SECTION D. FACULTY AND ADMINISTRATIVE PROFESSIONALS
D.1 Classification of University Employees
D.2 Standing Committees of Faculty and Administrative Professionals
D.3 Responsibilities of the Faculty and Administrative Professionals
D.4 Academic Freedom
D.5.3.1 Types of Appointments D.5.3.2 Coordination with Director of Human Resource Services D.5.3.3 Regulations for Appointments of Research Associates and Research Scientists/Scholars D.5.3.4 Joint Administrative Professional and Faculty Appointments
D.6 Oath of Allegiance
D.7 Conditions of Employment for Faculty and Administrative Professionals
D.7.2.1 Permissible Activities for Supplemental Pay D.7.2.2 Non-Permissible Activities for Supplemental Pay
D.7.6.1 Conflict of Commitment D.7.6.2 Consulting
D.7.7.1 Policy D.7.7.2 State Statutes Concerning Fiduciary Duties and Ethical Contact D.7.7.3 Disclosure of Conflicts of Interest When Substantial Discretionary Functions are Exercised D.7.7.4 General University Rules and Procedures for Disclosing Conflicts of Interest
D.18.104.22.168 Elements of Disclosure Statements D.22.214.171.124 Management Oversight
D.7.7.5 Examples of Apparent and Actual Conflicts of Interest
D.126.96.36.199 Apparent Conflicts of Interest D.188.8.131.52 Actual Conflicts of Interest
D.7.7.6 Procedures for Instituting and Processing Conflict of Interest Charges
D.7.8.1 General Policy D.7.8.2 Colorado Sunshine Act of 1972: Registration of Lobbyists
D.7.15.1 The University as a Haven for Free Inquiry D.7.15.2 Restrictions on Classified Research D.7.15.3 Provisions for Exceptional Circumstances
D.8 Distinguished Service Awards
D.9 Code of Ethical Behavior
D.10 Mandatory Performance Evaluation of State Classified Employees
D.11 Administrative Professional Council
D.1 Classification of University Employees
University employees are classified as members of the faculty, administrative professionals, or state classified personnel. The faculty and the administrative professionals are exempt from the State Classified Personnel System.
D.1.1 Definition of Faculty
See Section E.1 for the definition of faculty members.
D.1.2 Classification as Administrative Professionals (last revised May 2, 2007)
Administrative professional positions are positions that are exempt from the State Personnel System under Colorado statutes, but are not faculty positions. The classification of a particular position as an administrative professional position must be coordinated with Human Resource Services.
Administrative professionals include the officers of the University and the professional staff of the Board, heads of administrative units and intercollegiate athletics, and other staff with exempt status as specified by Colorado statute. This includes, but is not limited to, certain professional research positions and the professional staff of the Agricultural Experiment Station, Extension, and the Colorado State Forest Service.
The officers of the University are defined by Board action for the purposes of exemption from the State Classified Personnel System under Colorado statute.
D.2 Standing Committee of Faculty and Administrative Professionals
D.1.3 Employment of Foreign Nationals(new section added December 14, 2004)
Units considering the hiring of an international employee should consult with International Student and Scholar Services regarding immigration procedures necessary for legal employment of foreign nationals.
D.2.1 Benefits Committee (last revised June 23, 2010)
The Benefits Committee advises the University administration regarding benefit programs for faculty and administrative professionals. The Benefits Committee consists of four (4) faculty members, four (4) administrative professionals, a retired faculty member or administrative professional, and the Chair of the Classified Personnel Council as an ex officio non-voting member. At least one (1) representative of the faculty and one (1) representative of the administrative professionals shall be elected each year. Each representative on the Benefits Committee shall serve a three (3) year term. The retired faculty or administrative professional shall serve a three (3) year term and shall be appointed by the Provost, based on nominations from retirees. Ffaculty members shall be nominated by the Faculty Council Committee on Faculty Governance who shall provide nominees for election by the Faculty Council. Administrative professionals shall be elected by the Administrative Professional Council. Terms of office shall begin on July 1. The Chair of the Benefits Committee shall present an annual report to Faculty Council and the Administrative Professional Council.
D.3 Responsibilities of the Faculty and Administrative Professionals
The policy is to facilitate scholarly activities through delineation and promotion of understanding of the levels and general standards of responsibilities incumbent on the faculty members and administrative professionals at this University.
D.3.2 Responsibilities as a Professor
See Section E.5.2 for the definition of responsibilities as a professor.
D.3.3 Responsibilities as a Professional
Members of the faculty and administrative professionals are expected to think and act as a member of the academic profession at Colorado State University. Special responsibilities, both specific and implicit, of an ethical and professional nature are involved. These include the requirement to be accurate, basing views upon scholarly preparation and carefully identifying opinions or other extrapolations from such foundation. In particular, the professional and ethical considerations require appropriate restraints upon such views, together with respect for the views advanced by colleagues.
Faculty members and administrative professionals are expected to exercise accuracy, judgment, and restraint in public and University statements knowing that the profession and the University will be adjudged by such statements. Moreover, extreme care should be exercised to particularize such statements as one's own, eliminating all possibilities for interpretation of such statements as official statements of the University.
