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Manual of General Policy

ARTICLE V FACULTY AND STAFF

Policy 5.1 Academic Personnel Practice

1 Faculty Responsibilities

The Board of Trustees recognizes the historic tradition that vests both the privileges and responsibilities of academic governance in the faculty of a college. The faculty, as the body chiefly responsible for the educational mission as well as for academic standards, is that part on which the health of the whole institution depends. In this role, the faculty has a long tradition of collegiality, in which its various educational responsibilities are freely shared among its members. (BTM,1975,09-22,005,__)

Central to the exercise of this collegial responsibility is the practice of peer judgment, by which the faculty assumes the responsibility for its own vitality. In this role, the faculty sets standards for its own qualifications, ethics and performance. The collegial body itself maintains such standards by the exercise of its own authority. But such authority, if freely consented to, must be responsibly and regularly exercised. Thus, the willingness of the faculty to judge itself rigorously determines its capacity to define the institutions' mission and to maintain its standards. (BTM,1975,09-22,005,__)

1.1 Senior Faculty Responsibilities

The senior faculty shall have special responsibilities for maintaining the academic vitality of their departments. One of the principal means of exercising this responsibility is the continuation of peer evaluations of members of the faculty, with special attention to their diligence in teaching and professional growth. Another chief responsibility of senior faculty is to orient their junior and newly appointed colleagues. Senior faculty shall be available for such consultation and assistance in problems of both scholarship and teaching as the junior faculty may require, and this mandate shall be considered a part of the professional obligations of the permanent faculty. (BTM,1975,09-22,005,__)

1.2 Personnel and Budget Committee Composition

No faculty member who does not hold senior rank—associate professor or professor—shall vote on any promotion to full professor. It is the intent of the Board of Trustees that faculty decisions concerning tenure shall be rendered by committees composed predominantly of tenured members. Accordingly, no more than one non-tenured faculty member shall serve on departmental personnel and budget committees. This provision shall not apply to new colleges or newly organized departments that have fewer than five tenured faculty members. (BTM,1975,09-22,005,__)

In newer colleges or newly organized departments where there are too few faculty members available to serve on faculty personnel committees for the actions above, the President, after consultation with the faculty shall create an ad hoc committee to decide on those personnel actions. (BTM,1975,09-22,005,__)

2 Presidential Responsibilities

As the executive agent of the college and the Board of Trustees, and as the principal academic officer, the President plays a pivotal role in all faculty personnel matters at the college level. (BTM,1975,09-22,005,__)

The President, as the person ultimately responsible to the Board of Trustees, is accountable for seeing that the mission of the college fits into the broader mission of the University. Within the college itself, the President, in his or her capacity as principal academic officer, is similarly responsible for bringing to bear on all faculty personnel matters a broader institutional concern. (BTM,1975,09-22,005,__)

The President must thus be the guarantor of the integrity of all faculty personnel processes. The President must be accountable for the overall quality and appropriateness of the faculty at his or her institution and must also be the educational leader of the faculty. (BTM,1975,09-22,005,__)

In the daily administration of academic personnel practice at the college, the President shall be responsible for introducing into all faculty personnel deliberations those college-wide considerations that make a faculty decision both feasible and rational. In practice, the President shall be responsible for making known information on all institutional levels, such as projected enrollment, budgetary matters, program priority, which must be taken into account at every level of personnel action. The President shall be held accountable for seeing that such pertinent institutional information is assembled, and that those faculty concerned with personnel decisions are familiarized with it in a timely fashion. (BTM,1975,09-22,005,__)

3 Student Involvement

The Board of Trustees affirms its commitment to the consideration of student evaluations in faculty personnel decisions involving reappointment, promotion and tenure, according to the provisions in the governance plan in effect at each college. (BTM,1975,09-22,005,__)

4 Recruitment

The recruitment process in essentially a continual one. Because of the City and State structures within which the University's budget process operates, the University cannot expect to clarify the availability of budget lines before the late Spring of a given academic year. Because of this the recruitment effort for any full-time faculty appointment should normally be of a least one year's duration. When an appointment must be made without such an effort, the candidate shall be apprised that the search is continuing. (BTM,1975,09-22,005,__)

The primary responsibility for recruitment shall rest with department chairpersons, who in turn are responsible for the work of the personnel committees that they chair. Department personnel committees shall be accountable for their recruitment efforts, and they shall maintain written records of the recruitment process. (BTM,1975,09-22,005,__)

Each position for which a department recruits must be justified and defined on the basis of the following criteria (BTM,1975,09-22,005,__):

The need for the position must be clearly established in the context of such department factors as the current state of its faculty in terms of age, rank and areas of specialization, the development of new aspects of the discipline, future needs of new programs, and projections of student enrollment. (BTM,1975,09-22,005,__)

The need for the position must be clearly established in the context of such college-wide factors as long-range plans and budget priorities that have been set for departmental consideration in this policy. The President, after consultation with the faculty and appropriate governance bodies, shall also have final responsibility for setting college-wide priorities for recruiting. (BTM,1975,09-22,005,__)

Those academic and professional credentials and qualifications that are appropriate to the position and rank, in conformity with the needs as determined in this policy, must be clearly established. (BTM,1975,09-22,005,__)

A full statement of the terms and conditions of employment, and of the statutory evaluative criteria and procedures for reappointment and tenure shall be given to all candidates. (BTM,1975,09-22,005,__)

When the need for a position is clearly established on the basis of the criteria set forth in this policy, the department shall mount a recruiting effort on a national scale that includes but is not limited to the following features (BTM,1975,09-22,005,__):

a) Notice that the University is an equal opportunity employer. (BTM,1975,09-22,005,__)

b) Advertisement, including all pertinent data concerning the position in the appropriate scholarly and professional journals and periodicals. (BTM,1975,09-22,005,__)

c) Notice of the position throughout the University, including at the appropriate departments of the various colleges, for the benefit of the employees, part-time or full-time, who might be qualified. (BTM,1975,09-22,005,__)

d) Full consideration of all unsolicited applications in the possession of the recruiting department and college as well as all adjunct faculty who wish to be considered. (BTM,1975,09-22,005,__)

e) Maintenance of written records on the procedures used in the recruitment effort and in selecting a candidate to recommend for appointment. Such records must include whatever other data may be required for compliance with the federal affirmative action regulations. The records shall also include verification of the credentials of the candidates presented to the Board of Trustees for appointment, and of the proper observance of announced closing dates for application. (BTM,1975,09-22,005,__)

There shall be a University standard letter of appointment. (BTM,1975,09-22,005,__)

5 Appointment and Promotion

The Board of Trustees of the City University of New York finds as a fact that the present procedure of appointments and promotions to the instructional staffs of the colleges constitutes an examination of the unassembled type and makes use of those devices which, in the opinion of authorities in the field of higher education, are most effective and suitable for the selection of member of the college instructional staffs. (BTM,1954,09-30,020,__)

The Board of Trustees finds that competitive examinations and other formal types of examinations, written or unwritten, are not practicable for the ascertainment of merit and fitness for appointments and promotions to the positions of President, Dean, Professor, Associate Professor, Assistant Professor, Instructor, Lecturer, Librarian, Associate Librarian, and Assistant Librarian, on the instructional staffs of the colleges. (BTM,1954,09-30,020,__)

The underlying assumptions which justify the procedures established by the Board of Trustees Bylaws are (BTM,1967,12-18,003,_B):

a) That there is a thorough search for the best possible person for the post

b) That sources most likely to produce suitable candidates are solicited—other colleges, professional associations, recommendations from professional sources, etc.

c) That an evaluation is made by the appropriate faculty committee of those recommended, as well as those who have themselves filed applications

Procedurally, it is desirable that written material listing the candidate's training and experience and recommendations from those professionally qualified to pass upon his or her work be kept on file and be of sufficient quality so that if they were reviewed by someone else with knowledge and experience, that person or agency could reasonably come to the same conclusion as the faculty committee. It would be helpful to have this written material retained for at least one year beyond the date when the candidate's services are terminated. If an appeal concerning the termination of such services is pending, this written material should be retained at least until the appeal is disposed of. (BTM,1967,12-18,003,_B)

The Board of Trustees affirms that the decision to reappoint and the decision to grant tenure are two separate and distinct acts. Similarly, the Board of Trustees reaffirms its position that no appointment carries with it the presumption of reappointment or eventual tenure. (BTM,1975,09-22,005,__)

At every step in the appointment and reappointment procedure, it should be made clear to the candidate and to all concerned that, until the candidate gains tenure under the provisions of the statute and the Board of Trustees Bylaws, each appointment is for one year, there is no presumption of reappointment, and no reasons for non-reappointment need be given. This fact should be communicated, in academic rather than in legalistic language, in the original and subsequent letters of appointment or reappointment, and in all conversations held with the candidate, both by department members and chairman, and by officers of the college outside the department. The temptation to attract promising candidates to the college by implications of the virtual certainty of a permanent position must be sternly resisted, unless and until the tenure law is revised to provide, as many universities do, for permissive initial tenure appointments at certain ranks. In this connection, it should be made quite clear that even the extant provision whereby a person initially appointed to a professorial—full, associate, or assistant—rank may be granted tenure after one year is permissive, not mandatory; such tenure actions, like all others, rest solely upon the affirmative action of the Board, and are not accomplished by the recommendations of officers below the Board. Exceptions to this paragraph may be made for persons of proven record who have achieved tenure at another recognized institution of higher education and whose first appointment with The City University of New York is to be as full professor. (BTM,1967,12-18,003,_B)

No reasons should ever be given for the action of a committee in voting not to recommend reappointment or promotion of a candidate. (BTM,1967,12-18,003,_B)

It would be professional misconduct for a member of a P and B committee to disclose the substance or even the nature of the discussion at the P and B meeting. As far as the actions of a Department and/or its committees in respect to a candidate are concerned, only the Chairman of the Department should be empowered to discuss these actions with a candidate. As far as the actions of the college P and B committee, with respect to a candidate are concerned, only the president of the college or his or her designee should be empowered to discuss these actions with a candidate. (BTM,1967,12-18,003,_B)

The confidentiality of reports, including evaluation reports, on the qualifications of candidates for appointments, reappointments, and promotions should be preserved, and to that end these reports should be kept in a confidential file and should not be part of the candidate's personnel folder. (BTM,1967,12-18,003,_B)

Apart from confidential reports, including evaluation reports, considered in the preceding paragraph, the personnel folder of any candidate should be open to his or her inspection, and to that of persons engaged in official business of the college or department, but not to that of others. (BTM,1967,12-18,003,_B)

In order to enhance and maintain flexibility in recruitment, appointment, and reappointment, the Board of Trustees authorizes the option of two-year appointments for full-time members of the instructional staff in appropriate instances, at the discretion of the college. (BTM,1975,09-22,005,__)

Decisions to reappoint faculty members shall take into account such institutional considerations as have been established and disseminated as a framework for all academic personnel actions. (BTM,1975,09-22,005,__)

5.1 Examination Format

The Departmental and College Committees on Personnel and Budget should have constantly before them the fact that they form essential components of the structure whereby the Board of Higher Education and the City University conform to the civil service provisions of the State Constitution. Their conduct should reflect at every point a full realization of the official nature of their proceedings, quite distinct from the easy informal interchange of unstructured faculty discussions. (BTM,1967,12-18,003,_B)

The minutes of a P and B Committee should conform to the canons set forth by Robert's Rules of Order, Revised: "The secretary . . . should keep a record of what was done and not what was said . . ." The actions upon motions, and not the discussion which led to such actions, should be recorded, unless the P and B should order, by a majority vote, that the discussions be recorded. It is the duty of the Chairman of the B and P Committee to rule out of order random and irrelevant discussions of the candidate's merits, and to keep the discussions to the consideration of objective and relevant data, insofar as this is practicable. Voting should be by secret ballot. The minutes should be submitted for approval at the next succeeding meeting. (BTM,1967,12-18,003,_B)

The processing of recommendations coming before the P and B Committees should make use of established forms, which should be uniform throughout the college, and, if practicable, throughout the university. The Chancellor's office should prepare such forms for the approval of the Administrative Council. The content of the papers coming before the P and B Committee may exhibit the widest variation which the college deems desirable; it is the form which should be the same throughout. (BTM,1967,12-18,003,_B)

The evaluation of the teaching done by the candidate for reappointment or promotion is a basic element in the unassembled civil service examination" procedure. There shall be a uniform instrument to be filled out by the evaluators, with basic mandatory elements, to be supplemented where this is desirable. For classroom teachers, consideration should be given to such questions as the teacher's control of the subject matter and the distinctive methods of the discipline, ability to communicate with students and colleagues, effectiveness in stimulating thought, ability to foster active participation in the learning process on the part of students, ability to awaken a conscious sense of a learning experience. (BTM,1967,12-18,003,_B)

It is often true that, in the evaluation of traits such as these, a teaching observation is a desirable instrument, particularly when less experienced teachers are being judged. But it should be recognized that such observations often provide an inadequate base for judging a teacher and that other means of evaluating teaching effectiveness are available and should be used. For senior professors, the record of their students in subsequent courses, and the testimony of graduates are often valuable. An appraisal of materials, including examinations, prepared for a course can be informative. Contacts with a professor outside the classroom make significant contributions to a valid judgment. An evaluation form should be prepared which encourages consideration of the full range of relevant elements. (BTM,1967,12-18,003,_B)

When teaching observation reports are used, their major findings should be communicated—by the department chairman—to the teacher who has been observed mainly to the end that the teacher may know what the criticisms of his or her teaching are and strive to correct them. It should be understood that statements made by others than the chairman have no standing, and such statements should be uniformly avoided. The consideration of teaching effectiveness should in every case form part of the committee deliberations. (BTM,1967,12-18,003,_B)

This is not to imply any fixed number of evaluations in any period of time, but the Chancellor should prepare for the approval of the Administrative Council, a minimum schedule of such evaluations. (BTM,1967,12-18,003,_B)

For members of the instructional staff, such as librarians and counselors, who are not engaged in classroom teaching, similar evaluation forms should be developed to encourage specific consideration of relevant elements, and a minimum schedule of formal evaluations should be agreed upon. In these cases, too, the supervisor should communicate the evaluator's findings to the staff member involved. A consideration of the effectiveness of the staff member should in every case form part of the P and B committee's deliberations on the member's reappointment or promotion. (BTM,1967,12-18,003,_B)

Up-to-date reports of each candidate's scholarly and creative achievements, with particular emphasis upon the period following the last major personnel action in his or her regard, should form part of his or her personnel record. (BTM,1967,12-18,003,_B)

Up-to-date reports of each candidate's service to the college community, with particular emphasis on the period following the last major personnel action in his or her regard, should form part of his or her personnel record. (BTM,1967,12-18,003,_B)

The action of a departmental P and B committee in refusing to make an affirmative recommendation, unless appealed from by a candidate considering himself aggrieved is final and conclusive as far as faculty action is concerned, and may not be acted upon by any faculty body higher in the chain of promotion procedure—i.e. the divisional or college P and B. Notwithstanding this provision, the president is free to make his or her own recommendation in accordance with the pertinent Board of Trustees Bylaws. (BTM,1967,12-18,003,_B)

5.2 First Reappointment

Candidates for reappointment at the end of their initial term of appointment on a full-time line shall be evaluated on the basis of the following criteria (BTM,1975,09-22,005,__):

a) Teaching Effectiveness: There are a variety of ways, including classroom observation, to evaluate this criterion. The evaluation, however, should extend beyond the classroom, since the faculty member's obligation to the students goes beyond normal class hours. Personnel committees should consider student evaluations as a factor in assessing the teaching effectiveness of an instructor. (BTM,1975,09-22,005,__)

b) Scholarly and Professional Growth: Candidates in tenure-bearing titles for the first reappointment are expected to demonstrate their potential for scholarly work and their achievement in some of the following ways (BTM,1975,09-22,005,__):

(i) Evidence of research in progress leading toward scholarly publication

(ii) Publication in professional journals

(iii) Creative works, show and performance credits, etc. when such are appropriate to department

(iv) Development of improved instructional materials or methods

(v) Participation in activities of professional societies

c) Service to the Institution: Since all full-time faculty members share broad responsibilities to the institution, work in departmental and college committees should be considered in overall evaluations. Although it is understood that not all junior faculty member will have an opportunity to serve on important committees, their evaluation should consider evidence of their informal contribution to such committee work and their participation in other regular administrative activities such as governance, registration, advisement, library and cultural activities. (BTM,1975,09-22,005,__)

d) Service to the Public: A candidate, though not expected to do so for the first reappointment, may offer evidence of pertinent and significant community and public service in support of reappointment. (BTM,1975,09-22,005,__)

5.3 Second and Subsequent Reappointments

In addition to criteria for the first reappointment candidates for the second or subsequent reappointment shall be evaluated on the basis of the following criteria (BTM,1975,09-22,005,__):

a) Teaching Effectiveness: Evaluation of this criterion shall include contractual teaching observations and peer judgments, assessment of the instructor's effort and success in developing new methods and materials suited to the needs of his or her students, assessment of student evaluations, and non-classroom efforts such as academic advisement. (BTM,1975,09-22,005,__)

b) Scholarly and Professional Growth: Candidates for their second and subsequent reappointments are expected to offer evidence of scholarly contributions to their disciplines. Evaluations of the quality of such work may be sought from outside the department. Achievements in the period following the last reappointment should be evaluated on the basis of publications of scholarly works in professional journals, or reports of scientific experimentation, scholarly books and monographs, evidence of works in progress, significant performance of show credits or creative work, and improved instructional materials and techniques that have been found effective in the classroom either in the University or elsewhere. (BTM,1975,09-22,005,__)

c) Service to the Institution: Effective service on departmental, college, and university committees. (BTM,1975,09-22,005,__)

d) Service to the Public: Institutions of higher education are expected to contribute their services to the welfare of the community. Although such activities are a matter of individual discretion and opportunity, evaluation of a faculty member for reappointment should recognize pertinent and significant professional activities on behalf of the public. The absence of this contribution should not act to the disadvantage of any candidate for reappointment. (BTM,1975,09-22,005,__)

Judgments on reappointment should be progressively rigorous. In the second and subsequent reappointments, a candidate should be able to demonstrate that he or she has realized some of his or her scholarly potential. Similarly, standards of acceptable performance as a teacher should be graduated to reflect the greater expectations of more experienced faculty members. (BTM,1975,09-22,005,__)

5.4 Promotion

The Board of Trustees fully supports the concept that the criteria established for reappointment and tenure apply equally to decisions on promotion. It also affirms the caution that judgments on promotion shall be sufficiently flexible to allow for a judicious balance among excellence in teaching, scholarship, and other criteria. (BTM,1975,09-22,005,__)

