1 Definitions and Examples of Academic Dishonesty

2 Methods for Promoting Academic Integrity

2.1 Packets containing a copy of the CUNY Policy on Academic Integrity and, if applicable, the college's procedures implementing the Policy, and information explaining the Policy and procedures shall be distributed to all current faculty and, on an annual basis to all new faculty (full and part-time) These packets also shall be posted on each college's website. Orientation sessions for all new faculty (full and part-time) and students shall incorporate a discussion of academic integrity. (BTM,2011,06-27,005,_L)

2.2 All college catalogs, student handbooks, faculty handbooks, and college websites shall include the CUNY Policy on Academic Integrity and, if applicable, college procedures implementing the policy and the consequences of not adhering to the Policy. (BTM,2011,06-27,005,_L)

2.3 Each college shall subscribe to an electronic plagiarism detection service and shall notify students of the fact that such a service is available for use by the faculty. Colleges shall encourage faculty members to use such services and to inform students of their use of such services. (BTM,2011,06-27,005,_L)

3 Reporting

3.1. Each college's president shall appoint an Academic Integrity Officer in consultation with the elected faculty governance leader. The Academic Integrity Officer shall serve as the initial contact person with faculty members when they report incidents of suspected academic dishonesty. The Academic Integrity Officer may be the college's Student Conduct Officer, another student affairs official, an academic affairs official, or a tenured faculty member. Additional duties of the Academic Integrity Officer are described in Sections 4.1, 4.2.1, 4.2.2, 4.3 and 4.4. (BTM,2011,06-27,005,_L)

3.2. A faculty member who suspects that a student has committed a violation of the CUNY Academic Integrity Policy shall review with the student the facts and circumstances of the suspected violation whenever feasible. Thereafter, a faculty member who concludes that there has been an incident of academic dishonesty sufficient to affect the student's final course grade shall report such incident on a Faculty Report Form in substantially the same format as the sample annexed to this Policy and shall submit the Form to the college's Academic Integrity Officer. . Each college shall use a uniform form throughout the college, which shall contain, at a minimum, the name of the instructor, the name of the student, the course name and number and section number, the date of the incident, a description of the incident and the instructor's contact information. (BTM,2011,06-27,005,_L)

3.3 The Academic Integrity Officer shall update the Faculty Report Form after a suspected incident has been resolved to reflect that resolution. Unless the resolution exonerates the student, as described in Section 4.4, the Academic Integrity Officer of each college shall place the Form in a confidential academic integrity file created for each student alleged to have violated the Academic Integrity Policy and shall retain each Form for the purposes of identifying repeat offenders, gathering data, and assessing and reviewing policies. Unless the student is exonerated, written decisions on academic integrity matters after adjudication also shall be placed in the student's academic integrity file. The Academic Integrity Officer shall be responsible for maintaining students' academic integrity files. (BTM,2011,06-27,005,_L)

4 Procedures for Imposition of Sanctions

1 Certification Review by Campus Bodies

All academic programs failing to meet guidelines for certification review that identify adequate levels of activity and resources shall be subject to a program certification review process through which such programs shall be reviewed by campus bodies responsible for curricula. Programs subject to certification review that are endorsed for continuation at the campus level shall be considered for approval by the Committee on Academic Policy, Program, and Research. Programs that fail to receive the approval of appropriate college authorities and the Board of Trustees Committee shall be discontinued and decertified. After consultation with appropriate groups and governance bodies, and with the approval of the Committee on Academic Policy, Program, and Research and the Board of Trustees, the Chancellor shall issue guidelines for certification review that provide the basis for the certification review process. (BTM,1993,06-28,005,_A)

2 Credit Requirements Review

The Chancellor shall undertake a review, including comparisons with other universities, of the number of credits required for completion of the City University of New York's bachelors and associate degree programs beyond the number necessary for registration or accreditation and report the conclusions to the Board of Trustees by the end of the next academic year. (BTM,1993,06-28,005,_A)

3 Programmatic Review

The following University-wide policy on formal, periodic academic program review is approved (BTM,1994,05-31,006,_E):

1 Purpose

To assure that laboratory animals used in research activities receive appropriate care and humane treatment through (BTM,1980,06-23,005,_C):

a) The establishment of programs, standards and procedures that meet United States Department of Agriculture (USDA) and Department of Health, Education, and Welfare (DHEW) requirements with regard to laboratory animal management, laboratory animal health, veterinary care and physical plant

b) The establishment of a committee with the responsibility to evaluate and report on the maintenance of acceptable programs and standards for the care, use and treatment of laboratory animals

2 Applicability

The provisions of this policy apply to all units of The City University of New York that use or intend to use laboratory animals in any type of research activity. Principal investigators and project directors are primarily responsible for observing the provisions of this policy. (BTM,1980,06-23,005,_C)

3 Background

Both the USDA and the National Institutes of Health (NIH) have authority to establish standards and criteria for the care and use of laboratory animals used in research. The pertinent regulations are set forth in the following documents (BTM,1980,06-23,005,_C):

a) 7 USCA 2131-2155 (The Animal Welfare Act of 1970). This statute requires annual registration of all research facilities using laboratory animals. The Research Foundation of the City University of New York (Research Foundation) is registered with the USDA under this provision, Regulation No. 21-142. (BTM,1980,06-23,005,_C)

b) "Guide for the Care and Use of Animals" (DHEW Publication No. (NIH) 78-23, revised 1978.) This publication establishes guidelines to assist institutions in using and caring for laboratory animals in ways judged to be professionally appropriate. (BTM,1980,06-23,005,_C)

c) National Institutes of Health Policy, "Responsibility for Care and Use of Animals," NIH Guide for Grants and Contracts, Vol. 7, No. 17, 19 November 1978. This policy defines the institutions' responsibility for humane care and use of animals under NIH grants and contracts. (BTM,1980,06-23,005,_C)

4 Statement of the Board of Trustees

The University and the Research Foundation are jointly committed to the principle that laboratory animals used in any experiment, research, or training project will receive appropriate care and humane treatment. (BTM,1980,06-23,005,_C)

Research objectives, personnel involved in the research, methods of care, and physical facilities, must conform to the standards and criteria prescribed in the regulations and guidelines identified in this policy, and any future revisions thereof. (BTM,1980,06-23,005,_C)

The University Committee on Laboratory Animal Care will develop programs of adequate veterinary care, evaluate adherence to prescribed standards and criteria, and review University facilities and procedures for the care and use of animals. (BTM,1980,06-23,005,_C)

5 Roles and Responsibilities

The criteria, standards, and other requirements prescribed in those documents listed in this policy, must be adhered to in all research activities covered by the provisions of this Policy. The most comprehensive guidelines are set forth in the DHEW "Guide" and all project directors, principal investigators, animal care personnel, and members of the University Committee should be thoroughly familiar with the standards established in this "Guide." (BTM,1980,06-23,005,_C)

The major areas of responsibility and required action are outlined below. (BTM,1980,06-23,005,_C)

2 Definitions

3 Approval Processes

4 Financing

5 Accountability

6 Evaluation

1 Purposes and Objectives

The overall mission of the College Discovery Program is to provide college support services to academically and economically disadvantaged students in order to enhance their opportunity for a higher education, and to increase the level of education, social mobility, and vocational capability in our City and State. (BTM,1994,06-27,007,_D)

In fulfilling this general mission, College Discovery has the following purposes and objectives (BTM,1994,06-27,007,_D):

a) Provide at each community college, through special funding, a permanent and structured program of comprehensive support services to selected students with specifically defined educational and economic needs to aid them in achieving a quality college education and expanded career options

b) Provide, through special program funding, a range of support services:

(i) Comprehensive counseling

(ii) Orientation courses

(iii) Integrated tutoring

c) Provide, through the resources of the college, basic skills in conjunction with tutorial services

d) Provide, through the resources of the University, summer and intersession programs

e) Promote coordination and articulation between the College Discovery and Development Program in the high schools and the College Discovery Program at the community colleges

f) Promote the advancement of College Discovery graduates into baccalaureate and upper division programs in the senior colleges through the SEEK Program

g) Promote understanding among the faculty and administration of each community college with respect to the purposes set forth in this policy and acceptance of this policy as being central to the mission of the University

2 Definitions

3 College Plans

Each community college President shall annually submit to the Chancellor, through the Vice Chancellor for Academic Affairs, two college plans covering the College Discovery Program for the ensuing year, a college Academic Plan and a college Fiscal Accountability Plan. (BTM,1994,06-27,007,_D)

Among the major objectives of these required college plans are to (BTM,1994,06-27,007,_D):

a) Ensure that the common purposes of the Program are served and the objectives of each individual plan can be monitored and evaluated

b) Encourage innovative educational approaches that address the needs of the educationally disadvantaged

c) Permit, within the framework of relevant education law and this policy, justified diversity and flexibility in organization and structure arising from the differences among the community colleges

The plans shall contain a precise description of both administrative and academic management for the Program in budgetary, personnel, and management terms. The plans shall include provisions for the College Discovery Component of the University Skills Immersion Program. (BTM,1994,06-27,007,_D)

These college plans shall be in a form and contain such detailed elements as shall be outlined by the Chancellor. (BTM,1994,06-27,007,_D)

The preparation of these college plans shall be the direct responsibility of the president. The plans shall be submitted in accordance with a timetable provided by the Chancellor through the Vice Chancellor for Academic Affairs.

The two plans are to contain the following items. (BTM,1994,06-27,007,_D)

4 Academic Plan

As prescribed in content and form by the Chancellor, each community college President shall submit to the Chancellor, through the Vice Chancellor for Academic Affairs, an Academic Plan that contains the elements outlined in this policy. The Plan shall also include provision for the summer session offerings referred to in this policy. (BTM,1994,06-27,007,_D)

Since the prime objective of this policy is to promote the improvement of educational outcomes for College Discovery Program students, it is required that each Academic Plan approved by the Chancellor contain a description not only of the special courses to be offered but also a statement of their articulation with relevant regular college course offerings and a specification of all programmatic services defined in this policy, such as compensatory education and tutoring and the mode of their offering and availability. (BTM,1994,06-27,007,_D)

In summary, the Plan shall (BTM,1994,06-27,007,_D):

a) Detail the specific academic goals of the particular College Discovery Program at the college and the means to be used to achieve them

b) Describe the educational content of the Program

c) Contain provision for a sufficient number of quantifiable indicators of student achievement to facilitate evaluation

A description of remedial, developmental, and compensatory course offerings, provided to College Discovery students by the college shall be included in the Academic Plan. (BTM,1994,06-27,007,_D)

A description of the College Discovery Component of the University Skills Immersion Program and any special summer school offerings in basic skills, and in developmental and compensatory courses and programs shall also be included in the Academic Plan. (BTM,1994,06-27,007,_D)

The Plan shall describe tutoring and counseling services that are provided to College Discovery students from the time of their admission to graduation. (BTM,1994,06-27,007,_D)

The Plan shall describe procedures for the monitoring of compulsory attendance of College Discovery students in basic skills courses as established by Board of Trustees resolution and required by this policy. (BTM,1994,06-27,007,_D)

The Plan may include proposals for deviations from this policy. Any such proposed deviations shall be clearly identified, described in detail, and defined as experimental in nature, with the length of the experimental period specified. Each such proposal shall also contain provision for suitable evaluation mechanisms and an adequate description of the expected results of the experimental deviation or program innovation. (BTM,1994,06-27,007,_D)

The Plan, by use of the University's Skills Assessment Program and other appropriate measures, shall identify improvement in the academic capabilities and achievements of College Discovery Program students. Such academic progress indicators shall be used for the evaluation of programmatic success on each campus. (BTM,1994,06-27,007,_D)

The Plan shall contain provision for the monitoring of the academic components and the fiscal aspects of the Program that are conducted by the College Discovery Program Director, as appropriate, as well as those that are conducted by pertinent academic and administrative authorities. The following components shall be monitored (BTM,1994,06-27,007,_D):

a) College Discovery funded components that are under the direct administration of the Program Director (BTM,1994,06-27,007,_D):

(i) Administration

(ii) Counseling

(iii) Freshmen orientation courses

(iv) The College Discovery Component of the University Skills Immersion Program

b) Those College Discovery funded components that are administered through other college offices (BTM,1994,06-27,007,_D):

(i) Tutoring services

(ii) Financial assistance services

c) Those components funded through the community college budget and provided to all students by departments of the college (BTM,1994,06-27,007,_D):

(i) Remedial courses

(ii) Compensatory courses

The Plan shall be subject to review and approval, and to subsequent monitoring and evaluation, by the Chancellor, through the Office of the Vice Chancellor for Academic Affairs, in cooperation with the Vice Chancellor for Budget and Finance. (BTM,1994,06-27,007,_D)

5 Fiscal Accountability Plan

As prescribed in content and form by the Chancellor, each community college president shall submit to the Chancellor a Fiscal Accountability Plan containing the elements outlined in this policy. (BTM,1994,06-27,007,_D)

The Fiscal Accountability Plan shall describe the projected pattern of expenditures for the College Discovery Program, including the projected percentage of College Discovery Program and college funds to be allocated to each of the support services, and the projected means of tracking such expenditures. The projected pattern of expenditures of College Discovery and non-College Discovery funds shall include, but not be limited to (BTM,1994,06-27,007,_D):

a) Academic credit instructional costs

b) Other instructional costs

c) Remediation

d) Counseling

e) Supplemental financial assistance

f) Research and evaluation

g) Administrative costs (including financial aid personnel)

h) Tutoring

i) College Discovery Summer Program Component of the University Skills Immersion Program

j) Intersession Program costs

If it is proposed that the College Discovery Program and other college program activities be combined in particular courses or programs, the Plan shall specify the exact extent, for funding purposes, of the participation of College Discovery Program students or faculty in the combined activities. Any exchange of funds and/or services must be in consultation with, and approved by, the Vice Chancellor for Academic Affairs or his or her designee and the campus College Discovery Program Director. (BTM,1994,06-27,007,_D)

The Plan shall include information on projected exchanges of either funds or services. (BTM,1994,06-27,007,_D)

The Plan shall contain provision for monitoring the fiscal aspects of the Program by the College Discovery Program Director, as appropriate, as well as by pertinent fiscal and administrative authorities. (BTM,1994,06-27,007,_D)

The Plan shall be subject to review and approval, as well as to subsequent monitoring and evaluation, by the Chancellor through the Office of the Vice Chancellor for Academic Affairs in cooperation with the Vice Chancellor for Budget and Finance. (BTM,1994,06-27,007,_D)

