SECTION E. FACULTY


E.1 Definition of Faculty

E.2 Types of Faculty Appointments

E.2.1 Basic Types of Faculty Appointments
E.2.1.1 Regular Full-Time Appointments
E.2.1.2 Regular Part-Time Appointments
 
E.2.1.3 Senior Teaching Appointments
E.2.1.4 Special Appointments
E.2.1.5 Temporary Appointments
E.2.1.6 Transitional Appointments

E.2.2 Other Types of Faculty Appointments

E.2.2.1 Joint Appointments
E.2.2.2 Joint Academic and Administrative Professional Appointments
E.2.2.3 Faculty Affiliate Appointments
E.2.2.4 Visiting Faculty Appointments
E.2.2.5 University Distinguished Professorships
E.2.2.5.1 Eligibility for University Distinguished Professor Status and Title
E.2.2.5.2 Selection of University Distinguished Professors
E.2.2.5.3 Prerequisites of University Distinguished Professorships

E.2.2.6 University Distinguished Teaching Scholars

E.2.2.6.1 Eligibility for University Distinguished Teaching Scholars Status and Title
E.2.2.6.2 Selection of University Distinguished Teaching Scholars
E.2.2.6.3 Prerequisites of University Distinguished Teaching Scholars
E.3 Retired Faculty
E.3.1 Emeritus/Emerita Status
E.3.2 Society of Senior Scholars

E.4 Selection of Faculty

E.4.1 Policy (See Section D.5)
E.4.2 Selection of Faculty
E.4.3 Selection of Department Heads or Chairpersons
E.4.4 Selection of Administrators with Academic Appointments

E.5 Responsibilities of the Faculty

E.5.1 Responsibility for Government and Discipline
E.5.2 Responsibilities as a Faculty Member
E.5.3 Guidelines on Teaching and Advising Responsibility

E.6 General Policies Relating to Appointment and Employment of Faculty

E.7 Service of Department Heads

E.8 Academic Freedom

E.8.1 Policy
E.8.2 Concepts

E. 9 Faculty Productivity

E.9.1 Individual Faculty Effort Distribution
E.9.2 Individual Faculty Workload
E.9.3 Department Effort Distribution
E.9.4 College Effort Distribution
E.9.5 University Effort Distribution

E.10 Faculty Tenure Policy

E.10.1 Definition of Tenure
E.10.2 Rationale for Tenure
E.10.3 Administrative Responsibilities in Relation to Tenure
E.10.4 Policies on Conferring Tenure
E.10.4.1 Probationary Period for Tenure
E.10.4.1.1 Service Credit
E.10.4.1.2 Extension of the Probationary Period
E.10.5 Procedures for the Granting of Tenure
E.10.5.1 Origin and Processing of Tenure Recommendations
E.10.5.2 Notification of Presidential Action on Tenure Recommendations
E.10.6 Relation of Tenure to Changes in Status and/or Salary

E. 11 Granting of Senior Teaching Appointments

E.12 Performance Expectations for Tenure, Promotion, and Merit Salary Increases

E.12.1 Teaching and Advising
E.12.2 Research and Other Creative Activity
E.12.3 Service
E.12.3.1 University Service
E.12.3.2 Professional Service

E.13 Advancement in Rank (Promotion)

E.13.1 Origin and Processing of Recommendations
E.13.2 Notification of Presidential Action on Advancement in Rank

E.14 Performance Reviews

E.14.1 Annual Reviews
E.14.2 Comprehensive Reviews of Tenure-Track Faculty
E.14.3 Periodic Comprehensive Reviews of Tenured Faculty
E.14.3.1 Phase I Comprehensive Performance Reviews
E.14.3.2 Phase II Comprehensive Performance Reviews
E.14.4 Grievance

E.15 Disciplinary Action for Tenured Faculty

E.15.1 Initiating the Process
E.15.2 Operational Procedures Prior to Completion of Formal Disciplinary Action
E.15.3 Discussions to Achieve a Resolution
E.15.4 Hearing Process
E.15.4.1 Performance of Professional Duties
E.15.4.2 Behavior
E.15.4.3 Hearing
E.15.5 Procedures Following Completion of the Hearing
E.15.6 Recommendations for Disciplinary Action
E.15.7 Disposition of the Hearing Committee's Report
E.15.8 Administrative Action on the Hearing Committee Report
E.15.9 Written Records
E.15.10 Term of Continuation of Faculty Salary and Benefits Following Termination of Appointment
E.15.11 Time Limit for Action by the Provost
 
E.16 Financial Exigency
 
E.16.1 Definition of Financial Exigency and Conditions of Tenured Faculty Terminations
E.16.2 Declaration of Financial Exigency
E.16.3 Development of a Plan of Action
E.16.4 Order of Terminations
E.16.5 Responsibility of Committee on Strategic and Financial Planning
E.16.6 Right of Access of Individual Faculty Member to the Grievance and Mediation Procedure
 
E.17 Discontinuance of a Degree Granting Program or a Department of Instruction not Mandated by Financial Exigency
E.17.1 Procedure
E.17.2 Appeal Procedure

E.1 Definition of Faculty (last revised May 2, 2007)

The faculty includes all personnel who carry academic rank (professor, associate professor, assistant professor, instructor, and faculty affiliate) and additional personnel as defined by C.R.S. 23-31-104.

E.2 Types of Faculty Appointments (last revised June 21, 2011)

E.2.1 Basic Types of Faculty Appointments(last revised August 2, 2013)

Six (6) basic types of appointments exist for members of the faculty. They are regular full-time, regular part-time, senior teaching, special, temporary, and transitional appointments. Only faculty members holding either regular full-time or regular part-time appointments at the time of consideration are eligible to acquire tenure. Full-time is defined as the academic year or a minimum of nine (9) months. Faculty members with either senior teaching or special appointments may be eligible for multi-year contracts. Faculty members who do not have multi-year contracts and are not eligible for tenure are hired "at-will" and are subject to termination by either party at any time. Section D.5.6 regarding the termination of "at-will" appointments shall apply to "at-will" faculty appointments. See Section E.3 for details of other types of faculty appointments. The major characteristics of the various basic types of appointments are as follows.
E.2.1.1 Regular Full-Time Appointments(last revised June 21, 2011)

The usual type of academic appointment is regular full-time. The conditions which distinguish a regular full-time appointment are:

a. Regular full-time appointments are limited to the ranks of assistant professor, associate professor, and professor.

b. There is no specified ending date for a regular full-time appointment with tenure.

c. An individual with a regular full-time appointment who serves satisfactorily for a specified period is eligible to acquire tenure (see Section E.10).

d. Faculty with regular full-time appointments have full voting rights at departmental and college faculty meetings and are eligible to serve on departmental and college committees.

e. For this type of appointment, enrollment in a retirement program is mandatory. Holders of regular full-time appointments are eligible for other fringe benefits and privileges (see Section G and the Academic Faculty and Administrative Professional Benefits and Privileges Handbook), and for sabbatical leave (see Section F.3.4).

E.2.1.2 Regular Part-Time Appointments (last revised June 21, 2011)

Regular part-time appointments may be made for any fraction of time less than one hundred (100) percent, but not less than fifty (50) percent of full-time.

a. Regular part-time appointments are limited to the ranks of assistant professor, associate professor, and professor.

b. There is no specified ending date for regular part-time appointments with tenure.

c. Criteria, procedures, and regulations for promotion, tenure, and salary are subject to the rules governing regular full-time appointments. Responsibilities and salaries are scaled appropriately to the portion of time worked. A person holding a regular part-time appointment may be tenured only for half-time (0.5) service, although additional employment may be arranged each year between the faculty member and the department. The six (6) year time limit for acquisition of tenure applies to this type of appointment as well as to the regular full-time appointment (see Section E.10.4.c).

d. Faculty with regular part-time appointments have full voting rights at departmental and college faculty meetings and are eligible to serve on departmental and college committees.

e. Enrollment in the retirement program is mandatory for holders of regular part-time appointments. Holders of regular part-time appointments are eligible for all fringe benefits and for sabbatical leaves.

E.2.1.3 Senior Teaching Appointments (new section August 2, 2013)

Senior teaching appointments may be either full-time or part-time. Part-time is defined as less than full-time, but at least half-time (0.5). The granting of a senior teaching appointment shall follow the procedures in Section E.11. Faculty on senior teaching appointments have the following distinguishing characteristics:

a. Senior teaching appointments are "at-will" and are subject to termination by either party at any time unless the faculty member has a multi-year contract, in which case the terms of the contract shall stipulate its ending date. Upon the expiration date of the contract, employment as a senior teaching appointment faculty member reverts to an 'at-will' appointment, unless the multi-year contract is renewed by written agreement of both parties.

b. There is no specified ending date for a senior teaching appointment.

c. Faculty members on senior teaching appointments shall have effort distributions with at least fifty (50) percent of the effort being in the category of teaching and advising and at least five (5) percent of the effort being in the category of service..

d. Faculty members on senior teaching appointments shall participate in annual reviews and the annual salary exercise in the same manner as faculty with regular full-time and regular part-time appointments..

e. Faculty members on senior teaching appointments are not eligible for tenure (see Section E.10.4).

f. Department and college codes shall specify the voting rights of faculty members with senior teaching appointments and their eligibility to participate on departmental and college committees. The standard expectation is that faculty members on senior teaching appointments shall be included fully, except with regard to personnel matters involving regular faculty members, including the department chair .

g.If a tenured faculty member changes positions to a senior teaching appointment, he or she must relinquish tenure and retire from the University. A tenured faculty member who wishes to gain emeritus/emerita status, must apply prior to the time he or she relinquishes tenure and retires.

h. Faculty members on senior teaching appointments are required to enroll in the retirement program and are eligible to participate in other benefits offered by the University as described in the Academic Faculty and Administrative Professional Benefits and Privileges Handbook and in Sections F and G of the Manual. They are not eligible for sabbatical leave.

E.2.1.4 Special Appointments (last revised August 2, 2013)

Special appointments may be either full-time or part-time. Part-time is defined as any fraction less than one hundred (100) percent of full-time. The distinguishing features of this type of appointment are:

a. Special appointments are "at will" and are subject to termination by either party at any time unless the faculty member has a multi-year contract for research or teaching, in which case the terms of the contract shall stipulate its ending date. Upon the expiration date of the contract, the multi-year contract may be renewed by written agreement of both parties. If it is not renewed, one of the following outcomes occures: 1) For special appointment faculty who were originally at-will and entered into a multi-year contract, employment as a special appointment faculty member reverts to at-will. 2) For special appointment faculty who were originally hired with a multi-yeart contract, the appointment may be converted to an at-will appointment upon agreement of both parties. Otherwise, employment is terminated upon expiraion date of the contract.

b. Unless the faculty member has a multi-year contract, special appointments need not carry specified ending dates, but an ending date indicating the point in the future when the funding and/or appointment is expected to terminate should be included when known. In that situation, the inclusion of a specified ending date on an appointment form or other such documentation is for administrative convenience only and does not create a minimum or fixed duration of appointment.

c. Faculty members on special appointment are not eligible for tenure (see Section E.10.4).

d. The effort distributions of faculty members on special appointments shall be specified in the appointment letter While the effort distribution in the case of special appointments may include all three (3) areas of teaching, research, and service, often it is focused in one (1) area, such as teaching or research. .

e. Multi-year contracts for research may be offered only for research performed for the University. The unit or department must document that the multi-year contract or extension is necessary for the hiring or retaining of the faculty member.

f. If a tenured faculty member changes positions to a special appointment involving a multi-year contract, he or she must relinquish tenure and retire from the University. A tenured faculty member who wishes to gain emeritus/emerita status, must apply prior to the time he or she relinquishes tenure and retires.

g. Special appointment faculty are required to enroll in the retirement program and are eligible to participate in other benefits offered by the University as described in the Administrative Professional Benefits and Privileges Handbook and in Section F and G of the Manual. They are not eligible for sabbatical leave.

E.2.1.5 Temporary Appointments(last revised May 2, 2007)

Temporary appointments may be either full-time or part-time and are distinguished from other types of appointments by the expectation that the appointment is for a specified period of time, at the end of which, it is anticipated that employment at the University will not be renewed in the foreseeable future. Part-time is defined as any fraction less than one hundred (100 percent of full-time. Further features of this type of appointment are:

a. Temporary appointments are "at will" and are subject to termination by either party at any time (the process set forth in Section D.5.6 regarding the termination of "at will" appointments shall apply to temporary faculty appointments). Temporary appointments need not carry specified ending dates, but an ending date indicating the point in the future when the funding and/or appointment is expected to terminate should be included when known. The inclusion of a specified ending date on an appointment form or other such documentation is for administrative convenience only and does not create a minimum or fixed duration of appointment.

b. Temporary appointees are not eligible for tenure.

c. Individuals receiving a temporary appointment for one (1) semester or less ordinarily are not enrolled in a retirement program (see the Academic Faculty and Administrative Professional Benefits and Privileges Handbook). Eligibility for sick leave is defined in Section F.3.2. Temporary appointees are eligible for faculty privileges (see Section G). Temporary appointees are not eligible for sabbatical leave (see Section F.3.4.1).

E.2.1.6 Transitional Appointments (last revised June 21, 2011)

The University provides the opportunity for transitional appointment to its tenured faculty members who have retired and terminated employment in consideration of a subsequent reappointment on a part-time tenured basis for a limited period of time. The transitional appointment requires that the faculty member participate in the teaching, advising, service, and research activities of the department, subject to the part-time provisions of his or her appointment. Administrators who also hold a tenured faculty appointment are eligible to request a transitional appointment within the context of their faculty roles. Administrative professionals and non-tenured faculty members are not eligible for transitional appointments due to the legal conflict between the statutory "at will" status of such appointments and the appointment term guarantees embodied in a transitional appointment.

