APPROVED 030306
IUPUI
Faculty Council
Faculty Affairs Committee
February
2003
This policy is
intended to cover transfer, merger, reorganization, reduction, and elimination
of academic programs. Because IUPUI
is a dynamic institution that faces the challenge of preserving the important
traditions of teaching, scholarship, and service while positioning itself to
meet new demands in higher education, it may be necessary to make changes to
the organizational structure of the campus, including the transfer and merger
of programs between schools and departments, the reorganization of programs,
including the division of schools and departments into smaller units, and at
times even the reduction or elimination of a program. Although financial considerations may be a
factor in the decision to transfer, merge, or reorganize an academic program,
clearly the primary determinant must be that such a structural change offers
significant enhancement to the educational process. Similarly, decisions to reduce or eliminate
programs must be based on strong evidence that such steps are necessary to
ensure the long-term viability of the educational mission as a whole, rather
than as an adjustment for temporary budget or enrollment variations.
Consultation
among all the relevant parties in matters of transfer, merger, reorganization,
reduction, or elimination of programs is in the best interest of the
administration, the faculty, the staff, and the students. Although the appropriate locus of decisions
regarding school-level units is the school, the complexity of IUPUI requires
faculty consultation at the campus level as well. When such structural changes as transfer,
merger, reorganization, reduction, or elimination of programs are contemplated,
the process must include faculty involvement and input at all stages and must
also have a goal of providing affected faculty with the opportunity to be part
of the new organizational structure through reassignment and retraining. The
dismissal of faculty and librarians with tenure or the termination of faculty
or librarians before the expiration of a term of appointment is allowed only
when the Chancellor declares the campus in a state of financial exigency. (See
Policy on Dealing with the Effects of Financial Difficulties Upon Faculty at
IUPUI.)
B.
It is expected that financial considerations will be a
factor in decisions on the transfer, merger, reorganization, reduction, or
elimination of programs when the range of programs offered must be limited in
order to have sufficient resources available to ensure acceptable educational
quality. However, such changes should
not be undertaken if the savings to be realized are inconsequential, and both
the tangible and intangible costs of program changes must be addressed.
C.
When an academic
program is to be transferred, merged, reorganized, reduced, or eliminated,
every effort should be made to phase the changes in over an adequate period of
time with due notice given to staff and students, and with consideration of the
contractual rights of faculty whose appointments will be affected. In cases of program elimination, the phase-in
period should not be less than two years.
In any such changes, the impact on students, particularly those already
enrolled in the affected program(s), must be considered.
D.
Proposals to transfer, merge, reorganize, reduce, or
eliminate academic programs must include provision for reassigning and
retraining faculty members affected by the change including reassignment of faculty
members to other campus schools and units in order to preserve their tenure
status.
E.
No affected faculty member shall be left out
of the process or be disenfranchised as a result of the process outlined in
this policy.
Article II of the
Constitution of the IUPUI Faculty provides the faculty with legislative
authority in the determination of faculty status and the standards and
procedures of faculty appointments and faculty promotion and tenure. With this in mind, the following points must
be observed:
A. Decisions concerning transfer, merger,
reorganization, reduction, or elimination of programs shall occur as a result
of a review process in which the faculty has assumed a prominent consultative
role and has had an opportunity to vote on the proposed plan by secret ballot.
B. Transfer, merger, reorganization,
reduction, or elimination of a program shall proceed according to procedures
outlined in Section IV and by the elected policy committee of each school
directly affected.
C. When the implementation of a transfer,
merger, reorganization, reduction, or elimination of a program results in a
change in faculty appointments, changes will proceed according to procedures
outlined in V below.
D. Proposals to transfer programs from one
campus to another, to merge programs on more than one campus, or to reorganize,
reduce, or eliminate programs existing on more than one campus shall be
governed by policies that may be developed by the University Faculty Council.
