COLORADO SCHOOL OF MINES

FACULTY HANDBOOK

TWELFTH EDITION



Revised May 2017

EFFECTIVE: 2017-2018 ACADEMIC YEAR

COLORADO SCHOOL OF MINES FACULTY HANDBOOK
TWELFTH EDITION

TABLE OF CONTENTS


TABLE OF CONTENTS …………………………………………………………………………….…
TC-1

UPDATED PAGES LIST ……………………………………………………………………………..
UPL-1

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PART I: INTRODUCTORY MATERIAL

PREFACE

SECTION 1: FACULTY HANDBOOK ORGANIZATION ………………………..….………….
1-1

SECTION 2: CSM ORGANIZATIONAL STRUCTURE …………………………………………
2-1

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PART II: EMPLOYMENT POLICIES AND PROCEDURES

SECTION 3: HANDBOOK MODIFICATION PROCESS ……………………………….….….
3-1

Subsection 3.1: Role of The Handbook Committee ……………………….…….………..
3-1

Subsection 3.2: Role of The Faculty Senate ………………………………….….………….
3-1

Subsection 3.3: Role of The Administrative Faculty Council ……………………………
3-1

Subsection 3.4: Conciliation Committee ………………………………………….…….……
3-2

Paragraph 3.4.1: Status, Role and Membership …………………………………………………………
3-2

Paragraph 3.4.2: Operating Procedure ……………………………………………………………….…….
3-2

Subsection 3.5: Board Approval Process ……………………………………………….…...
3-2

Subsection 3.6: Reporting Policy Violations and Procedural Non-Compliance ……… 3-2

SECTION 4: APPOINTMENT ………………………………………………………………..……
4-1

Subsection 4.1: Faculty Ranks and Titles ……………………………….………………...…
4-1

Paragraph 4.1.1: Tenured and Tenure-Track Faculty Appointments ……………………….…..
4-1

Professor, Associate Professor, and Assistant Professor Ranks

Paragraph 4.1.2: Non-Tenure-Track Faculty Appointments ………..…..............................
4-1

Subparagraph A: Teaching Professor, Teaching Assistant Professor and Teaching


Professor Ranks

Subparagraph B: Professor of Practice

Subparagraph C: Adjunct Titles

Subparagraph D: Visiting Titles

Subparagraph E: Research Titles

Item 1: Visiting Scholar

Item 2: Postdoctoral Fellow

Item 3: Research Associate

Item 4: Research Support

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Item 5: Research Professor, Associate Research Professor and Assistant


Research Professor

Item 6: Affiliate Faculty

Item 7: External Joint Appointee

Subparagraph F: Librarian Title

Paragraph 4.1.3: Named Faculty Appointments ………………………………….……………………... 4-4

Subparagraph A: Distinguished Endowed Chair

Subparagraph B: Endowed Chair

Subparagraph C: Endowed Professorship

Subparagraph D: Developmental Professorship

Subparagraph E: Teacher-Scholar

Paragraph 4.1.4: Transitional Faculty Appointments …..…….…...……..…….…...……..…….…. 4-5

Paragraph 4.1.5: Emeritus Faculty Appointments ………………………….……………………………
4-5

Subparagraph A: Emeritus Title

Subparagraph B: University Emeritus Title

Paragraph 4.1.6: Administrative Faculty Appointments ……………………………….……….…...
4-6

Paragraph 4.1.7: Athletics Faculty Appointments ………………………………………….………....
4-6

Paragraph 4.1.8: Non-remuneration Appointments ………………………………………….……….... 4-6

Paragraph 4.1.9: Special Appointments and Titles ………………………………….………….…...…
4-6

Subparagraph A: Trustees Professorship

Subparagraph B: Honorary Titles

Subparagraph C: Mines Presidential Faculty Fel ow

Subparagraph D: University Librarian

Subsection 4.2: Graduate Faculty Status ……………………………………………………
4-7

Paragraph 4.2.1: Qualifications of Graduate Faculty ……………………………………………….……… 4-7

Paragraph 4.2.2: Criteria for Appointment to the Graduate Faculty ………………………………… 4-7

Paragraph 4.2.3: Procedures for Appointment to Graduate Faculty Status ………………………. 4-8

Subsection 4.3: Minimum Qualifications for Tenured/Tenure-Track Faculty
Ranks …………………………………………………………………………….
4-8

Paragraph 4.3.1: Assistant Professor ……………………………………………….……………….….….
4-8

Paragraph 4.3.2: Associate Professor …………………………………………………………….….….…
4-8

Paragraph 4.3.3: Professor …………………………………………………………………………….……...
4-8

Subsection 4.4: Minimum Qualifications for Non-Tenure Track Instructional




Faculty Titles …………...……...………………………………………………
4-9

Paragraph 4.4.1: Teaching Assistant Professor…………………………………………………………..
4-9

Paragraph 4.4.2: Teaching Associate Professor…………………………………………..……..…….…
4-9

Paragraph 4.4.3: Teaching Professor………………………………………….………………….………..…
4-9

Paragraph 4.4.4: Professor of Practice........................................................................... 4-9

Paragraph 4.4.5: Adjunct Faculty …………………………………..……………………………………….…
4-9

Subsection 4.5: Minimum Qualifications for Research Faculty Ranks ………...……... 4-9

Paragraph 4.5.1: Research Associate …………………………………………………………………….….
4-9

Paragraph 4.5.2: Research Assistant Professor ………………………………………………………….
4-10

Paragraph 4.5.3: Research Associate Professor …………………………………………………………
4-10

Paragraph 4.5.4: Research Professor ………………………………………………………………...…….
4-10

Paragraph 4.5.5: Research Support ………………………………………………………………...…….
4-10

Paragraph 4.5.6: Affiliate Faculty……………………………………………………………………………….
4-10

Paragraph 4.5.7: External Joint Appointment………………………………………………………………
4-10

Subsection 4.6: Minimum Qualifications for Library Faculty Ranks …………………… 4-10

Paragraph 4.6.1: Assistant Librarian …………………………………………………….…………………… 4-10

Paragraph 4.6.2: Associate Librarian ………………………………………………………………….…….. 4-10

Paragraph 4.6.3: Librarian ……………………………………………………………………………..…….…
4-11

TC-2


Subsection 4.7: Minimum Qualifications for Administrative Faculty ………..….…….
4-11

Subsection 4.8: Faculty Appointment Process …………………..………….……………...
4-11

Paragraph 4.8.1: General Outline of Faculty Appointment Process …………………………..….
4-11

Subparagraph A: Tenured Faculty, Tenure-Track Faculty, and Library Faculty

Subparagraph B: Professor of Practice

Subparagraph C: Adjunct Faculty and Visiting Faculty

Subparagraph D: Research Titles

Subparagraph E: Instructional Faculty

Subparagraph F: Administrative Faculty

Subparagraph G: Athletics Faculty

Subparagraph H: Temporary Faculty

Paragraph 4.8.2: Locus of Appointment …………………………………………………………..…….…
4-16

Paragraph 4.8.3: Joint Appointments ………………………………………………………………….…….
4-16

Paragraph 4.8.4: Change of Locus of Appointment ……………………………………………………..
4-16

Subsection 4.9: Probationary Appointments …………………………………..……..…….. 4-17

Subsection 4.10: Faculty Employment Contract and Offer Letter Process..…..….……… 4-18

Paragraph 4.10.1: Employment Contract Form List …………………………………..……..…….….. 4-18


Subparagraph A: Faculty Employment Contracts

Subparagraph B: PERA Retiree Employment Contracts

Subparagraph C: Additional Appointment Addenda

Subparagraph D: Extra Duties Contracts

Paragraph 4.10.2: General Employment Procedure ……..…….…...……..…….…...……..….…...
4-18

Paragraph 4.10.3: Employment Contract Period or Term of Appointment ……..…….…...……. 4-18


Subparagraph A: Tenured and Tenure-Track Faculty


Subparagraph B: Non-Tenure-Track Faculty and Research Faculty


Subparagraph C: Administrative Faculty

SECTION 5: RIGHTS, PRIVILEGES AND BENEFITS ………………………………….…….. 5-1

Subsection 5.1: Academic Freedom ………………………………………………………….… 5-1

Subsection 5.2: Eligibility for Benefits ……………………………………………………….… 5-1

Subsection 5.3: Enrollment in CSM Courses …………………………………………….…… 5-1

Paragraph 5.3.1: Degree Candidates …………………………………………………………………..……. 5-1

Paragraph 5.3.2: Tuition-Free Courses for Credit …………………………………….………...………. 5-1

Paragraph 5.3.3: Tuition-Free Courses for No Credit …………………………………………..……... 5-2

Subsection 5.4: Leave Benefits …………………………………………………………….…..
5-2

Paragraph 5.4.1: Sabbatical Leave ………………………………………………………………….…….…
5-2

Paragraph 5.4.2: Unpaid Leave …………………………………………………………….………………...
5-2

Paragraph 5.4.3: Annual Leave ………………………………………………………………………..….….
5-2

Paragraph 5.4.4: Sick Leave ……………………………………………………………………..……….…..
5-3

Paragraph 5.4.5: Family Medical Leave …………………………………………………….…….……....
5-4

Paragraph 5.4.6: Holiday Leave …………………………………………………………………….….….…
5-4

Paragraph 5.4.7: Administrative Leave …………………………………………………………..….…….
5-4

Paragraph 5.4.8: Funeral Leave ………………………………………….…………………………………..
5-4

Paragraph 5.4.9: Jury or Court Leave ………………………………………….………………….…...…
5-4

Paragraph 5.4.10: Military Leave …………………………………………………………………….……...
5-5

Paragraph 5.4.11: Injury Leave …………………………………………………………..………….……...
5-5

Paragraph 5.4.12: Medical Disability Leave ………………………………………………..…….……...
5-5

Paragraph 5.4.13: Parental Leave ……………………………………………………..…………………...
5-5

TC-3



Subparagraph A: Paid Leave Following the Birth or Adoption of a Child


Subparagraph B: Unpaid Leave Fol owing the Birth or Adoption of a Child


Subparagraph C: Unpaid Leave for Temporary Faculty

Subsection 5.5: Insurance Benefits ……………………………………………………………
5-7

Paragraph 5.5.1: Health and Disability Insurance ………………………….….……………………….
5-7

Paragraph 5.5.2: Dental Insurance …………………………………………………………………….…….
5-7

Paragraph 5.5.3: Vision Insurance ………………………………..………………………………………….
5-8

Paragraph 5.5.4: Life Insurance ……………………………………………………………………………….
5-8

Paragraph 5.5.5: Travel-Accident Insurance ………………………….…………………………….……. 5-8

Subsection 5.6: Mandated Benefits …………………….………………………………….….. 5-8

Paragraph 5.6.1: Workers' Compensation Insurance …………………………………………….……
5-8

Paragraph 5.6.2: Comprehensive Liability Insurance ………………………………….……………...
5-8

Paragraph 5.6.3: PERA Membership ………………………………………………………….……………... 5-8

Paragraph 5.6.4: Unemployment Insurance ……………………………………………….……………... 5-8

Paragraph 5.6.5: Medicare ………………………………….…………………………………………………... 5-8

Subsection 5.7:
Payroll Office Requirements and Information ……………………… 5-9

Paragraph 5.7.1: General Payrol Procedures ……………………………………………………….……
5-9

Paragraph 5.7.2: Proof of Employment Eligibility …………………………………………….…………
5-9

SECTION 6: ETHICS, RESPONSIBILITIES, CONFLICTS AND EXTERNAL ACTIVITIES 6-1

Subsection 6.1: Faculty Responsibilities ………………………………………………….....
6-1

Paragraph 6.1.1: Distribution of Effort ………………………………………………………………..…….
6-1

Paragraph 6.1.2: Teaching Assignment Guidelines …………………………………………………….. 6-1

Paragraph 6.1.3: Specific Faculty Responsibilities …………………………………………………....… 6-2


Subparagraph A: Teaching


Subparagraph B: Scholarship/Research


Subparagraph C: Service


Subparagraph D: Miscel aneous

Paragraph 6.1.4: Faculty Travel ………………………………………………………….……………………. 6-3

Paragraph 6.1.5: Summer Services ……………………………………………………………………….….. 6-3

Subsection 6.2: Faculty Ethical Obligations and Standards ……………………………… 6-3

Paragraph 6.2.1: Oath or Affirmation of Al egiance …………………………………………………….. 6-3

Paragraph 6.2.2: Academic Fraud ………………………………………………………………………...….. 6-4

Paragraph 6.2.3: Ethical Standards and Obligations ……………………………………………………. 6-4

Subparagraph A: Ethical Standards for Colorado State Government Employees

Subparagraph B: Unauthorized Use of CSM's Name

Subparagraph C: Personal Relationships

Subparagraph D: Nepotism

Paragraph 6.2.4: Workplace Standards of Conduct ………………………….………………….……..
6-5

Subparagraph A: Behavioral Standards for Colorado State Government Employees

Subparagraph B: Sexual Harassment

Subparagraph C: Workplace Violence

Subsection 6.3: Conflict Disclosure …………………………………………………………….. 6-6

Paragraph 6.3.1: General Policy Statement …………………………………………………………….…… 6-6

Paragraph 6.3.2: Definitions ………………………………………………………………..……….…….……. 6-6

Subparagraph A: Conflict of Interest

Subparagraph B: Conflict of Commitment

Paragraph 6.3.3: General Guidelines ………………………………………………………………..……….. 6-7

Subparagraph A: Actual Conflicts of Interest

Subparagraph B: Apparent or Potential Conflicts

TC-4


Subparagraph C: Activities General y Not Deemed Conflicts

Subparagraph D: Special Considerations in the Context of Licensing and Equity Ownership

Paragraph 6.3.4: Conflict of Interest Disclosure Requirements and Procedure ………………… 6-10

Paragraph 6.3.5: Conflict of Commitment Disclosure Requirements and Procedure ………….. 6-10

Paragraph 6.3.6: Safeguards and Sanctions …………………………………………………………………. 6-12



Subsection 6.4: Performance of External Work and Professional Activities ………….. 6-12

Paragraph 6.4.1: Categories of External Work and Activities Subject to this Policy…………….. 6-12

Subparagraph A: Professional Consulting

Subparagraph B: External Employment and Other Paid Services

Subparagraph C: Non-Remunerative External Commitments

Subparagraph D: Extra CSM Services for Additional Remuneration

Paragraph 6.4.2 General Requirements and Guidelines for Approval of Additional Work …… 6-13

Subparagraph A: General Requirements

Subparagraph B: Conflict Disclosure

Paragraph 6.4.3 Procedure for Obtaining Approval of Additional Work …………………………….. 6-14

Subparagraph A: Approval for Consulting and Other External Commitments

Subparagraph B: Extra CSM Services for Additional Remuneration

SECTION 7: PERFORMANCE AND EVALUATION ……………………..…………………….. 7-1

Subsection 7.1: Performance Evaluations …………………………………………….………. 7-1

Paragraph 7.1.1: General Outline of the Evaluation Process for Academic Faculty ……………. 7-1

Subparagraph A: Goal Setting

Subparagraph B: Evaluation

Paragraph 7.1.2: Effect of Extended Leave on Evaluation Goals …………….………..………...... 7-2
Subsection 7.2: Professional Growth and Development ……………………………..…… 7-2

Paragraph 7.2.1: Professional Growth Plans for Newly Appointed Faculty ………..………….…. 7-3

Subparagraph A: Categories of Available Support

Paragraph 7.2.2: Professional Development Plans for Tenured Faculty ……………..………...
7-3

Subparagraph A: Categories of Available Support
Subsection 7.3 Performance Improvement Plans …………………………..…………...
7-3

Paragraph 7.3.1: Performance Improvement Plans for Tenured and Tenure-Track Faculty … 7-3

Subparagraph A: Categories of Institutional Support Available

Subparagraph B: Time Limitations

Subparagraph C: Procedure for Implementation of Plan

Subparagraph D: Sanctions for Failure to Fulfil Plan Requirements

Paragraph 7.3.2: Performance Improvement Plans for Exempt, Non-Tenure-Track Faculty … 7-4

Subparagraph A: Availability of Institutional Support

Subparagraph B: Time Limitations

Subparagraph C: Procedure for Implementation of Plan

Subparagraph D: Sanctions for Failure to Fulfil Plan Requirements

SECTION 8: PROMOTION AND TENURE ……………………………..…….………………..
8-1

Subsection 8.1: Tenured and Tenure-Track Faculty ……………………………………..
8-1

Paragraph 8.1.1: Time Limitations ……………………………………………………….…………………
8-1

Subparagraph A: Tenure-Track Assistant Professors

Subparagraph B: Tenure-Track Associate and Ful Professors

Subparagraph C: Request for Extension of Probationary Contract Period

Paragraph 8.1.2: Criteria for Tenure …………………………………………………………………..…..
8-2

Paragraph 8.1.3: Departmental Promotion and Tenure Committees ………………….…….….
8-3

Paragraph 8.1.4: Preliminary Tenure Review …………………………………..…………….….….....
8-3

Paragraph 8.1.5: Tenure Application Process ………………………………………………….….…....
8-4

Paragraph 8.1.6: Tenure Review Process ……………………………………………….……….…..…..
8-4

Subparagraph A: Tenure-Track Faculty

TC-5


Subparagraph B: Tenure Review at the Time of Employment

Paragraph 8.1.7: Criteria for Promotion …………………………………..…………….….….............. 8-6

Paragraph 8.1.8: Promotion Application Process ………………………………………………….….…. 8-6

Paragraph 8.1.9: Promotion Review Process ……………………………………………….……….……. 8-6

Subsection 8.2: Teaching Faculty ………………………………………………………………. 8-6

Paragraph 8.2.1: Criteria for Promotion ……………………………………………………….……….…… 8-6

Paragraph 8.2.2: Departmental Teaching Faculty Promotion Committee………………………… 8-7

Paragraph 8.2.3: Promotion Application Process ……………………..…………….………..…….…… 8-8

Paragraph 8.2.4: Promotion Review Process ……………………..…………….………..…….………… 8-8

Subsection 8.3: Research Faculty ………………………………………………………………. 8-9

Paragraph 8.3.1: Criteria for Promotion ……………………………………………………….……….…… 8-9

Paragraph 8.3.2: Departmental Research Faculty Promotion Committee………………………… 8-9

Paragraph 8.3.3: Promotion Application Process ……………………..…………….………..…….…… 8-9

Paragraph 8.3.4: Promotion Review Process ……………………..…………….………..…….………… 8-10

Subsection 8.4: Library Faculty …………………………………………………………………. 8-10

Paragraph 8.4.1: Criteria for Promotion ……………………………………………………….……….…… 8-10

Paragraph 8.4.2: Library Promotion Committee …………………………………………………………… 8-11

Paragraph 8.4.3: Promotion Application Process ……………………..…………….………..…….…… 8-11

Paragraph 8.4.4: Promotion Review Process ……………………..…………….………..…….………… 8-11

Subsection 8.5: Promotion and Tenure Decision Appeal Procedure ………………….
8-12

Paragraph 8.5.1: Persons Eligible to File an Appeal …………………………………………….…….
8-12

Paragraph 8.5.2: Notice of Appeal ……………………………………………………………………..……
8-12

Paragraph 8.5.3: Procedure for Initiation of Appeals ……………………………….…………….....
8-13

Subparagraph A: Place to File Notice of Appeal

Subparagraph B: Time Limitations

Subparagraph C: Extension of Time Limitations

Subparagraph D: Fulfil ment of Notice of Appeal Requirement

Paragraph 8.5.4: Appeal Standards ………………………………………………………………….……..... 8-13

Subparagraph A: Reviewable Issues

Item 1: Tenure Decision Appeals

Item 2: Promotion Decision Appeals

Subparagraph B: Burden of Proof


Subparagraph C: Standard of Proof

Paragraph 8.5.5:
Initial Hearing Panel Selection Criteria …………………………….…..…….. 8-15

Subparagraph A: Hearing Panel Selection Process

Subparagraph B: Selection of Chief Panel Member

Subparagraph C: Authority of Chief Panel Member

Subparagraph D: Role of Alternate Hearing Panel Member

Paragraph 8.5.6:
Legal Representation ………………………………………………………….….… 8-16


Subparagraph A: Role of Legal Counsel

Subparagraph B: Peer Counsel

Subparagraph C: Legal Advice for the Panel

Paragraph 8.5.7: Pre-Hearing Procedures ………………………………………………………….………. 8-16

Subparagraph A: Acknowledgement of Notice of Appeal

Subparagraph B: Setting of Hearing Date

Subparagraph C: Pre-Hearing Discovery

Subparagraph D: List of Hearing Issues

Paragraph 8.5.8: Position Statements …………………….…………………………………….…….…….. 8-17

Subparagraph A: Contents of Position Statements

Item 1: Position Summary

Item 2: List of Witnesses

Item 3: List of Exhibits

TC-6


Item 4: Photocopies of Exhibits

Subparagraph B: Deadlines for Position Statements

Subparagraph C: Limitations Imposed by Position Statements

Subparagraph D: Amendments to Position Statements

Paragraph 8.5.9: Hearing Procedures ………………………….…………………………….….…………… 8-18

Subparagraph A: Presumption of Open Hearing

Subparagraph B: Sequestration of Witnesses

Subparagraph C: Order of Presentation

Subparagraph D: Presentation Procedure

Subparagraph E: Witness Examination Procedure

Subparagraph F: Inapplicability of Strict Evidentiary Rules

Paragraph 8.5.10: Post-Hearing Procedures ………………………………………….……….…………… 8-19

Subparagraph A: Recommendation of the Hearing Panel

Subparagraph B: Contents of Recommendation

Item 1: Statement Regarding Burden of Proof

Item 2: Findings of Fact

Item 3: Conclusions

Item 4: Recommended Course of Action

Subparagraph C: Issuance of Recommendation

Subparagraph D: Issuance of Presidential Decision

Subparagraph E: Presidential Unavailability

Subparagraph F: Appeal of Final Decision of CSM

SECTION 9: TERMINATION OF EMPLOYMENT ……………..………………….……………
9-1

Subsection 9.1: Non-Renewal of Appointment ……………………………….……………
9-1

Paragraph 9.1.1: Tenure-Track Faculty ……………….…………………………………………………..
9-1

Subparagraph A: Time Limitations

Paragraph 9.1.2: Tenured Faculty ………………………………………………………………..………….
9-1

Subparagraph A: Definitions

Item 1: Financial Exigency


Item 2: Academic Program Termination

Subparagraph B:Implementation Procedures

Item 1: Financial Exigency

Item 2: Academic Program Termination

Subparagraph C: Time Limitations

Paragraph 9.1.3: Tenured Faculty Non-Renewal Options ………………………..………………….
9-3

Subparagraph A: Departmental Transfer



Item 1: Retraining Support Plan

Item 2: Trial Period

Item 3: Departmental Review

Subparagraph B: Financial Incentives for Resignation or Early Retirement

Subparagraph C: Temporary Leave

Paragraph 9.1.4: Reemployment Assistance …………………………….……………………………….
9-4

Subsection 9.2: Termination of Exempt, Non-Tenure-Track, Faculty Members……….. 9-4

Paragraph 9.2.1: Teaching Faculty ……………………………………………..……………….………….
9-4

Paragraph 9.2.2: Other Non-Tenure-Track Faculty Members ……………………………………...
9-5

Subsection 9.3: Termination for Job Abandonment ………………..………..……….…..
9-5

Subsection 9.4: Tenure Revocation ……………………………………………………….…..
9-5

Paragraph 9.4.1: Definition of "Cause" ……………………………………………..……………….…….
9-5

Paragraph 9.4.2: Initiation of Tenure Revocation Process …………………………………….……
9-6

Paragraph 9.4.3: Tenure Revocation Process ………………………………………….………..………
9-6

Paragraph 9.4.4: Voluntary Relinquishment of Tenure ………………………………..…….………
9-6

TC-7


Subsection 9.5: Termination for Cause ………………………………………………………
9-7

Paragraph 9.5.1: Definition of "Cause" ……………………………………………….……………….….
9-7

Paragraph 9.5.2: Decision Making Standards …………………………………………………..……...
9-7

Paragraph 9.5.3: Initiation of Termination for Cause Process ……………………..…….……...
9-7

Paragraph 9.5.4: Termination for Cause Process ………………………………………………..…...
9-7

Subsection 9.6: Termination and Non-Renewal Appeal Procedure ………………..…
9-8

Paragraph 9.6.1: Persons Eligible to File an Appeal …………………………………..……………..
9-8

Paragraph 9.6.2: Notice of Appeal ……………………………………………………….…..………….…
9-8

Paragraph 9.6.3: Procedure for Initiation of Appeals ……………………………….………….……
9-8

Subparagraph A: Place to File Notice of Appeal

Subparagraph B: Time Limitations

Subparagraph C: Extension of Time Limitations

Subparagraph D: Fulfil ment of Notice of Appeal Requirements

Paragraph 9.6.4: Appeal Standards …………………………………………………………….…….…....
9-9

Subparagraph A: Reviewable Issues

Subparagraph B: Burden of Proof

Subparagraph C: Standard of Proof

Paragraph 9.6.5: Hearing Panel ……………………………………………….………………..….….…….
9-10

Subparagraph A: Initial Hearing Panel Selection Criteria

Item 1: Hearing Panel Selection Process

Item 2: Selection of Chief Panel Member

Item 3: Authority of Chief Panel Member

Item 4: Role of Alternate Hearing Panel Member

Paragraph 9.6.6: Legal Representation …………………………………………………………..………..
9-11

Subparagraph A: The Appel ant

Subparagraph B: The Respondent

Subparagraph C: The Hearing Panel

Subparagraph D: Peer Counsel

Paragraph 9.6.7: Pre-Hearing Procedures ………………………………………………….……………..
9-11

Subparagraph A: Acknowledgement of Notice of Appeal

Subparagraph B: Setting of Hearing Date

Subparagraph C: Pre-Hearing Discovery

Subparagraph D: List of Hearing Issues

Paragraph 9.6.8: Pre-Hearing Statements …………………………………….……………...….….…..
9-12

Subparagraph A: Contents of Pre-Hearing Statements

Item 1: Summary of the Argument

Item 2: List of Issues

Item 3: List of Witnesses


Item 4: Photocopies of Exhibits

Subparagraph B: Deadlines for Pre-Hearing Statements

Subparagraph C: Limitations Imposed by Pre-Hearing Statements

Subparagraph D: Amendments to Pre-Hearing Statements

Paragraph 9.6.9:
Hearing Procedures ……………………………………..…………………….….… 9-13

Subparagraph A: Presumption of Open Hearing

Subparagraph B: Sequestration of Witnesses

Subparagraph C: Order of Presentation

Subparagraph D: Outline of Hearing

Subparagraph E: Case-in-Chief Procedure

Subparagraph F: Witness Examination Procedure

Subparagraph G: Inapplicability of Strict Evidentiary Rules

Paragraph 9.6.10: Post-Hearing Procedures ……………………………………………………….……..
9-14

Subparagraph A: Recommendation of the Hearing Panel

Subparagraph B: Contents of Recommendation

Item 1: Statement Regarding Burden of Proof

TC-8


Item 2: Findings of Fact

Item 3: Legal Conclusions

Item 4: Recommended Course of Action

Subparagraph C: Issuance of Recommendation

Subparagraph D: Issuance of Presidential Decision

Subparagraph E: Presidential Unavailability

Subparagraph F: Appeal of Final Decision of CSM

Subsection 9.7: Resignation …………………………..………………………………….……..
9-15

Paragraph 9.7.1: Resignation Procedure ……………………………….…………………………….…...
9-15

Paragraph 9.7.2: Requested Notice ………………………..……………………………………….….…...
9-15

Subsection 9.8: Retirement …………………..……………………………………………….… 9-16

Paragraph 9.8.1: Human Resources Office Consultation …………………………….………….…... 9-16

Paragraph 9.8.2: Transitional Appointments ……………………………………………………………..
9-16

Paragraph 9.8.3: Voluntary Early Retirement Plans ……………………………………….…….…….
9-16

Paragraph 9.8.4: Disability Retirement ………………………………………………………………….….
9-17



PART III: MISCELLANEOUS MATERIAL PROMULGATED OR APPROVED BY THE
BOARD

SECTION 10: BOARD POLICIES AND PROCEDURES……………………….………………… 10-1

Subsection 10.1: Intellectual Property Policy ……………………………..………………… 10-1

Subsection 10.2: Sabbatical Leave Policy ………………………………………………........ 10-9

Subsection 10.3: Research Integrity Policy and Complaint Procedure …..……..……. 10-12

SECTION 11: DISCIPLINARY ACTION AND GRIEVANCES ………………………………..
11-1

Subsection 11.1: Behavioral Complaints Against Faculty Members …………………….. 11-1

Paragraph 11.1.1: Inappropriate Behavior …………………………………………………………….…….
11-1

Paragraph 11.1.2: Misconduct ………………………………………………………………..……….…….….. 11-1

Subparagraph A: Preliminary Complaint Investigation

Subparagraph B: Formal Complaint Investigation and Resolution Procedure

Subparagraph C: Sanctions

Subparagraph D: Avenues of Appeal

Subsection 11.2: Disciplinary Action ………………..……………………………….…………. 11-2

Subsection 11.3: Grievance Procedure ………………………………................................
11-3

Paragraph 11.3.1: Purpose and Scope …………………………………………………………………………
11-3

Paragraph 11.3.2: Terms …………………….……………………………………………………………………..
11-3

Paragraph 11.3.3: Informal Resolution ………………………………….……………………………………
11-3

Paragraph 11.3.4: Grievance Procedure ………………………………………………………….….………
11-4

Paragraph 11.3.5: Decision ……………………………….…………..….......................................... 11-5

Paragraph 11.3.6: Representation …………………………………………………………..…………………. 11-5

Paragraph 11.3.7: General ……………..…………………………………….…………………………………… 11-5

SECTION 12: UNIVERSITY COMMITTEES …………………………………..……………...… 12-1

Subsection 12.1: Athletic Board ………………..……………………………………………….
12-1

Paragraph 12.1.1: Function ………………………………………………………………………….……….…
12-1

TC-9


Paragraph 12.1.2: Membership ………………………………………………………………………………..
12-1

Paragraph 12.1.3: Method of Operation ……………………………………………………..….…………
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Paragraph 12.1.4: Method of Appointment ……………………………………………………..………...
12-1

Paragraph 12.1.5: Terms of Appointment ……………………………………………..………….……….
12-1

Subsection 12.2: Board of Student Media ……………………………..………..……………
12-2

Paragraph 12.2.1: Function ………………………………………………………………………………….….
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Paragraph 12.2.2: Membership …………………………………………………………………………..……
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Paragraph 12.2.3: Method of Operation …………………………………………………………..……….
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Paragraph 12.2.5: Terms of Appointment …………………………………………………………..…….
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Subsection 12.3: Budget Committee ……………………………………………….…….…..
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Paragraph 12.3.1: Function ……………………………………………………………………………….…
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Paragraph 12.3.2: Membership …………………………………………………………………..………..
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Paragraph 12.3.5: Terms of Appointment ………………………………….…………………….…….
12-3

Subsection 12.4: Faculty Handbook Committee ………………………..…………………
12-4

Paragraph 12.4.1: Function ……………………………………………………………………………….…
12-4

Paragraph 12.4.2: Membership …………………………………………………..………………………..
12-4

Paragraph 12.4.3: Method of Operation ………………………………….………………….……….…
12-4

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12-4

Paragraph 12.4.5: Terms of Appointment ……………………………………….……………….…….
12-4

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12-5

Paragraph 12.5.1: Function …………………………………………………………………….………….…
12-5

Paragraph 12.5.2: Membership ……………………………………………………………………………..
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12-5

Paragraph 12.5.5: Terms of Appointment ……………………………………………….………….….
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12-6

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12-6

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Paragraph 12.6.5: Terms of Appointment …………………………..…………………………….…….
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Paragraph 12.7.5: Terms of Appointment ……………………………………………..………….…….
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Subsection 12.8: Promotion and Tenure Committee ………………………...……….…..
12-8

Paragraph 12.8.1: Function …………………………………………………………………………….….…
12-8

Paragraph 12.8.2: Membership ……………………………………………………………………………..
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Paragraph 12.8.3: Method of Operation …………………………………………………..…….………
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Paragraph 12.8.5: Terms of Appointment ……………………………………………….……….…….
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Subsection 12.9: Teaching Faculty Promotion Committee ………………………...……
12-9

Paragraph 12.8.1: Function …………………………………………………………………………….….…
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Paragraph 12.8.5: Terms of Appointment ……………………………………………….……….…….
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Subsection 12.10:
Biosafety Committee ………………………...……….………………
12-9

Paragraph 12.10.1: Function …………………………………………………………………………….….…
12-9

Paragraph 12.10.2: Membership ……………………………………………………………………………..
12-10

Paragraph 12.10.3: Method of Operation …………………………………………………..…….………
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Paragraph 12.10.4: Method of Appointment …………………………………………………….……...
12-10

Paragraph 12.10.5: Terms of Appointment ……………………………………………….……….…….
12-10

Subsection 12.11: Assessment Committee ………………………...……….………………
12-10

Paragraph 12.11.1: Function …………………………………………………………………………….….…
12-10

Paragraph 12.11.2: Membership ……………………………………………………………………………..
12-11

Paragraph 12.11.3: Method of Operation …………………………………………………..…….………
12-11

Paragraph 12.11.4: Method of Appointment …………………………………………………….……...
12-11

Paragraph 12.11.5: Terms of Appointment ……………………………………………….……….…….
12-11

Subsection 12.12: The President’s Committee on Diversity ………………...……….…… 12-11

Paragraph 12.12.1: Function …………………………………………………………………………….….…
12-11

Paragraph 12.12.2: Membership ……………………………………………………………………………..
12-12

Paragraph 12.12.3: Method of Operation …………………………………………………..…….………
12-12

Paragraph 12.12.4: Method of Appointment …………………………………………………….……...
12-12

Paragraph 12.12.5: Terms of Appointment ……………………………………………….……….…….
12-12

Subsection 12.13: Conflict of Interest Committee ………………...……….……………… 12-13

Paragraph 12.13.1: Function …………………………………………………………………………….….…
12-13

Paragraph 12.13.2: Membership ……………………………………………………………………………..
12-13

Paragraph 12.13.3: Method of Operation …………………………………………………..…….………
12-13

Paragraph 12.13.4: Method of Appointment …………………………………………………….……...
12-13

Paragraph 12.13.5: Terms of Appointment ……………………………………………….……….…….
12-13

Subsection 12.14: Faculty Grievance Committee ………………...……….………………
12-13

Paragraph 12.14.1: Function …………………………………………………………………………….….…
12-13

Paragraph 12.14.2: Membership ……………………………………………………………………………..
12-13

Paragraph 12.14.3: Committee Member Appointment ………………………………………………
12-14

Paragraph 12.14.4: Chair and Vice Chair – Appointment and Role ……………………………..
12-14

Paragraph 12.14.5: Terms of Appointment ……………………………………………….……….…….
12-15

Paragraph 12.14.6: Method of Operation……………………………………………………………………
12-15

Paragraph 12.14.7: Grievance Hearing Panel………………………………………………………………
12-15


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PREFACE


The Board of Trustees, hereinafter the "Board," is the legal employer of al employees of Colorado School of
Mines, hereinafter "CSM," including those who have been designated as exempt from the State Personnel
System. The Board, which defines all exempt CSM employees as "faculty," regardless of whether their
primary role is academic or administrative, has set forth the general terms and conditions of faculty
employment in this twelfth edition of the CSM Faculty Handbook, hereinafter the "Handbook," as wel as in
other policies or resolutions which it has duly adopted. This Handbook shall supersede all previous editions
of the CSM Faculty Handbook.

The Board desires to establish a col aborative environment in which al participants work together for the
ultimate welfare of the institution, the students, and the faculty. To that end, the Board intends the faculty
to be active participants in the operation of the university. To achieve this objective, this Handbook
contains policies and procedures intended to encourage consultation with the faculty on issues of mutual
concern, such as program changes, employment policies, and other issues related to institutional operation.

Although Colorado law grants to the Board the right to amend this Handbook at any time, the Board intends
to consult with the faculty to the maximum extent practicable prior to implementing a significant change to
any employment policy or procedure contained in the Handbook. Furthermore, except in special cases
requiring prompt action, the Board intends to consider amendments to the Handbook during the spring
semester of each academic year and to make any such amendments effective at the conclusion of the
academic year. The Board also recognizes that Colorado law grants the instructional power of CSM to its
faculty.

The Board may not, and does not intend to, delegate any portion of its statutory management authority
which is not delegable by law. In those areas where the Board is permitted to delegate its management
authority, it intends to do so only through the use of clear and unambiguous language. Consistent with its
statutory authority, the Board delegates to the CSM President the authority to implement non-material
changes to the Handbook format or content.

SECTION 1
FACULTY HANDBOOK ORGANIZATION


Section 1 contains a summary of the organization and contents of the Handbook, which is divided into
various parts and sections as outlined below.

PART I - INTRODUCTORY MATERIAL

The material included under Part I, which is comprised of Sections 1 and 2, consists of introductory and
explanatory matters regarding the Handbook and CSM. The Faculty Handbook Committee, hereinafter the
"Handbook Committee," shal develop language for any proposed amendments to Section 1 of the
Handbook for review and comment by the Faculty Senate and the Administrative Faculty Council and for
consideration by the President and the Board as set forth in Section 3. The Handbook Committee shal
update the material included in Section 2 from time to time, as appropriate.

PART II - EMPLOYMENT POLICIES AND PROCEDURES

The material included under Part II, which is comprised of Sections 3 through 9 and 11, consists of
employment policies and procedures adopted by the Board, which govern CSM's employment relationship
with al of its employees who have been designated as exempt from the State Personnel System. If any
provision contained in Part II of the Handbook is inconsistent with a provision of a CSM employment
contract, the provision of the employment contract shal supersede the provision contained in the Handbook
unless specified otherwise in the contract. The Handbook Committee shall develop language for any
proposed amendments to Part II of the Handbook for review and comment by the Faculty Senate and the
Administrative Faculty Council and for consideration by the President and the Board as set forth in
Section 3.

PART III - MISCELLANEOUS MATERIAL PROMULGATED OR APPROVED BY THE BOARD
The material included under Part III, which is comprised of Sections 10 and 12, consists of various
policies of general application within the CSM community that have been promulgated by the Board and
descriptions of the various university committees of CSM. The Handbook Committee shall update the
material included under Section 10 from time to time, as appropriate. The Handbook Committee shall
develop language for any proposed amendments to Section 12 of the Handbook for review and comment
by the Faculty Senate and the Administrative Faculty Council and for consideration by the President and
the Board as set forth in Section 3.

Please note that throughout the entire Handbook document Department Heads and Division Directors are
referred to as "Department Head(s)."

1-1

SECTION 2
CSM ORGANIZATIONAL STRUCTURE









[TO BE SUPPLIED]

2-1

SECTION 3
PROCESS FOR HANDBOOK MODIFICATION AND REPORTING POLICY VIOLATIONS
OR PROCEDURAL NON-COMPLIANCE


The Handbook modification process specified in this section shal apply to al amendments to the Handbook.
Unless exceptional circumstances exist, the Board intends the fol owing process to be utilized prior to its
consideration of proposed Handbook modifications.

3.1 ROLE OF THE HANDBOOK COMMITTEE

Commencing at the beginning of the fal semester of each academic year, the Handbook Committee shal
meet on a regular basis to review the Handbook and discuss possible revisions. The Handbook Committee
shal consider proposed Handbook revisions suggested by individual committee members or any CSM-
affiliated individual or group and make recommendations thereon to the President. Al such suggestions
from CSM-affiliated individuals or groups should be submitted in writing to the Office of Academic Affairs for
distribution to Handbook Committee members. If the Handbook Committee regards a set of recommended
Handbook modifications to be sufficiently comprehensive, it shal suggest to the President that a new
edition of the Handbook be published. All proposed modifications to the Handbook that have been
recommended by the Handbook Committee shal be forwarded to the President, the Faculty Senate, and the
Administrative Faculty Council for review and comment. If the Faculty Senate or the Administrative Faculty
Council are opposed to any Handbook modification proposed by the Handbook Committee, the disputed
issue shal be referred back to the Handbook Committee for discussion and reconsideration. If a consensus
cannot be reached after appropriate discussion between the Handbook Committee and the opposed group,
a conciliation committee shall be appointed as set forth in subsection 3.4 below. [The status, role, and
membership of the Handbook Committee is defined in subsection 12.4 below.]

3.2 ROLE OF THE FACULTY SENATE

All recommended modifications to the Handbook shal be forwarded by the Handbook Committee to the
Faculty Senate for review and comment. The process of Faculty Senate review shal take place as soon as
practicable, but in no case shall the entire process exceed thirty days. If the Senate does not formally
respond to the forwarded material within the above time frame, its acquiescence shal be presumed. If the
Senate regards any proposed Handbook modification as unacceptable, it shal prepare a written statement
containing its specific objections to the proposed material and deliver it to the Handbook Committee for
discussion and reconsideration. If after further deliberations the Handbook Committee declares an impasse
regarding the disputed issue, a conciliation committee shal be appointed as set forth in subsection 3.4
below.

3.3 ROLE OF THE ADMINISTRATIVE FACULTY COUNCIL

All recommended modifications to the Handbook shal be forwarded by the Handbook Committee to the
Administrative Faculty Council for review and comment. The process of Administrative Faculty Council
review shal take place as soon as practicable, but in no case shall the entire process exceed thirty days. If
the Council does not formal y respond to the forwarded material within the above time frame, its
acquiescence shall be presumed. If the Council regards any proposed Handbook modification as
unacceptable, it shall prepare a written statement containing its specific objections to the proposed material
and deliver it to the Handbook Committee for discussion and reconsideration. If after further deliberations,
the Handbook Committee declares an impasse regarding the disputed issue, a conciliation committee shal
be appointed as set forth in subsection 3.4 below.

3-1

3.4 CONCILIATION COMMITTEE

3.4.1 Status, Role and Membership

A Conciliation Committee shal be appointed on an ad hoc basis to attempt to forge a compromise if the
Faculty Senate or the Administrative Faculty Council regards a recommended modification to the
Handbook as unacceptable and further informal discussion proves unfruitful. The Conciliation
Committee shall consist of five members appointed as follows: two academic faculty members, who are
not members of the Faculty Senate or the Handbook Committee, shall be appointed by the Faculty
Senate to represent its views; one administrative faculty member, who is not a member of the
Administrative Faculty Council or the Handbook Committee, shal be appointed by the Administrative
Faculty Council to represent its views; one member of the Handbook Committee shal be appointed by
the Committee to represent its views; and one exempt employee, who is not a member of the Faculty
Senate, the Administrative Faculty Council, or the Handbook Committee, shal be appointed by the
President.


