To amend the Regents' Policy on Faculty Tenure: Specified Units by deleting footnote 1: (new language is in CAPS; language to be deleted is contained in brackets)

		Footnote (1): [A "senior academic administrator" is an 
		officer who has final review authority on academic personnel 
		decisions, and who reports directly to the president and regents, 
		such as a vice president, chancellor, or provost.  The president 
		will designate one or more senior academic administrators (vice 
		presidents, chancellors, provosts, etc.) to have responsibility 
		for academic matters for all or part of the University, and will 
		define their respective jurisdictions.]

To delete the reference to footnote 1 in section 3.3.

To change references to footnotes 2 through 12 to reflect the removal of footnote 1. (References to footnotes 2 through 12 are contained in sections 3.4(4), 5.5, 7.11, 7.2, and 14.1.)

Comment:

The change proposed in Motion A will delete the duplicate definition of "senior academic administrator" in footnote 1, leaving the definition of that term already contained in the Definitions section.

To amend Section 12.4 as follows: (language to be deleted is contained in brackets)

12.4 Termination of Appointment

A faculty member who chooses not to [take or] accept a reasonable reassignment or retraining opportunity shall receive . . .

Comment:

The proposed amendment would remove a redundancy that appears in Section 12.4.

To amend section 4.5 as follows: (new language is in CAPS; language to be deleted is contained in brackets)

Section 4.5 Reduction Or Postponement Of Compensation

If the PRESIDENT DETERMINES THAT THE University [or a collegiate unit] is faced with financial stringency that does not amount to a fiscal emergency, the president may propose a temporary reduction or postponement in compensation FOR A PREDETERMINED PERIOD NOT TO EXCEED TWO YEARS to be allocated to faculty (INCLUDING FACULTY WITH ADMINISTRATIVE APPOINTMENTS), in accordance with a mathematical formula or similar device. ANY SUCH PROPOSAL WILL BE PRESENTED TO THE FACULTY CONSULTATIVE COMMITTEE FOR ITS CONSULTATION AND ADVICE. THE PROPOSAL WILL (1) SPECIFY THE REDUCTION OR POSTPONEMENT OF COMPENSATION THAT WILL BE ALLOCATED TO NON-FACULTY ADMINISTRATORS DURING THE PERIOD FOR WHICH REDUCTIONS OR POSTPONEMENTS ARE REQUESTED FOR FACULTY AND (2) DESCRIBE OTHER MEASURES THAT WILL BE IMPLEMENTED TO RESPOND TO THE FINANCIAL STRINGENCY. THE PRESIDENT WILL RESPOND SPECIFICALLY TO ALTERNATIVE PROPOSALS TO RESPOND TO THE FINANCIAL STRINGENCY SUGGESTED BY THE FACULTY CONSULTATIVE COMMITTEE. THE FACULTY CONSULTATIVE COMMITTEE WILL REPORT TO THE FACULTY SENATE ITS RECOMMENDATION ON THE PRESIDENT'S PROPOSAL. IF THE FACULTY SENATE APPROVES THE PROPOSED ACTION (OR ANY MODIFICATION OF IT) BY A TWO-THIRDS VOTE OF THE MEMBERS PRESENT AND VOTING (A QUORUM BEING PRESENT), [If approved by the Faculty Senate and] the Board of Regents MAY IMPLEMENT THE REDUCTION AS APPROVED BY THE SENATE (OR ANY LESS STRINGENT ACTION) BY REDUCING TEMPORARILY THE REGULAR COMPENSATION [the base pay] of all faculty members in the University [or in the designated collegial units shall be reduced temporarily] in accordance with the formula or device. [The reduction may not continue for longer than two years, unless renewed by the same procedure.] THE PRESIDENT AND BOARD OF REGENTS MAY RESCIND THE TEMPORARY REDUCTION OR POSTPONEMENT OF FACULTY COMPENSATION AT ANY TIME WITHOUT SEEKING FACULTY SENATE APPROVAL.