D.3.4 Responsibilities to the Larger Community
Consistent with the above, members of the faculty and administrative professionals have both the opportunity and responsibility to provide service to the larger community, including the state and the nation. By means of instruction, research, and extension education, members of the faculty and administrative professionals are able to assist individuals, groups, and various governmental agencies.
D.3.5 Responsibilities as a University Employee
Members of the faculty and administrative professionals are expected to accept and be guided by the applicable and appropriate policies and procedures of the State of Colorado and the Board, the administration of the University, established institutions of faculty self governance, and the adopted code of the administrative unit.
The amount and the character of any work done outside of the University are subject to the individual's responsibilities to the University and consistent with scholarly and professional standards (see Section D.7.7).
D.3.6 Responsibilities for Ensuring Nondiscrimination Practices (last revised June 21, 2011)
Any faculty member or administrative professional who encounters acts of discrimination because of race, age, color, religion, national origin or ancestry, sex, gender, disability, veteran status, genetic information, sexual orientation, or gender identity or expression, either on or off campus, is urged to report such incident to the University by completing a simple form available for that purpose from the Office of Equal Opportunity (OEO).
D.3.7 Policy Regarding Sexual Harassment
No member of the academic community (faculty, staff, and students) may sexually harass another. The University deplores sexual harassment and will act energetically to prevent it (see Appendix 1).
D.4 Academic Freedom
See Section E.8 for the definition of Academic Freedom.
D.5.1 Policy: Nondiscrimination and Affirmative Action (last revised June 21, 2011)
Colorado State University does not discriminate on the basis of race, age, color, religion, national origin or ancestry, sex, gender, disability, veteran status, genetic information, sexual orientation, or gender identity or expression. The University complies with the Civil Rights Act of 1964, related Executive Orders 11246 and 11375, Title IX of the Educational Amendments Act of 1972, Sections 503 and 504 of the Rehabilitation Act of 1973, Section 402 of the Vietnam Era Veterans' Readjustment Assistance Act of 1974, as amended, the Age Discrimination in Employment Act of 1967, as amended, the Americans with Disability Act (ADA) of 1990, the Civil Rights Act of 1991, the ADA Amendments Act of 2008, the Genetic Information Nondiscrimination Act of 2008, and all civil rights laws of the State of Colorado. Accordingly, equal opportunity of employment and admission shall be extended to all persons and the University shall promote equal opportunity and treatment in employment through a positive and continuing affirmative action program for ethnic minorities, women, persons with disabilities, and veterans. The OEO is located in 101 Student Services1
D.5.2 Appointments to Faculty
See Sections E.2 and E.3 for definitions of appointments to faculty.
D.5.3 Appointments of Administrative Professionals (last revised June 22, 2006)
Administrative professionals are recommended for appointment by the immediate supervisor through administrative channels regardless of the length of the proposed appointment. The Board has delegated the authority to appoint most administrative professionals to the President. The President has further delegated this authority to the Provost and vice presidents for the administrative units under their authority. However, the Board must approve the appointments of the Provost, the vice presidents and, if requested by the Board, senior administrators (as defined in Section B.1). Further, the Board may, from time to time, elect to exercise any authority delegated to the President (and which may have been further delegated to the Provost and vice presidents).
The immediate supervisor shall develop a job description, announce the position, appoint the search committee, coordinate the search, and make the employee selection in accordance with the guidelines of the OEO. Persons appointed should possess at least an appropriate baccalaureate degree from an accredited college or university and be professionally qualified. Exceptions to the degree requirement may be made where it can be demonstrated that professional experience may substitute for the baccalaureate degree. Those exceptions must be approved by the appropriate vice-president and the Director of Human Resource Services. All administrative professional appointments are "at will"; (see Section D.5.6) and do not lead to tenure.
D.5.3.1 Types of Appointments (last revised March 19, 2002)
Administrative professional appointments may be regular full-time, regular part-time, special full-time, special part-time, or temporary. Full-time appointments are used for full-time nine (9) or twelve (12) month appointments, and part-time appointments are used for appointments of less than full-time, but at least half-time (0.5). For regular and special appointments, no termination date need be stated on an appointment form since such appointments are "at will" (see Section D.5.6), and the inclusion of any termination date on such forms is for administrative convenience only. Special appointments are normally used when positions are supported by sponsored programs or when funds are available only for the duration of the specific assignment. Regular and special administrative professional appointees receive the same benefits as regular and special academic appointees (see Section G). Temporary appointments are used for full-time and part-time appointments of less than nine (9) or twelve (12) months and for all part-time appointments less than half-time (0.5). Temporary appointees are eligible for privileges and benefits as defined in Section G. Temporary appointees of half-time (0.5) or greater are eligible for sick leave (see Section F.3.2) after one (1) year of employment.
D.5.3.2 Coordination with Director of Human Resource Services (last revised March 19, 2002)
The State Constitution (Article XII, Section 13 ) and the State Personnel Act (C.R.S. 24-50-135) define those University positions that are not within the State Personnel System. In order to ensure compliance with the requirements therein, all new administrative professional positions must be coordinated with the Director of Human Resource Services before a position is announced or an appointment offered.
