APPENDIX V

PROCEDURES FOR TRANSFER, CONSOLIDATION, DISESTABLISHMENT,
AND DISCONTINUANCE (TCDD) OF ACADEMIC PROGRAMS AND UNITS

These UCLA procedures were established pursuant to the Systemwide Policy on Transfer, Consolidation, Disestablishment, and Discontinuance of Academic Programs and Units, dated September 19, 1979 and implemented by the Compendium entitled "A Proposal to Streamline and Expedite Systemwide Review Processes for Academic Programs, Academic Units, and Research Units" dated July, 1995.

For purposes of these procedures an academic program is defined as a sequence of courses and examinations leading to a degree; it does not include a concentration within a major, but it does include an established interdepartmental program. An academic unit is defined as a School, College, department or a division within a School, College, or department. It does not include an organized research unit.

The term "Appendix V action" refers to the transfer, consolidation, disestablishment or discontinuation of an academic program(s) or an academic unit(s), whether within a campus or from one campus to another. It also refers to the transfer or consolidation of two or more programs or units, whether within a campus or from one campus to another. It also refers to suspension, meaning a temporary interruption of a program or unit (an extraordinary step to be considered only in exceptional circumstances). It refers to a "major reduction" of budget or FTE (temporary or permanent) of a program or unit which constitutes a de facto Appendix V action. It also refers to a split or division of a program or unit into more than one part.

1. POLICY

1. PURPOSE.

1. If the University is to be able to review and redirect itself from time to time, Appendix V actions must be taken. These procedures are promulgated to assure that these actions are properly carried out.
   
2. The purposes for a review under Appendix V are to:

- Provide an opportunity for all interests affected by a proposed Appendix V action to furnish input into the process, and

- Render an academic judgment on the merits of the proposed Appendix V action.

For purposes of the preceding sentence, the term "academic judgment" should be interpreted broadly. It includes judgment about the quality of the teaching, research, and public service carried on in a given academic unit, the centrality of its program in the University, the demand among students for the program, the role that its graduates play in the community, the uniqueness of the program (or lack thereof), whether the program is conducted efficiently, whether it would be viable at a lower level of budgetary support, and similar questions. 

2. AUTHORITY. The Regents have delegated to the Academic Senate authority over courses and curricula, and to the Administration authority over personnel and resources. Thus, only the Senate may discontinue academic programs; termination of academic units is carried out by the President, the Chancellor, or the Regents. Since these decisions are inextricably interrelated, all Appendix V actions should be preceded by full consultation between Senate and Administration.
    

3. CRITERIA. Appendix V actions should be undertaken only for academic reasons pertaining to the teaching and research functions of the University. Societal requirements, long-range fiscal considerations, and planning objectives can be taken into account. Because of the University's long-term commitments to faculty and students, Appendix V actions cannot, in general, be used to realize short-term savings, and so are not an appropriate response to transitory fiscal problems.
    

4. DE FACTO DISESTABLISHMENT. Since any Appendix V action requires prior Senate review, procedures described herein shall be invoked whenever the Designated Committee, as defined below, determines that gradual or sudden reduction of resources is likely to result in de facto Appendix V action.
    
5. REVIEW AND CONSULTATION.

1. Disestablishing a program or unit should be done with great care and consideration, and only after appropriate consultation and evaluation.
   
2. The review process shall include substantive participation by all relevant parties--faculty, students, Academic Senate, staff, and Administration.
   
3. All parties who would be affected by a contemplated Appendix V action shall have timely access to relevant information consistent with the provisions of University personnel policy. 

6. SAFEGUARDS FOR STUDENTS. Students enrolled in a program or unit which is disestablished, consolidated, transferred, discontinued or suspended should have reasonable opportunity to complete their degrees in the program.
    