III. Affirmative Action
All procedures
shall be applied in a manner that is consistent with
IV. Procedures
for Program Transfer, Merger, Reorganization, Reduction, or Elimination of Academic Programs
The review of an
academic program for transfer, merger, reorganization, reduction, or
elimination shall be in accordance with the following procedures. It is expected that, before the following
procedures are undertaken, there has been considerable
discussion between the Dean(s) of the affected program(s) and the faculty, staff, and students within the
program(s), as well as consultation with alumni and leaders in the particular
professional organizations who represent practitioners from the program(s). The degree of concern or opposition will
determine whether the procedure to be followed will be Model A, B or C.
(Model A will be followed when there is
strong opposition. In this case, a more
comprehensive review process will be required.)
1.
The Dean(s) of the affected program(s) must provide
notice to the faculty, staff, and students of the affected program(s) when the
change is first contemplated. This
should be done as a formal meeting between the Dean and the faculty, staff, and
students. This meeting shall include discussion of which school and faculty
governance bodies are to review the financial viability of the school and its
affected programs, and what review processes are to be used and shall include
the issuance of a precise statement about the financial and other difficulties
associated with the affected programs and the possible impact on the school for
not taking action. Sufficient
documentation shall be provided to the faculty and to any others who request it
to support and explain any proposed plan.
2.
The school’s or unit’s faculty governance body may
proceed like the Dean as in #1 above to address financial difficulties that
they believe are present in either specific programs or within a specific
school or unit as a whole. In these
situations, the designated leader of a school’s faculty governance body should
be the one to initiate the meeting following the guidelines in #1 above.
3.
The program
faculty shall have an opportunity to discuss the proposed plan and vote by
secret ballot.
4.
The Dean(s) of the affected program(s) shall provide an
opportunity for input by faculty, staff and students of the affected program(s)
prior to any formal action.
5.
The faculty of
the school(s) with affected programs shall forward its response to and the
results of their voting on the proposed changes to the Dean with a copy to the
Chancellor. In preparing the response,
the faculty shall address the factors under
IV. 6. a-j.
6.
Any proposal to transfer, merge, reorganize, reduce, or
eliminate a program must be evaluated according to the following
considerations:
a.
The centrality of the program to the mission of the
institution as a whole, as well as to the school or department in which it is
located
b.
The academic strength and quality of the program and
its faculty
c.
The complementary of the program and the work done
therein to
other programs or to essential functions
performed at the institution
d.
The duplication of work done in the program and the
work done
in other programs, departments, or schools
e.
The current and projected demand for the subject matter
taught in the program(s)
f.
The current and predicted comparative cost and
efficiency analysis of the program(s)
g.
The provisions for reassigning and retraining affected
faculty and the financial implications of the change
h.
The availability (or lack) of program material at other
campuses or other institutions
i.
The importance of the program(s) in meeting the
educational or workforce
training needs of
j.
Other factors as appropriate, such as facilities.
7.
Having considered the input from faculty, staff, and
students, the Dean(s) shall forward a proposal for the transfer, merger,
reorganization, reduction, or elimination of the affected program(s) to the
Chancellor with a rationale for why these organizational changes are necessary,
how they will enhance the educational process, and what their impact will be on
faculty, staff and students. In
preparing the proposal, the Dean(s) shall address the factors under IV.6.a-j
and include an environmental impact statement that shows how the changes will
impact other programs and affect the campus as a whole.
8.
If the Dean(s)' proposals and the faculty responses are
in agreement on the rationale for and implementation of the changes and if the
changes do not involve the elimination of a degree-granting program, the
Chancellor shall forward them to the IUPUI Faculty Council Executive
Committee. If the Committee believes
that further review is required, a majority vote may result in a request that
the Committee review the proposal and its effects on faculty, staff and
students. The Committee may choose to
appoint an ad hoc committee to review the proposal or assign the proposal to
one of the already constituted committees of the IUPUI Faculty Council for
further review.
9.