Faculty members covered under the federal retirement system are not eligible for transitional appointment due to prohibitive provisions of that retirement system. However, post-retirement employment in a position other than the one requiring a federal appointment is not prohibited. Interested faculty members and/or departments should contact the Director of Human Resource Services for further information.

Conditions regarding transitional appointments are as follows:

a. Only tenured faculty members on regular full-time or part-time appointments who are currently eligible for retirement under the University's definition of retirement (see "Definition of Retirement" under "Benefits" at www.hrs.colostate.edu) have the opportunity of requesting transitional appointments. Note that the University's definition of retirement may differ from those of the retirement plans. For more information, or to confirm eligibility for retirement, contact the University Benefits Office.

b. Ordinarily, a request for a transitional appointment should be submitted in writing to the department head one (1) full academic year before the requested commencement of the transitional appointment. A time period of less than one (1) year may be accepted in those cases where such appointments with lesser notice are considered to be in the interest of the University. Such an exception requires the approval of the department head, the dean, and the Provost. A transitional appointment shall be evaluated on the basis of both the needs of the department and college and the desires of the faculty member.

c. A transitional appointment is for a specified term of at least one (1) year and not more than four (4) years, and it concludes with the termination of this part-time tenured appointment. However, this does not preclude subsequent full-time or part-time employment in a non-tenured position subject to the needs and resources of the department and the interests and desires of the faculty member. During the transitional period, a transitional appointment may not be modified to a regular appointment. A faculty member may elect to terminate the part-time transitional appointment prior to the end of the specified term.

d. A transitional appointment shall begin no earlier than the first business day after the effective date of termination of employment as a regular faculty member.

e. A faculty member shall be tenured on a part-time basis as a condition of the transitional appointment.

f. Faculty with transitional appointments have full voting rights at departmental and college faculty meetings and are eligible to serve on departmental and college committees.

g. Any uncompensated leave balances at the time of retirement shall be reinstated and available for use during the transitional appointment. However, at the end of the transitional appointment, there shall be no compensation for unused leave balances.

h. The salary and workload for a transitional appointment shall normally be fifty (50) percent of what they were at the time of retirement.. However, when it is to the benefit of both the University and the faculty member, variations from this fifty (50) percent standard, including brief periods of full-time employment, may be proposed by the department head and the dean for review and approval by the Provost.

i. The percentage of salary and the percentage of effort during the transitional appointment are subject to negotiation between the department and the faculty member and shall be spelled out in the transitional appointment agreement. Such changes in salary and/or effort shall not affect the percentage level of the appointment (e.g., part-time versus full-time) specified in the transitional appointment agreement. The terms under which the appointment is undertaken or subsequently modified shall be negotiated to be mutually beneficial to both the faculty member and the University, and the terms of the agreement shall be specified in writing, subject to the review and approval of the dean and the Provost. Final approval authority resides with the President.

j. A faculty member on a transitional appointment who is a PERA annuitant may be subject to that retirement system's annuity penalty for "post retirement" work for PERA affiliated employers, including the University, in excess of one hundred and ten (110) days in any calendar year or for work during the first month of retirement. A faculty member who is receiving a PERA annuity should check with PERA directly to determine what effects, if any, a transitional appointment may have on their his or her annuity amounts.

k. A faculty member on a transitional appointment participates in the University's Defined Contribution Plan for Retirement ("DCP") and is eligible for the same benefits as a faculty member with a regular appointment within the DCP. Leave policies, as described in Section F of the Manual, shall be in effect, except that a faculty member on a transitional appointment is not eligible for a sabbatical leave nor for payment for unused sick leave and/or annual leave at the conclusion of the transitional appointment.

l. A faculty member on a transitional appointment is considered for any pay and benefit increases on the same basis as a faculty member holding a regular appointment, proportionate to the extent of the appointment.

E.2.2 Other Types of Faculty Appointments (last revised June 4, 2008)

E.2.2.1 Joint Appointments

Joint appointments are available to individuals holding any of the seven (7) basic kinds of faculty appointments. Such appointments should be made only when the professional activities of the individual concerned normally fall, to an appreciable degree, within the purview of two (2) departments. Personal preferences of the individual are not sufficient reasons to justify a joint appointment. Each faculty member with an interdepartmental appointment shall be considered a member of the department contracting for the greater percentage of the time. In the case of a faculty member having equal time in two (2) or more departments, the individual and department heads involved will decide in which department the faculty member will be represented; the status of such a member shall remain unchanged unless changes in the academic appointment require a change in departmental representation.

E.2.2.2 Joint Academic and Administrative Professional Appointments(last revised May 2, 2007)

A joint academic and administrative professional appointment may be given to a University administrative professional if the qualifications of that individual are judged to be acceptable by the academic department concerned. The awarding of a joint academic and administrative professional appointment is dependent on the approval of both the academic department and the individual's administrative supervisor. Additional conditions regarding such appointments are as follows:

a. The academic component of a joint academic and administrative professional appointment may be established for any fraction of time that is less than the fraction of time for the administrative professional component.

b. Persons holding such appointments are not eligible for tenure.

c. The academic component of a joint academic and administrative professional appointment may be made for up to three (3) years and may be terminated an any time without cause.

d. If the administrative professional component of a joint academic and administrative professional appointment is terminated, then the academic component shall be terminated as well.

e. Holders of joint academic and administrative professional appointments are eligible for fringe benefits and participation in a retirement program based on the type of their administrative professional appointment.

f. The manner in which a person's salary is budgeted is not changed in the awarding of a joint academic and administrative professional appointment if the academic duties are mutually agreed to be minimal; otherwise, appropriate budgetary adjustments should be made.

E.2.2.3 Faculty Affiliate Appointments (Last revised June 20, 2007)

Individuals who possess training and experience useful to the University's teaching and research program and who are not employed by the University may receive faculty affiliate appointments. Conditions of these appointments are as follows:

a. Faculty affiliate appointments may be made for up to three (3) years and may be terminated at any time, without cause.

b. Faculty affiliates do not receive stipends nor are they eligible for the employee privileges and benefits described in Section G. They are not eligible for tenure.

c. An individual may be appointed as a faculty affiliate in more than one (1) academic department with the approval of the Provost.

d. Faculty affiliates are not eligible to serve on Faculty Council or its standing committees.

e. Faculty affiliates normally receive the academic rank of faculty affiliate (see Section E.1). However, in special cases, an academic rank of assistant professor, associate professor, or professor may be awarded through the process described in Section E.13.1.

E.2.2.4 Visiting Faculty Appointments

Individuals who are members of the faculty for a short period of time while on leave from another institution of higher education or private agency are given visiting appointments.

Visiting appointments may be made for any rank. The criteria used to determine the rank to be recommended are the same as those applied when determining the rank of a regular member of the faculty. Visiting faculty appointees do not participate in a retirement program and are not eligible for faculty fringe benefits or the study privilege.

E.2.2.5 University Distinguished Professorships

E.2.2.5.1 Eligibility for University Distinguished Professor Status and Title

Persons holding or qualified for the rank of professor with tenure at Colorado State University are eligible for the title of University Distinguished Professor.

E.2.2.5.2 Selection of University Distinguished Professors

The criterion for selection is outstanding scholarship.

E.2.2.5.3 Perquisites of University Distinguished Professorships

Persons receiving the title of University Distinguished Professor will hold this title for the duration of their association with Colorado State University. Additional annual compensation and/or support for this professorship will come from funds specified for this purpose.

E.2.2.6 University Distinguished Teaching Scholars (Last revised June 9, 1999)

Appointment as a University Distinguished Teaching Scholar constitutes the University's highest recognition of excellence in teaching. During the first three (3) years of their appointment, University Distinguished Teaching Scholars will undertake a project of their choice that promotes excellence in teaching.

E.2.2.6.1 Eligibility for University Distinguished Teaching Scholar Status and Title

Persons holding tenure at Colorado State University are eligible for the title of University Distinguished Teaching Scholar.

E.2.2.6.2 Selection of University Distinguished Teaching Scholars

The criterion for selection is outstanding teaching. The Committee on Teaching and Learning will oversee the selection process.

E.2.2.6.3 Perquisites of University Distinguished Teaching Scholars

Faculty receiving the title of University Distinguished Teaching Scholar will hold this title for the duration of their association with Colorado State University. Operating support for the project carried out during the first three (3) years of their appointment and a permanent increase in base salary will come from funds specified for this purpose.

E.3 Retired Faculty (new section added June 21, 2011)

Former faculty members who have officially retired from Colorado State University have certain rights and privileges. These include a permanent faculty identification card, the option to be included in University distribution lists for mail and email, free campus parking permits, faculty library privileges, access to athletic facilities, membership in the University Club at a discounted rate, faculty discounts on athletic tickets, faculty discounts on computers and software, and access to ACNS (Academic Computer Network Services) technical assistance.

E.3.1 Emeritus/Emerita Status (last revised June 21, 2011)

Ffaculty members who have completed ten (10) years or more of full-time or part-time service as faculty of Colorado State University shall be eligible at the time of their retirement from Colorado State University for an emeritus/emerita title equivalent to their highest faculty rank (e.g., emeritus associate professor). Faculty members who have held administrative positions (including department heads) for five (5) years or more shall be eligible for the emeritus/emerita title for these administrative positions (e.g., emerita associate dean).

An eligible member of the faculty may request emeritus/emerita status from the department at the same time of retirement from the University. The department head and the dean of the college shall forward the request to the Provost. As long as the requirements for eligibility are met, such forwarding is pro forma. The final decision on granting emeritus/emerita status will be made by the Board.

If possible, office or lab/office space and clerical support shall be provided to each emeritus/emerita faculty member who continues to do scholarly work.

E.3.2 Society of Senior Scholars (new section added June 21, 2011)

The Society of Senior Scholars is a CIOSU (see Section B.2.6) whose mission is to enhance life in retirement for former faculty members and administrative professionals of Colorado State University. The Society maintains a website (http://www.learn.colostate.edu/seniorscholars), publishes a twice-yearly newsletter, and works continuously with the Office of Academic Advancement to strengthen the ties of retirees to Colordo State University.

The Society provides a range of intellectual, artistic and cultural programs of interest to active individuals during their retirement years. In particular, the Executive Committee of the Society organizes and oversees a series of monthly talks by faculty and community members, a series of periodic excursions to campus and area sites, and annual pre-retirement seminars through the Professional Development Institute. The Society nurtures opportunities for members to continue, as desired, their contributions to the teaching, research, and outreach components of the Colorado State University mission, and it is developing opportunities for retired faculty to provide mentoring to faculty and students.

The Society negotiates benefits for members, and assists with retirement planning through workshops, guidelines, and brochures. In particular, the Society has developed a retirement guideline for faculty that is available on its website. The Society advocates for improved policies affecting its members as a class within the Colorado State University community.

E.4 Selection of Faculty

E.4.1 Policy (See Section D.5) (last revised June 22, 2006)

It is the policy of Colorado State University to seek the best qualified candidates available for all positions within the limitations imposed by the availability of resources, level of the appointment, unique requirements of the position, and the talent pool. In the process of searching for and appointing persons to faculty positions, participation by those who will be professional peers and colleagues or who will be subject to direct supervision of the new appointee is strongly encouraged in all cases and is specifically required for some types of appointments. The authority to approve faculty appointments has been delegated by the Board to the President, and the President has further delegated this authority to the Provost.

E.4.2 Selection of Faculty (last revised June 22, 2006)

Selection of faculty members is a responsibility of individual departments, but must be made within the spirit and intent of University policy. Specific hiring procedures employed within the department shall be included in the departmental code. Confidentiality during the hiring process must be maintained to the extent required by law. However, all members of the search committee, as well as other personnel involved in employment recommendations, shall have access to the complete information contained in all applicants’ files. Recommendations at each level (department, department head, and dean) shall be reversed at higher levels only for compelling reasons that shall be stated in writing to each of the recommending bodies.

E.4.3 Selection of Academic Department Heads or Chairpersons (last revised June 21, 2011)

The appropriate dean shall appoint a search committee of not fewer than five (5) members whose responsibility shall be to conduct a search and screen candidates for the department head or chairperson. The dean shall indicate in the charge to the committee at the time of appointment the number of individuals to be nominated and any other specific instructions which may be significant to convey. After consultation with and advice from the search committee and any other sources deemed expedient, the dean shall either select the new department head or chairperson from the nominees, subject to approval, or reject all nominees. In the latter case, the dean may either ask for a new search by the same search committee or disband the search committee and appoint a new search committee to conduct a new search. The authority to approve the dean's selection of the department head or chairperson has been delegated to the President by the Board, and has been further delegated by the President to the Provost.

E.4.4 Selection of Administrators with Academic Appointments (last revised June 21, 2011)

The normal procedure for the hiring of an administrator on other than an interim basis whose administration position carries an academic appointment is for the immediate supervisor to appoint a search committee of not fewer than five (5) members to conduct a national or international search. Normally, the majority of the members of the search committee will be faculty and administrative professionals who are qualified by experience, interest, and responsibility to contribute to the performance of the search committee. Students and State Classified Staff may also be included as members of the search committee. In exceptional circumstances, the President may authorize deviations from these procedures, but any such deviations must be justified in writing to the campus community.

The individual appointing the search committee shall provide a job description covering the duties of the position, the personal and professional qualifications that applicants are expected to possess, and a time schedule for conducting the search and filling the position. The position shall be announced in accordance with the requirements of the University's Office of Equal Opportunity.