When considering decisions on either promotion or tenure, personnel committees should bear in mind that the two judgments represent two distinct acts. Just as it would be unwise to promote those whose qualities for tenure are questionable, so it would be equally ill-advised to grant tenure to those whose capacity for promotion to senior rank is judged to be limited. (BTM,1975,09-22,005,__)

The criteria for promotion shall be as follows (BTM,1975,09-22,005,__):

a) Assistant Professor: The candidate must possesses the Ph.D. degree and submit evidence of qualification to meet, in due time, the standards required for the first reappointment. Those persons without the Ph.D. currently holding positions as Assistant Professors and instructors at the Community Colleges shall not be affected by this provision. (BTM,1975,09-22,005,__)

b) Associate Professor: The candidate shall present evidence of scholarly achievement following the most recent promotion, in addition to evidence of continued effectiveness in teaching—the candidate should thus meet the qualifications required for tenure. (BTM,1975,09-22,005,__)

c) Professor: The candidate must meet all the qualifications for an Associate Professor, in addition to having an established reputation for excellence in teaching and scholarship in his or her discipline. The judgment on promotion shall consider primarily evidence of achievement in teaching and scholarship following the most recent promotion. (BTM,1975,09-22,005,__)

6 Tenure

The decision to grant tenure shall take into account institutional factors such as the capacity of the department or the college to renew itself, the development of new fields of study, and projections of student enrollment. (BTM,1975,09-22,005,__)

The criteria upon which decisions to grant tenure are based shall be follows (BTM,1975,09-22,005,__):

a) Teaching Effectiveness: Tenure appointments shall be made only when there is clear evidence of the individual's ability and diligence as a teacher. (BTM,1975,09-22,005,__)

b) Scholarship and Professional Growth: Evidence of new and creative work shall be sought in the candidate's published research or in his or her instructional materials and techniques when he or she incorporates new ideas or scholarly research. Works should be evaluated as well as listed, and work in progress should be assessed. When work is a product of joint effort, it is the responsibility of the department chairman to establish as clearly as possible the role of the candidate in the joint effort. (BTM,1975,09-22,005,__)

The following factors may be supplementary considerations in decisions on tenure. The weight accorded to each will vary from case to case. (BTM,1975,09-22,005,__)

a) Service to the Institution: The faculty plays an important role in the formulation and implementation of University policy, and in the administration of the University Faculty members should therefore be judged on the degree and quality of their participation in college and University governance. Similarity, faculty contributions to student welfare, through service on committees or as an advisor to student organizations, should be recognized. (BTM,1975,09-22,005,__)

b) Service to the Public: Service to the community, state and nation, both in the faculty member's special capacity as a scholar and in areas beyond this when the work is pertinent and significant, should be recognized. (BTM,1975,09-22,005,__)

Tenure shall not normally be granted before the fifth annual reappointment. Only in exceptional cases may tenure be granted before that time—including cases when (BTM,1975,09-22,005,__):

a) Appointment to the faculty at the University requires the continuation of tenure previously awarded by another institution of higher learning

b) A prestigious fellowship valuable to the college concerned interrupts continuous service during the probationary period

c) Some extraordinary reason indicates that the college would be well served by the early grant of tenure

The Board of Trustees Bylaws provide that reappointment on annual salary to certain instructional titles for a fourth full year shall carry with it tenure on the instructional staff. Since we do not have formal examinations prior to initial appointment, the probationary period is intended to be an integral part of the examination process. Hence it is important that each department arrange orderly and specific procedures for evaluation of each probationer. (BTM,1967,12-18,003,_B)

When the Tenure Law and Board of Trustees Bylaws were framed, there was general agreement among representatives of the faculty and the Board that appointment of an instructor for one year, or two years, or three years did not carry with it a presumption of tenure. There was agreement that the best possible persons should be sought and that tenure should be recommended not on the basis of ability to meet minimum qualifications, but on a high standard of excellence and increasing usefulness as a teacher and scholar. Hence non-reappointment for a second, or a third, or a fourth year does not necessarily depend upon poor performance. The possibility of securing a more qualified candidate a year later, or two years later may very well be a factor in deciding upon reappointment or non-reappointment of an existing instructor, conditions of enrolment, budget, and flexibility of teaching staff are also relevant factors in coming to a decision concerning tenure. (BTM,1967,12-18,003,_B)

However, it is important that there be available objective evaluations which justify whatever conclusion the committee comes to. There is, of course, difference of opinion with respect to the relative weight that should be assigned to visits to classrooms, teaching ability, research, publications, enrolment in an instructor's course, opinions of colleagues and students, and other criteria. However, whatever criteria are used, they should provide an objective and subjective record which, if reviewed by someone else, would indicate a reasonable basis for the determination of the department committee. (BTM,1967,12-18,003,_B)

Since few of us have infallible memories which can recall oral reports or views with complete accuracy, provision should be made for written reports. The fact that the candidate's competence and abilities have been discussed with him and that he has been given an indication wherever possible of the areas of his or her weaknesses and strengths should be noted in a written memorandum. There are numerous objective and subjective values that go into a determination of a candidate's ability and though it may sometimes be difficult to be specific, every effort should be made to minimize the subjective criteria and to test those that are used by submission to a committee for determination. (BTM,1967,12-18,003,_B)

For all practical purposes, decisions as to tenure must be made within two and a half years after a candidate's appointment. Since there is a time interval before evaluation can begin, the period of observation is relatively short. Accordingly, observations and evaluations, once begun, should be consistent and consecutive, rather than sporadic. Notes concerning such evaluations should be made at the time of the evaluation and placed on file. (BTM,1967,12-18,003,_B)

The Board of Trustees Bylaws charge the Chairman of a Department with the responsibility "for assuring careful observation and guidance of those members of the instructional staff of the department who are on temporary appointment. The chairman of the department, when recommending such temporary appointees for a permanent appointment shall make full report to the president and the committee on faculty personnel and budget regarding the appointees' teacher qualifications and classroom work, the relationship of said appointees with their students and colleagues, and their professional and creative work." (BTM,1967,12-18,003,_B)

Each candidate should be informed as early as possible of the intention not to reappoint him for the succeeding year if such non-reappointment is probable. The Board of Trustees Bylaws provide for written notice by 1 April if service is to be discontinued at the end of the third year. The spirit of the Board of Trustees Bylaws would indicate that a like disposition be made with respect to decisions at the end of the first and second year, where possible. (BTM,1967,12-18,003,_B)

It is desirable that notice to a candidate of Board action with respect to his or her appointment for the first, second and third year indicate that the appointment is of a temporary nature, stating the terminal date of the appointment and adding "that services beyond the period indicated in the notice of appointment are possible only if the Board takes affirmative action to that effect." (BTM,1967,12-18,003,_B)

No procedure or machinery is infallible. It is inevitable that questions will be raised concerning determinations affecting faculty appointments and tenure. From time to time dissatisfied candidates attack the procedures which lead to determinations of non-reappointment. If tangible and objective records exist upon which the determinations attacked were based, such attacks could be confidently met. It is reasonable to assume that where the procedures heretofore outlined are followed, the determinations of faculty agencies will provide a constructive basis upon which those determinations can be justified. (BTM,1967,12-18,003,_B)

7 Department Chairperson Requirements

Department chairpersons shall hold professorial rank (assistant professor, associate professor or professor) and be tenured at the time of election. In cases where a department has two or fewer such members, the President may, after consultation with the departmental faculty, appoint the chairman. Colleges and/or departments in existence for fewer than seven years may be exempt from compliance with this requirement for a period of up to seven years from the date they became functional. (BTM,1975,09-22,005,__)

In those instances where an individual is recruited to serve as chair from an institution outside of the City University, the requirement for tenure may be waived. (BTM,1975,09-22,005,__)

Policy 5.2 Adjunct Professorships

The use of the term "adjunct" in combination with the title of any professorial rank (e.g., "adjunct professor," "adjunct associate professor," "adjunct assistant professor") is to be authorized, without conferring tenure, for persons whose (BTM,1965,01-25,012,__):

a) Qualifications are comparable to those of faculty members appointed to the corresponding regular professorial ranks, or whose professorial achievement and training merit appointment to adjunct professorships in the several ranks

b) Major employment is outside the University, and whose appointment in the University is made for a limited purpose (e.g., a special course or courses) or for a limited duration

Persons holding adjunct professorships in the several ranks are eligible also for appointment, without conferring tenure, to the doctoral faculties of the University. (BTM,1965,01-25,012,__)

Recommendations to the Board of Trustees for the appointment, without conferring tenure, of adjunct professors in the several ranks shall follow the college and University procedures for line appointments. Recommendations for the appointment, without conferring tenure, of adjunct professors of any rank to a doctoral staff shall follow the usual university procedures for the designation of such staff. (BTM,1965,01-25,012,__)

Policy 5.3 Admission and Retention Policy Formulation

The Board of Trustees of the City University of New York recognizes and affirms that the faculty shall be responsible for the formulation of policy relating to the admission and retention of students, including (BTM,1997,11-24,010,__):

a) Health and scholarship standards

b) Student attendance including leaves of absence

c) Curriculum

d) Awarding of college credit

e) Granting of degrees

This responsibility is to be exercised through the college faculty senates pursuant to the Board of Trustees Bylaws or college governance plans approved by the Board of Trustees, or the University Faculty Senate in accordance with the University Bylaws. Such policies will then be considered by the Board of Trustees or its appropriate committees in making policy decisions relating to educational matters. (BTM,1997,11-24,010,__)

Policy 5.4 Affirmative Action

The City University of New York and its component units reaffirm their support for the principle of Equal Employment Opportunity and commit themselves to a program of affirmative action aimed at increasing employment and promotional opportunities for members of minority groups by adopting the following Affirmative Action Compliance Program. (BTM,1970,12-28,014,__)

1 Statement of Policy

It is the policy of the Board of Trustees and of the component colleges and units of the University to recruit, employ, retain and promote employees without regard to sex, age, race, color or creed. (BTM,1970,12-28,014,__)

As a public college system, the University believes in a policy of nondiscrimination and of providing educational opportunities for the disadvantaged as a means of facilitating their access to a broader range of employment opportunities. Moreover, the University recognizes that the adoption of a vigorous program of action is required if meaningful strides are to be made in the direction of improved employment opportunities for groups that have been disadvantaged in the past. It also recognizes that the employment opportunities created by the open enrollment policy create a unique opportunity to implement such a program. To this end, the Board of Trustee—by its action of 28 September 1970 (Calendar No. 30A)—committed itself, in connection with its construction program, to the objective of enhancing employment of minority workers in the construction industry and of involving minority contractors in building projects. By this policy statement the University is now committed to a comprehensive program encompassing both contractual relationships such as construction awards, and internal employment practices aimed at insuring minority groups of all kinds equal opportunity for employment, for on-the-job-training and for advancement in responsibilities and remuneration. (BTM,1970,12-28,014,__)

2 Program Components

Each college will develop its own affirmative action program in implementation of this policy with overall coordination and monitoring to be performed by the University. (BTM,1970,12-28,014,__)

The policy on nondiscrimination will be communicated periodically to all employees through suitable media. Unions that have contracts with the University or with The City of New York covering employees of the University shall be similarly informed and their cooperation requested and the University policy will also be suitably published to external groups. (BTM,1970,12-28,014,__)

The Equal Opportunity clause will be incorporated in all purchase orders, contracts and leases with a face value above a specified amount (BTM,1970,12-28,014,__)

A self evaluation inventory will be conducted periodically to determine the extent to which the University is achieving equal employment objectives. Actions will be initiated, as required, to expand employment and promotion opportunities available to minority groups and other categories of persons previously discriminated against in employment. (BTM,1970,12-28,014,__)

3 University Responsibilities

The Chancellor will establish a Committee with university-wide representation to provide policy direction for the University's Affirmative Action Program and will include in his or her committee designations a senior member of his or her staff to whom college program coordinators will report. (BTM,1970,12-28,014,__)

The Chancellor's staff representative will keep informed on federal, state and city policies and requirements in order to provide guidance and assistance to college coordinators, and will maintain appropriate liaison with responsible federal officials and counterparts at other universities. (BTM,1970,12-28,014,__)

The University Committee will review the programs of the individual colleges and the self-evaluation inventories and will recommend appropriate policies and actions based on such reviews. (BTM,1970,12-28,014,__)

The Chancellor will establish procedures for the university-wide collection of data required for compliance with the Affirmative Action Program. (BTM,1970,12-28,014,__)

The University Central Office will develop an affirmative action program predicated on the needs of the University and community needs and characteristics, and in compliance with the general requirements stipulated in this policy. (BTM,1970,12-28,014,__)

4 College Responsibilities

Each college will develop an affirmative action program predicated on local campus and community needs and characteristics, and in compliance with the general requirements stipulated in this policy. (BTM,1970,12-28,014,__)

Each College and University Center will appoint a campus affirmative action program coordinator. The individual designated shall be a senior college official who reports directly to the President and has sufficient authority to ensure that the college program is effectively carried out. Where contract activity, particularly in the construction area, warrants, it may be appropriate to supplement this appointment by designating two assistant coordinators, one for construction and other contracts and the other for administrative staff, faculty members and other college employees. (BTM,1970,12-28,014,__)

The advisory committee mechanism should be appropriately utilized as a means of securing community participation and support. Where the amount of construction activity is significant, an advisory group should be formed with representation from prime contractors, the construction trades, other unions, the building contractors' association, community representatives and college representatives. Similarly, an advisory group with composition appropriate to its purposes should be established to provide advice and assistance in connection with college personnel policies. (BTM,1970,12-28,014,__)

Colleges will review their personnel policies and practices with a view toward effecting such changes as are necessary to implement an effective affirmative action program. The college affirmative action program policy will be appropriately disseminated through campus publications and manuals, posters, recruitment advertisements and other suitable media. Recruitment efforts should emphasize sources of employees in the concerned categories. Thus, it is to be noted that it is not sufficient for the college to identify a minority group member as a potential employee. It is equally essential that such individuals be given a full opportunity to compete for jobs. Similarly, training and promotion policies and practices should be linked with a view toward providing improved advancement opportunities for the groups and categories in question. (BTM,1970,12-28,014,__)

There shall be established at the University affirmative action human rights procedures for the purpose of providing an internal grievance mechanism for individuals who have been denied employment by the University or any one of its units, and who complain that such denial was a result of discrimination on the basis of race, creed, color, national origin, sex or age. The use of age refers to the statutory definition of age in New York City and New York State. (CPM,1973,01-08,p001)

5 Contract Awards

The Board of Trustees ratifies the University's commitment to increase significantly the participation of minority and female-owned business enterprises in all areas of the University's procurement of goods, services, and construction—to the fullest extent permitted by law. (BTM,1990,04-23,004,_I)

Policy 5.5 Chancellor and Presidents, Review and Assessment

1 Scope and Purpose

The Board of Trustees fulfills one of its most important responsibilities in appointing a Chancellor or a President, and that responsibility implies an equally important one: to review and assess their performance in office. Within the City University, the Board of Trustees, the Chancellor, the Presidents and the University Faculty Senate have all expressed the view that a policy of executive evaluation is desirable. The following guidelines have been prepared to facilitate the careful exercise of the Board's responsibility for evaluation and to assist the Chancellor and the Presidents to become more effective as chief executive officers. The evaluations also serve other functions. They provide a mechanism for publicly demonstrating the University's concern about the quality of its constituent colleges, and its desire for accountability of its chief administrative officers. The evaluations also allow the University a formal opportunity to clarify its own sense of mission and to communicate that mission more effectively to the colleges and to the community-at-large. (BTM,2007,11-26,005,_E)

2 Principles

In developing the specific criteria and procedures to be used in the evaluation of executive administrators, the following general principles have been taken into account. (BTM,2007,11-26,005,_E)

The evaluation should, for the most part, take place in an institutional context, that is, based on an understanding of the institution's background, resources, priorities, and significant problems. It is for this reason that the evaluation of the Presidents should be scheduled no more than five years after the date of initial appointment and no more than every five years thereafter. The evaluation of the Chancellor should be scheduled five years after the date of initial appointment and every five years thereafter. In any case, the evaluations should be preceded by a self-assessment of the Chancellor's or the Presidents' services as chief administrative officers. (BTM,2007,11-26,005,_E)

Although in general the periodic evaluation of the Presidents will be scheduled with a frequency of no more than every five years, it is expected and understood that circumstances may occasion the Board, on the recommendation of the Chancellor, to conduct an ad hoc evaluation of a President's executive performance. In such cases the same general procedures will be followed as that specified for the periodic evaluations. (BTM,2007,11-26,005,_E)

Similarly, the Board, as the occasion may warrant, may schedule an ad hoc review of the Chancellor. (BTM,2007,11-26,005,_E)

Evaluation of either the Presidents or the Chancellor may include an assessment by administrative and educational peers to assure an appreciation of achievements in meeting policy and management requirements. (BTM,2007,11-26,005,_E)

In order to maintain a constructive and candid atmosphere, the basic principle of confidentiality must be observed. (BTM,2007,11-26,005,_E)

3 The Presidents

The Presidents serve at the pleasure of the Board of Trustees for an indefinite period. They serve their respective colleges as executive agents of the Board and have wide discretionary powers. The Chancellor, as the University's chief executive officer, and the Board, as the University's policy-making body, have the responsibility to review the performance and effectiveness of the Presidents. These evaluations should normally be carried out through systematic, periodic, and well-defined procedures. (BTM,2007,11-26,005,_E)

Each President, in consultation with the Chancellor, at the beginning of his or her term of office and at no more than five-year intervals thereafter, should establish his or her own performance goals and objectives. These should be consistent with the policies and regulations of the Board (particularly section 11.4 of the Bylaws) and with the educational mission of the institution. When the Board, the Chancellor and the President agree on the performance goals and the institutional mission, the necessary foundation for a sound and professional evaluation has been established. The Chancellor and the President should review the statement at the end of the second year, and bring it up-to-date. (BTM,2007,11-26,005,_E)

The President to be evaluated should prepare a statement of his/her stewardship in office for submission to the Chancellor. This statement will note both the progress and the problems in fulfilling the stated objectives, as well as the President's proposed performance goals and objectives for the period until the President's next evaluation. (BTM,2007,11-26,005,_E)

The report should cover the period since the President's last evaluation or date of hire, whichever is most recent, and may add any special factors or circumstances important to insure a more valid and objective review and assessment of performance in office. (BTM,2007,11-26,005,_E)