Comment:

Section 4.5 is a new addition to the tenure code, but it draws heavily on provisions already contained in Section 11 on Fiscal Emergency. In presenting Section 4.5 to the Regents, Dean Sullivan indicated that the intent was to move to a more sensible location those portions of Section 11 that describe steps that may be taken before declaring a Fiscal Emergency. In moving and rearranging the language, however, certain minimal procedural steps in Section 11 outlining the manner of presentation of the President's proposal were omitted from new section 4.5. Section 4.5 also changed Section 11's preliminary steps towards fiscal emergency by making them applicable to collegiate units rather than only to the University as a whole. The proposed amendment would restore Section 4.5 to make it parallel to Section 11, as apparently Dean Sullivan originally intended, while simplifying some of the language and procedures.

The proposed amendment also clarifies that the reduction or postponement of compensation would apply to faculty who hold administrative appointments and would affect their entire compensation, including the administrative augmentation. In addition, because it is believed that all members of the University community should share in the burdens imposed by financial stringency, the proposal for reduction or postponement of faculty salaries must include information on the extent to which the compensation of non-faculty administrators will be similarly affected and on other measures the president is implementing to respond to the financial stringency.

To amend section 7a.5 as follows: (new language is in CAPS; language to be deleted is contained in brackets)

7a.5. Peer Review Option

Upon application to it by the dean AND ELECTED FACULTY ASSEMBLY [of an academic unit] OF A COLLEGIATE UNIT, the Faculty Senate may adopt a system of peer review of performance of faculty of that unit different from the system set forth in Sections 7a.1 through 7a.4 if in the Faculty Senate's judgment so proceeding is in the University's interest.

Comment:

The amendment would clarify that the adoption of different systems of peer review would occur at the level of a college rather than an academic unit, as reflected in the section's specification of the "dean" as the person proposing the change. It ensures the appropriateness and success of the alternative method by requiring approval by both the dean and the faculty assembly of the collegiate unit before the proposal is submitted to the Faculty Senate.

To amend section 12.1 as follows: (new language is in CAPS; language to be deleted is contained in brackets)

12.1 Programmatic Change

The University and faculty recognize that changes in academic programs are an essential part of the development and growth of the institution. These changes should reflect long-term policy and planning, SHOULD BE BASED ON EDUCATIONAL CONSIDERATIONS, AND MAY BE UNDERTAKEN ONLY AFTER CONSULTATION WITH FACULTY, WHICH, AT A MINIMUM, INCLUDES THE ESTABLISHED GOVERNANCE STRUCTURE.

Comment:

The proposed amendment would memorialize the kind of consultation and consideration that is undertaken with respect to changes in academic programs at the University.

To amend section 12.3 as follows: (new language is in CAPS; language to be deleted is contained in brackets)

12.3 Reassignments

In cases of programmatic change THAT LEADS TO THE DISCONTINUATION OF A PROGRAM, an officer designated by the president will make the reassignment or offer of training. The officer will consult with the faculty member and the receiving unit and will seek a mutually satisfactory assignment. If agreement cannot be reached, the University officer will assign new responsibilities after consultation with the individual. THE ASSIGNMENT WILL BE AS CLOSELY RELATED TO THE ORIGINAL APPOINTMENT AS PRACTICABLE. THE FORMAL ASSIGNMENT WILL BE IN WRITING AND WILL INDICATE THE CONTINUING NATURE OF THE FACULTY MEMBER'S TENURE.

The University may give the faculty member other assignments only if assignments to teaching in the faculty member's discipline are not feasible. For example, faculty might be assigned

* to teach in another field in which the individual is qualified

* to perform professional or administrative duties, including professional practice in a field in which the individual is qualified.

* to transfer effort, by assignment in a suitable professional capacity, at another educational institution or similar entity, while retaining University tenure, compensation, and benefits.