The search committee shall present its final report to the person appointing the search committee, listing the candidates that were found acceptable as finalists for consideration. Normally, at least one (1) finalist will be from off the campus. The report shall include a summary of the credentials of each finalists.

The person appointing the search committee shall make the final selection from among the finalists, subject to approval, or reject all finalists. In the event that all finalists are rejected, or that the search committee did not find any of the candidates to be acceptable as finalists, the person appointing the search committee may either ask for a new search by the same search committee or disband the search committee and appoint a new search committee to conduct a new search. For the hiring of the Provost, a vice president, or, if requested by the Board, a senior administrator (as defined in Section D.1), approval by the Board is required. The authority to hire other administrators with academic appointments has been delegated by the Board to the President, and this authority has been further delegated by the President to the Provost and vice presidents for the administrative units under their authority.

E.5 Responsibilities of the Faculty

E.5.1 Responsibility for Government and Discipline

The faculty passes all rules and regulations necessary to University government and discipline. The faculty also is given statutory charge of the laboratories and library. For detailed statutory information concerning the University, see Colorado Revised Statutes (C.R.S.), 1973, Title 23, Article 31.

E.5.2 Responsibilities as a Faculty Member (Last revised June 22, 2006)

It is the faculty member's responsibility to seek the truth and state the truth, as he or she sees it, within his or her area of specialization. This involves keeping abreast of developments in the specialty and creative activities to contribute to such developments, including publication of results. Intellectual honesty requires critical self evaluation, objective judgment about the works of others, and respect for the work and evaluations by others.

Faculty members are expected to foster relationships of confidence and mutual respect with students while encouraging and guiding student learning in a climate free of discriminatory behavior. High scholarly standards require the communication of both the faculty member's view and opposing views, as appropriate, within the subject matter of courses. Evaluations of students' efforts should be fair, objective, and directed toward enhancing the learning process. Improvements and innovations in the teaching learning processes and advising are responsibilities of the faculty member.

Faculty members are expected to accept a reasonable share of responsibility for the internal governance of the University and for public and professional service.

Recommendations for faculty appointments, reappointments, decisions not to reappoint, promotions, the granting of tenure, and dismissal are primarily a faculty responsibility, subject to approval by the Board, except in cases where the Board has, from time to time, delegated that authority to the President (and the President has, from time to time, further delegated that authority to the Provost or vice president for the administrative unit under his or her authority). The primary responsibility of the faculty for making recommendations in such matters is based upon the fact that its judgment is central to academic policy. Furthermore, scholars in a particular field or activity have the chief competence for judging the work of their colleagues. This responsibility exists for both the adverse and favorable judgments.

E.5.3 Guidelines on Teaching and Advising Responsibility (last revised August 2012)

The teaching and advising responsibilities of faculty members are among those many areas of university life which have for generations been a part of the unwritten code of a "community of scholars." It seems appropriate to set forth these responsibilities in the form of illustrative statements of desirable practice. These guidelines are by no means exhaustive regarding faculty members' responsibilities to teaching and learning and advising. The performance of faculty members in meeting the expectations contained in the guidelines shall be taken into consideration in determining salary increases, tenure, and promotion.

a. Faculty members are responsible for stating clearly the instructional objectives of each course they teach at the beginning of each term. It is expected that faculty will direct their instruction toward the fulfillment of these objectives and that evaluation of student achievement will be consistent with these objectives. Faculty members are responsible for orienting the content of the courses to the published official course descriptions.

b. Faculty members are responsible for informing students of the attendance expectations and consequences, and of the methods to be employed in determining the final course grade.

c. Faculty members are responsible for the assignment of the final course grade. The assigned grade should reflect the performance of the student in the course commensurate with the objectives of the course. The course instructor's decision of whether to use whole-letter grading or the plus minus grading system in the course should be indicated in the course syllabus and/or policy statement.

d. Graded examinations, papers, and other sources of evaluation will be available to the student for inspection and discussion. These should be graded promptly to make the results a part of the student's learning experience. The results of these evaluations will be retained for at least one (1) term to provide the opportunity for review.

e. Faculty members are expected to meet their classes regularly and at scheduled times. In case of illness or emergency, the department head should be notified promptly.

f. Faculty members are expected to make time available for student conferences and advising. Office hours should be convenient to both students and instructor with the opportunity provided for prearranged appointments. Available conference times should be communicated to students.

g. Faculty members shall have their teaching and advising periodically evaluated as specified by departmental codes.

E.6 General Policies Relating to Appointment and Employment of Faculty(last revised May 9, 2014)

a. The conditions and expectations of every appointment shall be confirmed in writing. Any subsequent modifications of the appointment shall also be confirmed in writing after the faculty member and the administrator have mutually determined the new conditions. The faculty member shall receive a copy of these documents.

b. All faculty members who are on regular full-time or regular part-time appointments and who have not acquired tenure, shall be appointed for a period not exceeding one (1) year. All faculty members on special or temporary appointments shall be appointed "at will."

c. Faculty members on multi-year contracts shall be appointed for periods of one (1) to five (5) years for research and one (1) to three (3) years for teaching..

1. A multi-year contract does not carry any guarantee or implication that the contract will be renewed, even though the duties of the employee may have been discharged satisfactorily.

2. Renewal of a multi-year contract does not entitle the individual to further renewals, a tenure-track appointment, or to a decision concerning tenure.

3. Renewal or extension of multi-year contracts may be made at any time during or after the onset of the contract and shall meet the same conditions required for the initial contract as specified in Sections E.2.1.3 and E.2.1.4.

d. If the department head does not propose to reappoint a non-tenured faculty member holding a regular full-time or regular part-time appointment, the faculty member shall be informed in writing that the appointment will not be renewed. This must be done by March 1 during the first year of employment, by December 15 during the second year, and at least twelve (12) months before the expiration of the appointment in succeeding years.

e. A non-tenured faculty member holding a regular full-time, regular part-time, or multi-year contract may be disciplined or terminated for cause without following the procedures of Section E.15 for tenured faculty. Such actions may be grieved as described in Section K.

f. If a decision made at a higher administrative level will have the effect of altering or reversing a decision made at a departmental level regarding conditions of employment, including reappointment, tenure, promotion, and salary, then, before this change can take effect, the department head must be notified in writing of both the proposed change and the reasons for this change, and he or she must be given the opportunity to submit a written reply.

E.7 Service of Department Heads

Department heads usually hold twelve (12) month appointments while in office; however, when service as department head is terminated, a return to nine (9) month faculty status shall occur unless there is good and sufficient reason not to do so, as determined by the appropriate administrators.

E.8 Academic Freedom

E.8.1 Policy

The policy of the University is to foster and maintain an environment in which the professional activities of faculty are encouraged through freedom to pursue such activities.

E.8.2 Concepts

a. A faculty member is entitled to learn and to teach in the classroom what scholarship suggests is the truth in his or her particular field of expertise.

b. The faculty member is entitled to freedom of research within the confines of the stated conditions or agreements with the institution and/or contract or proposal parameters, if applicable. This freedom extends to publication of results.

c. Faculty members are free to seek external support for their research and creative activities so long as such activity is balanced with other duties and responsibilities and is compatible with the budgetary and legal procedures and policies of the University (see Sections E.5.1 and E.8.2.b).

d. A faculty member is free to question that which is believed to be settled.

e. The freedoms granted by the First Amendment to the Constitution of the United States are applicable to the faculty member, both as an academician and as a citizen.

f. The major purpose of the University Administration is to provide an atmosphere conducive to teaching, research, extension, and service. Administrators, therefore, must protect, defend, and promote academic freedom as a necessary prelude to the free search for and exposition of truth and understanding.

g. A faculty member is a citizen, a member of a learned profession, and an officer of an educational institution. When speaking or writing as a citizen, he or she should be free from institutional censorship or discipline, but this special position in the community imposes special obligations. As a person of learning and an educational officer, he or she should remember that the public may judge the profession and the institution by his or her utterances. Hence the individual should at all times be accurate, exercise appropriate restraint, show every respect for the opinion of others, and make every effort to indicate that he or she is not an institutional spokesman.

E. 9 Faculty Productivity (last revised February 14, 2014)

Decisions concerning tenure, promotion, and merit salary increases are linked to the faculty member's productivity in teaching and advising, research and other creative activity, and University and professional service. Each academic unit must establish expected levels of productivity for the unit in each of these areas. Productivity is assessed by relating the effort expended to the outcome, in terms of effectiveness, impact, and documentation of the activity. Effort distribution is the allocation of effort into particular areas of responsibilities. Workload describes the professional responsibilities of the faculty. The responsibilities of faculty members for each of these activities will vary, depending upon the mission and needs of the academic unit and the expertise and interests of the faculty. The University recognizes that a faculty member's activities may change over a career and is committed to the use of differentiated responsibilities for individual faculty. Hence, in the evaluation process, reasonable flexibility should be exercised, balancing, as the case requires, heavier responsibilities in one (1) area against lighter responsibilities in another.

Decisions regarding tenure, promotion, and merit salary increases must be consistent with, and based upon, the effort distribution established for each faculty member. The department code shall define the general expectations of effort distribution regarding teaching and advising, research and other creative activity, and service responsibilities in terms of the academic mission of the department. Where appropriate and consistent with the academic mission of the department, the department code should define outreach/engagement expectations and how those expectations are addressed in the faculty member's teaching, research, and/or service effort distribution. During the probationary period and following tenure in the years leading to full professor, there may be a need for changes in the workload and effort distribution originally established at the time of hiring or at the time of tenure and promotion to associate professor. These changes shall be negotiated between the faculty member and the department head (E.9.1, E.9.2). In this event, since promotion and tenure decisions are linked to the faculty member's productivity in line with effort distribution and workload, the promotion and tenure committee or a subcommittee thereof shall provide input in writing to the department head regarding the extent to which these changes may affect progress toward tenure. Following any negotiated changes, these changes and the committee's response, shall be clearly articulated in writing by the department head to the faculty member.

E.9.1 Individual Faculty Effort Distribution (last revised August 12, 2009 )

A faculty member's effort distribution shall be negotiated between the faculty member and the department head subject to the provisions of Section C.2.6.2.e. The effort distribution for the next year shall be stated clearly in writing as part of the annual evaluation and used as a framework for annual and periodic comprehensive reviews, as well as tenure and promotion decisions. The effort distribution of each faculty member shall be subject to adjustment from time to time according to the principles articulated in Section E.9 above. Responsibilities within a department should be distributed to achieve the most effective and efficient use of human resources while considering the talents and interests of the individual faculty members. For those faculty members whose appointments include outreach/engagement, such as Extension specialists, responsibilities and metrics for performance evaluations are to be negotiated as part of the annual evaluation. Various criteria for outreach/engagement for faculty members with Extension appointments are found in the Statewide and Regional Specialist Roles and Responsibilities document found in the Colorado State University Extension Handbook (see at the following webstire:  http://www.ext.colostate.edu/staffres/handbook/sec6-admin-guide.pdf#page=25).

Responsibilities for all tenure-track faculty members must be established so as to provide sufficient opportunities to demonstrate that they meet the performance expectations for tenure, promotion, and merit salary increases specified in Section E.12.

According to their effort distribution negotiated with the department head, faculty members teach as well as advise undergraduate and/or graduate students, maintain an active research and/or other creative activity agenda, and perform service appropriate to their appointment, discipline, and department (see Section E.12).

The scholarship-based model of outreach/engagement stimulates interaction with the community, which produces discipline-generated, evidence-based practices. Outreach/engagement activities may be integrated into the faculty memberís teaching, research, and/or service effort distribution. Outreach/engagement activities are not a mandated component of every faculty memberís effort distribution, but are to be included where appropriate to the mission of the faculty member, department, and college. For the activity to be scholarly, it must draw upon the academic and professional expertise of the faculty member while contributing to the public good, addressing or responding to real-world problems. The standards for assessing the scholarship of outreach/engagement activities will vary among disciplines and should be specified by each academic unit and incorporated into departmental codes.

E.9.2 Individual Faculty Workload (last revised February 14, 2014)

Individual workloads for each area of responsibility may vary over time in accordance with the needs and missions of the different academic departments and shall be negotiated between the faculty member and the department head subject to the provisions of Section C.2.6.2.e. Factors for which workload can be adjusted include, but are not limited to, course credits, class size, course level, method of course delivery, type of course (lecture, independent study, internship, supervised student research, thesis/dissertation, clinical, practicum), advising load, off-campus assignments, number of preparations, new preparations, teaching assistants, size and activity of research program or other creative activity, and service.

E.9.3 Department Effort Distribution (last revised August 12, 2009)

Departments provide distinctive contributions to the overall college and University missions, and department effort distributions should reflect these contributions, including departmental commitments to outreach/engagement, as well as Extension. It is the responsibility of the department head to coordinate the aggregate faculty members' effort, effort distribution, and workload assignments appropriate to the mission of the department.

E.9.4 College Effort Distribution

Colleges provide diverse contributions to the overall University mission, and college effort distribution should reflect these contributions. It is the responsibility of the dean to coordinate and evaluate the aggregate departmental efforts appropriately to the mission of the college.

E.9.5 University Effort Distribution (last revised August 12, 2009)

The University’s mission is to provide excellence in undergraduate and graduate/professional education, research and other creative activities, and service consistent with the tradition of land grant universities. The University recognizes that individual faculty members, departments, and colleges contribute a variety of interests, strengths, and areas of expertise to accomplish this mission, and as a result of these differences, the University is committed to differentiated effort distributions among individuals and units. It is the responsibility of the Provost to coordinate and evaluate each college’s efforts appropriate to the mission of the University.

