Fielding Graduate University

Fielding Graduate University recognizes the importance of supporting its employees, not only as a valuable human resource, but also as individuals with ever-changing needs at various stages of their professional and personal lives. Realizing this, Fielding believes that the compensation and benefits package should strive to provide a sense of security and well-being for its employees and their families within the economic constraints of fulfilling Fielding's overall mission.

Fielding strives to maintain a benefits package at a level commensurate to other comparable organizations in this labor market, so that it may enhance the recruitment and retention of individuals motivated to work toward and achieve the goals established by Fielding. Fielding's intention to provide a total package which promotes high employee morale, satisfaction, and commitment to the organization, is evidenced by the key components of Fielding's benefit program: medical, dental, vision, life, and long term disability insurance, child care assistance, retirement contributions, worker's compensation, and paid leaves.

Fielding Faculty

Administrative Support positions

Academic Support positions

Academic Managers

Executive Management

Temporary staff employees

Adjunct Faculty

University Consultants

Research Associates

Research Fellows

Student Research Assistants

Student Teaching Assistants

Student Graduate Assistants

Instructional Assistants

Post-Doctoral Fellows

Staff

Faculty

Philosophy

Fielding Graduate University’s Compensation Philosophy encompasses the concept of total compensation to support a program that will attract and maintain a highly qualified workforce to accomplish the mission of the University. Total compensation includes base salary plus an array of sponsored and voluntary benefit programs including health coverage, insurance programs, retirement plans and other selective deferred compensation and savings programs approved by federal and state statutes, tuition forgiveness and tuition reimbursement, child care subsidy, paid holidays, employees recognition programs, vacation and medical leave, and sabbatical leaves as appropriate. In addition, Fielding promotes a nurturing and supportive work environment where talented employees can be productive, creative, successful, and rewarded. The following operating principles guide the practice and continued implementation of this philosophy.

Policy

Compensation for all categories of employees shall be based on current job market data, adjusted annually for comparable positions in the higher education employment market, or where appropriate for the specific position. Fielding sets salary ranges that bridge the median market salaries for comparable positions. Compensation structures and strategies shall be revised as appropriate to support the initiatives and priorities set forth in the University’s strategic plan. Fielding’s Compensation Philosophy and Policy guidelines shall be disseminated through a variety of communication tools including employee handbooks, policy guidelines and electronic media. 

Employment Categories

Each employee category shown below has a salary range associated with it. Initial hiring salaries typically will be set within the lower quartile of the salary range. Benefits eligibility is determined by percentage of time worked. In some instances, managers with delegated appointing authority may offer, with the prior written approval of the vice president for Human Resources and Administration, a starting salary that is outside of the salary range, yet commensurate with the experience, background, and the unique characteristics the individual brings to Fielding.

Also identified below are other working relationships with Fielding: independent contractors and relationships with other scholars who are not regular employees.

Other categories of non-employee work relationships with Fielding

Appointing Authority

The President has ultimate appointing authority, which includes approval of initial salary placement and subsequent salary adjustments recommended by the Vice President for Administration and Human Resources. The president may delegate that authority to the Provost. Deans have been delegated responsibility for the appointment of all faculty, associate deans, and other categories of work relationships (such as adjuncts) within their respective schools. These appointments must be pre-approved by the Provost. The vice president for Human Resources and Administration has delegated appointing authority for all staff positions except for members of the ULT and ALT. No other individual is authorized to make commitments (verbal or written) for employment or payment for work with Fielding Graduate University.

Stipends

Stipends are additional wages, subject to withholding, paid to employees for either a substantial additional work effort or for work performed with a higher level of responsibility than the employee’s current position. Stipends of this nature typically will not exceed 20% of the employee’s base salary. Stipends are not “bonuses” to be paid as a reward for good performance after the fact or for participation or service on University governance committees. Stipend payments will not be provided for assuming work that is identified in the individual employee’s job description or for an increase in the volume of like assignments. There is an expectation that occasionally employees may be called upon to extend themselves and perform other duties as assigned in service to the University. While these occasional efforts typically will not result in additional compensation, these extra efforts demonstrate a commitment to Fielding and will be recognized as meritorious performance. Duties and responsibilities that constitute a recurring function that is essential to Fielding’s business will not be compensable through a stipend payment, but will be incorporated into a position with associated job functions and compensated for as part of the employee’s regular pay.