3.4.2 Operating Procedure

Conciliation Committee members shal meet among themselves, as wel as with representatives of the
Faculty Senate, the Administrative Faculty Council, and the Handbook Committee, as appropriate, to
discuss the proposed Handbook modification(s) at issue and possible compromise provisions. If no
acceptable compromise can be reached within thirty days from the date of its appointment, the
Conciliation Committee, by majority vote, shal issue its own recommendation to the President
regarding the proposed modification(s). Any other affected individual or group who is dissatisfied with
the Conciliation Committee's recommendation may submit an independent recommendation to the
President on the subject of the proposed Handbook modification.

3.5 BOARD APPROVAL PROCESS

The President shal be responsible for submitting proposed Handbook modifications to the Board for its
approval. The President, through the Handbook Committee, shall notify the Faculty Senate and the
Administrative Faculty Council when any proposed Handbook modification is submitted to the Board for
approval. Any individual or group affected by a proposed Handbook modification shal have the right to
submit written comments or suggested alternatives to the Board for its consideration. Pursuant to Colorado
law, the control and management of CSM is vested in the Board, which possesses the exclusive authority to
approve all material contained in the Handbook. Therefore, no modifications to the Handbook shall be
effective until Board approval is obtained.

3.6 REPORTING POLICY VIOLATIONS AND PROCEDURAL NON-COMPLIANCE

The University expects Mines’ community members to adhere to applicable University policies and
procedures, including those set forth in this Handbook. Many University policies provide internal
mechanisms for reporting policy violations and procedural non-compliance. However, Mines community
member who has reason to believe that University policies or procedures have been violated may also
report such concerns through the confidential tool SpeakUP@Mines.


3-2

SECTION 4
APPOINTMENT


4.1 FACULTY RANKS AND TITLES


4.1.1 Tenured and Tenure-Track Faculty Appointments


Professor, Associate Professor, and Assistant Professor Ranks

These ranks are assigned to tenured or tenure-track academic faculty members who are
required to perform duties involving teaching, scholarship, and professional service.


4.1.2 Non-Tenure-Track Faculty Appointments

This paragraph provides a description of the basic characteristics of the academic faculty
appointments listed below. Specific details regarding the level of time commitment required, job
duties, and the employment benefits associated with a particular appointment wil be addressed in an
employee's employment contract or employment offer letter. A faculty member holding one of the
ranks or titles listed below is not eligible for tenure while serving at that rank.

A.
Teaching Professor, Teaching Associate Professor and Teaching Assistant
Professor Ranks

These ranks are assigned to part-time and ful -time instructional faculty members with
assignments primarily devoted to teaching. These appointments are anticipated to be at least
one full academic year in duration. Faculty members holding these titles are expected to
remain current with developments in their fields so as to maintain the highest quality of
instruction, and are encouraged to attend and participate in department/division/program
activities and shared governance in keeping with the normal practices of the academic unit(s)
which form the locus of their appointments. They are required to fulfill all applicable terms of the
Faculty Handbook. Teaching faculty may serve as the co-advisor for graduate students and as
the principal investigator on Mines proposals. They may request Graduate Faculty status (see
Section 4.2) to serve as the primary advisor to graduate students.

B. Professor of Practice

This position is appropriate for exceptional practitioners in fields aligned with CSM to whom CSM
wishes to extend a title that conveys a closer tie and long term commitment to the School.
Candidates for Professor of Practice shal have terminal degrees in disciplines related to CSM’s
programs or equivalent professional experience and shall have achieved exceptional distinction as
practitioners in such disciplines. Appointments may be for terms of up to three years, may be
part-time or ful -time, and are renewable.

Professors of Practice are general y expected to devote a substantial portion of their professional
life to CSM. The Professor of Practice title is not appropriate for individuals whose external
affiliation is, or has been primarily academic. A Professor of Practice may not hold active, full-
time appointments elsewhere. An individual, however, may be on leave from a non-academic
position for the duration of the CSM appointment.

Involvement by the Professor of Practice in institutional activities wil vary according to
4-1

programmatic needs. Duties and responsibilities may include teaching, research and service.
Professors of Practice may have full responsibility for course instruction, be principal investigators
on Mines proposals, and may serve as the primary advisor to graduate students.

C. Adjunct Titles

The title "Adjunct Faculty" is used to describe temporary faculty members who are appointed on
a semester-by-semester basis, contingent upon sufficient need and resources within the hiring
department or division. Adjunct faculty members may or may not receive remuneration,
depending upon the specific nature of their duties and other relevant factors. With regard to
non-remuneration adjuncts, the Provost may permit multiple semester appointments. Adjunct
faculty may serve as the co-advisor for graduate students and as the principal investigator on
Mines proposals.

D. Visiting Titles

The title "visiting" coupled with the rank attained at their home institution is used to describe
faculty members who by mutual agreement wish to associate themselves with CSM. Visiting
faculty members may hold their positions for up to two years and may serve with or without
remuneration. This title is normal y reserved for faculty members who are serving at CSM while
on leave from another academic institution.



E. Research Titles

The title "research" coupled with the appropriate rank or title is used to describe faculty and staff
members whose primary responsibilities are obtaining research funding, performing research, or
providing technical or administrative support for research activities, and providing assistance in
directing graduate student thesis projects. When remunerated, these positions are funded
through grant or contract sources.

1. Visiting Scholar

This title is used to describe faculty members temporarily associated with CSM whose primary
responsibilities are performing research and providing assistance in directing graduate
student thesis projects, and whose salaries are general y paid from non-State funds. Visiting
Scholars may hold their positions for up to two years and may serve with or without
remuneration. Visiting Scholars are ineligible for tenure.


2. Postdoctoral Fellow


This title is used to describe a research-oriented scholar. By mutual agreement between a
fel ow and CSM, the fel ow may engage in limited teaching or provide assistance in directing
graduate student thesis projects. The normal term of employment wil be for up to two
years, although the arrangement may be extended for a third year with the approval of the
Provost.


3. Research Associate

This title series is used to describe staff members whose primary responsibilities are to
provide professional research assistance to faculty members and graduate students in the
performance of their research.
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4. Research Support

This title series is used to describe staff members whose primary responsibilities are to
provide administrative or technical support to research activities.

5. Research Professor, Research Associate Professor and Research Assistant
Professor

These ranks are assigned to research faculty members whose primary duties involve
scholarship. By mutual agreement between the research professor and his or her department
head the professor may also engage in teaching and service. Research faculty may serve as
the co-advisor for graduate students and as the principal investigator on Mines proposals.
They may request Graduate Faculty status (see Section 4.2) to serve as the primary advisor
to graduate students.

6. Affiliate Faculty

This title is used to describe individuals who are either employed full-time elsewhere or
retired with mutual y beneficial ties to the university that warrant such an appointment. This
is not intended for retired CSM faculty, who are encouraged to use the standard Research
Faculty track. Typical y, these individuals are involved with university faculty members and
their research programs. They may serve on graduate student supervisory committees at the
request of their ful -time col eagues and as approved by the department head or division
director. Affiliate Faculty may serve on thesis committees and as a co-advisor to graduate
students. However, they are not permitted to serve as the primary advisor. Affiliate Faculty
are not permitted to serve as the principal investigator on Mines proposals, but they may
serve as a co-principal investigator. Affiliate Faculty may hold their positions for up to two
years, may be renewed, and may serve with or without remuneration. If the appointment is
remunerated, the FTE assigned shal be no greater than 25 percent and remuneration must
be approved by both the employer and appropriate department head and dean at Mines.
Affiliate Faculty are not evaluated in the scheduled and formal manner that is required for the
other types of faculty appointments.

7. External Joint Appointee

Joint Appointees are a special category of Affiliate Faculty who have ful or part-time
positions elsewhere (e.g., NREL, NIST, or USGS) and who have strong col aborations with
Mines and Mines faculty. At the request of a ful -time academic faculty member at Mines and
as approved by the department head or division director, joint appointees may serve on
thesis committees and are permitted to serve as co-advisors to graduate students. To serve
as primary advisor, Joint Appointees must become members of the Graduate Faculty (Section
4.2). Joint appointees may serve as a co-principal investigator on Mines proposals with
appropriate approvals from their employer and from Mines. Joint Appointees may hold their
positions for up to two years with the possibility of renewal and may serve with or without
remuneration. For joint appointees remunerated at CSM, the monthly level of effort should
not exceed 49%.



F.
Librarian Title

The title "Librarian" coupled with the appropriate faculty rank is used to describe faculty
members whose duties involve rendering professional library service to the CSM community in
4-3

the information fields. Library faculty also contribute professional y by conducting research and
scholarship and by performing service to their profession and the CSM community.


4.1.3
Named Faculty Appointments

Faculty appointments made possible through endowments and other gifts enable the school to attract
and support outstanding educators and scholars. The following are the categories of positions that
can be named in response to a donor's wishes. The fil ing and rotation of such positions is the sole
prerogative of CSM. The granting of tenured status at CSM does not grant or imply tenure rights in
any named position.


A.
Distinguished Endowed Chair

A distinguished endowed chair signals the highest honor CSM can bestow upon a faculty
member. Funding from the endowment, in combination with funds from other sources, wil be
used to support the chair holder’s compensation package and supply discretionary funds to
support the teaching and scholarly activities of the chair. Although chairs are not normal y
rotated, circumstances may necessitate changing the holder of a chair, and CSM reserves the
right to do so at any time for any reason.


B.
Endowed Chair

An endowed chair recognizes teaching and research excel ence of a CSM faculty member.
Funding from the endowment, in combination with funds from other sources, wil be used to
support the chair holder’s compensation package and supply discretionary funds to support the
teaching and scholarly activities of the chair. Although chairs are not normal y rotated,
circumstances may necessitate changing the holder of a chair, and CSM reserves the right to do
so at any time for any reason.

C.
Endowed Professorship

An endowed professorship is awarded to professors in recognition of their outstanding teaching,
research, and service. Income from the endowment or gift wil be used in combination with
other funds to partially support the teaching and scholarly activities of the recipients. Endowed
professorships may be renewed or rotated within a department or among several departments at
CSM.

D.
Developmental Professorship

Available to junior faculty members, a developmental professorship provides support for the
teaching and scholarly activities of the recipients. Developmental professorships may be
renewed or rotated within a department or among several departments at CSM.

E.
Teacher-Scholar

A teacher-scholar award wil be utilized to recognize excel ence in scholarly achievements by
faculty members. The award wil provide support for teaching and scholarly activities, such as
travel to technical or professional conferences, summer support, and professional advancement
activities.

4.1.4 Transitional Faculty Appointments
4-4


From time to time, CSM may enter into Transitional Appointment Agreements with academic faculty
members who wish to retire. When both CSM and the retiring faculty member deem it mutually
beneficial to do so, and contingent upon the approval of the Provost, the parties wil negotiate a part-
time appointment for a specific period of time, usual y not in excess of three years, fol owing the faculty
member’s retirement date. The Transitional Appointment Agreement wil specify the faculty member’s
responsibilities and level of effort during the transitional appointment. During the period of his or her
appointment, the transitional faculty member will retain his or her title and rank at retirement.
Transitional appointments do not confer tenure, but may provide the appointee eligibility for certain
benefits during the semesters he or she is providing and compensated for services to CSM per the terms
of CSM’s benefits plans and policies. In rare circumstances, transitional appointments may be considered
for administrative and library faculty. However, these appointments are contingent upon the approval of
the President.

4.1.5 Emeritus Faculty Appointments

Recipients of emeritus status shal receive special recognition at commencement. Additional privileges
bestowed upon emeritus faculty members include the issuance of a permanent faculty identification card,
a listing in the university catalog, and full continued use of library and athletic facilities. From time to
time, CSM may make other facilities, services, or amenities available for the use of emeritus faculty
members. However, emeritus appointments do not confer tenure.


A.
Emeritus Title

At the time of his or her retirement, in recognition of his or her years of dedication and service to
CSM, a tenured, teaching or library faculty member who has completed ten or more years of
regular ful -time service at CSM in a tenured/tenure track, teaching faculty or library position may
be nominated to the Provost by his or her department head, in consultation with the
department’s promotion and tenure committee and college dean, for the title of “emeritus”
coupled with his or her academic rank. The Provost shal submit his or her recommendation
regarding the emeritus appointment to the Board of Trustees for a final decision.


B.
University Emeritus Title

A tenured or teaching faculty member holding the rank of professor who has completed ten or
more years of ful -time service at CSM and has provided unusual y distinguished service during
that period shal be eligible for the title of University Emeritus Professor or University Emeritus
Teaching Professor at the time of his or her retirement. Although seldom awarded, this title may
be conferred upon a faculty member by the Board in recognition for outstanding dedication and
service to CSM. The criteria enabling a faculty member to qualify for the title of University
Emeritus (Teaching) Professor are: (1) a distinguished teaching career at CSM; and (2)
outstanding achievement of national and international recognition through outstanding
scholarship. In order to receive this title, a faculty member must be nominated in writing by a
col eague. The written nomination should be sufficiently detailed to enable a determination to be
made as to whether the criteria stated above have been met by the nominee. Nominations
should be submitted to the Provost by the department head, in consultation with the
department’s promotion and tenure committee and college dean. Upon receiving the
nomination, the Provost may, at his or her discretion, seek additional input from the faculty
member’s department and other members of the CSM administration and academic community.
Any faculty member the Provost recommends for a University Emeritus appointment shal be
submitted to the President and the Board for final approval.

4-5


4.1.6 Administrative Faculty Appointments

Administrative faculty appointments apply to exempt employees who perform specialized professional
duties and hold appointments that are designated by function or title, not by academic rank.
Administrative faculty are ineligible for tenure. Tenured faculty members who assume administrative
positions at CSM retain the right to resume their tenured faculty positions upon the termination of
their administrative responsibilities.


4.1.7 Athletics Faculty Appointments

Athletics faculty appointments apply to faculty members who teach athletics department courses
and/or coach varsity-level sports, and who hold appointments that are designated by function or title,
not by faculty rank. Athletics faculty members are ineligible for tenure.

4.1.8 Non-remuneration Appointments

Upon the review and positive recommendation of the appropriately constituted department/division
Promotion and Tenure Committee, the department head, and the Dean of the college1, an individual
may be nominated for a non-remunerative, volunteer faculty appointment at the appropriate rank.
For non-remunerative appointments not involving faculty rank (e.g., research assistant, research
associate, etc.) nominations may be made upon the recommendation of the department head without
the need for input from the col ege Dean.

For non-remunerative appointments in Academic Affairs, nominations are submitted to the Associate
Provost for approval. For non-remunerative appointments in Student Life, Finance and Administration,
or in the President’s Office, nominations are submitted to the appropriate executive.

Non-remunerative appointments are made for a maximum of two calendar years, though they are
renewable. These appointments must provide clearly defined value to the department/ division and
CSM as wel as to the individual, and specific responsibilities must be detailed. Like all other faculty,
non-remunerative faculty are governed by the provisions of the Faculty Handbook. Non-remunerative
faculty are ineligible to receive benefits with the exception of provisions set forth in section 5.2 of this
Handbook.

Non-remuneration research faculty appointments must fol ow the process described in section 4.8.1D.


4.1.9 Special Appointments and Titles


A.
Trustees Professorship

From time to time, the Board may choose to recognize extraordinary service to the CSM
academic mission by a CSM professor. The official title of this honor is Trustees Professor of
(Department), and it wil be awarded only occasional y and on a highly selective basis. The
Board wil normal y confer certain ancil ary benefits upon recipients of this honor, which may
include: (1) a significant salary increase (above any normal salary adjustment earned for the
evaluation period in which the honor is granted); (2) a one-time discretionary fund grant; and (3)
a plaque commemorating the award. Al non-chaired ful professors are eligible to receive this
honor. Nominations for the award shall be initiated by the Provost, who may appoint an advisory
review committee to assist him or her in the nomination process. If the President approves a
recommendation submitted by the Provost, he or she shal then forward the recommendation
and supporting materials to the Board for a final decision.
4-6



B.
Honorary Titles

Special honorary titles may be conferred by the Provost in conjunction with non-remuneration
appointments on a case-by-case basis.

C.
Mines Presidential Faculty Fellow

From time to time, the President may ask a faculty member to perform special duties in service
to the institution and wil recognize the faculty member’s broader institutional role by naming that
faculty member a Mines Presidential Faculty Fel ow for (descriptive title). Typical y, such
appointments are limited to three years, but may be extended at the discretion of the President.
Such appointments may come with appropriate service, teaching, and research relief as
negotiated by the President, faculty member, and the faculty member’s Department Head.

D.
University Librarian

The position of University Librarian is open to any candidate holding the rank Librarian and is
appointed by, and reports to the Provost. The University Librarian articulates a vision of the
Library that promotes and supports the University’s mission, and implements a strategic plan to
advance that vision. The University Librarian integrates diverse resources and technologies, seeks
new opportunities, collaborates with university constituents, and cultivates a vibrant research and
learning community. The University Librarian fosters an organizational and educational climate
that promotes diversity and provides effective leadership to col ectively achieve our strategic
initiatives. Overseeing management of the Library’s virtual and physical space, the
University Librarian collaborates with Library faculty, staff, students, and external entities
to identify, evaluate, and implement programs that provide services and facilities, enhancing the
quality of resources, and increase operational efficiency within the Library. Providing
leadership and facilitating library-wide communication, the University Librarian functions as the
chief fiscal officer of the Library providing transparent reporting on the budget, supporting a
balance between the student-centered library, research support, and the traditional core
functions of the Library for the Mines community.

4.2
Graduate Faculty Status

4.2.1
Qualifications of Graduate Faculty

Members of the Graduate Faculty at Mines are those qualified to be primary advisor for students
conducting research toward a graduate degree. Academic units may choose to further specify the
privileges and responsibilities granted to graduate faculty in the areas of student supervision,
teaching assignments, voting rights, etc. Such unit-level policies should be expressed in writing.

4.2.2
Criteria for Appointment to the Graduate Faculty

It is assumed that al Colorado School of Mines faculty in full-time, tenured or tenure-track positions
who serve in academic units offering graduate degrees are ful y qualified to be part of the Graduate
Faculty. Hence, they wil be appointed to the graduate faculty upon joining CSM. Teaching Faculty,
Research Faculty, Professors of Practice, Emeritus Faculty, and Joint Appointees are eligible to
become members of the Graduate Faculty subject to the following minimum requirements:

● Graduate Faculty appointees must have the terminal degree appropriate to their
academic field or discipline, or must show a comparable level of expertise.
4-7

● Appointment to the Graduate Faculty must be requested by the candidate and supported
by a two-thirds majority of the Graduate Faculty in the academic unit.
● The proposed Graduate Faculty appointee must meet any other criteria established by
their col ege and/or department, and must be endorsed by the unit director and the
col ege dean.

Reflecting the University’s interest in encouraging interdisciplinary research and scholarship, Graduate
Faculty may be appointed in more than one academic unit. The process for such additional
appointments is similar to that outlined in section 4.2.3 below. Appointment to the Graduate Faculty
in any academic unit makes the faculty member ineligible to serve as an external committee member
for students pursuing degrees within that unit.

4.2.3
Procedures for Appointment to Graduate Faculty Status

Appointments to the Graduate Faculty are made by and subject to the approval of the Graduate
Dean. Ful -time faculty appointees in tenured or tenure-track positions wil be appointed to the
Graduate Faculty upon joining CSM. Al other appointments to the Graduate Faculty must be initiated
by the candidate. This process requires approval by the academic unit and the college, as well as
submission to the Graduate Dean of the candidate’s credentials and a completed nomination form.
The nomination form must include a statement of purpose, the anticipated role(s) of the nominee in
the unit’s graduate degree programs, the nominee’s qualifications, and a statement of support from
the unit’s Graduate Faculty and col ege Dean(s). Upon approval, appointment to Graduate Faculty is
formalized in a letter from the Graduate Dean.

4.3 MINIMUM QUALIFICATIONS FOR TENURED/TENURE-TRACK FACULTY RANKS

While a doctoral degree is usual y required for appointment to the professorial ranks at CSM, in
exceptional cases as may be determined by the Provost, the needs of CSM may dictate that professional
experience and/or accomplishments beyond the baccalaureate degree may be considered the equivalent
of a doctoral degree.


4.3.1 Assistant Professor

A. Doctoral degree; and
B. Demonstrated potential for successful teaching, scholarship, and service


4.3.2 Associate Professor

A. Doctoral degree;
B. Documented success in teaching, scholarship, and service; and
C. Potential for national and international professional recognition


4.3.3 Professor

A. Doctoral degree;
B. Record of excel ence in teaching, scholarship, and service; and
C. National and international professional recognition


4.4 MINIMUM QUALIFICATIONS FOR INSTRUCTIONAL FACULTY TITLES
4-8


An individual must possess at least the minimum specified academic degree in order to be considered for
any of the instructional faculty positions listed below. However, upon the recommendation of the
department head, and with the approval of the Dean of the college1 and the Office of the Provost,
professional experience and/or accomplishments and/or a different academic degree may be deemed to
be satisfactory equivalents to the minimum academic degree specified for each title.


4.4.1 Teaching Assistant Professor

A. Either a terminal degree (e.g., a doctoral degree) or a Master’s degree along with
professional or academic experience and accomplishments; and
B. Demonstrated potential for successful teaching


4.4.2 Teaching Associate Professor

A. Either a terminal degree (e.g., a doctoral degree) or a Master’s degree along with
professional or academic experience and accomplishments; and
B. Documented success in teaching as instructor of record and relevant service.


4.4.3 Teaching Professor

A. Either a terminal degree (e.g., a doctoral degree) or a Master’s degree along with
professional or academic experience and accomplishments; and
B. Record of excel ence in teaching; and
C. Demonstrated excel ence in pedagogy, which may be evidenced by course innovation,
publications or success in attracting pedagogical research support


4.4.4 Professor of Practice

A. Either a terminal degree (e.g., a doctoral degree) or equivalent professional experience; and
B. Substantial professional experience with a national or international reputation demonstrating
achievement as a distinguished practioner of the discipline.


4.4.5 Adjunct Faculty


Adjunct Faculty must possess the qualifications for the position to which he or she is
appointed. If appropriate to the position, preference wil be given to advanced degrees and
proven teaching ability.

4.5 MINIMUM QUALIFICATIONS FOR RESEARCH FACULTY RANKS

While a doctoral degree is usual y required for appointment to the research faculty ranks at CSM, in
exceptional cases as may be determined by the Provost, the needs of CSM may dictate that professional
experience and/or accomplishments beyond the baccalaureate degree may be considered the equivalent
of a doctoral degree.


4.5.1 Research Associate

A. Minimum of a baccalaureate degree


4.5.2 Research Assistant Professor
4-9


A. Doctoral degree; and
B. Demonstrated potential for successful scholarship and service


4.5.3 Research Associate Professor

A. Doctoral degree;
B. Documented success in scholarship and service; and
C. Potential for national or international professional recognition


4.5.4 Research Professor

A. Doctoral degree;
B. Record of excel ence in scholarship and service; and
C. National or international professional recognition


4.5.5 Research Support


A. Experience closely related to the job duties of the position; and

B. Education typical y found in a technical degree or equivalent


4.5.6 Affiliate Faculty

An Affiliate Faculty member must possess the qualifications for the position to which he or she is
appointed.

4.5.7 External Joint Appointee

A.
Doctoral degree;
B.
Record of excel ence in scholarship and service;
C.
National or international professional recognition; and
D.
Strong collaboration with Mines faculty.

4.6 MINIMUM QUALIFICATIONS FOR LIBRARY FACULTY RANKS

A master’s degree from an American Library Association-accredited program is generally the minimum
requirement for appointment to a library faculty position. The Director of the Library may waive this
requirement if a library faculty position requires an advanced degree in another appropriate field.
Additional qualifications and experience may be required, depending upon the nature of the position.


4.6.1 Assistant Librarian

A. Demonstrated potential for achieving success in the performance of professional
librarianship, scholarship, and service.


4.6.2 Associate Librarian

A. Evidence of success in the performance of professional librarianship;
B. Evidence of professional contributions in the areas of research and scholarship which
demonstrate an impact on librarianship or other academic disciplines; and
C. Evidence of significant service within the academic community.
4-10



4.6.3 Librarian

A. Evidence of excellence in the performance of professional librarianship;
B. Evidence of professional contributions in the areas of research and scholarship which are of
significance to librarianship or other academic disciplines and which provides recognition to
the individual and the institution; and
C. Evidence of significant service within the academic community and the library profession.

4.7 MINIMUM QUALIFICATIONS FOR ADMINISTRATIVE FACULTY

Minimum qualifications for each administrative faculty position shal be determined by the hiring authority
for that position after appropriate consultation with the Office of Human Resources. Most administrative
faculty positions wil require at least a baccalaureate degree plus appropriate experience relevant to the
job assignment.

4.8 FACULTY APPOINTMENT PROCESS

It is the responsibility of each department head and administrative director to recruit faculty for new or
vacant positions and to recommend their appointment to the President or appropriate vice president. In
discharging this responsibility, department heads and administrative directors should consult with
appropriate CSM personnel and knowledgeable persons in other academic, governmental, and business
institutions. Al hiring shal be done in accordance with CSM's Affirmative Action Plan and other
appropriate legal requirements.


4.8.1 General Outline of Faculty Appointment Process



A. Tenured Faculty, Tenure-Track Faculty, and Library Faculty

1. The department head shall obtain authorization from the Provost regarding the
availability of a departmental position as wel as the rank and the salary that can be
offered.
2. The vacancy shal be advertised in one or more professional journals or other appropriate
publications.
3. Applications wil be considered in accordance with the rules established for each search.
A departmental y appointed faculty committee, which shal not include the head of the
hiring department, shall be utilized as a part of the applicant screening process.
4. The finalists shal be personal y interviewed by appropriate members of the department
and the administration.
5. A summary of departmental observations of al interviewed candidates shal be included
in the department head's written hiring recommendation.
6. The department head shal submit a recommendation to the Provost in writing, together
with al required administrative forms, letters of recommendation, resumes and
transcripts. [If an offer of tenure is being considered for a new faculty member, the
departmental promotion and tenure committee shall be involved in the decision as set
forth in subparagraph 8.1.7.B below.]
7. The Provost, upon the written recommendation of the department head, can determine
that fol owing this process would not be in the best interests of CSM. In such cases, the
Provost, after consultation with the Associate Vice President for Human Resources, may
provide written authorization to modify this process as necessary and appropriate.
8. The selected candidate shall be recommended by the Provost to the President for
appointment. No employment, or other type of contractual relationship, shall arise
4-11

between CSM and the candidate until the written employment contract or offer letter has
been executed by the President, or the President's delegate, on behalf of CSM.
9. Following discussions with the Provost and contingent upon the approval of the
President, the department head shal verbal y negotiate salary and other terms of
employment with the candidate. However, because benefits are determined by
employment category, the terms of employment may not modify any benefits programs
offered by CSM.
10. Once negotiations between the department head and the candidate have concluded, an
appropriate CSM employment contract or offer letter shall be prepared for the selected
candidate.

B.
Professor of Practice

1. The department head shal obtain authorization from the Dean regarding the availability
of a departmental position for a Professor of Practice.
2. A departmentally appointed faculty committee, which shall not include the head of the
hiring department, shall be utilized to screen candidates.
3. The candidates(s) shal be personal y interviewed by appropriate members of the
department and the administration.
4. A summary of departmental observations of interviewed candidate(s) shal be included in
the department head's written hiring recommendation.
5. The department head shal submit a recommendation to the Dean in writing, together
with al required administrative forms, letters of recommendation, resumes and
transcripts.
6. The selected candidate shal be recommended by the Dean to the President for
appointment. No employment, or other type of contractual relationship, shall arise
between CSM and the candidate until the written employment contract or offer letter has
been executed by the President, or the President's delegate, on behalf of CSM.
7. Following discussions with the Dean and contingent upon the approval of the President,
the department head shal verbal y negotiate salary and other terms of employment with
the candidate. However, because benefits are determined by employment category, the
terms of employment may not modify any benefits programs offered by CSM.
8. Once negotiations between the department head and the candidate have concluded, an
appropriate CSM employment contract or offer letter shall be prepared for the selected
candidate.

C.
Adjunct Faculty and Visiting Faculty

1. The department head shal confer with the Provost to confirm the availability of a
departmental position as well as the salary that can be offered.
2. While departments are encouraged to advertise vacancies for Adjunct Faculty, there may
be a need to fil an Adjunct Faculty position immediately or on relatively short notice,
thus direct appointment and reappointment of Adjunct Faculty on a semester-by-
semester basis, without a search, may be made.


D.
Research Titles

1.
Research Professor, Associate Research Professor and Assistant
Research Professor

1. The Principal Investigator shal confer with the department head to confirm the
availability of a research faculty position and of institutional or departmental
4-12

resources that wil be required to support the position.
2. Departments are encouraged to advertise vacancies for Research Faculty. If a
search is undertaken, the search process outlined for Administrative Faculty in
section 4.7.1 E beginning at Step 2 wil be followed.
3. In some cases, there may be a need to fil a Research Faculty position
immediately or on relatively short notice. In these cases, direct appointment of
Research Faculty for the period of a grant or contract without a search may be
made with the approval of the department head.
4. For research professors, research associates professors, research assistant
professors, and joint appointees, a minimum of two-thirds of the department
tenured and tenure-track faculty must vote in favor of the appointment. After
appropriate approval at the department level the department head wil submit
the appointment for approval to the col ege dean.
5. Upon appropriate approval at the department level the department head wil
submit the tenured and tenure-track faculty approval memo to the col ege dean.

2.
Visiting Scholar

The Principal investigator requests appointment. Appointments require approval
from the department head, Office of Research Administration, col ege dean, and
Office of International Student and Scholars Scholar Services.

3.
Postdoctoral Fellow, Research Associate, Research Support and
Affiliate Faculty

The Principal investigator requests appointment. Appointments require approval
of the department head and college dean.

4.
Joint Appointee

Appointments require approval by 2/3 of departmental tenured and tenure-track
faculty, and approval of the department head, col ege dean and provost, in
addition to appropriate approvals from laboratory/employer supporting the joint
appointee.


E. Instructional Faculty

The appointment process for tenured/ tenure-track faculty set forth in 4.8.1.A above shal
also be followed for the appointment of teaching professors, teaching associate professors
and teaching assistant professors, unless the Provost determines that fol owing this process
would not be in the best interests of CSM. In such cases, the Provost may provide written
authorization to modify this process as necessary and appropriate.

F. Administrative Faculty

1. The supervisor of the new or vacant administrative faculty position shal confer with the
department head and the appropriate vice president, if applicable, to confirm the
availability of the position. The supervisor shall concurrently notify the Office of Human
Resources of the availability of the position and the initiation of the hiring process.
2. Unless a decision is made to fil the position through an internal promotion, the
availability of the position shall be advertised in one or more professional journals or
other appropriate publications. In conjunction with the Office of Human Resources, the
4-13

supervisor shal appoint a search committee to assist in the applicant screening process.
3. Applications wil be considered in accordance with the rules established for each search.
4. The finalists shal be personal y interviewed by al appropriate CSM constituent groups.
5. The Vice President or Provost in consultation with the Associate Vice President for Human
Resources, on the written recommendation of the department head, may determine that
fol owing the ful search process would not be in the best interests of CSM. In such
cases, the Vice President or Provost may provide written authorization to modify this
process as necessary and appropriate.
6. The supervisor shal submit a written recommendation to the President or vice president,
including a summary of the search committee's observations of all interviewed
candidates. Resumes, letters of recommendation, and other supporting documentation
for each final candidate shal also be forwarded as part of the recommendation package.
7. The selected candidate shal be recommended to the President for appointment. No
employment, or other type of contractual relationship, shall arise between CSM and the
candidate until the written offer letter has been executed by the President, or the
President's delegate, on behalf of CSM.
8. Following discussions with the President or vice president, the supervisor shal verbal y
negotiate salary and other terms of employment with the selected candidate. However,
because benefits are determined by employment category, the terms of employment
may not modify any benefits programs offered by CSM.
9. Once negotiations between the supervisor and the candidate have concluded, an
appropriate CSM offer letter shall be prepared for the selected candidate. Any special
understandings or conditions that have been negotiated with the candidate shall be
clearly stated in the offer letter provided to the candidate.

G. Athletics Faculty

On account of circumstances that are unique to their positions, such as the seasonal nature of
intercollegiate athletics and the timing of recruiting cycles, a search shall not be required for the
hiring of qualified athletics department faculty. In order to bypass the search process, the
department head must receive written confirmation from the appropriate vice president regarding the
availability of the position, the title and salary that can be offered, and approval to proceed without a
search. Upon receipt of confirmation from the appropriate vice president, the department head shal
notify the Office of Human Resources of the availability of the position and the intention to fil the
position without a search. Once an individual has been selected for the position, the hiring shal
proceed in accordance with step 6 and the remaining steps of the process set forth immediately
below.

If it is determined that a search is required for an athletics faculty position, the fol owing process
shal be utilized:

1. The department head shal confer with the appropriate vice president to confirm the
availability of the position as wel as the title and salary that can be offered. The department
head shall concurrently notify the Office of Human Resources of the availability of the position
and the initiation of the hiring process.
2. Unless a decision is made to fil the position through an internal promotion, the availability of
the position shal be advertised in one or more appropriate publications. In conjunction with
the Office of Human Resources, the department head shal appoint a search committee,
including a committee chairperson, to assist in the applicant screening process. The
department head and any supervisor of the position may chair or actively serve on the search
committee.
3. Every application received for the position shal be considered.
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4. The finalists shal be personal y interviewed by al appropriate CSM constituent groups.
5. The search committee chairperson shal submit a written recommendation to the department
head, including a summary of the search committee's observations of all interviewed
candidates. Resumes, letters of recommendation, and other supporting documentation for
each final candidate shal also be forwarded as part of the recommendation package.
6. The department head shal submit a written recommendation to the appropriate vice president
together with appropriate supporting documentation, which shal include al required
administrative forms, resumes, transcripts and, if applicable, letters of recommendation.
7. The selected candidate shal be recommended to the President for appointment. No
employment, or other type of contractual relationship, shal arise between CSM and the
candidate until the written employment contract has been executed by the President, or the
President's delegate, on behalf of CSM.
8. Following discussions with the appropriate vice president, the department head shal verbal y
negotiate salary and other terms of employment with the selected candidate. However,
because benefits are determined by employment category, the terms of employment may not
modify any benefits programs offered by CSM.
9. Once negotiations between the department head and the candidate have concluded, an
appropriate CSM employment contract shal be prepared for the selected candidate. Any
special understandings or contractual conditions that have been negotiated with the candidate
shal be clearly stated in the contract transmittal letter and provided to the candidate with the
employment contract.

H. Temporary Faculty

Temporary faculty may be hired in the fol owing categories: Adjunct, Administrative, Research,
Library, and Athletics. If it is determined that a need exists that can best be fil ed by a temporary
appointment, the hiring department may request authorization from the appropriate Vice President to
hire a temporary faculty member.

1. Adjunct Faculty

The conditions outlined in Section 4.7.1 B shal apply to the appointment of an Adjunct
Faculty member.

2. Temporary Administrative, Research, and Library Faculty

The fol owing conditions shal apply to the appointment of a temporary administrative,
research, or library faculty member: (a) a temporary appointment may be made without a
search; (b) the duration of a temporary appointment shal not exceed twelve months; (c) a
temporary appointment shal not be renewable, except that under extraordinary
circumstances with the approval of the appropriate vice president, the appointment may be
renewed for an additional period of up to twelve months; (d) a candidate for a temporary
appointment must possess the qualifications that would be required for a regular
appointment to the same position; and (e) the hiring department must submit a brief job
description along with the hiring paperwork.

3. Temporary Athletics Faculty

The fol owing conditions shal apply to the appointment of a temporary athletics faculty
member: (a) a temporary appointment may be made without a search; (b) the duration of a
temporary appointment shal not exceed twelve months; (c) a temporary appointment shal
not be renewable, except that under extraordinary circumstances with the approval of the
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appropriate vice president, the appointment may be renewed for an additional period of up
to twelve months; and (d) a candidate for a temporary appointment must possess the
qualifications that would be required for a regular appointment to the same position.


4.8.2 Locus of Appointment

Each teaching/research faculty member shal have a locus of appointment in an academic department
or division of CSM, which shal be stated in the faculty member's employment contract or letter of
appointment. A faculty member holding a joint appointment shall have a locus of appointment in one
or both of the academic departments/divisions sharing responsibility for the appointment as specified
below in paragraph 4.7.3.


4.8.3 Internal Joint Appointments

Joint appointments shal be made only when the professional activities of a faculty member fal within
the purview of two or more CSM departments or divisions and al required approvals for a joint
appointment have been given. The personal preference of a faculty member, by itself, shall not
constitute sufficient justification for a joint appointment. A joint appointee shall have a locus of
appointment in one or both of the departments or divisions contracting for the faculty member's
effort. The joint appointee and the concerned department heads shal by mutual agreement
determine the joint appointee's locus of appointment. If a consensus decision cannot be reached
among the affected parties regarding locus of appointment, the Provost shall decide this issue. In all
joint appointments, a written agreement addressing the subjects of evaluation, promotion, tenure,
locus of appointment, and a specific division of supervisory responsibility between the department
heads shall be executed by all concerned parties.

4.8.4 Change of Locus of Appointment

On occasion, the professional activities of a faculty member, tenured or teaching, may evolve such
that the faculty member’s appointment aligns with the purview of a CSM department other than the
faculty member’s current locus of appointment. In that case, subject to the process described herein,
the locus of appointment can be changed. Such a change must be codified in a new contract or letter
of appointment.

Tenure-track faculty may not change locus of appointment through this process. Further, the intent
of this policy is to provide a process for realignment of existing appointments, not create new joint
appointments, which are governed by section 4.7.3.

In determining whether the requested department change is appropriate, the elements of the faculty
member’s record to be considered include, but are not limited to the fol owing:

a. academic credentials,
b. previous instructional activities, potential instructional overlap with or contribution to the
proposed new department, and recent student teaching evaluations at CSM,
c. if appropriate, previous research activities, and potential research overlap with or
contribution to new department,
d. internal service record at CSM,
e. professional society affiliations and external service record,
f. if appropriate, graduate student advising history at CSM, and
g. col aborations with and other potential contributions to the department to which the faculty
member desires to be appointed.

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The process for reviewing such a change is as fol ows:

1. The faculty member should first informal y confer with both his or her current department
head or division director (DHDD) and the proposed new DHDD to explore the possibility and
desirability of a change in appointment locus.
2. To formal y request a change in appointment locus, the faculty member should prepare a
dossier for submission to both his or her current (DHDD) and the proposed new DHDD. The
dossier should follow the format of a faculty promotion dossier, with the exclusion of external
letters of recommendation. The candidate should also include as part of “other information”
a clear rationale why his or her professional activities align with the purview of the new
department.
3. The Departmental Promotion and Tenure Committee for tenured faculty or Departmental
Promotion Committee for teaching faculty in the proposed new department shal review the
dossier and provide a letter of recommendation.
4. The DHDDs in the old and proposed new departments shal individual y supply letters of
recommendation to the package, and the DHDD in the proposed new department shal
supply the cover memorandum for the package.
5. For appointment changes within a single col ege, the Dean of the Col ege has final authority
to approve the change in locus of appointment. The Dean shal review the package and
render a decision. With an affirmative decision, the Dean shal 1) work with the respective
DHDDs on a transition plan for the appointment; 2) notify the Provost of approval of the
change in appointment locus; and 3) work with the Office of the Provost to revise the faculty
member’s contract and issue a new letter of appointment.
6. For appointment changes that span col eges, each Dean shal review the package, add a
letter of support and forward the package to the Provost. The Provost shall review the
package and render a decision. With an affirmative decision, the Provost shall direct the
Deans to 1) work with the respective DHDDs on a transition plan for the appointment, and 2)
work with the Office of the Provost to revise the faculty member’s contract and issue a new
letter of appointment.
7. Decisions rendered by the Dean or Provost, whichever is appropriate, are final and may not
be appealed.

4.9 PROBATIONARY APPOINTMENTS

Only tenure-track appointments at CSM are probationary in nature. Exempt employees in non-tenure
track appointments are employees at-wil and, as such, are subject to termination at any time, with or
without cause. However, in the case of Teaching Faculty whose appointments are non-renewed, such
terminations are subject to the notice requirements and appeal rights provided in Section 9 below.

A tenure-track appointment is inherently probationary in nature for the full term of the appointment
described in the faculty member’s employment contract. At the conclusion of the tenure-track period,
which under normal circumstances may last up to seven years, the employee has usual y either achieved
tenure or been terminated for failing to achieve tenure. After the Preliminary Tenure Review has been
performed, a tenure-track faculty member may be terminated for failing to demonstrate sufficient
progress toward tenure. However, tenure-track faculty members possess ful grievance rights and retain
their appeal rights in al cases of termination for cause other than insufficient progress toward tenure.
[The subjects of academic tenure and the tenure review process are discussed in subsection 8.1 below.]




4.10 FACULTY EMPLOYMENT CONTRACT AND OFFER LETTER PROCESS
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4.10.1 Employment Contract Form List

All employment contract forms currently in use at CSM are ful y reproduced in the Academic Affairs
Procedures Manual. For quick reference, the fol owing is a complete listing of the employment
contract form titles. As new employment contract forms are approved for use at CSM, or currently
used forms are discontinued, the list shall be updated, as appropriate. (Template forms for offer
letters for positions not listed below are available through the office of Human Resources.)


A.
Faculty Employment Contracts

1. Tenured Faculty Employment Contract
2. Tenure-Track Faculty Employment Contract
3. Non-Tenured Faculty Employment Contract - Nine-Month Appointment
4. Non-Tenured Faculty Employment Contract - Twelve-Month Appointment
5. Library Faculty Employment Contract


B.
PERA Retiree Employment Contracts

1. Exempt Faculty Employment Contract - PERA Retiree Appointment
2. Sponsored Program Employment Contract - PERA Retiree Appointment



C.
Additional Appointment Addenda

1. Administrator Addendum
2. Department Head Addendum
3. Acting or Interim Department Head Addendum
4. Assistant Department Head / Program Director Addendum
5. Special Sabbatical Assignment Addendum



D. Extra Duties Contracts

1. Extra Duties Contract - Lump Sum Remuneration
2. Extra Duties Contract - Hourly Remuneration
3. Extra Duties Contract - Part-Time Athletics Coach


4.10.2 General Employment Procedure

Each new faculty member shal receive a CSM employment contract or offer letter. In subsequent
years, each continuing faculty member shall be sent a letter each summer notifying the faculty
member of his or her salary for the upcoming academic or fiscal year (as the case may be). If a
faculty member's title or rank changes, a new employment contract or appointment letter shal be
issued by CSM to reflect such change of title or rank. Academic faculty who have an additional
appointment as an administrator, department head, or a Dean of the College, shall receive an
addendum regarding the additional appointment, and in subsequent years he or she shall be given
salary update information concerning the additional appointment in the salary notification letter.
Other employment contracts, such as extra duties contracts, shal be issued as necessary.




