SECTION E. ACADEMIC FACULTY
E.1 Definition of Academic Faculty
E.2 Basic Types of Academic Faculty Appointments
E.3 Other Types of Academic Faculty Appointments
E.3.5.1 Eligibility for University Distinguished Professor Status and Title E.3.5.2 Selection of University Distinguished Professors E.3.5.3 Prerequisites of University Distinguished Professorships
E.3.6.1 Eligibility for University Distinguished Teaching Scholars Status and Title E.3.6.2 Selection of University Distinguished Teaching Scholars E.3.6.3 Prerequisites of University Distinguished Teaching Scholars
E.4 Selection of Academic Faculty
E.5 Responsibilities of the Academic Faculty
E.6 General Policies Relating to Appointment and Employment of Academic Faculty
E.7 Service of Department Heads
E.10 Academic Faculty Tenure Policy
E.10.4.1 Preliminary Period for Tenure
E.10.4.1.1 Service Credit E.10.4.1.2 Preliminary Investigation
E.10.5.1 Origin and Processing of Tenure Recommendations E.10.5.2 Notification of Presidential Action on Tenure Recommendations
E.10.7.1 Basis E.10.7.2 Initiating Procedures
E.10.7.2.1 Discussions to Achieve a Resolution E.10.7.2.2 Composition of the Preliminary Committee
E.10.7.3 Preliminary Investigation
E.10.7.3.1 Operational Procedures Prior to Formal Investigations E.10.7.3.2 Time Limitation in Conducting a Preliminary Investigation E.10.7.3.3 Recommendation and Further Action
E.10.7.4 Hearing E.10.7.5 Procedures Following Completion of the Hearing
E.10.7.5.1 Committee Recommendation That Tenure be Retained and No Disciplinary Action be Taken E.10.7.5.2 Committee Recommendation that Tenure be Retained and Disciplinary Action be Taken E.10.7.5.3 Committee Recommendation to Revoke Tenure E.10.7.5.4 Disposition of the Hearing Committee's Report and Appeal of the Recommendation E.10.7.5.5 Reversal or Modification of Hearing Committee Recommendations E.10.7.5.6 Written Records
E.10.7.6 Term of Continuation of Faculty Salary and Benefits Following Revocation of Tenure E.10.7.7 Time Limit for Action by the Provost
E.10.8.1 Definition of Financial Exigency and Conditions of Tenured Faculty Terminations E.10.8.2 Declaration of Financial Exigency E.10.8.3 Development of a Plan of Action E.10.8.4 Order of Terminations E.10.8.5 Responsibility of Committee on Strategic and Financial Planning E.10.8.6 Right of Access of Individual Faculty Member to the Grievance and Mediation Procedure
E.10.9.1 Procedure E.10.9.2 Appeal Procedure
E. 11 Performance Expectations for Tenure, Promotion, and Merit Salary Increases
E.12.3.1 University Service E.12.3.2 Professional Service E.12.3.3 Outreach
E.13 Advancement in Rank (Promotion)
E.14.3.1 Phase I Comprehensive Performance Reviews E.14.3.2 Phase II Comprehensive Performance Reviews
E.1 Definition of Academic Faculty (last revised June 4, 2008)
The academic 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 Basic Types of Academic Faculty Appointments (last revised June 4, 2008)
Six (6) basic types of appointments are used for members of the academic faculty. They are regular full-time, regular part-time, multi-year research, special, temporary, and transitional. Only individuals 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. See Section E.3 for details of other types of academic faculty appointments. The major characteristics of the various basic types of appointments are as follows.
E.2.1 Regular Full-Time Appointments(last revised May 2, 2007)
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. 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.2.2 Regular Part-Time Appointments (last revised June 20, 2007)
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. 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.2.3 Multi-Year Research Appointments (last revised June 4, 2008)
Multi-year research 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 distinguishing features of this type of appointments are as follows.
a. The positions eligible for multi-year research appointments must be for research performed for the University. The unit or department must document that the multi-year research appointment or extension is necessary for the hiring or retaining of the academic faculty member.
b. Faculty members on multiyear research appointments are not eligible for tenure (see Sections E.10.4.a and E.10.4.b).
c. These individuals 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 Section F and G of the Manual. They are not eligible for sabbatical leave.