IF SUCH ASSIGNMENTS ARE MADE, THE UNIVERSITY WILL PROVIDE AN OPPORTUNITY FOR THE FACULTY MEMBER TO CONTINUE RESEARCH IN THE ORIGINAL FIELD. IF THE ASSIGNED RESPONSIBILITIES ARE LOCATED A SUBSTANTIAL DISTANCE AWAY FROM THE PREVIOUS WORK LOCATION, THE UNIVERSITY WILL PROVIDE FOR TRAVEL OR MOVING EXPENSES, AS APPROPRIATE TO THE CIRCUMSTANCES OF THE FACULTY MEMBER.

A faculty member must accept any reasonable reassignment or offer of retraining. [Following the faculty member's acceptance of the assignment, any] ANY dispute about the reasonableness of reassignment may be taken to the Judicial Committee, as provided in Section 15. IN ANY SUCH PROCEEDING, THE UNIVERSITY MUST SHOW THAT THE REASSIGNMENT OR OFFER OF RETRAINING IS REASONABLE. IN DETERMINING REASONABLENESS, THE JUDICIAL COMMITTEE SHALL CONSIDER ALL RELEVANT CIRCUMSTANCES, INCLUDING THE FINANCIAL BURDEN ON THE FACULTY MEMBER FROM REASSIGNMENT, THE DISRUPTIVE PERSONAL AND FINANCIAL EFFECTS OF GEOGRAPHIC RELOCATION, AND THE AVAILABILITY OF OTHER REASONABLE ALTERNATIVE ASSIGNMENTS. THE FACULTY MEMBER SHOULD CARRY OUT THE REASSIGNED RESPONSIBILITIES PENDING RESOLUTION OF THE DISPUTE, UNLESS THE JUDICIAL COMMITTEE DETERMINES THAT PROVISIONAL MEASURES ARE APPROPRIATE.

Comment:

Section 12.3 as adopted by the Regents is based on and enacts into the Code language from a formal Interpretation of Section 12 adopted by the Tenure Subcommittee and forwarded to the Senior Vice President for Academic Affairs on June 7, 1996 after presentation to the Faculty Senate. The proposed amendments restore to Section 12.3 some additional language from the same Interpretation that further clarifies and facilitates the procedures for reassignment.

To amend section 14.6 as follows: (new language is in CAPS; language to be deleted is contained in brackets)

14.6 Temporary Suspension During Proceedings

The dean may temporarily suspend a faculty member during the proceedings, but only if there is clear evidence that the faculty member is likely to cause serious harm or injury or is not available for work. The suspension will be with full pay, unless the faculty member is not available for work. Before ordering such suspension, the dean must present the evidence to a special panel of the Faculty Consultative Committee and receive their written report. The faculty member must be given the opportunity to contest the suspension before the panel.

If no final decision has been rendered one year after the commencement of formal proceedings, the faculty member shall be temporarily suspended without pay, unless the parties agree otherwise, or unless the HEARING panel OF THE JUDICIAL COMMITTEE extends the time period because of undue delays in the procedure attributable to the action of the University. This provision applies only in a case in which the majority of the tenured faculty of the academic unit concurred in the recommendation to terminate the appointment. If the FACULTY MEMBER PREVAILS OR THE president determines that the temporary suspension without pay was not warranted, then the president shall order the repayment of back pay to the faculty member with interest thereon from the date it would originally have been paid.

In case of any suspension under this section, the faculty member shall continue to receive full medical insurance and disability benefits without regard to the suspension.

Comment:

The proposed amendment clarifies the procedure involved in a temporary suspension without pay for undue delay in the appeal proceedings.