4.10.3 Employment Contract Period or Term of Appointment
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A. Tenured and Tenure-Track Faculty

The contract period for tenured and tenure-track faculty normal y runs from the date of the
annual Faculty Conference to the date of spring Commencement for each academic year. Any
exception to these dates shal be noted on the employment contract form or salary notification
letter tendered annually by CSM to the faculty member. Academic year salary is generally paid to
faculty members in nine equal instal ments on the last business day of each month from
September through May. Faculty may request to receive their academic year salary in twelve
equal instal ments. To do so, a deferred pay agreement must be completed in the Human
Resources office prior to the first day of work in the fal semester and is irrevocable for the
academic year to which it applies. If the period of actual service does not equal a full academic
year, salary wil be earned in proportion to the fraction of the academic year in which services
were actual y rendered.


B.
Non-Tenure-Track Faculty

Subject to their legislatively mandated employment-at-wil status, the appointment renewal
period for non-tenure-track faculty wil vary according to the duration of the funding which has
been secured to support the faculty member's position. Salary shall be paid in monthly
installments on the last business day of each month. If the period of actual service does not
equal the full length of the appointment, salary wil be earned in proportion to the fraction of the
appointment period in which services were actual y rendered. In the case of Teaching Faculty,
non-renewal of non-tenure-track faculty appointments is subject to the applicable notice
requirements and appeal rights, if any, provided in Section 9 below.


C. Administrative Faculty

Subject to their legislatively mandated employment-at-wil status, the salary evaluation and
adjustment period for administrative faculty, and other exempt CSM employees whose salaries
are calculated on a twelve-month basis, is July 1st through June 30th of each year. Salary shal
be paid in twelve equal installments on the last business day of each month. If the period of an
administrative faculty member's actual service does not equal a full year, salary wil be earned in
proportion to the fraction of the year in which services were actually rendered.

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SECTION 5
RIGHTS, PRIVILEGES AND BENEFITS


5.1 ACADEMIC FREEDOM

Colorado law vests the instructional power of CSM in its faculty. In carrying out their instructional
responsibilities at CSM, faculty members enjoy the right of academic freedom as it is generally defined
and accepted in the academic community. CSM's specific articulation of academic freedom is set forth
below.

Within the limits imposed by State law and CSM policy, and subject to the adequate
performance of other assigned duties, all CSM faculty members enjoy the freedom to
discuss in the classroom matters relevant to the educational mission, engage in scholarly
activity, conduct research, and publish or disseminate the results of such work. Al CSM
faculty members are free to speak and write on matters of public concern, as wel as on
matters related to professional duties and the functioning of the university. However,
faculty members should be mindful that their position in the community imposes special
responsibilities. Academic responsibility implies the faithful performance of professional
duties and obligations, the recognition of the demands of the scholarly enterprise, and the
candor to make it clear that when one is speaking on matters of public interest, one is not
speaking for the institution, nor does one speak for CSM in his or her private capacity.

5.2 ELIGIBILITY FOR BENEFITS

In general, faculty employed in Tenured or Tenure-track, Teaching and Named Faculty positions, and
Research, Administrative, Library, and Athletics Faculty are eligible for benefits in accordance with the
plan documents or certificates of insurance for each benefit. These faculty are referred to in this Section
5 as “Benefits-eligible” faculty. Temporary Faculty (Adjunct Faculty, Affiliate Faculty, temporary
Administrative Faculty, temporary Research Faculty, or temporary Athletics Faculty) general y are not
eligible for CSM benefits, including leave benefits, except for participation in those benefits that CSM is
required by law to provide. These mandated benefits include participation in the Public Employees
Retirement Association (PERA), Unemployment Insurance, Medicare, and Workers’ Compensation. In
addition, Mines provides access to health insurance in accordance with the requirements of the Patient
Protection and Affordable Care Act and its regulations for those faculty who are not Benefits Eligible as
defined above. Non-remuneration faculty are not eligible for CSM benefits, except for liability insurance
provided through the State Office of Risk Management, which CSM is required by law to provide.

5.3 ENROLLMENT IN CSM COURSES

5.3.1 Degree Candidates

Faculty members holding the rank of Teaching Assistant Professor or higher may not work toward
degrees in their own department at CSM. The Dean of Graduate Studies may waive this rule for the
benefit of doctoral candidates on a case-by-case basis. The Provost shall have the authority to grant
other exceptions to this rule.

5.3.2 Tuition-Free Courses for Credit

A Benefits-eligible CSM faculty member, with his or her department head or equivalent director's
approval, may apply to the Dean, or in the absence of a Dean, the Provost, for enrollment in CSM
5-1

courses, not to exceed a total of six credit hours in any fiscal year, without payment of tuition. In
considering such requests, the Dean or Provost may examine budgetary constraints, total available
classroom space, and the potential benefit to CSM through improved professional development,
employee morale, and employee motivation. No faculty or staff member shall be eligible for more
than six credit hours, whether for-credit or no-credit, or any combination thereof, in any one fiscal
year.

5.3.3 Tuition-Free Courses for No Credit

Benefits eligible faculty members and their spouses may also take CSM courses on a space-available,
no-credit, tuition-free basis, not to exceed six credit hours per fiscal year, with the approval of the
course instructor. Benefits-eligible faculty members must get the approval of their immediate
supervisor in order to participate in a course. No faculty or staff member or their spouse shal be
eligible for more than six credit hours, whether for-credit or no-credit, or any combination thereof, in
any one fiscal year

5. 4
LEAVE BENEFITS


5.4.1 Sabbatical Leave

All sabbatical leave at CSM is governed by the CSM Sabbatical Leave Policy, which has been
promulgated by the Board and is set forth in subsection 10.2 below.


5.4.2 Unpaid Leave

A Benefits-eligible CSM faculty member may request unpaid leave in writing through his or her
department head or equivalent director. Such leave may be granted at the discretion of the Dean, or
in the absence of a Dean, the appropriate Vice President. However, unpaid leave of more than
twelve months wil general y not be granted.


5.4.3 Annual Leave

Annual leave is equivalent to personal or vacation leave and may be utilized by a faculty member for
any purpose with the approval of his or her supervisor. Only Benefits-eligible administrative faculty,
athletics faculty, library faculty, and research faculty are eligible for annual leave. With the exception
of Postdoctoral Fellows, this leave shall be paid according to the following formula:

Total Colorado State Service
Hours Earned Per Month
Maximum Carryover

1st month through 108th month
13 1/3 hours
320 hours
109th month and beyond
16 hours
384 hours

The change in accrual rates wil occur beginning with the first day of the month fol owing the month
in which employment period reaches the 108th month.

For Postdoctoral Fellows, leave shal be paid according to the following formula:


Total Colorado State Service

Hours Earned Per Month
Maximum Carryover




Any




6 2/3 hours

6 2/3 hours

5-2

Full-time Benefits-eligible faculty who work less than one full month and part-time Benefits-eligible
faculty wil earn annual leave on a pro rata basis. Faculty who wish to use annual leave must submit
a request to their supervisor and receive approval. Supervisors may deny use of annual leave.
Faculty members who use annual leave must report their usage monthly through the leave reporting
system and submit their leave reports to their supervisor within the deadlines established by Payrol .
Faculty may take paid annual leave only as earned or accrued. Faculty on paid leave wil accrue
annual leave at the normal rate. Faculty on unpaid leave wil not accrue annual leave. Any leave
taken which has not been accrued wil be treated as leave without pay. The maximum carryover
limits set forth above shall be effective at the end of each fiscal year. A faculty member may accrue
annual leave in excess of the applicable limit during the course of a fiscal year, but he or she must
either use al leave accrued in excess of the limit during the fiscal year or forfeit the excess at the
earlier of the end of the fiscal year or termination of employment. A faculty member wil be paid in
ful at his or her current rate of pay for unused hours of annual leave, up to the applicable maximum
carryover limit, upon change from twelve-month to nine-month contract status, upon termination of
employment, or at the time of retirement or death. Upon the death of a faculty member, the estate
of the deceased faculty member wil be paid for the faculty member’s accrued annual leave, up to the
applicable maximum carryover limit.


5.4.4 Sick Leave

Sick leave provides CSM Benefits-eligible faculty with paid time off from work to attend to their health
and medical needs, as wel as the health and medical needs of their spouses, parents, minor children,
adult children who are incapable of self-care, legal dependents, or persons in the household for
whom the employee is the primary caregiver. Faculty are expected to utilize sick leave to cover their
time off from work for preventive and diagnostic medical examinations, receipt of medical treatment,
and recovery from il nesses and non-work-related injuries. Benefits eligible CSM faculty shal accrue
sick leave at the rate of ten hours for each calendar month worked. The maximum carryover limit of
paid sick leave shall be 720 hours. Full-time faculty who work less than one ful month and part-time
faculty wil earn sick leave on a pro rata basis. Faculty on paid leave wil accrue sick leave at the
normal rate. Faculty on unpaid leave wil not accrue sick leave. Sick leave shall be reported for any
time away from CSM duties due to il ness or medical appointments. It is improper to use sick leave
for the sole purpose of extending available funds from research or other externally funded accounts.
Department Heads or equivalent directors may require a physician's certificate for the use of sick
leave. Faculty members who use sick leave must report their usage monthly through the leave
reporting system and submit their leave reports to their supervisor within the deadlines established
by Payroll. Faculty may take paid sick leave only as earned or accrued. Any leave taken which has
not been accrued wil be treated as leave without pay. The maximum carryover limit set forth above
shal be effective at the end of each fiscal year. A Benefits-eligible faculty member may accrue sick
leave in excess of the limit during the course of a fiscal year, but he or she must either use all leave
accrued in excess of the limit during the fiscal year or forfeit the excess at the end of the fiscal year.
If a faculty member separates from CSM service after becoming eligible to receive a ful or reduced
annuity pursuant to PERA guidelines, he or she shall be paid for one-fourth of his or her unused sick
leave at his or her current rate of pay, up to the maximum carryover limit set forth above. If a
faculty member dies prior to retirement, the estate of the deceased faculty member wil be paid for
the faculty member’s unused sick leave within the limits set forth in this paragraph. A faculty
member who returns to employment at CSM fol owing an interruption of service shal have previously
accrued sick leave restored, subject to the maximum carryover limit.

Note: Faculty members who had accumulated over 720 hours of sick leave as of August 31,
1982, hereinafter referred to in this note as the "Excess Sick Leave Accumulation," shall be
entitled to use their Excess Sick Leave Accumulation only in the case of a protracted il ness.
All use of sick leave since September 1, 1982, shal first be charged against the faculty
5-3

member’s more recent sick leave accumulation earned subject to the 720-hour limit. If this
accumulation becomes exhausted, sick leave shall then be charged against the faculty
member’s Excess Sick Leave Accumulation. CSM shal not pay a faculty member for any
portion of his or her Excess Sick Leave Accumulation upon retirement or death. Additional
information regarding this subject may be obtained from the CSM Human Resources Office.


5.4.5 Family Medical Leave

After one year of CSM service, a Benefits-eligible faculty member may utilize up to 520 hours of
unpaid leave per fiscal year (1040 hours if used as a military caregiver), taken either continuously or
intermittently, for the following purposes: (1) the birth and care of a child within one year of the
birth; (2) the placement and care of an adopted child within one year of the placement; (3) the
faculty member’s treatment for and recovery from a serious health condition; (4) the faculty
member’s care for the serious health condition of his or her child, parent, or spouse; (5) when a
faculty member’s child, parent, or spouse experiences a qualifying exigency directly related to being
called to or on active duty for a contingency operation during a declared war or; (6) when a faculty
member is a military caregiver for a child, parent, spouse, or next of kin who suffers a serious injury
or il ness in the line of duty while on active duty in support of a contingency operation. The faculty
member wil be required to utilize al of his or her accumulated paid leave—in accordance with the
applicable rules governing such usage set forth in other CSM leave policies—before he or she wil be
placed on unpaid family medical leave, but the use of paid leave wil not extend the total period of
time to which the employee is entitled to under this paragraph. The above is only a brief description
of the complex rules concerning family medical leave. Please contact the Human Resources Office
for more specific information on this subject.


5.4.6 Holiday Leave

CSM celebrates Labor Day, Thanksgiving Day, Christmas Day, New Year's Day, Martin Luther King
Day, Memorial Day, and Independence Day as holidays. Other days wil be designated annual y by
the President as school holidays not to exceed twelve days in total.


5.4.7 Administrative Leave

The President may grant administrative leave with pay to a Benefits-eligible faculty member for any
purpose deemed by the President to be in the best interests of CSM, as long as the granting of
administrative leave for such purpose is not prohibited by law.


5.4.8 Funeral Leave

A Benefits-eligible faculty member may request funeral leave through his or her department head or
equivalent director. If the requesting party does not report to a department head or equivalent
director, the request shall be made through the requesting party's immediate supervisor. A
reasonable amount of such leave shal be granted for the purpose of attending the funeral of an
immediate family member.


5.4.9 Jury or Court Leave

Upon request and presentation of a jury summons or a subpoena to appear in court, a faculty
member shal be granted leave for the purpose of fulfil ing jury or other court obligations.


5-4


5.4.10 Military Leave

Upon request, CSM shal grant an appropriate period of leave to its faculty for military service as
mandated by U.S. and Colorado law.

5.4.11 Injury Leave

CSM shal grant up to sixty days of paid injury leave to a Benefits-eligible faculty member who has
suffered a job-related injury, subject to the fol owing conditions: (1) the faculty member must file a
timely First Report of Injury form for workers’ compensation purposes with the Office of Human
Resources; (2) CSM workers compensation insurer must certify that the injury is job-related or
“compensable”; and (3) the faculty member must agree to assign his or her right to receive salary
payments from the workers compensation insurer to CSM during the period when the employee is
receiving paid injury leave.


5.4.12 Medical Disability Leave

CSM may grant up to six weeks of paid medical disability leave to a Benefits-eligible faculty member
for the purpose of childbirth and medical recovery therefrom, or for the treatment of a disabling
medical condition or non-work-related injury, subject to the fol owing limitations: (1) the “disabling
medical condition” may not be the result of elective surgery or a non-medical y-necessary procedure;
(2) the condition or injury must necessitate the faculty member’s continuous absence from work for a
period in excess of two weeks; (3) the faculty member must present to the Office of Human
Resources a medical certification from the attending health care provider attesting to the disabling
nature and the anticipated duration of the medical condition; (4) prior to receiving any paid medical
disability leave, the faculty member must first exhaust 80% of his or her accrued sick leave; (5) in
the case of a foreseeable event such as childbirth, the faculty member must give her immediate
supervisor and the Office of Human Resources written notice of the anticipated need for this leave
three months in advance of the date the leave is expected to begin, or as much notice as is
practicable and reasonable in the faculty member’s circumstances; (6) the aggregate usage of the
faculty member’s sick leave and medical disability leave granted hereunder shal not exceed three
months; and (7) only that period of the disability leave that fal s within the faculty member’s term of
appointment shall be paid.

5.4.13 Parental Leave

Benefits-eligible faculty members are eligible for the parental leave outlined below. A faculty member
on paid parental leave must return to employment at CSM for at least six weeks after the conclusion
of the parental leave period. A faculty member who does not fulfill this condition will be required to
repay the ful amount of compensation (salary plus employer-provided benefits) received from CSM
during the paid parental leave period. During any paid portion of parental leave, benefit coverage
under CSM’s group health, dental, life, and long-term disability insurance plans shal continue in
effect, consistent with the terms of the applicable insurance contracts and CSM policies regarding
such benefits. During the unpaid portion of a parental leave, benefit coverage under CSM’s group
health, dental, life and long-term disability insurance plans shal continue in effect, consistent with
the terms of the applicable insurance contracts and CSM policies regarding such benefits, provided
that the premiums, including any amount normal y contributed by CSM, are paid monthly by the
faculty member.

The provisions of paragraph 5.4.12 (medical disability leave) and paragraph 5.4.13 (parental leave)
are intended to be interpreted in conjunction with paragraph 5.4.5 (family medical leave). Family
medical leave runs concurrently with other CSM-sponsored leave plans and may be with pay, unpaid,
5-5

or a combination of both, depending on the circumstances. For a complete description of family
medical leave and its relation to other CSM leave policies, please contact the Human Resources
Office.

A. Paid Leave Following the Birth or Adoption of a Child

A benefits-eligible faculty member may take up to six weeks of paid parental leave for the
purpose of caring for and nurturing his or her newborn, newly adopted child, or a child placed in
foster care as a pre-adoption requirement. The leave wil be paid at the faculty member’s regular
base rate of pay. Once starting paid leave, it must be taken consecutively and without
interruption; paid parental leave may not be used on an intermittent basis. Use of parental leave
must occur and be completed within the twelve months immediately following the birth or
adoption of a newborn or child.

For uses of parental leave due to the birth of a child, a faculty member’s leave requests must be
made to his or her immediate supervisor, with copy to the Benefits Office, at least sixty (60) days
prior to the start of the anticipated leave period. Leave requests given with less than sixty (60)
days notice wil not be granted absent extraordinary circumstances. For uses of parental leave
due to the adoption of a child, leave requests should be made to the immediate supervisor, copy
sent to the Mines’ Benefits Office, with as much notice as possible. Only that period of the leave
that fal s within the faculty member’s term of appointment shal be paid.

If the requested leave interrupts, or is expected to interrupt a semester in which the faculty
member is normal y scheduled to teach, the faculty member may choose to request relief from
teaching for one entire semester, which shal be granted. Such request must be made to the
faculty member’s immediate supervisor, in writing, at the same time as the request for Parental
Leave. For the period of the semester that the faculty member is not on medical disability or
parental leave (paid or unpaid), the faculty member is expected to resume non-teaching duties,
such as committee work, administrative work, and academic advising.

B. Unpaid Leave Following the Birth or Adoption of a Child

A benefits-eligible faculty member may request unpaid parental leave (in addition to paid
parental leave) for the purpose of caring for a newborn or newly adopted child to be used
immediately following the paid parental leave provided for in Section A above. Such request
must be submitted, in writing, to the faculty member’s immediate supervisor and the Mines’
Benefits Office as part of the request for paid Parental Leave. Taking into consideration the
faculty member’s needs and those of the departments or offices most affected by his or her
absence, the employee and his or her supervisor may negotiate a mutually acceptable length of
time for the unpaid leave. If the employee qualifies for leave under the Family and Medical Leave
Act, he or she shal be entitled to take up to the amount of leave stil available to the employee
for the relevant twelve-month period.

C. Unpaid Parental Leave for Temporary Faculty (adjuncts, administrative, athletics,
and research faculty)

While leave benefits are not normal y part of a temporary faculty member’s employment with
Mines, recognizing the special needs and circumstances attendant to the birth or adoption of a
new family member, faculty members may request unpaid parental leave for the purpose of
caring for a newborn or a child placed in foster care as a pre-adoption requirement. Such leave, if
granted, is to be used immediately following the birth or adoption (including a child placed in
foster care as a pre-adoption requirement). To be granted this leave, the temporary faculty
5-6

member must make his or her request in the same manner as required of benefits eligible faculty
outlined in Section 5.4.13 A above.

5.5 INSURANCE BENEFITS

Benefits-eligible faculty employed in a position that requires service of at least 50% of full-time effort and
whose contract or appointment period is anticipated to be at least a ful academic year (or its equivalent
period) are required to participate in all non-discretionary insurance programs (e.g., health insurance,
disability insurance, dental insurance, life insurance and travel accident insurance), unless a specific
exemption applies.

Research Faculty appointments are often affected by uncertain future funding conditions. If the
Research Faculty appointment is for a period less than a ful academic year (or its equivalent period), but
the sponsoring department intends for the Research Faculty appointment to be of a continuing nature
and has a reasonable expectation that future funding wil be secured to provide continuous employment,
the Research Faculty appointment is not considered to be temporary and may be Benefits-eligible. Even
though a series of Research Faculty appointments may be linked to create at least an academic year
equivalent for benefits eligibility purposes, the assignments must meet the 50% of full time effort
requirement in order to retain benefits eligibility. If a Research Faculty member’s assignment or
assignments falls below the 50% threshold, the Research Faculty member’s benefits eligibility wil end.

Exemptions to the requirement to participate in al non-discretionary insurance programs may be granted
to eligible faculty if: (1) the faculty member is also eligible for military health benefits; (2) the faculty
member holds bona fide religious beliefs that are in conflict with the requirements of the insurance
program; (3) the faculty member is covered by another group health insurance plan, or (4) the plan
documents or certificates of insurance that control each benefit provide for such exemption.

Prior to approving any significant change in the insurance benefits package provided to exempt CSM
employees, the CSM administration shall initiate a discussion of such proposed changes with affected
faculty groups in advance of the time frame for making a final decision regarding such changes. Subject
to the discussion process specified above, the Board reserves the right to make the final decision
regarding changes to its exempt employee insurance package, including the types of coverage provided
and the employer-employee cost al ocation. CSM currently provides the following types of insurance
coverage to its Benefits-eligible faculty.

In the event of any conflict between a statute, law, regulation, Trust document, or benefit plan document
(col ectively termed “Documents’) and this Handbook, the terms of the Documents shal control.


5.5.1 Health and Disability Insurance

CSM provides a group health and long-term disability insurance plan designed to cover faculty and
their dependents. Current information regarding this program and enrol ment forms may be obtained
from the CSM Human Resources Office.


5.5.2 Dental Insurance

CSM provides a group dental insurance plan for faculty. Current information regarding this program
and enrollment forms may be obtained from the CSM Human Resources Office.



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5.5.3 Vision Insurance

CSM provides a voluntary group vision insurance plan for faculty. Current information regarding
this program and enrollment forms may be obtained from the CSM Human Resources Office.



5.5.4 Life Insurance

CSM provides a group life insurance plan for its faculty. Current information regarding this program
and enrollment forms may be obtained from the CSM Human Resources Office.


5.5.5 Travel-Accident Insurance

CSM provides a travel-accident policy to insure all faculty members while traveling on CSM business.
Current information regarding this benefit may be obtained from the CSM Human Resources Office.

5.6 MANDATED BENEFITS


5.6.1 Workers' Compensation Insurance

CSM is covered by Workers' Compensation Insurance furnished through the State of Colorado for any
injury or illness incurred by its faculty in the regular performance of their duties. Additional
information regarding this benefit may be obtained from the CSM Human Resources Office.

5.6.2 Comprehensive Liability Insurance

CSM and its faculty are covered by Colorado Risk Management in accordance with the provisions of
the Colorado Governmental Immunity Act, C.R.S. Section 24-10-101, et seq., and the Colorado Risk
Management statutes, C.R.S. Section 24-30-1501, et seq., while acting in the course and scope of
their employment. Decisions about coverage are made by Risk Management on a case- by-case
basis. There is no coverage for personal property or the operation of a state vehicle while on
personal business. Current information regarding this subject may be obtained from the Office of
Legal Services or the Human Resources Office.


5.6.3 Retirement System Membership

All non-student employees of Mines are required to participate in the retirement system for which
they are eligible. Current information regarding these programs may be obtained from the Mines
Human Resources Office.

5.6.4 Unemployment Insurance

All faculty are covered by unemployment insurance as required by law and administered by the
State of Colorado. Additional information about unemployment insurance is available from the
Human Resources Office.

5.6.5 Medicare

All faculty hired on April 1, 1986, or later are subject by law to Medicare withholding taxes.
Additional information about the current Medicare payrol tax rate is available from the Human
Resources Office.

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5.7 PAYROLL OFFICE REQUIREMENTS AND INFORMATION

5.7.1 General Payroll Procedures

CSM faculty members are paid on the last working day of each month. All newly hired faculty are
required to provide evidence of citizenship or appropriate documentation of eligibility and permission
for employment in the United States. (See paragraph B below.) Faculty shall have their pay
deposited directly with a financial institution of their choice. Federal income tax regulations require
that al employees sign a Federal Form W-4, indicating the number of withholding exemptions to
which they are entitled. If a completed Form W-4 is not received, the Payroll Office wil compute
payroll deductions as if the employee were single, with no withholding exemptions. State employee
paychecks are also subject to Colorado State Withholding Tax and PERA contributions. The amount
to be withheld for state income tax shal be determined in accordance with the number of
withholding tax exemptions claimed for federal income tax purposes. Current information regarding
CSM payrol requirements and procedures may be obtained from the CSM Human Resources Office or
the CSM Payrol Office.


5.7.2 Proof of Employment Eligibility

CSM is required to comply with the Immigration Reform and Control Act (IRCA) and its associated
regulations. IRCA requires that every person hired must provide satisfactory evidence to CSM of his
or her ability to legally work in the United States. This evidence must be provided to the Human
Resources Office not later than the third business day after the start date of employment.
Individuals who do not provide such evidence in a timely manner must have their employment
terminated.
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SECTION 6
ETHICS, RESPONSIBILITIES, CONFLICTS AND EXTERNAL ACTIVITIES


6.1 FACULTY RESPONSIBILITIES

The general responsibilities of tenured and tenure-track faculty members fal into three major
categories: (1) teaching; (2) scholarship; and (3) service. The general responsibilities of teaching
faculty typical y focus on teaching and service, although scholarship may be performed. In
discharging their responsibilities, faculty members shall report directly to their department heads
or equivalent directors. Authority for assigning particular duties within the three major categories
rests solely with CSM.


6.1.1 Distribution of Effort

Distribution of effort among the three major categories for each faculty member is
determined through an annual goal-setting discussion described in subparagraph 7.1.1.A.
Normal y, tenured or tenure-track faculty members are expected to balance their efforts
almost equally between teaching (40%) and scholarship (40%), with the service component
(20%) being weighted at a level approximately one-half of the levels of the other two
components. Teaching faculty members are expected to distribute their efforts between
teaching and service, with both components defined below in section 6.1.2, although
distributions of effort that include scholarship are possible.

Library faculty members are expected to distribute their efforts between professional
responsibilities, scholarship, and service, with the professional responsibilities having the
greatest weight. Professional responsibilities vary depending on the faculty member's role
within the library, and include the range of activities that facilitate access to high-quality
information. Examples of a librarian's professional duties may include, but are not limited to:
professional research support, development of innovative techniques to improve discovery
and access to materials, or the development and delivery of instruction in information
research.

In the case of research faculty, the teaching and service categories may not apply.

Because of the importance that CSM places on teaching, teaching assignment guidelines
have been established for all tenured, tenure-track, and instructional faculty, as set forth in
the fol owing paragraph.


6.1.2 Teaching Assignment Guidelines

The fol owing table sets forth guidelines for the teaching assignments per semester
applicable to tenured, tenure-track, and instructional faculty members and should be utilized
in conjunction with annual goal setting. Significant deviations from these guidelines must be
agreed upon in writing by the faculty member and his or her department head and be
approved by the Provost.





6-1


Total Assignment
Recommended Teaching Component

Teaching Only
12 credit-hours per semester
Teaching and Service
9 credit-hours per semester
Teaching, Scholarship, and Service (no AYC1)
6 credit-hours per semester
Teaching, Scholarship, and Service (maximum AYC)
3 credit-hours per semester

Many combinations of courses, labs, senior design sections, special problems, and load
rearrangements can be used to meet the teaching assignment guidelines, and special
consideration may be given to new faculty members as part of their Professional Growth
Plans, as explained in paragraph 7.2.1 below.


6.1.3 Specific Faculty Responsibilities

The fol owing faculty responsibilities, while not an exhaustive list, are particularly noteworthy.
At a minimum, al academic faculty members shal be responsible for the fol owing:

A. Teaching:

1. Present assigned classes in a timely manner and arrange for appropriate
alternative presentation of course material in the event of necessary
absences from class.
2. Prepare and provide to students, at the beginning of a course, information
about the course, or syllabus, which shall include, at a minimum: course
description; course objectives; course outline; textbooks and reference
materials; expectation of students (exams, problem sets, quizzes); and
grading criteria.
3. Provide students reasonable access through regular and clearly posted office
hours, and email communications, personal consultations, etc.
4. Submit al final course grades by deadlines set by the Registrar.
5. Advise undergraduate and graduate students, consistent with any formal
departmental guidelines.

B. Scholarship/Research:

1. Engage in scholarly activities appropriate to the faculty member’s specific
discipline or field.
2. Complete in a timely manner, and within budget, al contractual
responsibilities set forth in research grants and contracts for which the
faculty member is responsible.
3. Comply with al required health and safety practices and policies, as wel as
current procedures concerning regulation and disposal of hazardous waste
developed by the CSM Environmental Health and Safety Office and the CSM
Safety Committee.
4. Conduct research activities in compliance with all pertinent state and federal
law and CSM policies and procedures.
5. Notify and obtain the approval of the Vice President of Research and
Technology Transfer in advance of performing any animal or human subject
research, which must be conducted in strict compliance with applicable state
and federal regulations.

1 Academic Year Chargeout
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C. Service:

1. Participate in meetings and activities of campus and departmental
committees to which faculty member is assigned.
2. Attend the annual Faculty Conference in August and either the President's
Convocation in August, or the December or May Commencement exercises.

D. Miscellaneous:

1. Comply with al relevant institutional policies and state and federal law
including, but not limited to, those governing the use of CSM and state
funds and accounts, performance of additional work, acquisition, utilization,
transfer and disposal of CSM property, CSM institutional computing networks
and other infrastructure and equipment, procurement of goods and services
for approved academic and other university purposes; and the hiring,
management and supervision of staff, as wel as undergraduate and
graduate student employees.
2. Perform other duties as assigned.


6.1.4 Faculty Travel

While attendance at professional meetings is encouraged, any faculty member planning to
travel on CSM-related business must submit a completed Travel Authorization form a
minimum of one (1) week prior to the travel to obtain the necessary approvals. The faculty
member must also disclose any consulting or financial interests as per section 6.3.4 that
relates to the travel.


6.1.5 Summer Services

All tenured and tenure-track faculty members may be required to render professional service
during the summer field sessions of the summer academic semester. Additional
compensation shall be paid for such summer service at a faculty member's normal salary
rate. Early in the spring, the Provost shal request the department heads to nominate
members of their staffs for summer employment. These nominations wil take into account
the desires of individual faculty members to the greatest extent possible, but CSM is
obligated to offer an effective summer program and individual faculty members are obligated
to staff this program. CSM wil make every effort to inform faculty members of their summer
appointments on or before April 1st of each year. The quality of instruction and attention to
duty expected for summer services shall be identical to that required during the regular
academic year.

6.2 FACULTY ETHICALOBLIGATIONS & STANDARDS


6.2.1 Oath or Affirmation of Allegiance
Pursuant to the mandate of Colorado Revised Statutes, §22-61-104, all CSM faculty and
staff members who teach, with the exception of non-tenure track faculty and staff
members who are employed to teach in a temporary capacity and are citizens of a nation
other than the United States, are required to take the fol owing oath or affirmation:

I solemnly (swear) (affirm) that I wil uphold the constitution of the
United States and the constitution of the state of Colorado, and I wil
faithful y perform the duties of the position upon which I am about to
enter.
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This oath or affirmation must be completed prior to the faculty or staff member’s
commencement of teaching duties, in writing, and subscribed and sworn before a notary
public or any other person authorized to administer oaths in the State of Colorado. The
faculty or staff member’s employment is contingent upon satisfying this statutory
requirement. A copy of the signed oath or affirmation wil be retained in the employee’s
personnel file.


6.2.2 Academic Fraud

All faculty members are professional y bound to adhere to the highest ethical standards
and to foster ethical behavior in their students. In particular, academic fraud in its
numerous forms, including, but not limited to, plagiarism, fabrication, and/or falsification
of research data or results, cannot be tolerated and when suspected must be reported to
the department head and the Provost. Research misconduct at CSM is governed by the
CSM Research Misconduct Policy and Complaint Procedure, which has been promulgated
by the Board and is set forth in section 10.3. A complaint lodged against a faculty
member al eging academic fraud of a type not covered by the Research Misconduct
Policy shal be investigated and handled in the manner outlined in section 11.1 below.



6.2.3 Ethical Standards and Obligations

The ethical obligations of an employee embody the spirit of the law, the values of CSM,
and the highest levels of professional integrity. Specific expectations are defined in
sections A, B, C, and D below. A complaint lodged against a faculty member that al eges
a violation of an obligation set forth below shall be investigated and handled in the
manner outlined in section 11.1.

Resources for reporting policy violations, or identifying potential ethical concerns are
available to faculty through many avenues, including, but not limited to: Human
Resources; Office of Legal Services; Compliance and Policy Office; and the appropriate
Vice President’s office. Additional y, CSM’s Ethics Hotline is available to all CSM
employees for anonymous inquiries or reporting. Mines’ does not tolerate retaliation
against an employee for reports of misconduct.


A. Ethical Standards for Colorado State Government Employees

CSM adheres to the Code of Ethics for state employees promulgated by the Colorado
General Assembly in Article 18 of Title 24 of the Colorado Revised Statutes, and CSM
adopts the following specifics standards of ethical behavior for its employees:

1. CSM employees shal not use CSM employment to bestow any preferential
benefit on anyone related to the employee by family, business, or close social
relationship. [The topic of nepotism at CSM is also addressed in subparagraph
6.2.3 D. below.]
2. CSM employees shal not disclose, use, or al ow others to use confidential
information acquired by virtue of CSM employment for private gain.
3. CSM employees shal not engage in outside employment unless the outside
employment is disclosed to and approved by the employee's immediate
supervisor and the outside employment does not interfere with the performance
of CSM duties. [The topic of faculty members engaging in additional professional
work is also addressed in subsection 6.4 below.]
4. CSM employees shal not accept any fee, compensation, gift, payment of
6-4

expenses, or any other thing of monetary value under circumstances in which
the acceptance may result in: (a) an undertaking to give preferential treatment
to any person; (b) any loss of complete independence or impartiality; or (c) the
making of an official decision outside official channels.
5. CSM employees shal not use CSM time, property, equipment, or supplies for
private gain.


B. Unauthorized Use of CSM's Name, Logo,Trademarks or Seal

The name of CSM may not be used in connection with the private activities of any CSM
employee, and no intimation may be given by a CSM employee that CSM has sanctioned
any personal undertaking. Further, CSM letterhead, stationery, and business cards may
not be used for personal endeavors, nor may the name of CSM, the CSM logo, CSM
trademarks, or the official State of Colorado seal be used on personal stationery.
However, direct dialing office telephone numbers may be shown on personal letterhead
or stationery.


C. Personal Relationships

The subject of personal relationships between teachers and students and/or between
supervisors and subordinates at CSM is governed by the CSM Amorous Relationships
Policy, which has been promulgated by the Board of Trustees and is accessible at the
online Policy library.



D. Nepotism

The subject of nepotism at CSM is governed by the CSM Nepotism Policy, which has been
promulgated by the Board of Trustees and is accessible at the online Policy library.



6.2.4 Workplace Standards of Conduct


A. Standards for Colorado State Government Employees

CSM hereby adopts the fol owing standards of workplace behavior for its employees:,

1. CSM employees shal serve the public with respect, courtesy, and
responsiveness.
2. CSM employees shal demonstrate the highest standards of personal integrity
and honesty.
3. CSM employees shal expose corruption in State government wherever
discovered.


B. Gender-Based Discrimination, Sexual Harassment, and Sexual Violence

CSM has policies prohibiting gender-based discrimination, sexual harassment, sexual
violence, and unlawful discrimination. These policies are promulgated by the Board of
Trustees and are set forth on the Board of Trustees and Human Resources policy web
pages.


C. Minors on Campus.


CSM strongly supports the protection of minors on and off campus and has adopted a
policy to protect minors on campus. See the CSM Policy on the Protection of Minors
6-5

which is accessible at the online Policy library.


D. Workplace Violence

CSM prohibits workplace violence as defined in the CSM Campus Violence policy
accessible at the online Policy library.

6.3
CONFLICT DISCLOSURE


6.3.1. General Policy Statement

As public employees, CSM faculty and staff members have a fiduciary obligation and
statutory duty to the people of the State of Colorado to adhere to ethical principles of
conduct (C.R.S. §§24-18-103, 104). Specifical y, the holding of employment at a state
university such as CSM is a public trust and any effort to realize personal gain through
official conduct, other than as compensation set through established processes, or by
inappropriate disclosure of confidential information is a violation of that public trust.
Accordingly, the employee’s external obligations, financial interests and activities must be
conducted in a manner that does not create an actual conflict of interest, result in the
appearance of impropriety, or interfere with the employee’s primary obligation and
commitment to CSM.

Conflicts of interest arise from time to time and are not necessarily unethical or il egal, as
long as they are appropriately disclosed and managed. However, failure to be
transparent and ful y disclose conflicts or potential conflicts of interest is unethical, and
may be il egal in certain circumstances. The purpose of this policy is to provide a means
for disclosing actual and potential conflicts so that these may be managed, reduced or
eliminated, to the extent possible, without detriment to the reputation, integrity or
position of CSM and the employee, and to avoid, whenever possible, compromising the
employee’s appropriate scholarly and professional pursuits.

6.3.2. Definitions


A. Conflict of Interest

A “conflict of interest” arises when an employee has or represents interests that
compete with or are adverse to those of CSM. Such conflicts often result from
situations in which financial or other personal considerations may adversely affect, or
have the appearance of adversely affecting the employee’s judgment while exercising
his or her CSM duties or responsibilities. Where a personal bias or consideration does
or has the potential to cloud the employee’s professional judgment, the conflict of
interest that arises may adversely impact the institution’s research, instructional or
administrative programs or operations. The education of our students, conduct of
research and scholarship, and performance of administrative tasks must be free of
the undue influence of outside interests.

The mere appearance of a conflict of interest situation may be just as serious and
damaging as the existence of an actual conflict. Reports of conflicts based on
appearances can undermine the public trust in CSM and its commitment to its
mission. Accordingly, apparent or potential conflicts of interest should be disclosed
and evaluated with the same vigor as actual conflicts.


6-6

A conflict of interest may arise at any time during the employee’s appointment at
CSM, including periods when the employee is not on campus and not performing his
or her primary duties for the institution. Such conflicts may arise and should be
reported during summer and semester breaks, or sabbatical leaves, as wel as during
the academic semesters for which the faculty member has a teaching or other
assignment at CSM.

B. Conflict of Commitment

A “conflict of commitment” arises when an employee assumes external commitments
or activities (such as professional consulting, other business interests, or personal
pursuits) that substantially interfere with, or impede, the employee’s ability to satisfy
his or her primary institutional obligations and commitments to CSM. A full-time CSM
appointment implies an obligation to satisfy CSM professional responsibilities in a
timely manner and maintain a meaningful presence on campus to ensure accessibility
to students, staff members and col eagues during the employee’s appointment
period. Generally, a conflict of commitment is only likely to arise during periods when
the employee is performing his or her assigned duties for the institution. By
definition, such conflicts are not likely to occur when the employee is on leave or
does not have an active assignment with the institution, during semester breaks,
summers and sabbatical or other leaves for faculty on nine-month contracts, for
example.

6.3.3 General Guidelines


A. Actual Conflicts of Interest

Following are examples of activities that create actual conflicts of interest and must
be disclosed and reviewed prior to being undertaken. CSM wil not approve the
proposed activity if a conflict of interest exists that cannot be effectively managed.




1. Financial gain to the employee that results from involvement in institutional
decisions. Public employees may be subject to criminal penalties if they do
not disclose a conflict of interest in situations where they exercise
“substantial discretionary function” in connection with a government
contract, purchase, payment or other pecuniary transactions without
appropriate, advance notice to the Secretary of State and CSM’s governing
board. (C.R.S §18-8-308.) Such conflicts may arise when the employee or a
member of his or her immediate family serves as an officer, director, trustee,
partner, agent or employee of an external, non-governmental entity
participating in a transaction with CSM, or the employee or a member of his
or her family has other direct or indirect dealings with the non-governmental
entity through which the employee or his or her immediate family member
knowingly materially benefit by receiving directly or indirectly cash or other
property as the result of the transaction. Such conflicts may be avoided or
managed effectively if properly disclosed, al owing the institution to remove
the employee from the CSM decision-making process that triggers the
conflict.

2. Financial interests in companies and other kinds of organizations doing
business with the institution. (Such conflicts are often manageable by the
institution if reasonable notice of the potential or actual conflict is provided
to the employee’s supervisor.)
6-7


3. Performance of work for personal gain above and beyond the employee’s
usual CSM compensation when the work in question falls within the regular
assignment of the employee.

4. Any outside activities that conflict with the employee’s institutional teaching,
research, service or other responsibilities.

5. Unauthorized disclosure of unpublished, privileged or confidential information
from a col eague or other CSM source for personal gain.

6. Directly or indirectly sel ing, renting, trading, or leasing personal property to
CSM without ful disclosure of the employee’s interests.

7. Assignment of students or other supervisees to research or other activities
from which only the employee intends to realize personal financial gain, or
where the employee is in a position to evaluate the student’s academic
performance or serve as the student’s academic advisor.

8. Use of CSM facilities for private consulting or research arrangements that
may involve personal gain without appropriate disclosure and reimbursement
to CSM for use of such facilities.

9. Consultations that impose obligations that conflict with CSM’s obligations to
research sponsors.


B. Apparent or Potential Conflicts

The fol owing activities are examples of apparent or potential conflict of interest
situations. In many cases, these conflicts can be resolved or effectively managed
upon prior disclosure.

1. Certain types of outside employment involving assignments that have the
potential to compromise the institutional position of the employee.

2. Consulting relationships involving activities with the potential to compromise
the institutional position of the employee.

3. Relationships that might enable employees to influence CSM’s interactions
with companies or other entities doing business with the institution for the
purpose of personal gain.

C. Activities Generally Not Deemed Conflicts

The fol owing activities are examples of permissible activities that would not be
deemed an actual or apparent conflict of interest:

1. Acceptance of royalties pursuant to CSM’s Intel ectual Property Policy
(Section 10.1), publication royalties, or honoraria for commissioned
publications and lectures, providing acceptance of such payments do not
violate state law, including, but not limited to Article XXIX of the Colorado
Constitution.

6-8

2. Services to professional, scientific, educational, artistic, cultural, civic,
business or other organizations that enhance the value of the employee to
CSM and do not adversely affect the employee’s primary commitment to
CSM.

D. Special Considerations in the Context of Licensing and Equity
Ownership

When outside companies license CSM inventions or other intel ectual property,
situations may arise that pose a conflict of interest for faculty and staff. Typical y,
this happens when employees make decisions while fulfil ing their CSM
responsibilities that might materially affect their personal wealth or that of their
immediate family members. Sometimes such conflicts can be managed; sometimes
they must be avoided. The fol owing are intended as some general guidelines, but
are not necessarily rules to cover al possible situations. The underlying principle,
however, for al situations is to make prior ful disclosure of the possible conflict
situation to the employee’s department head or immediate supervisor.

1. Individuals in managerial or supervisory positions should be especially aware
of potential personal legal and tax implications resulting from investing in
companies that are based on CSM technology and are founded by faculty,
staff, or students under their supervision. (See §4958 of the Internal
Revenue Code, Excess Benefit Transactions.)