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 (the process set forth in Section D.5.6 regarding the termination of "at will" appointments shall apply to special faculty appointments). 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. 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. Faculty members on special appointment are not eligible for tenure (see Section E.10.4).
c. The effort distributions of faculty members on special appointments are typically focused in one (1) area, such as teaching or research, rather than being distributed over the three (3) areas of teaching, research, and service.
d. These individuals 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 Section F and G of the Manual. They are not eligible for sabbatical leave.
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.2.6 Transitional Appointments (last revised February 4, 2004)
The University provides the opportunity of transitional appointment to its full-time 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. Academic administrators who also hold a tenured faculty appointment are eligible to request a transitional appointment within the context of their academic faculty roles. Administrative professionals and non-tenured academic 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 academic faculty members on regular full-time appointments who are currently eligible for retirement under the provisions of their University retirement plan have the opportunity of requesting transitional appointments (for further information, contact Human Resource Services).
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 will 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 the 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 transitional contract.
d. A transitional appointment shall begin no earlier than the first business day after the effective date of termination of full-time employment.
e. A faculty member with a tenured appointment at the termination of full-time employment shall be tenured on a part-time basis as a condition of the transitional appointment.
f. 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 contract. Such changes in salary and/or effort will not affect the percentage level of the appointment (e.g., part-time versus full-time) specified in the transitional appointment contract. The terms under which the appointment are undertaken or subsequently modified shall be negotiated to be mutually beneficial to both the faculty member and the University, and the terms of the contract shall be specified in writing, subject to the review and approval of the dean and the Provost. Final approval authority resides with the President.
g. Any uncompensated leave balances at the time of retirement will be reinstated and available for use during the transitional appointment. However, at the end of the transitional appointment, there will no compensation for unused leave balances.
h. Salary for a transitional appointment shall normally be for fifty (50) percent of the faculty member's normal appointment time and fifty (50) percent of a full workload. 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. 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.
j. A faculty member on a transitional appointment participates in the University's Defined Contribution Plan for Retirement ("DCP"), is eligible for all benefits, and receives the University's cafeteria benefits contribution (faculty benefits pay) on the same basis as a faculty member with a regular appointment within the DCP. See the Academic Faculty and Administrative Professional Benefits and Privileges Handbook regarding special procedures for benefit payments for a faculty member on a transitional appointment. 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.
k. 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.3 Other Types of Academic Faculty Appointments (last revised June 4, 2008)
Joint appointments are available to individuals holding any of the five (5) basic kinds of academic 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.3.2 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.3.3 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.3.4 Visiting Faculty Appointments
Individuals who are members of the academic 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 academic faculty. Visiting faculty appointees do not participate in a retirement program and are not eligible for faculty fringe benefits or the study privilege.
E.3.5.1 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.
The criterion for selection is outstanding scholarship.
E.3.5.3 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.3.6 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.3.6.1 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.3.6.2 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.3.6.3 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.3.7 Emeritus/Emerita Appointments (last revised June 20, 2007)
Academic faculty members who have completed ten years or more of regular full-time or regular part-time service as faculty of Colorado State University shall be eligible at the time of their retirement for an emeritus/emerita title equivalent to their highest professorial rank. Academic 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 both positions. The procedures and conditions applying to emeritus/emerita status are:
a. A member of the academic 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. If 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.
b. Privileges associated with this appointment are issuance of a permanent faculty identification card; listing on the faculty mailing lists; full library privileges; and, if possible, office or lab/office space and clerical support provided to each emeritus/emerita faculty member who continues to do scholarly work.
E.4 Selection of Academic 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 academic 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 academic 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 Academic Faculty (last revised June 22, 2006)
Selection of academic 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 22, 2006)
The appropriate dean will appoint a search committee of not fewer than five (5) nor more than seven (7) members whose responsibility shall be to conduct a search and screen candidates for the 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 it may be significant to convey. After consultation with and advice from the search committee and any other sources deemed expedient, the dean will either select the new 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 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 22, 2006)
The immediate supervisor for these positions shall appoint a search committee of not fewer than five (5)members when such a position is to be filled on other than an interim basis. Search committee appointees shall be members of the academic faculty and administrative professionals qualified by experience, interest, and responsibility to contribute to the performance of the search committee. Students may be included as members of the search committee.