Stipend Amounts

External grants and contracts obtained by faculty often provide funding for the primary investigator of administrator of the grant activity. This payment is awarded as a stipend. While the amount of these stipends may vary for different types of work, stipends in general shall not exceed 30-33% of the individual’s base salary and will not be less than a specified amount to be determined annually. Stipend amounts will be consistent with Fielding’s compensation policy. HR will recommend compensation for specific categories of work. Stipends require the approval of the appointing authority, the Chief Financial Officer and the Vice President for Human Resources and Administration. Stipends may be awarded in the following circumstances:

• As compensation for administrative services associated with securing, directing or being named the principal investigator for a research grant or project and where such remuneration is part of the pre-award contract.
• As remuneration for planning and or coordinating a partnership for joint study with another entity
• As remuneration for short-term project work outside of the scope of responsibilities outlined in the individual’s job description. To be eligible for a stipend payment, this work should be performed without compromising duties and responsibilities identified in the job description related to the position held by the individual
• For additional management/officer level duties assumed on a temporary basis while the University undertakes a search process to fill a vacant higher-level position
• As additional wages for teaching
• For short term projects that require a substantial additional work (not volume) that falls outside of the scope of the job description

Incentive Pay

Incentive pay may be offered in the following circumstances:

1. As a signing bonus – to encourage uniquely qualified faculty or staff to accept an appointment with Fielding
2. As a payment for extra work like securing grants or other financial resources from external funding agencies
3. As a retention bonus – to encourage uniquely qualified faculty or staff to remain employed with Fielding Graduate University

Incentive pay amounts must be requested by the appointing authority and approved in advance by the President.

Faculty Compensation Plan

All regular faculty are paid based on years of service as outlined in the Faculty Compensation Plan. Faculty with fewer than 12 years of service are in Tier 1 and faculty with 12 years or more of service are in Tier 2. The salary ranges are constructed from two national faculty salary surveys: 1) using data from the Social Sciences (CUPA-HR survey) as a proxy for all three Fielding disciplines (Education, Human and Organization Development, and Psychology) and blending data for the traditional professor and associate professor ranks; and 2) factoring in AAUP salary data for doctoral universities. Faculty salaries of those with appointments < 100% are compensated on a pro rata basis. Faculty Salary Ranges.doc

Overload Compensation and Concurrent Internal Appointments

No employee may work more than a 130-133% in the position/s held. Employees who receive a grant from an external source (or from Fielding) to fund a specific program or research activity may not be compensated more than 30-33% over 100% of their annual base salary. If the employee is working at a time base less than 100%, then the maximum pay to be earned is that prorated salary plus 30-33%. Faculty who have concurrent assignments in two different schools shall be paid a salary for their work in the primary school and a stipend for their work in the second school. In any case, the total percentage salary for both positions shall not exceed 130-133%.

Adjunct Faculty Pay

Adjunct faculty shall be paid according to the existing Adjunct Faculty Fee Schedule for the following assignments:

• Knowledge Area assessments
• Online Seminars
• Comprehensive Assessments
• Dissertations
• Session or cluster seminar presentations
• Regional Psych Assessment Labs
• Online Psych Assessment Labs

Job Descriptions and Compensation

A job description provides documentation of the general scope of duties and responsibilities of the position at a single point in time. All budgeted positions must have an up-to-date job description. Human Resources - Forms - Job Description Form

Managers and supervisors play a vital role in the implementation and the ongoing administration of the Compensation Program. They are most familiar with work performed in their departments and the abilities of the individuals who do the work. Specifically, managers and supervisors will have the responsibility to:

• Respond to questions about individual pay and compensation policies and practices
• Review, at least annually, with each individual the accountability areas of the job
• Keep Human Resources advised of changes in job content
• Develop and update job information for jobs in their departments
• Provide continuous performance feedback and develop goals with staff

All Fielding job descriptions are available in the HR Office for reference. Descriptions should be reviewed regularly to make certain that all duties and areas of accountability are current. As changes occur in a specific job, the job description document should be updated to reflect these changes. Human Resources staff will review job changes, make comparisons with relevant internal and external jobs to determine whether or not the job is appropriately classified and compensated.