2. Conflicts can arise in connection with performing outside professional
activities related to licensing and intel ectual property. Faculty should adhere
to the reporting and approval requirements outlined in Section 6.4.3 below.

3. While a company is stil privately held, managers and supervisors, including
student advisors and supervisors, should not invest personal y or own stock
in business ventures of their subordinates or students, since there is a
conflict of interest between the manager’s supervision of the student or
subordinate (e.g., assigning grades, approving promotions, determining
salary levels, al ocating office and research space, etc.) and the manager’s
business partnership with the student or subordinate.

4. Faculty, particularly department heads and laboratory and research center
directors, have a special responsibility with respect to determining ownership
of intellectual property developed from research by investigators they
supervise. Al faculty and staff should weigh careful y their and the inventor’s
obligations to CSM in deciding whether the invention falls under CSM
ownership. It is a direct conflict if an employee, department head or
laboratory/center director responsible for determining ownership of the
intellectual property intends to invest in or be a co-founder of a company
with the inventor.

5. It is a conflict for an investigator/inventor to negotiate with CSM regarding
the terms of a license before the matter of ownership has been definitely
resolved. Faculty and staff who are founding companies should not
personally negotiate the licensing terms with CSM. An attorney or company
executive with no connection to CSM should be appointed for this task.


6-9

6. Faculty and staff who own equity in a company should not attempt to
influence the licensing terms that CSM offers to the company.

7. Faculty and staff who hold board positions with companies should recuse
themselves on issues involving licensing terms with CSM.

8. Faculty and staff should remember that their primary employer is CSM and
that they have a heightened responsibility to their primary employer when
deciding whether to assign their inventions to CSM or to a company for
whom they consult. If an employee has questions about intel ectual property
ownership and the applicability of the CSM Intellectual Property Policy
(Handbook Section 10.1), he or she should consult with the Vice President
for Research and Technology Transfer or the Director of the Office of
Technology Transfer.

9. It is a conflict for a faculty member to accept research sponsorship from a
company in which he or she has a significant financial interest. This conflict
arises because the outcome of the research could materially affect the
personal wealth of the researcher or an immediate family member.
However, a faculty member is not precluded from receiving research support
from a large, publicly held company just because the employee or his or her
family member owns shares of stock in the company. Financial interests
should be disclosed pursuant to the Conflict of Interest Policy to determine
whether an actual conflict exists.



6.3.4 Conflict of Interest Disclosure Requirements and Procedure

The employee is required to disclose to CSM any conflict of interest or appearance of
conflict of interest through the process defined in the CSM Conflict of Interest Policy.
Disclosures are required:

• for new employees, prior to the start of CSM employment;

• at least 30 days in advance of the undertaking of all new external commitments,
including professional consulting and non-remunerative activities, and acquiring
new significant financial interests; and

• on at least an annual basis, in conjunction with the annual faculty evaluation
process.

6.3.5 Conflict of Commitment Disclosure Requirements and Procedure

A. Disclosure Procedure

The employee has the responsibility for disclosing to their Department Head or
Supervisor any conflict of commitment or appearance of conflict of commitment.
Disclosures are required:

• for new employees, prior to the start of CSM employment;

• at least 30 days in advance of the undertaking of all new external commitments,
including professional consulting and non-remunerative activities; and
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• on at least an annual basis, in conjunction with the annual faculty evaluation
process.

B. Role of Department Head or Supervisor


Supervisors are responsible for reviewing all conflict of commitment disclosures made
by employees they supervise, and keeping the information on the disclosure
confidential. This includes:

1. Within fourteen (14) calendar days fol owing receipt of the employee’s
disclosure form, the supervisor wil determine whether:


(a) the reported activity is permissible because it fal s within the scope
of professional and appropriate conduct and has been properly
disclosed;

(b) a conflict exists that should be addressed by developing and
implementing a conflict of commitment management plan that,
among other things, may transfer certain decision-making
responsibilities to other employees or require other actions
necessary to address real or perceived conflicts of commitment; or

(c) the conflict cannot be effectively resolved or managed by the
institution and the proposed activity must therefore be terminated.

2. If the Supervisor finds the activity to be permissible, the supervisor shall
approve the disclosure and forward it to the appropriate Vice President. If,
however, the supervisor identifies a conflict of commitment, the supervisor
shal confer with the appropriate Vice President or their designee for
purposes of developing a conflict of commitment management plan. In the
case of academic faculty disclosures, the faculty member’s supervisor shall
consult the appropriate College Dean prior to resolving any actual or
apparent conflicts of commitment. The supervisor wil inform the employee
in writing of the outcome of the conflict review and provide a management
plan where appropriate.

C. Role of COI Committee

The Conflict of Interest Committee (“COI Committee”) helps facilitate the
implementation of the university’s conflict of interest policies, clarifies faculty
obligations in this area, provides guidance with respect to enforcement of the
university policy and the development of conflict management plans, annually
reviews such plans, and addresses disputes arising from conflict management plan
development and implementation. Employees who disagree with the decision of the
supervisor regarding the resolution of a conflict of commitment or a proposed conflict
management plan may appeal the decision by requesting that the COI Committee
review the case and make a written recommendation to the appropriate Vice
President, who wil then issue a final decision in the matter. An employee’s failure
to comply with the Vice President’s final decision may result in disciplinary action.



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6.3.6. Safeguards and Sanctions

A CSM employee who has ful y and timely disclosed real or potential conflicts of
interest or commitment wil have an affirmative defense to any civil or criminal action
that might result from a breach of his or her fiduciary duty (C.R.S. §24-18-110).
Failure to fully disclose conflicts or potential conflicts as prescribed by policy may be
grounds for disciplinary action and sanctions. Additional y, federal awarding agencies
may require reporting of policy violations.

6.4
PERFORMANCE OF EXTERNAL WORK AND PROFESSIONAL ACTIVITIES

CSM recognizes that professional consulting by its faculty and staff members can foster
professional growth and lead to the development of potentially valuable external contacts for
CSM. CSM also realizes that non-professional, external commitments may be a desirable or
necessary activity. Finally, CSM is aware that the performance by faculty and staff of extra
CSM services for additional remuneration can be, under appropriate circumstances, a
mutual y beneficial arrangement. Accordingly, exempt employees may undertake additional
work, subject to the applicable conditions and requirements enumerated below, as well as
the requirements regarding actual and apparent conflict disclosures outlined in Sections 6.3.4
and 6.3.5 above.


6.4.1 Categories of External Work and Activities Subject to This Policy



A. Professional Consulting

Professional consulting is the provision of professional advice or services to external
constituents with or without remuneration. Opportunities for such work commonly arise
when a faculty member is asked to provide scientific analysis, testing or expertise in
another form to an outside party where it may not be feasible or appropriate to provide
such service in the context of sponsored research in the university setting, for example,
when a faculty member is asked to serve as an expert witness in litigation. The
opportunity for employees to accept occasional professional consulting engagements is
recognized as a traditional privilege accorded by CSM. If undertaken in moderation, CSM
considers such activities to be a desirable and legitimate means for promoting the
professional development of its employees, facilitating the flow of information between
academia and external entities, and fostering the development of valuable professional
relationships, which can benefit both the employee and CSM. Employees must disclose
and obtain institutional approval of any professional consulting pursuant to the procedure
outlined in Section 6.4.3 below.

B. External Employment and Other Paid Services

Any external employment or services undertaken by an employee for compensation from
an individual or entity outside CSM during the period in which the employee’s CSM
assignment is being performed must be disclosed and approved pursuant to the
procedure outlined in Section 6.4.3 below. Such external employment and services
include, but are not limited to arrangements whereby the employee provides goods or
services to external businesses or individuals, paid board appointments, paid speaking
engagements, etc.



C. Non-Remunerative External Commitments

Any employee who seeks to undertake any continual external commitment during the
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period in which the employee’s CSM assignment is being performed and during the
traditional work week schedule must disclose and obtain institutional approval pursuant
to the procedure outlined in Section 6.4.3 below. For purposes of this subsection, the
term “continual” shal mean more than sporadical y. Such commitments may include, but
are not limited to volunteer service, and external professional service or development
activities such as participation in professional societies or organizations, participation in
review boards or accreditation efforts for other institutions, etc.



D. Extra CSM Services for Additional Remuneration

From time to time, an employee may seek or be asked to perform services for CSM
outside the traditional scope of the position for which the employee was hired, including
but not limited to, instructional and other professional services. Any employee who seeks
to perform such additional services for remuneration must obtain institutional approval
pursuant to the procedure outlined in Section 6.4.3 below.


6.4.2 General Requirements and Guidelines for Approval of Additional Work



A. General Requirements

1. All proposed additional work commitments identified in Section 6.4.1 must be
approved by the employee’s department head or immediate supervisor in
advance of the planned activity, pursuant to the procedure outlined in Section
6.4.3 below.

2. No additional work commitments wil be approved if the employee’s department
head or immediate supervisor determines that participation in the subject activity
wil or is likely to impede the employee’s ability to satisfactorily meet his or her
CSM teaching, advising, research, and service commitments or other assigned
CSM duties and obligations.

3. Absences of more than one week at a time for the purpose of performing
additional work are strongly discouraged and shall be approved only in unusual
cases. Moreover, it is expected that al time not devoted to CSM duties during
the normal work week wil be covered by approved annual leave, if available, or
made up after normal working hours and/or on weekends.

4. Professional consulting that is undertaken by a ful -time employee during the
period in which the employee’s CSM assignment is being performed should not
exceed an annual average of eight hours per week.

5. An employee who performs compensated or uncompensated consulting services
for external entities or individuals is acting as an individual and must avoid giving
the impression, implicitly or explicitly, that he or she is representing CSM or
acting as its agent.

6. An employee who performs consulting for an external entity or individual shal
not use CSM resources without prior written approval of his or her department or
division head or immediate supervisor and payment of appropriate fees for use
of such resources. The fees assessed wil be determined in accordance with
CSM’s Educational Business Activities Policy and any other pertinent university
policies and procedures.

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B. Conflict Disclosure

The employee must disclose to his or her department head or immediate supervisor any
actual or apparent conflicts of interest that may arise as a result of the employee’s
undertaking the proposed external commitment. The procedure for disclosing such
conflicts is outlined in Section 6.3.4 above. The employee has a continuing obligation to
disclose apparent or actual conflicts that develop after the initial approval of the external
commitment.

If a conflict exists and cannot be resolved or managed effectively by the institution and
involved individuals, the employee’s participation in the activity will not be approved.

6.4.3 Procedure for Obtaining Approval of Additional Work



A. Approval for Consulting and Other External Commitments

An employee wishing to engage in consulting or other external commitments outlined in
subsection 6.4.1 above shal submit a Request to Engage in External Commitments Form
to his or her department head or immediate supervisor a reasonable time prior to the
anticipated commencement date of the consulting, but in no case shall this be less than
two weeks in advance of the requested commitment. This form is accessible via the
Academic Affairs Procedures Manual.

1. Minimum Elements. The request should contain, at a minimum, the fol owing
elements: (1) a statement describing the specific nature of the work to be
undertaken; (2) a statement describing how the work wil enhance or support
the employee's activities as an employee of CSM; (3) if applicable, a statement
listing reasons why the work is inappropriate to be conducted through sponsored
programs at CSM; (4) a statement describing any actual or potential conflicts of
interest with the employee's performance of his or her CSM duties; (5) a
statement describing any actual or potential conflicts of interest with any
endeavor conducted by CSM, or a department or subset thereof; (6) a statement
describing how the employee intends to insure that no conflict of interest
develops during the course of the work; and (7) a statement addressing the
issue of potential conflict of commitment.


2. Review of the Request. In considering the request, the department head or
immediate supervisor shall weigh the following factors: (1) the potential value of
the work to CSM and the individual; (2) the performance level of the employee
who has submitted the request; (3) possible interference with the employee's
performance of his or her CSM duties; and (4) the likelihood of a potential
conflict of interest. The supervisor wil inform the employee in writing of the
outcome of his or her review of the employee’s Request to Engage in External
Commitments within seven (7) calendar days fol owing receipt of the Request.
The department head or immediate supervisor may resolve any conflict of
commitment issue at the departmental level, but the appropriate vice president
shal be available to resolve employee appeals. Conflict of interest issues shal
be resolved pursuant to the procedure outlined in Section 6.3.4. If a conflict of
interest exists that cannot be resolved or effectively managed by the institution
and individuals involved, the proposed external activity wil not be approved.

As part of the annual evaluation process, al faculty shall certify that Requests to Engage
in External Commitments made during the previous year are complete and correct.
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B. Extra CSM Services for Additional Remuneration

An employee wishing to perform extra CSM services for additional remuneration, as
described in subsection 6.4.1 D above, shall submit a Request to Perform Extra CSM
Services for Additional Remuneration Form to his or her department head or immediate
supervisor a reasonable time prior to the anticipated commencement date of the extra
services. This form is accessible via the Academic Affairs Procedures Manual.

1. Minimum Elements. The request should contain, at a minimum, the fol owing
elements: (1) a statement describing the specific nature of the extra services to
be performed; (2) a statement describing how the services wil enhance or
support the employee's activities as an employee of CSM; and (3) a statement
addressing the issue of conflict of commitment with the employee’s primary
assignment.

2. Review of the Request. In considering the request, the Department Head or
immediate supervisor shall weigh the following factors: (1) whether or not
provision of the service is included in, or closely related to, the employee’s
normal assignment; (2) whether or not the service is an integral part of the CSM
curriculum or administrative operation; (3) whether or not the employee
possesses expertise in the area of the proposed service; (4) whether or not the
service is being provided by other employees for no remuneration; (5) whether
or not the service is determined to be valuable to students, staff, faculty, or
administrators, and would not be otherwise available; and (6) whether or not the
provision of the service would interfere with the performance of the employee’s
normal CSM assignment. An arrangement to perform extra CSM services for
additional remuneration requires the written approval of the employee’s
Department Head or immediate supervisor and the appropriate vice president.

6-15

SECTION 7
PERFORMANCE AND EVALUATION


7.1 PERFORMANCE EVALUATIONS

The annual evaluation of faculty performance is critical to the professional development of individual
faculty members. For tenured and tenure-track faculty, teaching faculty, research faculty, library faculty,
and Professors of Practice the evaluation focuses on performance during the evaluation period in the
areas of teaching, scholarship, and service, as appropriate. The faculty performance evaluation is the
primary source of information for employment decisions regarding compensation, professional
development, promotion, tenure, appointment renewal and performance-related terminations for cause.
All annual evaluations wil be submitted to Academic Affairs for review.

For tenure-track assistant professors, a Preliminary Tenure Review, in accordance with paragraph 8.1.4
below, shall be conducted by the department promotion and tenure committee and the department head.
For al tenure-track faculty, the department head's comments concerning the candidate's progress toward
promotion and tenure shall be included on the candidate's annual evaluation form.

For research professors of al ranks and for Graduate Faculty who are not part of another regular annual
evaluation process, the faculty member’s direct supervisor shal conduct annual evaluations. For this
evaluation, a research professor or a Graduate Faculty member shal provide their supervisor a complete
and up-to-date CV along with a cover memo highlighting activities completed over the past calendar year.
The supervisor shal review these and issue an evaluation of either: meets expectations for the current
position, or does not meet expectations for the current position. In the case of performance not meeting
expectations, the supervisor shal provide, in writing, an explanation for the negative evaluation, provide
the entire package to the faculty member’s Department Head for review and comment, and then discuss
the evaluation with the research faculty member. If the faculty member disagrees with the negative
review, they may appeal the review to the appropriate col ege Dean.

For administrative and athletics faculty, the criteria and process for the annual evaluation are determined
by the faculty member’s supervisor. The format and content of evaluations for all of these exempt
employees wil be determined on a departmental basis. Al evaluations wil be reviewed by the next level
supervisor. Additional y, the appropriate Dean, Vice President or President may also be a reviewer.


7.1.1 General Outline of the Evaluation Process for Academic Faculty1

The fol owing is a general outline of the academic faculty evaluation process at CSM. Complete
details concerning the process, such as applicable time schedules and due dates, may be found in the
Academic Affairs Procedures Manual, which is available on CSM’s website.


A.
Goal Setting

1. During the spring semester of each year, the department head shal confer with
department faculty to develop department goals. These shall be conveyed to and
discussed with the Provost except when the department exists in a college. In this
instance, the department head will convey to and discuss with the college Dean the
departmental goals. The Dean wil discuss proposed college goals with the Provost.
2. The department head shall meet with each faculty member in a timely manner each

1 Tenured, tenure-track, and teaching faculty of al ranks, and Professors of Practice.
7-1

calendar year to discuss individual goals and assignments for the upcoming evaluation
period. At this meeting, the distribution of effort among the three evaluation categories
(see paragraphs 6.1.1 and 6.1.2) shal be discussed to determine whether any change in
this distribution is appropriate. In the case of research faculty who are supported over a
multi-year period on continuing and new grants, the annual meeting should address the
faculty member’s goals for research directions and grant procurement in the upcoming
year. The meeting should include the department head and research supervisor, if
appropriate. This meeting is not required for research faculty having short-term or
intermittent contract appointments such that year-to-year goal setting is unrealistic.
3. Goals and effort distribution should be placed in writing and can be revised with the
mutual consent of the faculty member and the department head, and research
supervisor as appropriate.

B. Evaluation

1. At the end of the evaluation period, the faculty member shal complete a Faculty Data
Report and submit it to the department head.
2. The department head shal review the Faculty Data Report and assemble student ratings,
peer evaluations, external evaluations, and other appropriate data. Based on the Faculty
Data Report and the assembled data, the department head shal conduct an evaluative
analysis and a formative analysis using the Faculty Evaluation Form.
3. For the evaluative analysis, the department head shal assign a performance rating of
"exemplary," “exceeds expectations,” "satisfactory," “needs improvement,” or
"unsatisfactory" for the applicable categories, teaching, scholarship, and service.
4. The formative analysis shall consist of an overall performance rating and a narrative
summary of the evaluation, including a summary of progress toward tenure (if
applicable), a summary of progress toward promotion, and areas for improvement, as
appropriate. In cases where performance of a tenured faculty member is deemed
unsatisfactory, a Performance Improvement Plan is mandated as outlined in Section 7.3
below.
5. The department head shal meet with the faculty member to discuss the evaluation.
Both shal sign the Faculty Evaluation form. The faculty member's signature
acknowledges the discussion, but it does not necessarily indicate his or her agreement
with the evaluation. The faculty member may also attach a rebuttal statement to the
evaluation.
6. The Faculty Data Report and the Faculty Evaluation Form shall be submitted to Academic
Affairs for review and acknowledgement by the Associate Provost. A signed copy shal
be returned to the faculty member. If the Associate Provost has questions about the
evaluation, it shal be returned to the department head for discussion and further review.
The Associate Provost wil alert the Provost to any especial y noteworthy faculty
evaluations during each evaluation cycle. The Office of the Associate Provost shal
annually provide the Provost with a report summarizing the faculty evaluation ratings
from each department/division.


7.1.2 Effect of Extended Leave on Evaluation Goals

If an exempt employee has taken an extended period of leave, he or she may request that his or her
evaluation goals be temporarily redefined to reflect a reasonable performance expectation for the
affected evaluation period. When a request for amended evaluation goals is submitted, the
employee and his or her supervisor shal attempt to negotiate appropriate evaluation goals for the
affected evaluation period. If the employee and his or her supervisor cannot agree upon the need
for, or the specific content of, amended evaluation goals, the appropriate vice president shal review
7-2

the matter and make a final decision on the issue of amended evaluation goals.

7.2 PROFESSIONAL GROWTH AND DEVELOPMENT

CSM is mindful of the important goal of attracting, supporting, promoting, and retaining quality faculty
members and believes that professional growth and development is crucial to maintaining faculty quality.
A Professional Growth Plan is mandatory for each new academic faculty (i.e., tenure-track and teaching)
member to ensure that a clear understanding exists between the faculty member and CSM regarding
their mutual expectations. Any interested faculty member may propose a Professional Development Plan
to his or her department head. Al Professional Growth Plans and Professional Development Plans must
be prepared with the concurrence of the department head and submitted to the Provost for review prior
to implementation.


7.2.1 Professional Growth Plans for Newly Appointed Faculty

During the first semester of employment, each new faculty member shal develop, in consultation
with his or her department head, a Professional Growth Plan specifying goals and expectations. For
tenure-track faculty, it should cover the period, at a minimum, up to the Preliminary Tenure Review.
Faculty members may be offered developmental support as a part of their Professional Growth Plans
or in conjunction with their initial employment contracts. A faculty member’s Professional Growth
Plan may be modified from time to time with the approval of his or her department head. During the
initial years of appointment, including year-to-year appointment renewals, the Professional Growth
Plan shal be considered as part of the goal-setting exercise in Section 7.1.1.A.2.


A. Categories of Available Support

Formative evaluations, workshops, and senior faculty mentor programs may be utilized, as
appropriate, to guide new faculty members in their professional growth. Start-up packages may
also include any of the following components: summer salary, special laboratory or office
equipment, a lighter than normal teaching load, graduate student support, travel support, and
research initiation support. A faculty member must account to CSM for the use of this support,
and any equipment purchased under such an agreement shall be the property of CSM.


7.2.2 Professional Development Plans for Faculty

Any faculty member may request developmental support with the recommendation of his or her
department head through submission of a written Professional Development Plan. This support is
intended to assist those faculty members who desire to improve their teaching or research, or who
wish to change their career directions at CSM. Professional Development Plans, which shal be
submitted through the department head to the Provost for review, must clearly state the desired
goals, justify the need for support and outline the expected areas of improvement. A faculty
member's success in achieving Professional Development Plan goals shal be included as part of his or
her annual evaluation.


A.
Categories of Available Support

Any of the fol owing types of support may be granted in conjunction with a Professional
Development Plan: research initiation support, travel support, summer salary support, sabbatical
leave, equipment, and other appropriate support as may be agreed upon by the Provost and the
faculty member. A faculty member must account to CSM for the use of this support, and any
equipment purchased under such an agreement shal be the property of CSM.
7-3


7.3 PERFORMANCE IMPROVEMENT PLANS

A Performance Improvement Plan (PIP) is mandatory for any tenured faculty member whose
performance is judged to be unsatisfactory. A PIP is strongly recommended for any teaching faculty
member whose performance is judged to be unsatisfactory. Al of these PIPs shal be reviewed and
approved by the Provost. CSM may offer appropriate support to faculty members in conjunction with
their PIPs as indicated below.


7.3.1 Performance Improvement Plans for Tenured and Tenure-Track Faculty

At the time annual faculty evaluations are prepared, department heads wil identify faculty members
for whom a PIP is required or recommended. An individual so identified wil be required to cooperate
in formulating a PIP, which shall include identified weaknesses, all actions perceived as necessary to
correct those weaknesses, and performance goals. The faculty member shall work with his or her
department head to integrate the PIP to the annual faculty goal-setting exercise.


A. Categories of Institutional Support Available

Any of the fol owing types of support may be granted in conjunction with a Performance
Improvement Plan: research initiation support, travel support, summer assignments, equipment
acquisition, and sabbatical leave. Additional support in the form of career counseling, short
courses, workshops, and internships may also be offered. A faculty member must account to
CSM for the use of this support, and any equipment purchased under such an agreement shal be
the property of CSM.


B.
Time Limitations

The Performance Improvement Plan shal be initiated within ninety days from the date of
identification of the performance deficiencies necessitating the plan. The Performance
Improvement Plan shal specify a time period of up to three years during which the necessary
improvement must take place. These time periods may be extended at the discretion of the
Provost in extraordinary circumstances.


C.
Procedure for Implementation of Plan

The Performance Improvement Plan, including all support offered, shall be agreed upon verbally,
reduced to writing, and signed by the faculty member, the department head, and the Provost. If
agreement cannot be reached, or if a faculty member refuses to cooperate in formulating a
Performance Improvement Plan, the department head shall write the plan and convene the
standing departmental promotion and tenure committee to obtain an opinion on the feasibility
and appropriateness of the plan. The recommendations of both the department head and the
promotion and tenure committee shall be forwarded to the Provost for a final decision regarding
implementation of the plan. The Provost may decide to implement the plan without the
agreement or cooperation of the faculty member. In such a case, the plan shal have the same
effect as if the faculty member had fully cooperated in its formulation.


D.
Sanctions for Failure to Fulfill Plan Requirements

If satisfactory improvement, as determined by the department head and the Provost, has not
been achieved by the faculty member at the end of the period specified in the Performance
7-4

Improvement Plan, appropriate disciplinary action, up to and including termination for cause,
may be invoked.


7.3.2 Performance Improvement Plans for Teaching Faculty

Subject to the notice requirements and appeal rights in Section 9 below, CSM may terminate teaching
faculty member with or without cause. As described in Section 9.2 of the Faculty Handbook, CSM
may provide prior notification to an employee of his or her performance deficiencies and an
opportunity to correct such deficiencies prior to being terminated. Depending on the supervisor’s
judgment about the significance or severity of the performance deficiency, a supervisor may serve
teaching faculty member with verbal or written notice of his or her performance deficiencies at any
time. Supervisors are encouraged to communicate performance concerns as they arise. An
individual so notified may be required to cooperate in formulating a Performance Improvement Plan,
which shal include the identified weaknesses, al actions perceived as necessary to correct those
weaknesses, and performance goals. The establishment of a Performance Improvement Plan,
however, does not create a contract of employment for any period of time. This provision does not
apply to tenured and tenure-track faculty.


A.
Availability of Institutional Support

Institutional support is not normal y granted to an exempt, non-tenure-track faculty member in
conjunction with a Performance Improvement Plan. However, in unusual cases, such support
may be granted with the written approval of the appropriate vice president. A faculty member
must account to CSM for the use of this support, and any equipment purchased under such an
agreement shall be the property of CSM.


B.
Time Limitations

The Performance Improvement Plan shal specify a time period of up to one year during which
the necessary improvement must take place. This period may be extended at the discretion of
the appropriate vice president in extraordinary circumstances.


C.
Procedure for Implementation of Plan

The Performance Improvement Plan, including any support offered, shal be agreed upon
verbally, reduced to writing, and signed by the faculty member and the appropriate vice
president. If agreement cannot be reached, or if an exempt, non-tenure track-faculty member
refuses to cooperate in formulating a Performance Improvement Plan, the supervisor may write
the plan and implement it without the agreement or cooperation of the employee. Alternatively,
the appropriate vice president may proceed immediately to invoke sanctions against the
employee pursuant to subparagraph D immediately below as if the plan had been completed in
an unsuccessful manner.

D.
Sanctions for Failure to Fulfill Plan Requirements

If satisfactory improvement, as determined by the appropriate vice president, has not been
achieved by the employee at the end of the period specified in the Performance Improvement
Plan, appropriate disciplinary action, up to and including termination for cause, may be invoked.

7-5

SECTION 8
PROMOTION AND TENURE


8.1 TENURED AND TENURE-TRACK FACULTY

A faculty appointment with academic tenure is a privilege awarded by CSM that is earned by a record of
superior academic performance and incorporates the expectation that such performance wil continue and
thrive. The conferral of tenure forms the basis of a long-term contractual partnership between a faculty
member and CSM, and is recognition of the faculty member’s career alignment with the long-term mission
of the institution. A faculty member with tenure may be terminated by CSM only for cause or non-
renewed for reasons of financial exigency or degree program termination. Academic tenure is conferred
by the CSM Board of Trustees based on a recommendation that is framed by the criteria for tenure, and
developed through the application and review procedures set forth in this section of the Handbook.

The tenure track refers to the status of appointment for faculty who are working toward tenured status. A
tenure-track appointment is probationary and term-limited, and is granted to an academic faculty member
to provide a period of employment within which the faculty member is expected to establish a record of
academic achievement that is reviewable for academic tenure. The precise terms and conditions of each
tenure-track appointment at CSM shall be explicitly agreed upon by both the Provost and the faculty
member, and expressed in writing before the appointment is finalized. To ensure continued employment
at CSM as a tenured faculty member, tenure must be conferred before the expiration of the tenure-track
appointment.

The tenure-track appointment is probationary, and is subject to termination in the following situations:

A. Pursuant to Section 9.1.1 addressing non-renewal of the tenure-track appointment without
cause;

B. Pursuant to Section 8.1.4, when the Preliminary Tenure Review reveals the Candidate has
made insufficient progress toward achieving tenure to a degree that the candidate’s success at
CSM is viewed unlikely.

8.1.1 Time Limitations

A.
Tenure-Track Assistant Professors

Unless extended, see section 8.1.1 C below, a probationary contract period for a tenure-track
assistant professor shall not exceed seven years and a tenure decision must be made by no later
than the end of the sixth year of tenure-track service at CSM. In the case of a start date after
the Fal semester, the probationary period wil be extended to six years after the beginning of the
Fal semester following the appointment. Unless extended, a performance evaluation in the form
of a Preliminary Tenure Review shall be conducted in the sixth semester of tenure-track service
at CSM. At the initiation of either the tenure-track assistant professor or his or her Department
Head, a Preliminary Tenure Review may be conducted before the sixth semester with the written
approval of the Dean. The process for a Preliminary Tenure Review is described in paragraph
8.1.4 below.

B.
Tenure-Track Associate and Full Professors

Unless extended, a probationary contract period for a tenure-track associate or ful professor
shal be consistent with the termination date on the associate or ful professor’s tenure-track
8-1

employment contract. The length of this probationary period shall be set during employment
negotiations and shall be no less than four and no more than seven years. A tenure decision
must be made no later than one year prior to the termination date on the tenure-track
employment contract. In the case of a start date later than the beginning of the Fall semester,
the probationary period wil be extended to six years after the beginning of the Fal semester
fol owing the appointment. A performance evaluation in the form of a Preliminary Tenure Review
shal be conducted in the semester that constitutes the midpoint of a candidate’s probationary
period, normally the sixth semester of tenure-track service at CSM. At the instigation of either
the tenure-track associate or ful professor or his or her Department Head, and irrespective of
length of the probationary period, a Preliminary Tenure Review may be conducted prior to the
midpoint of the probationary period with the written approval of the Dean. The process for a
Preliminary Tenure Review is described in paragraph 8.1.5 below.



C.
Request for Extension of Probationary Contract Period

In the case of serious il ness, pregnancy, childbirth, dependent care, or other extenuating
circumstances, a tenure-track faculty member may submit a written request to extend the
probationary contract period, and additionally, if the requested stoppage occurs prior to
Preliminary Tenure Review, postpone the Preliminary Tenure Review.

The request must be submitted to the Department Head and Dean, who wil each add their
written recommendations and forward the request to the Provost. The Provost wil consider the
request and recommendations and provide his or her decision in writing to the faculty member.
Leave taken pursuant to sections 5.4.4, 5.4.5, 5.4.10, 5.4.11, 5.4.12, and 5.4.13 of the
Handbook qualifies for stoppages of the tenure clock that would extend the probationary contract
period and, possibly, the timing of the required Preliminary Tenure Review. Any such “stops”
must be taken in one-year increments. However, the faculty member may elect, within six
months fol owing his or her return from leave, to have the leave time count as part of his or her
probationary period. Such election must be made in writing to the employee’s Department Head
and must be approved by the Dean.

8.1.2 Criteria for Tenure

Tenure establishes a long-term contractual relationship between CSM and a faculty member. The
granting of tenure represents acknowledgement by CSM that a tenure candidate has convincingly
demonstrated the capability for making substantial and important contributions to the goals of CSM
throughout the remainder of his or her career. Since the tenure decision is based on a tenure
candidate's potential for long-term contribution to the goals of the department and CSM, progress
toward tenure is reviewed as a part of each tenure-track faculty member's annual evaluation. As
departmental and CSM goals change, so, too, wil the criteria for the granting of tenure. The factors
that shal be considered by CSM in making a tenure decision shal include, but not be limited to, the
fol owing: (1) the candidate's academic degree and other professional attainments; (2) the quality
and trajectory of the candidate's performance in teaching, scholarship and service; (3) the likelihood
that the candidate wil continue to produce at or above his or her current level and continue to grow
professional y; (4) the candidate's progress toward establishment of a national and international
professional recognition; (5) the candidate's potential for achievement of greater professional
recognition; and (6) the compatibility of the candidate's academic expertise with the long-term,
programmatic goals and requirements of CSM.




8-2

8.1.3 Departmental Promotion and Tenure Committees

The Departmental Promotion and Tenure Committee reviews the promotion and/or tenure application
taking into account the standards and practices of the candidate’s discipline. While it is the
responsibility of the department head to facilitate the development of faculty in the department,
candidates are encouraged to seek broader input and guidance from members of their Departmental
Promotion and Tenure Committee.

Within the preliminary tenure review process and at the time of application for promotion and/or
tenure, the Departmental Promotion and Tenure Committee shal examine the candidate's dossier
and: (i) in relation to guidelines and criteria established by the institution, evaluate the candidate's
research contributions, teaching effectiveness, and service to both internal and external communities;
and (i ) make a written recommendation to the Department Head regarding the candidate's progress
toward, or suitability for promotion and/or tenure. The Departmental Promotion and Tenure
Committee shal determine the process fol owed in producing this recommendation.

The Promotion and Tenure Committee of each academic department shal consist of al ful -time,
tenured associate professors and ful professors in that department, but it shal not include the
Department Head or faculty members on transitional appointments. Applications for promotion to the
rank of ful professor with tenure and applications for tenure filed by ful professors shal be
considered by a subcommittee that includes only tenured ful professors. Faculty members who are
otherwise eligible to participate in Departmental Promotion and Tenure Committee activities, but are
on sabbatical leave may at their discretion choose not to participate. If a faculty member on
sabbatical chooses to participate in the promotion and tenure process, he/she is expected to do so as
a full member of the Departmental Promotion and Tenure Committee. Faculty who are otherwise
eligible to participate in Departmental Promotion and Tenure Committee activities, but are on other
types of leave (i.e., medical leave, unpaid leave, and administrative leave) are not eligible to
participate in the promotion and tenure process.

The committee (or subcommittee) that considers tenure applications shal include at least three
faculty members who are at the required academic rank. For departments with an insufficient
number of faculty members at the appropriate level, the Department Head shall consult with the
Departmental Promotion and Tenure Committee and the Associate Provost, and select enough
tenured associate professors and/or ful professors from related departments to bring the total
number of Promotion and Tenure Committee members up to three. Non-departmental members of
the Promotion and Tenure Committee shal serve one-year terms, and must be approved by the
Dean of the col ege of the host department.

8.1.4 Preliminary Tenure Review

The Preliminary Tenure Review is a mandatory step in the tenure review process for tenure-track
assistant professors and those tenure-track associate and ful professors whose probationary
contracts are longer than four years. The process is designed to (1) inform a tenure-track faculty
member and his or her department of the candidate’s progress toward promotion and tenure; (2)
address areas for improvement; and (3) offer guidance, if needed. Academic Affairs shall
disseminate the required format of the preliminary tenure review package and the timeline of the
review process for the upcoming academic year by the close of each Spring semester. The timeline
shall include the deadlines for package submission, completion of the review, and notification of the
candidate regarding the outcome. At the initiation of either the tenure-track assistant professor or his
or her Department Head, a Preliminary Tenure Review may be conducted before the sixth semester
with the written approval of the Dean. The review should point out areas of strength, identify areas
requiring further development, and recommend strategies for achieving needed improvement. In
8-3

rare instances, the review may indicate that the candidate's success at CSM is sufficiently unlikely
that his or her appointment should be terminated prior to the end of the ful probationary period.

The fol owing is a general outline of the Preliminary Tenure Review process at CSM:

A. he Department Head shall convene the Departmental Promotion and Tenure Committee,
transmit to the Committee a dossier prepared by the candidate in consultation with the
Department Head, and appoint a Committee member to chair deliberations.
B. The Departmental Promotion and Tenure Committee shal examine the dossier, prepare a
written report containing a recommendation, and forward the dossier and report to the
Department Head. If a report is prepared by members of the Committee holding a minority
point of view, it shal also be accepted for consideration and incorporated into the package
that is transmitted to the Dean.
C. The entire package, including report(s) of the Promotion and Tenure Committee and a
written recommendation prepared by the Department Head, shal be forwarded to the Dean.
He or she wil prepare a written report containing a recommendation, review the report with
the other Deans, and notify the Provost that the dossier has been processed.
D. Copies of the reports of the Committee, the Department Head, and the Dean shal be
provided to the candidate.
E. The Department Head shal meet with the candidate to discuss the above-mentioned reports.

8.1.5 Tenure Application Process

At the time of hiring or at any other time during the probationary period, it is the responsibility of the
tenure-track faculty member, in consultation with his or her Department Head, to submit a formal
tenure application with appropriate supporting documentation to CSM for tenure review pursuant to
the process specified in paragraph 8.1.7 below. Under normal circumstances, a tenure applicant
holding the rank of assistant professor shall also apply for promotion to associate professor at the
time his or her tenure application is considered, and promotion and tenure decisions are coupled
(either granted or denied as a package) for these individuals. Exceptions to this practice may be
considered by the Dean and his or her recommendation is forwarded to the Provost, who wil make
the final decision for reasons deemed to be in the best interests of CSM.

8.1.6 Tenure Review Process

A. Tenure-Track Faculty

The fol owing is a general outline of the tenure review process for tenure track faculty at CSM:
A. Candidates must submit applications (i.e., dossiers) to their Department Head. Academic
Affairs shal disseminate the required format of the dossier, and the submission and
tenure review process deadlines prior to the close of each Spring semester.
B. The Department Head shall convene the departmental Promotion and Tenure Committee
as defined in section 8.1.3, transmit the dossier to the committee, and appoint a
committee member to chair deliberations.
C. The Department Head shal solicit external reviewer evaluations from experts in the
candidate’s field.
D. The Departmental Promotion and Tenure Committee shal examine the dossier and
prepare a written recommendation including the results of the vote, which becomes part
of the dossier. In the case of a split vote, the written recommendation(s) must reflect al
8-4

viewpoints. The dossier shall be forwarded to the Department Head.
E. The Department Head shal prepare a written recommendation that becomes part of the
dossier. The Department Head shall share her/his recommendation and the
recommendation(s) of the Departmental Promotion and Tenure Committee with the
Candidate. Prior to sharing the recommendations with the Candidate, information that
could disclose the identities of external reviewers or individual committee members shal
be redacted. The Candidate may respond to the recommendations in order to correct
factual errors. This response must be provided in writing to the Department Head within
three (3) business days. This response shal be included in the dossier before being
forwarded to the next level for review.
F. The Department Head shal forward the dossier to the Dean(s) of the Candidate’s
col ege, or col eges in the event of a split appointment. The Dean(s) shall review the
dossier and prepare a written recommendation. This recommendation is added to the
Candidate’s dossier, which is then forwarded to the Provost for transmission to the
University Promotion and Tenure Committee.
G. The University Promotion and Tenure Committee shal conduct a thorough and
independent review of the dossier and prepare a written recommendation for the
Provost.
H. The Provost shal review the entire dossier and submit his or her recommendation to the
President. In assessing the dossiers, the Provost may confer with any other parties who
have relevant information on a pending application.
I. The President shal convey the Provost’s recommendation to the Board of Trustees,
which has the final authority to grant or deny tenure for each candidate.
J. If a need for clarification arises at any stage of the review process, any of the parties
reviewing the dossier (Department Head, Department Promotion and Tenure Committee,
etc.) may contact the Candidate to request more information, which shal be included in
writing in the dossier before proceeding to the next step of the review process. In
addition, a reviewing party may request clarification from any previous reviewer who has
evaluated the dossier.
K. The Provost shal provide written notification to each applicant of the results of his or her
tenure application. Positive decisions shall be reflected in the official records of CSM at
the beginning of the next academic year. However, newly tenured faculty may begin
professional use of their new status and faculty rank immediately. Written
recommendations produced by the Deans and the University Committee may, upon
candidate request, be made available at the conclusion of the review process.
L. In the case of an unfavorable decision, an applicant may appeal the decision pursuant to
the Promotion and Tenure Decision Appeal Procedure set forth in subsection 8.5 below.


B. Tenure Review at the Time of Employment

Candidates for faculty employment with tenure are subject to the tenure review process defined
in Section 8.1.6A with the following modifications:

A. The application package shal consist of the Candidate’s extended curriculum vitae, and
the Candidate’s written summaries of his or her research and teaching experience and
interests.
8-5

B. External evaluations from experts in the candidate's field should include (but usual y not
be limited to) the reference letters provided as part of the candidate's employment
application package.
C. Review of the Candidate’s dossier may occur outside of the published promotion and
tenure review cycle.

8.1.7 Criteria for Promotion

Promotion in academic rank at CSM for tenured and tenure-track faculty is based on the quality of a
faculty member's overal performance in teaching, scholarship, and service, and the likelihood of
continued growth in their accomplishments and their professional reputations nationally and
internationally. [The minimum qualifications for appointment to the various academic faculty ranks
are set forth in subsection 4.2 above.]

The decision whether or not to promote a faculty member lies solely within the discretion of the
Board.

8.1.8 Promotion Application Process

At the time a promotion is desired, it is the responsibility of the faculty member, in consultation with
his or her Department Head, to submit a formal promotion application with appropriate supporting
documentation to CSM for promotion review pursuant to the process specified in paragraph 8.1.9
below. Under normal circumstances, a promotion applicant holding the rank of assistant professor
shal also apply for tenure at the time his or her promotion application is considered, and promotion
and tenure decisions are coupled (either granted or denied as a package) for these individuals. The
Provost may make exceptions to this practice on a case-by-case basis for reasons deemed to be in
the best interests of CSM.

8.1.9 Promotion Review Process

Review of promotion applications shal fol ow the process defined for tenure applications in section
8.1.6A.

8.2 TEACHING FACULTY

8.2.1 Criteria for Promotion

Promotion in teaching rank is based on the quality of a faculty member’s overall performance in
teaching, service and scholarship. [The minimum qualifications for teaching faculty are set forth in
subsection 4.3 above.]

For promotion to the rank of teaching associate professor the following criteria must be met:

1) high level of proficiency in the faculty member’s subject area,

2) development of high-quality curricular and instructional materials,

3) mastery of effective instructional methods, and

4) service to CSM including membership in institutional and/or departmental committees and/or
participation in activities aimed at recruitment or retention of students, such as individual and
8-6

group advising and development of promotional materials.

In addition to these criteria, for promotion to the rank of teaching professor the following criteria
must be met:

5) demonstration of leadership, which may include developing upper-level courses, coordinating
courses, mentoring junior faculty, and/or coordinating program-wide efforts to assess and
evaluate student learning outcomes,

6) demonstration of knowledge and application of existing discipline-specific educational
research, and

7) significant service to CSM in the categories defined above.

Final y, the following criteria may also be considered, but do not have to be met, for promotion to
either teaching associate professor or teaching professor:

8) publications related to educational and/or scholarly activities, and

9) significant participation in local, national, or international professional organizations.