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 filling the position. The position shall be announced in accordance with the University's Affirmative Action Plan.
The search committee shall conduct a careful canvass of suitable candidates both on and off the campus. The committee shall present its final report to the person appointing the search committee, listing two (2) or more acceptable candidates for consideration. Normally, at least one (1) candidate shall be from off the campus. The report is to include a summary of the credentials of each candidate.
The person appointing the search committee shall make the final selection from among the acceptable candidate, subject to approval, or reject all such candidates. In the event that all acceptable candidates are rejected, 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 Academic Faculty
The academic faculty passes all rules and regulations necessary to University government and discipline. The academic 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 June 4, 2008)
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.
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 Academic Faculty(last revised June 4, 2008)
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 academic 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 academic faculty members on special or temporary appointments shall be appointed "at will."
c. Academic faculty members on a multi-year research appointment shall be appointed for periods of one (1) to five (5) years.
1. A multi-year research appointment does not carry any guarantee or implication that the appointment will be renewed, even though the duties of the appointee may have been discharged satisfactorily.
2. Renewal of a multi-year research appointment 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 research appointments may be made at any time during or after the appointment and shall meet the same conditions required for initial appointment as specified in Section E.2.3.
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.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.
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.
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 December 15, 2005)
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 and/or outreach. 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 both effectiveness and impact, of the activity. Effort distribution is the allocation of effort into particular areas of responsibilities. Workload describes the professional responsibilities of the faculty. The responsibility 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 and/or outreach responsibilities in terms of the academic mission of the department.
E.9.1 Individual Faculty Effort Distribution
According to their effort distribution, faculty members teach as well as advise undergraduate and graduate students, maintain an active research and other creative activity agenda appropriate to their discipline and department, and perform service and/or outreach appropriate to their appointment (see Section E.12).
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. 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. Effort distributions 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 individual faculty.
Responsibilities for all tenure-track faculty members must be established to provide sufficient opportunities to demonstrate that they meet the performance expectations for tenure, promotion and merit salary increases specified in Section E.11.
E.9.2 Individual Faculty Workload (last revised December 15, 2005)
Individual workloads for each area of responsibility may vary over time in accordance with the needs and missions of the different academic departments. The overall workload of faculty members is intended to be consistent with the full-time (or part-time) nine (9) or twelve (12) month nature of employment at the university. Recognizing the limited number of hours in the work week and the diversity of faculty responsibilities and department mission, workload adjustments may be necessary. Factors on which workload shall 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, and service and outreach responsibilities, including Cooperative Extension appointments.
E.9.3 Department Effort Distribution (last revised December 15, 2005)
Departments provide distinctive contributions to the overall college and University missions, and department effort distributions should reflect these contributions, including departmental commitments to Cooperative Extension. It is the responsibility of the department head to coordinate the aggregate individual faculty member's efforts appropriate to the mission of the department.
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.
The University’s mission is to provide excellence in undergraduate and graduate/professional education, research and other creative activities, and service and outreach. 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 Academic Faculty Tenure Policy (last revised June 10, 1998)
Tenure is the practice of permanent or continuous appointments for academic 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.
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 May 2, 2007)
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 at the time of the conference.
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. After consulting with the departmental tenure committee, the department head shall as part of the annual evaluation inform faculty members in writing of progress toward tenure and of any perceived problems with their performance that might jeopardize their prospects for 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 academic 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 academic 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 academic 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 May 2, 2007)
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, childbirth, 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 and Diversity (OEOD), 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 OEOD 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 4, 2008)
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. 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, and the University Grievance Office must approve any recusals. 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 contract 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.10.7 Disciplinary Action for Tenured Faculty
Disciplinary or tenure revocation action shall be initiated as outlined in this section of the Manual. These procedures must be used in a manner that is consistent with the protection of academic freedom and confidentiality, to the extent permitted by law, of all participants in such actions and 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.