The Executive Committee review process must include at
least one meeting with members of the faculty from the schools or departments
affected by the proposed changes.
10. Persons
affected by, or concerned about, the proposed changes shall be permitted to
provide written comments, which will be considered as part of the Executive
Committee review process.
11. The
Executive Committee or its designee shall prepare a report and recommendations
and forward a copy to the Chancellor and to the Dean(s) of the affected
program(s).
12. The
Dean(s) shall provide a response to the Executive Committee which will submit
the proposal, the recommendations of the Committee or its designee, and the
response(s) from the Dean(s) to the IUPUI Faculty Council.
13. When
the Chancellor of IUPUI declares that there may be a need to transfer, merge,
reorganize, reduce, or eliminate a program on campus and that these structural
changes may have an impact beyond the affected program(s) and result in the
reassignment of faculty or the elimination of degree-granting programs, or when
there is disagreement between the Dean(s) of the affected programs and the
faculty, the proposal will be submitted to the IUPUI Faculty Council Executive
Committee for further review.
14. The
Executive Committee review process must include at least one open, campus-wide
meeting at which anyone with concerns about the proposed changes may be heard.
15. The
IUPUI Faculty Council shall be given a reasonable time to deliberate and make
its own recommendations to the Chancellor concerning the proposal.
16. The
Chancellor shall make final recommendations on the proposal and forward it to
the Dean(s) of the affected program(s) for implementation.
(Model B will be followed when there is
uncertainty regarding the change and further investigation is needed.)
1.
The Dean(s) of the affected program(s) must provide
notice to the faculty, staff, and students of the affected program(s) when the
change is first contemplated. This
should be done as a formal meeting between the Dean and the faculty, staff, and
students. This meeting shall include discussion of which school and faculty
governance bodies are to review the financial viability of the school and its
affected programs, and what review processes are to be used and shall include
the issuance of a precise statement about the financial and other difficulties
associated with the affected programs and the possible impact on the school for
not taking action. Sufficient documentation
shall be provided to the faculty and to any others who request it to support
and explain any proposed plan.
2. The school’s or unit’s faculty governance body may
proceed like the Dean in #1 above to address financial difficulties that they
believe are present in either specific programs or within a specific school or
unit as a whole. In these situations,
the designated leader of a school’s faculty governance body should be the one
to initiate the meeting following the guidelines in #1 above.
3.
The program and/or program faculty shall have an
opportunity to discuss the proposed plan and vote by secret ballot.
4.
The Dean(s) of the affected program(s) shall provide an
opportunity for input by faculty, staff, and students of the affected
program(s) prior to any formal action.
5.
The faculty of the school(s) with affected programs
shall forward its response to and the results of its vote on the proposed
changes to the Dean with a copy to the Chancellor. In preparing the response, the faculty shall
address the factors under IV.6.a-j.
6.
Any proposal to transfer, merge, reorganize, reduce, or
eliminate a program must be evaluated according to the following
considerations:
a.
The centrality of the program to the mission of the
institution as a whole, as well as to the school or department in which it is
located
b.
The academic strength and quality of the program and
its faculty
c.
The complementary of the program and the work done
therein to other programs or to essential functions performed at the
institution
d.
The duplication of work done in the program and the
work done in other programs, departments, or schools
e.
The current and projected demand for the subject matter
taught in the Program(s).
f.
The current and predicted comparative cost and
efficiency analysis of the program(s)
g.
The provisions for reassigning and retraining affected
faculty and the financial implications of the change
h.
The availability (or lack) of program material at other
i.
The importance of the program(s) in meeting the
educational or workforce training needs of
j.
Other factors as appropriate, such as facilities.
7.
Having considered the input from faculty, staff, and
students, the Dean(s) shall forward a proposal for the transfer, merger,
reorganization, reduction, or elimination of the affected program(s) to the
Chancellor with a rationale for why these organizational changes are necessary,
how they will enhance the educational process, and what their impact will be on
faculty, staff and students. In
preparing the proposal, the Dean(s) shall address the factors under IV.6.a-j
and include an environmental impact statement that shows how the changes will
impact other programs and affect the campus as a whole.