The decision whether or not to promote a faculty member lies solely within the discretion of the
Board.

8.2.2 Departmental Teaching Faculty Promotion Committee

The Departmental Teaching Faculty Promotion Committee reviews the promotion application taking
into account the standards and practices of the candidate’s discipline and the curricular needs and
norms of the department or program, as well as familiarity with the candidate’s teaching, interaction
with students and col eagues, and contribution to the department or program. While it is the
responsibility of the department head to facilitate the development of faculty in the department,
candidates are encouraged to seek broader input and guidance from members of their Departmental
Teaching Faculty Promotion Committee.

At the time of application for promotion, the Departmental Teaching Faculty Promotion Committee
shal examine the candidate's dossier and: (i) in relation to guidelines and criteria established by the
institution, evaluate the candidate's suitability for promotion; and (ii) make a written recommendation
to the Department Head regarding the candidate's suitability for promotion. The Departmental
Teaching Faculty Promotion Committee shall determine the process fol owed in producing this
recommendation.

For consideration of promotion applications from teaching faculty members, the Departmental
Promotion and Tenure Committee (defined in section 8.1.3) wil be expanded to include all Teaching
Faculty in that department with rank equal to or greater than the rank that the faculty member is
pursuing. In departments with fewer than one teaching faculty member at the required rank, the
Department Head shal consult with the Departmental Promotion and Tenure Committee and the
Associate Provost, and select one teaching faculty member from another department. Non-
departmental members of the Departmental Teaching Faculty Promotion Committee shall serve one-
year terms, and must be approved by the Dean of the col ege of the host department.


8-7

8.2.3 Promotion Application Process

At the time a promotion is desired, it is the responsibility of the faculty member, in consultation with
his or her Department Head, to submit a formal promotion application with appropriate supporting
documentation to CSM for promotion review pursuant to the process specified in section 8.2.4 below.

8.2.4 Promotion Review Process

The fol owing is an outline of the promotion review process for al teaching faculty at CSM:

A. Candidates must submit applications (i.e., dossiers) to their Department Head. Academic
Affairs shal disseminate the required format of the dossier, and the submission and
promotion review process deadlines prior to the close of each Spring semester.
B. The Department Head shal convene the departmental Promotion Committee as defined in
section 8.2.2, transmit the dossier to the committee, and appoint a committee member to
chair deliberations.
C. The Departmental Promotion Committee shall examine the dossier and prepare a written
recommendation including the results of the vote that becomes part of the dossier. In the
case of a split vote, the written recommendation(s) must reflect all viewpoints. The dossier
shal be forwarded to the Department Head.
D. The Department Head shal prepare a written recommendation that becomes part of the
dossier. The Department Head shall share her/his recommendation and the
recommendation(s) of the Departmental Promotion Committee with the Candidate. Prior to
sharing the recommendations with the Candidate, information that could disclose the
identities of external reviewers or individual committee members shall be redacted. The
Candidate may respond to the recommendations in order to correct factual errors. This
response must be provided in writing to the Department Head within three (3) business days.
This response shal be included in the dossier before being forwarded to the next level for
review.
E. The Department Head shal forward the dossier to the Dean(s) of the Candidate’s col ege, or
col eges in the event of a split appointment. The Dean(s) shall review the dossier and
prepare a written recommendation. This recommendation is added to the Candidate’s
dossier, which is then forwarded to the Provost for transmission to the University Teaching
Faculty Promotion Committee.
F. The University Teaching Faculty Promotion Committee shal conduct a thorough and
independent review of the dossier and prepare a written recommendation for the Provost.
G. The Provost shal review the entire dossier and submit his or her recommendation to the
President. In assessing the dossiers, the Provost may confer with any other parties who have
relevant information on a pending application.
H. The President shal convey the Provost’s recommendation to the Board of Trustees, which
has the final authority to grant or deny promotion for each candidate.
I. If a need for clarification arises at any stage of the review process, any of the parties
reviewing the dossier (Department Head, Department Promotion Committee, etc.) may
contact the Candidate to request more information, which shall be included in writing in the
dossier before proceeding to the next step of the review process. In addition, a reviewing
party may request clarification from any previous reviewer who has evaluated the dossier.
8-8

J. The Provost shal provide written notification to each applicant of the results of his or her
promotion application. Positive promotion decisions shall be reflected in the official records of
CSM at the beginning of the next academic year. Written recommendations produced by the
Deans and the University Committee may, upon candidate request, be made available at the
conclusion of the review process.
K. In the case of an unfavorable decision, an applicant may appeal the decision pursuant to the
Promotion and Tenure Decision Appeal Procedure set forth in subsection 8.5 below.

8.3 RESEARCH FACULTY

8.3.1 Criteria for Promotion

Promotion in research rank at CSM for research faculty is based on the quality of a faculty member’s
overall performance in research, service, and the likelihood of continued growth in their
accomplishments and their professional reputations nationally and internationally. [The minimum
qualifications for appointment to various research faculty ranks are set forth in subsection 4.4 above.]

8.3.2 Departmental Research Faculty Promotion Committee

The Departmental Research Faculty Promotion Committee reviews the promotion application taking
into account the standards and practices of the candidate’s discipline. While it is the responsibility of
the department head to facilitate the development of faculty in the department, candidates are
encouraged to seek broader input and guidance from members of their Departmental Research
Faculty Promotion Committee.

At the time of application for promotion, the Departmental Research Faculty Promotion Committee
shal examine the candidate's dossier and: (i) in relation to guidelines and criteria established by the
institution, evaluate the candidate's suitability for promotion; and (ii) make a written recommendation
to the Department Head regarding the candidate's suitability for promotion. The Departmental
Research Faculty Promotion Committee shal determine the process fol owed in producing this
recommendation.

For consideration of promotion applications from research faculty members, the Departmental
Research Faculty Promotion Committee shal consist of the Departmental Promotion and Tenure
Committee (defined in section 8.1.3) and al research faculty in that department with rank equal to or
greater than the rank that the faculty member is pursuing. In departments with fewer than one
research faculty member at the required rank, the Department Head shal consult with the
Departmental Promotion and Tenure Committee and the Associate Provost, and select a research
faculty member from another department. Non-departmental members of the Departmental Research
Faculty Promotion Committee shal serve one-year terms, and must be approved by the Dean of the
col ege of the host department.

8.3.3 Promotion Application Process

At the time a promotion is desired, it is the responsibility of the faculty member, in consultation with
his or her Department Head, to submit a formal promotion application with appropriate supporting
documentation to CSM for promotion review pursuant to the process specified in paragraph 8.3.4
below.


8-9

8.3.4 Promotion Review Process

The fol owing is an outline of the promotion review process for al research faculty at CSM:

A. Candidates must submit applications (i.e., dossiers) to their Department Head. Academic
Affairs shal disseminate the required format of the dossier, and the submission and
promotion review process deadlines prior to the close of each Spring semester.
B. The Department Head shal convene the departmental Promotion Committee as defined in
section 8.3.2, transmit the dossier to the committee, and appoint a committee member to
chair deliberations.
C. The Department Head shal solicit external reviewer evaluations from experts in the
candidate’s field.
D. The Departmental Promotion Committee shal examine the dossier and prepare a written
recommendation including the results of the vote that becomes part of the dossier. In the
case of a split vote, the written recommendation(s) must reflect al viewpoints. The dossier
shal be forwarded to the Department Head.
E. The Department Head shal prepare a written recommendation that becomes part of the
dossier. The Department Head shall share her/his recommendation and the
recommendation(s) of the Departmental Promotion Committee with the Candidate. Prior to
sharing the recommendations with the Candidate, information that could disclose the
identities of external reviewers or individual committee members shall be redacted. The
Candidate may respond to the recommendations in order to correct factual errors. This
response must be provided in writing to the Department Head within three (3) business days.
This response shal be included in the dossier before being forwarded to the next level for
review.
F. The Department Head shal forward the dossier to the Dean(s) of the Candidate’s col ege, or
col eges in the event of a split appointment. The Dean(s) shall review the dossier and
prepare a written recommendation. This recommendation is added to the Candidate’s
dossier, which is then forwarded to the Provost.
G. The Provost shal review the entire dossier and provide written notification to each applicant
of the results of his or her promotion application. Positive promotion decisions shall be
reflected in the official records of CSM at the beginning of the next academic year.
H. In the case of an unfavorable decision, an applicant may appeal the decision pursuant to the
Promotion and Tenure Decision Appeal Procedure set forth in subsection 8.5 below.

8.4 LIBRARY FACULTY

8.4.1 Criteria for Promotion

Promotion in library rank at CSM for library faculty is based on the quality of a faculty member's
overall performance in professional responsibility, scholarship or research, and service. [The
minimum qualifications for appointment to the various library faculty ranks are set forth in subsection
4.5 above.]

The decision whether or not to promote a faculty member lies solely within the discretion of the
Board.

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8.4.2 Library Promotion Committee

The Library Promotion Committee reviews the promotion application taking into account the
standards and practices of the candidate’s discipline. While it is the responsibility of the library
director to facilitate the development of faculty in the department, candidates are encouraged to seek
broader input and guidance from members of the Library Promotion Committee.

At the time of application for promotion, the Library Promotion Committee shal examine the
candidate's dossier and: (i) in relation to guidelines and criteria established by the institution,
evaluate the candidate's suitability for promotion; and (ii) make a written recommendation to the
Library Director regarding the candidate's suitability for promotion. The Library Promotion Committee
shal determine the process fol owed in producing this recommendation.

The Library Promotion Committee shal consist of al ful -time library faculty members of a rank equal
to or higher than the rank aspired to by the candidate, but it shal not include the Director of the
Library. If fewer than three library faculty members are eligible to serve on this committee, the
Library Director shal consult with the Library Promotion Committee and the Associate Provost, and
select enough ful professors from the academic departments to bring the total number of Library
Promotion Committee members up to three. Non-library members of the Library Promotion
Committee shal serve one-year terms, and must be approved by the Dean of the col ege of the host
department.

8.4.3 Promotion Application Process

At the time a promotion is desired, it is the responsibility of the faculty member, in consultation with
the Library Director, to submit a formal promotion application with appropriate supporting
documentation to CSM for promotion review pursuant to the process specified in paragraph 8.4.4
below.

8.4.4 Promotion Review Process

The fol owing is a general outline of the promotion review process for al library faculty at CSM:

A. Candidates must submit applications (i.e., dossiers) to the University Librarian. Academic
Affairs shal disseminate the required format of the dossier, and the submission and
promotion review process deadlines prior to the close of each Spring semester.
B. The University Librarian shall convene the Library Promotion Committee as defined in section
8.4.2, transmit the dossier to the committee, and appoint a committee member to chair
deliberations.
C. The University Librarian shal solicit external reviewer evaluations from experts in the
candidate’s field.
D. The Library Promotion Committee shal examine the dossier and prepare a written
recommendation including the results of the vote that becomes part of the dossier. In the
case of a split vote, the written recommendation(s) must reflect all viewpoints. The dossier
shal be forwarded to the University Librarian.
E. The University Librarian shal prepare a written recommendation that becomes part of the
dossier. The University Librarian shall share her/his recommendation and the
recommendation(s) of the Library Promotion Committee with the Candidate. Prior to sharing
the recommendations with the Candidate, information that could disclose the identities of
8-11

external reviewers or individual committee members shal be redacted. The Candidate may
respond to the recommendations in order to correct factual errors. This response must be
provided in writing to the University Librarian within three (3) business days. This response
shal be included in the dossier before being forwarded to the next level for review.
F. The University Librarian shal forward the dossier to the Provost for transmission to the
University Promotion and Tenure Committee.
G. The University Promotion and Tenure Committee shal conduct a thorough and independent
review of the dossier and prepare a written recommendation for the Provost.
H. The Provost shal review the entire dossier and submit his or her recommendation to the
President. In assessing the dossiers, the Provost may confer with any other parties who have
relevant information on a pending application.
I. The President shal convey the Provost’s recommendation to the Board of Trustees, which
has the final authority to grant or deny promotion for each candidate.
J. If a need for clarification arises at any stage of the review process, any of the parties
reviewing the dossier (University Librarian, Library Promotion Committee, etc.) may contact
the Candidate to request more information, which shal be included in writing in the dossier
before proceeding to the next step of the review process. In addition, a reviewing party may
request clarification from any previous reviewer who has evaluated the dossier.
K. The Provost shal provide written notification to each applicant of the results of his or her
promotion application. Positive decisions shall be reflected in the official records of CSM at
the beginning of the next academic year. Written recommendation produced by the
University Committee may, upon candidate request, be made available at the conclusion of
the review process.
L. In the case of an unfavorable decision, an applicant may appeal the decision pursuant to the
Promotion and Tenure Decision Appeal Procedure set forth in subsection 8.5 below.

8.5 PROMOTION AND TENURE DECISION APPEAL PROCEDURE


8.5.1 Persons Eligible to File an Appeal

An appeal hereunder may be filed by any candidate for promotion or tenure at CSM as described in
either of the categories below, hereinafter referred to in this appeal procedure as the “Candidate.”

A. Any tenure-track faculty member whose application for tenure has been denied by CSM; or
B. Any tenured, teaching, research, or library faculty member whose application for promotion
to a higher academic rank has been denied by CSM.


8.5.2 Notice of Appeal

A Notice of Appeal is a written document in letter or memorandum form prepared and filed by the
Candidate to initiate an appeal hereunder. The Notice of Appeal must contain, at a minimum, a
concise statement of the matter being appealed as wel as the specific grounds for the appeal set
forth in sufficient detail to provide CSM with reasonable notice of the substance of the appeal. In al
tenure decision appeals, the Notice of Appeal must al ege one or more of the specific, appealable
issues listed in Section 8.5.4.A.1 below. In promotion decision appeals, the Notice of Appeal must
allege one or more of the specific appealable issues listed in Section 8.5.4.A.2.


8-12


8.5.3 Procedure for Initiation of Appeals

A.
Place to File Notice of Appeal

A Notice of Appeal shal be addressed to and filed with the office of the Provost, who shall be
presumed to be acting on behalf of CSM throughout the appeal. At the time the Notice of Appeal
is filed with the Provost, the Candidate shall also file a copy thereof with the Office of Legal
Services.

B.
Time Limitations

All appeals filed pursuant to this procedure must be filed with the Provost and the Office of Legal
Services no later than ten business days following receipt by the Candidate of notification of the
tenure or promotion decision constituting the subject matter of the appeal. If the last day to file
a Notice of Appeal, or any other document pursuant to this Appeal Procedure, happens to fall on
a weekend, a holiday, or any day on which CSM is closed, the Notice of Appeal or other
document shall be due on the next CSM business day. If a Notice of Appeal is not filed in a
timely manner, the Candidate shal forfeit al rights of appeal conferred hereunder. The Provost
shal notify the Candidate in writing if a Notice of Appeal is not received in a timely manner.

C.
Extension of Time Limitations

For good cause, the Candidate may request in writing from the Provost an additional amount of
time within which to file a Notice of Appeal. However, in order to be considered, a Request for
Additional Time must be filed within the time limit for filing the Notice of Appeal. The Provost
shal possess the authority to issue a final ruling on such a request.

D.
Fulfillment of Notice of Appeal Requirements

An attorney from the Office of Legal Services shall examine the Notice of Appeal to determine if
the requirements set forth in Section 8.5.2 and 8.5.3 have been met. If the attorney determines
that the Notice of Appeal has not fulfil ed the requirements, he or she shal inform the Candidate
of the deficiencies in writing within ten business days. The Candidate shall then have the
opportunity to correct and re-file the Notice of Appeal within ten business days from the date of
the attorney’s communication to the Candidate. If the attorney concludes that the re-filed
version of the Notice of Appeal is stil deficient, the Candidate may request that the re-filed
version along with a written recommendation of the attorney be forwarded to the hearing panel
for a decision. In that event, the hearing panel must examine the Notice of Appeal and decide
that: (1) the Notice of Appeal is not deficient and the appeal may proceed to hearing; (2) the
deficiencies contained in the Notice of Appeal are not fatal to the appeal, which may proceed to
hearing; or (3) the deficiencies contained in the Notice of Appeal are fatal to the appeal, which
must therefore be dismissed. If the Notice of Appeal is dismissed, it may not be re-filed.


8.5.4 Appeal Standards


A. Reviewable Issues

When both promotion and tenure applications are denied, only the tenure decision may be
appealed on the grounds for tenure decision appeals as set forth below.


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1. Tenure Decision Appeals

The grounds for appeal shal be limited to one or more of the fol owing: (1) in the conduct of
the tenure review, there were violations for the established procedures and practices of the
Candidate’s department or division or CSM, and such procedural errors were of sufficient
magnitude that they likely affected the outcome of the tenure review; and (2) an alleged
breach of a significant contractual obligation by CSM that has materially impacted the
Candidate’s ability to successful y earn tenure at CSM.

This appeal procedure is not designed to resolve al egations of unlawful discrimination made
by employees. Any appeal that contains such allegations must be filed as a complaint under
Mines’ Unlawful Discrimination Policy and Complaint Procedure.


2. Promotion Decision Appeals

The grounds for appeal shal be limited to one or more of the fol owing: (1) in the conduct of
the promotion review, there were violations of the established procedures and practices of
the Candidate’s department or division or CSM, and such procedural errors were of sufficient
magnitude that they likely affected the outcome of the promotion review; and (2) the
decision was so inconsistent with the evidence in the record that it must be deemed arbitrary
and capricious. The term arbitrary and capricious describes actions that have no reasonable
basis in law, fact or reason, or are so lacking in rational connection to the relevant factors as
to constitute an abuse of discretion. A determination is arbitrary and capricious only if it is
one no reasonable mind could reach.

This appeal procedure is not designed to resolve al egations of unlawful discrimination made
by employees. Any appeal that contains such allegations must be filed as a complaint under
the Unlawful Discrimination Policy and Complaint Procedure set forth on the Board of
Trustees Policy web page.

In the case of an appeal based an al egation that the decision was so inconsistent with the
record as to be deemed arbitrary and capricious, the scope of the positions and arguments
that the Candidate and Provost may present to the hearing panel wil be limited to the same
information that was reviewed at the time of original promotion review, as well as the
recommendations deriving from the original promotion review process as set forth in
Handbook sections 8.1.9, 8.2.4, 8.3.4 or 8.4.4. Therefore, the principal evidence presented
at the hearing wil be the Candidate’s promotion application dossier (with contents
conforming to the relevant provision of the Academic Procedures Manual), recommendations
from the Candidate’s Department or Division Promotion Committee, Department Head or
Division Director, University Promotion and Tenure Committee, Dean, and Provost, and the
professional credentials of the Candidate. New information regarding the Candidate’s
professional credentials and any additional external or internal evaluations that had not been
made available in the original promotion review process are outside the scope of the hearing
panel’s review on appeal. Additional y, confidential information regarding other Mines
promotion and tenure applicants wil not be permissible evidence at the appeal hearing.

B.
Burden of Proof

The Candidate shal bear the burden of proof in al appeals heard pursuant to this procedure.


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C.
Standard of Proof

The standard of proof for al appeals heard pursuant to this procedure shal be the
“preponderance of the evidence” standard, as it is general y applied in civil cases. This standard
shal be deemed met if the hearing panel believes that it is more likely than not that the facts at
issue occurred. The “facts at issue” shal include al facts that are required to be proven by the
Candidate in order to prevail.

D.
Role of Hearing Panel

The role of the Hearing Panel is limited to evaluating only the reviewable issues listed in Section
8.5.4A.


8.5.5 Initial Hearing Panel Selection Criteria

All appeals filed hereunder shall be heard by a hearing panel chosen through the process specified in
subparagraph A immediately below from the pool of tenured faculty at CSM who hold the academic
rank of ful professor.

Retired faculty are ineligible to serve on the hearing panel even if they are presently working for CSM
as transitional appointees.


A.
Hearing Panel Selection Process

An initial hearing panel of eight members shal be chosen on a random basis from the applicable
tenured faculty pool under the supervision of the Associate Vice President for Human Resources.
Panel members may be excused by the Associate Vice President for Human Resources on
account of conflict of interest, health, or unavoidable absence from campus. The Candidate and
the Provost shal each disqualify two of the hearing panel members. The disqualifications
exercised by the parties shal proceed in an alternate fashion beginning with the Candidate. Of
the remaining panel members, the one chosen last shal serve as an alternate hearing panel
member. The other three panel members shal constitute the hearing panel for the appeal. An
excused hearing panel member shal be replaced by another faculty member from the applicable
pool chosen in a random drawing prior to the exercise of any disqualifications by either party.


B.
Selection of Chief Panel Member

The panel members shal elect a Chief Panel Member from their number to preside throughout
the remainder of the appeal.


C.
Authority of Chief Panel Member

The Chief Panel Member shal have the authority to (a) issue orders to compel discovery; (b)
make rulings on objections; and (c) issue any other orders necessary to control the conduct of
the hearing and prohibit abusive treatment of witnesses, including removal of disruptive
individuals from the hearing room.


D.
Role of Alternate Hearing Panel Member

General y, the alternate member shall observe, but not actively participate in, all of the
proceedings in the case and be prepared to substitute for a panel member who becomes
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unavailable during any stage of the case due to death, il ness, or unavoidable emergency.
However, with the approval of both parties, the alternate member may be allowed to participate
in the Hearing, e.g., by asking questions of the parties and other witnesses during the
proceedings.


8.5.6 Legal Representation


A.
Role of Legal Counsel

Either party may engage the services of an attorney to assist in document preparation or case
preparation, and may consult with an attorney during the appeal hearing. However, an attorney
may not enter an appearance or actively participate in the hearing or speak on behalf of either
party at the hearing.


B.
Peer Counsel

The Candidate may designate a peer counsel in writing to provide moral support or actual
representation during the hearing. If so designated and to the extent authorized by the
Candidate, the peer counsel may speak on behalf of the Candidate, examine witnesses, deliver
opening and closing statements, etc.


C.
Legal Advice for the Panel

An attorney from the Office of Legal Services or the Assistant Attorney General assigned to
represent CSM shal provide the desired level of legal advice to the panel throughout the
proceeding. If this representation arrangement creates a conflict of interest, a "conflicts counsel"
from the Attorney General's Office shal be engaged to perform this function.

8.5.7 Pre-Hearing Procedures


A.
Acknowledgment of Notice of Appeal

As soon as practicable after receipt of the Notice of Appeal and completion of the examination of
legal sufficiency, the Provost shall send a letter to the Candidate acknowledging timely receipt
and the legal sufficiency of the Notice of Appeal. This subparagraph shall not apply if the Notice
of Appeal was untimely or legally insufficient.


B.
Setting of Hearing Date

After a Chief Panel Member has been chosen, a hearing date shal be set with reasonable
consideration given to the schedules of the individuals concerned. The Chief Panel Member shall
set a date for the hearing, which shal occur no more than thirty calendar days after the date
upon which the hearing panel was selected, except when any portion of this thirty-day period
fal s within CSM’s summer session. In this event, the deadline for setting the hearing date shal
be extended to thirty calendar days following the commencement of CSM’s fall semester. The
Chief Panel Member shal inform the parties and other hearing panel members of the hearing
date. Once set, the hearing date may be rescheduled only with the concurrence of the
Candidate, the Provost, and the Chief Panel Member.


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C.
Pre-Hearing Discovery

Informal discovery, or the voluntary exchange between the parties of information relevant to the
case, is encouraged. If the parties cannot resolve such issues informally, up to ten business days
prior to the hearing date either party may request the Chief Panel Member to enter an order
compel ing discovery upon a showing of the relevance of the requested information and the
necessity of such information to case preparation. The other party may oppose such request by
showing that the requested information is irrelevant, unnecessary to case preparation, or
privileged according to law.


D.
List of Hearing Issues

After examining the position statements of both parties, the hearing panel shal prepare a list of
issues to be resolved through the hearing and distribute such list to the parties no later than
three business days prior to the hearing date. The list of issues generated pursuant to this
subparagraph shal be binding upon the subsequent hearing and shal form the standard against
which al relevancy arguments shal be weighed.


8.5.8 Position Statements


A.
Contents of Position Statements

Each party shal file a Position Statement containing the following components:

1. Position Summary: A concise statement summarizing the case from the position of the
submitting party;

2. List of Issues: A list of issues the party wishes to have resolved through the hearing;

3. List of Witnesses: A list of witnesses to be presented at the hearing along with a
summary of the anticipated testimony of each witness;

4. List of Exhibits: A list of exhibits to be presented at the hearing; and

5. Copies of Exhibits: Copies of each exhibit the party anticipates presenting at the
hearing.


B.
Deadlines for Position Statements

Each party shal prepare and file a position statement with the hearing panel and provide a copy
to the opposing party no later than five business days prior to the hearing date. If the hearing
date is rescheduled, these time limits shall apply to the rescheduled hearing date.


C.
Limitations Imposed by Position Statements

Neither party shal make an argument during the hearing that is inconsistent with the arguments
set forth in the position summary section of his or her position statement. Neither party shal
introduce any witnesses or exhibits at the hearing that are not listed in his or her position
statement, except that a party may request the Chief Panel Member to permit additional
witnesses or exhibits in order to rebut an argument or position asserted by the other party during
the hearing. At the Chief Panel Member’s sole discretion, such additional testimony or evidence
8-17

may be introduced during the hearing at a time and in the manner prescribed by the Chief Panel
Member. Al exhibits listed in the position statements shall be deemed genuine and admissible
unless successfully challenged prior to the hearing.


D.
Amendments to Position Statements

Up to three business days prior to the hearing date, either party may request the chief panel
member to permit amendments to his or her position statement upon a showing of good cause
and lack of prejudice to the opposing party. Any party filing an amended position statement shall
provide a copy thereof to the opposing party no later than the filing deadline imposed by the
order permitting the amendment.


8.5.9 Hearing Procedures


A.
Presumption of Open Hearing

Subject to limitations imposed by the capacity of the hearing room, the hearing shal be open to
the public. For good cause, either party may request that the hearing be closed to the public.
The chief panel member may grant such a request only if the non-requesting party does not
object.


B.
Sequestration of Witnesses

Upon the request of either party, the chief panel member shal direct that al individuals
scheduled to appear as witnesses in the hearing may not be present in the hearing room except
when actual y testifying.


C.
Order of Presentation

The Candidate shal make his or her presentation first. After this presentation is concluded, the
Provost shal make his or her presentation. Rebuttal presentations by either party may be
permitted at the discretion of the chief panel member. At the conclusion of the Provost's
presentation, the Candidate shall be permitted to make a closing statement. At the conclusion of
the Candidate’s closing statement, the Provost shal be permitted to make a closing statement.


D.
Presentation Procedure

During a party's presentation, that party may testify, examine other witnesses, or submit
documents as evidence to the hearing panel. Arguments should not be made by a party or a
representative of a party during the presentation, but rather should be reserved for the closing
statement. Hearing panel members may interject questions at any time. The parties should be
given equal periods of time within which to present their respective cases, as determined by the
Chief Panel Member. However, either party may waive any portion of the time al otted to them.


E.
Witness Examination Procedure

The party on whose behalf the witness has appeared shal directly examine each witness. Upon
the conclusion of the examination of each witness, the opposing party shal be permitted the
right of cross-examination. The Chief Panel Member may permit redirect and re-cross
examination. However, an identical examination procedure shall be utilized for all witnesses
testifying during the same hearing.
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F.
Inapplicability of Strict Evidentiary Rules

Strict legal evidentiary rules shal not apply during the hearing. The Chief Panel Member shal
rule on the admissibility of disputed evidence with primary consideration given to the relevance,
reliability, and probative value of proffered evidence.


8.5.10 Post-Hearing Procedures


A.
Recommendation of the Hearing Panel

After the conclusion of the hearing, the hearing panel shal confer among themselves and vote
upon a recommended course of action. The panel members holding a majority point of view
shal designate a member of their group to write a recommendation reflecting their opinion. A
panel member holding a minority point of view may issue a dissenting recommendation.


B.
Contents of Recommendation

The recommendation of the hearing panel shal include the fol owing components:

1. Statement Regarding Burden of Proof: A statement regarding whether or not the
hearing panel believes that the burden of proof borne by the Candidate has been
sustained.

2. Findings of Fact: A list of the relevant facts found by the hearing panel upon which
the recommendation is based;

3. Conclusions: A list of the conclusions of the hearing panel upon which the
recommendation is based; and

4. Recommended Course of Action: A statement of the course of action recommended
by the hearing panel. With respect to either promotion or tenure decision appeals, the
panel may recommend that the Provost’s decision be upheld. If the panel finds the
Candidate’s appeal meritorious, it may recommend that the Candidate be given an
opportunity to have his or her case reconsidered through the university’s promotion and
tenure review process.

The panel does not have authority to grant either promotion or tenure. However, in the
case of tenure decision appeals, the panel may recommend that the Candidate be
offered an extension of his or her contractual tenure-track appointment period to al ow
the Candidate the opportunity to be reconsidered through the university’s prescribed
process for tenure review.


C.
Issuance of Recommendation

The recommendation of the hearing panel shal be issued to the parties and delivered to the
President of CSM along with the panel's case file within ten business days after the conclusion of
the hearing.


8-19


D.
Issuance of Presidential Decision

The President shal examine the case file, consider the recommendation of the hearing panel,
and issue a final written decision in the matter. The President shall possess the authority to
affirm, reverse, or modify the recommendation of the hearing panel or to remand the matter to
the panel for further proceedings or consideration. The decision of the President shal be
delivered to the parties and the hearing panel within ten business days from the date of the
President's receipt of the recommendation and case file from the hearing panel, unless the
President is unavailable for a significant amount of time during this period.

E.
Presidential Unavailability

The term "unavailable," as utilized in this subparagraph and subparagraph D immediately above,
shal be defined to mean out of the office on vacation or sick leave, out of town for CSM
business, or otherwise engaged in important CSM business matters to the extent that sufficient
time cannot be devoted to decision making hereunder. If the President is unavailable for a
significant period of time during the decision making period, a letter shal be sent to the parties
advising them of that fact as wel as the anticipated date of presidential availability. In such
event, the decision shal be due ten business days from the date upon which the President
becomes available. The President shall be the sole judge of all issues related to unavailability
hereunder.


F. Appeal of Final Decision of CSM

The decision issued by the President shal constitute the final decision of CSM regarding the
matter being appealed. There shal be no further appeal from the final decision of CSM. If the
Candidate is aggrieved by the final decision of CSM, he or she may pursue other available legal
remedies.


8-20

SECTION 9
TERMINATION OF EMPLOYMENT


9.1 NON-RENEWAL OF APPOINTMENT

Non-renewal of appointment is a type of "no-fault" employment severance action that requires CSM to
provide a specified advance notification to the affected employee. In general, Colorado law provides that
all exempt CSM employees, except tenured and tenure-track faculty, are employees at-wil , who may be
terminated at any time for any lawful reason. Colorado law also permits term employment contracts for
certain categories of non-tenure track faculty and higher education employees under conditions
prescribed in Colorado Revised Statutes §24-19-104. Consistent with state law, only those categories of
faculty members specified in sections 9.1 and 9.2 may be subject to non-renewal of appointment.


9.1.1 Tenure-Track Faculty


CSM may decide to non-renew the appointment of a tenure-track faculty member without cause.


A. Time Limitations

A tenure-track faculty member whose contract wil be non-renewed for the subsequent academic
year by CSM shal be notified of that fact in a letter from the Provost delivered according to the
timetable set forth below:

Years of Service
Notice Required


During first academic year of CSM appointment:
Not later than April 1.

During second academic year of CSM appointment:
Not later than December 15.

Third academic year and beyond:


Not later than September 1.

A tenure-track faculty member’s employment contract may be rendered unenforceable and is
subject to termination without advance notice if, during the term of the faculty member’s
appointment, CSM:

(I) Ceases to be an enterprise, as defined in Section 20(2)(d) of Article X of the State
Constitution; and
(II) Lacks present cash reserves sufficient to pledge irrevocably to satisfy the terms of the
contract.


9.1.2 Tenured Faculty

CSM may decide to non-renew the appointment of a tenured faculty member only for reasons of
financial exigency or academic program termination.


A. Definitions


1. Financial Exigency

A financial exigency may exist if CSM faces a critical and urgent need to reorder its fiscal
priorities to relieve a state of emergency created by its inability to fund required monetary
expenditures.

9-1



2. Academic Program Termination

An academic program at CSM may be terminated on account of a change in CSM's statutory
role and mission, lack of sufficient student interest, failure to achieve required accreditation,
or the operation of law. Any CSM academic program termination shall be accomplished in
accordance with applicable regulations, policies, or guidelines promulgated by the Colorado
Commission on Higher Education, or any other State regulatory body vested with rule-making
authority over this subject.


B. Implementation Procedures

Before any tenured faculty members are non-renewed on account of any of the reasons
listed in this paragraph, the applicable procedure listed below shall be followed. The Faculty
Senate shal represent the faculty in administrative procedures relating to academic program
curtailment or termination. The faculty shall not, however, be entitled to representation in
individual personnel decisions.


1. Financial Exigency

If a precipitous decline occurs in the financial fortunes of CSM, the President, after
appropriate consultation with the Board, may declare that a state of financial exigency exists
at CSM. In such a case, the President shall take the following steps:

a. Formulate a draft Financial Exigency Plan;
b. Meet jointly with the Faculty Senate and appropriate administrators to review the
data and discuss the plan;
c. Provide the Faculty Senate with at least sixty days to address the problem and
respond to the plan with agreement or constructive alternatives;
d. Decide upon a final Financial Exigency Plan;
e. Secure Board approval of the plan; and
f. Implement the plan utilizing existing faculty or university committees, as appropriate.


2. Academic Program Termination

If the President, after appropriate consultations with the Board, the Provost and affected
department heads, determines that an academic program at CSM should be terminated, the
appointments of both tenured and tenure-track faculty members in the affected program
may be non-renewed. Tenure-track faculty members shal be non-renewed prior to tenured
faculty members within a given program. Decisions regarding non-renewal of individual
faculty members shal be made by the Provost and the department head, after appropriate
consultation with the Faculty Senate. Such decisions shall be primarily based upon the
criteria of maintaining the integrity of retained programs and minimizing the overall
disruption to the CSM curriculum. To the extent possible, CSM shall provide early warning of
such non-renewal decisions, so that affected faculty members may seek other employment
opportunities. Once a preliminary decision to terminate an academic program has been
made, the President shal take the fol owing steps:

a. Formulate a draft Academic Program Termination Plan;
b. Meet jointly with the Faculty Senate and appropriate administrators to review the
data and discuss the plan;

9-2

c. Provide the Faculty Senate with at least sixty days to address the problem and
respond to the plan with agreement or constructive alternatives;
d. Decide upon a final Academic Program Termination Plan;
e. Secure Board approval of the plan; and
f. Implement the plan utilizing existing faculty or university committees, as appropriate.
g. Consider offering the options listed in paragraph 9.1.3 below to affected faculty
members.



C. Time Limitations

A tenured faculty member whose contract wil be non-renewed for the subsequent academic year
by CSM for reasons of financial exigency or academic program termination shall be notified of
that fact in a letter from the Provost not later than September 1.


9.1.3 Tenured Faculty Non-Renewal Options

The fol owing options may be offered by CSM to tenured faculty members as alternatives to non-
renewal of their appointments in appropriate situations.

A. Departmental Transfer

If CSM has terminated an academic program, or is contemplating such an action, CSM may offer
a faculty member a transfer to another CSM department or academic program if the faculty
member is qualified by teaching background and scholarship interests. Faculty member
qualifications wil be evaluated by the Provost, Dean of the Col ege1, the new department head,
and the tenured members of the department to which the transfer is being contemplated. If the
faculty member has requested a Retraining Support Plan, it shal be analyzed as part of the
qualification evaluation process.


1. Retraining Support Plan

If a faculty member has transferred to another department or academic program on account
of an academic program termination, he or she may submit a written request to the Provost
for approval of a Retraining Support Plan in which he or she may request reasonable
assistance from CSM to permit retraining or further development of his or her academic skil s
to a level necessary to permit a successful transfer to another department or a more viable
academic program. A Retraining Support Plan shal not exceed one calendar year in duration
and shall outline appropriate goals, milestones, and timetables. It may also contain requests
for paid leave and/or financial support to acquire books or equipment, attend seminars or
short courses, etc.


2. Trial Period

If a faculty member has transferred to another department or academic program on account
of an academic program termination, he or she should not be non-renewed prior to the
expiration of a three-year trial period, which shall include any period of leave requested and
granted as part of a Retraining Support Plan.


3. Departmental Review

If a faculty member has transferred to another department or academic program on account
of an academic program termination, he or she should not be non-renewed unless the new

9-3

department head and a majority of the tenured faculty members of the new department
agree that the transfer has not been successfully accomplished by the faculty member.


B. Financial Incentives for Resignation or Early Retirement

Financial incentives for voluntary resignation may be offered to affected faculty members.
Alternatively, CSM may offer affected faculty members financial incentives for early retirement, if
the faculty member is eligible for retirement pursuant to PERA criteria.


C. Temporary Leave


CSM may offer a faculty member temporary leave with or without pay and benefits.


9.1.4 Reemployment Assistance

During the final year of service tendered by a non-renewed faculty member, CSM may provide
reasonable assistance in seeking alternative employment opportunities. Such assistance may be in
the form of resume and application letter preparation assistance, resume and application letter
printing service, and long-distance telephone use.

9.2 TERMINATION OF EXEMPT, NON-TENURE-TRACK FACULTY MEMBERS


9.2.1 Teaching Faculty


CSM may decide to non-renew the appointment of a teaching faculty member without cause.


A. Time Limitations

Subject to the limitations set forth in Colorado Revised Statutes §24-19-104, a teaching faculty
member whose contract wil be non-renewed for the subsequent academic year by CSM shal be
notified of that fact in a letter from the Provost delivered according to the timetable set forth
below:

Years of Service
Notice Required


During first academic year of CSM appointment:
Not later than April 1.

During second academic year of CSM appointment:
Not later than December 15.

Third academic year and beyond:


Not later than September 1.



A teaching faculty member’s employment contract may be rendered unenforceable and is subject


to termination without advance notice if, during the term of the faculty member’s appointment,


CSM:

(I) Ceases to be an enterprise, as defined in Section 20(2)(d) of Article X of the State
Constitution; and
(II) Lacks present cash reserves sufficient to pledge irrevocably to satisfy the terms of the
contract.





9-4

9.2.2
Other Non-Tenure-Track Faculty Members

All other exempt, non-tenure-track faculty members may be terminated by CSM at any time. While it
is CSM’s intention to treat these faculty members fairly and communicate performance deficiencies to
them in a timely manner, it is not a requirement that communication of performance deficiencies
must occur prior to termination. A decision to terminate an exempt, non-tenure-track faculty
member may only be made by the President, Provost, or a vice president following appropriate
consultations with an attorney from the Office of Legal Services and the Associate Vice President for
Human Resources.

9.3 TERMINATION FOR JOB ABANDONMENT

Any employee who, without the permission of CSM, fails to report to work, or fails to return to work after
the expiration of an approved absence, for a period of time exceeding thirty days shal be deemed to
have constructively tendered his or her resignation. In such a case, the employee may be terminated by
CSM under this subsection without initiating the termination for cause process set forth in subsection 9.5
below. In addition to the above-listed requirements, the following conditions must apply in order for CSM
to terminate an employee on the ground of job abandonment: (1) the employee must have exhausted al
of his or her available leave which is applicable to the absence, including family medical leave, or refused
to utilize his or her available leave; (2) the absence must, in the judgment of CSM, be unreasonable or be
otherwise unexcused; and (3) at least seven days prior to terminating an absent employee under this
subsection, CSM must deliver to the employee written notice directing the employee to report to work by
a specified date and clearly state the consequences of the employee’s failure to do so.

9.4 TENURE REVOCATION

In certain cases involving a lesser degree of cause than is required for immediate termination, CSM may
revoke the tenure of a faculty member for cause without intending to terminate the individual, or with
the intention of non-renewing the individual upon the provision of appropriate notice. Revocation of
tenure for cause may be based upon one or more components of the definition of cause listed in
paragraph 9.4.1 below. A revocation of tenure for consistently substandard performance shal be based,
in whole or in part, upon an individual's failure to adequately complete a Performance Improvement Plan
as set forth in paragraph 7.3.1 above. However, if a tenured faculty member wil fully fails or refuses to
cooperate in the preparation or execution of a Performance Improvement Plan, this requirement wil be
inapplicable.


9.4.1 Definition of "Cause"

The fol owing shal constitute cause for revocation of tenure held by a CSM faculty member: (1)
academic dishonesty; (2) a pattern of unfair or abusive treatment of CSM students; (3) consistently
substandard performance; (4) a pattern of failure to carry out contractual responsibilities or
reasonable, employment-related duties assigned by a supervisor; (5) a violation of CSM's Policy
Prohibiting Gender-Based Discrimination, Sexual Harassment and Sexual Violence, Unlawful
Discrimination Policy, Amorous Relationships Policy, or Research Misconduct Policy; (6) a criminal
conviction involving immoral or unethical conduct; (7) a serious violation of one or more of the
faculty behavioral obligations set forth in subsection 6.2 above; or (8) any other behavior or condition
which significantly affects a faculty member's fitness to carry out his or her professional
responsibilities.





9-5

9.4.2 Initiation of Tenure Revocation Process

The tenure revocation process is initiated by a written tenure revocation petition with supporting
documentation. Such a petition may be formally lodged by: (1) the departmental tenure committee;
(2) the department head; or (3) the Provost. The issue of initiation of a tenure revocation petition
may be raised by any member of the departmental tenure committee at any time and shal be
determined by a majority vote of the committee. The individual or group lodging the petition shall
deliver copies thereof to the two other individuals or groups listed above as wel as the affected
faculty member. In response to the petition, the faculty member may submit a written statement
with supporting documentation to al of the individuals or groups listed above.


9.4.3 Tenure Revocation Process


The fol owing is a general outline of the tenure revocation process at CSM:

A. The department head shal convene the departmental promotion and tenure committee and
appoint a committee member to chair deliberations.
B. The departmental promotion and tenure committee shall examine the tenure revocation
petition with supporting documentation and the written statement with supporting
documentation provided by the affected faculty member, prepare a written tenure revocation
report containing a recommendation, and transmit same to the department head. A report
prepared by members of the committee holding a minority point of view shall also be
accepted for consideration.
C. The entire tenure revocation package, including the tenure revocation petition with
supporting documentation, the written statement with supporting documentation provided by
the affected faculty member, recommendation(s) of the committee, and a recommendation
from the department head, shal be forwarded to the Provost.
D. Copies of the recommendation(s) of the committee and the recommendation of the
department head shall be provided to the affected faculty member.
E. The Provost may convene the Promotion and Tenure Committee to examine the tenure
revocation package, engage in discussions of the issue, and submit recommendations on the
tenure revocation.
F. The Provost may request the Vice President for Research and Technology Transfer to
examine the tenure revocation package and submit a written recommendation on the tenure
revocation.
G. The Provost shal review and consider al of the material provided in the tenure revocation
package and make a final decision regarding the tenure revocation.
H. The Provost shal provide written notification of his decision to the affected faculty member.
I. In the case of an unfavorable decision, the affected faculty member may appeal the decision
pursuant to the Termination and Non-renewal Appeal Procedure set forth in subsection 9.6
below.