Any action involving possible disciplinary action or the revocation of tenure must rest on the following grounds:
a. A recommendation for disciplinary action or the revocation of tenure requires findings that the individual's level of performance has significantly declined over time and that his or her performance is significantly below the level of performance of those duties and responsibilities that are specified in the Manual as they are normally interpreted and applied in his or her department. The findings must include a determination that the unsatisfactory level of performance has been maintained over a substantial period of time. There also must be written evidence that the unsatisfactory performance has been discussed with the faculty member and that no significant improvement in performance has occurred; and/or
b. Substantial and willful neglect of properly assigned duties or personal conduct that substantially impairs the faculty member's fulfillment of properly assigned duties and responsibilities or impairs such duties or responsibilities of others.
E.10.7.2 Initiating Procedures
The procedure will be initiated by a written and signed statement (hereinafter termed the "Statement") from the person(s) making the original allegation(s) which specifies with reasonable particularity the alleged grounds for the revocation of tenure or disciplinary action. Any submission of this Statement must be made by a tenured faculty member or group of tenured faculty members of the department, the department head, the college dean, or the Provost and transmitted to the faculty member who is subject to these proceedings (hereinafter termed the "Faculty Member") and his or her immediate supervisor.2
E.10.7.2.1 Discussions to Achieve a Resolution
Before formal action is initiated, there shall be discussions between the Faculty Member and the appropriate administrative officers (department head, dean, and/or Provost, to the extent that they have no conflict of interest). The discussions must be completed within five (5) working days3 after the filing of the Statement. If discussions between the administrator/s and the Faculty Member result in a resolution of the matter that is acceptable to both the Faculty Member and the administrator/s and such resolution is confirmed by the University Grievance Officer (hereinafter referred to as "UGO"), no further action shall be taken and a notation of the resolution shall be placed in the Personnel File of the Faculty Member. However, if the five (5) day period for discussion expires without such a resolution, the Statement shall be transmitted to the Preliminary Committee formed under Section E.10.7.2.2.a.4
E.10.7.2.2 Composition of the Preliminary Committee (last revised June 17, 2003)
a. The immediate administrative supervisor of the Faculty Member shall convene a preliminary investigative committee (hereinafter termed the "Preliminary Committee") within five (5) working days after the completion of the discussions described in Section E.10.7.2.1. This Preliminary Committee shall be comprised of the tenured faculty members of the 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 Preliminary Committee, then it will consist of six (6) tenured faculty members drawn by lot. In no case may this committee consist of fewer than six (6) voting members. If there are fewer than six (6) members of the department eligible for the committee, additional members will be drawn by lot from a pool consisting of all tenured faculty members of the college having no administrative duties (see Section K.12.a). Neither the Faculty Member nor his or her immediate administrative supervisor may be part of this committee.
Members who believe themselves sufficiently biased or interested that they cannot render an impartial judgment will remove themselves from the case on their own initiative. Challenges for cause shall be conducted according to the procedures described in Section E.10.7.2.2.b. The Faculty Member will have a maximum of two (2) challenges without stated cause.
b. Challenges for cause may be lodged with the Preliminary Committee by any member of the Preliminary Committee, the person who submitted the Statement, or the Faculty Member. The UGO, 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, shall decide all challenges. The UGO may excuse a member of the Preliminary Committee even though actual cause cannot be proven.
c. One (1) tenured faculty member from outside the department, having no administrative duties shall also serve on the committee. This person shall be appointed by the dean or, in the case of conflict of interest or in the Libraries, by the Provost and shall be a non-voting chair of the committee.
E.10.7.3 Preliminary Investigation
The Preliminary Committee will meet to discuss the charges in the Statement, evaluate the responses of the Faculty Member and determine whether a basis exists to conduct a hearing. During these proceedings, the Preliminary Committee may request additional statements from the Faculty Member or the person(s) making the original allegations.