To amend section 10.22 as follows: (new language is in CAPS; language to be deleted is contained in brackets)

10.22 Procedure For Minor Disciplinary Actions

[Minor sanctions, such as a letter of reprimand in the faculty member's file or a suspension for up to three days, or the like, may be imposed for significant acts of unprofessional conduct. For minor sanctions, the dean may impose the sanction after providing the faculty member notice of the proposed action and of the reason that it has been proposed and giving the faculty member an opportunity to respond. If the faculty member files a grievance under the University grievance policy to challenge a minor disciplinary matter, the sanction shall be held in abeyance until the conclusion of the proceeding. The grievance panel shall have jurisdiction to consider all claims raised by the faculty member, and if the case goes to arbitration, the arbitrator shall be an individual with experience in academic matters.]

PENALTIES LESS SEVERE THAN TERMINATION OR SUSPENSION OF APPOINTMENT MAY BE IMPOSED ONLY AS PROVIDED IN THIS SECTION. SUCH PENALTIES MAY BE IMPOSED FOR VIOLATIONS OF SECTION 10.21 NOT WARRANTING TERMINATION OR SUSPENSION OR FOR SIGNIFICANT ACTS OF PROFESSIONAL MISCONDUCT IN VIOLATION OF OTHER SPECIFIC WRITTEN UNIVERSITY OR COLLEGIATE POLICIES APPROVED BY THE SENATE OR THE APPROPRIATE COLLEGIATE ASSEMBLY. THEY MAY INVOLVE A WRITTEN REPRIMAND OR ANY OTHER SANCTION SPECIFICALLY AUTHORIZED BY THE POLICY. BEFORE IMPOSING SUCH A PENALTY, THE DEAN OR SENIOR ACADEMIC ADMINISTRATOR MUST INFORM THE FACULTY MEMBER IN WRITING OF THE ALLEGED VIOLATION AND THE POTENTIAL PENALTY AND MUST GIVE THE FACULTY MEMBER AN OPPORTUNITY FOR A HEARING BEFORE AN IMPARTIAL BODY. IF THE FACULTY MEMBER REQUESTS SUCH A HEARING, THE DEAN OR SENIOR ACADEMIC ADMINISTRATOR MUST SHOW THE VIOLATION OF POLICY AND THE APPROPRIATENESS OF THE PENALTY. THE PENALTY WILL NOT EXCEED THAT RECOMMENDED BY THE HEARING BODY. THE FACULTY MEMBER MAY APPEAL THE DECISION TO THE JUDICIAL COMMITTEE ONLY FOR FAILURE TO FOLLOW THE PROVISIONS OF THIS SECTION, FOR VIOLATION OF ACADEMIC FREEDOM, OR FOR DENIAL OF DUE PROCESS.

Comment:

The proposed amendments clarify the acts for which minor sanctions are appropriate and the nature of the sanctions that may be imposed. The amendments also establish an expeditious hearing procedure if the faculty member contests the existence of a violation or the appropriateness of the sanction.

To amend Section 4.4, as follows: (new language is in CAPS; language to be deleted is contained in brackets)

Section 4.4 [Faculty] REGULAR Compensation FOR FACULTY

Note: the first two paragraphs have been rearranged to improve clarity

Each faculty member shall receive AS REGULAR COMPENSATION a [base] RECURRING salary, AND [The] additional compensation WHICH may be for special awards or for activities in addition to regular faculty responsibilities such as clinical practice, administrative service, overload duties, summer school teaching and summer research support and similar activities.

RECURRING SALARY [which] will not be decreased except by action expressly authorized in this section or in Sections 7a, 10, 11, or 14 of these regulations or with the agreement of the faculty member. If a faculty member's [base] RECURRING salary is decreased, the amount of the decrease and the reason therefor shall be set forth in a written notice and provided to the faculty member. No decrease in [base] RECURRING salary shall occur in violation of the academic freedom of the faculty member.

[The University may also from time to time provide a faculty member with additional compensation that is not part of base salary.]