9.4.4 Voluntary Relinquishment of Tenure

Tenured faculty members may voluntarily relinquish their tenure rights in exchange for consideration
offered by CSM, which may include, but is not limited to, a sum of money and/or a term employment
contract for a specified period. Faculty members who wish to pursue this option should initiate a
discussion of the subject with the Provost. In order to be effective, all agreements to relinquish
tenure must be reduced to writing and executed by the affected faculty member and the President.




9-6

9.5 TERMINATION FOR CAUSE

Subject to the requirements specified below, any tenured, tenure-track, or teaching faculty members may
be subject to termination for cause by CSM under this section. Termination of the employment of a
tenured faculty member for cause does not require a separate, formal revocation of tenure by CSM;
rather, tenure revocation is implicit in the termination for cause process.

9.5.1 Definition of "Cause"

The fol owing shal constitute cause for termination of a tenured, tenure track, or non-tenure track
teaching faculty member: (1) academic dishonesty; (2) a pattern of unfair or abusive treatment of
CSM students; (3) consistently substandard performance; (4) a pattern of failure to carry out
contractual responsibilities or reasonable, employment-related duties assigned by a supervisor; (5) a
violation of CSM's Policy Prohibiting Gender-Based Discrimination, Sexual Harassment and Sexual
Violence, Unlawful Discrimination Policy, Amorous Relationships Policy, or Research Misconduct
Policy; (6) a criminal conviction involving immoral or unethical conduct; (7) a serious violation of one
or more of the faculty behavioral obligations set forth in subsection 6.2 above; or (8) any other
behavior or condition which significantly affects an employee's fitness to carry out his or her
professional responsibilities.


9.5.2 Decision Making Standards

A termination for cause may be based upon one or more components of the definition of cause listed
in paragraph 9.5.1 above. Termination of a tenured faculty member for cause for professional
incompetence and/or significant substandard performance shall be based, in whole or in part, upon
that individual's failure to complete a Performance Improvement Plan pursuant to paragraph 7.3.1
above in an adequate manner. However, if the individual wil ful y fails or refuses to cooperate in the
preparation or execution of a Performance Improvement Plan, this requirement wil be inapplicable.
In deciding whether to grant or deny a request to terminate an employee for cause, the decision
making official shal utilize the "preponderance of the evidence" standard as it is general y applied in
civil cases to resolve disputed factual issues.


9.5.3 Initiation of Termination for Cause Process

A termination for cause may be initiated by the faculty member’s immediate supervisor, or any
higher-level supervisor within the applicable chain of authority including the President or Provost. If
the affected faculty member reports directly to the President, the President shal be the initiating
party. Once a termination for cause has been initiated, the affected faculty member shal receive
written notification setting forth h the applicable reason(s) for termination.. If the termination for
cause proceeding has been initiated by the Provost, the notification function specified above shal be
performed by an uninvolved vice president selected by the President, who shal also preside over the
remainder of the process specified in this subsection. If the termination for cause proceeding has
been initiated by the President, the notification function specified above shall be performed by an
uninvolved vice president selected by the Chairman of the Board, who shal also preside over the
remainder of the process specified in this subsection. The affected faculty member may be
suspended with pay for the duration of the process specified in paragraph 9.5.4 below if, in the
judgment of the President or Provost, the best interests of CSM would be served thereby.


9.5.4 Termination for Cause Process

Prior to rendering a decision on the matter, the presiding official shal provide the affected faculty
member with an opportunity to reply in writing to the request for termination and to participate in a

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conference with the presiding official and the requesting supervisor. During this conference, the
faculty member may be accompanied by a representative of his or her choosing in order to effectively
present his or her position in the matter to the presiding official. After hearing a presentation from
each side during the conference and examining al submitted written material, the presiding official
shal render a written decision on the request for termination within a reasonable time and provide
copies of the decision to the affected faculty member and the requesting supervisor. A faculty
member who has been terminated for cause may appeal the decision pursuant to the Termination
and Non-renewal Appeal Procedure set forth in subsection 9.6 below.

9.6 TERMINATION AND NON-RENEWAL APPEAL PROCEDURE

9.6.1 Persons Eligible to File an Appeal

An appeal hereunder may be filed by any individual described in one of the categories below,
hereinafter referred to in this appeal procedure as the "Appellant."

A. Any tenured, tenure track, or teaching faculty member who has been terminated for cause or
whose employment contract has been non-renewed, as long as his or her employment
contract does not specifically render this procedure inapplicable; or
B.

Any tenured employee whose tenure has been revoked by CSM.


9.6.2 Notice of Appeal

A Notice of Appeal is a written document in letter or memorandum form, which is prepared by the
Appel ant and filed with the appropriate CSM official to initiate an appeal hereunder. The Notice of
Appeal must contain, at a minimum, a concise statement of the matter being appealed as wel as the
specific grounds for the appeal set forth in sufficient detail to provide CSM with reasonable notice of
the substance of the appeal. In al non-renewals of tenured faculty and al terminations for cause,
the Notice of Appeal shal address the matters asserted by CSM as grounds for the decision. If the
Appel ant believes the asserted grounds are pretextuous, the Appel ant shal state such belief and
address all other issues, including any constitutional right violations, which the Appel ant believes
constitute the actual reasons for termination or non-renewal. In al non-renewal appeals by tenure-
track and teaching faculty members, the Notice of Appeal must al ege violation by CSM of a specific,
constitutionally protected right of the Appel ant.


9.6.3 Procedure for Initiation of Appeals


A. Place to File Notice of Appeal

A Notice of Appeal shal be addressed to and filed with the office of the CSM official who issued
the notification of the action constituting the subject matter of the appeal, hereinafter referred to
in this appeal procedure as the "Respondent," who shall be presumed to be acting on behalf of
CSM throughout the case. At the time the Notice of Appeal is filed with the Respondent, a copy
thereof shal also be filed with the Office of Legal Services.


B. Time Limitations

All appeals filed pursuant to this procedure must be filed with the Respondent and the Office of
Legal Services no later than thirty days fol owing receipt by the Appel ant of notification of the
action constituting the subject matter of the appeal. If the last day to file a Notice of Appeal, or
any other document pursuant to this procedure, happens to fall on a weekend, a holiday, or any

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day on which CSM is closed, the Notice of Appeal or other document shall be due on the next
CSM business day. If a Notice of Appeal is not filed in a timely manner, the Appellant shall forfeit
all rights of appeal conferred hereunder. The Respondent shall notify the Appel ant in writing if a
Notice of Appeal is not received in a timely manner.


C. Extension of Time Limitations

For good cause, the Appellant may request in writing from the Respondent an additional amount
of time within which to file a Notice of Appeal. However, in order to be considered, a Request for
Additional Time must be filed within the time limit for filing the Notice of Appeal. The
Respondent shal possess the authority to issue a final ruling on such a request.

D. Fulfillment of Notice of Appeal Requirements

An attorney from the Office of Legal Services shal examine the Notice of Appeal to determine if
the requirements set forth above have been met. If the attorney determines that the Notice of
Appeal has not fulfil ed the requirements, he or she shal inform the Appel ant of the deficiencies
in writing within ten business days. The Appel ant shal then have the right to correct and re-file
the Notice of Appeal. If the Notice of Appeal was filed in good faith, the Appel ant shal have the
remainder of the time limit for filing the appeal, if any, plus five additional business days to
correct the deficiencies and re-file the Notice of Appeal. If the attorney concludes that the re-
filed version of the Notice of Appeal is stil deficient, the Appel ant may: (1) correct and re-file the
Notice of Appeal; or (2) request that the re-filed version along with a written recommendation of
the attorney be forwarded to the hearing panel for a decision. If option #1 above is chosen, the
Appel ant shal have the remainder of the original time limit for filing the appeal, if any, plus five
additional business days to correct the deficiencies and re-file the Notice of Appeal. If option #2
above is chosen, the hearing panel must examine the Notice of Appeal and decide that: (1) the
Notice of Appeal is not deficient, and the appeal may proceed to hearing; (2) the deficiencies
contained in the Notice of Appeal are not fatal, and the appeal may proceed to hearing; or (3)
the deficiencies contained in the Notice of Appeal are fatal, and the complaint must be "dismissed
with prejudice." If the Notice of Appeal is dismissed with prejudice, it may not be re-filed.


9.6.4 Appeal Standards


A. Reviewable Issues

In al termination for cause appeals, tenure revocation appeals, and non-renewal appeals filed by
tenured faculty, the reviewable issues shal be limited to the matters asserted by CSM as grounds
for the termination, tenure revocation, or non-renewal. If the Appel ant believes the asserted
grounds are pretextuous, the Appellant may introduce other issues that are believed to constitute
the actual reason for termination. In all non-renewal appeals, an al eged violation of a
constitutionally protected right of the Appel ant shall be the only issue considered on appeal.
However, this appeal procedure is not designed to resolve al egations of unlawful discrimination
made by terminated employees. Any appeal that contains such al egations must be filed as a
complaint under the Board of Trustees’ Unlawful Discrimination Policy and Complaint Procedure.


B. Burden of Proof

The Respondent shal bear the burden of proof in al termination for cause appeals, tenure
revocation appeals, and non-renewal appeals filed by tenured faculty. The Appel ant shal bear
the burden of proof in al non-renewal and not-for-cause termination appeals filed by tenure-
track and teaching faculty members.

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C. Standard of Proof

The standard of proof for al appeals heard pursuant to this procedure shal be the
"preponderance of the evidence" standard, as it is generally applied in civil cases. This standard
shal be deemed met if the panel believes that it is more likely than not that the facts at issue
occurred. The "facts at issue" shall include all facts that are required to be proven by the party
bearing the burden of proof in order for such party to prevail.


9.6.5 Hearing Panel

All appeals filed hereunder shal be heard by a hearing panel chosen under the supervision of the
Associate Vice President for Human Resources pursuant to the method set forth in subparagraph A
immediately below.

A. Initial Hearing Panel Selection Criteria

An initial hearing panel of ten individuals shal be selected at random from the employee group of
which the Appel ant is a member, i.e., academic faculty, administrative faculty, research faculty,
etc. If the Appellant is an academic faculty member, the initial hearing panel shal be selected
from the pool of tenured faculty holding an academic rank equal to or higher than the Appel ant.
If a particular employee group is too smal to contain ten individuals who are available to serve
on the hearing panel, a sufficient number of other exempt CSM employees shall be selected on a
random basis to serve on the panel. Committee members may be excused on account of conflict
of interest, health, or unavoidable absence from campus.

1. Hearing Panel Selection Process

The Appel ant and the Respondent shal each disqualify two of the initial panel members.
The disqualifications exercised by the parties shall proceed in an alternate fashion beginning
with the Appel ant. Of the remaining initial panel members, the one chosen last shal serve
as an alternate hearing panel member. The other five initial panel members shall constitute
the hearing panel for the appeal. An excused initial panel member shall be replaced by
another initial panel member chosen in a random drawing prior to the exercise of any
disqualifications by either party.

2. Selection of Chief Panel Member

After the hearing panel has been chosen, the panel members shall elect a chief panel
member from their number to preside throughout the case.

3. Authority of Chief Panel Member

The chief panel member shal have the authority to (a) issue orders to compel discovery; (b)
make rulings on evidentiary objections; and (c) issue any other orders necessary to control
the conduct of the hearing and prohibit abusive treatment of witnesses, including removal of
disruptive individuals from the hearing room.

4. Role of Alternate Hearing Panel Member


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The alternate hearing panel member shal observe, but not actively participate in, al of the
proceedings in the case and be prepared to substitute for a panel member who becomes
unavailable during any stage of the case due to death, il ness, or emergency.


9.6.6 Legal Representation


A. The Appellant

The Appel ant may consult with or retain legal counsel at his or her own expense to provide the
degree of legal representation desired during the case.


B. The Respondent

The Respondent may consult with or retain legal counsel to provide the degree of legal
representation desired during the case.


C. The Hearing Panel

The hearing panel shal be represented by a "conflicts counsel" provided by the Office of the
Colorado Attorney General.

D. Peer Counsel

As an alternative to retaining an attorney, the Appel ant may, through an appropriate written
document, designate a fellow employee to serve as peer counsel to provide moral support or
actual representation during the hearing. If so designated and to the extent authorized, the peer
counsel may speak on behalf of the Appel ant, examine witnesses, deliver opening statement and
closing argument, etc.


9.6.7 Pre-Hearing Procedures


A. Acknowledgment of Notice of Appeal

As soon as practicable after receipt of the Notice of Appeal and completion of the examination of
legal sufficiency, the Respondent shall send a letter to the Appellant acknowledging timely receipt
and the legal sufficiency of the Notice of Appeal. This subsection shall not apply if the Notice of
Appeal was untimely or legal y insufficient.


B. Setting of Hearing Date

After a chief panel member has been chosen, a hearing date shal be set with reasonable
consideration given to the schedules of the individuals concerned. The chief panel member shall
set a date for the hearing, which shal occur no more than ninety days after the date upon which
the hearing panel was selected. Once set, the hearing date may be rescheduled only with the
concurrence of the Appel ant, the Respondent, and the chief panel member.


C. Pre-Hearing Discovery

Informal discovery, or the voluntary exchange between the parties of information relevant to the
case, is encouraged. If the parties cannot resolve such issues informally, either party may move
the chief panel member up to fifteen days prior to the hearing date to enter an order compel ing

9-11

discovery upon a showing of the relevance of the requested information and the necessity of
such information to case preparation. The other party may oppose such request by showing that
the requested information is irrelevant, unnecessary to the moving party's case preparation, or
privileged according to law.


D. List of Hearing Issues

After examining the pre-hearing statements of both parties, the hearing panel shall prepare a list
of issues to be resolved through the hearing and distribute such list to the parties no later than
two business days prior to the hearing date. The panel may list issues contained in the pre-
hearing statement of either party. The list of issues generated pursuant to this subparagraph
shal be binding upon the subsequent hearing and shal form the standard against which al
relevancy arguments shal be weighed.

9.6.8 Pre-Hearing Statements


A. Contents of Pre-Hearing Statements

Each party shal file a pre-hearing statement containing the following components:


1. Summary of the Argument: A concise statement summarizing the case from the
position of the submitting party;


2. List of Issues: A list of the issues that the submitting party wishes the hearing panel to
resolve;


3. List of Witnesses: A list of witnesses to be presented at the hearing along with a
summary of the anticipated testimony of each witness; and


4. Photocopies of Exhibits: Photocopies of each exhibit to be presented at the hearing.

B. Deadlines for Pre-Hearing Statements

The Appel ant shal file a pre-hearing statement with the hearing panel and provide a copy to the
opposing party no later than ten business days prior to the hearing date. The Respondent shal
file a pre-hearing statement with the hearing panel and provide a copy to the opposing party no
later than eight business days prior to the hearing date. If the hearing date is rescheduled, these
time limits shall apply to the rescheduled hearing date.


C. Limitations Imposed by Pre-Hearing Statements

Neither party shal make an argument during the hearing that is inconsistent with the arguments
set forth in the summary of the argument section of his or her pre-hearing statement. Neither
party shall introduce any witnesses or exhibits at the hearing that are not listed in his or her pre-
hearing statement. Al exhibits listed in the pre-hearing statements shall be deemed genuine and
admissible unless successful y chal enged prior to the hearing.


D. Amendments to Pre-Hearing Statements

Up to five business days prior to the hearing date, either party may request the chief panel
member to permit amendments to his or her pre-hearing statement upon a showing of good

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cause and lack of prejudice to the opposing party. Any party filing an amended pre-hearing
statement shal provide a copy thereof to the opposing party no later than the filing deadline
imposed by the order permitting the amendment.


9.6.9 Hearing Procedures


A. Presumption of Open Hearing

Subject to limitations imposed by the capacity of the hearing room, the hearing shal be open to
the public. For good cause, either party may request that the hearing be closed to the public.
The chief panel member may grant such a request only if the non-requesting party does not
object.

B. Sequestration of Witnesses

Upon the request of either party, the chief panel member shal direct that al individuals
scheduled to appear as witnesses in the hearing may not be present in the hearing room except
when testifying.

C. Order of Presentation

The party bearing the burden of proof, hereinafter referred to in this appeal procedure as the
"Initial Party, shal present his or her case-in-chief first. After this case has been presented, the
party who does not bear the burden of proof, hereinafter referred to in this appeal procedure as
the "Other Party," shal present his or her case-in-chief.


D. Outline of Hearing

The hearing shal proceed according to the fol owing general outline:

1. Initial Party's Opening Statement
2. Other Party's Opening Statement (unless reserved)
3. Initial Party's Case-in-Chief
4. Other Party's Opening Statement (if reserved)
5. Other Party's Case-in-Chief
6. Initial Party's Rebuttal Case (unless waived)
7. Other Party's Rebuttal Case (only if Initial Party presents a rebuttal case and unless
waived)
8. Initial Party's Closing Argument
9. Other Party's Closing Argument
10. Initial Party's Rebuttal Argument (unless waived)


E. Case-in-Chief Procedure

During a party's case-in-chief, that party may testify, examine other witnesses, or introduce
documents as evidence to the hearing panel. Arguments shall not be made by a party or a
representative of a party during the case-in-chief, but shal instead be reserved for the closing
argument. Hearing panel members may interject questions at any time.



9-13


F. Witness Examination Procedure

Each witness shal be directly examined by the party on whose behalf the witness has appeared
to testify. Upon the conclusion of the direct examination of each witness, the opposing party
shal be permitted the right of cross-examination. The chief panel member may permit re-direct
and re-cross examination. However, an identical examination procedure shal be utilized for al
witnesses testifying during the same hearing.


G. Inapplicability of Strict Evidentiary Rules

Strict legal evidentiary rules shal not apply during the hearing. The chief panel member shal
rule on the admissibility of disputed evidence with primary consideration given to the relevance,
reliability, and probative value of proffered evidence.


9.6.10 Post-Hearing Procedures


A. Recommendation of the Hearing Panel

After the conclusion of the hearing, the hearing panel shal confer among themselves and vote
upon a recommended course of action. The panel members holding a majority point of view
shal designate a member of their group to write a recommendation reflecting their opinion.
Panel members holding a minority point of view may issue a dissenting recommendation in a
similar fashion.


B. Contents of Recommendation


The recommendation of the hearing panel shal include the fol owing components:


1. Statement Regarding Burden of Proof: A statement regarding whether or not the
hearing panel believes that the burden of proof borne by the Initial Party has been
sustained;


2. Findings of Fact: A list of the relevant facts found by the hearing panel upon which
the recommendation is based;


3. Legal Conclusions: A list of the legal conclusions of the hearing panel upon which the
recommendation is based; and


4. Recommended Course of Action: A statement regarding the action that is being
recommended by the hearing panel.


C. Issuance of Recommendation

The recommendation of the hearing panel shal be issued to the parties and delivered to the
President of CSM along with the panel's case file within ten business days after the conclusion of
the hearing. If the President is the Respondent or the initiating party of a termination for cause,
the Chairman of the Board shal substitute for the President throughout the remainder of this
appeal procedure.



9-14


D. Issuance of Presidential Decision

The President shal examine the case file, consider the recommendation of the hearing panel,
and issue a final written decision in the matter. The President shall possess the authority to
affirm, reverse, or modify the recommendation of the hearing panel, or to remand the matter to
the panel for further proceedings or consideration. The decision of the President shal be
delivered to the parties and the hearing panel within fifteen days from the date of the President's
receipt of the case file and recommendation from the hearing panel, unless the President is
unavailable for a significant amount of time during this period.


E. Presidential Unavailability

The term "unavailable," as utilized in this subparagraph and subparagraph D immediately above,
shal be defined to mean out of town, medically incapacitated, or engaged in important CSM
business to the extent that sufficient time cannot be devoted to decision making hereunder. If
the President is unavailable for a significant period of time during the decision-making period, a
letter shall be sent to the parties advising them of that fact as well as the anticipated date of
presidential availability. In such event, the decision shall be due fifteen days from the date upon
which the President becomes available. The President shal be the sole judge of unavailability
hereunder.


F. Appeal of Final Decision of CSM

The decision issued by the President shal constitute the final decision of CSM regarding the
matter being appealed. There shal be no further appeal from the final decision of CSM. If the
Appel ant is aggrieved by the final decision of CSM, he or she may pursue other available legal
remedies.

9.7 RESIGNATION

Resignation is an action by which an exempt employee voluntarily severs his or her employment
relationship with CSM.


9.7.1 Resignation Procedure

In order to constitute formal notice to CSM, an exempt employee's resignation shal be in the form of
a letter or other written document submitted to his or her immediate supervisor. The supervisor shal
provide the employee a written acceptance of the resignation. The resignation of a faculty member
shal be effective on the date specified in the letter of resignation, or such other date as may be
mutual y agreed upon by the faculty member and CSM in writing.


9.7.2 Requested Notice

Because of the extreme hardship that may be caused by an untimely resignation, it is requested that
an exempt employee provide notice of his or her intention to resign to his or her supervisor as early
as possible. For tenured, tenure-track, and teaching faculty, it is expected that, except in unusual
circumstances, a resignation wil be effective at the end of an academic year, i.e., the date of spring
commencement.




9-15

9.8 RETIREMENT

An exempt employee may retire at any time if he or she qualifies pursuant to PERA or other retirement
plan criteria. In order to constitute formal notice to CSM, a faculty member's retirement announcement
shal be in the form of a letter or other written document addressed to the President or a vice president
within the applicable chain of authority. The retirement of an exempt employee shal be effective on the
date specified in the retirement announcement, or such other date as may be mutually agreed upon by
the employee and CSM in writing.


9.8.1 Human Resources Office Consultation

All exempt employees considering retirement are encouraged to discuss their retirement plans and
strategies with the CSM Human Resources Office at the earliest appropriate time in order to maximize
their retirement opportunities by familiarizing themselves with applicable State Federal, and
retirement requirements and deadlines. This paragraph shal not be construed to require CSM to
offer a transitional retirement agreement to a faculty member or to require a certain level of
minimum content, compensation, or period of transition appointment.


9.8.2 Transitional Appointments

At the discretion of the appropriate vice president or Provost and subject to the approval of the
President, this type of appointment is available to exempt employees who are eligible for retirement
under PERA guidelines. An individual interested in a transitional appointment should contact his or
her supervisor to determine the availability of a transitional appointment and any specific conditions
for his or her situation. Any questions regarding PERA eligibility should be directed to the CSM
Human Resources Office. The fol owing guidelines shal apply to the granting of transitional
appointments at CSM.

A. Transitional appointments wil be considered by CSM for a period of up to three years, unless
special circumstances exist.
B. An exempt employee who desires a transitional appointment must work out an acceptable
plan for the transitional appointment with his or her supervisor and the appropriate vice
president. A Transitional Appointment Agreement wil be prepared which shal include al
essential details of the appointment.
C. CSM employment during the transitional appointment shal be limited by applicable PERA
rules.
D. A transitional appointee shal be evaluated and considered for pay increases on the same
basis as full-time faculty in proportion to the scope of his or her appointment, unless
specified otherwise in the Transitional Appointment Agreement.
E. A transitional appointee wil be considered benefits-eligible (as defined in Section 5.2 of the
Faculty Handbook) during the period his or her Transitional Appointment Agreement is in
effect and is eligible for health, dental, life, and other non-PERA benefits the same as other
benefits-eligible faculty who meet the eligibility provisions of the insurances or benefits plan.
F. Individuals on transitional appointments are considered to be retirees.
G. This section shal not be construed to require CSM to offer a transitional retirement agreement
to a faculty member or to require a minimum level of course assignments or compensation,
or a minimal appointment term or effective period under the transitional appointment
agreement.


9.8.3 Voluntary Early Retirement Plans

Voluntary early retirement plans may be offered by CSM from time to time.

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9.8.4 Disability Retirement

An employee who sustains a permanent injury, or who suffers from a permanent and debilitating
physical or mental condition, may be eligible for disability retirement under PERA criteria. Exempt
employees desiring additional information on this subject should contact the CSM Human Resources
Office.

9-17

SECTION 10
BOARD POLICIES AND PROCEDURES


10.1 INTELLECTUAL PROPERTY POLICY

I. STATEMENT OF AUTHORITY AND PURPOSE

This policy is promulgated by the Board of Trustees pursuant to the authority conferred upon it by §23-
41-104(1), C.R.S. (2008) in order to set forth a policy concerning the ownership and control of
intellectual property developed by CSM employees and students. This Policy shall supersede any
previously promulgated CSM policy that is in conflict herewith.

II. OBJECTIVE

CSM recognizes that inventions and discoveries, and the patents, copyrights, know-how and trade secrets
accruing from these, may be the natural outgrowth of the academic activities and research of its faculty
members, employees, and students. CSM deems it desirable to secure control and ownership of this
intellectual property to fulfill its role and mission and to benefit the public through its technology transfer
efforts.

III. DEFINITIONS

For the purposes of this policy, the following definitions shal apply:

A.
Intellectual Property Owned by CSM

This phrase shal refer to inventions, innovations, discoveries, methods, apparatus, know-how, designs,
models, distinct shapes, works of authorship (including computer software), any strains, varieties, or
cultures of an organism, or any portion, modification, improvements, translation, or extension of these
items which are made, devised, designed, conceived, formulated, developed, produced, invented, or
improved upon as part of the Inventor's employment relationship with CSM, or which bear upon or arise
out of the Inventor's activities for CSM or a contracting third party, or which are developed pursuant to
the Inventor's duties and obligations to CSM as an employee (including student employees), or developed
where CSM has the right to control the manner and means of production of an invention, innovation,
discovery, method, or apparatus. It also includes any marks used in connection with these. In this Policy,
the term “Intel ectual Property” shal refer to Intel ectual Property that must be disclosed to CSM by
employees and that is deemed to be owned by CSM.

Works that are specifical y commissioned through CSM by a third-party sponsor or by CSM wil be owned
by CSM, not the Inventor.

B.
Intellectual Property Owned by the Employee-Inventor

This phrase shal refer to intel ectual property for which CSM wil not assert ownership, including works of
art that are made or valued primarily for artistic purposes rather than practical function (e.g., art objects,
literary works, musical compositions), academic instruction materials (e.g., course materials), or
traditional scholarly works (such as a scientific article published in a refereed journal, a monograph, a
book, a thesis, or a similar contribution to a collective work) that are authored by an employee within the
scope of employment, unless such works are produced as part of a sponsored program (e.g., as a
contracted-for research deliverable) or are works that are specifical y commissioned by CSM or another
10-1

third-party sponsor.

While CSM shal not assert ownership over academic instruction materials, CSM wil retain a non-
exclusive, irrevocable, perpetual, royalty-free license to use, display, copy, distribute and prepare
derivative works of those materials created by employees in the course and scope of their employment at
CSM. Such materials may include video, audio, webpages, texts, graphics, simulations or other
instructional media.

CSM wil not assert ownership over intel ectual property created, conceived or first reduced to practice by
students solely for the purpose of satisfying degree requirements, unless (a) the student is performing
work under a third-party contract (sponsored research); (b) the student is a co-creator with a CSM
employee; (c) assignment of intellectual property is a course requirement; (d) CSM facilities, equipment,
or resources are used in a manner that is above and beyond what is normally and customarily provided
to students; (e) the student assigns ownership rights to CSM; or (f) the student creates the intellectual
property in the course and scope of their work and duties as either a CSM employee or a research or
graduate fellow.

In this policy, the term “Intel ectual Property” shal not refer to intel ectual property for which CSM does
not intend to assert ownership.

C.
Inventor

This term shal refer to any individual who makes, alone or jointly with others, a significant contribution
to the creation of an invention, innovation, discovery, method, or apparatus. Ultimately, if a patent
application is filed, and subsequently granted, the allowed claims wil dictate who is a named inventor
listed on a patent.

D.
Use of CSM Facilities, Equipment or Resources

This phrase shal refer to any use of CSM laboratories, equipment, computers, personnel, or library
facilities that is more than incidental, or any use thereof that is essential to the creation of Intel ectual
Property.

E.
CSM Research

This phrase shal refer to any research conducted by a CSM employee in fulfil ment of his or her
employment agreement with CSM and/or research using CSM Facilities, Equipment or Resources.

IV. STATEMENT OF OWNERSHIP PRINCIPLE

Intel ectual Property created within the scope of an Inventor's employment, or by anyone utilizing CSM
facilities while performing duties required by a third party contract, or made or done with the use of
funds supplied or administered by CSM, shal be the sole property of CSM, unless inconsistent with other
provisions of this Policy. Acceptance of the terms and conditions of this Policy is and shal be a condition
of employment for all CSM faculty, staff and student employees and a condition of engagement for any
student in a sponsored research project (e.g., as a contracted-for-research deliverable)..

CSM employees engaged in consulting or external business activities and those charged with approving
such activities on behalf of CSM are responsible for ensuring that any related agreements with external
entities are not in conflict with this Policy or other commitments involving CSM. Employees should make
their obligations to CSM clear to those with whom they make agreements and should provide other
10-2

parties to the agreement with a current statement of this Policy. The Director of Technology Transfer,
upon request, wil provide assistance in this regard. CSM's rights and the individual employee's
obligations to CSM that are set forth in this Policy are in no way abrogated or limited by the terms of such
agreements with third parties.

V. DISCLOSURE AND RECORDKEEPING

A. It shal be the responsibility and the duty of an Inventor to promptly notify the Director of
Technology Transfer in writing and make ful disclosure of any invention, discovery, innovation,
method, or apparatus which has potential value as Intel ectual Property.

B. It shal be the responsibility of any person working on a research or creative activity which might
give rise to Intellectual Property to keep periodic records of the activity in a bound notebook,
with each entry signed and dated by both the Inventor and a witness having specific knowledge
of both the activity and the academic discipline involved.

C. Unless required by the provisions of a third party contract pursuant to which Intel ectual Property
is created, no disclosure of Intellectual Property shall be made to any third party without the
prior approval of the Director of Technology Transfer, unless a formal release of rights to the
Intellectual Property has been executed by an officer of CSM or his or her delegate.

VI. FORMAL PROTECTION OF INTELLECTUAL PROPERTY

A. In accordance with the procedures hereinafter set forth, CSM shal , after disclosure by an
Inventor, determine, in its sole discretion, whether and how to protect any Intellectual Property
subject to this Policy.

B. In the event that an application for patent, copyright or other form of protection is decided upon
and pursued, CSM shall have the right to prepare or have prepared, file, and prosecute such
application, and the Inventor shall provide full cooperation in such effort. The Inventor shall
execute such oaths, powers of attorney, petitions, affidavits, assignments of rights, and such
other documents as are necessary to prosecute such application, receive such patents (domestic
and foreign), and vest all right, title, and interest therein in CSM, subject to the preemptive
rights, if any, of third party contractors or sponsors.

VII. JOINT OWNERSHIP

In the event Intel ectual Property is created by a CSM Inventor and an Inventor from an outside entity
(e.g., another university, private company, or national laboratory):

A. Ownership of the Intel ectual Property shal be divided between CSM and the outside entity in a
proportion identical to the inventive contributions made by the respective parties. Any
commercial return from the Intel ectual Property shall be divided in the same proportion as
ownership; and

B. CSM shal have control over the filing and prosecution of any patent applications and other forms
of intellectual property protection as well as commercial exploitation of the Intellectual Property
unless an agreement to the contrary is negotiated by an officer of CSM or his or her delegate.



10-3

VIII. DIRECTOR OF TECHNOLOGY TRANSFER

The Director of Technology Transfer shal be designated by the President of CSM and shal have the
fol owing duties and responsibilities for the implementation of this Policy under the general direction of
the Vice President for Research and Technology Transfer (VPRTT):

A. Receive al disclosures from Inventors of Intel ectual Property.

B. Process al disclosures of Intellectual Property as follows:

a. Conduct a reasonable investigation of the patentability and commercial potential of the
Intel ectual Property (with the assistance of legal counsel, if needed);

b. Make a decision within six (6) months as to whether to seek patent or copyright
protection based on scientific merit, patentability and commercial potential for the
Intel ectual Property, exploit the Intel ectual Property on a commercial basis without legal
protection, or waive all of CSM's property rights in the Intellectual Property; and

c. Communicate the decision to the Inventor.

C. Procure appropriate assignments from Inventors.

D. Administer the filing of patent applications, copyright and other forms of intel ectual property
protection.

E. Execute formal waivers of CSM's rights to any items of Intellectual Property that CSM has decided
not to pursue.

F. Administer the commercial use, licensing, or other disposition of all Intellectual Property in which
CSM possesses any title or interest.

G. Monitor previously filed patent applications and the maintenance of issued patents

H. Review and approve intel ectual property clauses and provisions in al agreements, grants, or
other documents or instruments that may concern or affect CSM.

I. Inform the Inventor(s) of the decision not to pursue or to abandon the application, and in such
cases provide the Inventor the opportunity to procure the Intel ectual Property from CSM by
assignment. Such assignment shall be made only if any conflicts that arise as the result of such
an assignment can be effectively managed. Such assignment wil also include a provision stating
that 5% of any revenues received through commercial exploitation of the Intellectual Property by
the Inventor(s) shal be returned to CSM.

J. Perform such other specific duties as may be reasonably implied from the terms and provisions of
this Policy.

K. Manage the enforcement or defense of any CSM Intel ectual Property rights.

IX. APPEAL PROCEDURE

A. In the event that the Inventor disagrees with the decision of the Director of Technology Transfer
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not to pursue intellectual property protection, the Inventor may, within ten (10) business days of
receipt of the decision, appeal to the VPRTT for the appointment of a Patent and Discovery
Committee, hereinafter the "P & D Committee." The P & D Committee, which shal be appointed
by the VPRTT, shall consist of three (3) or more regular members of the CSM faculty who are
acceptable to both the Inventor and the VPRTT. Should the Inventor fail to appeal to the VPRTT,
the decision of the Director of Technology Transfer shal be final.

B. The duties of the P & D Committee shal consist of the fol owing:

a. Conduct an examination of all available information concerning the Intellectual Property;

b. Confer with the Inventor and the Director of Technology Transfer;

c. Consult with other faculty members, legal counsel or third party contacts in the field of
endeavor if necessary; and

d. Submit a recommended course of action to the VPRTT.

C. After considering the recommendation of the P & D Committee, the VPRTT shal issue a decision
on the appeal of the Inventor within ten (10) business days after receipt of the recommendation
from the P & D Committee.

D. If the Inventor disagrees with the decision of the VPRTT, the Inventor may appeal to the
President for a different course of action. In order to be considered, such an appeal must be
submitted to the President within ten (10) business days of the Inventor's receipt of the VPRTT’s
decision. Should the Inventor fail to appeal to the President, the decision of the VPRTT shall be
final.

E. The President shal issue a final decision on the Inventor's appeal within ten (10) business days
of receipt of the appeal.

F. Any time limitation in this Section IX may be extended by the mutual agreement of the Inventor
and CSM.

X. EQUITIES OF PARTICIPATING PARTIES

A. Inventions Owned by CSM

This subsection is applicable to al Intel ectual Property Owned by CSM.

A. The Inventor shal assign al right, title, and interest in and to any such Intel ectual Property to
CSM.

B. Net proceeds from the item of Intel ectual Property shal be calculated by subtracting the costs of
obtaining and maintaining a patent that are not reimbursed by the party(s) licensing the
technology, if any, and al other expenses of commercial exploitation from the gross proceeds.
These expenses shal first be returned to CSM prior to any further distribution of proceeds from
the Intel ectual Property.

C. Of the first thirty thousand dol ars ($30,000) in net proceeds (excluding reimbursement for
patent costs), fifteen thousand ($15,000) wil be distributed to the Inventor(s) and fifteen
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thousand ($15,000) to the Office of Research and Technology Transfer for investment in
speculative patents.

D. After the initial thirty thousand ($30,000) of net proceeds, any additional revenue wil be divided
as follows: 35% to the Inventor(s); 35% to the CSM general fund and 30% to either the CSM
academic department that is the home department(s) of the Inventor(s) or the research center
which funded the research, at the discretion of the Inventor(s).

E. Any revenue that CSM col ects that is designated in the agreement as reimbursement for past
and/or future patent costs shal not be included in net proceeds, but instead shal be provided to
the Office of Research and Technology Transfer for the purpose of funding CSM’s patent costs
related to the Intel ectual Property.

F. In the case of the death of a CSM Inventor, any revenue that is due the Inventor wil be
distributed to the Inventor’s heirs.

B. Inventions Jointly Owned by CSM and a Third Party

This subsection is applicable to Intel ectual Property in which the invention has at least one Inventor
employed by CSM and at least one Inventor employed by one or more outside entities.

A. A statement of ownership rights shal be an integral part of any sponsored research agreement
and such agreement must be properly executed prior to the initiation of any sponsored research
project.

B. The rights to any Intel ectual Property resulting from any sponsored research shal be distributed
pursuant to the terms regarding intellectual property ownership rights contained in the written
agreement governing the sponsored research project. Such terms shal be consistent with
applicable federal and state laws.

C. The division of the revenues resulting from licensing or optioning jointly-owned inventions shall
be determined in accordance with the inventive contribution of all parties and according to any
subsequent commercialization agreement.

D. Revenue distributed to CSM shal be divided in the manner described in Section X.A of this Policy.

C. Intellectual Property Involving Several CSM Inventors

A. If an item of Intel ectual Property results from the joint efforts of two or more CSM Inventors,
they shal attempt to reach an agreement specifying a distribution of the compensation which
would normal y be paid to a single Inventor. This agreement shal be submitted in writing to the
Director of Technology Transfer at the time the Intel ectual Property is disclosed.

B. In the event an agreement cannot be reached between the Inventors, a Royalty Arbitration
Committee, consisting of at least three (3) regular members of the CSM faculty, shal be
appointed by the VPRTT. The CSM faculty members who wil serve on the Committee shall be
acceptable to both the Inventors and the VPRTT. The Royalty Arbitration Committee shall make a
recommendation to the VPRTT regarding an equitable distribution of royalties within ten (10)
business days.

C. After considering the recommendation of the Royalty Arbitration Committee, the VPRTT wil
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render a decision on the appeal of the Inventors within ten (10) business days after receipt of
the recommendation.

D. If the Inventors disagree with the decision of the VPRTT, the Inventors may appeal to the
President for a different course of action. In order to be considered, such an appeal must be
submitted to the President within ten (10) business days of the Inventor's receipt of the VPRTT’s
decision. Should the Inventors fail to appeal to the President, the decision of the VPRTT shall be
final.

E. The President shal render a final decision on the Inventors’ appeal within ten (10) business days
of receipt of the appeal.

F. Any time limitation in this Section C may be extended by the mutual agreement of the Inventors
and CSM.

XI. Formation of Start-Up Companies

A. Grant of a License or Option to a Start-Up Company that Involves CSM Employees.

A. Should a CSM employee desire to form a private company based on an invention owned by CSM,
he or she shall inform the Director of Technology Transfer and submit to the Director a request
for a license from CSM to utilize the invention.

B. The Director of Technology Transfer shal determine the suitability of the invention in a start-up
company context, taking into consideration any conflict management needs and the legal and
practical aspects of utilizing the invention in this context.

C. If it is determined that a start-up company is a reasonable path forward, both the employee and
the start-up company shall develop a conflict management plan that must be approved by the
VPRTT and Provost, and implemented before the license agreement between the start-up
company and CSM can be signed.

B. Conflict and External Work Disclosure Requirements

A. CSM employees are required to disclose to CSM and obtain institutional approval prior to
engaging in any external commitments that may create a potential or actual conflict of interest
situation for the employee or CSM, pursuant to Section 6.3 of the Faculty Handbook. Should an
employee’s commitment to or involvement in a start-up company create an actual or apparent
conflict of interest, such conflict must be disclosed in a timely manner as outlined in Section
6.3.4.

B. External work, including external employment, paid services, professional consulting and non-
remunerative external commitments must be disclosed and approved in advance of the
employee’s performance of such work pursuant to Section 6.4 of the Faculty Handbook. An
employee’s commitment to or involvement with an external start-up company (regardless of the
employee’s ownership interest in the company) must be disclosed and approved pursuant to
Sections 6.4.2 and 6.4.3.

C. Conflict Management Plans for Start-Up Companies

A. Conflict management plans shal be developed in concert with the Office of Research and
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Technology Transfer and the Provost, with input from CSM’s Legal Services Office and CSM’s
Office of Research Administration, as appropriate. The terms of such plans shall be consistent
with applicable state and federal law, and CSM policy.

B. Conflict management plans shal address, but not be limited to, the fol owing: use of students in
company-sponsored research; the role of any students in the company; the disposition of any
new intellectual property developed; the anticipated time commitment required of CSM
employees in the company’s endeavors; and the anticipated use of CSM facilities in support of
the company’s work and operations.

C. CSM may require modifications to conflict management plans should new information arise or
situations change. The employee and company wil be required to sign and implement the new
conflict management plan. If either the employee or company fails to sign and effectively
implement the conflict management plan, CSM shall have the right to terminate the license or
option agreement. The Director of Technology Transfer, Provost and Legal Services Office wil
work in concert to develop any modifications to conflict management plans.


Promulgated by the CSM Board of Trustees on December 14, 1990.
Amended by the CSM Board of Trustees on June 5, 2009
Amended by the CSM Board of Trustees on May 5, 2017




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10.2 SABBATICAL LEAVE POLICY

I. STATEMENT OF AUTHORITY AND PURPOSE

This policy is promulgated by the Board of Trustees pursuant to the authority conferred upon it by §23-
41-104(1), C.R.S. (1998) and in accordance with the requirements of §23-5-123, C.R.S. (1998) in order
to set forth a policy outlining the terms and conditions under which sabbatical leave and paid
administrative leave shall be granted to employees at CSM. This policy shall supersede any previously
promulgated CSM policy that is in conflict herewith.

II. POLICY STATEMENT

The Board is cognizant of the necessity of maintaining a high caliber of faculty at CSM and the
importance of the faculty's contribution in delivering quality education to CSM students. The Board
recognizes that faculty sabbaticals play an important role in developing and enhancing faculty expertise
and promoting faculty excel ence in teaching and research. The Board also recognizes that a faculty
sabbatical is a privilege, rather than a right, and should be granted only when it directly benefits CSM and
the education of its students. Therefore, the Board shal judiciously grant faculty sabbaticals which are
designed to foster teaching and/or research excellence at CSM and thereby result in a benefit to the State
of Colorado.

III. POLICY

The fol owing rules and procedures shal henceforth apply to the granting and administration of al
sabbaticals at CSM.

