THE UNIVERSITY OF NORTH CAROLINA AT ASHEVILLE FACULTY SENATE Senate Document Number 2098S Date of Senate Approval 2/12/98 Statement of Faculty Senate Action: FWDC 5: Revisions for Phased Retirement Institutional Guidelines REVISED UNCA INSTITUTIONAL GUIDELINES/REPLACES SENATE DOCUMENT 0397F (FWDC 2) 2/5/98 DRAFT 1. Institutional limitations on participation in the Phased Retirement Program: There are no departmental or institutional caps on the number of participants in the Phased Retirement Program (PRP). However, an application to participate can be denied if participation in the PRP would substantially weaken academic quality of department or university programs. This finding, however, must be supported by objective measures of program quality. A judgement to deny participation on these grounds must be confirmed by the Vice Chancellor for Academic Affairs, if first made by a Department Chair.* A judgement to deny participation must be confirmed by the Chancellor when first made by the Vice Chancellor for Academic Affairs. * (In this document, "Department Chair" includes the Director of the Environmental Studies Program.) 2. Limits on participation because of financial exigencies. Financial exigency shall be determined according to the stipulations of The Code of the University (Section 605, A, B, C) and the UNCA Tenure Policies and Regulations (Section V, 1,2). The following conditions must be met in order for there to be any effect upon the application of the PRP. A. Funds in the "101" faculty salary amount must be insufficient to support fully the number of FTE faculty positions of the previous year. and B. A determination has been made by the Chancellor, under the conditions set by The Code, to terminate a designated program or to reduce the number of faculty members in a designated program. In the event of a financial exigency is declared according to the provisions of The Code, entry into phased retirement for faculty in the programs being eliminated may be suspended until the financial exigency is declared at an end. 3. Faculty are individually responsible for providing to the Office of the Vice Chancellor for Academic Affairs their age and service data needed to determine their program eligibility. A list of faculty by rank, age, department and administrative title (without names) of those faculty eligible and ineligible to participate in the program will be prepared annually each year and mailed as part of the PRP program materials. (See Item 5B.6) 4. PRP is a trial program being offered through the UNC system. Enrollments may commence with fall semester of 1998, 1999, 2000, 2001 or 2002. The UNCA phased retirement program has been established as a three consecutive academic year plan. The plan commences with the fall semester of each year of the program. 5. Procedures ensuring eligible members are informed: A. Upon the initiation of the PRP on February 1, 1998, or upon its approval by President Broad (whichever is later), all full-time tenured faculty will receive a letter announcing the PRP and providing eligibility information from the Office of the Vice Chancellor for Academic Affairs. B. By February 1, 1998, or upon its approval by President Broad (whichever is later), all existing eligible faculty members, and those who appear to be qualified for participation by August 1, 1998, will receive program materials from the Office of the Vice Chancellor for Academic Affairs. Following this, program materials will be sent by September 1 of each year. Program materials will be sent by certified mail in order to document the receipt of it by the eligible faculty member. The Phased Retirement program materials will consist of the following: 1. A letter announcing the program 2. The program summary 3. A copy of the model UNC Phased Retirement Application and Re-employment Agreement 4. A copy of the model Phased Retirement Release 5. A chart outlining effects of participation in Phased Retirement Program on employee benefits 6. A chart reflecting information regarding persons who are eligible and those who are ineligible for the program C. On or about September 1, a letter will be sent by the Office of the Vice Chancellor for Academic Affairs to all eligible faculty reminding them of the Program and their eligibility for it. A public notice will also be placed in Monday Morning, a weekly faculty newsletter, and sent by e-mail. D. Annual presentations will be advertised and held to provide further information about the Program to interested faculty, through a cooperative venture between the Office of the Vice Chancellor for Academic Affairs and the Office of Human Resources. E. Questions about the program should be directed to the following persons at UNCA: Kristie Sutterman, Director of Human Resources 232 Phillips Hall Phone: 232-5117 e-mail: ksutterman@unca.edu Linda Franklin, Assistant Director of Human Resources 230 Phillips Hall Phone: 232-5116 e-mail: franklin@unca.edu 6. Procedure used to accept, review, and approve applications: A. Application to the PRP is: 1. For fall semester 1998 a. Not earlier than the date of institutional notification of approval of the guidelines. b. Not later than four months before fall semester begins. 2. For all succeeding fall semesters a. Not earlier than eleven (11) months prior to the fall semester b. Not later than six (6) months prior to the fall semester. B. Faculty members intending to enter the PRP will develop a half-time work plan with the Department Chair. This plan will be subject to approval by the Vice Chancellor for Academic Affairs. A faculty member who is currently serving as a Department Chair will develop a half-time work plan with the Vice Chancellor for Academic Affairs, who will consult with senior members of the department about the plan. This plan will be subject to approval by the Chancellor. C. The Office of the Vice Chancellor for Academic Affairs will receive applications, recording the date of their receipt. The Vice Chancellor will review the application and render a decision regarding its approval with regard to its effect on the academic quality of department or university programs. When an application is received from a current Department Chair, the Chancellor will review the application and render a decision regarding its approval. D. If the Application is approved: 1. A checklist and the Agreement and Release Package will be provided the faculty member by the Office of the Vice Chancellor for Academic Affairs. The checklist will insure and document that the eligible faculty member has received all the materials in the Agreement and Release Package. The eligible faculty member will sign the checklist, confirming receipt of these materials as well as the Agreement and Release forms. 2. Upon signing this checklist and receiving the completed Agreement and Release forms signed by the institution, the faculty member has 45 days in which to sign and return the forms to the Office of the Vice Chancellor for Academic Affairs. If the Agreement and Release forms are not returned within 45 days, there is no active request to participate in the Phased Retirement Program at that time. A faculty member may reapply for the Program at a later date. 3. If the signed forms are received by the Vice Chancellor's Office within 45 days, there will be a 7-day waiting period in which the faculty member has the right to revoke the fully executed Agreement and Release. If the application is not revoked, the faculty member is officially enrolled in the Program. If revoked, the faculty member will not be eligible to participate in the program at that time, but may reapply to participate at a later date. The Office of the Vice Chancellor for Academic Affairs will provide to the Office of Human Resources a listing of all faculty members who have enrolled in the Program. E. If the initial application is not approved, faculty members may appeal to the Grievance Committee if they feel they have been inappropriately denied access to the Program or if they feel the Program's guidelines have not been properly followed. 7. Guidelines for half-time work plans. A. The faculty member will carry a teaching load which is reduced by one-half of the standard load, currently 24 semester hours (or their equivalent) per academic year. Thus, the faculty member participating in PRP will carry 12 semester hours per academic year. Faculty members in the Program will not typically be eligible for additional time released from teaching. B. The faculty member will carry one-half of faculty responsibilities including service and scholarly activity (advising, departmental work, campus committee assignments, and community service). C. Only faculty with duties extending over 12 months (e.g., research professors) may perform services during other than the fall and spring semesters of the regular-term academic year. No work plan may include duties incident to summer school curricula. D. Compensation is paid over the 12-month participation year even if services are rendered during only part of the 12 months. The faculty member will work together with the Department Chair to define specific service responsibilities under (B), recognizing that these may shift from year to year during the Phased Retirement.