D.5.3.3 Regulations for Appointments of Research Associates and Research Scientists/Scholars(last revised March 19, 2002)
Research Associates and Research Scientists/Scholars are research staff members whose assignments are not such as to classify the individuals as faculty members. Position descriptions for the multiple levels of research associates and research scientists/scholars, including typical duties and educational and experience criteria, along with guidelines for advancement between levels, are available from the Director of Human Resource Services. Changes to the descriptions for these positions are subject to approval by the President after review and comment by the Administrative Professional Council.
D.5.3.4 Joint Administrative Professional and Faculty Appointments(last revised June 4, 2008)
This type of appointment is described in Section E.2.2.2.
D.5.4 Position Titles for Administrative Professionals (last revised March 19, 2002)
Titles approved by the President for administrative professionals appear in the Human Resource Manual and can be obtained from the Administrative Professional Council Office. However, neither these titles, nor the descriptions of the positions, may be such as to imply an equivalence or similarity to faculty positions. In particular the terms "professor," "instructor," and "teacher" are reserved for faculty positions only.
D.5.5 Evaluation of Performance of Administrative Professional
a. Each administrative unit shall establish formal procedures for an annual evaluation of performance of its administrative professionals.
b. Evaluations shall be based on the quality and quantity of performance in fulfilling the individual's responsibilities as those responsibilities are defined in the employee's job description during the period of evaluation.
c. The employee may also submit information and documentation pertinent to the evaluation and may submit a self-evaluation, both of which shall be taken into consideration by the superior in the evaluation process.
d. The immediate supervisor shall hold a formal annual conference with each individual as part of the evaluation, during which the employee shall be fully advised concerning the methods and criteria used in the evaluation and of the results of the evaluation.
e. The evaluation shall be in writing and shall be signed by the immediate supervisor and the employee, who thereby indicates receipt of the evaluation. A copy shall be provided to the employee.
f. The Provost of the University is responsible for assuring that such evaluation is conducted in a proper and timely manner.
D.5.6 Formal Procedures for Dismissal of Administrative Professional on Grounds of Unsatisfactory Performance (last revised June 22, 2006)
Pursuant to State Statute, C.R.S. 24-19-104, all administrative professionals are "employees at will" and their employment is subject to termination by either party at any time. The authority to terminate most administrative professional has been delegated to the President by the Board. The vice president in charge of an academic department or administrative unit must review and approve any recommendations concerning the termination of administrative professionals on any grounds, except for terminations at the end of the stated employment period, before the action is presented for final approval. Termination of the Provost, the vice presidents and, if requested by the Board, senior administrators (as defined in Section B.1) requires final approval of the Board. Otherwise, the Board has delegated the authority for final approval to the President. THE PROVISIONS OF THIS SECTION SHALL NOT BE INTERPRETED TO AUTHORIZE THE TERMINATION OF ANY ADMINISTRATIVE PROFESSIONAL FOR ANY REASON THAT IS CONTRARY TO APPLICABLE FEDERAL, STATE, OR LOCAL LAW.
D.6 Oath of Allegiance
Under a Colorado law enacted in 1969, the following oath of allegiance is required of all faculty members and all administrative professionals:
"I solemnly (swear) (affirm) that I will uphold the Constitution of the United States and the Constitution of the State of Colorado, and I will faithfully perform the duties of the position upon which I am about to enter."
This oath must be taken before a notary public. For those who are not citizens of the United States or citizens residing outside of the United States, special arrangements may be made with the Department of Human Resource Services.
D.7 Conditions of Employment for Faculty and Administrative Professionals
D.7.1 Maximum Employment
Faculty members and administrative professionals on nine (9) month appointments may be employed a maximum of twelve (12) additional working weeks during the summer, exclusive of vacation, per fiscal year. The salary rate used in this determination shall be that of the academic year following the summer. Faculty members and administrative professionals on twelve (12) month appointments cannot be employed by the University during their annual leave. A faculty member or administrative professional whose normal appointment is for less than nine (9) months of service per fiscal year ordinarily shall be paid at a salary rate equal to the academic year rate.
A nine (9) month employee may be appointed for any combination of nine (9) months during the fiscal year. The off duty months need not be consecutive. However, the off duty period should involve entire calendar months if at all possible. The best interest of the department's program should be the determining factor in the decision as to which three months shall be chosen as off duty.
Faculty members and administrative professionals being paid for full-time employment by a unit of the University, or combination of units, cannot be provided additional payment by the University for personal services during the period of full-time employment, except as authorized in the supplemental pay policy or by special action of the Board.
D.7.2 Supplemental Pay Policy (Last revised June 9, 1999)
Supplemental Pay is compensation by the University beyond the established monthly base salary of a faculty member or administrative professional. Supplemental pay is intended for University activity that requires effort, either in degree or nature, in addition to that defined under the individual's appointment and their one hundred (100) percent effort distribution. Summer appointments for individuals with less than a twelve (12) month salary, whether by salaries or other stipends, do not constitute supplemental pay. It is the joint responsibility of the individual and his or her immediate supervisor to ensure that the individual is fulfilling primary job responsibilities, and the activities leading to supplemental pay shall in no way detract from the performance of his or her assigned responsibilities and one hundred (100) percent effort distribution. Except in extraordinary situations, all supplemental pay approval requests must be completed by the department/unit head and signed by the dean/supervisor before the activity commences. The rate to be paid to an individual as supplemental pay for a given service will be negotiated between the individual and the director or department head receiving the service and will be subject to the approval of the individual's department head, academic dean or director, vice president, and President.