4 Criteria

The Bylaws of the Board of Trustees charge each President with "the affirmative responsibility of conserving and enhancing the educational standards and general academic excellence of the college under his/her jurisdiction. . . " and with wide discretionary powers in acting as the "executive agent of the Chancellor" at his or her respective campus. The following major areas should be included in the evaluation. (BTM,2007,11-26,005,_E)

4.1 Academic Leadership

The President must understand and be committed to the educational needs of his/her college, and have the ability to articulate and to meet these needs at all levels. The essential criteria of affirmative educational leadership are how well the President is able to recruit, to develop, and to maintain a qualified and distinguished faculty, to advance programs and curricula of high quality, to effectively and creatively use instructional resources to support these programs, and to support the principles of academic freedom. Academic leadership also includes the encouragement of research, scholarship, and creative activity, and each President is expected to demonstrate that encouragement by providing appropriate resources for its conduct. (BTM,2007,11-26,005,_E)

4.2 Administrative Leadership

The quality of a college depends to a great extent upon how well the President meets his or her administrative responsibilities. Measures of a President's effectiveness include how well he or she is able to maintain an effective administrative team, to develop sound and responsive management practices, to develop and carry out an effective affirmative action program, to designate the appropriate use of fiscal resources, to coordinate the advancement of campus construction programs, where relevant, and to maintain ongoing programs of planning, evaluation and review. (BTM,2007,11-26,005,_E)

4.3 The President's Relationship with the College Community

As the educational leader, the President is responsible for defining and communicating his or her sense of the college's mission and its priorities to the college community. The President's effectiveness on this dimension can be gauged, in large measure, by his or her relationship with various internal constituencies, the faculty-at-large, elected faculty representatives (such as chairpersons, University Faculty Senators, members of College Council), the student body, and the staff. (BTM,2007,11-26,005,_E)

4.4 The President's Role Outside the College

The President bears a major responsibility for interpreting and communicating the mission of the college and its policies to a variety of constituencies external to his own institution. These groups include the Board of Trustees whose members serve as trustees for the University and its constituent colleges, the Chancellor's office, governmental agencies, and the communities served by the college and professional associations concerned with higher learning. (BTM,2007,11-26,005,_E)

5 The Annual Evaluation

Each year, along with his or her campus's Performance Management Process ("PMP") report, each President will submit a letter detailing his or her campus's noteworthy events and achievements during the past year; ongoing challenges and strategies for meeting them, as informed by PMP data: and his or her campus's particular role in the collaborative, integrated university. These materials, and additional campus-specific data, will be assessed by the PMP Review Committee. The Chancellor will then review all this information with the President in the President's annual evaluation meeting with the Chancellor, and the content of the meeting will be summarized in the annual evaluation letter from the Chancellor to the President. (BTM,2007,11-26,005,_E)

6 Additional Campus Input

Every three to five years, with the interval chosen at the discretion of the Chancellor, input from campus individuals will be sought concerning a President's performance. Information will be collected anonymously by the Office of the Chancellor from standing or ad hoc campus committees for evaluation of administrators, leaders of faculty and student governance bodies, University Faculty Senate delegations, faculty chairs of college committees and departments, and other faculty, staff and students. After a summary has been prepared, the President will have the opportunity to read, review and comment upon it prior to its submission to the Chancellor. The Chancellor will consider the summary and any response along with the annual evaluation information for that President for that year. (BTM,2007,11-26,005,_E)

7 Constitution of the Evaluation Committee

At his or her discretion, the Chancellor of the University may appoint a select evaluation team composed of the following three members (BTM,2007,11-26,005,_E):

a) At least one president from outside the University chosen by the Chancellor in consultation with the President.

b) Two distinguished educators chosen by the Chancellor in consultation with the President from within the professional or academic community.

Should a select evaluation team be appointed, the Chancellor will also appoint a person from his/her staff to serve as a non-voting coordinating officer among the committee, the President, and the Chancellor's office during the evaluation process. (BTM,2007,11-26,005,_E)

The select evaluation team will be chaired by a person appointed by the Chancellor from among the three members of the team. The chairman will have the responsibility for writing the final summary report. (BTM,2007,11-26,005,_E)

In general, it will be the responsibility of the select evaluation team to develop the procedures for conducting the evaluation and to structure its evaluation around the principles and criteria outlined above. (BTM,2007,11-26,005,_E)

It is particularly important that the select evaluation team get a broadly representative view of the President's performance by obtaining input from the various constituencies within the institution. To this end the team will be expected to make use of existing resources within the institution such as standing or ad hoc committees for evaluation of administrators, leaders of faculty and student governance bodies, University Faculty Senate delegations, faculty chairs of college committees and departments, and other faculty, staff and students, as well as making use of the data and survey results ordinarily collected as part of a presidential evaluation. (BTM,2007,11-26,005,_E)

When the final report has been prepared, the President will have the opportunity to read, review and comment upon the report prior to its submission to the Chancellor. (BTM,2007,11-26,005,_E)

The Chancellor will review the written report of the evaluation team and submit it with the response received from the President, along with his/her own recommendations, to the Board of Trustees. (BTM,2007,11-26,005,_E)

8 The Chancellor

The Chancellor serves an indefinite period at the pleasure of the Board of Trustees, which has both the authority and responsibility for evaluating his performance in office. In order for the Board to carry out its obligation to review its chief executive officer, it should have a systematic, periodic and well-defined procedure on which to rely for data and information in support of this review. (BTM,2007,11-26,005,_E)

The evaluation of the Chancellor should be scheduled approximately five years after the beginning of his or her appointment and every five years thereafter. (BTM,2007,11-26,005,_E)

The Chancellor, in consultation with the Board, should establish his or her own performance goals and objectives at the beginning of his or her term of office and every five years thereafter. These should be consistent with the policies of the Board and consistent with the educational mission of the University (particularly section 11.2 of the Bylaws). The Chancellor's evaluation will, in part, be based upon the extent to which he or she meets the agreed upon performance goals. The Board and Chancellor will review these goals at the end of the second year, to bring it up-to-date. (BTM,2007,11-26,005,_E)

The Chancellor will prepare a self-assessment, to be submitted to the evaluation committee approximately one month prior to the first meeting of the evaluation team. The self-assessment will include a review of his or her tenure in office, the performance goals he or she has established, and the progress and problems he or she has had in fulfilling these stated objectives. (BTM,2007,11-26,005,_E)

9 Criteria

Under the Bylaws of the Board of Trustees, the Chancellor is charged with providing educational leadership for the City University. With so broad a mandate, and in an institution as large and dynamic as the City University, the Office of the Chancellor has become an extraordinarily complex and sensitive one. (BTM,2007,11-26,005,_E)

The criteria enumerated below are meant to serve as a guide for suggesting areas likely to indicate his or her effectiveness as an educational leader. (BTM,2007,11-26,005,_E)

9.1 Academic Leadership

As the chief source of educational opportunity for the citizens of New York City, the City University must provide the full spectrum of educational activity within a complex urban environment. For this reason, it is critical that the Chancellor have a broad and deep understanding of contemporary higher education and a commitment to the City University's policies of open access and quality education. The essential criterion of affirmative educational leadership is the ability of the Chancellor to support the recruitment and promotion of a distinguished faculty, to advance programs of high quality and to support the effective and creative use of instructional resources. (BTM,2007,11-26,005,_E)

9.2 The Chancellor's Relationship with the Board of Trustees

The principal group to which the Chancellor is responsible is the Board of Trustees, whose members are the trustees of the University and representatives of the public-at-large. Of prime importance in this relationship is the Chancellor's ability to develop policy alternatives for the Board in educational and fiscal matters that are the Board's responsibility, and to adequately inform the Board of the state of the institution. (BTM,2007,11-26,005,_E)

9.3 The Chancellor's Role in the University

As the educational leader of the University, whose philosophy must be consonant with its mission, the Chancellor bears the major responsibility for communicating this sense of mission and its priorities to the University community. A measure of his or her effectiveness is evidenced by how he or she is viewed by University-wide constituencies such as the Council of Presidents, the University Faculty Senate, and the University Student Senate, among others. (BTM,2007,11-26,005,_E)

9.4 The Chancellor's Role Outside the University

As with his or her internal constituencies, the Chancellor bears an equal responsibility to interpret the University to a variety of external constituencies. These include educational organizations, governmental agencies and elected officials, civic groups and associations and the community-at-large. (BTM,2007,11-26,005,_E)

9.5 Administrative Leadership

The quality of the University depends, to a great extent, upon how well the Chancellor meets his or her administrative responsibilities. A critical measure of the Chancellor's effectiveness includes his or her ability to maintain an effective administrative team, to develop sound and responsive management practices, to develop and carry out an effective affirmative action program, to designate the appropriate use of fiscal resources, and to maintain ongoing programs of planning, evaluation and review. (BTM,2007,11-26,005,_E)

9.6 Institutional Quality

The Chancellor must exercise his or her responsibilities to preserve and advance institutional quality. He or she must assure the maintenance of the quality of the faculty throughout the University, insure the quality of the curricula from the associate degree through the doctoral levels, advance the integrity and equity of academic personnel practices in regard to recruitment, appointment, promotion and tenure, and be sensitive to the issues of academic freedom. (BTM,2007,11-26,005,_E)

10 Constitution of the Evaluation Committee

The Board of Trustees will appoint a select evaluation committee composed of the following three members (BTM,2007,11-26,005,_E):

a) One peer at the Chancellor's level to be chosen in consultation with the Chancellor, from urban, multi-campus universities;

b) Two distinguished, nationally known educators, to be selected by the Board in consultation with the Chancellor from among the learned and professional societies.

The Secretary of the Board shall serve as a non-voting staff member who will act as liaison officer between the committee and the Board. (BTM,2007,11-26,005,_E)

The select evaluation committee will be chaired by a person appointed by the Board from among the three members of the team. The chairman will have responsibility for writing the final summary report. (BTM,2007,11-26,005,_E)

It will be the responsibility of the select evaluation committee to develop the procedures for conducting the evaluation and to structure its evaluation around the principles and criteria outlined above. It is important that the committee get a broadly representative view of the Chancellor's performance from the perspective of various constituencies within the University. To that end the Committee will be expected to make use of such resources as the Vice-Chancellors and other top University administrators, the Council of Presidents, the Executive Committee of the University Faculty Senate, and the Executive Committee of the University Student Senate. (BTM,2007,11-26,005,_E)

When the final report has been prepared, the Chancellor will have the opportunity to read, review, and comment upon it prior to its formal submission to the Board. (BTM,2007,11-26,005,_E)

11 Conclusion

The intent of these guidelines is to reaffirm the University's responsibilities for providing the finest possible education to all citizens of New York City. While these guidelines reflect the best experience and practice currently operative in institutions in higher education, they were developed to meet the special needs of the City University. On condition that all parties in the evaluation process proceed in a dignified, confidential and professional manner, the guidelines will insure a valid and objective review of performance in office. The implementation of the guidelines will have the additional advantage of reaffirming the responsibility of the Board of Trustees to fulfill its public trust by a periodic review and assessment of the performance and achievements of its highest academic office-holders. (BTM,2007,11-26,005,_E)

Policy 5.6 Civil Service Commission

There is hereby established a municipal civil service commission to be known as The City University of New York Civil Service Commission, which shall consist of three persons, not more than two of whom shall at any time be adherents of the same political party. Said Commission is to be vested with the authority to perform all of the functions set forth below and such other functions as may be specifically mandated by law. (BTM,1988,06-27,006,_H)

The members of the Commission shall be appointed by the Chancellor of the University with the advice and consent of the Board of Trustees, such that of the members first appointed, the term of one shall expire on 31 May of the first even-numbered year following the date of appointment; the term of the second shall expire on 31 May of the second even-numbered year following the date of appointment; and the term of the third shall expire on 31 May of the third even-numbered year following the date of appointment. Upon the expiration of each of such terms, the term of office of each commissioner thereafter appointed shall be six years from the first day of June in the year in which the term of his or her predecessor expired. (BTM,1988,06-27,006,_H)

The Chancellor shall designate one member of said Commission to serve at the pleasure of the Chancellor as its Chair. Decisions of the Commission shall be by majority vote. The Chair shall appoint a Secretary and such other staff as may be necessary for the performance of the Commission's duties and responsibilities. (BTM,1988,06-27,006,_H)

The duties of the Chair of the Commission shall include, but not be limited to, scheduling and convening regular and special sessions of the Commission; chairing sessions; providing the agenda for such sessions; issuing and signing all formal announcements; and coordinating the on-going work of the Commission with the Secretary of the Commission. (BTM,1988,06-27,006,_H)

The Commissioners and the Chair of the Commission shall receive no compensation for their duties except for the reimbursement of normal and reasonable expenses incurred in carrying out their duties, such reimbursements to be governed by guidelines issued by the Chancellor. (BTM,1988,06-27,006,_H)

The Commission shall sit as a body in a regular session no less than once every three months and shall keep true and accurate minutes of its meetings and proceedings, which shall be open to public inspection. (BTM,1988,06-27,006,_H)

The Commission shall be vested with the power to adopt and promulgate such rules and regulations as are necessary. Such rules shall be subject to the approval of the New York State Civil Service Commission and shall be effective when filed with the Secretary of State. The Commission shall have all powers enumerated in Title B of Article II of the New York State Civil Service Law. (BTM,1988,06-27,006,_H)

The Commission shall hear and determine complaints alleging violations of laws or regulations including, but not limited to, civil service law, the rules and regulations of The City University Civil Service Commission, grievances brought by classified service employees who are not subject to collectively bargained agreements, and the regulations of the Vice-Chancellor for Faculty and Staff Relations, provided, however, that no such appeal shall be allowed if the action or determination involved (BTM,1988,06-27,006,_H):

a) Relates solely to matters of internal management of the Office of the Vice-Chancellor for Faculty and Staff Relations

b) Was considered and approved in advance by the Commission

Appeals to the Commission may be made subject to the rules of the Commission and subject to administrative procedures found in the regulations for matters of (BTM,1988,06-27,006,_H):

c) Position classification and reclassification

d) The establishment and certification of eligibility lists

e) Disqualification of candidates and appointees

f) Disciplinary actions pursuant to Section 75 of the New York State Civil Service Law

g) Appointments to positions, promotions, transfers, resignations and reinstatements

Effective upon the adoption of this resolution, the incumbent of the position of Vice-Chancellor for Faculty and Staff Relations, or its successor position, shall be responsible for the promulgation of regulations pertaining to employees in the civil service of the University and its component and constituent colleges and units and the administration of the regulations. (BTM,1988,06-27,006,_H)

The Vice-Chancellor for Faculty and Staff Relations shall adopt procedures and shall devise criteria, guidelines, delegations, forms, and other issuances necessary to provide for the administration of the laws and rules. (BTM,1988,06-27,006,_H)

The Vice-Chancellor for Faculty and Staff Relations shall establish by regulation standards for maintaining and administering a uniform classification and pay plan for the classified service in the University. (BTM,1988,06-27,006,_H)

The Vice-Chancellor shall establish by regulation, provisions for assisting the colleges in administering delegated authorities of the University classified service and for overseeing the implementation of the requirements at the colleges. (BTM,1988,06-27,006,_H)

Policy 5.7 Excluded Titles, Applicability of Professional Staff Congress-CUNY Collective Bargaining Agreement

The identified articles of the 1 November 2002–19 September 2007 collective bargaining agreement between the University and the Professional Staff Congress/CUNY, shall apply to employees—other than those in the Executive Compensation Plan, the Medical Series, and the Law School Series—in functions or titles that are otherwise excluded from the agreement pursuant to Article 1 thereof for the period 1 November 2002 through 19 September 2007. Such application shall prevail during the time of service of a person in the designated titles or while the person is performing the functional duties that are the basis for exclusion from the agreement. These articles are (BTM,2006,06-26,014,__):

a) Article 1: Recognition, insofar as exclusions from the unit are identified

b) Article 14: Leaves and Holidays, except Section 14.9

c) Article 16: Temporary Disability or Parental Leave

d) Article 17: Jury Duty

e) Article 24: Salary Schedules, for persons in the regular appointment title, exclusive of REMs

f) Article 25: Research, Fellowship, and Scholar Incentive Awards, for persons with faculty responsibility

g) Article 26: Welfare Benefits

h) Article 27: Retirement

i) Article 29: Waiver of Tuition Fees

j) Article 30: Facilities and Services

k) Article 31: Rehiring of Persons Who Are Discontinued

l) Article 33: Faculty and Staff Development

m) Article 36: Resident Series

n) Article 43: Duration

Article 26: Welfare Benefits, Article 27: Retirement, Article 34.1 or Article 35.1 as applicable, and Article 43: Duration, of the 1 November 2002 – 19 September 2007 collective bargaining agreement between the University and the Professional Staff Congress/CUNY, shall apply to all employees in the Medical Series and the Law School Series—other than those in the Executive Compensation Plan—in the functions and titles that are excluded from the agreement pursuant to Article 1 thereof for the period 1 November 2002 through 19 September 2007. Such application shall prevail during the time of service of a person in the designated titles or while a person is performing the functional duties that are the basis for exclusion from the agreement. (BTM,2006,06-26,014,__)

With respect to articles of the aforesaid agreement not made applicable to the titles and functions referred to above, the Chancellor may issue such rules as he deems appropriate to regulate matters otherwise covered by the agreement. (BTM,2006,06-26,014,__)

Policy 5.8 Executive Staff

[T]he attached Salary Plan Report for the Executive Compensation Plan dated June 25, 2012 is approved effective September 1, 2012[.]

[T]he Chancellor is authorized to take all necessary actions to effect the implementation of the Salary Plan pursuant to Chapter 263 of the Laws of 1987 with the understanding that the Chancellor is granted the authority to make appropriate adjustments to the plan resulting from consultation with the New York State Division of the Budget, and/or the New York State Office of Employee Relations[.]

[T]he Chancellor is authorized to issue revised "Terms and Conditions of Employment for Staff Serving in the Executive Compensation Plan," which provides guidance for implementation of the Salary Plan.

