APPENDIX V PROCEDURES

Steps in the Process

Prepared by

Committee on Rules and Jurisdiction

[June 2001; Revised April 2002]

1) Preparing the Proposal. Though Appendix V principally concerns the procedures taken by the Senate once a proposal has been received, we cannot overemphasize the importance of preparing a clear and thoroughly documented proposal. In general, the more information that can be provided at the outset, the simpler the whole process will be. Any proposal to transfer, consolidate, disestablish or discontinue academic programs or units should originate in the programs or units involved, with the full consultation of all relevant faculty, students, staff, administrators, and others who play an active role in the program/unit (see Appendix V, I. (B)).

The proposal must include a detailed description of the academic programs, degrees and curricula being proposed; crucially, this requires a clear and compelling academic rationale for the action. While long-range fiscal or resource planning concerns may be taken into account, budgetary savings or administrative 'streamlining' do not themselves justify such actions (see Appendix V, I. (C)).

In the case of proposals to transfer or consolidate academic programs or units, the proposal must describe, as fully as possible, the governance structure of the new proposed programs or units, particularly the role of Senate members (as listed in Standing Order of the Regents 105.1) in curriculum matters and personnel actions. It is important for any proposal to explain what the role of the non-Senate faculty will be in the future governance of any new units/programs/departments. The proposal should outline plans for establishing departmental bylaws and standing committees, and should as far as possible address larger governance issues such as FEC representation or the new unit's membership in a constituency of the Committee on Committees.

The proposal must include an account of how and when all affected faculty, students, staff and administrators were consulted about the proposed action. It should include a fair report of both support for and opposition to the proposed action, and the positions of the different groups involved. Furthermore, and ideally, a comprehensive list of 'affected faculty' should be included in the proposal. In recent Appendix V actions CR&J has defined 'affected faculty' as:

• All current faculty of the programs/units in question, plus

• All faculty (still at UCLA) who have been listed in the UCLA Catalog or who have taught courses in the programs/units since the last 8-year review(s); and

• All UCLA faculty that have sat on committees, helped to formulate or oversee curriculum, or who have been otherwise substantially involved with the programs/units, since their last 8-year reviews.

2) On To the Senate: The Executive Board. The finished proposal is sent to the Academic Senate. The Senate Executive Board generally coordinates the review process. The Executive Board evaluates the proposal and decides whether to formally initiate the Appendix V action. If it does so, the Executive Board also notifies the Statewide Senate that the action has been initiated.

3) The Designated Committee. After initiating an Appendix V action, the Executive Board passes the proposal on to a Designated Committee (the Graduate Council, Undergraduate Council, or both, depending on the academic programs involved). The Executive Board sets deadlines for the Designated Committee (and the selected Ad Hoc Committee) to complete the review process and make their reports.

The Designated Committee is responsible for notifying and conferring with all the faculties, deans, and FECs that are directly affected by the action, as well as the Council on Planning and Budget and the Senate Chair. The Designated Committee is also responsible for notifying the Chancellor (and the President) if the program or unit in question is unique in the UC system or if the action would have intercampus or system-wide effects.

4) The Ad Hoc Committee. Next, the Designated Committee(s) selects an Ad Hoc Committee, with the advice of the Committee on Committees if necessary. The Ad Hoc Committee should include a 'balanced and knowledgeable' roster of Senate members (Appendix V, III. (A)), as well as one or more student members. The Ad Hoc Committee establishes the procedures for, and conducts, the main part of the Senate review.

(Note: Any member of a committee engaged in an Appendix V review who would be directly affected by the outcome of that action, including students, must recuse him or herself from those review committees.)

The Ad Hoc Committee seeks expert advice on the proposal from on and off campus. It invites written arguments from all interested parties. It holds an open hearing where all interested parties can present their views. And after the hearing is held, the Ad Hoc Committee insures that a formal vote of the affected or relevant faculty is taken on the matter (see the definition of 'Affected Faculty', above).

(Note: It is important to distinguish between the consultation with affected faculty that should be part of preparing the proposal, and the more formal vote of affected faculty that should occur later, after the Ad Hoc Committee has solicited written arguments from on and off campus and held an open hearing. The results of the consultation are included in the original proposal, while the results of the vote are passed along by the Ad Hoc Committee to be included in the Designated Committee's report.)

5) Recommendations and Reporting. Once the Ad Hoc Committee has compiled all the available evidence, and after the vote of the affected faculty, the Ad Hoc Committee writes a report containing a recommendation about the proposal and the Committee's rationale for their recommendation. The Ad Hoc Committee conveys their report, along with the evidence it has gathered, back to the Designated Committee(s).