7. SAFEGUARDS FOR FACULTY. Every effort shall be made to minimize the disruptive effects of Appendix V actions upon the careers of the affected faculty. Policies and procedures governing faculty tenure and related matters shall be strictly followed. A proposal or recommendation for an Appendix V action must be accompanied by a plan for reassignment of the affected faculty.

2. GENERAL PROVISIONS.

1. DESIGNATED COMMITTEES.

1. The "Designated Committees" for a Senate Appendix V action are:

- Undergraduate Council for undergraduate programs and units [see Bylaw 65.4]

- Graduate Council, for graduate programs and units [see Bylaw 65.2(3)]

2. AFFECTED FACULTY. A proposal for an Appendix V action affecting a unit, program or major must be voted upon by the Faculty of the College or School concerned.
    
3. ROLE OF THE EXECUTIVE BOARD. The Executive Board shall discharge the following functions in connection with a proposed Appendix V action:

1. Make the decision to initiate an Appendix V review;
   
2. Notify Systemwide Senate that an Appendix V review has been initiated;
   
3. Facilitate the process of negotiation between the academic program or unit and the Administration;
   
4. Perform advisory and coordinating functions (including setting deadlines for designated and ad hoc committees). 

4. ROLE OF THE COUNCIL ON PLANNING AND BUDGET. The role of the Council on Planning and Budget under Appendix V is to render assistance to the other actors in the process--faculties, Faculty Executive Committees, ad hoc committees, designated committees, Executive Board, and Legislative Assembly. The Council should also be consulted with reference to a "de facto" Appendix V action. The Council should render assistance both with regard to academic planning issues and also with regard to such budgetary questions as the financial effect of an FTE reduction, the viability of a unit after resources have been reduced, the efficiency with which a unit is operated, and similar questions.
    
5. COORDINATION. A designated committee shall:

1. notify the Chancellor, and through the Chancellor, the President, early in the process if:

1. the academic program or unit under consideration appears to be unique in the University of California;
   
2. the action would involve intercampus transfer or consolidation;
   
3. the Appendix V action would have systemwide effects, or effects on higher education within California beyond the University of California.

2. promptly notify and confer with the faculties, deans, and executive committee that would be directly affected by such action, the Council on Planning and Budget, and the Chair of the Division. 

6. INTERRUPTION OF PROCEDURE. The Designated Committee may:

1. reconstitute the ad hoc committee (specified in IIIA);
   
2. terminate the review if further consideration becomes inappropriate. 

7. STUDENT REPRESENTATIVES. Student representatives, appointed in accordance with Bylaw 45, are members of the committees to which they have been appointed. However, their votes are counted separately from those of the faculty. Subject to approval by the Committee, the Chair may exclude student representatives from the hearings or deliberations if sensitive personnel issues are to be discussed; this rule holds both for Designated Committees and the ad hoc committees.
    
8. CONFLICT OF INTEREST.

1. General rule: A member of any committee, including a student representative, that would be directly affected by the outcome of an Appendix V action, must recuse him or herself from any committee engaged in such review. A member is directly affected if the action in question will have an impact on the member's department or other unit separate and distinct from impacts on other departments or units. A member is also directly affected by a decision in which the member has a material financial interest. Such recusals become effective at the time that an Appendix V action is initiated. [See Bylaw 45L for complete language on Conflicts of Interest.] 

9. UNRESOLVED ISSUES. Any issues pertaining to Appendix V actions not covered explicitly by this Appendix shall be resolved by the Executive Board of the Academic Senate subject to approval by the Committee on Rules and Jurisdiction for conformity with the Code of the Academic Senate. 

3. FORMAL REVIEW PROCEEDINGS. 

1. AD HOC COMMITTEE. The Designated Committee shall select a balanced and knowledgeable ad hoc committee composed of Senate members to investigate the issues and to make recommendations to the Designated Committee on the proposed Appendix V procedure. In selecting an ad hoc committee, the Designated Committee may request suggestions from the Committee on Committees. The ad hoc committee may be composed entirely, partially, or not at all of members of the Designated Committee. The Designated Committee in its discretion may select one or more students as non-voting members of an ad hoc committee.
    