(Board of Trustees Minutes,2012,06-25,5,B)

Policy 5.9 Higher Education Officer Series

The Board of Trustees of The City University of New York authorizes the Chancellor to delegate to each college president individually such responsibility, as the Chancellor deems prudent for the purpose of enforcing the Bylaws and policies of the Board of Trustees, to implement this policy, including (BTM-1999-10-25,006,_E):

a) Review of the qualifications of candidates for employment in positions in the Higher Education Officer (HEO) series

b) Recommendation to the Board for approval of the rate of pay for employees in HEO series titles

The college president shall be responsible for certifying to the Board of Trustees that all such delegated personnel actions reported in the Chancellor's and University Reports are in compliance with the Bylaws and policies of the Board of Trustees. (BTM-1999-10-25,006,_E)

2 History

The HEO series was created by resolution of the Board of Higher Education on 26 September 1966, as part of the instructional staff—i.e., as unclassified civil service titles consistent with New York State Civil Service Law. The New York State Education Law requires the Board of Trustees to "determine to what extent examinations are practicable to ascertain merit and fitness for each of the positions within the educational units covered and administered by it and, in so far as examinations are deemed practicable to determine to what extent it is practicable that such examinations be competitive." In June 1967, the Board of Higher Education approved a document entitled Appointment Procedures and Practicability of Competitive Examinations for Higher Education Officer Series Titles. This document concluded that formal examinations for positions in the HEO series were impracticable for determining merit and fitness and recommended that HEOs be appointed through an "unassembled examination" adapted from the practice used at the time for the selection of faculty. The recruitment and HEO screening process, therefore, is the method adopted by the Board of Trustees to determine merit and fitness in lieu of formal civil service examinations. The details of the selection process are provided in the Guidelines Regarding Recruitment and appointment to HEO Series Positions, revised March 1995. (BTM-1999-10-25,006,_E)

3 Functions

HEOs perform a variety of functions for the University for which there is no classified civil service counterpart and which are generally not appropriate for faculty. At its inception, examples of duties appropriate to the HEO series included "institutional research, campus planning and development, coordination of relations with community and civic groups, supervision and coordination of all educational data processing, coordination of applications to federal, state and private foundations for educational grants, direction of specific specialized campus activities, function as executive assistant to Chancellor or President, or development of some major aspect of new programs." (BTM-1999-10-25,006,_E)

4 Classification of Positions

The responsibility for insuring proper classification is assigned by New York State law to the CUNY Civil Service Commission and to the CUNY Board of Trustees. By delegation, the classification of HEO positions rests with both the colleges and with the Office of Faculty and Staff Relations (OFSR). OFSR has the responsibility for determining whether a position proposed by a college belongs in the classified service or the unclassified, that is, instructional, service and also for determining the proper title. Colleges initiate classification requests to OFSR by submitting Position Vacancy Notices (PVNs) for review and approval. (BTM-1999-10-25,006,_E)

Maintenance of consistency is essential for job classification in the civil service and bears an important relationship to collective bargaining. (BTM-1999-10-25,006,_E)

5 Filling Positions

After a position is approved, the college is expected to conduct a search for qualified candidates to fill the position.' When a candidate is chosen, an offer is made at a specified salary. The appointment is then presented to the Board of Trustees for its approval. OFSR reviews every appointment in the classified staff, higher education officer series, and college laboratory technician series that is recommended to the Board of Trustees, via the Chancellor's or University Reports. OFSR ascertains whether the candidate meets the Bylaw qualifications and is being offered a salary that is consistent with salaries offered throughout the University for similar positions. In this way OFSR assists the Chancellor in meeting his or her obligations to certify to the Board that such entries on the Chancellor's and University Reports conform to Board requirements. (BTM-1999-10-25,006,_E)

6 Titles within the HEO Series

The titles within the Series shall be (BTM-1999-10-25,006,_E):

a) Assistant to the Higher Education Officer

b) Higher Education Assistant

c) Higher Education Associate

d) Higher Education Officer

This configuration has the advantages of familiarity and acceptance. The policies outlined below will provide the flexibility and efficiency that the colleges need. Primary responsibility for maintaining the integrity of appointments to the HEO series is devolved to the Presidents and, in many instances, a post-audit process will replace a pre-audit process. (BTM-1999-10-25,006,_E)

7 Classification

Through its classification activities, the University maintains consistent enforcement of employment laws, collective bargaining agreements, and arbitration decisions. In addition, OFSR certifies to the Board that classification is consistent with Board directives and safeguards the Board's long standing interest in fair employment practices and in minimizing competition among colleges for employees. The benefits of a good classification system include (BTM-1999-10-25,006,_E):

a) Providing equity in hiring decisions, in work assignments, and in compensating employees

b) Meeting the requirements of civil service and employment laws

c) Clarifying employee responsibilities and performance expectations

d) Providing a basis for managerial direction and evaluation

e) Distinguishing those tasks that are essential

f) Identifying accomplishments that may be rewarded

Classification specifications, other than the limited guidance in the Bylaws, do not currently exist to assist the colleges or the University. Consequently, colleges base position classification on previous classifications, individual candidate traits, or salary needs, all of which may serve to distort classification, especially as jobs transform. the University HEO Committee in reviewing classification requests and appeals, frequently refers to former submissions and to the submissions of other colleges for similar positions rather than to established specifications in order to arrive at a reasonable decision. (BTM-1999-10-25,006,_E)

OFSR reviews classification requests on behalf of the Board. This review shall continue, with the following modifications (BTM-1999-10-25,006,_E):

a) In order to make the classification of HEO positions easier for the colleges and more consistent across the University, OFSR, with the assistance of the colleges, will develop classification specifications. The specifications will provide sample, benchmarked positions with characteristic duties covering all major categories of unclassified service work in the University (e.g., budget, student services, finance, academic administration, etc.). It would be advisable to engage the services of a classification consultant to assist OFSR in evaluating the final product and in validating the specifications. (BTM-1999-10-25,006,_E)

b) The process of obtaining position classification clearance from OFSR using the new classification specifications will be significantly revised. The current double classification review, i.e., at both the PVN stage and at the candidate appointment stage, will be reduced to a single front-end verification that the college has slotted the vacant position into the proper benchmarked classification. In those cases in which the college combines job tasks into a unique specification not covered by the benchmarked jobs, OFSR will review the submission at the PVN stage only and, after consultation with the college, assign a classification. (BTM-1999-10-25,006,_E)

c) For job duties for which there is considerable overlap between the classified and the unclassified (instructional) civil service, classification approval from OFSR prior to posting vacancies will continue to be required: i.e., for positions entailing substantial clerical, accounting, purchasing, computing, security, or facilities management duties. (BTM-1999-10-25,006,_E)

d) Requests for reclassification of existing filled positions will continue to require prior approval by OFSR. (BTM-1999-10-25,006,_E)

8 Qualifications

The Bylaws of the Board of Trustees set the minimum qualifications for appointment to HEO series titles. The Bylaws require, at a minimum, a baccalaureate degree and years of experience in higher education related to the position. (BTM-1999-10-25,006,_E)

Responsibility is delegated to the colleges for certifying directly to the Board of Trustees that candidates meet the minimum qualifications, subject to periodic post-audits by OFSR. Vesting such responsibility in the College Presidents, eliminates the requirement that OFSR certify the Chancellor's and University Reports entries on behalf of the Chancellor. (BTM-1999-10-25,006,_E)

OFSR maintains responsibility for reviewing Bylaw waiver requests submitted by the colleges and seeking appropriate Board approval. (BTM-1999-10-25,006,_E)

9 Compensation and Movement Between Titles

HEO series are not promotional. HEO positions are unlike faculty positions in which a person may be promoted from assistant professor to associate professor and, finally, to full professor. In these cases, the nature of the faculty position does not change. Assistant professors, associate professors and full professors all perform essentially the same functions, e.g., teaching, research, student advisement, and service to the college and university. Unlike faculty positions, the very design and description of the HEO titles make it clear that different functions and levels of responsibility are appropriate to each title. For example, the job duties appropriate to an Assistant to HEO, essentially to support the work of a higher education officer or dean, are not appropriate to full HEO, who is expected to undertake major responsibilities on behalf of the University, However, were the series to become promotional, an Assistant to HEO would during his or her career, expect to be promoted, ultimately to a full HEO, even though his or her job duties have remained unchanged. Such a change in a series with only four titles that represent such broad levels of skill and responsibility would likely result in an expedited journey to the highest title based solely on performance or length of service with little or no significant change in scope of work. (BTM-1999-10-25,006,_E)

The following policies will obtain within the context of a non-promotional series (BTM-1999-10-25,006,_E):

An incumbent is not required to serve for a minimum of two years before his or her position can be reclassified, provided that the reclassification is justified by a demonstrable, substantial change in, or addition to, current duties. (BTM-1999-10-25,006,_E)

A candidate's current position does not have to be searched for before allowing reclassification. (BTM-1999-10-25,006,_E)

OFSR is not required to approve contractual merit increases of one and two steps, but notification to OFSR is required. OFSR approves merit increases of more than two steps and early movement to the fifth and seventh year step increments. (BTM-1999-10-25,006,_E)

The responsibility to ensure equitable and appropriate salary placement upon appointment or reclassification is vested in the Presidents. (BTM-1999-10-25,006,_E)

10 Searches

Conducting a search—recruiting outside of the University and assessing credentials as presented in resumes and interviews to determine merit and fitness—has constituted the University's approach to the unassembled exam. In 1967 The Board of Higher Education, in rejecting the use of formal examinations, specifically noted that formal exams would limit opportunities to those already in the system and would prevent broad outreach to qualified candidates except at perhaps the entry level. (BTM-1999-10-25,006,_E)

The search is also the cornerstone of the University's affirmative action program. As the University considered the implementation of its affirmative action program in 1970, it decided to pursue a "process oriented" approach to affirmative action as opposed to a "results oriented" approach which would focus on numbers. Because the search was already an integral part of the hiring process, the affirmative action program was built around a strengthened search procedure which required broad outreach to members of historically under-represented groups. In making this process the norm for filling positions in CUNY, the University fulfilled its obligation to provide opportunity for individuals from protected classes to apply and be considered for positions. The process has been successfully used in legal proceedings as evidence of the University's compliance with equal employment opportunity and affirmative action regulations. Because the program mandates that the best qualified person be chosen, it preserves the integrity of the campuses' selection procedures while increasing the likelihood that members of the protected classes will be significantly represented in candidate pools and will be selected at rates that reflect their availability in the labor market. (BTM-1999-10-25,006,_E)

The practice of searching for all appointments in the HEO series is tied to the concept of the vacancy. Before 1995, every opening in a HEO title was considered a "vacancy" subject to a search or search waiver. In 1995, with the promulgation of the HEO Guidelines, the concept of reclassification--allowing movement of an incumbent to a higher HEO title based on increased job responsibilities--was introduced, thereby altering the strict search requirement. To address residual concerns, the following policies regarding the HEO search procedures are adopted (BTM-1999-10-25,006,_E):

a) Searches must be conducted for vacant positions, but the scope of the search is to be determined by the campus affirmative action officer. Affirmative action officers have the option of requiring (BTM-1999-10-25,006,_E):

(i) A standard search which includes posting of a PVN along with aggressive outreach to potential applicants at the national or regional level

(ii) A University-wide search which would rely on the posting of the PVN throughout the University both in hard copy and electronically on the University's or college's web site

(iii) A college-wide search which would rely on posting a PVN throughout the college and on the college's website. College-wide searches may be limited to college employees

b) The affirmative action officer has the responsibility of examining all data, including underutilization, overall representation and hiring patterns, before the college can engage in a University or college-wide search. If underutilization is apparent, a college-wide search cannot be authorized. Site visits by the University Affirmative Action Office shall be used to confirm compliance. Annual plans shall specifically cite the number of searches conducted at each level and the outcome in terms of candidate pools and selection of candidates. (BTM-1999-10-25,006,_E)

c) A candidate's current position does not need to be searched for before allowing reclassification. A search waiver granted in the past shall not be used to deny reclassification. (BTM-1999-10-25,006,_E)

11 Post Audit

This policy reflects significant delegations of responsibility to the colleges. Commensurate with such delegation is the need to safeguard the interests of the Board in maintaining the consistency and fairness of the University's human resource system. The colleges are required to retain all records related to their personnel actions and decisions and will make available to OFSR for review all documents for audited actions. OFSR will audit on a regular basis those actions taken by the colleges under this newly delegated authority such as classification determinations, qualification assessments, compensation designations, and search parameters. Prior to finalizing the audit, OFSR will confer with the college to discuss findings and appropriate remedies. (BTM-1999-10-25,006,_E)

A range of actions may be implemented as necessary, including but not limited to (BTM-1999-10-25,006,_E):

a) Taking corrective actions to undo errors

b) Imposing hiring restrictions

c) Requiring pre-approval by OFSR for personnel actions

OFSR will report to the Board of Trustees periodically regarding college compliance with these revised procedures. (BTM-1999-10-25,006,_E)

Policy 5.10 Honorary Clinical Associate Title

Colleges of the City University of New York with programs that have clinical components in affiliated health service or human service institutions shall be able to grant the title of Clinical Associate to those non-University personnel who aid in the coordination, instruction or supervision of the clinical component of the program. (BTM,1976,03-22,003,_B)

Where more than one college with the same program utilizes the same institution for clinical experience, the award of the Clinical Associate title shall be made jointly or severally by those colleges. (BTM,1976,03-22,003,_B)

Clinical Associate shall be an honorary non-faculty title without financial remuneration to be granted for a renewable period of one year. A person holding such title shall not be deemed thereby to be an employee of the Board of Trustees. (BTM,1976,03-22,003,_B)

Clinical Associates, in recognition of their service to the University, shall be listed in the college catalog and receive full library privileges. (BTM,1976,03-22,003,_B)

Policy 5.11 This Policy Number Not in Use

Policy 5.12 Leave Without Pay

LEAVES OF ABSENCE

[T]he President of a college may recommend to the Board of Trustees that it grant to a tenured or certificated member of the instructional staff leaves of absence without pay for purposes consonant with section 13.[3].b. of the Bylaws of The City University of New York for two consecutive years. A final, third consecutive year of leave of absence without pay may be recommended by the President to the Chancellor, who shall review the President's recommendation and, if the Chancellor concurs, submit it to the Board of Trustees for action.

(Board of Trustees Minutes,1985,09-19,007,_A)

Policy 5.13 Library Use by Members of the Faculty

All faculty members are accorded the privilege of use of any library under the jurisdiction of any of the colleges of The City University of New York, subject to the rules and policies of the particular library. (ACM,1962,p016)

Policy 5.13a Military Leave

Staff Leaves for Military Purposes

A. [T]he Board [shall] adopt the following policies with respect to staff leaves for military purposes:

I.Service in the Organized Reserves.

1. Employees of the Board who have tenure and who come within the provisions of Section 245 of the Military Law,- namely, those ordered into military duty with the organized reserves, will be granted their salary for a period of thirty days and the difference between their military salary and civil salary for the remainder of their absence on military duty.

2. Any employee of the Board shall be entitled to absent himself with pay for military duty with the organized reserves for a period or periods up to and including thirty days in any one calendar year, notwithstanding the fact that orders therefor may be issued with the consent of the employee.

3. Since the legal questions raised as to the status of those who go into military duty with the organized reserves with their consent is now pending, action upon such leaves is deferred until the matter is clarified.*

[Footnote:] * Pending the clarification of these questions a special leave of absence without pay is to be granted to those who have tenure and who go into military duty with the organized reserves with their consent; such leave to begin at the date of termination of the thirty days with pay period and is not to be terminated except at the beginning of a new term.

II. Service under the Selective Service Act.

[P]ursuant to the provisions of Section 246 of the Military Law as amended, members of the staff having tenure who volunteer for service or who are drafted under the Selective Service Act shall be granted leaves of absence without pay during the period of military service. They shall be entitled to reinstatement to their positions, provided application is made within ninety days after termination of military duty, to protection of pension rights, seniority, increments and other rights and privileges specified in section 246 of the Military Law.

[A] military leave of absence required to be granted pursuant to Section 245 or 246 of the Military Law shall not create a hiatus in the continuity of service of the individual involved if such person is continuously reappointed to his position.

III. Effect of Military Leave on Tenure Credit.

B. [I]n order to facilitate the payment of' substitutes during the thirty days with pay period for persons on military leave with the organized reserves, the Budget Director be requested to modify the budget code line for payment of substitutes for absent teachers, to include the payment of substitutes employed during the thirty day salary period of those entering military service under section 245 of the Military Law.

(Board of Trustees Minutes,1949,02-21,7)

Policy 5.13b Military Leave and Benefits, Continuation of

[THE CITY UNIVERSITY OF NEW YORK - CONTINUATION OF MILITARY LEAVE AND EMPLOYER-PAID HEALTH AND WELFARE BENEFITS COVERAGE FOR UNIVERSITY EMPLOYEES RECALLED FROM THE RESERVES TO ACTIVE MILITARY SERVICE:

[T]he Board of Trustees of The City University of New York, in response to the continuing need for employees in the National Guard and Reserves to be activated for Military Service in response to the events of September 11, 2001, and in light of the continuing evolution of the response to September 11, 2001 into a wider campaign against terror, including military action in Afghanistan, hereby authorizes the continuation of Military Leave and Health & Welfare benefits for University employees in accordance with the following policies. These policies apply to employees of The City University of New York who are members of the National Guard, Reserve forces, or Reserve components of the Armed Forces of the United States.

1. Supplemental Military Leave

(a) The City University of New York will provide a temporary leave category called Supplemental Military Leave at full pay. Employees of The City University of New York who have been federally activated or activated by the Governor of New York State for military service between September 11, 2001 and December 31, 2013 will be granted Supplemental Military Leave with full pay after the exhaustion of military leave with full pay pursuant to Section 242 of the New York State Military Law. While on such Supplemental Military Leave, the eligible employee will be in full pay status for a period not exceeding 30 work days, in addition to the leave that had been granted pursuant to Section 242 of the New York State Military Law. The Statutory Entitlement period is increased to 30 work days (from the previous 30 calendar days or 22 work days, whichever was greater) for all Public Servant Soldiers of the City of New York in compliance with Chapter 238 of the laws of 2008.

(b) Employees shall be eligible to receive Supplemental Military Leave through December 31, 2013. Supplemental Military Leave shall not be granted for military service performed after December 31, 2013. In no event shall more than one such grant of Supplemental Military Leave be credited to any employee for activation related to the war on terror regardless of the number of times the employee is activated between September 11, 2001 and December 31, 2013.

2. Military Leave at Reduced Pay

(a) Employees shall be eligible to receive Military Leave at Reduced Pay through December 31, 2013. Military Leave at Reduced Pay status commences after the employee has exhausted Military Leave pursuant to Section 242 of the New York State Military Law, Supplemental Military Leave as set forth in paragraph 1 above, and any leave credits, other than temporary disability leave or sick leave, which the employee elects to use.

(b) Employees in Military Leave at Reduced Pay status will be paid their regular City University of New York salary (base pay) reduced by military pay (base pay plus housing and food allowances). The determination of rate of payment for the Military Leave at Reduced Pay will be based upon the employee's regular City University of New York salary as of his/her last day in full pay status and the employee's military pay on the first day of his/her activation, and shall not be subject to adjustment during the period of leave at reduced pay.