D.7.2.1 Permissible Activities for Supplemental Pay
Activities which may be eligible for supplemental pay include but are not limited to:
a. teaching/preparing courses through Division of Continuing Education;
b. lecturing at institutes, conferences and workshops;
c. providing professional services that are not part of regular duties and expectations, such as translating a document from a foreign language or providing statistical analysis;
d. post differentials or other similar payments associated with foreign assignments, unless part of an appointment contract.
D.7.2.2 Non-Permissible Activities for Supplemental Pay
Activities which may not be eligible for supplemental pay include, but are not limited to:
a. routine committee or task force work such as graduate committee assignments;
b. faculty class loads greater than departmental averages, providing that those assignments are reflected in individual effort distributions;
c. participation in curriculum development other than for educational outreach (continuing and distance education programs) during the nine (9) month academic term;
d. participation in sponsored research projects; unless specifically approved in writing by the sponsoring agency before payment is made to a member of the faculty or administrative professional.
Honoraria are honorary payments provided by organizations for some form of participation in their programs for which no supplemental pay through the University will be forthcoming.
D.7.4 Off-Campus Assignment
The University encourages its faculty members and administrative professionals to accept off-campus assignments which are not part of normal University duties but which are part of the institution's international mission or are of national, state, or institutional interest, as long as these do not conflict with the mission of the faculty member's department.
a. In recognition of the possibility that off-campus assignments may require the assumption of greater responsibilities, broader technical effort and additional perseverance and adaptability to the environment of the new locale, a temporary increase in salary for the faculty member or administrative professional may be granted.
b. While the individual is on an off-campus assignment, the salary will be subject to annual merit adjustments in accordance with University policy. Upon completion of the assignment, the individual's salary will revert to its previous base, adjusted for annual increments, promotions, merit increases, transfer, or redefinition of duties.
c. When the duration of the assignment is such that an adjustment in salary is impracticable, an appropriate special payment may be negotiated (see Section D.7.2).
D.7.5 Off-Campus Employment
Any outside employment by a full-time University employee on a continuing basis shall be approved by the individual's immediate superior and department head (see Sections D.7.6 and D.7.7).
D.7.6 Conflict of Commitment and Consulting Policies (last revised June 23, 2010)
The University seeks to provide an environment that will enhance and further academic and professional careers. Thus, the University encourages engagement in professional activities such as memberships in professional associations; service on review or advisory panels; presentations of lectures, papers, concerts, and exhibits to external audiences; textbook authorship; various editorial assignments; and appropriate consulting activities.
D.7.6.1 Conflict of Commitment (last revised June 23, 2010)
Faculty members and administrative professionals owe their primary professional obligation to the University, and their primary commitment of time and intellectual energies should be to the teaching and advising , research and other creative activity, and service and/or outreach of the institution. A full-time appointment conveys an obligation to maintain a meaningful presence on behalf of the University in the performance of responsibilities. For those with on-campus appointments, this obligation includes being accessible to students, staff, and colleagues during the appointment period. A conflict of commitment arises when a faculty member or administrative professional undertakes external commitments which substantially burden or interfere with the employee's primary obligations and commitments to the University (see also Section D.7.5 Off Campus Employment).
D.7.6.2 Consulting (last revised June 21, 2011)
Consulting is the provision of professional advice or service to external constituents with or without remuneration. The opportunity for faculty members and administrative professionals to accept occasional professional consulting engagements is a traditional privilege. Such activities are desirable and constitute legitimate means to promote professional development, thereby enriching the individual's contributions to the institution, to the profession, and to society. Consulting activities provide one means to facilitate the flow of information and development of technologies. Traditionally, the University has allowed full-time faculty members and administrative professionals to engage in consulting during their appointment period.
Employees normally shall not engage in compensated consulting activities for individuals or organizations that compete with the activities of the University (see Section D.7.7.5). In exceptional cases, however, those employees may obtain prior written approval from their deans and directors.
A University employee who wishes to engage in consulting for pay during his or her appointment period must make a full written disclosure (excepting the amount of compensation) to his or her immediate supervisor, in advance of the planned activity. In situations requiring immediate absence, the employee must notify his or her immediate supervisor as soon as reasonably possible followed by full written disclosure upon return to the University. However, in all instances involving a conflict of interest, prior written notification must be given (see Section D.7.7 Conflict of Interest). The employee also must provide satisfactory assurances that such activity will not interfere with employment obligations to the University, result in an unmanageable conflict of interest (see Section D.7.7) or conflict of commitment (see Section D.7.6.1), nor exploit improperly the responsibilities and work or ideas of students, staff, and collaborators. The immediate supervisor shall inform the dean (or next level of review) of all disclosures.In consulting, it must be kept clear that the faculty member or administrative professional is acting as an individual and is not representing the University or acting as its agent. Furthermore, no agreement shall provide an external organization with the opportunity to use the name of the University for commercial advantage.
A University employee who accepts a consulting assignment from a non-University person or entity shall not use University resources (see Section J.2 for a definition of University resources) without prior written approval of his or her immediate supervisor and appropriate reimbursement for use of such resources.