6 Monitoring, Reporting, and Evaluation

It shall be the president's responsibility in each college to monitor the implementation, application, and enforcement of this policy, and of that college's approved Academic Plan and Fiscal Accountability Plan. He or she shall take whatever steps are necessary to fulfill this responsibility, including such delegations of responsibility as he or she deems necessary, and shall submit reports on the same to the Chancellor, the Board of Trustees Committee on Student Affairs and Special Programs, and the Board of Trustees Committee on Academic Policy, Program, and Research, as part of the periodic reports referred to below. (BTM,1994,06-27,007,_D)

The College Discovery Director shall be generally responsible for monitoring and reporting to the President, from the perspective of the College Discovery Program, on the implementation of this policy, and specifically on the academic progress of all College Discovery students and their receipt of all college and College Discovery Program funded services for which these students are eligible. The Academic Plan, along with the Fiscal Accountability Plan, shall specify the means whereby these monitoring responsibilities are to be discharged. (BTM,1994,06-27,007,_D)

The results of such monitoring shall be reported to the Chancellor who shall periodically forward such reports to the Board of Trustees Committee on Student Affairs and Special Programs and the Board of Trustees Committee on Academic Policy, Program, and Research. It shall be the responsibility of the Vice Chancellor for Academic Affairs, at the direction of the Chancellor, to see that the necessary reporting and monitoring are carried out on each campus. (BTM,1994,06-27,007,_D)

These reports shall focus on the implementation of the Academic Plan and the Fiscal Accountability Plan. They may also include data required for inclusion in the State mandated annual Final Report, such as (BTM,1994,06-27,007,_D):

a) Credit accumulation

b) Grade point averages

c) Rate of movement of College Discovery Program students into the second and possible third year of their programs

d) Rate of disbursement of College Discovery Program funds in the various functional categories

The president shall include in a covering statement his or her own assessment of the progress being made toward the realization of the purposes and objectives of the Program. (BTM,1994,06-27,007,_D)

7 Structure and Administration at the Campus Level

8 Structure and Administration at The University Level

9 Student Eligibility

The College Discovery Program is designed to serve the student who is both educationally and economically disadvantaged. A disadvantaged student is defined as an individual from a low income household with potential for a successful higher education experience but who has not acquired all of the basic academic skills required to successfully compete in a higher education environment. Generally, a student who is eligible for the Program has not earned a Regents diploma, is from a high school that has a poor record for academically preparing students, has been tracked or scheduled into a general high school program, has earned a New York State approved General Equivalency Diploma (GED), has been out of high school for a number of years, or ranks low on traditional measures of college admissions criteria, such as high school average and class standing. (BTM,1994,06-27,007,_D)

Eligibility requirements for admission into the College Discovery Program must comply with the requirements of State law and regulations issued by the State Department of Education. The New York State Board of Regents requires that students be both economically and academically disadvantaged. The Regents define economic disadvantage, and the Board of Trustees of The City University of New York define academic disadvantage. (BTM,1994,06-27,007,_D)

10 Period of Student Funding Eligibility

A student is allowed six semesters of opportunity program eligibility, two college summer sessions, the College Discovery Summer Program Component of the University Skills Immersion Program, and intersessions, for the completion of a two-year associate degree program. (BTM,1994,06-27,007,_D)

When a College Discovery student has utilized STAP during his or her career, that student would be entitled to one or two additional semesters of College Discovery financial aid support (depending on the number of semesters the student received STAP). (BTM,1994,06-27,007,_D)

When a College Discovery student has not been a STAP recipient but will be graduating upon completion of the seventh semester, that student would be eligible for College Discovery financial aid support in that seventh semester. (BTM,1994,06-27,007,_D)

Requests for funding eligibility exemptions for individuals not otherwise covered by this policy, may be submitted to the Vice Chancellor for Academic Affairs or his or her designee. (BTM,1994,06-27,007,_D)

11 Retention Standards

Students in the College Discovery Program shall be subject to the individual college's retention standards. (BTM,1994,06-27,007,_D)

The probationary period for College Discovery students shall be a maximum of two consecutive semesters. Students who fail to achieve the required standards after the probationary period shall be dropped from the Program. The regular academic appeals procedure of each college shall consider individual cases and, taking into account the recommendation of the College Discovery Director, grant exceptions as warranted. (BTM,1994,06-27,007,_D)

The maximum length of time for a leave of absence shall not exceed three consecutive semesters. Where special circumstances warrant, requests for retention standards exceptions along with appropriate justification, shall be transmitted by the College Discovery Director to the University's Office of Special Programs for appropriate action. (BTM,1994,06-27,007,_D)

12 Student Attendance

Attendance by College Discovery students in remedial, developmental and compensatory courses is to be considered compulsory for those students enrolled in such courses. University policy requires compulsory attendance of all students enrolled in remedial, developmental and compensatory courses. (BTM,1994,06-27,007,_D)

13 College Discovery Student Rights and Responsibilities

Students in the College Discovery Program are recognized as matriculated, full and equal members of the student body of the college at which they are enrolled and are entitled to all the rights and privileges, as well as subject to all the obligations, of students at the college; and, as College Discovery students, are entitled to special services and also subject to special obligations. (BTM,1994,06-27,007,_D)

Subject to the provisions of this policy, the additional entitlements and responsibilities of College Discovery students include, but are not limited to (BTM,1994,06-27,007,_D):

a) Access to College Discovery counseling and other support services throughout their career as College Discovery students

b) Access to College Discovery funded tutoring on an as-needed basis, in relation to all of the student's course work at the college

c) Access to financial support, including State special program funding, on an individual as-needed basis

d) Compulsory full-time attendance in all basic skills, developmental and compensatory courses in which enrolled

14 Financial Aid Administration

The principal objective of student financial assistance is to provide the necessary financial support, to the extent possible, to enable the economically disadvantaged student to attend college. The college Financial Aid Office shall be responsible for the processing, awarding and overseeing of all financial aid to College Discovery students. The supervision of all financial aid for College Discovery students shall be vested in the Financial Aid Office in consultation with the College Discovery Director or his or her designee. (BTM,1994,06-27,007,_D)

The Financial Aid Director shall be responsible for verifying students' economic eligibility for admission into the College Discovery Program. He or she shall also be responsible for the packaging and awarding of financial aid to College Discovery students in accordance with the guidelines and criteria established by the University and the funding authorities. (BTM,1994,06-27,007,_D)

Appointments of Financial Aid Officers to work either primarily or exclusively on the packaging and documentation of financial aid awards for College Discovery students shall be made by the Financial Aid Director in consultation with the College Discovery Director. Such Financial Aid Officers shall report to and work under the direction of the Director of Financial Aid, but shall maintain liaison with the College Discovery Director or his or her assistant. They shall work in such places as are assigned by the Financial Aid Director; however, in that their primary duty shall be to provide services to College Discovery students, they shall also have an ongoing exchange with the College Discovery Director or his or her assistant. (BTM,1994,06-27,007,_D)

15 Annual General Plan and Annual Final Report

As required by the Higher Education Opportunity Act and the regulations of the Board of Regents, the University shall develop and submit to the State authorities an annual General Plan and an annual Final Report covering the organization, development, coordination, and operation of the College Discovery Program. The General Plan and Final Report shall include such information and data as may be required. (BTM,1994,06-27,007,_D)

The University's Office of Special Programs in the Office of the Vice Chancellor for Academic Affairs shall be responsible for the coordination, compilation, and final preparation of the annual College Discovery General Plan and the annual Final Report for submission to the State authorities, subject to approval by the Chancellor and the Board of Trustees. (BTM,1994,06-27,007,_D)

It shall be each President's responsibility to ensure the timely submission of campus information and data required for the General Plan and Final Report. (BTM,1994,06-27,007,_D)

1 Human Research Protections Program

In order to fulfill its human subjects research mission, CUNY has established a human research protections program (HRPP). The purpose of the HRPP is to:

• Safeguard and promote the welfare of human research subjects by ensuring that their rights, safety and well-being are protected;

• Provide timely and high quality review and monitoring of human subjects research projects; and

• Facilitate excellence in human subjects research.

2 Institutional Official

CUNY has designated an Institutional Official who has overall responsibility for CUNY's HRPP. The duties of the Institutional Official are as follows:

• Be responsible for compliance with all applicable laws and CUNY policies for the protection of human subjects.

• Be the signatory authority, along with the President of The Research Foundation of The City University of New York, for CUNY's Federal-wide Assurance to the Office of Human Research Protections.

• Provide support to the HRPP within CUNY's means.

The Institutional Official has the authority to delegate the performance of such activities as may be necessary in order to fulfill these duties.

3 Institutional Review Boards

To conduct its HRPP responsibilities effectively, CUNY maintains at least one Institutional Review Board (IRB) to review research protocols involving human subjects. Each IRB is an autonomous administrative body established to protect the rights and welfare of human research subjects recruited to participate in research activities conducted by or under the auspices of CUNY. Each IRB has the following authority:

• To approve, require modifications to secure approval, defer, or disapprove all human subjects research activities overseen and conducted by or under the auspices of CUNY, regardless of location of the research activities;

• To suspend or terminate approval of human subjects research not being conducted in accordance with the IRB's requirements or applicable law or policy, or that has been associated with unexpected serious harm to participants;

• To observe, or have a third party observe, the consent process; and

• To observe, or have a third party observe, the conduct of the human subjects research.

All IRB-approved research studies are subject to ongoing review, which must be conducted at least once annually by an IRB. If approval by the IRB lapses, all research activity must stop. The investigator can petition the IRB to continue an individual participant's research intervention/interaction during a period of lapsed IRB approval if the investigator believes there is a safety concern or ethical issue such that it is in the best interests of the individual participant to do so.

The IRB has jurisdiction over, and maintains policies regarding, all human subject research conducted by or under the auspices of CUNY, regardless of funding source or performance site. Research by or under the auspices of CUNY includes research:

• conducted at any CUNY facility;

• conducted by or under the direction of any student, faculty member, staff member or agent of CUNY in connection with his or her institutional responsibilities;

• conducted by or under the direction of any student, faculty member, staff member or agent of CUNY using any CUNY property or facility; or

• involving the use of CUNY's non-public information.

No research involving human subjects may commence until all required CUNY approvals (including IRB) are obtained.

CUNY may review any research protocol and has the right to disapprove the implementation of a research protocol that has been approved by the IRB. However, no one at CUNY shall approve the implementation of any research protocol nor may it override the decision of the IRB concerning a research protocol that has not been approved by the IRB.

4 Operating Procedures

The Institutional Official and the IRB shall adopt operating procedures to implement this Policy. These procedures shall serve as the governing procedures for the conduct and review of all human subjects research conducted by or under the auspices of CUNY.

(BTM,2012,02-27,003,_H)

1 Initial Evaluation

2 Inquiry

3 Investigation

4 Notifying Federal Agencies and Other Sponsors of Special Circumstances

The University Dean for Research will immediately notify any federal agency or other sponsor providing support for research that is the subject of an allegation of Research Misconduct, as well as the President of the Research Foundation, if, at any time during any related Research Misconduct Proceeding, the University has reason to believe that any of the following conditions exist (BTM,2007,06-25,004,_K):

a) health or safety of the public is at risk, including an immediate need to protect human or animal subjects;

b) federal agency or other sponsor resources or interests are threatened;

c) research activities should be suspended;

d) there is reasonable indication of possible violations of civil or criminal law;

e) federal or other governmental action is required to protect the interests of those involved in the Research Misconduct Proceeding;

f) the University believes the Research Misconduct Proceeding may be made public prematurely, so that the federal agency or other sponsor may take appropriate steps to safeguard evidence and protect the rights of those involved; and

g) the research community or the public should be informed.

5 General Considerations

6 Faculty and Staff Obligations regarding Inquiries or Investigations Conducted by a Federal Agency or Other Sponsor

If a University faculty or staff member or post-doctoral associate becomes the subject of an inquiry or investigation of any kind conducted by a federal agency or other sponsor of research concerning allegations of Research Misconduct by him or her, such individual must report the existence of the inquiry or investigation immediately in writing to the Chief Academic Officer of his or her College. Upon receiving such notification, the Chief Academic Officer will notify the University Dean for Research and the President of the Research Foundation about the pending inquiry or investigation. Failure to disclose a pending inquiry or investigation pursuant to this Section 7 may subject the University faculty or staff member or post-doctoral associate to disciplinary action or other appropriate action. (BTM,2007,06-25,004,_K)

7 Definitions

1 Purposes and Objectives

The overall mission of the SEEK Program (Search for Education, Elevation and Knowledge), which is basic to the central mission of The City University of New York, is to assist in providing equality of higher educational opportunity to students who otherwise would not have such access, so as to increase the level of education, social health, and vocational capability in our City and State. (BTM,1994,06-27,007,_D)

In fulfilling this general mission, the SEEK Program has the following specific purposes and objectives (BTM,1994,06-27,007,_D):

a) To provide on each senior college campus a permanent and structured program of special assistance to selected students who require and can utilize such assistance to overcome educational, economic and social disadvantage to achieve a quality college education and expand their social and career capabilities. (BTM,1994,06-27,007,_D)

b) To provide, with special funding, a range of intensive support services, as provided for under the Higher Education Opportunity Act and as specified in this policy, to aid each SEEK student to bridge as successfully and expeditiously as possible the gap between special remedial, developmental and compensatory courses and programs and the regular college curriculum. (BTM,1994,06-27,007,_D)

c) To explore, develop, and demonstrate innovative educational techniques and processes for providing intensive remediation in basic skills and other supportive educational services aimed at enabling fundamentally capable students to overcome the severe handicaps of educational under-preparation and other relevant disadvantages with the goal of achieving regular college status and obtaining a baccalaureate education. Applicable experimentation and demonstration, and implementation of findings, shall be facilitated by the leadership of the SEEK Program and by the University's top educational leadership. (BTM,1994,06-27,007,_D)

d) To provide the appropriate supports of the SEEK Program to those College Discovery students who move forward into the senior colleges following the completion of associate degree programs. (BTM,1994,06-27,007,_D)

e) To encourage the faculty and administration of each senior college to accept the purposes set forth in this policy as being among the central missions of the college. (BTM,1994,06-27,007,_D)

2 Definitions

3 College Plans

Each senior college president shall annually submit to the Chancellor two college plans covering the SEEK Program for the ensuing year: a College Academic Plan and a College Fiscal Accountability Plan. (BTM,1994,06-27,007,_D)

Among the major objectives of these required college Plans are: to ensure that the common purposes of the Program are served and the achievements of each individual Plan are rendered susceptible to reasonable monitoring; to encourage innovative educational approaches to the problems of the educationally disadvantaged; and to permit, within the framework of relevant law and this policy, justified diversity and flexibility in organization and structure arising from the differences among the different colleges. (BTM,1994,06-27,007,_D)