(c) Employees eligible for Military Leave at Reduced Pay will not be eligible to earn annual and temporary disability leave/sick leave accruals or to receive credit for holidays.

(d) In no event shall Military Leave at Reduced Pay be granted for military service performed after December 31, 2013.

3. Continued Health Insurance Coverage

Covered dependents of eligible employees of The City University of New York, who are currently enrolled in a health plan with family coverage through The City University of New York and who have been federally activated or activated by the Governor of New York State for military service related to the war on terror shall continue to receive health insurance coverage with no employee contribution for a period not to exceed 12 months from the date of activation, less any period in which the employee remains in full-pay status. Contribution-free health insurance coverage will end at such time as the employee's active duty is terminated or the employee returns to City University of New York employment or December 31, 2013, whichever occurs first.

4. Other Provisions

The provisions of this resolution shall not apply to those employees who have voluntarily separated from City University of New York service or who are terminated for cause. Furthermore, the provisions of this resolution shall apply only for the period of time that the employee has an appointment with The City University of New York.

(Board of Trustees Minutes,2001,10-22,8,A. Amended: Board of Trustees Minutes,2002,11-18,6,A; Board of Trustees Minutes,2004,03-29,4,D; Board of Trustees Minutes,2005,02-28,5,G; Board of Trustees Minutes,2007,01-29,4,H; Board of Trustees Minutes,2008,01-28,4,Z; Board of Trustees Minutes,2009,01-26,5,E; Board of Trustees Minutes,2010,01-25,3,E; Board of Trustees Minutes,2011,01-24,3,D; Board of Trustees Minutes,2012,02-27,4,D; Board of Trustees Minutes,2013,01-28,4,H)

Policy 5.14 Multiple Positions

1 Preamble

Each full-time faculty member is obligated to view his/her appointment to a college or university faculty position within The City University as his/her major professional commitment. This commitment obligates the faculty member in two ways: he/she is at once a member of the national and international world of learning and a member of The City University community. Though his/her first responsibility to The City University is that of teaching, he/she recognizes the important and essential obligation to be regularly accessible for conferences with his/her students, to participate in appropriate extracurricular undertakings, and to serve on various college and university committees and as a member of college and university councils and other assemblies. (BTM,2011,01-24,003,_C)

The City University of New York is a major research university. A full-time faculty member is expected to create new knowledge in his/her discipline through scholarly research, writing, and creative works. He/she constantly makes all efforts to improve his/her professional standing through study and thought, and also through activities such as research, publication, attendance at professional conferences, and the giving of papers and lectures. Such professional involvements also enhance his/her abilities as a teacher and as a member of The City University community; such professional involvements support the value of his/her activities on campus and equip him/her to participate in significant educational innovations as well as furthering his/her professional stature. (BTM,2011,01-24,003,_C)

2 Multiple Positions

2.1 Outside the City University

Full-time appointment to a college or university faculty position is a full-time assignment. Faculty members have a responsibility to observe professional standards of behavior in becoming involved in activities supplemental thereto. No employment, consultative, or other work outside The City University may be engaged in by a faculty member unless he/she receives prior approval from the P and B of his/her department after full disclosure of his/her total academic commitment, the proposed outside employment, consultative, or other work, and other outside work theretofore approved. The P and B committee shall not approve any outside employment, consultative, or other work unless such employment or work relates to the professional interests, strengthens the professional competence, or enriches the professional performance, and does not interfere with the professional standing of the faculty member. No employment, consultative or other work, remunerative or otherwise, shall be approved by the P and B Committee or engaged in if the services of the faculty member to his/her college or the university or his/her ability to meet his/her commitments to his/her college or the University (including teaching, research, and service obligations) will be impaired thereby. If the departmental P and B approves such employment or work, the amount of time that the faculty member may expend thereon shall be determined by the departmental chairperson after consultation with the faculty member, and subject to the review of the college president. In no event shall the total amount of time to be expended on such outside employment or work be or be approved for more than an average of one day a week, or its equivalent over the course of the academic year. (BTM,2011,01-24,003,_C)

In connection with any outside employment, consulting arrangement or other work, each faculty member shall abide by, make known to the other party and incorporate in any written agreement, the following principles (BTM,2011,01-24,003,_C):

i. The faculty member is serving in an individual capacity, and not as an agent, employee or representative of The City University and that the name of The City University or any of its constituent units may not be used in connection with the faculty member's services, other than to identify his/her employer, without the written permission of The City University. (BTM,2011,01-24,003,_C)

ii. The faculty member's primary employment responsibility is to The City University, and he/she is bound by its policies, including those related to consulting and other outside work. (BTM,2011,01-24,003,_C)

iii. In rendering services to the outside party, the faculty member may not make substantial use of The City University's resources, including but not limited to its facilities, equipment, employees, proprietary information, or clinical data bases, without written permission of The City University. (BTM,2011,01-24,003,_C)

iv. No relationship or agreement between the faculty member and another party may grant rights to intellectual property owned by The City University and/or the Research Foundation without their written authorization. (BTM,2011,01-24,003,_C)

v. The outside party may not (i) restrict or hinder the ability of the faculty member to conduct current or foreseeable research assignments as an employee of The City University, (ii) limit his/her ability to publish work generated at or on behalf of The City University or (iii) infringe on his/her academic freedom as a faculty member. (BTM,2011,01-24,003,_C)

2.2 Within the City University – Teaching

1) Where the best interests of the college or the university make it desirable or necessary to draw upon full-time personnel in one unit or branch for service in another, requests for such service should originate with the principal academic or administrative officer of the requesting unit and have the approval of the principal academic or administrative officer of the other unit. It is the policy of the university and its colleges to achieve exchanges of services, wherever possible, by budgetary interchange or by the balancing of interchanged services, with no additional academic load or extra remuneration for the individuals concerned. Variations from this norm will be allowed only with the special permission of the Chancellor, or the appropriate President. (BTM,2011,01-24,003,_C)

2) Within the framework noted in section 1, full-time non-tenure-track and tenured faculty will be eligible for consideration for an overload assignment when such assignment is determined to be in the best interest of the college and to serve a specific academic need. Permission to take on an overload teaching assignment will only be granted up to a maximum of eight classroom contact hours total over the fall and spring semesters. (BTM,2011,01-24,003,_C)

3) In addition to the overload assignment permitted in paragraph 2, a full-time non-tenure-track or tenured faculty member will be eligible for consideration for additional overload assignments of no more than a total of six classroom contact hours during the academic year in courses offered during the Winter Session, in courses offered exclusively on Saturdays or Sundays, or in courses offered as part of on-line degree programs. (BTM,2011,01-24,003,_C)

4) Overload teaching by full-time, non-tenured, tenure-track faculty is not permitted, but if a faculty member is not currently using the contractually-mandated research reassigned time, exceptions can be made on an individual basis with the special permission of the Chancellor, or the appropriate President. (BTM,2011,01-24,003,_C)

2.3 Within the City University – Research, Consulting, Employment

The City University regards scholarly activity and research as part of the normal activity and responsibility of the faculty. In fact such activities are part of the basis on which faculty members are evaluated, reappointed, or promoted. The public looks to the University as a source of new information, reinterpretations, and advancing intellectual activities. Also, the University is looked upon as a community of scholars. This carries the implication of joint scholarly effort and mutual support and availability amongst faculty and students. The faculty is given full-time annual paid employment to cover all the activities of teaching, research, consulting, curriculum development, counseling, committee work, etc. (BTM,2011,01-24,003,_C)

When special funding in support of research is available, it is presumed to make possible, or easier, the scholarly activity that faculty and students wish to or are willing to pursue. Accordingly, it is the policy of the Board of Trustees that there may not be paid any extra compensation to full-time members of the faculty for work done during the academic work year. This limitation applies to research, consulting, or any other employment with The City University or any of its associated organizations, regardless of the source of funds. For the particular case of extra teaching, the policy is expressed in Section 2b above. (BTM,2011,01-24,003,_C)

Under the special circumstances of an urgently needed short-term administrative and/or service assignment, a President or Vice Chancellor in the Central Office may authorize specific extra compensation for a faculty member whose services are required as an overload. This authorization must define both time and money limitations, and must state that it was not possible to relieve the faculty member of other duties to an equivalent extent. Such non-teaching overload assignments will be limited to 150 hours per semester at the nonteaching hourly rate, or a total of 300 hours for the entire academic year. Further adjustments may be authorized by the Chancellor or the Chancellor's designee. (BTM,2011,01-24,003,_C)

2.4 Within the City University – Summer Activities

Compensation for CUNY summer activities from the University and related entities, such as the Research Foundation and the college foundations, shall not exceed a total for all such activities of three-ninths of the faculty members' full-time CUNY salary. This includes, but is not limited to, teaching in a summer session in The City University of New York, performing administrative duties (such as service as a department chairperson), and conducting research paid for using funds originating from the CUNY Research Foundation. (BTM,2011,01-24,003,_C)

Notwithstanding the limitation in the preceding paragraph, a college foundation may pay faculty for research or additional work during the summer, in an amount that will cause the faculty member's total compensation from the University and related entities to exceed three-ninths of his/her annual salary, under the following conditions: (i) such payment is consistent with the rules and regulations applicable to the college foundation; (ii) the circumstances surrounding such payment have been rigorously documented and justified; and (iii) such payment has been approved by the Chancellor or the appropriate President. (BTM,2011,01-24,003,_C)

The faculty member shall report to the college at which he/she has a full-time appointment all such summer activities in advance of participating in them to ensure that they do not exceed contractual rules or University practices. (BTM,2011,01-24,003,_C)

3 Restrictions on Multiple Positions for Faculty on Leaves from The City University of New York

When faculty members are granted leaves of absences, they are expected to devote their time and energy to the purposes for which the leave is granted. As a general rule, employment within or outside of the University during leaves of absence is prohibited, unless such involvement is integral to the purpose for which the leave is granted. Employment either within or outside of the University during a leave of absence requires the approval of the President, pursuant to guidelines to be promulgated by the Chancellor. Notwithstanding the forgoing, faculty on Travia Leave may be employed outside of the University with prior notice to the President, but only if they have given an irrevocable commitment to retire. (BTM,2011,01-24,003,_C)

For the purposes of this policy, Fellowship Leaves and Scholar Incentive Awards will cover periods within the boundaries of the academic year, and do not include the period of the annual summer leave. (BTM,2011,01-24,003,_C)

4 Multiple Extra Involvement

From the beginning of the fall semester until the day after spring commencement, the total extra involvement shall not exceed 300 hours of extra consultation or non-teaching adjunct work (see section 2.c), or 14 classroom contact hours of extra teaching (that is, the combined extra teaching permitted under Paragraphs 2.b.2 and 2.b.3), or a proportional combination of these two types of activities. (BTM,2011,01-24,003,_C)

5 Mechanisms of Pay

Where more than one type of involvement beyond the primary commitment is entered into—e.g., extra teaching plus consultation—the total extra involvement shall be controlled by the intent of this policy. (BTM,2011,01-24,003,_C)

6 Annual Report

At the regular June meeting, the Chancellor shall report to the Board the steps taken by the Presidents to implement these regulations and the extent of compliance with the limitations set. The reports shall contain details from the Presidents about all excesses over any of the guidelines herein stated, including the names of all persons involved and the specific reasons for the excesses. The University will continue to monitor overload assignments. Overload assignments shall be reported to the Board of Trustees as part of the annual report. (BTM,2011,01-24,003,_C)

Policy 5.15 Performance Bonus Program for Full-Time Excluded Instructional Staff

Performance bonus programs are used to motivate employees, and it is generally accepted that they have a positive impact on employee performance. They can help attract and retain key staff, and allocate scarce resources to focus on performance rather than entitlement. Basic considerations for a performance bonus program are that (BTM,2007,01-29,004,_F):

a) Rules for eligibility and for payout of a bonus must be very clear, create a motivational environment, and limit risk

b) Employees must have an understanding of the level of performance most likely to result in receiving a bonus

Excluded employees are in titles or functions not represented by a Union. The PSC Contract lists excluded instructional positions. The designation of employees as excluded requires approval by the Office of Instructional Staff Labor Relations. (BTM,2007,01-29,004,_F)

Eligible employees should be informed of the program. (BTM,2007,01-29,004,_F)

2 Responsibilities

a) College Human Resource Directors (BTM,2007,01-29,004,_F):

(i) Ensure managers understand roles and responsibilities, and provide information on the process

(ii) Ensure excluded employees are notified of the existence of the program and eligibility/performance criteria

(iii) Work with college president or designee to determine funds available for bonus payments, and to finalize and approve bonus decisions

(iv) Work with Affirmative Action Office to assure absence of bias or adverse impact

(v) Work with finance, business, and/or payroll units to provide for accurate and prompt payment of bonuses

(vi) Enter bonus recommendations in the Chancellor's University Report for Board of Trustees approval

(vii) Maintain required records for at least six years in accordance with the University's Records Retention Policy

b) College Presidents (BTM,2007,01-29,004,_F):

(i) Make a determination as to whether college will participate in any given year and determine funds available

(ii) Review recommendations to assure bonus payments fairly reflect performance

(iii) Approve final bonus recommendations for submission to the Board

(iv) Assure bonus decisions are communicated

c) Managers of Excluded Staff (BTM,2007,01-29,004,_F):

(i) Establish performance expectations

(ii) Prepare complete and accurate performance assessments

(iii) Forward performance assessments and recommendations to the college's office of human resources

3 Process

3.1 Establishing Schedule

Annual bonus assessments should be completed at the same time for all eligible employees at a College. While not required, it may be easiest to coordinate bonus reviews with other reviews such as the annual performance review process or reviews for merit increases. Each College should plan the bonus review process to assure that bonus recommendations are included in the June Chancellor's University Report. (BTM,2007,01-29,004,_F)

3.2 Establishing Funding

Each College will determine whether to participate in a given year. Each participating College will be responsible for identifying funding sources for bonus payments. (BTM,2007,01-29,004,_F)

3.3 Determining Eligibility

Eligible employees (BTM,2007,01-29,004,_F):

a) Serve in an excluded instructional title (i.e., HEO, Faculty, or CLT series) as of the end of the appointment year—30 June

b) Are full-time employees in a regular appointment—not substitute

c) Have served in an excluded position for a minimum of one full appointment year

Employees who have been on leave during the evaluation—1 July to June 30—year may be considered for a bonus provided they have worked at least six months during the evaluation year. Employees lose eligibility upon leaving employment or transferring to a position that is not excluded or is covered by a separate bonus program—such as Classified Managerial service. Eligibility is not related to FLSA status. Employees can only receive a bonus payment once a year. (BTM,2007,01-29,004,_F)

3.4 Conducting Evaluations and Determining Bonuses

A bonus recommendation is intended to reward high performance and recognize exceptional service. Managers must document achievements that have made important, measurable contributions, and provide specific examples of exceptional overall performance. A lump sum up to and including seven percent of the employee's annual salary may be awarded. The bonus recommendation form illustrates the information that should be collected for a bonus recommendation. (BTM,2007,01-29,004,_F)

3.5 Implementation

Directors of Human Resources will work with their College President and/or designee, Vice President for Administration and Finance, and Affirmative Action Officer to finalize bonus recommendations. Directors of Human Resources will complete a program summary and submit it to the Affirmative Action Officer (AAO) for sign off. Once signed off on by the AAO, the form is submitted to the President for final approval. Colleges will process bonus payments through payroll with a payment in July. Bonus amounts are not added to base pay, but are pensionable. They are subject to all required payroll deductions. Bonuses are discretionary and not subject to appeal. (BTM,2007,01-29,004,_F)

Policy 5.15a Pre-Tenure Year Review Policy

In order to ensure that each tenure-track faculty member has adequate guidance on the progress he/she is making towards meeting the standards for tenure, the school, divisional or other appropriate dean or academic administrator designated by the President (hereinafter the "Dean") shall review each such faculty member at the end of his or her third year of service. (BTM,2011,02-28,005,_N)

The Dean shall review the personal personnel file of each untenured tenure-track faculty member in the spring of his/her third year of service, following the annual evaluation conducted pursuant to the PSC/CUNY collective bargaining agreement. Thereafter, the Dean shall meet with the chairperson of the faculty member's department to discuss the faculty member's progress. After that meeting, the Dean shall prepare a memorandum to the department chairperson regarding the faculty member's progress toward tenure and setting forth recommendations for any additional guidance to be provided to the faculty member. (BTM,2011,02-28,005,_N)

The Dean's memorandum shall be provided to the faculty member and discussed with him/her by the department chairperson and/or the Dean. Following the meeting, the Dean may, where appropriate, attach an addendum to the memorandum based on the Dean's participation in the meeting or the department chairperson's report of the meeting to the Dean. In accordance with the procedures set forth in the collective bargaining agreement between the University and the Professional Staff Congress, the faculty member shall be asked to initial the Dean's memorandum and addendum, if any, before it is placed in his/her file, and the faculty member shall have the right to include in his/her personnel file any comments he or she has concerning the Dean's memorandum. (BTM,2011,02-28,005,_N)

The appropriate body at each college may adopt implementation procedures that are consistent with this policy. Such procedures may provide, for example, whether the discussion of the Dean's memorandum with the faculty member will be conducted by the department chairperson, the Dean or both and whether the faculty member may have a choice in the matter. In addition, notwithstanding the provision as to the timing of the review set forth above, a college governance body may chose to provide for this review more than once prior to the year of tenure decision, in which case the review shall occur at appropriate intervals and not necessarily at the end of the third year. (BTM,2011,02-28,005,_N)

Policy 5.16 President Emeritus

In recognition of their distinguished service to the University, the Board of Trustees of the University wishes to extend its appreciation to college presidents who leave office and retire from the University by conferring the title of President Emeritus. (BTM,1993,05-24,005,_A)

The title of President Emeritus will be automatically conferred upon college presidents who have honorably retired from the University after ten or more years of presidential service. Upon recommendation by the Chancellor to the Board of Trustees, the title of President Emeritus may be conferred upon college presidents who have honorably retired with fewer than ten years of presidential service. (BTM,1993,05-24,005,_A)

The rank of President Emeritus is unsalaried and entitles the former executive to use of University libraries and research facilities and such other services as are appropriate. (BTM,1993,05-24,005,_A)

Policy 5.17 Professor Emeritus

The title of Professor Emeritus shall be automatically conferred upon all full professors who have honorably retired after a period of service in the institution of more than ten years. (BTM,1942,11-16,102,__)

The title may be conferred upon other persons of professorial rank after honorable retirement if the department, the President, and the Board of Trustees agree. (BTM,1942,11-16,102,__)

Policy 5.18 Recognition of Faculty Research

Those faculty members engaged in research and scholarship should have this activity recognized as part of their total responsibilities to the college. (BTM,1979,12-17,004,_E)

To promote the intellectual development of junior faculty members the PSC-CUNY Research Award Program should give special consideration to their grant requests. (BTM,1979,12-17,004,_E)

Policy 5.19 Retrenchment

These retrenchment guidelines and procedures (hereinafter "Guidelines" or "Guidelines and Procedures") apply only to discontinuances of instructional staff personnel whose appointments are in effect, and they are intended to protect the rights of affected personnel. The Guidelines do not apply to the normal processes for the non-reappointment of instructional staff persons.