E.10 Faculty Tenure Policy (last revised June 10, 1998)

E.10.1 Definition of Tenure

Tenure is the practice of permanent or continuous appointments for faculty members in higher education, during which their service at a particular institution may be terminated only for (1) adequate cause demonstrated in a hearing before an appropriately selected faculty committee, (2) under the extraordinary circumstances of a bona fide financial exigency, involving retrenchment or discontinuance of an academic program or a department of instruction, or (3) discontinuance of a degree granting program or a department of instruction not mandated by financial exigency.

E.10.2 Rationale for Tenure

Institutions of higher education are conducted for the common good and not to further the interest of either the individual or the institution as a whole. The common good depends upon the free search for truth and its free exposition. Tenure is a means to certain ends; specifically (1) freedom of teaching, research, extension, and of extramural activities, and (2) a sufficient degree of economic security to make the profession of university teaching attractive to men and women of ability. Academic freedom and economic security, and thus, tenure are indispensable to the success of an educational institution in fulfilling its singular obligations to its students and to society. Faculty members who are threatened with loss of their positions for voicing unpopular or innovative views cannot effectively engage in the kind of open deliberation and criticism essential to a free society.

E.10.3 Administrative Responsibilities in Relation to Tenure(last revised February 14, 2014)

a. The head of the department and the faculty member on probationary status are jointly responsible for discussing, at least once annually, prior to the time for the decision on tenure, the faculty member's development and fitness for the position involved and prospects for eventually acquiring tenure. The department head shall provide the faculty member and the dean of the college concerned a written summary of the evaluation of progress toward tenure at the time of the conference. This report is independent of the annual evaluation covering achievements of the most recent calendar year. Likewise, the tenured faculty of the department, or a subcommittee thereof, shall annually provide an independent assessment of progress toward tenure, and a written report summarizing progress toward tenure and of any perceived deficiencies, to each tenure track faculty member. The report of the committee shall be shared with the department head and the tenure-track faculty member and may include suggestions for workload and effort distribution judged to be supportive of the faculty member's progress toward tenure.

b. The head of the department shall make every effort to encourage and assist the faculty member to fulfill the conditions which will qualify him or her for tenure. This may include consulting with the tenured faculty or a subcommittee thereof, regarding suggestions received in the committee's written report summarizing progress toward tenure.

c. The head of the department is responsible for making explicit at the time of employment to the faculty member in that unit the conditions which normally must be met for the acquisition of tenure, the procedures by which tenure is awarded, denied, terminated, or withdrawn, and the procedures by which the faculty member may challenge such decisions.

E.10.4 Policies on Conferring Tenure (last revised May 2, 2007)

a. A faculty member on a regular academic appointment shall be considered for tenure based upon evidence of capability for significant professional contributions.

b. It is normally expected that a candidate for tenure will have a terminal degree in his or her field. However, the necessity for any particular advanced degree as a prerequisite for tenure shall be decided upon by the eligible faculty of the department concerned. The requirement for a particular advanced degree may vary within a department depending upon the responsibilities of a specific position.

c. The decision to award tenure may be made after two (2) years from initial appointment. However, unless stated otherwise in the appointment letter, the probationary period before the granting or denial of tenure is six (6) years of continuous employment for a faculty member initially appointed as an assistant professor, four (4) years of employment for an associate professor, and three (3) years of employment for a full professor. The length of the probationary period, the timing of the midpoint review (see Section E.14.2), and the time frame for the tenure application process shall all be stated unambiguously in the appointment letter.

d. Regular employment prior to January 1 shall, at the end of the 30th day of June immediately following, be counted as a full year of service. When the regular appointment begins on or after January 1, the period ending with the 30th day of June immediately following shall not count as any part of the probationary period.

e. Service in a tenure-track faculty position shall apply toward sabbatical leave and all other faculty benefits and privileges.

f. The tenure policies in this Manual apply to administrative personnel who hold academic rank, but only in their capacity as faculty members. When a faculty member holding an administrative appointment for which additional compensation is provided either relinquishes or is relieved of administrative responsibility, salary may be reduced to properly conform with his or her non-administrative responsibility, upon recommendation of appropriate administrative officers and official approval. The Board has delegated the authority for official approval to the President. If the faculty member relinquishes the administrative appointment voluntarily, or if the termination of the appointment is due to a non-renewal after a specified appointment period to which the faculty member had agreed, then the President has further delegated the authority for official approval to the Provost. If a faculty member alleges that a consideration violative of academic freedom significantly contributed to a decision to terminate his or her appointment to an administrative post, or not to reappoint the individual, he or she is entitled to use of the procedures set forth in Section K.

E.10.4.1 Probationary Period for Tenure (last revised May 2, 2007)

The probationary period for a regular faculty member at Colorado State University is the maximum length of continuous service prior to the granting or denial of continuous tenure. The probationary period is limited to six (6) years, except when extended as described in Section E.10.4.l.2, including all previous service as a regular faculty member at this institution.

E.10.4.1.1 Service Credit (last revised June 4, 2008)

Credit may be given for prior service, thus reducing the probationary period, as described below. The details of such credit for prior service, the length of the probationary period, the timing of the midpoint review, and the time frame for the tenure application process shall all be stated unambiguously in the appointment letter. Before granting credit for prior service, the department head should consult with the departmental tenure committee. An application for tenure at the end of such a reduced probationary period shall not be considered an early application for tenure.

a. When a faculty member has held a temporary, special, or multi-year research appointment as an assistant professor, associate professor, or professor at Colorado State University and is subsequently appointed to a regular faculty position (see Section E.2), credit may be given for this prior service.

b. Credit may be given for either academic or non-academic service at other institutions. However, credit will not be given for service in a position equivalent to an instructor.

c. If a newly appointed faculty member has been awarded tenure at another academic institution with the rank of associate professor or professor, he or she may be recommended for tenure immediately, in line with any provisions stipulated in the code of the department. It is recommended that at least two-thirds (2/3) of the eligible tenured faculty members in the department approve. A faculty member who has not been awarded tenure at another academic institution may not be recommended for tenure prior to two (2) years of continuous employment at Colorado State University unless the Provost agrees with the department that the circumstances are exceptional and waives this two (2) year restriction in writing. The written waiver shall be sent to the faculty member, the tenure committee, the department head, and the college dean. The origin and processing of a tenure recommendation prior to two (2) years of continuous employment at Colorado State University must follow the procedure in Section E.10.5.

E.10.4.1.2 Extension of the Probationary Period (last revised August 2, 2013)

The use of Family Medical Leave may lead to an automatic extension of the probationary period (see Appendix 3 for details).

Extension of the probationary period for reasons other than use of Family Medical Leave is not automatic. A faculty member may request an extension of the probationary period as described below. The faculty member must make the request for an extension of the probationary period in writing to the departmental tenure committee. Such a request should be made as early as possible, and must be made prior to the first day of the final academic year of the probationary period. The recommendation of the tenure committee shall be forwarded successively to the department head, the college dean, and the Provost, each of whom shall recommend either acceptance or rejection of the recommendation of the tenure committee. Such recommendations shall not be made in an arbitrary, capricious, or discriminatory manner. The final decision on such an extension shall be made by the President. If the faculty member making the request is dissatisfied with a rejection at any level of a positive recommendation by the tenure committee, he or she has the right to appeal through formal grievance procedures.

a. A faculty member may request an extension of the probationary period due to exceptional circumstances, including, but not limited to, birth or adoption of a child, personal health issues, and care of immediate family members (this is separate from the issue of leaves, which are addressed in Section E.10.4.1.2.c). The tenure committee may recommend up to two (2) separate extensions of the probationary period, each for a period not to exceed one (1) year.

b. A faculty member may request an extension of the probationary period under the Americans with Disabilities Act (ADA). Such a request must identify the nature of the disability and explain why an extension of the probationary period is necessary for purposes of reasonable accommodation. The faculty member requesting such an extension also must provide evidence of protected status under ADA to the Director of the Office of Equal Opportunity (OEO), who shall determine the validity of the protected status and inform the departmental tenure committee. The tenure committee may recommend an extension of the probationary period for a period not to exceed one (1) year (see Sections E.6.b and E.4). Any subsequent request to the tenure committee for an additional extension shall require reverification of the protected status by the OEO Director.

c. Any leave for a period not exceeding one (1) year shall normally count as part of the probationary period. However, if the leave is of such a nature that the individual's development as a faculty member while on leave cannot be judged, or if the leave is for purposes that are not scholarly, the faculty member may request that the leave not count as part of the probationary period.

d. If a faculty member has been granted credit for prior service, thus reducing the probationary period, then, if circumstances warrant, the faculty member may request that this credit for prior service be reduced, thus extending the probationary period.

E.10.5 Procedures for the Granting of Tenure

E.10.5.1 Origin and Processing of Tenure Recommendations (last revised June 21, 2011)

The head of the department shall initiate the process leading to a recommendation for the granting or denial of tenure not later than the beginning of the final year of the probationary period of the faculty member. The department head should consult with the tenure committee before initiating this process. The department head should also consult the website of the Office of the Provost for information and forms regarding applications for tenure.

Because the recommendation for the granting or denial of tenure is primarily a faculty responsibility, the department head shall ask the members of the tenure committee, to vote by ballot for or against granting of tenure to the faculty member being considered. A tenure recommendation shall be by a majority vote of the tenure committee.1 The recommendation shall include a vote summary and a statement of reasons representing the majority and minority points of view. The recommendation shall be forwarded successively to the department head, the dean of the college, the Provost, and the President for review and either endorsement or opposition. The Board has delegated the final decision to the President.

All reviews are to be exercised expeditiously at each level. After each review, the reviewing administrator shall make a recommendation in writing and send copies to the faculty member, the tenure committee, and all administrators who have previously reviewed the recommendation.

The tenure committee must have at least three (3) members and shall consist of all eligible department faculty members, or, if so specified in the department code, a duly elected committee thereof. The department head, college dean, Provost, and President are not eligible to serve on the tenure committee and shall not be present during the committee's deliberations, except when specifically invited by the committee. A faculty member holding an administrative appointment (as defined in Section K.12.a) of more than half time is not eligible to serve on the tenure committee, unless the department code specifies otherwise. If a faculty member holding an administrative appointment does serve on the tenure committee, it is expected that he or she will not participate in discussions of the case at higher administrative levels. A faculty member with a conflict of interest is expected to recuse himself or herself. The eligible department faculty are all other tenured department faculty. If a committee of at least three (3) tenured faculty within the department cannot be constituted, then additional tenured faculty members shall be selected from other departments within the University so as to produce a committee of three (3) members. A department may specify in its code a procedure for narrowing the pool of eligible additional members to faculty in disciplines similar to that of the candidate, possibly including faculty from other colleges. In the absence of such a procedure, the pool shall consist of all tenured faculty members on the tenure committees from all departments within the college. The department head shall draw the additional members of the tenure committee by lot from the pool of eligible faculty members. Faculty members from other departments may decline to serve on the tenure committee

After a recommendation is received from the tenure committee, a contrary recommendation shall be issued at a higher administrative level below the President only for compelling reasons which shall be stated in writing to the faculty member, the tenure committee, and all administrators who have previously reviewed the recommendation. If such a contrary recommendation is issued, the faculty member, the tenure committee, and all administrators who have previously reviewed the recommendation shall be given seven (7) working days from the date of notification of the contrary recommendation to respond in writing to the administrator’s reasons for opposition, and the contrary recommendation may be opposed at an even higher administrative level. The responses from the faculty member, the tenure committee, and the administrators shall be forwarded to each successive administrator along with the recommendation and rationale for the contrary recommendation.

In the event of a committee recommendation to deny tenure, or opposition by an administrative officer below the President to a recommendation to grant tenure, the recommendation of the committee and reasons for any contrary recommendation shall be made available promptly to the faculty member under consideration. If the faculty member believes that the committee's recommendation to deny tenure violated University policy or state or federal law, he or she shall be given seven (7) working days from the date of notification of the recommendation to submit a written statement detailing this violation. This statement shall be forwarded to each successive administrator along with the recommendations from the tenure committee. If the faculty member believes that an administrator's opposition to a recommendation to grant tenure violated University policy or state or federal law, and the Provost has endorsed the recommendation of the administrator not to grant tenure, then the faculty member may appeal the decision through the grievance procedure. In any grievance proceeding, the department and/or the tenure committee shall be represented by a member of the tenure committee selected by the prevailing side of the committee. Although a grievance may not be filed until the Provost has made his or her recommendation to the President, the grievance shall be against the administrator whose action is being grieved. However, the effective date of notification of the grievant shall be the date of notification of the Provost's recommendation.

When a department head is under consideration for tenure, the successive forwarding of the tenure committee's recommendation shall begin with the dean of the college, rather than the department head.

The department head, the college dean, or the Provost may elect to postpone consideration of a faculty member for tenure, without prejudice, if the recommendation from the tenure committee for the granting or denial of tenure is made in a year earlier than the final year of the probationary period. The decision to postpone and the reasons for postponement shall be communicated immediately in writing to the faculty member and the tenure committee. However, the faculty member must either be granted tenure by the beginning of the first year after the end of the probationary period or be notified by the end of the probationary period that his or her appointment will be terminated at the end of one (1) additional year. Once a faculty member is on a regular tenure-track appointment, the use of multi-year research, special or temporary appointments to extend the probationary period for tenure is not permitted.

E.10.5.2 Notification of Presidential Action on Tenure Recommendations

When the President has ruled on a recommendation relating to tenure for a faculty member, the faculty member shall be notified promptly in writing of the action taken.