The Plans shall contain a precise description of both administrative and academic management for the Program in budgetary, personnel, and management terms. The Plans shall include provisions for summer session offerings for pre-freshmen and continuing Program students. (BTM,1994,06-27,007,_D)

These college Plans shall be in a form, and contain such detailed elements, as shall be outlined by the Chancellor. (BTM,1994,06-27,007,_D)

The preparation of these college Plans shall be the direct responsibility of the President. The Plans shall be submitted in accordance with a timetable provided by the Chancellor through the Vice Chancellor for Academic Affairs. (BTM,1994,06-27,007,_D)

The two Plans are to cover the following subjects (BTM,1994,06-27,007,_D):

a) The college Academic Plan shall cover the provision of all components of the SEEK Program as defined in this policy, along with both regular and special instruction (including summer sessions), and shall reflect the provisions of the HEOP Act, State Budget requirements, and the requirements of this policy. (BTM,1994,06-27,007,_D)

b) The college Fiscal Accountability Plan shall describe the projected system at the college for receiving, disbursing, and reporting on the use of SEEK funds in accordance with legal requirements, State budget and audit requirements, and the requirements of this policy . (BTM,1994,06-27,007,_D)

The Chancellor, through the Office of the Vice Chancellor for Academic Affairs, may accept or require modifications in each of these college Plans, based on legal requirements, the requirements of external authorities, or the requirements of this policy. (BTM,1994,06-27,007,_D)

College Plans, upon approval by the Chancellor, shall be reported to the Board of Trustees Committee on Student Affairs and Special Programs and the Board of Trustees Committee on Academic Policy, Program, and Research through the General Plan. (BTM,1994,06-27,007,_D)

4 The Academic Plan

As prescribed in content and form by the Chancellor, each senior college president shall submit to the Chancellor, through the Vice Chancellor for Academic Affairs, an Academic Plan that contains the elements outlined in this policy. The Plan shall include provision for the summer session offerings referred to in this policy. (BTM,1994,06-27,007,_D)

Since the prime objective of this policy is to promote the improvement of educational outcomes for SEEK students, it is required that each Academic Plan approved by the Chancellor contain a description not only of the special courses to be offered, but also a statement of their articulation with relevant regular college course offerings and a specification of all programmatic services defined in this policy, such as compensatory education and tutoring and the mode of their offering and availability. (BTM,1994,06-27,007,_D)

In summary, the Plan shall (BTM,1994,06-27,007,_D):

a) Detail the specific academic goals of the particular SEEK Program at the college, and the means to be used to achieve these goals

b) Outline the overall curricular approach or approaches to be utilized

c) Describe the educational content of the Program

d) Contain provision for a sufficient number of quantifiable indicators of student achievement to facilitate reasonable evaluation

The Plan shall cover a five-year program plus two summer sessions for each student, as individually required, with the first year focused on intensive remediation in basic skills, subject to modification in individual cases based upon progress achieved in acquiring the necessary basic skills, as determined by testing or otherwise. (BTM,1994,06-27,007,_D)

A description of remedial, developmental, and compensatory course offerings provided for SEEK students shall be included in the Plan. (BTM,1994,06-27,007,_D)

A description of the SEEK Summer Program Component of the University Skills Immersion Program and any other special summer school offerings in basic skills and in developmental and compensatory courses and programs shall also be included in the Plan. (BTM,1994,06-27,007,_D)

The Plan shall provide for the availability of tutoring and counseling into the third, fourth and fifth years. (BTM,1994,06-27,007,_D)

The Plan shall include provisions for the monitoring of compulsory attendance by SEEK students in SEEK courses and classes, as required by this policy. (BTM,1994,06-27,007,_D)

The Plan may include proposals for experimentally structured deviations from this policy. Any such proposed deviations shall be clearly identified, described in detail, and defined as experimental in nature, with the length of the experimental period specified. Each such proposal shall also contain provision for suitable evaluation mechanisms and an adequate description of the expected results of the experimental deviation or program innovation in question. (BTM,1994,06-27,007,_D)

The Plan, by use of the University's Skills Assessment Program, shall identify improvement in the academic capabilities and achievements of SEEK students. Such academic progress indicators shall be used for the evaluation of programmatic success on each campus. (BTM,1994,06-27,007,_D)

The Plan shall contain provision for monitoring the academic aspects of the Program by the SEEK Director, as appropriate, as well as by pertinent academic and administrative authorities. (BTM,1994,06-27,007,_D)

The Plan shall be subject to review, approval, as well as subsequent monitoring, and evaluation by the Chancellor through the Office of the Vice Chancellor for Academic Affairs. (BTM,1994,06-27,007,_D)

5 Fiscal Accountability Plan

As specified in content and form by the Chancellor, each senior college President shall submit to the Chancellor a Fiscal Accountability Plan containing the elements outlined in this policy. (BTM,1994,06-27,007,_D)

The Fiscal Accountability Plan shall describe the projected pattern of expenditures for the college SEEK Program, including the projected percentage of SEEK Program and college funds to be allocated to each of the support services and the projected means of tracking such expenditures. The projected pattern of expenditures of SEEK and non-SEEK funds shall include, but not be limited to (BTM,1994,06-27,007,_D):

a) Academic credit instructional costs

b) Other instructional costs

c) Remediation

d) Counseling

e) Supplemental financial assistance

f) Research and evaluation

g) Administrative costs

h) Tutoring

i) SEEK Summer Program Component of the University Skills Immersion Program and the SEEK Component of the Intersession Program costs

If it is proposed that SEEK and other college program activities be combined in particular courses or programs, the Plan shall specify the exact extent, for funding purposes, of the participation of SEEK students, faculty or staff in the combined activities. The Plan shall include information on projected exchanges of SEEK funds and/or services provided by SEEK-funded staff. Any exchange of funds and/or services must be in consultation with, and with the approval of, the Vice Chancellor for Academic Affairs or his or her designee and the SEEK Program Director. (BTM,1994,06-27,007,_D)

The Plan shall be applicable to a five-year program plus two summer sessions. (BTM,1994,06-27,007,_D)

The Plan shall contain provision for monitoring the fiscal aspects of the Program by the SEEK Director, as appropriate, as well as by pertinent fiscal and administrative authorities. (BTM,1994,06-27,007,_D)

The Plan shall be subject to review and approval, as well as to subsequent monitoring and evaluation, by the Chancellor through the Office of the Vice Chancellor for Budget and Finance, and the Office of theVice Chancellor for Academic Affairs. (BTM,1994,06-27,007,_D)

6 Monitoring, Reporting and Evaluation

It shall be the President's responsibility in each college to monitor the implementation, application, and enforcement of this policy, and of that college's approved Academic Plan and Fiscal Accountability Plan. He or she shall take whatever steps are necessary to fulfill this responsibility, including such delegations of responsibility he or she deems necessary, and submit reports on same to the Chancellor, the Board of Trustees Committee on Student Affairs and Special Programs and the Board of Trustees Committee on Academic Affairs as part of the periodic reports referred to below. (BTM,1994,06-27,007,_D)

The SEEK Director shall be generally responsible for monitoring and reporting to the president, from the perspective of the SEEK Department, on the implementation of this policy, and specifically on the academic progress of all SEEK students and their receipt of all College and SEEK funded services for which the students are eligible. The Academic Plan, along with the Fiscal Accountability Plan, shall specify the means whereby these monitoring responsibilities are to be discharged. (BTM,1994,06-27,007,_D)

The results of such monitoring shall be reported to the Chancellor, who shall periodically forward such reports to the Board of Trustees Committee on Student Affairs and Special Programs and the Board of Trustees Committee on Academic Policy, Program, and Research. It shall be the responsibility of the Vice Chancellor for Academic Affairs, at the direction of the Chancellor, to see that the necessary reporting and monitoring are carried out on each campus. (BTM,1994,06-27,007,_D)

These reports shall focus on the implementation of the Academic Plan and the Fiscal Accountability Plan. They may also include data required for inclusion in the State mandated annual Final Report, including, but not limited to (BTM,1994,06-27,007,_D):

a) Credit accumulation

b) Grade point averages

c) Rate of movement of SEEK students into the second, third, fourth and possible fifth year of their programs

d) Rate of disbursement of SEEK funds in the various functional categories

The president shall include a personal statement about the progress of the local program relative to the goals of the University-wide Program. (BTM,1994,06-27,007,_D)

7 Structure and Administration at the Campus Level

8 Structure and Administration at The University Level

9 Student Eligibility

The SEEK Program is designed to serve the student who is both educationally and economically disadvantaged. A disadvantaged student is an individual from a low-income family with potential for a successful higher education experience but who has not acquired all of the basic academic skills required to successfully compete in a higher education environment. Generally, a student who is eligible for the Program has not earned a Regents diploma, is from a high school that has a poor record for academically preparing students, has been tracked or scheduled into a general high school program, has earned a New York State approved General Equivalency Diploma, has been out of high school for a number of years, or ranks low on traditional measures of college admissions criteria, such as high school average and class standing. (BTM,1994,06-27,007,_D)

Eligibility requirements for admission into the SEEK Program must comply with the requirements of State law and regulations issued by the State Department of Education. The Regents require that students be both economically and academically disadvantaged; the Regents define economic disadvantage and the Board of Trustees of the University defines academic disadvantage. (BTM,1994,06-27,007,_D)

10 Student Financial Aid

Upon admission, all SEEK students must meet the economic eligibility criteria as established by the Commissioner of Education. First semester SEEK students may be permitted to register prior to the verification of his or her economic eligibility, if the student has complied with all requests to submit economic verification documents. If, upon receipt and analysis of economic verification documents the student is deemed not to be economically eligible to participate in the program, the student shall be so notified and removed from the SEEK Program rolls. The student is not allowed to receive SEEK funds during this provisional period. The established economic criteria will apply to students at the time of admission into the SEEK Program. If the student's economic status improves in subsequent years, then an appropriate adjustment in the amount of SEEK financial assistance shall be made to reflect the change in the student's need. However, his or her entitlement to receive other support services offered by the Program shall not be affected. (BTM,1994,06-27,007,_D)

The Rules of the Regents require that, in order to receive SEEK funds and other support services, a SEEK student must file (BTM,1994,06-27,007,_D):

a) An application for a basic educational opportunity grant (Pel1 Grant) with the appropriate agency of the Federal Government for the academic year in which benefits are sought. (BTM,1994,06-27,007,_D)

b) An application for TAP or STAP with the Higher Education Services Corporation. (BTM,1994,06-27,007,_D)

Each college, through its Financial Aid Office, shall be responsible for ensuring that all SEEK students file for these forms of aid in accordance with the Rules of the Regents and the guidelines established by the University and approved by the State Division of the Budget. (BTM,1994,06-27,007,_D)

In order to be eligible for SEEK financial aid and other support services, all SEEK students must be full-time students. Full-time status shall be defined as a minimum course load of at least twelve credits and/or equated credits, or its equivalent. However, if due to personal or family responsibilities, a student has to register part-time for a particular term, that student must receive approval to do so from the Program Director. Part-time status is granted for only one semester and extended only through a waiver granted by the Vice Chancellor for Academic Affairs or his or her designee. A student will be allowed to receive financial aid on a part-time basis if he or she meets the economic eligibility criteria for it. A student is eligible for STAP if his or her minimum full-time course load—i.e., twelve credits and/or equated credits—includes fifty percent or six hours of non-credit remedial, developmental or compensatory coursework. For the purpose of TAP eligibility a full-time SEEK student is a student enrolled for at least twelve credits or a combination of credits and equated credits—three of which must be credits—in the first semester of State supported TAP study, and six credits in the second and subsequent semesters of State supported TAP study. (BTM,1994,06-27,007,_D)

Each student who registers as a full-time student is expected to maintain a minimum course load of twelve credits or equated credits, per semester including remedial, developmental and compensatory courses. However, a student may be granted permission during the semester to drop courses with no change to his or her stipend level, provided that (BTM,1994,06-27,007,_D):

a) Such a drop is recommended by his or her counselor

b) The recommendation is reviewed by the Financial Aid Office and approved by the SEEK director

c) Proper authorization is kept on file

d) The number of credits and/or equated credits does not drop below nine

Full-time students on academic probation will retain the full financial aid and academic support services of the Program. Students who are placed on "academic probation with a part-time course load" will retain the full academic supportive services of the Program. This student will be allowed to receive financial aid on a part-time basis if he or she meets the economic criteria for it. Furthermore, a graduating student, whose degree requirements would be met with less than the minimum course load requirements may be permitted to register for only those courses that are required for graduation. That student will also retain the full academic supportive services of the Program. (BTM,1994,06-27,007,_D)

11 Period of Student Funding Eligibility

12 Retention Standards

Students in the SEEK Program shall be subject to the retention standards of the college in which they are enrolled. (BTM,1994,06-27,007,_D)

The standard probationary period for all SEEK Program students shall be a maximum of two consecutive semesters. Students who fail to achieve the required standards after the probationary period shall be dropped from the Program. The regular academic appeals procedure of each college shall continue to consider individual cases and, taking into account the recommendation of the SEEK director, to grant exceptions as warranted. (BTM,1994,06-27,007,_D)

The maximum length of time for a leave of absence shall not exceed three consecutive semesters. Where special circumstances warrant, requests for exceptions, along with appropriate justification, shall be transmitted by the SEEK director to the University's Office of Special Programs for appropriate action. (BTM,1994,06-27,007,_D)

13 Student Attendance

Attendance by SEEK students in remedial, developmental and compensatory courses is to be considered compulsory for those students enrolled in such courses. University policy requires compulsory attendance of all students enrolled in remedial, developmental and compensatory courses. (BTM,1994,06-27,007,_D)

14 SEEK Student Rights and Responsibilities

Students in the SEEK Program are recognized as matriculated, full and equal members of the student body of the college at which they are enrolled, and are entitled to all the rights and privileges, as well as subject to all the obligations, of students at the college and, as SEEK students, to special services and also special obligations. (BTM,1994,06-27,007,_D)

Subject to the provisions of this policy, the additional entitlements and responsibilities of SEEK students are listed but are not limited to (BTM,1994,06-27,007,_D):

a) Access to SEEK counseling and other support services throughout their career as SEEK students

b) Access to SEEK funded tutoring on an as-needed basis in relation to all of the students' course work at the college, whether lower division or upper division

c) Access to financial support, including State special program funding, on an individual as-needed basis

d) Compulsory full-time attendance in all basic skills, developmental and compensatory courses in which they are enrolled

15 Financial Aid Administration

The principal objective of student financial assistance is to provide the necessary financial support, to the extent possible, to enable the economically disadvantaged student to attend college. The college Financial Aid Office shall be responsible for the processing, awarding and overseeing of all financial aid for SEEK students. The supervision of all financial aid to SEEK students shall be vested in the Financial Aid Office, in consultation with the SEEK Director or his or her designee. (BTM,1994,06-27,007,_D)