2. SEEKING ADVICE. The ad hoc committee will seek expert advice on campus, and may also do so off-campus.
    
3. OPEN HEARING. The ad hoc committee will invite written arguments from all interested parties, hear oral arguments to the extent feasible, and hold an open hearing at which interested parties can present their views. It will ensure that a vote of the relevant Faculty is taken.
    
4. REPORT. The ad hoc committee must report its reasoning and its recommendation in writing to the Designated Committee. The Designated Committee may hold an open hearing at its discretion.
    
5. TRANSMITTALS BY DESIGNATED COMMITTEE. Upon receiving the report of the ad hoc committee, the Designated Committee will seek whatever additional information it believes necessary before arriving at its recommendation in closed session. It shall transmit its recommendation, along with the report of the ad hoc committee, to the chairs of the relevant departments and interdepartmental committees, the Executive Committee of the School or College, the affected faculty members, the Divisional Chair, the Undergraduate Council, the Committee on Diversity and Equal Opportunity, Privilege and Tenure, the Councils on Academic Personnel and Planning and Budget, the Chancellor, the appropriate deans and, to the extent practical, the affected students.
    
6. DESIGNATED COMMITTEE'S REPORT.

1. The Designated Committee's report should:

- contain the arguments, pro and con;

- identify the position of all relevant parties, including majority and minority reports of appropriate committees of the Academic Senate;

- report any votes on the issue by faculty of the program or unit affected, and of the relevant School or College, and comments by the Council on Academic Personnel and the Committee on Privilege and Tenure on the reassignment of the associated faculty.

2. The Designated Committee shall submit copies of its report and recommendation promptly for consideration by all members of the Legislative Assembly. The Executive Board shall determine whether the matter is to be raised at the next regularly scheduled meeting, or at a Special Meeting of the Assembly, based on the need to ensure both timely action and adequate opportunity for interested parties to present their case before the Assembly and insert statements in the Notice of Meeting.

7. LEGISLATIVE ASSEMBLY ACTION. The Legislative Assembly will then take action on the proposal for Appendix V actions. Immediately after the vote of the Assembly, the Secretary shall promptly notify the proper administrative officials of the Senate's action with respect to academic programs or recommendations with respect to academic units.

4. ALTERNATIVE DISPUTE RESOLUTION. Consensual resolution of an Appendix V action by all parties thereto is not precluded by this Appendix. If a consensual resolution is reached, the full procedures described herein may be dispensed with provided, however, that the final agreement is approved by the appropriate designated committee(s) and the Legislative Assembly.

5. PROCEDURES RELATED TO DE FACTO APPENDIX V ACTION.

1. If the appropriate Designated Committee, as defined in II, finds prima facie evidence that an actual or proposed reduction of resources is likely to result in de facto Appendix V action, it shall conduct a review and make a determination whether a de facto Appendix V action has occurred or is occurring.
    
2. A complete review will include consultation with the Chair and faculty of the affected unit or program as well as the Chancellor and other appropriate administrative officers.
    
3. A review may be terminated, at the discretion of the Designated Committee, if:

1. the resource dispute is resolved,
   
2. a formal proposal for Appendix V action is made by the Administration and the Designated Committee agrees to institute a review,
   
3. the Committee does not find sufficient cause to proceed.

4. If, following a complete review, the Designated Committee determines that a de facto Appendix V action has occurred or is occurring, it shall report its findings to the Divisional Chair who shall consult with the Chancellor on the issue.

5. If, in the view of the Designated Committee, these consultations do not resolve the matter, the Committee's findings shall be reported to the Legislative Assembly. If the Assembly concurs with these findings, the Designated Committee shall proceed with a normal Appendix V review under the provisions of this Appendix. [Am 11 Mar 86, 13 Apr 82, 28 May 96]