A financial exigency, for the purpose of these Guidelines, is an imminent fiscal crisis which will cause great and irreparable harm to the academic programs of The City University of New York or one of its constituent Colleges if it is not alleviated. The discontinuance of instructional staff personnel shall be implemented as a last resort only after the pursuit of other less drastic means to alleviate the impact of a financial exigency.

Discontinuance of personnel shall be undertaken only after other measures to avoid discontinuances have been explored and implemented to the extent practicable, consistent with the Board of Trustees' and the Chancellor's responsibilities to govern the University, to carry out the academic program of the University and to provide a safe and appropriate environment for the faculty, students and staff.

Discontinuances of personnel may be necessitated when the fiscal resources of the University or its constituent units are insufficient to meet the operating costs required to maintain the educational mission of the University or its constituent units (i.e., the condition of financial exigency). Discontinuances of personnel may also be necessitated for institutional reasons as described in Section 6212.8 of the Education Law of the State of New York. In the former situation, the discontinuances may occur within a relatively brief period of time. In the latter situation, the discontinuances would generally occur over a longer span of time. In either circumstance, affected persons will be notified as early as possible, but in no foreseeable event would the notification time be less than:

Twelve months (12) for tenured faculty members and other tenured instructional staff personnel and Lecturers with Certificates of Continuous Employment;

For tenured and certificated instructional staff personnel who hold appointment in departments which are being abolished, at the College's option such notice can be provided through time on payroll after notice of retrenchment or, in lieu of all or part of such notice, the equivalent payment in salary of a non-pensionable lump sum adding up to twelve months' salary. This obligation of twelve months' notice (or the equivalent non-pensionable lump sum salary payment in lieu thereof) is inclusive of any retirement (Travia) leave to which the individual may be entitled. Therefore, if, prior to the effective date of discontinuance, such staff member is eligible for and announces his/her bonafide intention to retire and files the appropriate application to retire, he/she shall be granted a retirement leave consistent with Article 16.4 of the collective bargaining agreement and Section 3107 of the State Education Law. In no instance, however, shall such leave extend beyond the terminal date of the original notice period of twelve months or result in a greater obligation for the College, in terms of a combination of time on payroll after notice of retrenchment and lump sum payment, than the original notice period of twelve months.

Six (6) months for nontenured and noncertificated faculty members, persons in the College Laboratory Technician series, and Registrar series;

For nontenured and noncertificated faculty members, persons in the College Laboratory Technician series, and Registrar series who hold appointment in departments which are being abolished, at the College's option such notice can be provided through time on payroll after notice of retrenchment or, in lieu of all or part of such notice, the equivalent payment in salary of a non-pensionable lump sum adding up to six months' salary. This obligation of six months' notice (or the equivalent non-pensionable lump sum salary payment in lieu thereof) is inclusive of any retirement (Travia) leave to which the individual may be entitled. Therefore, if, prior to the effective date of discontinuance, such staff member is eligible for and announces his/her bonafide intention to retire and files the appropriate application to retire, he/she shall be granted a retirement leave consistent with Article 16.4 of the collective bargaining agreement and Section 3107 of the State Education Law. In no instance, however, shall such leave extend beyond the terminal date of the original notice period of six months or result in a greater obligation for the College, in terms of a combination of time on payroll after notice of retrenchment and lump sum payment, than the original notice period of six months.

Six (6) months for instructional staff members in the Higher Education Officer series who have received a Certificate of Continual Administrative Service pursuant to Section 13.3.b. of the PSC/CUNY collective bargaining agreement. All other instructional staff in the Higher Education Officer series will have a notice period of 60 days. Instructional staff members in the Higher Education Officer series may be required to use any accrued annual leave and any Travia Leave entitlement as all or part of the notice period.

For instructional staff members in the Higher Education Officer series who have received a Certificate of Continual Administrative Service pursuant to Section 13.3.b. of the PSC/CUNY collective bargaining agreement and who hold appointment in retrenchment units which are being abolished, at the College's option such notice can be provided through time on payroll after notice of retrenchment or, in lieu of all or part of such notice, the equivalent payment in salary of a non-pensionable lump sum adding up to six months' salary. This obligation of six months' notice (or the equivalent non-pensionable lump sum salary payment in lieu thereof) is inclusive of any retirement (Travia) leave to which the individual may be entitled. Therefore, if, prior to the effective date of discontinuance, such staff member is eligible for and announces his/her bonafide intention to retire and files the appropriate application to retire, he/she shall be granted a retirement leave consistent with Article 16.4 of the collective bargaining agreement and Section 3107 of the State Education Law. In no instance, however, shall such leave extend beyond the terminal date of the original notice period of six months or result in a greater obligation for the College, in terms of a combination of time on payroll after notice of retrenchment and lump sum payment, than the original notice period of six months.

Sixty (60) days for persons serving in all other full-time instructional staff titles, except titles in the Executive Compensation Plan;

Thirty (30) days for persons serving in adjunct instructional staff titles;

Fifteen (15) days prior to the effective date of appointment for persons who have received letters of appointment for full-time or annual salaried positions on the instructional staff but whose appointment date is in the future.

Instructional staff serving in titles in the Executive Compensation Plan shall be discontinued in accordance with the Terms and Conditions of Employment for Staff in the Executive Compensation Plan.

Adjunct instructional staff with appointments who have not yet started to work may be notified on or before the effective date of the appointment.

Decisions regarding Graduate Assistants and adjuncts who are CUNY doctoral candidates shall take into consideration their status as students in a CUNY doctoral program, as well as instructional needs.

Discontinuance of personnel on grounds of financial exigency may be required at one or several units rather than at all of them. These Guidelines are intended to be followed in either case.

1 THE CHANCELLOR'S CONSULTATION, RECOMMENDATION, AND THE BOARD DETERMINATION TO DISCONTINUE INSTRUCTIONAL STAFF IN THE UNIVERSITY OR ANY CONSTITUENT UNIT

1.1 CONSULTATION BY THE CHANCELLOR

When the President of a College, in consultation with her or his appropriate faculty committee(s) foresees budgetary and/or financial difficulty the magnitude of which suggests the possibility that these Guidelines may need to be invoked, then she/he shall so inform the Chancellor. The Chancellor, having determined in consultation with College President(s) that financial exigency is likely to necessitate retrenchment of members of the instructional staff, shall consult with the Council of Presidents, officials of the University Faculty Senate, of the Professional Staff Congress, and of the University Student Senate.

1.2 THE CHANCELLOR'S REPORT AND RECOMMENDATION TO THE BOARD OF TRUSTEES

Following this process of consultation, the Chancellor shall report to the Board of Trustees on his/her findings and on the process of consultation. The report shall also include the Chancellor's recommendation as to whether the discontinuance of instructional staff personnel whose appointments are in effect in the University or any of its constituent colleges1 should be authorized by the Board of Trustees.

[Footnote:] 1 The term "constituent colleges" as used throughout these Guidelines is meant to include the eleven senior colleges, the seven community colleges (including the new community college), the William E. Macaulay Honors College, the Graduate School, the CUNY Graduate School of Journalism, the CUNY School of Law, the CUNY School of Professional Studies, the CUNY School of Public Health, and the Central Office.

1.3 THE CHANCELLOR INFORMS THE UNIVERSITY COMMUNITY

Following the Board's authorization of the discontinuance of personnel, the Chancellor shall inform the University community through notice to the Presidents, the Professional Staff Congress, the University Faculty Senate, and the University Student Senate. The Chancellor shall also transmit to the President of each of the affected Colleges the determination that the University's Guidelines shall be invoked at that institution.

2 GUIDELINES AND PROCEDURES FOR THE DEVELOPMENT AND IMPLEMENTATION OF RETRENCHMENT PLANS AT THE CONSTITUENT COLLEGES OF THE UNIVERSITY

2.1 THE PRESIDENT CONVENES AN AD HOC COLLEGE-WIDE COMMITTEE

Following Chancellor and Board action as outlined in Section 1. above, the President of each affected College shall convene an ad hoc College-wide Committee, the members of which shall be designated by the President and shall include representatives of appropriate constituent groups including the College-wide Personnel and Budget Committee,2 other teaching and non-teaching members of the instructional staff, including those currently serving as elected members of existing College bodies, members of the classified staff, students, the Affirmative Action Officer, and administrators of the College. It shall be the responsibility of this ad hoc Committee to make recommendations to the President for the development of a Retrenchment Plan ("Plan") for the College. Each member of the Committee is expected to participate fully in its deliberations; the President shall chair the Committee.

[Footnote:] 2 The term College-wide Personnel and Budget Committee as used throughout these Guidelines is meant to include the College-wide Committee which recommends personnel actions, other than appeals, directly to the President.

Final decision-making with respect to the Plan rests with the President.

2.2 THE PRESIDENT AND MEMBERS OF THE COLLEGE-WIDE COMMITTEE CONSULT WITH THE COLLEGE COMMUNITY

The President3 each affected College, with the members of the College-wide Committee, separately or collectively, shall consult with representative groups on campus. The President is responsible for determining what programs or activities are to be curtailed or terminated. In making those determinations, she/he shall take into consideration the views expressed by appropriate faculty, staff, and student representatives.

[Footnote:] 3 References to the President and to the College shall be deemed references to the Executive Vice Chancellor and Chief Operating Officer and the University Staff, respectively, in the case of the Central Office.

2.3 THE PRESIDENT DEVELOPS THE RETRENCHMENT PLAN

The President is then responsible for developing a written College Retrenchment Plan to be distributed to the College community through department chairpersons and other academic and non-academic officers of the College responsible for recommending personnel actions. The Plan may be amended from time to time as required.

The College Retrenchment Plan shall set forth the reasons why reduction or termination of academic or non-academic service is required. A timetable for the accomplishment of retrenchment shall be included in the Plan.

The Plan shall clearly identify the academic departments, administrative departments or offices or functional units, including centers, institutes, programs, and specially-funded units ("retrenchment units") within which discontinuances will be made, as well as the number of discontinuances in each retrenchment unit and the period(s) of notice to be given to affected individuals.

2.4 APPROVAL AND DISTRIBUTION OF THE COLLEGE RETRENCHMENT PLAN

The President's completed Plan shall be circulated to members of the College-wide Committee, with opportunity for comment, and to the College Affirmative Action Officer (see Section 3 below) before being submitted to the Chancellor.

The President shall transmit the Plan to the Chancellor along with a report on the process of participation and consultation with respect to the development of the Plan. The Plan shall become effective ten (10) working days after submission to the Chancellor, unless the effective date of the Plan is delayed by direction of the Chancellor.

3 AFFIRMATIVE ACTION

The Board of Trustees has evidenced its commitment to the principles of non-discrimination and affirmative action in policy statements adopted beginning in December, 1970, and most recently reaffirmed in June, 2010. These statements reflect an awareness of and adherence to the federal laws and regulations which both govern and define affirmative action programs at the Colleges of the University.

Although cognizant of the need for reductions in personnel during a time of financial exigency, the Board of Trustees nevertheless reaffirms its commitment to these laws and regulations to ensure nondiscrimination in the treatment of University-designated protected groups. Accordingly, the Board stresses the importance of following affirmative action principles in the implementation of these Guidelines, and requires that:

Each President shall consult with his/her Affirmative Action Officer regarding the President's completed Plan before it is submitted to the Chancellor. The President shall provide to his/her Affirmative Action Officer a list of persons proposed to be discontinued. The Affirmative Action Officer shall immediately, in turn, submit to the President a comprehensive, statistical assessment of the College's work force which reflects the proposed retrenchment actions. The purpose of this consultation is to assure that the President is informed of the potential effect of these proposed actions upon the College's work force. The President shall consider the impact of the proposed retrenchment actions upon the College's work force.

Within three (3) weeks of implementing retrenchment decisions, each President shall submit to the Chancellor an impact statement analyzing the College's new work force profile. Specifically, this impact statement shall reflect the work force inventory of the College, the impact of discontinuances upon women and minorities, by number and percent, within that work force, and the rate at which each University-designated protected group has been retrenched. This statement shall have appended to it a revised utilization analysis including goals and timetables by appropriate affirmative action units.

Upon receipt of the College impact statements, the Chancellor shall report to the Board concerning the University's affirmative action work force profile by College in the light of retrenchment. This University statement shall be supported by the data presented in the College impact statements. If the Chancellor determines that any retrenchment action is contrary to principles of law relating to affirmative action, he/she shall advise the President of his/her decision and the action the President must take to remedy the defect.

4 INSTRUCTIONAL STAFF PERSONNEL – GENERAL PRINCIPLES

4.1 THE DEPARTMENT (OR OTHER UNIT) FOR RETRENCHMENT PURPOSES

The basic unit for retrenchment purposes within the University is the academic department of the College. Where a College has a divisional or program organization, the divisional or program organization characterized by its own personnel and budget or other equivalent personnel committee, may be the appropriate unit. For other than academic departments, the appropriate unit may be an administrative department, office, or functional unit, such as a center, institute, program, or unit funded for the purpose of implementing a legislative initiative. Each College must identify its units of retrenchment for its instructional staff.

4.2 GENERAL PRINCIPLES FOR DISCONTINUANCE OF INDIVIDUAL PERSONNEL

Once the unit or function to be retrenched has been identified, and it has been determined that personnel must be separated from service, then the following general principles for discontinuance of individuals obtain. In making decisions as to which member or members of a retrenchment unit should be separated from service, individual tenure status assumes primacy according to the State Education Law. Within a given retrenchment unit, any staff member with tenure, regardless of other academic considerations, must be retained over a person who does not have tenure. However, a tenured employee in one retrenchment unit may be discontinued while a non-tenured employee in a different retrenchment unit may be retained.

Non-tenured employees who may be affected by retrenchment may have received prior notices of appointment or reappointment. Appointments or reappointments rescinded or shortened as a result of retrenchment do not indicate or suggest that these specific discontinuances were the result of lack of competence or unprofessional conduct.

4.3 CRITERIA TO BE APPLIED FOR THE DISCONTINUANCE OF INDIVIDUALS WHO ARE MEMBERS OF THE INSTRUCTIONAL STAFF

Retrenchment among instructional staff members holding the same or similar positions should take place in the following order within the retrenchment unit. Whenever the length of service of two or more persons is the same, the ordering among them rests with the judgment of the President.

4.3.1 ADJUNCT STAFF

4.3.1.1 Persons with initial appointments who have not yet started work.

4.3.1.2 Persons scheduled to teach class sections which have been withdrawn, for which full-time employees have been rescheduled, for which there is insufficient registration, or for which the determination has been made that the course is not necessary for the fulfillment of any degree program.

4.3.1.3 Persons who have full-time employment outside the University in the inverse order of length of service.

4.3.1.4 Persons who have full-time employment with the University in the inverse order of length of service.

4.3.1.5 Persons who are not CUNY doctoral candidates and who have no additional employment in the inverse order of length of service.

4.3.1.6 Persons who are CUNY doctoral candidates in good standing and are receiving other financial support in inverse order of length of service.

4.3.1.7 Persons who are CUNY doctoral candidates in good standing and are receiving no other financial support in inverse order of length of service.

The foregoing notwithstanding, adjunct or hourly employees teaching courses deemed by the department to be educationally essential so as to merit continuance may be retained over non-tenured full-time personnel or other adjunct or hourly employees with greater length of service. However, the abolition of the position of a tenured or certificated employee and the retention of adjunct personnel should be undertaken for only the most compelling educational reasons.

4.3.2 RESIDENT SERIES

Persons employed in titles in the Resident series shall be discontinued in inverse order of length of service in the Resident series, except for special educational reasons.4

[Footnote:] 4 The term "special educational reasons" as used throughout these Guidelines means a reason which is non-discriminatory against a person and is related to the educational, programmatic, functional, or administrative needs of the retrenchment unit or College.

4.3.3 NON-TENURED AND NON-CERTIFICATED INSTRUCTIONAL STAFF – ALL TITLES

4.3.3.1 Persons who have received letters of appointment for full-time annual salaried positions for initial hire but who have not started their period of employment shall have their appointments revoked prior to the discontinuance of full-time non-tenured or non-certificated instructional staff who have commenced their employment, except for special educational reasons.

4.3.3.2 Persons employed in titles on the instructional staff not holding tenure or Certificates of Continuous Employment shall be discontinued in inverse order of length of full-time continuous service5 on the instructional staff, except for special educational reasons.

[Footnote:] 5 Continuous service shall be deemed to include periods of continuous service prior to and following approved leaves of absence without pay, but the period of leaves of absence without pay shall not be counted.

4.3.4 LECTURERS WITH CERTIFICATES OF CONTINUOUS EMPLOYMENT

4.3.4.1 Full-time instructional staff members holding Certificates of Continuous Employment shall be discontinued before any employee holding statutory tenure in the retrenchment unit.

4.3.4.2 Members of the instructional staff who have received Certificates of Continuous Employment shall be discontinued after all other non-tenured persons in the retrenchment unit.

4.3.4.3 A position held by a person who has received a Certificate of Continuous Employment may be abolished or discontinued by the Board for reasons which are not discriminatory against a particular person or persons. In the event that a certificated position in a retrenchment unit is to be abolished or discontinued, the person who last received his/her Certificate of Continuous Employment shall be the person whose position is first to be abolished, except that for special educational reasons which are not discriminatory against a particular person or persons, the position of a person next most junior may be abolished or discontinued.

4.3.5 TENURED INSTRUCTIONAL STAFF

4.3.5.1 Tenured members of the instructional staff shall be discontinued after the discontinuance of all non-tenured persons, including persons holding Certificates of Continuous Employment, in the retrenchment unit. The provisions of subdivision 8 of Section 6212 of the Education Law are applicable to these titles.

4.3.5.2 Where a position in a department is to be abolished or discontinued, a person in any title on the permanent instructional staff who does not have tenure in that department shall be dismissed before a person in a title on the permanent instructional staff who does have tenure in that department.