Relevant Market Considerations

Human Resources annually participates in and reviews market salary surveys to establish and adjust pay ranges as appropriate.

The market analysis process includes data collection and analysis of:

• Salaries paid to jobs recruited on a local, regional or national basis
• Supply of applicants with specialized or unique skills
• Staffing needs in terms of number of vacancies and length of time to identify qualified applicants

The survey reports that we receive from several professional sources represent national and regional salary data based on comparative characteristics or categories of participating colleges and universities, e.g., overall budget, enrollment, private/public, graduate/undergraduate. Local comparable salary and benefits market data for most staff positions are available through the Santa Barbara Human Resources Association (SBHRA). We analyze salary survey information to construct a salary range for each Fielding position using generic market-based titles and job descriptions. It is Fielding’s policy to compensate employees at the midpoint of the average market rate for a specific position.

New Hires

In determining starting salary offers, the following factors should be considered:

• Relevant education and experience as compared to minimum qualifications
• Specific knowledge, skills and experience as related to minimum qualifications
• Internal equity relevant to others in the classification

Position Review Process

The Office of Human Resources establishes an annual cycle for conducting position reviews for Fielding staff and administrative positions. These reviews are aligned with the development of the annual budget to ensure that the funds requested to support all planned equity adjustments are allotted for in the forthcoming fiscal year budget. The employee or the employee’s supervisor may request an equity review when significant changes in the duties and responsibilities of the position have been documented in a revised job description form.

All requests for position reviews need to be received by Human Resources by the end of the calendar year. The following supporting information is required:

• A brief description of the position’s general function and overall level of responsibility (3-5 sentences)
• A list of the position’s primary functions/duties. Indicate the percentage of time assigned to each function
• Identify those duties being performed that appear to fall outside of the employee’s current job description
• A description of any specialized education, training, skills, or certification required to perform the duties
• Fill out the Position Review Supplemental Questionnaire Position Review Supplemental Questionnaire.doc
• Fill out the Human Resources Personnel Action Form. Contact HR for form.

Reclassification decisions are based on a comparison of the position's current duties to those assigned earlier in employment. Classification decisions are not based on an employee's job performance or on a comparison to the work that other employees perform.

Pay Practices and Schedules

• Staff: Pay dates are the 15^th and the last day of the month. The pay cycle will end about 6 days in advance of the pay date.  Exempt employees will continue to be paid on a “salaried basis." Non-exempt employees will be paid based on actual hours worked and each paycheck will no longer be the same amount each pay cycle. For specifics, see the Payroll Calendar.
• Faculty: Faculty employees will be paid on a monthly salaried basis on the last day of the month. For specifics, see the Payroll Calendar.

Policy Revised June 2008

Purpose

It is the policy of Fielding Graduate University to protect the security and integrity of its records (as that term is defined below) and to ensure that records that are no longer needed are discarded at the appropriate time and in an appropriate manner. 

This policy is designed to create a compliance standard for University personnel with respect to the retention and disposition of records (including those that contain personal information), governing records from their creation or receipt to their final disposition. This policy will also facilitate appropriate access to records in the event of litigation and to preserve institutional records as required by mandate, law, or institutional policy guidelines. The attached University Records Retention Schedule identifies the type of records to be retained, the University custodian of such records, and the appropriate time and manner for destruction of records.

Applicability of the Policy

This policy applies to all University administrators, staff and faculty.

Definitions

Records: means any and all written or recorded matter produced or acquired in the course of University business, including without limitation all papers, documents, electronically stored information, email messages, machine-readable materials, and any other written or recorded matters, regardless of physical form or characteristic.

Personal information: means an individual’s signature, Social Security number, physical characteristics or description, passport number, driver’s license or state identification card number, insurance policy number, bank account number, credit card number, debit card number, or any other financial information.

