NSTP Basic Program Document
Basic Program Document
General Campus Negotiated Salary Trial Program
Second Phase: July 1, 2018 to June 30, 2024
February 2018
The Negotiated Salary Trial Program (NSTP) plays an important role for the University in managing its recruitment and retention challenges. For the five years from July 1, 2013 through June 30, 2018, UC has had the NSTP on three campuses: UC Irvine, UCLA, and UC San Diego. In year four of the trial program, a joint Senate-Administration Taskforce reviewed the program and offered recommendations on possible continuation of the trial. After considering input received during a systemwide review of the Taskforce recommendations, UC Provost Brown extended the program for an additional four years, with the possibility of an additional wind-down year, should the program be terminated or transitioned to APM policy. This Basic Program Document includes revisions of the 2012 program document that update it to match the program as issued by the Provost in 2018.
This second phase of the NSTP will run from July 1, 2018 through June 30, 2025.
This Basic Program Document is a general statement of the NSTP; other operational details of the program are contained in the “NSTP Phase Two Implementation Procedures” (February 2018) template that each campus must follow in developing its own implementation guidelines. Both documents have been updated in 2018.
A. Program Components
Overview:
The four-year Negotiated Salary Trial Program (NSTP), phase two, will extend participation to any UC campus indicating to the UC Provost its intent to take part. Participation for new campuses can begin on July 1, 2018 or July 1, 2019. Eligible faculty will be able to voluntarily contribute external fund sources toward their total salary, with the negotiated salary amount funded through external funds. The amount of negotiated salary will have a cap of 30% of the base salary (academic or fiscal, including off-scale); and the Dean or designee will have responsibility for managing funding of the negotiated salary program. Merit review will continue according to campus policy, and each participating campus will determine the appropriate role for its Committee on Academic Personnel (CAP) or equivalent committee.
Scope:
UCI, UCLA, and UCSD have indicated that they are continuing in phase two of the NSTP. For other participating campuses, academic administration will consult with their Divisional Senate on potential participation. Once participation has been agreed to, the Executive Vice Chancellor/Provost (EVC/P) on each campus will coordinate with divisions/schools/departments that will take part
Eligibility:
Ladder-rank and in-residence faculty who have advanced in rank or step in their last academic review (or equivalent satisfactory review) are eligible, provided the faculty member’s campus and division/school/department has opted to participate. HSCP members and full-time deans and faculty administrators (as defined in APM – 240 & 246) are not eligible.
Faculty responsibilities:
Participating faculty are expected to meet all teaching, research and service obligations and to be in compliance with all applicable University policies, procedures, and training requirements. The campus will ensure that policies about the buy-out of teaching are maintained.
Fund management:
Only external funds will be used to support this program. “External funds” refers to any non-state-appropriated funds, such as (but not limited to) endowment or gift income, professional degree fees, self- supporting degree fees, and contract and grant support. The Dean or his/her designee will have responsibility for managing program funds, reviewing the availability of F&A, and covering any unforeseen shortfalls. General Funds cannot be substituted for external funds in support of the program.
The intent of the program is that the faculty member has access to the external funds due to his or her research, teaching, or outreach activities. The funds should not be discretionary funds located in the department, school, college, or campus.
Recruitment:
In the case of the recruitment of permanent inter-campus transfers, APM-510 applies. The Negotiated salary component may not be a factor in determining a competing UC offer (see Appendix A in APM- 510). If the recruiting campus is participating in the NSTP, the faculty member must negotiate a new proposal with his/her new campus. A start-up package in inter-campus recruitment cannot include funds to support a negotiated salary component.
Salary:
The total negotiated salary will be comprised of 1) the salary covered under the University of California Retirement plans (scale base plus off- scale components), for those in UCRP, Pension Choice or Savings Choice (faculty will remain on pre-existing appointments [either academic or fiscal]; those on academic year appointments remain eligible for summer ninths which will continue to be processed under pre-existing guidelines); and 2) a negotiated salary component that is not covered compensation. Negotiations will be conducted annually to determine an individual’s total negotiated salary for the following year. The total negotiated salary must be effective for one full year, corresponding with the University fiscal cycle of July 1 – June 30 and may not be changed during that year. The faculty member’s salary (scale plus off- scale) will not be permanently affected (neither increased nor decreased) as a result of participating in this program.
Process:
As outlined in the campus Implementation Procedures, eligible faculty members will work with the department chair and department business officer to develop a proposal for a negotiated salary, with proposals approved by the dean and reviewed at the campus level.
Application forms:
Each participating campus will collect common applicant information, as detailed on the systemwide template form, available from the Office of the President. This common reporting will allow for the collection of data to inform analysis of the program in phase two.
Reporting/Review:
At the end of each fiscal year, the systemwide Provost will gather (from each EVC/P whose campus is participating) data on the program, compile it, and share in an annual report on the program to be distributed to the Council of Vice Chancellors (COVC) and the Academic Senate. Details of the report are listed below in section B. A comprehensive review will be undertaken after year three of phase two of the program.
Implementation:
This document will serve as the Basic Program Document with all items outlined here to be constant among all participating campuses. The systemwide Provost will also develop “NSTP Phase Two Implementation Procedures,” a template with procedural details of running the program on campus. Each campus will adapt this template to its own approval and review structures. Any departures from this Basic Program Document and the “NSTP Phase Two Implementation Procedures” must be approved by the systemwide Provost.
Compliance:
When Federal projects are involved, the program must be compliant with Federal Uniform Guidance regulations at 2 CFR 200, “Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards.” Participating faculty retain their obligation to abide by University policy including Conflict of Interest, Conflict of Commitment, the Faculty Code of Conduct, and the policy on the requirement to submit proposals and receive awards for grants and contracts through the University.
Duration and termination:
Phase two of the program will run for four years, beginning July 1, 2018, with a full review after the third year. At that time, the systemwide Provost, Academic Senate, and the COVC will determine the advisability of adding policy language to the APM or terminating the NSTP. A wind-down year may be necessary at that point if the trial program is not replaced by APM policy. The systemwide Provost may suspend the NSTP effective June 30 of any year should the program be deemed to put the University at risk; an individual campus EVC/P may suspend campus participation effective June 30 of any year.
In the 2019-2020 year, each participating campus will provide the systemwide Provost with a plan for possible rescindment at the end of phase two of the NSTP.
B. Metrics, Data Collection, and Reporting
The systemwide Provost will appoint a Senate-Administration Working Group to develop appropriate metrics and data collection for phase two of the NSTP. The group will review current data collection and metrics and recommend data that should continue to be collected, data that is no long necessary to collect, and new data that should be collected during phase two of NSTP. The Working Group will determine data collection that allows for analysis of any differences in gender and race/ethnicity between those enrolled in NSTP and others in their units who are not enrolled. The data collected should also allow for review of the impact of the program on faculty recruitment and retention, research expenditures, department morale, funding sources, graduate education, post-doctoral training, teaching loads, and program administration costs. Survey data will also be considered as an option. Appendix F in the June 22, 2017 Negotiated Salary Trial Program (NSTP) Fourth Year Taskforce Report will be a guide for the Working Group.
At the end of each fiscal year during phase two, Academic Personnel and Programs at the Office of the President will prepare an annual report on NSTP, informed by the recommendations of the Working Group, and drawing on the data collected from all participating campuses. The report will be shared with the Academic Senate and the COVC. Each campus has the option to develop additional information that will assist its administration of the program.
A comprehensive review at the end of the third year of phase two will assess whether and to what extent NSTP has advanced University goals and will recommend whether it should be added to APM policy or terminated.