4.3.5.3 A position held by a person upon the permanent instructional staff may be abolished or discontinued by the Board for reasons which are not discriminatory against a particular person or persons. In the event that a position in a department is to be abolished or discontinued, such position shall be that of the person last appointed to such department, save that, for special educational reasons which are not discriminatory against a particular person or persons, the Board may continue the services of a tenured person or persons whose position or positions would otherwise be abolished or discontinued, and abolish or discontinue the position or positions of the person or persons next most recently appointed to such department.

4.4 PERSONS IN EXCLUDED TITLES AND FUNCTIONS

The discontinuance of persons in excluded titles or functions shall be made on the basis of managerial or functional needs without regard to date of initial appointment or length of service. A person discontinued from an excluded title or function who holds tenure or who prior thereto held a position in a tenure-bearing title shall return to the department in which tenure was held, or service toward tenure earned. A tenured person appointed to an excluded title or function in a retrenchment unit other than the department in which he or she holds tenure shall retain his/her tenure rights during the period in which he or she is serving in such excluded title or function. A non-tenured person appointed to an excluded title or function in a department or unit other than the department in which his/her service toward tenure was earned shall retain such service credit during the period in which he or she is serving in such excluded title or function.

4.5 PERSONS IN EXECUTIVE COMPENSATION PLAN TITLES

Persons serving in titles in the Executive Compensation Plan shall be discontinued in accordance with the Terms and Conditions of Employment for Staff in the Executive Compensation Plan.

4.6 CONTINUING EDUCATION TEACHERS

Persons in the title Continuing Education Teacher shall be discontinued as and when the specific courses which they are teaching are abolished. In the event that there are simultaneous sections or classes in the particular subject, employees shall be discontinued in inverse order of seniority within the Continuing Education Program at the affected College in the title Continuing Education Teacher.

4.7 DISTINGUISHED AND UNIVERSITY PROFESSORS

Persons in titles with the designation Distinguished Professor or University Professor, or other named or specially-funded "chairs" shall be discontinued in the order in which their names appear on the tenured or non-tenured seniority list in accordance with their base titles without the Distinguished Professor or University Professor or named chair designations and shall receive notice of discontinuance in accordance with the provisions applicable to the base titles.

4.8 GRADUATE ASSISTANTS

Decisions regarding Graduate Assistants shall take into consideration their status as students in a CUNY doctoral program, as well as instructional needs.

4.9 INSTRUCTIONAL STAFF IN THE HUNTER COLLEGE CAMPUS SCHOOLS

Instructional staff employed in the Hunter College Campus Schools shall be discontinued in accordance with these Guidelines. The President of Hunter College shall identify the units of retrenchment within the High School and the Elementary School in accordance with Section 4.1 above.

5 IMPLEMENTATION OF THE COLLEGE RETRENCHMENT PLAN – NOTIFICATION OF INDIVIDUALS TO BE DISCONTINUED

1.1 The President, in accordance with the College Retrenchment Plan and the criteria for discontinuance of appointments set forth above, having determined the number of positions to be abolished in each retrenchment unit, shall notify the persons whose appointments are to be discontinued.

1.2 If an entire function, office, or department is to be abolished, or if the number of positions to be abolished is exactly equal to the number of non-tenured or non-certificated personnel in the unit, the President shall notify the affected persons of the discontinuance of their appointments in accordance with the provisions of the College Retrenchment Plan. The President shall also notify the affected persons of the effective date of discontinuance and indicate that the action resulting from the need for retrenchment was not the result of lack of competence or unprofessional conduct. Discontinuances within the circumstances described in this section require no further justification.

1.3 If Section 5.2 is not applicable, the President shall notify each person whose appointment is to be discontinued of such discontinuance and the justification therefor, which shall be either length of service or a special educational reason. If discontinuance is based on a special educational reason, the special educational reason shall be stated in the letter of notification.

1.4 Notification of discontinuance of appointment shall be by certified mail and simultaneously by regular first class mail.

1.5 Discontinued individuals shall have notice mailed not later than fifteen (15) working days after the approval of the College's Plan by the Chancellor unless the effective date is delayed by the Chancellor. In the latter case, notice shall be mailed not later than fifteen (15) days after the effective date of the Plan established by the Chancellor.

1.6 For tenured and certificated members of the instructional staff, discontinuance of appointment shall be effective not less than twelve (12) months including annual leave after the date of mailing of notification or such date as specified in the letter, whichever is later; or if the departments in which they hold appointment are being abolished, on the date specified in the letter of notification in accordance with the provisions set forth above.

1.7 For non-tenured and non-certificated faculty members, persons in the College Laboratory Technician series and the Registrar series serving in full-time titles, discontinuance of appointment shall be effective not less than six (6) months including annual leave after the date of mailing of notification or such date as specified in the letter, whichever is later; or if the departments in which they hold appointment are being abolished, on the date specified in the letter of notification in accordance with the provisions specified above.

1.8 For persons serving in the Higher Education Officer series, who have received a Certificate of Continual Administrative Service pursuant to Section 13.3.b. of the PSC/CUNY collective bargaining agreement, discontinuance of appointment shall be effective not less than six (6) months including annual leave after the date of mailing of notification or such date as specified in the letter, whichever is later; or if the retrenchment units in which they hold appointment are being abolished, on the date specified in the letter of notification in accordance with the provisions set forth above.

1.9 For all other persons serving in the Higher Education Officer series and persons serving in the Research Assistant, Research Associate, and Substitute (full-time) titles, discontinuance of appointment shall be effective not less than sixty (60) days including annual leave after the date of mailing of notification or such date as specified in the letter, whichever is later.

1.10 For members of the instructional staff serving in adjunct titles whose employment has commenced, discontinuance of appointment shall be effective not less than thirty (30) days after the date of mailing of notification or such date as specified in the letter, whichever is later.

1.11 For persons who have received letters of appointment for full-time or annual salaried positions on the instructional staff but whose appointment date is in the future, revocations of the offer of appointment shall be effective not less than fifteen (15) days after the date of mailing of notification.

1.12 In the event a person has received or is scheduled to receive a notice of reappointment or non-reappointment, the earlier of the dates of either non-reappointment or discontinuance pursuant to these Guidelines shall prevail.

6 REVIEW AND APPEALS PROCEDURE

6.1 A person who has been discontinued pursuant to these Guidelines may request a review of the decision within twenty (20) calendar days of the date of the letter of notification. Such request shall be filed with the Office of the President of the College.

6.2 After consultation with the ad hoc College-wide Committee, a special retrenchment review committee or committees shall be established by the President to consider appeals timely submitted. Each such committee shall be composed of no fewer than three tenured members of the instructional staff of the College.

No member of a department P & B Committee, the ad hoc Committee, or other person who has formally participated in the recommendation of the discontinuance of an individual to the President shall participate in the consideration of, or decision on, the appeal of such person.

In the Central Office, the Vice Chancellor for Human Resources Management shall designate a special retrenchment review committee. No Vice Chancellor shall participate in the consideration of or decision on appeal of a person within the area of his or her jurisdiction.

6.3 The affected individual may appeal to the retrenchment review committee and has the burden of establishing through the presentation of evidence that:

Where the determination was made on the basis of length of service, that the P & B Committee or party making the decision did not correctly compute the length of service in accordance with these Guidelines.

Where the determination was made on the basis of special educational reasons, that the reason given was unsupported by the stated educational, programmatic, functional, or administrative needs of the retrenchment unit.

That the applicable retrenchment unit was arbitrarily and capriciously identified.

6.4 An appellant may request to meet with the Committee, present relevant evidence and be represented by counsel or a representative of the certified collective bargaining agent if the appellant is covered by a collective bargaining agreement.

6.5 At the request, and at the expense, of the appellant, a stenographic record of the appeal hearing shall be made.

6.6 The Committee shall make a report and recommendation to the President for transmission to the Chancellor or his or her designee who shall make the final decision and notify the appellant by certified and regular mail, and shall also notify the President. The Chancellor's designee shall not be chosen from the College from which the appellant was discontinued.

7 TRANSFER EFFORTS AND PREFERRED ELIGIBLE LISTS

7.1 TRANSFER EFFORTS (TENURE)

7.1.1 When the position of a tenured member of the instructional staff is abolished or discontinued, the College shall attempt to find a vacant position in the College which can be efficiently and capably filled by such person. No priority shall obtain among persons whose positions have been abolished or discontinued for purposes of transfer efforts. A vacant position is a full-time position which the College has the financial ability to fill and intends to fill, and with respect to which there is no applicable preferred eligible list, or from which no person is on a leave of absence with or without pay.

7.1.2 If such position is found, the person who is offered and accepts such position shall have tenure therein, provided such position is on the permanent instructional staff. Tenure or seniority in the new department shall date from the effective date of appointment to the new position. Such person shall be advised of the title and salary of the new position.

7.1.3 The acceptance of a position pursuant to this Section shall not preclude the placement of such person's name on the preferred eligible list for his/her original retrenchment unit as provided in Section 7.3.

7.2 TRANSFER EFFORTS (CERTIFICATE OF CONTINUOUS EMPLOYMENT)

7.2.1 When the position of a Lecturer holding a Certificate of Continuous Employment is abolished or discontinued, the College shall attempt to find a vacant position in the College which can be efficiently and capably filled by such person, provided that transfer efforts shall be made for such Lecturers only after such efforts are made pursuant to Section 7.1 herein for any tenured member of the instructional staff whose position has been abolished or discontinued. A vacant position is a full-time position which the College has the financial ability to fill and intends to fill, and with respect to which there is no applicable preferred eligible list, or from which no one is on a leave of absence with or without pay.

7.2.2 If such position is found, the Certificate of Continuous Employment shall not be applicable thereto unless the position is that of Lecturer. Seniority in the new department shall date from the effective date of appointment to the new department. Such person shall be advised of the title and salary of the new position.

7.2.3 The acceptance of a position pursuant to this Section shall not preclude the placement of such person's name on the preferred eligible Lecturer list for his/her original retrenchment unit as provided in Section 7.4 hereof.

7.3 PREFERRED ELIGIBLE LISTS (TENURE)

7.3.1 Establishment of Preferred Eligible Lists

7.3.1.1 There shall be a separate preferred eligible list of discontinued tenured persons for each retrenchment unit, with the exception of the following:

A person who has filed for retirement with the retirement system of which he/she is a member.

A person who is collecting a retirement benefit from the retirement system of which he/she is a member.

A person who is collecting a retirement benefit from the optional retirement program based in whole or in part on CUNY service.

A person who is collecting a retirement benefit from any retirement system or program of New York State or any political subdivision thereof.

7.3.1.2 Each list shall be applicable to the retrenchment unit for which it was created. The retrenchment unit is the academic department of the College, or the division or program where the College is so organized, or, for other than academic departments, the administrative department, office, or functional unit from which such person was discontinued.

7.3.1.3 When the position of a tenured member of the instructional staff is abolished or discontinued, the name of such person shall be placed forthwith on the preferred eligible list for the retrenchment unit in which he/she last served. The names on each such list shall be ranked in order of the effective date of appointment to the department or other retrenchment unit. If two or more persons were appointed effective the same date, the person with the longest full-time continuous service on the instructional staff shall be listed first, then the person with the longest combination of full- and part-time continuous service on the instructional staff, and finally, in random order. For purposes of this paragraph, continuous service shall include continuous service prior to an approved leave of absence without pay.

7.3.1.4 The head of each retrenchment unit shall forward to the President the names of all persons to be placed on the preferred eligible list(s). The President shall designate a person to be responsible for, coordinate, and update all preferred eligible lists.

7.3.1.5 A person who elects not to have his or her name placed on a preferred eligible list shall so indicate in writing to the President's designee in charge of lists. Such election shall constitute a permanent waiver of all preferred eligible rights.

7.3.2 Use of Preferred Eligible Lists

7.3.2.1 When a position on the instructional staff other than a Lecturer position becomes vacant in the retrenchment unit or there is a newly-created position on the instructional staff other than a Lecturer position in the retrenchment unit, appointment shall be offered to the person whose name is listed first on the preferred eligible list for that retrenchment unit, except that for special educational reasons, which are not discriminatory against a particular person or persons, the person or persons next on the list may be offered appointment in lieu thereof. For the purposes of use of preferred eligible lists, a vacant position is a full-time position which the College has the financial ability to fill, intends to fill, and from which no person is on a leave of absence with or without pay.

7.3.2.2 If the position offered is in the same title as that held at the time of discontinuance, the person shall be deemed restored to his/her original position, and shall be appointed at a salary not less than that which he or she was receiving at the time of discontinuance.

7.3.2.3 If the position offered is not in the same title as held at the time of discontinuance, such person shall have tenure in the new position, provided it is on the permanent instructional staff, and the original date of tenure in the department shall be the tenure date. Such person shall be advised of the title and salary of the new position. Such person shall retain his/her place on the preferred eligible list.

7.3.2.4 If there is a vacant or newly-created position in the Lecturer title, and no person is on a preferred eligible Lecturer list for such title in the retrenchment unit, such position shall be offered to persons on the preferred eligible list of tenured persons in accordance with Section 7.3.2.3 hereof.

7.3.2.5 Offers shall be made by certified mail to the address on file with the President's designee for lists. Acceptances shall be by certified mail to the President within four weeks of the mailing of the offer. The four-week period may be reduced by the President if circumstances mandate.

7.3.2.6 Failure to accept an offer of appointment from a preferred eligible list to the title held when discontinued in the retrenchment unit from which discontinued, within the period specified herein, shall cause the name of such person to be removed therefrom forthwith, subject to Section 7.3.2.7 hereof.

7.3.2.7 If a person to whom an offer of an appointment from a preferred eligible list is made notifies the President within the time provided in Section 7.2.3.5 hereof that he or she cannot accept such offer for reasons which in the judgment of the President would otherwise justify a leave of absence with or without pay, or if such person demonstrates to the satisfaction of the President a present commitment to another employer, such appointment may be made effective for the term or semester commencing after the term or semester for which the offer is initially made, but in no event shall a person's name remain on the list for a period longer than three years. A substitute may be employed as interim appointee for the position.

7.3.2.8 All appointments of persons on preferred eligible lists shall be subject to the approval of the Board of Trustees and continued financial ability.

7.3.2.9 The restoration of a person from a preferred eligible list to the title held when discontinued, in the retrenchment unit from which discontinued, shall automatically remove his/her name from such list.

7.3.3 Terms and Conditions of Lists

7.3.3.1 Unless earlier removed as provided herein, a person's name shall remain on an eligible list for a period of three years and shall be removed at the end of such period.

7.3.3.2 Upon application to the pension system to which he/she belongs by a discontinued employee that he/she wishes to retire or he/she is collecting a retirement benefit from any retirement program, based in whole or in part on CUNY service, or, he/she is collecting a retirement benefit from any New York State retirement system or its political subdivisions, the name of such discontinued employee shall be removed from the eligible list, effective the date of approval of the application by his/her retirement system, but in no event later than the date of issuance of the first benefit payment.

7.3.3.4 The placement of a person's name on a preferred eligible list shall not preclude such person from accepting an appointment, if offered pursuant to the normal appointment procedures, to a vacant position within the University. Such person shall have tenure in the new position provided it is on the permanent instructional staff. Tenure in the new department shall date from the effective date of appointment to the new position. Such person shall be advised of the title and salary of the new position. Such person shall retain his/her place on the preferred eligible list for the original retrenchment unit.

7.3.3.5 A person who is employed by the Board while his/her name is on a preferred eligible list, and who accepts an appointment from such eligible list to his/her original department shall retain no rights in or to the interim position.

7.3.3.6 A person whose name is placed on a preferred eligible list shall be deemed to be on leave without pay for the purpose of maintaining his/her status in any retirement system of which he/she is a member for the period his/her name is on the list, but service credit for retirement purposes shall not be accorded for such period. This paragraph shall not apply to persons who are employed by the Board and are receiving credit for retirement purposes as such employees while their names are on such lists.

7.3.3.7 Except for the purposes of Section 7.3.3.6 hereof a person whose name is on a preferred eligible list shall not be deemed thereby to be an employee of the Board of Trustees, and shall not be entitled to increment credit during the time he/she is on such list.

7.3.3.8 Any knowing misstatement or omission of material fact supplied by a candidate for or person listed on a preferred eligible list shall cause the immediate removal of a person's name from the preferred eligible list.

7.3.3.9 A person shall be notified of the removal of his/her name from a preferred eligible list, but failure of notification shall not cause retention of such person's name thereon.

7.3.3.10 A person whose name is to be placed on a preferred eligible list shall complete and deliver such forms as shall be issued by the Office of Human Resources Management. It is the responsibility of the person listed to keep the College informed of his/her current address and to update other required information as necessary, and failure to do so shall be the sole responsibility of the person involved. The University reserves the right to rely upon the latest information supplied by persons on preferred eligible lists.

7.4 PREFERRED ELIGIBLE LISTS (CERTIFICATE OF CONTINUOUS EMPLOYMENT)

7.4.1 Establishment of Preferred Eligible Lists.

7.4.1.1 There shall be a separate preferred eligible list of discontinued certificated Lecturers in each retrenchment unit, with the exception of the following:

• A person who has filed for retirement with the retirement system of which he/she is a member.

• A person who is collecting a retirement benefit from the retirement system of which he/she is a member.

• A person who is collecting a retirement benefit from the optional retirement program based on whole or in part on CUNY service.

• A person who is collecting a retirement benefit from any retirement system or program of New York State or any political subdivision thereof.

7.4.1.2 Each list shall be applicable only to the retrenchment unit for which it was created. Such list shall be called the preferred eligible Lecturer list. The retrenchment unit is the academic department of the College, or the division or program, where the College is so organized, or, for other than academic departments, the administrative department office, or functional unit, from which such person was discontinued.

7.4.1.3 When the position of a member of the instructional staff with a Certificate of Continuous Employment is abolished or discontinued, the name of such person shall be placed forthwith on the preferred eligible Lecturer list for the retrenchment unit in which he or she last served. The names on each such list shall be ranked in order of effective date of appointment to the department or other retrenchment unit. If two or more persons have been discontinued on the same date, the person with the longest full-time continuous service on the instructional staff shall be listed first, the person with the longest combination of full-time and part-time continuous service on the instructional staff, and finally, in random order. For the purposes of this paragraph, continuous service shall include continuous service prior to an approved leave of absence without pay.

7.4.1.4 The head of each retrenchment unit shall forward to the President the names of all persons to be placed on preferred eligible Lecturer list(s). The President shall designate a person to be responsible for, coordinate, and update all preferred eligible lists.