Procedures

Inquiries regarding records retention and disposition should be directed to the Office of the Vice President for Administration and Human Resources.

Any directive to suspend record disposal or destruction must be approved by the Office of the Vice President for Administration and Human Resources. Any Fielding administrator, staff or faculty may make a request to the Office of the Vice President for Administration and Human Resources for such a directive.

Duty to Preserve Records

University departments shall maintain records in accordance with the University Record Retention Schedule. 

Disposal or destruction of records other than as specified by the University Record Retention Schedule is a violation of University policy and may have serious disciplinary and legal consequences. 

• Litigation has been commenced or threatened or is reasonably anticipated;
• A state or federal investigation has been commenced or threatened;
• An internal investigation or audit has commenced; or
• Senior administrative officials have determined that urgent circumstances require the preservation of records and have issued a record preservation directive.

In the event that a University custodian of records believes that one or more of the circumstances identified above exists, the custodian must suspend record disposal or destruction and immediately must consult with the Office of the Vice President for Administration and Human Resources for direction relative to the preservation of relevant records.

No employee who has been formally notified of a record preservation directive may discard, destroy, alter, or delete a record that falls within the cope of that directive. Violation of the directive may subject the individual to disciplinary action, up to and including dismissal, as well as personal liability for civil or criminal sanctions by courts or law enforcement agencies.

Date Approved: October 2009
Approved by: University Leadership Team
Staff Responsibility: Vice President for Administrative & Human Resources

Policy Statement on Reduction-in-Force (Layoff)

Policy Guidelines 

Prior to any RIF (Layoff) process based exclusively on the financial circumstances of the University, Fielding will consider implementing cost-cutting measures to reduce operating expenses to mitigate the scope of the RIF or eliminate the need for a RIF entirely. Such measures may include, but are not limited to, freezing all hiring, reducing one or more departmental budgets, and voluntary and involuntary furlough.  

When evaluating the viability cost-cutting measures as a total or partial alternative to RIF, the following considerations will be paramount:

• The quality and integrity of core academic programs will be maintained
• Programs slated for teach out will continue to retain a sufficient faculty. Complement to facilitate degree completion for existing students.
• Decisions about continuance of programs and staffing will be made consistent with Fielding’s mission and goals, Strategic Plan, and in keeping with the principles espoused in “Our Common Ground.”

Process

• The President has ultimate authority and responsibility to declare a state of financial exigency that requires a RIF.
• The President will consult with the University Leadership Team (ULT), the Budget, Finance and Audit Committee (BFA) of the Board of Trustees, and with appropriate governance bodies before making such a declaration.       
  

Formation of University Review Committee:

If a RIF (layoff) is based exclusively on financial exigency, the President will appoint an ad hoc University Review Committee (URC) to monitor the RIF policy throughout its phases, ensuring alternative solutions are considered fully. The URC includes the Vice President for Administration and Human Resources as chair, representatives from the appropriate University organizations (e.g., Academic Senate, Staff Council) and others as deemed appropriate by the President 

• As chair of the University Review Committee, the Vice President for Administration and Human Resources will: 
  • Ensure that the Fielding community is kept informed about the RIF process
  • Provide a mechanism for obtaining and forwarding alternative solutions in a timely manner.
  • Meet with the President or the President's designee to review and offer opinions concerning the options under consideration
  • Give approval of all decisions prior to finalization and announcement 
  • Initiate the RIF process
• RIF Implementation: In implementing a RIF, the following steps will occur, in the order stated:
  