The preliminary investigation will be limited to the allegations specified in the Statement. Any additional allegations emerging during the preliminary investigation may be considered only after new Statements regarding such allegations have been submitted to the Committee and the Faculty Member has been given an opportunity to respond.5
E .10.7.3.1 Operational Procedures Prior to Formal Investigations
Pending a decision by the Preliminary Committee, the Provost may assign the Faculty Member to other duties. The Faculty Member may be suspended only if the President determines that continuance of the Faculty Member or other persons would substantially impair or disrupt normal functions of the University. Salary will continue during the period of the suspension.
E.10.7.3.2 Time Limitation in Conducting a Preliminary Investigation
a. The Faculty Member has ten (10) working days to respond to the charges specified in the Statement(s).
b. The Preliminary Committee shall complete its investigation within three (3) working days after the Faculty Member has responded or failed to respond within ten (10) working days to charges specified in the Statement(s).
c. If this time schedule causes an extreme hardship for either the Preliminary Committee or the Faculty Member, the UGO may, upon request, extend the time limit for a reasonable period.
E.10.7.3.3 Recommendation and Further Action (last revised June 17, 2003)
a. Upon the completion of the preliminary investigation, the Preliminary Committee shall retire for private discussion and review. These deliberations shall remain confidential and be followed by a vote. If a majority of the committee members eligible to vote determine that sufficient evidence exists to warrant a hearing, it shall recommend establishment of a hearing committee (hereinafter termed the "Hearing Committee") to the Provost. The Preliminary Committee's decision shall be conveyed immediately to the Faculty Member.
b. The Hearing Committee shall be comprised of the tenured faculty members of the 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 Preliminary Committee, then it will consist of six (6) tenured faculty members drawn by lot. In no case may this committee consist of fewer than six (6) voting members. If there are fewer than six (6) faculty members of the department eligible for the committee, additional members will be drawn by lot from a pool consisting of all tenured faculty members of the college having no administrative duties (see Section K.12.a). Neither the Faculty Member nor his or her immediate administrative supervisor may be part of this committee. The committee shall be chaired by the person described in Section E.10.7.2.2.c. Challenges to members of the committee will be conducted as described in Sections E.10.7.2.2.a. and b.
c. If the Preliminary Committee decides that a hearing is not warranted, the Provost may nevertheless, for convincing reasons stated in writing, direct a Hearing Committee to conduct a hearing of the charges.
d. Even if the Preliminary Committee decides that a hearing is warranted, the Provost may, for convincing reasons stated in writing, direct the Preliminary Committee to terminate further investigation and may decline to authorize the formation of a Hearing Committee.
a. The Hearing Committee may hold organizational meetings, in executive session, which may include meetings with the Faculty Member 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 such other appropriate pre hearing objectives as will make the hearing fair, effective, and expeditious.
b. The hearing and recommendations for action will be limited to the allegations specified in the Statement. Any additional allegations emerging during the hearing may be considered only after new Statements regarding such allegations have been filed with the Hearing Committee.
c. Service of notice of the hearing, with specific charges in writing, will be made within five (5) working days following the completion of the preliminary investigation. The hearing shall commence twenty (20) days following receipt of the notice by the Faculty Member unless the 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) days after it is deposited in campus mail for transmission to such person.
d. Unless a public hearing is requested by the Faculty Member, the hearing shall be closed and the proceedings shall remain confidential to the extent permitted by law. During the hearing the Faculty Member and the Hearing Committee will be permitted to have an academic advisor and/or legal counsel present. Advisors and legal counsels may provide advice, but they may not actively participate in the proceedings such as making objections and attempting to argue the case. Counsel for any participant in such hearing shall be free to advise his or her client fully throughout the proceeding, including assisting the client in formulating any required written documentation and helping the client prepare for any oral presentations.
e. A verbatim record of the hearing or hearings will be taken and a printed copy will be made available, without cost, to the Faculty Member at the Faculty Member's request. The University will bear the cost.
f. The Faculty Member and Hearing Committee will be afforded an opportunity to obtain the names of all witnesses to be heard in the proceedings and the nature of their proposed testimony and documentary or other evidence. The administration will cooperate with the Faculty Member and Hearing Committee in securing witnesses and making documentary and other evidence available. The Hearing Committee may grant adjournments of a hearing to enable either the Committee or the Faculty Member to investigate evidence as to which a valid claim of surprise is made.
