POLICY #5.41
SUBJECT: Strategic Reinvestment Plans

I. PURPOSE

The purpose of this Policy is to establish the procedures that the University will use to effectuate Strategic Reinvestment Plans as required by Utah Code § 53B-7-107. This Policy addresses the procedures for reducing or eliminating positions and other personnel decisions that arise as a result of the University’s determination to reduce, eliminate, create or modify units or programs to optimize the use of state appropriated funds and fulfill its mission.

II. REFERENCES

Utah Code § 53B-7-107 et seq. Higher Education Strategic Reinvestment
Utah Code § 53B-2-106 et seq. Duties and Responsibilities of the President of an Institution of Higher Education – Approval by Board of Trustees
Utah Code § 53B-2-106.1 et seq. Tenure – Reporting
Southern Utah University Policy 6.1 Faculty Evaluation, Promotion, and Tenure
Southern Utah University Policy 6.12 Financial Crisis and Bona Fide Financial Exigency
Southern Utah University Policy 6.22 Bona Fide Program Discontinuation
Southern Utah University Policy 6.28 Faculty Professional Responsibility and Due Process
Southern Utah University Policy 8.3.5 Termination of non-Academic Staff Employees and Disciplinary Sanctions

III. DEFINITIONS

Adjustment. A recommended status change for a unit or a program, following review by University Administrators in consultation with employees, which indicates it should be combined, merged, modified, reduced, or eliminated. Adjustment is an umbrella term that refers to a general need to change something about how the University operates a unit or program because it is underperforming, as evaluated using predetermined criteria, or no longer serves a strategic purpose for the University.
Board. The Utah Board of Higher Education.
Cabinet Member. An executive-level professional, often with the title of Vice President, who the President identifies as a leader of a University division or function.
Confidential or Confidentiality. Restricting relevant information to persons with a need to know.
Days. Dates and times when the University conducts its regular business. Most often that is Monday thru Friday between the hours of 8:00 AM and 5:00 PM Mountain Daylight/Standard Time. Business days are presumed unless the Policy specifically identifies a timeframe/timeline that calls for calendar days.
Investment. A recommended status change for a unit or a program, following review by University Administrators in consultation with employees, that indicates new and/or additional resources be allocated to that unit or program because of its exemplary performance, potential for growth, or importance to a strategic purpose of the University.
Personnel Review Committees. Three (3) individuals convened by the President to determine which employees assigned to a unit or program subject to Adjustment will be released from employment or have a change in their assigned job duties.
Maintenance. A recommended status change for a unit or a program, following review by University Administrators in consultation with employees, that indicates no change in the resources allocated to it.
Strategic Reinvestment Plan. A plan that the University develops to reallocate funds from underperforming programs or units to identified strategic investments.
University Administrators. Senior-level professionals, often with the titles of Associate/Assistant Vice President or Provost, Dean, or Executive Director, with responsibility for one or more units or programs.

IV. POLICY

Authority to Develop and Implement a Strategic Reinvestment Plan
1. Policy. Utah Code 53B-2-106 authorizes the President of degree-granting institutions to establish policies that address program reductions or discontinuance or any other measures that provide cost savings and facilitate efficiencies within the Institution. Additionally, Utah Code 53B-7-107 directs degree-granting institutions to establish policies that effectuate a Strategic Reinvestment Plan that lead to Adjustments in programs, courses, degrees, departments, colleges/schools, or other divisions of the institution and any subsequent personnel decisions because of such Adjustments.
  
  Under Utah Code 53B-7-107, this Strategic Reinvestment Policy may supersede existing Board policies and institutional policies, procedures, or timeframes that are inconsistent with the strategic reinvestment plan or goals of the plan. While principles related to personnel reduction adopted and promulgated by the American Association of University Professors (AAUP) may be instructive, they are not binding and this Policy’s provisions regarding personnel reductions under 53B-7-107 are not required to follow such standards.
2. Plan. The President is authorized by law to create a Strategic Reinvestment Plan for the Institution. The creation and implementation of a Strategic Reinvestment Plan is guided by this Policy under the direction of the University President.
Objectives of Strategic Reinvestment Plans