E.10.6 Relation of Tenure to Changes in Status and/or Salary

a. Reduction in salary when effective for all faculty shall not be considered as conflicting with this tenure policy when such reduction is in line with other current reductions.

b. Acquisition of tenure carries certain privileges; nevertheless, by mutual agreement between a faculty member and the appropriate administrative officers, the salary and/or employment status of a faculty member may be altered. Any change in salary or employment status of a faculty member which does not rest upon mutual agreement with the administration shall be susceptible to test by appropriate due process procedures as outlined in Section K.

E.11 Granting of Senior Teaching Appointments (new addition June 21, 2011

A current Colorado State University employee becomes eligible for consideration for a senior teaching appointment when all of the following conditions have been met:

a. The person has been employed at Colorado State University other than as a Graduate Assistant at least half-time (0.5) for at least ten (10) semesters (not including summers), and at least fifty (50) percent of his or her assignment was devoted to teaching and advising for each of those ten (10) semesters.

b. The person has been employed at Colorado State University other than as a Graduate Assistant at least half-time (0.5) for each of the preceding four (4) semesters (not including summers), and at least fifty (50) percent of his or her assignment was devoted to teaching and advising for each of those four (4) semesters.

c. Any additional criteria specified in the codes of the department and/or college are satisfied.

If the appointment is approved, it shall become effective the following Fall.

The head of the department shall initiate the process leading to a recommendation for the granting or denial of a senior teaching appointment. The department head should consult with the appointment committee before initiating this process. Because this recommendation is primarily a faculty responsibility, the department head shall ask the appointment committee to vote by ballot for or against the appointment of the faculty member being considered. A recommendation for appointment shall be by a majority vote of the appointment committee. The recommendation shall include a vote summary and a statement of reasons representing the majority and minority points of view. The recommendation shall be forwarded successively to the department head, the dean of the college, and the Provost for review and either endorsement or opposition. The Board has delegated the final decision to the President, and the President has further delegated the final decision to the Provost.

The appointment committee must have at least three (3) members. The department head, college dean, Provost, and President are not eligible to serve on the appointment committee and shall not be present during the committee's deliberations, except when specifically invited by the committee. A faculty member holding an administrative appointment (as defined in Section K.12.a) of more than half time is not eligible to serve on the appointment committee, unless the department code specifies otherwise. If a faculty member holding an administrative appointment does serve on the appointment committee, it is expected that he or she will not participate in discussions of the case at higher administrative levels.  Unless the department code specifies otherwise, the appointment committee shall consist of all tenured faculty members who are not ineligible as specified above.  However, the department code may specify a different group of faculty members from within the department to constitute the membership of the appointment committee, as long as none of them are ineligible as specified above.  A faculty member with a conflict of interest is expected to recuse himself or herself.

If a committee of at least three (3) eligible faculty members within the department cannot be constituted, then additional tenured faculty members shall be selected from other departments within the college so as to produce a committee of three (3) members. A department may specify in its code a procedure for narrowing the pool of eligible additional members to tenured faculty members in disciplines similar to that of the candidate. In the absence of such a procedure, the pool shall consist of all tenured faculty members from all departments within the college. The department head shall draw the additional members of the appointment committee by lot from the pool of eligible faculty members. Faculty members from other departments may decline to serve on the appointment committee.

After a recommendation is received from the appointment committee, a contrary recommendation shall be issued at a higher administrative level below the Provost only for compelling reasons that shall be stated in writing to the faculty member, the appointment committee, and all administrators who have previously supported or reversed the recommendation. If such a contrary recommendation is issued, the faculty member, the appointment committee, and all administrators who have previously reviewed the recommendations shall be given seven (7) working days from the date of notification of the contrary recommendation to respond in writing to the administratorís reasons for opposition, and the contrary recommendation may be opposed at an even higher administrative level. The responses from the faculty member, the appointment committee, and the administrators shall be forwarded to each successive administrator along with the recommendation and rationale for the contrary recommendation.

In the event of a committee recommendation to deny the appointment or opposition by an administrative officer to a recommendation to grant the appointment, the recommendation of the committee and the reasons for any contrary recommendation shall be made available promptly to the faculty member under consideration. If the faculty member believes that the committeeís recommendation to deny the appointment violated University policy or state or federal law, he or she shall be given seven (7) working days from the date of notification of the recommendation to submit a written statement detailing this violation. This statement shall be forwarded to each successive administrator along with the recommendation from the appointment committee. If the faculty member believes that an administrator's opposition to a recommendation to grant the appointment violated University policy or state or federal law, and the Provost has endorsed the recommendation of the administrator not to grant the appointment, then the faculty member may appeal the decision through the grievance procedure. In any grievance proceeding, the department and/or the appointment committee shall be represented by a member of the appointment committee selected by the prevailing side of the committee. Although a grievance may not be filed until the Provost has made his or her final decision, the grievance shall be against the administrator whose action is being grieved. However, the effective date of notification of the grievant shall be the date of notification of the Provostís decision.

When the Provost has ruled on a recommendation relating to the granting of a senior teaching appointment, the faculty member shall be notified promptly in writing of the action taken.

E.12 Performance Expectations for Tenure, Promotion, and Merit Salary Increases (last revised June 21, 2011)

All faculty members being considered for tenure and/or promotion must demonstrate a level of excellence appropriate to the rank under consideration and consistent with the standards of their discipline, their unitís institutional mission, and the faculty memberís individual effort distribution in teaching and advising, research and other creative activity, and service. Outreach/engagement efforts may be integrated into the faculty member's teaching, research, and/or service responsibilities. Annual and periodic comprehensive reviews of a faculty member's performance are addressed in Sections C.2.5, E.12, and E.14, and the expectations articulated in this section are applicable to those reviews. The basis for annual and periodic comprehensive reviews shall be the set of criteria in place at the beginning of the review period. All faculty shall provide evidence of teaching and advising competence, sustained research and other creative activity, and service consistent with their stated effort distribution (see Section E.9.1) for annual and periodic comprehensive reviews, as well as for tenure and promotion. The department code shall establish clearly articulated criteria and standards for evaluation in these areas.

E.12.1 Teaching and Advising (last revised August 2, 2013)

As part of its mission, the University is dedicated to undergraduate, graduate, professional, and continuing education locally, nationally, and internationally. Toward that end teachers engage learners, transfer knowledge, develop skills, create opportunities for learning, advise, and facilitate student academic and professional development.

Teaching includes, but is not limited to, classroom and/or laboratory instruction; individual tutoring; supervision and instruction of student researchers; clinical teaching; field work supervision and training; preparation and supervision of teaching assistants; service learning; outreach/engagement; and other activities that organize and disseminate knowledge. Faculty members' supervision or guidance of students in recognized academic pursuits that do not confer any University credit also is considered teaching. Associated teaching activities include class preparation; grading; laboratory or equipment maintenance; preparation and funding of proposals to improve instruction; attendance at workshops on teaching improvement; and planning of curricula and courses of study. Outreach/engagement activities such as service learning, conducting workshops, seminars, and consultations, and the preparation of educational materials for those purposes, may be integrated into teaching efforts. These outreach activities include teaching efforts of faculty members with Extension appointments.

Excellent teachers are characterized by their command of subject matter; logical organization and presentation of course material; formation of interrelationship among fields of knowledge; energy and enthusiasm; availability to help students outside of class; encouragement of curiosity, creativity, and critical thought; engagement of students in the learning process; use of clear grading criteria; and respectful responses to student questions and ideas.

Departments shall foster a culture that values and recognizes excellent teaching, and encourages reflective self-assessment. To that end, departmental codes should, within the context of their disciplines, (1) define effective teaching and (2) describe the process and criteria for evaluating teaching effectiveness. Evaluation of teaching should be designed to highlight strengths, identify deficiencies, and improve teaching and learning.

Evaluation criteria of teaching can include, but are not limited to, quality of curriculum design; quality of instructional materials; achievement of student learning outcomes; and effectiveness at presenting information, managing class sessions, encouraging student engagement and critical thinking, and responding to student work. Evaluation of teaching shall involve multiple sources of information such as course syllabi; signed peer evaluations; examples of course improvements; development of new courses and teaching techniques; integration of service learning; appropriate course surveys of teaching; letters, electronic mail messages, and/or other forms of written comments from current and/or former students; and evidence of the use of active and/or experiential learning, student learning achievement, professional development related to teaching and learning, and assessments from conference/workshop attendees. Anonymous letters or comments shall not be used to evaluate teaching, except with the consent of the instructor or as authorized in a departmentís code. Evaluation of teaching effectivemenss should take into account the physical and curricular context in which teaching occurs (e.g., face-to-face and online settings; lower-division, upper-division, and graduate courses), established content standards and expectations, and the faculty member's teaching assignments, in particular the type and level of courses taught. The Univeristy provides resources to support the evaluation of teacing effectiveness, such as systems to create and assess teaching portfolios, access to exemplary teaching portfolios, and professional development programs focusing on teaching and learning.

Effective advising of students, at both the undergraduate and graduate levels, is a vital part of the teaching/learning process. Advising activities include, but are not limited to, meeting with students to explain graduation requirements; giving academic advice; giving career advice or referring the student to the appropriate person for that advice; and supervision of or assistance with graduate student theses/dissertations/projects. Advising is characterized by being available to students, keeping appointments, providing accurate and appropriate advice, and providing knowledgeable guidance. Evaluation of advising effectiveness can be based upon signed evaluations from current and/or former students, faculty members, and professional peers. The faculty in each academic unit shall develop specific criteria and standards for evaluation and methods for evaluating teaching advising effectiveness and shall evaluate advising as part of annual and periodic comprehensive reviews. These criteria, standards, and methods shall be incorporated into departmental codes.

E.12.2 Research and Other Creative Activity (last revised August 12, 2009)

Research is the discovery and development of knowledge; other creative activity is original or imaginative accomplishment. Research and other creative activity include, but are not limited to, publications; exhibitions, presentations or performances; copyrighted, patented or licensed works and inventions; supervision of or assistance with graduate student theses/dissertations and undergraduate research; and the award of funding to support research and other creative activities. Scholarly activities that advance the effectiveness of teaching and education could also be considered research.

The criteria for evaluating the original or imaginative nature of research and other creative activities should be the generally accepted standards prevailing in the applicable discipline or professional area. Standards for determining quality will vary among disciplines and should be specified by each academic unit. However, evaluations should be based primarily upon the quality of the product as judged by peers. Some measures of quality are the prestige of the journals in which publications appear, reviews of publications in the critical literature, reviews of artistic performance by recognized experts, prizes and other awards for significant professional accomplishment, grants obtained in open competition, and impact and outcome assessments as indicated by adoption of results by clientele. When work is a collaborative effort, every attempt should be made to assess the value of the contribution of the faculty member. Some categories of publication or other accomplishments, such as Extension publications, more properly are regarded as vehicles for teaching or outreach/engagement; however, these may be considered evidence of other creative activity to the extent that new ideas and research are incorporated.

E.12.3 Service

Service advances the interests of the institution, the community, and the professions.

E.12.3.1 University Service

In academic institutions the faculty members share in the formulation of University policies and in making and carrying out decisions affecting the educational and scholarly life of the University. University service includes but is not limited to contributions to the governance and leadership of the University through participation in the formulation and implementation of department/college/university policies via membership on committees, councils, and advisory groups and participation in administrative activities. University service also includes advising student organizations.

University service is evaluated through timely and effective participation in such activities related to academic matters. Senior faculty members should undertake greater service roles based upon their experience, but junior faculty members should be encouraged to participate in these activities to contribute new perspectives, develop expertise, and further the mission of the University.

E.12.3.2 Professional Service (last revised August 12, 2009)

Service in local, state, national, or international professional organizations enhances the University's scholarly and academic reputations. Service in professional organizations includes but is not limited to editorial activities for professional publications; service as an officer or committee member of a professional society; participating in or organizing research conferences, workshops or professional meetings; reviewing grant proposals; and service on academic review or accreditation boards. Service rendered in one's professional capacity as a citizen of the community is commendable and may be evaluated as an appropriate faculty activity.

Professional service is evaluated through the amount and quality of participation which contribute to the long-term improvement of teaching, scholarship, and the profession.

E.13 Advancement in Rank (Promotion) (last revised June 21, 2011)

Except in unusual circumstances noted in the statement of reasons given for the promotion recommendation, when tenure is granted to an assistant professor, the individual shall be promoted concurrently to associate professor.

Normally, after five (5) years in rank as an associate professor, faculty are eligible to be considered for promotion from associate professor to professor. If the promotion is approved, it shall become effective the following July 1. Advancement from associate professor to professor may be considered prior to five (5) years in rank in those cases in which the faculty member's performance clearly exceeds the standards for promotion to professor established pursuant to the performance expectations stipulated in Section E.11.

Service at other academic institutions may or may not count toward time in rank. The appointment letter shall state unambiguously whether or not service at other institutions will count towards time in rank at Colorado State University and state specifically the exact number of years of prior service credit being granted. The department head and dean are responsible for apprising the candidate of this possibility.

E.13.1 Origin and Processing of Recommendations (last revised June 21, 2011)

The head of the department shall initiate the process leading to a recommendation for the granting or denial of promotion. The department head should consult with the promotion committee before initiating this process. The department head should also consult the website of the Office of the Provost for information and forms regarding applications for promotion.