g. The Faculty Member and the Hearing Committee shall have the right to hear all testimony and question all witnesses. Furthermore, the Faculty Member must be afforded the opportunity to question the person(s) filing the Statement. If such a person 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). If it is deemed appropriate by at least two-thirds (2/3) of the Committee members, 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).
h. The person(s) filing the Statement shall not be present during the testimony of others, unless specifically invited to do so by the Committee. Such an invitation must be agreed to by at least two-thirds (2/3) of the Committee members. Such an invitation does not include the right to question either the Faculty Member or any other witnesses, unless stated explicitly in the invitation. If such an invitation is made, the invited person shall be permitted to have an academic advisor and/or legal counsel present. Such advisors and counsels may provide advice and assistance, but they may not actively participate in the proceedings.
i. The Hearing Committee is not bound by strict rules of legal evidence. Every possible effort will be made to obtain the most reliable evidence available.
E.10.7.5 Procedures Following Completion of the Hearing
The Hearing Committee shall retire for private discussion and review. These deliberations shall remain confidential to the extent permitted by law and shall be followed by a vote. The recommendation shall include a comprehensive and detailed report summarizing the relevant facts and the conclusions reached in assessing those facts. If any members of the Hearing Committee disagree with the recommendation, they shall prepare a minority statement explaining their reasons for disagreement with the majority.
E.10.7.5.1 Committee Recommendation That Tenure be Retained and No Disciplinary Action be Taken
No disciplinary action will be recommended unless at least two-thirds (2/3) of the Hearing Committee concurs.
E.10.7.5.2 Committee Recommendation that Tenure be Retained and Disciplinary Action be Taken
If at least two-thirds (2/3) of the Hearing Committee fail to recommend revocation of tenure, but two-thirds (2/3) of the Hearing Committee decide that the conduct of a Faculty Member, although not constituting adequate cause for revocation of tenure, is sufficient to justify imposition of a sanction, such as suspension from duties with or without pay for a stated period, reduction in salary, reduction in rank, or a written reprimand, it may so recommend. The sanction recommended must be reasonably related to the seriousness of the offense and may take into account the record and service of the Faculty Member.
E.10.7.5.3 Committee Recommendation to Revoke Tenure
If at least two-thirds (2/3) of the Hearing Committee vote to recommend the revocation of tenure, a report shall be prepared recommending the revocation of tenure and specifying the reasons for the recommendation. The statement report must include a review of the evidence and an explanation of the grounds for the recommendation.
E.10.7.5.4 Disposition of the Hearing Committee's Report and Appeal of the Recommendation
The Hearing Committee's report will be transmitted to the Faculty Member and his or her immediate administrative supervisor and, at successive steps, to the dean and the Provost.
The Faculty Member shall have the right to appeal an adverse recommendation of the Hearing Committee to his or her immediate administrative supervisor. This appeal shall be submitted in writing, not to exceed five (5) typed pages, no later than five (5) working days after receipt of the Hearing Committee's report. That supervisor shall respond to the Faculty Member in writing within five (5) working days. Upon further appeals, the appeal and the response shall be considered at each succeeding level in the administrative chain.
E.10.7.5.5 Reversal or Modification of Hearing Committee Recommendations (last revised January 27, 2006)
The Faculty Member's immediate supervisor, the dean or the Provost may, for significantly convincing reasons, recommend action more or less severe than that recommended by the Hearing Committee. The convincing reasons for such a reversal of a recommendation at any administrative level must be stated in writing and be transmitted to the Faculty Member, the members of the Hearing Committee, and to the next person in the administrative chain (dean, Provost, or President). Upon reversal or modification of the recommendation, the Hearing Committee and/or Faculty Member may appeal the decision to the next level in the administrative chain (dean, Provost, or President). This appeal shall be submitted in writing, not to exceed five (5) working days after the reversal or modification of the recommendation. The appeal shall be considered at each succeeding level in the administrative chain. If the Hearing Committee or Faculty Member does not file an appeal within five (5) working days after the reversal, the recommendation shall be forwarded to the next level in the administrative chain. The Provost shall make a report of the case to the President with a recommendation of the action to be taken. The decision of the President is final.