A. CSM may not authorize a sabbatical or an extended period of paid administrative leave for any
person holding an administrative position, except that it may, for a reasonable period of time,
authorize such employees to take paid administrative leave for disciplinary or investigative
reasons. Accordingly, administrative faculty members do not qualify for sabbaticals hereunder.
Due to the nature of their positions, research faculty members are likewise ineligible for
sabbaticals. The Board is aware that certain administrative positions at CSM are fil ed by tenured
academic faculty members whose status hereunder may be unclear. For the purposes of this
policy, an "administrative position" shall be defined to mean any position that does not require at
least fifty percent of total effort to be devoted to teaching and academic research.
B. CSM may not grant a sabbatical for any faculty member more than once every seven years. Prior
to beginning a first sabbatical, a tenured faculty member must have served in a ful -time, tenured
and/or tenure-track position for a period of six years, or an aggregate of twelve semesters. In
order to be eligible for a subsequent sabbatical, a faculty member must submit a report on
sabbatical activity (described in Paragraph I below), meet al other requirements associated with
sabbatical leave outlined in this Sabbatical Leave Policy, and serve CSM for six more years. Time
served by an academic faculty member in an administrative position shal count toward fulfil ment
of this time requirement. A sabbatical may not be granted to any faculty member serving on a
transitional appointment. CSM may delay for up to one academic year, the taking of a sabbatical
granted to a faculty member, when it determines that such delay is necessary to avoid significant
disruption to CSM operations and the delay wil advance the excellence of CSM’s delivery of
services. When CSM requires a delay in taking a sabbatical, the faculty member wil be eligible to
seek a grant of sabbatical for the seventh year fol owing the year in which CSM granted the prior
sabbatical.
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C. When applying for a sabbatical, a faculty member shal submit to his or her department head as
far in advance as possible a detailed sabbatical plan specifying: (1) how the sabbatical activity
wil result in the faculty member's professional growth, enhance the reputation of CSM and the
educational experience of CSM students and increase the overall level of knowledge in the faculty
member's area of expertise; and (2) the goals that the faculty member wil achieve while on
sabbatical.
D. The department head shal review the sabbatical plan and forward the plan along with a
recommendation to grant or deny the sabbatical request to the Provost, hereinafter the
“Provost," within a reasonable time. The Provost shal review these documents and, if the
Provost approves the sabbatical request, forward the file to the President with his or her
recommendation within a reasonable time. The President shal review these documents and, if
the President approves the sabbatical request, forward the file to the Board along with his or her
recommendation for final approval.
E. All sabbaticals taken by CSM faculty shall require Board approval in advance. In considering a
sabbatical request, the Board shal consider the quality of the faculty member's proposed
activities while on sabbatical; the individuals who wil be involved in such activities; the benefits
to be received from such activities by the faculty member, CSM and CSM students; the hardship
imposed, if any, on the faculty member's colleagues or department if the sabbatical should be
granted; and the number of sabbaticals or requests for sabbaticals currently outstanding within
the department or area of expertise of the faculty member requesting a sabbatical.
F. If, due to serious and unforeseen circumstances, a faculty member becomes aware that he or
she wil be unable to fulfil the approved sabbatical goals during the sabbatical period, the faculty
member shal expeditiously consult with his or her department head and the Provost to establish
amended sabbatical goals for the remainder of the sabbatical period. If such circumstances
involve a personal or family il ness, sick leave may be substituted for the sabbatical, and in such
case, the faculty member's record wil not reflect the granting of sabbatical leave.
G. Compensation for faculty on sabbatical shal be provided on the fol owing basis: (1) 50% of the
academic year base salary plus 100% of the employer-provided benefits for a one-year
sabbatical; (2) 100% of the academic year base salary plus 100% of the employer-provided
benefits for a one-semester sabbatical.
H. A faculty member receiving paid sabbatical leave must return to full-time employment at CSM for
at least one year after the conclusion of the sabbatical. A faculty member who does not fulfil
this condition wil be required to repay the ful amount of compensation (salary plus employer-
provided benefits) received from CSM during the sabbatical period.
I. Upon completion of a sabbatical, the faculty member shal submit a final sabbatical report to the
Board, including a summary of his or her activities while on sabbatical and the benefits derived
by the faculty member. Final sabbatical reports need not include specific details of the faculty
member's research conducted while on sabbatical. A faculty member may also be requested to
make a brief oral presentation of his or her completed sabbatical to the Board.
J. The Provost shal review the sabbatical plan and the final sabbatical report prior to its submission
to the Board, and certify in writing whether or not the faculty member has met the goals stated
in the plan.
K. The Board may not grant a subsequent sabbatical to any faculty member who does not meet the
goals or amended goals stated in his or her sabbatical plan.
L. Every participant in the sabbatical process shal be responsible for ensuring that each sabbatical
granted by CSM meets the requirements of §23-5-123, C.R.S. (1998) and this policy. Any
employee involved in applying for, reviewing or approving a sabbatical at CSM who acts in bad
faith or in a wil ful and wanton manner may be subject to disciplinary sanctions if the above-
mentioned requirements are not met.

Promulgated by the CSM Board of Trustees on September 9, 1994.
Amended by the CSM Board of Trustees on December 16, 1994.
10-10

Amended by the CSM Board of Trustees on June 10, 1999.


10-11



10.3 RESEARCH MISCONDUCT POLICY AND COMPLAINT PROCEDURE

I.
STATEMENT OF AUTHORITY AND PURPOSE


This policy is promulgated by the Board of Trustees pursuant to the authority conferred upon it by §23-
41-104(1), C.R.S. (2013), to set forth a policy to assure integrity in research and the proper reporting
and resolution of complaints alleging research misconduct at CSM. This policy reflects CSM’s intent and
commitment to foster a research environment that promotes the responsible conduct of research, and
requires adherence to the highest standards of integrity in the proposing, conducting and reporting of
research. As a recipient of federal research funds, CSM must have institutional policies and procedures in
place to handle allegations of research misconduct. The following policy and procedure conform to
pertinent federal regulations, including the Public Health Service (PHS) regulations at 42 Code of Federal
Regulations, Part 93. While 42 CFR 93 applies to al individuals who may be involved with a project
supported by or who have submitted a grant application to the PHS, this policy and procedure apply to all
members of CSM’s community engaged in research, regardless of the funding source.

II. POLICY

A. General Policy Statement

Misconduct in research represents a breach of the policies of CSM, the standards expected by our
research sponsors and entrusted to us by the public, and the expectations of scholarly communities
for accuracy, validity and integrity in research. Such misconduct tarnishes the reputations of honest
researchers and universities, as well as diminishes public confidence in research results. Any
allegation of research misconduct is, therefore, a matter of serious concern to this institution. The
highest standards of honesty, integrity, and ethical behavior are expected of all CSM personnel and
students involved in research and scholarly activity. Further, maintenance of public trust in these
standards is the responsibility of al members of the university community, including faculty,
administrators, staff members, and students. CSM wil maintain an environment that fosters
adherence to the ethical standards set forth in this policy, and provides effective means for
addressing deviations from these standards.

All CSM personnel and students involved in research and scholarly activity are subject to this policy,
and expected to be aware of and to comply with all of CSM’s applicable policies and procedures, as
wel as the requirements and regulations of outside funding agencies. This policy wil specifical y
address research misconduct, which is defined as fabrication, falsification, plagiarism, or other
significant departures from commonly accepted practices within the relevant research community in
proposing, performing or reviewing research, or in reporting research results. CSM wil properly
assess, inquire into and, if necessary, investigate and resolve promptly and fairly all allegations of
research misconduct, and comply with research sponsor requirements for reporting al egations of
possible research misconduct. When sponsored project funds are involved, CSM wil comply within a
time frame consistent with applicable regulations and funding agency requirements for reporting
cases of possible misconduct.

Any member of CSM’s community has an ethical responsibility to act if he or she suspects research
misconduct has occurred. Appropriate actions may include discussing concerns with or reporting
allegations to one’s Department Head or Dean, or CSM’s Research Integrity Officer (“RIO”), Vice
President for Research and Technology Transfer (“VPRTT”) or Provost. Further, members of CSM’s
community are obligated to cooperate with and provide evidence relevant to an allegation of
10-12

research misconduct to appropriate university officials and employees who are directed to conduct
an inquiry or investigate such al egations.

CSM’s inquiry and investigative process shal include expeditious fact-finding and objective peer
review in a setting of appropriate due process that is characterized, at a minimum, by prompt
notification to the individuals whose behavior is the subject of a complaint, protection of the rights
of all participants, and the imposition of appropriate sanctions for policy violations. In the event it is
determined that research misconduct has occurred, appropriate sanctions may include, but are not
limited to one or more of the following: oral or written reprimand; removal from the subject project;
monitoring of future work; probation; suspension; salary or rank reduction; termination of
employment or appointment; or expulsion. Since a charge of misconduct, even if unsubstantiated,
may damage an individual’s career, any such charge must be resolved in a prudent and circumspect
manner, consistent with the duty to thoroughly and fairly resolve each complaint. Retaliation in any
form shall not be permitted against an individual who has filed a complaint in good faith or
cooperated in the investigation of a complaint hereunder.

B. Scope

The policy and procedure hereunder are intended to satisfy CSM’s responsibilities under the Federal
Research Misconduct Policy and related regulations, codified at 42 CFR Part 93. This document,
however, applies to all individuals engaged in university research and scholarship at CSM, regardless
of the funding source. Further, CSM’s policy and complaint procedure apply only to research
misconduct that is al eged to have occurred within six years of the date CSM or the funding agency
received the al egation, subject to the subsequent use, health or safety of the public, and exceptions
in 42 CFR § 93.105(b).

III.
DEFINITIONS

For the purpose of this policy, the following definitions apply, and terms used have the same
meaning as given them in the PHS Policies on Research Misconduct and pertinent federal
regulations, codified at 42 CFR Part 93.

A. Research Personnel

Any persons who are employed by, are agents of, or are affiliated by contract, agreement or, in the
case of students, enrol ment status with CSM, and who are engaged in or have a role in conducting,
executing or documenting research and research training activities, regardless of whether the source
of support is provided through a grant, contract, cooperative agreement, or internally.

B. Research Misconduct

Research misconduct means fabrication, falsification, plagiarism or other serious deviation from
commonly accepted practices within the relevant scientific community for proposing, performing or
reviewing research, or in reporting research results. To find research misconduct, a preponderance
of the evidence must show that there was a significant departure from accepted practices of the
relevant research community and that it was committed intentional y, knowingly or recklessly.
Research misconduct does not include honest error or differences in opinion.

C. Fabrication

Fabrication means making up data or results and recording or reporting them.
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D. Falsification

Falsification means manipulating research materials, equipment, or processes, or changing or
omitting data or results such that the research is not accurately represented in the research record.

E. Plagiarism

The appropriation of another person’s ideas, processes, results, or words without giving appropriate
credit.

F. Significant Departure from Accepted Practices

Significant departure from accepted practices of the relevant research community includes, but is
not limited to:
● Abusing confidentiality, including the use of ideas and preliminary data gained from
access to privileged information through the opportunity for editorial review of
manuscripts submitted to journals, and peer review of proposals being considered for
funding by agency panels or internal committees;
● Stealing, destroying or damaging the research property of others with the intent to alter
the research record; and
● Directing, encouraging or knowingly al owing others to engage in fabrication,
falsification or plagiarism.

G. Complainant

Refers to an individual who submits a written or oral al egation of research misconduct.

H. Respondent

Refers to the individual against whom an al egation of research misconduct is directed or the
individual whose actions are the subject of an inquiry or investigation.

I. Research Integrity Officer (RIO)

Refers to the institutional official appointed by the Vice President for Research and Technology
Transfer who has primary responsibility for assuring adherence to the procedures defined in this
policy and any other CSM procedures adopted to implement this policy.

IV.
ROLES AND RESPONSIBILITIES


A.
Research Integrity Officer (RIO)


The VPRTT wil appoint the RIO, who has primary responsibility for assuring compliance with the
procedures of this policy and any other CSM procedures adopted to implement it. With regard to
research misconduct proceedings, the RIO’s responsibilities general y include the following:

● Consults confidential y with persons uncertain about whether to submit an al egation of
research misconduct;
● Receives al egations of research misconduct, and assesses each al egation in accordance
with this policy to determine whether it fal s within the definition of research misconduct
10-14

and warrants an inquiry;
● As necessary, takes interim action and notifies the federal Office of Research Integrity
(“ORI”) of special circumstances, in accordance with this policy;
● Sequesters research data and evidence pertinent to the al egation of research
misconduct and maintains it securely in accordance with this policy and applicable law
and regulation;
● Provides confidentiality to those involved in the research misconduct proceeding as
required by 42 CFR § 93.108, other applicable law, and institutional policy;
● Supports and facilitates the inquiry and investigation processes outlined in this policy;
● Serves as liaison, as appropriate and necessary, among the committee members, the
complainant, and the respondent;
● Educates respondents, complainants, witnesses and committee members about CSM’s
process for research misconduct proceedings;
● Facilitates appointment of the members of the inquiry and investigation committees,
ensuring that those committees are properly staffed and that there is expertise
appropriate to carry out a thorough and authoritative evaluation of the evidence;
● Keeps the VPRTT and others who need to know apprised of the progress of the review of
the al egation of research misconduct;
● Notifies and makes reports to federal oversight and funding agencies, including the ORI
as appropriate and as required by 42 CFR Part 93;and
● Ensures that administrative actions taken by the institution and the ORI are enforced.

B.
Complainant



The complainant is responsible for making al egations in good faith, maintaining confidentiality,
and cooperating with the inquiry and investigation. Al egations may be reported orally or in
writing. The complainant wil have the opportunity to submit evidence to the inquiry and
investigation committees. The complainant also has the opportunity, if requested by an inquiry
committee, to appear before the committee. The complainant wil be given the opportunity to be
interviewed by and present evidence to the investigation committee. If the RIO or committees
determine that the complainant may be able to provide pertinent information or clarification to
any portion of the committees’ draft reports, these portions may be given to the complainant for
comment. The complainant wil be informed of the results of the inquiry and investigation.

C.
Respondent

The respondent is responsible for maintaining confidentiality and cooperating with the conduct of
an inquiry and investigation. The respondent is entitled to:


Timely, written notification of the decision to convene an inquiry and the research
misconduct al egation;

An opportunity to comment on the inquiry report and have his/her comments attached
to the report;

Be notified of the outcome of the inquiry, and receive a copy of the inquiry report that
includes a copy of the institution’s policy and procedures on research misconduct;

Timely, written notification of the decision to proceed with an investigation, and the
allegations to be investigated, including any new allegations not addressed in the
inquiry;

Be interviewed during the investigation, have the opportunity to correct the recording or
transcript of the interview, and have the corrected recording or transcript included in
the record of the investigation;
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Have interviewed during the investigation any witness who has been reasonably
identified by the respondent as having information on relevant aspects of the
investigation; and

Have the opportunity to review and comment on the draft investigation report, and
have his/her comments attached to this report.

If not found to have committed research misconduct, the opportunity to request
reasonable and practical assistance from CSM in restoring his or her reputation.

The respondent may admit that research misconduct occurred and that he or she committed the
research misconduct. In this event, and upon consultation with the RIO and/or other institutional
officials, as appropriate, the VPRTT may terminate the institution’s review of an allegation that has
been admitted. The institution’s acceptance of the admission and any proposed settlement or
resolution may be subject to and conditioned upon the approval of federal oversight and funding
agencies, as appropriate and required by federal law or policy.

D. Vice President for Research and Technology Transfer (VPRTT)

The VPRTT ensures the ultimate implementation of this policy and related procedures through the
RIO, and is responsible for the dissemination of the policy to the members of the community involved
in research on behalf of CSM and promoting the responsible conduct of research, consistent with the
standards set forth in this policy. As appropriate, the VPRTT consults with the Provost, the RIO, and
the relevant Deans and Department Heads when receiving and assessing al egations of research
misconduct. The VPRTT ensures that appropriate review procedures are promptly implemented by
the RIO when al egations of research misconduct are reported, and the VPRTT receives the final
reports of the inquiry and investigation committees, and any written comments provided by the
respondent. The VPRTT provides recommendations to the Provost relative to the results of research
misconduct investigations. Working with the RIO, the VPRTT shal ensure that the final investigation
report, the decision of the Provost, and a description of any pending or completed administrative
actions are provided to applicable federal oversight and funding agencies, including the ORI, as
required by 42 CFR § 93.315.

E. Provost

As appropriate, the Provost may be involved in consultations with the VPRTT and the relevant Deans
and Department Heads in receiving and assessing allegations of research misconduct, and receiving
the results of research misconduct investigations. The Provost issues a written decision following
receipt of the final investigatory committee report and the VPRTT’s recommendation. In the event of
a final determination of research misconduct, the Provost may impose appropriate sanctions. The
Provost’s decision stands as the institution’s final decision regarding the research misconduct
complaint.

F. Deans and Department Heads

The Deans and Department Heads ensure implementation of this policy and procedure in their
respective col eges and departments. The Deans and Department Heads report knowledge of
allegations of research misconduct to the Provost, VPRTT or RIO. The Deans and Department Heads
also help ensure the cooperation of respondents and other individuals in their respective units
regarding inquiries and investigations related to allegations of research misconduct, including, but
not limited to the sequestration and protection of research records and/or other information and
evidence relevant to the al egations.


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G. Research Personnel

Research Personnel are responsible for maintaining the highest ethical standards in proposing,
performing, and reviewing research, and in reporting research results. Principal investigators are
specifical y responsible for: (a) assuring that these standards and the requirements of this policy
and procedure are communicated to and understood by all who work under their supervision,
directly or indirectly; (b) assuring the validity of all information communicated by their research
groups; and (c) assuring appropriate citation of contributions from all deserving individuals both
within and outside their research groups. Co-authorship shall reflect actual scientific involvement in
and responsibility for work reported.

V.
PROCEDURES FOR RESPONDING TO ALLEGATIONS OF RESEARCH MISCONDUCT


A. General Provisions

1. Responsibility to Report Misconduct


All members of CSM’s community must report observed, suspected, or apparent research
misconduct to their Department Head, Dean, RIO, VPRTT or Provost. If reports of suspected
research misconduct are made to the Deans or Department Heads, the Deans and Department
Heads must communicate such reports to the RIO, VPRTT or Provost.

If an individual is unsure whether a suspected incident fal s within the definition of research
misconduct, he or she may meet with or contact the RIO to discuss the suspected research
misconduct informal y. If the circumstances described by the individual do not meet the
definition of research misconduct, the RIO may refer the individual or allegation to other offices
or officials with responsibility for resolving the problem, as necessary and appropriate. CSM wil
protect those individuals who provide information in good faith about questionable conduct
against reprisals and retaliation.


2. Cooperation with Research Misconduct Proceedings

Individuals covered by this policy and its implementing procedures must cooperate with the RIO
and other institutional officials in the review of allegations and conduct of inquiries and
investigations. Employees, students, and university appointees, including respondents, have an
obligation to provide evidence relevant to research misconduct allegations to the RIO or other
institutional officials. The RIO or other institutional officials may determine whether it is
necessary to sequester original research records and materials relevant to such allegations.

3.
Confidentiality

Throughout the process of responding to an al egation of research misconduct, al persons
involved, including the RIO, committee members, complainant, respondent, and witnesses, shal
exercise great care to preserve the confidentiality of the proceedings to the extent consistent
with a thorough, competent, objective, and fair research misconduct proceeding, and as al owed
by law. Applicable laws and regulations may require CSM to disclose the identity of respondents
and complainants to federal oversight and funding agencies.

4.
Protecting Complainants, Witnesses, and Committee Members


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The RIO shal monitor the treatment of individuals who bring al egations of research misconduct
and those who cooperate with or participate in inquiries and investigations. These individuals are
not to be retaliated against in employment or other status at the institution, and the RIO shal
review instances of al eged retaliation for appropriate action. Individuals should immediately
report any al eged or apparent retaliation against complainants, witnesses or committee
members to the RIO, who shal review the matter and immediately make reasonable and
practical efforts, as appropriate, to address any potential or actual retaliation, and to protect and
restore the position and institutional reputation of the person against whom the retaliation is
directed. Consistent with federal regulations and its own business practices, CSM wil make
reasonable and practical efforts to protect the positions and reputations of those individuals who
make al egations in good faith.

5.
Protecting the Respondent

During the research misconduct proceeding, the RIO is responsible for ensuring that respondents
receive al the notices and opportunities provided for in 42 CFR Part 93, and a copy of CSM’s
relevant policy and procedures. As requested and appropriate, the RIO and other institutional
officials shall make reasonable and practical efforts to protect or restore the institutional
reputations of persons al eged to have engaged in research misconduct, but against whom no
finding of research misconduct is made.

6. Legal Counsel

Upon request, attorneys from the CSM Office of Legal Services and/or the Colorado Attorney
General’s Office shal provide legal advice to the RIO, VPRTT and Provost, as wel as procedural
advice to the inquiry committee and investigation committee. Neither the university nor the
respondent may have legal counsel present at meetings or interviews conducted by the inquiry
and investigation committees, except at the express invitation of the committees. Should legal
counsel be invited, the invitation wil be extended to both parties. When invited, legal counsel
may observe, but shal not participate in the proceedings. With the prior approval of the
committees, the respondent may be accompanied by a non-attorney colleague at meetings of the
committees. When invited, the non-attorney colleague may observe but shall not participate in
the proceedings

7. Requirements for Research Misconduct Findings

A finding of research misconduct requires:

● There be a significant departure from accepted practices of the relevant research
community;
● The research misconduct be committed intentional y, knowingly, or recklessly; and
● The al egation of misconduct be proven by a preponderance of evidence.

8. Interim Administrative Actions and Notifying ORI of Special Circumstances


Throughout the research misconduct proceeding, the RIO wil review the situation to determine if
there is any threat of harm to public health, federal funds and equipment, or the integrity of the
sponsored research process. In the event of such a threat, the RIO wil , in consultation with
other institutional officials and the ORI, as appropriate, take interim action to protect against any
such threat. Interim action may include, but is not limited to any of the fol owing: additional
monitoring of the research process and the handling of federal funds and equipment;
reassignment of personnel or of the responsibility for the handling of federal funds and
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equipment; additional review of research data and results; and delaying publication. The RIO
shal , at any time during a research misconduct proceeding, notify ORI immediately if there is
reason to believe that any of the fol owing conditions exist:

● Public health or safety is at risk;
● Federal agency resources or interests are threatened;
● Research activities should be suspended;
● There is a reasonable indication of possible violations of civil or criminal law;
● Federal action is required to safeguard evidence or protect the interests of those involved
in the research misconduct proceeding; or
● The research community or public should be informed.

9. Impact of Termination of Employment

Once the review of a research misconduct al egation has begun, the termination of the
respondent’s university enrollment, employment or appointment, by resignation or otherwise, will
not terminate CSM’s research misconduct proceeding. Assessment, inquiry and investigation of
the al eged misconduct wil continue until a final determination is made, consistent with the
procedure herein.

10. Malicious or Bad Faith Complaints

Making unfounded al egations of research misconduct that are motivated by malicious intent or
bad faith violates the principles of integrity and ethical behavior that are the foundation of this
policy and procedure. CSM may impose appropriate sanctions, including, but not limited to
disciplinary action, against a complainant whose allegations are found to have been made in bad
faith or with malicious intent, and without reasonable basis in fact and honest belief for making
the charges.

B. Preliminary Assessment of Research Misconduct Allegations


1.
Reporting Requirements


Research misconduct al egations should be promptly reported to the RIO, regardless of which
university personnel initially receive the allegations. Al egations may be communicated orally or in
writing. Upon receiving a report of such an al egation, the RIO wil consult in confidence with the
VPRTT, Provost, Deans, Department Heads or other university personnel, as appropriate and
applicable, to determine whether the allegation meets CSM’s definition of research misconduct,
which is consistent with 42 CFR § 93.103. As part of the initial assessment, the RIO wil also
determine the appropriate roles and responsibilities of CSM, CSM personnel, and external
oversight agencies with respect to evaluating the allegations, and identify individuals, information
and data relevant to the allegation. This initial assessment should be completed within 10 days of
the RIO’s receipt of the al egations, except in circumstances out of the ordinary.

2. Determination to Conduct an Inquiry

If, after assessing the al egation, the RIO determines that the al egation warrants further action
and meets the definition of research misconduct as defined in this policy, the RIO wil initiate the
inquiry process outlined below. As part of the preliminary assessment process, the RIO is not
required to interview the complainant, respondent, or other witnesses, or gather data beyond
any that may have been submitted with the allegation, except as necessary to determine whether
the al egation is sufficiently credible and specific.
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3. Determination to Dismiss an Allegation

If, after assessing the al egation, the RIO determines that the al egation does not warrant further
action and/or does not meet the definition of research misconduct as defined in this policy, the
RIO, in concurrence with the VPRTT, wil formal y dismiss the al egation. In this circumstance, the
RIO need not notify the respondent of such al egation or the disposition of same. However, the
RIO must notify the complainant in writing that the allegation wil not be pursued under CSM’s
Research Misconduct Policy and Complaint Procedure.

C. Conducting the Inquiry


1. Purpose of the Inquiry

If, based on the preliminary assessment, the RIO determines that an inquiry is appropriate, he or
she wil immediately initiate the inquiry process. The purpose of the inquiry is to conduct an
initial review of the available evidence to determine whether to conduct an investigation. An
inquiry does not require a full review of all of the evidence related to the allegation.


2. Time Limitations

The inquiry committee should be convened within 30 days of the determination that an inquiry is
appropriate. The inquiry process, including the final report and decision regarding whether an
investigation is warranted, should be completed within 60 days of convening the inquiry
committee, except in circumstances out of the ordinary.

3.
Sequestration of Research Records and Evidence

Once the determination is made to convene an inquiry, the RIO must take al reasonable and
practical steps to obtain custody of all research records and evidence needed to conduct the
research misconduct proceeding, inventory the records and evidence, and sequester them in a
secure manner. Where the research records or evidence encompass scientific instruments shared
by a number of users, custody may be limited to copies of the data or evidence on such
instruments, so long as those copies are substantially equivalent to the evidentiary value of the
instruments. Research records and evidence wil be sequestered in a manner that causes minimal
disruption to non-related research activities.

4.
Notifications

Within 10 days of the determination to convene an inquiry, the RIO wil notify the respondent of
the allegation in writing. The notification to the respondent wil include: the specific allegation(s);
the rights and responsibilities of the respondent; the role of the inquiry committee; a description
of the inquiry process; and a copy of CSM’s Research Misconduct Policy and Complaint
Procedure.

5.
Appointment of Inquiry Committee

The RIO, in consultation with other institutional officials as appropriate, wil appoint an inquiry
committee as soon after the initiation of the inquiry as is practical. The committee wil consist of
three ful -time, tenured faculty members who do not have unresolved personal, professional, or
financial conflicts of interest with those involved with the inquiry. At least two of the members
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must have the appropriate scientific expertise to evaluate the evidence and issues related to the
allegation.

6. Responsibilities of Inquiry Committee

The inquiry committee is responsible for determining whether the al egation of research
misconduct warrants an investigation based on an initial review of the available evidence. The
inquiry committee may also identify issues that would justify broadening the scope of the
misconduct proceeding beyond the specifics of the initial al egation. The inquiry committee is not
responsible for making a final determination based on the merits of the al egation. The inquiry
committee has access to any and all evidence relevant to the allegation of research misconduct,
and may interview the complainant, respondent, and/or others, if necessary and appropriate. The
committee wil determine whether an investigation is warranted based on its initial review of the
available evidence, and summarize its findings and recommendations in a written report to the
VPRTT. The inquiry, including the final report and decision regarding whether an investigation is
warranted, should be completed within 60 days of the date that the committee is convened,
except in circumstances out of the ordinary.



7.
Charge to the Inquiry Committee

The RIO wil provide the charge to the inquiry committee, which includes:

● Distribution of copies of the CSM Research Misconduct Policy and Complaint Procedure;
● Purpose of the inquiry;
● Definition of research misconduct;
● Specific timeframe for completion of the inquiry;
● Description of the al egations and any related issues identified during the al egation
assessment;
● Identification of the respondent; and
● Responsibilities of the inquiry committee, including:
o Election of committee chair;
o Initial review of evidence;
o Interviews of complainant, respondent and others, if deemed necessary and
appropriate;
o Determination that an investigation is warranted if the committee finds: (1) there is a
reasonable basis for concluding that the al egation fal s within the definition of research
misconduct; and (2) the al egation may have substance, based on the committee’s
review during the inquiry; and
o Preparation of a final, written report.

The RIO wil be available throughout the inquiry to advise the committee as needed.

8.
Inquiry Process


The inquiry committee wil examine relevant research records and materials, and may interview
the complainant, respondent, and key witnesses. Any interviews wil be recorded or transcribed
and provided to the interviewee for correction. The committee wil then evaluate the evidence,
including the testimony obtained during the inquiry. After consultation with the RIO, the
committee members wil decide whether an investigation is warranted based on the criteria in
this policy and 42 CFR § 93.307(d). The scope of the inquiry is not required to and does not
normally include a final determination as to whether research misconduct occurred. However, if
a legally sufficient admission of research misconduct is made by the respondent, misconduct may
10-21

be determined at the inquiry stage if all relevant issues are resolved. In that case, the institution
shal promptly determine the next steps that should be taken, consulting with external oversight
agencies as needed and appropriate.

9.
Inquiry Report


At the conclusion of the inquiry, the inquiry committee wil prepare a written report of its findings
and recommendations. The required elements of this report are:

● Names of committee members;
● Name and title/position of respondent;
● Description of the al egations of research misconduct;
● A summary of the inquiry process utilized;
● Inventory of evidence reviewed;
● If federal funds are involved, identification of grant numbers, applications, contracts and
publications that list PHS or other federal support;
● Basis for the committee’s recommendations for each al egation; and
● Any comments on the draft report by the respondent.

10.
Notification to the Respondent and Opportunity to Comment


The RIO shal notify the respondent as to whether the inquiry found an investigation to be
warranted, and include a copy of the draft inquiry report. The respondent has the opportunity to
review and provide comment on the draft committee report. Any comments must be provided
within 10 days of receipt of the draft report. The inquiry committee will consider the comments of
the respondent and may revise the draft report as appropriate. Any written comments provided
by the respondent must be attached to the final inquiry committee report. The final inquiry
committee report with all attachments must be submitted to the VPRTT and RIO.

11.
Institutional Decision


Upon review of the inquiry committee’s report and any attachments, the VPRTT wil make a
written determination as to whether the al egation should be dismissed or an investigation of the
allegation is warranted. The VPRTT’s decision is final and not subject to appeal. If the decision is
to proceed with an investigation, the VPRTT wil direct the RIO to initiate the investigation
process.

12.
Notifications

The VPRTT wil notify the respondent in writing regarding the VPRTT’s decision on whether to
proceed with an investigation, and wil include a copy of the final inquiry committee report with
all attachments. The VPRTT wil direct the RIO to provide written notification to the Provost,
affected Deans and Department Heads, and complainant regarding the results of the inquiry and
the decision on whether to proceed with an investigation.

13.
Disposition of Inquiry Record


If the VPRTT determines that an investigation is not warranted, the RIO shal secure and
maintain for seven (7) years after the termination of the inquiry sufficiently detailed
documentation of the inquiry to permit a subsequent assessment by an external oversight agency
or other reviewing body of the reasons why an investigation was not conducted. If the VPRTT
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determines that an investigation is warranted, the RIO wil forward all of the information
assembled in the course of the inquiry to the investigatory committee for use in its investigation.

D. Conducting the Investigation


1.
Purpose and Time Limitations


Once the VPRTT determines that an investigation is warranted, the RIO wil be directed to initiate
the investigation process. The purpose of the investigation is to determine, based on a
preponderance of evidence, whether research misconduct has occurred and, if so, to determine
the responsible person(s), and the nature and seriousness of the misconduct. The investigation
committee should be convened within 30 days of the determination to initiate an investigation.
The investigation process, including the final report and findings for each al egation, should be
completed within 120 days of convening the investigation committee, except in circumstances
out of the ordinary.


2. Sequestration of Research Records

The RIO wil take al reasonable and practical steps to obtain custody of and sequester in a
secure manner al research records and evidence needed to conduct the research misconduct
investigation not previously sequestered during the inquiry process.

3.
Notifications

Within 10 days of the determination to convene an investigation, the RIO wil formal y notify the
respondent in writing of the institution’s decision to convene an investigation, including the
fol owing:

● The specific al egation(s);
● The rights and responsibilities of the respondent;
● The role of the investigation committee;
● The investigation process timeline; and
● A copy of CSM’s Research Misconduct Policy and Complaint

If required in any research award documentation or pursuant to federal regulation, the RIO wil
also notify appropriate federal funding and oversight agencies in writing of the decision to
proceed with an investigation within 30 days of the determination that an investigation is
warranted. This notification wil include a copy of the inquiry committee report and other
information and references as required by relevant federal regulation or oversight agencies.

4.
Appointment of the Investigation Committee


The RIO, in consultation with other institutional officials as appropriate, wil appoint an
investigation committee as soon after the initiation of the investigation as is practical. The
investigation committee will consist of three full-time, tenured faculty members who do not have
unresolved personal, professional, or financial conflicts of interest with those involved with the
investigation. At least two of the committee members must have the appropriate scientific
expertise to evaluate the evidence and issues related to the al egation. When necessary to
secure the necessary expertise or to avoid conflicts of interest, the RIO may select committee
members from outside the institution.

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5. Responsibilities of Investigation Committee

The investigation committee is responsible for conducting a thorough review of all facts and
evidence relevant to the investigation to determine, based on a preponderance of evidence,
whether research misconduct has occurred and, if so, to determine the responsible person(s) and
the nature and seriousness of the misconduct. The investigation committee may also identify, in
the course of its duties, issues that would justify broadening the scope of the misconduct
investigation beyond the initial allegation. The investigation committee must interview the
complainant, respondent, and any other available persons who have been reasonably identified
as having information relevant to the investigation. Interviews wil be recorded or transcribed and
provided to the interviewee for correction. The investigation committee shal make a finding for
each al egation, determining whether research misconduct occurred, by whom and to what
extent, taking into account that a finding of research misconduct requires: a preponderance of
evidence; a significant departure from accepted practices in the relevant scientific community;
and that the research misconduct must have been committed intentionally, knowingly or
recklessly. The investigation committee shal summarize its findings and recommendations in a
written report to the VPRTT. The investigation, including the final report and findings for each
allegation, should be completed within 90 days of convening the investigation committee, except
in circumstances out of the ordinary.

6. Charge to the Committee


The RIO wil provide the charge to the investigation committee, which includes:

● Distribution of copies of the CSM Research Misconduct Policy and Complaint Procedure;
● Purpose of the investigation;
● Definition of research misconduct and requirements for findings of misconduct;
● Timeframe for completion of the investigation;
● Description of the specific al egation(s) to be investigated and related issues identified
during the inquiry process;
● Identification of the respondent(s); and
● Responsibilities of the investigation committee, including:
o Election of a committee chair;
o Examination of evidence;
o Interviews of complainant and respondent;
o Interviews of other persons as necessary and appropriate;
o A finding for each al egation, determining whether research misconduct occurred, and
if so, identifying the responsible person and determining the nature and seriousness of
the research misconduct;
o Preparation of a final, written report.

The RIO wil be available throughout the investigation process to advise the committee as
needed.

7.
Investigation Process


The investigation committee must use diligent efforts to ensure that the investigation is thorough
and sufficiently documented, and includes an examination of all research records and evidence
relevant to reaching a decision on the merits of each allegation. The committee wil interview
each respondent, complainant, and any other available person who has been reasonably
identified as having information regarding any relevant aspects of the investigation, including
witnesses identified by the respondent. Al interviews wil be recorded or transcribed, and the
10-24

interviewees will be provided the recording or transcript of the interview for correction.

8. The Investigation Report


At the conclusion of the investigation, the investigation committee will prepare a written report
that summarizes its findings and recommendations. The required elements of this report are:


● Names of the committee members;
● Name and title/position of the respondent;
● Description of the allegation of research misconduct investigated;
● Description of the investigation process utilized;
● Inventory of the evidence reviewed, including documents and evidence examined and
witnesses interviewed;
● A finding as to whether research misconduct occurred for each separate al egation
identified during the investigation, and whether it was committed intentionally, knowingly,
or recklessly;
● Identification of each finding of research misconduct as plagiarism, falsification,
fabrication, or other serious deviations from accepted practices;
● Identification of the individual responsible for each instance of research misconduct;
● Summary of the facts and analysis supporting the conclusion;
● If federal funds are involved, identification of grant numbers, applications, contracts and
publications that list PHS or other federal support;
● Identification of any publications that require correction or retraction; and
● Any comments on the draft investigation committee report by the respondent.

9.
Respondent’s Opportunity for Review and Comment


The RIO wil provide the respondent a copy of the draft investigation report for comment and,
concurrently, a copy of, or supervised access to the evidence on which the report is based. The
respondent wil be al owed 30 days from the date he or she receives the draft report to submit
written comments to the RIO. Any comments wil be provided to the investigation committee for
consideration. The committee may revise the draft investigation report, as appropriate, and wil
prepare a final report. Any written comments provided by the respondent must be attached to
the final investigation committee report. The investigation committee report with al attachments
must be submitted to the VPRTT and RIO.

10.
Institutional Decision


Upon review of the investigation committee’s final report and attachments, the VPRTT wil
prepare a written recommendation and forward both the investigation committee report and his
or her recommendation to the Provost for review and disposition. The Provost wil issue a final,
written decision. If the Provost’s decision varies from the findings of the investigation committee
and/or the VPRTT’s recommendation, the Provost wil , as part of his or her written determination,
explain in detail the basis for the decision. If it is determined that research misconduct has
occurred, the Provost wil determine the appropriate course of disciplinary action in accordance
with relevant CSM policies and procedures, and wil confer with the VPRTT and RIO to determine
other, appropriate institutional actions in response to the research misconduct. If it is determined
that research misconduct has not occurred, the matter is closed with the Provost’s decision,
which serves as the final decision of the institution. If requested, the institution wil make all
practical, reasonable and appropriate efforts to restore the reputation of the individual alleged to
have engaged in research misconduct, but against whom no findings of research misconduct
were found.
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11. Notifications

The Provost wil notify the respondent in writing of the results of the investigation, including a
copy of the final investigation committee report with all attachments. The notification wil outline
plans for any pending disciplinary action against the respondent. By separate, written
communication, the Provost wil also notify the complainant of the results of the investigation.
The RIO wil notify the affected Deans and Department Heads of the results of the investigation.
As required, the RIO wil also notify any applicable federal oversight and funding agencies in
writing of: the investigation committee’s findings; whether the institution accepts the
investigation committee’s findings; whether the institution found misconduct and, if so, who
committed the misconduct; and any pending or completed institutional actions or sanctions. This
notification wil include a copy of the investigation committee’s report with all attachments.

E. Record Retention

All documentation and records related to al egations of research misconduct, regardless of
whether they resulted in an inquiry or investigation, wil be retained and secured by the RIO for a
period of seven (7) years from the date of the receipt of the allegation. Al documentation and
records related to research misconduct inquiries and investigations wil be retained and secured
for a period of seven (7) years from the date of the completion of the research misconduct
proceedings.


Promulgated by the CSM Board of Trustees on June 13, 1996.
Amended by the CSM Board of Trustees on June 22, 2000, and May 19, 2014.

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SECTION 11
DISCIPLINARY ACTION AND GRIEVANCES


11.1 BEHAVIORAL COMPLAINTS AGAINST FACULTY MEMBERS

It is not intended that the complaint resolution procedures set forth below in this subsection be
utilized to: (1) resolve grade appeals or similar complaints by students against faculty members, or
(2) provide a duplicative remedy for a single complaint. In the former situation, the complaint shal
be handled in accordance with the student appeal provisions set forth in the applicable Bul etin or
student handbook. In the latter situation, the appropriate vice president shall make the final
determination regarding the most appropriate complaint procedure or appeal mechanism to be
utilized for the handling of the complaint.


11.1.1 Inappropriate Behavior

Upon receipt by the CSM administration of a complaint alleging inappropriate behavior on the
part of a faculty member, which, in its judgment, does not appear to rise to the level of
misconduct covered by paragraph 11.1.2 below, the administration shal first refer the
complaint to the immediate supervisor of the faculty member at the department/division level
for resolution. If resolution of the complaint at the department/division level is unsuccessful,
the complaint wil be handled by the appropriate vice president according to the applicable
procedure set forth in the Academic Affairs Procedures Manual, which shal be adapted as
necessary for use in departments outside of Academic Affairs.


11.1.2 Misconduct

A. Preliminary Complaint Investigation

Upon receipt by the CSM administration of a report or complaint al eging faculty
misconduct that is deemed to be of a serious nature, the appropriate vice president shal
notify all accused parties and conduct a preliminary investigation to determine whether the
allegation has merit. If a vice president is an accused party, the President shall perform
the duties assigned to the vice president in this subsection. If the President is an accused
party, the Chairman of the Board of Trustees shall perform the duties assigned to the vice
president in this subsection. The vice president may conduct the preliminary investigation
personally, delegate this task to another qualified administrator, or engage an external
investigator to conduct the investigation. In conducting the preliminary investigation, the
investigator shall review relevant documents and discuss the matter with all individuals
directly involved in the matter. Additionally, the investigator may consult with any
individual possessing expertise in the subject matter of the complaint or any member of
the CSM community whose assistance is deemed by the investigator to be helpful to an
equitable resolution of the complaint. Under normal circumstances, it is expected that the
preliminary investigation wil be concluded within thirty days. If the preliminary
investigation takes longer than thirty days to complete, the vice president shall update the
affected parties about the progress of the investigation. At the conclusion of the
preliminary investigation, the vice president shal decide whether or not the al egation has
sufficient merit to proceed to a formal investigation. If a formal investigation is deemed
unwarranted, the vice president shall send a letter to the affected parties announcing the
decision not to undertake a formal investigation and the reasons therefor. If a formal
investigation is deemed warranted, the vice president shall send a letter to the affected
parties announcing the decision to undertake a formal investigation and inviting the
accusing parties and the accused parties to submit written position statements to the ad

11-1

hoc investigatory committee, which shall be appointed as indicated below. The formal
investigation of the complaint shall then commence in accordance with subparagraph B
below.


B. Formal Complaint Investigation and Resolution Procedure

The vice president, in consultation with the president of the faculty organization of which
the accused is a member, shal appoint an ad hoc investigatory committee consisting of
three faculty members having no professional involvement or personal interest in the
matter to be reviewed by the committee. The committee shal be charged with
investigating the complaint and delivering to the vice president a written recommendation
with respect thereto, including proposed findings and a proposed resolution. In conducting
the formal investigation, the committee shal review al relevant documents and discuss the
matter with the individuals directly involved in the al eged misconduct. Additionally, the
committee may consult with any individual possessing expertise in the subject matter of
the complaint or any member of the CSM community whose assistance is deemed by the
committee to be helpful to an equitable resolution of the complaint. The committee shal
compile a file of its work and deliberations and deliver the file to the vice president with its
formal recommendation. Under normal circumstances, it is expected that the formal
investigation will be concluded within sixty days. If the formal investigation takes longer
than sixty days to complete, the chairperson of the investigatory committee shal update
the affected parties and the vice president about the progress of the investigation. At the
conclusion of the investigation, the vice president shal review the investigatory file and
recommendation and render a formal decision in the matter. After reviewing al
information related to the accusation, the vice president shall prepare a written decision
resolving the matter, including a statement of sanctions, if appropriate, and deliver copies
of the formal decision to the affected parties. Under normal circumstances, it is expected
that the vice president wil announce a formal resolution of the complaint to the affected
parties within fifteen days from his or her receipt of the investigatory committee
recommendation.