Because this recommendation is primarily a faculty responsibility, the department head shall ask the promotion committee to vote by ballot for or against promotion of the faculty member being considered. A promotion recommendation shall be by a majority vote of the promotion committee. The recommendation shall include a vote summary and a statement of reasons representing the majority and minority points of view. The recommendation shall be forwarded successively to the department head, the dean of the college, the Provost, and the President for review and either endorsement or opposition. The Board has delegated the final decision to the President.

The promotion committee must have at least three (3) members and shall consist of all eligible department faculty members, or, if so specified in the department code, a duly elected committee thereof. The department head, college dean, Provost, and President are not eligible to serve on the promotion committee and shall not be present during the committee's deliberations, except when specifically invited by the committee. A faculty member holding an administrative appointment (as defined in Section K.11.2) of more than half time (0.5) is not eligible to serve on the promotion committee, unless the department code specifies otherwise. If a faculty member holding an administrative appointment does serve on the promotion committee, it is expected that he or she will not participate in discussions of the case at higher administrative levels. A faculty member with a conflict of interest is expected to recuse himself or herself. The eligible department faculty members are all other tenured department faculty members of higher rank than the faculty member under consideration. If a committee of at least three (3) tenured faculty members of higher rank within the department cannot be constituted, then additional tenured faculty members of higher rank shall be selected from other departments within the University so as to produce a committee of three (3) members. A department may specify in its code a procedure for narrowing the pool of eligible additional members to faculty in disciplines similar to that of the candidate, possibly including faculty from other colleges. In the absence of such a procedure, the pool shall consist of all tenured faculty members of higher rank on the promotion committees from all departments within the college. The department head shall draw the additional members of the promotion committee by lot from the pool of eligible faculty members. Faculty members from other departments may decline to serve on the promotion committee.

After a recommendation is received from the promotion committee, a contrary recommendation shall be issued at a higher administrative level below the President only for compelling reasons that shall be stated in writing to the faculty member, the promotion committee, and all administrators who have previously supported or reversed the recommendation. If such a contrary recommendation is issued, the faculty member, the promotion committee, and all administrators who have previously reviewed the recommendations shall be given seven (7) working days from the date of notification of the contrary recommendation to respond in writing to the administratorís reasons for opposition, and the contrary recommendation may be opposed at an even higher administrative level. The responses from the faculty member, the promotion committee, and the administrators shall be forwarded to each successive administrator along with the recommendation and rationale for the contrary recommendation.

In the event of a committee recommendation to deny promotion or opposition by an administrative officer below the President to a recommendation to grant promotion, the recommendation of the committee and the reasons for any contrary recommendation shall be made available promptly to the faculty member under consideration. If the faculty member believes that the committeeís recommendation to deny promotion violated University policy or state or federal law, he or she shall be given seven (7) working days from the date of notification of the recommendation to submit a written statement detailing this violation. This statement shall be forwarded to each successive administrator along with the recommendation from the promotion committee. If the faculty member believes that an administrator's opposition to a recommendation to grant promotion violated University policy or state or federal law, and the Provost has endorsed the recommendation of the administrator not to grant promotion, then the faculty member may appeal the decision through the grievance procedure. In any grievance proceeding, the department and/or the promotion committee shall be represented by a member of the promotion committee selected by the prevailing side of the committee. Although a grievance may not be filed until the Provost has made his or her recommendation to the President, the grievance shall be against the administrator whose action is being grieved. However, the effective date of notification of the grievant shall be the date of notification of the Provostís recommendation.

When the department head is under consideration for promotion, the successive forwarding of the promotion committee's recommendation shall begin with the dean of the college, rather than the department head.

E.13.2 Notification of Presidential Action on Advancement in Rank (last revised June 15, 2005)

When the President has ruled on a recommendation relating to promotion for a faculty member, the faculty member shall be notified promptly in writing of the action taken.

E.14 Performance Reviews (last revised August 2, 2013)

All faculty members, including department heads and deans, are subject to performance reviews. These reviews include annual reviews, comprehensive reviews of tenure-track faculty members, and comprehensive reviews of tenured faculty members. Annual reviews and comprehensive reviews of tenured faculty members shall be conducted by the academic supervisor for the faculty memberís academic unit. For a faculty member who is not a department head, a dean, an associate dean or an assistant dean, the academic unit is his or her home department, and the academic supervisor is the department head. For a department head, an associate dean, or an assistant dean, the academic unit is the college, and the academic supervisor is the dean of that college. For a dean, the academic unit is the University, and the academic supervisor is the Provost.

Nothing contained in this section shall be construed to affect the at-will status of administrative appointments. The evaluation of an individualís performance as an administrator and fit within a specific administrative organizational structure is separate from the review processes described in this section.

Performance reviews are intended to facilitate continued professional development, to refocus professional efforts when appropriate, to assure that faculty members are meeting their obligations to the University, and to assist faculty in achieving tenure or promotion. These reviews must be conducted in such a way that they are consistent with academic freedom, due process, the tenure system, and other protected rights. It is also appropriate for performance reviews to document problems with behavior (see Section D.9 and also Section E.15).

A performance review must take into account the individual faculty member's effort distribution (see Section E.9.1) and the individual faculty member's workload (see Section E.9.2), and it must consider each area of responsibility. Furthermore, effort distributions should be established so as to best utilize the individual talents of all tenured faculty members, because having similar assignments for all faculty members in a department often is not the most effective use of resources. Faculty members should have the opportunity to work with the academic supervisor to adjust their professional responsibilities throughout their careers in a way that permits them to meet both institutional and individual goals.

For each performance review, a written report shall be prepared by the academic supervisor, and this report shall identify strengths and any deficiencies in the faculty member's performance. The faculty member shall be given a copy of this report, and he or she shall then have ten (10) working days to prepare a written response to this report if he or she desires to do so. The report and any written response on the part of the faculty member shall be forwarded to the dean and the provost, and a copy shall be maintained in the faculty member's official Personnel File.2

E.14.1 Annual Reviews (new section added June 22, 2006)

Annual reviews are typically for the purpose of evaluation for merit salary increases, for providing assistance to faculty members to improve their performance when needed, and for the early identification and correction of perceived weaknesses and deficiencies in performance. When appropriate, the academic supervisor shall work with the faculty member to develop specific actions to improve performance. Requirements for annual performance reviews are found in Section C.2.5.

E.14.2 Comprehensive Reviews of Tenure-Track Faculty (last revised May 3, 2011)

A comprehensive performance review of each tenure-track faculty member shall be conducted by the midpoint of his or her probationary period at Colorado State University. For example, the normal probationary period for an assistant professor is six (6) years, so the midpoint review would be conducted by the end of the third (3rd) year. However, if the assistant professor were given one (1) year of credit for prior service, then the probationary period at Colorado State University would be reduced to five (5) years, so the midpoint review would be conducted by the middle of the third (3rd) year.

The use of Family Medical Leave may lead to a delay of the Comprehensive Review (see Appendix 3 for details).

This midpoint review shall be conducted by a Review Committee consisting of all eligible faculty members of the department, or, if so specified in the department code, by a duly elected committee thereof. The department head, college dean, Provost, and President are not eligible to serve on the Review Committee. A faculty member holding an administrative appointment (as defined in Section K.12.a) of more than half time is not eligible to serve on the Review Committee, unless the department code specifies otherwise. The eligible faculty members are all other tenured department faculty members, except for those who choose to recuse themselves. Prior to conducting the review, the members of the Review Committee shall consult with the college dean to discuss the expectations for tenure at administrative levels higher than the department. One (1) of the following three (3) outcomes must be selected by a majority of the Review Committee:

a. The faculty member is making satisfactory progress toward tenure and promotion;

b. There are deficiencies, but, if they are corrected satisfactorily, the faculty member will be making satisfactorily progress toward tenure and promotion, or;

c. The faculty member has not met the stated requirements for the position in one (1) or more areas of responsibility, and the Review Committee recommends against further appointments.

Upon completion of the midpoint review, the Review Committee shall prepare a written report. A copy of this report shall be given to the faculty member, who shall then have ten (10) working days to prepare a written response to this report if he or she desires to do so. Both the report and the faculty memberís response shall be forwarded successively to the department head, the college dean, and the Provost (if one (1) of these persons is the faculty member under review, they will be skipped in the forwarding). Each of the included administrators may add written comments, and copies of these comments will be given to the faculty member, the Review Committee, a nd each of the administrators. A final comprehensive performance review is required prior to a recommendation concerning tenure (see Section E.10.4).

E.14.3 Periodic Comprehensive Reviews of Tenured Faculty (last revised June 22, 2006)

E.14.3.1 Phase I Comprehensive Performance Reviews (last revised June 22, 2006)

Phase I Comprehensive Performance Reviews of all tenured faculty members, except those on transitional appointments of fewer than five (5) years, shall be conducted at five (5) year intervals, beginning in the fifth (5th) year after the granting of tenure. If a tenured faculty member receives a promotion in rank, this alters the schedule for Phase I Reviews, with the next review being conducted in the fifth (5th) year after the promotion. If a tenured faculty member becomes a department head, this alters the schedule for Phase I Reviews as described in Section C.2.4.2.2.c. The schedule for Phase I Reviews may be shifted by up to two (2) years in order to accommodate a sabbatical leave, a major health issue, having too many faculty members scheduled for review in the same year, or some other compelling reason. However, such a shift requires the consent of both the faculty member and the academic supervisor. If two (2) annual reviews since the last Phase I Review have identified deficiencies of sufficient magnitude to warrant a Phase I Review, then the schedule for Phase I Reviews will be altered, with the next review occurring immediately.

A Phase I Review shall be based upon a summary of all annual reviews since the last comprehensive review or the acquisition of tenure or promotion; an updated curriculum vitae; a self-analysis by the faculty member, including both strengths and weaknesses; and a statement by the faculty member of professional goals and objectives. The academic supervisor shall provide an overall assessment of the faculty member's performance, and the faculty member shall be given a copy of this evaluation. The evaluation must be based upon the faculty member's performance in each area of responsibility (see Section E.12), and it must take into account the individual faculty member's effort distribution (see Section E.9.1) and the individual faculty member's workload (see Section E.9.2). As part of the overall assessment of the faculty member's performance, the academic supervisor must select one (1) of the following three (3) outcomes:

a. The faculty member's performance is satisfactory, and no further action is necessary;

b. The faculty member has deficiencies which the academic supervisor believes can be remedied without implementing a Phase II Comprehensive Performance Review; or;

c. The faculty member's performance is sufficiently unsatisfactory that a Phase II Comprehensive Performance Review shall be conducted.

Evaluations should identify strengths and any deficiencies in the faculty member's performance. If the second outcome is selected, the academic supervisor shall design a specific professional development plan to assist the faculty member in meeting expectations. The faculty member shall be given the opportunity to work with the academic supervisor on the design of this plan, and the faculty member shall be given a copy of this plan. As part of this plan, the faculty member's effort distribution and/or workload may be adjusted to focus on the faculty member's interests and demonstrated performance, as well as the needs of the academic unit. This plan shall include a time-frame for achieving the indicated goals, and it shall specify what resources, assistance, and opportunities will be made available to the faculty member in order to help him or her achieve these goals.

E.14.3.2 Phase II Comprehensive Performance Reviews (last revised June 21, 2011)

A Phase II Comprehensive Performance Review is initiated when the academic supervisor decides that a tenured faculty member's performance in a Phase I Review was not satisfactory, or it may be initiated as described in Section E.15.4.1. The initiation of a Phase II Review is not grievable by the faculty member. A Phase II Review Committee of at least three (3) tenured peers at the same or higher rank as the faculty member shall be selected to conduct a comprehensive performance review according to procedures specified in the code of the academic unit. These peers shall be selected from the same academic unit as the faculty member, unless that academic unit is a department that is too small, in which case, some of the peers may be from other departments within the same college. The academic supervisor shall not be a member of the Review Committee, nor shall any other administrator at the same administrative level as the academic supervisor or higher. The procedure for the selection of these peers shall be specified in the code of the academic unit. If the selection procedures are not specified in the code of the academic unit, then a committee of three (3) tenured peers shall be drawn by lot from the eligible faculty members in the same academic unit as the faculty member. If the academic unit is a small department with fewer than three (3) eligible faculty members, then additional tenured peers shall be drawn by lot from the eligible faculty members in the same college so as to increase the total number of committee members to three (3).

The code of each academic unit shall specify:

a. The procedure for the selection of a Phase II Review Committee;

b. Procedures for assuring impartiality and lack of bias among members of the Phase II Review Committee;

c. The criteria to be used by the Phase II Review Committee, including standards for evaluation which reflect the overall mission of the academic unit, and which permit sufficient flexibility to accommodate faculty members with differing responsibilities, effort distributions, and workloads;

d. The types of information to be submitted by the faculty member being reviewed; and

e. Any additional information to be used in evaluations, such as peer evaluations and student opinions of teaching.

As a result of a Phase II Comprehensive Performance Review, one (1) of the following three (3) outcomes shall be selected by a majority of the Phase II Review Committee:

a. The faculty member has met the reasonable expectations for faculty performance, as identified by his or her academic unit;

b. There are deficiencies, but they are not judged to be substantial and chronic or recurrent;

c. There are deficiencies that are substantial and chronic or recurrent.

Regardless of the outcome, the Review Committee shall prepare a written report and provide the faculty member with a copy. If the second outcome is selected, the written report may recommend that the academic supervisor design a specific professional development plan to assist the faculty member in meeting expectations. If the third outcome is selected, then the written report shall explain what deficiencies led to that selection.

For either of the first two (2) outcomes, no further action is necessary. For the third outcome, taking into account the faculty member's actions, prior actions and history, and whether a pattern exists, the committee's written report shall recommend whether or not disciplinary action should be pursued as described in Section E.15.