E.10.7.5.6 Written Records (new section added June 17, 2003)
All written records of E.10.7 documents, including the Statement and Response; the verbatim record of the hearing(s); supporting documents; committee reports and recommendations; including any minority statement; administrative reviews of committee recommendations; appeals and results of appeals; and final actions, shall be kept on file in the archives of the UGO for the duration of the employment of the Faculty Member, and these shall be considered to be part of the Faculty Member's official Personnel File.
E.10.7.6 Term of Continuation of Faculty Salary and Benefits Following Revocation of Tenure
Employment, together with salary and benefits, shall terminate upon a final decision to revoke tenure. However, tenure and employment may continue for a period not to exceed one (1) year if the President independently determines or concurs in a recommendation of the Hearing Committee that the tenure contract be continued for that specified period to enable the Faculty Member to complete essential responsibilities.
The Provost may assign the Faculty Member to other duties during an investigation or review. The Faculty Member may be suspended only if the President determines that continuance of the Faculty Member in his or her regular position would threaten the safety or well being of the Faculty Member or other persons or would substantially impair or disrupt normal functions of the University. Salary will continue during the period of the suspension.
E.10.7.7 Time Limit for Action by the Provost (last revised January 27, 2006)
Pursuant to the recommendations of the Hearing Committee the Provost must act on revocation of tenure or disciplinary action recommendations within ten (10) working days of receiving the approval of the President.
E.10.8.1 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.10.8.2 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.
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.
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.10.8.5 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.10.8.6 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.10.9 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.
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.
Affected faculty members shall have the right to appeal of the actions defined in E.10.9 and E.10.9.1, as outlined in Section K.3 Forms of Grievable Actions.
E.11 Performance Expectations for Tenure, Promotion, and Merit Salary Increases (last revised January 27, 2006)
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 unit’s institutional mission, and the faculty member’s individual effort distribution in teaching and advising, research and other creative activity, and service and/or outreach.
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 will be the set of criteria in place at the beginning of the review period. All faculty will provide evidence of teaching and advising competence, sustained research and other creative activity, and service and/or outreach 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 Definitions and Indicators for Performance Expectations for Tenure, Promotion and Merit Salary Increase
E.12.1 Teaching and Advising (last revised December 15, 2005)
Teaching involves the systematic transmission of knowledge and skills and the creation of opportunities for learning; advising facilitates student academic and professional development. As part of its mission, the University is dedicated to undergraduate, graduate, professional, and continuing education locally, nationally, and internationally.
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; 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 activities such as service learning, conducting workshops, seminars, and consultations, and the preparation of educational materials for those purposes, should be considered as teaching. These outreach activities include teaching efforts of faculty members with Cooperative Extension appointments. Scholarly inquiry, essential for maintaining currency and competency in a given field, is also an aspect of teaching.
Excellent teachers are characterized by their command of subject matter; logical organization material and presentation of course material; forming interrelationship among fields of knowledge; energy and enthusiasm; availability to help students outside of class; arousing curiosity, creativity, and critical thought; engaging students in the learning process; providing clear grading criteria; responding respectfully to student questions and ideas.
Evaluation of teaching effectiveness should be designed to highlight strengths, identify deficiencies, and improve teaching. Evaluation of teaching effectiveness 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 surveys of teaching effectiveness, letters, electronic mail messages, and/or other forms of written comments from current and/or former students; and assessments from conference/workshop attendees. Various additional criteria for teaching effectiveness for faculty with Cooperative Extension appointments are found in the Statewide and Regional Specialist Roles and Responsibilities document found in the Colorado State University Cooperative Extension Employee Handbook.
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.
Effective advising of students, at both the undergraduate and graduate levels, is a vital part of the teaching-learning process. It 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 and advising effectiveness and shall evaluate teaching and advising as part of annual and periodic comprehensive reviews. These criteria, standards, and methods shall be incorporated into departmental codes.
