III. The Faculty

C. Regulations on Appointments, Tenure, and Academic Freedom²

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

1. Statement of Terms of Appointment

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

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

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

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

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

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

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

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

2. Appointments by Rank

a. Initial appointment to the rank of instructor carries with it no presumption that the faculty member will be later promoted, nor does reappointment as an instructor imply any subsequent appointment at a higher rank.

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

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

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

3. Probationary Appointments

a. Probationary appointments may be made for one year or for other stated periods and are subject to renewal.³

The total period of full-time teaching service at Colgate prior to the acquisition of continuous tenure shall not exceed seven years.

All years of teaching service at Colgate in excess of half-time will be counted toward the probationary period for tenure consideration, except as pertains to Category I faculty (see 5 below).

Persons joining the Colgate faculty who have had one to three years of previous full-time teaching experience at other comparable institutions will normally be credited with that service minus one year. Persons with more than three years of teaching experience will normally receive three years of credit toward the probationary period. However, at the time of hiring, a new faculty member may with the agreement of the Dean of the Faculty and the Department Chair choose to have more of his/her prior service counted. There may be circumstances where that prior service (or some portion of it) will not count towards the probationary period at Colgate e.g., teaching which occurs before attainment of the Ph.D.⁴; service at a community college, technical institute, or other institution very dissimilar to Colgate or where there has been a long break between the prior teaching experience and commencement of service at Colgate.

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

Scholarly leaves of absence of one or two terms including accelerated leaves, junior faculty leaves and research leaves without pay will normally count as part of the probationary period. When an individual is on scholarly leave for a total of three or more terms, a one-year extension of the probationary period will be granted.

An extension of the probationary period will be granted for other leaves including disability leaves and family and medical care leaves. The length of the postponement of tenure review will be based on the total number of terms the individual is on disability, pregnancy and/or parental leave: one or two terms will constitute grounds for a one-year postponement, while three terms or more will constitute grounds for a two-year postponement.

Although study group leadership will not, by itself, constitute grounds for an extension of the probationary period, first-time leadership of a study group may be counted as an additional term under either of the leave categories described above.

Postponements of tenure review will be automatically granted unless the faculty member requests in writing to the Dean of the Faculty that there be no delay and that request is submitted prior to March 1 of the year in which the tenure review was originally scheduled (i.e., the earlier year). Except in the most unusual cases, the postponement of tenure review as a result of any combination of leaves will not exceed two years.

b. The faculty member will be advised, at the time of initial appointment, of the substantive standards and procedures generally employed in decisions affecting renewal and tenure. The faculty member will be advised of the time when decisions affecting renewal or tenure are ordinarily made, and will be given the opportunity to submit relevant material.

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

d. Decisions on tenure will follow the procedures which have been traditional at Colgate and shall take place in the presence of the elected Faculty Committee on Promotion and Tenure. (The current procedures, which may be modified at the discretion of the President of the University and Dean of the Faculty, are described in Chapter III, Section E, PROCEDURES FOR DECISIONS ON REAPPOINTMENT, PROMOTION, AND TENURE.)

A faculty member who is not recommended for continuous tenure may, upon request to the Dean of the Faculty, be advised of the reasons which contributed to that decision. If the faculty member so requests, the reasons given in explanation will be confirmed in writing.

e. Decisions on renewal of probationary appointments before the tenure decision stage will follow the procedures which have been traditional at Colgate. (The current procedures, which may be modified at the discretion of the President of the University and the Dean of the Faculty, are described in Chapter III, Section E, PROCEDURES FOR DECISIONS ON REAPPOINTMENT, PROMOTION, AND TENURE.) In instances of non-renewal of a probationary appointment before the tenure decision stage, faculty members may request the Dean of the Faculty to state the reasons which contributed to that decision and may also request reconsideration of the decision.

f. If a faculty member on probationary or other non-tenured appointment alleges in writing that a decision not to reappoint him or her was based significantly on violations of (1) academic freedom or (2) governing policies on non-discrimination, especially with respect to race, sex, religion, or national origin, the allegation will be given preliminary consideration by the elected Faculty Committee on Promotion and Tenure, which will seek to settle the matter by informal methods. The allegation shall be accompanied by a statement that the faculty member agrees to the presentation, for the consideration of the appropriate faculty committees, of such reasons and evidence as the institution may allege in support of its decision. If the difficulty is unresolved in this stage, and if the Faculty Committee on Promotion and Tenure so recommends, the matter will be heard in the manner set forth in Regulation 8, except that the faculty member making the complaint is responsible for stating the grounds upon which he or she bases the allegations, and the burden of proof shall rest upon the faculty member. If the faculty member succeeds in establishing a prima facie case, it is incumbent upon those who made the decision not to reappoint the faculty member to come forward with evidence in support of their decision.