The faculty member shall then have ten (10) working days to prepare a written response to this report. For informational purposes, both the report and the faculty member's response shall be forwarded to the academic supervisor, and, at successive steps, to each higher supervisor, ending with the Provost.

If the Review Committee selects the third outcome and identifies deficiencies that need to be remedied, the academic supervisor shall design a specific professional development plan indicating how these deficiencies are to be remedied and setting time-lines for accomplishing each element of the plan. The faculty member shall be given the opportunity to work with the academic supervisor on the design of this plan. This development plan shall be submitted to the next higher administrative level for approval, and the faculty member shall be given a copy of the approved plan. This professional development plan shall be considered to be part of the faculty member's official Personnel File (see footnote #2 regarding official Personnel File).

E.14.4 Grievance (last revised August 12, 2009)

A faculty member shall have recourse to the provisions in Section K, except where otherwise prohibited (e.g., see Section E.15), once an adverse recommendation is made by an administrator in any performance review. The recommendations made by a Phase II Review Committee, whose membership are faculty, are not grievable , but any adverse recommendation or decision made by an administrator as a result of a Phase II Comprehensive Performance Review may be the basis for complaint under Section K. Neither constructive recommendations for improvement nor a professional development plan is grievable by the faculty member.

E.15 Disciplinary Action for Tenured Faculty(last revised August 12, 2009)

The procedures set forth in this section of the Manual govern disciplinary action for tenured faculty members, including revocation of tenure and termination of appointment. These actions may occur in connection with either behavior or performance of professional duties. Disciplinary action for a tenured faculty member (hereinafter termed the ďTenured Faculty MemberĒ) must follow the procedures outlined in this section of the Manual. These procedures shall be used in a manner that is consistent with the protection of academic freedom and confidentiality of all participants in such actions to the extent permitted by law. These procedures must not be used in an arbitrary, unreasonable, capricious, or discriminatory manner. Participants shall conduct themselves in accordance with the Code of Ethical Behavior (Section D.9).

Any member of the University community who knowingly makes false statements as a part of these proceedings shall be subject to disciplinary action appropriate to his or her position within the University.

The University Grievance Officer (UGO) shall be charged with assuring the integrity of the E.15 processes, including discussions to achieve a mutually agreeable resolution at any stage of the process, coordinating committee appointments and duties, and certifying that appropriate individuals participate in the process. At the discretion of the UGO, any of the time limits in Section E.15 may be extended for reasonable periods. Such extensions shall be reported immediately to all parties concerned.

Either of the following conditions may lead to formal disciplinary action:

a. Substantial neglect of assigned duties that prevents the Tenured Faculty Member from fulfilling his or her obligation to the University as stated in Section E.5.2 and impacts the department, college, or University; or actions that substantially impair the duties or responsibilities of others.

b. Behavior of the Tenured Faculty Member that (1) presents significant risk to the safety or security of members of the University community (e.g., violence) and/or (2) represents a serious violation of ethics (see Section D.9) and/or University policy (including, but not limited to, unlawful discrimination, research misconduct, harassment, retaliation, or misappropriation of funds).

There are three (3) avenues for discipline:

a. Disciplinary action involving the issuance of a Letter of Reprimand. The Tenured Faculty Member's Academic Supervisor (see Section E.14) may formally sanction the Tenured Faculty Member by placing a Letter of Reprimand (officially labeled as such) in his or her file and providing a copy to the Tenured Faculty Member. This action does not require a Hearing, but it is grievable by the Tenured Faculty Member (see Section K). However, documentation of discussions by the Academic Supervisor with a faculty member regarding perceived problems is not considered a Letter of Reprimand and is not grievable. The Letter of Reprimand shall be reviewed by the appropriate college dean (or by the Provost if the Academic Supervisor is a dean). If the dean or Provost determines that the Letter of Reprimand is not appropriate, he or she shall refer the matter to the appropriate avenue below for action.

b. Acceptance of disciplinary action by the Tenured Faculty Member. The Tenured Faculty Member may agree to accept formal disciplinary action without a Hearing. In this case, there must be a written document stating that disciplinary action is being taken and detailing the disciplinary action and any agreements made. This document must be signed by both the Tenured Faculty Member and the Academic Supervisor to indicate their mutual agreement regarding the disciplinary action. The agreement by the Tenured Faculty Member to accept this action does not imply admission of responsibility for the charge. This action requires the approval of the Provost. If the Provost, after consultation with the UGO, determines that the disciplinary action is not appropriate, he or she shall direct that the matter be referred to a formal Hearing. This document stating the disciplinary action, if rejected, may not be used in the resulting Hearing.

c. Disciplinary Action resulting from a formal Hearing. The University may impose disciplinary action against the Tenured Faculty Member. Possible disciplinary actions resulting from a formal Hearing include, but are not limited to, one or more of the following: letter of reprimand, reassignment of duties, mandatory education or training, monitoring, reduction in pay, suspension with or without pay, revocation of tenure, and termination of employment. Since faculty rank is an academic credential, reduction in rank should not be used as a disciplinary action unless the rank was obtained through fraudulent means. Some disciplinary actions may be for a specified period of time or until some condition is met, and some may be for an indefinite period of time, subject to later review. It is also possible that the Hearing will not result in any disciplinary action.

E.15.1 Initiating the Process

The disciplinary process shall be initiated when a written and signed statement (hereinafter termed the "Statement"), which specifies with reasonable particularity the alleged grounds for disciplinary action, is filed with the UGO by one or more of the following individuals: tenured faculty member(s) from the Tenured Faculty Memberís department, the Academic Supervisor, the college dean, or the Provost. Anyone may write the Statement, but one or more of the individuals listed in the previous sentence shall file it with the UGO in order to initiate the disciplinary process. Upon receipt of the Statement, the UGO shall notify the person(s) who filed the Statement that the disciplinary process has been initiated. Also, when the process has been completed, the UGO shall notify the person(s) who filed the Statement of the final outcome. In both cases, the person(s) who filed the Statement shall notify the person(s) who wrote the Statement.

E.15.2 Operational Procedures Prior to Completion of Formal Disciplinary Action

The UGO shall review the Statement to ensure that it alleges the existence of one or more of the conditions for disciplinary action listed in Section E.15.a or E.15.b. If the UGO finds that the Statement alleges one or more of these conditions, then, no later than three (3) working days following receipt of the Statement, the UGO shall provide a copy of the Statement to the Tenured Faculty Member and inform the Academic Supervisor and the dean of the college (or the Provost if the Academic Supervisor is a dean) of the commencement of the disciplinary process. The Statement is deemed to have been received when it is delivered personally to the Tenured Faculty Member or when it has been sent to the Tenured Faculty Member by certified mail and receipt has been confirmed.

Pending the outcome of this process, the Provost may assign the Tenured Faculty Member to other duties or take such other action as deemed appropriate, including suspension of duties, only if the Provost determines that the continued presence of the Tenured Faculty Member would threaten the safety or security of the Tenured Faculty Member or other persons or would substantially impair or disrupt the normal functioning of the University or one of its departments or divisions. Salary shall continue during the period of a suspension.

E.15.3 Discussions to Achieve a Resolution

No later than three (3) working days after confirming the adequacy of the Statement and notifying the appropriate parties, the UGO shall direct the Academic Supervisor, the college dean, and/or the Provost to enter into discussions with the Tenured Faculty Member in an effort to come to a resolution as to possible disciplinary action to be taken against the Tenured Faculty Member by mutual agreement.3 The agreement by the Tenured Faculty Member to accept such action does not imply admission of responsibility for the charge.

If an agreement is reached, it requires the approval of the Provost. If the Provost determines that the agreement is appropriate, and the agreement does not involve a demotion, reduction in pay, resignation, or other separation from the University, the Provost is authorized to approve the agreement. If the Provost determines that the agreement is appropriate, and the agreement involves a demotion, reduction in pay, resignation, or other separation from the University, the agreement must be approved by the President. If the Provost determines, after consultation with the UGO, that the agreement is not appropriate, he or she shall direct that the matter proceed to a formal Hearing. This agreement that states the disciplinary action, if rejected, may not be used in the resulting Hearing. If no agreement can be reached within five (5) working days of the UGOís directive to enter into discussions, the matter shall proceed to a formal Hearing.

If the decision is made to proceed to a Hearing, the Tenured Faculty Member shall be notified of the decision and given ten (10) working days to submit a written response (hereinafter termed the ďResponseĒ) to the allegations in the Statement.

E.15.4 Hearing Process

If the allegations in the Statement are limited to performance of professional duties (Section E.15.a), then the procedures specified in Section E.15.4.1 are to be followed. If the allegations in the Statement are limited to behavior (Section E.15.b), then the procedures specified in Section E.15.4.2 are to be followed. If the Statement contains allegations involving both performance of professional duties and behavior, then a single Hearing shall be conducted with the participation of both Hearing Committees specified in Sections E.15.4.1 and E.15.4.2.

As appropriate, individuals appointed to serve on Hearing Committees assembled under the provisions of Section E.15 may have their effort distributions adjusted, as negotiated with their immediate supervisor, to reflect their involvement in the disciplinary process, or they may receive release time from their academic obligations, or they may receive compensation if participation is required beyond their appointment periods, as determined by the Provost.

E.15.4.1 Performance of Professional Duties

For allegations involving performance of professional duties as described in Section E.15.a, the charges shall be considered in a Phase II Review (see Section E.14.3.2) before they are considered in a formal disciplinary Hearing. The Phase II Review Committee shall determine whether or not a formal Hearing is warranted. The Provost may, for convincing reasons stated in writing, reverse the decision of the Phase II Review Committee. If the decision is made to conduct a formal disciplinary Hearing regarding allegations involving performance of professional duties, the Tenured Faculty Memberís performance must be judged against the normal expectations within his or her department, taking into account his or her effort distribution (see Section E.9.1) and workload (see Section E.9.2). In this case, a Hearing Committee shall be formed that consists of the tenured faculty members of the Tenured Faculty Member's department, or a committee thereof, as specified by the Department Code. If the Department Code does not specify the makeup of the Hearing Committee, then it shall consist of six (6) tenured faculty members having no administrative duties (see Section K.12.a) drawn by lot by the college dean. In no case may this committee consist of fewer than six (6) members. If there are fewer than six (6) faculty members of the department eligible for the committee, additional members shall be drawn by lot by the college dean from a pool consisting of all tenured faculty members of the college having no administrative duties (see Section K.12.a). Neither the Tenured Faculty Member nor his or her Academic Supervisor may be a member of this committee. The members of this Hearing Committee shall then select from their membership a chairperson who shall be a voting chair of the committee. Members of a Hearing Committee who believe themselves sufficiently biased or interested that they cannot render an impartial judgment shall remove themselves from the case on their own initiative. Challenges for cause may be lodged with the UGO by the Tenured Faculty Member, the person(s) who submitted the Statement, or any member of the Hearing Committee. The UGO shall decide all challenges with such advice from legal counsel for the University or from the Colorado Department of Law (Office of the Attorney General) as the UGO deems necessary or advisable. The UGO may excuse a member of the Hearing Committee even though actual cause cannot be proven. The Tenured Faculty Member shall have a maximum of two (2) challenges without stated cause.

E.15.4.2 Behavior

If the Statement contains allegations involving behavior as described in Section E.15.b, then the UGO and the Chair of the Faculty Council shall jointly appoint a six (6) person Hearing Committee from the tenured faculty members of the Grievance Panel (see Section K.15). Neither the Tenured Faculty Member nor his or her Academic Supervisor may be part of this committee. The members of this Hearing Committee shall then select from their membership a chairperson who shall be a voting chair of the committee.

This Hearing Committee shall conduct a Preliminary Review in which they discuss the allegations in the Statement, evaluate the Tenured Faculty Memberís Response and determine whether or not a Hearing is warranted. During this process, the Hearing Committee may request additional statements from the Tenured Faculty Member, the person(s) filing the Statement, and/or other persons deemed to have relevant information. The Hearing Committee shall then retire for private discussion, which shall be confidential. These deliberations shall be followed by a vote to determine if sufficient information exists to warrant a Hearing. The decision to conduct a Hearing requires a majority vote. The Hearing Committee shall complete this Preliminary Review within five (5) working days after receiving the Statement and the Response. The Provost may, for convincing reasons stated in writing, reverse this decision by the Hearing Committee.

If the Statement involves allegations of sexual harassment, discrimination, retaliation, or research misconduct, the procedures appropriate to those allegations shall be followed before conducting a Hearing as described in Section E.15.4.3 (see Appendices 1, 4, and 5).

Members of a Hearing Committee who believe themselves sufficiently biased or interested that they cannot render an impartial judgment shall remove themselves from the case on their own initiative. Challenges for cause may be lodged with the UGO by the Tenured Faculty Member, the person(s) who submitted the Statement, or any member of the Hearing Committee. The UGO shall decide all challenges with such advice from legal counsel for the University or from the Colorado Department of Law (Office of the Attorney General) as the UGO deems necessary or advisable. The UGO may excuse a member of the Hearing Committee even though actual cause cannot be proven. The Tenured Faculty Member shall have a maximum of two (2) challenges without stated cause.