D.7.7 Conflict of Interest
D.7.7.1 Policy (last revised June 21, 2011)
Public employment and appointment is a public trust, and any effort to realize personal gain through official conduct, other than as compensation set through established processes, or through disclosure of confidential information, is a violation of that trust. External obligations, financial interests, and activities of each University employee must be managed so that there is no interference with the employee's primary obligation and commitment to the University. The mere perception of conflict of interest can cause lasting injury to the reputation of the employee and the University, even when subsequent information shows those perceptions to be unfounded. Faculty members and administrative professionals must protect the public trust accorded them and are obligated to avoid even the appearance of conflicts of interest where possible. Conflicts of interest are not necessarily unwarranted, unethical, or illegal; nor are they always avoidable. Failure to disclose conflicts or potential conflicts, however, is unethical and may be illegal. This policy provides a means to ensure that both potential and actual conflicts of interest are managed so that responsibilities can be performed without compromise to the independence essential to scholarly life.
D.7.7.2 State Statutes Concerning Fiduciary Duties and Ethical Conduct (last revised June 21, 2011)
Public employees have a fiduciary duty to the people of the State as a trustee of property and are subject to the same liabilities that a private fiduciary would incur for abuse of his or her trust (C.R.S. 24-18-103). Public employees are prohibited from disclosure or use of confidential information acquired in the course of official duties for personal financial benefit or from acceptance of any substantial economic benefit as a reward or inducement for improper discharge of public duties (C.R.S. 24-18-104).Public employees are guided by ethical principles of conduct related to conflicts of interest such that they (1) should not acquire or hold an interest, directly or indirectly, in any business or undertaking that may be economically benefited by action over which they have substantive authority and (2) should refrain, within six (6) months following departure from public employment, from such acquisitions (C.R.S. 24-18-105).
D.7.7.3 Disclosure of Conflicts of Interest When Substantial Discretionary Functions are Exercised (last revised June 23, 2010)
Public employees are required to disclose a conflict of interest where they exercise a substantial discretionary function in connection with a government contract, purchase, payment, or other pecuniary transaction without having given seventy-two hours advance written notice to the Secretary of State and the Board. Failure to disclose a conflict of interest is a criminal offense under State statutes (C.R.S. 18-8-308). Through complete disclosure of real and potential conflicts of interest, public employees will have an affirmative defense to any civil or criminal sanction that might otherwise apply to a breach of his or her fiduciary duty (C.R.S. 24-18-110). According to the Board Manual of Policies and Procedures, "a conflict of interest exists when a Board member or employee has or represents interests that may compete with or be adverse to those of the Board and the System." A 'potential conflicting interest' exists when the public servant is an executive officer or owns or controls directly or indirectly a substantial interest in any organization external to Colorado State University participating in the transaction.
The Board deems such an interest to exist if a person or a member of his or her immediate family2 is affiliated with an external organization and (1) is an officer, director, trustee, partner, agent, or employee of the organization; (2) is either the actual or beneficial owner of more than five (5) percent of the stock or controlling interest of the organization; or (3) has any other direct or indirect dealings with the organization from which the person or family member knowingly is materially benefited by receiving, directly or indirectly, cash or other property (exclusive of dividends and interest) in excess of the amount specified by the Board Manual of Policies and Procedures.
D.7.7.4 General University Rules and Procedures for Disclosing Conflicts of Interest (last revised June 23, 2010)3
When an individual initially is appointed by the University, the individual shall provide a statement to his or her supervisor disclosing affiliations and commitments that may involve conflict of interest covered by Section D.7.7.3 above, whether or not they involve the exercise of a substantial discretionary function. Annual disclosures shall be made each year at the time of the annual evaluation of the employee. Annual disclosures shall be amended by preparation of a supplementary statement at any time that a real or potential conflict emerges.
D.184.108.40.206 Elements of Disclosure Statements (last revised June 23, 2010)
Disclosure statements (using Conflict of Interest, Role and Responsibility Survey, or other forms provided by the administration) shall address each of the following:
a. Ownership by the employee or an immediate family member (as defined in Footnote 2) of any equity interest in any firm that supports the employee's research or creative activity (including pending proposals).
b. Ownership by the employee or an immediate family member (as defined in Footnote 2) of any equity interest in any firm that is developing or marketing commercial products based on the employee's research or creative activities.
c. Circumstances in which the employee is or appears to be in a position of significant influence over the University's business with a supplier or contractor with which the employee or an immediate family member (as defined in Footnote 2) holds a significant financial or advisory interest (see Section D.7.7.3).
d. Potential and apparent conflicts of interest described in Sections D.7.7.3 and D.7.7.5.
e. Any other information that the employee feels is necessary to evaluate the disclosure.