The college financial aid director shall be responsible for the packaging and awarding of financial aid to SEEK students, in accordance with the guidelines and criteria established by the University and the funding authorities. The financial aid director shall also be responsible for verifying SEEK student economic eligibility for the purpose of making financial aid awards and for admission into the SEEK Program. (BTM,1994,06-27,007,_D)

Appointments of SEEK financial aid officers to work on the packaging and documentation of financial aid awards for SEEK students shall be made by the SEEK director in consultation with the financial aid director. For personnel purposes, all SEEK financial aid officers shall be considered members of the SEEK Department. SEEK financial aid officers shall report to and work under the direction of the director of financial aid, but shall be responsible to the SEEK director. They shall work in such places as may be assigned by the financial aid director; however, their primary duty shall be to serve SEEK students. To provide the necessary service to SEEK Program students, a SEEK financial aid officer shall be designated as coordinator of SEEK financial aid at each campus. (BTM,1994,06-27,007,_D)

The SEEK coordinator of financial aid shall function as liaison within the college financial aid office and assist individual SEEK students with their financial problems; he or she shall serve as advocate for individual students on an as-needed basis with the Financial Aid Office and with other available sources of financial support. (BTM,1994,06-27,007,_D)

The SEEK coordinator of financial aid shall report to and be responsible to the SEEK director. He or she shall be trained by the University's Office of Special Programs and the University Student Financial Aid Office on the financial aid process and sources of financial assistance. (BTM,1994,06-27,007,_D)

The director of financial aid shall prepare a written statement setting forth his or her assessment of the work of the SEEK coordinator and financial aid officers. This assessment shall be sent to the SEEK director. The SEEK director shall incorporate the views of the Director of Financial Aid in his or her annual evaluation of the SEEK coordinator and financial aid officers. (BTM,1994,06-27,007,_D)

All personnel action recommendations affecting the SEEK financial aid officers will be initiated by the director of the SEEK Program. (BTM,1994,06-27,007,_D)

An evaluation of the financial aid director and his or her office, from the perspective of the services provided to SEEK students, shall be made annually by the SEEK director and filed with the financial aid director and the president. (BTM,1994,06-27,007,_D)

16 Annual General Plan and Annual Final Report

As required by the Higher Education Opportunity Act and the regulations of the Board of Regents, the University shall develop and submit to the State authorities an annual General Plan and an annual Final Report covering the organization, development, coordination, and operation of the SEEK Program. The General Plan and Final Report shall include such information and data as may be required. (BTM,1994,06-27,007,_D)

The University's Office of Special Programs shall be responsible for the coordination, compilation and final preparation of the annual SEEK General Plan and the annual Final Report for submission to the State authorities, subject to approval by the Chancellor and the Board of Trustees. (BTM,1994,06-27,007,_D)

It shall be each president's responsibility to insure the timely submission of campus information and data required for the General Plan and Final Report. (BTM,1994,06-27,007,_D)

1 Roles and Responsibilities

When a vacancy occurs, or is certain to occur, the Chairperson of the Board of Trustees shall establish a Search Committee to seek a new chancellor. (BTM,1997,11-24,008,_B)

An interim chancellor shall not be a candidate for chancellor. (BTM,1997,11-24,008,_B)

A primary responsibility of the Search Committee shall be to attract and recruit highly qualified candidates, emphasizing to them the advantages of working at the University and the benefits of living in New York City. Members of the Board, the presidents, the faculty, staff, and students of the University, as well as community and academic leaders from outside the University may submit nominations to the Search Committee. (BTM,1997,11-24,008,_B)

2 Process

1 Committee Structure

The following committee structure was approved (BTM,1990,05-21,008,_D):

Each standing committee shall consist of six or fewer Trustee members, with a minimum of four Trustee members, and one Faculty and one Student representative, appointed in accordance with this policy. The Committee for Long-Range Planning, a special committee, shall include the Chairperson of the Board of Trustees as Chair, the Vice-Chairperson of the Board of Trustees as Vice-Chair, the Chairpersons of the five standing committees, and the Chairpersons of the University Faculty Senate and University Student Senate as ex officio members of the Committee. (BTM,1990,05-21,008,_D)

The members of the standing committees of the Board of Trustees and the Chairperson and Vice-Chairperson of each such committee shall be designated by the Chairperson of the Board of Trustees. Each Trustee appointed to a committee of the Board of Trustees shall be entitled to vote on the matters before the committee. In addition, each year, the Chairperson of the Board of Trustees shall appoint one faculty member after consultation with the Chairperson of the University Faculty Senate and one University student after consultation with the Chairperson of the University Student Senate, to sit with and serve as members of each of the five standing committees. When the Chairperson of the University Faculty Senate or Chairperson of the University Student Senate is appointed to a Standing Committee, such Chairperson shall constitute the respective faculty or student member of the committee. Each committee member shall individually, and without power of substitution or delegation, during the term of his or her appointment, be entitled to vote on the matters before the committee. In addition, the Chairperson of the Board of Trustees may appoint one alternate faculty member, after consultation with the Chairperson of the University Faculty Senate and one alternate University student, after consultation with the Chairperson of the University Student Senate, to sit with and serve as members of each of the standing committees in the absence of the designated faculty or student member, respectively, and accordingly be entitled to vote and be counted for purpose of a quorum in any vote of such committee. In the event the faculty or student member of a committee resigns or is otherwise unable to serve, the alternate faculty or student member, respectively, shall not automatically succeed to the position of faculty or student member. Students must satisfy the Board of Trustees' policy on eligibility for the University Student Senate to be appointed and continue to serve as member or alternate member of a Board of Trustees committee. (BTM,1990,05-21,008,_D)

A majority of the members of the committee shall constitute a quorum for the conduct of the work of the committee, provided, however, that at least 3 Trustee members shall participate in any vote of the committee. A majority of the committee members, rather than a majority of the quorum, shall be required for an action of a committee to be forwarded to the Board of Trustees for approval. If a quorum of the committee is present, and a resolution that does not receive a vote of the majority of the members of the committee receives a vote of the majority of those present and voting, including at least two Trustee members, it shall be forwarded to the Board of Trustees with a notation that the resolution is recommended by a majority of the members of the committee present at the meeting of the committee, including at least two Trustee members, but not by a majority of the committee members. If a quorum is not present at a committee meeting and if the Chair determines that it is important for Board of Trustees that action not to be delayed, the Chair of the committee may poll the committee members, and if a majority of the Committee members, including at least two Trustee members, support the resolution, it may be placed on the Board of Trustees calendar, with a notation that it is placed on the calendar at the request of the Chair. (BTM,1990,05-21,008,_D)

The Chairperson of the Board of Trustees, and Vice-Chairperson of the Board of Trustees in the absence of the Chairperson of the Board of Trustees, shall be a member ex officio of all Standing Committees, and accordingly shall be entitled to vote and be counted for purpose of a quorum in any vote of such committee. (BTM,1990,05-21,008,_D)

All actions of Board of Trustees committees shall be advisory and subject to review and approval by the Board of Trustees. (BTM,1990,05-21,008,_D)

Meetings of the committees of the Board of Trustees shall be open to the general public except if otherwise determined by the committee. (BTM,1980,08-04,018,__)

The Board of Trustees shall ask the Chancellor to invite a college president to serve on each committee as liaison to the Council of Presidents. The presidential liaison will not be considered a member of the Committee. (BTM,1980,10-27,010,__)

2 Duties and Functions of Committees

Standing and special committees of the Board of Trustees, including the Committee for Long-Range Planning, shall be constituted with such number of members, quorum requirements and responsibilities as the Board of Trustees, from time to time, shall designate by resolution. (BTM,1980,08-04,018,__)

The following committees of the Board of Trustees are established, with responsibilities as set forth below (BTM,1984,06-25,009,_B):

1 Introduction

The Board of Trustees of The City University of New York is composed of seventeen members, ten of whom are appointed by the Governor, five by the Mayor, one who is the chair of the University Student Senate elected by the University Student Senate, and one who is the chair of the University Faculty Senate elected by the University Faculty Senate. Members of the Board of Trustees accept their responsibilities as a public service, without compensation. The Board of Trustees has significant and broad de jure powers and responsibilities. The Board of Trustees exercises its powers as a board acting in concert, not through its individual members acting unilaterally. A Trustee has no individual authority; his or her powers can only be exercised in meetings of the Board of Trustees or its committees. (BTM,1989,02-27,005,_A)

The de jure powers of the Board of Trustees must be used wisely and with restraint. In large and complex institutions such as the University, many powers and responsibilities must de facto be delegated, especially in matters requiring professional competence such as determining faculty qualifications. The Board of Trustees, of course, must retain ultimate responsibility and exercises it through its powers of final approval. (BTM,1989,02-27,005,_A)

The basic function of the Board of Trustees of the University is to assure that the purposes of the institution are carried out. In a public institution, the Trustees must also represent the interest of the public-at-large that the institution serves. Among the Board of Trustees' principal tasks are the development of broad policies and long-range planning objectives; the appointment of the executive officers who will implement policies and plans; and oversight to assure that its executive officers do so effectively and efficiently. The Board of Trustees should not undertake administrative functions, either individually or as a group, but should work through the executive officers charged with these responsibilities. (BTM,1989,02-27,005,_A)

2 Standards of Conduct

A Trustee shall not appear or practice before or against the Board of Trustees, the University, or any of the colleges of the University, or receive compensation for any services rendered by him or her for any person, firm, corporation, or association regarding such an appearance or practice. (BTM,2008,06-23,008,__)

No Trustee, or firm or association of which a Trustee is a member, or corporation, ten percent or more of the stock of which is owned or controlled directly or indirectly by the Trustee, shall sell any goods or services having a value in excess of twenty-five dollars to the University, or contract or provide such goods or services with or to any private entity where the power to contract, appoint, or retain on behalf of the private entity is exercised, directly or indirectly, by the University, unless through an award or contract let after public notice and competitive bidding. (BTM,2008,06-23,008,__)

A Trustee shall not, within a period of two years after the conclusion of his or her service as a Trustee, appear or practice before or against the Board of Trustees, the University, or any of the colleges of the University, or receive compensation for any services rendered by him or her for any person, firm, corporation, or association regarding such appearance or practice, if the appearance or practice involves any matter in which the Trustee personally participated during the period of his or her service as a Trustee. (BTM,2008,06-23,008,__)

A Trustee shall not accept employment or engage in any business or professional activity that would require the Trustee to disclose confidential information that he or she gained by reason of his or her position or authority as a Trustee. (BTM,2008,06-23,008,__)

A Trustee shall not disclose confidential information acquired in the course of his or her duties or responsibilities as a Trustee, except as required by such duties or responsibilities or by law, nor use such information to further his or her personal interests. (BTM,2008,06-23,008,__)

During the period of a Trustee's service and for a period of two years thereafter, a Trustee shall not, except for the ex-officio faculty and student trustees, accept employment with the University. (BTM,1989,02-27,005,_A)

A Trustee shall not use or attempt to use his or her position as a Trustee to secure unwarranted privileges or exemptions for himself or herself or others. (BTM,2008,06-23,008,__)

A Trustee shall not by his or her conduct give a reasonable basis for the impression that any person can improperly influence him or her or unduly enjoy his or her favor in the performance of his or her duties or responsibilities as a Trustee, or that he or she is affected by the kinship, rank, position, or influence of any person in the performance of those duties or responsibilities. (BTM,2008,06-23,008,__)

A Trustee shall not accept gifts of more than nominal value where the circumstances would permit the inference that (i) the gift was intended to influence the Trustee in the performance of his or her duties or responsibilities as a Trustee, or (ii) the gift constituted a tip, reward, or sign of appreciation for any act by the Trustee in connection with those duties or responsibilities. (BTM,2008,06-23,008,__)

A Trustee shall not participate in any decision at a meeting of the Board of Trustees or any of its committees regarding any matter in which he or she has a Conflict of Interest. For purposes of this Code of Conduct, a "Conflict of Interest" means an actual or potential conflict between the personal interests of a Trustee and the interests of the University, or the reasonable appearance of such a conflict. (BTM,2008,06-23,008,__)

Before Board or committee action on a matter involving a Conflict of Interest of a Trustee who is in attendance at the meeting, the Trustee shall disclose all facts material to the Conflict of Interest, and such disclosure shall be reflected in the minutes of the meeting. A Trustee who has a Conflict of Interest shall not participate in or be permitted to hear the Board's or the committee's discussion of the matter, except to disclose material facts and to respond to questions. A Trustee who has a Conflict of Interest with respect to a matter that will be voted on at a Board or committee meeting shall not be counted in determining the presence of a quorum for purposes of the vote. The Trustee may not vote on the matter and shall not be present in the meeting room when the vote is taken, unless the vote is by secret ballot. The Trustee's ineligibility to vote shall be reflected in the minutes of the meeting. If a Trustee plans not to attend a meeting at which he or she has reason to believe that the Board or the committee will act on a matter in which he or she has a Conflict of Interest, the Trustee shall disclose to the Chair of the Board or the Chair of the committee all facts material to the Conflict of Interest. The Chair of the Board or the Chair of the committee shall report the disclosure at the meeting, and the disclosure shall be reflected in the minutes of the meeting. A Trustee shall not attempt to exert his or her personal influence with respect to any matter in which he or she has a Conflict of Interest, either at a meeting of the Board or a committee, or otherwise. (BTM,2008,06-23,008,__)

3 Complaint Procedure and Board Authority

Complaints of violations of this Code of Conduct may be filed with the General Counsel of the Board of Trustees. The General Counsel of the Board of Trustees shall review the complaint, and if the General Counsel finds that there is some basis for further review, the General Counsel shall then forward the complaint to the members of the Board of Trustees and to the appropriate appointing authority (i.e., the Governor, the Mayor, the University Student Senate, or the University Faculty Senate). The Board of Trustees shall have the authority to make such investigation of the complaint as it deems necessary. (BTM,2008,06-23,008,__)

The Board of Trustees shall have the authority to take one or both of the following actions by a majority vote (BTM,1989,02-27,005,_A):

a) Declare its disapproval of a Board of Trustees member's action as being in violation of the Code of Conduct,

b) Recommend further action by the appropriate appointing authority.