8.
If the Dean(s)' proposals and the faculty responses are
in agreement on the rationale for and implementation of the changes and if the
changes do not involve the elimination of a degree-granting program, the
Chancellor shall forward them to the IUPUI Faculty Council Executive Committee. If the Committee believes that further
review is required, a majority vote may result in a request that the Committee
review the proposal and its effects on faculty, staff, and students. The Committee may choose to appoint an ad hoc
committee to review the proposal or assign the proposal to one of the already
constituted committees of the IUPUI Faculty Council for further review.
9.
The Executive Committee review process must include at
least one meeting with members of the faculty from the schools or departments
affected by the proposed changes.
10. Persons
affected by, or concerned about, the proposed changes shall be permitted to
provide written comments, which will be considered as part of the Executive
Committee review process.
11. The
Executive Committee or its designee shall prepare a report and recommendations
and forward a copy to the Chancellor and to the Dean(s) of the affected
program(s).
12. The
Chancellor shall make final recommendations on the proposal and forward it to
the Dean(s) of the affected program(s) involved for implementation.
(Model C will be followed when there is
little to no opposition to the program transfer, merger, reorganization, or
elimination of academic programs.)
1. The Dean(s) of
the affected program(s) must provide notice to the faculty, staff, and students
of the affected program(s) when the change is first contemplated. This should be done as a formal meeting between
the Dean and the faculty, staff, and students. This meeting shall include
discussion of which school and faculty governance bodies are to review the
financial viability of the school and its affected programs, and what review
processes are to be used and shall include the issuance of a precise statement
about the financial and other difficulties associated with the affected
programs and the possible impact on the school for not taking action. Sufficient documentation shall be provided to
the faculty and to any others who request it to support and explain any
proposed plan.
2. The school’s or unit’s
faculty governance body may proceed like the dean in #1 above to address
financial difficulties that they believe are present in either specific
programs or within a specific school or unit as a whole. In these situations the designated leader of
a school’s faculty governance body should be the one to initiate the meeting
following the guidelines in #1 above.
3.
The program faculty shall have an opportunity to
discuss the proposed plan and vote by secret ballot.
4.
The Dean(s) of the affected program(s) shall provide an
opportunity for input by faculty, staff, and students of the affected
program(s) prior to any formal action.
5.
The faculty of the school(s) with affected programs
shall forward its response to and the results of its vote on the proposed changes
to the Dean with a copy to the Chancellor.
In preparing the response, the faculty shall address the factors under
IV.6.a-j.
6.
Any proposal to transfer, merge, reorganize, reduce, or
eliminate a program must be evaluated according to the following considerations:
a.
The centrality of the program to the mission of the
institution as a whole, as well as to the school or department in which it is
located
b.
The academic strength and quality of the program and
its faculty
c.
The complementary of the program and the work done
therein to other programs or to essential functions performed at the
institution
d.
The duplication of work done in the program and the
work done in other programs, departments, or schools
e.
The current and projected demand for the subject matter
taught in the program(s)
f.
The current and predicted comparative cost and
efficiency analysis of the program(s)
g.
The provisions for reassigning and retraining affected
faculty and the financial implications of the change
h.
The availability (or lack) of program material at other
i.
The importance of the program(s) in meeting the
educational or workforce training needs of
j.
Other factors as appropriate, such as facilities.
7.
Having considered the input from faculty, staff, and
students, the Dean(s) shall forward a proposal for the transfer, merger,
reorganization, reduction, or elimination of the affected program(s) to the
Chancellor with a rationale for why these organizational changes are necessary,
how they will enhance the educational process, and what their impact will be on
faculty, staff and students. In
preparing the proposal, the Dean(s) shall address the factors under IV.6.a-j. and include an environmental impact statement that shows how
the changes will impact other programs and affect the campus as a whole.