D.220.127.116.11 Management Oversight (last revised June 21, 2011)
Supervisors are responsible for understanding the university's policy on conflict of interest. They shall examine disclosures reported to them, request any additional information that they feel is necessary to evaluate the disclosures, and make one (1) of the following choices for each disclosure:
a. The reported activity is permissible because it falls within the scope of professional conduct, it serves the interests of the institution, and it has been fully disclosed as required by law and to the satisfaction of the supervisor. The following are examples of such permissible activities:
i. Acceptance of publication royalties under the terms of the policy described in Section J and honoraria for commissioned publications and/or lectures.
ii. Services to professional, scientific, educational, artistic, cultural, civic, business, and other organizations that enhance the value of the employee to the University and do not adversely affect the employee's primary commitment to the University.
b. A conflict of interest exists that can be managed through the implementation of a written conflict of interest management plan. The plan may require that participation in related decision-making processes be transferred to another person without a conflict of interest or that other action be taken that is necessary to avoid detriment to the University resulting from the conflict of interest. The person may, nonetheless, participate in decision-making processes if such participation is deemed necessary by an administrator of the next level and if the person has complied with the voluntary disclosure procedures under C.R.S. 24-18-110 (see Section D.7.7.3).
c. A conflict of interest is involved that cannot be managed (see Section D.18.104.22.168), in which case, the University shall disapprove the activity.
d. The supervisor could not make a determination, because the employee did not provide information that the supervisor requested and believes is necessary for the evaluation of the disclosure. In this case, the activity is not approved, but the supervisor at the next level shall attempt to achieve a resolution that allows one (1) of the previous three (3) options to be selected.
After due analysis of the reported activity, the supervisor shall make a recommendation for review by the Provost, in the case of individuals in academic units, or by the corresponding vice president, in the case of individuals in other units.
Primary responsibility for monitoring compliance with this Conflict of Interest policy is assigned to the Provost, with powers of delegation to deans and the other vice presidents ("senior administrators"). The Provost's office shall provide annual training sessions for all new senior administrators. These senior administrators are responsible for providing annual Conflict of Interest training for all employees with significant supervisory responsibility and for monitoring compliance by all on-campus and off-campus employees. The Director of Human Resource Services shall assure that all new employees receive copies of the Conflict of Interest Policy and Disclosure Form in order to facilitate completion of appropriate disclosures at the time of initial employment. Questions concerning the policy should be directed to the employee's immediate supervisor.
D.7.7.5 Examples of Apparent and Actual Conflicts of Interest
D.22.214.171.124 Apparent Conflicts of Interest (last revised June 21, 2011)
The following are examples of apparent conflicts of interests. In many cases, the potential for conflict can be managed by prior disclosure and appropriate review.
a. Certain types of outside employment or external professional activities involving assignments that have the potential to compromise the institutional position of the individual.
b. Consulting relationships involving activities with the potential to compromise the institutional position of the individual.
c. Relationships that might enable employees to influence for personal gain the University's interactions with companies and other kinds of organizations doing business with the institution.
D.126.96.36.199 Actual Conflicts of Interest (last revised June 21, 2011)
The following activities create conflicts of interest and must be disclosed and reviewed prior to being undertaken. The University shall disapprove the activity if a conflict of interest is involved that cannot be managed.
a. Performing work for personal financial gain when the work in question falls within the regular assignment of the individual.
b. Any outside relationships that conflict with the institutional teaching, research, and service responsibilities of the individual.
c. Financial gain to the individual that results from involvement in institutional decisions.
d. Financial interests in companies and other kinds of organizations doing business with the institution.
e. Unauthorized disclosure of unpublished, privileged, or confidential information from a colleague or other University source for personal gain.
f. Directly or indirectly selling, renting, trading, or leasing personal property to the University without full disclosure of the employee's interests.
g. Assignment of students or other supervisees into activities from which only the employee intends to realize personal financial gain.
h. Use of University resources that are not approved per Section D.7.6.2 for consulting arrangements for the purposed of personal financial gain.
i. Consulting that imposes an obligation that conflicts with the University's policy on ownership of creative and scholarly works (see Section J.7.1) or with obligations to research sponsors (see Section J.7.3).
D.7.7.6 Procedures for Instituting and Processing Conflict of Interest Charges (last revised June 21, 2011)
Any person who wishes to institute a charge of conflict of interest against a University employee or other public servant of the University shall file a written complaint with the supervisor of the individual against whom the charge is made. The Complaint shall include the name of the individual so charged, a statement of the particulars pertaining to the charge, and the name of the person making the charge. Requests for confidentiality will be honored to the extent permitted by law. Retaliatory action against persons who make such charges is prohibited under law (C.R.S. 24-50.5-103).
The supervisor, in consultation with other appropriate administrators, shall determine if an investigation of the charge is warranted. If investigation is warranted, it will be conducted in accordance with procedures set forth in the Manual and with University guidelines and policies applicable to the employee. A faculty member or administrative professional who is under investigation shall be notified in writing of the nature of the charge and shall be expected to cooperate in the investigation, disclosing the financial and other particulars of the situation to the person(s) conducting the investigation. Conduct representing willful violation of this policy may result in appropriate disciplinary action by the University. Except where otherwise prohibited, employees will have the right to grieve under Section K of the Manual.
D.7.8 Legislative Testimony
D.7.8.1 General Policy (last revised May 6, 1998)
The Board encourages employees to make their expertise available to legislative committees. When an employee appears before such a committee, he or she shall make it clear that he or she speaks as a professional or as an individual and not on behalf of the University. It is anticipated that the content of a professional presentation will adhere to professional standards of relevance and accuracy
.D.7.8.2 Colorado Sunshine Act of 1972: Registration of Lobbyists
A person receiving any contribution for purposes of influencing regulations or other governmental action is required to register. The requirement that persons engaged in lobbying be registered contains the following exceptions:
"The provisions of this section shall not apply to any person who merely appears before a committee of the general assembly or board or commission in support of or opposition to legislation or rule making, but is not directly or indirectly compensated therefore, or to any State official acting in his official capacity or any elected public official acting in his official capacity."