C. Sanctions

The sanctions imposed for an offense may vary from a letter of reprimand to dismissal for
cause, depending upon the nature of the offense and any aggravating or mitigating
factors, including, but not limited to, the presence or absence of malicious intent.


D. Avenues of Appeal

If the accused party disagrees with the findings of the investigation or the sanctions
imposed, he or she may file a grievance pursuant to the Exempt Employee Grievance
Procedure set forth in subsection 11.3 below. If, as an outcome of the investigation, the
accused faculty member is terminated for cause, he or she may appeal the termination
pursuant to the Termination and Non-Renewal Appeal Procedure set forth in subsection 9.6
below.

11.2 DISCIPLINARY ACTION

If a department head or equivalent director and the appropriate vice president have determined
that a faculty member has failed to behave in an ethical and professional manner, or is guilty of
misfeasance or nonfeasance of duty, he or she may issue a formal letter of reprimand to the faculty
member. Letters of reprimand, in combination with other factors, may constitute cause for
termination of the employment of a faculty member by CSM. If the faculty member disagrees with

11-2

the disciplinary action imposed, he or she may file a grievance pursuant to the Exempt Employee
Grievance Procedure set forth in subsection 11.3 below.

11.3 GRIEVANCE PROCEDURE


11.3.1 Purpose and Scope

A. This procedure is intended to provide a means for faculty to seek redress regarding
employment-related concerns. This process can only be used for matters directly affecting
the faculty member’s working conditions or work assignments. Subject to the limitations
set forth in 11.3.1 B, faculty members may file a grievance under this procedure for any
action, inaction, or decision by a Mines employee that has a tangible adverse professional
impact on the faculty member and that the faculty member has reasonable grounds to
believe was unfair or arbitrary.

B. This grievance process cannot be used to review:

1. Matters involving performance evaluations, al egations of discrimination, sexual
harassment, promotion and tenure, or other matters covered by Board of Trustees
policies and procedures, including other Faculty Handbook or Academic Affairs
procedures that contain specific avenues of appeal.
2. A decision or action by the Board of Trustees.
3. Any matter pertaining to broad areas of the fiscal management, staffing or structure of
the university, CSM policies, procedures, and practices of a general nature. Examples
of such items include the annual budget, operating procedures and protocols,
organizational structure, etc.
4. Any matter for which the resolution is not under the control of the university.
Examples of these might include federal regulations governing recruitment, grant
operations and reporting, state statutory or rule requirements, generally accepted
accounting practices, approved fringe rates, etc.

C. Grievances that are frivolous, vexatious, retaliatory, initiated in bad faith, are filed to harass
or annoy the Respondent, or grievances that are on their face clearly unreasonable, are not
to be filed and may result in sanctions or disciplinary actions against the individual(s) who
filed the grievance. If the Respondent believes that the grievance meets the conditions
described in this Paragraph C, he or she may ask the Grievance Hearing Panel to consider
this in its findings and recommend sanctions against the Grievant. If such a request is
made, the panel wil include in its report to the Decision Maker a section regarding the
Respondent’s request (see 11.3.3. K below).


11.3.2 Terms

A. “Respondent” refers to the individual whose decisions, actions, or inactions have given
rise to the Grievant’s concerns.
B. “Decision Maker” refers to the Provost or Vice President who is charged with making the
decision.
C. “Panel” refers to the Grievance Hearing Panel selected using the process defined in
Sections 11.3.4 F and G of this grievance procedure.


11.3.3 Informal Resolution

If a dispute or conflict arises, the Grievant is expected to make reasonable, good faith efforts to
resolve the dispute or conflict directly and promptly with the Respondent prior to beginning the

11-3

Grievance Procedure (11.3.4). A Grievant should first discuss his or her concerns with the
Respondent. If those efforts fail, the Grievant may utilize the Grievance Procedure below,
except as noted in 11.3.7A when the President is the respondent of the grievance.
11.3.4 Grievance Procedure

A. A grievance must be provided in writing to the Associate Vice President for Human
Resources (AVPHR)1. It must be filed no later than forty-five (45) days after the grieved
action, inaction, or decision became known to the Grievant. If the Grievant fails to file the
grievance by this deadline, the grievance is ended.
B. The written grievance must contain, at a minimum, a statement that identifies the issue(s)
in dispute and the Respondent, describes the factual basis for the grievance and the efforts
to resolve the matter, and describes with specificity the desired outcome.
C. The AVPHR wil promptly provide a copy of the grievance to the Chair of the University
Grievance Committee. The Chair wil determine whether it is a grievable matter (Handbook
Section 11.3.1) that fal s within the jurisdiction of the Grievance Committee and wil
determine whether the grievance is compliant with the submission requirements of
Handbook Section 11.3.4 B.
D. If the grievance is deficient, the Chair wil advise the Grievant in writing and may allow the
Grievant to revise and resubmit the grievance. The Chair must receive the revised
grievance no later than seven (7) days after the Grievant’s receipt of the Chair’s notice of
deficiency. Failure to resubmit within this deadline ends the grievance.
E. The decision of the Chair as to whether it is appropriate for the Committee to hear the
grievance is final and may not be grieved or otherwise appealed.
F. For grievances that qualify to be heard, a Grievance Hearing Panel wil be selected from
Committee membership. The Chair and the AVPHR wil jointly and promptly conduct a
random selection of the initial Panel.
G. The panel wil initially consist of five (5) members. From this number, the Grievant and
the Respondent wil each be required to disqualify one member. The disqualification
must be made by the Grievant and the Respondent each no later than two (2) days after
being notified of the initial Panel. The order of the disqualification selection wil be
determined by the flip of a coin. The remaining three (3) members wil be the Panel that
wil hear the grievance.
H. The Panel wil select a Presiding Panel Member (PPM) within three (3) days of the Panel
selection. Subject to Section 11.3.7 F., the PPM wil schedule a pre-hearing conference of
the panel including the Grievant and the Respondent. The purpose of the pre-hearing
conference is to clarify issues, provide exchange of documents, set a date for the
hearing, identify witnesses, and decide other preliminary matters. With consideration to
participants’ schedules, the pre-hearing conference wil occur promptly, typically no later
than ten (10) days after the selection of the PPM. If the pre-hearing conference
becomes difficult to schedule, the PPM may conduct it on weekends and evenings.
I. Following the pre-hearing conference, the PPM wil schedule the grievance hearing. The
schedule wil be set with reasonable consideration given to the schedules of the Grievant,
the Respondent, panel members, and possible witnesses. The hearing should normal y
occur no later than twenty-one (21) days after the pre-hearing conference.
J. Only members of the Panel, the Grievant(s), the Respondent(s), and their respective
counsels or representatives may attend the pre-hearing conference and the grievance
hearing. Witnesses may be present only while giving testimony.

1 If the grievance is against the Associate Vice President for Human Resources, it must be
provided in writing to the Executive Vice President for Finance and Administration. In this event,
all references that follow within this procedure to the Associate Vice President for Human
Resources wil be replaced with the Executive Vice President for Finance and Administration.

11-4


I. At the hearing, both the Grievant and the Respondent wil have the opportunity to present
their cases. The Grievant bears the burden of proof.
K. The Panel wil issue its report and recommendations, including its findings, to the Grievant,
the Respondent, and to the Decision Maker. The Panel wil issue its report within a
reasonable period of time after the hearing, general y within seven (7) days. Except in
unusual circumstances, the panel’s report and recommendations should be issued no later
than twenty-one (21) days after the hearing.


11.3.5 Decision

A. Within a reasonable period of time after receipt of the panel’s report and
recommendations, the Decision Maker wil issue his or her decision. The Decision Maker
wil use the standard of preponderance of evidence in making his or her decision. The
decision is normally expected to occur within ten (10) days after receipt of the panel’s
recommendation. If the Decision Maker needs to extend the time frame, he/she wil notify
the parties in writing of the extension.
B. The decision of the Decision Maker is final and there is no further appeal. The decision wil
be provided to the Grievant and the Respondent in writing. Copies of the decision wil be
provided to the Faculty Grievance Committee Chair, the PPM, and to Human Resources for
inclusion in the Grievant’s and/or Respondent’s personnel file as determined by the
Decision Maker.


11.3.6 Representation

A. The grievance process is an internal, procedure for resolving workplace disputes; it is not
intended to be a formal legal proceeding. Counsel or a representative may advise either
party and is permitted to attend the pre-hearing conference and the grievance hearing.
While counsel or a representative may advise the Grievant and the Respondent, no counsel
or representative may participate directly in the proceedings, testify, or question witnesses.
B. Mines’ General Counsel may advise the panel on procedural matters related to the
grievance. If the General Counsel is already actively involved in advising a party with
regard to the grievance, another attorney from Mines’ Legal Services Office, an attorney
from the State’s Attorney General’s Office, or external counsel may be assigned to advise
the Panel. An ethical wall wil be utilized to address and resolve any conflict of interest that
arises from this representation.


11.3.7 General

A. If the President is the Respondent to the grievance, the Grievant is encouraged, but not
required, to first discuss his or her concerns with the President. If the Grievant does not
wish to engage the President in a discussion of his or her concerns, the Grievant may
submit his or her grievance to the Chair of the Board of Trustees. If the Grievant elects to
discuss his or her concerns with the President, the President wil issue his or her decision in
writing to the faculty member. A decision issued by the President may not be submitted to
the Faculty Grievance Committee, but may be appealed to the Chair of the Board of
Trustees. Any decision by the Board of Trustees is the final decision of CSM with regard to
grievances brought against the President.
B. If a grievance is lodged against the Provost or a Vice President, the Panel report and
recommendation wil be provided to the President (or his or her designee) who wil make
the final decision.
C. References in the singular include the plural where the intent of the sentence is obvious
that the plural should be included and where the meaning of the sentence is not

11-5

material y changed. For example, the terms “Grievant” and “Respondent” shal include
“Grievants” and “Respondents” as appropriate.
D. All references to days are made to calendar days.
E. If any deadlines fal on a weekend or holiday, they wil be extended to the next business
day.
F. If the pre-hearing conference or the grievance hearing fal within the period between the
end of the spring semester and the beginning of the subsequent fal semester, at the
discretion of the PPM, these may be postponed until the fall semester. If a
postponement is necessary, the deadline for setting the pre-hearing conference shal be
thirty (30) days after the start of the fall semester.




11-6

SECTION 12
UNIVERSITY COMMITTEES


For the purposes of this Handbook section only, the term “academic faculty” shal include al categories of
employees listed in sections 4.1.1 and 4.1.3 above and those listed in paragraph 4.1.2 with titles
Teaching Professor (if appropriate, Assistant/Associate), Professor of Practice, Research Professor (if
appropriate, Assistant/Associate), and Librarian. Other exempt faculty may serve on university
committees with the approval of the Provost.

12.1 ATHLETICS BOARD

12.1.1 Function

The Athletics Board shal deal with matters of intercol egiate athletic policy on behalf of CSM,
including consideration of the effect of proposed changes in such policy upon athletic activities at
CSM.

12.1.2 Membership

The appointed membership of the Athletics Board shall consist of the Faculty Athletic Representative
and a presidential representative. Additionally, the Athletics Director shal serve as a voting, ex
officio board member.

12.1.3 Method of Operation

The presidential representative shal serve as chairperson of the Athletics Board. The board shal
meet upon the cal of the chairperson as necessary for the proper handling of its business, but no
less often than once during the fall semester and once during the spring semester of each academic
year. At least two members must be present at a meeting to constitute a quorum sufficient to permit
the board to conduct its business. A majority vote of members present at a meeting shal be
required for any action taken at the meeting to constitute an official act of the board. The board
shal provide written reports to the President and the Provost on its general activities, specific policy
recommendations, and other relevant matters from time to time, as appropriate. Al disputed
procedural issues that arise regarding the conduct of the meetings of the board shal be resolved
according to the most recent edition of Robert’s Rules of Order.

12.1.4 Method of Appointment

The Faculty Athletics representative shal be nominated by the Faculty Senate and appointed by the
President. The presidential representative shal be appointed by the President.

12.1.5 Terms of Appointment

The presidential representative shal serve for an indefinite term. All terms of appointment to this
committee shall be calculated on an academic year basis, rather than on a calendar year basis.





12-1

12.2 BOARD OF STUDENT MEDIA

12.2.1 Function

The Board of Student Media shal act as advisor to the editorial staffs of the Oredigger, High Grade,
Mines Internet Radio and to the Undergraduate Student Government (USG) in matters pertaining to
student media. Specific duties of the board shal include advising the USG regarding the appointment
and removal of the editors of the above organizations, reviewing the staffing levels of the above
organizations, advising the editors/managers of the above organizations regarding all contractual and
budget matters, and providing advice on the Student Publications Policies set forth in the Articles of
Incorporation and Bylaws of USG.


12.2.2 Membership

The appointed membership of the Board of Student Media shal consist of one at-large member of
the USG; one member of the USG Executive Council; four academic faculty members; and one
administrative faculty member. Additionally, the editors of the Oredigger, High Grade and Mines
Intent Radio shal serve as voting, ex officio members of the board. The advisors of the Oredigger ,
High Grade, and Mines Internet Radio; the Director of Public Relations; and the Treasurer of USG
shal serve as non-voting, ex officio members of the board.

12.2.3 Method of Operation

The Board of Student Media shal elect one of the voting members listed in paragraph 12.2.2 above
to serve as its chairperson. The board shall meet at least once per month during the fall and spring
semesters. Upon the provision of reasonable notice to the membership, special meetings may be
called at any time by the chairperson, or by the USG Executive Council member serving on the board.
At least seven voting members must be present at a meeting to constitute a quorum sufficient to
permit the board to conduct its business. A majority vote of members present at a meeting shall be
required for any action taken at the meeting to constitute an official act of the board. Al disputed
procedural issues that arise regarding the conduct of the meetings of the board shall be resolved
according to the most recent edition of Robert’s Rules of Order.

12.2.4 Method of Appointment

The at-large member of USG and the member of the USG Executive Council shall be nominated by
USG and appointed by the President. The academic faculty board members shal be nominated by
the Faculty Senate and appointed by the President. The administrative faculty board member shall
be nominated by the Administrative Faculty Council and appointed by the President.

12.2.5 Terms of Appointment

The student board members shal serve one-year terms. The academic faculty board members shall
serve staggered two-year terms. The administrative faculty board member shall serve for a two-year
term. All terms of appointment to the board shal be calculated on an academic year basis, rather
than on a calendar year basis.





12-2

12.3 BUDGET COMMITTEE

12.3.1 Function

The Budget Committee shal be responsible for gathering and analyzing appropriate data regarding
the budgetary requirements of CSM, preparing proposed annual budgets for CSM, preparing
proposed budgetary revisions from time to time, and advising the President and the CSM
administration on budgetary matters and long-range fiscal planning.


12.3.2 Membership

The appointed membership of the Budget Committee shal consist of two academic department
heads, three full-time academic faculty members, one college dean, and one full-time administrative
faculty member. One of the academic faculty members must be a Faculty Senator and shal serve as
a representative of the Faculty Senate. Additionally, the Provost, the Executive Vice President for
Administration and Operations, the Vice President for Student Life a, the Vice President for Research
and Technology Transfer, and the Senior Vice President for Strategic Enterprises shall serve as
voting, ex officio committee members. The Executive Director of the CSM Foundation shal serve as a
non-voting, ex officio committee member.


12.3.3 Method of Operation

The chairperson of the Budget Committee shal be the Executive Vice President for Administration
and Operations. The committee shal meet at least once per month during the fal and spring
semesters and as necessary during the summer. Upon the provision of appropriate notice to the
membership, special meetings may be cal ed at any time by the chairperson. At least seven voting
members must be present at a meeting to constitute a quorum sufficient to permit the committee to
conduct its business. A majority vote of members present at a meeting shall be required for any
action taken at the meeting to constitute an official act of the committee. Al disputed procedural
issues that arise regarding the conduct of the meetings of the committee shall be resolved according
to the most recent edition of Robert’s Rules of Order.

12.3.4 Method of Appointment

The academic department head committee members shal be nominated by the college deans and
appointed by the President. The academic faculty committee members shall be nominated by the
Faculty Senate and appointed by the President. The college dean shal be nominated by the Provost
and appointed by the President. The administrative faculty committee member shall be nominated by
the Administrative Faculty Council and appointed by the President.

12.3.5 Terms of Appointment

The academic department head committee members shal serve for staggered two-year terms. The
academic faculty committee members who do not represent the Faculty Senate shall serve for
staggered three-year terms. The academic faculty committee member who represents the Faculty
Senate shal serve for a renewable, one-year term. The administrative faculty committee member
shal serve for a three-year term. All terms of appointment to this committee shal be calculated on
an academic year basis, rather than on a calendar year basis.



12-3

12.4 FACULTY HANDBOOK COMMITTEE

12.4.1 Function

The Faculty Handbook Committee shal be responsible for reviewing the Handbook on a regular basis,
discussing proposed changes to the Handbook suggested by a committee member or a CSM-affiliated
individual or group, preparing proposed amendments to the Handbook for consideration by CSM, and
advising the President and the CSM administration on matters related to the Handbook.


12.4.2 Membership

The appointed membership of the Faculty Handbook Committee shal consist of two academic
department heads, four full-time academic faculty members, and one ful -time administrative faculty
member. One of the academic faculty members must be a Faculty Senator and shal serve as a
representative of the Faculty Senate. Additional y, the Provost, or a representative designated by the
Provost, shal serve as a voting, ex officio committee member. The General Counsel and the
Associate Vice President for Human Resources shal serve as non-voting, ex officio committee
members.

12.4.3 Method of Operation

The chairperson of the Faculty Handbook Committee shal be the Provost, or the Provost’s
representative. The committee shal meet at least once per month during the fall and spring
semesters and as necessary during the summer. Upon the provision of appropriate notice to the
membership, special meetings may be cal ed at any time by the chairperson. At least six voting
members must be present at a meeting to constitute a quorum sufficient to permit the committee to
conduct its business. A majority vote of members present at a meeting shall be required for any
action taken at the meeting to constitute an official act of the committee. Al disputed procedural
issues that arise regarding the conduct of the meetings of the committee shall be resolved according
to the most recent edition of Robert’s Rules of Order.


12.4.4 Method of Appointment

The academic department head committee members shal be nominated by the Provost and
appointed by the President. The academic faculty committee members shall be nominated by the
Faculty Senate and appointed by the President. The administrative faculty committee member shal
be nominated by the Administrative Faculty Council and appointed by the President.

12.4.5 Terms of Appointment

The academic department head committee members shal serve for staggered two-year terms. The
academic faculty committee members who do not represent the Faculty Senate shall serve for
staggered three-year terms. The academic faculty committee member who represents the Faculty
Senate shal serve for a renewable, one-year term. The administrative faculty committee member
shal serve for a three-year term. Al terms of appointment to this committee shal be calculated on
an academic year basis, rather than on a calendar year basis.





12-4

12.5 SAFETY COMMITTEE

12.5.1 Function

The Safety Committee shal be responsible for reviewing the safety practices of CSM on a periodic
basis and advising the CSM administration regarding issues pertaining to the safety of CSM students,
employees, and facilities. Subcommittees or working groups may be assembled as need arises and
as approved by the Safety Committee.

12.5.2 Membership

The appointed membership of the Safety Committee shal consist of one academic department head,
four academic faculty members, and two classified employees. Additional y, the President, the
Provost, the Vice President for Research and Technology Transfer, the Director of Environmental
Health and Safety, the Associate Vice President for Human Resources or a designated representative,
the Director of Facilities Management or a designated representative, the Director of Student Life or a
designated representative, the Director of Public Safety or a designated representative, and the
Radiation Safety Officer shal serve as voting, ex officio committee members.

12.5.3 Method of Operation

The chairperson of the Safety Committee shal be the Director of Environmental Health and Safety.
The committee shal meet upon the cal of the chairperson as necessary for the proper handling of its
business, but no less often than twice during the fall semester and twice during the spring semester
of each academic year. At least ten members must be present at a meeting to constitute a quorum
sufficient to permit the committee to conduct its business. A majority vote of members present at a
meeting shal be required for any action taken at the meeting to constitute an official act of the
committee. The committee shall provide written reports to the Board on its general activities, specific
policy recommendations, and other relevant matters from time to time, as appropriate.

All disputed procedural issues that arise regarding the conduct of the meetings of the committee shall
be resolved according to the most recent edition of Robert’s Rules of Order.

12.5.4 Method of Appointment

The academic department head committee member shal be nominated by the Provost and appointed
by the President. The academic faculty committee members shall be nominated by the Faculty
Senate and appointed by the President. The classified employee committee members shal be
nominated by the Association of Classified Employees and appointed by the President.

12.5.5 Terms of Appointment

The academic department head committee member shal serve for a one-year term. The academic
faculty committee members shal serve for staggered two-year terms. The classified employee
committee members shall serve for staggered two-year terms. All terms of appointment to this
committee shall be calculated on an academic year basis, rather than on a calendar year basis.





12-5

12.6 STUDENT CONDUCT APPEALS BOARD



12.6.1 Function

The Student Conduct Appeals Board shal exist as a pool of potential members to serve on Student
Appeal Committees as needed. However, grade appeals, residency appeals and appeals related to
research misconduct are handled through separate processes.

12.6.2 Membership

The appointed membership of the Student Conduct Appeals Board shal consists of two academic
faculty members, two administrative faculty members, two state classified personnel system
members, three undergraduate students and three graduate students. Additional y, the Vice
President for Student Life and Dean of Students shal serve as the chairperson of the committee (a
voting, ex officio committee member).


12.6.3 Method of Operation

Members of the Appeals Board shal meet upon the call of the chairperson as necessary for the
proper handling of appeals related to student conduct and academic misconduct matters. The board
members wil receive training from the Office of Student Life on issues related to student conduct and
academic misconduct throughout the year. As needed, a group of board members wil be selected by
the chairperson, based on diversity of representation and availability, to serve with the chairperson
on a Student Appeals Committee. A majority vote of the Committee members present shal be
required for any action to be taken. In the case of a tie, the chairperson wil cast the deciding vote.


12.6.4 Method of Appointment

The academic faculty board members shal be nominated by the Dean of Students. The
administrative faculty board members shal be nominated by the Administrative Faculty Council. The
state classified board members shal be nominated by the Association of Classified Employees. The
undergraduate student board members shall be nominated by the ASCSM Student Council. The
graduate student board members shall be nominated by the Graduate Student Association. Al
nominations shall be officially appointed by the President.


12.6.5 Terms of Appointment

The two academic faculty board members shal serve for staggered two-year terms. The two
administrative faculty board members shall serve for staggered two-year terms. The two state
classified board members shall serve for staggered two-year terms. The two state classified board
members shal serve for staggered two-year terms. The three undergraduate student board members
shal serve for one year terms. The three graduate student board members shal serve for one year
terms. Al terms of appointment to the board shal be calculated on an academic year basis, rather
than on a calendar year basis and are renewable for one additional term.

12.7 CALENDAR COMMITTEE


12.7.1 Function

The Calendar Committee shal be responsible for establishing an official academic calendar for CSM,
periodically reviewing the CSM calendar, and proposing revisions thereto. The committee shall
12-6

consider proposals from the CSM community to change the calendar and make recommendations for
appropriate changes to the President. During its consideration of proposed changes to the calendar,
the committee shall ensure that all affected parties and representatives of affected groups are
consulted and have an opportunity to comment on the impact of any proposed changes.


12.7.2 Membership

The appointed membership of the Calendar Committee shal consist of one academic department
head, two academic faculty members, one administrative faculty member, one classified staff
member, one undergraduate student, and one graduate student. One of the academic faculty
members must be a Faculty Senator and shal serve as a representative of the Faculty Senate.
Additional y, the Provost, the Vice President for Student Life and Dean of Students, and the Associate
Vice President for Human Resources shal serve as voting, ex officio members of the committee. The
Registrar and one representative from the CSM Foundation shal serve as a non-voting, ex officio
member of the committee.


12.7.3 Method of Operation

The Provost shal serve as chairperson of the Calendar Committee. The committee shal meet at
least once per semester during the fall and spring semesters and at any other time deemed
necessary by the committee. Upon the provision of reasonable notice to the membership, special
meetings may be cal ed at any time by the chairperson. At least six voting members must be present
at a meeting to constitute a quorum sufficient to permit the committee to conduct its business. A
majority vote of members present at a meeting shal be required for any action taken at the meeting
to constitute an official act of the committee. Al disputed procedural issues that arise regarding the
conduct of the meetings of the committee shall be resolved according to the most recent edition of
Robert’s Rules of Order.


12.7.4 Method of Appointment

The academic Department Head committee member shall be nominated by the Provost and
appointed by the President. The academic faculty committee members shall be nominated by the
Faculty Senate and appointed by the President. The administrative faculty representative shal be
nominated by Administrative Faculty Council and appointed by the President. The classified staff
committee member shall be nominated by the Association of Classified Employees and appointed by
the President. The Foundation representative shal be nominated by the President of the CSM
Foundation and appointed by the President. The undergraduate student committee member shal be
nominated by USG and appointed by the President. The graduate student committee member shall
be nominated by the GSG and appointed by the President.


12.7.5 Terms of Appointment

The academic department head committee member shal serve for a two-year term. The academic
faculty committee member who does not represent the Faculty Senate shal serve for a two-year
term. The academic faculty committee member who represents the Faculty Senate shall serve for a
renewable, one-year term. The student committee members shall serve for one-year terms. Al
terms of appointment to this committee shal be calculated on an academic year basis, rather than on
a calendar year basis.



12-7

12.8 PROMOTION AND TENURE COMMITTEE


12.8.1 Function

The Promotion and Tenure Committee shal be responsible for evaluating the qualifications of al
tenure/tenure-track, library and research faculty candidates for promotion and/or tenure and all
candidates for tenured employment and providing advice and recommendations thereon to the
Provost. The University Promotion and Tenure Committee represents the Mines faculty as a whole
and is intended to provide a university-wide evaluation of a col eague's suitability for promotion
and/or tenure. The responsibility of the University Promotion and Tenure Committee is to: (i)
examine the evidence presented in each candidate’s dossier, including the recommendations of the
Departmental Promotion and Tenure Committee and Department Head, in relation to the appropriate
criteria established by the institution; (i ) ensure that consistent standards are applied to all
candidates; and (i i) make a written recommendation to the Provost regarding the candidate's
suitability for promotion and/or tenure.


12.8.2 Membership

The Committee shal consist of seven ful -time, tenured, Professors or Librarians. Neither multiple
representatives from the same academic department/division nor department heads shall be
permitted to serve on the committee. The membership of the committee should equitably represent
academic departments.


12.8.3 Method of Operation

The Provost shal appoint the chairperson of the Promotion and Tenure Committee. A committee
member who is a member of the same department as a promotion and/or tenure candidate under
consideration shall be excluded from all participation in the discussion and voting of the committee
with regard to that candidate. The committee shal meet at least once during the spring semester
and at any other time deemed necessary by the Provost. At least four members must be present at a
meeting to constitute a quorum sufficient to permit the committee to conduct its business. A
majority vote of members present at a meeting shal be required for any action taken at the meeting
to constitute an official act of the committee. Al disputed procedural issues that arise regarding the
conduct of the meetings of the committee shall be resolved according to the most recent edition of
Robert’s Rules of Order.


12.8.4 Method of Appointment

Promotion and Tenure Committee members shal be appointed by the Provost from a list of
candidates provided by the Faculty Senate. The list shall include at least twice as many names as
there are vacancies on the committee. If, on account of unavoidable absence from campus, il ness,
or recusal, a member becomes unavailable to serve and the committee finds that it has difficulty
fulfil ing the quorum requirement, the committee may request the Provost to appoint an alternate
member to substitute for the unavailable member. The alternate member shal serve in the stead of
the unavailable member for the duration of the period of unavailability.


12.8.5 Terms of Appointment

All Promotion and Tenure Committee members shall serve staggered three-year terms. A minimum
of three years must elapse before a former member may be re-appointed to the committee.

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12.9 TEACHING FACULTY PROMOTION COMMITTEE


12.9.1 Function

The University Teaching Faculty Promotion Committee shall be responsible for evaluating the
qualifications of teaching faculty candidates for promotion and providing advice and
recommendations thereon to the Provost. The University Committee reviews the promotion
application to insure that broadly understood institutional standards and uniformity of review are
applied to all candidates across the institution.


12.9.2 Membership

The Committee shal consist of seven ful -time, Teaching Professors. Multiple representatives from
the same academic department/division shal be permitted to serve on the committee. The
membership of the committee, however, should equitably represent departments employing teaching
faculty.


12.9.3 Method of Operation

Annual y, the Provost shal appoint the chairperson of the Teaching Faculty Promotion Committee. A
committee member who is a member of the same department as a promotion candidate under
consideration shall be excluded from all participation in the discussion and voting of the committee
with regard to that candidate. At least four members must be present at a meeting to constitute a
quorum sufficient to permit the committee to conduct its business. A majority vote of members
present at a meeting shall be required for any action taken at the meeting to constitute an official act
of the committee. Al disputed procedural issues that arise regarding the conduct of the meetings of
the committee shal be resolved according to the most recent edition of Robert’s Rules of Order.


12.9.4 Method of Appointment

Teaching Faculty Promotion Committee members shal be appointed by the Provost from a list of
candidates provided by the Faculty Senate. The list shall include at least twice as many names as
there are vacancies on the committee. If, on account of unavoidable absence from campus, il ness,
or recusal, a member becomes unavailable to serve and the committee finds that it has difficulty
fulfil ing the quorum requirement, the committee may request the Provost to appoint an alternate
member to substitute for the unavailable member. The alternate member shal serve in the stead of
the unavailable member for the duration of the period of unavailability.


12.9.5 Terms of Appointment

All Teaching Faculty Promotion Committee members shal serve staggered three-year terms. A
minimum of three years must elapse before a former member may be re-appointed to the
committee.

12.10 BIOSAFETY COMMITTEE

12.10.1 Function

The Biosafety Committee shal be responsible for advising the President and the CSM community
concerning institutional control of “biohazardous agents” used in teaching and research. These
agents include, but are not limited to: pathogenic organisms, biologically produced toxins, certain
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genetically engineered organisms, and certain recombinant DNA molecules. The committee shal
regularly review institutional policies within its purview and recommend revisions thereto, as wel as
the adoption of appropriate new policies. The committee shal also regularly review existing
safeguards utilized with current or proposed research involving biohazardous agents and recommend
the implementation of institutional biohazard management procedures that are consistent with
applicable governmental rules and guidelines. In addition, the committee shall advise the President
and the CSM community regarding the adequacy of institutional facilities, services, and equipment
used to manage biohazardous agents.

12.10.2 Membership

The membership of the Biosafety Committee shal consist of one academic department head and four
academic faculty members. Additionally, the Director of Environmental Health and Safety and the
Vice President for Research and Technology Transfer shal serve as voting, ex officio committee
members. The membership of the committee should reflect the ful range of microbiologic research
activities taking place on the CSM campus, and at least three committee members should be engaged
in research activities involving the field of Microbiology.

12.10.3 Method of Operation

The chairperson of the Biosafety Committee shal be the Director of Environmental Health and Safety.
The Committee shal meet once during the fal and spring semesters. Four of the members shall
constitute a quorum. A majority vote of the quorum shall be required for any official action of the
committee. Subject to the above, the meetings shall be conducted according to the latest edition of
Robert's Rules of Order.

12.10.4 Method of Appointment

The academic department head committee member shal be nominated by the Provost and appointed
by the President, and the academic faculty committee members shall be nominated by the Faculty
Senate and appointed by the President.

12.10.5 Terms of Appointment

The academic department head committee member shal serve for a one-year term, and the
academic faculty committee members shall serve for staggered two-year terms. Al terms of
appointment to this committee shall be calculated on an academic year basis, rather than on a
calendar year basis.

12.11 ASSESSMENT COMMITTEE

12.11.1 Function

The Assessment Committee shal be responsible for guiding CSM in matters pertaining to assessment
of the program educational objectives and program outcomes of its undergraduate and graduate
programs. The committee may also assess related non-academic activities as needed. In fulfil ing
its role, the committee will:

1. Review, on an annual basis, undergraduate and graduate assessment plans provided by each
academic unit as required by the Provost.
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2. Review, on an annual basis, documentation provided by each academic unit, which indicates
how the unit has carried out its assessment plan, and what changes it has made to its
academic programs as a result.
3. Recommend additional actions academic units could take to enhance their assessment
efforts.
4. Help to implement CSM’s assessment plan for its core undergraduate and graduate
requirements, evaluate this plan and outcomes annual y, and recommend actions based on
these, and
5. Oversee the production of an annual institutional assessment report.

12.11.2
Membership

The appointed membership shal consist of seven ful -time academic faculty members, one from each
Col ege, the remainder chosen to be broadly representative of the academic degree programs. One of
the academic faculty members must be a Faculty Senator and shal serve as a representative of the
Faculty Senate. Additional y, the Assessment Director, the Director of the Center for Innovative
Teaching and Learning, and the Dean of the Graduate School shal serve as voting, ex officio
committee members.

12.11.2
Method of Operation

The Assessment Director shal be the chairperson of the Assessment Committee. The committee
shal meet at least once per month during the fal and spring semesters and as necessary during the
summer. Upon the provision of appropriate notice to the membership, special meetings may be
called at any time by the chairperson. At least five voting members must be present at a meeting to
constitute a quorum sufficient to permit the committee to conduct its business. A majority vote of
members present at a meeting shall be required for any action taken at the meeting to constitute an
official act of the committee. Al disputed procedural issues that arise regarding the conduct of the
meetings of the committee shal be resolved according to the most recent edition of Robert’s Rules of
Order.

12.11.3
Method of Appointment

The academic faculty committee members shal be nominated by the Faculty Senate and appointed
by the President. The Faculty Senate representative shall be appointed directly by the Faculty Senate.

12.11.4
Terms of Appointment

The academic faculty committee members who do not represent the Faculty Senate shal serve for
staggered three-year terms. The academic faculty member who represents the Faculty Senate shall
serve for a renewable, one-year term. Al terms of appointment to the committee shal be calculated
on an academic year basis, rather than a calendar year basis.

12.12 THE PRESIDENT’S COMMITTEE ON DIVERSITY

12.12.1 Function

The President’s Committee on Diversity shal be responsible for providing guidance and making
recommendations to the President regarding campus diversity issues at CSM. In fulfil ing its role, the
Committee wil :

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● Promote practices and activities supporting CSM’s Statement of Commitment to Diversity.
● Aid in the implementation of CSM’s annual Diversity Plan.
● Examine and review campus diversity issues as identified by the administration.
● Serve as an advisory body to the President and members of the CSM administration on
matters pertinent to campus diversity and appropriately within the purview of the Committee.

12.12.2 Membership

The appointed voting members shal consist of representatives from the academic faculty,
administrative faculty, classified staff, department heads, college deans and undergraduate and
graduate students. Additionally, representatives from CSM’s Human Resources, International
Student and Scholars Services, Minority Engineering Program (MEP), and Women in Science,
Engineering and Mathematics (WISEM) Program offices shal serve on the Committee as ex officio,
voting members. These representatives wil be designated by the Directors of these offices.

12.12.3 Method of Operation

An Executive Committee wil be elected from among the voting members of the Diversity Committee.
The Executive Committee shall be comprised of the fol owing executive officers: Diversity Committee
Chair, Chair-Elect, Past Chair, Secretary, Treasurer, Communication and Marketing Coordinator, and
Programming Coordinator(s). The executive officers wil be elected by the members of the Diversity
Committee. In addition to the elected officers, the Special Advisor to the President for Diversity wil
serve on the Executive Committee as an ex officio, voting member. With the exception of the Special
Advisor to the President for Diversity, Committee representatives must have served at least one year
on the Diversity Committee to be eligible for election to the Executive Committee. A simple majority
vote of the present Diversity Committee members shall be needed for election, provided that the
quorum requirement is satisfied. Elections shall be held at the end of the spring semester.

The President’s Committee on Diversity shal meet once a month to conduct business. Special
meetings shal be cal ed as necessary to address urgent business. Fifty percent (50%) of the voting
Committee members, including two Executive Committee members, must be present to constitute a
quorum. Committee members may be assigned to ad hoc groups and subcommittees for the
purpose of handling special projects and campus events.

12.12.4 Method of Appointment

The Diversity Committee shal solicit nominations for membership annual y each spring semester.
Nominations may be solicited, as needed, from the Faculty Senate, Provost, Administrative Faculty
Council, Association of Classified Employees, Alumni Association, the Undergraduate Student
Government, the Graduate Student Government, and industries with interests in CSM’s areas of
specialization. Nominees must be approved for membership by a majority vote of the present
Diversity Committee members at the meeting, provided that the quorum requirement satisfied.

12.12.5 Terms of Appointment

All Committee members shal serve two-year terms, with the possibility of reappointment by a
majority vote of the Committee members. Al terms of appointment shal commence on May 1 and
end on April 30 two years following the appointment.



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12.13 CONFLICT OF INTEREST COMMITTEE


12.13.1 Function

The purposes of the Conflict of Interest Committee are to help facilitate the implementation of the
university’s conflict of interest policies as defined in Faculty Handbook Section 6 and the Conflict of
Interest Policy, clarify faculty obligations to disclose and avoid conflicts, provide guidance both with
respect to interpreting the university’s conflict of interest and conflict of commitment polices and
development of conflict management plans, annually review conflict of interest and conflict of
commitment management plans, and address disputes. In fulfil ing its role, the Committee makes
recommendations to the President, Provost, the Deans, other Vice Presidents, the Faculty Senate,
and/or the Director of Compliance, as is appropriate.


12.13.2 Membership

The appointed voting members shal consist of three ful -time, tenured faculty members, one
teaching faculty member, and one administrative faculty member. The voting members who wil
serve in an ex officio capacity are: the Associate Provost; Director of Office of Research
Administration; Director of Procurement; the administrator responsible for oversight of human
subjects research; and the Director of Compliance and Policy. The non-voting members who wil
serve in an ex officio capacity are: the Director of Technology Transfer and the university’s legal
counsel.

12.13.3
Method of Operation

The Director of Compliance and Policy shal act as Chair of the Committee. . The Committee shal
meet at least once per academic semester. Six of the voting members shal constitute a quorum. A
majority vote of the quorum shal be required for any official action of the committee. Subject to the
above, the meetings shall be conducted according to the latest edition of Robert's Rules of Order.

12.13.4
Method of Appointment

The academic faculty members shal be nominated by the Faculty Senate and appointed by the
President. The administrative faculty member shal be nominated by the Administrative Faculty
Council and appointed by the President.

12.13.5
Terms of Appointment

All appointed committee members shal serve staggered two-year terms.

12.14 FACULTY GRIEVANCE COMMITTEE

12.14.1
Function

The Faculty Grievance Committee (Committee) is a standing committee from which panels wil be
chosen to hear faculty grievances.

12.14.2
Membership

The Committee wil consist of twenty-four (24) faculty members and a Chair and Vice Chair. Selected
faculty, who accept appointments to the Committee, are expected to be available to serve on a
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Grievance Hearing Panel, unless excused by the Chair for extended absence from campus, medical
reasons or conflict of interest (e.g., participation in the actions or decisions that led up to the
grievance, close professional or personal relationships with the Grievant or Respondent, direct or
indirect supervision of the Grievant or Respondent, or factors of a similar nature).

As ex officio members of the Committee, the Chair and Vice Chair wil coordinate committee
meetings, make determinations regarding whether matters contained in formal grievance filings fal
within the jurisdiction of the Committee, participate in the selection process of initial grievance
panels, assist with coordinating the annual committee training, and handle other matters that may
arise.

12.14.3
Committee Member Appointment

The President wil make appointments in a manner that insures a diverse membership including not
only gender, ethnicity, and age, but also diversity in terms of departmental representation,
tenure/tenure-track and non-tenure-track faculty, and other factors. Appointments to the Committee
wil be recommended to the President as fol ows:

A. Faculty Senate shal recommend twelve (12) academic faculty appointees from which no less
than ten (10) wil be appointed to the Committee by the President. From two (2) to four (4)
appointees must be teaching faculty and no more than two (2) appointees may be from the same
department or division.

B. Administrative Faculty Council shal nominate eight (8) administrative faculty appointees from
which no less than six (6) wil be appointed by the President. No two (2) appointees may be
from the same department.

C. Academic Department Heads / Division Directors (DH/DD) shal recommend three (3) DH/DD
appointees from which no less than two (2) wil be appointed by the President.

D. The Provost shal nominate eight (8) appointees who shal be academic faculty members at large
from which no less than four (4) wil be appointed by the President. At least two (2) of the
nominees shall be non-tenure track faculty members, but no two (2) appointees may be from the
same department or division.

E. The President may appoint up to two (2) faculty.

F. No Vice President, Associate Provost, Associate Vice President or employees of Legal Services
may be appointed to the Committee.

12.14.4
Chair and Vice Chair -- Appointment and Role

The Chair and the Vice Chair of the Committee wil be appointed by the President from nominations
provided by the Faculty Senate and the Administrative Faculty Council. The President shall choose a
nomination from each list. For the initial appointment to these positions, the term of appointment for
the Vice Chair wil be two (2) years and the Chair wil be three (3) years. Thereafter, the
appointments of these committee officers wil be for three (3) years.




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12.14.5 Terms of Appointment

Committee members wil serve staggered three-year (3) terms with roughly one-third of the
committee members being replaced each year. Committee members may serve consecutive terms if
recommended and appointed.

12.14.6
Method of Operation

The Committee shal meet as needed and shal receive annual training in the grievance procedures,
process, and concepts. In-house training wil be coordinated through the Chair and Vice Chair.

12.14.7
Grievance Hearing Panel

Whenever there is a need to hold a formal grievance hearing (under the Grievance Procedure,
Section 11.3 of the Faculty Handbook), a Grievance Hearing Panel (panel) wil be chosen at random
from the Committee membership. The panel wil initial y consist of five (5) members. No member of
this initial panel may be from the same department as the grievant or the respondent, nor can any
member of the Committee be selected for the panel if that member is involved in a matter being
grieved. No two members of the panel should be from the same department. The respondent and
grievant wil each disqualify one member of the initial panel, resulting in a final panel of three (3)
members. The order of disqualification wil be determined by a coin toss.


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