7.4.1.5 A person who elects not to have his or her name placed on the preferred eligible lecturer list shall so indicate in writing to the President's designee for lists. Such election shall constitute a permanent waiver of all preferred eligible rights.

7.4.2 Use of Preferred Eligible Lecturer Lists

7.4.2.1 When a Lecturer position becomes vacant, or a new Lecturer position is created in the department or other retrenchment unit, appointment shall be offered to the person whose name is listed first on the preferred eligible Lecturer list for that department or other retrenchment unit except that for special educational reasons, which are not discriminatory against a particular person or persons, the person or persons next on the list may be offered appointment in lieu thereof. A person restored from a preferred eligible Lecturer list shall be appointed at a salary not less than that which he/she was receiving when his/her position was abolished or discontinued. For the purposes of use of preferred eligible Lecturer lists, a vacant position is a full-time Lecturer position which the College has the financial ability to fill, intends to fill, and from which no person is on a leave of absence with or without pay.

7.4.2.2 Offers shall be made by certified mail. Acceptances shall be by certified mail to the President within four weeks of the mailing of the offer. The four week period may be reduced by the President if circumstances mandate.

7.4.2.3 Failure to accept an offer of appointment from a preferred eligible Lecturer list within the period specified herein shall cause the name of such person to be removed therefrom forthwith subject to Section 7.4.2.4 hereof.

7.4.2.4 If a person to whom an offer of an appointment from a preferred eligible Lecturer list is made notifies the President within the time provided in Section 7.4.2.2 hereof that he or she cannot accept such offer for reasons which in the judgment of the President would otherwise justify a leave of absence with or without pay, or if such person demonstrates to the satisfaction of the President a present commitment to another employer, such appointment may be made effective for the term or semester commencing after the term or semester for which the offer is initially made, but in no event shall a person's name remain on the list for a period longer than three years. A substitute may be employed as interim appointee for the position.

7.4.2.5 All appointments from preferred eligible Lecturer lists shall be subject to approval of the Board of Trustees and continued financial ability.

7.4.2.6 The restoration of a person from a preferred eligible Lecturer list to the retrenchment unit from which discontinued shall automatically remove his or her name from such list.

7.4.3 Term and Conditions of Lists

7.4.3.1 Unless earlier removed as provided herein, a person's name shall remain on an eligible list for a period of three years and shall be removed at the end of such period.

7.4.3.2 Upon application to the pension system to which he/she belongs by a discontinued employee that he/she wishes to retire or he/she is collecting a retirement benefit from any retirement program, based in whole or in part on CUNY service, or, he/she is collecting a retirement benefit from any New York State retirement system or its political subdivisions, the name of such discontinued employee shall be removed from the preferred eligible list, effective the date of approval of the application by the appropriate retirement system.

7.4.3.3 The placement of a person's name on a preferred eligible Lecturer list shall not preclude such person from accepting an appointment, if offered pursuant to the normal appointment procedures, to a vacant position within the University. Such person shall be advised of the title and salary of the new position. Such person shall retain his/her place on the preferred eligible Lecturer list for the original retrenchment unit.

7.4.3.4 A person who is employed by the Board while his/her name is on a preferred eligible lecturer list, and who accepts an appointment from such eligible list to his/her original department shall retain no rights in or to the interim position.

7.4.3.5 Insofar as permitted by law a person whose name is placed on a preferred eligible Lecturer list shall be deemed to be on leave without pay for the purpose of maintaining his/her status in any retirement system of which he/she is a member for the period his/her name is on the list, but service credit for retirement purposes shall not be accorded for such period. This paragraph shall not apply to persons who are employed by the Board while their names are on such lists.

7.4.3.6 Except for the purposes of Section 7.4.3.5 hereof, a person whose name is on a preferred eligible Lecturer list shall not be deemed thereby to be an employee of the Board of Trustees, and shall not be entitled to increment credit during the time he/she is on such list.

7.4.3.7 Any knowing misstatement or omission of material fact supplied by a candidate for or a person listed on a preferred eligible Lecturer list shall cause the immediate removal of a person's name from such list.

7.4.3.8 A person shall be notified of the removal of his/her name from a preferred eligible Lecturer list, but failure of notification shall not cause retention of such person's name thereon.

7.4.3.9 A person whose name is to be placed on a preferred eligible Lecturer list shall complete and deliver such forms as shall be issued by the Office of Human Resources Management. It is the responsibility of the person listed to keep the College informed of his/her current address and to update other required information as necessary, and failure to do so shall be the sole responsibility of the person involved. The University reserves the right to rely upon the latest information supplied by persons on preferred eligible Lecturer lists.

8 COLLECTIVE BARGAINING GRIEVANCE AND ARBITRATION PROVISIONS

Nothing in these Guidelines shall impair any rights which may exist concerning grievance and arbitration provisions of collective bargaining agreements.

9 GENERAL NOTES AND COMMENTS

9.1 A person whose position is discontinued shall receive the value of his/her remaining accumulated annual leave in a lump sum after the effective date of discontinuance. Between the date of notice and the effective date of discontinuance, the employee may be required to use accumulated annual leave.

If a person whose position is discontinued meets the requirements for retirement leave as set forth in Article 13 of the Bylaws and notice of intent to retire is provided to the College not less than thirty (30) days prior to the effective date of discontinuance, such leave shall be provided, except as limited herein.

9.2 Persons being discontinued may be entitled to a range of benefits. The Colleges and the Central Office will provide such information and be prepared to assist discontinued personnel in understanding their rights.

9.4 Persons whose services are discontinued pursuant to these Guidelines and Procedures cease to be employees of the University as of the date of discontinuance, unless such employees have rights to revert to other Instructional Staff or Classified Service positions. Notice of non-reappointment in the discontinued position for future periods should not be sent to such persons. Notwithstanding the foregoing, a person discontinued pursuant to these Guidelines and Procedures may be appointed for a future period pursuant to the normal appointment procedures or pursuant to the Rules and Procedures for Preferred Eligible Lists.

(BTM,1992,04-27,005,_B). Amended: (BTM,1998,09-28,006,_I); (BTM,2011,11-28,005,_B)

Policy 5.20 Student Complaints About Faculty Conduct in Academic Settings

1 Introduction.

The University and its Colleges have a variety of procedures for dealing with student-related issues, including grade appeals, academic integrity violations, student discipline, disclosure of student records, student elections, sexual harassment complaints, disability accommodations, and discrimination. One area not generally covered by other procedures concerns student complaints about faculty conduct in the classroom or other formal academic settings. The University respects the academic freedom of the faculty and will not interfere with it as it relates to the content or style of teaching activities. Indeed, academic freedom is and should be of paramount importance. At the same time the University recognizes its responsibility to provide students with a procedure for addressing complaints about faculty treatment of students that are not protected by academic freedom and are not covered by other procedures. Examples might include incompetent or inefficient service, neglect of duty, physical or mental incapacity and conduct unbecoming a member of the staff. (BTM,2010,04-26,004,_A)

2 Determination of Appropriate Procedure.

If students have any question about the applicable procedure to follow for a particular complaint, they should consult with the chief student affairs officer. In particular, the chief student affairs officer should advise a student if some other procedure is applicable to the type of complaint the student has. (BTM,2010,04-26,004,_A)

3 Informal Resolution.

Students are encouraged to attempt to resolve complaints informally with the faculty member or to seek the assistance of the department chairperson or campus ombudsman to facilitate informal resolution. (BTM,2010,04-26,004,_A)

4 Formal Complaint.

If the student does not pursue informal resolution, or if informal resolution is unsuccessful, the student may file a written complaint with the department chairperson or, if the chairperson is the subject of the complaint, with the academic dean or a senior faculty member designated by the college president. (This person will be referred to below as the Fact Finder.). Only students in a faculty member's class or present in another academic setting where the alleged conduct occurred may file complaints against that faculty member. (BTM,2010,04-26,004,_A)

A. The complaint shall be filed within 30 calendar days of the alleged conduct unless there is good cause shown for delay, including but not limited to delay caused by an attempt at informal resolution. The complaint shall be as specific as possible in describing the conduct complained of. (BTM,2010,04-26,004,_A)

B. The Fact Finder shall promptly send a copy to the faculty member about whom the complaint is made, along with a letter stating that the filing of the complaint does not imply that any wrongdoing has occurred and that a faculty member must not retaliate in any way against a student for having made a complaint. If either the student or the faculty member has reason to believe that the department chairperson may be biased or otherwise unable to deal with the complaint in a fair and objective manner, he or she may submit to the academic dean or the senior faculty member designated by the college president a written request stating the reasons for that belief; if the request appears to have merit, that person may, in his or her sole discretion, replace the department chairperson as the Fact Finder. The chairperson may also submit a written request for recusal for good cause to the academic dean or senior faculty member designated by the college president to review such requests. If a recusal request is granted, a different department chairperson shall conduct the investigation, or, if no other chairperson is available, an administrator designated by the college president shall serve in the chairperson's stead. Further, the college president may re-assign investigations as necessary, including but not limited to situations in which a Fact Finder has not completed an investigation in a timely manner. In addition, during any time that no department chairperson is available to investigate a complaint, the college president may assign an administrator to investigate. (BTM,2010,04-26,004,_A)

C. The Fact Finder shall meet with the complaining student and faculty member, either separately or together, to discuss the complaint and to try to resolve it. The Fact Finder may seek the assistance of the campus ombudsman or other appropriate person to facilitate informal resolution. (BTM,2010,04-26,004,_A)

D. If resolution is not possible, and the Fact Finder concludes that the facts alleged by the student, taken as true and viewed in the light most favorable to the student, establish that the conduct complained of is clearly protected by academic freedom, he or she shall issue a written report dismissing the complaint and setting forth the reasons for dismissal and send a copy to the complaining student, the faculty member, the chief academic officer and the chief student affairs officer. Otherwise, the Fact Finder shall conduct an investigation. The Fact Finder shall separately interview the complaining student, the faculty member and other persons with relevant knowledge and information and shall also consult with the chief student affairs officer and, if appropriate, the college ombudsman. The Fact Finder shall not reveal the identity of the complaining student and the faculty member to others except to the extent necessary to conduct the investigation. If the Fact Finder believes it would be helpful, he or she may meet again with the student and faculty member after completing the investigation in an effort to resolve the matter. The complaining student and the faculty member shall have the right to have a representative (including a union representative, student government representative or attorney) present during the initial meeting, the interview and any post-investigation meeting. (BTM,2010,04-26,004,_A)

E. In cases where there is strong preliminary evidence that a student's complaint is meritorious and that the student may suffer immediate and irreparable harm, the Fact Finder may provide appropriate interim relief to the complaining student pending the completion of the investigation. The affected faculty member may appeal such interim relief to the chief academic officer. (BTM,2010,04-26,004,_A)

F. At the end of the investigation, the Fact Finder shall issue a written report setting forth his or her findings and recommendations, with particular focus on whether the conduct in question is protected by academic freedom, and send a copy to the complaining student, the faculty member, the chief academic officer and the chief student affairs officer. In ordinary cases, it is expected that the investigation and written report should be completed within 30 calendar days of the date the complaint was filed. (BTM,2010,04-26,004,_A)

5 Appeals Procedure.

If either the student or the faculty member is not satisfied with the report of the Fact Finder, the student or faculty member may file a written appeal to the chief academic officer within 10 calendar days of receiving the report, which time period may be extended for good cause shown. The chief academic officer shall convene and serve as the chairperson of an Appeals Committee, which shall also include the chief student affairs officer, two faculty members elected annually by the faculty council or senate and one student elected annually by the student senate. The Appeals Committee shall review the findings and recommendations of the report, with particular focus on whether the conduct in question is protected by academic freedom. The Appeals Committee shall not conduct a new factual investigation or overturn any factual findings contained in the report unless they are clearly erroneous. If the Appeals Committee decides to reverse the Fact Finder in a case where there has not been an investigation because the Fact Finder erroneously found that the alleged conduct was protected by academic freedom, it may remand to the Fact Finder for further proceedings. The committee shall issue a written decision within 20 calendar days of receiving the appeal. A copy of the decision shall be sent to the student, the faculty member, the department chairperson and the president. (BTM,2010,04-26,004,_A)

6 Subsequent Action.

Following the completion of these procedures, the appropriate college official shall decide the appropriate action, if any, to take. For example, the department chairperson may decide to place a report in the faculty member's personnel file or the president may bring disciplinary charges against the faculty member. Disciplinary charges may also be brought in extremely serious cases even though the college has not completed the entire investigative process described above; in that case, the bringing of disciplinary charges shall automatically suspend that process. Any action taken by a college, whether interim or final, must comply with the bylaws of the University and the collective bargaining agreement between the University and the Professional Staff Congress. (BTM,2010,04-26,004,_A)

7 Campus Implementation.

Each campus shall implement these procedures and shall distribute them widely to administrators, faculty members and students and post them on the college website. (BTM,2010,04-26,004,_A)

Policy 5.21 Student Participation in Decision-Making Processes

No recommendations for reappointment, tenure or promotion should be granted without evidence given to the Board of Trustees of systematic student evaluation, except in such cases where the Chancellor presents a cogent reason. (BTM,1972,02-28,008,_C)

Policy 5.22 Testimony

Members of the college staffs shall notify their respective presidents if and when such staff members receive a subpoena or are requested to testify before any official body in relation to college matters or matters in which the college may have an interest. Members of the staff shall be informed of this policy. (BTM,1959,05-18,090,__)

Policy 5.23 University Professor

The instructional staff title of University Professor is hereby established. (BTM,1978,11-20,007,__)

Appointment to such title shall not confer, nor shall be credited as service toward, the achievement of tenure in such position or any other position on the instructional staff. Appointment to the position of University Professor or removal therefrom, shall not deprive the person so appointed or removed of tenure in the highest position held with tenure prior to his or her appointment to University Professor or conjointly with such office. (BTM,1978,11-20,007,__)

1 Duties and Qualifications.

a) Duties: A person appointed as University Professor shall engage in teaching at the graduate and undergraduate level, research and scholarly activities, and special assignment as requested by the Chancellor. (BTM,1978,11-20,007,__)

b) Qualifications: To be eligible for consideration for appointment as University Professor, a person must have served as a president of a unit of The City University of New York or as its Chancellor for a period of at least eight years immediately preceding such appointment and be within ten years of mandatory retirement. (BTM,1978,11-20,007,__)

Notwithstanding the provisions of the Bylaws, the term of appointment shall be five years. Upon recommendation of the Chancellor, such person shall be eligible for one reappointment. (BTM,1978,11-20,007,__)

Policy 5.24 Vacation Pay for Deceased Staff

In the event that any member of the instructional staff of the Board of Trustees of The City University of New York should die while in service and before using all accumulated annual leave time, the compensation to such deceased member shall continue until the end of a period equal to his or her accumulated unused annual leave, and such compensation shall be payable to the legal representatives of the deceased member. (BTM,1977,08-01,017,__)

Policy 5.25 Veteran Reinstatement

It is the sense of the Board of Trustees that a liberal policy is to be followed in reinstating former non-tenured members of the several staffs, upon their honorable discharge from the armed forces, to their respective positions in accordance with the spirit of federal and state legislative enactments. (BTM,1944,10-23,002,__)

Members of the staff who have tenure—or whose appointments have not been discontinued—who return from military service, shall be reinstated as of the day they report back to the college for duty, if they return within ninety days after the termination of their military duty. (BTM,1945,06-18,005,__)

Policy 5.26 Vice Chancellor Searches

The following protocol is adopted for searches for the positions of Executive Vice Chancellor and the several Vice Chancellorships. In the case of a particular vacancy, the Board of Trustees may, at its discretion, decide that the protocol may be waived or amended, but the protocol shall be waived only if the decision is made in advance of or at the time the position is filled on an acting basis. (BTC,FSA,1990,05-01,___X,__,00)

This protocol shall also be generally adhered to in the filling of senior positions serving as deputies to Vice Chancellors. The Vice Chancellor involved may request of the Chancellor, in advance of recommending an acting appointment, that the protocol be waived or amended in a particular case. If the Chancellor concurs, he or she shall consult the Chair of the Board of Trustees. (BTC,FSA,1990,05-01,___X,__,00)

The search process shall adhere to the University's Affirmative Action policies, reaffirmed by the Board of Trustees at its meeting of 28 May 1985. (BTC,FSA,1990,05-01,___X,__,00)

1 Roles and Responsibilities

When, in the Chancellor's judgment, the time is appropriate to fill the position of Executive Vice Chancellor or to fill one of the Vice Chancellorships, the Chancellor shall appoint a search committee, which shall include representatives of various constituencies of the University. The Chancellor shall designate one Trustee as a non-voting observer. (BTC,FSA,1990,05-01,___X,__,00)

This protocol shall apply to searches to fill, on a permanent basis, the positions of Executive Vice Chancellor and the several Vice Chancellorships of the University. In the case of the Executive Vice Chancellor, the Chair of the Board of Trustees and the Chancellor shall jointly implement the protocol, and the Chair shall appoint one Trustee to serve as a member of the Committee. In the case of the General Counsel and Vice Chancellor for Legal Affairs, the Chair, in consultation with the Chancellor, shall implement the protocol and the Chair shall appoint a Trustee to serve as chair of the committee and at least one Trustee to serve as a member of the committee. (BTC,FSA,1990,05-01,___X,__,00)

1.1 Composition of the Committee

Except as provided in this policy, the Chancellor shall determine the size of the search committee. The committee shall include at least one representative of the Council of Presidents, one representative of the University Student Senate, and one representative of the University Faculty Senate. The representatives of the University Faculty Senate and the University Student Senate shall be chosen by those bodies. (BTC,FSA,1990,05-01,___X,__,00)

In the case of a search committee involving the Office of Academic Affairs, the University Faculty Senate shall choose a second representative. In the case of a search committee involving the Office of Student Development, the University Student Senate shall choose a second representative. (BTC,FSA,1990,05-01,___X,__,00)

If the Chancellor believes it appropriate in the case of a particular search, he or she may appoint additional representatives from one or more of the constituent groups. (BTC,FSA,1990,05-01,___X,__,00)

2 Process

Except as provided in this policy, at the conclusion of the search process, the search committee shall recommend to the Chancellor a minimum of three candidates for the position. The Chancellor may accept one of the candidates recommended by the search committee or reject all of the candidates. In the event that the Chancellor rejects all of the candidates, the search shall be reopened, with either the same committee or a new committee designated by the Chancellor. In the event that a new committee is to be established, it shall be constituted in accordance with this policy. Notice of the reopened search shall, once again, be made known. (BTC,FSA,1990,05-01,___X,__,00)