1 Basis for Status

Trustee Emeritus status shall be conferred as a privilege upon those whom the Board of Trustees wishes to honor for their distinguished service to the University and shall remain in effect for the lifetime of the Trustee. (BTM,1985,04-29,012,__)

2 Selection

A Trustee, upon the termination of his or her service on the Board, who has served for a minimum of three years may be nominated by a committee to be designated by the Chairperson of the Board of Trustees, and may be elected by the Board of Trustees as a Trustee Emeritus. He or she will be presented with a simple scroll at the time of such designation. (BTM,1985,04-29,012,__)

3 Responsibilities and Duties

A Trustee Emeritus shall have the privilege of attending all public meetings of the Board of Trustees and shall receive all Board of Trustees meeting notices and copies of the minutes of such meetings. A Trustee Emeritus, with his or her consent, may be a member of, but not Chairperson or Vice-Chairperson of, any committee other than a nominating committee. He or she shall serve without a vote. (BTM,1985,04-29,012,__)

The Chairperson of any standing committee of the Board of Trustees may request a Trustee Emeritus to be present and participate in any meeting or generally in meetings of his or her committee, but without a vote. A Trustee Emeritus may also be asked to attend commencements and, at the discretion of the Chairperson of the Board of Trustees, represent the Trustees at such events. (BTM,1985,04-29,012,__)

A questionnaire should be circulated periodically to determine whether or not a Trustee Emeritus should continue to receive notices and other information. (BTM,1985,04-29,012,__)

2 The University

The size and complexity of the university make it imperative that the focus of decision-making be moved closer to the colleges. At the same time, it must be possible for all sectors of the University community to participate in decisions appropriately reached at the University level, and for the Board of Trustees to exercise its overall responsibility while encouraging variations in local governance. (BTM,1971,02-09,001,__)

There are, in fact, two kinds of representation at the University level: first, the representation of constituent interests now appropriately handled through the University Student Senate and the University Faculty Senate; second, the representation of individual colleges and the policies and practices that they have adopted through their own procedures of governance under established University regulations. These two patterns of representation do not lend themselves easily to combined representation on a basis of numerical equality. Moreover, the adequate representation of college needs and views at the University level can be achieved only through an organization in which each college is represented. (BTM,1971,02-09,001,__)

For this reason, some organization made up of the principal officers of the colleges, the presidents, appears indispensable. The Administrative Council, as it is now constituted and organized, has proven to be unwieldy. It is recommended that the Administrative Council be replaced by a Council of Presidents, consisting of college presidents, with the Chancellor as chairman and the Executive Vice Chancellor as an ex-officio member. Other members of the central staff should be available during the regular meetings of the Council as their knowledge, expertise, and advice are needed. (BTM,1971,02-09,001,__)

To facilitate the development of joint positions on matters of University policy, the Council of Presidents should elect an executive committee to meet periodically with the executive committees of the University Faculty Senate and the University Student Senate on matters of mutual concern. The joint executive committees would be empowered to establish joint functional committees if and when appropriate. (BTM,1971,02-09,001,__)

In an effort to ensure that present policies and practices related to educational and management matters within the colleges and the University are satisfactorily meeting the needs of the University community, and to involve the entire community in periodic evaluations of such matters, the Chancellor is directed to provide for a performance audit of each college and of the central administration. Such audit is to be performed every five years by a panel chosen by the Board of Trustees from outside the University. The panel shall be directed to review all aspects of the colleges' operation and to consult with students, faculty and administrators of the college under review. The report of the audit shall be widely distributed to all members of the college community and the Board of Trustees and reviewed by the Council of Presidents, which shall make recommendations to the Board of Trustees on the basis of its review. (BTM,1971,02-09,001,__)

3 The Colleges

The statements that follow are designed to guide the colleges in the development of new governance structures, which when properly approved, will replace the structure specified by the Bylaws of the Board of Trustees. (BTM,1971,02-09,001,__)

The focus of major decision-making within the University is properly at the college level. Such decisions should not be interfered with by the University administration except where a college decision may affect another college or the University as a whole. Such decisions should not be altered by the Board of Trustees except where, by virtue of its responsibility to the University community and the general community, action is deemed necessary to protect the legitimate interest of groups or individuals within the college community. (BTM,1971,02-09,001,__)

To ensure the integrity of college-level decision-making, new processes for communication and decision-making, which permit each group of participants to feel that it can influence that institution as a matter of right and responsibility, must be established. Each college should be free to create its own governance structure to enable it to create a climate in which rationality can be focused upon the issues that its members consider to be of the greatest academic importance. (BTM,1971,02-09,001,__)

The college community is composed of three basic elements (BTM,1971,02-09,001,__):

a) Students: the primary reasons for the college's existence

b) The Faculty: the primary means of the development, preservation and transmission of knowledge;

c) The Administration: which, in addition to providing managerial and technical services, exists to provide leadership to the students, faculty, and the college community as a unit

In addition to these three groups, there exist others that influence and are influenced by the institution and should be provided with a means of participation in the process of decision-making. These include the members of the general public of the City, the alumni of the college, and the members of the clerical, custodial and professional administrative staffs. College governance structures should include formal means of communication with these groups and provide for participation in the making of decision that can reasonably be said to affect their interests. (BTM,1971,02-09,001,__)

4 Conclusion

The college community should be reminded that the rights and responsibilities of the constituent groups in the community are in no sense absolute prerogatives. The President has the duty to act for the good of the community where either the students or faculty have abused their rights or neglected their responsibility. In a similar manner the Chancellor and the Board of Trustees have the duty to act when the President is at fault. (BTM,1971,02-09,001,__)

The Board of Trustees believes that the college community can meet the needs of its membership only if the individual members share a commitment to self-government, which provides for the widest expression of differing views within a framework of rationally and calm designed to prevent interference with the rights of the individual members of a community. The Board of Trustees further believes that self-government can only be successful if each community is permitted the freedom to design its own structure within a basic framework of rights and responsibilities. The Board of Trustees, therefore, directs that each college of the University be free to design a governance structure within the framework of this statement. This freedom carries with it the responsibility of each segment of the college community to actively pursue the aims set forth in the Board of Trustees' statement on 5 May 1969 and, therefore, the Board of Trustees now directs that each college present to the Board of Trustees for approval a plan for college governance no later than September 1971. Until such plans are approved by the Board of Trustees, the colleges are to be governed by any governance plan now in effect and the present Bylaws of the Board of Trustees. (BTM,1971,02-09,001,__)

1 Matters Not Involving Bylaws Waivers

In all questions concerning individual academic or non-academic appointments, promotions, reappointments, or the granting of tenure, which do not involve a waiver of the Bylaws, the following policy will hold. (BTM,1971,05-24,003,__)

The Board of Trustees shall approve directly and individually all appointments in the rank of President. (BTM,1971,05-24,003,__)

All other full-time academic appointments, reappointments, promotions, and grants of tenure, as well as all non-academic appointments, promotions, and reappointments, will appear in the Chancellor's Report and be listed college by college. (BTM,1971,05-24,003,__)

In support of all appointments, promotions, and grants of tenure, there shall be submitted to the Secretary of the Board of Trustees up-to-date curriculum vitae suitable for duplication. (BTM,1971,05-24,003,__)

Such material shall be made available to the Secretary of the Board of Trustees well in advance of the deadline for its appearance in the Chancellor's Report. (BTM,1971,05-24,003,__)

2 Matters Involving Bylaws Waivers

In questions concerning individual academic or non-academic appointments, promotions, reappointments or grants of tenure, which require a waiver of the Bylaws, the following policy will hold. (BTM,1971,05-24,003,__)

All requests for actions requiring a waiver of the Bylaws will be submitted to the Secretary of the Board of Trustees well in advance of the date on which the action is to take effect. (BTM,1971,05-24,003,__)

These actions will be included in a section of the Chancellor's Report to be called Section AA: Actions Requiring Waiver of the Bylaws. This section shall be prepared by the Secretary of the Board of Trustees. (BTM,1971,05-24,003,__)

All such appointments requiring waiver of the Bylaws shall be accompanied by up-to-date curriculum vitae, which will be distributed with the advance agenda to the members of the Board of Trustees. (BTM,1971,05-24,003,__)

INTRODUCTION

The Education Law of the State of New York invests in the Board of Trustees/CUNY the authority to appoint and dismiss an appointed executive when warranted.

"The Board of Trustees shall appoint the Chancellor of The City University who shall be the chief educational and administrative officer of The City University and who shall serve at the pleasure of the Board of Trustees."1 "The Board of Trustees shall establish positions, departments, divisions and faculties; appoint and in accordance with the provisions of law fix salaries of instructional staff and non-instructional employees therein; ... "2

[Footnote:] 1 NYS Education Law. Article 125, Section 6206(5) last sentence (See Chancellor Search Guidelines)

[Footnote:] 2 NYS Education Law, Article 125, Section 6206(7.a.)

The City University of New York is an Affirmative Action-Equal Opportunity Employer and shall seek to identify qualified women and minorities for consideration by the Search Committee.

THE PROCESS

When a vacancy occurs, or is certain to occur, the Chairperson of the Board of Trustees shall, upon consultation with the Chair of the Board Committee on Faculty, Staff and Administration and the Chancellor, establish a Search Committee to seek a new president.

Simultaneously, should circumstances warrant, the Chancellor shall recommend an individual to the Board for appointment as interim president until such time as a president is appointed. Appointment as interim president will typically be for a period of one academic year. If an appointment exceeds this period, the Chancellor shall notify the Board Committee on Faculty, Staff and Administration of the reasons requiring an extension.

An interim president shall not be a candidate for the presidency for the same institution for which he/she is interim president.

A primary responsibility of the Search Committee shall be to attract and recruit highly qualified candidates, emphasizing to them the advantages of working at CUNY and the benefits of living in New York City. Members of the Board, the Chancellor and presidents, the faculty, staff, and students of the University, as well as community and academic leaders from outside the University may submit nominations to the Search Committee.

PROCEDURES

1 Statement of the Board of Trustees

The Board of Trustees affirms its support of the fundamental mission of The City University of New York: to maintain and expand the commitment to academic excellence and to the provision of equal access and opportunity for students, faculty, and staff from all ethnic and racial groups and from both genders. This mission, contained in New York State Education Law, has enabled hundreds of thousands of citizens to achieve academic and economic advancement and remains the principal avenue of upward mobility for future generations of New Yorkers. (BTM,1995,06-26,008,_A)

To achieve its mission the University must remain responsive to the needs of all its constituencies, including the thousands of native New Yorkers who have historically benefited from a University education as well as the many new and recent immigrants to the City. University planning must take into account the need to provide appropriate opportunities to enhance the academic progress and achievement of students at different levels of preparation. (BTM,1995,06-26,008,_A)

The University's mission demands the strongest commitment to the needs of its urban constituents. To this end, the Board of Trustees continues to recognize the imperative need for affirmative action. It is only through sound planning that the University can maintain at each campus equal access and opportunity for students, faculty, and staff from all ethnic and racial groups. The Board of Trustees also continues to recognize the need for the SEEK and College Discovery Programs as a distinctive set of activities and services on each campus, to provide a quality higher education opportunity to students who would not otherwise have such access. (BTM,1995,06-26,008,_A)

Full achievement of its mission will also depend upon the University's ability to operate as an integrated educational system. the University will continue to strengthen its collaborative relationships with the New York City school system through a variety of initiatives. the University will continue to utilize Academic Program Planning to maintain an appropriately balanced and cost-effective array of high quality degree programs and related services at all levels of undergraduate, graduate, and professional education. It is only as a result of such planning efforts that the University can maintain access and achieve excellence in teaching, research and service to the public. (BTM,1995,06-26,008,_A)

The Board of Trustees has worked to ensure that the University remains accessible to students despite repeated reductions in tax levy support. System-wide and college-based academic planning and management initiatives have permitted the University to support substantial additional enrollment. The budget planning and policy actions put forward below will support the current high enrollment levels, as well as enhance academic standards and assure that the University educational programs are delivered effectively and efficiently. The Board of Trustees believes that tuition should be as affordable as possible, but recognizes that in view of State and City budgets present fulfillment of the University's mission requires a tuition increase. The Board of Trustees calls upon the leadership of the State and City to recognize that projected enrollment growth cannot be responsibly sustained without commensurate financial support. Only with equitable funding can the University ensure that access to quality educational programs will continue into the next century. (BTM,1995,06-26,008,_A)

2 Measures

The colleges should assess the potential for qualified administrative staff to teach on a limited basis as part of their regular workload in order to support increased enrollment. (BTM,1995,06-26,008,_A)

The colleges should be guided by the long-term goal of improving the ratio of faculty to administrative support staff. In this regard, colleges should review their administrative staffing levels and rank distributions in relation to University-wide norms. (BTM,1995,06-26,008,_A)

The University should achieve an overall increase in instructional productivity at the senior and community colleges, thereby reducing adjunct expenditures. (BTM,1995,06-26,008,_A)

All faculty shall be assigned the contractual maximum for the teaching portion of their workload unless they are granted reassigned time for specific purposes or purchase reassigned time through sponsored projects. Each college shall review its reassigned time policies and practices to obtain the maximum aggregate contribution of each faculty member to instruction, scholarship, and public service. There is no requirement that the instructional portion of each faculty member's workload be identical within each college or department, but rather that the instructional portion of the workload reflect the college's judgment about how each faculty member can best contribute to the overall work of the college. (BTM,1995,06-26,008,_A)

It shall be the University's goal to maintain or increase reassigned time for research for those faculty who are actively engaged in professionally recognized research and scholarship, including junior faculty establishing their professional reputations. (BTM,1995,06-26,008,_A)

The Board of Trustees expresses its intent to reexamine the contractual teaching workload at the senior and community colleges through the collective bargaining process. (BTM,1995,06-26,008,_A)

The Chancellor should establish that (BTM,1995,06-26,008,_A):

a) A minimum of 80 percent of weekly faculty counselor hours—twenty-four hours—should be assigned to scheduled student counseling in individual or groups sessions

b) Counselors assigned to teach scheduled counseling courses should receive one hour preparation time for each weekly class hour, where appropriate, qualified counselors may be assigned to teach regular courses

c) Remaining hours are available for related administrative tasks and for participation in departmental and college governance and other activities

The University should develop and shall implement a system-wide counselor workload reporting system. (BTM,1995,06-26,008,_A)

Counselors should be assigned for the contractual workweek throughout the academic year to the greatest benefit of students, including periods when classes are not in session. (BTM,1995,06-26,008,_A)

Each college should institute a counselor evaluation system. Evaluations shall be modeled after the college-wide student evaluations of the teaching faculty. Students shall evaluate the services they receive from counselors and, consistent with Board of Trustees policy, student evaluations shall be taken into consideration in appropriate personnel decisions. (BTM,1995,06-26,008,_A)

Collaboration with the public schools should be expanded to include administering college assessment tests to students during their high school careers in order to address academic under-preparation prior to enrollment at the University. (BTM,1995,06-26,008,_A)