4. Continuous Tenure Appointments

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

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

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

5. Category I Appointments

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

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

b. Appointments shall be for one year during the first seven years of service. Notification of renewal of appointment for the first four years of service shall be made in March of the preceding year; for the fifth, sixth and seventh years of service, notification shall be made at least twelve months before the expiration of the appointment. All subsequent appointments shall be for three years. The first appointment to a three-year period shall be made at least twelve months in advance; ensuing three-year appointments shall be made in March of the second year of a three-year period.

c. Procedures and standards for promotion of Category I faculty will be the same as for full-time faculty. However, the Dean's Advisory Council may consider promotion of a Category I faculty member separately from the consideration of tenure. Tenure for Category I faculty may be granted at the discretion of the President, with the approval of the Board of Trustees.

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

e. Half-time services or less does not count as probationary period toward tenure, and these appointees should be notified at the time of their appointment. Because of the special nature of the Category I appointments, part-time teaching in excess of half-time does not count as probationary time for these faculty, even though the same teaching load time does count for full-time faculty on Probationary Appointments [see section III.C.3(a) above].

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

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

h. In May 1993 the Dean of the Faculty's office sent a letter to Category I faculty and their department chairs clarifying procedures for Category I reviews. The letter was reviewed and approved by the FAC, DAC, and P&T Committee. Relevant sections on Category I policy are excerpted below. The full letter is available from the Associate Dean of the Faculty.

The Dean and the Committee on Faculty Affairs would like to put in place opportunities for promotion review for current Category I faculty who have passed the first comprehensive review. The approach will be consistent with current Faculty Handbook policy. The opportunity for promotion is presented separately from the issue of tenure. The decision about whether and when to stand for promotion to Associate Professor should reflect both the personal and professional goals of the individual faculty member as well as a discussion with the faculty member's department.

The current Handbook states that another comprehensive review will occur in the twelfth year of service at Colgate (section III.E.6). For a non-promotion review, the recommendation of the FAC to the Dean is that the criteria for successful completion of the second comprehensive review be roughly equivalent to the first: first, the candidate must show progress in scholarly development, continue to develop as a teacher, and maintain involvement in university service; and, second, there must be institutional need for the position. Successful completion of the non-promotion comprehensive review in the twelfth year results in a renewed contract but no change in professional rank.

As stated in the Handbook, the procedures for promotion review of Category I are to be the same as for full-time faculty (Section III.C(c)). This implies the preparation of a dossier in a manner consistent with full-time faculty undergoing review for promotion to Associate Professor. These guidelines are described in documentation provided annually by the Dean's Office. A positive outcome would be a recommendation to the President and the Board of Trustees for promotion to Associate Professor. If there is a decision not to promote the faculty member to Associate Professor, then the faculty will continue his or her appointment at the rank of Assistant Professor, and undergo the schedule of comprehensive review outlined in the Handbook (See Section E.6. Third Year Comprehensive Review).

Remaining questions include the issue of tenure and whether the Associate Professor continues to undergo successive comprehensive reviews. With the advice and approval of the Dean of the Faculty, the department of the Category I faculty member may bring the faculty member forward for consideration for continuous lifetime tenure. For those who have been promoted to Associate Professor the decision will be based primarily on institutional need for the position. If successful, the issue of further comprehensive review is no longer applicable. In the absence of a tenure review, the Category I Associate Professor will not undergo further comprehensive reviews, but institutional need for the position will be assessed at six year intervals.