8.
The Chancellor shall make final recommendations on the
proposal and forward it to the Dean(s) of the affected program(s) for
implementation.
V. Procedures
Relating to Faculty Appointments as a Result of Transfer, Merger,
Reorganization, Reduction, or Elimination of Academic Programs
A. Transfer, Reorganization, or Merger of Programs
1. Faculty members with
tenure or those with an unexpired appointment shall not be involuntarily
terminated as a result of transfer, merger, or reorganization of programs,
which includes the division of a school or department into smaller units.
2. Faculty of a
transferred, merged, or reorganized program shall be reassigned to another
appropriate program at IUPUI.
a. Tenured faculty shall be reassigned
with tenure.
b. Faculty members with an
unexpired appointment shall have the right, when reassigned, to serve no less
than the remainder of their current term of appointment in the new program.
c. A faculty member’s
reassignment shall not result in a reduced rate of compensation.
d. Other benefits earned
before reassignment, such as credit toward a sabbatical leave, shall not be
lost as a result of reassignment.
3. If the administrator of
a program that is to receive a reassigned faculty member determines that such
reassignment should be contingent upon retraining, affected faculty members
shall be:
a. automatically
eligible for training leave and
b. informed
in writing by the administrator of the program to which they are scheduled to be reassigned what specific
training must be completed successfully in order to maximize productivity
following reassignment.
4.
The University shall facilitate retraining for
reassignment by approving release time or leaves with pay and fringe benefits
for affected faculty members, in addition to
requesting tuition-free admission from the Board of Trustees
to appropriate courses
at
5. Reassigned faculty shall not displace
an incumbent in an existing position.
6. If the affected
program(s) is part of a school with system-wide responsibilities, faculty may be
reassigned to a similar program at another campus, provided that such an
assignment is voluntary on the part of the faculty member and shall encompass
all of the protections identified in V.A.1-5 above. Faculty member choosing not to accept
reassignment to another campus shall not be penalized.
B. Reduction of Programs
1. Reduction of programs
shall not result in the involuntary termination of tenured faculty or those
with unexpired terms of appointment.
2. Reduction of programs
ordinarily shall be accomplished through attrition of faculty by retirement,
voluntary resignation, or expiration of terms of appointment.
3. Reduction of programs also may be
accomplished by means of negotiated termination
of
faculty with compensation or by voluntary reassignment in accordance with
the
applicable provisions identified in V.A.2 - V.A.6 above.
C. Elimination of Programs
1. Except under conditions
of financial exigency, as defined by the Policy on Dealing with the Effect of
Financial Difficulties Upon Faculty at IUPUI,
elimination of a program shall not result in the termination of either tenured
faculty or those serving with unexpired terms of appointment.
2.
In the event of program elimination under conditions
other than those of financial exigency, the University shall reassign affected
faculty in accordance with the
provisions identified in V.A.2-V.A.6 above. Such reassignment may include employment of
faculty members in comparable non-faculty positions, provided that faculty
members retain their faculty status, salary, and benefits. However, a reassigned faculty member shall
not displace an incumbent employee in that position.
D. Prior Notice
After a decision
has been made to reassign a faculty member or not to renew an existing faculty
appointment under the provisions of V.A-C, the Chancellor of IUPUI shall –
pursuant to the “Responsibilities and Privileges of Academic Appointment” in
the Indiana University Academic Handbook – provide the affected faculty member
with a written notice of such action at least one year prior to initiation of
the change.
E. Appeal
1. Faculty members who are
affected by the provisions of these procedures shall have the right of appeal
to the Faculty Board of Review.
2. An appeal shall be made on the basis of
a complaint about the
interpretation or implementation of procedures regarding
transfer, merger, reorganization, reduction, or elimination of programs as
established by the IUPUI Faculty Council and elected policy committees of the
Schools located at IUPUI.