At the time an appointment is made, the offer and written notice of appointment shall separately state the [base] RECURRING salary and any additional compensation, as described above, that the faculty member will receive. In each subsequent year, the faculty member shall be provided with a written notice separately stating any changes in [base] RECURRING salary and any changes in additional compensation for the following academic year. A faculty member's [base] RECURRING salary shall consist of the initial [base] RECURRING salary adjusted by any subsequent increase or decrease in [base] RECURRING salary provided for in a subsequent written notice. Increases will be presumed to be in [base] RECURRING salary unless otherwise identified. For a faculty member employed when this section takes effect, the initial [base] RECURRING salary will be the faculty member's [base] RECURRING salary at the time this section takes effect, exclusive of any ADDITIONAL compensation designated as special awards or designated as being for activities in addition to regular faculty responsibilities such as clinical practice, administrative service, overload duties, summer school teaching, summer research support and similar activities.

To amend Section 3.5 as follows:

Section 3.5 Administrators' Appointments

Academic administrators may hold regular or term faculty appointments. Administrative titles and duties are distinct and severable from such individuals' faculty appointments. Removal from an administrative position does not impair any rights the individual holds as

a faculty member. Upon leaving an administrative position, the individual returns to faculty status, with [salary] REGULAR COMPENSATION and term of appointment reduced by the amount of the administrative augmentation, if any.

To amend Section 4.1 as follows:

Section 4.1 Written Notice of Appointment

Each faculty appointment or change of status is specified in a written notice of appointment issued by or on behalf of the Board of Regents. The notice must include the following:

1. Whether the appointment is regular or term;

2. Whether it is full or part-time and the percentage of time involved;

3. If for a fixed term, its expiration date;

4. If regular, whether it is probationary or with indefinite tenure;

5. Whether it is on a twelve-month, academic year or other specified annual basis;

6. The rank of appointment;

7. The academic unit or units to which the individual is being appointed;

8. The [base] RECURRING salary; and

9. Additional compensation as described in Section 4.4.

The notice is only evidence of the appointment ......

To amend Section 7a.4 as follows:

Section 7a.4 Salary Reductions

If the special review panel recommends that the faculty member's performance is so inadequate as to justify limited reductions of [base] RECURRING salary, the head of the academic unit, with the approval of the dean, may reduce the faculty member's [base] RECURRING pay, subject to the following limitations:

(a) the amount of the decrease will not exceed 10% of the faculty member's [base] RECURRING salary on the basis of any one special review;

(b) [base] RECURRING salary may not be reduced by more than 25% from the highest level of [base] RECURRING pay ever held by the faculty member;

(c) at least six month's notice of the decrease must be given;

(d) any decrease in RECURRING salary may be restored by the annual review process provided in Section 7a.2.

Within 30 work days of notice of the decrease, the faculty member may appeal this action to the Judicial Committee, which shall review the action and the recommendation leading to it in a manner analogous to the review of tenure decisions (see Section 7.7). This review may not reconsider matters already decided by the Judicial Committee under Section 7a.3. Any decrease in [base] RECURRING pay beyond the limits specified in this subsection can only be imposed pursuant to Sections 4.5, 10, 11, and 14.

Comment:

Faculty members in the Academic Health Center have raised concerns about the impact of Section 4.4's definition of base salary on the computation of charges that may be recovered under NIH grants. The governing federal document, OMB Circular A-21, says that "charges for work performed on sponsored agreements by faculty members during the academic year will be based on the individual faculty member's regular compensation for the continuous period which, under the policy of the institution concerned, constitutes the basis of his salary. Charges for work performed on sponsored agreements during all or any portion of such period are allowable at the base salary rate. In no event will charges to sponsored agreements, irrespective of the basis of computation, exceed the proportionate share of the base salary for that period." Thus both the Regents' Policy on Faculty Tenure and the OMB Circular use the term "base salary," although with different meanings. If the Regents' Policy-defined "base salary" were to be used in NIH grant proposals as the equivalent of the OMB-defined "base salary," the AHC would face the loss of very substantial amounts of cost recovery.

The proposed language will help to clarify that the University considers the faculty member's total or "regular" compensation to include what is expressly called "additional compensation" in the Regents' Policy, including clinical income.