It shall be University policy that, beginning in Fall 1996, students will be admitted to baccalaureate degree programs only if the remedial and ESL instruction they are evaluated as needing can be accomplished typically through a sequence of courses in each area that can be completed within two semesters. The Chancellor may approve alternative criteria proposed by a college based upon a demonstrated relationship between the level of student academic preparation and student success at that institution. Colleges may offer additional basic skills or ESL instruction through their adult and continuing education programs. (BTM,1995,06-26,008,_A)

It shall be University policy that, following a review of its mission, resources and student performance, and after consultation with college governance, a senior college president may propose as an admissions criterion that a student will be admitted to its baccalaureate degree program only if the remedial courses needed in one or more basic skills area or ESL can be accomplished typically through one-semester courses. The Chancellor may approve such a criterion after receiving the president's recommendation along with the view of the appropriate campus governance body. (BTM,1995,06-26,008,_A)

It shall be University policy that senior college students not be permitted to repeat a remedial or ESL course after receiving either no credit or a failing grade twice previously in that course. In rare circumstances, a president may grant an exception to this policy. (BTM,1995,06-26,008,_A)

Pre-freshmen institutes at the senior and community colleges should be expanded and offered throughout the academic year. the University should explore with the Board of Education ways of enriching pre-collegiate and GED programs for those students who currently enter the University substantially under-prepared for college-level programs. (BTM,1995,06-26,008,_A)

Targeted ESL and basic skills immersion programs should be implemented at the senior and community colleges, including programs offered through adult and continuing education. ESL students should be placed in mainstream courses as soon as it is appropriate. the University should review policies and practices in this regard. the University should explore with SUNY ways of using Educational Opportunity Centers at senior and community college campuses to provide remedial education for those students who currently enter the University substantially under-prepared for college-level programs. (BTM,1995,06-26,008,_A)

The University and the colleges should establish specific admissions criteria and procedures to select from the pool of students eligible for Special Programs, those who would most benefit from, and most likely succeed in, the various campus programs. (BTM,1995,06-26,008,_A)

The University should strengthen program operations by requiring that, effective with the 1996-97 academic year, students apply for Special Programs by April and be admitted only once per year for the Fall semester. All students should attend the pre-freshmen summer program. The colleges may develop plans for distinctive academic components for Special Programs. the University should ensure appropriate balance of academic components among all programs. (BTM,1995,06-26,008,_A)

The majority portion of the Special Programs budget should be allocated to provide academic support activities, such as skills immersion, throughout the academic year, supplemental instruction in critical academic courses, and mandatory tutoring. This goal should be implemented on a phased-in basis during the next two years. Special program funds shall continue to support counseling and advisement services as well as supplementary student financial assistance. (BTM,1995,06-26,008,_A)

The Board of Trustees authorizes the Chancellor, in consultation with the Chair of the Committee on Student Affairs and Special Programs, to grant waivers of the SEEK and CD policies to encourage college presidents, after appropriate consultation, to recommend to the Board of Trustees alternative structures to improve the performance of their SEEK and CD Programs. Waivers shall be reported to the Committee on Student Affairs and Special Programs. the University will participate in the inter-sector and State-wide reviews of educational opportunity programs proposed by the State in order to further strengthen Special Programs. (BTM,1995,06-26,008,_A)

The University should accelerate its efforts to implement educational technology at all levels of instruction to enhance the effectiveness of teaching and learning and to achieve appropriate economies. The Board of Trustees Committees on Fiscal Affairs and Academic Programs should meet together periodically to review University efforts to expand the use of educational technology. In consultation with the Board of Trustees Chair, the Chancellor shall establish a University Library and Educational Technology Task Force. (BTM,1995,06-26,008,_A)

All college course schedules should be available on-line. Permit students should be allowed to register by phone at those colleges that have telephone registration. the University should implement common course numbering in order to streamline the permit registration process and the transfer of credit. The Board of Trustees affirms the desirability of establishing a common calendar and compatible registration dates. (BTM,1995,06-26,008,_A)

The University should encourage the colleges to utilize block scheduling, especially in the context of coordinated freshmen year programs. (BTM,1995,06-26,008,_A)

It shall be University policy that all bachelor's degree programs require a maximum of 120 credits for graduation, and all associate degree programs require a maximum of sixty credits. Colleges may be granted waivers from the Office of Academic Affairs for undergraduate degree programs that require additional credits for certification or accreditation from outside professional organizations or for other compelling educational reasons. (BTM,1997,11-24,010,__)

Compelling educational reasons means, for these purposes, strengthening and enhancing the specific academic objectives of a program and meeting the educational needs of enrolled students. The waiver standard of compelling educational reasons shall take into account the specific needs of degree programs or the college's general degree requirements. Each college faculty senate is encouraged to review current degree requirements where it appears that those requirements are not meeting a program's academic mission or students' needs, and, where appropriate, to submit recommendations that meet these criteria to the Office of Academic Affairs. Any changes in degree requirements should be implemented to take account of the reasonable expectations of currently enrolled students who have relied on current requirements in planning their education and fulfilling graduation requirements. The educational interests of students are paramount in this regard. (BTM,1997,11-24,010,__)

Colleges should review through the appropriate governance body and, where appropriate, limit their practices of granting credit toward the degree for developmental coursework. (BTM,1995,06-26,008,_A)

The University should establish a system-wide library processing service, replacing appropriate technical services activities at campus libraries. The system should be implemented on a phased-in basis during the next two years. (BTM,1995,06-26,008,_A)

The University should expand the use of electronic table of contents services and electronic document delivery services, thereby permitting the reduction of serial subscriptions. (BTM,1995,06-26,008,_A)

The Chancellor shall establish a University Library and Educational Technology Task Force, including outside members, to make recommendations regarding additional opportunities for enhancing the use of technology and for library restructuring. (BTM,1995,06-26,008,_A)

The University should create a unit at the University Accounting Office to be responsible for tuition and fee collections system-wide. This proposal should be implemented on a phased-in basis during the next two years. The operation of the unit should be self-supporting through an appropriate increase in the University student consolidated fees.

The University should create a testing unit at the University Application Processing Center to be responsible for administering skills assessment tests system-wide. Pre-allocation testing will be carried out for students seeking to attend bachelor's degree programs. This proposal should be implemented on a phased basis during the next two years. The operation of the testing unit should be self-supporting through appropriate increases in the University application and student consolidated fees. (BTM,1995,06-26,008,_A)

Overload teaching should not be permitted except in special circumstances, such as a demonstrated shortage of qualified adjunct faculty in a particular discipline. Faculty should not be permitted to take on overload teaching if they are also in receipt of unfunded reassigned time. (BTM,1995,06-26,008,_A)

The University should provide every senior college with a lump sum for all waivers out of the State appropriation to be allocated among the various waiver categories after employee waivers are funded. (BTM,1995,06-26,008,_A)

It shall be Board of Trustees policy that, in the absence of State support, tax-levy funding for the foreign student tuition waiver program is eliminated; it is recommended that campuses seek outside funding for such tuition support. (BTM,1995,06-26,008,_A)

The University should review its entire schedule of leased spaces and the need to continue each of these leases, as well as the potential to renegotiate the terms of each lease. This review should, where appropriate, take place within the context of reviewing and revising campus master plans. (BTM,1995,06-26,008,_A)

2 Statement of Principles

University policy is based on the consensus of medical authorities that AIDS is not readily communicable. It is also based on the opinion of legal counsel that various Federal and State anti-discrimination laws pertain to AIDS victims and to persons perceived as such. Consistent with these underlying medical and legal premises, it is University policy that each AIDS-related problem be addressed individually, with a focus on the medical facts involved and with due regard to issues of privacy and confidentiality. The answers given in this policy are meant as a framework from which can be developed specific responses to individual cases. (BTM,1988,03-21,005,_A)

The University's policy is further based on recommendations issued by the U.S. Public Health Service, the Centers for Disease Control (CDC), and the New York State Department of Health and City of New York Department of Health. As those recommendations may be modified or expanded, the University will review and, where appropriate, revise this policy. (BTM,1988,03-21,005,_A)

Within this context, the University has formulated the following questions and answers regarding these policy issues. (BTM,1988,03-21,005,_A)

3 Student Concerns

4 Personnel Concerns

1 Purpose of the Investment Policy Statement

This Investment Policy governs the management of the City University of New York's ("CUNY") Long-Term Investment Pool (the "Portfolio"). (BTM,2011,05-02,003,_D)

2 Background

The Portfolio was created to serve the long-term financial needs of CUNY, its Colleges and participating College Foundations. The Portfolio is a pooled investment vehicle for multiple individual accounts that include both endowed and non-endowed funds. The Portfolio consists of funds received by CUNY for its general purposes, funds received by CUNY for the benefit of a specific CUNY College and funds belonging to one or more of the College Foundations that have chosen to invest in the Portfolio. It therefore serves as an umbrella vehicle for multiple participants, many of which have other long-term funds. (BTM,2011,05-02,003,_D)

It is the aim of the CUNY Portfolio to become the preferred choice for placement of the long-term assets of the affiliated College Foundations. Such co-investment would clearly be beneficial for all parties involved as increased asset size would afford greater investment flexibility with higher return potential and lower costs. (BTM,2011,05-02,003,_D)

This policy adheres to the standards of prudent management of investment assets set forth in the New York Prudent Management of Institutional Funds Act (NYPMIFA). (BTM,2011,05-02,003,_D)

3 Responsibilities

4 Investment Objectives

5 Spending Policy

The Portfolio shall be managed according to the "total return" concept, which envisions the sources of spending as being from interest, dividends and capital gains. (BTM,2011,05-02,003,_D)

Except as otherwise provided in the Spending Policy set forth in Appendix B of this Policy, decisions with respect to spending from the Portfolio shall be made by the Board upon recommendation from the Subcommittee. In doing so, both Board and Subcommittee shall comply with the prudence standard and observe the procedures set forth in the Spending Policy. (BTM,2011,05-02,003,_D)

6 Asset Allocation and Portfolio Composition

In establishing the Asset Allocation and in its implementation, the Subcommittee shall consider the following factors, if relevant, as required by NYPMIFA (BTM,2011,05-02,003,_D):

a) General economic conditions;

b) The potential impact of inflation/deflation;

c) The expected tax consequences, if any, of investment decisions or strategies;

d) The role of individual investments in context of the overall Portfolio;

e) The expected total return from income and the appreciation of investments;

f) The overall resources of CUNY;

g) The needs of CUNY and of the Portfolio participants to make distributions and preserve capital; and

h) The relationship of any given investment asset to the mission/purpose of CUNY or a participant.

Any investment decision shall always take into account the purposes of CUNY and the funds that comprise the Portfolio. Investment decisions shall, furthermore, not be considered in isolation but on a total portfolio basis. Also, as specified below, the Portfolio shall be diversified and implemented in a cost effective way. (BTM,2011,05-02,003,_D)

The asset allocation of the Portfolio shall reflect a proper balance of CUNY's investment objectives, risk tolerance and need for liquidity. To achieve this balance, the portfolio shall conceptually be divided into three parts: an equity portfolio, a diversifying assets portfolio, and a fixed income portfolio. (BTM,2011,05-02,003,_D)

The purpose of the equity portfolio shall be to provide capital appreciation in order to meet the financial objective of supporting current operations while preserving, and preferably growing, the purchasing power of the fund. In order to meet the investment objectives, the equity portfolio shall be the dominant of the three sub-portfolios. CUNY recognizes that equity investments will most likely entail a substantial degree of volatility. The equity fund shall be invested in both U.S. and non-U.S. public and private equities. (BTM,2011,05-02,003,_D)

The purpose of the diversifying assets portfolio shall be a) to provide additional diversification through investments in assets and/or investment strategies with attractive expected returns combined with low expected correlations with the traditional equity and fixed income holdings of the portfolio and b) to support the Portfolio through periods of unexpected high inflation through investment in assets and asset classes which are expected to perform well during inflation. The diversifying assets portfolio may include real estate, inflation-adjusted fixed income securities, commodities and natural resource-related stocks. The diversifying asset portfolio may also include hedged strategies, including strategies that use leverage and derivatives, and may encompass both public and private investment vehicles. (BTM,2011,05-02,003,_D)

The primary purpose of the fixed income portfolio shall be to provide a hedge against the effects of a prolonged economic contraction. A secondary purpose shall be to contribute to overall return and to reduce the overall volatility of the total Portfolio's returns. In order to achieve the primary purpose, investments should be made primarily in long-duration, non-callable or call-protected, high quality bonds. (BTM,2011,05-02,003,_D)

Given the long-term nature of the Portfolio, the policy allocation to cash and cash equivalents should normally be zero, but transitional cash positions may be held. (BTM,2011,05-02,003,_D)

As noted above, the specific asset allocation with ranges as determined by the Subcommittee is contained in Appendix A hereto. (BTM,2011,05-02,003,_D)

7 Diversification, Risk and Liquidity

The Portfolio's investments shall be diversified both by Investment Manager, by asset class and within asset classes. The purpose of diversification is partly to enable higher returns with lower risk than would otherwise be achievable and partly to ensure that no single manager, security, asset class or specific investment style will have a disproportionate impact on the Fund's aggregate returns. (BTM,2011,05-02,003,_D)

As risk and return are related entities, the Subcommittee, assisted by the Consultant(s), shall consider risk along with returns in evaluating each portfolio, asset class or Investment Manager and shall ensure that risk, in its various forms, is monitored, evaluated and discussed on a regular basis. (BTM,2011,05-02,003,_D)

Investment in alternative assets will often entail illiquidity. While such investments can be a natural part of a well-diversified portfolio, the Subcommittee shall consider the liquidity needs of CUNY, its Colleges and the participating College Foundations, and shall keep the illiquid investments at a level where illiquidity does not endanger regular spending, including in situations of negative portfolio returns. (BTM,2011,05-02,003,_D)

8 Rebalancing

Assets shall be rebalanced back to their respective targets to ensure that the asset allocation remains an accurate reflection of CUNY's desired risk profile. The following methods shall be used: 1) rebalancing using cash inflows and outflows, 2) rebalancing annually in April or May using March 31 market values, and 3) rebalancing back to the target allocations should actual allocations move outside allowable ranges. (BTM,2011,05-02,003,_D)

The Subcommittee may decide, as an appropriate investment tactic, to underweight or overweight a specific asset class within the allowable range for a time, in which case the automatic rebalancing back to target will not take place. Such decisions shall be recorded in the meeting minutes. (BTM,2011,05-02,003,_D)

To the extent that CUNY receives property and/or securities from donors or otherwise, decisions regarding the disposition or retention of the asset(s) must be made in a timely manner. It is the assumption that such asset(s) will be liquidated and the proceeds considered a cash flow for cash flow rebalancing purposes. (BTM,2011,05-02,003,_D)