E.15.4.3 Hearing

a. The Hearing Committee(s) may hold organizational meetings which may include meetings with the Tenured Faculty Member, The Academic Supervisor, the person(s) filing the Statement, or other persons, as needed, to (1) clarify the issues, (2) effect stipulations of facts, (3) provide for the exchange of documentary or other information, (4) formulate a list of potential witnesses, and (5) achieve other pre-Hearing objectives as will make the Hearing fair, effective, and expeditious.

b. The Tenured Faculty Member shall be notified in writing of the Hearing and the specific allegations within five (5) working days following the formal decision to proceed with the Hearing. The Hearing shall commence no less than twenty (20) working days following receipt of the notice by the Tenured Faculty Member, unless the Tenured Faculty Member requests an earlier Hearing and the Hearing Committee concurs. A notice is deemed to have been received when it is delivered personally to a recipient or five (5) working days after it is deposited in campus mail for transmission to the recipient.

c. The Hearing and recommendations for action shall be limited to the allegations specified in the Statement. Any additional allegations emerging during the Hearing may be considered only after a new Statement regarding such allegations has been filed with the Hearing Committee(s) and the Tenured Faculty Member has been given an opportunity to submit a new written Response.

d. The Hearing shall be closed, and the proceedings shall remain confidential to the extent permitted by law. During the Hearing, the Tenured Faculty Member and the Hearing Committee(s) shall each be permitted to have a maximum of two (2) advisors present, consisting of academic advisors and/or legal counsel. These advisors may provide advice and assistance, but they may not actively participate in the proceedings, such as making objections or attempting to argue the case (however, if an advisor is called as a witness, he or she is allowed to participate in this capacity). Advisors for any participant shall be free to advise the participant fully throughout the proceeding, including assisting the participant in formulating any required written documentation and helping the participant prepare for any oral presentations.

e. A verbatim record of the Hearing shall be taken, and a printed copy shall be made available, without cost, to the Tenured Faculty Member at the Tenured Faculty Member's request. The University shall bear the cost.

f. The Tenured Faculty Member and Hearing Committee(s) shall be afforded an opportunity to obtain the names of all witnesses to be heard in the proceedings along with the nature of their proposed testimony and documentary or other information. The administration shall cooperate with the Tenured Faculty Member and the Hearing Committee(s) to the extent possible in securing witnesses and making documentary and other information available. The Hearing Committee(s) may grant adjournments of a Hearing as they deem appropriate (e.g., to enable either the Tenured Faculty Member or the Hearing Committee(s) to investigate new information.

g. The Tenured Faculty Member and the Hearing Committee(s) shall have the right to hear all testimony and question all witnesses. Furthermore, the Tenured Faculty Member must be afforded the opportunity to question the person(s) filing the Statement. If any person filing the Statement refuses to appear as a witness, then the Hearing shall conclude immediately, and no disciplinary action shall be taken as a result of this Hearing (although the same allegations may be considered again in a newly initiated Hearing). However, harassment of witnesses by the Tenured Faculty Member, as determined by a concurrence of at least two-thirds (2/3) of the members of the Hearing Committee(s), is prohibited. Also, if it is deemed appropriate by at least two-thirds (2/3) of the members of the Hearing Committee(s), the questioning of one (1) or more witnesses may occur with the parties being in different physical locations, but the questioning must occur in a real-time, spontaneous format (e.g., a video conference or a teleconference), unless at least two-thirds (2/3) of the members of the Hearing Committee concur that this is not feasible.

h. The person(s) filing the Statement shall not be present during the testimony of others, unless specifically invited by the Hearing Committee(s). Such an invitation must be agreed to by at least two-thirds (2/3) of the members of the Hearing Committee(s). Such an invitation does not include the right to question either the Tenured Faculty Member or any other witnesses, unless this right is included explicitly in the invitation. If such an invitation is made, the invited person shall be permitted to have a maximum of two (2) advisors present, consisting of academic advisors and/or legal counsel. These advisors may provide advice and assistance, but they may not actively participate in the proceedings (however, if an advisor is called as a witness, he or she is allowed to participate in this capacity).

i. The Hearing Committee is not bound by strict rules of legal evidence. Every possible effort shall be made to obtain the most reliable information available.

j. If one or more members of the Hearing Committee cannot complete the Hearing and reporting process, then this process shall continue without them. However, if fewer than five (5) members of the Hearing Committee are able to complete this process, then the process shall be terminated, a new Hearing Committee shall be formed, and a new Hearing shall be conducted.

E.15.5 Procedures Following Completion of the Hearing

After the completion of the Hearing, the Hearing Committee(s) shall retire for private discussion and review. These deliberations shall remain confidential to the extent permitted by law. If there are two (2) Hearing Committees, they shall have separate deliberations and make separate recommendations.

Each Hearing Committee shall evaluate the information presented to determine if the condition required for disciplinary action exists related to its particular charge (behavior or performance of professional duties). If the Hearing Committee determines that the condition does not exist, then it shall issue a report stating that finding. If the Hearing Committee determines that the condition does exist, then it shall issue a report that makes a recommendation for appropriate disciplinary action. In deciding upon appropriate disciplinary action, the Hearing Committee shall consider the totality of the circumstances, including the egregiousness of the Tenured Faculty Member's actions, the prior actions and history of the Tenured Faculty Member, and whether a pattern exists.

The written report of the Hearing Committee shall include a comprehensive and detailed summary of the relevant facts and the conclusions reached in assessing those facts. If any members of the Hearing Committee disagree with the Committee's recommendation, they shall jointly prepare a minority statement explaining their reasons for disagreement with the majority, and this shall be part of the Hearing Committee's report. The Hearing Committee shall issue its final report no later than ten (10) working days after the conclusion of the Hearing.

E.15.6 Recommendations for Disciplinary Action

If at least two-thirds (2/3) of the members of the Hearing Committee concur that disciplinary action is appropriate, a written report shall be prepared that states this conclusion, recommends specific sanctions, and specifies the reasons for this recommendation. The report must include a review of the information and an explanation of the grounds for the recommendation. The sanction recommended must be reasonably related to the seriousness of the offense and may take into account the totality of the circumstances.

A recommendation for revocation of tenure and/or termination of appointment requires the concurrence of at least two-thirds (2/3) of the members of the Hearing Committee.

If less than two-thirds (2/3) of the members of the Hearing Committee concur that disciplinary action is appropriate, a written report shall be prepared that recommends that no disciplinary action be taken.

E.15.7 Disposition of the Hearing Committee's Report

The Hearing Committee's written report, which may include a minority statement, shall be transmitted to the Tenured Faculty Member and his or her Academic Supervisor and, at successive steps, to the dean and the Provost.

The Tenured Faculty Member and the person(s) filing the Statement, shall have the right to object in writing to the recommendation of the Hearing Committee. Such an objection shall be limited to five (5) typed pages with normal font size, and it must be submitted to the Faculty Member's Academic Supervisor , no later than five (5) working days after receipt of the Hearing Committee's report. Any objections shall be attached to the recommendation of the Hearing Committee and considered together with this recommendation at each successive level in the administrative chain.

E.15.8 Administrative Action on the Hearing Committee Recommendations

After a recommendation is received from the Hearing Committee, the Academic Supervisor and the dean shall each review the Hearing Committeeís report and recommendation and make his or her own recommendation to the next administrative level. If two (2) separate Hearing Committees have made two separate recommendations, each recommendation is considered separately until the two recommendations reach the Provost. The Provost shall then combine the two separate recommendations and make a single recommendation to the President. If someone in the administrative chain fails to issue a recommendation within five (5) working days, the matter shall be forwarded to the next administrative level for review.

If the Provost must combine two separate recommendations into a single recommendation to the President, then the decision of the President is final. Otherwise, the decision of the Provost is final, unless the decision involves a demotion, reduction in pay, resignation, or other separation from the University. If the decision of the Provost involves a demotion, reduction in pay, resignation, or other separation from the University, then that decision shall be forwarded to the President as a recommendation, and the decision of the President is final.

An alternate recommendation or final decision that is either more or less severe than the recommendation received shall be issued at a higher administrative level only for compelling reasons that shall be stated in writing to the Tenured Faculty Member, the person(s) filing the Statement, the Hearing Committee, and all previous administrators in the administrative chain. In the case of an alternate recommendation, the Tenured Faculty Member, the person(s) filing the Statement, the Hearing Committee, and the previous administrators in the administrative chain shall be given five (5) working days from the date of notification of the alternate recommendation to object in writing to the administratorís reasons for making the alternate recommendation, and the alternate recommendation could be reversed at an even higher administrative level. If the Provost must combine two separate recommendations, his or her combined recommendation shall be communicated in writing to the Tenured Faculty Member, the person(s) filing the Statement, the Hearing Committee, and all previous administrators in the administrative chain, and it may be objected to the President in the same manner. Objections shall each be limited to five (5) typed pages with normal font size and shall be forwarded to each successive administrator along with the alternate recommendation and the rationale for it.

E.15.9 Written Records

All written records of E.15 documents and proceedings, including the Statement and Response; the verbatim record of the Hearing; supporting documents; committee reports and recommendations, including any minority statement(s); administrative reviews of committee recommendations; alternate recommendations; objections to any recommendations; and final decisions, shall be kept on file in the archives of the UGO for the duration of the employment of the Tenured Faculty Member, and these shall be considered to be part of the Tenured Faculty Member's official Personnel File (see footnote #2 regading offcial Personnel File).

E.15.10 Term of Continuation of Faculty Salary and Benefits Following Termination of Appointment

Employment, together with salary and benefits, shall terminate upon a final decision to terminate an appointment. However, employment may continue for a period not to exceed one (1) year if the President independently determines or concurs with a recommendation that employment be continued for that specified period to enable the Tenured Faculty Member to complete essential responsibilities.

E.15.11 Time Limit for Action by the Provost

The Provost must act on the final decision regarding disciplinary action within ten (10) working days of the reporting of that decision.

E.16 Financial Exigency

E.16.1 Definition of Financial Exigency and Conditions of Tenured Faculty Terminations

For purposes of this policy, a financial exigency is defined as a condition in which the anticipated financial resources of the University's educational and general budget available for allocation for faculty compensation are adjudged to be inadequate to maintain the level of faculty staffing or prevailing rates of compensation. Any involuntary termination or reduction in the salary of a tenured member of the faculty based upon inadequate financial resources shall require a University declaration of financial exigency which pertains to the University as a whole and is not limited to any academic subunit. The tenured faculty member whose appointment is to be terminated for reasons of financial exigency shall have the right to continued employment at least for 12 months from the end of the academic year in which notification of pending termination is received. The position of the tenured faculty member whose appointment is terminated shall not be filled by a replacement within a period of three (3) years, unless the released faculty member has been offered reinstatement and a reasonable time to respond to the offer.

E.16.2 Declaration of Financial Exigency

Any declaration of a condition of financial exigency shall be made by majority action of the Board. (Such a declaration is not subject to challenge by faculty members under the University mediation and grievance procedure.) The President of the University may recommend the declaration of a condition of financial exigency at any time after consultation with the Committee on Strategic and Financial Planning. When the President makes such a recommendation to the Board, the chairman or other member designated by each of these committees shall present the views of their respective committees to the Board.

E.16.3 Development of a Plan of Action

Upon the determination of the Board that a condition of financial exigency is present, the President of the University recognizing the primary responsibility of the faculty in matters of status and general educational policy shall in consultation with the Committee on Strategic and Financial Planning prepare a plan of action to meet the financial exigency. The plan of action should be designed to minimize the impact of the exigency upon the academic programs of the University and should give due regard to faculty judgment on the criteria to be used for choosing a response to the exigency. The President shall present the plan to the Board for its approval. The Chairperson, or designated representatives of the Committee on Strategic and Financial Planning, shall present the view of their respective committees on the plan being submitted to the Board.

E.16.4 Order of Terminations

When all reasonable means for coping with a financial exigency except the reduction of staff have been exhausted, terminations shall be made from among the faculty members who have not acquired tenure, except in extraordinary circumstances where a serious distortion of the academic program would otherwise result.

E.16.5 Responsibility of Committee on Strategic and Financial Planning

The Committee on Strategic and Financial Planning should monitor the ongoing financial status of the University and keep the Faculty Council informed of any conditions which are likely to result in a condition of financial exigency. The Committee should collect information about procedures used in other universities faced with financial exigencies and any other information that would aid in developing reasonable plans to deal with any emergent condition of financial exigency.

E.16.6 Right of Access of Individual Faculty Member to the Grievance and Mediation Procedure

An individual faculty member who feels aggrieved by the implementation of the Board's declaration of financial exigency has access to the grievance and mediation procedure.

E.17 Discontinuance of a Degree Granting Program or a Department of Instruction not Mandated by Financial Exigency

In the event that a degree granting program or department of instruction be discontinued by action of the Board in consultation with the Faculty Council, termination of appointments of tenured faculty members whose responsibilities relate primarily to the discontinued program or department may become necessary.

E.17.1 Procedure

Before the administration issues notice to a faculty member of its intention to terminate an appointment because of formal discontinuance of a degree granting program or department of instruction, the institution will make every effort to place the faculty member concerned in another suitable position within the institution. 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, the amount of which will be reasonably determined, after consultation with the relevant department and/or college, by the Board at the time of termination.

E.17.2 Appeal Procedure (last revised August 12, 2009)

Affected faculty members shall have the right to appeal the actions defined in E.17 and E.17.1, as outlined in Section K.3 Grievable Actions.


1 The term "majority" as used in this Manual shall be according to the definition provided in Robert's Rules of Order, that is, more than half of the votes case, ignoring blanks.

2 The term "personnel file" refers to information collected because of the employer-employee relationship, and it does not necessarily refer to a single physical file. In order for information to be part of the personnel file, there must be a reasonable expectation that such information will be kept private. Information in the personnel file is generally not made available for public inspection, but it is available to the individual and to his or her supervisors.

3 These discussions are intended as avenues of resolution which would be acceptable to both the Tenured Faculty Member and the administrator(s).


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