After the Designated Committee(s) receives the Ad Hoc Committee's report, it may seek any additional information it needs to arrive at a recommendation; for example, the Designated Committee may elect to hold another open hearing. The Designated Committee's recommendation, however, is made in a closed session.

The Designated Committee also writes its own report. It contains all arguments for and against the action, clearly describes the positions of all relevant parties on the matter (including appropriate Senate committees), reports the vote of the affected faculty, and includes comments by the Committee on Academic Personnel and the Committee on Privilege and Tenure on faculty reassignments, if any.

The Designated Committee submits its recommendation, along with copies of its report and that of the Ad Hoc Committee, to chairs of the relevant departments and IDPs, the FEC of the College or Schools involved, all affected faculty members, the Chair of the Senate, other Senate Committees (including CR&J for conformance) listed in Appendix V, III. (E), the Chancellor, appropriate Deans, and affected students.

5a) Upon receiving the recommendation and reports from the Designated Committee, the FECs of the College or Schools (as appropriate) will conduct a vote of their faculties on the proposed action. In some cases, faculties may, by a special vote, delegate this vote to the FECs (for example, it may not be necessary to have all faculty of the College of Letters & Science vote on an action concerning a single Department or program). 5b) The FECs report the results of their votes back to the Designated Committee. 5c) The Designated Committee submits all of the reports, recommendations and related materials to the Senate Executive Board.

6) Final Vote by the Legislative Assembly. Finally, the Executive Board places the matter on the agenda of next regularly-scheduled Legislative Assembly meeting, or if necessary, of a Special Meeting of the Assembly. The Executive Board must insure both that action on the matter is taken in a timely way, and that there is enough time to allow all interested parties to prepare statements for inclusion in the LGA Notice of Meeting and to present their arguments before the LGA.

(Note: An Appendix V action is considered final ONLY after the Legislative Assembly vote. Until then, the programs/units in question should avoid circulating any materials or memoranda, or taking any actions, that assume the outcome of the vote.)

Alternative Dispute Resolutions. Obviously, Appendix V actions are complex and time-consuming. They are designed to insure that everyone affected by the reorganization or closure of a unit or program has ample opportunity to participate in the decision-making process. However, in cases where all parties to a proposed action are in complete consensus, Section IV of Appendix V provides for Alternative Dispute Resolutions. In these (extraordinary) cases, the full Appendix V procedure can be dispensed with, EXCEPT the final vote by the LGA. In these cases, the proposal is approved by the appropriate designated committee and sent to the Executive Board, which submits it to the Legislative Assembly.

Some General Principles

As a final note, we reiterate several principles about Appendix V actions:

1) Appendix V requires the substantive participation of all interested parties in the proposed action. Indeed, interested parties should have no fewer than four or five opportunities for consultation, discussion, debate, or voting (i.e., when the proposal is prepared; when the Ad Hoc Committee solicits evidence and opinions; when and if the Designated Committee solicits further information; when the School/College faculty or their FECs vote on the matter; and finally, when the LGA debates the action). Therefore, the units or programs proposing such actions must show that they have made every effort to solicit participation, openly and fairly, and that they have shared all relevant information with all interested parties. Full and open participation will help assure that all parties perceive the process and its outcome as fair and reasonable.

2) Moreover, those proposing the action, as well as the groups that review the proposal, are obliged to act on the matter in a timely way. One major implication of this principle is that Appendix V actions should never be rushed, nor unduly delayed, by any actor in the process (e.g., the Senate Executive Board, Designated Committees, FECs, Administration, and so on). For example, by selecting chairs for new units, or advertising new degree programs, before final LGA approval, units or programs may bring undue influence to bear and preclude the free consideration of the issues involved that should be possible right to the end of the process.

3) Each actor in the process has a specific role to play, which is clearly defined in Appendix V. For example, the role of programs, units and deans is to consult jointly with interested parties and to propose the action (and to implement it, after final approval). The role of the Senate Executive Board is to initiate Appendix V reviews, to notify the Systemwide Senate that a review has been initiated, to facilitate negotiations between academic programs/units and the Administration, and to advise and coordinate the process. By the same token, the Ad Hoc and Designated Committees actually conduct the substance of the review by seeking advice, soliciting written opinions, holding hearings, and so on. Therefore, no actor should attempt to encroach on or usurp the role of other actors in the process, either by taking over their duties or by attempts to overrule or negate others' findings or recommendations.