9 Manager Hiring and Firing

The Subcommittee shall not consider the selection of any Investment Manager without first setting a target allocation to a particular asset class and determining that a manager is needed to implement that allocation strategy. (BTM,2011,05-02,003,_D)

The Subcommittee shall fairly and rigorously evaluate prospective Investment Managers. The Subcommittee shall strive to hire Investment Managers that are appropriate for the Portfolio's risk-return profile using industry best practices which include a thorough examination of the firm's organization, history, integrity, ownership structure and assets under management, the quality and stability of its key professionals and staff, the quality and consistency of its investment philosophy, strategy, decision-making process, its fit with the Portfolio's objectives, its performance metrics, its record of compliance and its fee structure. (BTM,2011,05-02,003,_D)

The Investment Consultant(s) and CUNY Management and Staff shall monitor and keep the Subcommittee up to date with respect to Investment Managers, including their compliance with this Policy, their investment performance, any significant changes in their organization, process or philosophy and all pertinent information regarding regulatory or disciplinary investigations, proceedings or findings and/or litigation. (BTM,2011,05-02,003,_D)

Though active managers are hired to outperform their respective benchmarks, it is a commonly accepted fact that even strong managers may have periods of relative underperformance. Firing a manager due to short-term performance issues can often have a negative impact on a portfolio since manager performance tends to be cyclical, so that managers who underperform in one cycle often will outperform in the next and vice versa. The Subcommittee aims to have stable, long-term manager relationships. In that regard it plans to evaluate manager returns over various and appropriate time periods. However, a manager may be placed on a watch list in response to the Subcommittee's concerns about the manager's performance, failure to comply with guidelines, organizational changes, or any other reason that the Subcommittee or CUNY Management and Staff deems appropriate. (BTM,2011,05-02,003,_D)

10 Performance Monitoring

With the assistance of the Investment Consultant(s) and CUNY Management and Staff, the Subcommittee shall review regularly the Portfolio's assets and the status of its investment accounts, and shall make such adjustments as deemed necessary to achieve CUNY's investment objectives. In addition, CUNY Management and Staff shall receive monthly performance reporting primarily for administrative purposes. (BTM,2011,05-02,003,_D)

11 Investment Guidelines

With the assistance of the Investment Consultant(s), CUNY Management and Staff shall create specific guidelines for each Investment Manager when it is hired and shall review and recommend changes to those guidelines as necessary. (BTM,2011,05-02,003,_D)

To the extent that CUNY invests in mutual funds and/or commingled vehicles, the guidelines are contained in the offering documents. Since, in these cases, CUNY cannot impose its own guidelines, CUNY Management and Staff, assisted by the Consultant, shall determine beforehand whether the guidelines contained in the offering document are acceptable and suitable for the given mandate. (BTM,2011,05-02,003,_D)

Each Investment Manager shall be required to monitor compliance with its specific guidelines quarterly (or more frequently if market conditions warrant) and based on the then-current market values. Each Investment Manager shall be required to promptly communicate in writing to the Subcommittee any violations of the guidelines stating the nature of the violation, potential remedies, or a petition that a compliance waiver be granted setting forth the reasons therefore. CUNY Management and Staff, assisted by the Consultant(s) shall be responsible for enforcing this requirement. (BTM,2011,05-02,003,_D)

All such guidelines shall incorporate the following basic principles (BTM,2011,05-02,003,_D):

12 Changes to the Investment Policy

This Policy shall be in force until modified in writing and approved by the Board of Trustees. The Subcommittee will review this Policy at least annually to ensure continued appropriateness, but may propose revisions to it at any time it sees fit. The Subcommittee shall communicate proposed changes to this Policy to the Fiscal Affairs Committee. (BTM,2011,05-02,003,_D)

13 Appendix A, Asset Allocation

a) Asset Class: U.S. Equity

(i) Policy Target: 26.5 percent

(ii) Policy Range: 17.5 percent - 32.5 percent

b) Asset Class: Global ex. U.S. Equity

(i) Policy Target: 21.5 percent

(ii) Policy Range: 12.5 percent - 30 percent

c) Asset Class: Emerging Market Equity

(i) Policy Target: 7 percent

(ii) Policy Range: 4 percent - 11 percent

d) Asset Class: Marketable Alternatives

(i) Policy Target: 10 percent

(ii) Policy Range: 5 percent - 15 percent

e) Asset Class: Real Assets

(i) Policy Target: 10 percent

(ii) Policy Range: 5 percent - 15 percent

f) Asset Class: Fixed Income

(i) Policy Target: 25 percent

(ii) Policy Range: 20 percent - 30 percent

g) Asset Class: Cash (BTM,2008,12-08,005,_A)

(i) Policy Target: 0 percent

(ii) Policy Range: 0 percent - 5 percent

Targets and ranges will be reviewed at least annually and any changes will be communicated to the Board of Trustees. (BTM,2011,05-02,003,_D)

14 Appendix B, Spending Policy

The City University of New York (CUNY) Portfolio is a pooled investment vehicle for multiple individual accounts that include both endowed and non-endowed funds. The Portfolio consists of funds received by CUNY for its general purposes, funds received by CUNY for the benefit of a specific CUNY College and funds belonging to one or more of the College Foundations that have chosen to invest in the Portfolio. CUNY's policies and procedures with respect to spending from the Portfolio shall comply with The New York Prudent Management of Institutional Funds Act (NYPMIFA). (BTM,2011,11-28,003,_F)

1 INTRODUCTION

CUNY's computer resources are dedicated to the support of the University's mission of education, research and public service. In furtherance of this mission, CUNY respects, upholds and endeavors to safeguard the principles of academic freedom, freedom of expression and freedom of inquiry.

CUNY recognizes that there is a concern among the University community that because information created, used, transmitted or stored in electronic form is by its nature susceptible to disclosure, invasion, loss, and similar risks, electronic communications and transactions will be particularly vulnerable to infringements of academic freedom. CUNY's commitment to the principles of academic freedom and freedom of expression includes electronic information. Therefore, whenever possible, CUNY will resolve doubts about the need to access CUNY Computer Resources in favor of a User's privacy interest.

However, the use of CUNY Computer Resources, including for electronic transactions and communications, like the use of other University-provided resources and activities, is subject to the requirements of legal and ethical behavior. This policy is intended to support the free exchange of ideas among members of the CUNY community and between the CUNY community and other communities, while recognizing the responsibilities and limitations associated with such exchange.

2 APPLICABILITY

This policy applies to all Users of CUNY Computer Resources, as defined in Article III below.

This policy supersedes the CUNY policy titled "CUNY Computer User Responsibilities" and any college policies that are inconsistent with this policy.

3 DEFINITIONS

1. "CUNY Computer Resources" refers to all computer and information technology hardware, software, data, access and other resources owned, operated, or contracted by CUNY. This includes, but is not limited to, desktop and laptop computers, handheld devices that allow or are capable of storing and transmitting information (e.g., cell phones, tablets), mainframes, minicomputers, servers, network facilities, databases, memory, memory sticks, and associated peripherals and software, and the applications they support, such as e-mail, cloud computing applications, and access to the internet.

2. "E-mail" includes point-to-point messages, postings to newsgroups and listservs, and other electronic messages involving computers and computer networks.

3. "Faculty" includes full-time, part-time, and adjunct faculty.

4. "FOIL" is the New York State Freedom of Information Law.

5. "Non-Public University Information" has the meaning set forth in CUNY's IT Security Policies and Procedures found at security.cuny.edu, namely: personally identifiable information (such as an individual's Social Security Number; driver's license number or non-driver identification card number; account number, credit or debit card number, in combination with any required security code, access code, or password that would permit access to an individual's financial account; personal electronic mail address; Internet identification name or password; and parent's surname prior to marriage); information in student education records that is protected under the Family Educational Rights and Privacy Act of 1974 (FERPA) and the related regulations set forth in 34 CFR Part 99; other information relating to the administrative, business, and academic activities and operations of the University (including employee evaluations, employee home addresses and telephone numbers, and other employee records that should be treated confidentially); and any other information available in University files and systems that by its nature should be treated confidentially .

6. "User" means a user of CUNY Computer Resources, including all current and former users, whether affiliated with CUNY or not, and whether accessing those resources on a CUNY campus or remotely.

4 RULES FOR USE OF CUNY COMPUTER RESOURCES

1 Categories and Priority of Users

First priority for use of a college's facilities shall be given to college departments, divisions, programs and offices for curricular, administrative and other college purposes. Thereafter, priority shall be in the order set forth below. Colleges are not required to make their facilities available to users who fall into the commercial, partisan political and other users category, but shall permit use under the other categories specified. (BTM,2005,02-28,006,_F)

a) Users affiliated with the college, including (BTM,2005,02-28,006,_F):

(i) Recognized student organizations

(ii) Academic or professional organizations made up of persons on the college staff, provided each such organization is open to all members of the staff of such rank or ranks as are admitted to membership

(iii) Other recognized organizations drawing membership without restriction from the membership of the college staff

(iv) Auxiliary enterprise corporations, college associations, child-care centers, arts centers, foundations and alumni associations

b) Sister colleges of the University. (BTM,2005,02-28,006,_F)

c) Other academic or professional organizations (BTM,2005,02-28,006,_F)

d) Government agencies and non-profit organizations of an educational, scientific, cultural, social, civic, religious, or similar nature (BTM,2005,02-28,006,_F)

e) All commercial, partisan political and other users (BTM,2005,02-28,006,_F)

Users in each category shall be treated on a uniform basis. Use by union organizations shall be governed by the applicable collective bargaining agreement with the University. (BTM,2005,02-28,006,_F)

2 Denial of Use

The University shall deny use of college facilities to (BTM,2005,02-28,006,_F):

a) Users that refuse to employ at their event the security personnel required by the host college. Users of college facilities must abide by the University's Private Security Policy (adopted by the Board of Trustees on 21 March 1994, Cal. No. 4.K.), as it may be amended, which is incorporated into this policy. (BTM,2005,02-28,006,_F)

b) Users that previously submitted a false application or that have previously violated the terms of a use agreement. (BTM,2005,02-28,006,_F)

c) Users that plan to use college facilities in a manner that obstructs or disrupts college operations, interferes with freedom of movement on campus, exposes persons or property to safety hazards or risk of injury, or is unlawful. (BTM,2005,02-28,006,_F)

3 Fees

Fees for the use of college facilities shall be determined as follows (BTM,2005,02-28,006,_F):

a) Each college shall establish and make available a fee schedule, approved by the chief administrative officer of the college, for those facilities on its premises that it makes available for use by others. (BTM,2005,02-28,006,_F)

b) Colleges may vary the fee for a particular facility based on the category of user, e.g., affiliated users, non-affiliated non-profit users, commercial users, partisan political users. (BTM,2005,02-28,006,_F)

c) Additional services, such as extra housekeeping, special security, catering, technicians, and equipment, shall be charged to the user at cost. (BTM,2005,02-28,006,_F)

d) The amount charged to affiliated users and sister colleges should not exceed the host college's direct costs for use of the facility. If the affiliated user or sister college is co-sponsoring an event with one or more outside organizations, the amount charged should be limited to that which may be apportioned to the outside organizations and which the host college would charge if it were the co-sponsoring college. (BTM,2005,02-28,006,_F)

e) Fair market value must be charged for partisan political use. (BTM,2005,02-28,006,_F)

Use of college facilities may be subject to reasonable time, place and manner restrictions. (BTM,2005,02-28,006,_F)

4 Procedures

Applicants for use of a college's facilities shall provide the college with the following information: the name, address and telephone number of the individual or group making the request; whether it is a non-profit or commercial entity; the facilities (and any attendant college services) requested; a detailed description of the proposed use; the number of persons expected to use the facility; the time(s) and date(s) for the requested use; and the amount of any admission fee to be charged and its intended use. (BTM,2005,02-28,006,_F)

Individuals and groups that have received approval to use a college facility are required to (BTM,2005,02-28,006,_F):

a) Comply with all applicable University and college rules and policies, and applicable local, state and federal laws, including, but not limited to (BTM,2005,02-28,006,_F):

(i) The Fiscal Handbook for Control and Accountability of Student Activity Fees

(ii) The 14 July 2003 regulations issued by the Office of the Senior Vice Chancellor regarding outside groups holding graduation ceremonies at college facilities

(iii) The 14 October 2004 Administrative Advisory Memorandum issued by the Office of the General Counsel regarding use of college facilities by candidates for public office

(iv) Fire, health and safety regulations

b) Assume full responsibility for any loss, damage or claims arising out of their use of the facility. (BTM,2005,02-28,006,_F)

c) Pay the appropriate use fee and other charges for the use of the facility and related services. (BTM,2005,02-28,006,_F)

d) Indemnify, defend, and hold harmless the University, the college, the Dormitory Authority of the State of New York, the State of New York, the City of New York and the appropriate University related entity (where applicable), as well as their officers and employees, from any liability arising out of the actions of the user, its agents, employees and invitees, incidental to the use of the facility by the user. (BTM,2005,02-28,006,_F)

e) Provide evidence of appropriate and adequate insurance protection covering property damage, personal injury, or death arising out of the use of the facility. The chief administrative officer of the college may waive this requirement for government agencies and not-for-profit users upon a determination that there is minimal risk exposure to the college from the event. (BTM,2005,02-28,006,_F)

f) Execute a written agreement with the University setting forth these requirements as well as any additional requirements pertaining to the use of the facility. (BTM,2005,02-28,006,_F)

In all cases, the University and the colleges reserve the right to require and provide, at the user's expense, such security personnel and technical experts as may be needed to insure order and safely on its premises. (BTM,2005,02-28,006,_F)

5 Supervision of Use and Scheduling

The use and scheduling of college facilities shall be under the control and supervision of the chief administrative officer, or his or her designee(s), of each college, including the University's central office, law school, and graduate school and university center, as well as its senior and community colleges. (BTM,2005,02-28,006,_F)

6 Use of Facilities by Employee Groups and Organizations

In the interest of making communication facilities available equally to all organizations officially representing employees of the Board of Trustees, the following policies are hereby adopted (BTM,1962,12-17,013,__):

a) Registered employee organizations may make reasonable use of college or other Board of Trustees mail room and appropriate bulletin board facilities in the communication of material. (BTM,1962,12-17,013,__)

b) To apply for registration, an organization will file with the personnel coordinator of the Board of Trustees a statement of the purpose of the organization—which may be in the form of a copy of its bylaws—and a list of its current officers, which shall be kept up to date by notification of changes as they occur. If there is a separate college or Board unit of the organization, the list shall include the officers of the unit. (BTM,1962,12-17,013,__)

c) In regard to use of mailrooms and bulletin boards, the following procedures shall be followed (BTM,1962,12-17,013,__):