  Notification: Written notification of the impending RIF will be sent to the appropriate university constituents.  The Fielding community will receive written notification of a possible future RIF no less than three months before employees involved may be laid off, unless there are circumstances that make such advance notification impracticable, in which case as much advance notice as is practicable will be provided. The notification will include a timetable and will include a statement explaining the general reasons for the contemplated RIF (e.g., budgetary, institutional mission, reorganization), as well as information concerning procedures to be followed between the time of announcement and the final decision. All established Human Resource policies and procedures are in effect throughout the period of discussion and decision. Employees to be laid off will be notified by a supervisor and by a member of the Human Resources Office at least one month prior to the date of termination. Notice will be accompanied by a written description of the RIF severance package.  Separation from the University may be immediate, however, but full salary and benefits will be continued until the date of termination.
• Voluntary Severance: A voluntary severance package may be offered.  The components may include voluntary adjustments of work arrangements (e.g., combining assignments, transfer of staff, reduction in hours, early retirement).  Incentives may be offered.  Confidentiality will be maintained for those employees who express interest in and may decide to enter into a voluntary severance arrangement.
• Redistribution of Work Load(s): Redistribution of work load(s) necessitated by the RIF will be completed following consultation with the affected departments and personnel. Job descriptions may be rewritten and wage/salary adjustments may be made where appropriate at the time of the RIF for those employees affected by the redistribution of workloads.
  

Appendix – Reduction in Force Severance Guidelines 

It is the policy of Fielding Graduate University to provide severance benefits to employees who separate from employment due to a Reduction in force.  

Severance benefits in the context of a RIF will consist of:Severance pay:  Employees will be offered severance pay calculated with reference to the employee’s completed years of service to Fielding.  Generally, employees will be offered severance pay equal to one week of pay for each completed year of service. 

1. Medical benefit continuation: Employees who participate in Fielding’s group medical insurance plan will be offered the right to continue coverage pursuant to COBRA.  Employees who elect COBRA coverage will be offered one month premiums paid by Fielding for every four years of completed service, with a minimum of one month for employees who have fewer than eight years of completed service.
2. Unemployment benefits:  Employees will be provided information regarding unemployment insurance benefits in the state in which the employee pays employment withholding taxes.  Fielding will not contest the employee’s eligibility for such benefits but will provide accurate information concerning the employee’s wages to the relevant state agency. 

In order to receive the above-referenced severance benefits, the employee will be required to execute a severance agreement including a release of claims in favor of Fielding.

Fielding reserves the right to depart from these Severance Guidelines. Any departure will be supported by a statement from the University Review Committee setting forth in general terms the reasons for the departure.  

To prohibit a conflict of interest when administering financial aid, the employees of Fielding Graduate University will comply with the following:

1. Fielding Graduate University does not participate in any revenue-sharing arrangements with any lender.
2. Fielding Graduate University does not permit any employee of the school who is involved in the administration of financial aid to accept any gifts of greater than a nominal value from any lender, guarantor, or servicer.
3. Fielding Graduate University does not permit any employee of the school to accept any fee, payment or other financial benefit (including a stock purchase option) from a lender or affiliate of a lender as compensation for any type of consulting arrangement or contract to provide services to a lender or on behalf of a lender relating to education loans.
4. Fielding Graduate University does not permit any employee to accept anything of value from a lender, guarantor, or group of lenders and/or guarantors in exchange for service on an advisory board, commission or other group established by such a lender, guarantor group of lenders and/or guarantors. Fielding Graduate University does allow for the reasonable reimbursement of expenses associated with participation in such boards, commissions or groups by lenders, guarantors, or groups of lenders and/or guarantors.
5. Fielding Graduate University does not assign a lender to any first-time borrower through financial aid packaging or any other means.
6. Fielding Graduate University recognizes that a borrower has the right to choose any lender from which to borrow to finance his/her education. Fielding Graduate University will not refuse to certify or otherwise deny or delay certification of a loan based on the borrower's selection of a lender and/or guarantor.
7. Fielding Graduate University will not request or accept any offer of funds to be used for private education loans to students from any lender in exchange for providing the lender with a specified number or volume of Title IV loans, or a preferred lender arrangement for Title IV loans.
8. Fielding Graduate University will not request or accept any assistance with call center or financial aid staffing from any lender, guarantor, or servicer.

Policy Approved 11/01/2011

After 12 months of continuous service, active, regular employees being paid through payroll at 80% time base or more, and their legal children, spouses, and/or life partners may attend Fielding Graduate University at reduced tuition rates.

