may seek to bring about a settlement of the issue satisfactory to the parties. If in the opinion of the Committee such a settlement is not possible or is not appropriate, the Committee will report its findings and recommendations to the petitioner and to the Dean of the Faculty. The petitioner will, upon request, be provided an opportunity to present their case directly to the Dean of the Faculty.

C. Appointments, Tenure, and Academic Freedom

Footnotes