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 and 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.
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, and grants obtained in open competition. 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; however, these may be considered evidence of other creative activity to the extent that new ideas and research are incorporated.
E.12.3 Service and/or Outreach
Service advances the interests of the institution and the professions. Outreach advances the capabilities of constituents outside the University and offers knowledge, skills, and advice to the local, state, national, and international community.
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.
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.
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.12.3.3 Outreach (last Revised December 15, 2005)
Outreach is public service essential to fulfilling the academic mission of the University to the external community. It involves education and information transfer activities for constituencies typically not traditional students. Outreach includes but is not limited to presentations, workshops or training sessions; professional consultation; service on local, state, national, or international commissions, advisory boards, corporate boards, or agencies; assisting in program development in grades K-12; participation in a professional capacity in programs sponsored by student, faculty, or community groups; participation in distance and continuing education instructional activities including those in an organizational or advisory capacity for University programs; technology transfer and non credit lectures to groups; and public relations activities that serve the University's interests such as appearances as a University representative before government bodies or citizen groups, and responding to inquiries from citizens. Service rendered in one’s professional capacity as a citizen of the community is commendable and can be evaluated as an appropriate faculty activity.
Outreach is evaluated through the amount, quality, and effectiveness of service to the external community. Various additional criteria for outreach for faculty members with Cooperative Extension appointments are found in the Statewide and Regional Specialist Roles and Responsibilities document found in the Colorado State University Cooperative Extension Handbook.
E.13 Advancement in Rank (Promotion) (last revised June 15, 2005)
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.
Faculty are normally eligible for consideration for promotion from associate professor to professor after five (5) years in rank. Advancement from associate professor to professor may occur 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 May 2, 2007)
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. 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.12.a) of more than half time 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, and the University Grievance Officer must approve any recusals. 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 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 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 promotion or opposition by an administrative officer below the President of 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 committee’s recommendation to deny promotion violated University policy or state and 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 Provost’s 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 June 22, 2006)
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 member’s 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 individual’s performance as an administrator is separate from the review processes described in this section.
Performance reviews are intended to assist faculty in achieving tenure or promotion, to facilitate continued professional development, to refocus professional efforts when appropriate, and to assure that faculty members are meeting their obligations to the University. These reviews must be conducted in such a way that they are consistent with the tenure system, academic freedom, due process, and other protected rights.
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. Tenured faculty members should have the opportunity to work with the department head 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, the faculty member shall be assigned a numerical performance rating by the Provost. In addition, a written report shall be prepared, 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. Both the report and the faculty member's response shall be maintained in the faculty member’s official Personnel File.
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 June 22, 2006)
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.
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 faculty members who are allowed by the University Grievance Officer 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 contract renewals.
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 member’s 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 22, 2006)
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. 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 four (4) outcomes must 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. The deficiencies are not judged to be substantial and chronic or recurrent;
c. There are substantial and chronic or recurrent deficiencies that must be remedied; or
d. Disciplinary action is recommended (see Section E.10.7).
For either of the first two (2) outcomes, no further action is necessary. For either of the last two (2) outcomes, further action is required. Regardless of the outcome, the Review Committee shall prepare a written report and provide the faculty member with a copy. If either of the last two (2) outcomes has been selected, then the written report shall explain what deficiencies led to that selection. 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 decides that deficiencies must 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.
A faculty member shall have recourse to the provisions in Section K, except where otherwise prohibited (e.g., see Section E.10.7), once an adverse recommendation is made in any performance review. 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. A professional development plan is not grievable by the faculty member.
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.
2Anyone can initiate an action by writing the statement, but the statement has to be submitted by the individual(s) listed in this paragraph.
3At the discretion of the University Grievance Officer, any of the time-limits in Section E.10.7 may be extended for reasonable periods. this extension shall be immediately reported to all persons concerned.
4 These discussions are intended as avenues of resolution which would be acceptable to both the Faculty Member and the administrator(s).
5Any new allegations arising during the preliminary investigation which are not a part of the Statement will have to be filed separately and considered as separate actions.