There are two (2) objectives for a Strategic Reinvestment Plan:
1. The identification of programs, courses, degrees, departments, colleges/schools or other divisions of the institution, operational inefficiencies, and other components of the institution’s instruction and administrative functions, including associated personnel and dean positions and other administration positions that can be adjusted to produce cost savings and efficiencies.
2. The identification of programs, courses, degrees, departments, colleges/schools or other divisions of the institution, operational efficiencies, and other components of the institution’s instruction and administrative functions, including associated personnel and dean positions and other administration positions that can be created or improved by investing funds that were less effectively used for other purposes.
Institutional Procedures for Creating a Strategic Reinvestment Plan
1. When the Board directs institutions to prepare a Strategic Reinvestment Plan, the President shall direct the members of the President’s Cabinet to review the efficacy and efficiency of each unit and program they oversee.
2. University Administrators will systematically review all units and programs under their authority or supervision, relying on performance criteria specified by the member of the President's Cabinet to whom they report.
3. For academic programs, the performance review criteria are set by law and operationalized by the Provost. Those criteria include:
  1. Demonstrated enrollment data;
  2. Completion rate and timely completion;
  3. Discipline-related professional outcomes, including placement, employment, licensure, and wage outcomes;
  4. Current and future localized and statewide workforce demands;
  5. Program-level cost; and
  6. The institution’s mission and role within the statewide system of higher education.
4. University Administrators are expected to seek input and information/data from faculty and staff regarding the performance criteria for their respective units and/or programs. The expectation and exercise of obtaining input is an opportunity for shared governance.
5. Based on the appropriate and relevant performance criteria, University Administrators will produce a written evaluation that accounts for all their units and programs. University Administrators may, as appropriate, develop templates to assist in the creation of the written evaluations. At a minimum, the written evaluations should contain:
  1. A conclusion about the overall performance of the program or unit;
  2. An evidence-based and criteria-informed rationale for the conclusion;
  3. A recommendation that the program or unit be considered for Maintenance, Adjustment, or Investment; and
  4. Proposed strategies for Adjustment or Investment. Proposed strategies for Adjustment should identify the commensurate number of personnel changes, additions, or reductions that would be necessary to effectuate it but should not identify individual employees by name or role.
6. The program/department reviews and written evaluations should be completed within fifteen (15) Days of being directed to conduct the review and evaluation. The President may authorize reasonable extensions where circumstances warrant.
7. University Administrators submit written evaluations to the members of the President's Cabinet to whom they report. The members of the President’s Cabinet consider the written evaluations and establish a prioritized list of Adjustments and Investments based on the strategic vision and posture of the University and their respective division.
8. Cabinet Members provide the President with the prioritized list for final approval. The prioritized list should be sent to the President within 5 Days of receiving the written evaluations.
9. Once the President approves a prioritized list of strategic Adjustments for programs and units, the President will convene Personnel Review Committees to consider the impact the Adjustments will have on employees.
Institutional Procedures for Determining Strategic Personnel Reductions or Changes to Assigned Duties
1. Personnel Review Committees are responsible for evaluating all potentially impacted personnel based on program or unit Adjustments.
2. Personnel Review Committees include three (3) University Administrators:
  1. The Chief/Senior Human Resource Officer, or their designee;
  2. An Associate/Assistant Vice President or Associate/Assistant Provost from the division of the potentially impacted personnel, as selected by their supervising Cabinet Member; and
  3. An employment supervisor (a person within the supervisory chain for units and programs subject to an Adjustment). In the event the Adjustment would impact a University Administrator, their supervising Cabinet Member will serve in this role.
3. Personnel Review Committees will have access to the written evaluations, prioritized lists, and the President’s approved Adjustments to assist with their review of potentially impacted personnel. Additionally, they will apply predetermined decision criteria/factors to facilitate a consistent review of all personnel associated with a unit or program subject to Adjustment.
4. Decision criteria/factors may include, but are not limited to, any of the following criteria in descending order of weight:
  1. Unit or program needs post Adjustment;
  2. Recorded performance concerns or misconduct;
  3. Job duty performance indicators (for faculty this includes teaching effectiveness, service/leadership, and scholarly/creative activity as defined by Department Evaluation Criteria; see SUU Policy 6.1);
  4. University needs/reliance on the unit or program and the ability of the employee to advance inter-unit initiatives;
  5. Unique employment status (e.g., tenure and rank, licensure, etc.); and
  6. Seniority (years of service).
5. Personnel Review Committees are authorized by this Policy to consider sensitive and Confidential information associated with personnel, including annual performance reviews. They may also be informed that an employee has been found responsible for misconduct or placed on performance improvement plans, but the details of those circumstances will be withheld. This information will not be shared outside the Personnel Review Committees.
6. The Personnel Review Committees will evaluate all personnel in a unit or program subject to Adjustment and assign one (1) of the following recommendations based on the prevailing or majority view of members:
  1. Retain without changes in assigned duties;
  2. Retain with changes in assigned duties; or
  3. Release from employment.
7. The Personnel Review Committees will forward their recommendations to the President for approval and to notify the impacted employees. The President will inform the supervising Cabinet Members about which of their employees, if any, will be notified of the recommended personnel actions.