D.7.9 Holding Public Office (last revised June 22, 2006)
a. Holding public office is defined herein as holding a governmental position of an appointive or elective nature whether or not compensated.
b. A faculty member or administrative professional contemplating candidacy for either elective or appointive public office must so inform the appropriate University supervisor. A determination will be made as to whether or not a temporary suspension of some or all of the individual's responsibilities is necessary and if so whether such suspension can be accommodated without seriously impairing the function of the department or unit.
c. If the contemplated candidacy should require extensive campaigning, special leave (see Section F.3.14) must be requested. Prior approval of the Board is required for all full-time or part-time leaves of absence. Other changes in employment related to holding public office also require prior approval. Depending on the type of change and the type of appointment held by the individual requesting approval, Board approval may be required, of the approval authority may have been delegated to the President by the Board (and the approval authority may have been further delegated by the President to the Provost or vice president for the administrative unit under his or her authority).
d. If a faculty member or administrative professional holds public office, there must not be a duplication of University salary and salary monies from the public agency (honoraria, travel monies, and per diem allowances are allowed except as limited by appropriate statutes or regulations). If it is determined that the duties of the public office prevent the individual from meeting his or her obligations to the University, an appropriate adjustment in the individual's pay will be made whether or not the individual draws compensation from the public office.
e. When the public office (e.g., a school board or an advisory body or regulatory commission) held by a faculty member or administrative professional does not substantially interfere with one's ability to discharge University duties, no reduction of salary or change of status will be necessary. Decisions on questions concerning changes in salary or employment status will be based on the ability of the individual to continue to give full service to the University.
D.7.10 Work Hours
The responsibilities of faculty members and administrative professionals are such that it is not appropriate to establish specific work hours for all the work performed.Teaching faculty members and administrative professionals are expected to meet their classes as scheduled, to be available during their scheduled office hours, and to observe any other scheduled hours (e.g., examinations, department meetings, etc.) as may be required. Administrative personnel are expected to observe the hours established for their offices.
Faculty members and administrative professionals are not eligible for overtime pay.
The State Controller has given academic institutions authority to substitute for the ten legal state holidays with days that coincide with academic schedules. Accordingly, the University's holiday schedule is determined by the Director of Human Resource Services on an annual basis. A revised holiday schedule for the University is published each spring.Additional holidays may be authorized by the President of the University, who also may cancel holidays in event of conditions which, in his opinion, warrant such action. In determining annual leave absences, University holidays do not count as working days.A holiday that falls after an individual's last day of work is not considered a paid holiday if the person is retiring, resigning, or going on leave without pay, unless the holiday is the last working day in the month. In such a case, the holiday is considered a paid holiday if the person has worked the last working day before the holiday.
D.7.12 Membership in Professional Societies
The use of University funds to pay for membership in a professional society or allied organization is permitted when such membership serves the direct needs of the department or administrative unit through informative and supportive services of the organization. To assure fairness in the application of this policy, departments and other administrative units should develop specific guidelines, as appropriate.
D.7.13 Travel Policies (last revised May 2, 2012)
Participation in professional activities is recognized as enhancing staff competence and adding to the University's stature. Travel for such purposes is authorized to the limit of funds available, insofar as these authorizations are consistent with University policy and Colorado State University System Fiscal Rules.
D.7.14 Responsibility for Personal Property
Personal property owned by University faculty members or administrative professionals is not insured against loss or destruction by University insurance coverage. Personally-owned items brought on campus including but not limited to, clothing, personal papers, money, cameras, books, radios, or any movable objects of value are the sole responsibility of the owner.
D.7.15 Policy on Classified Research
In the following statement, classified research means research in which procedures or results derived there from cannot be freely discussed or disseminated without permission of an outside agency. It is the policy of the Board normally not to permit classified research to be conducted as noted in Section D.7.15.2.
D.7.15.1 The University as a Haven for Free Inquiry
The University shall serve as a haven of free inquiry and scholarly investigation unaffected so far as possible by the impediments of industrial classification and governmental security regulations, with due consideration for national welfare and confidences required by professional ethics and by legal statutes.
D.7.15.2 Restrictions on Classified Research
Research will be formulated to avoid classification of facilities, procedures, and results; and all faculty members will strive for research publishable in open literature, except that when circumstances so warrant, faculty members, staff, and students have the prerogative to engage in classified research, provided that:
a. The entire cost of the classified research, including overhead, stipulated security arrangements, personnel, and termination of contract be borne by supporting agencies.
b. The work is basically non-classified in nature, but is subjected to classification by incidental circumstances, e.g., the need to use classified apparatus, to review classified publications, or to visit classified facilities.
c. Students employed under contracts for classified research understand that they will not receive tuition scholarships normally accruing to graduate research assistants or graduate teaching assistants.
d. Results derived from classified research cannot be used as part of a thesis, dissertation, report, or course obligation in meeting degree requirements unless or until the procedures used, the data, and the analysis can be freely disseminated.
e. Proposals to engage in classified research be approved by the department head, college dean, and the appropriate vice president.