Finally, the issue of the schedule for Category I promotion review remains. The first step is for the candidate to meet with the Associate Dean of the Faculty to discuss informally these various issues. If the faculty member would like to move toward consideration for promotion, the second step will be a meeting between him/her and the department chair to discuss the timing of the review in relationship to the faculty member's teaching, and past and current programs of scholarship, as shown on his/her curriculum vita. The FAC and the Dean suggest that a former member of the Committee on Promotion and Tenure also participate in that meeting as a source of advice about appropriate timing for promotion to Associate. The candidate may also wish to consult with other senior members of the department to discuss the timing of promotion in relationship to his/her teaching and record of scholarship.

6. Other Academic Appointments

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

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

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

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

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

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

7. Termination of Appointment by the Faculty

A faculty member may terminate his or her appointment effective at the end of an academic year, provided that he or she gives notice in writing at the earliest possible opportunity, but not later than April 1, or 3 days after receiving notification of the terms of the appointment for the coming year, whichever date occurs later. The faculty member may properly request a waiver of this requirement of notice in case of hardship or in a situation where he or she would otherwise be denied substantial professional advancement or other opportunity.

8. Termination of Appointments by the Institution

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

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

c. Financial Exigency

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

9. Dismissal Procedures

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

10. Action by the Board of Trustees

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

11. Procedures for Imposition of Sanctions Other than Dismissal

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

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

12. Terminal Salary or Notice

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

13. Academic Freedom

All members of the faculty, whether tenured or not, are entitled to academic freedom as set forth in the 1940 statement of Principles on Academic Freedom and Tenure, formulated by the Association of American Colleges and the American Association of University Professors, and approved in 1948 by the Colgate University Board of Trustees (the 1940 Statement is reprinted Section B above).

14. Administrative Personnel

The foregoing regulations apply to administrative personnel who hold academic rank, but only in their capacity as faculty members. Where an administrator alleges that a consideration violative of academic freedom significantly contributed to a decision to either terminate or not reappoint him or her, he or she is entitled to the procedures set forth in Regulation 3(f).

15. Political Activities of Faculty Members

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

16. New York State Oath

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

17. Grievance Procedures [see also Section III.E.12.]

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

The University has also adopted formal grievance procedures in the foregoing Regulations; in particular, in Section 3, Probationary Appointments; Section 8, Termination of Appointments by the Institution; Section 9, Dismissal Procedures; and Section 11, Procedures for Imposition of Sanctions Other than Dismissal. In addition, the STATEMENT OF NON-DISCRIMINATORY POLICY (reprinted in Section III.H.1 below) designates certain employees to coordinate Colgate's efforts to comply with and carry out its responsibilities under Title IX of the Education Amendments of 1972, "including any investigation of any complaint alleging Colgate's non-compliance with Title IX or alleging any actions which would be prohibited by Title IX."

On December 2, 1985, the following procedures were adopted by the faculty for grievance related to third-year review, tenure, and promotion:

Grievance arising out of the Dean's recommendation to the President on third-year review, tenure, or promotion should be taken by the candidate directly to the President. If the President, after consulting with the Committee on Promotion and Tenure, determines that the appeal warrants it, (1) The President may take appropriate action at that time, or (2) The President may appoint, after consultation with the elected members of the Committee on Faculty Affairs, an investigating officer or group to look further into the grievant's concerns. The investigating officer or group will report to the President, who will then decide on the appropriate action.

If any faculty member feels that he or she has cause for grievance in any matter not covered by the procedures described above and in the foregoing Regulations, the faculty member may petition the elected faculty members of the Committee on Faculty Affairs. Such a petition should be directed to the Chair of the Committee.

The petition shall set forth in detail the nature of the grievance and shall state against whom the grievance is directed. It shall contain any factual or other data which the petitioner deems pertinent to his or her case. The Committee will have the right to decide whether it is the proper body to hear such a petition and whether or not the facts merit a detailed investigation. Submission of a petition will not automatically entail investigation or detailed consideration thereof. The Committee may seek to bring about a settlement of the issue satisfactory to the parties. If in the opinion of the Committee such a settlement is not possible or is not appropriate, the Committee will report its findings and recommendations to the petitioner and to the Dean of the Faculty. The petitioner will, upon request, be provided an opportunity to present his or her case directly to the Dean of the Faculty.