8. The work of the Personnel Review Committees should be completed within ten (10) Days of being convened by the President. The President may authorize extensions when circumstances warrant them.
9. Should the President approve a recommendation for change of assigned duties or release from employment, the impacted faculty or staff will receive written notice that will be delivered by their supervising Cabinet Member. When possible, such written notice should be delivered in person. Notice of these personnel actions include the following information:
  1. A statement of the personnel action to be taken;
  2. The date upon which the action will become effective;
  3. A general description or statement explaining the reasons for the action to be taken;
  4. A general description about any severance that may be available;
  5. A statement that explains the impacted employee may request a meeting with their supervising Cabinet Member to convey reasons why the action should not be taken and the deadline for requesting such a meeting;
10. At a minimum, written notice must be provided at least thirty (30) calendar days before an action becomes effective.
11. Impacted faculty and staff requesting a meeting to contest the recommended personnel action may do so based on the following:
  1. Permissible basis to challenge a proposed change in assigned duties or release of employment include:
    1. The decision criteria were misapplied regarding the employee, or
    2. The decision criteria were inconsistently applied to them when compared to similarly situated employees within their program or unit.
  2. A request for a meeting should be done in writing, identifying the appropriate bases, and submitting it within five (5) Days of receiving the notice of recommended personnel action.
  3. Meetings will be held in person.
  4. The impacted employee may request that a member of the Human Resources staff observe the meeting.
  5. The Cabinet Member will provide the impacted employee with a letter documenting the outcome of the meeting within five (5) Days of the date of the meeting.
12. Release from employment subject to Strategic Reinvestment does not constitute a termination for cause and such release from employment is not subject to the processes outlined in either SUU Policy 6.28 or 8.3.5.
13. Whenever possible, employees to be released will be considered for vacant positions at the University provided their education and experience would enable them to meet the minimum qualifications and perform the essential duties of the vacant position.
14. If an employee is released from employment and no immediate vacancy exists that they could fill, but a position becomes available within three (3) years of their release and they apply, they will have priority consideration so long as there were no performance or misconduct issues that contributed to their release. Employees that are rehired may return to employment with their former service being credited towards leave accrual rates, and years towards tenure or the award of tenure negotiated upon rehire.
15. The University may incentivize voluntary separations from units or programs subject to Adjustment when funds are available.
Preparation of the University’s Strategic Investment Plan for Distribution to the Board of Higher Education
1. The President may assign staff to compile a draft Strategic Reinvestment Plan that will be transmitted to the Board of Trustees and then the Utah Board of Higher Education for its review, revision, and ultimate approval.
2. Once the President approves a draft of a Strategic Reinvestment Plan to be sent to the Board, it will be shared with the University community. Prior to that time, all work on the Plan will be considered Confidential.
3. When circumstances permit, the draft plan will not be prepared until the work of the Personnel Review Committees are completed. When that is not possible, the draft plan may be prepared while the work of the Personnel Review Committees is ongoing, and the plan will reflect that Adjustments will result in personnel actions associated with the unit or program.
Curricular Change Process for Adjusted Programs and/or Courses
1. Curriculum Procedures
  1. For programs identified for discontinuation within a Strategic Reinvestment Plan, the Provost’s Office staff shall, in consultation with the relevant dean(s) and department chair(s), prepare formal discontinuation proposals for administrative review. These proposals shall be presented to the Deans’ Council and the Provost for thorough evaluation of institutional impact, after which the proposal and all accompanying feedback shall be forwarded to the President for review and final approval.
  2. All curricular proposals associated with a Strategic Reinvestment Plan must be submitted through the established curriculum proposal process during the Fall semester, in accordance with institutional deadlines.
2. Program Teach-Out
  1. Any program adjusted under a Strategic Reinvestment Plan affecting student progression shall require implementation of a comprehensive teach-out plan not exceeding two (2) academic years, which shall delineate phase-out timelines, student communication protocols, course availability schedules, faculty teaching assignments, academic advising provisions, alternative completion pathways, and applicable transfer options.
  2. Upon approval of discontinuation, the program shall be removed from the subsequent academic catalog and entry into the program shall cease effective with the following catalog year.
    1. For the purposes of this Policy, “entry into the program” includes but is not limited to new first-time students, new transfer students, currently enrolled students not already declared in the program, and returning students with or without a filed deferment.
Relation to Other Policies

This Policy supersedes any process, procedure, timeframe/timeline, or standards that are established for Program Discontinuation (Policy 6.22) or Financial Exigency (Policy 6.12). Those policies may be relied upon when a program has not been identified for discontinuation in the planning cycle of Strategic Reinvestment, or the Utah Board of Higher Education declares financial exigency exists.

V. RELEVANT FORMS/LINKS

N/A

VI. QUESTIONS/RESPONSIBLE OFFICE

The President's Office is the Responsible Office for the Policy. Questions about this Policy should be directed to the President's Office, the Provost's Office, or the Office of Legal Affairs, as applicable.

VII. POLICY ADOPTION AND AMENDMENT DATES

Date Approved: April 8, 2025

Amended:

POLICY #5.41 SUBJECT: Strategic Reinvestment Plans