D.7.15.3 Provision for Exceptional Circumstances
Circumstances in which faculty members and graduate students may engage in other classified research shall be those of national crisis as determined by the Board, upon the advice and counsel of the President. In these circumstances, provisions of subsections c., d., and e. of Section D.7.15.2 are waived. The remaining provisions will still apply.
D.7.16 University Policy on Patentable Inventions or Discoveries
See Section J for the University policy on patentable inventions or discoveries.
Ffaculty members and administrative professionals resigning from the University should submit a written resignation with an exact effective date. They are asked to consider the welfare of students and the effective operation of the University when determining the effective date.
Faculty members with tenured academic appointments are entitled to employment unless terminated for cause under Section E.15 or retired. See Academic Faculty and Administrative Professional Benefits and Privileges Handbook for retirement eligibility.4
D.7.19 Prohibition Against Accepting Kickbacks or Improper Gifts or Fees
a. The Anti Kickback Act of 1986 makes it illegal for any person to provide, solicit, accept, or attempt to accept any kickback in connection with any contract or subcontract with any department or agency of the federal government. Kickback includes any fee, commission, credit, gift, or anything of value which is provided, directly or indirectly, to the University or any of its departments, divisions, or employees in order to improperly obtain or reward favorable treatment in connection with any federal government contract.
b. Colorado law prohibits State employees from accepting a gift or economic benefit of substantial value that would tend to influence improperly the employee in the performance of public duties or that is given primarily for the purpose of rewarding the employee for official action taken. In addition, the Board's Code of Ethics prohibits University employees from accepting any fee, compensation, gift, payment of expense, or any other thing of monetary value, under circumstances in which the acceptance may result in:
(1) An undertaking to give preferential treatment to any person.
(2) Any loss of complete independence or impartiality.
(3) The making of a governmental decision outside official channels.
c. Employees of Colorado State University shall comply fully with these requirements. Reports of possible violations of these requirements shall be made to the immediate supervisor of the employee alleged to be in violation of these requirements or to the internal auditor at the University. If requested by the complainant, the internal auditor shall make every reasonable effort to maintain the confidentiality of the complainant's subject to the requirements of applicable laws, regulations, and policies.
D.8 Distinguished Service Awards
In 1954, the Faculty Improvement Committee recommended to the administration that a program be established to recognize the achievements of faculty members and administrative professionals, and the program was approved by the Board.The designation of awards beyond those presently granted is the prerogative of the Board through recommendation of the President. Suggestions for new awards, from any source, should be forwarded directly to the President for consideration. The amount of the awards is set annually based on availability of funds.
D.9 Code of Ethical Behavior (last revised August 12, 2009)
Faculty members and administrative professionals at Colorado State University should be aware that their personal conduct reflects on the integrity of the University and should take care that their actions have no detrimental effect on the institution. Therefore, each faculty member is expected to:
a. Perform teaching, advising, and service assignments in a manner consistent with standards established for all faculty members and detailed in the Manual.
b. Use University funds, facilities, equipment, supplies, and staff only in the conduct of University duties, exceptions to be made only under specific University policies or when established commercial rates are paid.
c. Maintain a high level of discretion and respect in personal and professional relations with students, faculty members, staff, and the public.
d. Compensate University personnel (including students) fairly for work performed which is related to professional activities beyond one's University assignment.
e. Recognize fairly and accurately the extent of the contribution of others to one's professional work.
f. Avoid non university activities that could significantly interfere with carrying out assigned University responsibilities.
g. Refrain from disclosing confidential information that was acquired by nature of one's activities as a faculty member or administrative professional (for example, see C.R.S., 1973, 18-8-402, Misuse of Public Information).
h. Abide by University policies pertaining to patents, publication, copyrights, consulting, off-campus employment, and conflict of interest as detailed in the Manual.
i. Refrain from selling complimentary textbooks.
j. Eschew academic misconduct such as fabrication, falsification, and plagiarism, in proposing, conducting, or reporting research, or in scholarly or creative endeavors, or in identifying one's professional qualifications (see Appendix 5).
D.10 Mandatory Performance Evaluation of State Classified Employees
Faculty members and administrative professionals who supervise employees covered by the Colorado State Personnel System are required by law to complete the annual performance evaluations in a timely fashion. Failure to do so could result in the imposition of statutorily-required sanctions (C.R.S. 24-50-118).
D.11 Administrative Professional Council (Last revised June 9, 1999)
The Administrative Professional Council was established by the Board in September 1992 to represent the large number of dedicated administrative professionals employed by Colorado State University. The Administrative Professional Council Constitution as well as the Administrative Professional Council Manual of Rules and Procedures are included in the Administrative Operational Reference Guidelines Manual and are available on the web or through the Office of the Vice President for Administrative Services or in Morgan Library. Changes to the Administrative Professional Constitution shall be subject to approval by the President of Colorado State University.
1 This entire paragraph is required on most University publications. A short form may be used on published materials which are of a more ephemeral character.
2 "Immediate Family" includes spouse or domestic partner (as defined by the University policy and implemented by Human Resource Services) and legal dependents (as determined by the Internal Revenue Service).
3 Certain federal funding agencies also require separate Conflict of Interest disclosures of "significant financial interests."
4 This amendment is not intended to delimit the application of E.16 - Financial Exigency.
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