3. Review of such appeals shall be in
accordance with the existing
procedures of the Faculty Board of Review.
Procedural steps of resolution
1. The Dean(s) of the
affected program(s) shall provide notice to the faculty, staff, and students of
the affected program(s) when the change is first
contemplated.
2. The Dean(s) of the
affected program(s) shall provide an opportunity for input by faculty, staff,
and students of the affected program(s) prior to any formal action.
3.
The faculty of the school(s) of the affected programs
shall forward its response to the proposed changes to the Dean with a copy to
the Chancellor. In preparing the
response, the faculty shall address the factors under IV.6.a-j.
4. Any proposal to
transfer, merge, reorganize, reduce, or eliminate a program must be evaluated
according to the following considerations:
a. The centrality of the
program to the mission of the institution as a whole, as well as to the school
or department in which it is located
b. The academic strength
and quality of the program and its faculty
c. The complementary of the program and
the work done therein to
other programs or to essential functions performed at the
institution
d. The duplication of work done in the
program and the work done
in other programs, departments, or schools
e. The current and
projected demand for the subject matter taught in the program(s)
f. The current and
predicted comparative cost and efficiency analysis of the program(s)
g. The provisions for
reassigning and retraining affected faculty and the financial implications of
the change
h.
The
availability (or lack) of program material at other
i.
The
importance of the program(s) in meeting the educational or workforce
training needs of
j. Other factors as appropriate, such as
facilities
5. After considering the
input from faculty, staff, and students, the Dean(s) shall forward a proposal
for the transfer, merger, reorganization, reduction, or elimination of the
affected program(s) to the Chancellor with a rationale for why these
organizational changes are necessary, how they will enhance the educational
process, and what their impact will be on faculty, staff and students. In preparing the proposal, the Dean(s) shall
address the factors under IV.6.a-j. and include an
environmental impact statement that shows how the changes will impact other
programs and affect the campus as a whole.
6. If the Dean(s)'
proposals and the faculty responses are in agreement on the rationale for and
implementation of the changes and if the changes do not involve the elimination
of a degree-granting program, the Chancellor shall forward them to the IUPUI
Faculty Council Executive Committee.
If the Committee believes that further review is required, a majority
vote may result in a request that the Committee review the proposal and its
effects on faculty, staff, and students.
The Committee may choose to appoint an ad hoc committee to review the
proposal or assign the proposal to one of the already constituted committees of
the IUPUI Faculty Council for further review.
7. The Executive Committee
review process must include at least one meeting with members of the faculty
from the schools or departments affected by the proposed changes.
8. Persons affected by, or
concerned about, the proposed changes shall be permitted to provide written
comments, which will be considered as part of the Executive Committee review process.
9. The Executive Committee
or its designee shall prepare a report and recommendations and forward a copy
to the Chancellor and to the Dean(s) of the affected program(s).
10. The Dean(s) shall provide
a response to the Executive Committee and the Committee will submit the
proposal, the recommendations of the Committee or its designee, and the
response(s) from the Dean(s) to the IUPUI Faculty Council.
11. When the Chancellor of
IUPUI declares that there may be a need to transfer, merge, reorganize, reduce,
or eliminate a program on campus and that these structural changes may have an
impact beyond the affected program(s) and result in the reassignment of
faculty, or the elimination of degree-granting programs, or when there is
disagreement between the Dean(s) of the affected programs and the faculty, the
proposal will be submitted to the IUPUI Faculty Council Executive Committee for
further review.
12. The Executive Committee review process must include at least one
open, campus-wide meeting at which anyone with concerns about the proposed
changes may be heard.
13. The IUPUI Faculty Council
shall be given a reasonable time to deliberate and make its own recommendations
to the Chancellor concerning the proposal.
14. The Chancellor shall make final
recommendations on the proposal
and forward it to the Dean(s) of the affected program(s) for
implementation.
2/03