(i) The personnel coordinator shall send to each college a listing of registered organizations. (BTM,1962,12-17,013,__)

(ii) All materials distributed or displayed within the college or Board of Trustees unit shall appear under the heading of the name of the employee organization, and shall bear the name of the responsible officer or officers. (BTM,1962,12-17,013,__)

(iii) At the time of distribution or posting, a copy of each item shall be submitted to the Dean of Administration, or in other Board of Trustees units, to the administrative head of the unit. If administrative and/or custodial staff personnel are involved, a copy shall also be given to the personnel officer. (BTM,1962,12-17,013,__)

(iv) For posting on staff bulletin boards, employee organizations shall follow the established policy on each campus, which shall apply equally to all registered organizations. (BTM,1962,12-17,013,__)

(v) Nothing in the foregoing procedures shall be construed to permit censorship of material or interference with free communication between employees and their organizations through the college or through other means or to diminish the existing right of employee organizations to distribute literature outside the college or other Board of Trustees premises. (BTM,1962,12-17,013,__)

d) In regard to use of rooms for employee organization meetings, any registered employee organization shall be permitted to hold meetings at the college or other Board of Trustees unit provided that the meeting is scheduled outside of working hours and further provided, that the room reservation is made through the person in charge of room assignments by a registered officer of the organization. (BTM,1962,12-17,013,__)

1 Governance

All college parking facilities that levy fees shall be managed and operated by the colleges' Auxiliary Enterprise Corporations in accordance with this policy. (BTM,2002,06-24,004,_A)

College vice presidents for finance and administration shall be responsible for overseeing the implementation of this policy on parking facilities. (BTM,2002,06-24,004,_A)

2 Fees, Reporting, and Accountability

Parking operations shall be maintained through fees charged to the users. The use of tax-levy dollars in support of parking facilities must be requested and justified in writing to the University's Vice Chancellor for Budget and Finance. (BTM,2002,06-24,004,_A)

The revenues generated from the fees shall be managed by the Colleges' Auxiliary Enterprise Boards, deposited in a College Auxiliary Enterprise Board-controlled bank account, and used to pay the direct and indirect costs incurred in operating the parking facilities. (BTM,2002,06-24,004,_A)

A restricted reserve fund may be established for planned capital improvements and related future obligations for the parking operations. (BTM,2002,06-24,004,_A)

Parking fees may range up to $300 per annum in fiscal year 2002–2003 and up to $500 thereafter. Different fee rates for students, faculty, full-time staff, and part-time staff, are permitted within the range. Different fees may also be charged for reserved spots and spots in different locations. Exceptions to this range may be permitted only under extraordinary circumstances and subject to the approval of the Chancellor and the Board of Trustees. (BTM,2002,06-24,004,_A)

A control process for charging, billing and collecting fees must be established so that funds are properly accounted for. Controls should include pre-numbered decals, reconciliation of fees collected to decals issued, safeguards for funds collected, the use of the Bursar's Office for deposits, and parking decals. To the extent possible, segregation of duties should exist concerning these fees inasmuch as it is an important control function. Any other fees charged (i.e., fines, duplicate parking decals, etc.) must also have effective controls established. (BTM,2002,06-24,004,_A)

The parking operations will be reviewed yearly as part of the Board of Trustees mandated independent audit of the Auxiliary Enterprises Corporation. The audit report shall contain a separate schedule detailing the revenues and expenditures reported by the colleges' parking operations. A copy of the certified audit report will be provided on a yearly basis to the University's Office of Internal Audit. (BTM,2002,06-24,004,_A)

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,__)

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,__)

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,__)

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)

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)

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)

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)

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)

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.

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

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)

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

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

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

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

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

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)

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)

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,__)

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)

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)

1 General Statement of Policy.

It is the policy of the University that all of its activities shall be conducted in accordance with the highest standards of integrity and ethics and in a manner that will not reflect or appear to reflect adversely on the University's credibility, objectivity, or fairness. Every individual to whom this Policy is applicable (each, a "Covered Individual") must maintain the highest standards of honesty and integrity and must refrain from any use whatsoever of his or her position at the University, or the information, privileges, or influence such position may provide, when such use is motivated by, or gives the appearance that it is motivated by, the desire for private gain or advantage for the Covered Individual, or for other persons, institutions, or corporations with which he or she has family, professional, business, or financial connections. Accordingly, no Covered Individual shall have any interest, financial or otherwise, direct or indirect, or engage in any business or transaction or professional activity, or incur any obligation of any nature, which is in substantial conflict with the proper discharge of his or her duties and responsibilities at the University.

Sections 2 and 3 of this Policy, which set forth the general standards of conduct and the rules regarding hiring, employment, and contracting decisions and supervisory responsibility involving Family Members, apply to all Covered Individuals. Section 4 sets forth specific obligations of Investigators, whether or not they are Covered Individuals, who are involved in research or similar educational or community outreach activities at the University (collectively, "research") and the University's procedures for reviewing and managing Financial Conflicts of Interest that may arise in connection with such activities. Section 5 sets forth provisions regarding records retention requirements and sanctions for violations of this Policy. Section 6 sets forth the definitions of "Covered Individual", "Family Members", "Financial Conflict of Interest", "Investigator", and other terms used in this Policy. The provisions of this Policy are to be interpreted in light of the paramount importance of academic freedom in the activities of the University.

In the event that Federal, state, or local laws or regulations are enacted (or amended) that require changes in this Policy, the University may amend this Policy, and any related document officially issued by the University to set forth procedures for the implementation of this Policy (each, a "Conflict of Interest Procedural Document"), in order to comply with the new requirements, and such amendment shall not require approval of the University's Board of Trustees.

College and University officials with responsibilities under this Policy are identified by titles that are current as of this Policy's effective date. If the title for a particular position changes at any time, the responsibilities under this Policy shall be performed by the individual having responsibilities within the College or the University similar to the individual who held the former title. If there is a vacancy at any time in the position, the responsibilities under this Policy shall be assumed by the individual to whom such position reports or to his or her designee.

2 General Standards of Conduct.

Although not all possible situations within the scope of this Policy are included in this Section 2, the following standards, which are primarily based on provisions in New York State Public Officers Law §§ 73 and 74, shall serve as general guidance for Covered Individuals. All Covered Individuals are encouraged to consult the advisory opinions of the New York State Joint Commission on Public Ethics interpreting these provisions at http://www.jcope.ny.gov, and all Covered Individuals should bring questions about the applicability or interpretation of any of these standards to the University's Office of the General Counsel at ogc@mail.cuny.edu.

2.1. No Covered Individual shall accept other employment that will impair his or her independence of judgment in the exercise of his or her duties or responsibilities at the University.

2.2. No Covered Individual shall accept other employment or engage in any business or professional activity that will require him or her to disclose confidential information gained by reason of his or her position or authority at the University.

2.3. No Covered Individual shall disclose confidential information acquired in the course of his or her duties or responsibilities at the University, except as required by such duties or responsibilities or by law, nor use such information to further his or her personal interests.

2.4. No Covered Individual shall use or attempt to use his or her position at the University to secure unwarranted privileges or exemptions for himself or herself or others.

2.5. No Covered Individual shall engage in any transaction as a representative or agent of the University with any business entity in which he or she has a direct or indirect financial interest that might reasonably tend to conflict with the proper discharge of his or her duties or responsibilities at the University.

2.6. A Covered Individual shall not by his or her conduct give reasonable basis for the impression that any person can improperly influence him or her or unduly enjoy his or her favor in the performance of his or her duties or responsibilities at the University, or that he or she is affected by the kinship, rank, position, or influence of any party or person in the performance of those duties or responsibilities.

2.7. A Covered Individual shall abstain from making personal investments in enterprises that he or she has reason to believe may be directly involved in decisions to be made by him or her at the University or that will otherwise create substantial conflict between his or her duty or responsibility at the University and his or her private interest.

2.8. No Covered Individual, nor any firm or association of which he or she is a member, nor any corporation ten percent (10%) or more of the stock of which is owned or controlled directly or indirectly by such Covered Individual, shall sell any goods or services having a value in excess of $25 to the University, or contract for or provide such goods or services with or to any private entity where the power to contract, appoint, or retain on behalf of the private entity is exercised, directly or indirectly, by the University, unless such goods or services are provided pursuant to an award or contract let after public notice and competitive bidding.

2.9. No Covered Individual shall accept gifts of more than nominal value where the circumstances would permit the inference that (a) the gift was intended to influence the Covered Individual in the performance of his or her duties or responsibilities at the University, or (b) the gift constituted a tip, reward, or sign of appreciation for any act by the Covered Individual in connection with those duties or responsibilities.

3 Policy regarding Nepotism in Hiring, Employment, Supervisory Responsibility, and Contracting.

4 Policy on Financial Conflicts of Interest in Research.

5 Miscellaneous.

6 Definitions.

As used in this Policy, the following words shall have the following meanings:

I. Policy on Equal Opportunity and Non-Discrimination

The City University of New York ("University or "CUNY"), located in a historically diverse municipality, is committed to a policy of equal employment and equal access in its educational programs and activities. Diversity, inclusion, and an environment free from discrimination are central to the mission of the University.

It is the policy of the University to recruit, employ, retain, promote, and provide benefits to employees and to admit and provide services for students without regard to race, color, creed, national origin, ethnicity, ancestry, religion, age, sex, sexual orientation, gender, gender identity, marital status, partnership status, disability, genetic information, alienage, citizenship, military or veteran status, pregnancy, or status as a victim of domestic violence/stalking/sex offenses, or any other legally prohibited basis in accordance with federal, state and city laws. 1

[Footnote:] 1 As a public university system, CUNY adheres to federal, state and city laws and regulations regarding non-discrimination and affirmative action. Should any federal, state or city law or regulation be adopted that prohibits discrimination based on grounds or characteristics not included in this Policy, discrimination on those additional bases will also be prohibited by this Policy.

It is also the University's Policy to provide reasonable accommodations when appropriate to individuals with disabilities, individuals observing religious practices, or employees who are victims of domestic violence/stalking/sex offenses.

This Policy also prohibits retaliation for reporting or opposing discrimination, or cooperating with an investigation of a discrimination complaint.

II. Policy Against Sexual Harassment

Sexual harassment, a form of sex discrimination, is illegal under federal, state, and city laws, and will not be tolerated within the University. Members of the University community who believe they have been sexually harassed are strongly encouraged to report the allegations as promptly as possible. Delay in making a complaint of sexual harassment may make it more difficult to investigate the allegations.

III. Discrimination, Sexual Harassment and Retaliation Complaints

The City University of New York is committed to addressing discrimination, sexual harassment and retaliation complaints promptly, consistently and fairly. There shall be procedures for making and investigating such complaints, which shall be applicable at each unit of the University.

IV. Academic Freedom

These policies shall not be interpreted so as to constitute interference with academic freedom.

V. Responsibility for Compliance

The President of each college of the University, the CUNY Executive Vice Chancellor and Chief Operating Officer, and the Deans of the Law School and Graduate School of Journalism will have ultimate responsibility for overseeing compliance with these policies at their respective units of the University. In addition, each dean, director, department chairperson, executive officer, administrator, or other person with supervisory responsibility must promptly consult with the Chief Diversity Officer if they become aware of conduct that may violate this policy. All members of the University community are required to cooperate in any investigation of a discrimination, sexual harassment or retaliation complaint.

1 Policy Statement

The City University of New York ("CUNY") disapproves of violence against women, men, or children in any form, whether as an act of workplace violence or in any employee's personal life. Domestic violence can spill over into the workplace, compromising the safety of both victims and co-workers and resulting in lost productivity, increased health care costs, increased absenteeism, and increased employee turnover. CUNY is committed to full compliance of all applicable laws governing domestic violence in the workplace while ensuring its commitment to the principles of academic freedom. CUNY is committed to promoting the health and safety of its employees, and to making a significant and continual difference in the fight to end domestic violence. CUNY will review this policy annually and will notify all employees and the New York State Office for the Prevention of Domestic Violence ("OPDV") of any revisions. This policy is enacted pursuant to the terms and obligations imposed upon CUNY by New York State Executive Order No. 19 dated October 22, 2007. (BTM,2008,06-23,005,_B)

2 Definitions

For purposes of this policy, the following terms will be defined as follows. (BTM,2008,06-23,005,_B)

Domestic Violence: A pattern of coercive tactics, which can include physical, psychological, sexual, economic and emotional abuse, perpetrated by one person against an adult intimate partner, with the goal of establishing and maintaining power and control over the victim. (BTM,2008,06-23,005,_B)

Intimate Partner: Includes persons legally married to one another; persons formerly married to one another; persons who have a child in common, regardless of whether such persons are married or have lived together at any time; couples who live together or have lived together; or persons who are dating or who have dated in the past, including same sex couples. (BTM,2008,06-23,005,_B)

Abuser: A person who perpetrates a pattern of coercive tactics which can include physical, psychological, sexual, economic, and emotional abuse against an adult intimate partner, with the goal of establishing and maintaining power and control over the victim. (BTM,2008,06-23,005,_B)

Victim: The person against whom an abuser directs coercive and/or violent acts. (BTM,2008,06-23,005,_B)

3 Policy

1 Purpose

The purpose of this policy is to (BTM,2002,11-18,005,_B):

a) Serve the public good by promoting and facilitating the dissemination of the products of research, authorship and invention by the University community

b) Recognize and encourage research, authorship and invention by the University community by providing for the sharing of tangible rewards resulting from the commercialization of such research, authorship and invention

c) Define the ownership, distribution and commercialization rights associated with the products of research, authorship and invention by the University community, and to define the policies and procedures for managing such products

2 Definitions

3 Applicability

This policy shall apply to all forms of intellectual property created or developed, in whole or in part, by members of the University (BTM,2002,11-18,005,_B):

a) Making substantial use of university resources

b) As a direct result of University duties

c) Pursuant to the terms of an agreement to which the University is a party

d) In the course of, or related, to activities on grants or contracts administered by the Research Foundation

4 Ownership Of Intellectual Property

5 Administration of this Policy

Authority and responsibility for this policy shall reside with the Chancellor. The Chancellor may seek the advice and assistance of the Intellectual Property Committee. The responsibility for administration of the policy at the college level is delegated to the designated individual at each college. (BTM,2002,11-18,005,_B)

6 Management of Intellectual Property

This provision does not apply to commissioned work or copyrightable work created within the scope of employment, or to negotiated agreements to the extent that this provision conflicts with the terms of the negotiated agreement. (BTM,2002,11-18,005,_B)