For eligible employees in good standing, tuition would be 1/3 the regular cost (Fielding pays 2/3). Fielding will offer a 20% tuition reduction to the employee's legal children, spouse, and/or life partner. Tuition would be granted according to the appropriate tuition schedule for each program.

Total lifetime tuition benefits for an individual will be limited to a maximum of 18 terms (6 years). The combined total lifetime tuition benefits for a family, including the employee, will be limited to a maximum of 24 terms (8 years). These benefits apply to the minimum number of credits necessary to complete the degree program and not to tuition for courses that make-up for failed or withdrawn courses.

While Fielding Graduate University understands the need for each employee to balance academics and employment, the needs of the university will take precedence over the employee's needs as a student. For example, time off from work and schedule flexibility will be determined based first on Fielding's needs, and secondly, those of the student-employee. It is the discretion of the employee's immediate manager or supervisor, with input from the employee, to determine time off and schedule flexibility based on workload, target goals and the overall needs of the department or organization. Employees who wish to attend a session as a student are required to take vacation time. Attending a national session and/or Fielding event as both an employee and a student is not permissible.

Employees may not use departmental professional development funds for courses taken at Fielding.

Tax Liability

According to the IRS guidelines, a tuition reduction for graduate education is tax free if an educational institution provides the reduction to a graduate student who performs teaching or research activities for that institution. The qualified tuition reduction must be for education furnished by that institution, and not represent payment for services.

According to this ruling, the value of the graduate tuition reduction benefits at Fielding must be added to income and may be subject to withholding and FICA (Social Security) taxes.

Eligibility Requirements for Tuition Benefits

In order to qualify for the Fielding tuition benefit, interested employees must:

• Be accepted through established admissions processes.
• Have received a rating of "Meets Standard" or better in the most recent annual performance appraisal process.
• Advise their department manager, prior to enrolling, that they intend to apply to enter a specific program.
• Submit a completed Tuition Forgiveness Application & Renewal Request Form to Human Resources at least six (6) months prior to receiving the tuition forgiveness benefit. The department manager, in conjunction with Human Resources, will inform the individual whether or not s/he is eligible for reduction of tuition.  
• Approved applications are active for one academic year – September 1 to August 31. Employees who do not enroll in their approved program within this timeframe must submit a new application six months prior to the adjusted start date.  
• Employees applying to more than one program must submit a tuition forgiveness application for each program at lest six months prior to enrolling in order to receive the tuition forgiveness benefit.
• Have an identified and planned training objective for career development that is current and supported by their supervisor - i.e., a current Development Plan. The employee and her/his supervisor should update this on an annual basis.
• Submit a new Tuition Forgiveness Application & Renewal Request Form  to Human Resources every 12 months in the program.
• Submit an updated tracking sheet to Human Resources 30 days after every term for those in master's and certificate degree programs and on an annual basis for doctoral programs. Doctoral students on academic probation must submit tracking sheets within 30 days after their current progress evaluation deadline.
• Receive a grade of "B-" or better for each of the Knowledge Areas and/or courses in a program, or "pass" in a pass/fail course. 
• Meet all satisfactory academic progress requirements of the program. Failure to make satsifactory academic progress (SAP) for two consecutive reviews will cause him/her to become ineligible for tuition reduction, regardless of the School's decision to retain or withdraw the individual from the academic program.
• Assume 100% of his/her tuition until satisfactory academic progress (SAP) has been made, as determined at the first scheduled review after disqualification.
• Assume 100% of his/her tuition for courses that make-up for failed or withdrawn courses.
• Submit a written request to Human Resources at least six months before tuition reduction can be re-approved after withdrawal from the degree program.  
• Assume any tax liability that may accrue under this program.

Policy Approved 12/01/2008

• Fielding Graduate University will not retaliate against an employee who, in good faith, makes a protest or raises a complaint against some practice of the university or of another individual or entity acting on behalf of Fielding based on a belief that the practice is in violation of law, regulation, or policy.
• Fielding will not retaliate against an employee who discloses or threatens to disclose to a supervisor or a public body any activity, or practice of Fielding that the employee reasonably believes is in violation of a law, or regulation mandated pursuant to law or Fielding policy.